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K la u tic a l
>' Institute

THE SHIPMASTER'S BUSINESS SELF-EXAMINER

Published by The Nautical Institute
202 Lambeth Road, London SE1 7LQ, England
Tel: +44 (0)20 7928 1351
Fax: +44 (0)20 7401 2817
Web: www.nautinst.org

First edition (Business & Law Self-Examiner for Deck Officers) published 1998 (ISBN 1 871524 04 0)
2nd edition (Business & Law Self-Examiner for Deck Officers) published 2000 (ISBN 1 871524 06 7)
3rd edition (Shipmaster's Business Self-Examiner) published 2003 (ISBN 1 871524 06 7)
4th edition published 2004 (ISBN 1 871524 08 3)
5th edition published 2005 (ISBN 1 870077 71 7)
6 th edition published 2007 (ISBN 1 870077 80 6)
7th edition published 2009 (ISBN 978 1 906915 001)

© Malcolm Madachlan and The Nautical Institute 8th Edition 2011

All rights reserved. No part of this publication may be
reproduced, stored in a retrieval system, or transmitted
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written consent of the publisher, except for quotation of
brief passages in reviews.
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collecting and preparing material for inclusion in The
Shipmaster's Business Self-Examiner. They do not assume,
and hereby disclaim, any liability to any party for any lossor
damage caused by errors or omissions in The Shipmaster's
Business Self-Examiner, whether such errors or omissions
result from negligence, accident or any other cause.
Readers of The Shipmaster's Business Self-Examiner are
advised to make themselves aware of any applicable local,
national or international legislation or administrative
requirements or advice which may affect decisions taken
by them in their professional capacities.

Cover design in the UK by PMD Visual Communications

Printed in the UK by the MPG Books Group

ISBN 978 1 906915 31 5

THE SHIPMASTER’S BUSINESS SELF-EXAMINER Hi

Foreword
by Claude Hamilton, formerly Chief Examiner, MCA
One area o f the work o f today’s Deck Officers that is becoming increasingly important and time-consuming is that o f
Business & Law. With the amount of new legislation that has its roots in such bodies as IMO, ILO and EU, the speed of
port turn-rounds and the current trend for numerous ‘surveyor; and inspectors’ to descend upon any newly arrived ship,
Business & Law is neither static, simple or unimportant.

The testing o f your knowledge o f Business & Law within your Oral Examination is not just to see if you have the
capacity to memorise a sufficient quantity o f facts, it, is also to ensure that you can apply the necessary knowledge to
real situations and thus can carry out your job in a professional manner.

Since the first UK Deck Officer Certificates o f Competency were issued in 1845, the Oral Exam has been a major
feature in the certification of our officers. Within the Oral Exam there is nowhere to ‘hide’. You cannot leave a question
unanswered and choose another subject as the Examiner will not let you. You have to be well prepared and to show the
Examiner that you are competent. To this end, I was very pleased to have been asked to write a short Foreword to this
book as I regard Malcolm Maclachlan’s Business & Law Self- Examiner as a very useful tool, not only for preparation
for Oral Exams but also for reference, both ashore and at sea. Diligent use of this book will generate a familiarity with
the subject and the confidence to know ‘where to look’ for the answer even if it does not immediately spring to mind.

I will not wish you luck as luck should have nothing to do with your ability to demonstrate competence! —but I wish
you well. : .

Claude Hamilton
C hiefExaminer
M aritime & Coastguard Agency ...f-
9 September 1998
/V THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Preface to the 2011 Edition

For this new edition the principal additions and amendments are in the following areas:

Section A - Maritime Treaty Instruments: Entry into force o f revised MARPOL Annex V! and introduction of
Emission Control Areas; Maritime Labour Convention 2006.
Section B - The Flag State and its Law: Maritime claims; liens; arrest.
Section C —The Shipowner, Manager and Operator: [MO Unique Company and Registered Owner Identification
Number; ISM Code 2010; safety culture; ship security iissessment.
Section D - The Ship: Goal-based passenger ship safety standards; details on CSR forms; incinerators and shipboard
incineration; vapour collection system in tankers; ECD1S; BNWAS; full-term and short-term certificates; mandatory
surveys of ro-ro passenger ferries and high-speed passenger craft on EU services; ISM and ISPS Code certification
o f laid-up ships; Cargo Ship Safety Radio Certificate surveys; ozone depleting substances documentation; records
relating to low sulphur fuel oils; VOC Management Plan; revised format of DG Document o f Compliance; ballast
water treatment equipment.
Section E - Master and Crew: Master’s responsibilities under revised ISM Code; certification o f ship security
officers; definition, designation and duties of ship security officer; Biological Agents Regulations; Chemical Agents
Regulations; Work at Height Regulations; Asbestos Regulations; Artificial Optical Radiation Regulations.
Section F - The Ship’s Employment: Carrier’s lien; laytime exceptions/intemiptions; Rotterdam Rules; loading and
unloading o f bulk carriers; IMSBC Code.
Section G - Marine Insurance: Marine warranty surveyors (replacing The Salvage Association).
Section H - At Sea: Use of heading and/or track control systems; operation of main source o f electrical power and
steering gear, master’s discretion for ship safety and security; ship security at sea; Implementation o f Ship-Source
Pollution Directive Regulations; Disposal of plastics and expired pyrotechnics; emissions of air pollutants; ship-to-
ship transfers; burial at sea; misuse of distress signals; daily reporting; port arrival preparations; “hazmat”
notifications; Paris MoU pre-arrival notifications; ship and port security arrival preparations; ballast water
management including exchange methods; EU ban on single-hull tankers carrying heavy grades of oil.
Section I - In Port. Pilot access control; pilotage directions and pilotage exemption certificates; taking over and
handing over command; flag State and port State control; port State control regional agreements; Paris MoU New
Inspection Regime; volatile organic compounds; sulphur at berth in EU ports; master’s discretion for ship safety and
security; lay-up; passenger counting and registration; practice passenger musters; emergency information for
passengers; steering gear test and drill requirements; “hazmat” notifications.
Index: A detailed and comprehensive index has been introduced.
Index of M Notices: An index of M Notices referred to in the text has been added

Elsewhere, innumerable other amendments have been made.

Malcolm Maclachlan
Biggar. Scotland
January 2011
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Advice to “Orals” candidates

Every deck officer’s Orals examination is different, and every Orals examination is rigorous - at least, it should be.
Experience and feedback from past candidates shows, however, that there are several things you can do to make your
inquisition less o f an ordeal than it might otherwise be.

Before you leave a ship to go up for Orals, study the ship’s documents and take to college a complete list o f the
certificates, manuals and other documents kept on board; the master will have such a list Ask permission to bring
copies o f expired or cancelled certificates with you - both statutory and class: Make sure you “know” your ship and
how it is employed (whether on a liner service, or under a time: or voyage charter), and attempt to gain some
understanding o f the statutory and commercial formalities involving its management-level personnel; How does the
master tender notice o f readiness? What messages, if any, doe;; he have to send to charterers? Is he given a “Captain’s
Copy” of the bill o f lading? Does the mate sign any cargo documents? What happens when damaged cargo is reported
to be coming aboard, or when damage to the ship is sustained? Who is the DPA, and the company security officer?
What is the role o f the ship security officer on arrival at a port, and what happens when the ship’s security level is not
the same as the port’s? *

Look also at the ship’s customs and port health documents, as well as the Official Log Book, Oil Record Book, Garbage
Record Book, Continuous Synopsis Record and other statutory records. Don’t forget the Crew Agreement and List o f
Crew - what does all that small print actually say in the agreement to which you become a party every time you sign on?
Are any “additional clauses” attached to the Crew Agreement? Does it incorporate die Merchant Navy Code o f Conduct
or your company’s Code? Are any personnel carried who don't sign on?

ISM is a favourite Orals topic, so you would be wise to learn what’s in your ship’s Safety Management documentation,
and how it is meant to be used. Be prepared not to complain alx>ut it but to explain how if benefits you on board. How
does the ship’s Safety Management System work, and how does the master know if it is being complied with?

ISPS is another standard feature o f most Orals exams, so check your ship’s Ship Security Plan before coming ashore.

In port, ask the agent for any unwanted cargo documents lying in his office such as shipping notes, dangerous goods
notes, mate’s receipts, bills o f lading, sea waybills and protests; they will come in useful in the classroom. And while
you are speaking to the agent, ask him about the documentary procedures for your particular cargo: what documents are
issued or surrendered, by whom, and when? Are mate’s receip ts used at this port?

Whether you bring any documents to college or not, you will need to know a lot about ship’s certificates, ISPS and ISM
Code audits and documents, risk assessments, crew matters (engagement, discharge, STCW 95, OLB, health and safety,
musters and drills, hours o f rest, etc.) and ship safety (e.g. actions in casualty situations, dangerous goods, etc.). New
regulations (Sis) and recent M Notices are essential reading. You are quite likely to be asked about all these and much
more. However, your meeting with your inquisitor may be somewhat shortened if you convince him dtan early stage
that you know your stuff and are competent to sail as master if given a command that very day.

MCA surveyors are usually as rigorous in Orals examinations as they are in ship surveys, but they aim to be fair. They
try to pass candidates, not to fail them, but they rightly expect a very high standard o f competency, and a certain depth
o f knowledge - not the barest minimum to correctly answer a question. Since you are hoping to gain a shipmaster’s
qualification, your examiner will expect you to answer his questions sounding like a shipmaster, and not like a second
or third officer who does not actually consider himself or herself ready for command. The examiner will expect you to
use precise, professional language (without “classroom idiom”) and to speak with confidence and in a clear voice, but
only after due thought and consideration o f his questions.

Avoid digging holes for yourself: they are difficult to climb out o f once you’re in them. Don’t say too much, or too
little. Stop, think, and correct yourself before it’s too late, but don’t delay your responses too long; candidates from
whom answers have to be dragged generally lengthen their time in the Orals room and are more likely to fail than those
who need little or no prompting. T > -

Arrive in good time for your appointment, even if it means having to make a “dummy run” the day before your exam to
check the journey time. Finally, remember that while your “working rig” on board ship may be casual civilian clothes,
the “working rig” in MCA Marine Offices is rather more formal.
vi THE SHIPMASTER S BUSINESS SELF-EXAMINER

Contents
Page

Section A: Maritime Treaty Instruments 1

IMO and TREATY INSTRUMENTS: GENERAL 1
International Maritime Organization (IMO) 1
IMO Conventions 1
Other IMO instruments 2
Gas and chemical tanker codes 2
l Formal Safety Assessment 2
SOLAS CONVENTION 3
Application of SOLAS to ships 3
SOLAS chapters 3
SOLAS-related codes 3
Global Maritime Distress and Safety System (GMDSS) 3
MARPOL CONVENTION 4
Application of MARPOL to ships 4
MARPOL annexes 4
Special Areas, Particularly Sensitive Sea Areas and Emission Control Areas 4
NOx Technical Code 5
LOADLINE CONVENTION 5
COLREG CONVENTION 6
STCW CONVENTION 6
STCW Code 6
IMO ACTION DATES 7
UNCLOS 7
OTHER INTERNATIONAL TREATIES AND RULES CONCERNING SHIPPING 7
United Nations agencies 7
ILO Conventions 7
International Health Regulations 8
International Radio Regulations 8
Carriage of goods by sea rules 8
York-Antwerp Rules 8
Athens Convention 8

Section B: The Flag State and its Law 11

UK LAW 11
Types o f UK law 11
European Community (EC) law 11
UK legislation 11
Jurisdiction over UK and non-UK shyjs and seafarers . 1 2
UK COURT PROCEDURES. OFFENCES and PENALTIES 12
Court hierarchy 12
Court procedures 12
Offences and fines 12
FLAG STATE ADMINISTRATION 13
Flag State duties 13
Flag State Administrations 13
UK GOVERNMENT ORGANISATIONS and OFFICIALS 13
Department for Transport (DfT) 13
Maritime and Coastguard Agency (MCA) - 14
HM Coastguard 16
Proper officers 17
Health and Safety Executive (HSE) 17
Prohibition and Improvement Notices 17
SOSREP 18
Marine Accident Investigation Branch (MAIB) 19
Registry of Shipping and Seamen (RSS) 19
THE SHIPMASTER’S BUSINESS SELF-EXAMINER vii

Ofcom 19
M Notices 19
UK INQUIRIES and INVESTIGATIONS 20
MAIB investigations 20
Formal Investigations 20
Section 61 Inquiries 20
Section 63 Inquiries 21
Section 271 Inquiries, Coroners’ Inquests and Fatal Accident and Sudden Death
Inquiries 21
LEGAL SYSTEMS 21
Civil law legal systems 21
Common law legal systems 21
Mixed and other legal systems 21
ENGLISH LAW OF CONTRACT 21
Formation of contract 21
Contents o f a contract 21
Factors that vitiate a contract 22
Discharge of contracts 22
Remedies for breach of contract 22
Agents and agency t 22
Agent’s authority 23
ENGLISH LAW OF TORT 23
Tort 23
Negligence 24
Strict liability 24
Vicarious liability 24
MARITIME CLAIMS, LIENS AND ARREST 24
Maritime claims 24
Liens 25
Maritime liens 25
Arrest 26

Section C: The Shipowner, Manager and Operator 27

SHIP COSTS 27
STATUTORY OBLIGATIONS OF SHIPOWNER 27
IMO UNIQUE COMPANY AND REGISTERED OWNER IDENTIFICATION NUMBER 27
SAFETY MANAGEMENT PROVISIONS CONCERNING COMPANY 28
SOLAS chapter IX 28
Application of ISM Code 28
MCA guidance on ISM Code 28
Contents o f ISM Code 28
Safety culture 29
Purpose of ISM Code 29
Comparison between ISM Code and other management schemes 30
Obligations imposed by ISM Code 30
Safety management system (SMS) 30
Designated person (DP or DP A) 30
Company’s ISM Code obligation to define and document master’s responsibil'rty arid
authority 31
Company’s ISM Code obligations reganling the master 31
Company’s ISM Code obligations reganling manning 31
Company’s ISM Code obligations reganling familiarisation training 31
Company’s ISM Code obligation to ensure personnel have a knowledge of
applicable rules and regulations 31
Company’s ISM Code obligation regarding training 31
Company’s ISM Code obligation regarding SMS language 31
Company’s ISM Code obligation regarding SMS-related on-board communication 31
Company’s ISM Code obligations reganling developing plans for shipboard operations 31
Company’s ISM Code obligations reganling potential emergency shipboard situations 32
Company’s ISM Code obligation in relation to management reviews '‘ 32
ISM Code audits and certification 32
 THE SHIPMASTER S BUSINESS SELF-EXAMINER

DSM CODE 33
SECURITY PROVISIONS CONCERNING COMPANY 33
SOLAS chapterXI-2 33
Specific responsibility of Company under SOLAS chapter X I-2 y- 34
ISPS Code 34
Objectives of ISPS Code 34
Implementation of ISPS Code in UK 34
Functional requirements of ISPS Code 34
Company’s obligations imposed by ISPS Code 34
Company’s ISPS Code obligations regarding master’s authority 35
Company’s ISPS Code obligation regarding support for master and Ship Security
Officer 35
ISPS Code obligations regarding ship security assessment 35
Company’s ISPS Code obligation regarding designation of company security officer 35
ISPS Code obligation regarding training of company security officer and others 35
ISPS Code obligation regarding participation in security exercises 35
SHIPOWNERS’ AND SHIP MANAGERS’ ORGANISATIONS 35

Section D: The Ship 37

APPROVED STANDARDS OF CONSTRUCTION AND EQUIPMENT FOR UK SHIPS 37
International and EU law on design, construction and maintenance standards 37
Recognised Organisations 37
SHIP REGISTRATION and CERTIFICATE OF BRITISH REGISTRY 37
Registration purposes and benefits 37
Types of ship register 38
National flag registration 38
Flag of convenience (FOC) registration 38
Second registers 38
UK registration requirements 38
UK registration procedure 39
Provisional British registration 40
Bareboat charter registration 40
Use of Certificate of British Registry 41
Procedure for renewal of UK registrychange of ship’s name, etc. 41
IMO SHIP IDENTIFICATION NUMBER and CONTINUOUS SYNOPSIS RECORD 41
IMO Number 41
Continuous Synopsis Record (CSR) 42
SHIP CLASSIFICATION and CLASS DOCUMENTS 43
Classification: general 43
IACS Common Rules 44
Class surveys 44
Certificates and Interim Certificates of Class 46
Condition Assessment Programme (CAP) 47
Ice classes 47
SHIP EQUIPMENT 48
Marine Equipment Regulations 48
Navigational equipment and systems 49
Oil pollution prevention equipment 49
Sewage pollution prevention equipment 50
Incinerators and shipboard incineration 50
Vapour collection systems /,-,<•• 50
Automatic identification systems (AIS) 50
Long-Range Information and.Tracking (LRIT) 51
Voyage data recorder (VDR) 51
Charts and nautical publications 52
Bectronic Chart Display and Information System (ECDIS) 52
Bridge Navigational Watch Alarm System (BNWAS) 53
Compasses 53
Anchors and cables 53
'•:< ■ Anti-fouling systems 54
Ship security alert system ■ , 54
Equivalents and Letters of Equivalency 54
THE SHIPMASTER S BUSINESS SELF-EXAMINER

Safety equipment in excess of statutory requirements 55

UK STATUTORY SHIP CLASSES 55
General 55
UK passenger ship classes 55
Construction regulations applicable to UK passenger ships 56
Plying limits for UK passenger ships of Classes IV, V and VI 56
UK non-passenger ship classes 56
UK STATUTORY SHIP SURVEYS AND CERTIFICATES 57
Statutory certificates 57
SOLAS certificates 57
MARPOL and other oil pollution-related certificates 58
Load Line Convention certificates , 58
Statutory surveys and certification 58
Enhanced surveys 61
In-water surveys 62
Alternative Compliance Scheme (ACS) 62
Condition Assessment Scheme (CAS) 62
Harmonized System of Survey and Certification 63
Extension of certificate validity 66
Mandatory surveys of ro-ro passenger ferries and high-speed passenger craft on EU
services 66
Certificates required by ship types 67
ISM CODE AUDITS and CERTIFICATION 68
ISM Code audits 68
ISM Code certification 70
DSM CODE AUDITS and CERTIFICATION 71
ISPS CODE and SHIP SECURITY DOCUMENTATION 71
ISPS Code requirements affecting ship 71
Ship security assessment 71
Security levels 72
Ship security documentation 72
Ship security plan 72
International Ship Security Certificate 72
Ship security records 73
SAFE MANNING DOCUMENT ; 73
PASSENGER SHIP SAFETY CERTIFICATE (PSSC) and PASSENGER
CERTIFICATE (PC) / 75
Passenger Ship Safety Certificate (PSSC) 75
Passenger Certificate (PC) 76
Certification o f passenger tenders 77
Operational Limitations Document 77
CARGO SHIP SAFETY CONSTRUCTION CERTIFICATE (SCC) 77
CARGO SHIP SAFETY EQUIPMENT CERTIFICATE (SEC) 78
CARGO SHIP SAFETY RADIO CERTIFICATE (SRC) 79
CARGO SHIP SAFETY CERTIFICATE (CSSC) 80
INTERNATIONAL and UK OIL POLLUTION PREVENTION CERTIFICATES
(IOPPC and UKOPPC) 80
International Oil Pollution Prevention Certificate (IOPPC) 80
UK Oil Pollution Prevention Certificate (UKOPPC) 81
CERTIFICATES OF FITNESS FOR GAS CARRIERS AND CHEMICAL TANKERS 81
Gas carrier Certificate of Fitness 81
Chemical tanker Certificate of Fitness 81
INTERNATIONAL NOXIOUS LIQUID SUBSTANCES CERTIFICATE (INLSC) 82
INTERNATIONAL SEWAGE POLLUTION PREVENTION CERTIFICATE (ISPPC) 83
INTERNATIONAL AND UK AIR POLLUTION PREVENTION DOCUMENTATION 83
International Air Pollution Prevention Certificate (IAPPC) 83
Engine International Air Pollution Prevention Certificate, NOx Technical File and Record
Book of Engine Parameters 84
UK Air Pollution Prevention Certificate (UKAPPC) 84
INTERNATIONAL and UK LOAD LINE CERTIFICATES 84
Load line legislation 84
 THE SHIPMASTER'S BUSINESS SELF-EXAMINER

International Load Line Certificate 85

Load Line Exemption Certificates 85
Record o f Conditions of Assignment 85
Types of freeboard 86
UK Load Line Certificate 87
Load line marks 87
Timber load lines and timber freeboards 87
INTERNATIONAL and OTHER TONNAG E CERTIFICATES 88
International Tonnage Certificate (1969) 88
Suez and Panama canal tonnage certificates 88
Tonnage definitions 89
POLLUTION LIABILITY CERTIFICATES 89
CLC Certificate (Oil Pollution Insurance Certificate) 89
Bunker CLC Certificate (Bunker Oil Pollution Insurance Certificate) 89
US Certificates of Financial Responsibility (COFR) 90
SHIP SANITATION CONTROL CERTIFICATION 90
ANTI-FOULING SYSTEM DOCUMENTATION 91
International Anti-Fouling System Certificate 91
Record of Anti-Fouling Systems 91
Declaration on Anti-Fouling System 91
RO-RO FERRY SPECIAL DOCUMENTATION 91
Evidence of Ship Compliance 91
Berth List 92
Freeboard Sheets and Additional Freeboard Sheets 93
Firearm Certificate 93
HIGH SPEED CRAFT (HSC) CERTIFICATION 93
High-Speed Craft Safety Certificate (HSCSC) 94
Permit to Operate High-Speed Craft (POHSC) 94
CERTIFICATION OF SPECIAL PURPOSE SHIPS 94
ADDITIONAL SAFETY MEASURES FOR BULK CARRIERS 95
OFFICIAL LOG BOOK (OLB) 96
GMDSS RADIO LOG BOOK 97
RECORDS OF NAVIGATIONAL ACTIVITIES 98
CARGO RECORDS 98
REGISTER OF LIFTING APPLIANCES AND CARGO-HANDLING GEAR 98
MISCELLANEOUS STATUTORY DOCUMENTS 98
Ship Radio Licence (SRL) 98
Anchors and Chain Cables Certificates 99
LSA training manual 99
Fire training manual, fire control plans and fire wallet 99
Oil Record Books 99
Cargo Record Book 100
Garbage Management Plan, Garbage Record Book and garbage disposal placards 101
Ozone depleting substances documentation 101
Records relating to low sulphur fuel oils 102
VOC Management Plan —• 102
Search and Rescue Co-operation Pla n 102
Dangerous Goods Document o f Compliance 102
Shipboard Oil Pollution Plan (SOPEP) and similar documents 104
Spare official documents 104
BALLAST WATER TREATMENT EQUIPMENT 104
BALLAST WATER MANAGEMENT DOCUMENTATION 105
Ballast Water Management Certificate 105
Ballast Water Management Plan 105
Ballast Water Record Book 105
EVIDENCE TO BE RETAINED FOLLOWING AN ACCIDENT ' 106
TRANSFER OF SHIP TO OR FROM UK REGISTER 106

Section E: Master and Crew 107

THE MASTER * 107
Ship master definition 107
Master’s responsibilities in common law 107
THE SHIPMASTER’S BUSINESS SELF-EXAMINER X/

The master as agent 107

The master as bailee 107
Master’s liabilities 107
Master's discretion for safety o f life at sea and protection of marine environment 108
Master’s discretion for ship safety and security 108
Master’s lien 108
Master’s responsibilities under ISM Code 108
SEAFARER TRAINING 109
General requirements including Basic Training and Familiarisation Training 109
Training of tanker personnel 110
Training of ro-ro passenger ship personnel 111
Training of personnel in passenger ships other than ro-ro ships 111
Training of high-speed craft personnel 112
Training for emergency, occupational safety, medical care and survival functions 113
Training o f ratings 114
Training o f ship safety officers 114
Training o f ship security officers 114
Manila Amendments to STCW 114
SEAFARER CERTIFICATION 115
Shipboard responsibility levels and functions under STCW 95 115
Deck department certificates of competency 115
Engine department certificates of competency 115
Deck and engine certificates: miscellaneous 116
Radio operator certificates 116
Watch Rating Certificates 116
Medical Fitness Certificates 117
Pathways to certification, watchkeeping certificates, testimonials and other
requirements 117
Carriage on board ship of STCW certificates 118
Flag State recognition of certificates issued by other STCW Parties 118
UK Certificates of Equivalent Competency 118
Certification of ships’ cooks 118
Certification o f ship security officers 119
MANNING 119
SOLAS requirements for safe manning and a Minimum Safe Manning Document 119
UK requirements for safe manning 119
Sailing short-handed 119
Rating categories 120
Carriage of ship’s doctor 120
Carnage of ship’s cook 120
CREW AGREEMENTS 120
Crew agreements in UK ships 120
Voyage agreements 121
Running agreements 122
Indefinite agreements 122
BSF and NFD Clauses 122
Multiple ship agreements 123
Preparation of crew agreement documents 123
Voyage and Notice Clauses 124
Lists of crew 125
Nationality and language requirements 125
Carriage of seafarer documents 126
Checking crew documents 126
Master’s role and legal status in engagement and discharge procedures 126
Engagement of crew members 126
Discharge of crew members 127
Closing a crew agreement and list of crew 128
DEFINITION, DESIGNATION AND DUTIES OF SHIP SECURITY OFFICER 128
Definition of ship security officer 128
Designation of ship security officer 128
Duties of ship security officer 128
 THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Ship security drills and exercises 129

Ship security internal audits 129
HEALTH, SAFETY AND WELFARE 129
Provisions and water 129
Master's weekly inspections 130
MCA inspections of seafarers ’ working and living conditions (ILO 178 inspections) 130
Health and safety legislation 130
General duties of employer under Health and Safety at Work Regulations 130
Health and safety policy 131
Risk assessment 131
Health surveillance 132
Female workers 132
Health and safety training and instruction 132
General duties of workers under Health and Safety at Work Regulations 132
Code of Safe Working Practices for Merchant Seamen 133
Means of Access Regulations 134
Provision and Use of Work Equipment Regulations (PUWER) 135
Safe Movement on Board Ship Regulations 136
Entry into Dangerous Spaces Regulations 136
Personal Protective Equipment Regulations 137
Lifting Operations and Lifting Equipment Regulations (LOLER) 137
Employment o f Young Persons Regulations 138
Manual Handling Operations Regulations 138
COSHH Regulations 139
Code of Practice for Noise Levels in Ships 139
Control of Noise at Work Regulations 139
Control of Vibration at Work Regulations 139
Codes of Practice for Controlling Risks due to Noise and Vibration at Work on Ships 140
Carcinogens and Mutagens Regulations 140
Biological Agents Regulations 140
Chemical Agents Regulations 140
Work at Height Regulations 141
Asbestos Regulations 141
Artificial Optical Radiation Regulations 141
Permits-to-work 141
MUSTERS, DRILLS, ON-BOARD TRAINING and INSTRUCTIONS, and
DECISION SUPPORT SYSTEMS 141
Muster lists 141
Emergency instructions 142
Emergency signals 143
Crew participation in and frequency of drills 143
Abandon ship drills 143
Fire and other emergency drills 143
Drills in closing of doors, side scuttles and other openings 143
Survival craft musters and drills, and lowering of lifeboats in drills 143
Passenger musters and passenger participation in drills 144
Rescue boat and emergency boat drills 144
Davit-launched liferaft on-board training 144
On-board instruction, training and training manuals 145
Records of musters, drills, training and on-board instruction 145
Weekly and monthly inspections of LSA 145
Testing of LSA 145
Testing of and inspections of fire-fighting equipment 145
Decision support system 146
ILLNESS 146
Master’s statutory duties in event of crew illness 146
HOURS OF WORK 146
Hours of Work Regulations 146
Duties under Hours o f Work Regulations 147
Minimum hours of rest 147
Suspension of scheduled hours of rest in emergencies 148
Drills and hours of rest 148
THE SHIPMASTER S BUSINESS SELF-EXAMINER xffi

Hours of rest and seafarers on call 148

Hours of rest schedule (table of duties) 148
Hours of rest records 148
Working at night 148
Annual leave 148
Application of hours o f rest requirements to non-permanent ship’s personnel 148
Hours of rest requirements and Safe Manning Document 149
SAFETY OFFICIALS 149
Safety officials legislation 149
Competent person 149
Safety officer 149
Safety representatives 150
Safety committee 151
Duties of Company and master concerning work of safety officials 151
ACCIDENT REPORTING AND INVESTIGATION 151
Accident Reporting and Investigation Regulations 151
Accidents 151
Accident reports 152
Reports of accidents to shore-based workers and accidents in UK shipyards 153
On-board investigation of accidents 153
Official Log Book entries relating to accidents 153
Preservation o f evidence following accidents 153
Reporting o f serious injuries 153
Incident Report Form (IRF) 153
Reporting of hazardous incidents 153
Incident reporting schemes 154
CONDUCT and DISCIPLINE 154
Code of Conduct for the Merchant Navy 154
Discipline where MN Code of Conduct does not apply 154
“Serious" or ‘dismissal’ (Paragraph 9) breaches 154
"Lesser'(Paragraph 11) breaches 154
Procedure for dealing with breaches 155
Importance of correct disciplinary procedure 155
Post-dismissal procedure ashore 156
Alcohol and drugs 156
Dealing with crew drunkenness 157
Deductions from wages for breaches of MN Code of Conduct 157
DEATHS 157
Master's actions following seaman’s death 157
Deceased seaman’s property and wage:; 158
UK inquiries following deaths 158
RELIEF, MAINTENANCE and REPATRIATION OF SEAMEN 158
Employer’s obligations to make provision 158
Leaving seamen behind abroad 158
Property and wages of seamen left behind 159
COMPLAINTS BY CREW MEMBERS 159

Section F: The Ship’s Employment 161

PARTIES INVOLVED IN SEA TRANSPORTATION 161
Seller and buyer (exporter and importer) 161
Banks 161
Shipper 162
Freight forwarder 162
Consignee 162
Receiver 162
Notify party 162
Cargo insurers 162
I '■ Shipbrokers 162
II ?> Charterers s 163
Carrier and shipowners 163
Liner agent 164
xiv THE SHIPMASTER'S BUSINESS SELF-EXAMINER

Shipmaster 164
Supercargo 164
Ship’s agent 164
CONTRACTS OF CARRIAGE BY SEA 164
Ship’s employment 164
Charter parties 165
Seaworthiness in carriage of goods law 165
Exceptions from liability of common carriers 165
Exceptions from liability of private carriers 165
Carrier’s lien 166
Arbitration 166
CONTRACT OF AFFREIGHTMENT (COA) 166
VOYAGE CHARTER 167
Definition of voyage charter 167
Basic obligations of owners and voyage charterers 167
Agents under voyage charters 167
Clause Paramount 168
Deviation Clause 168
P&l Bunker Deviation Clause 168
Freight 168
Safe ports and berths 168
Laydays, laytime and Notice of Readiness 169
Laytime exceptions and interruptions 170
Demurrage, damages for detention and despatch 170
Delivery of cargo 171
TIME CHARTER 172
Definition o f time charter 172
Basic obligations of owners and time charterers 172
Agents under time charters 173
Hire 173
Time-chartered vessel 173
Trading restrictions under time charter 173
Delivery and redelivery of time-chartered vessel 174
Time charterers ’ rights 175
Identity of carrier under time charter 175
Miscellaneous time charter clauses 175
BAREBOAT CHARTER 176
SHIPPING NOTE, STANDARD SHIPPING NOTE and MATE’S RECEIPT 176
Shipping note (S/N) 176
Standard Shipping Note (SSN) 176
Mate’s receipt (M/R) 176
BILL OF LADING (B/L) 176
Functions of bill of lading 176
Generation of bill of lading 177
Contents of bill of lading 178
Types of bill of lading 178
Identity of earner in bill of lading terms 178
Negotiability o f bill of lading (use of bill of lading as a document of title) 179
Endorsements and other details on bill of lading 179
Letters of Indemnity connected with bill of lading 179
Carriage of Goods by Sea Act 1992 (COGSA 92) 180
SEA WAYBILL (W/B) 180
CARRIAGE OF GOODS BY SEA RULES 180
Application of Hague-Visby Rules 180
Carrier’s obligations under Hague-Visby Rules 181
Carrier's rights and immunities under Hague-Visby Rules 181
Carrier’s rights re- dangerous goods shipped under Hague-Visby Rules 182
Hague-Visby Rules restrictions on cover of live animals and deck cargo 182
Carriage of Goods by Sea Act 1971 (COGSA 71) 183
Rotterdam Rules 183
DANGEROUS GOODS and MARINE POLLUTANTS 183
UK dangerous goods legislation -y 183
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

IMO codes dealing with dangerous goods 183

IMDG Code 184
Identity of dangerous goods and marine pollutants 184
Dangerous goods documentation required by ship 184
Dangerous goods/marine pollutants declaration 184
Dangerous goods/marine pollutants list, manifest or stowage plan 185
Additional special documents 185
EmS and MFAG 185
Carriage of dangerous goods by offsho re supply vessels 185
LOADING AND DISCHARGING CARGO 186
Carriage o f Cargoes Regulations: general 186
Cargo information 186
Carriage on board o f cargo documentation 186
Stowage and securing of cargo 186
Oxygen analysis and gas detection equipment 186
Use of pesticides 187
Special provisions for bulk cargoes other than grain 187
Loading, unloading and stowage of bulk cargoes 187
Requirements for ships carrying grain 187
Loading and unloading of bulk carriers 188
IMSBC Code 189
Cargo-related problems 191

Section G: Marine Insurance 193

SHIPOWNERS’ INSURANCE 193
Types of marine insurance and marine insurance providers 193
Employer’s liability insurance 193
INSURANCE LAW AND PRINCIPLES “ 193
UK marine insurance legislation 193
Types of policy under Marine Insurance Act 1906 193
Marine adventure 193
Insurance warranties 193
Principles of insurance 194
Doctrine of proximate cause 194
LONDON HULL INSURANCE MARKET PRACTICE 194
London hull and machinery market 194
Obtaining hull and machinery insurance 194
Cover under Lloyd’s and Companies hull policies 195
Particular average and total losses 196
Insurance claims 196
Insurance when undertow 196
P&l COVER 197
P8J clubs and liabilities covered 197
P&l club correspondents 197
P&l documents carried on board ship 198
POLLUTION LIABILITY INSURANCE 198
Civil Liability Convention insurance requirements 198
Bunkers Convention insurance requirements 198
US pollution insurance requirements 199
CARGO INSURANCE 199
GENERAL AVERAGE 199
Relationship between general average and marine insurance 199
INSURANCE-RELATED ORGANISATIONS 199
Lloyd’s Agents 199
Marine warranty surveyors 200
Average adjusters 200

Section H: At Sea 201

THE VOYAGE 201
Voyage and passage planning 201
xvi THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Use of navigational equipment and systems , 201

Use of heading and/or track control systems 201
Operation of main source of electrical' power and steering gear 201
Use of AIS 201
Seaworthiness 202
Master's discretion for safety of life and protection of marine environment 202
Master’s discretion for ship safety and security 202
Ship security at sea 203
Prohibited or restricted sea areas 204
Offshore renewable energy installations (OREIs) 204
National claims to maritime jurisdiction 204
Baselines and internal waters 205
Territorial sea 205
Contiguous zone 206
Straits transit passage 206
Passage through archipelagic waters 206
Continental shelf 206
Exclusive economic zone (EEZ) 207
Renewable Energy Zone (REZ) 207
High seas 207
Deep sea pilotage 208
Bridge Procedures Guide 208
Master’s standing orders and bridge order book 208
S TCW watchkeeping requirements 208
Anchor watch 209
Deviation and barratry 209
Offshore safety zones 209
Collision Regulations '■ 209
Traffic separation schemes and routeing systems 210
AMVER 210
CARE OF CARGO AT SEA 211
Carrier’s obligation re- cargo care under Hague-Visby Rules 211
Cargo care information 211
Evidence of cargo care 211
DISCHARGES OF POLLUTANTS AT SEA 211
Discharges of oil: legislation 211
MARPOL Annex I special areas 211
Discharges in MARPOL Annex I special areas 211
Discharges outside MARPOL Annex I special areas 211
Oil tanker cargo area discharge criteria 211
Discharge of dirty ballast from oil fuel tanks -r 211
Exceptional discharges of oil 211
Discharges o f noxious liquid substances (NLSs): legislation 213
Noxious liquid substance: definition 213
Noxious liquid substances discharge criteria 213
Implementation of Ship-Source Pollution Directive Regulations 213
Discharges of sewage: legislation 214
Definition of sewage 214
Sewage discharge criteria 214
Disposal of garbage: legislation 214
Garbage: definitions 214
Disposal of garbage in MARPOL Annex V special areas 215
Disposal of garbage outside MARPOL Annex V special areas 215
Restriction on UK ships entering Antarctic area 215
Garbage disposal records 215
Disposal of plastics and expired pyrotechnics 215
Emissions of air pollutants: legislation 216
Emissions of air pollutants: ozone-depleting substances 216
Emissions of air pollutants: nitrogen oxides (NOJ 216
Emissions of air pollutants: sulphur oxides (SOJ and particulate matter 216
Emissions of air pollutants: shipboard incineration 217
Compliance with US pollution legislation 217
THE SHIPMASTER S BUSINESS SELF-EXAMINER xvii

SHIP-TO-SHIP TRANSFERS 217

BURIAL AT SEA 217
SAFETY COMMUNICATIONS 218
Safety message prefixes 218
Navigational warnings and danger messages 218
COLLISION 218
Master’s statutory duties following collision 218
Master’s non-statutory actions following collision 219
GROUNDING 219
DISTRESS INCIDENTS 220
Statutory duties on receiving a distress alert 220
Search and Rescue Co-operation Plan 220
Decision support system 220
Distress signals 220
Misuse of distress signals 221
STOWAWAYS, PERSONS IN DISTRESS and SECURITY INCIDENTS 221
IMO Stowaway Case Guidelines 221
Rescue and treatment of persons in distress 221
Security incidents at sea 221
DAILY REPORTING 222
REPORTING OF ACCIDENTS AND INCIDENTS AT SEA 222
Statutory reporting duties under Vessel Traffic Monitoring and Reporting Requirements
Regulations 222
Standard Reporting Requirements (MGN 242) 223
SALVAGE 224
Types of salvage 224
International salvage law 224
Actions when in peril 224
Considerations before accepting salvage assistance 225
Considerations before offering salvage assistance 225
Lloyd’s Open Form (LOF) 226
Completion of salvage services 227
Special compensation 227
SCOPIC Clause 227
Record-keeping in salvage incidents 228
Salvage security 228
Assessment o f salvage reward 228
UK government intervention powers 229
Intervention powers of other States 230
PLACE OF REFUGE 230
PORT OF REFUGE DECISIONS and GENERAL AVERAGE EXPENDITURE 230
U S E O FV TS 231
PORT ARRIVAL PREPARATIONS 231
Statutory notifications prior to arrival at UK ports and terminals: overview 231
Pre-arrival notification (PAN) 232
Dangerous or polluting goods (’hazmat”) notification 232
Ship’s waste notification 233
Paris MoU region pre-arrival notifications 234
Other pre-arrival notifications 234
General arrival preparations 234
Harbour towage preparations 235
Documents to have ready for arrival 235
Ship and port security preparations 235
Preparations for customs clearance 237
Preparations for health clearance 237
Preparations for border control officials 238
Preparations for agent 238
Preparations for cargo operations 238
Ballast water management 238
EU ban on single-hull tankers carrying heavy grades of oil 240
Measures to be taken in event of exceptionally bad weather or sea conditions in
xviii THE SHIPMASTER’S BUSINESS SELF-EXAMINER

UK waters 240

Section I: In Port 241

AIS OPERATION IN PORT 241
PILOTAGE 241
Pilot transfer arrangements 241
Pilot access control 241
Pilotage infonnation 242
Pilotage law 242
UK pilot’s duty to report ship’s deficiencies 243
HARBOUR TOWAGE 243
BERTHING 244
CUSTOMS, HEALTH and BORDER CONTROL PROCEDURES (ARRIVAL) 244
UK Customs report and inwards clearance 244
Health clearance 245
Ship sanitation certification 246
Detention of arriving ship for health masons 246
Fumigation in port 246
Border control 246
SHIP’S AGENT 246
TAKING OVER and HANDING OVER COMMAND 247
REPORTING WRECK 248
CONSULAR BUSINESS and PROTESTS 248
Consular business 248
Protests (“sea protests’) 249
Letters of protest 250
PORT STATE CONTROL 250
Flag State control and port State control 250
Regional port State control agreements 251
Pans MOU 251
Pans MOU New Inspection Regime 252
Pans MOU inspection types and procedure 253
Pans MOU notifications 255
Access refusal 255
Inspection report 255
Restrictions on inspection o f ship security documentation by foreign governments 255
Equasis 256
BUNKERING 256
AIR POLLUTION PREVENTION 258
Volatile Organic Compounds (VOCs) 258
Sulphur at berth in EU ports 258
DISPOSAL OF WASTE 258
PERSONNEL BUSINESS 259
Master’s discretion for ship safety and security 259
Visitors to ship 259
Watchkeeping in port 259
Insufficient LSA for all personnel 260
STOWAWAYS 260
LAY-UP 260
DRYDOCKING 261
GENERAL AVERAGE 261
Purpose and principle of general average 261
Rules for adjustment of general average 262
Declaration of general average 263
General average security 263
Deck cargo and general average 264
Master’s general average procedure at port of refuge 264
PASSENGERS 264
Passenger counting and registration 264
Practice passenger musters 265
Emergency information for passengers 265
THE SHIPMASTER’S BUSINESS SELF-EXAMINER xix

Keeping order in passenger ships 265

CUSTOMS PROCEDURES (DEPARTURE) 266
Outward clearance 266
Light dues 266
PREPARATIONS FOR SEA 267
General preparations 267
Steering gear test and drill requirements 267
Load line law requirements 267
Dangerous or polluting goods (“hazmat") notifications 268
Measures to be taken in event of exceptionally bad weather or sea conditions
in UK waters 270

Appendix
WEBSITES LISTED IN THE TEXT 271

Index 273

Index of M Notices 287

 ,
XX THE SHIPMASTER S BUSINESS SELF-EXAMINER
- . *--

.

Section A: Maritime Treaty Instruments_____________________
IMO and TREATY INSTRUMENTS: GENERAL
International Maritime Organization (11VO)
A l. What is the IM O?
A2. What are the different types o f legal
instrum ent that IM O develops?
IMO conventions
A3. What is a convention, an d how m any
IM O conventions are there?
A4. What a re the c h ie f IM O conventions in
fo rc e ?
AS. What is a P arty State o r C ontracting
State?
A 6. Is every IM O M em ber State a P arty to
the m ajor IM O conventions?
A 7. When does an IM O convention enter
into fo rc e ?
AS. H ave an y IM O conventions been
a d o p ted but have not e n tered into fo rc e?
A 9. H ow are the requirem ents o f
international m aritim e conventions such as
SO LAS a n d MARPOL g iven legal effect in the
UK?
A 10. By what procedu res can am endm ents to
IM O conventions en ter into fo rc e ?
A ll. What is the tacit acceptan ce
procedu re?
A 12. U nder som e IM O conventions, such as
S O U S , M ARPOL a n d LOADL1NE, certain
sh ips are excepted w hile others m ay be
exem pted. What is the difference betw een an
exception a n d an exem ption?
< A 13. H ow does IM O try to a v o id the
p o ssib ility o f m isunderstandings o f the text o f
| certain convention regulation s?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
1
The International Maritime Organization, a specialised agency o f the United
Nations which is responsible for measures to improve the safety and security o f
international shipping and to prevent marine pollution from ships. It is also
involved in legal mattersf including liability and compensation issues and the
facilitation o f international maritime traffic IMO has (at 31 Decem ber 2010)
169 Member States Website: w w w .im o.ora
{1) Conventions; (2) protocols; (3) recom mendations, codes and guidelines;
and (4) resolutions. (For questions on a ll o f these, se e below .)
/
A written international treaty, m ade between two or more nation States, which
is binding in international law. More than 30 conventions have been agreed
between IMO Member States (referred to as IMO conventions).
The International Convention for the Safety o f Life at Sea (SO L A S ) (dealing
with ship safety): the International Convention on Load Lines. 1966 (ships’
freeboards and load lines); the Convention on the International Regulations for
Preventing C ollisions at Sea (COLREG): the International Convention on
Standards o f Training, Certification and W atchkeeninc (STCW ): the
International Convention for the Prevention o f Pollution from Ships
(M ARPOL): and the International Convention on Tonnage Measurement o f
Ships, 1969.
A country which has ratified or accepted a major IMO instrument such as a
convention or protocol, or an annex to a convention.
No; many States do not, for various reasons, take several years to becom e a
Party to a convention, and som e never do. At 31 Decem ber 2010, for example,
o f the 169 IMO Member States, 19 o f the were not Parties to MARPOL
Annexes I and II, 107 were not Parties to M ARPOL Annex VI, 10 w ere not
Parties to SO LAS 1974 and 16 were not Parties to COLREG.
U sually a specified number o f m onths (often 12 months) after the date on
which at least a specified number o f States with merchant fleets forming not
less than a specified percentage o f the world fleet o f v essels o f 100 GT and
over (e.g. 15 States with 65% o f world shipping) have becom e Parties to the
convention. (Som e conventions have no tonnage requirement.) This method o f
acceptance is called explicit acceptance.
Y es, for exam ple the conventions on hazardous and noxious substances (H NS
1996), wreck removal (NAIRO BI WRC 2007), and ship recycling (HONG
KONG SRC 2009). At 31 Decem ber 2010 the Ballast Water M anagement
Convention (BW M Convention 2004) was close to achieving its entry-into-
force criteria.
Dom estic (i.e. national) legislation is made to im plem ent the convention’s
provisions. For exam ple, Section 224 o f the M erchant Shipping A ct 1995 gives
the force o f law in the U K to the provisions o f the International Salvage
Convention, 1989, w hile the M erchant Shipping (C arriage o f C argoes)
Regulations 1999 implement the requirements o f SO LA S chapter VI, and the
M erchant Shipping (P revention o f O il P ollution) R egulations 1996 give effect
to M ARPOL Annex I. The UK govem m enl then deposits a formal document o f
ratification with IMO stating that the U K consents to be bound by the
convention.
Either: (1) bv explicit acceptance o f the proposed amendments bv a specified
number o f Party States, or by a specified number o f Party States with a
specified percentage o f world gross tonnage; or (2) bv tacit acceptance,
depending on which method is specified in the convention’s articles.
The m odem procedure for bringing into force amendments to an IMO
convention, whereby the amendments w ill enter into force on a particular date
unless, by that date, objections to the amendments are received by IMO from a
specified number o f Parties.
Certain types or classes o f ships, such as warships, troopships and fishing
vessels, may be excepted from the requirements a convention; in other words,
the convention w ill not apply in any way to those ships. Under certain
conditions which w ill be specified in the convention, ships to which it does
apply may be exem pted from all or part o f its requirements. (An Exemption
Certificate w ill usually be issued by the flag State Administration in such a
case.)
B y the use o f Unified Interpretations which are printed alongside the text o f
any problematic regulation. These clarify the m eanings o f terms used and other
matters, e.g. whether an FPSO or FSU is to be considered as a tanker in
2
A 14. H ow can IM O conventions be
enforced?
Other IMO instruments
A 15. What is an IM O protocol, e.g. the
SO LAS P ro to co l o f 1988?
A 16. What is an IM O resolution?
A 17. What a re IM O recom m endations?
A 18. M ust U K sh ips com ply with IM O
recom m endations?
A 19. IM O conventions a n d p rotocols are
binding on P arty States which have ratified
them. What d oes "ratified” mean?
A 20. What a re the differences between
ratification a n d accession in relation to IM O
instrum ents?
A21. M ust a P arty State to an IM O
instrum ent (e.g. SOLAS) com ply exactly with
the instrument?
A22. Why a re som e IM O requirem ents in the
fo rm o f codes, rath er than conventions?
A23. A re a ll IM O codes m andatory?
Gas and chemical tanker codes
A24. Which IM O codes apply to g a s a n d
chem ical tankers?
Formal Safety Assessment
A25. IM O is considering applyin g F orm al
Safety A ssessm ent when m aking rules. What is
Form al Safety A ssessm ent?
MARPOL Annex I, or as an “other platform” along with drilling rigs.
Ideally by flag State control, but where this is ineffective, port State control
may be the only w ay o f ensuring com pliance with conventions. (For questions
on P O R T STATE CONTROL, see Section I.)
An instrument that makes major amendments to a convention. The M ARPOL
Convention o f 1973 was m odified by a 1978 Protocol (hence the name
“M ARPOL 7 3 /7 8 ”). The SO LAS and LOADLINE Conventions were both
amended far introduction o f the Harmonized System o f Survey and
Certification by means o f a 1988 Protocol which entered into force in 2000.
The final docum ent resulting from the agreement b y the IMO A ssem bly or a
main IMO com mittee, e.g. the Maritime Safety Com m ittee (M SC) or Marine
Environment Protection Committee (M EPC), o f som e matter such as an
Amendment or Recomm endation. A ssem bly Resolutions have reference
numbers prefixed by the letter “A ”, such as A .741(18), and are published in
A 4-size books. Resolutions o f IMO com m ittees have reference numbers such
as MSC. 104(73) and M EPC.88(44).
Non-mandatory IMO instruments providing more specific guidelines than
conventions or protocols. They must be agreed at IMO by adoption o f a
Resolution but are not subject to ratification. They provide guidance in framing
national regulations and requirements. Som e IMO Recom m endations are in the
form o f C odes, Guidelines or Recom mended Practices on important matters
not considered suitable for regulation by formal treaty instruments such as
conventions or protocols.
Where UK legislation is made to give effect to a particular Recommendation,
yes.
The forma! expression by a Party State o f its consent to be bound by the
convention or protocol. Ratification generally involves the State having to
make national laws giving effect to the international requirements, and then
depositing with IM O a formal document o f acceptance.
Ratification is required by a specified number o f IMO M ember States in order
to bring an IMO instrument (such as a convention) into force. A ny Member
State w ishing to approve, accept and implement the instrument after its entry
into force, can only accede to it; this is done by depositing a document o f
accession with the Secretary General o f IMO.
N o. A ny Party State may make a Declaration, Reservation or Statement to the
effect that it w ill not be bound by som e part or other o f it. These Declarations,
Reservations and Statements are attached to the official text o f the instrument
when it is published, e.g. in the MARPOL book.
Codes generally contain technical requirements that are too lengthy or com plex
to be incorporated in a convention. A code is also relatively easy to amend.
Som e codes, such as the ISM Code, ISPS Code, IMDG Code, and the IBC
Code and IGC C odes, are made mandatory for States by a regulation o f a
“parent” convention. Others, such as the Code o f Practice for the Safe Loading
and Unloading o f Bulk Carriers (BLU Code), Code o f Safe Practice for Cargo
Stowage and Securing (C SS Code) and Code o f Safe Practice for Ships
Carrying Timber D eck Cargoes (TDC Code), are recommended by IMO to
national governm ents for adoption and for forming the basis o f national
legislation. One o f these recommendatory codes, the Code o f Safe Practice for
Solid Bulk Cargoes (BC Code) was superseded by the mandatory International
Maritime Solid Bulk Cargoes (IM SBC ) Code on 1 January 2011.
The Code for E xisting Ships Carrying Liquefied G ases in Bulk (the GC Code
for Existing Ships) applies to gas carriers alreadv in service at 31 December
1976. The Code for the Construction and Equipment o f Ships Carrying
Liquefied G ases in Bulk (the GC Code) applies to gas carriers built after 31
December 1976 but before 1 July 1986. The International Code for the
Construction and Equipment o f Ships Carrying Liquefied G ases in Bulk (the
IGC Code) applies to gas carriers built on or after 1 Julv 1986. The Code for
the Construction and Equipment o f Ships Carrying Dangerous Chemicals in
Bulk (BCH Code) applies to chemical tankers built before 1 Julv 1986. The
International Code for the Construction and Equipment o f Ships Carrying
Dangerous Chem icals in Bulk (IBC Code) applies to chemical tankers built on
or after 1 July 1986.
A rational and systematic process for assessing the risks associated with any
sphere o f activity, and for evaluating the costs and benefits o f different options
for reducing those risks. It therefore enables an objective assessm ent to be
made o f the need for, and the content of, safety regulations.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
 3
A26. What is involved in F orm al Safety Five steps: (1) Identification o f hazards (a list o f all relevant accident scenarios
A ssessm ent? with potential causes and outcom es); (2) assessm ent o f risks (evaluation o f risk
factors such as training, management, the human elem ent, design,
communication, maintenance); (3) risk control options (deriving regulatory
measures to control and reduce the identified risks); (4) cost benefit assessm ent
(determining cost effectiveness o f each risk control option); and (5)
recommendations for decision-m aking (information about the hazards, their
associated risks and the cost effectiveness o f alternative risk control options is
provided).

SOLAS CONVENTION
Application o f SOLAS to ships
A27. To which sh ips d oes the SOLAS
C onvention a pply?
A28. Which sh ips are g enerally excepted
fro m the SO LAS C on ven tion ’s provision s?
A29. To which sh ips does regulation 19 o f
SOLAS chapter V (C arriage requirem ents f o r
shipborne n avigational system s a n d equipm ent)
not a pply under U K law ?
SOLAS chapters
A 30. What su bjects do the chapters o f
t SOLAS d e a l with?
1 A31. Which chapters o f SO LAS have m ost
recently h a d m ajor revision s o r are new?
I A32. Which chapters o f SO LAS are
publish ed on the M CA's w ebsite?
SOLAS-related codes
I A3 3. What a re som e o f the codes that have
been a d o p ted under SO LAS chapters?
CL
r ' ^ " ■ ■- -
Broadly, ships flying flags o f Party States, when on international voyages.
Each chapter (I to XII) defines the ships to which that chapter applies.
Application may depend on type o f ship (e.g. chapter X - High Speed Craft), or
date o f build (e.g. chapter II-l - Construction - subdivision and stability,
machinery and elec trical installations), area o f operation (e.g. chapter V -
Safety o f navigation), tonnage (e.g. chapter IV - Radiocommunications) or
cargoes (e.g. chapter VI - Carriage o f cargoes and oil fuels). Each chapter m ay i
also exem pt certain ships from the chapter’s requirements.
U nless specifically provided otherwise in SO LAS chapters or regulations: (1)
ships o f war and troopships; (2) cargo ships o f less than 500 GT; (3) ships not
propelled by mechanical means; (4) w ooden ships o f primitive build; (5)
pleasure yachts not engaged in trade; and (6) fishing vessels.
B y virtue o f regulation 4(4) o f the M S (Safety o f N avigation) R egulations 2002:
U K ships o f C lass V; U K ships which are neither passenger ships nor sea­
going; new ships o f Class A , B, C or D; fishing vessels; and high-speed craft to
which the MS (H igh-Speed Craft) Regulations 1996 apply.
■
Chapter I: General provisions; chapter I I - l : Construction - Subdivision and
stability, machinery and electrical installations: chapter II-2: Construction -
Fire protection, fire detection and fire extinction: chapter III: Life-savine
appliances and arrangements; chapter IV: Radiocommunications: chapter V:
Safety o f navigation: chapter VI: Carriage o f cargoes and oil fuels: chapter VII:
Carriage o f dangerous goods: chapter VIII: Nuclear ships: chapter IX:
M anagement for the safe operation o f ships: chapter X: Safetv measures for
high-speed craft: chapter X I-1 : Special measures to enhance maritime safetv:
chapter XI-2: Special measures to enhance maritime security; chapter XII:
Additional Safety M easures for Bulk Carriers.
Chapter II-2 and chapter V had major revisions in 2002. Chapter XI-2 was
added in 2002 in the wake o f the September 2001 terrorist attacks in the U SA .
The revised Chapter II-2 and the revised chapter V (effective 1 July 2002),
together with the M C A ’s guidance on their implementation.
1 . :i
International Code for Fire Safety System s (FSS Code) and the International
Code for Application o f Fire Test Procedures (FTP Code) (under chapter II-2);
International Life Saving Appliance Code (LSA C ode) (under chapter III);
Code o f Safe Practice for Cargo Stow age and Securing (C SS Code) (under
chapter VI); Code o f Safe Practice for Ships Carrying Timber D eck Cargoes
(TDC Code) (under chapter VI); International Maritime Solid Bulk Cargoes
Code (IM SBC C ode) (under chapter VI); International Maritime Dangerous
G oods Code (IM DG Code) (under chapter VII); Code o f Safety for Nuclear
Merchant Ships (under chapter VIII); International Safety M anagement Code
(ISM Code) (under chapter IX); H igh-Speed Craft Code (H SC Code) (under
chapter X); and International Ship and Port Facility Security Code (ISPS Code)
(under chapter X I-2).

(Si

System (GMDSS) For questions on radio person nel certification,

O

s e e Section E
{

1 A 34. What is the GMDSS, essentially? A world-wide netw ork o f automated em ergency com m unications for ships at
sea.
1 A3 5. What is the basic con cept o f the That SA R authorities ashore as w ell as shipping in the immediate vicinity o f a
: :• '■toss? ship in distress will be rapidly alerted through satellite and digital selective
calling equipment so that they can assist in a co-ordinated SA R operation with
the minimum o f delay.
1 <36. What a re the m ain system s in the (1) C O SPA S-SA R SA T, an international satellite-based search-and-rescue
I GM DSS? system which uses polar-orbiting satellites to transmit to rescue’ co-ordination
centres a vessel’s identification and accurate location from anywhere in the
world; (2) Inmarsat (the International M obile Satellite Organization), which
provides distress m essage facilities on the L band and transmits the SafetyNET

' - = SHIPMASTER’S BUSINESS SELF-EXAMINER

4
A3 7. What a re the four G M D SS se a a reas?
A38. What is G M DSS Sea A rea A I ?
A39. What is G M DSS Sea A rea A 2?
A40. What is G M D SS Sea A rea A3?
A41. What is G M D SS Sea A rea A 4?
A42. To which ships does the G M DSS apply?
A43. D oes G M DSS a pply to sh ips on
dom estic (i.e. non-international) voyages?
A44. H as the U K extended application o f
GM DSS to sh ips on dom estic voyages?
service, a satellite-based world-wide maritime safety information broadcast o f
high seas weather warnings; (3) Digital Selective Calling (D SC ) on VHF, MF
and HF radio channels, which speeds distress and general radiotelephone calls
to and from shore and other ships; and (4) N A V TEX , an international
automated system for distributing maritime navigational warnings, weather
information and warnings, and search-and-rescue information to ships
automatically.
Sea Areas A 1 , A 2, A3 and A4.
An area within the radiotelephone coverage o f at least one VHF coast station in
which continuous DSC alerting is available, as may be defined by a
Contracting Government.
An area, excluding Sea Area A 1 , within the radiotelephone coverage o f at least
one MF coast station in which continuous DSC alerting is available, as m ay be
defined by a Contracting Government.
An area, excluding Sea Areas A1 and A2, within the coverage o f an
IN M A RSA T geostationary satellite in which continuous alerting is available.
An area outside Sea Areas A 1, A2 and A3.
A ll ships covered by SO LAS chapter IV, i.e. all cargo ships o f 300 GT and
above and all passenger ships (o f any tonnage), when on international voyages.
Under SOLAS, no, since SO LAS chapter IV does not apply to ships on non-
international voyages. However, an individual Party State may pass legislation
to extend application o f the G M D SS requirements to non-SO LAS ships.
Yes, by the M S (Radio Installations) Regulations 1992. This ensures that most
non-SO LAS ships on U K coastal voyages are covered by the GM DSS.

y
MARPOL CONVENTION
Application o f MARPOL to ships ' ■ . . ....

A45. To which sh ips d o es the M ARPOL Broadly, ships flying flags o f States which are Parties to M ARPOL, and ships
Convention apply? not entitled to fly the flag o f a Party State but operating under the authority o f a
Party State. Each Annex defines which ships the Annex specifically applies to,
e.g. Annex II applies to all ships carrying noxious liquid substances in bulk.
A 46. Which ships a re gen erally excepted (1) Warships; (2) naval auxiliaries; and (3) other ships owned or operated by a
fro m the MARPOL C onvention's provision s? State being used on government non-commercial service. (These ships are
required, however, to com ply with MARPOL so far as possible.)
MARPOL annexes
A47. What types o f pollu tion are c o vered by Annex i: Oil; Annex II: N oxious Liquid Substances in Bulk; Annex III:
M ARPOL's annexes? Harmful Substances in Packaged Form; Annex IV: Sew age from Ships; Annex
V: Garbage from Ships; and Annex VI: Air Pollution from Ships.
A48. To which ships do es MARPOL Annex I Generally, to all ships. However, the survey and certification regulations o f
apply? M ARPOL Annex I only apply to tankers o f 150 GT and above and every other
ship o f 4 0 0 GT and above.
A49. To which ships does MARPOL Annex II Generally, to all ships carrying noxious liquid substances in bulk, which
apply? includes chem ical tankers, som e product tankers, m ost offshore supply vessels
(which carry drilling fluids) and some other cargo ships, such as those with
deep tanks.
A50. Which re v ised annexes o f MARPOL Revised Annexes I and II.
en tered into fo rc e on 1 January 2007?
AS I. To which ships do es MA RPOL A nnex Generally, to all ships carrying harmful substances in packaged form, i.e. those
III apply? substances identified in the IMDG Code as marine pollutants being carried in
the forms o f containment covered by the IMDG Code. M ost container ships,
ro-ro ferries and general cargo ships carry such substances.
A 52. To which sh ips d o es M ARPOL Annex N ew and existing ships, engaged in international voyages, o f 4 0 0 GT and
IV (as revised) apply? above or w hich are certified to carry more than 15 persons.
A53. Since what d ate has the revised Since 27 September 2008.
MARPOL Annex IV a p p lie d to a ll ships?
A54. To which ships d o e s MARPOL Annex V Generally , to all ships. (W hile the garbage disposal provisions apply to ships o f
apply? any tonnage, a Garbage Record B ook and garbage management plan are only
required on ships o f 400 GT and above, and every ship certified to carry 15
persons or more.)
ASS. M ARPOL Annex VI has been revised. The revised Annex VI entered into force on 1 July 2010. It applies to all ships,
From what date does the re v ised Annex VI Rxr.ept where expressly provided otherwise in certain regulations. The survey,
apply, a n d to what ships a n d platform s does it certification and means o f control reauirements o f Chapter II o f the revised
apply? Annex VI apply to ships o f 400 GT or above and every fixed and floating
drilling rig and other platforms.
Special Areas. Particulartv Sensitive Sea Areas and Emission Control Areas
A 56. What is a Special A rea? A special area is defined in M ARPOL Annexes I and V as: “A sea area where
for recognized technical reasons in relation to its oceanographical and
ecological condition and to the particular character o f its traffic the adoption o f

THE SHIPMASTER’S BUSINESS SELF-EXAMINER


A 57. Why have som e Special A reas been
adopted, but have not com e into effect?
A58. What is a P articularly Sensitive Sea
A rea (PSSA)?
A59. Which a rea s have been d esign ated as
P articularly Sensitive Sea A rea s by IM O?
A 60. D oes the re v ised M ARPOL Annex VI
designate any SOx Em ission C ontrol A reas?
A 6I. What is an Em ission C ontrol A rea?
■ A62. What do regulations 13 a n d 14 o f the
1 revised MARPOL Annex VI concern?
\ A63. Which a reas have been design ated as
Emission C ontrol A reas (ECAs) in the re v ised
MARPOL Annex VI?
N O x T e c h n ic s ! C o d e
i .464. Which IM O C ode is m andatory under
MARPOL Annex VI?
LOADLINE CONVENTION See also INTERNATIONAL end UK LOAD LINE CERTIFICATES in Section O
465. To which ships does the LOADLINE
Convention apply?
4 66. Which sh ips are excepted fro m the
LOADLINE Convention's provisions?
j .467. Can a n y sh ips be exem pted fro m the
1 LOADLINE C on ven tion ’s provisions?
.4 68. What m ajor m odification to the
I LOADLINE Convention, concerning surveys
[ an d certification, cam e into fo r c e in F ebruary
I 2000?
1 .469. Which M N otice contains the technical
j requirements o f the M S (L oad Line)
1 Regulations 1998, as am ended, a n d w hat are
1 the contents o f its Schedules?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
5
special mandatory m ethods for the prevention o f sea pollution by oil is
required ” This basically means an environm entally-sensitive sea area in which
spepial restrictions are imposed on discharges o f pollutants from ships.
Designation o f waters as a special area represents international recognition that
they deserve special protection from pollution from ships. (For questions on
discharges in Annex I a n d Annex V Special Areas, se e Section H .)'
Because o f lack o f notifications to IM O from M ARPOL Parties w hose
coastlines border the relevant sea areas on the existence o f adequate reception
facilities, as required by Annex I regulation 38.6 and Annex V regulation 5(4).
An area that needs special protection through action by IMO because o f its
significance for recognized ecological, socio-econom ic, or scientific reasons
and because it may be vulnerable to damage by international shipping
activities. Specific additional measures can be used in a P SSA to control
maritime activities in the area, such as routeing measures, a mandatory ship
reporting system and vessel traffic services (VTS).
The Great Barrier R eef, Australia (designated in 1990); the Sabana-Camaguey
Archipelago, Cuba (1997); M alpelo Island, Colom bia (2002); the sea around
the Florida K eys, U SA (2002); W adden Sea, Denmark, Germany, and
Netherlands (2002); Paracas National Reserve, Peru (2003); Western European
Waters (2004); Extension o f the existing Great Barrier R e e f P S S A to include
the Torres Strait (2005); Canary Islands, Spain (2005); the Galapagos
Archipelago, Ecuador (2005); the Baltic Sea area, Denmark, Estonia, Finland,
Germany, Latvia, Lithuania, Poland and Sweden (2005); and the
Papahanaumokuakea Marine National M onument, United States(2007).
N o. The term S O , Em ission Control Area does not feature in the revised
Annex V I which entered into force on 1 Julv 2010. Instead. E m ission Control
Areas are defined.
An area where the adoption o f special mandatory measures for em issions from
ships is required to prevent, reduce and control air pollution from N O , or SO .
and oarticulate matter or all three tvpes o f em issions and their attendant
adverse impacts on human health and the environment. Em ission Control
Areas shall include those listed in, or designated under, regulations 13 and 14
o f the revised M ARPOL Annex VI.
Regulation 13 concerns Nitrogen O xides (N O x). Regulation 14 concerns
Sulphur O xides (S O ,) and Particulate Matter.
The Baltic Sea area fas defined in M ARPOL Annex 11 and the North Sea area
(as defined in M ARPOL Annex V ) are designated as ECAs for SO , and
Particulate Matter. A new North American ECA for N O v. SO , and Particulate
Matter w as adopted by IMO in March 2010. Regulations implementing the
North American ECA are expected to enter into force in August 2011, with the
ECA becom ing effective from August 2012.
The Technical Code on Control o f Em ission o f Nitrogen O xide from Marine
D iesel Engines, com m only called the N O , Technical Code. M GN 142 deals
with application o f the Code to diesel engines built or m odified on or after I
January 2000. The revised N O x Technical Code 2008 is mandatory under the
revised A nnex M ARPOL VI.
Ships o f Party States on international voyages, unless they are excepted. (Note:
“excepted” means that the Convention docs not apply to those ships.)
(1) Ships o f war; (2) ships o f under 24m (79ft) length; (3) ships under 150 GT;
(4) pleasure yachts not engaged in trade; and (5) fishing vessels. The
Convention does not apply to ships solely navigating the Great Lakes and most
o f the River St La wrence, the Caspian Sea, or the Plate, Parana and Uruguay
rivers.
Y es. Certain exem ptions may be obtained from the flag State Administration,
e.g. for a ship normally trading on dom estic voyages for international voyages
between two close States, or for a o n e-o ff international voyage, or for a ship
with novel features (e.g. undergoing research).
The Harmonized System o f Survey and Certification (H SSC ), which was
introduced under the 1988 Protocol to the LO ADLINE Convention. (For
questions on this, see STATUTORY SURVEYS A N D CERTIFICATION in
Section D .)
M SN 1752. It contains 8 schedules, as follow s: Schedule 1: Appropriate Load
Lines and Seasonal Zones, Areas and Periods; Schedule 2: Conditions o f
Assignm ent; Schedule 3: Record o f Particulars Relating to Conditions o f
Assignm ent; Schedule 4: Freeboards; Schedule 5: Freeboard Tables; Schedule
6: Stability; Schedule 7: Draft o f Water and Freeboard N otice (formerly
6
A 70. What IM O code, dealing with intact
stability, m ust certain sh ips com ply with?
COLREG CONVENTION
A 7 I. To which ships does the COLREG
Convention (and its annexed International
C ollision R egulations) apply?
A 72. What is the p ro p e r nam e o f the
C ollision Regulations o r C ollision A voidance
Rules?
A 73. A re any IM O M em ber S tates not
P arties to the COLREG Convention?
A 74. Which M N otice contains the text o f the
International R egulations f o r Preventing
Collisions a t Sea, 1972, a s am ended?
STCW CONVENTION
A 75. What is STCW ?
A76. What is ST C W 95?
A 77. What a re the prin cip a l regulations that
im plem ent ST C W 95 in the UK?
A 78. What is the IM O White List?
A79. What d oes S T C W 95 require with
re g a rd to certificate revalidation a n d
p e rio d ic a l “m edicals "?
A80. What does ST C W 9 5 require with
re g a rd to sh ipboardfam iliarisation ?
A 81. With re g a rd to fam iliarisation , what
m ust the Com pany p ro v id e to the m aster o f
each ship?
A82. What are the requirem ents o f ST C W 95
concerning carriage o f seafarer docum ents on
b o a rd ship?
A83. What are the requirem ents o f ST C W 95
concerning recognition o f seafarer certificates
issu ed by a State other than the fla g State?
STCW Code
A84. What docum ent contains the technical
requirem ents o f ST C W 95?
A 85. H ow is the S T C W C ode arranged?
A 86. What are the su bjects o f the various
chapters o f the S T C W C ode?
A87. Which chapter o f the S T C W C ode
contains stan dards regardin g the m aster an d
deck departm ent?
A 88. Which chapter o f the ST C W C ode
contains standards regarding the engine
departm ent?
A89. Which ch apter o f the S T C W C ode
contains S tandards R egarding W atchkeeping?
FRE13; now M SF 2004); Schedule 8: United Kingdom Load Line Certificates.
The International Code on Intact Stability, 2008, also called the 2008 IS Code,
Part A o f which is mandatory for ships constructed on or after 1 July 2010.
All vessels (o f Party States) upon the high seas and in all waters connected
therewith navigable by seagoing vessels.
The International Regulations for Preventing C ollisions at Sea, 1972, as
amended.
Yes. At 31 December 2010, 16 o f the IMO Member States (including Costa
Rica and Philippines) were not Party to COLREG.
M SN 1781. A correction is contained in M SN 1781 (Corrigendum).
The International Convention on Standards o f Training, Certification and
W atchkeeping for Seafarers, 1978.
The 1995 Amendments to the Annex to the STCW Convention.
The M S (Training a n d C ertification) Regulations 1997 and the MS (Safe
Manning, H ours o f Work an d Watchkeeping) Regulations 1997.
A list o f countries considered by IMO to be conducting their maritime training
and certification in accordance with the requirements o f STCW 95.
Every master, officer and radio operator must meet the fitness standards and
revalidate his certificate at intervals o f not more than 5 years after show ing
proof o f refresher training in certain areas.
Seafarers on being assigned to any o f the Com pany’s ships must be
familiarised with their specific duties and with all ship arrangements,
installations, equipment procedures and ship characteristics that are relevant to
their routine or em ergency duties.
Written instructions setting forth the policies and procedures to be follow ed to
ensure that all seafarers who are new ly em ployed on board the ship are given a
reasonable opportunity to becom e familiar with the shipboard equipment,
operating procedures and other arrangements needed for the proper
performance o f their duties, before being assigned to those duties.
Regulation 1/2 provides that, subject to certain provisions (relating to service
without the flag State’s endorsement o f its recognition o f another State’s
certificate), any certificate required by the Convention must be kept available
in its original form on board the ship on which the holder is serving.
Regulation 1/10 contains provisions for the recognition o f a certificate issued to
a master, officer or radio operator by or under the authority o f another STCW
Party. The endorsement may be on the certificate or may be issued as a
separate document by the flag State.
The STCW Code (properly called the Seafarers’ Training, Certification and
W atchkeeping Code).
In two parts: A and B. Part A is mandatory and contains the minimum
standards for seafarers. Part B contains guidance on implementation o f the
STCW Convention. The articles and regulations o f the STCW Convention are
also in the lo o se-lea f publication that contains the Code.
Chapter I: Standards regarding general provisions; Chapter II: Standards
regarding the master and deck department; Chapter III: Standards regarding the
engine department: Chapter IV: Standards reaarding radio personnel: Chapter
V: Standards regarding special requirements for personnel on certain types o f
ships: Chapter VI: Standards regarding emergency, occupational safety,
medical care and survival functions: Chapter VII: Standards regarding
alternative certification; and Chapter VIII: Standards regarding watchkeeping.
Chapter II. This relates to STCW regulation II as w ell as Sections A-II and B-II
o f the STCW Code.
Chapter III. This relates to STCW regulation III as well as Sections A-III and
B-III o f the STCW Code.
Chapter VIII.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
 7
A 90. What is the su bject o f Section A - VIII/1 Fitness for duty. (The provisions are mandatory.)
o f the S T C W C ode?
A 9 1. What is the su bject o f Section B- VIII/1 Guidance regarding fitness for duty. (The provisions are non-mandatory.)
o f the S T C W C ode?

A 92. What is the su bject o f Section A-VIII/2 W atchkeeping arrangements and principles to be observed. This is divided into
o f the S T C W C ode? the follow ing parts: Part 1: Certification, Part 2: V oyage planning. Part 3:
W atchkeeping at sea. Part 4: W atchkeeping in port.
A 93. A re the requirem ents f o r minimum rest N o. U K ships must com ply with The M erchant Shipping (H ours o f Work)
in Section A-VIII/2 o f the ST C W C ode Regulations 2002, which im plem ent the hours o f work and rest requirements o f
applicable in U K ships? ILO Convention 180, as required by an EU Directive on the organisation o f
seafarers’ working time. (F or questions see H O U R S O F W ORK in Section E.)

IMO ACTION DATES

A 94. Where can dates be fo u n d o f the entry On the IMO w ebsite (w w w .im o.ore). Thev can be accessed bv clicking on
into fo r c e o f new IM O instrum ents as w ell a s “About IM O”, then “Conventions”, then “A ction Dates”.
am endm ents to existing IM O instrum ents?

UNCLOS For questions on zones of coastal State jurisdiction, see Section H

A 95. What is UNCLOS? The United N ations Convention on the Law o f the Sea, a treaty document
which attempts to codify the international law o f the sea. It cam e into force on
16 N ovem ber 1994. At 31 December 2010, 161 States were parties to. it.
A96. What are the m ain provision s o f UN CLO S sets the maximum width o f a State’s territorial sea at 12 nautical
I UNCLOS that concern a s h ip ’s m aster a n d m iles, with a contiguous zone at 24 nautical m iles from the baseline. It defines
I officers? innocent passage through the territorial sea and defines transit passage through
international straits. It defines archipelagic States and allow s for passage
through archipelagic waters. It establishes exclusive econom ic zones (EEZs)
extending to 200 nautical m iles from baselines. It defines the continental sh elf
and extends jurisdiction over the resources o f the sh elf beyond 200 m iles
where appropriate. It also defines the legal status o f the high seas, defines
piracy, and estab lishes regulations for the control o f marine pollution.
I A 97. Where can States which a re in dispute To competent courts which include the Law o f the Sea Tribunal fin Hamburg.
I about their interpretation o f UN CLO S take Germany) or the International Court o f Justice ("in The Hague. Netherlands).
| their argum ents?

[OTHER INTERNATIONAL TREATIES AND RULES CONCERNING SHIPPING

United Nations agencies
1 A98. Which U n ited Nations agencies other
I than IM O m ake conventions that concern
I m erchant ships?
ILO conventions
I A99. What is the ILO?
■ A 100. H ow does ILO achieve its aim o f
I raising w orkers ’ standards?
1 A tO l. What is the legal status o f ILO
■ conventions?
I .4102. What kind o f m atters a re ILO
1 conventions concerned w ith in relation to
I seafarers?
1 A 103. What are the su bjects o f som e ILO
■ conventions concerning seafarers?
I A 104. What is the difference between ILO 178
1 j h J IL O 180?
( I ) The International Labour Organization (TLO). which administers ILO
conventions: (2) the International Telecom m unications Union (TTU). which
administers the International Radio Regulations; and (3) the World Health
Organization (W H O), which administers the International Health Regulations.
-
The International Labour Organization, a specialised agency o f the United
Nations that seeks the promotion o f social justice and internationally
recognised human and labour rights. Its members are 183 States w hich are
represented at International Labour Conferences by two government delegates,
a worker delegate and an em ployer delegate. Its main aim is to raise standards
for workers ( o f all kinds) internationally. W ebsite: w w w .ilo.orc
Through numerous conventions and recommendations, more than 30 o f which
are directly concerned with seafarers.
They are not law in any M em ber State unless first ratified by incorporation into
the national law through dom estic legislation. They are binding on every State
which ratifies them.
Seafarers’ health, safety and welfare, m ostly. Convention 180, for example,
relates to hours o f work and manning o f ships. Convention 68 concerns food
and catering and Convention 69 concerns certification o f ships’ cooks.
Hours o f work, repatriation, social security, sickness insurance, pensions,
sickness benefit, annual leave with pay, redundancy, medical examination,
articles o f agreement, seafarers’ identity documents.
ILO Convention 178 is the Labour Inspection (Seafarers) Convention, 1996,
which requires a M ember State to have a system o f inspection o f seafarers’
working and living conditions. ILO Convention 180 is the Seafarers Hours o f
Work and M anning o f Ships Convention, 1996, the requirements o f which are. s
checked during ILO 178 inspections by M CA surveyors. (F or questions on ~ \
MCA inspections o f se a fa re rs' w orking a n d living conditions, see Section E.)

rHE SHIPMASTER’S BUSINESS SELF-EXAMINER

8
A 105. Which im portant ILO Convention is
c a lle d the Minimum Standards Convention an d
w hat d oes it require?
A I 06. What is the M aritim e L abour
Convention, 2006?
A 107. When w ill the M aritime L abour
Convention, 2006 enter into fo rc e?
A 108. What sh ip 's docum ents m ust be issu ed
under the M aritim e L abour Convention, 2006
after it enters into fo rc e ?
A 109. Where can the MCA ’s guidan ce on the
M aritim e L abour Convention, 2006 be found?
International Health Regulations
A110. Which U nited N ations agency
adm inisters the International Health
Regulations?
A l l l . What is the current edition o f the
International Health Regulations?
A 112. Why w ere International H ealth
R egulations (1969) re p la ced with IHR (2005)?
A l i i . What are the prin cip a l a rticles o f IHR
(2005) that pa rticu la rly concern ships and
seafarers?
A 114. What a re the m ain changes under IHR
(2005) that affect sh ips a n d shipm asters?
i
1
■•a
is
I
!
1
A 115. What a re the International Radio
Regulations (som etim es c a lle d the IT U R adio
Regulations)?
A 1 16. What is the ITU?
Carriage o f goods bv sea rules
A I17. What are the c h ie f international
agreem ents regulating the carriage o f cargo
under bill o f ladin g term s?
A 118. What new convention, intended to
replace the Hague, H ague- Visby a n d H am burg
Rules, w as a d o p ted in 2 0 0 8 by the U n ited
N ations?
York-Antwerp Rules For more Questions on the Rules, see GENERAL AVERAGE in Section G
A119. Which internationally ag reed rules
regulate the adjustm ent o f gen eral a verage?
A 120. Which organisation produ ces an d
adm inisters the York-Antwerp Rules?
Athens Convention
A I21. Which international convention
regulates the international carriage o f
passen gers a n d their luggage by sea?
ILO Convention 147. It requires ratifying States to have: (1) regulations laying
down for ships registered in their territory; (2) safety standards, including
standards o f com petency, hours o f work and manning; (3) appropriate social
security measures; (4) shipboard conditions o f em ploym ent and living
arrangements where these are not already provided for by collective
agreements or courts.
An ILO convention which consolidates in one document up-to-date standards
o f various older ILO maritime conventions. It sets minimum requirements for
seafarers to work on a ship and contains provisions on conditions o f
em ploym ent, hours o f work and rest, accomm odation, recreational facilities,
food and catering, health protection, medical care, welfare and social security
protection.
12 months after the date on which it has been ratified by at least 30 ILO
Members with a total o f at least 33 per cent o f world gross tonnage. (A t 31 \ j ,
Decem ber 2010 the MLC had been ratified by only 11 States, but had achieved
its gross tonnage requirement. It w as expected to enter into force in 2012.)
Ships o f 500 GT or more on international voyages, or o f 500 GT or over, flying
the flag o f ari ILO Member and operating from a port, or between ports, in
another country, must carrv a Maritime Labour Certificate, com plem ented by a
Declaration o f Labour Compliance.
On the M CA w ebsite under Working at Sea/ Health and Safety.
See also Health clearance procedure in Section I
The World Health Organization fW HO). Website: w w w .w ho.int
The International Health Regulations (2005), which came into force on 15 June
2007 and replace the International Health Regulations (1969).
The International Health Regulations (1969) were primarily intended to
monitor and control six serious infectious diseases: cholera, plague, yellow
fever, sm allpox, relapsing fever and typhus. IHR (2005) broaden the scope o f
the 1969 Regulations to cover existing, new and re-em erging diseases,
including em ergencies caused by non-infectious disease agents.
Article 28: Ships and aircraft at points o f entry; Article 36: Certificates o f
vaccination or other prophylaxis; Article 37: Maritime Declaration o f Health;
Article 39: Ship Sanitation Certificates.
(1) Deratting Certificates and Derattiiig Exemption Certificates are replaced by
Ship Sanitation Control Certificates and Ship Sanitation Control Exemption
Certificates (which cover all aspects o f shipboard sanitation, not just rodents).
(2) The Maritime Declaration o f Health has been updated to reflect the broader
scope o f IHR (2005) and now contains nine health questions instead o f the
previous six.
An international agreement for the management o f the radio spectrum and
satellite orbits. The Regulations: are reviewed every two to three years through
a World Radiocom m unications Conference organised by the ITU.
The International Telecom m unication Union, a United Nations agency which
coordinates global use o f the radio spectrum, assigns satellite orbits and
establishes standards for interconnection o f com munications systems
worldwide. Website: ww w.itu.int
The Hague Rules and the H aeue-V isbv Rules are.applied bv m ost countries,
w hile relatively few countries have adopted the Hamburg Rules. (F or Questions
on a ll these rides, see Section F.)
The Rotterdam Rules. (For m ore questions on these see CARRIAGE O F
G O O D S B Y SEA RULES in Section F.)
The York-Antwerp Rules, o f which 1974, 1990 (as amended 1994), and 2004
editions have been produced and are in use.
Like the Hague and H ague-V isby Rules, they are produced and administered
by the Comite Maritime International (CMI).
The Athens Convention Relating to the Carriage o f Passengers and their
Luggage by Sea, 1974, more usually called the Athens Convention.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

A 122. What is the p u rp o se o f the Athens
Convention?
A 123. D oes the A thens Convention have legal
fo r c e in the UK, a n d does it co ver U K dom estic
carriage as w ell a s international carriage?
'- E SHIPMASTER’S BUSINESS SELF-EXAMINER
9
To establish the carrier’s extent o f liability for death or injury to passengers, or
for loss o f or damage to passengers’ luggage.
Y es, it is given legal effect in the U K by the M erchant Shipping A ct 1995, and
its application is extended to cover U K dom estic carriers as w ell as
international earners.
 ! 11

Section B: The Flag State and its Law________ _ _ _ _ _ _______

UK LAW '- .
Types o f UK law
B l. What are the m ain categories o f law in Civil law; criminal law; European Community law; and admiralty law.
the UK that affect shipping an d seafarers?
B2. What is c iv il law con cern ed with? Rights and duties o f individuals and com panies towards each other. Civil law
deals with contracts (including charter parties and em ploym ent contracts) and
torts (such as negligence, pollution damage and collision damage).
B3. H ow is civil law m ade in the UK? M ainly by decisions o f judges in civil courts. (It is also called case law.)
B4. What is crim inal law concerned with? O ffences against the State, punishable by the State by sentences passed in the
criminal courts. M ost UK merchant shipping regulations create criminal
offences for contravention o f their requirements, punishable either on summary
conviction (in a lower court) or on conviction on indictment (in a higher court).
B5. Where o r h ow is U K crim inal law B y primary and secondary legislation o f Parliament. M ost criminal offences
m ade? are set out in Acts and Regulations, including merchant shipping regulations.
B6. What is adm iralty law concerned with, Admiralty law is the law relating to collisions, damage to cargo, salvage,
a n d which courts d e a l w ith it in the UK? maritime liens, and arrest o f ships and cargo. It is made and administered by
judges in courts; that have admiralty jurisdiction. The principal English court
having admiralty jurisdiction is the Admiralty D ivision o f the Q ueen’s Bench,
. part o f the H igh Court in London, usually called the Admiralty Court. Its
judges are specialists, unlike judges in m ost other courts. In Scotland, the Court
o f Session and sheriff courts have admiralty jurisdiction.
B7. What is com m on law? The body o f law w hich is m ostly judge-m ade, as w ell as ancient custom s. It is
based on precedent and is recorded in major legal textbooks (e.g. Scrutton on
C harterparties & B ills o f L ading), but not in Parliamentary statutes.
j B8. What is a preceden t? In com mon law legal system s, a previous decision o f a judge which established
a rule or principle. Judges have to write their legal reasoning for their
decisions, and these must be applied by lower courts when determining cases
having similar issues or facts, and must be taken into account by courts o f the
same rank. ,s *
! B9. What is statute law ? \ The body o f UK law contained in Acts o f Parliament and secondary (or
delegated) legis lation, such as Merchant Shipping regulations.
ypean Community (EC) law
j BIO. What is European Com munity law? Law applied in all EU M ember States by the European Court o f Justice under
the provisions o f various treaties (e.g. the Treaty o f Rom e). It consists chiefly
o f EC Regulations and EC Directives.
\B 1 I . What au th ority does European EC Regulations and EC Directives are binding in the U K (and all other EU
I Com munity law h ave in the UK? Member States). EC Regulations are directly applicable, without the need for
national legislation to implement them, whereas EC Directives have to be
implemented by national legislation; in the U K this is normally by statutory
instrument (SI). If the U K Government fails to im plem ent new EC legislation it
is open to infraction proceedings by the European Com m ission, and may be
fined by the Eu ropean Court o f Justice.
B12. What is an exam ple o f an EC Council Regulation (EC) N o 3051/95 o f 8 December 1995 on the safety
Regulation concerning m erchant shipping o r m anagement o f roll-on/roll-off passenger ferries (ro-ro ferries).
teafarers?
1 BI3. What is an exam ple o f an E C D irective Directive 1999/95/EC o f the European Parliament and o f the Council o f 13
1 concerning m erchant sh ippin g o r seafarers? Decem ber 1999 concerning the enforcem ent o f provisions in respect o f
seafarers' hours o f work on board ships calling at Community ports.
I B14. Where can E C Shipping law be foun d? On the European Community legislation w ebsite at http://eur-lex.europa.eu
under Legislation/ Directory o f Comm unity legislation in force/ 07. Transport
p olicy/ 07.30 Shipping.
I BIS. H ow do E C Regulations an d D irectives EC Regulations and D irectives relate to U K merchant ships and seafarers, and
I affect U K m erchant sh ippin g a n d seafarers? other ships operating in EU waters. They are generally im plemented in the U K
through merchant shipping regulations. For exam ple, Council Directive
1999/63/EC, concerning the Agreement on the organisation o f working time o f
seafarers, is im plem ented through the MS (H ours o f Work) Regulations 2002.
UK legislation
I 316. What is p rim a ry U K legislation? A cts o f Parliament, e.g. the M erchant Shipping A ct 1995, the H ealth a n d Safety
a t Work etc. A ct 1974 and the R ail a n d T ransport Safety A ct 2003.
H ow is an A c t o f Parliam ent passed? It is introduced to Parliament as a B ill, has a series o f “readings” by both
H ouses, goes before a scrutinising Comm ittee, and i f passed is given the Royal
A ssent before entering into force on a specified date.
1 M18. What is secon dary U K legislation or Statutory Instruments (S is) made under Acts o f Parliament, consisting m ainly
1 d tle g a te d legislation? o f Regulations, e.g. The M erchant Shipping (Safety o f N avigation) Regulations
2002, but also including Rules and Orders, e.g. The F orm al Investigation Rules
H 1985, and The M inistry o f D efence Ships O rder 1989. B yelaw s (including

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B19. H ow are S tatutory Instruments (Sis)
relatin g to m erchant sh ippin g p ro d u ce d an d
given legal fo rc e?
B20. H ow are the com ponents o f different
types o f U K legislation designated?
B21. Where can U K legislation be fo u n d on
the internet?
Jurisdiction over UK and non-UK ships and seafarers
B22. In which w aters is U K m erchant
shipping law applicable to U K m erchant ships
a n d th eir crew s?
B23. In which w aters m ay U K m erchant
shipping law be a p p lie d to fo re ig n m erchant
sh ips a n d their crew s?
B24. What law s are U K ships, a n d seafarers
on b o a rd them, su bject to when they a re outside
U K w aters?
UK COURT PROCEDURES, OFFENCES and PENALTIES
Court hierarchv
B25. What is the ranking o f crim inal courts
in E ngland a n d W ales?
B26. What is the ranking o f c iv il courts in
E ngland a n d Wales?
Court procedures
B2 7. M ost m erchant shipping statutory
instrum ents p ro v id e f o r tw o g ra d es o fpen alty:
one on sum m ary conviction an d the other on
conviction on indictment. What is the difference
betw een sum m ary conviction a n d conviction on
indictm ent?
B28. I f there is a breach o f a M erchant
Shipping regulation w ith an a sso cia ted penalty,
which type o f law is contraven ed a n d in what
type o f court w ou ld the case be heard?
Offences and fines
B29. What is the S tan dard Scale o f Fines,
a n d w hat is its purpose?
B30. What a re the current m onetary sums on
the Stan dard Scale o f Fines?
B31. What does “a fin e o f the statutory
maximum ” m ean w here it is sta ted as the
p en a lty f o r an offence under an SI?
harbour bye laws) are another type o f secondary legislation.
They are drafted by lawyers and officials o f the Department for Transport
(DfT), in som e cases go through a public consultation period (see Guidance
and Regulations/Consultations on the M CA w ebsite), are laid before
Parliament for approval, get the consent o f both H ouses o f Parliament, and
com e into force on a specified date.
Acts contain sections, e.g. section 131 o f the M erchant Shipping A ct 1995.
Regulations (Sis') contain regulations, e.e. regulation 9 o f The MS (P ort State
C ontrol) Regulations 2003. Orders (a tvpe o f SI) contain articles, e.g. article 3
o f The M S (Prevention o f Pollution) (Amendment) O rder 1998.
On the L eeislation.eov.uk w ebsite w w w .legislation.eov.uk. This w ill replace
the OPSI w ebsite w w w .oosi.eov.uk and the Statute Law Database at
ww w.statutelaw .eov.uk . The M CA website (see below ) has links to Acts o f
Parliament and S is on the Legislation.gov.uk website.
In U K national waters and in all other waters, wherever they may be (unless
otherwise stated). The master o f a U K ship may therefore be prosecuted in the
U K for a contravention o f U K merchant shipping law committed anywhere.
In internal waters (i.e. waters inside territorial sea baselines, such as estuaries,
rivers, lochs and lakes'! and in the territorial sea (which extends 12 m iles
offshore). Pollution law also applies in the UK pollution control zone and,
under The M S (Prevention o f P ollution) (Intervention) (Foreign Ships) O rder
1997 (SI 1997/2568), outside the pollution control zone i f there is a grave and
imminent threat o f pollution. (F or questions on zones o f m aritim e ju risdiction ,
see THE VOYAGE in Section H.)
W hile on the high seas, only UK law (i.e. flag State law) applies. W hile in the
national waters o f another State, UK law applies on board, but may be over­
ridden by the law o f the coastal State or port State in certain cases, e.g. in
customs, sanitation, pollution, immigration and health and safety matters, and
where any crime is committed under the law o f the coastal or port State.
(1) M agistrates’ Courts; (2) Crown Court; (3) H igh Court; (4) Court o f Appeal;
(5) Supreme Court.
(1) Tribunals; (2) County Courts; (3) H igh Court; (4) Court o f Appeal; (5)
Supreme Court.
Summary conviction is a conviction bv magistrates in England or W ales, or by
a sheriff in Scotland, follow ing a trial in a lower court using summary
procedure. It is used mainly for minor offences. N o jury sits, so the judge(s)
decides questions o f both fact and law. Sentencing powers are limited by
statute (see Offences a n d Penalties below ). Conviction on indictment follow s a
trial in a more senior court (e.g. the Crown Court, or the High Court in
Scotland) where the accused, being charged with a serious offence, is indicted
to appear before a jury o f 12 people in England or W ales, or 15 in Scotland,
who decide questions o f fact, the judge deciding questions o f law only. The
court procedure is called solem n procedure. Prison sentences are limited by
statute but fines are unlimited on conviction on indictment. ‘A
Criminal law is contravened. (M ost contraventions o f Merchant Shipping
legislation are criminal acts, punishable by a fine or imprisonment or both.)
The case would be heard in a criminal court, e.g. a magistrate’s court in
England. W ales or Northern Ireland, or a sheriff court in Scotland.
A scale o f fines laid down b y section 37 o f the C rim inal Justice A ct 1982, as
amended, consisting o f five levels which each equate to a monetary amount.
The amounts can be amended periodically by one piece o f primary legislation
applying to all secondary legislation providing for a fine on the Standard Scale.
This saves the expense, tim e and com plexity o f amending numerous separate
pieces o f legislation that provide for fines o f specified sums, as many old Sis
did. (The corresponding primary legislation in Scotland is the Crim inal
P rocedure (Scotland) A c t 1975.)
Level 1: £200; Level 2; £500; Level 3: £1.000; Level 4: £2,500; Level 5:
£5,000.
£5,000. This is likely to be raised in due course as personal incom es rise.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
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B32. F or what offences can a sh ipm aster be (1) Contravention o f section 13 l(3)(a), M erchant Shipping A ct 1995 (illegal
fin e d up to £ 250,000 on sum m ary conviction in discharge o f oil pollutants in U K national waters); and (2) contravention o f
a U K court? Regulations 12, 13 or 16 (the “discharge regulations”) o f The M S (Prevention
o f O il P ollution) R egulations 1996.
B33. F or what offences can a sh ipm aster be (1) Causing a non-British ship to appear British; (2) concealing a British ship’s
fin e d up to £50,000 on sum m ary conviction in a nationality; (3 ) failing to render assistance and stay by the other vessel after a
U K court? collision; (4) ship is “dangerously unsafe”; (5) being in a temporary exclusion
zone (TEZ) unlawfully; (6) disobeying a “Schedule 3A direction” in a salvage
and pollution incident; (7) obstructing a person giving a “Schedule 3A
direction”; (8) entering or leaving a U K port or terminal without a valid OPIC;
(9) leaving a UK port in contravention o f a Detention Order; (10) carrying
passengers in excess o f the number permitted by the Passenger Certificate or
Passenger Ship Safety Certificate; (11) infringement o f Rule 10(bXi), i.e. not
proceeding with the traffic flow in a traffic separation scheme.
B34. F or w hat offences can a sh ipm aster be (1) Discharge o f NLS into the sea except where permitted by Schedule 2 to
fin e d up to £25,000 on sum m ary conviction in a M SN 17 0 3 /N L S 1); and (2) failure to wash or prewash and deal with tank
U K court? washings as prescribed in Schedule 2 to M SN 1703/N L S 1). (Under The MS
(P revention o f Pollution by G arbage) Regulations 1998 there was also a
£25,000 fine for illegal garbage disposal; under The MS (Sew age a n d G arbage)
R egulations 2 0 0 8 (which revoke the 1998 Regulations) the maximum fine on
summary conviction for garbage pollution is reduced to £5,000.)

|
FLAG STATE ADM INISTRATE -------------------------- ------------------- --------------------------------------------------------------------------
. .■ : - ■ • . - . -
B35. What is a flag State? A State w hose flag a ship flies and is entitled to fly. (U n ited Nations
Convention on C onditions fo r R egistration o f Ships, 1986)
B36. What a re the duties o f a f la g State Article 94 o f the United Nations Convention on the Law o f the Sea, 1982
under international law? (U N C LO S) requires that every State shall effectively exercise its jurisdiction
and control in administrative, technical and social matters over ships flying its
flag. In particular everv State must maintain a register o f ships (other than
small ships) and assume jurisdiction under its internal law over each ship
flying its flag and its master, officers and crew in respect o f administrative,
technical and social matters concerning the ship.
Flag State Administrations
B37. What is a f la g State A dm inistration? The national maritime administration o f a ship. “National maritime
administration” is defined by the United Nations Convention on Conditions for
Registration o f Ships, 1986 as any State authority or agency which is
established by the State o f registration in accordance with its legislation and
which, pursuant to that legislation, is responsible, inter a lia , for the
implementation o f international agreements concerning maritime transport and
for the application o f rules and standards concerning ships under its jurisdiction
and control. More loosely, it the flag State Administration is the official body
o f the State w h ose flag the ship flies which discharges the duties o f a flag State
as set out in UN C LO S article 94. In m ost cases, the Administration is a
government department in the flag State, although som e flag States, such as
Liberia, the Marshall Islands and Vanuatu, delegate their duties to a
commercial organisation in another country.
B38. What a re the fun ctions o f a fla g State (1 ) Setting, m on itoring and enforcing standards o f safety and pollution
A Jm inistration? prevention on vessels flying the State’s flag; (2) enforcing international
standards o f safety and pollution prevention on foreign ships visiting the
State’s ports; (3) setting and enforcing merchant shipping regulations for the
flag State; (4) surveying and inspecting vessels in accordance with domestic
and international regulations; (5) setting and enforcing standards o f seafarers’
com petency; (6) investigating accidents involving ships flying the State’s flag
and ships o f other flags when in the State’s waters; (7) approving equipment
types for vessels under international regulations; (8) advising on matters such
as loading o f hazardous cargoes and other safety matters; (9) maintaining a
register o f ships, flying the State’s flag; and (10) monitoring and enforcing
com pliance with international ship and port security provisions.
I B39. D o fla g State A dm inistrations lay down N o. They generally ensure that ships flying their flags are built to the
I d e ta iled rules f o r the strength, construction an d standards, as regards hull, m achinery, electrical installations and control
1 m aintenance o f sh ips fly in g th eir fla g s? installations, o f a recognized organization, which is usually a classification
society authorized by the flag State Administration.
w
JK GOVERNMENT ORGANISATIONS and OFFICIALS
Department fo r Transport (DfT)
I i- Which body is the fla g S tate The Department for Transport (DfT). W ebsite: w w w.dft.gov.uk The executive
| . 4 j Ministration o f the UK? agency o f the D fT charged with carrying out m ost (but not all) o f the D fT ’s

T-E SHIPMASTER’S BUSINESS SELF-EXAMINER

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B41. Which tw o executive agencies o f the
D fT are m ost concerned with shipping?
B42. Who are the m ain D f T officials with
whom shipm asters m ight h ave business?
B43. Which p a rt o f the D epartm ent f o r
Transport is respon sible f o r m onitoring an d
enforcing com pliance o f p o rts a n d pa ssen g er
sh ips with the ISPS C ode?
Maritime and Coastguard Agency (MCA)
B44. What are the M C A ’s c h ie f functions?
B45. Where a re the MCA 's headquarters?
B46. What a re the M C A ’s offices in the UK
called, an d who are they staffed by?
B47. A t which p la c e s in the U K are MCA
M arine Offices located?
B48. In the MCA, who a re superintendents,
a n d w hat a re their functions?
B49. What a re the m ain fun ctions o f MCA
su rveyors?
B50. What a re the M C A ’s fun ctions with
respect to statutory surveys?
B 5I. What are exam ples o f sta tu to iy surveys
that the MCA usually d elegates to classification
societies?
flag State responsibilities is the Maritime and Coastguard A gency (M CA).
The Maritime and Coastguard A gency (M CA) and the Marine Accident
Investigation Branch (M AIB), which operate independently o f each other.
M CA superintendents and ship surveyors. Consular officials (w ho are Foreign
O ffice officials) carry out certain DfT functions overseas. M AIB inspectors
investigate marine accidents.
TRANSEC, the Transport Security and Contingencies Directorate o f the DfT.
TRANSEC exercises the U K G overnment’s Designated Authority functions
under the ISPS Code. It approves Port Security Plans in and sets the security
level for all ports in the U K , UK Overseas Territories and Crown
D ependencies, and for all U K ships and other British ships at sea. It has
oversight o f arrangements for dealing with all Ship Security Alerts. It approves
ship security plans for and issues International Ship Security Certificates to all
U K and other British passenger ships.
(I ) D eveloping, promoting and enforcing high standards o f marine safety; (2)
m inim ising the risk and impact o f pollution o f the marine environment from
ships and, where pollution occurs, m inim ising the impact on U K interests; (3)
m inim ising loss o f life amongst seafarers and coastal users; and (4) responding
to maritime em ergencies 24 hours a day.
Spring Place, 105 Commercial Road, Southampton, SO 15 1EG, England.
They are called Marine O ffices and are staffed by a superintendent, a team o f
surveyors and administrative support staff.
(1) In East o f England Region: Newcastle: Stockton-on-Tees; Hull; Great
Yarmouth: Harwich; Orpington; Dover; and Southampton. (2) In W ales and
W est o f England Region: Liverpool; M ilford Haven; Cardiff; Falmouth; and
Plymouth. (31 In Scotland and Northern Ireland Region: Aberdeen; Leith;
Glasgow; Belfast; and Shetland.
They are M CA officials based at Marine O ffices who are empowered by the
M erchant Shipping A ct 1995 to deal with: issue, endorsement and withdrawal,
etc. o f seam en’s documents; engagem ent o f seamen and exem ption provisions;
discharge o f seamen; seam en’s w ages and allotments; resolution o f w ages
disputes; relief and repatriation o f seamen left behind; returns and reports o f
births and deaths at sea; inquiries into deaths on board ships, etc.; property o f
deceased seamen; official log books; manning o f merchant ships; seam en’s
health and safety; receipt and onward delivery o f ships’ documents; complaints
by seamen about provisions or water; complaints about seaworthiness o f ships;
and inquiries into misconduct o f seamen.
(1) Survey and certification o f shins’ safetv eauipment; (2) inspecting crew
accom modation; (3) inspecting pollution prevention arrangements on ships; (4)
port State control inspections o f non-UK shins in U K ports and terminals; (5)
carrying out safetv management system (SM S) audits and issue o f ISM Code
certification to U K com panies and U K ships: (6) apnroval o f ship security
assessm ents, carrying out ship security audits and issue o f ISPS Code
certification to U K ships (other than passenger ships): (7) random general
safetv inspections o f U K and foreign shins: (8) random inspections o f the
condition, loading and storage on ships o f packaged dangerous goods: (9)
inspecting shipboard operational arrangements for the loading and unloading o f
oil, chemical and gas tankers and offshore support vessels; (10) inspecting
arrangements relating to occupational health, safety and living and working
conditions o f seafarers (ILO 178 inspections); (11) approval o f owners’ safe
manning arrangements and issue o f Safe Manning Docum ents to UK ships;
(12) oversight o f diving operation activities from UK flag vessels outside the
jurisdiction o f HSE; (13) eyesight testing o f deck officer candidates: and (14)
oral examination o f candidates for U K certificates o f competency.
A s the flag State Administration for U K ships, the M CA has responsibility to
the Secretary o f State for Transport for conducting all survevs o f U K shins
required by U K Merchant Shipping acts and regulations (S is), including
survevs to verify com pliance with international conventions to which the UK is
a party and survevs to verifv com pliance with EU law and UK national law.
M CA surveyors carry out initial survevs and scheduled annual survevs.
intermediate survevs. periodical survevs. renewal survevs. inspections o f the
outside o f ships’ bottoms, additional survevs. and general inspections (which
may be unannounced). Som e statutory survey work is delegated by the MCA to
other organisations.
Surveys o f ships’ structure and machinery, load lines, radio equipment, and
anti-fouling systems; and measurement surveys for tonnage. (F or m ore
questions on delegation, see Statutory Surveys a n d C ertification in Section D.)
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
 15
B52. What p o w e rs do MCA su rveyors have (1) Powers to require the owner, master, or any o f the crew to produce any
in connection with inspecting sh ips ’ O fficial L og B ook or other documents relating to the crew or any member o f
docum ents? the crew on their possession or control; (2) powers to require the master to
produce a list o f all persons on board his ship, and take copies or extracts from
the O fficial L og B ooks or other such documents; (3) powers to muster the
crew; and (4) powers to require the master to appear and give any explanation
concerning the ship or her crew or the O fficial Log B ooks or documents
produced or required to be produced.________________________________________
B53. What a re the M C A ’s fun ctions with M C A surveyors inspect non-U K ships visiting U K ports and terminals in
resp ect to p o r t State control? accordance (from 1 January 2 011) with Council Directive 2009/16/E C , using
procedures agreed in the Paris M emorandum o f Understanding on Port State
Control. Ships are liable to inspection at intervals that depend on their Ship
Risk Profile, to verify that major IMO and ILO conventions and codes are
com plied with. (Port State control inspections are not for the purpose o f
enforcing U K law .) Inspection types include initial inspection, more detailed
inspection, expanded inspection and additional inspection. For major or
multiple deficiencies, a ship m ay be detained in the U K or refused access to
ports in the Paris M oU region. Inspection data are recorded on the THETIS
targeting and info rmation system . A m onthly list o f detained ships is published
on the M CA w ebsite. (F or other questions on p o r t State control, se e Section I.)
B54. Who are M ARPOL surveyors? Surveyors appointed or authorised by the M C A for the purposes o f exercising
control procedures under M ARPOL Annex II (which covers noxious liquid
substances carried in bulk). Their c h ie f duties are to attend the com pletion o f
unloading o f A nnex II substances and verify that the prewash has been
conducted, where required, in accordance with The M S (D angerous o r N oxious
L iqu id Substances in Bulk) R egulations and the ship’s Procedures and
Arrangements Manual. They may endorse the ship’s Cargo Record B o o k but
may only exem pt ships from The M S (D angerous o r N oxious L iqu id
Substances in Bulk) Regulations in certain specified circumstances.
B55. Where can a list o f M ARPOL surveyors On the M CA w ebsite under Ships and Cargoes/Cargo Safety/M ARPOL 73/78.
be fo u n d on the in te r n e t? _____________________
B56. Which officials o r other person s may A ny com m issioned naval or military officer: any DfT officer (e.g. an M CA
detain a B ritish ship under the M erchant surveyor or superintendent); any officer o f HM Revenue and Customs: and any
Shipping A c t 1995? British consular officer.
B57. Is detention o f a ship the sam e as arrest No. In the U K , ship detention is a measure that may be used by specified
o f a ship? persons (as stated in the previous answer) when the ship is in contravention o f
a requirement o f a piece o f legislation which specifically sanctions detention,
whereas arrest is apprehension o f a ship on the order o f a civil court having
admiralty jurisdiction, in order to secure a maritime claim against the ship. The
M C A issues a Detention N otice w hen detaining a ship. A British court must
issue an in rem claim form and a warrant o f arrest to the Admiralty Marshal
before arresting a ship.
358. What is the role o f the M CA's (1) Enforcement o f U K merchant shipping and anti-pollution legislation on U K
Enforcement Unit? ships everywhere and on non-UK ships in U K waters; and (2) ensuring, in the
public interest, the prosecution o f offenders in significant breach o f the law.
The Enforcement U nit investigates reported contraventions o f the M erchant
Shipping A ct 1995 or other merchant shipping legislation. P ossible outcomes
include: N o Further Action; a N otice o f Concern; a Formal Caution; a
Conditional Caution; or Prosecution. The Enforcement Unit liaises with other
enforcement bodies, such as the police, in order to ensure that evidence is
secured and appropriate offences are considered, and to decide w hich body w ill
be the lead authority in the case.
359. When a shipm aster is p ro secu ted in the (1) The M CA Enforcement Unit (for a merchant shipping offence); or (2) the
l~K, which organisation is likely to bring the police (for an alcohol-related offence or any other offence under U K law); or
prosecution? (3) HM Revenue and Customs (H M RC) (for an offence under Customs
regulations). The Enforcement Unit liaises with other relevant bodies to
determine which w ill lead in the case. The M AIB do6s not enforce’the law, but
w ill notify the M CA where an offence is discovered in an investigation.________
360. Where can d etails be fo u n d o f In the “N ew s and Publications” section o f the M CA w ebsite at
prosecutions by the M CA? w w w .m cga.gov.uk
361. Which branch o f the MCA is Counter Pollution & Response Branch (CPR). It has responsibility for UK
responsible f o r pollu tion prevention? national contingency arrangements for dealing with oil and chem ical pollution
incidents around the U K coasts and for coordinating the beach cleaning
response o f U K local authorities when pollution com es ashore. It monitors
spillages and decides how they can best be dealt with. It has resources
including em ergency cargo transfer equipment, dispersant spraying and remote
sensing aircraft, dispersant spraying tugs and some m echanical oil recovery
equipment and for onshore operations it holds stockpiles o f specialised beach
cleaning equipment. It also manages the Em ergency Tow ing V essel contract
(until September 2011 when it expires).______________________________________

E SHIPMASTER’S BUSINESS SELF-EXAMINER

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B62. What is the Em ergency Towing Vessel A contract betw een the M C A and the owners o f em ergency tow ing vessels
contract? (ETVs) time-chartered by the M CA for duties at strategic locations around the
UK coast. Four vessels, selected for their ability to respond to towage and
salvage requirements, are currently chartered for ETV duties in the M inches,
Fair Isle Channel, D over Strait and South-W est Approaches. The primary role
o f an ETV is em ergency towing o f drifting or incapacitated vessels to prevent
pollution damage occurring on the U K coast. Secondary roles include search-
and-rescue, counter-pollution, guardship and surveillance duties. Due to UK
Government spending cuts the ETV contract w ill not be renewed after it ends
in September 2011.
B63. Who is the R eceiver o f Wreck? An M CA official, based at Spring Place, Southampton, responsible for the
enforcem ent o f wreck law in the UK. The Receiver has powers under the
M erchant Shipping A c t 1995 to take charge at the scene o f a wreck on the UK
coast, and to take charge o f all wreck reported by salvors or finders in the UK.
Guidance on wreck law is in the “Em ergency Response” section o f the MCA
website.
B64. What are the headings on the M C A ’s Working at Sea; Leisure and the Seaside; Ships and Cargoes; Emergency
w ebsite? Response; N ew s and Publications; and About Us.
B65. What a re the headings on the MCA M edical Certification and Advice; Safe Manning; Training and Certification;
w ebsite under "Working a t Sea"? Application Tracking; CoC/CeC Verification; Health and Safety; Fishing;
Mandatory Safety Training Courses; Registry o f Shipping and Seamen.
B66. What are the headings on the MCA V essel Information; Consultations; Legislation and Guidance;
w ebsite under “Ships a n d C argoes ”? CERS/SVD,'Reporting Obligations; Ship Surveys and Inspections; Ships’
Equipment; Cargo Safety; Environment; UK Ship Register; Safety Alerts
Technical; Large Yacht Services.
B67. What a re the headings on the MCA Acts o f Parliament; Statutory Instruments; Marine (M ) N otices; Guidance o f
w ebsite under “Legislation an d G uidance ”? Surveyors; Statutory publications; COSWP; Inland Waterways and
Boatmaster’s Licence; International Ship and Port Facility Security (ISPS)
Code; UK Ship Register - Flagging-in to the UK; Construction and
Equipment; Offshore Renewable Energy Installations; Hydrography;
Navigation; Navigation Safety M eetings; Twinning; IMO Documents; IMO
Circulars; IMO Mandatory Instruments; Formal Safety Assessm ent; Red
Ensign Group; and M CA Quality Assurance.
B 68. What are the headings on the MCA Search and Rescue; Pollution Response; Receiver o f Wreck; Marine Incident
w ebsite under “Em ergency Response"? R esponse Group (MIRG); and Resilience.
B69. What a re the headings on the MCA Press Releases; Publications; Prosecutions and Detentions; V ideo & Podcasts;
w ebsite under “N ews a n d Publications"? and Image Library.
B70. What are the headings on the MCA Contact Us; Careers with MCA; Research; Customer Feedback and
w ebsite under “A bout U s ”? Complaints; Sustainable Developm ent; Service Standards; Equality &
Diversity; Information Legislation; Online Services.
B71. What are “statu torypu blication s" , as A m ix o f legally enforceable rules, together with guidance on the interpretation
p u b lish ed in the Legislation an d G uidance o f those rules. They may be considered as M SN s com bined with Guidance for
p a g e s o f the MCA w ebsite? Surveyors. They include: (1) SO LAS Chapter II-2, 2002; (2) SO LAS Chapter
V; (3) Charts and Nautical Publications - Equivalency; and (4) Safe Loading &
Unloading o f Bulk Carriers 2003:
B72. What document, pu b lish ed on the MCA Construction - Fire Protection, Fire D etection a n d Fire Extinction
website, contains guidan ce on the U K ’s Im plem enting SO LAS 11-2, 2002. It applies, unless expressly provided
im plem entation o f the 2 002 revision o f SO LAS otherwise, to ail ships built on or after 1 July 2002. For older ships, the
chapter 11-2 ? Merchant Shipping (Fire Protection) Regulations 1998 for Large Ships or
Small Ships, as appropriate, apply.
B73. What document, pu b lish ed on the MCA Safety o f N avigation - Im plem enting SO LAS C hapter V, 2002. It is also
website, contains guidan ce on the U K ’s available from the M CA on CD-ROM (free o f charge), and in paper form
im plem entation o f the 2002 revision o f SO LAS (priced). The document has been amended since its first publication in 2002.
ch apter V?
HM Coastguard
B74. What is H M Coastguard, a n d where HM Coastguard is a branch o f the MCA with responsibility for co-ordination
can inform ation be fo u n d about it on the MCA o f all civil maritime search and rescue in the U K Search and Rescue Region
w ebsite? (UK SR R) (which extends to 30° W longitude) through its network o f Maritime
Rescue Co-ordination Centres (M RCCs), Maritime Rescue Sub Centres
(M RSC s) and Sector Bases around the UK coast. Information about
Coastguard operations can be found under “E m ergency Response” and “Search
and R escue” on the M CA website.
B75. What are the chieffu nctions o f H M (1) M aintaining Maritime Rescue Co-ordination Centres (M RCCs), Maritime
C oastguard? Rescue Sub-Centres (M RSC s) and Sector Bases around the U K coast. (2)
1 Maintaining (at M RCCs and M RSCs) com munications watch on VHF,
VH FDSC , M F and M FDSC radio as w ell as satellite com munications (at
MRCC Falmouth). (3) M obilising, organising and tasking adequate resources
to aid persons in distress at sea or on the U K shoreline. HMCG tasks its own
SAR assets as w ell as those o f other em ergency services and organisations

THE SHIPMASTER’S BUSINESS SELF-EXAMINER


Proper officers
B76. The term “p ro p e r officer" is u sed a
g rea t deal in U K m erchant shipping legislation.
Who are p r o p e r officers, a n d w hat a re their
fun ctions?
B77. With w hat a spects o f s h ip ’s business
m ight a p ro p e r officer be concerned?
B78. Where are B ritish Consulates
established?
B79. D o a ll foreign countries have British
Em bassies?
B80. W ould it be appropriate f o r the British
m aster o f a L iberian -flagged ship to g o to a
British Consulate in a fo reig n p o rt on the sh ip 's
business?
Health and Safety Executive ( HSE)
B81. What are the fun ctions o f the H ealth
and Safety Executive (HSE) in connection with
siip s, a n d w here d o es it exercise them?
B82. What p o w e rs do HSE inspectors have in
'elation to ships?
3-SJ. What a re the arrangem ents f o r
plication o f HASA W to ships in British ports,
m d f o r enforcem ent o f health an d safety la w on
•.ps in port?
3-i4. Which body enforces health a n d safety
-:gislation in p o rts in Northern Ireland?
I &S5. What are the CO SH H Regulations, and
1 do they apply to ships?
~rohibitian Notic&8 and Improvement
I 35^5. What a re Prohibition N otices a n d
R im provem ent N otices?
Who has p o w e rs to issue Prohibition
1 Vvjces an d Im provem ent N otices to ships in
E rn e UK?
SHIPMASTER’S BUSINESS SELF-EXAMINER
17
such as the RNLI, Royal N avy and RAF. A number o f SA R helicopters are
contracted from a private company. Auxiliary Coastguard R escue Teams are
maintained for c liff and shoreline SA R purposes. (4) Providing Maritime
Safety Information by radio. (5) Linking v essels at sea with m edical authorities
for radio m edical advice. (6) Operating the Channel N avigation Information
Service (CN1S) from Dover MRCC.
In foreign ports they are consular officers (i.e. British consuls and consular
officials at British Embassies and High Com m issions). In ports in non-foreign
countries outside the U K (e.g. in UK Overseas Territories such as Bermuda
and Gibraltar) they include governm ent officials w ho exercise similar functions
to those o f an M CA superintendent. These officials may be known locally by a
title such as Marine Officer.
Engagement and discharge o f crew, crew agreements, list o f crew, and
exem ption provisions; seam en’s w ages and w ages disputes; relief and
repatriation o f seamen left behind; returns and reports o f births and deaths at
sea; inquiries into deaths; O fficial L og Books; manning o f ships; health,
provisions and water; seam en’s documents; masters’ protests (“sea protests”)
and certified log extracts; and many other matters.
In the c h ief com m ercial centres, including major ports, in foreign countries.
Ships’ agents maintain lists o f local consuls. A directory can be accessed on
the Foreign & Commonwealth O ffice w ebsite w w w .fco.eov.uk under Travel &
living abroad/Find embassies.
N o. Commonwealth countries have a British High Com m ission and not an
em bassy. A ll British H igh C om m issions have a consular section.
N o. British consuls have no responsibility for the affairs o f ships other than
British ships, i.e. Red Ensign Group ships. The Liberian government
representative ( i f any) in the port w ould be the appropriate person to go to in
this case. The master would be able to seek the assistance o f the British consul
on personal business, how ever (e.g. i f he had lost his passport).
H SE enforces the H ealth a n d Safety a t Work, etc. A c t 1974 (HASAW) and
subordinate legislation in all prem ises in Great Britain (i.e. England, Scotland
and W ales) and on offshore installations on the U K Continental Shelf, to which
the legislation is extended. (The C O SH H R egulations, which HSE formerly
enforced on UK ships other than sea-going ships, have now been disapplied to
ships; see below . ) HSE website; w w w .h se.sov.u k
The same pow ers to inspect ships in ports in Great Britain as M CA surveyors.
They may issue Improvement N otices and Prohibition N otices and bring
prosecutions for contraventions o f relevant legislation. However, the H SE has
a formal agreement with the M CA on enforcement o f health and safety law on
ships in port.
HSE and M CA have agreed that on board ships in ports in Great Britain,
H A SA W w ill not apply, and that enforcement o f health and safety legislation
on ships w ill generally be an M CA responsibility. Where shore workers and
sh ip’s crew work together, however, H A SA W w ill apply, and HSE will
enforce the law.
The Health and Safety Executive for Northern Ireland (H SENI). It has similar
powers and functions in Northern Ireland to those o f the HSE in Great Britain.
Website; w w w .hseni.gov.uk
The COSHH Regulations are The C ontrol o f Substances H azardous to H ealth
R egulations 2002 (SI 2002/2677), which im pose duties on em ployers and
em ployees concerning the use o f dangerous substances. They originally
applied to non-sea-going UK ships but contained a disapplication to sea-going
ships, i.e. ships that go beyond categorised waters. H owever, The C ontrol o f
Substances H azardou s to H ealth (Am endment) Regulations 2004 (SI
2004/3386) extended the disapplication to all ships other than Royal N avy
ships.
Statutory enforcement notices used in the U K (and som e other countries) to
enforce (chiefly) health and safety legislation. A Prohibition N otice prohibits
an unsafe operation or the use o f an unsafe item o f equipment, and an
Improvement N otice requires specified improvements to bring health and
safety arrangements up to regulation standard within a specified period. N on-
observance o f their requirements leads to a prosecution by the issuing body.
Personnel holding a statutory appointment as an inspector under the M erchant
Shipping A ct 1995 or H ealth a n d Safety at Work, etc. A ct 1974 (HASAW), or as
an authorised officer under the F o o d Safety A ct 1990.
18
888. H ow is a P rohibition N otice usually
u sed in relation to a sh ip in the UK?
B89. What a re exam ples o f po ssib le
situations w here a Prohibition N otice c o u ld be
se rv e d by the MCA?
B90. Is a Prohibition N otice the sam e as a
D etention N otice?
B 9I. H ow is an Im provem ent N otice (under
the M erchant Shipping A ct 1995) usually u sed
in relation to a ship in the UK?
B92. What a re exam ples o f po ssib le
situations w here an Im provem ent N otice co u ld
be se rv ed by the MCA ?
B93. F or w hat breaches o f The Ship an d
P ort F acility (Security) R egulations 2004 can
an MCA su rveyor (o r TRANSEC official) issue
an Enforcem ent N otice?
B94. What are the requirem ents o f P art B
(G uidance on im plem entation o f P art A) o f the
ISPS C ode referred to in the last answ er?
SOSREP
B95. Who is SOSREP?
B96. What is an exam ple o f an in ten ’ention
b y SOSREP?
A Prohibition N otice m ay be served in the UK on a ship operator or master by
an M C A inspector (who is usually a surveyor) under section 262 o f the
M erchant Shipping A ct 1995 to give notice that activities being carried out or
likely to be carried out by or under the control o f the recipient involve, or w ill
involve, a risk or imminent risk o f serious personal iniurv or serious pollution
o f naviaable waters, and that thev contravene the specified statutory
provisions, and that thev shall not be carried out. The N otice mav also prohibit
the ship from going to sea until the matters are remedied. Unlike an
Improvement N otice, a Prohibition N otice can have immediate effect.
(1) W here a vessel is being operated without a load line or other statutory
survey and certification; (2) where an item o f equipment which has caused a
fatal or major injury is the subject o f an investigation; (3) where hot work is
being carri ed out on the poop o f a ship during hazardous cargo handling
operations; (4) where a rigid inflatable craft which should com e under the
Workboat Code is being operated without a qualified skipper, and with
deficiencies; (5) where an unapproved means o f access to a ship is being used.
N o. Whereas a Prohibition N otice may temporarily prohibit a ship from sailing,
it may only be served where there is risk o f serious personal injury or serious
pollution. A Detention N otice, on the other hand, may be issued for a much
wider range o f reasons under several Acts and numerous Sis, e.g. for
contravention o f crew agreement provisions, a ship being dangerously unsafe
in a U K port due to overloading, a tanker attempting to leave a UK port
without an OPIC, in other words, the more extreme cases. In theory a ship
could simultaneously be the subject o f both forms o f notice.
An Improvement N otice may be served on a ship operator or master by an
M CA inspector under section 261 o f the M erchant Shipping A c t 1995 to give
notice that, in the inspector’s opinion, the recipient is contravenine or has
contravened specified provisions and that these must be remedied bv the
specified date in the manner described in the schedule attached to the N otice.
(1) Where a com pany operating a passenger ship is not using a passenger
counting method in accordance with the relevant regulations; (2 ) where
personal protective equipment is not provided to crew in accordance with
regulations; (3) where sh ip’s access equipment is not rigged in compliance
with regulations; (4) where fresh water treatment is not in compliance with the
M C A ’s guidance in M GN 397; (5) where it appears to an M CA surveyor
carrying out a ship security audit that there has been a breach o f certain
provisions o f The Ship a n d P ort F acility (Security) R egulations 2004; or (6)
where crew are not being provided with the statutory m inimum hours o f rest.
A “duly authorised officer” (i.e. an M CA or TRANSEC official) may serve an
Enforcement N otice on the company, the CSO, the SSO, the master, the PFSO,
the owner o f the Port Facility Security Plan and any person who carries on port
operations in a port facility where it appears to him that the person failed to
com ply with the requirements o f SO LAS Chapter X I-2, Part A o f the ISPS
Code, certa in paragraphs o f Part B o f the ISPS Code, or the requirement to
submit to an inspection by the European Com m ission and rectify any
shortcomings identified by the inspection, or the requirement to submit
specified changes or amendments to a ship security plan or Port Facility
Security Plan to the M CA or TRANSEC (as appropriate) for approval.
Paragraphs as follow s: 1.12 (CSO or SSO to monitor continuing relevance and
effectiveness o f SSP and carry out internal audits); 6.1 (company to provide
details to master of: (a) parties appointing shipboard personnel; (b) parties
deciding em ploym ent o f ship; (c) contact details o f time or voyage charterers);
8.3, 8.5, 8.7, 8.8, 8.9 and 8.10 (CSO to ensure various ship security assessment
requirements are met); 13.6 (security drill requirements); 13.7 (security
exercise requirements); 18.5 (port security drill requirements); and 18.6 (port
security exercise requirements).
See also UK intervention powers in Section H
The Secretary o f State’s Representative for Maritime Salvage and Intervention,
w ho is appointed under the M erchant Shipping A ct 1995 to take control at
salvage incidents where there is a threat o f significant pollution o f UK waters.
During such an incident SOSREP has powers under Merchant Shipping Act
1995 to give statutory directions to masters and salvors, am ongst others.
SOSREP can also establish a temporaiy exclusion zone around a casualty. (For
details see U K intervention powers in Section H.)
The Decem ber 2006 intervention by SOSREP in the salvage o f the container
ship M SC N apoli, when he directed that the ship was to be beached in Lyme
Bay, England, rather than risk her sinking in deep water, which could have
resulted in serious oil pollution o f the sea and coast.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
-

Marine Accident Investigation Branch (MAIB) See also UK INQUIRIES AND INVESTIGATIONS below
For questions on accidents, see Section E
B97. What is the MAIB, a n d what a re its
fun ctions?
B98. Where are the M A IB ’s duties defined?
B99. Is the MAIB p a r t o f o r under the con trol
o f the MCA?
B100. What are the M A IB ’s address a n d other
contact details?
Registry o f Shipping and Seamen (RSS)
B101. What is the RSS, a n d what are its
functions?
j B102. Where can inf orm ation be fo u n d about
the RSS on the MCA w ebsite?
Ofcom
BI03. What is Ofcom, an d what are its
I functions in connection with ships?
M Notices
I B104. What a re M N otices?
B105. What are the three types o f M N otice
P M is h e d by the MCA ?
1 B 106. Why d o som e M N otices have num bers
-refixed b y the letter "M" a n d not "MSN",
1 MGN" o r "MIN"?
1 5!0 7 . What are the colours o f p a p e r MSNs,
LfGNs a n d MINs, as pu blish ed by the MCA?
I 31 08. What kind o f inform ation do M erchant
| - ■ pping N otices (MSNs) contain?
1 5 / 0 9 . What kind o f inform ation do M arine
J - dance N otes (M GNs) contain?
1 3110. What kind o f information do M arine
1 - rmation N otes (MINs) contain?
1 B U I . D oes the MCA publish any guidan ce o r
I ' ^ uirements which are not in M N otices?
1 B 1 12. Where can the statutory requirem ents
I >:r :he carriage o f M N otices be found?
’ - = SHIPMASTER'S BUSINESS SELF-EXAMINER
19
The Marine Accident Investigation Branch, an agency o f the Department for
Transport (DfT) headed by the C h ief Inspector o f Marine Accidents. It
investigates accidents involving U K ships (anywhere) and other ships in UK
waters, with the aim o f determining what caused the accident in order to
prevent it from happening again. The C h ief Inspector publishes reports on
accidents with recommendations and lessons to be teamed.
In The M S (A ccident Reporting a n d Investigation) Regulations 2005, which are
explained in M GN 289.
N o, it is totally independent from the M CA so that the C h ief Inspector may, i f
he believes it necessary, be critical o f and make recommendations to the M CA.
Marine A ccident Investigation Branch, Mountbatten House, Grosvenor Square,
Southampton S O I5 2JU. Telephone (44) 23 8039 5500. Fax (44) 23 8023
2459. Telex 477917 M AIB SOG. 24hr reporting line (44) 23 8023 2527. e-mail
maib(5).dft.esi.eov.uk Website: w w w .m aib.eov.uk This information is eiven in
M GN 289.
For questions on ship registration, see Section D
The Registry o f Shipping and Seam en, a branch o f the M C A located at Cardiff
(alongside Cardiff Marine O ffice). The RSS: (1) registers and maintains a
computerised central register o f U K merchant ships, fishing v essels and yachts;
(2) approves nam es o f ships and allocates official numbers; (3) issues and
revalidates seafarers’ certificates; (4 ) issues other seam en’s documents such as
discharge books and seam en’s cards; (5) issues m edals to seamen and has
custody o f records o f m edals and awards to seamen; (6) registers all births and
deaths at sea; (7) administers (on behalf o f DfT) the Crew R e lie f Schem e (to
assist shipowners with costs o f flying U K seafarers to and from ships joined or
left abroad); (8) has custody o f crew agreements and lists o f crew. O fficial Log
Books, and Radio Logs; (9) has custody o f seam en’s records for verification o f
sea service; (1 0 ) maintains the central record o f British Seam en’s Cards and
Discharge Books; and (11) maintains the Register o f Certificates o f
Com petency and Service.
In the W orking at Sea section. W ebpages include: B usiness Support Team;
Registry Team; Seafarers’ Team; Fishing & Small Ships Register; Deaths &
M edals; and Merchant N avy W elfare Board.
i See also Ship Radio Licence (SRL) in Section D
A statutory U K body which on 29 D ecem ber 2003 inherited the functions o f
several government agencies relating to com m unications, including those o f
the Radiocommunications Agency. O fcom allocates call signs and M M SIs to
ships, assigns radio frequencies and is responsible for the issue (under the
W ireless T elegraphy A ct 2006) o f Ship Radio Licences o f various categories.
Website: w w w .ofcom .ore.uk
Marine N otices published in three types by the Maritime and Coastguard
A gency both in paper form and on the M CA website under “Ships and
Cargoes” and “Ship Regulations and Guidance”.
(1) Merchant Shipping N otices (M SN s); (2) Marine Guidance N otes (M GNs);
and (3) Marine Information N otes (M INs).
Before the current numbering and colour-coded system com m enced in 1997,
all M N otices, whether o f a mandatory, recommendatory or advisoiy nature,
were numbered in one series with an “M ” prefix and were printed on white
paper. M any o f these old notices have n ow been either cancelled or re-issued
as M SNs or M GNs. M ost o f those remaining are recommendatory, such as
M .474 (Explosions in D iesel Engined V essels) and M .588 (Engine Room
Gantry Cranes). H owever, M CA confusingly includes them on its w ebsite as
“Merchant Shipping N otices”, giving the impression that they, are mandatory.
M SNs are white. M GNs are blue. M INs are green. O ld-style “M ” N otices arc
white and m ostly A 5-size (unlike M SN s, M G N s and M INs, which are A4).
M SNs with an “M SN ” prefix (as distinct from the older “M ” prefix) contain
mandatory information, in m any cases technical requirements o f Sis.
. A dvice and guidance (i.e. recommendatory) information.
Information for a limited readership, with a limited period o f validity, such as
reports o f M CA research projects and announcements o f exam ination dates.
Y es, the M CA publishes som e statutory requirements and guidance on its
website in Ships and Cargoes/Legislation and Guidance/Statutory P u b lication s..
In Annex 3 - Nautical Charts and Publications - to the M CA pjublication.£a/^<y!
o f N avigation - Im plem enting SO LAS C hapter V, 2002 which is referenced in
20
B l 13. Is there a statutory requirem ent to
c a rry a ll M N otices on b o a rd a U K ship?
UK INQUIRIES and INVESTIGATIONS
B 114. What kinds o f inquiry a n d in vestigation
m ay be h eld in the U K concerning m arine
accidents?
B 115. What kinds o f inquiry m ay be h e ld in
the U K concerning seafarers ’ com petence or
conduct?
MAIB Investigations
B116. Which U K governm ent a gency has a
statutory duty an d p o w e rs to investigate
accidents involving U K ships anyw here an d
non-U K ships in the U K a n d U K w aters?
B 1I7. What incidents m ay the MAIB
investigate?
B 1 18. What is the o bjective o f an investigation
b y the MAIB?
B 119. When w ill a p a rty to an accident
involving a U K ship (e.g. the m aster) be
notified by the MAIB o f an y decision to
investigate?
B120. What is a p relim in ary exam ination by
the MAIB?
B121. Can an MAIB investigation b e h eld at
som e subsequent time, o r be re-opened?
B122. Where are MAIB investigation reports
published?
at
3
f
B123. What is a F orm al Investigation, an d
who can o rd er one?
B I24. Who conducts F orm al Investigations?
B I 25. Can a C ourt o f F orm al Investigation
o rd er a s h ip ’s officer to atten d as a witness?
B126. D oes a Wreck Com m issioner o r S h eriff
have the p o w e r to cancel o r su spend a
certificate o f com petency?
Section 61 Inquiries
B127. What is a "Section 61 Inquiry"?
B 128. In what circum stances can a Section 61
Inquiry be held?
B129. What action can the D fT take pending
the outcom e o f a Section 61 Inquiry?
B130. Can an officer w hose certificate has
been su spen ded appeal against the suspension?
Section 63 Inquiries
B131. What is a “Section 63 Inquiry"?
The MS (Safety o f N avigation) R egulations 2002 and is on the M CA website.
N o. O nly those M SNs, M G N s and M INs which are relevant to the ship’s ''
voyage and operation must be carried. This means, for exam ple, that merchant
ships need not carry any M SN, M GN or M IN with an (F) suffix, since they are
intended for a fishing industry readership, w hile a Class III passenger ship
would not need to carry M SN 1677, which concerns only ships other than ships
o f C lasses III to VI(A).
(1 ) An M AIB investigation (under The MS (Accident R eporting a n d
Investigation) Regulations 2005); (2) a Formal Investigation (under the
M erchant Shipping A ct 1995); and/or (3) where a death has occurred: a
“Section 271 Inquiry” or a Coroner’s Inquest, depending on where it occurred.
(1) Inquiries into the Fitness or Conduct ofO flficers (“Section 61 Inquiries’);
and (2) Inquiries into the Fitness or Conduct o f Seamen other than Officers
(“Section 63 Inquiries’), so called after the relevant sections in the Merchant
Shipping Act 1995.
\
The Marine Accident Investigation Branch (M AIB). Its investigatory powers
are in Part X I (sections 267 to 270) o f the M erchant Shipping A ct 1995. It
operates under The M S (Accident R eportin g a n d Investigation) Regulations
2 005 (SI 2005/881).
A ny accident or serious injury involving a U K ship (anywhere) or any other
ship in UK waters, or i f the M AIB agrees to a request to undertake or
participate in an investigation on beh alf o f another flag State. Hazardous
incidents m ay also be investigated.
The prevention o f future accidents through the ascertainment o f the accident’s
causes and circumstances. Its purpose is not to determine liability nor, except
so far as is necessary to achieve its objective, to apportion blame.
Where the C h ief Inspector o f Marine Accidents has received an accident report
under The MS (Accident Reporting a n d Investigation) R egulations 200 5 , he
must decide whether or not an investigation, including any preliminary
examination, should be carried out and must notify the parties to the accident
o f his decisi on within 28 days follow ing receipt by him o f the report.
The initial part o f an M AIB investigation which may be held to establish the
causes and circumstances o f an accident with a view to deciding whether any
further investigation is warranted.
Y es, under regulation 8 o f The MS (Accident R eporting a n d Investigation) ’
Regulations 2005.
On the M A IB ’s w ebsite fw w w .m aib.eov.uk) as w ell as in paper form.
A Formal Investigation is an official inquiry into a ship’s loss. The Secretary o f
State for Transport can order one under section 268 o f the M erchant Shipping
A ct 1995, whether or not the M AIB has made its own inquiry. There have been
Formal Investigations into m any casualties including D erbyshire, H erald o f
F ree E nterprise and M archioness!Bowbelle.
In England, W ales or Northern Ireland, a Wreck Com m issioner, or in Scotland,
a Sheriff.
Y es. The M agistrates ’ Courts A ct 1952 (which com pels the attendance o f
w itnesses and production o f evidence) applies to a Formal Investigation as if it
were a magistrate’s court, or in Scotland, a sheriff court.
Y es, if he is satisfied that an officer caused or contributed to an accident. He
may alternatively censure the officer. Legal costs may also be awarded against
the officer.
A U K government inquiry ordered by the Secretary o f State for Transport into
the fitness or conduct o f an officer.
When it appears to the DfT that (1) an officer is unfit to discharge duties, by
reason o f incom petence, m isconduct or any other reason; or (2) has been
seriously negligent in the discharge o f his duties; or (3) has failed to render
assistance and exchange information after a collision.
It can suspend the officer’s certificate o f competency.
Y es, in England to the High Court or in Scotland to the Court o f Session. These
courts have powers to terminate the suspension.
A U K government inquiry ordered by the Secretary o f State for Transport into
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

B132. In w hat circum stances can a Section 63
Inquiry be held?
B I33. What co u ld be the outcom e o f a Section
63 Inquiry?
Section 271 Inquiries, Coroners’ Inquests and Fatal Accident and Sudden Death Inquiries
B134. What types o f inquiry a re h eld in the
U K after a death on a ship o r loss o f som eone
fro m a m erchant ship?
B135. In w hat circum stances m ust a “Section
271 Inquiry" be held?
the fitness or conduct o f a seaman other than an officer.
When the D fT is considering cancelling the certificate o f a person other than an
officer, either for incom petence, m isconduct or any other reason, they must
give him written notice. The seaman can require his caSe to be dealt with by an
inquiry held by one or more persons appointed by the DfT.
The officials holding the inquiry m ay confirm the D fT ’s decision and cancel or
suspend the certificate, or censure the seaman, or make an order for costs.
(1) Where the death or loss occurred outside the U K ’s territorial sea (i.e.
beyond a Coroner’s or S h er iffs jurisdiction), a “Section 271 Inquiry”; (2)
where the death or loss occurred in the territorial sea o ff the coast o f England,
W ales or Northern Ireland, a Coroner’s Inquest; (3) where the death or loss
occurred in the territorial sea o f f the coast o f Scotland, a Fatal A ccident and
Sudden Death Inquiry (under Scottish legislation).
(1) W hen any person dies in a UK ship or in a boat or liferaft from a U K ship,
or (2) when the master or a seaman em ployed in a U K ship dies in a country
outside the UK.

LEGAL SYSTEMS
Civil law legal systems
B I36. What is a c iv il law legal system ?
B137. What a re exam ples o f countries w ith a
civil law legal system ?
Common law legal systems
BI38. What is a com m on law legal system ?
B139. What a re exam ples o f countries w ith a
comm on law leg a l system ?
Mixed and other legal systems
B140. What are exam ples o f countries, or
\ regions o f countries, have a m ixed leg a l system
\ em ploying elem ents o f both com m on law a n d
civil law ?
1 B l 41. What is sharia, a n d w hat are exam ples
I o f countries in which it is the legal system ?
...."".... ...............................
A system o f civil law which is codified (i.e. written in a set o f codes) and
derived mainly from Roman law. It is som etim es called European continental
law and is the m ost w idely applied legal system in the World, being used in
about 150 countries.
(1) A ll European countries except the UK , Ireland and Gibraltar; (2) Russia;
(3) China; (4) all South American countries except Guyana; (5) M exico and all
Central American countries except Belize.
A system o f civil law (i.e. law applied in civil courts) which is based on
com mon law, i.e. judge-m ade law, based on precedent. Countries having this
type o f legal system are often called “com m on law countries”.
(1) England and Wales; (2 ) Australia; (3 ) N ew Zealand; (4) Canada; (5) U SA .
Essentially, com m on law is applied in all those countries which were once
colonised by England, except where som e other prior colonial power
established another legal system w hich w as retained after English colonisation.
(1) Scotland; (2) Louisiana (U SA ); (3) Quebec (Canada); (4) South Africa; (5)
Thailand; (6) Malta; (7) Israel; (8) Seychelles.
The Islamic legal system , one o f the m ost w idely used legal system s in the
World along with civil law and common law. Sharia is applied in Saudi Arabia,
Iran, Yemen and Oman. <:.

ENGLISH LAW OF CONTRACT

Formation o f contract
! B l 42. What is a contract? A legally binding agreement between two parties. It does not have to be in ■*
writing.
j BI43. What a re som e exam ples o f shipping- A crew agreement; a charterparty; a contract evidenced by a bill o f lading; a
related contracts? bunker supply contract; a ship-management contract; a ship repair contract; a
shipmaster’s personal em ploym ent contract; a stevedoring contract; a salvage
agreement; contracts for towage, pilotage and line-handier’s services.
Contents o f a contract
j B144. What are the essen tial elem ents o f a (1) Offer; (2) acceptance; (3) intention to create legal relations; and (4) the
1 contract? capacity to contract. In English law there must also be “consideration”, i.e. .,
something given by one party in exchange for som ething offered by the other
party.
\ B 145. What are the contents o f a contract Contracts contain terms, which are usually in the form o f written clauses.
: Mled, an d how m ight they be categorised Contractual terms can be categorised as: (1) express terms or implied terms,
depending on whether they have been stated in writing or orally or not; and as ;
(2) conditions or warranties, depending on the rights o f the injured party i f the
term is breached.
I : 146. What is an express term? A contractual term which has been agreed to by the parties in words, either in
writing or orally. The written terms o f a crew agreement or a charterparty are
express terms.
| :!4 ~ . What is an im plied term? A contractual term which is not agreed to by the parties in words, but w hich is
deem ed to exist in the contract either because the courts regard it as necessary

~ -E SHIPMASTER’S BUSINESS SELF-EXAMINER

22
B148. What is a condition?
B149. What is a w arranty?
B150. What is an exclusion clause, exem ption
clau se o r exception clause?
Factors that vitiate a contract
B151. What does vitiate mean?
B152. What are som e exam ples o f factors that
co u ld vitiate a contract?
Discharge o f contracts
B153. What does discharge o f a contract
mean, a n d how m ay contracts be discharged?
B154. What is discharge by perform ance?
B155. What is discharge by agreem ent?
B156. What is discharge by fru stration?
B 157. What is discharge b y b reach ?
Remedies for breach o f contract
B158. What right is g iven to the injured p a rty
to a contract fo llo w in g a breach o f a condition
by the other party?
B 159. What is the legal term f o r a breach o f a
contractu al condition, i.e. a breach ju stifyin g
term ination by the injured party?
B 160. What right is given to the injured p a rty
to a contract o f carriage fo llo w in g a breach o f
w arranty b y the defaulting p a rty?
Agents and agency
B161. What o r who is an agent?
B162. What is a sp e c ia l agent?
B 163. What is a gen eral agent?
B164, What is agency?
to give effect to the presumed intentions o f the parties, or because o f som e
statutory requirement. For exam ple, there is an im plied term in a contract o f
carriage o f goods by sea that the carrier w ill provide a seaworthy ship.
An important contractual term that goes right to the root o f a contract, and so
fundamenta l that breach o f it by a party would frustrate the w hole contract and
make further performance im possible, giving the injured party the right to
repudiate the contract and sue for damages. For exam ple, it is a condition in
every voyage charter that the chartered vessel w ill arrive and be fully at the
charterer’s disposal at the agreed loading port not later than the cancelling date.
A contractual term less essential than a condition, such that its breach w ill not
have the effect o f giving the injured party the right to repudiate the contract,
although he m ay sue for damages. The majority o f terms in m ost contracts are
warranties rather than conditions. For example, a charterparty usually contains
a speed warranty (that the chartered vessel is capable o f a specified speed),
w hile a tanker charterparty usually contains a pumping warranty (that the
tanker can pump at a specified rate).
A contract clause which seeks to exclude, limit or qualify an obligation or
liability which would otherwise fall on a party. M ost sea carriers’ contracts
have exclusion clauses, often beginning “The carrier shall not be liable for . . . ”
To destroy the force or legal effect (o f a contract).
(1) Misrepresentation (untrue statement o f a “fact” that induces the other side
to enter into the contract; this may be “innocent” or “fraudulent” depending on
whether the maker o f the statement knew it was untrue); (2) mistake (erroneous
b elief about a matter o f fact); (3) duress (e.g. where a contract was entered into
under a threat); (4) undue influence (influence that prevents a party from
exercising an independent judgement); (5) illegality (e.g. where the contract is
forbidden by statute); (6) lack o f capacity (e.g. where one party turns out to be
barred from making contracts because o f age or mental infirmity).
Discharge means termination o f the contract. Contracts may be discharged by:
(1) performance; (2) agreement; (3) frustration; or (4) breach.
The carrying out by each party o f their contractual obligations. This is
(fortunately) what happens in the vast majority o f contracts.
The agreement o f both parties that their obligations w ill be waived, e.g. where
a shipowner and a charterer mutually agree to cancel a charter because o f non­
availability o f cargo.
Where som ething occurs which prevents the contract from being performed as
intended but is not the fault o f either party and was not contemplated by either
o f them.
Where one party repudiates his obligation (by anticipatory breach), or disables
h im self from performing his part o f the contract, or fails to perform his part o f
the contract on the agreed date.
The right to treat the contract as having been discharged (i.e. to repudiate the
contract), and to sue to recover damages to compensate h im fo r any obligations
already performed. Alternatively he may affirm (i.e. continue to perform) the
contract, and sue for damages to compensate him for the breach.
A repudiatory breach. Failure by a voyage-chartered ship to m eet the
cancelling date, for exam ple, m ay be called a repudiatory breach. (The term is
used in relation to all types o f contract. The party committing the breach is
som etim es called the defaulting party.)
The right to sue to recover any damages from the defaulting party. The injured
party has no right to repudiate the contract, and must continue to perform his
contractual obligations. Breach o f warranty may be termed a nbn-repudiatory
breach.
A person w ho acts on behalf o f another (called the principal) in such a w ay as
to affect the other’s legal position, often in bringing the principal into a
contractual relationship with a third party. Examples o f agents in merchant
shipping are: (1) shipbrokers; (2) port agents; and (3) in certain circumstances,
shipmasters.
An agent appointed for a specific act, e.g. fixing a ship on charter, or selling a
ship. A shipmaster is a special agent for certain acts, e.g. signing bills o f
lading, and the engagement and discharge o f crew members.
An agent with authority to perform all o f the principal’s functions. Som e ships’
agents are general agents for one or more shipping companies.
The legal relationship between an agent, his principal and a third party brought
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

B 165. What a re som e shippin g-related
exam ples o f ag en cy?
B I 66. H ow can agency b e created?
Agent's authority
BI67. What types o f authority can an agent
have?
B 168. In the la w o f agency, w hat is actual
authority?
B I69. In the ta w o f agency, what is apparent
authority (or ostensible authority)?
B l 70. G ive an exam ple o f the operation o f
im plied authority in shipping.
B171. What type o f agent is a shipm aster, an d
•low d o e s this affect his authority?
B l 72. When does a shipm aster, acting a s an
agent, not have to have his p r in c ip a l’s express
authority to act?
B173. In w hat circum stances m ight a
shipm aster b ecom e an agent o f necessity?
ENGLISH LAW OF TORT
Tort
.31 74. What is a tort ?
m l 75. What are the c h ie f torts recogn ised by
English law, an d which o f them are p ro b a b ly o f
■■art concern to shipm asters?
■ ' 76, H ow d oes tortiou s liability arise?
19177. What is the usual leg a l rem edy f o r a
L r t’
pi1 78. What are som e comm on exam ples o f
•»-:? arisin g in shipping?
SHIPMASTER’S BUSINESS SELF-EXAMINER
23
into contract with the principal through the actions o f the agent. Rights, duties
and liabilities arise as a consequence o f agency.
(1) Where a shipbroker, acting for a shipowner, fixes a ship on charter and thus
brings the shipowner into a contractual relationship with the charterer; (2)
where a port agent, acting for a shipowner w hose ship is to visit the port,
arranges stevedores and port services for the ship's visit; (3) where a
shipmaster, acting for the em ployer, engages a crew member on a crew
agreement; (4) where a shipmaster, acting for the shipowner, each cargo owner
and any time charterer, agrees to an offer o f salvage assistance when the ship
and cargo are in peril.
(1) By express agreement, e.g. where a port agent is expressly appointed by a
shipowner or tim e charterer; (2 ) by implication or conduct, e.g. where, by the
act o f appointing an officer to command o f its ship, the master is made the
agent o f the shipowner for purposes o f procuring stores, bunkers, pilots, tugs,
etc.; and (in rare cases) (3) o f necessity, e.g. where a shipmaster, acting on his
ow n initiative, takes em ergency action to save his ship and its cargo when they
are in immediate peril.
(1) Actual authority; (2) apparent (or ostensible) authority; (3) express
authority; and (4) im plied authority.
The authority o f an agent as indicated to him in words (i.e. by the principal’s
express authority) or by implication (e.g. where a shipmaster infers that, by
virtue o f being appointed as a master, he has full authority to order tugs).
An appearance that a person has authority to act for a principal, which arises
when the principal intentionally or carelessly causes or lets a third party
believe that this is the case, even though the principal did not actually give
such authority. In such a case, the third party m ay reasonably rely on the
person’s apparent authority to act as the principal’s agent.
In appointing a person as master o f a ship, a shipowner gives the master
implied authority to order tugs, pilots, provisions, fresh water, bunkers, etc. for
the ship (i.e. all its usual requirements), in so doing bringing the shipowner into
a contractual rela tionship with each provider o f services or goods ordered.
A shipmaster is a special agent. This means that his principal (e.g. the
shipowner) w ill not be bound by his acts that are not within the bounds o f the
authority conferred on him. For exam ple, a master has no authority to fix his
ship on charter, so his shipowner w ould not be bound by any such agreement.
When the shipmaster is acting as an agent o f necessity.
In an em ergency event when it is im possible to obtain instructions from the
cargo owners, but there is a real and definite commercial necessity to act on
their behalf to preserve their goods, and the action taken is in good faith (i.e. it
is honest and in their best interests). This could happen, for exam ple, when a
ship is lik ely to go aground and a salvage agreement must be made quickly. In
most cases it should be possible to communicate, through the shipowner, and
await instructions before accepting assistance, but where tim e is short, the
master should not wait for instructions. A master w ho makes a salvage
agreement without first contacting the property owners when there is time to
do so, however, might be exceeding his legal authority. (F or questions on
Salvage, see Section H.)
■y: . .U S'- ' . . . . . . . . .
f '
A wrongful act or om ission (other than a wrong that is purely a breach o f
contract), committed by a person, for which damages may be sued in a civil
court by the person wronged.
Negligence; liability o f occupiers o f premises; strict liability; trespass to
property; nuisance; defamation; and m iscellaneous torts o f conspiracy, deceit
and injurious falsehood. O f these, negligence and strict liability are probably
the torts o f m ost concern to shipmasters (see below).
Generally from the breach o f a legal duty (under either com mon law or statute
law). Many classes o f persons, including shipmasters, have various legal
duties, e.g. a duty o f care. Breach o f a duty o f care renders the person liable to
proceedings for damages in tort.
A civil claim for damages. A lso, an injunction (or in Scotland, an interdict) can
be obtained to prevent repetition o f the injury, e.g. a libel by a newspaper.
C ollision damage to another ship; contact damage to quays, etc.; oil and other
forms o f pollution; negligent navigation.
24
B 179. M ay a tort a lso be a breach o f Yes. N egligent navigation causing injury to a passenger is both the tort o f
contract? negligence and breach o f the contract to carry the passenger safely to the port
o f disembarkation. The passenger m ay sue the carrier either in tort, or for
breach o f contract, or both.
B l 80. M ay a tort a lso be d crim inal act? Yes. R eckless navigation is a crime but may also give rise to a claim in tort i f it
causes injury to another person. The crime w ill be prosecuted like any other
but it is up to the injured party to seek compensation from the wrongdoer by
means o f a claim in tort.
B181. What is causation? An expressio n o f the relationship that must be found to exist between the
tortious act o f the wrongdoer and the injury to the victim in order to justify
compensation o f the latter out o f the pocket o f the former.
B182. Can shipm asters a n d crew m em bers be Yes. In the much-cited case o f Adler v. Dickson (1955) ( The H im alaya) the
su ed in tort claim s? master and bosun o f a P&O liner were sued for damages by an injured
passenger w ho had fallen from an improperly positioned gangway. Dam ages o f
over £ 14,000 were awarded against the master. Som e masters have been sued
by cruise passengers w ho have sustained injuries or stress in heavy weather.
Negligence
B183. What is negligence? It has been described by a jud ge as: “ The om ission to do som ething which a
reason able man.. . w ou ld do, o r doing som ething which a pru den t an d
reason able man w ou ld not do". N egligence is committed whenever a person
ow ing a legal duty o f care to another person breaches his duty with the result
that damage o f som e kind (e.g. physical or financial) is caused to the other
person. N egligence is the biggest area o f tort law litigation.
B l 84. What does a p la in tiff have to p ro v e in (1) A legal duty o f care; (2) a breach o f this duty; and (3) the damage suffered
o rd er to su cceed in a claim fo r negligence? in consequence o f the breach.
B185. To whom (or what) does a shipm aster (1 ) The owners, for the care o f their ship; (2) the shippers o f goods carried by
ow e a duty o f care? the ship; (3) crew members (for their health, safety and w ell-being); (4)
passengers, for their safety; (5) the environment (for its protection from
pollution); (6) persons such as stevedores, surveyors, pilots, agents and
suppliers, who have business on board the ship.
Strict liability ..
B186. What is m eant b y strict liability? Tort liability im posed on a defendant without the requirement for the plaintiff
to prove intent, negligence or fault. I f damage is done by the defendant or his
property, the defendant is liable. Criminal offences o f strict liability are those
for which it is not necessary for the prosecution to establish that the accused
person had a particular state o f mind, e.g. knowledge or intention, at the time
o f the crimina l act.
B187. What is an exam ple o f stric t liability in The strict liability o f a shipowner for certain types o f cargo oil pollution
shipping? damage under the International Convention on Civil Liability for Oil Pollution
Damage 1969. V ictim s o f cargo oil pollution damage do not have to prove
fault on the part o f the shipowner in order to obtain compensation. The
shipowner is liable for any damage caused, or threatened, by cargo oil. M. 1577
explains the extension o f strict liability o f shipowners for oil pollution damage.
Vicarious liability
B188. What is m eant b y vicarious liability? Liability im posed on one person for the acts o f another person, even though the
person made liable is not personally at fault. Examples o f vicarious liability
include an em ployer’s vicarious liability for damages caused by his em ployees
during the course o f their duties. In English law a shipowner is vicariously
liable for the acts o f his sh ip’s master and crew.

MARITIME CLAIMS, LIENS AND ARREST .

Maritime claims
B189. What are m aritim e claim s?
B190. Which courts exercise adm iralty
ju risdiction in E ngland a n d Wales, a n d in
Scotland?
B 191. What a re exam ples o f claim s and
questions that m ay be h ea rd an d determ ined by
the A dm iralty Court?
Claims relating to ships and cargoes, seaplanes on the water, etc. that fall
within the jurisdiction o f courts exercising admiralty jurisdiction. They are also
called admiralty claims.
In England and W ales admiralty jurisdiction is vested by the Suprem e Court
A ct 1981 in the Admiralty Court (part o f the High Court o f Justice); this court
has jurisdiction to hear and determine 18 categories o f maritime claim and
question. The Court o f Session has admiralty jurisdiction throughout Scotland,
while local Sheriff Courts have admiralty jurisdiction within their own areas.
(1) A claim relating to possession or ownership o f a ship; (2) a question arising
between co-ow ners o f a ship as to possession, em ploym ent or earnings o f the
ship; (3) a claim in respect o f a mortgage on a ship; (4) a claim for damage
received by a ship; (5) a claim for damage done by a ship; (6) a claim for loss
o f life or personal injury due to a defect in a ship or its equipment, or due to the
wrongful act or n egligence o f its owners, charterers, master or crew; (7) a
claim for loss o f or damage to goods carried; (8) a claim arising from a carriage
o f goods agreement or charter o f a ship; (9) a salvage claim; (10) claims

THE SHIPMASTER'S BUSINESS SELF-EXAMINER


B 192. What types o f claim m ay be brought in
the A dm iralty C ourt by claim ants with m aritim e
claim s?
B193. What is a claim in rem?
B 194. H ow can a claim in rem in respect o f a
| ship be enforced?
1 B 195. A ship which is the su bject o f a claim in
rem is sold. Can it still be arrested?
Liens
1 B196. What is a lien?
j B197. What are the c h ie f types o f lien o f
interest to shipm asters?
I B198. What is a p o ssesso ry lien?
t BI99. What a re exam ples o f possessory liens
in everyday life ashore?
1 B200. What is a gen eral lien?
1 3201. What is a particu la r lien?
1.5 202. What is an exam ple o f a shipping-
•- a ted possessory lien in English law ?
1 - - 03. What is an exam ple o f a statutory
1 maritime lien c re a te d by U K legislation?
' - J. What is an exam ple o f a contractual
I l e i in shipping?
I B M . In a contract f o r the carriage o f goo d s
I f c sea, which p a rty has a p o ssesso ry lien, on
■ item, an d in respect o f w hat claim s?
M D 96. A ship has d isch arged a cargo o f coal
■ an; a ready to sail. I f the shipow ners are still
m tm e d the freight, how can their lien on the
1 .ih t v be exercised after the ship has sailed?
- D o shipbuilders a n d repairers have
■M : sory liens on ships?
M *rnim e liens
B 1Z What is a m aritim e lien?
5-i PMASTER’S BUSINESS SELF-EXAMINER
relating to towage or pilotage; (1.1) a claim in respect o f goods or materials
supplied to a ship for her operation or maintenance; (12) a claim in respect o f
construction or repair o f a ship, or dock charges; ( 13) a claim by a master or
crew m ember for wages; (14) a claim by a master, shipper, charterer or agent
for disbursements; (15) a claim arising out o f general average.
Either a claim in person am , i.e. “against the person” (which may be a corporate
body or an individual), or a claim in rem , i.e. “against the matter” (which is
usually a named ship). Many claimants prefer to make a claim in rem against a
ship, especially where the sh ip’s owner is difficult to identify.
A court action ag;ainst property (called the res by lawyers), e.g. a ship, her
cargo or freight. The ship may be arrested, and unless satisfactory security is
provided by her owner to secure her release, may be sold by w ay o f a judicial
sale. A claim ant with a claim listed in section 20 o f the Suprem e C ourt A ct
1981 has a statutory right o f claim in rem. A claim in rem is started with the
issue o f an in rem claim form.
A claimant with a claim in rem has the right to apply to the Court for the arrest
o f the ship. If the claim is not settled, the court can order the ship to be sold.
Yes. Provided a claim form has been issued prior to a change in ownership, the
ship may be arrested even after a changc in ownership.
A legal right to retain possession o f the property o f another as security for an
outstanding payment.
Possessory liens and maritime liens. A lien o f either tvpe m av arise bv virtue o f
the com m on law (in which case it mav be called a com m on law lien). a piece
o f legislation (a statutory lien) or a term in a contract (a contractual lien).
The right o f a person in lawful possession o f the property o f another to retain
possession o f the property as security for a claim against its owner.
(1) The general lien o f a parcel carrier in possession o f a custom er’s
consignm ent, for all monies due from the customer; (2) the general lien o f a
motor engineer in possession o f a custom er’s vehicle, for a payment due from
the customer.
A right to retain possession o f all the property o f a debtor in the lien-holder’s
possession, for all payments due by the debtor. For exam ple, a motor
m echanic’s general lien w ill enable him to retain possession o f item s o f
personal property o f the vehicle owner w hich are in the vehicle worked on.
A right to retain possession only o f that property o f a debtor which relates to
the payment due. For exam ple, a liferaft service station’s particular lien would
enable it to retain possession only o f the liferaft on which a payment is due.
The lien o f a carrier on cargo carried (and which is still in his possession) for
freight, general average and expenses incurred in protecting the cargo.
A master’s lien for his remuneration, and all disbursements or liabilities
properly made or incurred by him on account o f the ship, which exists by
virtue o f section 41 o f the M erchant Shipping A ct 1995.
A lien created by a Lien Clause in a charter party, e.g. in the O REVO Y charter
party: “ The O w ners sh a ll have a lien on the cargo f o r a ll freight, deadfreight,
dem u rrage a n d dam ages f o r detention.” (Whereas the lien for freight is a
com m on law lien, the liens for Deadfreight, demurrage and damages for
detention must be inserted into the contract in express terms.)
The carrier has a possessory lien on goods in his possession for unpaid freight,
general average charges and m oney spent in protecting the cargo (som etim es
called particular charges or special charges). “P ossession” includes actual
possession, e.g. when the goods are still on board the ship, as well as
constructive possession, e.g. when the goods have been discharged but have
not yet been delivered to the receiver. In this case the ship’s agent may be
instructed to exercise the lien on the carrier’s behalf after the ship has sailed.
The ship’s agent ( if instructed by the unpaid owners) can retain constructive
possession o f the coal in a storage area hired for the purpose until the freight is
paid, the costs being for the consignee’s account.
Y es, on v essels in their possession, to secure claim s for the building or repair
o f the vessel effected during the possession.
A privileged claim on the property o f another (usually a ship) which arises with
a maritime claim in respect o f damage caused by it or a service performed to it,
and which survives its conventional sale (but not its judicial sale), and which
m ay be enforced b y its arrest, and w hich remains in place until either satisfied
or time-barred. W hen enforced, it gives the claim ant’s claim priority in ranking
over m ost other claim s, including ship mortgages.
26
B209. What is a sim plified definition o f a
m aritim e lien?
B210. What is the m ain difference betw een a
p o ssesso ry lien an d a m aritim e lien?
B 211. What m aritim e liens are recogn ised in
English com m on law?
B 212. What are bottom ry an d respondentia?
B213. A re the sam e m aritim e liens a llo w ed
under the law s o f other countries as in E ngland
a n d Wales?
B214. What is the key difference betw een a
m aritim e claim a n d a m aritim e lien?
B215. When is a m aritim e lien created?
B216. What a re the m ain fe a tu re s o f a
m aritim e lien that distinguish it fro m a
p o ssesso ry lien?
B 2 17. H ow can a m aritim e lien b e enforced?
Arrest
B218. What is the p u rp o se o f the arrest o f a
ship?
B 2 19. H ow are ship arrest proceedin gs
com m enced in England?
B220. The A dm iralty C ourt has m ade an o rd er
f o r the arrest o f a ship, now in a U K port, as
security f o r a m aritim e claim. H ow is the ship
a rrested in practice?
B221. Is the U K a p a rty to an arrest
convention?
A claim against a ship for damage done by it or a service performed to it,
which is not lost by its sale and which can be enforced by its arrest.
Whereas a possessory lien depends on possession o f property, a maritime lien
does not depend on possession and is not extinguished by transfer o f title in the
property to a bona fide purchaser w ho is not notified o f the lien ’s existence. A
maritime lien can therefore “travel with the ship” to which it attaches, and is
not lost through a change o f ownership.
(1) Damage done by a ship; (2) salvage; (3) seam an’s wages; (4) m aster’s
w ages and disbursements (i.e. sums spent on behalf o f owners); (5) bottomry;
and (6) respondentia.
Bottomry is pledging a ship, and respondentia is pledging cargo, as security for
“necessaries” (e.g. bunkers, stores, repairs) to com plete a voyage. M odem
communication methods have made them obsolete.
No. The law o f many Com m onwealth countries allow s the same maritime liens
as English law. In the U SA and many other countries, however, the range o f
maritime liens is much wider, so that suppliers o f goods and services to ships,
for exam ple, may also have maritime liens.
A maritime claim depends on ownership o f the vessel, whereas a maritime lien
can be enforced against a vessel irrespective o f ownership and despite a change
o f ownership. A maritime claim is created by statute, and in England requires
the issue o f a claim form (formerly called a writ) to bring it into existence. A
maritime lien, on the other hand, does not require a court procedure to com e
into existence.
A maritime l ien arises with the cause o f the claim. A s soon as a ship causes
damage, for exam ple, a damage lien attaches to the ship. From the time a
seam an’s w ages becom e due, a w ages lien attaches to the ship on which the
w ages were earned.
(1) A maritime lien is a lien in rem , i.e. against the matter, whereas a
possessory lien is a lien in person am , i.e. against the person (including a
company). (2) Whereas a possessory lien is dependent on possession o f the
property, a maritime lien is not dependent on possession, i.e. it travels with the
property (e.g. a ship or cargo). (3) A maritime lien survives the commercial
sale (but not the judicial sale) o f the property, whereas a possessory lien does
not.
By a claim in rem against the ship.
To provide security for a maritime claim.
By the issue o f a in rem claim form (a claim against a specific ship) in the
Admiralty Court, in accordance with the rules set out in the Suprem e C ourt A ct
1981. If security (bail) sufficient to have the ship released is not provided, the
court may order the arrest o f the ship.
The court instructs the Admiralty Marshal too arrest the ship. In most cases an
officer o f HM Custom s, on behalf o f the Admiralty Marshal, posts a warrant o f
arrest and the in rem claim form on the outer structure o f the ship (e.g. a
bulkhead near the head o f the gangway). I f the claim remains unpaid, the Court
may order the: sale o f the ship.
The U K is a party to the International Convention Relating to the Arrest o f
Sea-G oing Ships, 1952, but the convention has not been given the force o f law
in the UK. The convention was an attempt to bring uniformity to arrest
procedures worldwide.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Section C: The Shipowner, Manager and Operator
SH IP C
SHIP O STS '
COSTS
C l. What are the m ain grou ps o f ship
costs?
C2. What a re cap ita l costs?
C3. What a re running costs (or vessel
operatin g expenses)?
C4. What are voyage costs (o r voyage
expenses)?
C5. U nder a voyage ch arter o f a bulk
carrier, which costs w ill p ro b a b ly n ot be p a id
by the shipow ner?
C6. U nder a tim e charter, which g rou p o f
sh ip costs w ill usually be p a id b y the charterer?
C7. Which p a rty usually bears the costs o f
loading a n d discharging a d ry cargo ship?
[ C8. H ow can a shipm aster have an effect on
'-he o w n e r’s insurance costs?
[STATUTORY OBLIGATIONS OF SHIPOWNER
1 C9. What two obligations concerning the
I safety o f a U K ship do es the M erchant Shipping
| A a 1995 im pose on a shipow ner?
I CIO. What does section 42 o f the M erchant
I Shipping A ct 1995 p ro v id e?
m C l 1. What does section 100 o f the M erchant
B Snipping A ct 1995 p ro vid e?
IM O UNIQUE COMPANY AND REGISTERED OWNER IDENTIFICATION NUMBER
K r /2 What is an IM O Unique C om pany an d
^ R egistered O w ner Identification Num ber?
HE SHIPMASTER’S BUSINESS SELF-EXAMINER
21
*. •i 1
' -• >v- ' ' *: ^
(1) Capital costs; (2) runnirig costs (also called vessel operating expenses); and
(3) voyage costs (or voyage expenses).
The costs o f acquiring the ship, e.g. purchase costs paid to a shipbuilder or
previous owner, mortgage repayments, leasing charges, other loan charges,
initial registration fees, taxes and any bareboat charter hire.
The costs o f keeping the ship in an operable conditianr including costs o f
surveys, repairs and maintenance (including drydocking), hull and machinery
and P&I insurance premiums, crewing, provisions, stores, water and
lubricating oil. Just as a truck owner has to pay the costs o f keeping his vehicle
roadworthy and ready for hire, a shipowner has to pay his sh ip’s running costs
to keep her seaworthy and ready for a charter or other employment. A
shipowner knows the daily vessel operating expenses for each o f his ships.
Costs associated with the ship’s em ployment, including costs o f bunker fuel,
canal tolls, light dues, port charges (including pilotage, towage, berth charges,
agency fees, linesm en’s charges, etc.), passenger-handling costs, and cargo-
handling costs. V oyage costs are the costs incurred to earn the freight or other
voyage revenue. They vary with the length o f the voyage and the number o f
port calls.
Cargo-handling costs, where the freight is payable on a “free in and out” (FIO)
basis. Som e party other than the shipowner w ill be responsible for loading
(“in”) and discharging (“out”). (See also questions on FIO term s in Section F.)
The voyage costs. Since the time charterer is the beneficiary o f the ship’s
revenue during the period o f hire, he bears the costs o f earning that revenue.
(See also qu estion s on TIME CHARTERS in Section F.)
(1) In the liner trades (e.g. container and ro/ro shipping), it is usually the
shipowner, since he either uses his own cargo-handling equipment and labour,
or hires it. Freight is usually payable on a “liner terms” or “gross terms” basis
and covers loading and discharge costs. (2) Under a voyage charter it will
depend on the charterparty terms. In the dry bulk trades the usual agreement is
“free in and out” (FIO), which means som e party other than the shipowner (e.g.
the charterer, shipper or consignee) bears the cargo-handling costs, making
them “free” to the shipowner. In som e cases terms are “liner in/free out”
(LIFO) or “free in/liner out” (FILO) depending on the agreed arrangements at
load and discharge ports. In the tanker trades the shipowner bears the cost o f
pumping cargo from the ship, w hile som e party other than the shipowner bears
the loading cost.
The more incidents which result in the owner m aking a claim on his insurers,
the higher his deductible is likelv to be when the insurance is renewed. This
applies to the P&I deductible as w ell as the hull and machinery nolicv
deductible. The less careful the master is when berthine. for example, the
higher the deductible may be at next renewal o f cover. (For questions on Hull
a n d M achinery a n d P & I deductibles, se e Section G .) ■
(1) In section 42, a statutory obligation o f owners as to seaworthiness: and (21
in section 100, a statutory duty as to safe operation.
That in every contract o f em ploym ent between the owner o f a UK ship and its
master or any seaman em ployed in the ship, there w ill be an implied obligation
on the owner (1) that the owner, the master and every agent charged with
loading the ship, preparing it for sea or sending it to sea must use all reasonable
means to ensure the seaworthiness o f the ship for the voyage at its
com mencem ent, and (2) that the ship w ill be kept in a seaworthy condition for
the voyage during the voyage. This obligation cannot be contracted out o f (e.g.
by a contradictory term in the crew agreement).
That it w ill be the duty o f the owner o f a U K ship (or any other ship in UK
waters proceeding to or from a U K port) to take all reasonable steps to secure
that the ship is operated in a safe manner. (This does not apply where the ship
is proceeding to or from the UK port due to weather conditions.)
A seven-digit permanent identification number, with the prefix IMO, provided
under the IMO Unique Company and Registered Owner Identification Number
Schem e to Companies and registered owners managing ships o f 100 GT or
more engaged on international voyages. It is som etimes called the IMO
28
C l 3. Who are “the Com pany ” a n d the
“reg istered ow ner" f o r the pu rposes o f the
IM O Unique C om pany a n d R egistered O wner
Identification N um ber Schem e?
C l 4: On which docum ents m ust the IMO
C om pany Identification Num ber be inserted,
a n d when?
C l 5. From w here does a com pany or
re g istered ow n er obtain its IM O Com pany
Identification Number?
SAFETY MANAGEMENT PROVISIONS CONCERNING COMPANY
SOLAS chapter IX
C'l 6. What is the su bject o f SO LAS chapter
IX?
C l 7. What code d oes SO LAS chapter IX
m ake applicable to com panies a n d to certain
ships?
C l 8. What are the safety m anagem ent
requirem ents o f SO LAS regulation IX/3?
Application o f ISM Code
C l 9. Which ships does SO LAS ch apter IX
apply to?
C20. Which ships does SO LAS chapter IX
specifically not apply to?
C21. To which other sh ips d oes SOLAS
ch apter IX not apply?
C22. Can the requirem ents o f the ISM Code
be a p p lie d to ships in the last answ er?
C23. Is the ISM C ode a p p lied by law to any
U K ships not c o ve re d by SOLAS ch apter IX?
C24. What is the M CA's advice to com panies
operatin g sm all ships on application o f the ISM
Code?
MCA guidance on ISM Code
C25. Which M N otices explain the
application o f the ISM C ode to U K ships?
C26. What other guidan ce on the ISM C ode
is pu b lish ed by the MCA?
Contents o f ISM Code
C27. H as the ISM C ode been re v ised since
its original adoption in 1993 a s IM O resolution
A .741(18)?
C28. H ow is the re v ised (July 2010) edition
o f the ISM C ode arranged?
C29. What are the subjects o f the tw elve
parag raph s in P art A (Im plem entation) o f the
ISM C ode?
Company Identification Number and is introduced under SOLAS regulation
X I -1734. ■■■;.' - ■ O:
“Company” means the com pany w hose name appears on the ISM Code f 5
D ocum ent o f Com pliance and “registered owner” means the owner specified
on the ship’s Certificate o f Registry issued by the flag State Administration.
It must be inserted on the ISM Code Document o f Compliance and Safety
Management Certificate, and on the International Ship Security Certificate,
when they are first issued or renewed on or after 1 January 2009.
From IHS Fairplay (formerly known as L loyd’s Register - Fairplay), free o f
charge. (IHS Fairplay is also the originating source o f the IMO Ship
Identification Number.) Website: w w w .ihsfaim lav.com
M anagement for the safe operation o f ships.
The ISM Code, properly called the International M anagement Code for the
Safe Operation o f Ships and for Pollution Prevention.
(1) The Company and the shin must com nlv with the requirements o f the ISM
Code, which is mandatory for the nurooses o f regulation IX/3; and (2) the ship
must be opera ted bv a companv holding a Document o f Compliance.
Ships, regardless o f date o f build, as follows: (1) passenger ships including
passenger high-speed craft; (2) oil tankers, chem ical tankers, gas carriers and
cargo high-speed craft o f 500 GT and upwards; and (3) other cargo ships and
m obile offshore drilling units (M O D U s) o f 500 GT and upwards. (Reg. IX /2.1)
(Note: Under SO LAS regulation I/l(a ), regulation IX/2.1 applies only to ships
on international voyages.)
Government-operated ships used for non-commercial purposes. (Reg. IX/2.2)
(1) Cargo ships and M O D U s o f under 500 GT on international vovages: and
(2) all ships (including high-speed craft) and M O D U s on dom estic vovages.
Yes. Para. 1.3 o f the ISM Code provides that the requirements o f the Code may
be applied to all ships. A flag State Administration may therefore extend the
C ode’s requirements to cargo ships o f under 500 GT on international voyages,
and/or to ships on dom estic voyages, i.e. “non-SO LAS ships”.
Y es. Under EU law, sea-going passenger ro-ro ferries (U K Class 11(A) ships)
must com ply with the ISM Code.
“The U K stron gly urges com panies operatin g ships o f betw een 150 G T an d
500 G T to com ply with the requirem ents o f the ISM C ode a n d to a pply f o r
certification voluntarily. " (M G N 40, para. 13)
M GN 40 (which contains the text o f the original 13-paragraph edition o f the
ISM code, not the 16-paragraph July 2010 edition) and M SN 1826 (which
contains guidance on the July 2 010 amendments).
Instructions f o r the Guidance o f Surveyors - The ISM C ode is in the Ships and
Cargoes/Legislation and Guidance pages o f the M CA website.
Yes. The 2000 Amendments (adopted by resolution M SC. 104(73), which
added paragraphs 14, 15 and 16, entered into force on 1 January 2002. The
2004 Amendments (adopted by resolution MSC. 179(79)) and the 2005
Amendments (M SC. 195(80); made additions to the wording o f ISM
certificates. The 2008 Am endm ents (M SC .273(85)), which entered into force
on 1 July 2010, made changes to the wording o f several paragraphs and added
three new sub-paragraphs to paragraph 13.
It contains a Preamble and sixteen paragraphs arranged in two parts: tw elve in
Part A Implementation, and four in Part B - Certification and Verification.
1: General; 2: Safety and environmental protection policy; 3: Company
responsibilities and authority; 4: Designated person(s); 5: Master’s
responsibilities; and authority; 6: Resources and personnel; 7: D evelopm ent o f
plans for shipboard operations; 8: Emergency preparedness; 9: Reports and
analysis o f non-conform ities, accidents and hazardous occurrences; 10:
M aintenance o f the ship and equipment; 11: Documentation; and 12: Company
verification, review and evaluation.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

C30. What are the su bjects o f the fo u r
paragraph s in P art B (C ertification an d
Verification) o f the ISM C ode? _______________
C 3I. What is the latest pu b lish ed edition o f
the IS M C ode?
C32. What are the G uidelines referred to in
the last answ er?
C33. Which edition o f the ISM C ode is
in te d in M G N 40?
- culture
C34. Which m ajor m arine acciden t w as
instrum ental in the introduction o f the ISM
Code?
C35. What is a safety culture?
C36.' What seven fa c to r s have been iden tified
the H ealth a n d Safety Executive as creating
positive safety culture within an
anisation?
3 7. What are som e o f the characteristics o f
shipping com pany with a safety culture?
What is the key to achieving a safety
ure, accordin g to IMO?
Broadly, w hat is the p u rp o se o f the ISM
• What are the objectives o f the ISM
What sh ould the safety m anagem ent
lives o f the Com pany do?
What sh ould the safety m anagem ent
What, basically, does the ISM Code
? ship ow ners a n d operators to do?
What o r who is “the Com pany " as f a r
ISM C ode is concerned?
SHIPMASTER'S BUSINESS SELF-EXAMINER
29
13: Certification and periodica) verification; 14: Interim certification; 15:
Verification; and 16: Forms o f certificates.
The ISM C ode 2010, which consolidates the 2 0 0 4 ,2 0 0 5 and 2008
Amendments and contains all related IMO Guidelines and Guidance. It ,;
replaces the 2002 edition with effect from 1 July 2 0 1 0 ._________________
G uidelines on im plem entation o f the IS M C ode b y A dm inistrations (A ssem bly
resolution A. 1022(26); G uidelines f o r the operation al im plem entation o f the
ISM C ode by Com panies (M SC-M EPC.7/Circ.5); Guidance on the
qualifications, training a n d experience necessary f o r undertaking the role o f
the desig n a ted p erso n under the p rovision s o f the IS M C ode (M SC-
MEPC.7/Circ.6); and G uidance on near-m iss reporting (M SC-
M EPC.7/Circ.7). _________________________________________________________
The original, 13-paragraph, edition (resolution A .741(18)).
:.
The 1987 capsize o f the U K ro-ro/passenger ferry H erald o f Free Enterprise
due to the bow doors being left open when the ship went to sea. The Formal
Investigation identified a lack o f a safety culture in both the shore-side and
shipboard management, and its report found that “from top to bottom the body
corporate w as infected with the disease o f sloppiness"
It has been defined by the Health and Safety Com m ission as: “the product o f
individual and group values, attitudes, perceptions, com petencies and patterns
o f behaviour that determine the commitment to, and the style and proficiency
of, an organisation’s health and safety management. Organisations with a
positive safety culture are characterised by com munications founded on mutual
trust, b y shared perceptions o f the importance o f safety and by confidence in
the efficacy o f preventative measures”
(1) Leadership and the com mitment o f the ch ief executive; (2) a good line
management system for managing safety; (3) the involvem ent o f all
em ployees; (4 ) effective com m unications and understood/agreed goals; (5)
good organisational learning/responsive to change; (6) m anifest attention to
workplace safety and health; (7) a questioning attitude and rigorous approach
by all individuals.______________________________________________________ __,
(1) Everyone, from senior management to new recruits, knows exactly what
their responsibilities are, because company procedures and instructions are
fully documented; (2) continuous safety training is provided; (3) there is a “no­
blame” culture, so that personnel are encouraged to report accidents, pear-
m isses and deficiencies without fear o f retribution; and (4) there is no “passing
the buck” w hen som ething goes wrong.
(1) R ecognising that accidents are preventable through follow ing correct
procedures and established best practice; (2) constantly thinking safety; and (3)
seeking continuous improvement.
To provide an international standard for the safety management and operation
o f ships and for pollution prevention. (ISM Code, Pream ble, para. I)
To ensure safety at sea, prevention o f human injury or loss o f life, and
avoidance o f damage to the environment (in particular, to the marine
environment) and to property. (ISM Code, 1.2.1)
(A m ongst other things): (1) provide for safe practices in ship operation and a
safe working environment; (2) establish safeguards against all identified risks:
and (3) continuously improve safetv management skills o f personnel ashore
and aboard ships, including preparing for em ergencies relating both to safety
and environmental protection. (ISM Code, 1.2.2)
(1) Com pliance with mandatory rules and regulations; and (2) that applicable
codes, guidelines and standards recommended by IMO, Administrations,
classification societies and maritime industry organisations are taken into
account. (ISM Code, 1.2.3) ___________________________________________
To implement and maintain safety m anagement system s covering a range o f
factors including safety and environmental protection, defined areas o f
responsibility and authority, and improving management skills o f ship-based
and shore-based personnel.____________________________________________ ____
The owner o f the ship or any other organisation or person such as the manager,
or the bareboat charterer, who has assum ed the responsibility for operation o f
the ship from the shipowner and w ho, on assuming such responsibility, has
agreed to take over all the duties and responsibility im posed by the ISM Code.
(IS M C ode, P a rt A, para. 1.1.2)
30
C45: H ow can the requirem ents o f the ISM
C ode be d e sc rib ed in brief?
Comparison between ISM Code and other management schemes
C46. Is the IS M C ode ju s t another Q uality
A ssurance schem e?
C47. What a re the m ain differences between
ISM a n d ISO 9002?
C48. What are the m ain sim ilarities between
ISM an d ISO 9002?
C49. What is the difference betw een ship
classification a n d ISM?
Obligations imposed by ISM Code
C50. H ow m any obligations does the ISM
C ode directly im pose on the Com pany?
C51. H ow m any obligations does the ISM
C ode im pose on the m aster?
Safety management system (SMS)
C52. In respect o f a safety m anagem ent
system, w hat does the ISM C ode require
com panies to do?
C53. What is a safety m anagem ent system ?
C54. What are the six fun ctional
requirem ents requ ired to be included in every
safety m anagem ent system ?
Designated Person (DP o r DP A)
C55. What are the respon sibilities under the
ISM C ode o f a D esign ated Person (or
D esign ated Person Ashore•)?
C 56. ; Should D P A s have any qualifications,
training o r experience?
To: (1) sav what vou do (in a set o f procedures and instructions in a safetv
management svstem or SMS'): (2) do what vou sav (i.e. com nlv with the SM S),
and (3) be able to prove it (bv means o f evidence such as log entries,
checklists, drill records, answers to auditors’ questions, performing operations
under obser vation by auditors, etc.).
N o. It does not assure the quality o f a com pany’s management system s, like
ISO 9002.
(1) ISM applies to safety at sea and pollution prevention, whereas ISO 9002
applies to quality assurance o f services; (2) ISM applies to ship management
and shipboard operations, whereas ISO 9002 applies to the contractual
relationship between a supplier and his customer; (3) the purpose o f ISM is to
demonstrate com pliance with international and national safety and pollution
prevention requirements, whereas the purpose o f ISO 9002 is to show
com pliance with the customer’s quality requirements; (4) ISM is implemented
through a safety management system , whereas ISO 9002 is implemented
through a com pany quality management system; (5) ISM involves a shore-
based audit o f the Company and issue o f a Docum ent o f Compliance, as well
as a ship audit and issue o f a Safety Management Certificate, whereas ISO
9002 involves a Company audit and a Certificate o f Quality System Approval;
(6) ISM is mandatory for a Company whereas ISO 9002 is voluntary.
Both require docum enting of: (1) the Company’s organisational structure; (2)
the responsibility and authority o f individuals; (3) procedures and instructions
for routine operations; (4) procedures and instructions for non-routine
situations that may arise; and (5) procedures for internal audits and corrective
action and review. The structure o f a documented safety management system is
not unlike the structure o f a quality m anagement system.
Ship classification is to ensure that the structural strength o f the ship and the
reliability o f its equipment are in accordance with the rules o f the classification
society, whereas ISM is to ensure that safety and pollutioh-prevention activities
in a Company and its ships are in accordance with a docum ented safety
management system that meets the requirements o f the ISM Code.
The Code contains 24 direct obligations on the Company, i.e. provisions that
begin: “The C om pany sh ou ld . . . ”
N on e directly, that is to say, the Code does not say anywhere: “The m aster
s h a l l ... ", However, para. 5 requires the Company to document in the SM S
five areas o f responsibility o f the master (see below).
Each Company should develop, implement and maintain a safety management
system (SM S) that includes six functional requirements. (Para. 1.4)
A structured and docum ented system enabling Company personnel to
effectively im plem ent the Com pany’s safety and environmental protection
policy. An SM S w ill normally include manuals or electronic documents in
which procedures covering every operation o f the Company and its ships, both
routine and em ergency, with checklists and other supporting documentation.
( H A safetv and environmental protection nolicv: (2) instructions and
nrocedures to ensure safe operations o f ships and protection o f the environment
in com pliance with relevant international and flag State legislation: (3) defined
levels o f authority and lines o f communication between, and amongst, shore
and shipboard personnel; (4) procedures for reporting accidents and non­
conformities with the ISM C ode’s provisions: (5) procedures to prepare for and
respond to em ergencv situations: and (6) procedures for internal audits and
management review s. (Para. 1.4)
To ensure the safe operation o f each ship and to provide a link between the
com pany and those on board, every company, as appropriate, should designate
a person or persons ashore having direct access to the highest level o f
management. The responsibility and authority o f the designated person(s)
should include monitoring and safetv pollution prevention aspects o f the
operation o f each ship and to ensure that adeauate resources and shore-based
support are applied, as required. (Para. 4)
IMO guidance on the qualifications, training and experience necessary for
D PAs is set out in M SC-M EPC.7/Circ.6 published in October 2007. The
Company should provide the necessary training courses and evidence that the
DPA has the relevant qualification, training and experience.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

C 57: What does the ISM C ode require the
C om pany to do regarding the m aster's
respon sibility a n d authority?
C58. What does the ISM C ode require the
C om pany to do regarding the m aster's
authority?
C59. Under the ISM Code, w hat m ust the
Com pany ensure regarding the m aster?
C60. U nder the ISM Code, what m ust the
Com pany ensure regarding manning?
C61. A re there a n y international standards
fo r seafarers 'fitness?
C62. U nder the IS M Code, w hat m ust the
Company do regarding fam iliarisation
training?
C63. What does the ISM C ode mean by
■nstructions which are essen tial to b e p ro v id e d
'■mr to sailin g
754. H ow m ight the requ ired fam iliarisation
‘•r given f o r person n el transferred to a new
■gnment?
Company’s ISM Code obligation to ensure personn el have a knowledge o f applicable rules and
-v g u l a t i o n s _____________ ___
55 Under the ISM Code, w hat must the
•npany ensure regarding person nel
■•Jerstanding relevant rules a n d regulations?
"‘ Under the ISM Code, w hat must the
'rpany do regarding person n el training?
Under the ISM Code, w hat m ust the
npany do regarding the language o f the
Company’s ISM I
Under the ISM Code, w hat must the
m r-any do regarding S M S-related o n -board
im m unication?
Company's ISM Code obligations regarding developing plans for shipboard operations
What must the Com pany do about
lin g plans f o r sh ipboard operations?
What are the “key sh ipboard
ions ” referred to in the last answ er?
r-tiPMASTER’S BUSINESS SELF-EXAMINER
31
To clearly define and document the master’s responsibility in relation to: (1)
implementing the safetv and environmental protection policy o f the Company;
(2) motivating the crew in the observation o f that policy; (3) issuing
appropriate orders and instructions in a clear and sim ple manner; (4) verifying
that specified requirements are observed; and (5) periodically review ing the
SM S and reporting its deficiencies to the shore-based management. (Para. 5.1)
To ensure that the SM S operating on board the ship contains a clear statement
emphasising the master’s authority. The Company should establish in the SM S
that the master has the overriding authority and the responsibility to make
decisions with respect to safety and pollution prevention and to request the
com pany’s assistance as may be necessary. (Para. 5.2) (The master’s
overriding authority applies in both normal and em ergency circumstances.)
That he is: ( I ) properly qualified for command; (2) fully conversant with the
SM S: and (3) given the necessary support so that his duties can be safely
performed. (P ara 6.1) _____________ ________
That each ship is. manned with qualified, certificated and m edically fit seafarers
in accordance with national and international requirements. (Para. 6.2)
N o. Som e countries (such as the U K ) have national standards and som e
com panies have (higher) com pany standards, but there are no international
standards. So com pliance with the ISM Code m ay be difficult in this respect.
The Company should establish procedures to ensure that new personnel and
personnel transferred to new assignments related to safety and protection o f the
environment are given proper familiarisation with their duties. Instructions
which are essential to be provided prior to sailing should be identified,
documented and given. (Para. 6.3)___________ - •
Instructions, for example, regarding fire and survival craft stations and
responsibilities; and making the sh ip’s LSA Training Manual available for the
new crew member to read.
(1) Shore seminars before joining ship; (2) an overlap period with a “double”;
(3) on-board training at sea w hile sailing as a supernumerary; and (4) training
with visual aids such as manuals, operating instructions and videos.
The Company should ensure that all personnel involved in the com pany’s SM S
have an adequate understanding o f relevant rules, regulations, codes and
guidelines. (Para. 6.4) ____________________________________________________
The Company should establish and maintain procedures for identifying any
training w hich may be required in support o f the SM S and ensure that such
training is provided for all personnel concerned. (Para. 6.5)
The Company should establish procedures by which the sh ip’s personnel
receive relevant information on the SM S in a working language or languages
understood by them. (Para. 6.6)
1on-board communication
The Company should ensure that the ship’s personnel are able to communicate
effectively in the execution o f their duties related to the SM S. (Para. 6.7)
The Company should establish procedures for the preparation o f plans and
instructions for key shipboard operations concerning the safety o f the ship and
the prevention o f pollution. The various tasks involved should be defined and
assigned to qualified personnel. (Para. 7)____________________________________
(1) All those operations for which mandatory rules and regulations prescribe
perforrtiance requirements or specific requirements for plans, procedures,
instructions, records and checklists; (2) those operations connected to the
particular ship’s type and which m ay affect safety and pollution prevention, to
the extent established by the Company; (3) those operations for w hich safe
practices in ship operations and a safe working environment have been
recomm ended by the IMO, Administrations, classification societies and other
industry bodies; and (4) those operations which the Company considers may
create hazardous situations i f not controlled by plans and instructions. (IACS
32

| Reco'mmendalion No. 41 - G uidance for A uditors to the ISM Code)

Coiwp&ny $ iSM Cod@ oi)/icjqti0?ts f & o surdities pot&nti&§ ®/?i6 rcf6 ncy sfiipbosrd situations
C 7 1. What must the Com pany do about The Company should establish procedures to identify, describe and respond to
developin g p la n s an d training f o r p o ten tia l potential em ergency shipboard situations. (Para. 8.1) It should also establish
em ergencies on board? programmes for drills and exercises to prepare for em ergency actions. (Para.
8.2)
C72. What kind o f situations sh ou ld the plan s (1) Shore terminal-related situations such as overloading, discharging,
in the last a nsw er cover? ballasting, deballasting, fire and explosion; (2) vessel-related situations such as
heavy weather damage, grounding and collision; and (3) personnel-related
situations such as abandonment o f the ship, man-overboard, serious injury, and
confined space rescue.
C73. What must the Com pany do about The SM S should provide for measures ensuring that the Com pany’s
ensuring it can respon d to em ergencies on organisation can respond at any time to hazards, accidents and em ergency
board? situations involving its ships. (Para. 8.3) This means in practice that the
Company should have in place ashore procedures (and any necessary
equipment or other resources) for responding at any time to a shipboard
emergency. A 24-hour contact should be available to the master.
Company’s ISM Code obligation in retation to management reviews
C74. What does the ISM C ode require the Paragraph 1.4. requires the Company fo develop, implement and maintain an
C om pany to do regarding m anagem ent SM S which includes procedures for management reviews.
review s?
C75. What is m eant b y “m anagem ent A procedure for shore management personnel (including the DP) to review the
review "? shore-side and shipboard safety management system to ensure its continuing
suitability, adequacy and effectiveness. R eview s are usually made in one or
more regular m eetings at which an analysis o f reported accidents and non- J
conformities is made to determine trends.
ISM Code audits and certification For questions on the ship’s ISM certification see Section D
C76. What, certificate m ust be issu ed to a A D ocum ent o f Com pliance (D O C ) must be issued to a Company that
C om pany under the IS M Code, an d who issues com plies with the requirements o f the ISM Code. (SOLAS reg. 1X/4.1)
it in the case o f a U K -based Com pany?
C77. Which entity m ust issue the DO C, under The flag State Administration, an organization recognized by the
the IS M C ode? Administration, or at the request o f the Administration by another Contracting
Government (which means another SO LAS party State). (SOLAS reg. IX/4.1)
C78. Who issues the D O C to a U K -based Norm ally the M CA, follow ing a satisfactory initial audit. (See below, however,
Com pany? fo r arrangem ents in the c a se o f a C om pany with a m ulti-flagged fleet.)
C79. Who issues the D O C to a U K -based A copy o f the DOC must be kept on board the ship so that the master can
C om pany? . produce it on request for verification. (SO LAS reg. 1X74.2)
CSO. D oes a U K sh ip 's D O C n e e d to be a N o. •
certified o r auth en ticated copy?
C81. H ow does a U K Com pany obtain its (1) The Companv applies to the M CA for initial DOC verification. (2) A
IS M certification? document review (an inspection o f the SM S documentation) is carried out as
part o f the pre-audit assessm ent. (3) An initial audit o f the Company’s shore-
based management organisation is carried out for com pliance with the ISM
C ode’s requirements. (4) A DOC is issued to the Company follow ing
successful audit o f the shore-side aspects o f the SM S. (Objective evidence
should be available to show that the Company has been operating the SM S
ashore for at least 3 months and for 3 m onths on at least one ship o f each type
operated by the Company.) In the case o f a new Company the DOC will be an
Interim DOC. (5) An audit o f the Com pany’s ships is carried out to verify
com pliance with the ISM C od e’s requirements. This includes a verification that
the DOC for the Company responsible for the operation o f the ship is
applicable to that particular type o f ship and that a copy DOC is held on board.
(6) On successful com pletion o f audit o f each ship a Safety M anagement
Certificate is issued to the ship. (F or questions on the Safety M anagem ent
Certificate, see Section D.)
C82. In w hat circum stances m ay an Interim When: (1 ) a Company is new ly established; or (2) a new ship type is to be
D O C be issued? added to an existing DOC, provide the Company demonstrates plans to
implement the SM S m eeting the full requirements o f the ISM Code within the
period o f validity o f the Interim DOC. A copy o f the Interim DOC (which does
not need to be authenticated or certified by the M CA) must be placed on board
each ship in the C om pany’s fleet.
C83. What is the maximum p e r io d o f validity 12 months.
o f an Interim D O C ?
C84. What external audits is the Com pany Initial, annual, renewal and, as and when required, additional audits o f the
su bject to under the IS M C ode? shore-side safety management system o f the Company.
C85. Which entity sh ou ld b e issu ed with the W hichever company which has assumed responsibility for the operation o f the
D O C : the s h ip ’s ow ner o r the ship m an ager? ship. Where contractors perform elem ents o f responsibility (e.g. crew
management and technical management), only one DOC is issued to “the
Company”.

THE SHIPMASTER’S BUSINESS SELF-EXAMINER


| CS6. Who w ill ca rry out audits a n d issue the
j D O C to a Com pany that o perates a m ulti-
fla g g e d fleet?
C87. What w ill an annual audit o f the shore-
sid e SM S norm ally include?
C88. What is the maximum p e rio d o f validity
\ o f the D ocum ent o f C om pliance?
C89. What details a re shown on a D ocum ent
o f Com pliance?
C90. When ascertain in g the a nniversary date
o f the D O C (for the annual audit), which date
should the months be counted from ?
I C91. In w hat circum stances m ay a D O C be
-■ithdrawn?
I C92. Who can w ith draw the D O C ?
1 C93. A D O C is w ithdraw n from a Company,
1 e.g. due to m ajor non-conform ities. H ow w ill
t hat affect the C o m p a n y’s sh ips ?
DSM CODE
I C94. What is the p ro p e r nam e o f the D S M
I Code, a n d who a n d w hat sh ips does it a pply to?
[ C95. Where can instructions a n d guidance
j about the D S M C ode be found?
I C96. A ccordin g to the M CA's guidance, w hat
I should an o perator create in o rd er to com ply
* ith the D S M C ode?
1 C97. What certificate is issu ed to a ship
1 covered b y the D S M Code?
1 C98. What audits are requ ired under the
1 D SM C ode?
SECURITY PROVISIONS CONCERNING COMPANY
. SOLAS chapter X I-2
1 C99. What is the su bject o f SO LAS chapter
IJO -2 ?
7100, What code does SO LAS ch apter XI-2
I make applicable to certain sh ips a n d to certain
b o r t facilities?
UC101. What does SOLAS ch a pter X I-2 apply
W/C102. Can a C ontracting G overnm ent extend
lo t e application o f SO LAS chapter XI-2?
VI03. Which ships does SO LAS chapter XI-2
W m ecifically not a pply to?
T -S SHIPMASTER’S BUSINESS SELF-EXAMINER
33
Such a Company should approach the relevant flag State Administrations
proposing a plan o f action and requesting agreement by all parties on which
entity w ill carry out which part o f the auditing and certification process. The
DOC may be issued by the flag State Administration, an organization
recognized by the Administration, or at the request o f the Administration by
another Contracting Government. (M SC/Circ. 762)
An examination of: (1) reports o f internal audits o f offices and ships; (2)
follow -up o f corrective action and closing out o f non-conform ities; (3) records
o f management reviews; (4) reporting o f accidents, hazardous occurrences and
non-conformities; (5) amendments to procedures, instructions and revisions to
documentation; (6) recruiting and training records o f staff (ashore and
seagoing); (7) reports o f inspections o f ships; (8) forward planning schedules
for the SM C audits o f the Com pany’s ships; and (9) reports on any initial,
intermediate or renewal audits conducted to date.
F ive years, subject to satisfactory annual audit.
The name and address o f the Company, the types o f ship operated by the
Company, and (on the back) endorsements bn com pletion o f annual audits.
Backwards from the expiry date. The issue date has little relevance in this
context since the DOC m ay have been re-issued due to a change o f Company
name or address, etc.
If: (1) an annual verification (as required by ISM Code para. 13.4) is not
requested; or (2) i f there is evidence o f major non-conformities.
The flag State Administration or the Contracting Government which issued the
DOC (e.g. in the case o f a Company with a m ulti-flagged fleet).
They w ill not be: able to operate. A ll associated Safety M anagement
Certificates or Interim Safety M anagement Certificates should also be
withdrawn i f the; DOC is withdrawn.
See also DSM CODE AUDITS and CERTIFICATION in Section D
The Safety M anagement Code for Dom estic Passenger Ships. It applies to any
company operating a U K passenger ship o f Classes III to V I(A ) and to any ship
o f those classes owned by it or for w hich it has operational responsibility. A
In MGN 158 and in M SN 1754.
A safe working environment which includes: (1) a health and safety protection
policy; (2) procedures to ensure safe operation o f ships in com pliance with
regulations and rules; (3) lines o f communication between personnel ashore
and afloat; (4) procedures for reporting accidents; and (5) procedures for
responding to em ergency situations.
A D om estic Ship Safety M anagement Certificate (D SSM C ). In order to
sim plify certification o f ships o f Classes III to V I(A), a com bined Passenger
Certificate (PC) and D SSM C is also available, with a 5-year maximum validity
period.
An initial audit is carried out at the sam e time as a ship is surveyed for issue o f
a Passenger Certificate (PC). A mid-term audit is required, when the ship is in
service, between 3 and 6 months after issue o f the PC, to assess whether the
SM S is functioning effectively.
Special measures to enhance maritime security.
The ISPS Code, properly called The International Code for the Security o f
Ships and o f Port Facilities.
(1 ) The follow ing types o f ship on international voyages: passenger ships,
including high-speed passenger craft (o f any tonnage); cargo ships, including
high-speed craft, o f 500 GT and upwards; and m obile offshore drilling units
(M O D U s-): and (2) port facilities serving such ships engaged on international
voyages.
Y es. Contracting Governments (i.e. party States) may decide to extend
application o f chapter X I-2 and relevant parts o f Part A o f the ISPS Code to
ports in the State only occasionally serving ships on international voyages.
Warships, naval auxiliaries or other ships owned or operated by a Contracting
Government and used only on Government non-commercial service.
34
C l 04. What requirem ents does SO LAS
chapter X I-2 require com panies to com ply
with?
Specific responsibility o f Company under SOLA S chapter X I-2
C l 05. What is the specific respon sibility o f the
Com pany under SO LAS chapter XI-2?
ISPS Code
C 106. What is the p ro p e r nam e o f the ISPS
C ode?
C107. U nder which SO LAS chapter is the
ISPS C ode applicable?
C l 08. H ow is the ISPS C ode arranged?
Objectives o f ISPS Code
C l 09. What are the objectives o f the ISPS
C ode?
Implementation o f ISPS Code in the UK
C l 10. Which regulations im plem ent the ISPS
C ode in the UK?
C l l l . To which vessels on international
voyages do The Ship a n d P ort F acility
(Securityj Regulations 2004 apply?
C l 12. To which vessels on dom estic voyages
do The Ship a n d P o rt F acility (Security)
Regulations 2004 apply?
C l 13. Which organisations are respon sible
f o r im plem enting the ISPS C ode in U K p o rts
a n d on U K ships ?
Functional requirements o f ISPS Code
C l 14. What are the seven fun ctional
requirem ents o f the ISPS Code?
Company’s obligations imposed by ISIPS Code
C l 15. What obligations does the ISPS C ode
directly im pose on the Com pany?
The relevanl requirements o f SO LAS chapter X I-2 and o f part A o f the ISPS
Code, talcing into account the guidance given in part B o f the ISPS Code.
The Company must ensure that the master has available on board, at all times,
information through which officers duly authorised by a Contracting
Government can establish: (1) who is responsible for appointing the members
o f the crew or other persons currently em ployed or engaged on board the ship
in any capacity on the business o f that ship; (2) who is responsible for deciding
the em ployment o f the ship; and (3) in cases where the ship is em ployed under
the terms o f charter party(ies), w ho are the parties to such charter party(ies).
The International Code for the Security o f Ships and o f Port Facilities. (It is
som etim es called the International Ship and Port Facility Security Code.)
Chapter XI-2 (Special Measures to Enhance Maritime Security).
In tw o parts. Part A has 19 sections containing mandatory requirements
regarding the provisions o f SOLAS chapter XI-2. Part B has 19 paragraphs
containing guidance on the requirements o f SO LAS chapter XI-2 and Part A.
(1) To establish an international framework involving cooperation between
Contracting Governments, Government agencies, local administrations and the
shipping and port industries to detect security threats and take preventive
measures against security incidents affecting ships or port facilities used in
international trade: (2) to establish the respective roles and responsibilities o f
the Contracting Governments, Government agencies, local administrations and
the shipping and port industries, at the national and international level, for
ensurm e maritime security; (3 ) to ensure the earlv and efficient collection and
exchange o f securitv-related information: (4) to provide a m ethodoloev for
security assessm ents so as to have in Diace plans and procedures to react to
changing securitv levels: and (51 to ensure confidence that adequate and
proportionate maritime security measures are in place.
The Ship a n d P ort F acility (Security) R egulations 2004 (SI 2004/1495). (The
Regulations actually give effect to an EC Regulation (Regulation (EC) No.
725/2004) which extends the application o f SO LAS chapter X I-2 and Part A o f
the ISPS Cotie to dom estic shipping in respect o f Class A passenger ships, their
com panies and the port facilities serving them.)
The follow ing types o f U K ships and non-UK ships in UK waters when
engaged on international voyages: (1) passenger ships including high speed
craft w hich carry more than 12 passengers; (2) cargo ships, including high
speed craft, c>f 500 GT and upwards; and (3) m obile offshore drilling units.
Class A passenger ships operating dom estic services within U K waters. UK
passenger ships o f C lasses 11(A), IV and V are Class A ships.
TRANSEC (the Transport Security and Contingencies Directorate o f the
Department for Transport), has overall responsibility for implementing the
requirements o f the ISPS Code in the UK and deals primarily with port facility
and passenger ship security. The M CA is responsible for non-passenger ship
security. (S ee also D epartm en t for T ransport in Section B.)
(11 Gathering and assessing information with respect to securitv threats and
exchanging such information with appropriate Contracting Governments; (2)
reauiring the maintenance o f communication protocols for ships and port
facilities: (31 preventing unauthorised access to ships, port facilities and their
restricted areas; (41 preventing the introduction o f unauthorised weapons,
incendiary devices or explosives to ships or port facilities: (51 providing means
for raising the alarm in reaction to securitv threats or securitv incidents; (61
reauiring shin and port facility securitv plans based upon security assessments;
and (71 reauiring training, drills and exercises to ensure familiarity with
security plans and procedures. (Section 1.3)
Obligations to: (1) make a statement in the ship security plan emphasising the
master’s authority; (2) establish that the master has overriding responsibility
and authority and may request the Com pany’s assistance; (3) give support to
the master and security personnel (Section A 6); (4 ) designate a company
security officer. (Section A l l )
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
 35
Company’s ISPS Code obligations rmlarding m aster's authority
C l 16. What are the C o m p a n y’s obligations The Company must ensure that the ship security plan contains a clear statement
under the ISPS C ode regarding the m a ste r’s emphasising the master’s authority. The Com pany must establish in the ship
authority? security plan that the master has the overriding authority and responsibility to
make decisions with respect to the safety and security o f the ship and to request
the assistance o f the Company or o f any Contracting Government (i.e. a
SO LAS Party State) as may be necessary. (Section 6.1)
Company's ISPS Code obligation reg<irding support for m aster and ship security officer
C l 17. What are the C om pany's o bligations The Company must ensure that the com pany security officer, the master and
under the ISPS C ode regardin g support f o r the the ship security officer are given the necessary support to fulfil their duties
m aster a n d sh ip secu rity officer? and responsibilities in accordance with SO LAS chapter X I-2 and Part A o f the
ISPS Code. (For questions on SSO training, see Section E.)
ISPS Code obligations regarding sMp security assessment
C l 18. What obligations are im posed b y the The com pany security officer must ensure that the ship security assessm ent is
ISPS C ode regarding the ship security carried out by persons with appropriate skills to evaluate the security o f a ship,
assessm ent? in accordance with this section, taking into account the guidance given in part
B o f the Code. (Section 8.2)
C l 19. D oes the ISPS C ode allo w a Yes. Subject to the provisions o f section 9.2.1, a recognized security
R ecognized Security O rganization to carry out organization (RSO) may carry out the ship security assessm ent o f a specific
a ship secu rity assessm ent? ship. (Section 8.3) (Section 9.2.1 provides that where the approval and review
o f a ship security plan is entrusted to an RSO , the RSO should not have been
involved in the preparation o f the ship security assessm ent or ship security
plan.)
C l 20. What is a R ecogn ized Security An organisation with appropriate expertise in security matters and with
O rganization (RSO)? appropriate knowledge o f ship and port operations authorized to carry out an
assessm ent, or a verification, or an approval or a certification activity, required
by SO LA S chapter X I-2 or by part A o f the ISPS Code. R SO s can be approved
by flag State Administrations to: (1) carry out ship security assessments; (2)
prepare ship security plans; (3) review and approve ship security plans, or
amendment to Plans; and (4) carry out initial and subsequent verifications o f
ships. RSOs approved by som e flag States include classification societies and
private security firms.
C 12I. D oes the U K G overnm ent d elegate ship N o. The M C A ’s w ebsite guidance on com pletion o f ship security assessm ents
security fun ctions to any RSOs? states that the U K is not approving RSO s, therefore any reputable firm o f
consultants may be utilised to carry out the SSA.
Cl22. What m ust a ship security assessm ent An on-scene security survey and, at least, the follow ing elements: (1)
include? identification o f existing security measures, procedures and operations; (2)
identification arid evaluation o f key ship board operations that it is important to
protect; (3) identification o f possible threats to the key ship board operations
and the likelihood o f their occurrence, in order to establish and prioritise
security measures; and (4)identification o f weaknesses, including human
factors in the infrastructure, policies and procedures.. (Section 8.4)
1Cl23. What m ust the C om pany do w ith the It must be documented, reviewed, accepted and retained by the Company.
snip security assessm ent? (Section 8.5)
Company’s ISPS Code obligation regarding designation o f company security officer
\ Cl24. What is the C om pany's obligation The Com pany must designate a com pany security officer (CSO). A person
m d e r the ISPS C ode regardin g designation o f designated as CSO may act as CSO for one or more ships, depending on the
a company secu rity officer? number or types o f ships the Company operates provided it is clearly identified
for which ships this person is responsible. A Company may, depending on the
number or types o f ships they operate designate several persons as CSOs
provided it is clearly identified for which ships each person is responsible.
(Section 1 1.1)
ISPS Code obligation regarding training o f company security officer and others
I Cl25. What obligation s a re im posed by the The CSO and appropriate shore-based personnel must have know ledge and
I ISPS C ode regardin g training o f the com pany received training, taking into account the guidance in part B o f the ISPS Code.
| tecurity officer? (Section 13.1)
SPS Code obligation regarding panic ipation in set:urity exercises
1Cl 26. What obligations are im posed b y the The CSO m ust ensure the effective co-ordination and implementation o f ship
I i SPS C ode regarding p a rticipation o f the security plans by participating in exercises at appropriate intervals, taking into
1 -npany security officer in security exercises? account the guidance in part B o f the ISPS Code. (Section 13.5)

SHIPOWNERS’ AND SHIP MANAGERS’ ORGANISATIONS

C l 27. What is the C ham ber o f Shipping? The trade association and em ployers’ association for British shipowners and
shipmanagers. Website: ww w.british-shippins.org
1 C l 28. What is the International C ham ber o f An international association o f national trade associations representing
-■ 'zoing (ICS)? shipowners and operators in m any countries. ICS promotes the interests o f
shipowners and operators in all matters o f shipping p olicy and ship operations
other than crew matters (which are the province o f the ISF). ICS/ISF website:

~ - = SHIPMASTER’S BUSINESS SELF-EXAMINER

36
ww w .m arisec.ore
C l 29. What is the International Shipping The international em ployers’ organisation for shipowners, concerned with
F ederation (ISF)? labour affairs and manning and training issues at international level. ICS/ISF
website: www.marisec.ors;
C l 30. What is B IM CO ? The Baltic and International Maritime Conference, which has an international
membership o f shipowners, shipbrokers, agents and P&I clubs. BIM CO
represents the view s o f its members and helps them avoid costly business
mistakes. It publishes many well-drafted forms including charter parties and
bills o f lading, and publishes B IM CO Bulletin monthly. Website:
w w w .bim co.dk
C131. What is Intertanko? The International A ssociation o f Independent Tanker Owners, which promotes
the interests o f independent tanker owners and managing operators. Website:
www.intertariko.com
i C l 32. What is Intercargo? The International A ssociation o f Dry Cargo Shipowners, w hich promotes and
protects the interests o f drv bulk shipowners. Website: w w w.intercareo.ore
C l 33. What is Interm anager? The International Ship M anagers’ Association, an association o f ship and crew
managers aspiring to a higher quality standard than that demanded by
international regulation. Website: www.intermanaeer.org
C l 34. What is the International Salvage An international association for professional salvors world-wide. Website:
Union (ISU)? ww w.m arine-salvage.com

THE SHIPMASTER’S BUSINESS SELF-EXAMINER


Section D: The Ship
APPROVED STANDARDS OF CONSTRUCTION AND EQUIPMENT FOR UK SHIPS
International and EU law on design, construction and maintenance standards
D l. IVhat is the international law on
standards o f design, construction a n d
maintenance o f the hull, m achinery a n d
electrica l a n d control installations o f ships?
D2. What m ajor change in international
p a ssen g er ship regulations cam e into effect on
1 July 2 010?
I D3. What is the basic idea behind “go a l-
based" standards?
D4. What d oes E U la w s a y about standards
o f construction a n d m aintenance o f the hull,
m achinery a n d electrica l a n d control
installations o f ships under E U flags?
I D5. Which M N otice sets out the a p p ro ved
1 standards o f construction a n d m aintenance f o r
| U K ships?
Recognised Organisations
I D 6. What are R ecogn ised O rganisations f o r
I {he pu rposes o f IM O regulations?
1 D7. What are R ecogn ised O rganisations f o r
| the pu rposes o f E U shipping law ?
1 D 8. U nder E U law, w hat certificates may
l be issu ed b y a R ecogn ised O rganisation?
1 D 9. Which organ isation s have been g ra n te d
1 R ecognised O rganisation status f o r p u rp o ses o f
l o w survey an d certification o f U K ships?
I D l0. Which organisation sets the a p p ro ved
1 sacn d a rd fo r e lectrical installations in a
UK
ID / /. What type o f organisation m ay carry
1 i n f C argo Ship Safety Radio Certificate su rvey
w m td certification duties on b e h a lf o f an E U fla g
p h —e A dm inistration?
; SHIP REGISTRATION and CERTIFICATE OF BRITISH REGISTRY
* ‘Registration purposes and benefits
ID / 2 What are the c h ie f p ra c tic a l pu rposes o f (1) To enable the ship to trade internationally; (2) to
m rr~ .aering a ship?
H i H ow can registration help a ship to
internationally?
p - 5 SHIPMASTER’S BUSINESS SELF-EXAMINER
37
SOLAS regulation 11-1/3-1 provides that, in addition to the requirements o f the
other (SO LA S) regulations, ships must be designed, constructed and
maintained in com pliance with the structural, mechanical and electrical
requirements o f a classification societv which is recognised bv the (flag State)
Administration in accordance with the provisions o f regulation X I/1. or with
applicable national standards o f the Administration which provide an
equivalent level o f safety.
N ew goal-based fas opposed to prescriptive) passenger ship safetv standards
came into force which include: (1) alternative designs and arrangements: (2)
safe areas and the essential svstem s to be maintained w hile a ship proceeds to
port after a casualty, which w ill require redundancy o f propulsion and other
essential svstems; (3) on-board safetv centres, from where safetv svstem s can
be controlled, operated and monitored; (4) fixed fire detection and alarm
svstem s. including requirements for fire detectors and manually operated call
points to be capable o f being rem otely and individually identified; (5) fire
prevention, including amendments aimed at enhancing the fire safetv o f
atriums, the means o f escape in case o f fire and ventilation system s; and (6)
time for orderlv evacuation and abandonment, including requirements for the
essential system s that must remain operational in case any one main vertical
zone is unserviceable due to fire.
IMO states what must be achieved, leaving classification societies, ship
designers and naval architects, marine engineers and ship builders the freedom
to decide on h ow best to em ploy their professional skills to m eet the required
standards. This makes possible alternative designs and arrangements for ships.
Article 14 o f Council Directive 94/57/E C , as amended, provides that each EU
Member State must ensure that ships flying its flag are constructed and
maintained in accordance with the hull, machinery and electrical and control
installation requirements o f a R ecognised Organisation.
M SN 1672, as amended by Amendm ents 1 and 2. It states that for hull,
machinery and control installations, the approved standards must be those o f
the classification societies approved by the U K as R ecognised Organisations.
Organisations m eeting the minimum standards in IMO Resolution A .739(18)
to which flag States may delegate their survey and certification functions under
SO LAS and other conventions. They are generally classification societies. ROs
must operate according to specifications in resolution A .789(19).
Organisations m eeting specified criteria in the Annex to Directive 94/57/EC
(as amended) on com mon rules and standards for ship inspection and survey
organizations, to which EU M ember States are allow ed to delegate their survey
and certification functions. Again, they are generally classification societies.
The first issue o f any Exemption Certificate, which m ust always be issued by
the flag State Administration.
L loyd’s Register (LR), Bureau Veritas (B V ), Det Norske Veritas (D N V ),
Gertnanischer Lloyd (G L), American Bureau o f Shipping (A B S), Registro
Italiano Navale (R INA) and Nippon Kaiji Kyokai (N K K or Class NK ). The
hull, machinery and control installations o f every UK ship must be constructed
and maintained to the standards o f one o f these ROs.
The Institution o f Electrical Engineers (IEE). Alternatively, the equivalent
standard o f one o f the approved classification societies (listed in the previous
answer) may be used.
A private body having sufficient expertise and qualified personnel to carry out
specified safety assessm ent work on radiocommunication on its behalf.
facilitate easier ship
finance; (3) to facilitate easier sale and purchase o f the ship; and (4) to enhance
the value o f the ship. , , \ ,>
Som e countries require ships departing for foreign destinations to declare their
nationality. (Section 6 o f the M erchant Shipping Apt 199$ requites thi& iw tk& ’k :
U K .) The Certificate o f Registry o f a foreign-going ship is usually taken ashore
by the agent before departure for examination by the port State Administration
38
or harbour authority.
D14. H ow d o e s registration fa c ilita te e a sier Firstly, mortgages are less easily obtained for unregistered ships. Secondly, a
sa te a ridpurch ase o f a ship? ■ ~ prospective owner can inspect the ownership details of'a registered ship on the '
register in order to verify that the ship is free o f “encumbrances” such as an
undischarged mortgage.
D l 5. H ow does registration fa c ilita te easier Banks and finance houses from whom shipowners seek ship finance usually
ship finance? require a ship to be registered, since the ship w ill usually be their security for
the loan.
D 16. H ow c ou ld registration under a The shin would be entitled to: (1) military assistance from the flag State’s
particu la r f la g benefit a m erchant sh ip during a armed forces (e.g. in a war zone or niracv area): and (2) consular assistance
voyage? from the flag State’s diplomatic representatives in foreign ports. (For questions
on P ro p e r Officers, se e Section B.)
Types o f ship register
D l 7. What is a ship register? An official (and, in many countries, public) record o f ships entitled to fly a
State’s flag. The register may be computerised (like the U K ’s) or paper.
D 18. What are the various types o f ship (1) National registers (also known as closed registers): (2) flags o f convenience
register? (also called open registers): and (3) second registers (in som e cases also known
as offshore registers).
National flag registration
D 19. What is a national register? A register o f ships ow ned by persons having genuine links with the flag State,
e.g. where the ow ning or operating com pany is established in the flag State.
The U K register and the Netherlands register are examples.
D 20. Why do m any ship ow ners a n d M ainly to save costs (principally in crewing), and to reduce their tax liabilities.
operators flag out to non-national registers?
Flag o f convenience (FOC) registration
D 2 1. What is a f la g o f convenience, or A flag under which there needs to be no genuine link between the flag State
FOC? and the beneficial ownership o f the vessel (i.e. where the ship’s earnings go).
D 22. Who decides which registers are to be The Fair Practices Committee o f the International Transport Workers’
c a lle d flags o f convenience, o r FOCs? Federation (ITF). ITF website: ww w.itfglobal.org
D23. Which ship registers are currently Antigua and Barbuda; Bahamas; Barbados; Belize; Bermuda (UK); Bolivia;
c on sidered b y the ITF to be fla g s o f Burma/Myanmar; Cambodia; Cayman Islands (UK ); Comoros; Cyprus;
convenience? Equatorial Guinea; French International Ship Register (FIS); German
International Ship Register (G IS) (Germany); Georgia; Gibraltar (UK);
Honduras; Jamaica; Lebanon; Liberia; Malta; Marshall Islands (USA);
Mauritius; M ongolia; Netherlands Antilles; North Korea; Panama; Sao Tome
and Principe; Sri Lanka; St Vincent; Tonga; and Vanuatu (32 registers).
D24. What a re the advantages o f registerin g Advantages vary from one FOC register to another but often include the
under a fla g o f convenience? follow ing: (1) Foreign corporations can register a ship without being
established in the territory. (2) Where a com pany is required to be formed in
the State, there are low formation costs. (3) The beneficial ownership o f the
ship may remain anonymous. (4) Low taxation and other fiscal incentives. (5)
N o special crew nationality or em ploym ent requirements. (6) Relaxed ship age
limit. (7) N o minimum ship tonnage requirement. (8) Dual registry is allowed
in som e cases (vessel registered under one country, but simultaneous registry
permitted on bareboat charter registry o f another country). (9) All IAC S (and
som etim es other) classification societies permitted to conduct surveys. (10)
Speedy and sim ple registration procedures.
D25. What do shipow ners p re fer to call flags Open registers (since they are “open” to ships from any nation, as long as
o f convenience? certain registration criteria are met).
Second registers •
D26. What is a seco n d register? A register which is either: (1) established within a State under separate
legislation from that governing the State’s national register (as in the case o f
the NIS and D1S registers o f Norway and Denmark respectively); or (2)
established under the legislation o f an offshore territory having legal links to
the parent country (e.g. the Isle o f Man register, which is linked to the UK, and
Madeira, which is linked to Portugal).
D 2 7. In w hat w ay is a secon d register W hile manning, taxation and other formalities are often sim plified (making the
different fro m a fla g o f convenience? second register’s flag a more econom ical flag to fly than the parent country’s
national flag), there must still be som e form o f genuine link between the owner
and the flag State (e.g. through a company established in the flag State). A
second register thus has som e o f the advantages o f an FOC; but the national
flag is flow n (e.g. N IS ships fly the Norwegian flag).
D28. Which ship registers have been Canary Islands (Spain); Danish International Ship Register (D IS) (Denmark);
d e cla re d seco n d registers by the ITF? Isle o f Man (UK ); Madeira (Portugal); and Norwegian International Ship
Register (N IS) (Norway).
UK registration requirements
D29. Which legislation governs U K ship Part II o f the M erchant Shipping A ct 1995, and The M S (R egistration o f Ships)
registration? Regulations 1993, as amended.

THE SHIPMASTER'S BUSINESS SELF-EXAMINER


D30. Is registration com pulsory f o r a British
ship? ______ ________________u________ _
D 3I. Which British sh ips a re not norm ally
registered? ___________________________
D32. Which ships can b e c a lle d “British-
registered sh ips ”?
D33. What a re the tw o categories o f British
ship register under The M S (C ategorisation o f
R egistries o f R elevant British P ossessions)
Regulations?_________________________________
D34. What a re the Crown Dependencies,
and what C ategory o f re g ister d o they have?
D35. What a re the U K O verseas T erritories?
D36. Which U K O verseas Territories h ave a
C ategory I ship register?
D37. Which U K O verseas Territories have a
Category 2 ship register?
038. A re Crown D epen den cy a n d U K
CKerseas Territories sh ips reg istered in the
LK?
D39. What is the com m on link between
. - le d Kingdom ships a n d British ships?
CMO. D o a ll the R e d Ensign Group
adm inistrations have the sam e registration
ers?
3 //. Which R ed Ensign Group
adm inistrations are in C ategories I a n d 2?
Z^42. Which ships are U nited Kingdom -
mistered ships?
D43. Who a re q u alified p erso n s f o r p u rposes
o f owning a re g istered British ship re g istered in
m e UK?
€>44. H ow m any sh ares a re in every
~-:-Zistered British ship, a n d how m any o f them
st be o w n ed by qu alified p erson s?
045 What is the basic p rocedu re f o r
~e-gistering a British ship on P a rt I o f the U K
Register?
- = SHIPMASTER’S BUSINESS SELF-EXAMINER
39
N o. It is an entitlement for ships m eeting certain ownership criteria.
Crown (i.e. Governm ent-owned) vessels, e.g. warships; very small vessels; and ;
vessels not used for sea trade (e.g. restaurant ships and museum ships).
Ships registered in the U K , the Crown D ependencies or the U K Overseas
Territories.
Category 1 registers, on w hich any ship may be registered, without restriction
as to tonnage, type or length; and Category 2 registers, on which passenger
ships, pleasure vessels o f more than 150 tons, and other ship types which are o f
more than 150 tons may not be registered_____________________________________
The Crown D ependencies include the Channel Islands (the c h ief islands o f
which are Jersey and Guernsey, both o f which have Category 2 registers) and
the Isle o f Man, which has a Category I register.
Anguilla, Bermuda, British Antarctic Territory, British Indian Ocean Territory,
British Virgin Islands, Cayman Islands, Falkland Islands, Gibraltar,
Montserrat, Pitcairn Island, St Helena and Dependencies, South Georgia and
South Sandwich Islands, and Turks and Caicos Islands.
Bermuda, British Virgin Islands, Cayman Islands and Gibraltar.
Anguilla, Falkland Islands, Montserrat, St Helena, and Turks and Caicos
Islands.
N o. They are on the registers o f their respective territories. A Gibraltar ship,
for exam ple, is a British ship registered in Gibraltar.
They all fly flags which are in the Red Ensign Group, i.e. their national
registers are controlled by the U K Department for Transport and they may fly
Red Ensigns, either plain or defaced with the registering territory’s badge.
They are all entit led to the same diplomatic and military protection o f the UK
Government. Red Ensign Group website: w w w .redensieneroup.ore
No. Category 1 administrations may register ships o f unlimited tonnage, type
and length. Category 2 administrations may only register ships o f up to 150 GT
and pleasure vessels, that is, those not operated com m ercially, o f up to 400 GT.
Category 1 includes the U K , Bermuda, British Virgin Islands, Cayman Islands,
Gibraltar, Isle o f Man. Category 2 includes Anguilla, Falkland Islands,
Guernsey, Jersey, Montserrat, St Helena, and Turks and C aicos Islands.
Ships registered in England, Scotland, W ales or Northern Ireland.
The main groups are: (1) British citizens; (2) non-U K nationals exercising their
right o f freedom o f m ovem ent o f workers or rights o f establishment; (3) British
Dependent Territory citizens; (4) British Overseas citizens; (5) bodies
corporate incorporated in an EEA State (Austria, Belgium , Denmark, Ireland,
Finland, France, Germany, Greece, Holland, Iceland, Italy, Luxembourg,
Norway, Portugal, Spain, Sweden, U K (including Gibraltar but excluding Isle
o f Man and Channel Islands)); (6) bodies corporate incorporated in any
relevant British possession (i.e. a Crown Dependency or UK Overseas
Territory) having their principal place o f business in the UK or any such
possession; and (7) European Econom ic Interest Groupings registered in the
UK.
Property in even / registered British ship is divided into 64 shares, at least 33 o f
which must be owned by qualified persons listed above. Up to 31 shares may
be owned by other persons (e.g. other foreign nationals). Shareholdings o f
owners are recorded on the register and on a Certificate o f British Registry.
(1) The shipowner applies for registration to RSS, Cardiff, submitting: (a)
evidence o f title (for a new ship: Builder’s Certificate; for a non-new ship:
B ill(s) o f Sale going back to first registry); (b) Declaration o f Eligibility (to
own a British shsp); (c) com pany’s Certificate o f Incorporation: and (d) the
registry fe e . On the application form he gives his choice o f name for the ship
together with other choices in case his first choice is refused. H e also states his
preferred Port o f C hoice, chosen from an RSS list o f U K ports. (2) Owner has a
measurement su ivev made (to establish tonnages and measurements) by
authorised measurer (normally the classification society). (3) Certificate o f
Survey with dim ensions and tonnages is returned by surveyor to RSS. (4)
O fficial Number is allocated by RSS. (5) Carving and Marking N ote (C&M
N ote) is issued by R SS to owner with instructions to have ship marked with
name, port o f choice, draught marks, O fficial Number, net tonnage. (6) Ship is
marked as required; Inspector o f Marks (an authorised class surveyor) returns
C&M N ote to R SS. (7) Call sign (and M M SI) are allocated by O fcom . (8) All
particulars (including mortgages) are recorded on register bv RSS. (9) RSS
40
D 46. What is an O fficial Number?
D 47. Where are the O fficial N um ber a n d net
tonnage m arked on a U K ship?
D 48. Why is it im portant f o r the applicants
to subm it evidence o f title to the RSS?
D 49. Why is it im portant f o r the applicants
to subm it a D eclaration o f E ligibility to the
RSS?
D50. Who carries out the m easurem ent
su rvey a n d what does it establish?
D 51. Whpt docum ents are requ ired to be
su bm itted to the RSS when registerin g a British
sh ip in the UK?
D 52. U nder w hat circum stances m ight an
o w n e r’s choice o f nam e not be ap p ro ved b y the
RSS?
D 53. What is a p o r t o f choice?
D54. What are the contents o f a Certificate
o f British Registry?
D 55. What is the usual p e rio d o f validity o f a
Certificate o f British Registry?
Provisional British registration
D 56. In w hat circum stances m ay a
C ertificate o f P rovision al British R egistry be
issued?
D 5 7. H ow can a Certificate o f P rovision al
British R egistry be obtained?
D58. What is the maximum p e r io d o f validity
o f a C ertificate o f P rovision al British R egistry?
D59. Can an ow n er provision ally register a
sh ip m ore than once in the UK?
Bareboat charter registration
D60. What is bareboat charter registration,
as p e rm itted by U K legislation?
issues Certificate o f British Registry to owner. The shipowner is guided
through the procedure bv an M CA Customer Service Manager, w ho w ill also
advise on survey, certification and manning requirements, etc.. and a Customer
Account Manager who is a focal point o f contact for administration and
general p olicy matters.
A six-digit number allocated by the Registry o f Shipping and Seamen to a UK
ship w hile it is on the U K register. It must be marked permanently on the ship
and is shown on the Certificate o f British Registry and the outer cover o f the
Crew Agreem ent and List o f Crew (ALC 1). It is withdrawn by the RSS and
must be defaced i f the ship is removed from the U K register, but is re-allocated
if the ship returns to the U K register.
Som ewhere in the ship’s main beam. In a dry cargo vessel this might be in an
athwartships hatch coaming; in a tanker it might be in a pumproom; in a ship
with midships machinery it might be in the engine room on a transverse
structural member; in a supply vessel it might be on the after end o f the
accom modation block.
The persons registering the ship (w ho are usually a company) must sh ow that
they have clear title, i.e. the right o f ownership, free o f any encumbrance such
as an undischarged mortgage.
The majority o f the 64 shares in a British ship may only be owned by persons
eligible to owin a British ship, so the applicants must prove their eligibility.
In the case o f a classed ship, a classification society surveyor o f one o f the
societies authorised by the M CA. The survey establishes the description,
dim ensions and tonnages o f the ship.
Application form; Declaration o f Eligibility; Builder’s Certificate or B ills o f
Sale; and Certificate o f Survey (follow in g measurement survey).
If it w as already the name o f a registered British ship; if it w as a name so
similar to that o f a registered British ship as to be calculated to deceive or
likely to confute; i f it was a name which may be confused with a distress
signal; i f it was a name prefixed by any letters or names which could be taken
to indicate a type o f ship or any other word, prefix or suffix which might cause
confusion as to the name o f the ship; i f it might cause offence or
embarrassment; or a name which has a clear and direct connection with the
Royal Family.
A port, selected from a list o f about 80 permitted U K ports, with which aft
applicant for registry o f a British ship w ishes the ship to be associated, and
which must be marked on the sh ip’s stem. All registered U K ships are now on
a computerised register maintained at Cardiff by the RSS, and there are now no
other genuine U K ports o f registry, but the expression “port o f registry” is still
used unofficially when referring to the port o f choice.
Official Number; IMO number; radio call sign; name o f ship; port o f choice;
type o f ship; m ethod o f propulsion; engine make/model; total engine power in
kWs; length; breadth; depth; register tonnage; gross tonnage; net tonnage; year
o f build; date fund time o f issue o f certificate; date o f expiry o f certificate;
instructions as to what to do i f the ship is lost or ceases to be a British-
registered ship, or i f the certificate is lost, stolen, destroyed or defaced;
warning note to the effect that the certificate is not proof o f ownership; address
o f RSS; on the reverse: ownership details o f the ship (share-owners’ names and
addresses and number o f 64th shares owned by each.
5 years, at the expiry o f which registry must be renewed.
Provisional British registry can be obtained when a ship, the owner o f which
intends to register her on the British register, is outside the British Islands (i.e.
the UK and Ireland).
B y applying to the Registry o f Shipping and Seamen (RSS), Cardiff, for
provisional registration o f the ship.
(1) For 3 months from the date o f issue; or (2) until the ship’s first arrival in
UK; or (3) on termination o f her U K registry on request o f the owner,
whichever is earlier.
Y es, but only after one year or more from the date o f issue o f the original
Certificate o f Provisional British Registry.
Registration as a British ship o f a ship which has its primary registration in
another country, but which is bareboat chartered to a charterer eligible to
register a British ship in the UK. The British registry expires after 5 years or on
expiry o f the bareboat charter, whichever is earlier. The law also allow s a
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

I D6I What are bareboat charter term s?
i D62. H ow d oes a ch arterer register a
. foreign ship in the U K as a bareboat charter
thip?
[ D63. D oes a U K -registered bareboat
•'.arter sh ip have to be su rv ey ed a n d m arked?
I D64. M ay a U K -registered bareboat charter
I sh ip fly the R ed Ensign?
I D65. What d etails are show n on the
f Certificate o f B ritish R egistry f o r a bareboat
. -.arter sh ip that are not shown on other
Certificates o f B ritish R egistry?
Use o f Certificate o f British Registry
1 D 66. F or w hat pu rposes is a C ertificate o f
1 British R egistry used?
1 IX57. Who sh ould norm ally have custody o f
1 eke s h ip ’s C ertificate o f British R egistry: the
1 ner o r the m aster?
1 ->68. On what routine occasion s m ight a
1 m aster have to su rren der his sh ip 's C ertificate
I a t British Registry?
1 C6 9 What precau tion sh ould be taken
I g a i n s t loss o f the s h ip ’s C ertificate o f British
l i t egistry?
I ' What sh ou ld a m aster d o i f his sh ip's
I ICertificate o f British Registry’ is lost, d e stro y ed
■sr defaced o r m ade illegible, when in the UK?
I " What sh ou ld a m aster do i f his sh ip's
I -:^.ificate o f British R egistry is lost abroad?
■ C \2 . What kinds o f assistan ce is a British
■ r en titled to b y virtue o f her fla g ?
Procedure for renewal o f UK registry, change o f ship’s name, etc.
D~3 H ow is a C ertificate o f British R egistry
IwMex-et/?
I [}~ 4 What is the p ro p e r p ro ced u re when a
I ■>T-~ s C ertificate o f British R egistry becom es
m te a c e d o r m ade illegible?
D ~5 What is the p ro p e r p rocedu re when a
B * * c s C ertificate o f British R egistry is lost o r
ftP roved?
V ~6 What is the p ro p e r procedu re when a
1 m . c - ranges her nam e o r p o rt o f choice?
Under w hat circum stances w ou ld a
| mac nave to have a new m easurem ent survey?
[ I» 0 SHIP IDENTIFICATION NUMBER and CONTINUOUS SYNOPSIS RECORD
1 WO Number
What is an IM O Ship Identification
i""1* Which ships are not a llo c a ted an IMO
M k p Jollification Number?
-E SHIPMASTER’S BUSINESS SELF-EXAMINER
41
British-registered ship to be bareboat chartered to a foreign charterer and
registered for the duration o f the charter on the register o f the charterer’s
country. A bareboat chartered ship thus has tw o registrations: its primary
registration and its bareboat charter registration. Ships registered in the U K as
bareboat-chartered ships are i ssued with a special Certificate o f British
Registry which shows the country o f primary registration and the ship’s name
on the primary register, as w ell as (on the reverse) the names and addresses o f
the owner and the bareboat charterer.
As defined by the R SS, “the hiring o f a ship for a stipulated period o f time on
terms which give the charterer possession and control o f the ship, including the
right to appoint the master and crew”.
He applies to the RSS, sending a Declaration o f Eligibility, a copy o f the
charter party, the Certificate o f Registry issued by the country o f primary
registration, and the chartering com pany’s Certificate o f Incorporation.
Y es. The same ru les apply as for ships on Part I o f the Register.
Y es. For the duration o f her registry as a bareboat charter ship she w ill be
entitled to fly the Red Ensign and be regarded as a British ship.
The country o f primary registration, the ship’s name under the primary register,
and (on the back) the ow ner’s nam e and address in the country o f primary
registration, and the bareboat charterer’s name and address.
For proving the sh ip’s nationality. This m ost often has to be done when
obtaining clearance from a foreign port. Nationality may also have to be
proved if boarded by officials or military in a war zone or an embargoed area.
The master. It is probably the m ost important document on the ship, so it must
be treated with ceire. (Som e masters keep it in the safe.)
In order to obtain clearance from a port I may have to allow the Certificate o f
British Registry to go ashore (preferably in the care o f the sh ip’s agent).
A written note should be m ade o f all details on the certificate to enable easier
application for a replacement
Inform the owners, w ho should apply to the RSS for a duplicate certificate on
form M SF 4742.
A s in the last answer, inform the owners, w ho should apply to the RSS for a
duplicate certificate on form M SF 4742.
(1) A ssistance from the Royal N a v y (e.g in a war zone or when under pirate
attack); and (2) assistance from British consular officials in overseas ports (e.g.
for dealing with crew left behind, deaths, noting protest, etc.). (For questions
on CONSULAR BUSINESS se e Section I.)
The owner applies for renewal to the R SS within the final three months o f the
registration period and makes a new Declaration o f Eligibility. If other details
have not changed, registration can be renewed for a further five years.
The owner applies to the R SS for a Duplicate Certificate o f British Registry,
enclosing the Certificate o f British Registry and a fee.
The master should inform the owner, w ho should then apply to the RSS on the
proper (pink) form for a Duplicate Certificate o f British Registry, enclosing the
statutory fee.
The owner should apply to the R SS, submitting the current Certificate o f
British Registry and the statutory fee.
I f any o f the main registered particulars, e.g. length, were changed.
A permanent number, required under SO LAS regulation X I -1/3 to be marked
on all passenger ships o f 100 GT and over, and all cargo ships o f 300 GT and
over, and which remains unchanged on change o f flag. It is com posed o f the
letters “IMO” plus a seven-digit number allocated by L loyd’s R egister Fairplay
to every sea-going merchant ship o f 100 GT and over at the time o f build.
Fishing vessels; rion-mechanically-propelled ships; pleasure yachts; and ships
engaged on special service (e.g. lightships, SA R vessels; hopper barges;
42
D 80. Where sh ould a sh ip's IM O Ship
Identification N um ber he m arked on the sh ip?
D 8 I. What a re the IM O requirem ents
regarding m arking o f docum ents with the s h ip ’s
IM O Ship Identification Number?
D82. Is a s h ip ’s IM O Ship Identification
N um ber the sam e a s its Official N um ber?
D83. What other identification num ber
schem e has been m andated by IM O resolution?
Continuous Synopsis Record (CSR)
D84. What is a Continuous Synopsis R ecord
(CSR)?
D 8S. What is CSR Form I ?
D 86. What d etails are shown on a s h ip ’s
CSR Docum ent (Form I), with effect fro m I
January 2009?
D 87. What is the p ro p e r procedu re when any
inform ation shown on the sh ip 's CSR Docum ent
(Form I) changes?
D 88. What is CSR Form 2?
D 89. What is p rin te d a n d w hat sh ould be
en tered on a CSR Form 2 (or Am endm ent form )
with effect fro m 1 January 2009?
hydrofoils and air cushion vehicles; floating docks and structures classified in a
similar manner; warships and troopships; and wooden ships).
In two places: (1) either on the stem or on either side o f the hull, amidships
port and starboard, or on either side o f the superstructure, port and starboard, or
on the front o f the superstructure; or in the case o f passenger ships, on a
horizontal surface visible from the air; and (2) either on one o f the end
transverse bulkheads o f the machinery spaces or on one o f the hatchways or, in
the case o f tankers, in the pump-room or, in the case o f ships with ro-ro spaces,
on one o f the end transverse bulkheads o f the ro-ro spaces.
All plans, manuals and other documents required by the various IMO
conventions to be carried on board ships constructed on or after 1 July 2005
should be marked with the IMO Ship Identification Number in a clearly legible
and unam biguous manner. (M SC /C irc.I 142 M E PC /C irc.425)
No. The O fficial Number is allocated by the registry authority o f the flag State
(e.g. the RSS in the case o f a U K ship) for the period o f registration. The IMO
number, how ever, is retained throughout the sh ip’s life.
The IMO Unique Company and Registered Owner Identification Number
Schem e mandated by R esolution M SC .160(78). (See Section C.)
■ '
A document which, in accordance with SO LAS regulation X I-1/5, as amended,
must be issued by the flag State Administration to a ship engaged on
international voyages, intended to provide an on-board record o f the history o f
the ship with respect to the information recorded therein. It comprises three
forms: CSR Form 1, CSR Form 2 and CSR Form 3.
A form entitled “Continuous Synopsis Record Docum ent Number ... for the
Ship with IMO Number . . . ”, often called the CSR Document. A ship may be
issued with several o f these in sequence during its time in service, and each
bears a sequential number, e.g. “Continuous Synopsis Record Document
Number 5 ”.
The follow ing 16 numbered information items, with the data entered for each
item in the right-hand column: ( I ) This document applies from (date); (2) Flag
State; (3) Date o f registration with the State indicated in (2); (4) Nam e o f ship;
(5) Port o f registration; (6) Name o f current registered owner(s) and Registered
address(es); (7) Registered owner identification number; (8) If applicable,
name o f current registered bareboat charterer(s) and registered address(es); (9)
N am e o f Company (International Safety Management); Registered address(es);
Address(es) o f its safety management activities; (10) Company identification
number; (11) Nam e o f all classification societies with which the ship is
classed; (12) Administration/ Government/ Recognized Organization which
issued Document o f Compliance; B ody which carried out audit (if different);
(1 3 ) Administration/ Government/ Recognized Organization which issued
Safety M anagement Certificate; B ody which carried out audit ( if different);
(14) Administration/ Government/ R ecognized Security Organization which
issued International Ship Security Certificate; B ody which carried out
verification ( i f different);,(15) D ate on which the ship ceased to be registered
with the State indicated in (2). (16) Remarks (Insert relevant information as
Appropriate).
(1) The Company or the master must com plete a form entitled “Amendments
to the Continuous Synopsis Record (CSR) Document Number ... for the Ship
with IMO N u m b e r ...........”, som etim es called CSR Form 2 or the CSR
Amendment form. (2) The original o f the CSR Form 2 (Amendment form)
must be attached to the current CSR Docum ent pending issue o f a new CSR
Docum ent by the flag State Administration. (3) A copy o f the com pleted CSR
Amendment form must be forwarded without delay to the flag State
Administration for their consideration and action. (4) Details o f the
am endm ents) must be entered in the CSR Index o f Amendments.
A form entitled “Amendments to the Continuous Synopsis Record (CSR)
Docum ent Number ... for the Ship with IMO N u m b er...........”, also called a
CSR Amendment form. It is com pleted bv the Company or the master when
any detail recorded on the CSR Docum ent (Form 1) changes, and must be
.attached to that CSR Document. A copy must then be sent to the flag State
Administration, who w ill then (norm ally) issue a new CSR Docum ent (Form
1).
Form 2 is printed with the same 16 numbered information items in the left-
hand colum n as on the CSR Docum ent (Form 1), and a blank right-hand
colum n in which entries should be made by the Company or the master.
Against any listed item o f information which has changed, e.g. the ship’s
name, the new information should be inserted in the right-hand column. All
items not being changed should be marked “N /C ” in the right-hand column.
THE SHIPMASTER’S BUSINESS SELF-EXAMINEC

( D 90. A sh ip is fla g g in g into the U K register
from another register■ What is the p ro p e r
procedu re with re g a rd to the C S R ?
D 9I. What is CSR Form 3?
D 92. What is p rin te d a n d w hat sh o u ld be
j entered on a CSR Form 3 with effect fro m 1
1 January 2009?
! D93. What sh ou ld a sh ipm aster d o i f m ore
am endments o f the CSR Docum ent are issu ed
by the f la g State A dm inistration than are
a llow ed fo r in the row s on the CSR Form 3?
D94. What sh ou ld be included in a s h ip ’s
CSR file ?
SHIP CLASSIFICATION and CLASS DOCUMENTS
Classification: general
D95. What is ship classification?
I ~*96. What is a classification society?
1 D97. What do classification societies not do?
098. Is classification a statutory
f n?quirem ent?
! D99. Why d o m ost shipow ners have their
1 tn w s cla sse d w ith a classification society?
t D i 00. Is there any link between ship
| russification a n d statu tory certification?
1 3101. H ow is a s h ip ’s class denoted?
1 0 1 0 2 . In the L loyd's R egister class KIOOAI,
1 *«iuf do the “10 0 ", “A " a n d “I ” sta n d
Bjfcr?
* - 5 SHIPMASTER’S BUSINESS SELF-EXAMINER
43
Ships flagging intp the UK must be issued by the Registry o f Shipping and
Seamen (R SS), Cardiff, with an updated CSR D ocum ent (Form 1), which
should be applied for on CSR Form 2. A copy o f CSR Form 2 should also be
sent to the previous flag State Administration so that they can issue their final
CSR Document (Form 1).
A form entitled “Index o f Am endm ents to CSR Docum ent Number ... for the
Ship with IMO Number . . It must be com pleted by the Company or the
master every time amendments are recorded on a CSR Amendment form
(Form 2) and attached to the relevant CSR Docum ent (Form 1).
The heading “Index o f Amendments to CSR Docum ent N o. ... for the ship
with IMO Number . .. ” should be com pleted with the relevant numbers. A
printed statement reads, “After this CSR document was issued, the follow ing
amendments to entries on the document have been made by the Company or
the master, have been attached to the ship's CSR file and have been notified to
the Administration”. There are three blank colum ns headed as follows: “Date
o f application o f Am endments”; “Amendment to CSR Information (2-16)”;
and “Date amendment form attached to the ship’s CSR file”, and the relevant
information should be entered in these for each sequential amendment to the
CSR Docum ent (Form 1).
Add copies o f the table in Form 3 as Appendices to the first page, numbering
the Appendices from 1 upwards and writing on the original page, “Appendix
N o. ... has been added to this page”.
(1) Every CSR D ocum ent (Form ) ) issued by the sh ip’s flag State
Administration(s) during the ship’s life, numbered sequentially; (2) every CSR
Amendment forni (Form 2), each attached to the individual CSR Docum ent to
which it relates; and (3) all Index o f Amendment forms (Form 3).
A process involving: (11 establishment o f technical standards for shiD desien.
construction and maintenance, published as rules o f a classification societv: (2 )
application o f those rules to a ship bv the shipowner, bv requiring the builder to
construct the ship to a specific standard, e.g. “* 1 0 0 A 1 Oil Tanker ESP LMC
U M S IGS ICE CLA SS IB; (3) special survev o f the ship bv the society’s
surveyors to confirm that the ship has been constructed to the required
standard; (4) issue by the societv o f its Certificate o f Class to attest that the
standard w as met; and (5) monitoring bv periodic class surveys throughout the
ship’s service life o f the application o f the society’s rules.
An organisation that establishes and applies technical standards in relation to
the design, construction and survey o f marine-related facilities including ships
and offshore structures. (IACS publication Class, What, Why a n d H ow?)
They don’t design, build, ow n, operate, manage, maintain, repair, finance,
insure or charter ships.
N o. SO LAS does not require any ship to be classed. However, SOLAS
regulation II-1/3-1 provides that, in addition to the requirements contained
elsew here in the SO LAS regulations, ships must be designed, constructed and
maintained in com pliance with the structural, mechanical and electrical
requirements o f a classification society recognised b y the flag State
Administration, or with applicable national standards o f the Administration
which provide an equivalent level o f safety.
Primarily to provide information on the technical condition o f the ship to
insurance underwriters, w ho usually insist that the owner gives a warranty that
the ship w ill be maintained in class. U sually, classed ships find cargoes,
em ploym ent under charter, buyers and financiers more easily than unclassed
ships. Cargo insurers often insist on the cargo being carried by a classed ship.
Yes. A classed ship which has had her class suspended or withdrawn, e.g. after
being damaged or on failing a survey, will normally have her statutory
certificates suspended or withdrawn by the flag State Administration.
B y a notation on its Certificate o f Class. Each classification society has its own
system o f character sym bols, figures and letters. A tanker classed by L loyd’s
Register, for exam ple, m ight be described by the notation 100A 1 Oil Tanker
ESP LMC U M S IGS ICE CLA SS IB ”, w hile a cruise ship classed by Det
Norske Veritas (D N V ) might have the notation “ * 1 A1 Passenger Ship E0,
IC E-1C, COMF -V (cm ) 1, W 1”.
(a M altese cross or, more correctly, Formee cross) means the ship was
constructed under survey by L loyd’s Register surveyors; “ 100” means the ship
is suitable for seagoing service. “A ” means the ship w as constructed or
44
D l 03. H ow is a sh ip 's class m aintained b y an
owner?
D l 04. H ow d oes the o w n er know the survey
a n d class status o f his ship?
D105. What a re the c h ie f m arine fun ctions o f
a m ajor classification society, ap a rt fro m
classin g ships?
D 106. W h atisIA C S ?
D l 07. Which classification societies are
M em bers o f I A CS?
D l 08. Which classification societies are
R ecogn ised O rganisations f o r U K statutory
su rvey a n d certification pu rposes?
D l 09. A re the su rvey requirem ents o f every
classification so ciety the sam e?
D l 10. What a re IA C S U nified Requirem ents?
D l 11. Unified R equirem ent UR S25 sets out
three m andatory notations f o r new bulk
carriers. What a re they?
D l 12. What fun ction d o classification
so cieties perform w ith respect to statu tory
survey• a n d certification?
IACS Common Rules
D l 13. What are IACS Common Rules f o r O il
Tankers a n d Bulk C arriers?
Class surveys Answers relate to the Rules of Llovd’s Reaister unless otherwise stated
D I 14. What su rvey m ust a new sh ip have
before it can be c la sse d by a leading
classification society?
D l 15. What survey m ust an existing ship have
before it can be cla sse d b y a leading
classification society? ■ ,
accepted into LR class and is maintained in good and efficient condition. “ 1”
means she has good and efficient anchoring and mooring equipment.
The owner must make the ship available for regular class surveys o f the hull,
machinery and equipment, as w ell as surveys o f repairs that may be required
from tim e to time as a result o f wear and tear or accident, as recomm ended by
the classification society’s surveyors.
He is regularly informed o f his sh ip’s survey status by its classification society,
enabling him to plan (technically and financially) for due surveys and work.
L loyd’s Register, for example, send the shipowner a Quarterly Listing o f
survey items due, Conditions o f Class and Memoranda.
Carrying out: (1) statutory surveys on behalf o f flag State Administrations; (2)
ISM audits for som e flag State Administrations (but not the UK); and (3) ISPS
audits for som e flag State Administrations (but not the U K ). They also carry
out analysis o f bunker fuel and lube oil, and research and development.
The International A ssociation o f Classification Societies, the group o f leading
classification societies. W ebsite: ww w .iacs.org.uk
(1) American Bureau o f Shipping (A B S); (2) Bureau Veritas (BV); (3) China
Classification Society (CCS); (4) Det Norske Veritas (D N V ); (5) Germanischer
Lloyd (GL); (6) Indian Register o f Shipping (IRS); (7) Korean Register o f
Shipping (KR); (8) L loyd’s Register (LR); (9) Nippon Kaiji Kyokai (NK K or
Class NK); (1 0 ) Registro Italiano N avale (RINA); and (11) Russian Maritime
Register o f Shipping (RS).
(1) American Bureau o f Shipping (A BS); (2) Bureau Veritas (BV); (3) Det
Norske Veritas (D N V ); (4) Germanischer Lloyd (GL); (5) L loyd’s Register
(LR); (6) Registro Italiano N avale (RINA); and (7) Nippon Kaiji Kyokai (NKK
or Class NK ) (with certain restrictions).
No. IACS members must all m eet similar standards and have roughly the same
rules, but there are minor differences. The rules o f societies which are not *
IACS members may vary widely.
Adopted resolutions o f the IACS Council on technical matters directly
connected to or covered by specific Rule requirements and practices o f
classification societies, e.g. anchors and cables, propellers, load lines, and
survey and certification. U nified Requirements as follow s are published on the
IACS website: A: M ooring and anchoring; D: M obile Offshore Drilling Units;
E: Electricity; F: Fire Protection; G: Gas Tankers; K: Propellers; L:
Subdivision, Stability and Load Line; M: Machinery Installations; N:
Navigation; P: Pipes and Pressure V essels; S: Strength o f Ships; W: Materials
and Welding; and Z: Survey and Certification. The existence o f a UR does not
oblige an IACS M ember or A ssociate M ember society to issue Rules on a
matter covered by a U R i f it chooses not to have Rules for the type o f ship or
marine structure concerned. Requirements are minimum requirements, and
each society remains free to set more stringent requirements.
“B C -A ” is the notation to be used by all IACS member societies for bulk
carriers built after 1 July 2003 and designed to carry dry bulk cargoes o f cargo
density 1.0 tonne/m 3 and above with specified holds empty at maximum
draught in addition to BC-B conditions. “BC -B” is for bulk carriers designed to
carry dry bulk cargoes o f cargo density o f 1.0 tonne/m 3 and above with all
cargo holds loaded in addition to BC -C conditions. “BC -C ” is for bulk carriers
designed to carry dry bulk cargoes o f cargo density less than 1.0 tonne/m 3.
With each harmonised notation there is a corresponding unified design loading
condition.
Approved classification societies m ay be authorised by a sh ip’s flag State
Administration to act as R ecognised Organisations for the verification o f the
ship’s com pliance with international and/or national regulations.
Common classification rules for the structural scantlings o f double-hulled
tankers o f 150 m or more in length and bulk carriers o f 90 m or more in length
classed with IACS Societies and contracted for construction on or after 1 April
2006, when the Rules entered into force.
N ew ships intended for classification are built under the society’s special
survey (called the initial classification survey). From com mencem ent o f work
until com pletion, the society’s surveyors must be satisfied that the materials,
workmanship and arrangements are satisfactory and in accordance with the
society’s Rules.
It depends on the society’s rules. Ships transferring class from a society
recognised by the new society Will; usually qualify for special consideration,
but other ships w ill normally be subject to a full special survey and inspection
o f plans before classification.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D l 16. What types o f p erio d ic a l class su rvey is
a large ship c la sse d w ith a leading
classification society usually su bject to?
D l 1 7. When a n d w hy a re annual class
surveys f o r class gen erally held?
D l 18. When a re interm ediate class su rveys
f o r class held?
D l 19. When a re docking su rveys f o r class
held?
D120. What w ill a class su rveyor usually
examine in a docking survey?
D121. When a n d why a re sp e c ia l su rveys o f
the hull held?
D122. When m ust a c la sse d ship have its f ir s t
and subsequent sp e c ia l surveys?
D123. When a n d w hy are sp ecia l su rveys o f
m achinery held?
D I24. A sp e c ia l su rvey m ight take m any
-• eeks. When can sp e c ia l surveys be
com m enced?
D125. When m ay in-w ater su rveys be
accepted b y a classification society?
DI26. When m ust inert g a s system s be
r+rveyed (for class) on tankers?
-1 2 7 . What a re the cla ss requirem ents f o r
hinery surveys?
' 28. What happens when a class su rvey
11 be com pleted in one operation?
SHIPMASTER’S BUSINESS SELF-EXAMINER
45
(1) Annual surv eys (recorded on Certificates and Interim Certificates o f Class
as “A S ”); (2) intermediate surveys (“IS”); (3) docking surveys (“D S ”); and (4)
special surveys (“SS”). There w ould also be boiler survey(s) and tailshaft
survey(s).
Within 3 months before or after each anniversary date o f the ship’s com pletion,
com m issioning or special survey in order to confirm that the general condition
o f the vessel is maintained at a satisfactory level._____________________________
They take the place o f either the second or third annual survey.
B y arrangement with the owner. Under L loyd’s Register’s Rules, ships under
15 years old must be exam ined in drydock tw ice in any 5 year period; not more
than 3 years m ay elapse betw een dockings. Ships 15 or more years old must be
exam ined in drydock at 2-yearly intervals with extension to 2.5 years when a
suitable high-resistance paint is applied to the underwater portion o f the hull.
The shell, including bottom and b ow plating, keel, stem , stemframe and
rudder; parts o f the structure particularly liable to excessive corrosion or
deterioration due to chafing or lying aground, and any undue unfairness o f
bottom plating; clearances in rudder bearings; sea connections and overboard
discharge valves and their attachments; propulsion pods; propellers, stembush
and sea connection fastenings; gratings at sea inlets; clearance in the stembush
or efficiency o f the oil glands.______________________________
They are held at 5-yearly intervals to renew the sh ip’s Certificate o f Class for a
further 5 years. A special survey is to establish the condition o f the hull
structure to confirm that the structural integrity is satisfactory in accordance
with the classification requirements, and w ill remain fit for its intended
purpose until the next special survey, subject to proper maintenance and
operation. It is also intended to detect possible damages and to establish the
extent o f any deterioration.__________________________________________________
The first Special Survey m ust be completed within 5 years from the date o f the
initial classification survey and thereafter 5 years from the credited date o f the
pervious Special Survey. H owever, an extension o f class o f 3 months
maximum beyond the 5th year can be granted in exceptional circumstances.
At the same intervals as hull special surveys; they have corresponding aims.
Special surveys may be com m enced at the 4th annual survey after com pletion,
com m issioning, or previous special survey, and be progressed during the
succeeding year with a view to com pletion by the due date o f the special
survey.___________________
Examinations o f the outside o f a ship’s bottom (and related items) must
normally be carried out with the ship in drydock. H owever, consideration may
be given to alternate examination w hile the ship is afloat as an in-water survey,
subject to certain IACS conditions being com plied with. Special consideration
must be given to ships o f 15 years or over before being permitted to have such
examinations. For ships exceeding 15 years o f age w hich are subject to an
Enhanced Survey Programme (ESP), bottom examinations must be carried out
with the ship in drydock. (See also IN-WATER SURVEYS in this Section.)
Annually. In addition, on ships to w hich an IGS notation has been assigned, a
Special survey o f the IG plant m ust be carried out every 5 years.
Com plete Surveys o f M achinery (C SM ) are carried out every 5 years, with
parallel arrangements as for the hull. On ships operating L loyd’s Register’s
approved M achinery Planned Maintenance Schem e (M PM S), the ch ief
engineer m ay carry out examinations o f selected machinery items to an
approved schedule over a five-year period corresponding to the existing
classification cycle. An annual audit o f the M PM S is required, at which the LR
surveyor review s the c h ief engineer’s examination records and undertakes
confirmatory surveys on those items to be credited since the previous audit. On
ships not operattng an approved M achinery Planned M aintenance Scheme,
selected items o f machinery m ay be exam ined by the c h ief engineer w hile the
ship is at sea or in a port where LR is not represented. The c h ief engineer
com pletes tw o copies o f a C h ief Engineer’s Statement o f Examination o f
Surveyable M achinery Items, one o f which is presented to the LR surveyor, the
other being retained on board. A confirmatory survey is made by the surveyor,
who also review s the ch ief engineer’s records.________________________________
I f it cannot be com pleted because o f lack o f facilities or other justifiable
reason, and only minor items are outstanding, the surveyor w ill make
arrangements for the survey to be com pleted at the next port. Full particulars
are left on board and the class society’s surveyors at the next port are advised.
The certificate is not endorsed until the survey is entirely completed.
46
D 129. What m ust the o w n er d o in the event o f
grou nding o r other dam age to the hull o r
m achinery that m ay affect class?
D I3 0 . Can surveys be c a rrie d out a t se a by
class surveyors?
D131. On which sh ips a re Continuous
Surveys o f the H ull perm itted?
Certificates and Interim Certificates o f Class
D 132. What certificates do classification
societies issue to ships cla sse d b y them?
D 133. What fo rm s o f C ertificate o f C lass are
issu ed to a ship?
D l 34. What does the fir s t C ertificate o f C lass
issu ed to a ship certify, a n d when w ou ld it be
issued?
D 135. A new C ertificate o f C lass is issu ed
p e rio d ic a lly to a c la sse d ship. What does this
certificate certify, a n d when is it norm ally
issued?
D 136. Can a class su rveyor norm ally issue a
C ertificate o f C lass?
D 137. In w hat circum stances m ay an Interim
C ertificate o f C lass be issued?
D l 38. What are the contents o f an Interim
C ertificate o f C lass?
D I39. What is a condition o f class?
D I40. What is a "Memorandum to O wners ”
o r “C lass M em oranda ", where written on an
Interim C ertificate o f C lass?
D 141. What are the knock-on effects o f a U K
sh ip not h aving a v a lid C ertificate o f C lass or
Interim C ertificate o f C lass?
D I42. A U K sh ip is in a rem ote p la c e (e.g.
South G eorgia) an d has su stain ed hull damage.
I f a class su rveyor is unobtainable at this place,
w hat action sh ould the m aster take?
Apply to the classification society for a survey o f the damage.
Yes. Cruise ships, for exam ple, often have surveyors on board at sea, carrying
out annual and other surveys for the maintenance o f certificate validity.
On all ships other than bulk earners, combination carriers and oil tankers.
(1) A Certificate o f Class covering the hull and machinery (either jointly or
separately); and (2) Interim Certificates o f Class.
A Certificate o f Class First Entry, and (subsequently) Certificates o f Class
M aintenance
That the ship has been surveyed by the society’s surveyors and reported by
them to be in com pliance with the society’s rules and regulations for the
classification o f ships, and that the hull and machinery (or either o f these
alone) has been assigned the specified class. It would be issued when the ship
is new ly built or entered onto the society’s register.
It certifies that the ship, having been surveyed by the society’s surveyors and
reported by them to be in a fit and efficient condition in accordance with the
society’s rules and regulations, continues with the class as indicated by the
certificate. It is normally issued on com pletion o f a special survey.
No. A Certificate o f Class can usually only be issued by the society’s
committee on the recommendation o f their surveyor, follow ing his/her survey.
The surveyor m ay issue an Interim Certificate o f Class on com pletion o f a
survey after all recomm endations o f the surveyor have been carried out to his
or her satisfaction, to enable the ship to proceed to sea pending the processing
o f the surveyor’s report by the society and confirmation by the society o f the
ship’s class status. On com pletion o f a scheduled class survey, the surveyor
w ill also endorse the back o f the Certificate o f Class with the date and place o f
the survey.
When a classification society’s surveyor can confirm to the society’s
com mittee that his/her recommendations have been carried out to his/her
satisfaction, and that he/she considers the ship to be in a fit and efficient
condition to continue her voyage. An Interim Certificate o f Class is a form o f
certificate o f seaworthiness. (Som e societies use that or another name.)
A summary o f class and statutory surveys held or work carried out, with status
(e.g. “com plete” or “part held”); the date o f com pletion o f the survey or work;
a list o f any items credited for the hull and/or machinery special survey or
Continuous Survey o f Hull or Continuous Survey o f Machinery; the surveyor’s
recommendations to the society for continuance o f class; any “conditions o f
class n ow im posed”; any “conditions o f class deleted”; the surveyor’s
signature; the survey port and date.
A requirement o f a class surveyor, recorded on an Interim Certificate o f Class,
that a specific measure, repair, survey, etc. must be carried out by a specified
date in order for the ship to retain her class. On a damaged ship there may be,
for exam ple, a “Condition o f class now im posed” that an indented shell plate
(“n ow temporarily repaired”) must be “satisfactorily dealt with” by the next
dry-docking (’with due date shown). On a new LNG carrier there may be, for
exam ple, a “condition o f class now im posed” that the cargo tank safety
devices, high level alarms and overfill valve shutdown are to be examined and
tested at the first cargo loading. When confirmed by a class surveyor to have
been satisfactorily com plied with, a previously-im posed condition o f class will
be shown on a new Interim Certificate o f Class under the heading “Conditions
o f class now d eleted”.
Information related to the ship, its machinery and equipment or to rule
requirements which does not require survey or corrective action, e.g.
exem ptions from rule requirements. M Os (or “class memoranda”) may be
issued relating to items considered to be o f no immediate material significance
regarding safety, but which may be o f use to owners.
The ship would not be in class, which would mean that she is not seaworthy in
the view o f courts, insurers, and the flag State Administration. She would
consequently lose her hull and m achinery insurance and P&I cover, and have
her statutory certificates withdrawn by the M CA, and the owner would lose his
legal defences to claim s. The cargo ow ner’s insurance w ould also be void i f it
contained a warranty that the cargo w ill be carried only on a classed vessel.
He should im m ediately report to the owners, who, in order to com ply with
class rules, must report to the classification society. The society w ill usually
require the ship to proceed to a port where it is represented, and will maintain
the ship in class (in her damaged state) until she reaches that port. N o
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D 143. When sending a hull dam age rep o rt to
the classification so c iety (via the owners), what
1 basic inform ation w ill be required?
! D144. Is it p o ssib le f o r a ship to b e seriou sly
dam aged, y e t rem ain in class?
D N S . D oes a ship under to w a t se a sta y in
class?
D I46. I f a ship under to w is not in class but is
to be in su red fo r her voyage, w hat ste p s w ill the
hull underw riters p ro b a b ly take to confirm that
I she is f i t f o r the tow ?
Condition Assessment Programme (CAP)
D I47. What is a Condition A ssessm ent
Programme, o r CAP?
b e classes
I D l 48. In relation to a cla sse d ship, w hat is an
I see class?
I D149. Who pu blish es the Finnish-Swedish Ice
Class D esignations?
1 D I50. What a re the various ice cla sses in the
| • nnish-Swedish Ice C lass D esignations?
I D I51. What is the prim ary p u rp o se o f an ice
1 - ‘ 52. A ship is bound f o r B altic p o rts in
1 n m ertim e. What sp e c ia l requirem ents w ill she
1 n r e to m eet relating to lo ca l ice conditions?
B Z 153. Why a re ice class restrictions im posed
1 m -hips in ice regions, such a s the Baltic?
0 * 5 4 A ship is bound f o r Finnish p o rts in the
I m rdiern Bay o f Bothnia during the winter.
■ VtLS is a typical ice class restriction?
1HE SHIPMASTER’S BUSINESS SELF-EXAMINER
47
certificate o f seaworthiness w ill be required by the society. The master should
make a detailed survey o f the damage with the c h ief engineer, send a damage
report to the ow ners’ technical superintendent, effect a temporary repair to
make the vessel fit for the voyage, report to owners on com pletion, and sail for
the survey port. A dvice on the repair may be requested from the class society.
Frame numbers affected, approximate dim ensions o f damage, and watertight
integrity affected.
Y es, i f a report o f the damage has been sent to the classification society via the
owners. The ship will remain in class only until reaching a port where the
society has a surveyor, however.
Not i f it is unmanned or badly damaged. The classification society must be
informed whenever a ship is taken in tow at sea. Class m ay be withdrawn for
the duration o f the tow.
Hull underwriters normally im pose a warranty and instruct an approved survey
organisation to make a survey o f the tow ing arrangements to see that the
conditions o f the warranty are com plied with. If so, the surveyor w ill issue an
Insurance Survey Certificate confirm ing that, subject to the attached conditions
(e.g. relating to route, weather conditions, towing arrangements, etc.) the vessel
is fit for the tow.
A voluntary programme offered by classification societies, supplementary to
ship classification, intended to measure and document the actual technical and
functional condition o f tankers and bulk carriers o f 15 years o f age or more,
chiefly for the purposes o f charterers. CAP rates a vessel on a scale from 1
(best) to 4 (low est). W ell-m aintained older tonnage with a CAP rating o f 2
(docum ented good standard) becom es more attractive to charterers, State and
harbour authorities, as w ell as terminal operators. A ship participating in a
classification society’s CAP is subject to a CAP survey which, i f satisfactory,
w ill lead to issue o f a CAP Certificate. (CAP should not be confused with the
Condition A ssessm ent Schem e (CAS): see under U K STATUTORY SHIP
SURVEYS A N D CERTIFICATES in this section.)
A special classification that, on request o f the owner, may be assigned by the
classification society to indicate that the ship is suitably constructed, powered
and otherwise equipped for navigation in ice o f a specified age and thickness.
The leading classification societies publish a range o f ice classes that are
equivalent to the Finnish-Swedish Ice Class Designations. L loyd’s Register ice
classes, for exam ple, include IA S, 1A , IB and 1C, w hile Bureau Veritas ice
classes are IA SUPER, IA, IB and IC.
The Finnish and Swedish maritime administrations, jointly.
Finnish-Sw edish ice class IA Super is assigned to ships capable o f navigating j
in difficult ice conditions without icebreaker assistance. Ice class IA is
assigned to ships capable o f navigating in difficult ice conditions, with
icebreaker assistance when necessarv. Ice class IB is assigned to ships capable
o f navigating in moderate ice conditions, with icebreaker assistance when
necessarv. Ice class IC is assigned to ships capable o f navigating in light ice
conditions, with icebreaker assistance when necessarv. Ice class II is assigned
to ships that have a steel hull and that are structurally fit for navigation in the
open sea and that, despite not being ice-strengthened, are capable o f navigating
in verv light ice conditions with their own propulsion machinery. Ice class III
is assigned to ships that do not belong to one o f the other ice classes.
To determine whether the ship, when bound during the ice season for a port in
the Baltic or other ice region, w ill be entitled to the assistance o f government
icebreakers.
She w ill have to have an ice class notation assigned by her classification
society. On the basis o f that, she m ay be granted a Finnish-Swedish ice class,
which w ill allow Finnish or Sw edish government icebreakers to assist her.
Minimum ice class restrictions for ships are set so as to ensure smooth winter
navigation and the safety o f navigation in ice. Assistance o f vessels with
inadequate engine power or ice strengthening w ould be difficult and tim e-
consum ing for icebreakers, and would disrupt navigation by other traffic. A lso,
it would not be safe to expose such ships to ice loads and ice pressure.
She w ould have to have a classification society’s ice class equivalent to
Finnish-Swedish ice class IA and a minimum deadweight o f 4 0 0 0 dwt. There
may also be a restriction on the amount o f cargo loaded in a Finnish port.
48
D155. A sh ip is boun d f o r p o rts in the south­
w e st o f F inland during the winter. What is a
typ ica l ice class restriction in this case?
D 156. What fe a tu re s o f a ship are affected by
ice class rules o f classification societies?
D 157. What a re "ice class draughts" referred
to in the la st answ er?
D 158. What restrictions on a s h ip ’s draught
a re im posed under D ecem ber 2 0 0 6 Finnish
M aritim e A dm inistration's Am endm ents to the
Finnish-Swedish Ice C lass Rules?
D 159. What sp e c ia l m ark m ust be shown on a
ship sides fro m I January 2 007 under the
D ecem ber 2 0 0 6 Am endm ents to the Finnish-
Swedish Ice C lass Rules?
D I60. A re Ice C lass C ertificates issu ed fo r
sh ips navigating in B altic ice?
D I 61. Which other regional organisations
pu blish designations f o r ice classes?
D I6 2 . What is P o la r C lass?
D I 63. What is an Ice Certificate?
SHIP EQUIPMENT
Marine Equipment Regulations
D 164. What are the main requirem ents o f The
MS (M arine Equipm ent) Regulations?
D 165. H ow can it be verified that an item o f
equipm ent on a U K ship com plies w ith The MS
(M arine Equipm ent) Regulations?
D I 66. What happens i f an item o f equipm ent
liste d in M SN 1734 (as am ended) is re p la ce d in
a hurry a t a p o r t outside the E U a n d it has no
m ark o f conform ity?
D I 67. Which organisations m ay carry out type
approvals f o r equipm ent on U K ships f o r which
there are international testing standards, as
liste d in M SN 1734 (as am ended) ?
Ice conditions are usually less difficult here, so a lower minimum ice class is
required: ice class IC and a deadweight o f 3000 dwt. Restrictions are tightened
as winter conditions becom e more severe.
(1) Hull strengthening between the ice class draughts; and (2) engine power.
The upper and lower ice waterlines (UIW L and LIWL) between which the ship
is intended to operate in ice.
The deepest waterline at w hich the ship is intended to operate in ice (the
UIW L) has to be marked on the sh ip’s sides, and the draught must never
exceed mark this when sailing to or from a Finnish port where assistance
restrictions requiring as a minimum ice class IC, IB or IA o f ships are in force.
A warning triangle, aoex down containing the word ICE. directlv above an ice
class draught mark (called an ICE mark) at the maximum perm issible ice class
draught amidships. The ICE mark is a horizontal line 230 mm long and 25 mm
thick, marked 540 mm abaft the centre o f the load line ring or 540 mm abaft
the vertical line o f the timber load line ( i f applicable), and has the word ICE
im m ediately abaft it. The marks must be in reflective red or yellow . The
warning triangle is to show the draught limitation to icebreaker masters and
port inspection personnel.
The practice o f inspectors o f the Finnish Maritime Administration issuing Ice
Class Certificates at Finnish ports w as discontinued at the end o f 2005. The
Finnish-Swedish ice class o f a ship is now determined on the basis o f the ice
class notation, i f any, on the ship’s Certificate o f Class.
Transport Canada (which administers the Canadian Arctic Shipping Pollution
Prevention Regulations (CASPPR)); and the Russian Maritime Register o f
Shipping (RM RS).
A designation o f seven classes (PC 1, PC 2, PC 3, PC 4, PC 5, PC 6 and PC 7)
assigned by IACS under U nified Requirement UR I to ships (other than
icebreakers) intended to operate in polar regions. In addition to structural and
machinery requirements as for ice class ships, there are propeller design
requirements.
A certificate, issued to a ship intended to operate to Russian ports in
wintertime, that describes the ship’s ability to operate in ice (in terms o f safe
speeds in different thicknesses o f ice, safe distances to escort icebreakers, etc.).
The certificate, which is issued by the Central Marine Research and Design
Institute (CNIIM F), an organisation approved by the Russian Federation’s
Ministry o f Transportation, w ill be required to enter a Russian port i f the ship’s
ice class is lower than that adm issible by the port authority. If the ice
conditions are within the ship’s ice class limitations, however, an Ice
Certificate w ill not be required.
Equipment on UK ships and listed in M SN 1734 (as amended) must com ply
with the applicable international standards specified in that M SN. Equipment
w ill not com ply with the applicable international standards unless (1) it meets
the testing standards o f the relevant international convention (SO LAS,
M ARPOL, etc.) as specified in M SN 1734 (as amended); and (2) it has been
manufactured in accordance with the EC conformity-assessm ent procedure and
the mark o f c onformity, identification and the last two digits o f the year in
which the mark was affixed are on the equipment.
The EC mark o f conformity (a sh ip’s wheel sym bol) should be on the
equipment, or on a data plate attached to it. I f that is im possible it may be on
the packaging, or on a label attached to the equipment or its packaging, or on
an accom panying leaflet. The mark w ill be follow ed by the identification
symbol and number o f the EC N otified B ody ( if that body carried out the EC
conform ity-assessm ent procedure in the production control phase) and by the
last two digits o f the year in w hich the mark was affixed, e.g. “99”.
If there is an agreement between the EC and the port State where the
replacement equipment is supplied on the mutual recognition o f such
organisations, the item must be supplied with documentation issued by a
recognised organisation equivalent to one o f the EC N otified Bodies. Where
there is no such agreement, the equipment must be supplied with
documentation issued by an IMO member State certifying that it com plies with
the relevant international standard.
A ny o f the follow ing EC N otified Bodies: (1) L loyd’s Register; (2) A BS
Europe Ltd; (3) QINETIQ Ltd; (4) QINETIQ Portland; 95) BSi; and (6)
Warrington Certification Ltd.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D ! 68. What equipm ent d oes MSN I 735 (as
am ended) d e a l with?
D 16 9. Which organisations m ay carry out type
approvals f o r equipm ent on U K sh ips f o r w hich
-rere are no international testin g standards, as
■led in MSN 1735 (as am ended)?_____________
D 170. What a re the fun ctions o f an E C
Notified Body?
D H L What a re the fun ctions o f a U K
'■ ■mnated B ody in re la tio n to m arine
equipment?
72. Where can the statutory requirem ents
the fittin g o f navigational equipm ent in U K
tips be foun d?
73. D o the requirem ents o f SOLAS
regulation V/19 apply to sh ips o f a ll ages?
~4. U nder the re v ised M ARPOL Annex I
ch en tered into fo r c e on I January 2007,
it o il pollu tion preven tion equipm ent must
~ned in a ship o f 4 0 0 G T o r m ore but less
10,000 GT?
*5. Under the re v ised MARPOL Annex I
h en tered into fo rc e on 1 January 2007,
! o il pollu tion preven tion equipm ent must
tied in a ship o f 10,000 G T o r m ore?
~6. U nder the re v ised MARPOL Annex I,
'tationary ships, such a s h otel vessels an d
ge ships, n e e d to be p ro v id e d w ith oil
ng equipment?
Under the re v ised M ARPOL Annex I,
o il pollution preven tion equipm ent must
Sited in a ship o f less than 400 GT?
A sh ip operates perm anently in a
f area, o r is a high -speed craft com plying
:he H SC Code, on sch edu led voyages with
-round tim e not exceeding 2 4 hours. D oes
•utve to m eet the Annex I regulation 14
~nt requirem ents?
’- What is the difference between an o ily
separator an d an O D M CS?_________ _
SHIPMASTER’S BUSINESS SELF-EXAMINER
49
Equipment which, under UK regulations, is required to have MCA type
approval, but for which there was no applicable international standard when
the M SN was published. ______________________________________________
A ny o f the follow ing U K Nom inated Bodies: (1) L loyd’s Register; (2) A BS
Europe Ltd; (3) Germanischer Lloyd; (4) Bureau Veritas; (5) Det Norske
Veritas; (6) Registro Italiano' N avale (UK ); and (7) QINETIQ Ltd.
To carry out, to internationally agreed standards, tests, type approvals and
certification o f equipment listed in M SN 1734 (as amended), i.e. certain life-
saving appliances, marine pollution prevention, fire protection, navigation
equipment and radio-communication equipment.
To carry out, to standards set b y the M CA, tests, type approvals and
certification o f equipment listed in M SN 1735 (as amended) for w hich no
internationally agreed standard exists, i.e. certain fire appliances, life-saving
appliances, marine engineering, navigation equipment, marine radio
equipment, marine pollution equipment, crew accomm odation, and bulk carrier
safety equipment.
In SO LAS regulation V /19 and the guidance published in the M C A ’s 2002
SO LAS V Publication (properly called Safety o f N avigation - Im plem enting
SO LAS C hapter V, 2002). Annex 11 to the M CA publication contains a table o f
equipment requirements for new ships (i.e. ships built on or after 1 July 2002)
w hile Annex 12 contains a table o f equipment requirements for existing ships
(i.e. ships built before 1 July 2002).
N o. Ships built before 1 July 2002 may continue to com ply with the
requirements o f SO LAS Chapter V /74 in force prior to the 2002 Regulations,
with regard to signalling lamps (reg. 11/74), navigation equipment (reg. 12/74)
and nautical publications (Reg. 20/74). However, they must carry a Global
Navigation Satellite System (G N SS ) receiver or a terrestrial radio-navigation
receiver, Automatic Identification System (A IS) and V oyage Data Recorder
(V D R ) or Sim plified V oyage Data Recorder (S-V D R ) in accordance with the
timetables set out in regulations 19 and 20 o f SO LAS V 2002, as explained in
M GN 379.
Oil filtering (15 ppm) equipment o f a design approved by the flag State
Administration. (M ARPOL Annex I, reg. 14.1)
(1) Oil filtering (15 ppm) equipment o f a design approved by the flag State
Administration; (2) an alarm arrangement to indicate when 15 ppm cannot be
maintained; and (3) arrangements to ensure that any discharge o f oily mixtures
is automatically stopped when the oil content o f the effluent exceeds 15 ppm.
(M ARPOL Annex I, reg. 14.2)______________________________________________
N o. They need not be provided with oil filtering equipment, but they must be
provided with a holding tank having a volum e adequate, to the satisfaction o f
the flag State Administration, for the total retention on board o f the oily bilge
water. A ll oily bilge water must be retained on board for subsequent discharge
to reception facilities. (M ARPOL Annex I, reg. 14.3)
The flag State Administration must ensure that ships o f less than 400 GT are
equipped, as far as practicable, to retain on board oil or o ily mixtures or
discharge them in accordance with the follow ing requirements: (l),th e ship is
proceeding en route; (2) the ship has in operation equipment o f a design
approved by the flag State Administration that ensures that the oil content o f
the effluent without dilution does not exceed 15 ppm; (3) the oily mixture does
not originate from cargo pump room bilges on oil tankers; and (4) the oily
mixture, in case o f oil tankers, is not m ixed with oil cargo residues. (M ARPOL
Annex I, reg. 14.4)
N ot necessarily. The requirements m ay be w aived by the flag State
Administration for a ship engaged exclusively on voyages in special areas, so
long as: (1) she is fitted with a holding tank with a volum e adequate for
retaining all oily bilge water; (2) all oily bilge water is retained on board for
discharge to reception facilities; (3) adequate reception facilities are available
in a sufficient number o f ports and terminals at which the ship calls; (4) the
International Oil Pollution Prevention Certificate is endorsed; and (5) the
quantity, tim e, and port o f the discharge are recorded in the Oil Record Book
Part I. (M ARPOL Annex I, reg. 14.5)_______________________________________
An oily water separator is a m achine fitted in all ships (not just tankers), for
reducing the oil content o f engine room oily b ilge water before it is discharged
50
D 180. N ew filte rin g equipm ent is being
in stalled on a U K ship. Can the sh ipow n er have
an y m ake a n d type o f equipm ent he wants?
Sewage pollution prevention equipment
D I 8 I. U nder the re v ised M ARPOL Annex IV,
which ships m ust have se w a g e pollution
preven tion equipment?
D 182. What sew age pollu tion preven tion
equipm ent m ust be f itte d in a ship to which the
re v ised MARPOL Annex IV applies?
Incinerators and shipboard incineration
D I83. What d oes the re v ised M ARPOL Annex
VI (which en tered into fo r c e on I July 2010)
require regarding a pproval o f incinerators
in stalled on a ship?
D 184. What substances does regulation 16 o f
the re v ised M ARPOL Annex V Iprohibit the
sh ipboard incineration of?
D l 85. D oes the re v ised M ARPOL Annex VI
p erm it sh ipboard incineration o f PVCs?
D I 86. D oes the re v ised M ARPOL Annex VI
p e rm it sh ipboard incineration o f sew age sludge
a n d sludge oil?
D I87. What are the requirem ents o f the
re v ised MARPOL Annex VI regarding training
o f incinerator operators?
Vapour collection systems
D I 88. What a re the reqiurem ents o f the
re v ised MARPOL Annex VI regarding the
installation o f vapour collection system s in
tankers?
Automatic identification svstems (AIS)
D I89. Which M N o tic e contains re v ised U K
carria g e requirem ents fo r AIS?
D l 90. Which ships must have AIS fitted, an d
under which IM O regulation?
D 191. Which M N otice contains operation al
guidan ce on the use o f AIS a t sea?
overboard. It is usually fitted in the engine room and basically com prises one
or more vertical cylinders, an inlet pipe from the bilge and outlet pipe to the
overboard discharge. An oil discharge m onitoring and control system
(O DM CS) is a system only fitted in tankers com prising piping between the
slop tank and computerised sampling and monitoring equipment (O DM E)
usually fitted in the cargo control room, and piping to the overboard discharge.
A tanker fitted with an O DM CS w ill also have an oily water separator in its
engine room.
N o. The equipment must m eet IMO specifications, as detailed in M SN 1734,
and be approved by an EC N otified Body.
For sewage discharge reauirements, see Section H
Ships o f 4 0 0 GT and above and ships o f less than 400 GT which are certified
to carry more: than 15 persons, on international voyages.
One o f the follow ing sew age svstems: ( l ) a sew aee treatment plant, tvpe-
approved bv the flae State Administration: or (2) a sew aee com minuting and
disinfecting svstem approved bv the flae State Administration, for the
temporary storage o f sew age when the ship is less than 3 nautical m iles from
the nearest land; or (3) a holding tank o f a capacity to the satisfaction o f the
flag State Administration, for the retention o f all sewage, having regard to the
operation o f the ship, the number o f persons on board and other relevant
factors, with means to indicate visually the amount o f its contents. (M ARPOL
Annex IV reg. 9) A standard discharge connection must also be provided to
enable pipes o f reception facilities to be connected with the ship’s discharge
pipeline. (MARPOL Annex IV reg. 10)
For air pollutant emission reauirements. see Section H
Except as provided in reg. 16.6.2 o f Annex VI, each incinerator on a ship
constructed on or after 1 Januarv 2000 or incinerator installed on board a ship
on or after I Januarv 2000 must m eet the requirements in appendix IV to
Annex VI, and must be approved by the flag State Administration and p ossess
an IM O Type Approval Certificate. Reg. 16.6.2 permits flag State
Administrations to exem pt from these requirements any incinerator installed
before 19 M ay 2005 on a ship solely engaged in dom estic voyages.
(1) R esidues o f cargoes subject to Annex I, II or III or related contaminated
packing materials; (2) polychlorinated biphenyls (PCBs); (3) garbage, as
defined by Annex V , containing more than traces o f heavy metals; (4) refined
petroleum products containing halogen compounds; (5) sewage sludge and
sludge oil either o f which are not generated on board the ship; and (6) exhaust
gas cleaning svstem residues. (7) Shipboard incineration o f p o lw in v l chlorides
(PVCs) is also prohibited, except in a shipboard incinerator for which an IMO
Type Approval Certificate has been issued.
Under reg. 16.3, shipboard incineration o f polyvinyl chlorides (PVCs) is
prohibited, except in a shipboard incinerator for which an IMO Type Approval
Certificates has been issued.
Under reg. 16.4, shipboard incineration o f sew age sludge and sludge oil
generated during normal operation o f a ship may take place in the main or
auxiliary pow er plant or boilers, but in those cases, must not take place inside
ports, harbours and estuaries.
Under reg. 16.7, personnel responsible for the operation o f an incinerator
installed in accordance w ith reg. 16.6.1 must be trained to implement the
guidance in the manufacturer’s operating manual.
I f the em issions o f volatile organic compounds (VO Cs) from a tanker are to be 1
regulated in a port or terminal (which w ill depend on port State or terminal
regulations), the tanker must have a vapour em ission collection system
approved by the flag State Administration, and must use it during the loading
o f relevant cargoes.
M SN 1795.
(1) All ships o f 300 GT and upwards engaged on international voyages; (2)
cargo ships o f 500 GT and upwards not engaged on international voyages; and 1
(3) all passenger ships, irrespective o f size, engaged on international or
dom estic voyages. AIS is required by SO LAS regulation V /19.2.4.
M GN 324. IMO Guidelines for the Onboard Operational U se o f Shipbome
Automatic Identification System s (A IS) are shown in Appendix III and MCA
Guidance on the use o f AIS in Navigation together with a list o f MC A AIS
base stations is shown in Appendix IV.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
 D I 92. What a re the requirem ents o f SO LAS
regulation V/.19, as am ended, concerning
operation o f the A1S in sh ips f itte d with it?
D 193. Is a sh ip 's AIS a llo w e d to be sw itch ed
o f f a t a n y time?
Long-Range Identification and Tracking (LRIT)
D194. What is L ong-Range Identification a n d
Tracking (LRIT)?
.
| D195. What a re the statutory requirem ents f o r
the fittin g o f LRIT equipm ent to ships?
D I 96. Which M N otice contains the M C A ’s
guidance on LRIT?
D197. What does the LRIT system com prise?
1 D198. B y w hat d ate m ust ships m eet the LRIT
1 equipm ent requirem ents o f SO LAS regulation
I V/19-1?
1 D 199. What test m ust a sh ip's LRIT equipm ent
1 undergo?
I D200. H ow does LRIT work, basically?
1 D201. What is an A pplication Service
1 P rovider?
1 D202. Who program m es an d controls LRIT
ransm issions b y ships?
1 D203. H ow does LRIT w ork when the sh ip is
I a o s e to another S ta te ’s coast?
I r'oyage data recorder (VDR)
1 £>204. What is the basic p u rpose o f VDR?
1 D205. Which ships m ust b e f itte d with a fu ll
1 «e. age data recorder (VDR)?
1 D206. Which sh ips m ust be f itte d with either a
I ' ~ . VDR o r a sim plified VDR (S- VDR)?
1 B 207. Can a cargo ship be exem ptedfrom the
1 m fuirem ent to have a VDR?
1 C 208. A re there an y o th er circum stances in
1 «*_■>! sh ips m ay b e exem pted fro m the
1 p . .irem en t to have a VDR?
HQ09. What tests m ust a VDR undergo on
mkrnard, an d what VDR docum entation m ust be
^m m ried on board?
Efl p * £ SHIPMASTER’S BUSINESS SELF-EXAMINER
Ships fitted with AIS must maintain AIS in operation at all tim es except where I
international agreements, rules or standards provide for the protection o f
navigational information. (SO LAS reg. V/19.2.4.7)
IMO G uidelines for the Onboard Operational U se o f Shipbom e AIS state that
AIS should always be in operation when ships are underway or at anchor. I f the
master b elieves that the continual operation o f AIS m ight com promise the
safety or security o f his/her ship, or where security incidents are imminent, the
AIS may be switched off. This m ight be the case in sea areas where pirates and
armed robbers are known to operate. U n less it would further compromise the
safety or security', i f the ship is operating in a mandatory ship reporting system,
the master should report this action and the reason for doing so to the
competent authority.
A system for the automatic and regular transmission o f identification and
position data by ships which may be received for security and other purposes
by the flag State Administration and, subject to certain restrictions, by other
SO LAS Contracting States.
LRIT is a mandatory requirement under SO LAS regulation V /19-1 from 31
D ecem ber 2 008 for the follow in g ships on international voyages: (1) passenger
ships, including high-speed craft; (2) cargo ships, including high-speed craft, o f
300 GT and upwards; and (3) m obile offshore drilling units.
MGN 380 contains amendments to the M C A ’s 2002 SO LAS V Publication
dealing with LRIT. It contains SO LAS regulation V/19-1 and guidance on the
survey and certification o f com pliance o f ships with the requirement to
transmit LRIT information.
(1) Shipbom e LRIT information transmitting equipment; (2) Communication
Service P roviders); (3) Application Service P roviders); (4) LRIT Data
Centre(s), including any related V essel M onitoring System (s); (5) an LRIT
Data Distribution Plan; and (6) the LRIT International Data Exchange.
N ot later than the first radio survey after 31 Decem ber 2008, or in the case o f
ships operating in Sea Area A 4, not later than the first radio survey after 1 July
2009.
A conformance test conducted by a recognised Application Service Provider
(A SP) or an Authorised Testing A SP (ATA SP).
Ships automatically send their LRIT information to an Application Service
Provider/Data Centre appointed or operated by the flag State Administration.
The Administration can at all tim es monitor the vessel, request on-demand
transmissions and change the automatic reporting interval.
A service provider contracted by the flag State Administration to handle
activation, testing, com munications and interfacing to the LRJT data centre.
An Application Service Provider, from the shore.
I f the ship is operating within 1000 nautical m iles o f the coast o f another State,
or has announced its intention to enter a port under that State’s jurisdiction, the
LRIT information from the ship w ill be automatically distributed to the State
through the International Data Exchange. In this case, the State w ill be able to
monitor the vessel, request on-demand transmissions and change the automatic
reporting interval.
To assist in casualty investigations.
The follow ing ships on international voyages: (1) all passenger ships; and (2)
ships, other than passenger ships, o f 3000 GT or more built on or after 1 July
2002. (SOLAS reg. V/20.1)
Cargo ships o f 3,000 GT or more built before 1 July 2002, on international
voyages. (SOLAS reg. V/20.2)
Y es. The flag State Administration may exempt a cargo ship from having a
V D R if the ship will be permanently taken out o f service within 2 years o f the
specified date for fitting. (SOLAS reg. V/20.2.3)
Yes. The flag State Administration m ay exem pt a ship, other than a ro-ro
passenger ferry, built before 1 July 2002 from being fitted with a V D R where it
can be demonstrated that interfacing a V D R with the ship’s equipment is both
unreasonable and impractical. (SO LAS reg. V/20.3)
The V D R system , including all sensors, must be subjected to an annual
performance test conducted by an approved testing or servicing facility to
verify the accuracy, duration and recoverability o f the recorded data. In
addition, tests arid inspections must be conducted to determine the
serviceability o f all protective enclosures and devices fitted to aid location. A
copy o f the Certificate o f Com pliance issued by the testing facility must be
retained on board the ship.
52
Charts and nautical publications
D 2 10. Where can the statutory requirem ents
f o r the carriage o f charts a n d nautical
pu blication s on a U K ship be fou n d?
D 2 I I. What are the basic SO LAS chapter V
requirem ents relating to the carriage o f charts
a n d nautical publications?
D 212. What a re the requirem ents concerning
charts o f Annex 3 to the M C A ’s SO LAS V 2002
pu blication?
D 2 1 3. Which sh ips m ust carry the IM O
International C ode o f Signals?
D 214. Which U K ships m ust c a rry an up-to-
date copy o f Volume III o f the IAMSAR
Manual?
D 215. SO LAS regulation V/1 9 .2 .1.4 requires
the carriage o f nautical charts a n d nautical
publications. Which nautical publications must
be c a rrie d by a U K ship?
D 216. To which U K m erchant sh ips do the
carriage requirem ents f o r charts a n d nautical
publications o f SO LAS regulation V/19/2.1.4
not apply?
Electronic Chart Display and Information Svstem (ECDIS)
D 2I7. When d id the f itt ing o f ECD IS to
certain ships becom e a m andatory
requirem ent?
D 218. What is the SO LAS implementation
schedule f o r the fittin g o f ECDIS?
D 2 19. U nder w hat circum stances can a ship
be ex em ptedfrom the fittin g o f ECDIS?
In the M C A ’s 2002 SO LAS V Publication (properly called Safety o f
N avigation - Im plem enting SO LAS C hapter V, 2002). This contains the
SO LAS requirements (in regulations V /19, V/21 and V /27) relating to the
carriage o f charts and nautical publications, and the M C A ’s guidance (in
Annex 3).
Under SO LAS regulation V /19, all ships, irrespective o f size, must have
nautical charts and publications to plan and display the ship’s route for the
intended voyage and to plot and monitor positions throughout the voyage.
H owever, pending the sh ip’s implementation date for the mandatory carriage
o f ECDIS (se e below ), an electronic chart display and information system
(ECD IS) may be accepted by the flag State Administration as m eeting the chart
carriage requirements.
Charts or ECD IS must be o f such a scale and contain sufficient detail to show:
(1) all navigational marks which m ay be used by a ship when navigating the
waters which are covered by the chart; (2) all known dangers affecting those
waters; and (3) information concerning any ships’ routeing and ship reporting
measures applicable to those waters. All charts must be o f the latest obtainable
edition and be kept up to date from the latest relevant obtainable W eekly
N otices to Mariners and Radio Navigational Warnings.
All ships which are required to carry a radio installation under SO LAS chapter
IV (i.e. all passenger ships on international voyages and all cargo ships o f 300
GT or more on international voyages), and any other ship which, in the opinion
o f the flag State Administration, has a need to use it. (SOLAS reg. V/20.3)
All UK ships o f 150 GT or more on international voyages, and all U K ships o f
500 GT or more on dom estic voyages.
(1) The International Code o f Signals; (2) the Mariner’s Handbook; (3)
Merchant Shipping N otices (M SN s), Marine Guidance N otes (M GN s) and
Marine Information N otes (M INs); (4) Admiralty N otices to Mariners; (5)
Annual Summary o f Admiralty N otices to Mariners; (6) Admiralty Lists o f
Radio Signals; (7) Admiralty Lists o f Lights; (8) Admiralty Sailing Directions;
(9) Nautical Almanac; (1 0 ) navigational tables; (11) tide tables; (12) tidal
stream atlases; and (13) operating and maintenance instructions for
navigational aids carried by the ship. O nly those parts o f the listed publication
which are relevant to a ship’s voyage and operation need be carried.
(1 ) U K ships o f Class V; (2) U K ships which are neither passenger ships nor
seagoing; and (3) new ships o f Class A, B , C or D
The option that existed since 2002 for a ship to be fitted with an ECDIS and a
backup arrangement as a means o f fulfilling the SO LAS requirement for a ship
to carry nautical charts for the intended voyage became a mandatory
requirement under an amendment to SO LAS regulation V /19 with an entry into
force date o f 1 January 2011. ECDIS must be fitted according to an
implementation schedule which depends on the ship’s type, age and tonnage.
Ships engaged on international voyages must be fitted with an ECDIS as
follow s: (1) passenger ships o f 500 GT and upwards constructed on or after 1
July 2012; (2 ) tankers o f 3,000 GT and upwards constructed on or after 1 July
2012; (3) cargo ships, other than tankers, o f 10,000 GT and upwards
constructed on or after 1 July 2013; (4) cargo ships, other than tankers, o f
3,000 GT and upwards but less than 10,000 GT constructed on or after 1 July
2014; (5) passenger ships o f 500 GT and upwards constructed before 1 July
2012, not later than the first survey on or after 1 July 2014; (6) tankers o f 3,000 !
GT and upwards constructed before 1 July 2012, not later than the first survey ;
on or after 1 July 2015; (7) cargo ships, other than tankers, o f 50,000 gross
tonnage and upwards constructed before 1 July 2013, not later than the first
survey on or after 1 July 2016; (8) cargo ships, other than tankers, o f 20,000
GT and upwards but less than 50,000 GT constructed before 1 July 2013, not
later than the first survey on or after 1 July 2017; and (9) cargo ships, other
than tankers, o f 10,000 GT and upwards but less than 20,000 GT constructed
before 1 July 2013, not later than the first survey on or after 1 July 2018.
The flag State Administration may exempt a ship from the ECDIS fitting
requirements i f the ship will be taken permanently out o f service within two
years after the implementation date.
THE SHIPMASTER’S BUSINESS SELF-EXAMINE =

; D220. What are the Main p o in ts o f I M O ’s
guidance to sh ipow n ers a n d operators
! regarding the transition fro m p a p e r chart to
'• ECDIS rtapigation?
Bridge Navigational Watch Alarm System (BNWAS}
, D 221. What a re the c h ie f SO LAS requirem ents
f o r the fittin g o f a B ridge N avigational Watch
| Alarm System (BNWAS)?
Compasses
1 D222. Where can the statu tory requirem ents
for the provision o f com passes on U K sh ips be
found?
I D223. What a re the SOLAS requirem ents f o r
'J'-e provision o f com passes on U K sh ips?
I D224. Which ships must, under SO LAS V,
I -7TV a spare m agnetic com pass?
~3-?25. Which ships must, under SO LAS V,
1 zsrry a g yro com pass?
1 2 -26. Where can the M C A ’s requirem ents
I m td advice on the adjustm ent o f m agnetic
I passes be found?
1 2227. When sh o u ld m agnetic com passes be
I adjusted?
lU C 'A Who sh ou ld ca rry out the adjustm ent o f
B magnetic com passes on U K ships?
1BET9. Where can the requirem ents f o r
I IkK m in g an M C A -qualified com pass adjuster
I » fmotd?
I BO O H ow can it be verified that a com pass
H musier is p ro p e rly qualified?
A U K sh ip is at a P acific islan d port.
■ flat m aster b elieves the sta n d a rd com pass
adjusting but a q u alified com pass
1 is unavailable. What is the M C A ’s
Jkxzrors and cables
1- ' What are the international legal
■ ~ients f o r the provision o f anchors an d
Bmmiii.7 so ships?
■he 5-H ^MASTER’S BUSINESS SELF-EXAMINER
53
(1) Shipowners and operators should undertake an assessm ent o f the issues
involved in changing from paner chart to ECDIS navigation. Ships’ crews
should participate in any such assessm ent. (2) Shipowners and operators should
also ensure that their ships’ crews are provided with a comprehensive
familiarisation programme and tvne-soecific training.
A B N W A S must be fitted in com pliance with SOLAS reg. V /19 as follows: (1)
cargo ships o f 150 GT and upwards and passenger ships irrespective o f size
constructed on or after 1 July 2011; (2) passenger ships irrespective o f size
constructed before 1 July 2011, not later than the first survey after 1 July 2012;
(3) cargo ships o f 3,000 GT and upwards constructed before 1 July 2011, not
later than the first survey after 1 July 2012; (4) cargo ships o f 500 GT and
upwards but less than 3,000 GT constructed before 1 July 2011, not later than
the first survey after 1 July 2013; and (5) cargo ships o f 150 GT and upwards
but less than 500 GT constructed before 1 July 2011, not later than the first
survey after 1 July 2014. The bridge navigational watch alarm system shall be
in operation whenever the ship is underway at sea.
The M C A ’s 2002 SO LAS V Publication (properly called Safety o f Navigation
- Im plem enting SO LAS C hapter V, 2 0 0 2 ) contains the SO LAS requirements
for the provision o f gyro and m agnetic com passes, as w ell as the M C A ’s
guidance (including Annex .13 - M agnetic Com passes and Annex 20 -
Inspection and Survey o f N avigational Equipment).
SO LAS regulation V /19.2.1 provides that all (SO LA S) ships, irrespective o f
size, must have a properly adjusted standard m agnetic com pass, or other
means, independent o f any pow er supply, to determine the ship’s heading and
display the reading at the main steering position, as w ell as a pelorus or
com pass bearing device, or other means, to take bearings.
All ships o f 150 GT and upwards, and all passenger ships irrespective o f size.
(SO LAS reg. V /19.2.2)
All ships o f 500 GT and upwards. (SO LA S reg. V /19.2.5.1) (The regulation
permits the provision o f alternative “other means” o f determining and
displaying heading by non-m agnetic means.)
In Annex 13 (M agnetic C om passes) to the M C A ’s 2002 SOLAS V Publication
(properly called Safety o f N avigation - Im plem enting SO LAS C hapter V,
2002).
Annex 13 (M agnetic C om passes) to the M C A ’s 2002 SO LAS V Publication
advises that each magnetic com pass required to be carried must be properly
adjusted and its table or curve o f residual deviations must be available at all
times. M agnetic com passes should be adjusted when: (1) they are first
installed; (2) thev becom e unreliable; O') the ship undergoes structural repairs
or alterations that could affect its permanent and induced magnetism: (4 \
electrical or m agnetic eauinment close to the com pass is added, removed or
altered; or (5) a period o f tw o vears has elapsed since the last adjustment and a
record o f com pass deviations has not been maintained, or the recorded
deviations are excessive or when the com pass show s physical defects.
M GN 279 advises that adjustment o f the com passes o f merchant ships in the
U K should, w henever practicable, be entrusted to com pass adjusters holding
Certificates o f Com petency as Com pass Adjuster issued by the MCA.
In M GN 279 (Certificate o f Com petency as Com pass Adjuster). Certificates o f
Com petency as Compass Adjuster are issued by the M CA follow ing
examination.
In the U K a reliiible com pass adjuster should hold a Certificate o f Competency
as Compass Adjuster issued by the M CA. Outside the UK , how ever, compass
adjusters may, depending on local requirements, hold another qualification, or
be unqualified.
If a qualified com pass adjuster is unavailable and the master considers it
necessary then adjustments may b e made by a person holding a Certificate o f
Com petency (D eck O fficer) Class 1 (M aster Mariner). The com pass must be
re-adjusted by a qualified com pass adjuster at the next available opportunity.
(Para. 12, Annex 13 (M agnetic Com passes) to the M C A ’s SO LAS V 2002
publication)
SO LAS contains no specific provisions for the provision o f anchors and cables.
The requirement o f SO LAS regulation II-1/3-1 for ships to be constructed,
equipped and maintained in conformity with the rules o f a recognised
classification society (or an equivalent national standard) means that, for m ost
ships, relevant class rules for anchoring equipment must be com plied with.
54
D 233. What are the statutory requirem ents f o r
the provision o f anchors a n d cables on U K
ships?
D 234. Who is usually the certifying authority
f o r anchors an d cables fo r U K ships?
D 235. Where can IACS-m em ber classification
so ciety requirem ents f o r anchoring equipm ent
be foun d?
D236. H ow can the requ ired num ber o f bow er
anchors a n d total length o f cable be
a scertain ed in IACS Unified Requirem ent UR
A?
D 237. I f Table 1 in IACS U nified Requirem ent
UR A specifies that three stockless bow er
anchors a re to be p ro v id e d f o r a ship, how is it
that m ost sh ips carry only two bow er anchors?
Anti-fouling systems
D 238. Which international convention
regulates the use o f anti-fouling system s?
D 239. What substances are banned by the AFS
Convention?
D 240. What su rveys are requ ired under the
AF S Convention?
Ship security alert system
D 24I. Who m ust the sh ip security alert system
o f a U K ship be re g istered with?
D 242. What m ust the ship secu rity alert system
do when it is activated?
D 243. Who w ill receive a ship secu rity alert
fro m a U K ship?
D 244. Where must the ship security alert
system be capable o f being a c tiv a te d from ?
Equivalents and Letters o f Equivalency
D 245. Where SO LAS p ro v id es that a
p articu la r fitting, m aterial, applian ce or
apparatus is to be f itte d o r ca rrie d in a ship,
can the carriage o f any altern ative be
perm itted?
D 246. D oes MARPOL p erm it equivalents?
D 2 4 7. What is a L etter o f Equivalency?
The M S (C argo Ship Construction) Regulations 1997 and The MS (P assenger
Ship Construction) R egulations 1998 provide that: (1) every ship must be
provided with anchor handline eauimnent together with such anchors and
chain cables as are sufficient in number, w eight and strength having regard to
the size o f the ship; and (2 ) this eauipm ent must be tested and certified bv the
Certifying Authority.
A classification society.
Classification societies which are IACS members (including all the UK
Recognised Organisations) are required to im plem ent IACS Requirements
Concerning M ooring, Anchoring and Towing (U nified Requirement A). This
publication is on the IACS website ww w.iacs.orp.uk
From a formula in UR A , the ship’s Equipment Number is ascertained. With
this Equipment Number, a table (Table 1) is entered, and the required number
and mass o f anchors and the total length o f anchor cable to be provided are
determined.
U R A , para. A 1 .4.2 provides that tw o o f the three required bower anchors must
be connected to their cables and positioned on board ready for use w hile the
third anchor is intended as a spare anchor, installation on board not being
com pulsorily required. Each Classification Society is free to permit other
arrangements at its discretion or not to require the spare anchor as a condition
o f classification.
See also ANTI-FOULING SYSTEM DOCUMENT A TION in this Section
The International Convention on the Control o f Harmful Anti-Fouling System s
on Ships, 2001, also called the AFS Convention. It entered into force on 17
September 2008.
Organotin compounds which act as biocides in anti-fouling paints on ships,
specifically tributyl tin (TBT) -based anti-fouling paints.
Ships o f 400 GT and above on international voyages (excluding fixed or
floating platforms. FSUs and FPSOs) must have: (1) an initial survev before
the ship is put into service or before the International Antifouling System
Certificate is issued for the first time; and (2) a survev when the anti-fouling
system s are changed or replaced. Surveys are to ensure that the ship’s anti­
fouling system fully com plies with the Convention and must be endorsed on
the IAFS Certificate.
See also SHIP SECURITY DOCUMENTATION in Section D
MRCC Falmouth. A registration form is available on the M CA website.
(1) Initiate and transmit a ship-to-shore security alert to a competent authority
designated by the flag State Administration, w hich in these circumstances may
include the Company, identifying the ship, its location and indicating that the
security o f the ship is under threat or has been compromised; (2) not send the
ship security alert to any other ships; (3) not raise any alarm on-board the ship;
and (4) continue the ship security alert until deactivated and/or reset. (SOLAS
reg. XI-2/6.2)
(1) MRCC Falmouth (which is the designated authority for the receipt o f ship
security alerts from U K ships and other Red Ensign Group ships); (2) the
Company Security Officer.
The navigation bridge and in at least one other location. (SOLAS reg. XI-2/6.3)
Yes. Flag State Administrations may approve any fitting, material, appliance or
apparatus, or type thereof, or a particular provision, in substitution for one
required by a SO LAS regulation if the Administration is satisfied, by trial or
otherwise, that the alternative fitting, etc. is as least as effective as that required
by SOLAS. (SOLAS reg. 1/5)
Yes. For exam ple, regulation 4 o f the revised Annex VI (in force from 1 July
2010) provides that the flag State Administration o f a Party State may allow
any fitting, material, appliance or apparatus to be fitted in a ship or other
procedures, alternative fuel oils, or com pliance methods used as an alternative
to that required by Annex VI i f such fitting, material, appliance or apparatus or j
other procedures, alternative fuel oils, or com pliance m ethods are at least as
effective in terms o f em issions reductions as that required by Annex VI, •j
including any o f the standards set forth in regulations 13 and 14.
A document issued by a flag State Administration to an organisation to confirm
that a specified fitting, material, appliance or apparatus produced by the
organisation w ill be deem ed equivalent to a statutory requirement o f the
Administration. For exam ple, under a Letter o f Equivalency issued by the
M CA to regs4ships, U K ships may, subject to certain provisos, obtain M
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D 248. Where can the MCA 's guidan ce on
Equivalency arrangem ents f o r charts a n d
nautical publications be found?
Safetv equipment In excess o f statutory requirements
D249. A U K sh ip is being f itte d with safety
equipm ent in excess o f statu tory requirements.
D oes the equipm ent have to m eet any
standards?
1 D 250. Why sh ould equipm ent in excess o f
1 statutory requirem ents have to m eet the
1 standards m entioned in the la st answer?
| D251. What is req u ired to he done w ith non-
! statutory safety o r pollu tion prevention
1 equipm ent which is inoperative?
UK STATUTORY SHIP CLASSES
General
1 D252. What are the various classes o f
passenger ship referred to in U K regulations?
D253. What a re the various classes o f non-
passenger ship referred to in U K regulations?
I D254. Is the statu tory classification system
I (i.e. C lasses I to XII) a p p lie d to U K sh ips an
international system ?
1 D255. Where can the official descriptions o f
i'K classes I to X II be found?
D256. Is it p o ssib le f o r a U K ship to have
1 more than one statu tory class?
1 D257. Can a U K ship which norm ally
I operates as a p a ssen g er ship be certificated as
I - cargo ship?
J K passenger ship classes
I -I1258. Which classes o f U K p a ssen g er ship are
1 - "niltcd to g o to sea?
I J 259. Which cla sses o f U K p a ssen g er ship are
1 ■ perm itted to g o to sea?
1 - 260. What is a SO LAS I p a ssen g er ship?
1 0 261. Which U K sh ips are C lass I ships?
I" ’ 262. Which U K sh ips are C lass II ships?
I -D263. Which U K sh ips a re C lass 11(A) ships?
1 D264. Which U K sh ips are C lass III ships?
~-E SHIPMASTER’S BUSINESS SELF-EXAMINER
55
N otices on-line from that organisation instead o f carrying paper M N otices as
required by The M S (Safety o f N avigation) R egulations 2:002. Several other
flag State Administrations have issued similar Letters o f Equivalency to
regs4ships. The M CA w ill also issue a Letter o f Equivalency where they
approve the carnage o f ECDIS pending mandatory carriage on board.
On the M CA w ebsite under Ships and Cargoes/Legislation and
Guidance/Statutory Publications.
Y es. According to M G N 79 it must be safe, suitable for its intended purpose,
maintained in good condition and in accordance with the manufacturer’s
instructions, and, i f applicable, must com ply with any conditions imposed by
an approval certificate o f non-statutory equipment.
Because it m ight com e to be relied on in an emergency. The sam e philosophy
applies in the case o f pollution prevention equipment in excess o f statutory
requirements.
It should either be repaired or removed, and i f removal is not practicable it
should be clearly marked as inoperative and secured.
Classes I, II, 11(A), III, IV, V , VI and V I(A), and C lasses A, B, C and D.
C lasses VII, VII(A), VII(T), VIII, VIII(A), VIII(T), VIII(A)(T), IX, IX (A),
IX (A )(T), X , XI and XII.
N o. It is a U K -only system used for the M C A ’s purposes, and is not used by
IMO or ILO. Various other countries, such as Canada, India, Ireland and N ew
Zealand, also have national ship class system s, but their class numbers and
descriptions are not aligned with the U K ’s.
On the M CA w ebsite under Ships and Cargoes/V essel Information/Passenger
and Cargo Ships/UK Ship Classification & EU Equivalents.
Y es. M any ferries are issued with Passenger Certificates for two, three or even
four classes, allow ing the ship to operate within different plying limits o f sea or
categorised waters under specified conditions (e.g. between specified dates and
carrying stated maximum passenger and crew numbers). For exam ple, two
Scottish-based ferries were certificated by the M CA to carry 303 passengers
and 11 crew w hen operating as Class III ships, 381 passengers and 9 crew as
Class IV ships and 531 passengers and 10 crew as,Class V ships. O nly one
certificate may be in use on any date.
Y es. This situation may arise, for exam ple, when a passenger ship makes a
voyage to or from a drydock without all o f her normal LSA fitted.
Passenger ships o f classes I, II, 11(A), III, VI and VI(A).
Passenger ships o f classes IV and V. They may only go on voyages in
categorised waters.
It is a term often used by the M CA for a passenger ship (i.e. a ship carrying
more than 12 passengers) on international voyages, i.e. a passenger ship to
which SO LAS chapter I applies.
Passenger ships engaged on voyages any o f w hich are long international
voyages. This class includes m ost U K -flag cruise ships, UK -flag deep-sea
cargo ships carrying 13 or more passengers, and som e troop-carrying Royal
Fleet Auxiliary ships.
Passenger ships engaged only on short international voyages. This class
includes U K -flag fe m e s on international services.
Passenger ships engaged on voyages o f any kind other than international
voyages, which are not: (1) ships o f C lasses III to V I(A ) as defined in The MS
(P assenger Ship Construction: Ships o f C lasses III to VI(A)) Regulations 1998',
or (2) ships o f C lasses A, B , C or D as defined in The MS (P assenger Ships on
D om estic Voyages) Regulations 2000 which are new ships, engaged on
dom estic voyages, for the purposes o f those Regulations. This class includes
sea-going U K -flag passenger ferries on longer dom estic voyages.
Passenger ships engaged only on voyages in the course o f which they are at no
time more than 70 m iles by sea from their point o f departure nor more than 18
m iles from the coast o f the UK , and which are at sea only in favourable
weather and during restricted periods. This class includes various UK coastal
56
D 265. Which U K ships are C lass IV sh ip s?
D266. Which U K ships are C lass V ships?
D 267. Which U K sh ips are C lass VI ships?
D 268. Which U K sh ips are C lass VI(A) ships?
D 269. Which U K ships are C lass A, B, C a n d
D ships?
D 270. Which U K sh ips are C lass A ships?
D271. Which U K ships are C lass B ships?
D 272. Which U K sh ips a re C lass C ships?
D 273. Which U K ships are C lass D ships?
Construction regulations applicable to UK passenger ships
D 274. Two sets o f P assen ger Ship
Construction R egulations ap p ly to different
classes o f U K pa ssen g er ship. What are these
R egulations?
Plying limits for UK passenger ships o f Classes IV, V and VI
D 275. Where can inform ation about C ategory
A, B, C an d D w aters be found?
D 2 76. What is the reason f o r the
categorisation o f w aters arou nd the U K '
D 2 7 7. What a re C ategory A w aters ?
D 278. What a re C ategory B w aters?
D279. What a re C ategory C w aters?
D280. What are C ategory D w aters?
UK non-oassenaer ship classes
D281. Which U K ships are C lass VII ships?
passenger ships, including the paddle steamer W averley for part o f each year.
Passenger ships engaged only on voyages in Category A , B, C or D waters.
Passenger ships engaged only on voyages in Category A , B or C waters. This
class includes, for exam ple, som e ferries operating across the river Clyde.
Passenger ships engaged only on voyages with not more than 250 passengers
on board, to sea, or in Category A, B, C or D waters, in all cases in favourable
weather and during restricted periods, in the course o f which the ships are at no
time more than 15 m iles, exclusive o f any Category A , B, C or D waters, from
their point o f departure nor more than 3 m iles from land.
Passenger ships carrying not more than 50 passengers for a distance o f not
more than 6 m iles on voyages to or from isolated com munities on the islands
or coast o f the U K and which do not proceed for a distance o f more than 3
m iles from land.
Passenger ships engaged only on dom estic voyages, as defined in Council
Directive 98/18/E C on Safety Rules and Standards for Passenger Ships, which
is implemented in the U K by The M S (P assenger Ships on D om estic Voyages)
R egulations 2000. The Directive applies to certain U K passenger ship classes
on or before 1 July 2010, depending on the date o f build o f the ship.
Passenger ships engaged only on dom estic voyages other than ships o f Class B,
C or D. Class A ships are equivalent to U K Class 11(A), IV or V ships.
Passenger ships engaged only on dom estic voyages in the course o f which they
are at no time more than 20 m iles from the line o f the coast where shipwrecked
persons can land, corresponding to the medium tide height. Class B ships are
equivalent to U K Class III ships.
Passenger ships engaged only on dom estic voyages in sea areas where the
probability o f significant w ave heights exceeding 2.5 metres is less than 10%
over a one year period for all year round operation, or over a specific restricted
period o f the year for operation exclusively in such period, in the course o f
which they are at no time more than 15 m iles from a place o f refuge, nor more
than 5 m iles from the line o f the coast where shipwrecked persons can land,
corresponding to the medium tide height. Class C ships are equivalent to UK
Class VI ships.
Passenger ships engaged only on dom estic voyages in sea areas where the
probability o f significant w ave heights exceeding 1.5 metres is less than 10%
over a one year period for all year round operation, or over a specific restricted
period o f the year for operation exclusively in such period, in the course o f
which they are at no time more than 6 m iles from a place o f refuge, nor more
than 3 m iles from the line o f the coast, where shipwrecked persons can land,
corresponding to the medium tide height. Class D ships are equivalent to UK
Class V I(A ) ships.
The M S (P assenger Ship Construction: Ships o f C lasses I, II a n d 11(A))
Regulations 1998 and The M S (P assen ger Ship Construction: Ships o f C lasses
III to VI(A)) Regulations 1998. (They consolidated and revoked many old
regulations concerning passenger ship construction, survey and stability, and
also revoked the Anchors and Chain Cables R ules.)
In The M S (C ategorisation o f W aters) R egulations 1992 and M SN 1776, which
lists all Categorised Waters in the UK .
For determining the application o f U K merchant shipping regulations to Class
IV, V and VI passenger ships. Since “sea” does not include any waters o f
Category A, B, C or D , these ships are not sea-going, an important fact when
determining whether a particular regulation applies or not.
Narrow rivet s and canals where the depth o f water is generally less than 1.5
metres. Examples are: the Norfolk Broads; the Kennet and Avon Canal;
Brighton Marina.
Wider rivers and canals where the depth o f water is generally more than 1.5
metres and where the significant w ave height could not be expected to exceed
0.6 metres at any time. Exam ples are: docks in the River M ersey (except
Seaforth Dock); Leith docks; Grimsby Dock; Immingham Dock; Hull docks.
Tidal rivers and estuaries and large, deep lakes and lochs where the significant
wave height could not be expected to exceed 1.2 metres at any time. Examples
are: Lame Harbour; Plymouth; M ilford Haven; D over Harbour.
Tidal rivers and estuaries where the significant w ave height could not be
expected to exceed 2.0 metres at any time. Examples are: Portland Harbour;
Oban; Sw ansea (excluding docks).
Ships (other than ships o f C lasses I, VII(T), XI and XII) engaged on voyages
any o f which are long international voyages. (This class includes numerous UK
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D282. Which U K ships a re C lass V1I(A)
I ships?
\ D283. Which U K ships a re C lass VJI(T) sh ips?
f D284. Which U K ships a re C lass VIII ships?
[D 2 S 5 . Which U K sh ips are C lass VIII(T)
1 ships?
| £>.?#6. Which U K ships are C lass VIII(A)
I ships?
TD2S7. Which U K ships are C lass VII1(A)(T)
I ships?
Which U K ships a re C lass IX ships?
pD-59. Which U K ships are C lass 1X(A) ships?
f D290. Which U K sh ips are C lass IX(A)(T)
1 ships?
|C - 9 / . Which U K ships a re C lass X Ish ip s?
LD-92. Which U K sh ips a re C lass XII ships?
u T -9j, Is there a C lass X f o r U K ships?
UK STATUTORY SHIP SURVEYS AND CERTIFICATES
- 94. What is a statu tory certificate, in
-lion to a U K ship?
'195 A re all ship certificates requ ired under
'•'national conventions a n d codes statutory
t :he UK?
-96. The MCA issues both “fu ll term ” a n d
m art term " certificates. What is the difference
■ween a “fu ll term certificate ” a n d a “sh ort
certificate”?
Can a sh ort term certificate be issu ed to
• a dam aged ship to s a il to a repair ya rd ?
• What ship certificates c a rrie d by m ost
rips m ight be c a lle d “non-statutory"
sr U K law?
> A ship carries a Statem ent o f
.: iance issu ed by a classification society.
Jtutory o r non-statutory?
i.S certificates
What are the c h ie f sh ip certificates
re d by the SO LAS Convention?
*= SHIPMASTER’S BUSINESS SELF-EXAMINER
57
ocean-going dry-cargo vessels.)
Ships em ployed as fish processing or canning factory ships, and ship engaged
in the carriage o f persons em ployed in the fish processing or canning
industries.
Tankers engaged on voyages any o f which are long international voyages.
(This class includes U K ocean-going tankers.)
Ships (other than ships o f C lasses II, VIII(T), IX, XI and XII) engaged only on
short international voyages. (This class includes most UK coastal dry-cargo
ships.)
Tankers engaged on voyages any o f which are short international voyages.
(This class includes, for exam ple, U K tankers trading to the near-Continent.)
Ships (other than ships o f C lasses 11(A) to V I(A ) inclusive), VIII(A)(T), IX,
IX (A), IX (A )(T), XI and XII) engaged only on voyages which are not
international voyages. (This class includes U K coastal dry-cargo ships.)
Tankers engaged only on voyages w hich are not international voyages. (This
class includes U K coastal tankers.)
Tugs and tenders (other than ships o f C lasses II, 11(A), III, VI and V I(A) which
proceed to sea but are not engaged on long international voyages. (This class
includes UK coastal tugs.)
Ships (other than ships o f C lasses IV to V I inclusive) which do not proceed to
sea. (This class includes, for exam ple, harbour dredgers.)
Tankers w hich do not proceed to sea. (This class includes, for example, U K
bunker barges operating in harbours.)
Sailing ships (other than ships o f Class XII) which proceed to sea. (This class
includes, for exam ple, som e U K sail training vessels.)
Pleasure craft o f 13.7 metres in length or over. (This class includes large motor
and other yachts which are not in commercial use.)
N ot amongst merchant ship classes; Class X ships are fishing boats.
.
A certificate required under an A ct o f Parliament or a government regulation
made under powers conferred by an Act, e.g. a Passenger Certificate, an
International Load Line Certificate or a Safe M anning Document.
N o. A certificate only becom es statutory for a U K ship when the provision o f
the treaty instrument requiring issue o f the certificate has legal effect in the
UK . Until then a -UK ship is not obliged by U K law to carry the certificate,
although it m ay need to be carried on board under IM O ’s “no more favourable
treatment” rule which is applied in port State control inspections. (S ee PORT
STATE CONTROL in Section I.)
A full term certificate (e.g. for 5 year validity) can only be issued when there
are only minor defects that need to be rectified which are not considered to
significantly affect safety and pollution prevention and there is no reason to
believe that the owner and master w ill not com plete rectification by the
assigned date. A short term certificate, with a maximum validity o f 5 months
unless agreed otherwise, may be issued in certain circumstances, for example:
(1) where a renewal survey o f a harmonised certificate has been completed but
the MCA is unable to arrange for issue o f the new full term certificate in time
(as permitted b y SO LAS reg. 1/14(d)); (2) when significant defects remain
outstanding but a tim escale -for remedial action or strict conditions have been
agreed; (3) when a ship’s stability has not yet been finally approved, but a
provisional stability book has been submitted to M CA and is on board the ship.
Y es. A vessel which has suffered damage m ay be specially considered and
permitted to sail on a single voyage to effect repairs. In this case the existing
certificate w ill be cancelled and a shortterm certificate which stipulates any
special conditions w ill be issued for the single voyage.
Certificate o f Class; Interim Certificate o f Class; Suez and Panama Canal
Tonnage Certificates; Anchor Certificates; Chain Cable Certificates; Chain
Cable A ccessory Certificates; P&I Club Certificate o f Entry.
Non-statutory. As soon as the flag State becom es bound by a Convention
requirement (e.g. when the Convention has entered into force), any Statement
o f Com pliance should be replaced by a statutory certificate issued by or on
behalf o f the flag State.______ _______
(1) Passenger Ship Safety Certificate (PSSC ); (2) Cargo Ship Safety
Construction Certificate (SCC); (3) Cargo Ship Safety Equipment Certificate
(SEC); (4) Cargo Ship Safety Radio Certificate (SRC); (5) Cargo Ship Safety
Certificate (CSSC); and (6) Safe M anning Docum ent (SM D ). These are______
58
D 30I. Which U K regulations enforce SOLAS
su rvey a n d certification requirem ents in the
UK?
D 302. Which organisation has overall
respon sibility f o r carrying out sta tu to iy surveys
a n d certification o f U K ships?
D 303. Which ships a re pa ssen g er ships f o r
SO LAS certification pu rposes?
D 304. Who is defin ed by SO LAS as a
passen ger?
D 305. Which ships a re cargo sh ips f o r SOLAS
certification purposes?
D 306. The stern ligh t on a U K anchor-
handling/supply vessel is f itte d a t the after en d
o f the accom m odation a n d not right aft. H ow
can it be d eterm ined w hether this is perm itted?
D 307. What are the usual contents o f a SO LAS
Exemption C ertificate?
D 308. When does a SOLAS Exemption
C ertificate expire?
D 309. What are the p ro b a b le consequences o f
a U K ship not com plying w ith the term s o f an
Exemption C ertificate?
MARPOL and other pollution-related certificates
D 3 I 0. What a re the c h ie f ship certificates
requ ired b y the various annexes o f the
MARPOL Convention?
D 311. Where can m odel fo rm s o f MARPOL
certificates be found?
D 3I2. Is the U K O il Pollution P revention
C ertificate a MARPOL certificate?
D 313. What pollu tion liability certificates
m ust ships have under IM O conventions?
D 3 14. What pollu tion liability certificate m ust
be ca rrie d b y certain ships in US w aters?
Load Line Convention certificates
D 3 1 5. What certificates m ay be issu ed under
the p rovision s o f the L o a d Line Convention?
D 3 16. Why is there a 1966fo rm o f each
certificate in the last answ er?
Statutory surveys and certification
D 3 1 7. What are statutory surveys?
som etim es collectively called “SO LAS certificates” or “safety certificates”.
SO LAS also requires the issue o f an Exemption Certificate when an exemption
from a SO LAS requirement is permitted.
The M erchant Shipping (Survey a n d C ertification) Regulations 1995, as
amended by The M S (Survey a n d Certification) (Amendment) Regulations
2000. The Amendment Regulations introduced the Harmonized System o f
Survey and Certification. (For questions on the HSSC, se e below .)
The Maritime and Coastguard A gency (M CA). However, the MCA authorises
several other R ecognised Organisations to carry out certain surveys and issue
certain certificates to U K ships.
Ships carrying more than 12 passengers. (A passenger ship actually carrying
less than 13 passengers on a voyage may operate and be certificated on that
voyage as a cargo ship.)
Every person other than (a) the master, crew members and other persons
em ployed or engaged in any capacity on board on ship’s business; and (b) a
child under 1 year old.
All ships other than passenger ships (whether they are true cargo-carrying ships
or not).
B y checking for the existence o f a valid Exemption Certificate. Where full
com pliance with a statutory requirement is im possible, the owners may apply
to the M CA for an exemption. If exem ption is permitted under the relevant
legislation, the M CA m ay have issued an Exemption Certificate.
The identity o f the particular regulation(s) (or parts thereof) exempted from;
the alternative arrangements and conditions im posed by the flag State
Administration; surveyor’s signature, port, date, official stamp.
When any related ship certificate expires. For exam ple, an Exemption
Certificate rel ating to the absence o f a pilot ladder w ill expire at the same time
as the Cargo Ship Safety Equipment Certificate.
Prosecution o f the owner or master by the M CA, and possibly detention o f the
ship.
(1) International Oil Pollution Prevention Certificate (IOPPC) under Annex I;
(2) International Pollution Prevention Certificate for the Carriage o f N oxious
Liquid Substances in Bulk (NLS Certificate) under A nnex II; (3) International
Sew age Pollution Prevention Certificate (ISPPC) under Annex IV; and (4)
International Air Pollution Prevention Certificate (IAPPC) under Annex VI.
Engine IAPP Certificates are also required under Annex VI for all non­
em ergency engines o f 130kW or over.
In the M ARPOL book published by IMO. Appendixes to Annexes requiring
certificates (A nnexes I, II, IV and VI) contain model certificates.
N o, it is a requirement o f The MS (P revention o f O il Pollution) Regulations
1996 for vessels trading only on dom estic voyages, to certify that the ship
meets U K oil pollution prevention standards.
(1) Ships carrying more than 2000 tonnes o f persistent oil in bulk as cargo
must have a Certificate o f Insurance or Other Financial Security in respect o f
Civil Liability for O il Pollution Damage (or “CLC”) under the 1992 Civil
Liability Convention. (2) Ships o f over 1000 GT must have a Certificate o f
Insurance or Other Financial Security in respect o f Civil Liability for Bunker
Oil Pollution Damage (or “Bunker CLC”) under the Bunkers Convention.
A Certificate o f Financial Responsibility (Water Pollution), often called a
“COFR”, must be carried by ships o f over 300 GT using the navigable waters
o f the US or any port or place subject to the jurisdiction o f the U S. Som e US
states (e.g. California) require (in addition) a State COFR i f entering their
waters.
(1) International Load Line Certificate; (2) International Load Line Certificate
(1966); (3) International Load Line Exemption Certificate; and (4)
International Load Line Exemption Certificate (1966).
The (1966) suffix indicates a certificate issued under the provisions o f the
unmodified International Load Line Convention prior to implementation o f the
Harmonized System o f Survey and Certification. (S ee below .)
Surveys required by law, i.e. (for a U K ship) by A ct o f Parliament or
regulations made under an Act. (Class surveys are not a statutory requirement.) 1
They generally lead to the issue or endorsement o f a statutory certificate.
THE SHIPMASTER S BUSINESS SELF-EXAMINEF

[ D 3I8. Which regulation s contain the survey
' requirem ents f o r U K ships, a n d which M N otice
explains them?
D 3 1 9. Which classification societies are
R ecognised O rganisations f o r the p u rp o se o f
' carrying out certain statutory su rveys o f U K
1 ships?
1 D320. Which a spects o f statutory su rvey a n d
certification does the MCA gen erally delegate
to R ecognised O rganisations (i.e. UK-
authorised classification societies)?
I D 32I. Which survey, au d it a n d inspection
items does the MCA not norm ally d eleg a te to
j Recognised O rganisations?
j D322. Which U K statu tory certificates a n d
docum ents w ill nol norm ally be issu ed by
Recognised O rganisations on b e h a lf o f the
] WCA ?
j D323. In what fo rm m ust statutory certificates
, s s u e d to UK sh ips be?
j D324. Where a sh ip is req u ired to have an
-nspection o f the outside o f the s h ip ’s bottom,
' »rust it alw ays be m ade with the ship out o f the
••ater?
1 D325. Which sh ips can not have an in-w ater
urvey o f the s h ip ’s bottom ?
1 D326. What are the respon sibilities o f the
■vner a n d the m aster o f a U K ship under The
| '■(S (Survey a n d C ertification) Regulations?
I 032 7 . What is the p ro p e r p rocedu re when a
i m ip, including its structure, m achinery a n d
equipment, is deficient?
~HE SHIPMASTER’S BUSINESS SELF-EXAMINER
*r>
59
The M S (Survey a n d C ertification) Regulations 1995 (SI 1995/1210), as
amended. M SN 1751 explains the Harmonized System o f Survey and
Certification (H SSC ), but is not up to date with the latest HSSC survey
procedures.
(1 ) L loyd’s Register (LR); (2) Bureau Veritas (BV); (3) D et Norske Veritas
D N V ); (4) American Bureau o f Shipping (ABS); (5) Germanischer Lloyd
(GL); (6) Registro Italiano N avale (RINA); and (7 ) Nippon Kaiji Kyokai
(NK K or C lass NK ) (with certain restrictions).
Surveys and certification for: Cargo Ship Safety Construction Certificates
(except as indica ted in the next answer); Cargo Ship Safety Radio Certificate;
International Tonnage Certificate; International Load Line Certificate;
International Sew age Pollution Prevention Certificate; International Air
Pollution Prevention Certificate; Engine 1APP Certificates; International Anti-
Fouling System s Certificate; annual and renewal surveys for International Oil
Pollution Prevention Certificates; and survey o f hull, machinery, control and
electrical equipment for issue o f Passenger Ship Safety Certificates (but not the
issue o f certificates).
(1) Stability, LSA, fire safety and navigation items o f surveys for Passenger
Ship Safety Certificates; (2) stability, LSA and fire safety items for (dom estic)
Passenger Certificates; (3) fire protection, means o f escape, fire safety o f
unattended machinery spaces, accom m odation, etc. for Cargo Ship Safety ;
Construction Certificates (but stability items may be delegated depending on
the size and type o f cargo ship); (4) initial surveys for Cargo Ship Safety
Equipment Certificates, IOPP, INLS and gas and chem ical tanker fitness
Certificates; (5) Safe M anning Documents; (6) High Speed Craft
documentation; ( 7) Certificates o f Compliance for Large Charter Yachts; (8)
audits for the IStvf Code and ISPS Code; and (9) ILO 178 inspections.
Passenger Ship Safety Certificates; Passenger Certificates; ISM DOCs and
SM Cs (although existing D O Cs o f ships flagging-in to the U K flag w ill be
considered on a case-by-case basis); Safe M anning Docum ents; International
Ship Security Certificates; Certificates o f Fitness for gas and chemical tankers;
International N oxious Liquid Substances Certificates; Dangerous Goods
Docum ents o f Compliance; first issues o f Cargo Ship Safety Equipment
Certificates; first issues o f International Oil Pollution Prevention Certificates;
High Speed Craft Safety Certificates and Permits to Operate; Certificates o f
C om pliance for Large Charter Yachts; Exemption Certificates; Letters o f
Equivalence.
Generally, in the form prescribed by the international convention or code under
w hich they are required. (M odel certificates are in the SO LAS, M ARPOL and
LO ADLINE books, the ISM and ISPS Codes and other IMO publications.)
N o. M GN 217 describes procedures for in-water surveys, which are now
allow ed on various classes o f ship o f all sizes, subject to certain conditions.
Tankers and bulk carriers aged 15 years or older.
To ensure: (1) that the condition o f the ship and its equipment is maintained to
conform with the provisions o f the Regulations to ensure that the ship in all
respects w ill remain fit to proceed to sea without danger to the ship or persons
on board; (2) that after com pletion o f any survey required b y the Regulations,
no change is made in the structural arrangements, machinery, equipment and
other items covered by the survey without approval o f the appropriate
Certifying Authority, except by direct replacement; and (3) that whenever an
accident occurs to the ship or a defect is discovered, either o f which, affects the
ship’s safety or the efficiency or com pleteness o f the LSA or other equipment,
it is reported as soon as possible to the appropriate Certifying Authority or to a
proper officer. (I f the ship is, in such a case, in a non-U K port, it must also be
reported to the appropriate port State authorities.)
Where a surveyor determines that the condition o f a ship, including its
structure, machinery and equipment, does not correspond substantially with the
particulars on a certificate, or is such that the ship is not fit to proceed to sea
without danger to the ship or persons on board, he w ill advise the owner or
master o f the corrective action required, and w ill notify the Certifying
Authority (e.g. the classification society). If the corrective action is not taken
within a reasonable period, the relevant certificate w ill be suspended. The
1 M CA w ill give notice o f the suspension to the owner, the surveyor and to the
Certifying Authority, w ho must in turn inform the master.
60
D 328. What are the requirem ents o f The M S
(Survey a n d C ertification) Regulations
concerning the issue an d duration o f Exemption
Certificates?
D 329. In w hat circum stances m ight the MCA
can cel a SO LAS certificate?
D 330. What are the statu tory requirem ents
concerning availability o f certificates on
board?
D 331. M ust SO LAS certificates be p o s te d up
on board?
D 332. What are the statu tory requirem ents
concerning U K ships p ro c e ed in g to se a w ithout
the a ppropriate docum entation?
D 333. What are the statu tory requirem ents
concerning produ ction o f statu tory certificates
to U K Customs officers?
D 334. What are the statutory requirem ents
concerning p ro c e ed in g on a dom estic UK
voyage o r excursion w ithout the appropriate
certificate?
D 335. What are the statu tory requirem ents
concerning n on -U K ships p ro c e ed in g to sea
fro m U K p o rts w ithout the appropriate
docum entation?
D 336. What are the statutory requirem ents
concerning the lim it on the number o f
passen gers on passen ger ships?
D 337. What is a p erso n pro h ib ited fro m doing
in connection w ith certificates o r surveys
referred to in The M S (Survey a n d
C ertification) R egulations?
D 338. What a re the p en a lties f o r breach o f
The M S (Survey a n d Certification)
Regulations?
D 339. What m ight an MCA su rveyor's gen eral
inspection o f a U K ship cover?
D 340. In relation to ships, w hat is the
difference betw een a su rvey an d an inspection?
(1) When an exem ption is granted to a ship in accordance with the relevant
regulations, an Exem ption Certificate w ill be issued (in addition to the related
SOLAS certificate). (2) An Exem ption Certificate w ill be issued for a period o f
validity not longer than the period o f validity o f the certificate to which it
refers. (3) An Exem ption Certificate w ill be subject to the same extension and
other provisions as the certificate to w hich it refers. (4) W here an Exemption
Certificate has been issued, a statement to this effect w ill be included on the
certificate to which it refers.
Where the M C A has reason to believe that: (1) the certificate was issued on a
false or erroneous information; (2) since any survey required by the
Regulations, the structure, equipment or machinery has sustained damage or is
otherwise deficient.
The owner and master o f every ship issued with a SO LAS certificate must
ensure that it is readily available on board for examination at all times.
N o. Until 8 June 2000 they w ere required to be posted up in a conspicuous
place, but a SO LAS amendment revoked this requirement.
N o U K ship m ay proceed to sea unless it has been surveyed and there is in
force: (1) in the case o f a (Class I) passenger ship engaged on international
voyages, a Passenger Ship Safety Certificate, or, i f the ship is only engaged on
short international voyages (i.e. it is a Class II ship), a short international
voyage Passenger Ship Safety Certificate; (2) in the case o f a cargo ship o f 300
GT or over on international voyages, a Cargo Ship Safety Radio Certificate; (3)
in the case o f a cargo ship o f 500 GT or over on international voyages, a Cargo
Ship Safety Equipment Certificate and a Cargo Ship Safety Construction
Certificate. In the case o f a cargo ship o f 500 GT or over on international
voyages, as an alternative to the separate certificates specified above, a Cargo
Ship Safety Certificate may be issued. N o cargo ship o f 500 GT and over not
engaged on international voyages m ay proceed to sea from a U K port unless it
has been surveyed and a U K Cargo Ship Safety Construction Certificate is in
force, unless a (SO LA S) Cargo Ship Safety Construction Certificate is in force.
The master o f every ship must produce to an officer o f custom s (i.e. HM
Customs) from w hom clearance for the ship is demanded for an international
voyage the certificates or documentation referred to in the Regulations.
A passenger ship o f Class 11(A), III, IV, V , V I or V I(A ) m ay not proceed on a
voyage or excursion unless it has been surveyed and there is in force a
Passenger Certificate appropriate to the ship’s class and applicable to that
voyage or excursion. Where a certificate is issued subject to conditions, the
ship may not proceed on a voyage or excursion unless all the conditions are
com plied with.
N o ship registered in a SO LAS party country may proceed to sea from a U K
port unless there is in force such SO LAS certificates as w ould be required if
the ship was a U K ship. The extension provisions in the Regulations w ill apply
to such certificates as if the ship w as a U K ship.
The owner and master o f a passenger ship must ensure that there is not on
board a greater number o f passengers than that stated on the ship’s Passenger
Ship Safety Certificate or Passenger Certificate.
(1) Intentionally altering a certificate; (2) intentionally making a false
certificate; (3) in connection with any survey, know ingly or recklessly
furnishing false information; (4) with intent to deceive, use, lending, or
allow ing to be used by another, a certificate; (5 ) failing to surrender a
certificate required to be surrendered; (6) in Scotland, forging any certificate.
If a ship proceeds or attempts to proceed to sea on a voyage or excursion
without com plying with the Regulations, the owner and master w ill each be
guilty o f an offence and liable on summary conviction to a fine not exceeding
the statutory maximum (£5000) or on conviction on indictment to
imprisonment for not more than 2 years, or a fine, or both.
In the case o f safety equipment it includes checking validity dates o f
pyrotechnics, liferafts, extinguishers, etc. and checking when muster drills,
launching o f boats, working tests o f fire pumps, etc. were carried out. It m ay be
expanded into a detailed examination i f either the ship or its equipment are
found in a poor condition. A general inspection w ill also be carried out when a
ship’s name is changed to check that the new name o f the ship has been duly
marked on lifeboats, lifebuoys, etc. (A general inspection may be made on any
ship in a U K port at any time without the restrictions im posed on the surveyor
by a port State control Memorandum o f Understanding.)
A survey is norm ally scheduled, is relatively wide in scope, and is carried out
to determine whether a ship’s certificate m ay be issued for the first time, or
may be renewed, or may continue in validity. Inspections are carried out on an
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

I D 34I. H ow sh o u ld application be m ade f o r a
I survey o f a U K ship?
D342. What pu blications a r e available to
ow ners a n d m asters that explain w hat MCA
: surveyors w ill exam ine in ship surveys an d
inspections?
D343. Where can guidan ce on the inspection
, an d su rvey o f navigation al equipm ent on U K
ships be found?
D344. What is the p rocedu re w here a renew al
survey has been com pleted but a new certificate
• cannot be issu ed o r p la c e d o n b o a r d the ship
before the expiry d a te o f the existing
certificate?
Enhanced surveys See also questions on Additional Safety Measures for Bulk Carriers in this section
D34S. Which sh ip types m ust have enhan ced
surveys, a n d under w hich IM O regulation?
D346. H ow can y o u tell i f you r ship is su bject
the E nhanced Survey P rogram m e?
I D347. What a re the definitions o f "bulk
’ carrier" an d "oil ta n k e r”f o r Enhanced Survey
purposes?
| D348. Which IM O Resolution contains the
technical specification o f the E nhanced Survey
~rogram m e?
| D349. What are enhanced surveys, a n d which
-+rveyors carry them out?
1 D350. Which U K regulations m ake enhan ced
1 atrveys m andatory f o r certain tankers, a n d to
•■rich ships do they apply?
1 D 35I. Which U K regulations make enhanced
1 a r v r n m andatory f o r certain bulk carriers,
I ~~d to which U K sh ips do they apply?
2352. D o enhan ced su rveys replace other
d a is surveys?
1 2 353. A t w hat a g e o f the sh ip do enhanced
I , '^r.eys start?
I D354. On w hat areas o r p a rts o f a ship do
-rcm ced su rveys fo c u s?
1 D355. For a ship su bject to enhanced surveys,
1 must the sh ipow n er o r m anager p re p a re
a : j s t 6 m onths before a sp e c ia l survey?
I 356. What happens when the su rveyor fin d s
I e r e c ts o r corrosion on a ship during an
1 -■’r^m ced su rvey ?
I f 1357. For enhan ced su rvey purposes, what
1 ~-:cial f ile must be in the class docum entation
I <f j bulk ca rrier o r tanker?
~ - r SHIPMASTER’S BUSINESS SELF-EXAMINER
61
ad hoc basis (i.e. for a particular purpose), often in the form o f a “spot check”,
to determine whether a vessel is com plying with particular regulations.
In the UK , the owner, manager or operator should apply to the appropriate
Certifying Authority (M CA or class society) w ell before the survey is due. For
a ship abroad, application should be made to the certifying class society or, i f
M CA is the certifying authority, to a Proper Officer, e.g. a British consul.
Instructions f o r the G uidance o f Surveyors, a set o f docum ents published on
the M C A ’s w ebsite (in the “Guidance and Regulations” section) which cover
Passenger Ship Construction, Load Line, L ife-Saving Appliances, Fire
Protection and HSC Code 2000. A range o f older volum es is available from
Stationery O ffice bookshops covering Garbage, O il Pollution Prevention,
Carriage o f Cargoes, the ISM Code, Cargo Ship Construction Regulations.
In Annex 20 to the M C A ’s 2002 SO LAS V publication (which is published by
the M CA on its w ebsite, on a CD-RO M and in paper form).
The flag State Administration, or R ecognised Organisation, may endorse the
existing certificate, which w ill be accepted as valid for a further period o f up to
5 months from the expiry date. (SOLAS reg. 1/14(d))
Bulk carriers las defined in SO LAS res. IX /1.6) and o i ( tankers (as defined in
SO LAS reg. 11-1/2.12/ are subject to an enhanced programme o f inspections in
accordance with IMO G uidelines under SO LAS regulation X I -1/2.
I f it is, the notations on its Certificate o f Class w ill include the letters “ESP”.
“Bulk carrier” means a ship which is constructed generally with single deck,
top-side tanks and hopper side tanks in, cargo spaces, and is intended to
primarily carry dry cargo in bulk, and includes such types as ore carriers and
combination carriers. “Oil tanker” means the oil tanker defined in regulation 1
o f M ARPOL Annex I as follow s: “Oil tanker means a ship constructed or
adapted primarily to carry oil in bulk in its cargo spaces and includes
combination carriers and any “chem ical tanker” as defined in Annex II o f the
present Convention when it is carrying a cargo or part cargo o f oil in bulk”.
IMO Resolution A .744(18), as amended.
B asically, close-un exam inations o f the welded attachment o f side-shell frames
in selected cargo holds and tanks, and extensive thickness measurements and
tank tests. They are an IMO (and therefore flag State) requirement but are
usually carried out by classification society surveyors.
The M S (P revention o f O il Pollution) R egulations 1996 (SI 1996/2154). They
require U K crude oil tankers o f 20,000 dwt and above and product carriers o f
30,000 dwt and above for w hich the building contract was placed before 6 July
1993 to be subject to an enhanced programme o f inspections (in accordance
with IMO G uidelines) during renewal, annual and intermediate surveys.
The MS (A dditional Safety M easures f o r Bulk C arriers) Regulations 1999 (SI
1999/1644), as amended. They require the annual, intermediate and renewal
surveys o f U K sea-going bulk carriers o f 500 GT or over to be carried out in
accordance with the Enhanced Survey Programme adopted by IMO.
N o. They are carried out during scheduled surveys, but each survey is
enhanced, i.e. it is expanded and there is more emphasis on certain areas.
U sually at the first Special Survey, i.e. at 5 years o f age.
On the hull structure and piping system s in w ays o f cargo holds, cofferdams,
pipe tunnels, void spaces within the cargo length area and all ballast tanks.
A survey programme, show ing what parts o f the ship w ill be surveyed, how
access w ill be gained to them, etc. The owner or manager w ill normally do this
in co-operation with the classification society.
When a survey results in the identification o f significant corrosion or o f
significant structural defects which, in the opinion o f the surveyor, w ill impair
the structural integrity o f the ship, then remedial action, in consultation with
the flag State Administration, should be agreed and implemented before the
ship continues in service.
Under resolution A .744( 18), as amended, a Survey Report File must be held on
board consisting of: (1) reports o f structural surveys; (2) condition evaluation
reports; (3) thickness measurement reports; and (4) survey planning document
(or equivalent) containing the follow in g information: main particulars; plan o f
tanks and holds; list o f tanks and holds and usage, corrosion protection and
62
D 358. What sh ould a class su rveyor d o p rio r
to an enhanced su rvey ?
In-water surveys
D 359. What is an in-w ater survey?
D 360. F or w hat reason s m ay a ship have an
in -w ater survey?
D 361. Which M N otice contains guidan ce on
statu tory in-w ater su rveys for U K ships?
D 362. Which U K sh ips are not eligible f o r in-
w a ter surveys?
D 363. To whom m ust application be m ade f o r
in -w ater su rvey o f a U K ship?
D 364. What is the M CA's prin cip a l condition
o f its acceptan ce o f any p ro p o s e d in-w ater
Alternative Compliance Scheme (ACS )
D 365. What is the A ltern ative Com pliance
Schem e?
D 366. Which M N otice explains the
A ltern ative C om pliance Schem e?
D 367. Which ships are eligible f o r
certification under the A ltern ative C om pliance
Schem e?
D 368. What criteria m ust be m et f o r a ship to
enrol on the A lternative Com pliance Schem e?
D 369. H ow does MCA retain oversigh t o f a
sh ip en rolled on the A ltern ative C om pliance
Schem e?
D 3 70. What certificate w ill be issu ed to an
existing U K ship enrolling on the A ltern ative
C om pliance Scheme?
D 371. What certificate w ill b e issu ed to a
new building o r a sh ip flaggin g-in to the U K
fla g , which is enrolling on the A lternative
C om pliance Schem e?
D 3 72. F or a ship en ro lled on the AIternative
Com pliance Scheme, how can the ow n er or
op e ra to r furth er m inim ise disruption to ship
routines?
D 373. U nder the A ltern ative Com pliance
Scheme, which statu tory certificates are issu ed
to the ship by the classification society?
D 3 74. U nder the A Iternative Com pliance
Scheme, who w ill gran t any exem ptions o r
equivalences fo r the ship?
Condition Assessment Scheme (CAS
D 375. What is the C ondition A ssessm ent
Schem e (CAS)?
condition o f coating; corrosion risk in tanks; and design risk o f structures.
He should exam ine the com pleteness o f documentation on board and its
contents as a basis for the survey.
A survey o f a ship’s bottom and appendages w hilst in the water, in lieu o f a
survey out o f the water (where that is normally required).
(I ) For initial assessm ent o f bottom damage; (2) for a statutory survey o f the
ship’s bottom in lieu o f survey out o f the water, where permitted by the flag
State Admin istration; or (3) for a bottom survey required by class rules.
M G N 217.
Oil tankers and bulk carriers, to which the Enhanced Survey Programme (ESP)
applies, w hich are over 15 years o f age.
To the appropriate certifying authority. For a passenger ship this is normally
the M CA (w ho issue Passenger Certificates and Passenger Ship Safety
Certificates), although class surveyors m ay carry out the hull survey. For non­
passenger ships the classification society usually issues the Cargo Ship Safety
Construction Certificate.
That a survey in dry dock is to be arranged i f the in-water survey is not to the
surveyor’s satisfaction.
A schcm e operated by the M CA under which the owner or operator o f a IJK
ship other than a passenger ship, to which the principal international
conventions apply (i.e. a ship on international voyages) can achieve statutory
certification o f the ship by a streamlined process. This avoids duplication o f
effort with the classification society, w hile maintaining M CA standards.
M GN 345.
All UK ships, other than passenger ships, which trade on international voyages
and to which the principal conventions apply.
(1) The ship must not have been detained in the previous 36 months; (2) during
any port State control inspection within the previous 12 months, no inspection
report shall have recorded more than 5 deficiencies; (3) the ship must be
classed with one o f the UK-authorised classification societies (LR, BV , D N V ,
GL, A B S, R INA or Class NK); (4) the owner must permit access by the M CA
to any or all records, files, reports, documents and certificates held or issued
by the ACS classification society; and (5) the owner or operator must notify the
M CA one month in advance o f all in-water surveys or dry-docking dates.
U K Ship Register N ew s o f 16 March 2010 stated that the A C S allow s the
M CA to retain oversight o f the ship through ISM audits and general
inspections, w hilst delegating all “hardware surveys” (for exam ple the Cargo
Ship Safety Equipment survey) to those classification societies authorised by
the UK.
Follow ing satisfactory AC S inspection, the ship w ill be issued with a
Certificate o f Inspection (C ol), valid for 5 years and subject to further
examinations at the mid-term.
After ACS inspection on delivery or on change o f flag, an Interim C ol w ill be
issued, with the sam e expiry date as the Interim Safety Management
Certificate. Another inspection is carried out with the initial ISM and ISPS
audits, after w hich a full-term C ol is issued to the ship.
B y requesting that the expiry date o f the C ol be harmonised with the expiry
date o f certificates issued under the Harmonized System o f Survey and
Certification (H SSC).
All statutory certificates except the ISM Docum ent o f Com pliance and Safety
Management Certificate, and the International Ship Security Certificate, which
remain the responsibility o f the M CA. The Certificate o f British Registry, the
Safe M anning D ocum ent and Dangerous Goods Docum ent o f Com pliance are
also issued bv the MCA.
The M CA.
- . ' ' ■ • . ■■
An IMO survey schem e, m ade mandatory under regulation 20 o f the revised
M ARPOL Annex I, designed to detect structural weaknesses in ageing single­
hull oil tankers which are not retrofitted with a double hull in accordance with
THE SHIPMASTER’S BUSINESS SELF-EXAMIN

D3 76. To which ships do es the CAS apply?
D377. What a re C ategory 2 a n d C ategory 3
inkers, an d w hat a re the requirem ents f o r their
phase-out an d their com pliance with the
'ondition A ssessm ent Schem e?
D3 78. What a re C ondition A ssessm ent Schem e
CAS) surveys, a n d when are they c a rrie d out?
D3 79. What certificates w ill be issu ed to
■-rkers satisfactorily su rveyed under the CAS?
D 80. What is the E U restriction on C ategory
Z 2n d 3 tankers calling a t E U ports?
m ixed System o f Survey and Certification (HSSC)
■</ What is the H arm onized System o f
i w uey a n d C ertification (HSSC)?
- -:'52 What a re the m ain features o f the
msc?
What are the m ain benefits o f the
Broadly, which certificates a re included
HSSC?
SHIPMASTER’S BUSINESS SELF-EXAMINER
63
Annex I (as revised) regulation 19. CA S should not be confused with CAP (see
above under SH IP CLASSIFICA TION a n d CLASS DOCUM ENTS).__________
To Category 2 and Category 3 oil tankers. In order for these tankers to operate
beyond 2010 to their mandatory phase-out date under IMO rules, the CAS
requires that they are satisfactorily surveyed and certified.
A Category 2 tanker is an oil tanker o f 20,000 dwt and above carrying crude
oil, fuel oil, heavy diesel oil or lubricating oil, or o f 30,000 dwt and above
carrying other oils which com plies with the M ARPOL requirement for
protectively located segregated ballast tank arrangements; a Category 3 oil
tanker is one o f 5,000 dwt and above but less than the tonnage specified for
Category 2 tankers. Depending on their delivery dates, Category 2 and
Category 3 tankers must be phased out between 2005 and 2010. A Category 2
or Category 3 tanker o f 15 years and over after the date o f delivery must
com ply with the CAS. The flag State Administration may allow a Category 2
or Category 3 tanker to operate beyond 2010 subject to satisfactory CAS
surveys, but they must be taken out o f service by the anniversary in 2015 o f the
delivery date or when they reach 25 years o f age, whichever is earlier._________
Surveys o f oil tankers which com plem ent, and are aligned with, the enhanced
surveys under the Enhanced Survey Program, the only significant differences
being procedural. They are carried out concurrent with intermediate or renewal
surveys under the ESP, the first such survey being carried out concurrent with
the first scheduled classification intermediate or special survey due after 5
April 2005, or when the ship reaches 15 years o f age, whichever is later. A
CA S survey includes overall survey, close-up survey, thickness measurements
and pressure testing within the cargo area and ballast tanks, including fore and
aft peak tanks, o f an oil tanker.
On com pletion o f the CA S survey the attending surveyors w ill issue an Interim
C A S Statement o f Com pliance, valid for 5 months, which w ill enable the
com pletion o f the C A S Final Report and verification by the flag State
Administration, w ho w ill then issue the final CAS Statement o f C om pliance.
Further CA S surveys w ill then be carried out at intervals o f 5 years.___________
N o Category 2 or Category 3 tanker above 15 years o f age, irrespective o f its
flag, is allow ed to enter or leave ports or offshore terminals, or anchor in areas
under the jurisdiction o f an EU M ember State, unless the vessel is certified
under the Condition A ssessm ent Scheme.
An IMO system , introduced in 2000, to harmonise survey procedures and
survey dates for all major ship certificates, instead o f having different survey
procedures and dates for certificates under different conventions.
(1) A one-vear standard interval between surveys, based on initial, annual,
intermediate, penodical and renewal surveys, as appropriate, except for
M ARPOL Annex IV which is based on initial and renewal surveys; (2) a
schem e providing the necessary flexibility to execute each survey, with
provision for com pletion o f the renewal survey within 3 months before the
expiry date o f the existing certificate with no loss o f its period o f validity, and
a time w indow o f 6 months from 3 months before to 3 months after the
anniversary date o f the certificate for annual, intermediate and periodical
surveys; (3) a maximum period o f validity o f five years for all cargo ship
certificates: (4) a maximum period o f validity o f 12 months for the Passenger
Ship Safety Certificate: (5) a system for the extension o f certificates limited to
three months, enabling a ship to com plete its voyage, or one month for ships
engaged on short voyages; (6) when an extension has been granted, the period
o f validity o f the new certificate starting from the expiry date o f the existing
certificate before its extension; (7) a flexible system for inspection o f the
outside o f the ship’s bottom on the follow in g conditions: a minimum o f two
inspections during any five-year period o f validity o f the Cargo Ship Safety I
Construction Certificate or the Cargo Ship Safety Certificate, and the interval
between any tw o such inspections not exceeding 36 months; (8) a Cargo Ship
Safety Certificate under SO LAS 74/88/00/04, as an alternative to separate
Cargo Ship Safety Construction, Cargo Ship Safety Equipment and Cargo Ship
Safety Radio Certificates; and (9) a flexible system concerning the frequency
and the period o f validity o f certificates, subject to the minimum pattern o f
surveys being maintained.
(1) A ship need no longer go out o f service for a survey required by one
convention shortly after having to do so for another convention; (2) more
flexibility in the survey schedule; (3) reduced numbers o f surveyors; (4)
reduced survey lime; (5) reduced paperwork; and (6) lower costs.
All SO LAS, M ARPO L and Load Line Convention ship certificates, and
certificates issued under the international gas carrier (IGC) and chem ical tanker
64
D 385. Specifically, which ship certificates are
inclu ded in the HSSC?
D 386. A re a s h ip ’s C ertificate o f C lass an d
sp e c ia l su rveys affected by the HSSC?
D 387. F o r what p e r io d m ay the validity o f
certificates be exten ded under the HSSC?
D 388. What a re exam ples o f cases w here an
extension to a c ertifica te ’s validity c o u ld be
requested?
D 389. Where an extension has been granted,
fro m w hat d ate d oes validity o f the new
certificate start?
D 390. What a re the different types o f su rvey in
the HSSC?
D 391. What is an in itial su rvey in the H SSC?
D 392. What sh ou ld an initial su rvey in the
H SSC consist of?
D 393. What is an annual su rvey in the HSSC?
D 394. What sh ou ld an annual su rvey in the
H SSC consist of?
D 395. When are annual su rveys in the H SSC
c a rrie d out?
D 396. What is an interm ediate su rvey in the
HSSC?
D 397. When a re interm ediate su rveys c a rried
out in the HSSC?
(IBC ) codes, and the BCH Code for older chem ical tankers.
Passenger Ship Safety Certificate; Cargo Ship Safety Construction Certificate;
Cargo Ship Safety Equipment Certificate; Cargo Ship Safety Radio Certificate;
Cargo Ship Safety Certificate (as an alternative to separate CSSCC, CSSEC
and CSSRC); International Load Line Certificate; International Load Line
Exem ption Certificate; International O il Pollution Prevention certificate;
International Pollution Prevention Certificate for the Carriage o f N oxious
Liquid Substances in Bulk; International Sew age Pollution Prevention
Certificate; International Air Pollution Prevention Certificate; International
Certificate o f Fitness for the Carriage o f Dangerous Chemicals in Bulk;
International Certificate o f Fitness for the Carriage o f Liquefied Gases in bulk;
Certificate o f Fitness for the Carriage o f Dangerous Chem icals in Bulk.
Y es. Although the Certificate o f Class does not officially com e under the
H SSC , special surveys for class maintenance are in practice scheduled to
coincide w ith renewal surveys for Cargo Ship Safety Construction Certificates
and every fi fth renewal o f Passenger Ship Safety Certificates. On a ship in the
H SSC, the expiry date o f the Certificate o f Class w ill therefore be the same as
the expiry date on the statutory certificates that com e under the HSSC.
For three months to enable a ship to com plete its vovage. or for one month for
ships engaged on short voyages. (A “short voyage” is defined as a voyage
where neither the distance from the port in which the voyage begins and the
final port o f destination nor the return voyage exceed s 1,000 m iles.)
W here a ship w h ose harmonised certificates w ill expire in a few days’ time, on
w hich day she w as scheduled to be in drydock for special survey and renewal
o f statutory certificates, is delayed at another port b y a strike, port congestion,
fairway blockage, etc., or at sea b y bad weather, engine breakdown, etc.
From the expiry date o f the existing certificate before its extension.
(1) Initial survey; (2) renewal survey; (3) periodical survey; (4) intermediate
survey; (5) annual survey; (6) inspection o f the outside o f the ship’s bottom;
and (7) additional survey.
It is defined as a com plete inspection before a ship is put into service o f all the
item s relating to a particular certificate, to ensure that the relevant requirements
are com plied w ith and that these items are satisfactory for the service for which
the ship is intended.
(11 An exam ination o f the nlans. diagrams, specifications, calculations and
other technical documentation to verifv that the structure, machinery and
equipment com ply with the requirements relevant to the particular certificate;
(21an inspec tion o f the structure, machinery and eauipment to ensure that the
materials, scantlings, construction and arrangements, as appropriate, are in
accordance with the approved plans, diagrams, specifications, calculations and
other technical documentation and that the workmanship and installation are in
all respects satisfactory; and (3) a check that all the certificates, record books,
operating manuals and other instructions and documentation specified in the
requirements relevant to the particular certificate have been placed on board
the ship.
A general inspection o f the item s relating to the particular certificate to ensure
that they have been maintained and remain satisfactory for the service for
w hich the ship is intended.
(11 It should consist o f certificate exam ination, o f a visual examination o f a
sufficient extent o f the ship and its equipment and o f certain tests to confirm
that their condition is being properly maintained. (21 It should also include a
visual examination to confirm that no unapproved m odifications have been
made to the ship and its equipment. (3) The content o f each annual survey is
given in the respective guidelines. The thoroughness and stringency o f the
survey should depend upon the condition o f the ship and its equipment. (41
Should any doubt arise as to the maintenance o f the condition o f the ship or its
eauinment. further examination and testing should be conducted as considered
necessary.
Within 3 months before or after each anniversary date o f the certificate, usually
counted from com pletion o f the initial survey.
An inspection o f specified item s relevant to the particular certificate to ensure
that they are in a satisfactory condition and fit for the service for w hich the ship
is intended. (Note the words “specified item s”.)
Within 3 months before or after the second anniversary date or within 3 months
before or after the third anniversary date o f the particular certificate, taking the
place o f one o f the annual surveys. (The shipowner or manager must decide in
w hich year to have the intermediate survey carried out.)
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D 398. What is a p e rio d ic a l su rvey in the
HSSC?
D399. What sh ou ld a p e rio d ic a l su rvey in the
HSSC consist of, in general?
D400. What is a ren ew al su rvey in the HSSC?
D401. When m ust a ren ew al su rvey be
- om pleted under the HSSC?
D402. What is an inspection o f the outside o f
the s h ip ’s bottom in the HSSC?
D403. What inspections are requ ired o f the
. utside o f a p a ssen g er sh ip s bottom in the
HSSC, a s d e sc rib ed in M SN 1751?
D404. What inspections are requ ired o f the
outside o f a cargo s h ip ’s bottom in the HSSC,
as described in M SN 1751?
-*405. What is an a ddition al su rvey in the
HSSC?
- 406. What m ust an additional survey in the
r'SSC ensure?
-4 0 7 . F or w hat m axim um p e rio d s o f validity
*re certificates issu ed in the HSSC?
- 408. What su rveys a re requ ired f o r a U K
passenger ship in the H SSC?
- '09. What su rveys are re q u ire d fo r the
n clu re, m achinery a n d equipm ent (other than
■zfety equipm ent o r radio equipment) o f a U K
-jr g o ship in the HSSC?
O* '0. What su rveys are requ ired f o r the safety
iip m e n to fa U K cargo sh ip o f 500 G T o r
re on international voyages in the HSSC?
E SHIPMASTER’S BUSINESS SELF-EXAMINER
65
An inspection o f the items relating to the particular certificate to ensure that
they are in a sati sfactory condition and fit for the service for w hich the ship is
intended- (“The item s” means all the items covered by the certificate.)
(1) An inspection, with tests when necessary, o f the equipment to ensure that
requirements relevant to the particular certificate are com plied with and that
they are in a satisfactory condition and are fit for the service for w hich the ship
is intended; and (2) a check that all the certificates, record books, operating
manuals and other instructions and documentation specified in the
requirements relevant to the particular certificate are on board the ship.
The same as a p eriodical survey but also leads to the issue o f a new certificate.
Within 3 m onths before the expiry date o f an existing certificate, with no loss
o f its period o f validity.
A n inspection o f the underwater part o f the ship and related item s to ensure
that they are in a satisfactory condition and fit for the service for which the ship
is intended.
The inspection o f the outside o f the sh ip’s bottom is a separate survey. For
passenger ships the inspection is required every year. In the years in which the
out-of-water inspection does not take place, an in-water inspection o f the sh ip’s
bottom must be carried out. A s a minimum, two o f these surveys in any five-
year period, at intervals not exceeding 36 months, must be conducted with the
ship out o f the water. (“A ny five-year period” means the period o f the
International Load Line Certificate.)
There must be a m inimum o f two inspections in any five year period, at
intervals not exceeding 36 months. Inspections should norm ally be carried out
with the ship out o f the water; how ever consideration may be given to alternate
inspections being carried out with the ship afloat.
An inspection, either general or partial according to the circumstances, to be
made after a repair resulting from investigations or whenever any important
repairs or renewals are m ade.____________________
That the necessairy repairs or renewals have been effectively carried out, that
the material and workmanship are in all respects satisfactory, and that the ship
com plies with the provisions o f the relevant regulations.
Passenger Ship Safety ^Certificates are issued for a period, not exceeding ,12
months. A ll cargo ship certificates are issued for a period not exceeding 5
years._____________ ____________________ ________________________
(1) B efore being put into service, an initial survev including an inspection o f
the outside o f the ship’s bottom : (2) within 3 months before the end o f every
12-month period follow ing issue o f the Passenger Ship Safety Certificate, a
renewal survev including an inspection o f the outside o f the ship’s bottom (for
issue o f a new PSSC); and (3) after any repair resulting from investigations
follow ing a report to the M CA or a proper officer o f an accident or a defect
affecting the safety o f the ship or its LSA . an additional survey.
(1) Before the ship is put into service, an initial survev o f the structure and
machinery, including an inspection o f the outside o f the ship’s bottom ; (2)
within 3 months before or after each anniversary o f the issue date o f the Cargo
Ship Safety Construction Certificate, except where an intermediate survey is
required, an annual survev: (3) within 3 months before or after either the
second or third anniversary o f the issue date o f the Safety Construction
Certificate, an intermediate survev: (4) within any five-year period*, two
inspections o f the outside o f the sh ip’s bottom , not more than 36 months apart;
(5) before the fifth anniversary o f the issue date o f the Safety Construction
Certificate, a renewal survev (for issue o f a n ew certificate); and (6) after any
repair resulting from investigations follow in g a report to the M CA or a proper
officer o f an accident or a defect affecting the safety o f the ship or its LSA , an
additional survey. (* “A ny five-year period” means the five-year period o f
validity o f the Cargo Ship Safety Construction Certificate or the Cargo Ship
Safety Certificate.) ______________________
(1) B efore the ship is put into service an initial survev o f the safety equipment;
(2) w ithin 3 months before or after each anniversary o f the issue date o f the
Cargo Ship Safety Equipment Certificate, except where a periodical survey is
required, an annual survey; (3) within 3 months before or after either the
second or third anniversary o f the issue date o f the Safety Equipment
Certificate, a periodical survev: (4) within 3 months before the fifth
anniversary o f the issue date o f the Safety Equipment Certificate, a renewal
survev (for issue o f a n ew certificate); and (5) after any repair resulting from
investigations follow in g a report to the M CA or a proper officer o f an accident
or a defect affecting the safety o f the ship or its LSA , an additional survev.
66
D 411. What surveys a re re q u ire d fo r the radio
installations o f a U K cargo sh ip o f 300 G T or
m ore on international voyages in the HSSC?
D 412. In the HSSC, w here a renew al su rvey is
c om pleted within 3 months before the expiry o f
the relevant SO LAS certificate, f o r how long
m ay the n ew certificate be issued?
Extension o f certificate validity
D 4I3. What are the arrangem ents f o r
extension o f certificates c o ve re d b y the HSSC?
D 4 14. A ship is d e la y e d on a voyage to a
su rvey p o r t w here her harm onised certificates
a re d u e to be renewed. H ow sh ould a request
be m ade f o r an extension o f the validity o f the
certificates?
D 4 1 5. What w ou ld b e the effect w here the
m aster c o u ld not g iv e his p erso n a l confirm ation
m en tioned in the last answ er?
D416. H ow w ill the MCA reply to a certificate
extension request, a n d what sh ou ld be done
w ith their rep ly m essage?
D 4 1 7. What sh ou ld the m aster o f a U K sh ip do
i f a fo reig n p o r t official doubts the authenticity
o f a fa x e d Extension C ertificate sta p le d to the
relevant certificate?
|
I
D 4 1 8. Which U K regulations im pose sp ecia l
su rvey requirem ents on ro-ro p a ssen g er fe rrie s
a n d high -speed craft?
D 4 1 9. What a re the m ain requirem ents o f the
M andatory Surveys f o r R o-Ro Ferry a n d High
S p e e d P assen ger Craft Regulations?
D 420. When m ust the MCA carry out a
specific su rvey o f a U K ro-ro fe rry o r high­
sp e e d pa ssen g er craft?
D 4 2 1. What is the p u rp o se o f an initial
specific survey?
D 422. What is the p u rp o se o f specific surveys?
D 423. M ay su rveyors o f another f la g State
p a rticip a te in a specific su rvey b y the MCA ?
D 424. D u ring a regu lar crossin g o f a UK
fe rry , an MCA su rveyor is on board, carrying
out an unscheduled survey. What item s m ay be
c o ve re d by the su rvey?
(1) Before the ship is put into service, an initial survey o f the radio installations
(including survival craft radio installations); (2) within 3 m onths before or after
each anniversary o f the issue date o f the Cargo Ship Safety Radio Certificate, a
periodical survey; (31 within 3 months before the fifth anniversary o f the issue
date o f the Sa fetv Radio Certificate, a renewal survev (for issue o f a new
certificate); and (4) after any repair resulting from investigations follow ing a
report to the M CA or a proper officer o f an accident or a defect affecting the
safety o f the ship or its LSA , an additional survev.
(11 In the case o f a Passenger Ship Safetv Certificate, for a period o f validity
not exceeding 12 months from the date o f expiry o f the existing certificate. (2)
In the case o f any other certificate, for a period o f validity not exceeding 5
years from the date o f expiry o f the existing certificate.
A ny certificate covered by the HSSC may be extended for up to three months
(or for ships on short voyages, for a period o f grace o f one month) in order that
the renewal survey can be carried out.
The master should send a written request to M CA, Southampton by telex, fax
or radio-telegram, stating: the ship’s identity; the certificates concerned;
when/where the renewal survey w as due to be held; the reason why the survey
must be delayed; when/w here the survey can now be held; and his personal
confirmation that the items covered by the surveys due are in good order.
If the equipment, etc. is not in good order, the certificate may not be extended.
This would mean that i f the ship had to make a call at an intermediate port (e.g.
for bunkers) before reaching the survey port, the certificate would be
invalidated on arrival at the intermediate port and would have to be renewed
before the vessel continued its voyage.
B y the same transmission means, e.g. fax, with the appropriate Extension
Certificate contained in their m essage. The Extension Certificate should be
attached to the relevant certificate.
He should refer the matter to a Proper Officer, e.g. a British consul. Proper
O fficers have authority to authenticate extended certificates in these cases.
a?
§
The MS (M andatory Surveys f o r Ro-Ro F erry a n d H igh S p eed P assenger
Craft) Regulations 2001. They give effect in the U K to Council Directive
1999/35/EC. Guidance on the Regulations and Directive is in MGN 171.
The M CA must: carry out verifications in relation to the vessel, including
checks o f documentation and a check for the presence o f a vovage data
recorder: cam / out verifications in relation to the companv operating the
vessel, and the flag State o f the vessel: carry out an initial specific survev
before the vessel begins operating on a regular service to or from a UK port;
carry out further survevs every year, or where the circumstances o f the vessel
change; issue reports o f prevention o f operation notices preventing a vessel
which does not m eet the requirements o f the Directive from operating, or
reports o f inspection or improvement notices requiring defects to be remedied;
com ply with certain administrative requirements: and operate a shore-based
navigational guidance svstem.
(1) Prior to the start o f operation by the vessel on a regular service; (2) once in
every 12-month period; and (3) each tim e the vessel undergoes repairs,
alterations and m odifications o f a major character, or w hen there is a change in
management or flag, or a transfer o f class.
To satisfy the M CA that the ro-ro ferry or high-speed passenger craft fulfils the |
necessary requirements for safe operation o f a regular service.
To ensure that statutory requirements, in particular those for construction,
subdivision and stability, m achinery and electrical installations, loading,
stability, fire protection, maximum number o f passengers, life saving
appliances and the carriage o f dangerous goods, radiocommunications and
navigation are fulfilled. The full scope is listed in Annex III o f M GN 171.
Yes. The Directive provides: (1) that flag State Administrations o f two or more
host States involved in a specific survey o f the sam e ship or craft must
cooperate with each other; and (2) that the specific surveys must be carried out
by a team com posed o f qualified inspectors o f the involved host State(s).
Passenger information; loading and stability information; securing for sea;
safety announcements; log book entries; dangerous goods; securing o f freight
vehicles; vehicle decks; closin g o f watertight doors; fire patrols;
com munications in an emergency; com m on working language between crew
members; safety equipment; navigational and radio equipment; supplementary
em ergency lighting; means o f escape; operations book; engine room
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D425. What con trol m easure m ay be u sed by
the host State w here a su rvey fin d s that the
D irective is n ot bein g com plied with?
D426. What a re the c h ie f statu tory certificates
ca rrie d by a U K -flag C lass I cruise ship?
D42 7. What are the c h ie f statutory certificates
ca rried b y a C lass II ro-ro/passenger fe r ry
em ployed on a U K/Continent service?
D428. What a re the c h ie f statutory certificates
carried by a U K -flag C lass 11(A) ro-
ro/passenger fe rr y ?
D429. What are the c h ie f statutory certificates
likely to b e ca rrie d by a U K-flag C lass III, IV
o r V ferry?
D430. What are the c h ie f statutory certificates
- jr r ie d by a U K-flag C lass VII bulk carrier,
container sh ip o r g en era l cargo vessel?
D 431. What a re the c h ie f statutory certificates
ij r r ie d by a U K -flag 15000 dw t C lass VII(T)
- hemical tanker?
2^32. What a re the c h ie f statutory certificates
ried by a U K -flag C lass VII(T) tanker?
SHIPMASTER’S BUSINESS SELF-EXAMINER
67
cleanliness; garbage disposal; planned maintenance; and making a voyage.
Indicative guidelines for surveyors are in Annex IV to M G N 171.
A Prevention o f Operation N otice may be served. (The M CA issued a
Prevention o f Operation N otice in 2001 to an Italian-flag ferry operating
between N ew haven and Dieppe.)______________________________________
Certificate o f B ritish Registry; Safe M anning Document; Passenger Ship
Safety Certificate; International Oil Pollution Prevention Certificate; Engine
International Air Pollution Prevention Certificate(s); International Air Pollution
Prevention Certificate; International Sew age Pollution Prevention Certificate
(new ships); International Load Line Certificate; International Tonnage
Certificate; ISM D ocum ent o f Com pliance and Safety M anagement Certificate
(or Interim DOC and/or Interim SMC); International Ship Security Certificate
(or Interim ISSC); Bunker Oil Pollution Insurance Certificate; International
Anti-Fouling System Certificate.______________________________
Certificate o f British Registry; Safe Manning Document; Passenger Ship
Safety Certificate; International Oil Pollution Prevention Certificate;
International Sewage Pollution Prevention Certificate (new ships); Engine
International Air Pollution Prevention Certificate(s); International Air Pollution
Prevention Certificate; International Load Line Certificate; International
Tonnage Certificate; ISM Docum ent o f Compliance and Safety Management
Certificate (or Interim DOC and/or Interim SMC); International Ship Security
Certificate (or Interim ISSC); Dangerous Goods Document o f Compliance;
Bunker Oil Pol lution Insurance Certificate; International Anti-Fouling System
Certificate.
Certificate o f British Registry; Safe Manning Document; Passenger Certificate;
U K Oil Pollution Prevention Certificate; U K Air Pollution Prevention
Certificate (ships o f 400 GT or more from 8 Decem ber 2008); International
Load Line Certificate; International Tonnage Certificate; ISM Document o f
Compliance and Safety M anagement Certificate (or Interim DOC and/or
Interim SMC); International Ship Security Certificate (or Interim ISSC).
Certificate o f British Registry; Safe Manning Document; Passenger Certificate
and D om estic Safety Management Certificate (combined); UK Oil Pollution
Prevention Certificate; International Load Line Certificate; International
Tonnage Certificate. Som e ships m ay also have ISM Code certificates.________
Certificate o f British Registry; Safe M anning Document; Cargo Ship Safety
Construction Certificate; Cargo Ship Safety Equipment Certificate; Cargo Ship
Safety Radio Certificate; Cargo Ship Safety Certificate (as an optional
alternative to the previous three certificates); International Oil Pollution
Prevention Certificate; International Sew age Pollution Prevention Certificate
(new ships); Engine International Air Pollution Prevention Certificate(s);
International Air Pollution Prevention Certificate; International Load Line
Certificate; International Tonnage Certificate; ISM D ocum ent o f Com pliance
and Safety M anagement Certificate (or Interim DOC and/or Interim SMC);
International Ship Security Certificate (or Interim ISSC); Dangerous Goods
Docum ent o f Compliance; Bunker O il Pollution -Insurance Certificate;
International Anti-Fouling System Certificate,________________________________
Certificate o f British Registry; Safe M anning Docum ent; Cargo Ship Safety
Construction Certificate; Cargo Ship Safety Equipment Certificate; Cargo Ship
Safety Radio Certificate; Cargo Ship Safety Certificate (as an optional
alternative to the previous three certificates); International Oil Pollution
Prevention Certificate; International Sew age Pollution Prevention Certificate
(new ships); Engine International Air Pollution Prevention Certificate(s);
International Air Pollution Prevention Certificate; International Load Line
Certificate; International Tonnage Certificate; International or other Certificate
o f Fitness; ISM Docum ent o f Com pliance and Safety M anagement Certificate
(or Interim DO C and/or Interim SMC); International Ship Security Certificate
(or Interim ISSC); Bunker O il Pollution Insurance Certificate; International
Anti-Fouling System Certificate._________________________
Certificate o f British Registry; Safe M anning Document; Cargo Ship Safety
Construction Certificate; Cargo Ship Safety Equipment Certificate; Cargo Ship
Safety Radio Certificate; Cargo Ship Safety Certificate (as an optional
alternative to the previous three certificates); International Oil Pollution
Prevention Certificate; International Sew age Pollution Prevention Certificate
(new ships); Engine International Air Pollution Prevention Certificate(s);
International Air Pollution Prevention Certificate; International Load Line
Certificate; International Tonnage Certificate; Oil Pollution Insurance
Certificate; Bunker Oil Pollution Insurance Certificate; ISM D ocum ent o f
Com pliance and Safety M anagement Certificate (or Interim DOC and/or
Interim SM C); International Ship Security Certificate (or Interim ISSC);_______
68
D 433. What are the c h ie f statu tory certificates
c a rrie d b y a U K -flag C lass VII o r VIII offshore
su pply vessel carryin g a substance cla ssified as
a noxious liq u id su bstance in its cargo tanks?
D 434. What are the c h ie f statutory ship
certificates c a rrie d b y a U K-flag C lass VII
M O D U (e.g. a sem i-subm ersible d rillin g rig)
built p rio r to introduction o f the M O D U C ode?
D 435. What a re the c h ie f statu tory certificates
c a rrie d b y a U K-flag ro-ro/passenger high­
sp e e d craft o peratin g betw een the U K an d
Ireland?
D 436. In addition to the certificates in the last
answer, w hat statu tory docum ents m ight he
c a rrie d b y a high sp e e d craft?
D 437. What certificate do m any dredgers have
th at m ost oth er sh ip types d o not?
D 438. In addition to the certificates c a rrie d by
other ship types, w hat certificate is likely to be
c a rrie d by a cable ship, research sh ip o r DSV?
ISM CODE AUDITS and CERTIFICATION
S ee also S A FE TY M A N A G EM EN T P R O V IS IO N S C O N C E R N IN G C O M P A N Y in Section C
ISM Code audits
D 439. What is a safety m anagem ent audit?
D 440. What extern al audits is a ship su bject to
under the IS M C ode?
D 4 4 1. Who carries out safety m anagem ent
audits o f U K Com panies a n d U K -flag ships?
D 442. H ow does the MCA verify a s h ip ’s
com pliance w ith the ISM C ode?
D 443. What is an IS M external a u ditor's c h ie f
respon sibility?
D 444. H ow d oes the external au ditor a ssess
the a b ility o f the com pany to m eet the objectives
o f the ISM C ode?
International Anti-Fouling System Certificate.
Certificate o f British Registry; Safe M anning Document; Cargo Ship Safety
Construction Certificate; Cargo Ship Safety Equipment Certificate; Cargo Ship
Safety Radio Certificate; Cargo Ship Safety Certificate (as an optional
alternative to the previous three certificates); International Oil Pollution
Prevention Certificate; International Sew age Pollution Prevention Certificate
(new ships); Engine International Air Pollution Prevention Certificate(s);
International Air Pollution Prevention Certificate; International N oxious Liquid
Substances Certificate; International Load Line Certificate; International
Tonnage Certificate; ISM Docum ent o f Com pliance and Safety Management
Certificate (or Interim DOC and/or Interim SMC); International Ship Security
Certificate (or Interim ISSC); Dangerous Goods Docum ent o f Compliance;
Bunker Oil Pollution Insurance Certificate; International Anti-Fouling System
Certificate.
Certificate o f British Registry; Safe M anning Document; Cargo Ship Safety
Construction Certificate; Cargo Ship Safety Equipment Certificate; Cargo Ship
Safety Radio Certificate; Cargo Ship Safety Certificate (as an optional
alternative to the previous three certificates); International Oil Pollution
Prevention Certificate; International Sew age Pollution Prevention Certificate
(new ships); Engine International Air Pollution Prevention Certificate(s);
International Air Pollution Prevention Certificate; International Load Line
Certificate; International Tonnage Certificate; ISM Docum ent o f Com pliance
and Safety M anagement Certificate (or Interim DOC and/or Interim SMC);
International Ship Security Certificate (or Interim ISSC); Bunker Oil Pollution
Insurance Certificate.
Certificate o f British Registry; Safe M anning Document; HSC Safety
Certificate; Permit to Operate; International O il Pollution Prevention
Certificate; International Sew age Pollution Prevention Certificate (new ships);
Engine International Air Pollution Prevention Certificate(s); International Air
Pollution Prevention Certificate; International Load Line Certificate;
International Tonnage Certificate; ISM Docum ent o f Compliance and Safety
M anagement Certificate (or Interim DOC and/or Interim SMC); International
Ship Security Certificate (or Interim ISSC); Dangerous G oods Document o f
Compliance; Bunker Oil Pollution Insurance Certificate; International Anti-
Fouling System Certificate.
Muster List; Lift Certificate; Berth List; De-ratting Exem ption Certificate;
EPIRB Registration Certificates; M ES and ILR Certificates; Ship Radio
Licence; Intact Stability Manual; A ssignm ent o f Freeboard Certificate; Type
Rating Certificates for operating crew; Craft Operating Manual; Craft
M aintenance Manual; Route Operational Manual.
A Load Line Exemption Certificate. (In this case they are not normally
permitted to have in-water surveys, as explained in M GN 217.)
A Special Purpose Ship Safety Certificate, i f the Special Purpose Ships Code is
applicable to the ship. (See also SPECIAL P U RPO SE SH IPS ’
CERTIFICA H O N below .)
1
A systematic and independent examination to determine whether the SM S
activities and related results com ply with planned arrangements, whether these
arrangements are im plem ented effectively and whether they are suitable to
achieve the objectives o f the ISM Code.
Initial, intermediate, renewal and additional audits (called verifications in the
Code).
Externals audits are carried out bv M C A surveyors in accordance with UK
regulations and IMO G uidelines. Internal audits are carried out bv Company
personnel in accordance w ith procedures documented in the SMS.
B y determining: (1) that the C om pany’s SM S conforms with the requirements
o f the ISM Code; and (2) that the SM S ensures that the objectives defined in
paragraph 1.2.3 o f the ISM Code are met, i.e. that the SM S ensures com pliance j
with mandatory rules and regulations, and that applicable codes, guidelines and
standards recommended by IMO, Administrations, classification societies and
maritime industry organizations are taken into account.
To verify the com pleteness, adequacy and effective functioning o f the Safety
M anagement System (SM S).
(1) By review o f the C om pany’s documentation (the SM S); (2) by discussion
and interview with members o f staff at all levels o f the management team
holding responsibility for functions within the SM S; (3) by observation o f
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

| D445. What sh ou ld happen before an external
safety m anagem ent au dit starts?
~ r
D446. Why m ust a C om pany ca rry out internal
safety m anagem ent audits?
j D447. H ow often m ust a C om pany c a rry ou t
v e r n a l safety m anagem ent audits?
j D448. What do es an IS M auditor usually w ant
\ to check on b o a rd a ship?
■ 0449. What o n -board procedu res w ill an
external IS M auditor p ro b a b ly w ant to witness?
0450. What sh ip inspection w ill the MCA, a s a
general rule, c a rry out in p a ra lle l w ith an
■rxiemal IS M audit o f a U K ship?
-4 5 1 . In an IS M audit, w h at is objective
evidence?
045 2 . In relation to the SMS, w hat is a non­
conformity?
- 453. In relation to the SMS, w hat is a m ajor
n-conformity?
- 454. What is the p ro ced u re when se v era l
* x io r non-conform ities are ra ise d by an
std ito r?
0455. In relation to the SMS, w hat is an
•- servation?
-•456. What is the p ro ced u re w hen se v era l
n ervation s a re ra ise d by an auditor?
-4 5 7 . What sh ou ld happen after an ISM
it?
0*58. What h appens after an MCA auditor
noses a m ajor non-conform ity?
U 5 9 . H ow a re m inor non-conform ities
-csed -o u t?
E SHIPMASTER'S BUSINESS SELF-EXAMINER
69
objective evidence (e.g. records, log books, checklists and reports); and (4) by
observation o f working practices.
The auditor should call an onenine m eeting, with an agenda as set out in
Chapter 4 o f the M C A publication Instructions f o r the Guidance o f Surveyors -
The IS M C ode.
To verify whether safety and pollution-prevention activities com ply with the
SM S, in other words, to verify that the SM S is functioning correctly.
There is no specified period for an internal audit, but m ost com panies opt to
audit each company office and each ship annually.
A ll records, checklists and files; ISM manuals and corrections to manuals;
ship’s safety and fire-fighting equipment; navigational and machinery manuals;
charts; log books; reports; standing orders; posters and placards; bridge
procedures; maintenance and repair schedules and records; spares, etc.
A s many o f the follow ing as possible: (1) Pre-arrival and departure checks on
the bridge and in the engine room; (2) securing the vessel for sea; (3) voyage
planning; (4) navigational briefing; (5) mooring stations fore and aft; (6) bridge
procedures in harbour; (7) engine room operations; (8) preparation o f
machinery for sea; (9) machinery m aintenance including system preparation;
(10) anchor stations; (11) bunkering operations; (12) pilot embarkation and
disembarkation; (1 3 ) passenger musters/handling; (1 4 ) cargo operations and
handling; (15) watch handover; (1 6 ) on-board training; (17) new joiner (crew)
instructions; (1 8 ) em ergency drills; (19) safety com m ittee meetings; (20)
routine inspections; (21) navigation under pilotage; and (22) watchkeeping at
sea. (Instructions fo r the G uidance o f Surveyors - The IS M C ode)
A general inspection; for this purpose an em ergency drill must be witnessed.
(Instructions f o r the G uidance o f Surveyors - The IS M C ode)
The ISM C ode definition is “quantitative or qualitative information, records or
statements o f fact pertaining to safety or to the existence and implementation
o f an SM S elem ent, which is based on observation, measurement and tests and
which can be verified”.
The ISM C ode definition is “an observed situation where objective evidence
indicates the non-fulfilm ent o f a specified requirement” - in other words, any
departure from an instruction or procedure documented in the SM S. For
exam ple, i f the SM S requires that before com m encing bunkering operations,
com munications with the bunker barge are agreed and tested, but this is not
done, there is a non-conformity. I f the SM S requires that a checklist be
com pleted, or a w eek ly drill or test be carried out, but this is not done, there is
a non-conformity.__________________________ _________
An identifiable deviation (from the requirements o f the SM S) which poses a
serious threat to personnel or ship safety or serious risk to the environment and
requires immediate corrective action. In addition, major non-conformity
includes lack o f effective and system atic implementation o f the requirements
o f the ISM Code. Exam ples m ight be a fire alarm system failure, a m issing
liferaft, or a fault with an oil/water separator.
Several minor non-conform ities in the same area o f operation may be raised as
a single major non-conformity. I f they are not in the same area o f operation
they are treated as individual minor non-conformities.________________________
The ISM Code definition is “a statement o f fact made during a safety
management audit and substantiated b y objective evidence”. Exam ples are: (1)
that maintenance o f a sh ip ’s critical system s and equipment should be given
priority in the planned m aintenance system over other maintenance; (2) that
faded or stained safety notices need renewing; (3) that items o f new ly-fitted
bridge equipment should be added to the pre-departure checklist.
A number o f observations under the sam e section o f the ISM Code (e.g.
Section 8 - Em ergency Preparedness) may be issued as a single (minor) non­
conformity. I f they are not under the same section o f the Code they w ill be
treated as individual observations.
The auditor should call a closing m eeting to discuss the findings o f the audit.
W hen a major non-conformity is raised corrective action must be implemented
before a new cextificate can be issued or an existing certificate endorsed at
annual (DO C) or intermediate (SM C) verification. A major non-conformity
m ay be dow n graded to a minor as soon as appropriate initial corrective action
has been taken. Corrective action against this minor non-conform ity may then
be agreed and a corrective action tim e-scale agreed.
Written notification o f the com pletion o f corrective action, accompanied where
possible b y objective evidence, must be forwarded (accom panied by the
appropriate copy o f the Non-Conform ity N ote) to the lead M CA auditor_______
70
R a tio n .. ..
D 460. What certificates m ay b e issu ed under
the ISM C ode?
D 46I. Which entities m ay issue D O C .’, a n d
SM Cs under the IS M C ode?
D 462. Who issues IS M D O C s a n d SM Cs to
U K com panies a n d ships?
D 463. H ow d oes a U K C om pany obtain its
in itial ISM certification?
D 464. Som e ships carry an Interim D O C
a n d/or an Interim SMC. Why?
D 465. An Interim D O C is issu ed to a
Com pany w hen a n ew sh ip type is a d d e d to the
flee t. M ust the Com pany's existing sh ips c a n y
a c o p y o f the Interim D O C ?
D 466. A re a n y p e rio d ic a l checks m ade on the
Com pany a fter it is issu ed with its D O C ?
D 467. What happens i f the annual D O C
verification fin d s that any corrective action
needs to b e taken in the sh ore-side SMS?
D468. A re any p e rio d ic a l checks m ade on the
C om pany's sh ips after they have been issu ed
w ith their IS M certificates?
D 469. Why m ight an additional interm ediate
audit b e c a rrie d out on a ship?
D 470. I f on ly one interm ediate audit is to be
c a rrie d out, when sh ou ld it take p lace?
D 471. D O C s a n d SM Cs expire a fter 5 years.
H ow a re they renew ed?
D 472. What is IM O 's a dvice on arrangem ents
f o r IS M audits a n d issue o f certificates where
com panies operate m ulti-flag flee ts?
D 473. What is the MCA 's guidan ce to
su rveyors on the issue o f the D O C w here U K
sh ips form p a rt o f a m ulti-flagged fleet?
D 474. What inspection w ill usually b e c a rrie d
out b y the MCA together w ith the Safety
M anagem ent C ertificate external audit?
through the Designated Person. W hen the lead auditor is satisfied that the
agreed corrective action has been com pleted the Non-Conform ity N ote is
closed out, stamped, signed and returned to the Designated Person.
. . , . V . '■ > ' ‘ :
A D ocum ent o f Compliance (DOCY, issued to the Company, and a Safetv
Management Certificate fSMCY. issued to each shin in the Com nanv’s fleet.
Each ship m ust carry a copy o f the Com pany’s DOC. In certain cases an
Interim DOC or an Interim SMC m ay be issued (se e below ).
(1) The flag State Administration; or (2) an organisation recognised by the
Administration; or (3) at the request o f the Administration, another SOLAS
Contracting Government.
The M CA (only). It is U K policy that the M CA w ill retain direct responsibility
for the assessm ent and audit o f U K shipping com panies and ships against the
ISM Code.
(1) The Company applies to the M CA for initial DOC verification. (2) A
document review (an inspection o f the SM S documentation) is carried out as
part o f the pre-audit assessment. (3) An initial audit o f the Company’s shore-
based management organisation is carried out for com pliance with the ISM
C ode’s requirements. (4) A DOC is issued to the Company follow ing
successful audit o f the shore-side aspects o f the SM S. (O bjective evidence
should be available to show that the Company has been operating the SM S
ashore for at least 3 months and for 3 months on at least one ship o f each type
operated by the Company.) (5) An audit o f the Com pany’s ships is carried out
to verify com pliance with the ISM C od e’s requirements. This includes a
verification that the DOC for the Company responsible for the operation o f the
ship is applicable to that particular type o f ship and that a copy DOC is held on
board. (6) On successful com pletion o f audit o f each ship an SMC is issued to
the ship.
A s a transitional arrangement in cases o f change o f flag or Company. Where a
Company is n ew ly established or where new ship types are added to an
existing D O C. an Interim DOC can be issued to the Company for not more
than 12 months. The Company must prove that it has plans to implement its
SM S within that period. An Interim SM C. valid for not more than 6 months,
can be issued to new ships on delivery, and when the Company takes on the
management o f ships which are new to the Company’s fleet. In special cases
an Interim SM C can be extended by the Administration for a further 6 months.
No. The existing ships o f the fleet w ill be unaffected and w ill hold copies o f
the full term DOC.
Yes. Annual safety management audits (officially called verifications) are
carried out to maintain the D O C ’s validity, within 3 m onths either side o f each
anniversary date.
A schedule not exceeding 3 m onths is agreed for com pleting the necessary
corrective actions.
Yes. At least one intermediate safety m anagement audit (verification) is carried
to maintain validity o f the SM C, one o f them being between the second and
third anniversary o f issue o f the SMC.
In certain cases, particularly during the initial period o f operation under the
SM S, the flag State Administration m ay find it necessary to increase the
frequency o f the intermediate verification. A lso, the nature o f non-conformities
may also provide a basis for increasing the frequency o f intermediate
verifications.
Between the second and third anniversary date o f the issue o f the Safety
Management Certificate.
Renewal verifications have to be carried out before they expire, any tim e from
6 months before the expiry date, but no later than this.
M SC/Circ.762 advises that, to facilitate the auditing and certification process,
com panies should approach the relevant flag Administrations, proposing a plan
o f action and requesting agreement by ail parties. This plan should clearly state
which entity is to conduct w hich part o f the process.
If U K ships form a minor proportion o f a m ulti-flagged fleet, the MCA will
accept the DOC issued by the predominant flag State. If the U K flag is the
predominant flag, the M CA w ill issue the DOC,
An ILO 178 inspection. (F or questions on ILO 1 78 inspections, se e HEALTH,
SAFETY a n d WELFARE in Section E.)
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D475. What a re the contents o f a D ocum ent o f
| Com pliance?
I D 476. What is the maximum p e r io d o f validity
o f a D ocum ent o f C om pliance?
D477. What a re the contents o f a Safety
Management C ertificate?
I D478. What is the maximum p e r io d o f validity
o f a Safety M anagem ent C ertificate?
I D479. A U K sh ip is g o in g into “w arm lay-up"
in a sh eltered harbour with essen tial crew
members on board. What a re the M CA's
requirements concerning ISM C ode
I docum entation?
D480. A U K sh ip is g o in g into "c o ld la)>-Up ”
in a sh eltered harbour with no crew m em bers
on board. What are the M C A 's requirem ents
concerning ISM C ode docum entation?
DSM CODE AUDITS and CERTIFICATION
D481. Which ships does the D S M C ode a pply
\to?
D482. What audits a re req u ired under the
DSM C ode?
D483. What certificate is issu ed to a ship
covered b y the D S M C ode?
ISPS CODE and SHIP SECURITY DOCUMENTATION
See also I S P S CODE in Section C, Ship and port security preparations in Section H , and PROCEDURES
PRIOR TO PO RT ENTRY in Section 1
ISPS Code requirements affecting shi P
1 D484. What requirem ents affecting the ship
| M-e included in the ISPS C ode?
Ship security assessment
I D485. What is the p u rp o se o f a sh ip secu rity
I assessm ent?
I Z-186. Who can carry out a ship security
I m sessm ent o f a U K ship?
"-E SHIPMASTER’S BUSINESS SELF-EXAMINER
71
( ) ) N am e and address o f the Company; (2) statement that the SM S o f the
Company has been audited and that it com plies with the requirements o f the
ISM Code for the ship types listed; (3) list o f ship types; (4) com pletion date o f
the verification on which certificate is based; (5) expiry date (subject to
periodical verification); (6) auditor's signature, official stamp and place and
date o f issue; (7) (on back) endorsements for 4 annual verifications.
Five years, subject to annual verification.
(1) N am e o f ship; (2) port o f registry; (3) distinctive number or letters; (4)
gross tonnage; (5) IMO number; (6 ) name and address o f Company; (7) type o f
ship; (8) statement that the SM S o f the ship has been audited and that it
com plies with the requirements o f the ISM Code, follow ing verification that
the DO C is appl icable to this type o f ship; expiry date (subject to periodical
verification and the DO C remaining valid); (9) com pletion date o f verification
on which certificate is based; (10) auditor’s signature, official stamp and place
and date o f issue, (1 1 ) (on back) endorsements for intermediate and additional
verifications ( i f required).
Five years, subject to at least one intermediate verification.
(1) The Safetv M anagement Certificate will remain valid and audits must be
carried out as required bv the ISM Code. (2) The Safetv M anagement Svstem
mav need to be revised to cover activities reauired during the lav-un period. ("3)
The Safetv M anagement System w ill requite amendment to cover the
procedures required to put the ship b a d . into full operation. (4) I f the lav-up is
longer than three months, or a different crew outs the ship back into operation,
an additional ISM audit w ill be require? (See also L A Y -U P in Section I.)
(1) The Safetv M anagement Certificate (and International Ship Securitv
Certificate) w ill be withdrawn. (2) Tine procedures reauired to fully reactivate
the ship w ill need to be established, (in the SM S). (3) On reactivation the ship
would be treated as a new shir* to the company and follow ing successful
interim audit an Interim SM C w ill be issued. (See also LA Y-UP in Section I.)
cor questions on th# DSM Code see also Section C
Passenger ships o f C lasses III to VI(A).
An initial audit is carried out at the same time as a ship is surveyed for issue o f
a Passenger Certificate (PC). A mid-term audit is required, when the ship is in
service, between 3 and 6 months after issue o f the PC, to assess whether the
SM S is functioning effectively.
A D om estic Ship Safety M anagement Certificate (D SSM C ). In order to
sim plify certification o f ships o f Classes III to V I(A), a combined Passenger
Certificate (PC) and D SSM C is also available, with a 5-year maximum validity
period. (This was promulgated in M IN 160, which has expired.)
Requirements for: (1) the making o f a ship security assessment; (2) ships to
operate at a specified security level (1, 2 or 3); (3) the drawing up o f a ship
security plan; (4 ) the issue, follow ing audit, o f an International Ship Security
Certificate or an Interim International Ship Security Certificate; (5) records to
be kept onboard; (6) appointment and baining o f a Ship Security Officer; (7)
ship security training and drills; and (8) completion by the ship o f a
Declaration o f Security, (For questions on ship secu rity assessm ent a n d other
C om pany obligation s under the ISPS Code, see Section C. F or questions on
D eclaration o f Security, se e Ship a n d p o rt secu rity preparation s in Section H.)
To identify w eaknesses in physical structures, personnel protection systems,
processes or other areas that m ay lead to a security breach, and to suggest
options to elim inate or mitigate the risks identified. A S S A should consider
both strategic long-term issues and short term operational issues and should
identify the trading patterns and cargo types considered.
The CSO is required to ensure that “persons with appropriate skills to evaluate
the security o f a ship” carry out the ship security assessm ent. (ISPS Code,
A /8.2) A recognised security organisation m ay carry out the SSA. (ISPS Code,
A/8.3) However, M CA Guidance to Surveyors states: “The SSA m ust be
72
D487, What are the m eanings o f the three
secu rity levels in the ISPS C ode?
D 488. Who sets the secu rity level f o r U K ships
a t sea?
D 489. D o the com pany security officer, ship
secu rity officer o r m aster have authority to
change the security level?
D 490. U nder the IS M Code, what activities
m ust b e c a rrie d out on a ll sh ips a t secu rity level
I, in order to identify a n d talce preven tive
m easures against secu rity incidents?
Ship security documentation
D 491. What secu rity-related docum ents must
b e c a rried b y ships on international voyages
under the ISPS C ode?
Ship security plan For questions on inspection of ship security plan in ports, see Section I
D 492. What a re the minimum contents o f a
sh ip secu rity p lan ?
D 493. Where can a m odel ship secu rity plan
f o r a U K sh ip b e found?
D 494. Who can d ra w up a n d approve the ship
secu rity p la n f o r a U K ship?
International Ship Security Certificate
D 495. What certificate m ust b e h e ld by a ship
to sh ow com pliance w ith the ISPS C o d e ?
c a rrie d out b y p ro p e rly tra in e d personnel. This includes those who have
a tten ded a p p ro v e d C om pany S ecurity O fficer a n d Ship Security Officer courses
a n d m ay include classification societies o r reputable firm s o f consultants. The
U K is not a pprovin g R ecogn ised Security O rganisations (RSO), therefore any
reputable firm o f consultants m ay be u tilised to c a rry out the SSA. There must
be evidence that the com pany has a c ce p te d the SSA. ”
■:
Security level 1 means the level for which minimum appropriate protective
security measures must be maintained at all times (i.e. normal security).
Security level 2 means the level for w hich appropriate additional protective
security measures must be maintained for a period o f time as a result o f
heightened risk o f a securitv incident (i.e. heiehtened security). Security level 3
means the level for which further specific protective security measures must be
maintained for a limited period o f tim e when a security incident is probable or
imminent, although it m ay not be possible to identify the specific target (i.e.
exceptional security).
(1) For U K ships at sea in the U K territorial sea or on the high seas:
TRANSEC (a branch o f the Department for Transport); (2) for UK ships in the
territorial sea o f another State: the Contracting Government (i.e. the coastal
State); (3) for U K ships in UK ports: TRANSEC; (4) for U K ships in foreign
ports: the Contracting Government (i.e. the port State).
No, Thev m av implem ent protective securitv measures in accordance with the
ship security plan, but they m ay not set the security level; that is a Government
function.
(1) Ensuring the performance o f all ship security duties; (2) controlling access
to the ship; (3) controlling the embarkation o f persons and their effects; (4)
monitoring restricted areas to ensure that only authorized persons have access;
(5) monitoring o f deck areas and areas surrounding the ship, (6) supervising
the handling o f cargo and ship’s stores; and (7) ensuring that security
communication is readily available.
A ship securitv plan approved bv the flag State Administration, and an
International Ship Securitv Certificate (ISSC ) or Interim ISSC.
(1) M easures designed to prevent unauthorised w eapons, dangerous substances
and devices intended for use against persons, ships or ports from being taken
on board: (2) identification o f restricted areas and measures for prevention o f
unauthorized access to them: (3) measures for prevention o f unauthorized
access to the ship; (4) procedures for responding to securitv threats or breaches
o f securitv. including provisions for maintaining critical operations o f the shin
or ship/port interface; (5) procedures for responding to anv securitv
instructions Contracting G overnments mav give at securitv level 3: C6)
procedures for evacuation in case o f securitv threats or breaches o f securitv; (7)
duties o f shipboard personnel assigned securitv responsibilities and o f other
shipboard personnel on securitv aspects: (8) procedures for auditing the
securitv activities; (9) procedures for training, drills and exercises associated
with the SSP; (1 0 ) procedures for interfacing with port facility securitv
activities: (11) procedures for periodic review o f the SSP and for updating;
(12) procedures for reporting securitv incidents: (13) identification o f the ship
securitv officer; (14) identification o f the company securitv officer including
24-hour contact details; (15) procedures to ensure the inspection, testing,
calibration, and m aintenance o f anv securitv eauipm ent provided on board;
(16) frequency for testing or calibration o f anv securitv eauipm ent provided on
board; (17) identification o f the locations where the ship securitv alert system
acti vation points are provided; and (18) procedures, instructions and guidance
on the use o f the ship security alert system , including the testing, activation,
deactivation and resetting and to limit false alerts.
On the Department for Transport w ebsite (w w w .dft.gov.uk) under “Sea and
water/Security”.
The Company must ensure that the SSP is prepared (by the Com pany or by
“any reputable firm o f consultants”) and submitted for approval (with the ship
security assessm ent on which it was based). For U K passenger cruise ships
SSP approvals are by TRANSEC, for other U K ships SSP approvals are by the
M CA. Amendments to a previously approved SSP must similarly be approved.
An International Ship Security Certificate (ISSC) or an Interim International
Ship Security Certificate.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D496. In w hat circum stances can,a sh ip b e
issu ed with an Interim ISSC?
D 4 9 7. What is c ertified on the fro n t o f an
International Ship Security Certificate?
: ' ............... - 1- : security equipment o f the ship is in all respects satisfactory and that the ship
; D498. What is re c o rd ed on other p a g e s o f an
j International Ship Security C ertificate?
Ship security records
' D499. What secu rity-rela ted records m ust be
! m aintained on boa rd under SO LAS regulation
I X l-2/9.2.1?
D500. What records m ust be m ain tain ed on
boa rd under P art A, Section 10 o f the ISPS
I Code?
1 D 50I. F or h ow long m ust records o f security
1 activities be retain ed on b o a rd a U K ship?
SAFE MANNING DOCUMENT
1 D502. Which ships require a minimum Safe
Manning Docum ent?
j D503. Where can the M C A ’s guidan ce on safe
nanning be found?
D504. H ow sh ould a Safe M anning D ocum ent
be o b ta in ed fo r a U K ship?
3505. What su pplem en tary inform ation must
■ke ow ner o r o pera to r g iv e the M C A on fo rm
I MSF 4227?
-'.-06. What p la n s must be su bm itted to the
1 MCA with form M SF 4227?
507. Is any su rvey re q u ire d f o r issue or
-new al o f a Safe M anning Docum ent?
iD508. What a re the P rinciples o f Safe
Hanning in IM O Resolution A .890(21) as
- te n d e d by Resolution A. 955(23)?
■
'- = SHIPMASTER’S BUSINESS SELF-EXAMINER
73
In the case of; ( I ) a ship without a certificate, on delivery or prior to its entry or
re-entry into service; (2) transfer o f a s f p from the flag o f a Contracting
Government to the flag o f another Contracting Government; (3 ) transfer o f a
ship to the flag o f a Contracting Government from a State which is not a
Contracting Government; or (4) when a Company assum es the responsibility
for the operation o f a ship not previously operated by that Company.
0 ) That the security system and any associated security eauinment o f the ship
has been verified in accordance with section 19 o f Part A o f the ISPS Code; (2)
that the verification showed that the security system and any associated
com plies with the applicable requirements o f SO LAS chapter X I-2 and Part A
o f the ISPS Code; and (3) that the ship is provided with an approved ship
security plan.
(1) E nd orsem ent for: (1) intermediate verification; and (2) additional
verifications required by various sections o f the ISPS Code.
For the last 10 port visits, a record as follow s; (1) that the ship p ossesses a
valid ISSC (or Interim ISSC ) and the name o f its issuing authority; (2 ) o f the
security level at which the ship is operating; (3) o f the security level at which
the ship operated in any previous port visit; (4) o f any special or additional
security measures that were taken by the ship in any previous port visit; (5) that
the appropriate ship security procedures were maintained during any ship to
ship activity; and (6) o f other practical security related information (but not
details o f the ship security plan).
Records o f the follow ing activities addressed in the ship security plan: (1)
training, drills and exercises; (2) security threats and security incidents; (3)
breaches o f security; (4) changes in security level; (5) com munications relating
to the direct security o f the ship such as specific threats to the ship or to port
facilities the ship is in, or has been in; (6) internal audits and review s o f
security activities; (7) periodic review o f the ship security assessment; (8)
periodic review o f the ship security plain; (8) implementation o f any
amendments to the SSP; and (9) maintenance, calibration and testing o f
security equipment, i f any including testing o f the ship security alert system.
The ship security plan w ill identify what records are to be kept o f security
activities, where these records are kept and for h ow long the Company w ishes
to retain them. The M CA requires them to be retained on board for three years.
. See also MANNING in Section E
All passenger ships on international voyages and all cargo ships o f 500 GT or
more on international voyages. (SO LAS reg. V/I4)
M CA Guidance on Safe M anning is in Annex 6 to SO LAS chapter V ,
regulation 14, which is on the M C A ’s website.
(1) The owner or operator makes an assessm ent o f the minimum manning
required for safe operation o f the ship, using the guidance in paragraphs 13, 14
and 15 o f M SN 1767. (2) The owner or operator then consults with the master,
seafarers’ representatives and ( i f necessary) the M CA, in accordance with para.
17 o f M SN 1767. (3) The owner or operator then applies to the M CA on form
MSF 4227 in accordance with para. 17 o f M SN 1767, giving details o f the
ship’s intended operations, LSA , machinery and m ooring equipment, manning
system , watchkeeping arrangements, etc., and submitting certain plans and
other relevant information. (4) The M CA considers the proposed manning
levels with reference to the Principles o f Safe M anning and other
recom mendations and guidelines in M SN 1767, and i f satisfied that they are
adequate, issues a Safe M anning Document.
Description o f anticipated trade or trades; anticipated length and nature o f
voyages; anticipated geographical trade areas; how the various Principles o f
Safe M anning capabilities w ill be covered, how the proposed manning w ill
take account o f the Safe Manning, H ours o f Work a n d W atchkeeping
R egulations 1997 and H ours o f Work R egulations 2002.
Fire plan; m ooring and equipment plan; escape plan (passenger ships only);
schedule o f duties; general arrangement plan; engine-room arrangement plan.
No. M CA (Southampton) issues the SM D after considering the owner’s
application docum ents in relation to the IMO Principles o f Safe M anning in
Resolution A .890(21) as amended by Resolution A .955(23).
(A ) The capability to: (1) maintain safe navigational, engineering and radio
watches in accordance with regulation VII1/2 o f the 1978 STCW Convention,
as amended, and also maintain general surveillance o f the ship; (2) moor and
unmoor the ship safely; (3) manage the safety functions o f the ship when
em ployed in a stationary or near-stationary m ode at sea; (4) perfomi
74
D 509. In the P rin ciples o f Safe Manning, w hat
operation s d oes "em ployed in a station ary o r
near-stationary m ode a t se a ” refer to?
D 510. D o e s a Safe M anning D ocum ent f o r a
U K sh ip h ave any sp ecified p e rio d o f validity?
D 5 11. U n der w hat circum stances sh o u ld an
ow n er o r o p e ra to r ap p ly f o r a new Safe
M anning D ocum ent f o r a U K ship?
D 512. U nder w hat conditions m ay the MCA
w ith draw a Safe M anning D ocum ent fro m a U K
ship?
D 513. In w h at w a y sh ou ld the m aster o f a
newbuilding, o r a sh ip changing its operations,
be involved in obtain in g a Safe M anning
D ocum ent f o r a U K ship?
D 514. What w ill the M CA require w here
agreem ent cannot b e reach ed between the
C om pany a n d the m aster o r seafarers ’
representatives on the m anning levels?
D 515. What is show n on the fro n t o f a Safe
M anning Docum ent?
D 516. What is the extent o f the U K N ear-
C oastal trading area?
D 517. What is show n on the back o f a Safe
M anning Docum ent?
,s.l
D 5I8. A U K sh ip which is norm ally o p era ted
with an U nattended M achinery Space UMS)
has a m alfunction o f its engine-room watch
alarm system. Is the Safe Manning D ocum ent
still valid?
D 519. Should a U K ship o f under 500 G T have
a Safe M anning Docum ent?
D 520. When sh o u ld the ow ner o r operator
apply fo r a new Safe M anning D ocum ent?
ODerations. as appropriate. for the prevention o f damage to the environment;
(5) maintain the safety arrangements and the cleanliness o f all accessible
spaces to m inim ise the risk o f fire: (6') provide for m edical care on board ship;
(71 ensure safe carriage o f cargo during transit; (8) inspect and maintain, as
appropriate, the structural integrity o f the shin: and (91 operate in accordance
with the approved Shin’s Securitv Plan. CB) The ability to: (1) operate all
watertight closin g arrangements and maintain them in effective condition, and
also deploy a com petent damage control partv: (2) operate all on-board fire­
fighting and em ergency eauipm ent and life-saving appliances, carry out such
maintenance o f this equipment as is required to be done at sea. and muster and
disembark all persons on board: and d ) operate the main propulsion and
auxiliary machinery and maintain them in a safe condition to enable the ship to
overcom e the foreseeable perils o f the voyage.
Offshore (and similar) operations. In vessels carrying a large number o f
specialised non-marine personnel, a nucleus o f adequately trained marine crew
w ill be required to instruct the specialised personnel in the use o f safety
equipment and evacuation procedures and to assist in the event o f an
emergency.
N o. However, there may be circumstances in w hich the owner or operator
should apply for a new Safe M anning Document.
In the event o f any change in equipment, construction or use o f the ship w hich
m ay affect the safe manning level, the owner or operator should make an
application for the issue o f a new Safe M anning Document. (M SN 1767, para.
20.3)
I f an owner or operator fails to submit to the M C A a new proposal where a
ship changes trading area(s), construction, machinery or equipment, or
operation and/or m ethod o f maintenance have changed, or a ship persistently
fails to com ply w ith the rest hours requirements. (M SN 1767, para. 20.4)
M SN 1767 states: “Owners and operators should consult with
the master, seafarers’ representatives and the M C A (where appropriate) on
their proposed manning levels. Once agreed, a record o f the consultation
process should be retained b y the owner or operator, together with a record o f
the agreed manning level.”
M SN 1767 states: “I f agreement cannot be reached betw een the owners or
operator and master, and seafarers or seafarers’ representatives regarding
manning levels, the M CA w ill consider the view s put forward and, i f
appropriate, require the manning levels to be revised. W hen disagreement
occurs, it may be necessary to arrange a practical demonstration o f the crew ’s
ability to carry out the essential tasks in the context o f the Principles o f Safe
M anning.”
(1) Explanatory notes. (2) Particulars o f applicant. (3) Particulars o f the ship
(including special conditions). (4) Personnel - numbers to be carried. This
shows capacities o f personnel and has two columns: one listing the minimum
safe manning in the Near Coastal Area, and one listing the minimum safe
manning in the Unlim ited Area. In many ships only one colum n w ill be
completed, but in som e ships both colum ns m ay be com pleted, depending on
what the owner or operator applied for.
Within 150 nautical m iles o f a safe haven in the U K or 30 m iles from a safe
haven in the Republic o f Ireland. It is printed (using the terms “m iles” to mean
“nautical m iles” and “Eire” to mean “Republic o f Ireland”) below the columns
for Near-Coastal and Unlim ited manning on the front o f the Safe M anning
Document.
A schedule o f anv special conditions referred to on the front. These usually
include: (1) a requirement the hours o f work requirements o f M SN 1767 (or
any subsequent amendment) are to be follow ed; and (2) in U M S-classed ships,
that a lone v/atchkeeper is not to attend the m achinery spaces unless a suitable
watch alarm is fitted and operational or an alternative system is in place. In
passenger ships there is usually a requirement that additional crew are to be
carried as specified in the approved Muster List.
The safe manning com plem ent on the SM D applies only i f the classification
society’s rules for assignm ent o f the notation “U M S” on the Certificate o f
Class are maintained. In this case, therefore, the SM D w ill not be valid. The
number o f additional engine room personnel required w ill be determined by the
M CA in consultation with the shipowner or operator.
Ideally, yes, but it is not a mandatory requirement. The M CA advises owners
and operators o f small ships to obtain a Safe M anning Docum ent, since this
m ay help to avoid problems during ship inspections.
In the event o f any change in equipment, construction or use o f the ship, which
mav affect the safe m anning level. (M SN 1767, para. 20.3)
THE SHIPMASTER’S BUSINESS SELF-EXAMINED

D 5 2 I. When m ay a Safe M anning D ocum ent
be w ithdrawn b y the MCA?
PASSENGER SHIP SAFETY CERTIFICATE {PSSC) and PASSENGER CERTIFICATE
(P C )
Passenger Ship Safety Certificate (PSSC)
D522. Which sh ips require a P a ssen ger Ship
Safety C ertificate (PSSC)?
D 523. What certificate is issu ed to a U K
pa ssen g er sh ip on international voyages?
D524. With reference to the la st answ er, w hat
is a sh ort international voyage?
D 525. What is a long international voyage?
| D526. Is the P SSC in the H arm onized System
o f Survey a n d C ertification?
! D 527. What su rveys a re re q u ire d fo r a
I P assenger Ship Safety C ertificate?
j D528. What m ust be included in the inspection
o f a p a ssen g er sh ip 's bottom during the
renew al su rvey?
D529. Who issues P assenger Ship Safety
C ertificates to U K sh ips?
I D530. What is the maximum p e r io d o f validity
o f a P assenger Ship Safety C ertificate?
I D53I. What item s a re in spected in the in itial
vrvey for a P assen ger Ship Safety C ertificate?
1 D532. What are the contents o f a P assen ger
Ship Safety C ertificate?
D533. Which docum ent is re q u ired b y SO LAS
I u rjpplement. a P assenger Ship Safety
[Certificate?
34. What are su bdivision lo a d lines?
1 535. What a re the U K statutory
'•equirements relating to subdivision lo a d lines?
-E SHIPMASTER’S BUSINESS SELF-EXAMINER
,75
If the owner or operator fails to submit a n ew proposal where a ship changes
trading area(s), construction, machinery or equipment, or operation and/or
m ethod o f maintenance have changed, or a ship persistently fails to com ply
with the rest hours requirements. (M SN 1767, para. 20,4}
;
A ll passenger ships ( o f SO LAS Party States) on international voyages. (The
M CA often refers to these as "SOLAS I passenger ships”.)
A Passenger Ship Safety Certificate, unless the ship is on a short international
voyage, in which case a short international voyage Passenger Ship Safety
Certificate is issued, (The former certificate is issued to m ost large U K craise
ships, w hich are Class I ships, w h ile the latter certificate is normally issued to
U K ferries operating as Class II ships )
An international voyage in the course o f which the ship is not more than 200
m iles from a port or place in w hich the passengers and crew could be placed in
safety. Neither the distance between the last port o f call in which the voyage
begins and the final port o f destination nor the return voyage shall exceed 600
m iles. (The final port o f destination is the last port o f call in the scheduled
voyage at which the ship com m ences its return voyage to the country in which
the voyage began.)
An international voyage which is not a short international voyage
Yes.
(1) An initial survev before the ship is put in service; (2) a renewal survev once
every 12 m onths (which is to include an inspection o f the outside o f the ship’s
bottom), and (3) an additional survev. either general or partial, according to the
circum stances, after a repair resulting from an investigation or w henever any
important repairs or renewals are made
Exam ining the outside o f the sh ip’s bottom, including the bottom and bow
plating, keel, bilge keels, stem, stem frame, the rudder, sea chests and strainers,
noting the clearance measured in the rudder bearings, exam ining the propeller
and shaft seals, as far as practicable, and noting the clearance measured in the
propeller shafts.
O nly the M CA, even where surveys are carried out by authorised classification
societies.
12 months.
(1) Construction, m achinery and equipment other than safety equipment; (2)
safety equipment; (3) radio equipment; (4) subdivision load lines.
N am e o f ship; D istinctive number or letters; Port o f registry; Gross tonnage;
Sea areas in which ship is certified to operate; IMO number; Date on which
keel w as laid. Certifying statement that the ship has been surveyed in
accordance with SO LAS and that the survey show ed the ship com plied with
SO LAS requirements as regards: structure, main and auxiliary machinery,
boilers and other pressure vessels; watertight subdivision arrangements and
details; subdivision load lines detailed on the certificate); structural fire
protection, fire safety system s and appliances and fire control plans; life-saving
appliances and equipment o f lifeboats, liferafts and rescue boats; line-throwing
appliance; radio installations used in life-saving appliances; radio installations;
functioning o f radio installations used in life-saving appliances; shipbom e
navigational equipment, means o f embarkation for pilots and nautical
publications; lights, shapes, means o f making sound signals and distress
signals; and all other respects. N ote o f a ny Exem ption Certificate issued
Expiry date. Place and date o f issue. Surveyor’s signature and name, M CA
stamp. There is space below for any extension granted.
A Record o f Equipment for the Passenger Ship Safety Certificate (Form P),
which lists: (1) LSA; (2) details o f radio facilities; arid (3) m ethods used to
ensure availability o f radio facilities.
Load lines indicating the depth to which a passenger ship may be loaded
having regard to the extent to which the ship is subdivided and to the space for
the time being allotted to passengers. They are additional to the ship’s ordinary
load lines and, on a U K ship, are assigned and marked to correspond w ith the
subdivision draughts approved by the M CA for alternative service conditions.
They are permitted under SO LAS regulation II-1/13.
Under The MS (P assenger Ship Construction: Ships o f C lasses I, II a n d 11(A))
R egulations, every passenger ship o f C lasses I, II and 11(A) must be marked on
76
D 536, H ow m ust su bdivision lo a d lines be
iden tified in ships o f C lasses I a n d If?
D 537. H ow m ust subdivision lo a d lines be
iden tified in sh ips o f C lass 11(A)?
D 538. In which sh ip su rveys are subdivision
lo a d lines inspected?
Passenger Certificate (PC)
D 539. Which sh ips require a Passenger
C ertificate (PC)?
D 540. Is the P C in the H arm onized System o f
Survey a n d Certification?
D 54I. What su rveys a re req u ired f o r a
P assen ger C ertificate?
D 542. What is the maximum p e rio d o f validity
o f a P assenger Certificate?
D 543. What certificate is issu ed to a U K
p a ssen g er ship on non-international (i.e.
dom estic) voyages?
D544. What d oes a P a ssen ger C ertificate
show ?
D 545. What is the basic difference between a
P a ssen ger Ship Safety C ertificate (PSSC) a n d a
P assen ger C ertificate (PC)?
D 546. What a re the contents o f a P assenger
C ertificate f o r a C lass 11(A) ship?
\ compass, gyro com pass, echo sounder); date o f expiry; date o f issue;
D 547. What sp e c ia l sh ip certificate can a
p a ssen g er ship o f C lasses III to VI(A) have?
its side amidships with the subdivision load lines assigned to it in accordance
with Schedule 5 o f M SN 1698.
With consecutive numbers beginning from the deepest subdivision load line,
which must be marked C l . The subdivision load lines must be identified with
the letter C, and, in ships o f C lasses I and II, with consecutive numbers
beginning from the deepest subdivision load line which must be marked C l. A
C lass II ro-ro passenger ferry might, for exam ple, have tw o subdivision load
lines: C l and C2. At C l she m ight be certified to c a n y (in the “principal
passenger condition”) up to 600 passengers and 6 0 crew, w hile at C2 (an
“alternative condition” which gives a greater freeboard) she might be allowed
to c a n y 900 passengers and 60 crew. The line to be used w ill depend on the
passenger spaces in use.
If there is only one subdivision load line, with the letter C, and i f there are
more than one subdivision load line, with consecutive letters beginning from
the deepest subdivision load line, which is to be marked CA.
In Passenger Ship Safety Certificate renewal surveys.
Every U K passenger ship (i.e. vessels carrying more than 12 passengers)
operating only on dom estic voyages, i.e. voyages other than international
voyages. This includes passenger craft operating on inland waters in the UK.
No. It is a U K requirement and not an international requirement.
(1) An initial survev before the ship is put in service: (2) a renewal survev
before the end o f every 12 month period; (3) tw o inspections o f the ship’s
bottom, out o f the water, within any five year period, and at intervals not
exceeding 36 months; and (4) an additional survev. either general or partial,
according to the circumstances, after a repair resulting from an investigation or
whenever any important repairs or renewals are made. A ll surveys are to be as
set out in M SN 1751.
12 months.
A Passenger Certificate appropriate to its class, e.g. a Passenger Certificate for
a Class 11(A) ship, or a Passenger Certificate for a Class IV ship, etc.
It indicates com pliance with the Merchant Shipping Acts, and states: (1) the
limits ( if anv') beyond w hich the ship is not fit to ply; ( 2 ) the number o f
passengers which the ship is fit to carry; and (3) anv condition with which the
ship must comply.
A Passenger Ship Safety Certificate (PSSC ) is a SO LAS requirement and is
basically a three-in-one safety certificate (construction, equipment and radio,
covering the requirements o f SO LAS chapters II, III and IV), whereas a
Passenger Certificate (PC ) is a UK Governm ent requirement for a non-SO LAS
passenger ship, stating the maximum number o f persons the ship can can y
within specified plying limits. A PSSC is required by every passenger ship on
an international voyage, whereas a passenger ship operating only on domestic
voyages requ ires a PC.
(1) Details o f ship: name, port o f registry, O fficial Number, gross tonnage,
name and address o f owner; (2) Certification: Statement that the ship has been
found to com ply with the provisions o f the Merchant Shipping Acts for a Class
11(A) Passenger Ship and as such is certified to ply within the limits shown and
when carrying not more than the m aximum number o f passengers as stated;
plying limits; m axim um number o f passengers (including children over one
year); number o f crew; minimum number o f crew; m aximum total o f
passengers and crew; number o f holders o f CPSC; subdivision/loadline marked
on the sh ip’s side amidships; freeboard at side; distance o f deck line below
deck at side; extreme draught amidships; list o f LSA articles to be always kept
on board, in good order and ready for immediate use, including number o f
boats, liferafts and buoyant apparatus (each with number o f persons
accommodated), number o f lifejackets (stating number for persons under
32kg), lifebuoys, approved means o f making sound signals, approved set o f
navigation lights; radio installation (including type fitted and number o f radio
personnel); nsivigational equipment instruments fitted (radar, magnetic
surveyor’s signature and MCA stamp. On the reverse: Conditions; Notes.
A com bined Passenger Certificate and Dom estic Safety M anagement
Certificate, valid for a maximum o f 5 years subject to annual survey and audit.
Details were given in MIN 160, which has expired.
THE SHIPMASTER'S BUSINESS SELF-EXAMINER

D 548. U nder the conditions a ttach ed to a
P assen ger C ertificate, after what events m ust a
written rep o rt be m ade to the MCA within 24
hours o f the event, o r a s soon a s p o ssib le
thereafter?
Certification o f passenger tenders
D549. What certificate is issu ed in respect o f
the lifeboat/passenger tenders c a rrie d b y a U K
cruise ship, a n d w hat do es it show?
Operational Limitations Document
D 550. What are the statutory requirem ents
relating to an O perational Lim itations
Docum ent?
CARGO SHIP SAFETY CONSTRUCTION CERTIFICATE (SCC)
D551. Which sh ips require a C argo Ship
Safety Construction C ertificate?
D 552. Is the S C C in the H arm onized System o f
Survey a n d C ertification?
D553. What su rveys a re re q u ire d fo r a C argo
Ship Safety C onstruction C ertificate?
J D554. What is the maximum p e r io d o f validity
I o f a Cargo Ship Safety Construction
i C ertificate?
j D555. What d oes a C argo Strip Safety
Construction C ertificate certify?
j D556. What d etails are shown on a C argo
Ship Safety C onstruction C ertificate?
| D557. Who ca rries out surveys f o r the C argo
chip Safety C onstruction C ertificate o f a U K
1 sMip?
i 3558. In which regulations can the
•equirements f o r safety construction surveys o f
I - K ships be found?
1 *‘5 59 What item s a re c o vered by the initial
1 :ztrveyf o r a C argo Ship Safety Construction
I Certificate?
-5 SHIPMASTER’S BUSINESS SELF-EXAMINER
77
In the event of: (1) any accident occasioning loss o f life or serious injury to any
person; or (2) any material damage affecting the seaworthiness or efficiency o f
the ship, either in the hull or in any part o f the machinery; or (3) any alterations
or renewal in the sh ip’s hull, machinery or equipment which may affect the
efficiency or the seaworthiness o f the ship.
A special Safety Certificate is issued by the M CA in respect o f each tender,
describing the equipment to be carried by the boat and its maximum radius o f
operation from the ship when at anchor or alongside.
SO LAS regulation V/3C> (which is given effect in the U K by The MS (Safety o f
N avigation) Regulations) 2002 requires all passenger ships to which SO LAS
chapter I applies (i.e. ships carrying more than 12 passengers on international
voyages) to have a list o f al! limitations on the operation o f the ship, including
exem ptions from any SO LAS regulations, restrictions in operating areas,
weather restrictions, sea state restrictions, restrictions in permissible loads,
trim, speed and any other limitations, whether im posed by the flag State
Administration or established during design or building. The list must be
com piled before the ship is put in service, and together w ith any necessary
explanations, must be docum ented in a form acceptable to the flag State
Administration, must be kept on board readily available to the master, and
must be kept updated.
Cargo ships o f 500 GT or over on international voyages, i f they do not have a
Cargo Ship Safely Certificate. (The tonnage contrasts with the SO LAS cargo
ship lower tonnage limit o f 300 GT for the SRC.)
Yes.
f H An initial survey including an inspection o f the outside o f the shin's bottom
before the ship is nut in service; (2) a renewal survey at intervals specified by
the flag State Administration but not more than every 5 years; (3) an
intermediate survey within 3 months before or after either the second or third
anniversary date o f the certificate (replacing the annual survey); (?>) an annual
survey within 3 months before or after each anniversary date o f the certificate;
(5) a minimum o f two inspections o f the outside o f the ship’s bottom in any
five-year period, with the interval between any tw o inspections not exceeding
36 months: and (6) an additional survey either general or partial , according to
the circumstances, after a repair resulting from an investigation or w henever
any important repairs or renewals are made.
5 years, subject to the surveys in the last answer.
That the ship has been surveyed in accordance w ith SO LAS requirements; that
the survey show ed that the structure, machinery and equipment (as defined in
SO LAS chapter II) was satisfactory and the ship com plied with the relevant
parts o f SOLAS; whether an Exemption Certificate has or has not been issued;
whether a D ocum ent o f Com pliance has or has not been i ssued (if applicable)
in accordance with Regulation 54 o f Chapter II-2 for ships carrying dangerous
goods.
N am e o f ship; distinctive numbers or letters (call sign); port o f registry; gross
tonnage; deadweight o f ship (for oil tankers, gas carriers and chem ical tankers
only); IMO number; whether ship is an oil tanker, chem ical tanker, gas earner
or other cargo ship type; date on which keel was laid; date o f expiry o f validity;
place and date o f issue; signature ( o f classification society official).
Supplement for a ship carrying crude or other oil. Spaces for endorsements
recording 1st, 2nd, 3rd and 4th mandatory annual surveys. Space for
endorsement recording intermediate survey o f tankers o f 10 years age or more.
N orm ally, surveyors o f a U K R ecognised Organisation (LR, A BS, B V , D N V ,
GL, N K K or RINA). M CA surveyors or, at the M C A ’s request, surveyors o f
other SO LAS Contracting States may also carry out surveys.
The MS (C argo Ship Construction) R egulations 1997.
Structural strength; peak and machinery bulkheads and stem tubes; watertight
bulkheads, decks and inner bottoms; watertight decks, trunks, tunnels, duct
keels and ventilators; watertight doors; ballast and bilge pumping and drainage
arrangements; main machinery; means o f manoeuvring and going astern;
boilers and other pressure vessels; boiler feed systems; steam pipe systems; air
78
0 5 6 0 . Which sh ips m ay he issu ed with a U K
C argo Ship Safety Construction Certificate?
D 561. Is a U K C argo Ship Safety Construction
C ertificate an IM O requirem ent?
CARGO SHIP SAFETY EQUIPMENT CERTIFICATE (SEC)
D 562. Which ships require a C argo Ship
Safety Equipm ent Certificate?
D 563. Is the S E C in the H arm onized System o f
Survey a n d C ertification?
D 564. What su rveys a re re q u ire d fo r a C argo
Ship Safety Equipm ent Certificate?
D 565. Who can undertake initial a n d other
Safety Equipm ent C ertificate surveys o f U K
sh ips?
D 566. What is the maximum p e r io d o f validity
o f a C argo Ship Safety Equipment Certificate?
D 567. What do es a C argo Ship Safety
Equipm ent C ertificate certify?
D 568. What docum ent is requ ired b y SOLAS
to supplem ent a C argo Ship Safety Equipment
C ertificate?
D 569. What U K statu tory docum ent is issu ed
b y the MCA together with a C argo Ship Safety
Equipm ent Certificate?
D 570. What item s a re in spected in the initial
su rvey f o r a C argo Ship Safety Equipm ent
C ertificate?
pressure system s; cooling water system s; oil and gaseous fuel installations;
lubricating and other oil installations; remote control o f propulsion machinery
from the bridge; steering gear; ventilating system s in machinery spaces;
protection against noise; communication between engine room and bridge;
engineers’ alarm; spare gear, UM S; closin g o f openings; electrical
installations: main source o f electrical power and main switchboard; lighting
systems; em ergency and transitional sources o f power and em ergency
switchboards; location and construction o f cables; general precautions against
shock, fire and other hazards; electrical equipment in hazardous areas and
spaces; anchors, anchor handling equipment and chain cables; em ergency
towing arrangements. Additional items for tankers: location o f spaces; cargo
tank ventilation; ventilation o f pump rooms and other enclosed spaces;
inerting, ventilation and gas measurement; access to spaces in cargo tank area.
UK cargo ships o f 500 GT or over not engaged on international voyages, after
satisfactory survey.
N o, it is issued under the provisions o f the Merchant Shipping Acts, not under
SOLAS. (It is a UK government requirement.)
Cargo ships o f 500 GT or over on international voyages, i f they do not have a
Cargo Ship Safety Certificate.
Yes.
H ) An initial survev before the ship is put in service: (2) a renewal survev at
intervals o f not more than 5 vears; (3) a periodical survev within 3 months
before or after the 2nd anniversary date or 3rd anniversary date o f the
certificate which must take the place o f one o f the annual surveys; (4) an
annual survev within 3 months before or after each anniversary date o f the
certificate: and (4) an additional survev. either eeneral or partial, according to
the circumstances, after a repair resulting from an investigation or whenever
any important repairs or renewals are made. (SOLAS reg. 1/8)
Initial surveys must usually be carried out by M CA surveyors. Annual and
renewal surveys m ay be carried out by an authorised classification society, but
one survey in each 5-year period must be by the MCA.
5 years, subject to the surveys in the last answer.
That the ship has been surveyed in accordance with SO LAS requirements; that
the survey showed the ship com plied with SO LAS as regards fire safety ,
system s and appliances and fire control plans; the LSA and the equipment o f
lifeboats, lifsrafts and rescue boats were provided in accordance with SOLAS;
the ship was provided with a line-throwing appliance and radio installations
used in LSA in accordance with SOLAS; the ship com plied with SO LAS as
regards shipbom e navigational equipment, means o f embarkation for pilots and
nautical publications, the ship was provided with lights, shapes and means o f
making sound signals and distress signals, in com pliance with SO LAS and
COLREG; in all other respects the ship com plied with SOLAS; that the ship
operates within the limits o f the trade areas specified, that in implementing
Regulation l/6(b ) the UK Government has instituted Mandatory annual
surveys; and whether an Exemption Certificate has or has not been issued.
(1) A Record o f Equipment for the Cargo Ship Safety Equipment Certificate
(Form E), which lists: (1) Details o f Life-Saving Appliances; (2) Equivalent
Arrangements; and (3) Details o f Navigational System s and Equipment.
A Record o f Inspection (Form M SF 1102), which is a detailed list o f all items
inspected in the initial or renewal survey, including: (1) particulars o f the ship;
(2) name and address o f owner/operator; (3) number o f safety appliances; (4)
signature; (5) life-saving appliances; (6) fire detection and alarm system; (7)
fire extinguishing; (8) em ergency controls; (9) em ergency electric power; (10)
navigational equipment; (11) navigation lights; (12) sound signals, shapes and
additional lanterns; (13) rockets and signals; (14) m iscellaneous (including:
damage control plan; fire control plans; pilot ladder; bulwark ladder;
accom m odation ladder; pilot hoist; particulars o f stability information;
EPIRBs, SARTs, potable radios, etc.); (1 5 ) exem ptions and equivalents; and
(16) supplementary information. The ROI can be a very useful document to a
deck officer when making routine inspections o f safety equipment.
Lifeboats and Class C boats; davits and winches; inflatable boats; liferafts;
buoyant apparatus and lifejackets; rockets and signals; immersion suits; TP As;
hand-held VHFs; EPIRBs, radar transponders; navigation lights; positioning o f
side-lights; s ignal lantern; echo-sounder; gyro compass; sound signals, shapes
and additional lanterns; fire-extinguishing equipment; fixed fire installations
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D571. What action sh ou ld a m aster take if, on
jo in in g a ship that is not due f o r a Safety
Equipm ent su rvey f o r another 6 months, he
fin d s m inor defects in the LSA (e.g. a d e a d
lifebuoy light a n d m issing reflective tape)?
D 572. What are the requirem ents concerning
safety o r pollu tion preven tion equipm ent in
excess o f statu tory requirem ents?
D 5 73. On com pletion o f a s w v e y o f a survey
o f navigational equipment, the MCA su rveyor
issues fo rm M S F 1102. What is this?
CARGO SHIP SAFETY RADIO CERTIFICATE (SRC)
D 574. Which ships require a C argo Ship
Safety Radio Certificate?
D5 75. Is the SR C in the H arm onized System o f
Survey a n d C ertification?
D5 76. What su rveys a re req u ired f o r a C argo
Ship Safety R adio C ertificate?
D577. What is the maximum p e r io d o f validity
o f a C argo Ship Safety/ Radio C ertificate?
D 5 78. What does a C argo Ship Safety R adio
C ertificate certify?
D5 79. What docum ent is requ ired b y SO LAS
to supplem ent a C argo Ship Safety R adio
C ertificate?
D580. Who can c a rry out radio su rveys o f U K
merchant sh ips?
_ (UK O O A ) E R R '/ Survey Guidelines, persons authorised by the MCA.
i D581. M ay a person auth orised to carry’ out a
radio su rvey o f a U K sh ip a lso c a n y out radio
repair work o r sa le s activity?
D582. Which M N otice details radio su rvey
arrangem ents?
CARGO SHIP SAFETY CERTIFU|a u i
D583. Which sh ips m ay be issu ed with a
Cargo Ship Safety Certificate?
. Safety Equipment and Safety Radio Certificates.
D584. Is the CSSC in the H arm onized System
'Survey a n d C ertification?
D585. What su rveys are requ ired f o r a C argo
~-ip Safety C ertificate, a n d how a re they
recorded on the C ertificate?
D586. What is the maximum p e r io d o f validity
a Cargo Ship Safety Certificate?
» E SHIPMASTER’S BUSINESS SELF-EXAMINER
79
including deck foam and IG system s fo? tankers and water spray system s for
ro-ro cargo spaces; firem en’s outfits; firs detection and alarm system;
em ergency controls; em ergency electric power; stability data.; fire control
plans; pilot ladder.
Raise a non-conform ity in accordance with the Com pany’s SM S procedures.
Either make good the defects before sailing or apply to the M CA for a general
inspection and get the M C A ’s written approval to sail.
S ee questions and answers above on Safety Equipment in E xcess o f Statutory
Requirements.
H is Report o f Inspection. Annex 20 (Inspection and Survey o f Navigational
Equipment) to the M C A 's 2002 SO LAS V publication advises that this form
“should be retained on board with the ship’s papers”.
Cargo ships o f 300 GT or over on international voyages, i f they do not have a
Cargo Ship Safely Certificate. (Note: The tonnage contrasts with the SO LAS
cargo ship lower tonnage limit o f 500 GT for the SCC, SEC and CSSC.)
Y es.
(11 An initial survev before the ship is put in service; (21 a renewal survev at
intervals o f not more than 5 vears; (31 a periodical survev within 3 months
before or after each anniversary date o f the certificate; and (4) an additional
survey, either general or partial, according to the circumstances, after a repair
resulting from ari investigation or w henever any important repairs or renewals
are made.
5 years, subject to the surveys in the last answer.
That the ship has been surveyed in accordance with SO LAS chapter IV; that
the survey show ed that the ship com plied with SO LAS requirements as regards
radio installations; and the functioning o f the radio installations used in LSA
com plied with SO LAS requirements; whether an Exemption Certificate has or
has not been issued.
A Record o f Equipment for the Cargo Ship Safety Radio Certificate (Form R),
which lists: (1) particulars o f ship (name, call sign and number o f persons with
required qualifications to operate the radio installations); (2) details o f radio
facilities (actual provision o f VHF and MF R/T, D SC , N avtex, EGC, Inmarsat
SES, etc.); and (3) methods used to ensure availability o f radio facilities
(duplication o f equipment, shore-based maintenance or at-sea maintenance
capability).
(1) For vessels which are classed (except nasseneer ships), the appropriate UK -
recoenised classification societv. (2) For unclassed vessels and for passenger
ships, persons authorised bv the MCA. (31 For em ereencv response and rescue
vessels in accordance with United Kingdom Offshore Operations Association
N o, The surveyor attending a vessel must not becom e personally involved in
any repairs needed in connection with that survey. I f the master chooses to use
the same authorised person for repairs a separate technician must attend the
vessel. A lso, w hilst performing surveys on behalf o f the MCA, the surveyor
must not undertake any sales activity.
M GN 392.
jQ
Cargo ships o f 500 GT or over engaged on international voyages, as an
alternative to being issued with separate Cargo Ship Safety Construction,
Y es.
Surveys for issue and renewal o f a CSSC should be in accordance with the
certificates it replaces. Similarly, the annual and intermediate surveys should
be the same as those required for the replaced certificates. The appropriate
sections o f the Cargo Ship Safety Certificate are endorsed accordingly. (2007
H SSC Su rvey Guidelines, 3.7)
5 years, subject to the surveys in the Iasi answer.
80
D 587. What item s a re in spected in the in itial
su rvey fo r a C argo Ship Safety Certificate?
D 588. What d etails are shown on a C argo
Ship Safety Certificate?
D 589. What docum ent is req u ired by SOLAS
to supplem ent a C argo Ship Safety Certificate?
INTERNATIONAL and UK OIL POLLUTION PREVENTION CERTIFICATES (IOPPC
and UKOPPC)
International Oil Pollution Prevention Certificate JtOPPC)
D 590. Which ships require an International
O il P ollution P revention (IO PP) C ertificate?
D 591. Which sh ips on international voyages
do not require an IO P P C ertificate?
D 592. Is the IO P P C in the H arm onized System
o f Survey a n d C ertification?
D 593. What su rveys a re req u ired f o r an IO P P
C ertificate?
D 594. What is the maximum p e r io d o f validity
o f an IO P P Certificate?
D 595. What does an IO P P C ertificate certify?
D 596. Who can undertake IO P P a n d U K O PP
C ertificate surveys f o r U K ships?
D 597. What docum entation sh ould be verified
as being on b o a rd a cargo ship other than an
o il tanker in the initial su rvey f o r an IO PP
C ertificate?
D 598. What docum entation sh ould b e verified
as bein g on b o a rd an o il tanker in the initial
su rvey f o r an IO P P C ertificate?
D 599. What docum ent is issu ed a s a
Supplem ent to the IO P P Certificate, a n d what
d oes it contain in the ca se o f a tanker a n d a
non-tanker?
(I ) Construction, machinery and equipment other than safety equipment; (2)
safety equipment; and (3) radio equipment.
(1) Particulars o f ship (name, distinctive number or letters (call sign); port o f
registry; gross tonnage; deadweight (for oil tankers, chem ical tankers and gas
carriers only); length o f ship; G M D SS sea areas in which the ship is certified to
operate; IMO number). (2) Type o f ship (oil tanker, chem ical tanker, gas
carrier or other cargo ship type) (3) Date on which keel w as laid or ship was at
a similar stage o f construction. (4) Certification statements, including limits o f
trade area. (5) Expiry date; place and date o f issue; signature o f authorised
official issuing the certificate; M CA stamp. (6) Endorsement spaces for
recording annual and intermediate surveys and tw o inspections o f outside o f
ship’s bottom. (7) Endorsement spaces to record extension o f certificate under
various regulations.
A Record o f Equipment for the Cargo Ship Safety Certificate (Form C), which
lists: (1) particulars o f the ship including name; distinctive number or letters;
minimum number o f persons with required qualifications to operate the radio
installations; (2) details o f LSA including total number o f persons for which
LSA are provided; lifeboats on port and starboard sides; freefall lifeboats;
motor lifeboats; rescue boats; liferafts; lifebuoys; lifejackets; immersion suits;
thermal protective aids; radio installations used iri LSA; radar transponders; 2-
w ay VHF telephones; bridge navigational watch alarm system (B N W A S) (3)
details o f radio facilities including primary systems; secondary means o f
alerting; facilities for reception o f maritime safety information; satellite
EPIRB; VHF EPIRB; ship’s radar transponder, and (4) methods used to ensure
availability o f radio facilities.
Tankers o f 150 GT and over and other ships o f 4 0 0 GT and over on
international voyages.
Naval auxiliaries and other State-owned non-commercial ships.
Yes.
(1) An initial survey before the ship is put into service: (2) a renewal survev at
intervals not exceeding 5 vears: (3) an intermediate survev within 3 months
before or after either the 2nd or 3rd anniversary date o f the certificate
(replacing an annual survey); (4) an annual survev within 3 months before or
after each anniversary date o f the certificate; and (5 ) an additional survev,
either general or partial according to the circumstances, after a repair resulting
from investigations or whenever any important repairs or renewals are made.
5 years, subject to the surveys in the last answer.
(1) That the ship has been surveyed in accordance with M ARPOL Annex I; (2)
that the survey showed that the ship’s structure, equipment, system s, fittings,
arrangements and materials and the conditions thereof are in all respects
satisfactory and that the ship com plies with MARPOL Annex I.
The M CA usually carries out the initial survey for issue o f a U K ship’s first
IOPP or UKOPP Certificate, and also surveys unclassed UK ships. A B S, B V ,
D N V , LR, GL, NK K and R INA are authorised to conduct annual, intermediate
and renewal surveys, and to issue renewed certificates.
(1) Certificates for type approval for the oil filtering equipment and oil content
meters; (2) O il Record Book (Part I); (3) SOPEP (or in the case o f a
chemical/product tanker a SMPEP); (4) operating and maintenance manuals for
the 15ppm bilge separator and 15ppm bilge alarm.
(1) Dedicated Clean Ballast Tank Operation Manual; (2) Crude Oil Washing
Operations and Equipment Manual; (3) an operations manual for the oil
discharge monitoring and control system; (4) certificates for type approval for
the oil content meters, oil discharge monitoring and control system and
oil/water interface detectors; (5) O il Record B ook (Part II); (6) instructions for
operation o f the part flow system (in the cargo and ballast handling manuals);
(7) information and data concerning the subdivision and damage stability; (8)
SOPEP (or in the case o f a chemical/product tanker a SMPEP).
A Record o f Construction and Equipment. It lists items included in the IOPP
survev and records (iri the case o f a tanker): particulars o f ship; equipment for
the control o f oil discharge from machinery space bilges and oil fuel tanks;
tanks for oil residues (sludge); standard discharge connection; construction;
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D600. Which sh ips require a U K O PP
C ertificate in stead o f an IO P P C ertificate?
D601. Which U K regulation requires issue o f
a U K O PP Certificate?
D602. Is the U K O P P C in the H arm onized
System o f Survey a n d C ertification?
D603. What su rveys a re re q u ired f o r a U K O il
I Pollution Prevention C ertificate?
D604. What is the maximum p e r io d o f validity
| o f a U K O PP Certificate?
CERTIFICATES OF FITNESS FO*R GAS CARRIERS AND CHEMICAL TANKERS
D60S. Which sh ips require a C ertificate o f
Fitness?
| D606. Who issues C ertificates o f Fitness to
U K g a s carriers a n d chem ical tankers?
Gas carrlerCertificate o f Fitness
D607. What is the p ro p e r nam e o f the
■ Certificate o f Fitness issu ed to a g a s ca rrier
built on o r after 1 July 1986?
D608. U nder which IM O instrument is the
International C ertificate o f Fitness f o r a gas
carrier issued?
D609. U nder which IM O instrum ent is the
1 (non-international) C ertificate o f Fitness f o r a
?as ca rrier issued?
i D 6I0. A re the g a s ca rrier C ertificates o f
Fitness in the H arm onized System o f Survey
and Certification?
\ D611. What su rveys a re required f o r the
I International C ertificate o f Fitness f o r the
Carriage o f Liquefied G ases in Bulk?
I D612. What is the maximum p e rio d o f validity
. 'a g a s ca rrier C ertificate o f Fitness?
j D 613. What does a g a s ca rrier C ertificate o f
Fitness certify?
D614. A part fro m the certifying statement,
\ ±hat does a g as ca rrier C ertificate o f Fitness
I contain?
; D 615. What docum ent is issu ed w ith a gas
carrier C ertificate o f Fitness?
| D616. I f a g a s ca rrier has to be lo a d ed
| differently fro m the instructions in its a p p ro ved
\ Loading Manual, what sh ould the m aster do?
Ch^fcaiiaftkorCertiflG&te o f Itftness
i 3*5/7. What is the p ro p e r nam e o f the
Certificate o f Fitness issu ed to a chem ical
-anker built on o r after 1 July 1986?
E SHIPMASTER’S BUSINESS SELF-EXAMINER
81
retention o f oil on board; pumping, piping and discharge arrangements;
equivalent arrangements for chem ical tinkers carrying oil; exem ption ( i f any)
from Convention reauirements; eauivakn ts (if anvl. In the case o f a non-tanker
it records: particulars o f ship; equipment for the control o f oil discharge from
machinery space bilges and oil fuel tanks; tanks for oil residues (sludge);
standard discharge connection; exem ption ( if any) from Convention
requirements; equivalents ( i f any).
U K oil tankers o f 150 GT or above and other ships o f 400 GT or above which
are not engaged on voyages to ports or offshore terminals under the jurisdiction
o f other Parties to the M ARPOL Convention. (Som e dom estic trading ships are
nevertheless issued with an IOPPC at the request o f their owners.)
Regulation 7 o f The M S (Prevention o f O il P ollution) Regulations 1996.
N o. The H SSC only covers certificates required by SO LAS, M ARPOL, the
LO ADLINE Convention and the gas and chemical tanker codes.
(11 An initial survev before issue; and (21 a renewal survev at intervals o f not
more than 5 years. There is no requirement for annual surveys.
5 years. '
Gas carriers and chemical tankers. Ships built on or after 1 July 1986 ships
must have an International Certificate o f Fitness; older ships may be issued
with a Certificate o f Fitness.
O nly the M CA.
....................................1:......................' ............................!:........................ •,................J 5 ............
International Certificate o f Fitness for the Carriage o f Liquefied Gases in Bulk.
The International Code for the Construction and Equipment o f Ships Carrying
Liquefied G ases in Bulk (IGC Code). It applies to gas carriers on international
voyages built on or after I July 1986 and is mandatory.
The Code for the Construction and Equipment o f Ships Carrying Liquefied
G ases in Bulk (GC Code). It applies to gas carriers on international voyages
built before 1 July 1986 and is non-mandatoiy.
The International Certificate o f Fitness for the Carnage o f Liquefied G ases in
Bulk is in the HSSC, but the Certificate o f Fitness for the Carriage o f Liquefied
G ases in Bulk (which is a non-mandatosy certificate) is not in the HSSC.
(11 An initial survev: (21 renewal survev; (31 intermediate survev. (41 annual
survevs; and (51 additional survev. as for the International Oil Pollution
Prevention (IOPP) Certificate (se e above).
5 years, subject to surveys as in the last answer.
(1) That the ship has been surveyed in accordance with the Code and that the
survey showed that the ship’s structure, equipment, fittings, arrangements and
materials and the conditions thereof are in all respects satisfactory and that the
ship com plies with the relevant provisions o f the Code; (2) That the design
criteria listed on the certificate have been used; (3) That the ship is suitable for
the carriage in bulk o f the products listed, provided that all relevant operational
provisions o f the Code are observed; (5 ) That the ship must be loaded in
accordance with the approved loading manual and the loading limitations
attached the certificate.
Annex 1A: Continuation ( if required) o f Product List; Annex IB: K ey to
Conditions o f Carriage; Annex 2: Tank Plan o f Ship; Annex 3: Loading
Limitations; Endorsements for annual and intermediate surveys; Endorsement
for Additional Survey; expiry and issue dates.
A Loading and Stability Manual, approved, signed and dated by M CA or an
organisation authorised by MCA.
Submit to M CA the necessary loading calculations to justify the proposed
loading conditions, and obtain M C A ’s written authorisation.
'
International Certificate o f Fitness for the Carriage o f Dangerous Chemicals in
Bulk.
82
D 618. U nder w hich IM O instrum ent is the
International C ertificate o f Fitness f o r a gas
ca rrie r issued?
D 619. U nder which IM O instrum ent is the
(non-international) C ertificate o f Fitness f o r a
chem ical tanker issued?
D 620. A re chem ical tanker Certificates o f
F itness in the H arm onized System o f Survey
a n d C ertification?
D 62I. What surveys are re q u ire d fo r chem ical
tanker C ertificates o f Fitness?
D 622. What is the maximum p e r io d o f validity
o f a chem ical tanker C ertificate o f Fitness?
D 623. What does a chem ical tanker
C ertificate o f Fitness certify?
D 624. A part fro m the certification as in the
la st answer, w hat d oes a chem ical tanker
C ertificate o f Fitness contain?
D 625. What is shown in the A ppendix to a
chem ical tanker C ertificate o f Fitness?
D 626. What is shown in an Addendum io a
chem ical tanker C ertificate o f Fitness?
D 6 2 7. What docum ent is issu ed w ith a
chem ical tanker C ertificate o f Fitness?
D 628. I f a chem ical tanker has to be lo a d ed
differently fro m the instructions in its a p p ro ved
L oading Manual, w hat sh ou ld the m aster do?
INTERNATSONAL NOXIOUS UQ UID SUBSTANCES CERTIFICATE {INLSC)
D 629. What is the p r o p e r nam e o f an
International N oxious L iqu id Substances
C ertificate?
D 630. Which sh ips require an International
N oxious L iqu id Substances C ertificate?
D 631. Is the INLSC in the H arm onized System
o f Survey a n d C ertification?
D 632. What surveys a re requ ired f o r the
International N oxious L iqu id Substances
C ertificate?
D 633. Who usually carries out su rveys f o r the
International Noxious L iqu id Substances
C ertificate o f a U K ship?
International Code for the Construction and Equipment o f Ships Carrying
Dangerous Chemicals in Bulk (IBC Code). It applies to chemical tankers on
international voyages built on or after 1 July 1986.
Code for the Construction and Equipment o f Ships Carrying Dangerous
Chem icals in Bulk (BCH Code). It applies to chem ical tankers on international
voyages built before 1 July 1986.
Yes.
O') An initial survev: (2) renewal survev: (3) intermediate survev; (4) annual
survevs: and (5 ) additional survev. as for the International O il Pollution
Prevention (IOPP) Certificate (see above).
5 years, subject to surveys as in the last answer.
(1) That the ship has been surveyed in accordance with the Code and that the
survey showed that the construction and eauipment com plied with the Code;
(2) that the ship has been nrovided with a Procedures and Arrangements
Manual, and that the arrangements and equipment prescribed in the manual are
satisfactory; (3) that the ship is suitable for the carriage o f the products listed in
the annexed signed and dated pages (numbers inserted) provided that ail
relevant provisions o f the Code are observed: (4) m odifications o f provisions
o f the Code ( i f any); (5) that the ship must be loaded in accordance with the
loading conditions in the approved loading manual.
Expiry and issue dates; Endorsements for annual and intermediate surveys;
N otes; List o f Products with coded Conditions o f Carriage (numbers relating to
relevani Operational Note and Tank Groups are given for each listed product);
Tank Group K ey (tank numbers referred to in the key are identified on the
annexed Tank Plan); Operational N otes (several pages o f detailed notes
relating to products in Product List); Pollution Notes; General Notes; Strength
Notes; Stability N otes; Tank Plan; Appendixes; Addenda.
A list o f additional products which, although not shown on the Products List o f
the COF, the ship is suitable to carry. (Certain chemical products are assessed
for inclusion in Annex III o f M ARPOL and are therefore not required to be
sho wn on a COF.) Other sections o f the Appendix mirror those o f the COF.
A certificate o f suitability to c a n y additional products not listed in other parts
o f the COF, with conditions o f carriage.
A Loading and Stability Manual, approved, signed and dated by M CA or an
organisation authorised by MCA.
Submit to M CA the necessary loading calculations to justify the proposed
loading conditions, and obtain M C A ’s written authorisation.
International Pollution Prevention Certificate for the Carriage o f N oxious
Liquid Substances in Bulk.
Ships other than those issued with a Certificate o f Fitness (under the BCH
Code) or International Certificate o f Fitness (under the IBC Code) can yin g
cargoes o f M ARPO L Annex II substances (i.e. noxious liquid substances), e.g.
offshore supply vessels carrying brine, oil-based mud and other drilling-related
fluids, and product tankers which are not certified in com pliance with the IBC
or BCH Codes. (A n INLSC may be thought o f as a certificate o f fitness to
carry noxious liquid substances for a ship which is not a purpose-built
chemical tanker.)
Yes.
(1) An initial survev before the ship is put into service: (2) a renewal survev at
intervals not exceeding 5 years; (3) an intermediate survev within 3 months
before or after either the 2nd or 3rd anniversary date o f the certificate
(replacing an annual survev); (4) an annua) survey within 3 months before or
after each anniversary date o f the certificate: and (5) an additional survev.
either genera! or partial according to the circumstances, after a repair resulting
from investigations or whenever any important repairs or renewals are made.
Although the Class Authorisation table on the M CA website indicates that
INLSC surveys are carried out only by the M CA, the M CA Survey and
Certification Policy document (M SIS 23) states (at para. 2.23.6.3) that “some
classification societies have been given full delegation for these surveys”.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D 634. What is the maximum p e r io d o f validity
o f an International N oxious L iqu id Substances
Certificate.
D 635. What d oes an International Noxious
L iqu id Substances C ertificate certify?
D 636. In addition to the certification in the
last answer, w hat d o e s an International
N oxious L iqu id Substances C ertificate contain?
D 637. Which m anual is issu ed to a ship with
an International Noxious L iqu id Substances
C ertificate?
D 638. What re c o rd book must a ship carrying
noxious liqu id su bstances be p ro v id e d with?
INTERNATIONAL SEWAGE POLLUTION PREVENTION CERTIFICATE (ISPPC)
D639. Which ships require an International
Sew age P ollution Prevention C ertificate
(ISPPC), a n d from w hat date?
D 640. Is the IS P P C in the H arm onized System
o f Survey an d C ertification (HSSC)?
D 64I. What su rveys are re q u ire d fo r the
International Sew age Pollution Prevention
Certificate?
D 642. What is the maximum p e r io d o f validity
o f an International S ew age Pollution
Prevention C ertificate?
D 643. What d oes an International S ew age
Pollution P revention Certificate certify?
D 644. Who usually carries out su rveys f o r the
International S ew age Pollution P revention
C ertificate o f a U K ship?
INTERNATIONAL AND UK AIR POLLUTION PREVENTION DOCUMENTATION
International Air Pollution Prevention Certificate (IAPPC)
D645. Which sh ips require an International
1 A ir P ollution Prevention C ertificate (IAPPC)?
D646. Is the IA P P C in the H arm onized System
o f Survey an d C ertification?
D 6 4 7. Who usually carries out su rveys f o r the
| International A ir P ollution P revention
; C ertificate o f a U K ship?
: D648. What surveys are requ ired f o r the
1 International A ir P ollution Prevention
I Certificate?
D649. What is the maximum p e r io d o f validity
j o f an International A ir Pollution P revention
J C ertificate?
! D650. What d oes an International A ir
j Pollution P revention Certificate certify?
D651. What docum ent is issu ed as a
I Supplem ent to the International A ir Pollution
\ Prevention Certificate, a n d w hat d oes it
I contain?
'H E SHIPMASTER’S BUSINESS SELF-EXAMINER
83
5 years, subject to the surveys in the last answer.
Cl) That the ship has been surveyed in accordance with MARPOL Annex II:
(2) that the survev showed that the structure, equipment. systems, fittings,
arrangements and materials and their condition are satisfactory: O') that the
ship has been provided with a Procedures and Arrangements Manual, and that
the arrangements and equipment prescribed in the Manual are satisfactory; (4)
that the ship com plies with the requirements o f M ARPOL Annex II for the
carriage in bulk o f the noxious liauid substances listed on the Certificate,
provided that all relevant provisions o f Annex II are observed.
Expiry and issue dates; Endorsements for Annual, Intermediate and Additional
Surveys; Notes; List o f N L S s with coded Conditions o f Carriage; key to
Conditions o f Carriage; Tank Plan o f Ship.
A Procedures arsd Arrangements Manual.
A Cargo Record Book, in the form specified in Annex II o f The MS
(D angerous o r Noxious L iqu id Substances in Bulk) Regulations 1996.
N e w and existing ships, engaged in international voyages, o f 4 0 0 GT and
above or which are certified to carry more than 15 persons, from 27 September
2008.
Yes.
f 0 An initial survev before the ship is put in service or before the ISPPC is
first issued: (2) s. renewal survev at intervals o f not more than 5 years: and (Z)
an additional survev. either general or partial, according to the circumstances,
after a repair resulting from an investigation or w henever any important repairs
or renewals are made.
5 years.
Cl) That the ship is equipped with a sew age treatment plant or cornminuter or
holding tank and a discharge pipeline, as described in the certificate; (2) that
the ship has been surveyed; and (3 i that the survev show s that the ship’s
structure, eauipment, systems, fittings, arrangements and material are
satisfactory and that the ship com plies with M ARPOL Annex IV
Surveyors o f one o f the UK R ecognised Organisations (LR, A BS, B V , D N V ,
GL, N K K or RINA). (M CA surveyors or, at the M C A ’s request, surveyors o f
other SO LAS Contracting States m ay also c a n y out surveys.)
All ships o f 4 0 0 GT or above engaged ixi voyages to ports or offshore terminals
under the jurisdiction o f other Parties to M ARPOL Annex VI.
Yes.
Surveyors o f one o f the U K R ecognised Organisations (LR, A B S , B V , D N V ,
GL, N K K or RINA) (M CA surveyors or, at the M C A ’s request, surveyors o f
other SO LAS Contracting States m ay also carry out surveys.)
The same surveys as for an IOPP Certificate (see above).
5 years, subject to surveys as in the last answer.
(1) That the ship has been surveyed in accordance with regulation 5 o f
MARPOL Annex VI; and (2) that the sarvey show s that the equipment,
system s, fittings, arrangements and materials fully com ply with the applicable
requirements o f Annex VI.
A Record o f Construction and Equipment, which records: (1) Particulars o f
ship, (2) Contro l o f em issions from ships, including: 2.1 O zone-depleting
substances; 2.2 Nitrogen oxides (N G X); 2.3 Sulphur oxides (SO*) and
Particulate matter; 2.4 V olatile organic compounds (VO Cs); 2.5 Shipboard
incineration; and 2.6 Equivalents.
84
Engine International Air Pollution Prevention Cortfficate, NO, Technical File and Record Book of
Engine Parameters
D 652. What certificate is requ ired under
M ARPOL Annex VIf o r a s h ip ’s engine o r
engines?
D 653. What is a NOx Technical File?
D 654. What is a R ecord Book o f Engine
P aram eters?
UK Air Pollution Prevention Certificate ( UKAPPC)
D 655. Which vessels require a U K Air
P ollution P revention Certificate, a n d fro m what
date?
D 656. What su rveys a re requ ired f o r a U K A ir
P ollution Prevention C ertificate?
D 6 5 7. What is the m aximum p e rio d o f validity
o f a U K A ir P ollution P revention Certificate?
D 658. Who usually carries out su rveys f o r the
U K A ir Pollution P revention C ertificate o f a
U K ship?
INTERNATIONAL and UK LOAD LINE CERTIFICATES
Load line legislation
D 659. Which U K regulations im plem ent the
International L o a d Line Convention?
D 660. Which ships are exceptedfrom the
requirem ents o f The MS (L oad Line)
Regulations 1998?
D 661. Which sh ips m ay b e exem ptedfrom The
M S (L oad Line) Regulations 1998?
D 662. What certificate sh ou ld be c a rrie d b y a
sh ip which is exem pted fro m The MS (L oad
Line) Regulations 1998?
International Load Line Certificate
D 663. Which U K sh ips must have an
International L o a d Line C ertificate?
Each diesel engine (other than em ergency engines) with a power output o f
more than 130 kW, installed in a ship built on or after 1 January 2000, and any
existing engine o f more than 130 kW that undergoes a major conversion on or
after 1 January 2000, must have its ow n Engine International Air Pollution
Prevention Certificate (EIAPPC) to certify its com pliance with the N O ,
em ission limits o f the N O x Technical Code.
A technical file relating to an engine for w hich an EIAPP Certificate has been
issued, required by Chapter 2 o f the N O x Technical Code to accom pany the
engine throughout its life and always be available on board the ship.
A document for recording all parameter changes, including components and
engine settings, which may influence N O x em ission o f a diesel engine. It must
be maintain ed on board as part o f or in addition to the N O x Technical File.
(1) Floating platforms (drilling rigs, accom m odation platforms, etc.) not
engaged in voyages to waters under the sovereignty or jurisdiction o f a
Contracting Government other than the UK; and 2) any other UK ship o f 400
GT or above not engaged in voyages to a port or offshore terminal under the
jurisdiction o f a Contracting Government other than the U K , from 8 December
2008 (when The M erchant Shipping (P revention o f A ir P ollution fro m Ships)
R egulations 2008 came into force).
The same surveys as for an IAPP Certificate (see above).
5 years, subject to surveys as in the last answer.
Surveyors o f one o f the U K R ecognised Organisations (LR, A B S, B V , D N V ,
GL, N K K or RINA). (M CA surveyors or, at the M C A ’s request, surveyors o f
other SO LAS Contracting States m ay also carry out surveys.)
---------
---------
77le MS (L oad Line) Regulations 1998 (SI 1998/2241).
Ships o f war, ships solely engaged in fishing, pleasure vessels, and the
follow ing ships under 80 N T engaged solely in the coastal trade, w hile not
carrying cargo; tugs and salvage ships; hopper barges and dredgers; lighthouse
authority vessels; fishery protection vessels (governm ent and local);
Government department fishery or scientific research ships; M oD range safety
ships, ships in respect o f which Passenger Certificates are in force specifying
limits beyond which the ship must not ply, and which operate solely within
those limits; ships carrying not more than 12 passengers for sport or pleasure
on voyages in the course o f which they are at no time more than 3 m iles from
land nor mo re than 15 m iles from their point o f departure unless that is in
Category A, B, C or D waters. The passenger ships referred to (i.e. ships for
which PCs are in force) are also excepted w hile carrying cargo in accordance
with the terms, if any, o f their Passenger Certificates expressly authorising the
carriage o f cargo.
(1) Any ship em bodying features o f a novel kind i f the developm ent o f those
features and their incorporation in ships on international voyages m ight be
seriously im peded i f the ship had to com ply with all the requirements o f the
Regulations; and (2) any ship plying on international voyages between near
neighbouring ports if, in the opinion o f the M CA and the Government o f the
other country or countries involved, the sheltered nature and condition o f the
voyages makes it unreasonable or impracticable to apply the Regulations; (3) a
U K ship which does not normally ply on international voyages but which is, in
exceptional circumstances,, required to undertake a single international voyage
(in which case she may be exem pted for that voyage only); (4) a ship which is
not a “Convention-size ship” (i.e. under 24m in length); and (5) any other ship
which does not ply ori international voyages.
If she is a Con vention-size ship plying on international voyages, i.e. in cases
(1), (2) or (3) in the last answer, an International Load Line Exemption
Certificate; in cases (4) and (5) in the last answer, a U K Load Line Exemption
Certificate.
Broadly, ships o f 150 GT or over or which are 24 m or more in length.
THE SHIPMASTER’S BUSINESS SELF-EXAMIN

D 664. Is the ILLC in the H arm onized System
o f Survey an d C ertification?
D 665. What su rveys are requ ired f o r an
International L o a d Line C ertificate?
D 666. What does an International L o a d Line
C ertificate certify?
D 667. What is the maximum p e rio d o f validity
o f an International L o a d Line Certificate, a n d
m ay it he extended?
D 668. What is in dicated i f an Internat ional
L o a d Line C ertificate o r International L oad
Line Exemption C ertificate has (1966) in its
title?
D 669. Which organisations m ay c a n y out
International L o a d Line C ertificate su rveys a n d
issue International L oad Line C ertificates?
D670. What is the lo a d line annual su rvey
\ intended to ensure?
D671. What item s a re g iven p articu lar
attention in a h a d line annual survey?
D672, In w hat circum stances w ill an
Adm inistration can cel an International L oad
Line C ertificate?
D673. What certificate w ill govern the
fre e b o a rd o f a U K p a ssen g er ship when
t carrying m ore than 12 passen gers?
I D674. What fo rm s o f L o a d Line Exemption
| Certificate a re issued?
D675, In what circum stances m ay a ship be
: issued with an International L o a d Line
[ Exemption C ertificate?
! D676. What types o f sh ip a re som etim es issu ed
with a U K L o a d Line E xem ption C ertificate?
| D677. Which organisations m ay issue
j International a n d U K L o a d Line Exemption
Certificates?
Record of Conditions o f Assignment
1 D678. What a re conditions o f assignm ent?
! D679. What docum ent is issu ed with an
International L o a d Line Certificate when a ship
j is first a ssign ed freeb o a rd s, w hat d oes it
1 contain, an d w here can a specim en o f it be
‘bund?
'H E SHIPMASTER’S BUSINESS SELF-EXAMINER
85
Yes,
( 1) An initial survey before the ship is put in service: (2) a renewal survey at
intervals not exceeding 5 years; and (3) an annual survev within 3 months
before or after each anniversary date o f the certificate.
That the ship has been surveyed and that the freeboards have been assigned and
load lines shown on the certificate have Ibeen marked in accordance with the
International Convention on Load Lines , 1966, Annual surveys are endorsed
on the back o f the certificate.
5 years from the date o f com pletion o f the initial or renewal survey, subject to
annual surveys. Under the Harmonized System o f Survey and Certification it
may be extended for up to three months (or for ships on short voyages, for a
period o f grace o f one month) in order that the renewal survey can be carried
out.
It means the cert ificate was issued prior to the implementation o f the
H annonized System o f Survey and Certification, under the provisions o f the
International Load Line Convention without the m odifications o f its 1988
Protocol. It makes no difference to the scope o f surveys.
In the UK: M CA or LR, D N V , B V , A B S, GL, N K K or RINA under M CA
authority. Abroad: any Convention Country Administration at the M C A ’s
request. In practice, the ship’s authorised classification society normally issues
the ILLC. For an unclassed U K ship, M CA will issue the ILLC, in which case
the letters alongside the loadline disc w ill be “DT”, or for old ships, “BT”.
That: (1) alterations have not been made to the hull or superstructures that
would affect the calculations determining the position o f the load line; (2) the
fittings and appliances for the protection o f openings, guard rails, freeing ports
and means o f access to crew ’s quarters are maintained in ari effective
condition; (3) the freeboard marks are correctly and permanently indicated; and
(4) the statutory stability, loading and ballasting information is provided.
Hatchways; openings in the ship’s side below the freeboard deck and in the
sides and ends o f enclosed superstructures; machinery casings, com panionways
and deckhouses; freeing port shutters; ventilators and air pipes; special fittings
for ships marked with timber load lines, any departures from recorded
conditions o f assignment; positions o f load line marks and deck line.
(1) W hen material alterations have been made in the hull or structural strength
such as w ould necessitate assignm ent o f an increased freeboard; (2) when
fittings and appliances are not maintained in an effective condition: (3) when
the certificate is not endorsed to show the vessel has been inspected in annual
survevs (or periodical inspections); or (4) when the structural strength o f the
vessel is lowered to such an extent that she is unsafe.
The Passenger Ship Safety Certificate or Passenger Certificate, whichever is
issued. A statement to this effect is usually printed on the certificate.
International Load Line Exemption Certificates may be issued to ships o f
Convention size on international voyages in certain circumstances (see below ).
UK Load Line Exemption Certificates may be issued to ships which do not ply
internationally or w hich are not Convention ships (i.e. are less than 150 GT or
less than 24 m in length).
( I ) Under Article 6(2) o f the International Load Line Convention, when a ship
“em bodies features o f a novel kind” it may be exem pted from com pliance with
any provision o f the Convention application o f which m ight seriously impede
research into the developm ent o f such features and their incorporation in ships
engaged on international voyages; and (2) under Article 6(4) o f the
Convention, when a ship not normally engaged on international voyages makes
a o n e-o ff international voyage.
Dredgers, hopper barges and similar craft which need to operate with less than
statutory minimum freeboards.
Only the M CA. Classification societies do not have powers to give exem ptions
or issue exem ption certificates to U K ships.
The conditions relating to construction, arrangement and stability with which a
ship must com ply in order to be assigned freeboards.
The document is a Record o f Particulars Relating to Conditions o f Assignm ent
("also called a Record o f Conditions o f A ssign m en t! The M CA form number is
MSF 2011 (formerly FRF, 7). It details the fittings, appliances and
arrangements approved for the ship, as follows: sh ip’s name; port o f registry;
nationality; O fficial Number or call sign; builder; yard number; date o f
86
D 680. Who issues the R ecord o f Conditions o f
Assignm ent?
D 681, To ensure m aintenance o f the
C onditions o f Assignm ent a fter survey, w hat is
n ot allow ed?
D 682. H ow sh ou ld preparation s b e m ade f o r a
lo a d line su rvey?
T y p e s e tfre e b o a rd
D 683. What types o f fre eb o a rd m ay be
assign ed?
D 684. What is a Type A ship?
D 685. Whas is a Type B ship?
D 686. What is a Type B sh ip with reduced
fre eb o a rd ?
D 687. What is a Type B -60 ship?
D 688. What is a Type B-IOO ship?
D 689. What is a Type B ship with in creased
fre eb o a rd ?
D 690. H ow is the minimum fre e b o a r d o f Type
A a n d Type B sh ips determ ined?
D 691. What is a “g re a te r than minimum
fr e e b o a r d ”?
D 692. What sh ip types a re com m only assign ed
a “g re a ter than minimum freeboard"?
build/conversion; freeboards assigned as a ship o f Type (A , B, or B with
reduced or increased freeboard ); classification; date and place o f initial survey;
sketches o f side profile, superstructure deck and freeboard deck (with note
stating that a plan o f suitable size may be attached instead o f sketches) to show
disposition o f superstructures, tranks, deckhouses, machinery casings, extent o f
bulwarks, guard rails and w ood sheathing on exposed deck, hatchways,
gangw ays and other means o f protection for crew, cargo ports, bow and stem
doors, side scuttles, scuppers, ventilators, air pipes, com panionways and other
items that w ould affect seaworthiness. A lso, tabular reports of: (1) doorways
in superstructures, exposed machinery casings and deckhouses protecting
openings in freeboard and superstructure decks; (2) hatchways at positions 1
and 2 closed by portable covers and secured weathertight by tarpaulins and
battening devices; (3) hatchways at positions 1 and 2 closed by weathertight
covers o f steel (or other equivalent material) fitted with gaskets and clamping
devices; (4) m achinery space openings and m iscellaneous openings in
freeboard and superstructure decks; (5) ventilators on freeboard and
superstructure decks (positions 1 and 2); (6) air pipes on freeboard and
superstructure decks; (7) cargo ports and other similar openings; (8) scuppers,
inlets and discharges; (9) side scuttles; (10) freeing ports; (11) protection o f the
crew; (12) timber deck cargo fittings; (13) other special features. Schedule 3 to
M SN 1752 contains a specimen Record document.
The assigning authority, w hich for a classed ship is generally the classification
society. (For an unclassed U K ship it is usually the M CA.)
After any load line survey has been completed, no change is allow ed to be
made in the structure, equipment, arrangements, material or scantlings covered
by the survey, without the sanction o f the flag State Administration.
A copy o f the sh ip ’s Record o f Record o f Particulars Relating to Conditions o f
Assignm ent should be used as a checklist o f items that the surveyor will
inspect, so as to ensure that, as far as practicable, every listed item is in the
same good order as it w as when freeboards were first assigned.
> -r " ' ' ‘ *,» i f A;
Type A , Type B, Type B with reduced freeboard (e.g. B -60, B -100), Type B
with increased freeboard, or Type B with timber freeboard.
A ship which is designed to carry only liquid cargoes in bulk, and in which
cargo tanks have only small access openings closed by watertight gasketed
covers o f steel or equivalent material. The ship w ill have high integrity o f the
exposed deck and a high degree o f safety against flooding, resulting from the
low permeability o f loaded cargo spaces and the degree o f subdivision usually
provided. Type A ships are oil, chem ical gas and other types o f tanker.
A ny ship which is not a Type A ship.
A Type B ship o f o ver 100 m length assigned a freeboard less than that
required normally, where the flag State Administration is satisfied that she
meets the rules relating to protection o f the crew, freeing arrangements, covers
and single compartment damage stability. Hatch covers are to be steel, with
weathertightness achieved by gaskets. The ship may be called a Type B -60 or
B -100 ship
A Type B ship in which the reduction in freeboard has been increased up to
60% o f the total difference between the values for basic Type A and Type B
freeboards. The ship must m eet one compartment damage stability
requirements A large number o f Panamax and Capesize bulk carriers are B-60.
A Type B ship in which the reduction in freeboard has been increased up to the
total difference between the values for basic Type A and Type B freeboards,
effectively making the ship a Type A ship The ship must m eet two
compartment damage stability requirements O nly a small number o f ships are
B-100.
A Type B ship which, in position 1, has hatchways closed by portable covers
and secured weathertight by tarpaulins and battening devices. The Type B
tabular freeboard is increased by a value in another table in the rules.
From freeboard tables for Type A and Type B ships in the Regulations for
Determining Load Lines, which are reproduced in M SN 1752.
A freeboard greater than the m inimum freeboard that w ould have been
assigned to the ship under the Load Line Regulations, which may be assigned
in an exceptional case on application o f the shipowner, subject to safety and
crew protection being no less effective than i f the ship had m inimum freeboard.
Ships with greater-than-minimum freeboards are assigned an “all seasons load
line” (see below).
Large passenger ships, vehicle carriers, large container ships and other ship
types which have large freeboards.
THE SHIPMASTER'S BUSINESS SELF-EXAMINER

UK Load Line Certificate
D 693. Which ships require a U K L oad Line
Certificate?
Load Urn marks
D 694. What do the fo llo w in g letters m ean on a
s h ip 's lo a d lin e : AB; BV; GL; LR; NV; Rl; NK;
DT?
1 D695. Why do som e cargo ships have m ore
I than one se t o f lo a d lines marked, i.e. m ultiple
1 load lines?
1 D696. D oes the L o a d Line Convention allo w
I m ore than one lo a d line?
I D697. What lo a d lines m ay b e a ssign ed to a
I iarge ocean-going ship?
1 D698. Which ships m ay be a ssig n ed a Winter
1 S o rth A tlantic lo a d line, a n d when is this load
1 ~ne to be used?
1 D 699. What is the p u rp o se o f the letters (e.g.
I 'LR") on a lo a d line mark?
1 D700. H ow m any letters m ay be u sed on a
I b a d line ring?
E D 701. Where a p a ssen g er ship is m arked with
1 m bdivision lo a d lines a s w e ll a s o rd in a ty lo a d
■ f e e s , which is the appropriate lo a d line f o r the
U jm p o s e s o f The MS (L oad Line) Regulations
1 im ?
mM>~02. Where can the a pprop riate to a d line f o r
■« ;hip in a particu la r zon e o r a rea and
I m asonal p e rio d be a scertain ed?
What w ill be different a bout the lo a d
U k marks o f a ship issu ed w ith a L o a d Line
■ E ia vp tio n Certificate?
MB~94. What is an "a ll season s " lo a d line?
i ~~*mbcr load lines and timber freeboards
What tim ber lo a d lines m ay be assign ed
WM'a ship?
HpTQfi- Where tim ber lo a d lines are assigned,
M s - what circum stances m ay they be used?
■ I' " Where can the Special requirem ents
W m /^bcable to sh ips assign ed tim ber fre eb o a rd s
E k found?
P R . Where can inform ation about tim ber
l # e e ard s for U K sh ips b e found?
SHIPMASTER’S BUSINESS SELF-EXAMINER
87
UK ships which are not C onvention-size ships and other U K ships not plying
on international voyages. M C A Instructions for the Guidance o f Surveyors
states that U K Load Line Certificates should be used only for “new ships” (i.e.
built after 21 July 1968) o f less than 24 m in length or “existing ships” o f less
than 150 GT.
AB: American Eiureau o f Shipping; BV: Bureau Veritas; GL: Germanischer
Lloyd; LR: L loyd’s Register; NV: Det Norske Veritas; RI: Registro Italiano
Navale; NK: Nippon Kaiji Kyokai. These are the classification societies
authorised by the M CA to act as A ssigning Authorities for load lines and
freeboards. “D T ” are the letters used by the Department for Transport (M CA)
on the loadline o f a m odem unclassed U K ship.
M any ports and terminals im pose a deadweight restriction on visiting ships,
and they ensure that this is not breached by requiring the marking o f a set o f
load lines with the Summer mark indicating the draught for a deadweight
b elow the restriction limit Where the restriction is 25,000 dwt, for exam ple,
the Summer load line w ill usually be marked at the draught for 24,999 dwt; for
a restriction o f 50,000 dwt, the Summer load line w ill be at 49,999 dwt. Som e
ships have several sets o f marks, with a Load Line Certificate issued by the
classification society for each set. N on e o f these additional sets o f load line
marks may be higher, however, than the. set required for the minimum
freeboard assigned under the International Load Line Rules. The Rules only
allow one set to be in use at any one tim e, so that a ship m ay arrive at a port
using one set, but sail using another. A n y marks not actually in use should be
painted out to hide them.
Y es. Additional load lines required by other international conventions in force
may be marked at right angles to and abaft the vertical line forming the stem o f
the load line “tree” (T, S, W, etc.).
S (Summer); W (Winter); T (Tropical); F (Fresh); 'IT (Tropica! Fresh).
Ships o f 100 metres or less in length. It is to be used in either o f the North
Atlantic Winter Seasonal Zones (I or II) during the winter seasonal periods
applicable in those zones.
They are the initials o f the A ssigning Authority, e.g. L loyd’s Register.
Not more than 4. (The South African Com m ittee o f L loyd’s Register uses 4:
“SA ” above the Plim soll line and “LR” below the line.)
Where the lowest o f the subdivision load lines is lower than the line which is
the appropriate load line then that subdivision load line shall have effect as i f it
is the appropriate load line for the purposes o f the Regulations.
In Schedule 1 to M SN 1752.
The load lines and load line mark (the disc) are to be painted in red on a
contrasting background.
A load line marked on a ship which has been assigned greater-tban-minimum
freeboards. It consists o f a horizontal line intersecting the load line mark (i.e.
the ring), indicating the Summer freeboard. A Fresh Water load line is also
marked. It is usually lower than the position at which the minimum freeboard
would have been marked, and replaces the conventional load line “tree” o f a
ship with m inimum freeboards. The single assigned salt water freeboard is
applicable in Summer, Winter and Tropical Zones.
A “set” o f timber load lines correspond ing with the ordinary load lines,
preceded with the letter L (e.g. LS, LW ), placed on the opposite side o f the
disc. (“L” stands for lumber.)
(1) The ship must com ply with certain requirements (in Regulation 43 o f the
Load Line Convention, 1966); and (2) the cargo must com ply with certain
requirements (o f Regulation 44). Chiefly, there must be a tight block stow,
properly lashed in accordance with the regulations.
In Part 4 o f Schedule 2 to M SN 1752.
In Part II o f Schedule 4 to M SN 1752.
88
INTERNATIONAL and OTHER TONNAGE CERTIFICATES
: intomattonal Tonnage
D 709. U nder which convention is an
International Tonnage Certificate (1969)
m andatory fo r ships?
D 7 I0 . Which sh ips require an International
Tonnage C ertificate (1969)?
D 711. Is the International Tonnage C ertificate
(1969) in the H arm onized System o f Survey a n d
C ertification?
D 712. What data is shown on the fr o m o f an
International Tonnage Certificate (1969)?
D 7 1 3. What data is show n on the back o f an
International Tonnage Certificate (1969)?
D 7 I4 . What is g ro ss tonnage?
D 715. H ow is g ro ss tonnage determ ined under
the International Tonnage Convention, 1969?
D 7 16. What is net tonnage?
D 7 17. H ow is the net tonnage o f a cargo ship
determ ined under the International Tonnage
Convention, 1969?
D 7 18. H ow is the net tonnage o f a passen ger
ship determ ined under the International
Tonnage Convention, 1969?
D 7 19. What is the m ain p u rp o se o f nei
tonnage?
D 720. H ow w a s net tonnage d eterm ined in the
U K before ratification o f the International
Tonnage Convention, 1969?
D 721. Which international ship certificate has
indefinite validity, su bject to its conditions o f
issue continuing to be com plied with?
11
J
'S
ficates
n
1
D 722. A p a rt fro m an International Tonnage
Certificate, w hat o th er tonnage certificates
m ight a U K ship trading w orldw ide carry?
D 723. What is the p u rp o se o f Suez C anal a n d
P anam a C anal Tonnage Certificates?
D 724. Who issues Suez C anal a n d Panam a
C anal Tonnage C ertificates?
D 725. What is P C /U M S D ocum entation o f
T otal Volume a n d a P C /U M S N et Tonnage
Certificate?
D 726. Is a sp e c ia l can al tonnage certificate
req u ired f o r transiting the K iel Canal?
'
The International Convention on Tonnage Measurement o f Ships, 1969, which
is often referred to as the International Tonnage Convention, 1969.
All ships o f 24 metres in length or more.
N o.
Ship’s particulars; length, breadth and moulded depth; gross tonnage and net
tonnage. Both tonnages are sim ple numbers having n o units o f measurement.
The gross tonnage (GT) o f RM S Queen Mary 2, for exam ple, is 148,528 w hile
her net tonnage (N T) is 98,720. It is wrong to say that she is o f “ 148,528 gross
tons and 98,720 net tons”. A w orse error, often made by landlubbers, is to state
that she w eighs 148,528 gross tons!
A list o f spaces measured in the computation o f each tonnage (GT and NT),
including the location (frame numbers) and length o f each space. A lso, under
NT, the number o f passengers in cabins with not more than 8 berths, the
number o f other passengers and the moulded draught. Date and place o f
original measurement. Date and place o f last previous remeasurement.
It is a measure o f the overall size o f a ship, i.e. the volum e o f all enclosed
spaces in the ship, determined in accordance with the International Tonnage
Convention 1969. (M any people - especially in the press and media - believe it
is the ship’s weight!)
B y measurement o f the volum e, in cubic metres, o f all the enclosed spaces in
the ship. This volum e is multiplied by a factor called a “multiplier” (K )
obtained from a table in the International Tonnage Convention, 1969. (Because
o f this, gross tonnage has no units.)
It is a measure o f the useful capacity o f a ship, i.e. its earning capacity,
determined in accordance with the International Tonnage Convention, 1969.
B y measurement o f the volum e, in cubic metres, o f all the cargo spaces in the
ship. This volum e is multiplied by a “multiplier” (K ) obtained from a table in
)
the Convention (or in The MS (Tonnage) Regulations 1982 and then by the
square o f 4d/3D , where d is the ship’s moulded summer draught and D is the
moulded depth. The net tonnage must be at least 30 per cent o f the gross
tonnage and it may not be changed more than once a year.
A s for a cargo ship, but with the addition o f a factor involving the number o f
passengers in cabins with not more than 8 berths, and the number o f other
passengers
For determining payable dues such as port charges, light dues, etc. in many
countries. (M any ports use other criteria, however.)
B y deducting the volum e o f non-eam ing spaces (e.g. crew accom m odation)
from the gross registered tonnage (grt) measurement. (Under the “old”
M oorsom measurement system , 100 cu ft = 1 gross register ton; this is still the
basis o f the method used for determining Suez Canal tonnage.)
The International Tonnage Certificate (1969). It must be replaced by a new
certificate, how ever, i f any characteristics o f the ship, such as the total volum e,
volum e o f cargo spaces, moulded draught or number o f passengers, are altered
such that the ship’s net tonnage changes.
" ' • 1
(1) A Suez Canal Special Tonnage Certificate; and/or (2) a Panama Canal
PC/UM S N et Tonnage Certificate or PC/UM S Documentation o f Total
Volum e. (U M S stands for Universal M easurement System .)
To establish tonnages (in particular, net tonnage) on which dues are paid to the
canal authority when transiting the Suez Canal or Panama Canal.
The MCA or authorised classification societies. For m ost ships the
classification society w ill carry out the survey for the relevant certificate when
the ship is built, or at som e later tim e before the first transit.
PC/UM S Documentation o f Total Volum e is a certificate that must be obtained
by the owner o f a ship intended to transit the Panama Canal. It must be
surrendered, with certain ship’s plans, on arrival at the Canal entrance, where
the ship’s total volum e w ill be verified by the Panama Canal Authority (ACP)
For future transits the ACP w ill then deliver to the ship a P C/UM S Net
Tonnage Certificate.
N o The International Tonnage Certificate (1969) is sufficient.
THE SHIPMASTER’S BUSINESS SELF-EXAMINED

Tonnage definitions
D727. What is a s h ip ’s lightw eight?
D 728. What is a s h ip ’s deadw eight?
D729. What is a sh ip 's constant w eight?
POLLUTION LIABILITY CERTIFICATES
CLC Certificate (Oil Pollution Insurance Certificate)
D730. What is a C L C C ertificate?
D731. U nder which international instrum ent is
a CLC C ertificate required?
D732. Which sh ips require a C L C Certificate?
D733. What is the p u rp o se o f a C L C
Certificate?
D734. H ow is a C L C C ertificate o b ta in e d fo r
a U K ship?
D735. Which M N otice explains the
requirem ents f o r c argo o il pollu tion liability
insurance a n d certification?
D736. What is the usual validity p e r io d o f a
j C L C C ertificate?
D737. When sh o u ld an O il P ollution
j Insurance C ertificate o r CLC C ertificate be
produced, a n d to whom sh ould it b e produ ced?
D738. What is the maximum U K fin e on the
m aster o f a tanker arrivin g a t a U K p o r t or
term inal who cannot produ ce a v a lid O i l .'
Pollution Insurance C ertificate o r C LC
1 Certificate, i f applicable?
Bunker CLC Certificate (Bunker Oil Pollution Insurance Certificate)
\ D739. What is a Bunker C L C C ertificate o r
Bunker O il P ollution Insurance C ertificate?
D740. Which ships require a Bunker CLC
' Certificate, a n d under which international
instrument?
j D 74I. What is the p u rp o se o f a Bunker C L C
Certificate?
[ D742. H ow is a Bunker C L C C ertificate
obtained fo r a U K ship?
| D743. Which M N o tic e explains the
requirem ents f o r bunker o il pollu tion liability
insurance a n d certification?
D744. What is the usual validity p e r io d o f a
( Bunker C L C Certificate?
“ HE SHIPMASTER’S BUSINESS SELF-EXAMINER
89
The ship’s displacement in metric tons without cargo, fuel, lubricating oil,
ballast water, fresh water and feed wate in tanks, consum able stores, and
passengers and crew and their effects. It is som etim es called the lightship or
light displacement. (The price o f ships sold for scrapping is usually based on
light displacem ent tonnes.)
The total weight,, in metric tons, o f cargo, bunker fuel, ballast, fresh water,
ship’s stores, crew, crew ’s effects, passengers, and passengers’ accompanied
baggage which a vessel is able to carry. For purposes o f U K merchant shipping
regulations it is the difference in metric tons between the displacement o f a
ship in water o f a specific gravity o f 1.025 at the load waterline corresponding
to the assigned summer freeboard and the lightweight o f the ship.
The total w eight o f materials on board the ship that varies little from one
voyage to another, including the w eight o f engine spares, spare propeller, spare
anchor, spare tailshaft, stores, provisions, crew’s effects, lubricating oil and
fresh water. (A 20,000 dwt bulk carrier m ay have a constant weight o f 350
tonnes or more.) It is routinely determined at the start o f draught surveys. It is
som etim es called the deadweight constant.
A Certificate o f Insurance or Other Financial Security in respect o f Civil
Liability for O il Pollution Damage.
The International Convention on Civil Liability for Oil Pollution Damage,
1992 (often called the C ivil Liability Convention 1992 or 1992 CLC).
Ships carrying more than 2000 tonnes o f oil in bulk as cargo. (Oil is defined as
any persistent hydrocarbon mineral oil such as crude oil, fuel oil, heavy diesel
oil and lubricating oil, whether carried on board a ship as cargo or in the
bunkers o f such a ship.)
To certify that there is in force in respec t o f the ship a p olicy o f insurance or
other financial security satisfying the requirements o f Article VII o f the
International Convention on Civil Liability for Oil Pollution Dam age, 1992.
Application is made to M CA G lasgow Marine O ffice, Greenock, enclosing
documentary evidence o f insurance (normally given by a certificate called a
“blue card” issued by the ship’s P&I club or other security provider) and a fee.
The M CA w ill issue the certificate.
M GN 403.
The period o f validity o f the insurance or other financial security. In most
ships, w hich obtain cover from their P&I club, the period is from noon GM T
on 2 0 February to noon GM T on the follow ing 20 February (the traditional P&I
policy year).
On arrival at and departure from any port or terminal, to Customs (in U K ) or
any State or harbour official requesting it.
£50,000 on summary conviction.
A Certificate o f Insurance or Other Financial Security in respect o f Civil
Liability for Bunker O il Pollution Damage.
Ships o f over 1000 GT registered in a State Party to the International
Convention on Civil Liability for Bunker Oil Pollution Damage, 2001 (which
entered into force on 21 Novem ber 2006), or entering a port o f a State Party.
To certify that there is in force in respec? o f the ship a p olicy o f insurance or
other financial security satisfying the requirements o f the Convention.
The owner applies to M CA Southampton enclosing documentary proof that
insurance or other financial security exists covering bunker o il pollution
liability. (For m ost ships, proof is a “bh?e card” issued by the P&I club.) On
payment o f a fee, M CA w ill issue the Certificate.
M GN 402.
The period o f validity o f the insurance or other financial security. In m ost
ships, which obtain cover from their P&I club, the period is from noon GMT
90
D 745. What is the maximum U K fin e on the
m aster o f a ship arriving a t a U K p o r t or
term inal who cannot pro d u ce a v a lid Bunker
C L C Certificate, i f applicable?
US
D 746. What is a COFR?
D 747. Which ships require a COFR?
D 748. What d oes “the U n ited States" include,
a n d w hat are its “navigable w aters"?
D 749. What other C ertificates o f Financial
R esponsibility m ight a vessel trading in US
w aters require?
SHIP SANITATION CONTROL CERTIFICATION
See also Health clearance procedure In Section!
D 750. What international health docum ent
m ust a sh ip on an international voyage c a n y ?
D 751. When m ust a Ship Sanitation C ontrol o r
Ship Sanitation C ontrol Exemption C ertificate
be produ ced?
D 7 52. U nder which international instrument
a re Ship Sanitation C ontrol C ertificates an d
Ship Sanitation C ontrol Exemption C ertificates
requ ired b y ships?
D 753. U nder IHR (2005), which ships require
either a Ship Sanitation C ontrol C ertificate o r
Ship Sanitation C ontrol Exemption C ertificate?
D 754. A re the Ship Sanitation C ontrol
C ertificate a n d Ship Sanitation C ontrol
Exemption C ertificate in the H arm onized
System o f Survey a n d C ertification?
D 755. What is the maximum validity p e rio d o f
Ship Sanitation C ontrol C ertificates a n d Ship
Sanitation C ontrol Exem ption C ertificates?
D 756. What are the requirem ents o f IHR
(2005) regarding issue o f a Ship Sanitation
C ontrol Certificate?
D 7 5 7. What a re the requirem ents o f IHR
(2005) regarding issue o f a Ship Sanitation
C ontrol Exemption C ertificate?
D 758. H ow does the sh ip 's loadin g condition
affect the issue o f a Ship Sanitation C ontrol
E xem ption C ertificate under A rticle 3 9 .6 o f
IHR (2005)?
D 7 59. A sh ip sh ou ld only b e issu ed w ith a Ship
Sanitation C ontrol Exemption C ertificate i f it
has been fo u n d f r e e o f infection a n d
contam ination. What is the difference betw een
infection a n d contam ination?
D 760. What details a re shown on the f o n t o f a
Ship Sanitation C ontrol Exemption C ertificate?
D 76I. What details a re shown on the fro n t o f a
Ship Sanitation C ontrol Exemption
Certificate/Ship Sanitation C ontrol C ertificate?
on 20 February to noon GM T on the follow ing 2 0 February (the traditional P&I
p olicy year).
£5,000 on summary conviction.
b llity (C O F R ;
A Certificate o f Financial Responsibility (Water Pollution), issued by the US
Coast Guard under U S federal regulations (33 CFR 138.12).
Under U S federal law, every vessel o f over 300 GT using the navigable waters
o f the United States for any purposes.
The United States includes Puerto R ico, the Northern Marianas, Guam,
American Sam oa, the U S Virgin Islands, and the Trust territory o f the Pacific
Islands. The navigable waters o f the United States include inland waters and
the three-mile territorial sea.
A state COFR i f entering the navigable waters o f certain U S states. In
California, for exam ple, a California Certificate o f Financial Responsibility is
required.
Either: (1) a Ship Sanitation Control Certificate; or (2) a Ship Sanitation
Control Exemption Certificate.
On arrival at a port, when obtaining health clearance. The certificate date and
place o f issue must be recorded by the master on the Maritime Declaration o f
Health, (See a lso questions on H ealth clearan ce procedu res in Section I.)
International Health Regulations (2005), published by the World Health
Organization. (F or questions on International H ealth Regulations see Section
A.) Article 39 deals w ith Ship Sanitation Certificates.
A n y ship on an international voyage.
N o.
Six months. This period may be extended by one month i f the inspection or
control measures required cannot be accom plished at the port.
Article 39.5 provides that when control measures are required and have been
satisfactorily com pleted, the com petent authority must issue a Ship Sanitation
Control Certificate, noting the evidence found and the control measures taken.
Article 39.6 provides that the competent authority may issue a Ship Sanitation
Control Exemption Certificate at any port it has designated for this purpose i f it 1
is satisfied that the ship is free o f infection and contamination, including
vectors and reservoirs.
A Ship Sanitation Control Exem ption Certificate can normally be issued only if 1
the inspection o f the ship has been earned out when the ship and holds are
empty or w hen they contain only ballast or other material, o f such a nature or
so disposed as to make a thorough inspection o f the holds possible.
Infection is defined in IHR (2005) as the entry and developm ent or
multiplication o f an infectious agent in the body o f humans and animals that
m ay constitute a public health risk. Contamination is defined as the presence o f I
an infectious; or toxic agent or matter on a human or animal body surface, in or 1
on a product prepared for consum ption or on other inanimate objects, including I
conveyances (e.g. a ship), that may constitute a public health risk.
Port; date; name o f ship; flag; registration/lM O number; whether, at time o f
inspection, the holds were unladen or laden with cargo; name and address o f
inspecting officer; and a table with colum ns for: (1) areas (system s and
services) inspected; (2) evidence found; (3) sample results; and (4) documents 1
reviewed.
Port; date; name o f ship; flag; registration/IMO number; whether, at tim e o f
inspection, the holds were unladen or laden with cargo; name and address o f
()
inspecting officer; and a table with colum ns for; 1 control measures applied: 1
(2) re-inspeetion date; and (3) com ments regarding conditions found.
THE SHIPMASTER’S BUSINESS SELF-EXAM I

D 762. What d etails are shown on the
Attachm ent on the back o f a Ship Sanitation
C ontrol Exemption C ertificate/Ship Sanitation
C ontrol Certificate?___________________ ______
ANTI-FOULING SYSTEM DOCUMENTATION
international Anti-Fouling System Certificate
D763. Which sh ips require an International
Anti-Fouling System Certificate, a n d under
which international instrument?
D764. What does an International A nti-
\ Fouling System C ertificate certify?
JD 765. What substances a re p ro h ib ited by the
' Anti-Fouling System Convention, a n d what
j control m easures ap p ly in respect o f them?
D766. When is an International Anti-Fouling
\ System C ertificate issued?
D767. When does an International A nti-
Fouling System C ertificate c ease to be valid?
D768. What statem ents on the International
j Anti-Fouling System C ertificate have to be
j com pleted by the surveyor?
! D769. What docum ent m ust be a tta ch ed to an
t International A nti-Fouling System C ertificate?
Record o f Anti-Fouling Systems
' D770. What is a R ecord o f Anti-Fouling
! Systems?
Declaration on Anti-Fouling System
I D771. What docum ent m ust be c a rrie d under
iheA F S C onvention by a ship o f 24 m etres or
ffore in length, but less than 400 GT, on
rternational voyages?
| D772. What is a D eclaration on A nti-Fouling
. System?
I 077 3 . What m ust a D eclaration on Anti-
; -ouling System be accom pan ied by?
RO-RO FERRY SPECIAL DOCUMENTATION
Evidence o f Ship Compliance
D '74. Which U K ships require an Evidence o f
Ship Com pliance docum ent?
i ,775. U nder w hat regional agreem ent is an
■-idence o f Ship C om pliance docum ent
I "squired?
'H E SHIPMASTER’S BUSINESS SELF-EXAMINER
91
A table with colum ns for: (1) areas, facilities and system s inspected; (2)
evidence found; (3) sample results; (4 ) documents reviewed; (5) control
measures applied; (6) re-inspection date; and (7) com ments regarding
conditions found.
See also Anti-Fouling Systems in this Section
Ships o f 400 GT and above engaged in international voyages, excluding fixed
or floating platforms, FSU s and FPSOs under the International Convention on
the Control o f Harmful Anti-Fouling System s on Ships, 2001, which entered
into force on 17 September 2008.
That the ship has been surveyed, and that the survey show s that the ship
com plies with the applicable requirements o f Annex 1 to the Convention,
Organotin com pounds w hich act as biocides in anti-fouling systems. From 1
January 2008 ships must either: (1) not bear such compounds on their hulls or
external parts or surfaces; or (2 ) bear a coating that forms a barrier to such
compounds leaching from the underlying noncompliant antifouling systems.
(11 After an initial survev o f the anti-foalina system (bv the flae State
Administration or a Recognised Organisation) before the ship is put into
service or before the certificate is issued for the first time; and (2) after survev
follow in e ehanee or replacement o f the anti-fouling system.
When either: f l ) the anti-fouline svstem is changed or renlaced and the
Certificate is not endorsed in accordance with the Convention; or (2) on
transfer o f the ship to the flag o f another State.
(1) An anti-fouling system controlled under Annex 1 has not been applied
during or after construction o f this ship. (2 ) An anti-fouling system controlled
under Annex 1 has been applied on this ship previously, but has been removed
by (insert nam e o f the facility) on (date) (3 ) An anti-fouling system controlled
under Annex 1 has been applied on this ship previously, but has been covered
with a sealer coat applied by (insert name o f the facility) on (date) (4) An anti­
fouling system controlled under Annex 1 w as applied on this ship prior to
(date), but must be removed or covered with a sealer coat prior to (date)
A Record o f Anti-Fouling System s.
A record that must contain details o f anti-fouling system (s) applied, including:
(1) Type(s) o f anti-fouling system (s) used; (2) date(s) o f application o f anti­
fouling system(s); (3) nam e(s) o f c o m p a n ie s ) and facility(ies)/location(s)
where applied; (4) nam e(s) o f anti-fouling system manufacturers); (5) nam e(s)
and c o lo u r s) o f anti-fouling system (s); (6 ) active in gred ien ts) and their
Chemical Abstract Services Registry N u m b e rs) (C A S number(s)); (7) type(s)
o f sealer coat, if applicable; (8) nam e(s) and colour(s) o f sealer coat applied, if
applicable; and (9) date o f application o f sealer coat.
A Declaration on Anti-Fouling System.
A declaration signed by the owner or o’»/ner’s authorised agent that the anti­
fouling system used on a ship o f 24 metres or more in length but less than 400
gross tonnage engaged in international voyages com plies with Annex 1 o f the
International Convention on the Control o f Harmful Anti-Fouling System s on
Ships, 2001.
Appropriate documentation, such as a paint receipt or a contractor invoice.
Alternatively it must contain appropriate endorsement.
U K ro-ro passenger ships when operating on a voyage on a regular scheduled
service as ships o f C lasses I, II and 11(A), and non-UK ro-ro passenger ships
operating on voyages on regular scheduled services to or from a U K port.
The Stockholm Agreement (the proper name o f which is The Agreement
Concerning Specific Stability Requirements for R o-R o Passenger Ships
Undertaking Regular Scheduled International V oyages Betw een or To or From
Designated Ports in North W est Europe and the Baltic Sea).
92
D 776. What w as the o rigin al purpose' o f the
Stockholm A greem ent?
D 777. To which sh ips d id the Stockholm
A greem ent originally apply?
D 77S. To which sh ips does the Stockholm
A greem ent now apply, a n d under what
legislation?
D 779. Which regulation s im plem ent E C
D irective 2003/25/E C in the UK, a n d what
sh ips do they addition ally cover?
D 780. What are the provision s o f MSN 1790
regardin g com pliance w ith Stockholm
A greem ent sta b ility standards by U K ro-ro
p a ssen g er sh ips on international voyages?
D 781. What are the pro visio n s o f M SN 1 790
regardin g com pliance w ith Stockholm
A greem ent sta b ility standards b y U K ro-ro
p a ssen g er sh ips on dom estic voyages?
D 782. What a re the provision s o f MSN 1790
regardin g com pliance with Stockholm
A greem ent sta b ility standards by U K ro-ro
p a ssen g er high -speed craft?
D 783. What is the docum ent en titled Evidence
o f Ship C om pliance (1)?
D 784. What is the docum ent en titled Evidence
o f Ship Com pliance (2)?
D 785. In relation to an E vidence o f Ship
C om pliance (1), w hat is “A/Amax "?
D 786. In relation to an Evidence o f Ship
C om pliance (I), w hat is "A ’’?
D 787. In relation to an E vidence o f Ship
Com pliance (1), w hat is “Am ax"?
Berth List
D788. What is a Berth List?
To bring forward application o f the SO LAS 90 damage stability standards for
N W European ro-ro fe m e s on international voyages 3 years ahead o f the dates
scheduled by SOLAS; and to apply a requirement that these ships are able to
survive damage with up to 0.5m depth o f water on the vehicle deck.
Ro-ro passenger ships on regular scheduled international voyages to or from
ports in North W est Europe and the Baltic Sea.
Under EC Directive 2003/25/E C , application o f the Stockholm Agreement is
extended to all ro-ro passenger ships operating on dom estic or international
voyages in waters o f EEA States.
The M S (Ro-Ro P assenger Ships) (Stability) Regulations 2004 (SI 2004/2884)
implement Directive 2003/25/E C in the UK. They extend application o f the
Stockholm A greem ent’s requirements to all UK ro-ro passenger ships
(including high-speed craft) operating regular scheduled international or
dom estic services in European waters where there is a significant w ave height
o f 1.5 m or more. M SN 1790 explains the regulations and contains the text o f
the Directive.
(1) Existing U K ro-ro passenger ships (keel laid before 1 October 2004)
operating regular international services between ports in those European
countries not signatory to the original Stockholm Agreem ent must com ply with
standards equivalent to those o f the Stockholm Agreement by 1 October 2010
unless they operate in sea areas with a significant w ave height o f less than 1.5
metres. H ow ever ships which w ere compliant with the SO LAS 90 standard o f
watertight subdivision and damage stability by 17 May 2003 must com ply with
the Stockholm Agreement by 1 October 2015. (2) N ew U K ro-ro passenger
ships (keel laid on or after 1 October 2004) operating regular services between
ports in the European community w ill be obliged to com ply with the
Stockholm Agreement unless operating in sea areas with a significant w ave
height o f less than 1.5 metres. (3) The SO LAS 9 0 standard is considered to
offer a sufficient degree o f safety with respect to watertight subdivision and
damage stability allow ing for water accumulation on the vehicle deck that
might be expected in wave heights o f up to 1.5 metres.
(1) Existing ro-ro passenger ships o f EU C lasses A and B (keel laid before 1
October 2004) must com ply with the Stockholm Agreem ent by 1 October 2010
unless they operate in sea areas with a significant w ave height o f less than 1,5
metres. If these ships do not com ply, they w ill be phased out on that day or on
a later day when they reach 30 years o f age or in any case no later than 1
October 2015. (2) N e w ro- ro passenger ships o f EU C lasses A, B and C (keel
laid on or after 1 October 2004) must com ply with the Stockholm Agreement
unless they operate in sea areas with a significant w ave height o f less than i .5
metres. (3) The U K already applies and w ill continue to apply the Stockholm
Agreem ent to ships engaged on U K dom estic voyages more than 5 m iles from
the line o f coast (covering existing ships o f UK Class IIA and those o f EU
class A and i3).
(1) The MS (H igh S p eed Craft) Regulations 2004 are amended by The MS (Ro-
Ro P assen ger ships) (Stability) Regulations 2004. (2) Notwithstanding Recital
26 o f Directive 2003/25/E C , the U K w ill continue to apply the Stockholm
Agreem ent to ro-ro passenger high speed craft under the terms o f Recital 25
and as originally required by Regulation 6(2) o f SI 1997/647. (3) For detailed
information on the application o f the Stockholm Agreem ent to High Speed
Craft refer to Appendix C o f Instructions f o r the G uidance o f Surveyors,
Internationa! C ode o f Safety f o r H igh S p eed Craft - H SC C ode 2 0 0 0 (available
on the M CA w ebsite under “Guidance and Regulations”).
A certificate issued by the M CA to a ro-ro passenger ship that is not yet fully
in com pliance with the requirements o f the Stockholm Agreement. It show s the
ship’s A/Am ax value.
A certificate issued by the M CA to a ro-ro passenger ship that is not fully in
com pliance with the requirements o f the Stockholm Agreement. It shows the
significant w ave height that the ship may operate in.
The ratio o f the sh ip’s “A ” value to its “Am ax” value, expressed as a
percentage, e.g. 97.83.
The ship’s attained subdivision index, which is an index o f its existing degree
o f survivability before any upgrading.
A value representing a survivability standard to be attained by the ship by a
certain date which will depend on the A/A m ax ratio. The higher the A/Amax
value, the later the latest com pliance date.
A list, com piled by the shipowner under The KIS (P assenger Ship
Construction: Ships o f C lasses I, II a n d 11(A)) R egulations 1998 o f all berths at
U K ports at which it is intended a ro-ro passenger ship (o f any flag) will load
THE SHIPMASTER'S BUSINESS SELF-EXAMINER

D789. U nder w hat circum stances m ay a ro-ro
fe rry approach o r d raw a w a y fro m its berth
with its bow visor o r w eathertight ram p open?
D790. D oes the requirem ent in the last
question a pply to all doors in a ro-ro ship?
Freeboard Sheets and Additional Freeboard Sheets
D791. What are F reeboard Sheets?
D792. What are A dditional F reeboard Sheets
(AFS)?
D793. What sp e c ia l docum entation is requ ired
in a ro-ro fe r r y concerning sailin g drafts an d
j stability?
j D794. What is the legal status o f an A ddition al
t F reeboard Sheet?
Firearm Certificate
j D795. What types o f firearm are gen erally
bann edfrom sh ips under U K legislation?
] D796. D espite the U K 's handgun ban, can a
handgun continue be c a rried on a U K ship?
1 D797. Can a U K ship still have guns other
than handguns on b o a rd as p a rt o f the s h ip ’s
equipment?
j D798. Who issues Firearm Certificates to
; -hips in the UK?
j D799. Is a Firearm Certificate issu ed to the
ship?
HIGH-SPEED CRAFT (HSC) CERTIFICATION
D800. Which vessels are design ated a s high-
speed craft?
j D801. Where can the rules an d regulations f o r
construction, m aintenance a n d operation o f
r y?h-speed craft be found?
D802. Which craft do the H SC C odes apply
n older craft.
2*803. What rules do es the MCA a pply when
certificating h igh -speed craft on U K dom estic
_ voyages?
380 4 . Which sp e c ia l H SC docum ents are
i required to be c a rrie d b y craft to which the
J riSC C ode applies?
D805. Which sp e c ia l H SC docum ents are
1 required to be c a rrie d b y high -speed craft on
!1 Kdom estic-only voyages?
'- E SHIPMASTER’S BUSINESS SELF-EXAMINER
93
or discharge cargo or vehicles. It must list separately for each port where the
ship w ill load or discharge cargo or vehicles: (1) the loading berths at which
the ship can com ply with the requirement to close and lock loading doors
before leaving the berth; and (2) the loading berths at which the ship m ay leave
or approach the berth with a b ow visor or weathertight ramp partially open. A
copy o f the Berth List must be sent to the M CA. A ro-ro passenger ship may
not, except in an em ergency, load or discharge cargo or vehicles through a
loading door at any berth not listed on her Berth List.
Generally, The M S (P assenger Ship Construction: Ships o f C lasses I, II a n d
11(A)) R egulations 1998 require passenger and cargo loading doors in a ro-ro
passenger ship to be closed and locked before the ship leaves its berth and until
it arrives at its next berth. H owever, where a bow visor or weathertight ramp
cannot be opened or closed w hile the ship is at its berth, it m ay be left open
w hile the ship approaches or draws away from its berth, but only so far as is
necessary to enable the door to be then opened or closed, and subject to the
limitation that in no case may such a door be left open when the ship is more
than one ship’s length from the cargo loading or discharging position o f its
berth.
N o. It does not apply to small doors for pilot access, fuelling or other
operational matters and not intended to be used b y passengers or for loading
cargo.
A series o f special pages in the O fficial Log B ook (O LB) o f a UK ship for
recording details o f draughts, freeboards and allow ances when departing to sea
from any port or place.
Loose freeboard sheets, available from the M CA, for use w hen the pages in the
OLB have been filled.
A special Additional Freeboard Sheet, A FS/RO /89. Since certain extra stability
details are required to be recorded w hen a ro-ro ferry departs, the sheets printed
in the OLB cannot be used.
It forms an Annex to the O fficial L og Book, and is therefore subject to the
same rules for making, signing, amendment, etc.
All handguns which are part o f ship’s equipment, other than signalling
apparatus. (In other w ords, a Schermuly rocket pistol is not banned.) Large
calibre handguns have been banned since 1 July 1997 and small calibre
handguns have been banned since 1 February 1998.
Yes. Where a handgun is required solely for the humane killing o f animals it
may continue to be held under the terms o f a Firearm Certificate which bears
conditions restricting its use to the humane killing o f animals. (Ro-ro fem es
often carry such a firearm, together with a small amount o f ammunition.)
Yes. Non-prohibited firearms, e.g. rifles and shotguns, can be carried with an
exem ption from the requirement for a Firearm Certificate.
The police.
N o, it is issued to a specified licence holder in the crew, e.g. the master.
Hovercraft, Seacats, H SS, etc. The 199*; and 2000 HSC C odes define “high­
speed craft” using a formula based partly on displacement.
In the relevant HSC Code (1994 or 2000).
They both apply to high-speed craft on international voyages The 2000 HSC
Code applies to craft built on or after 1 July 2002. 'rhe 1994 Code applies to
These craft m ay not need to com ply fully with the relevant H SC Code. The
MCA w ill determine the extent to which the HSC Code should be applied on a
craft-by-craft basis.
(1) A H igh-Speed Craft Safety Certificate (HSCSC); and (2) a Permit to
Operate H igh-Speed Craft (POHSC).
(1) A U K H igh-Speed Craft Safety Certificate; and (2) a Permit to Operate
High-Speed Craft.
94
D 806. What “conventional" sh ip certificates
sh o u ld b e fo u n d on a U K-flag h igh -speed craft?
D 807. In w hat w ay is the lo a d line o f a high­
sp e e d craft different fro m that o f a conventional
sh ip?
DSOS. What is the significance o f the letter
“H " on the lo a d line o f a high -speed craft?
D809. What m anuals a n d schedules m ust a
high -speed craft carry?
D810. In what fo rm s m ay the M aintena nce
M anual a n d Sei~vicing Schedule be?
D 8 I I. In accordan ce w ith w h at docum ent
m ust a H SC b e operated?
Hfgh-Spfmt Craft Safety Certificate (H SCSC)
D 812. What d oes a H igh S p e e d C raft Safety
C ertificate certify?
D 8 1 3. What a re the o th er contents o f a High
S p e e d Craft Safety Certificate?
D 8 1 4. Which docum ent sh ou ld supplem ent a
H igh S p e e d Craft Safety Certificate?
D 8I5. What is liste d on the R e co rd o f
Equipm ent f o r a high -speed craft?
D 8 I6 . What a re the various C ategories on the
High S p e e d Craft Safety C ertificate?
D 8 1 7. What a re the various C raft Types on the
H igh S p e e d C raft Safety C ertificate?
D 818. F or w hich G M DSS sea a reas w ou ld a
high sp e e d craft operatin g a cross the Irish Sea
p ro b a b ly be certified?
Permit to Operate High-Speed Craft(POHSC)
D 8 1 9. What are the contents o f a P erm it to
O perate a H igh-Speed Craft?
D 820. Wha t is the maximum p e r io d o f validity
o f a P erm it to O perate?
D 821. When m ust a new P erm it to O perate be
a p p lie d fo r?
D 822. What su bjects w ould the Conditions
a ttach ed to a P erm it to O perate cover?
CERTIFICATION OF SPECIAL PURPOSE SHIPS
D 823. Which IM O instrument governs the
construction, equipm ent a n d operation o f
sp e c ia l p u rp o se ships?
D 824. Which types o f ships a re special
pu rp o se ships?
Certificate o f British Registry, Safe M anning Docum ent, Safety Radio
Certificate, International Load Line Certificate, International Tonnage
Certificate, International Oil Pollution Prevention Certificate, ISM Safety
M anagement Certificate and D ocum ent o f Com pliance, Certificate o f Class.
On the left side o f the load line “stem” there is a letter “H” level with the load
line through the ring, and at the level o f the design waterline. This m ay be the
only assigned load line, but there may also be an “F” line for fresh water.
It marks the position o f the design waterline, as required by regulation 2.9 o f
the HSC Code (Marking and recording o f the design waterline). The forward
and after draughts corresponding to this waterline are shown in the H igh-Speed
Craft Safety Certificate.
(1) A Craft Operating Manual; (2) a Route Operational Manual; (3 ) a Training
Manual; (4) a M aintenance Manual; and (5) a Servicing Schedule. These are
prescribed by the HSC Code.
Paper or computerised. (The Stena H SSs have a computerised M ASS system
Maintenance: and Servicing Schedule system .)
An approved Operating Manual.
(1) That the craft has been duly surveyed in accordance with the HSC Code.
(2) That the survey showed that the structure, equipment, fittings, radio station
arrangements and materials o f the craft and the condition thereof are in all
respects satisfactory and the craft com plies with the relevant provisions o f the
Code. (3) That life-saving appliances are provided for the total number o f
persons stated and no more. (4) That, in accordance with 1.11 o f the Code, the
listed equivalents have been granted in respect o f the craft.
Certificate number. Place and date o f issue. Expiry date. Endorsements for
periodical surveys as required by 1.5.1 o f the H SC Code. Other endorsements
permitted by the Code.
A Record o f Equipment,
■ ■
Particulars o f craft, including name, manufacturer’s model and hull number,
distinctive numbers or letters, port o f registry, Gross Tonnage, draughts at
design waterline, Category, Craft Type and Sea Areas in which the craft is
designed to operate; Details o f LSA; Details o f radio facilities; M ethods used
to ensure availability o f radio facilities.
Category A Passenger craft; Category B Passenger craft; Cargo craft.
Air-cushion vehicle; surface effect ship; hydrofoil; monohull; multihull; other.
Areas A1 and A2
Nam e o f operators; name o f craft; Official Number; Call Sign; IMO number;
Gross Tonnage; Port o f Registry. Permit, with attached Conditions, including
maximum number o f passengers permitted, with related manning scale o f total
crew (including cabin crew, etc.). List o f operational crew. Place and date o f
issue. Signature o f issuing authority.
12 months.
When the craft is to be used on routes other than those specified in the Permit
Operating limits; number o f persons; crew complement; operational
requirements; records to be maintained.
1
The Code o f Safety for Special Purpose Ships (known as the Special Purpose
Ships Code or SPS Code), adopted by resolution A .534(13) as amended by
MSC circulars 446, 478 and 739 and resolution MSC. 183(79).
Ships o f 500 GT or more o f the follow ing types: (1) research, expeditions or
surveying; (2) training o f marine personnel; (3) whale and fish factory, not
engaged in catching; (4) ships processing other living resources o f the sea, not j
engaged in catching; (5) ships with design features and modes similar to the
above, at the Adm inistration’s discretion, i f carrying more than 12 special
personnel. Examples are British Antarctic Survey ships, cable ships, pipe-
laying vessels and diving support ships.
THE SHIPMASTER’S BUSINESS SE^F-EXAMIN:

D825. In relation to Special P urpose Ships,
who are sp e c ia l person nel?
1 D826. What sp e c ia l certificate sh ou ld be
1 fo u n d on a S pecial P urpose Ship?
j 0 8 2 7 . What does the Special P urpose Ship
I Safety C ertificate cover?
1 082 8 . In addition to a Special P urpose Ship
Safety Certificate, what sh ip certificates m ust a
Special P urpose Ship c a n y ?
ADDITIONAL SAFETY MEASURES FOR BULK CARRIERS
1 D829. The MS (A dditional Safety M easures
j fo r Bulk C arriers) R egulations im plem ent
SOLA S C hapter XII. What ships do these
\ regulations a p p ly to, a n d w hat a re the main
1 additional safety m easures?
I D830. What do The MS (Additional Safety
Measures f o r Bulk C arriers) Regulations
require in respect o f new bulk carriers (built
after July 1999)?
j D 83I. What do The M S (Additional Safety
Measures fo r Bulk C arriers) Regulations
require in respect o f existing bulk carriers?
| D832. What sp e c ia l sur\>ey arrangem ents are
m fo rc e f o r bulk carriers?
J 0 833. H ow is com pliance with The MS
•A dditional Safety M easures f o r Bulk C arriers)
| Regulations requ ired to be indicated f o r a bulk
carrier?
I D834. What m ark is to b e p a in ted on som e
i ' ilk carriers, a n d w hat is its significance?
| D835. Why do som e bulk carriers not need to
1 be marked, a n d w here can yo u f in d out which
J ships require to be m arked?
I 0836. In w hat circum stances is a triangle
1 mark not re q u ired on a bulk carrier?
1 - 837. What docum ent is requ ired to be
: roduced b y the sh ipper in certain cases before
1 wading a bulk carrier?
1 1*38. What m easure is requ ired by The MS
4 Jditional Safety M easures f o r Bulk C arriers)
j Regulations to preven t a sh ipper fro m m aking a
i t iiise declaration o f the cargo density?
' HE SHIPMASTER’S BUSINESS SELF-EXAMINER
95
All persons who are not passeijgers or members o f the crew or children o f
under one year o f age and w ho are carried on board in connection with the
special purpose o f that ship or because o f special work being carried out aboard
that ship.
A Special Purpose Ship Safety Certificate
More or less the same items as a Passenger Ship Safety Certificate, with the
exception o f subdivision load lines (which a special purpose ship does not
have), and substituting “provisions o f the Code” for “provisions o f SO LA S”.
(The Special Puipose Ships Code, not SOLAS, contains the requirements for
construction, LSA and FFE, etc. o f special purpose ships.)
Where a special purpose ship is normally engaged on international voyages as
defined in SO LAS 74 it should also c a n y SO LAS Safety Certificates, either (a)
for a passenger ship with a SO LAS Exemption Certificate; or (b) for a cargo
ship with a SO LAS Exem ption Certificate, where necessary, as the
Administration deem s necessary.
They apply to conventional, single side-skin U K bulk carriers o f 150m in
length and upwards, carrying high density dry bulk cargoes. They introduce J
standards for damage stability and flotation, structure o f bulkheads and double
bottoms, overall longitudinal strength in the flooded state, hold loading, cargo
density declarations, and provision o f a loading instrument. They also define
how com pliance with the requirements should be documented.
For n ew ships carrying high density cargoes o f over 1000 kg/m 3, checking o f
the structure and stability o f the vessel with any hold flooded in all load
conditions.
There is a long phase-in period for existing vessels, whereby those over 15
years o f age are checked and m odified i f required first, and the youngest
vessels have until they are 17 years old to com ply. The requirements apply to
existing ships carrying cargoes with a density o f 1780 kg/m 5 or over.
The IMO Enhanced Survey Programme is mandatory under SOLAS regulation
X I-1/2 for bulk carriers and oil tankers. The MS (A dditional Safety M easures
f o r Bulk C arriers) Regulations enforce the Enhanced Survey Programme
requirements in the UK. Bulk carriers are prohibited by SO LAS Chapter XII
from carrying dense cargoes unless they have been sun/eyed in accordance
with IMO G uidelines. (S ee also questions on Enhanced Surveys in this
Section.)
The Cargo Loading Manual should be endorsed by the Certifying Authority to
indicate which o f the relevant SO LAS regulations (which are listed in M GN
144) are com plied with. The ISM Safety M anagem ent Certificate and the
Cargo Ship Safety Construction, Safety Equipment and Safety Certificates may
also be amended to indicate compliance
SO LAS Regulation XII/8.3 requires a triangle, o f side 500 mm in length,
painted in a contrasting colour with its apex 300 m m b elow the deck line, to be
marked on the siide shell o f the ship when com pliance with regulation XII/6.2
involves im position o f loading/operating restrictions as described in regulation
XII/6.3.
A strict implementation o f SO LAS Regulation XII/8.3 would result in every
bulk carrier built before 1 July 1999 being marked, but as this was not the
intention o f the regulation, IMO has published interpretations to be follow ed
when determining i f triangle marks are required. These are printed in Annex 2
o f M GN 144
When the loading booklet restricts the ship to carrying solid bulk cargoes with
a density o f less than 1,780 kg/m3 (provided that all reference to carriage o f
solid bulk cargoes with a density o f 1,730 kg/m3 or more are removed from the
loading booklet)' The loading booklet must clearly specify that the ship is
prohibited from canying solid bulk cargoes with a density o f 1,780 kg/m 3 or
m ore'
A declaration o f the density o f the cargo to be loaded, in addition to the other
information required by The M S (C arriage o f C argoes) Regulations. (See
LOADING a n d DISCH ARGING CARG O in Section I.) This is so as to verify
com pliance with the 1780 kg/m3 limit for existing ships.
For a bulk carrier o f 150m in length or snore o f single side skin construction
built before July 1999, any cargo carried on or after the implementation date
specified in SO LAS Regulation XII/3 and declared to have a density o f
between 1250 aad 1780 kg/m 3 must have its density verified by an accredited
testing organisation, unless the ship com plies with all the relevant requirements
96
D 8 3 9. What additional safety m easures apply
fro m 1 July 2 004 to a ll bulk carriers?
OFFICIAL LOG BOOK (OLB)
D 840. Is an O fficial L og Book an IM O o r ILO
requirem ent?
D 84I. Which regulations require an Official
L o g Book to be kept?
D 842. Which U K ships do not require cm
O fficial L og Book?
D 843. Where can O fficial L og Books be
obtained?
D 844. What a re the various sections o f the
O fficial L og Book fo r?
D 845. What entries sh ou ld be m ade in the
O fficial L og B ook when there is a change o f
m aster?
D 846. What entries sh ou ld be m ade in the
O fficial L og Book on taking o v er com m and o f a
new U K ship?
D 8 4 7. What entries a re req u ired under The
M S (O fficial L og Books) Regidations in cm
O fficial L og Book?
D 848, Which O fficial L og Book entries must
b e m ade b y the m aster in person ?
D 849. When, in general, sh ould an entry be
m ade in the Official L og B ook o f a U K ship?
D 850. H ow sh ould an incorrect e n try m ade in
the O fficial L og Book (e.g. the w ron g seam an's
nam e) be corrected?
applicable to the carriage o f solid bulk cargoes with a density o f 1780 kg/m
and over.
SO LAS regulation X II/12 (H old, ballast and dry space water level detectors)
requires the fitting o f high level alarms and level monitoring system s on all
bulk carriers, regardless o f construction date, in order to detect water ingress.
SO LAS regulation XII/13 (Availability o f pumping system s) requires the
means for draining and pumping dry space bilges and ballast tanks any part o f
which is located forward o f the collision bulkhead, capable o f being brought
into operation from a readily accessible enclosed space.
N o. It is a U K statutory requirement.
The M S (O fficial L og Books) Regulations 1981 (SI 1981/569), as amended.
(1) Ships belonging to general lighthouse authorities; (2) ships under 25 GT;
and (3) pleasure yachts.
Free o f charge from any M CA Marine O ffice in the UK , or from Proper
O fficers abroad. (H owever, som e consular officers do not stock O LBs.)
The front cover is for recording details o f the identity o f the ship, its owner or
manager, and its master(s). The first pages inside the front cover are a record o f
seam en em ployed in the ship (i.e. crew, concessionaires and supernumeraries).
Then there are special pages for: births and deaths; musters, boat drills and fire
drills, training o f crew and inspections o f LSA and fire appliances; test drills
and inspections o f steering gear; tests and inspections o f pilot hoists;
inspections o f crew accommodation; inspections o f food and water; positions
o f deck line and load lines; dates o f departure and arrival, with draughts and
freeboards; and finally, narrative pages for m iscellaneous unspecified entries.
(1) The off-going master should make an entry in the narrative section to the
effect that he has delivered to the new master all documents relating to the ship
and the crew (Entry N o. 4). Both the off-going and new masters should sign
this entry. (2) The new master should add his name and certificate number to
the list on the front cover (Entry N o. 3).
(1) On the front cover, the name o f the ship, its port o f choice, Official Number
and gross and net tonnages (Entry N o. 1). (2) A lso on the front cover, the name
and address o f the registered owner or manager (Entry N o. 2). (3) A lso on the
front cover, the master’s name and certificate number (Entry N o. 3). (4) A lso
on the front cover, the date and place o f opening the OLB (Entry N o. 5). (5) On
the special page for them, the positions o f the deck line and load lines assigned.
(6) In the narrative section, an entry w itnessed by an officer to the effect that
the master had assumed command under the authority o f the owners or
managers. (This entry is not a statutory requirement, but sim ply good practice.)
1: Ship’s name; 2: Owner’s name and address; 3: Master’s name and certificate
number; 4: Docum ents handed over by master; 5: Opening o f OLB
(date/place); 6: Closing o f OLB (date/place); 7: Departures and arrivals; 8:
Sailing short-handed (deck officer); 9: Sailing short-handed (engineer officer);
10: Musters, drills and training held; 11: Musters, drills and training not held;
12: Accident!!; 13; Distress incidents; 14: Reasons for not going to assistance;
15: W ages disputes; 16. Discharges o f crew; 17: none; 18: Crew left behind;
19: none; 20: Property o f crew left behind; 21: Accom m odation inspections;
22: Inspections o f provisions and water; 23: none; 24: Pilot hoist tests and
inspections; 25: Steering gear drills, checks and tests; 26: Complaints about
food and water; 27: none, 28: O fficer’s misconduct; 29: Re-ratings o f crew
(including promotions); 30: Code o f Conduct breaches; 31: Convictions o f
crew; 32: Prosecution o f crew advised; 33: none; 34: Births; 35: Deaths; 36:
D eceased seam an’s property; 37: Death inquiries held; 38: Illnesses and
injuries; 39 to 42: none; 43: Load line and draught details; 44: Departure
draughts and freeboards (non-passenger ships); 45: Watertight doors (hulls);
46: Watertight doors (bulkheads); 47: Draughts, trim and vertical distances.
Entry numbers 4: Docum ents handed over by master; 7: Departures and
arrivals; 14: Reasons for not going to assistance; 18: Crew left behind; 28:
O fficer’s misconduct; 32: Prosecution o f crew advised; 34: Births; 35: Deaths,
and 36: Dece;ised seam an’s property.
A s soon as practicable after the occurrence to which it relates.
With a further entry. To amend or cancel an incorrect entry, the incorrect entrv
should be left as made arid another entry should be made below it with a
reference to the mistake, e.g. "In the line above, f o r “Smith ” re a d “Jones
THE SHIPMASTER’S BUSINESS SELF-EXAMINED

D 851. U nder U K law, who m ust the O fficial
L og B ook be shown to on dem and?
D 852. What inform ation in an O fficial L og
Book m ay he o f interest to a Custom s officer on
departure fro m a U K port?
D 853. H ow sh ould an O fficial L og Book be
d isp o se d o f
D 854. A long OLB n arrative entry>is requ ired
to b e m ade (e.g. a report o f a d istress incident
a n d SAR operation). H ow can it be m ade i f
there is insufficient sp a ce in the OLB narrative
pa ges?
D855. Which docum ents are o r m ight be
reg a rd e d as annexes to the O fficial L og Book?
D856. Why is it so im portant to com plete the
Official Log Book in the correct manner?
\ D857. What supplem entary O fficial L og Book
is requ ired on a p a ssen g er ship, a n d w hat does
it contain?
D 858. When m ight a m aster have to take his
| s h ip ’s O fficial L og B ook h ave ashore?
GMDSS RADIO LOG
1 D859. Which U K ships m ust keep a G M DSS
\ R adio L og Book, a n d under w hich regulations?
I D860. Which M N otice contains d etails o f the
statutory requirem ents?
I D861. Must the MCA fo rm o f GM DSS R adio
I L og be kept in a U K ship?
1 D862. What d aily tests o f radio equipm ent
must be m ade in a U K ship a n d re c o rd ed in the
GM DSS R adio Log?
| D863. What w eekly tests o f radio equipm ent
must be m ade in a U K sh ip an d re c o rd ed in the
GM DSS R adio L og?
! D864. What m onthly tests a n d checks o f radio
equipm ent m ust be m ade in a U K sh ip an d
recorded in the GM DSS R adio Log?
f D865. What details m ust be re c o rd ed in the
• GM DSS R adio Log?
| D866. What m ust the m aster sign in the
GM DSS R adio Log?
j D867. H ow sh ou ld a GM DSS R adio Log be
i d isposed of?
'H E SHIPMASTER’S BUSINESS SELF-EXAMINER
97
To the RSS; an M CA Superintendent; a Proper Officer; an M CA Surveyor; or
a Customs officer. (In practice the OLB should also be shown to any foreign
State or port official w ho demands to se« it.)
Load line, freeboard and draught information. U K Customs officers have
authority to cftebfiXoad Line certificates before granting clearance, and may
check to determine whether a ship is overloaded or not.
It should be returned to an M CA Superintendent in the UK , or to a Proper
Officer abroad, within 48 hours o f closin g the crew agreement. On ships
without a crew agreement (i.e. ships ow ned by general lighthouse authorities,
ships o f less than 80 NT on coastal voyages, pleasure yachts on coastal
voyages, or on other voyages i f no more than 4 crew are paid, and ships on
coastal trials voyages) it should be returned 6 months after m aking the first
entiy in the OLB.
The report should be made on a separate document (an annex) giving it a
reference number, e.g. “Annex N o. 1”. This should then be attached to the
OLB, e.g. by stapling it inside the back cover. An entry should then be made in
the narrative section o f the OLB referring to the existence o f the A nnex, e.g.
“For report o f distress and SA R incident dated , see Annex N o. 1
attached”.
A ccident reports in the Safety O fficer’s accident log (Entry N o. 12); reports o f
illnesses and injuries in the ship’s medical log (Entry N o. 38); other annexed
reports o f incidents, e.g. piracy, stow aways found, deaths; Additional
Freeboard Sheets (AFS); reports o f disciplinary hearings under the M N Code
o f Conduct (Entry N o. 30); distress incidents logged in the Radio,Log (Entry
N o. 13); additional sheets for any entries required to be made in special pages
(e.g. musters) once the OLB pages have been filled.
Because it is a public record and m ay be referred to in investigations by the
M CA or lawyers, relatives o f deceased seamen, etc It is also adm issible in
evidence in U K court procedures under section 287 o f the M erchant Shipping
A ct 1995.
Log 2/82 - O fficial L og B ook (Part II). This contains records o f practice drills,
inspections, and times o f opening and closing o f watertight doors.
When visiting an M C A Marine O ffice or a Proper O fficer for som e reason, e.g.
in connection with the detention o f the ship, or w hen noting protest.
All sea-going U K ships other than cargo ships o f less than 300 GT, under Part
TI o f The MS (Radio Installations) R egulations 1998 (SI 1998/2070).
M GN 395.
N o. H owever, the M CA G M D SS Radio L og lists on its front the daily, w eek ly
and m onthly testis o f radio equipment which have to be recorded.
Tests of: (1) D SC facilities; (2) batteries for radio installations, and (3)
printer(s) (check for adequate paper supply).
Tests of: (1) D SC facilities (test call with coast station); and (2) reserve source
o f energy, i f not provided by a battery (e.g. motor generator).
(1) Each EPIRB and satellite EPIRB; (2) each SART; (3) batteries for radio
installations (including connections and compartment) (4) aerials and
insulators; and (5) each survival craft tw o-w ay VHF equipment (on a
frequency other than VHF Channel 16).
The follow ing, as they occur: (a) a summary o f com m unications relating to
distress, urgency and safety traffic and the time such com munications
occurred; (b) a record o f important incidents connected with the radio service
and the time such incidents occurred; and (c) where appropriate, the position o f
the ship at least once a day and the tim e at w hich the ship w as in that position.
Each day’s entries.
Whenever the crew agreement is closed, the original Radio L og sheets should
be sent with the crew agreement docum ents and O fficial L og Book to the
nearest M CA Marine O ffice superintendent in the U K or a Proper Officer
abroad, within 3 days o f the last person em ployed on the crew agreement
signing off, or as soon as possible thereafter
. .. . . . _________________________ ____________________________ . ____________
98
RECORDS OF NAVIGATIONAL ACTIVITIES
D 868. What are the statu tory requirem ents
relatin g to records o f navigational activities?
D 869. Where can guidan ce on keeping
record s o f n avigational a ctivities on a U K ship
be foun d?
D 870. What events a n d items sh o u ld be
reco rd ed in the records o f n avigational
a ctivities before com m encing the voyage?
D 871. What events a n d item s sh ou ld be
re c o rd ed in the records o f navigational
a ctivities durin g the voyage?
D 872. What events a n d item s sh ou ld be
re c o rd ed in the records o f navigational
a ctivities on s p e c ia l events?
D 873. What events a n d item s sh ou ld b e
reco rd ed in the records o f navigational
a ctivities when a ship is a t anchor o r in a po rt?
D 874. F ollow ing a collision, w hat evidence
w ou ld be requ ired f o r the investigation, a n d f o r
leg a l proceedin gs?
CARGO RECORDS
D 875. Which ships m ust keep c argo records?
D 876. What w ou ld be the effect (in carriage o f
g o o d s law) o f failin g to m aintain p r o p e r cargo
records, e.g. o f ventilation o r tem peratures?
REGISTER OF LIFTING APPLIANCES AND CARGO-HANDLING GEAR
D 877. Which international convention
requires a R egister o f Lifting A pplian ces to be
m aintained?
D 878. Which U K regulations require a ship to
keep a R egister o f Lifting A ppliances?
D 879. Which docum ents fo rm the R egister o f
Lifting A pplian ces a n d C argo J ia n d lin g G ear?
D 880. Where can specim en s o f the docum ents
in the last a n sw er be found?
D 8 8 I. Who can dem an d to se e a U K sh ip's
R egister o f Lifting A ppliances?
D 882. What is anoth er nam e som etim es u sed
fo r a R egister o f Lifting A ppliances?
MISCELLANEOUS STATUTORY DOCUMENTS
Ship Radio Licence (SRL)
D 883. What docum ent m ust be issu ed before a
U K sh ip m ay establish, install a n d use radio
transm itting a n d receivin g equipment?
D 884. A Ship R adio Licence D isc u sed to have
to b e d isp la ye d on the w heelhouse w indow s o f
U K ships. Is this still required?
The M S (Safety o f N avigation) Regulations 2002 require com pliance with
SOLAS regulation V /28, which provides that ships on international voyages
must keep, for not less than 12 months, a “record o f navigational activities and
incidents o f importance to safety o f navigation”. The record must contain
sufficient detail to restore a com plete record o f the voyage. If not kept in the
ship’s log book, it must be in another form approved by the flag State
Administration.
In the Guidance N otes in the M C A ’s 2002 SO LAS V publication.
D etails o f all data relating to the general condition o f the ship, e.g. manning
and provisioning, cargo aboard, draught, result o f stability/stress checks when
conducted, inspections o f controls, steering gear and navigational and radio­
communication equipment.
Details related to the voyage, e.g. courses steered and distances sailed, position
fixings, weather and sea conditions, changes to the voyage plan, details o f
pilots’ embarkation/disembarkation, entry into areas covered by, and
com pliance with, routeing schem es or reporting systems.
Details on special events, e.g. death and injuries among crew and passengers,
m alfunctions o f shipboard equipment and aids to navigation, potentially
hazardous situations, emergencies and distress m essages received.
Details on operational or administrative matters and details related to the safety
and security o f the ship.
W itness statements; radar plots; charts in use; chart correction records;
navigational publications in use (and records o f their correction); copies o f logs
o f com munications with other stations (including shore stations); voyage data
recorder, i f fitted; records o f weather, tide, current, visibility, etc. A ny video or
still film, or even sketches, would also probably be useful.
See also Evidence of cargo care in Section H
All cargo-carrying ships should maintain records o f cargoes carried, recording,
for exam ple, ventilation methods used, temperature control, damage noted, etc.
Under the Hague or H ague-Visby Rules, possible loss o f defences to cargo
claims. The rules require the carrier to show evidence (e.g. b y means o f cargo
temperature or ventilation records^ that he has “Droperlv and carefullv......”
cared for the cargo.
ILO Convention 152 concerning Occupational Safety and Health in D ock
Work. Article 25 o f the Convention contains the requirements for certificates
and a register.
The M S a n d F V (Lifting O perations a n d L ifting Equipm ent) Regulations 2006
(“LOLER”). (F or questions on LOLER, se e Section E.)
An outer cover, and certificates of: (1) Test and Thorough Examination o f
Lifting Appliances; (2 ) Test and Thorough Examination o f Derricks U sed in
Union Purchase; (3) Test and Thorough Examination o f L oose Gear; and (4)
Test and Thorough Examination o f W ire Rope.
In an appendix to the Code o f Safe Working Practices for Merchant Seamen.
M CA Surveyors, Port State Control inspectors and (in the UK , under The
D ocks R egulations) em ployers o f shore labour. In practice, it should be shown
to any State or harbour official w ho demands to see it in any port, and also to
stevedoring or union bosses, since failure to do so could result in the ship not
being allow ed to work cargo using its own lifting appliances.
The Chain Register. This derives from a tim e when ships were com m only
equipped with chains in their rigging, before wire ropes became commonplace.
A Ship Radio Licence (SRL) issued by O fcom (the O ffice o f Communications)
under the W ireless Telegraphy A ct 2006.
No. O fcom dispensed with this irequirement w hen a new, sim plified, lifetime
licensing system com m enced on 1 Decem ber 2006. Although the licence disc
is no longer issued, the Ship Radio L icence document, the relevant Maritime
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D885. What is the p e r io d o f validity o f a Ship
Radio Licence issu ed to a U K ship under
O fcom 's “lifetim e licensing" system ?
■Anchors and chain cables certificates
D886. What docum entation concerning
anchors a n d cables sh o u ld be can-ied on
board?
D887. Who is usually the testing authority f o r
j anchors a n d cables?
LSA training manual
D888. Which sh ips must c a n y an LSA training
manual, a n d w here m ust it be kept?
D889. What a re the basic requirem ents a s to
contents o f an LSA training manual, a n d -where
can details be fou n d?
D890. What a re the requirem ents f o r LSA
training m anuals on a ship o f less than 500
i GT?
Fire training m anual fire control plans and fire wallet
D891. What are the U K statutory
requirem ents concerning provision o f fire
| training m anuals on b o a rd ship?
\ D892. What are the U K statu toiy
| requirem ents relating to fir e control plan s?
D893. What are the U K sta tu to iy
. requirem ents relating to provision o f a fir e
w allet on b o a rd ship?
Oil Record Books
j D894. Which U K ships m ust c a rry an O il
R ecord Book?
i D895. What fo rm s o f O il R ecord B ook are
required to b e c a rried b y U K ships?
j D896. Which U K sh ips m ust have an O il
; R ecord Book (P art I) M achineiy Space
O perations?
| D897. Which U K ships must have an O il
Record Book (P art 2) C argo/B allast
| O perations (O il Tankers)?
f D898. What operation s m ust b e re c o rd ed in
} ’.he O il R ecord B ook (P art I) M achineiy Space
O perations (All Ships)? (L ettered item s only
required.)
~HE SHIPMASTER’S BUSINESS SELF-EXAMINER
99
Radio Operator’s Certificate o f Com petence and valid Authority to operate
must be kept with or near to the licensed radio equipment where it is physically
practicable to do so.
A Ship Radio Licence remains valid for as long as the licence details remain
correct or until such time as the licence is either revoked by O fcom or
surrendered by the licensee. There is no end date on the licence but O fcom w ill
revoke the licence unless it is either amended or validated at least once every
10 years.
See also Anchors and Cables above
A certificate for each anchor, chain cable and chain cable accessory provided
on board, issued by the testing authority after manufacture.
The sh ip’s classification society. Class surveyors attend anchor and chain cable
manufacturers’ prem ises and w itness tests.
^ :\ f ' ■ ■ ' '■
Every ship. It must be in each crew messroom and recreation room or in each
crew cabin.
The manual must contain instructions and information on the LSA provided in
the ship, information on the best methods o f survival, and instructions for on ­
board maintenance o f the LSA. The material in the manual must be in easily
understood terms and be illustrated where appropriate. D etails are in Part I o f
Schedule 14 to M SN 1676.
At least one training manual must be provided appropriate to the life-saving
appliances carried and to the type and size o f ship.
Under SO LAS regulation II-2/15, which is implemented in the UK by The MS
(Fire P rotection) R egulations, a fire training manual must be provided in each
crew m ess room and recreation room, or in each crew cabin.
SO LAS regulation H-2/15 requires general arrangement plans to be
permanently exhibited for the guidance o f the ship’s officers, show ing clearly
for each deck the control stations, the vs nou s fire sections enclosed by “A ”
class divisions, the sections enclosed by “B ” class divisions together with
particulars o f the fire detection and fire alarm system s, the sprinkler
installation, the fire-extinguishing appliances, means o f access to different
compartments, decks, etc., and the ventilating system , including particulars o f
the fan control positions, the position o f tempers and identification numbers o f
the ventilating fans serving each section The flag State Administration (i.e. the
M CA) may alternatively allow this information to be available in a booklet
supplied to each officer.
SOLAS regulation 11-2/15 requires a duplicate set o f fire control plans or a
booklet containing such plans to be permanently stored in a prominently-
marked weathertight enclosure outside the deckhouse for the assistance o f
shore-side fire-fighting personnel.
Every oil tanker o f 150 GT or more, and every other ship o f 4 0 0 GT or more.
(“Oil tanker” includes a combination carrier and a chem ical tanker carrying a
cargo or part cargo o f oil in bulk.)
(1) Oil Record B ook (Part 1) Machinery Space Operations (A ll Ships); and (2)
Oil Record B ook (Part 2) Cargo/Ballast Operations (Oil Tankers).
(1) Every tanker o f 150 GT or more; and (2) every non-tanker o f 400 GT or
more.
Every oil tanker o f 150 GT or more.
(A ) Ballasting or cleaning o f oil fuel tanks; (B ) Discharge o f dirty ballast or
cleaning water from oil fuel tanks referred to under section (A); (C) Collection,
transfer and disposal o f oil residues (sludge); (D ) Non-autom atic starting o f
discharge overboard* transfer or disposa* otherwise o f bilge water which has
accumulated in machinery spaces; (E) Automatic starting o f discharge
overboard, transfer or disposal otherwise o f bilge water w hich has accumulated
in m achineiy spaces; (F) Condition o f the oil filtering equipment; (G)
Accidental or other exceptional discharges o f oil; (H ) Bunkering o f fuel or bulk
lubricating oil; and (I) Additional operational procedures and general remarks.
100
D 899. What operation s m ust b e re c o rd ed in
the O il R eco rd Book (P art 2 ) C argo/B allast
O perations (O il Tankers)? (L ettered itetns only
required.)
D 900. What a re "tankers en gaged in specific
trades ” a s referred to in the O il R ecord Book
(P art 2)?
D 901. H ow sh ou ld an e n tiy concerning an y o f
the operation s to b e recorded, a s above, be
m ade in the O il R ecord Book?
D 902. When sh ou ld the entries be m ade an O il
R ecord Book?
D 903. Who sh ou ld sign the entries in an O il
R ecord Book?
D 904. What m ust the m aster sign in an O il
R e co rd Book?
D 905. Where m ust an O il R ecord Book be kept
on board?
D 906. F or h ow long m ust each com pleted O il
R ecord Book be p reserved?
D 907. U nder U K law, who m ay inspect a
s h ip ’s O il R ecord Book(s)?
D 908. M ay a person auth orised to inspect an
O il R ecord Book in the U K take copies o f
entries?
D 909. Can copies o f en tries in an O il R ecord
Book be u sed in court in the UK?
■C & rtjo R e c o r d B o o h
D 910. Which sh ips m ust m aintain a Cargo
R e co rd Book?
D 911. In w hat fo rm m ust a C argo R ecord
B ook be?
D 9I2. What operation s m ust be re c o rd ed in a
C argo R ecord B ook (lettered items only
required)?
D 9 I3 . Who sh ou ld sign the entries in a C argo
R eco rd Book?
(A ) Loading o f oil cargo; (B ) Internal transfer o f oil cargo during voyage; (C)
Unloading o f oil cargo; (D ) Crude Oil W ashing (COW tankers only); (E)
Ballasting o f cargo tanks; (F) Ballasting o f dedicated clean ballast tanks (CBT
tankers only); (G ) Cleaning o f cargo tanks; (H ) Discharge o f dirty ballast; (I)
Discharge o f water from slop tanks into the sea; (J) C ollection, transfer and
disposal o f residues and oily mixtures not otherwise dealt with; (K ) Discharge
o f clean ballast contained in cargo tanks; (L) Discharge o f ballast from
dedicated clean ballast tanks (CBT tankers only); (M ) Condition o f oil
discharge monitoring and control system; (N ) Accidental or other exceptional
discharges o f oil; (O ) Additional operational procedures and general remarks.
On tankers engaged in “specific trades”, three additional entries are required:
(P) Loading o f ballast water; (Q ) Re-allocation o f ballast water; and (R) Ballast
water discharge to reception facility.
Crude or product tanker o f 40,000 dwt and above solely engaged in specific
trades between: (1) ports or terminals within a M ARPOL Party State; or (2)
ports or terminals o f M ARPOL Party States where: (a) the voyage is entirely
within an Annex 1 special area; or (b) the voyage is entirely within other limits
designated b y IMO. These ships are exempted under Annex I reg. 2.5 from
having SBT or COW as long as ballast water reception facilities are provided
at their loading ports or terminals and: (1) all ballast water, including clean
ballast water, and tank washing residues, is retained on board and transferred to
the reception facilities and an entry in the ORB Part II is endorsed by the
competent port State Authority; (2) there is agreement between the flag State
Administration and the Port State Administrations o f the ports or terminals
concerning use o f an oil tanker,delivered on or before 1 June 1982 for a
specific trade; (3) the reception facilities are approved by the port State
Administrations; and (4) the IOPP Certificate is endorsed to the effect that the
oil tanker is solely engaged in a specific trade.
The date, operational code (i.e. letter) and item number must be inserted in the
appropriate colum ns and the particulars recorded chronologically in the biank
space. For example, the place o f bunkering is recorded as H 27.1, and the time
o f bunkering as H 27.2.
On each occasion, on a tank-to-tank basis i f appropriate, when any o f the
operations listed above take place, and without delay.
Each completed operation must be signed by the officer(s) in charge o f the
operations concerned. For exam ple, where bunkering is a joint deck/engine
room operation, the c h ief mate and either the c h ief or second engineer would
probably sign the entries.
Each com pleted page, at its foot.
In such a place on board as to be readily available for inspection at all
reasonable times.
For three years after the last entry has been made.
The M CA or a person authorised by the Certifying Authority, w hilst the ship is
in a port or offshore terminal.
Y es. The inspector may take a copy o f any entry in the ORB and may require
me, as master, to certify that the copy is a true copy o f the entry.
Yes. A ny copy o f an entry w ill be adm issible in any judicial proceedings as
evidence o f the facts stated in the entry.
Every ship to which M ARPOL Annex II applies, i.e. chem ical tankers issued
with IBC Code or BCH Code Certificates o f Fitness and other ships issued
with International N oxious Liquid Substances Certificates.
The form specified in appendix 2 to M ARPOL Annex II.
On a tank-to-tank basis: (A ) Loading o f cargo; (B ) Internal transfer o f cargo;
(C) Unloading o f cargo; (D ) ivfendatory prewash in accordance with the ship’s
Procedures and Arrangements Manual; (E) Cleaning o f cargo tanks except
mandatory prewash (other prewash operations, final wash, ventilation, etc.);
(F) Discharge into the sea o f tank washings; (G) Ballasting o f cargo tanks; (H)
Discharge o f ballast water from cargo tanks; (I) Accidental or other exceptional
discharge; (J) Control by authorized surveyors; (K ) Additional operational
procedures and remarks.
Each completed operation must be signed for and dated by the officer(s) in
charge and, i f applicable, by a surveyor authorised by the competent authority
in which the ship is unloading.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D 914. What m ust the m aster sign in a Cargo
R ecord Book?
D 9IS, What advice to m asters abou t receipts
is included in a C argo R ecord Book?
Garbage Management Pirn, Garbage Record Book and garbage dispo >ai plscards
D 9I6. Which ships m ust have a G arbage
M anagem ent Plan a n d a G arbage R ecord
book?
D 9 1 7. Where can guidelines on developin g a
G arbage M anagem ent Plan a n d a specim en o f
a G arbage R eco rd Book be found?
D918. What are the requ ired fe a tu re s o f a
G arbage M anagem ent Plan?
D919. Into what G arbage C ategories is
ga rbage g ro u p ed in the m odel font? o f G arbage
R ecord Book in M SN 1807?
D 920. What entries are requ ired in the various
columns in the m odel fo rm o f G arbage R ecord
Book in M SN 1807?
D921. What records m ust be kept o f garb a g e
d isp o se d of?
D922. Who must m ake the entries in the
G arbage R ecord Book?
D923. What docum ent sh ould the m aster
! obtain when disposin g o f garb a g e to reception
facilities o r to another ship?
i D924. What are the requirem ents f o r
preservation o f the G arbage R ecord Book?
L Book).
D925. What a re the requirem ents relating to
garbage d isp o sa l pla ca rd s?
Ozone depleting substances documentation
3 926. What are ozon e depletin g substances?
.
D927. What are the requirem ents o f the
I revisedM A R P O L Annex V Iregardin g
installations containing ozone depletin g
stances?
- '*-8. What are the requirem ents o f the
r. ised MARPOL Annex VI regarding
1a*mediations containing hydro-
1 i ’■ofluorocarbons (H CFCs)?
1J- €j29. I f a ship has system s o r equipm ent
zsmiaining ozon e depletin g substances in stalled
ijnr.jre 19 M ay 2005 but which m ay continue in
rrice. in which statutory docum ent w ill they
[ ^ c o rd ed ?
~~E SHIPMASTER’S BUSINESS SELF-EXAMINER
101
Each com pleted page, at its foot.
Ships’ masters should obtain from the operator o f the reception facili ties,
which include barges and tank trucks, a receipt or certificate specifying the
quantity o f tank washings transferred, together with the time and date o f the
transfer. The receipt or certificate should be kept together with the Cargo
Record Book,
Every ship o f 4 0 0 GT or above, and e v e r / ship certified to carry 15 persons or
more. (Every fixed and floating installation must also have a GMP and G RB.)
Guidelines for the developm ent o f Garbage M anagement Plans are in Schedule
3 to M SN 1807. A specim en form o f Garbage Record B ook is in Schedule 4 to
M SN 1807; this duplicates the Appendix to the revised M ARPOL Annex V.
(1) It must contain written procedures for collecting, storing, processing and
disposing o f garbage, including the use o f equipment on board; (2) it must
designate the person in charge o f carrying out the plan; (3) it must be in
accordance with the IMO guidelines in M SN 1807 and (4) it must be in the
working language o f the crew.
Category 1: Plastic; Category 2; Floating dunnage, lining, or packing materials;
Category 3: Ground paper products, rags, glass, metal, bottles, crockery, etc.;
C ategoiy 4: Cargo residues, paper products, rags, glass, metal, bottles,
crockery, etc; Category 5: Food waste; and Category 6: Incinerator ash except
from plastic products which may contain toxic or heavy metal residues,
(1) Date/time; (2) Position o f the ship; (3) Estimated amount discharged into
sea (m 3); (4) Estimated amount discharged to reception facilities or to other
ship; (5) Estimated amount incinerated (m 3); (6) Certification/Signature.
An entry must be made in the Garbage Record Book: ( t ) when garbage is
discharged into the sea; (2) when garbage is discharged to reception facilities
ashore or to other ships; (3) when garbage is incinerated; and (4) o f accidental
or other exceptional discharges o f garbage. A record must be made o f each
discharge operation or com pleted incineration. W hen cargo residues are
discharged at sea, the ship’s position where the discharge started and stopped
must be recorded
The officer in charge o f a discharge operation or incineration. The master must
sign each com pleted page, as with the Oil Record Book,
The master shoul d obtain from the operator o f port reception facilities, or from
the master o f the ship receiving the garbage, a receipt or certificate specifying
the estimated amount o f garbage transferred. The receipts or certificates must
be kept on board the ship with the Garbage Record B ook for two years.
It must be kept on board and in such a piace as to be available for inspection in
a reasonable time. It must be preserved by the o wner o f the ship or installation
for 2 years after the final entry (compared with 3 years for the Oil Record
Every ship o f 12 m or more in length must display placards notifying crew and
passengers, i f any, o f the statutory garbage disposal requirements. The placards
must be in English and in the working language o f the crew, if different. Fixed
and floating installations must also display placards.
Substances that cause deterioration o f the Earth’s protective ozone layer,
located in the stratosphere, which shields the Earth from ultra-violet radiation.
O D Ss are defined in the Montreal Protocol on Substances that D eplete the
O zone Layer, 1987. O DSs that may be found on board ship are listed in the
revised M ARPOL Annex VI.
Installations containing ozone depleting substances, other than hydro-
chlorofluorocarbons (HCFCs), are prohibited on ships built on or after 19 May
2005. D elivery o f such equipment on or after 19 M ay 2005 to ships built before
that date is also prohibited.
Installations containing hydro-chlorofluorocarbons (HCFCs) are prohibited on
ships built on or after 1 January 2020. Delivery o f such equipment on or after 1
January 2020 to ships built before that date is also prohibited.
Fire-extinguishing systems, other system s and equipment containing ozone
depleting substances, other than hydro-chlorofluorocarbons (HFCs), installed
before 19 M ay 2005 but which may continue in service, are listed in Section 2
o f the Supplement to the International A ir Pollution Prevention Certificate.
102
D 930. Which ships m ust h ave an O zone
D epletin g Substances R eco rd book, an d what
entries are req u ired in it?
Records relating to low sulphur fuel oils
D 931. What records a re requ ired by the
re v ise d M ARPOL Annex VI (in fo r c e fro m 1
Ju ly 2010) in relation to low sulphur fu e l oils?
D 932. What are the c h ie f requirements: o f the
re v ised M ARPOL Annex VI in relation to
bunker d elivery notes?
D 933 What inform ation is show n on a bunker
d elivery note, as shown in A ppendix V o f the
re v ised M ARPOL Annex VI?
D 934. What a re the requirem ents o f the
re v ised MARPOL Annex VI in relation io
representative sam ples o f bunker fu e l oil?
VOC Management Plan
D 935. What are the requirem ents o f the
re v ised M 4RPO L Annex VI regarding a VOC
M anagem ent Plan?
D 936. What a re the requirem ents o f the
re v ised M ARPOL Annex VI regarding the
contents o f a VOC M anagem ent Plan?
Search and Rescue Co-operation Plan
D 9 3 7. Under SOLAS, which ships must c a n y
a Search a n d Rescue C o-operation Plan?
D 938. What are ihe U K requirem ents f o r
c arriage o f a Search a n d Rescue C o-operation
P lan?
Dangerous Goods Document o f Compliance
D 9 3 9. What docum ent m ust be c a rrie d by
certain sh ips intending to ca rry dangerous
g o o d s in p a c k a g ed o r d ry bulk form ?
Ships which have rechargeable system s that contain ozone depleting
substances must maintain an O zone Depleting Substances Record B ook under
the revised M ARPOL Annex VI, reg. 12.6. This Record B ook may form part
o f an existing log-book or electronic recording system as approved by the flag
State Administration. Reg. 12.7 requires that entries are made in respect o f
ozone depleting substances when specific actions are carried out such as
supply, charge and discharge o f the system , or repair and maintenance.
Rea, 6 o f the revised MARPOL Annex VI requires that the volume o f low
sulphur fuel oils in each tank as w ell as the date. time, and position o f the ship
when anv fuel-oil-ehanse-over operation is completed prior to the entrv into an
Emission Control Area or com m enced after exit from such an area, is recorded
in “such log-book as prescribed by the flag State Administration”. A lso, under
ree. 18 8.1. the representative sample must be sealed and signed bv the
supplier’s representative and the master or officer in charge o f the bunker
operation on com pletion o f bunkering operations and retained under the ship’s
control until the fuel oil is substantially consum ed, but in any case for a period
o f not less than 12 months from the time o f delivery.
For each ship subject to regulations 5 and 6 o f Annex VI (i.e. ships required to
be surveyed and have an IAPP Certificate'), details o f fuel oil for combustion
purposes delivered to and used on board must be recorded bv means o f a
bunker delivery note which must contain at least the information specified in
appendix V to Annex VI. The bunker delivery note must be kept on board,
readily available for inspection at all reasonable tim es and retained for three
years after the fuel oil has been delivered on board.
Nam e and IM O Number o f receiving ship; Port; Date o f com mencement o f
delivery; Nam e, address, and telephone number o f marine fuel oil supplier;
Product narne(s); Quantity in metric tons; D ensity at 15°C, kg/m 3; Sulphur
content (%m/m); A declaration signed and certified by the fuel oil supplier’s
representative that the fuel oil supplied is in conformity with the applicable
subparagraph o f M ARPOL Annex VI reg. 14.1 or 14.4 (sulphur content
outside and within ECAs) and reg. 18.3 (fuel oil quality).
(1) A bunker delivery note must b e accompanied bv a representative sample o f
the fuel oil delivered taking into account IMO guidelines. (2) The sample must
be sealed and sinned bv the supplier's representative and the master or officer
in charge o f the bunker operation on com pletion o f bunkering operations and
retained under the ship’s control until the fuel oil is substantially consumed,
but in any case for a period o f not less than 12 months from the time o f
delivery. (3) I f an Administration requires the representative sample to be
analysed for com pliance with Annex VI, it must be done in accordance with
the verification procedure in appendix VI to Annex VI.
Under regulation 15.6 o f Annex VI a tanker carrying crude oil must have on
board and implement a VO C M anagement Plan approved by the flag State
Administration. The plan must be prepared taking into account IMO
guidelines.
The plan must be specific to each ship and must at least: (1) provide written
procedures for m inim izing VO C em issions during the loading, sea passage and
discharge o f cargo; (2) give consideration to the additional VOC generated by
crude oil washing; (3) identify a person responsible for implementing the plan;
and (4) for ships on international voyages, be written in the working language
o f the master and officers and, i f the working language o f the master and
officers is not English, French, or Spanish, include a translation into one o f
these languages.
I
SOLAS regulation V /7.3 provides that a plan for co-operation with appropriate j
search and rescue services in the event o f an em ergency must be carried on
board a passenger ship on an international voyage.
Under The MS (Safety o f N avigation) R egulations 2002, all U K passenger
ships, and other passenger ships in U K waters must carry an M CA-approved
Search and Rescue Co-operation Plan (som etim es called a SARCO Plan), as
described in M SN 1783. The plan must be agreed with the SA R service(s)
relevant to the ship’s area(s) o f operation. Plan formats are shown in M SN
1783. (S ee also DISTRESS INCIDENTS in Section H.)
For other questions on the DG DOC see Section F ]
A Document o f Com pliance with the Special Requirements for Ships Carrying 1
Dangerous Goods, as required by SO LAS regulation II-2/19.4.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

D 940. Which M N otice explains (he use o f the
D angerous G oods D ocum ent o f C om pliance?
D 941. M G N 36 refers to dangerous g oo d s as
including “s o lid substances liste d in A ppendix
B to the B C C ode ", m eaning the 1998 edition o f
the Code. What, is the correspon din g term in the
2004 edition o f the B C C ode?
D 942. Which ships require a D angerous
G oods Docum ent o f C om pliance?
D943. Who issues a D angerous G oods
Docum ent o f C om pliance to a U K ship?
D 944. What su rveys a re requ ired f o r a
D angerous G oods D ocum ent o f C om pliance?
D945. M ust a re c o rd o f construction an d
equipm ent be a tta ch ed to a D angerous G oods
D ocum ent o f Com pliance?___________________
D946. M ust a bulk ca rrie r have a D angerous
G oods D ocum ent o f C om pliance?
D 9 4 7, A re v ised sta n d a rd fo rm a t SOLAS
'*odel D G D ocum ent o f Com pliance w as
published in MSC. 1/Circ. 1266 in D ecem ber
2008. What does it certify?
'948. What d o es the D G D ocum ent o f
Compliance o f a U K ship certify?
0949. What is shown in the A ppendix to a
Dangerous G oods Docum ent o f Com pliance?
D950. What is the m aximum p e rio d o f validity
f'a Docum ent o f Com pliance, accordin g to
' M SC .l/C irc.1266?
D951. D oes a ship on a dom estic voyage
•vjvire a D angerous G oods D ocum ent o f
~ :m pliance?
D952. A U K ship has h a d a su rvey f o r issue o f
m Z-wgerous G oods D ocum ent o f Com pliance.
can she sta rt carryin g dangerous go o d s?
0 9 5 3 What are the m ain classes o f dangerous
fmads listed in the IM D G C ode?
'■ ’- Is a D ocum ent o f Com pliance requ ired
■a classes o f dangerous goods?
155 For w hich dangerous g o o d s a re there
m acial requirem ents in SO LAS regulation
9. an d therefore no Docum ent o f
iance required?
SHIPMASTER’S BUSINESS SELF-EXAMINER
103
M GN 36 (Docum ent o f Com pliance for Ships Carrying Dangerous G oods in
Packaged or Dry Bulk Form).
Solid substances listed in Appendix B to the 1998 edition o f the BC Code are
called Group B substances in the 2004 edition o f the BC Code. Group B
consists o f cargoes which possess a chem ical hazard which could give rise to a
dangerous situation on a ship.
The follow ing ships which are intended, or which have cargo spaces which are
intended for the carriage o f dangerous goods on international voyages: (1)
passenger ships (o f any tonnage) built on or after 1 September 1984; (2) non-
passenger ships o f 500 GT or over built on or after 1 September 1984; and (3)
non-passenger ships o f under 500 GT bxailt on or after 1 February 1992.________
The MCA.
A survey o f the ship before issue o f the certificate for the first time; and a
renewal survey every 5 years.
Som e flag State Admini strations , such as the Isle o f Man, require one; the U K
does not. (There is no SO LAS model foim o f DG D ocum ent o f Com pliance as
there is with SO LAS safety certificates.)
Yes. Para. 4.8.3 o f the Code o f Safe Practice for Solid Bulk Cargoes (BC
C ode), 2004 edition, provides that cargo ships o f 500 GT or over constructed
on or after 1 September 1984 and cargo ships o f less than 500 GT constructed
on or after 1 February 1992 and subject to SOLAS regulation II-2/19.4 (or II-
2/54.3) should have a Docum ent o f Com pliance when transporting bulk
dangerous goods as defined in the IM DG Code, except class 6.2 and class 7.
(1) That the construction and equipment o f the ship was found to com ply with
the provisions o f SO LAS regulation II-2/19; and (2) that the ship is suitable for
the carriage o f those classes o f dangerou s goods as specified in the appendix to
the certificate, subject to any provisions in the IM DG Code and the Code o f
Safe Practice for Solid Bulk Cargoes (BC ) Code for individual substances,
materials or articles also being com plied with.
That the ship meats the construction and fire protection equipment
requirements o f SOLAS regulation II-2/19 and The M S (Fire P rotection: L arge
Ships) R egulations with respect to fittings and equipment in the cargo spaces
where the dangerous goods are to be carried, and that the ship is suitable to
carry the classes o f goods listed in the appendix to the certificate.______________
A small side elevation o f the ship show ing the under-deck spaces, and a plan
view show ing the on-deck spaces, intended for carriage o f dangerous goods;
and a table showing, for each class o f dangerous goods (other than classes 6.2
and 7), the spaces where the goods w ill be carried and a letter to indicate
whether packaged goods are permitted (letter “P”), packaged and bulk goods
are allow ed (letter “A ”), or dangerous goods are not allow ed (letter "X”).
Cargoes in bulk may be listed individually and by class.
(1) For cargo ships: 5 years; it should not be extended beyond the expiry date
o f the Cargo Ship Safety Construction Certificate. (2) For passenger ships: one
year; it should not be extended beyond the expiry date o f the Passenger Ship
Safety Certificate.___________________________________________________________
Under regulation 22 o f The M S (D angerous G oods a n d M arine Pollutants)
Regulations, ships on non-international voyages may be issued with a DOC
when fully compliant.
O nly after any additional equipment has been supplied in accordance with The
F ire P rotection R egulations, as determined by an M CA surveyor. The DOC
w ill not be issued until this is done, and until then the ship cannot carry DGs.
C lass 1: Explosives; Class 2: Gases; Class 3: Flammable liquids; Class 4:
Flammable solids; substances liable to spontaneous combustion; substances
which, in contact with water, em it flammable gases; Class 5: O xidising
substances and organic peroxides; Class 6: T oxic and infectious substances;
Class 7: Radioactive material; Class 8: Corrosive substances; and Class 9:
M iscellaneous dangerous substances and articles.
N o. It is not required for C lasses 6.2 (Infectious substances) and 7 (Radioactive
material), or for the carriage o f dangerous goods in Limited Quantities or in
Excepted Quantities.
There are no special requirements in SO LAS regulation II-2/19 for the carriage
o f dangerous goods o f classes 6.2 and 7, and for the carriage o f dangerous
goods in limited quantities, as required n chapter 3 .4 o f the IM DG Code, and
excepted quantities, as required in chapter 3.5 o f the IMDG Code. (Class 6.2 is
infectious substances; Class 7 is Radioactive material.)
104
Shipboard OH Pollution Plan (SOPEP) and sim ilar documents
D 956. What is a SOPEP, a n d w hat is it
design ed to do?
D 957. U nder which international instrum ent is
a SO P E P required, a n d which sh ips must have
one?
D 958. What fo rm o f em ergency p la n m ust a
v essel have i f it carries MARPOL Annex II
substances?
D 959. What fo rm o f em ergency plan m ay a
tanker that ca rries both MARPOL Annex I an d
Annex II substances have?
D 960. What sh ou ld a SO PE P (o r SM PEP)
contain?
D 961. Who draw s up the SOPEP,
SM PEP(NLS) o r SM PE P fo r a U K ship?
D 962. Who must a pprove a SOPEP,
SM PEP(NLS) o r SM PEP fo r a U K ship?
D 963. What docum ents, sim ilar to a SOPEP,
m ay be req u ired under US law f o r a voyage to
US w aters?
Spam o ffic ia l documents
D 9 6 4 What official docum ents m ight a m aster
w an t to c a rry spare copies o f in a U K sk ip
trading on international voyages?
BALLAST WATER TREATMENT EQUIPMENT
See also B allast W ater M anaaement in PORT ARRIVAL PREPARATIONS in Section H
D 965. Which convention contains
requirem ents fo r b allast w ater treatm ent?
D 966. Is the B W M Convention in fo rc e ?
D967. Which regulation o f the B W M
C onvention's annex contains requirem ents f o r
ballast w a ter treatm ent?
D 968. What stan dard does Regulation D -2
define?
D 969. What a re the m ain requirem ents o f the
D -2 Perform ance Standard?
D970. When does the D -2 Perform ance
Stan dard com e into fo rc e ?
A Shipboard Oil Pollution Emergency Plan. Its primary purpose is to set in
motion the necessary actions to stop or m inim ise the discharge and to reduce
its effects on the marine environment.
M ARPOL Annex I requires a SOPEP, approved by the flag State
Administration, to be carried by all tankers o f 150 GT and above, and other
ships o f 400 GT and above, whether on an international voyage or not. (Under
U K law any U K ship issued with an IOPPC or UKOPPC must have a SOPEP.)
A Shipboard Marine Pollution Em ergency Plan for N oxiou s Liquid Substances
(SM PEP(N LS)), approved by the flag State Administration.
A Shipboard Marine Pollution Emergency Plan (SM PEP), approved by the flag
State Administration. This com bines the functions o f a SOPEP and a
SM PEP(NLS) and is more practical since m ost o f the contents are the same.
(I ) Preamble (explaining the purpose and use o f the plan and indicating how
the ship’s plan relates to other shore-based plans); (2) Reporting requirements
(when to report, information required, who to contact); (3) Steps to control
discharge (in both operational spills such as bunker spills and cargo
loading/discharge spills, and spills resulting from casualties); (4) National and
local co-ordination (information to help the master initiating action by the
coastal State); (5) Additional information (non-mandatory) (such as plan
review procedures, training and drill procedures, record-keeping procedures,
public affairs p olicy o f the owners/operators, etc.).
The shipowner. IMO and the International Chamber o f Shipping publish
guidelines on the developm ent o f plans.
The MCA.
A federal V essel Response Plan (VRP), as reauired bv U S federal law, and, for j
entering waters o f certain U S states (such as California). a state VRP as
required by the law o f each state w h ose waters are entered. Details o f
requirements can be obtained by shipowners from the P&I club in which the
ship is entered.
; . -a
Official Log Book; G M D SS Log; Oil Record Book; Garbage Record Book;
crew agreement (ALC ) documents; Incident Report Form (IRF); Draught o f
Water and Freeboard N otice (M SF 2004, formerly FRE 13); Additional
Freeboard Sheets (AFS); Certificates o f Discharge; W atchkeeping Certificates: |
Navigational and Engine Room Watch Rating Certificates; Return o f Births
and Deaths (RBD. 1).
The International Convention for the Control and Management o f Ships'
Ballast Water and Sedim ents, 2004 (the BW M Convention).
N o, but since a number o f coastal States and regions already apply ballast
water management regulations to ships approaching their waters, som e o f the
Convention’s requirements form part o f the Safety M anagement System o f
m any ships.
Regulation D-2.
A standard for ballast water purity called the Ballast Water Performance
Standard, also known as the D -2 Performance Standard.
Ships conducting ballast water management must discharge less than 10 viable
organisms per cubic metre greater than or equal to 50 micrometres in minimum
dimension and less than 10 viable organisms per millilitre less than 50
micrometres in minimum dim ension and greater than or equal to 10
micrometres in minimum dimension; and discharge o f the indicator microbes
(bacteria) must not exceed the specified concentrations.
Standard D -2 w ill be phased in according to ship age and ballast water
capacity. Sh ips constructed in 2009 or later with a ballast water capacity less
than 5000 m 3 must com ply with Standard D -2 from 2012. Ships constructed
before 2009 with a ballast water capacity o f between 1500 m3 and 5000 m3
must com ply with Standard D-2 from 2014. Ships constructed before 2009
with a ballast water capacity o f less than 1500 rn3 or more than 5000 m3 musJ
com ply with Standard D -2 from 2016.
THE SHIPMASTER’S BUSINESS SELF-EXAMINEl

D971. What ballast w a ter treatm ent
technologies a re currently u sed to a chieve the
D-2 Perform ance Standard?
D972. What a re the basic requirem ents o f the
BWM Convention relating to a pproval o f
ballast w a ter treatm ent system s?
BALLAST WATER MANAGEMENT DOCUMENTATION
See also Ballast W ater Management in PO RT ARRIVAL PREPARATIONS in Section H
1 D973. Which international convention deals
I v ith ballast w ater m anagement, a n d is it in
1 fbrce ?
I D974. A fter e n tiy into fo r c e o fth e B W M
[ Convention, w hat docum ents w ill a ship have to Management Plan; and (3) a Ballast Water Record Book,
1 carry relating to ballast w ater m anagem ent?
Ballast Water Management Certificate
1 D975. A fter entry into fo r c e o f the B W M
1 Convention, w hat su rveys w ill be r e q u ire d fo r is issued for the first time; (2> a renewal survev at intervals o f not more than 5
1 m International B allast W ater M anagem ent
■ -ertificate?
1 Z'976. What w ill the maximum p e r io d o f
1 validity b e o f an International B allast W ater
j Management C ertificate?
1 D977. What w ill an International B allast
1 •'ater M anagem ent C ertificate certify?
[ D978.
Who w ill be able to carry ou t surveys
r enforcem ent o f the BW M Convention?
1 D979. Who w ill b e a ble to issue an
I 'iem ation al B allast W ater M anagem ent
E rtificate?
Ballast Water Management Plan
j -**80. Can a Ballast W ater M anagem ent Plan
1 > generic (e. g. fo r a ll the Com pany's ships)?
■ £*•*/. Must a B allast W ater M anagem ent
1 be approved?
■ DQ82. What are the contents o f an approved
I i-- last Water M anagem ent Plan?
B»Hast Water Record Book
1 I D o e s a Ballast W ater R ecord Book
I \ r .t to be in p a p e r form ?
H M 4 . What inform ation m ust a B allast Water
I itc o r d Book contain?
U O K S . Where, a n d f o r how long, m ust Ballast
M p M er R ecord B ook entries b e m aintained?
MM6 An unm anned ship is bein g to w ed to a
It recycling fa c ility . Where m ay its B allast
B f j o e r R ecord Book be kept?
BW7. Who sh ould sign the entries in a Ballast
R ecord Book?
l i H l j . In what language sh ou ld the entries in
■ « i d l a s t W ater R ecord Book be?
|®W9. On what occasion s m ust entries be
PI m ide in a B allast W ater R ecord Book?
'HE SHIPMASTER’S BUSINESS SELF-EXAMINER
105
Filtration; cyclonic separation; U V radiation; cavitation, electrolysis; chemical
additives; de-oxygenation; and gas super-saturation. These m ay be used in
ballast water treatment system s either singularly or in combination.
Every treatment system must be type approved by the flag State
Administration. A lso, i f the system makes use o f an “active substance”, (any
substance or organism that has a general or specific action on or against
harmful aquatic organisms or pathogens) an additional approval procedure
must be follow ed, with approval grantee exclusively by IMO.
The International Convention for the Control and M anagement o f Ships’
Ballast Water and Sediments, 2004 (otherwise known as the BWM
Convention). At 22 Decem ber 2010 it w as not yet in force.
(1) An International Ballast Water M anagement Certificate; (2) a Ballast Water
( 11 An initial survev before the ship is put into service or before the certificate
vears: (31 an intermediate survev within 3 months before or after either the 2nd
or 3rd anniversary date o f the certificate (replacing an annual survey); (4) an
annual survev within 3 m onths o f each anniversary o f the certificate; and (5) an
additional survev. either eeneral or partial, according to the circumstances,
after a change, replacement or significant repair o f the structure, equipment,
systems, fittings, arrangements and material.
5 years, subject to the surveys in the last answer.
(1) That the ship has been surveyed in accordance with the Annex to the BWM
Convention; and (2) that the survey showed that Ballast Water M anagement on
the ship com plies with the Annex to the Convention.
Flag State Administration surveyors or surveyors o f R ecognised Organisations.
The Flag State Administration or a Recognised Organisation on its behalf. (The
M CA w ill delegate survey and certification o f UK ships to Recognised
Organisations.)
No, It must be specific to the ship.
Y es, by the flag State Administration, taking into account IMO G uidelines in
Resolution A .868(20).
(1) Safety procedures for the ship and the crew associated with Ballast Water
M anagement (BW M ) as required by the Convention; (2) a detailed description
o f the actions to be taken to implement the BW M requirements and
supplemental BWM practices as in the Convention; (3) the procedures for the
disposal o f Sediments at sea and to shore; (4) procedures for coordinating
shipboard BW M that involves discharge to the sea with the authorities o f the
State into w hose waters such discharge w ill take place; (5). designation o f the
officer in charge o f ensuring that the BW M Plan is properly implemented; (6)
reporting requirements for ships as in the Convention.
N o. It m ay be an electronic record system, or m ay be integrated into another
record book or system.
At least the information specified in Appendix II o f the Convention.
(1 ) On board the ship, for at least tw o years after the last entry has been made;
and (2) thereafter in the Com pany’s control for a minimum o f three years.
Either on the tow or on the towing ship.
Each entry must be signed by the officer in charge o f the operation concerned
and each completed page must be signed by the master.
In a working language o f the ship. I f that language is not English, French or
Spanish, the entries must contain a translation into one o f those languages.
(1) W hen ballast water is taken on board; (2) w hen ballast water is circulated
or treated for bailast water management purposes: (3) when ballast water is
discharged into the sea; (41 when ballast water is discharged to a reception
106
EVIDENCE TO BE RETAINED FOLLOWING AN ACCIDENT
See also RECORDS OF NAVIGATIONAL ACTIVITIES in this Section
D990. U nder the MS (Accident R eporting a n d
Investigation) Regulations 2005, w hat m ust the
m aster o r sen ior su rviving officer d o with
respect to eviden ce fo llo w in g a reportable
acciden t involving a U K ship?
D 9 9 I. F ollow in g a collision, w hat evidence
w ou ld be requ ired f o r the investigation, a n d fo r
leg a l proceedin gs?
TRANSFER OF SHIP TO OR FR OM UK REGISTER
D 992. Where can a sh ipow ner o r m anager
f in d guidan ce on fla g g in g -in to the UK
register?
D 993. What is tonnage tax?
D 994. A sh ip is flaggin g-in io the U K register.
What changes in the s h ip ’s statutory
docum entation w ill be required?
D 995. What changes in a sh ip 's m arkings are
requ ired when the sh ip is fla g g e d in to the U K
register?
D 996. Which ship "s docum ents sh ould be
return ed to the MCA when a U K ship is
transferred to foreign registry>?
D 997. Sh ould O il R ecord Books a n d G arbage
R ecord Books be retu rn ed to the MCA when a
U K ship is transferred to fo re ig n registry?
facility; and (5) when there are accidental or other exceptional uptake or
discharges o f ballast water.____________________________________________
(1) H e must ensure, so far as is practicable, that all charts, log books, electronic
and m agnetic recording and video tapes, including information from a V D R or
recording system relating to the period preceding, during and after the accident,
and all documents or other records which might reasonably be considered
pertinent to the accident, are kept and that no alteration is made to any
recordings or entries in them. (2) H e must ensure that all information from a
V D R or recording system relating to the circumstances o f the accident is saved
and preserved, in particular by taking steps, where necessary, to prevent such
information from being overwritten. (3) He must also ensure that any other
equipment which might reasonably be considered pertinent to the investigation
o f the accident is so far as practicable left undisturbed.
W itness statements; radar plots; charts in use; chart correction records;
navigational publications in use (and records o f their correction); copies o f logs
o f com munications with other stations (including shore stations); voyage data
recorder, i f fitted; records o f weather, tide, current, visibility, etc. Any video or
still film, or even sketches, would also probably be useful.
J
On the M CA w ebsite under Ships and Cargoes/ U K Ship Register.
A schem e introduced by the UK Government in 2002 to attract foreign owners [
to the UK flag. Companies opting into the regime can calculate their taxable
profits from qualifying shipping activities by reference to the tonnage o f their
sea-going ships rather than according to their actual business results (like m ost j
other businesses). Details can be found in the M C A ’s U K Registration booklet j
downloadable from the M CA w ebsite.
(1) The previous registry must be cancelled; (2) U K registry must be obtained j
and a Certificate o f British Registry issued; (3) all statutory certificates issued j
by or under the authority o f the previous flag State Administration must be
cancelled; (4) U K statutory certificates must be issued by or on behalf o f the
M CA (after survey where required); (6) a U K Official L og Book, Crew
Agreement and List o f Crew and G M D SS log must be opened; and (7) a new
Continuous Synopsis Record (CSR) Form 1must be obtained from the MCA,
Sim plified inspection procedures apply when the transfer is between EU
Member State flags, as explained in M SN 1782.
(1) The port: o f registry in the previous flag State, marked on the stern, will
have to be e xpunged and replaced by the UK port o f choice. (2) The UK
Official Number and the net tonnage w ill have to be marked in the main beam 1
o f the ship. (3) The sh ip ’s name and U K port o f choice w ill have to be marked 1
on all lifeboats and lifebelts. A genera! inspection by an M CA surveyor will
have to be m ade to confirm the changes have been made.
(1) The Certificate o f British Registry; (2) other UK statutory certificates; (3) 1
the Crew Agreement and List o f Crew; (4) O fficial Log B ook(s) (with any
annexes); and (5) G M D SS Radio Log.
N o. Oil Record Books (Part 1for all ships and Part 2 for oil tankers) should be ■
retained by the original owners for 3 years after the last entry. Garbage Record 1
Books should be retained for 2 years follow ing the last entry.
THE SHIPMASTER’S BUSINESS SELF-EXAM!'
 107
Section E: Master and Crew
THE MASTER 1
Shipmaster: definition
E l. What is the N autical In stitu te’s The captain o f a merchant ship qualified b y the appropriate certificate o f
definition o f a shipm aster? com petency w ho is appointed by the ship owner. He has the responsibility to
efficiently prosecute the voyage and an overriding responsibility to ensure the
safety o f his passengers, crew, ship and cargo with the duty generally to save
and preserve life at sea. In the event o f his death or incapacity command
descends to the second-in-command who is the senior deck officer and then
through the othei deck officers in order o f rank. (The N autical Institute on
Command, ch apter I)
Master’s responsibilities in common law
E2. What a re a m aster's c h ie f (1) To preserve the safety o f the crew, passengers, ship and cargo (acting as i f
respon sibilities under (English) com m on law ? ship and cargo were the master’s ow n uninsured property); (2) to safeguard the
marine environment; (3) to prosecute the voyage with the m inimum o f delay
and expense; (4) to act always in the best interests o f the owners; (5) to carry
out all that is usual and necessary for the employm ent o f the ship; (6) to obey
the owner’s lawful instructions (but without any requirement to obey unlawful
instructions, e.g. where a breach o f a statutory requirement or prohibition
would result); (7) to exercise care o f the goods entrusted to the master as bailee
and to see that everything is done to preserve them in good order and condition
during the voyage.
The master as agent
E3. F or whom m ight a sh ipm aster a c t as Som e exam ples are: (1) for the emulover in the engagement or discharge o f a
agent during the course o f his service on crew member; (2) for a cargo owner in the loading, stow age, care and
board? discharge o f careo: (3) for a time charterer when ordering or receiving bunkers:
(4) for the shipowner, cargo owners. oth ;r property owners (e.g. owners o f
casino, spa, gym. hairdressing, beauty, etc. equipment on a cruise ship) and any
time charterer when making a salvage agreement with a salvor.
1 E4. Where a m aster accepts salvage Assum ing that he has not had an opportunity to contact the cargo owners for
j assistan ce without fir s t seeking instructions, their instructions, he acts as their agent o f necessity. (See also Questions on
w hat is his legal status in relation to cargo A gent's auth ority in Section B a n d L lo y d ’s Open Form in Section H.)
I owners?
V"A
, J
1
—

j E5. What is a bailee, a n d when does a A person to w hom goods are transferred for safe keeping and/or carnage by
I sh ipm aster becom e a bailee? another person (called the bailor). The master becom es a bailee whenever
goods are shipped for carnage or for storage.
I E6. What is the m a ste r’s du ty as a bailee? To care for the goods entrusted to him and deliver them in the same condition
as when they w ere shipped. H e remains responsible for the goods even when
cargo is discharged and temporarily stored ashore at a port o f refuge (see
Section I).
Master’s liabilities
1E7. What kind o f leg a l liabilities is a Civil liability (in relatively few areas) and criminal liability (in numerous
shipm aster exposed to? areas).
1 E8. What is m eant by a m a ste r’s civil The liability o f a master for damages in civil law, including contract law,
j liability? agency law and tort law, as determined b y a civil court. (See LAW OF TORT
in Section B .)
E9. Can a sh ipm aster be su e d in a civil Yes: see, for exam ple, the case o f Adler v. Dickson (1955) (The H im alaya)
court? under LAW OF TORT in Section B. In recent years there have been several
reported cases o f cruise ship passengers suing (or threatening to sue) masters in
person for negligence, e.g. after sailing into heavy weather despite a poor
weather forecast.
EI0. H ow sh ou ld a m aster ensure that he o r B y inserting the words 'fo r a n d on b e h c lf o f (charterer's nam e) ” after his or
'he is exclu dedfrom p erso n a l liability f o r her signature on any receipt given to the supplier.
: linkers, stores, etc. o rd e re d b y charterers?
1 E l l. What is m eant by the m a ste r’s crim inal Liability for offences against the criminal law o f the flag State, a coastal State
1 -ab ility? or a port State, for which the penalty is usually either a fine, or imprisonment,
or both. Hundreds o f offences have been created under U K law for which a
master may be fined, or in many cases, both fined and jailed, (See U K C O U R T
PROCEDURES, OFFENCES AN D PENALTIES in Section B.)
1 E l 2. What is m eant by the crim inalisation o f The growing tendency o f coastal States to arrest and detain the master o f a ship
1 shipm aster? that has caused pollution o f a coastal State's waters. (The masters o f the
tankers Erika, P restige, Tasman S pirit and H ebei S pirit w ere ail detained by
coastal States follow ing pollution incidents.)
1 E l3 What crim inal pen alties is a m aster The penalties prescribed by the law o f the State which created the offence that
I Sable to? the master is accused of. For exam ple, in U K law a master is liable to a fine o f
up to £250,000 for wilful oil pollution o f U K waters, w hile som e coastal States

~-E SHIPMASTER’S BUSINESS SELF-EXAMINER

108
E14. What does SO LAS sa y about the
m a ste r’s discretion f o r safe navigation an d
protection o f the m arine environm ent?
(Master’s discretion fo r ship safety am 1 security
E l 5. What does SO LAS sa y about the
m a ster’s discretion f o r sh ip safety a n d security?
E l 6. What does SO LAS say about resolvin g
conflicts betw een ship safety a n d security
requirem ents?
E l 7. What is an exam ple o f a p o ssib le
conflict betw een sh ip safety a n d security
requirem ents?
Mastet s lien
E l 8. What does the M erchant Shipping Act
1995 sa y about a m aster s lien?
E19. D oes a m aster have a m aritim e Hen on
his ship?
Master’s resfH>nsibititiQ8 under ISM C td<?
See a/so SAFET Y MAW \GEMEN r PROVISIONS CONCERNING COMPANY in Section C
E20. What are a sh ipm aster's
respon sibilities w id e r the ISM C ode?
E21. H ow sh ould the m aster im plem ent the
safety a n d environm ental p rotection p o lic y o f
the Com pany?
E22. H ow can the m aster m otivate the crew
in the observation o f the C om pan y‘s safety a n d
environm ental protection p o lic y ?
E23. What does the IS M C ode m ean when it
refers to “issuing o rders in a cle a r a n d sim ple
m an n er”?
E24. H ow can the m aster verify that
sp ecified requirem ents are observed?
E25. H ow frequ en tly sh ou ld the m aster
review the SMS?
E26. What guidan ce does the MCA give in
M SN 1826 regarding the m a ste r’s review ?
im pose m ors severe penalties for a similar offence in their own waters. (For
the heaviest p en a lties im posed b y U K courts, se e Offences a n d p en a lties in
Section B.)
SO LAS regulation V/34.1 makes it illegal for a person to compromise the
master’s discretion in decision-m aking. It provides as follow s: "The owner, the
charterer, the com pany operatin g the sh ip a s defin ed in regulation IX /1, o r any
oth er person sh all not p reven t o r restrict the m aster o f the sh ip fro m taking o r
executing any d ecision which, in the m aster's profession al ju dgem en t is
necessary fo r safety, o f life at se a a n d protection o f the m arine environment. ”
SO L A S regulation X I-2/8.2 provides as follow s: "The m aster sh all not be
constrain ed by the Company, the charterer o r any other p erso n fro m taking or
executing an y decision which, in the profession al ju d g em en t o f the master, is
necessary to m aintain the safety a n d secu rity o f the ship. This includes d en ial
o f access to p erson s (except those iden tified as du ly a uth orized by a
C ontracting G overnm ent) o r their effects an d refusal to lo a d cargo, including
containers o r o th er c lo se d cargo transport units. ”
SO LAS regulation X I-2/8.2 provides as follow s: “If, in the profession al
ju dgem en t o f the m aster, a conflict between any safety a n d security
requirem ents applicable to the sh ip arises during its operations, the m aster
sh all g ive effect to those requirem ents n ecessa iy to m aintain the safety o f the
ship. In such cases, the m aster m ay im plem ent tem porary security m easures
an d sh all forth w ith inform the A dm inistration and, i f appropriate, the
Contracting G overnm ent in whose p o r t the sh ip is operatin g o r intends to
enter. Any such tem porary secu rity m easures under this regulation shall, to the
highest p o ssib le degree, be com m ensurate with the p revailin g security level.
When such cases are identified, the A dm inistration sh all ensure that such
conflicts a re re so lv ed a n d that the p o ssib ility o f recurrence is m inimised. "
Where a Port Security O fficer or som e other shore official demands that the
ship’s watertight doors are kept locked in port in the interests o f security,
whereas the master requires them to remain operable in the interests o f crew
safety.
See also Liens and arrest in Section F
Section 41 o f the Act provides that the master o f a ship w ill have the same lien
for his remuneration, and for all disbursements or liabilities properly m ade or
incurred by him on account o f the ship, as a seaman has for his wages.
Yes. In English law the master has a maritime lien for his w ages and for his
disbursements, i.e. personal payments made by him on ship’s business (e.g. a
fee paid to a notary public for a protest document).
To: Cl) implement the safety and environmental protection p olicy o f the
Companv; (2) motivate the crew in the observation o f that policy; (3) issue
appropriate instructions and orders in a clear and sim ple manner: (4) verifV that
specified reciuirements (of the SMS') are observed; and (5) periodically review
the SM S and report its deficiencies to the shore-based management. /Para. 5.1
requires the Company to clearly define and document these responsibilities.,)
B y ensuring that all procedures and instructions documented in the shipboard
Safety M anagem ent System (SM S) are follow ed at all times.
Bv: H ) creatine a sense o f ownership o f (i.e. involvem ent in) the SMS; (2)
providing feedback, e.g. expressing appreciation for crew achieving objectives;
13) offering incentives for reporting hazardous incidents: (4) explaining the
rationale for the Com pany’s safety and environmental policy; (5) regular
training; (6) avoiding dem otivating issues such as late payment o f crew wages
and poor work organisation.
Writing clear, sim ple, unambiguous instructions in, for exam ple, M aster’s
Standing Orders and Bridge Night Order B ooks. Master’s orders should not
conflict with other documented procedures in the SM S.
B y carrying out regular m aster’s audits, i.e. checking o f on-board logs, records,
checklists, observation o f work procedures and oral questioning, and
comparing findings with the requirements o f the SM S.
Periodically, i.e. at regular intervals. The Com pany’s SM S should contain
instructions and guidance for the master to review the effectiveness o f the SMS j
and report its deficiencies at regular intervals. M any com panies require a
review at the end o f every tour o f duty.
The addition o f the w o rd "periodically" now clarifies that the "master's
review" is not an iso la te d activity, it is an ongoing dynam ic p ro c e ss aim ed at
THE1SHIPMASTER’S BUSINESS SELF-EXAMIN

E27. H ow sh ou ld the m aster periodically
review the SM S a n d rep o rt its deficiencies to
sh ore m anagem ent?
E28. Can the maximum one y e a r interval
between internal audits ever b e exceeded?
S E A F A R E R TRAINING
General requirem ents including Basic Training and Fam iliarisation tra in in g
E29. Which U K regulations g overn the
training o f seafarers on U K ships?
E30. Where can guidance on The (Training
a n d C ertification) R egulations be found?
E 3I. What are the various p a rts o f the
Training a n d Certification Guidance p u blish ed
by the MCA?
j E32. What is the ST C W 95 requirem ent f o r
Fam iliarisation Training?
\ E33. D oes the ST C W requirem ent f o r
F am iliarisation Training extend to
supernumeraries?
| E34. What fo rm s o f o n -board training m ust
1 the m aster o f a U K sh ip g ive to person s
cm ployed o r en gaged on the ship?
'H E SHIPMASTER’S BUSINESS SELF-EXAMINER
109
continually im proving the effectiveness o f the safety m anagem ent system . The
industry b est p ra c tic e is to have these review s a t lea st once p e r tour o f duty o f
the M aster, not m ore than an y e a r apart.
By regularly (at intervals specified in the SM S, but o f not more than one year):
(1) evaluating the SM S for deficiencies in its suitability, com pleteness and
effectiveness; (2) reporting the evaluation to the D PA and suggesting
improvements and modifications; and (3) recording the report. The master’s
review should aid! the Company in its management review and result in
m odifications to the SMS.
Y es, in “exceptional circumstances”, for not more than 3 months. (Para. 12.1)
The M S (Training a n d Certification Regulations) / 997, as amended.
In a set o f M G N s published by the M CA under the general heading o f
“Training and Certification Guidance”.
Part: 1 : General requirements for certification and medical fitness (M GN 91);
Part 2: Certificates o f com petency - decl: department (M GN 92); Part 3:
Certificates o f com petency - engine department (M GN 93); Part 4: Certificates
o f com petency - radio personnel (M G N 214): Part 5: Special training
requirements for personnel on certain types o f ship (M GN 95); Part 6:
Emergency, occupational safety, m edical care and survival functions (M GN
96); Part 7: Alternative certification dual certification (M GN 7); Part 8:
Education and training schem es (M G N 8, as amended); Part 9: Procedure for
the issue and revalidation o f certificates o f com petency, marine engine operator
licences and tanker endorsements (M GN 9): Part 10: Ratines (M G N 97); Part
11 : Conduct o f M CA ora! examinations (M GN 69); Part 12: Safety training for
concessionaires working on passenger ships (M GN 120); Part 13: U se o f
fishing vessel certificates o f com petency in standby, seism ic survey and
oceanographic research vessels revised arrangements (M GN 121); Part 14:
STCW 95 application to certificates o f service (M G N 116); Part 15:
Certification o f inshore tug personnel (M GN 209): Part 17: Certificates o f
com petency or Marine Engine Operator L icences for service as an engineer
officer on com m ercially and privately operated yachts and sail training vessels
(M GN 156); Part 18: STCW 95 certificates o f com petency - conversion o f
tonnage limitations - GRT to GT (M GN 164); Part 19: Certificates o f
eauivalent com petency (M G N 221): Par; 20, Certificates o f equivalent
com petency (fishing vessels) (M G N 2 2 0 : Part 22: Certificates o f com petency
for deck personnel serving on dom estic vessels operating in C ategoiy ‘D ’
waters (M GN 263): Part 23: Yacht ratina certificates for service on
com m ercially and privately operated yachts and sail training vessels (M GN
270); Part 27: Experienced seafarer to Engineer O fficer o f the Watch (M GN
278). (Notes: Part 16 has expired. Part 21 was replaced bv M SN 1802
(Certificates o f Com petency - Yacht D esk Officers).
Before being assigned to shipboard duties, all persons em ployed or engaged on
a seagoing ship other than passengers, shall receive approved familiarisation
training in personal survival techniques or receive sufficient information and
instruction, taking account o f the guidan ce given in part B . to be able to: (1)
communicate with other persons on board on elementary safety matters and
understand safety information sym bols, signs and alarm signals: (2) know what
to do if: a person falls overboard, fire or sm oke is detected, or the fire or
abandon ship alarm is sounded; (3) identify muster and embarkation stations
and em ergency escape routes: (4) locate and don life-iackets: (5) raise the
alarm and have basic knowledge o f the use o f portable fire extinguishers; (6)
take immediate action upon encountering an accident or other medical
em ergency before seeking further medical assistance on board; and (7) close
and open the fire weathertight and watertight doors fitted in the particular ship
other than those for hull openings. (ST C W Code, Section AVI/1.1) In practice,
m ost seafarers receive this training in the form o f approved PST training at a
shore training establishment, and receive “sufficient information and
instruction” on joining a ship.
Yes. “All persons em ployed or engaged in a seagoing ship other than
passengers” includes supernumeraries. (Supernumeraries in a UK ship are
required to be listed as “seamen” in a List o f Crew.)
(1) Familiarisation training as required by Section AVI/1.1 o f the STCW Code
in the case o f any such person not possessing a valid PST certificate; (2)
training in connection with life-saving appliances and fire-fighting equipment
110
E35. U nder S T C W 95, w hat training must
crew m em bers be given before being a ssign ed
to any sh ipboard duties?
E36. U nder S T C W 95, who m ust receive
a p p ro v e d B asic Training o r instruction, a n d
when?
E3 7. What a re the com ponents o f approved
B asic Training o r instruction?
E38. Which U K person n el m ust m aintain an
M N TB -approved Training R ecord Book o r
training portfolio?
E39. What records m ust be k ept by
applicants f o r U K certification who have not
fo llo w e d an a p p ro v e d training program m e?
E40. What is the m aster's duty with respect
to M N TB -approved Training R e co rd Books?
E 4I. What a re the tw o routes th at can le a d to
issue o f a U K certificate o f competencyt?
E42. What ancillary training m ust at: O O W
(without a rea o r tonnage restrictions) undergo
to com ply w ith ST C W 95?
E43. What a ddition al training m ust a m aster
undergo?
E44. Where m ust a ll ancillary training be
obta in ed fo r service in U K ships?
E45: What training is requ ired b y all
seafarers in charge o f lifesaving equipm ent?
E46. W hat training is re q u ire d fo r service a s
m aster o r c h ie f m ate a n d by any other person in
charge o f m edical care on board?
E47. F or w hat sh ip types do The MS
(T m ining a n d C ertification) R egulations
specify training requirem ents f o r serving
person nel?
E48. H ow often is re validation o f Basic
Training qualifications requ ired b y ST C W 95?
E49, What training is requ ired under The MS
(Fire P rotection ) R egulations 2003?
Training o f tanker personnel
E50. Where can the U K training
requirem ents f o r service in U K tankers oe
found?
E51 What a re the tw o kinds o f tankei
training requ ired b y the MCA ?
E52. Which person n el m ust undergo Basic
Tanker training?
E53. What does B asic Tanker training
include?
E54. Which perso n n el must undergo
S pecialised Tanker training?
as required by The MS (M usters, Training a n d D ecision Support Systems)
Regulations.
(1) Basic Training; and (2) Familiarisation Training. (3 ) In addition, i f the ship
is a specialised ship such as an oil, chemical or eas tanker, or a ro-ro passenger
shin or non-ro-ro nassenger shiD. or a high-speed craft, other specialised
training may be required, depending on the function o f the individual crew
member on board,
Seafarers em ployed or engaged in any capacity on board ship on the business
o f that ship as part o f the ship’s complement with designated safety or
pollution prevention duties. The training must be received before being
assigned to any shipboard duties. (STCW Code, Section A-VI/1.2)
(1) Personal survival techniques (as set out in Table A -V I/1-1); (2) fire
prevention and fire-fighting (Table A -V I/1-2); (3) elementary first aid (Table
A -V I/1-3); and (4) personal safety and social responsibilities (Table A -V I/1-4).
All applicants for UK certification w ho have follow ed an approved training
programme o f on-board training.
They must obtain an M NTB-approved Training Record B ook and record as
fuily as possible the work they have done on board.
To verify all entries wherever possible. (This m ay be done alternatively by
“other appropriate officers”, e.g. in the case o f a trainee engineer’s Training
Record Book.)
(1) The Vocational Qualification (V Q ) route; and (2) a route based on
traditional examinations. Ancillary training in safety and technical subjects is
also required; in the VQ system this training may be subsumed in VQ units.
(1) Personal Survival Techniques; (2) Fire Prevention and Fire Fighting; (3)
Elementary First Aid; (4) Personal Safety and Social Responsibility; (5)
P roficiency in Survival Craft and Rescue Boats; (6) Advanced Fire Fighting;:
(7) M edical First Aid; (8) Radar and ARPA Simulator Training - Operational
Level; (9) Efficient Deck Hand; (1 0 ) G M D SS (GOC).
(1) M edical Care training; (2) Radar and ARPA Simulator training
M anagement Level,
In M CA-approved training centres. (A centre may be approved to offer som e
training courses but not others.)
Proficiency in Survival Craft and Rescue Boats (PSC R B) training.
M edical Care training, as required by STCW regulation V I/4, to the minimum
standard o f proficiency in Table A -V I/4-2 o f the STCW Code.
(1) Tankers; (2) ro-ro passenger ships, and (3) other passenger ships. The
training is detailed in chapter A -V o f the STCW Code.
Every 5 years.
In every ship o f Class I carrying more than 36 passengers and every cargo ship
o f Class VII o f 500 GT or over, training in the use o f em ergency escape
breathing devices must be included in the on-board training o f each crew
member as soon as possible, or in any event not more than two w eeks, after he
first joins the ship.
In M G N 95 (Training and Certification Guidance Part 5).
(1) Basic Tanker training; and (2) Specialised Tanker training.
Ratings assigned specific duties and responsibilities related to cargo or cargo
equipment (e.g. pumpmen) and all officers on oil, gas or chem ical tankers.
(1) At least 3 m onths’ sea service on tankers; or (2) an M CA-approved tanker
familiarisation training programme; or (3) at least 30 days’ service under the
supervision o f qualified officers on a tanker o f not less than 3000 GT engaged
on voyages o f not more than 72 hours’ duration. (Tanker ratings m ust also
have Advanced Fire Fighting training.)
Masters, c h ief engineers, c h ief m ates and second engineers, and any person
(such as a cargo officer or cargo engineer officer) with immediate
responsibility for loading, discharging and care in transit or handling o f tanker 1
cargo, whether this is oil, chem icals or liquefied gas.
THE SHIPMASTER’S BUSINESS SELF-EXAMINE

E55. What d oes S pecialised Tanker training
inclu de7
E56. Where a se c o n d o r th ird Tanker
Endorsem ent is requ ired (e.g. f o r chem ical
a n d/or g a s tankers), m ay the 3 m onths ’ se a
se rv ice be substituted?
E57. D oes a Tanker Endorsem ent have to be
revalidated?
E58. What happens where a Tanker
Endorsem ent is w ithdraw n as above, but the
officer w ants to w ork on a nother tanker?
Trainina o f ro-ro passenger ship personnel
E59. Where can the training requirem ents
fo r service in ro-ro pa ssen g er ships be found?
E60. ST C W 95 regulations concerning
training o f person nel on ro-ro p a ssen g er ships
a p p ly only to ships on international voyages. To
what d o the U K regulations apply?
E61. What fo rm s o f training a re requ ired by
ST C W 95 f o r person nel serving in ro-ro
passen ger ships?
E62. What are the G eneral Training
requirem ents f o r perso n n el servin g in ro-ro
p a ssen g er ships?
E63. What are the G eneral Training
requirem ents f o r ro-ro p a ssen g er ship
p erson n el who p ro v id e a direct service to
passen gers (e.g. those w orking in shops, bars
an d restaurants)?
E64. What are the G eneral Training
requirem ents f o r ro-ro p a ssen g er ship
person nel who a re d esign ated on m uster lists to
assist passen gers in an em ergency?
E65. What are the G eneral Training
requirem ents f o r ro-ro p a ssen g er ship
| person nel with respon sibility re la te d to h a d in g
i ro-ro cargo an d securing fo r sea?
j E66. What sh ou ld be given to anyone
| m eeting the appropriate training standard?
E67. What M C A -A pproved Training is
required fo r certain ro-ro p a ssen g er sh ip
• person nel in addition to the G eneral Training
m entioned in preced in g questions?
j E68. Which ro-ro p a ssen g er sh ip person n el
j training must be refresh ed every 5 yea rs?
I E69. What is the link between the G eneral
; Training a n d A pp ro ved Training in the
preceding questions a n d the IS M C ode?
Trainina o f personnel in passenger ships other than ro~ro ships
j E70. Where can the training requirem ents
j f o r service in p a ssen g er ships o th er than ro-ro
ships be found?
I E7I. What are the training requirem ents f o r
personnel serving in pa ssen g er ships o th er than
I ro-ro passen ger ships?
'H E SHIPMASTER’S BUSINESS SELF-EXAMINER
111
In addition So B asic Tanker training, an M CA-approved specialised tanker
training programme (oil, chem ical or liquefied gas, as appropriate), plus at
least 3 m onths’ sea service in a tanker o f the appropriate type.
Y es, by successful com pletion o f 28 days’ M CA-approved shipboard training
involving at least one loading and one discharging operation
Y es. Evidence m ust be produced to the M CA o f at least 3 m onths’ service
(which need not be continuous) w ithin the preceding 5 years on ordinary
tankers, or at least 6 months on a storage tanker, barge or tenninal in
operations involving loading or discharging o f tankers. If this evidence cannot
be produced, the endorsement w ill be withdrawn.
He w ill be required to com plete either the com plete Specialised Tanker training
programme (appropriate for the type to be served on), or 14 days’ supervised
shipboard training in a supernumerary capacity in the relevant type o f tanker.
In M GN 95 (Training and Certification Guidance Part 5).
The Training a n d C ertification Regulations apply the STCW 95 requirements
to all U K ro-ro passenger ships, on both dom estic and international services.
(1) General Training; and (2) Approved Training (which, in the UK, means
M CA-approved training).
Before being assigned shipboard duties, masters, officers, ratings and other
personnel with responsibility for guidance o f passengers in an em ergency must
undertake “appropriate training”. The type o f training depends on the seafarer’s
particular responsibilities on board, i.e. whether they (1) provide a direct
service to passengers; (2) are designated on muster lists to assist passengers in
an emergency; or (3) have responsibilities related to loading ro-ro cargo and
securing for sea.
They must be trained to be able to com municate effectively between
them selves and with passengers during an em ergency, as detailed in Paragraph
3, STCW Code A -V /2, and be able to demonstrate the correct donning o f
lifejackets.
Thev must undergo Crowd Management training as described in Paragraph 1,
STCW Code A -V /2. This is essentially practical training which can be
provided on board. It can be kept up to date through regular drills, which w ill
meet the 5-yearly refresher training requirement.
They m ust be trained to be sufficiently familiar with the design and operational
limitations affecting ro-ro passenger ships and the tasks designated in
Paragraph 2, STCW Code A -V /2. The practical elem ents o f this training can be
undertaken on board under supervision, but som e instruction is also necessary.
Documentary evidence o f m eeting the sfandard. A lso, a record should be kept
on board. (Both may be required for ISM purposes.)
Before being assigned to any shipboard duties, masters, c h ief engineers, ch ief
mates, second engineers and anyone w ith immediate responsibility for (1)
embarking and disembarking passengers, (2) loading, discharging or securing
o f cargo, (3) closing hull openings, or (4) the safety o f passengers in
em ergency situations, must com plete M CA-approved training in f 1) Passenger
Safetv. Cargo Safety and Hull Integrity (as specified in Paragraph 4 . STCW
Code A -V /2). and (2) Crisis M anagement and Human Behaviour fas specified
in Paragraph 5, STCW Code A -V /2).
All Approved Training.
Both should be incorporated into the shipboard Safety M anagement System
(SM S) required under the ISM Code.
In M GN 95 (Training and Certification Guidance Part 5).
P assenger ship personnel are subject to similar training requirements for
General Training and Approved Training, but whereas ro-ro passenger ship
training requirements are specified in STCW Code A -V I/2, passenger ship
personnel training is specified in STCW Code A -V I/3.
112
£72. What are the G eneral Training
requirem ents f o r p a ssen g er sh ip person n el who
p ro v id e a direct service to passen gers (e.g.
those w orking in shops, bars a n d restaurants)?
E73. What are the G eneral Training
requirem ents f o r p a ssen g er sn ip person n el who
a re d esign ated on m uster lists to a ssist
p assen gers in an em ergency?
E74. What a re the G eneral Training
requirem ents f o r p a ssen g er ship person n el
assig n ed specific duties a n d respon sibiliiies on
b o a rd (such a s those re la te d to design an d
operation al lim itations o f the ship)?
E75. What sh ou ld be given to anyone
m eeting the appropriate training standard?
E76. What M C A -A pproved Training is
requ ired f o r certain p a ssen g er ship person n el
in addition to the G eneral Training m entioned
in preced in g questions?
E77. Which p a ssen g er sh ip person n el
training m ust b e refresh ed every 5 yea rs?
E78. D o the G eneral Training a n d A pproved
Training requirem ents f o r p a ssen g er ship
perso n n el also apply to p erson n el on high­
sp e e d passen ger craft?
E79. What is the link betw een the GeneraI
Training a n d A p p ro ved Training in the
p reced in g questions a n d the ISM C ode?
Training o f highspeed craft personnel
E80. Where can the training requirem ents
f o r off icers a n d crew servin g in U K h igh -speed
craft be fou n d?
E8 I. D o the G eneral Training a n d A pp ro ved
Training requirem ents f o r ro-ro p a ssen g er ship
p erson n el also apply to person n el on U K high­
sp e e d ro-ro p a ssen g er craft?
E82. In addition to a v a lid certificate o f
com petency, w hat sp e c ia l qualification Li
req u ired to serve a s m aster o r officer in any
high sp e e d craft?
E83. What training is requ ired f o r the m aster
a n d a ll officers w ith operation al roles serving
on U K high -speed craft?
E84. Where can the U K requirem ents f o r
obtain in g a Type R ating C ertificate be fo und?
E 8 S. Who is respon sible f o r Type R ating
training a n d exam ination?
E86. H ow is a Type R ating C ertificate
obtained?
E87. Can fu rth er rou tes be a d d e d to a Type
R ating Certificate?
E88. What a re the certification requirem ents
f o r engineer officers on U K high -speed craft?
E89. What a re the certification requirem ents
f o r ratings a n d other person n el on U K high­
sp e e d craft?
They must be trained to be able to com municate effectively between
them selves and with passengers during an emergency, as detailed in Paragraph
3, STCW Code A -V /3, and be able to demonstrate the correct donning o f
lifejackets.
Thev must undergo Crowd M anagement training as described in Paragraph 1.
STCW Code A -V /3. This is essentially practical training which can be
provided on board. It can be kept up to date through regular drills, which will
meet the 5-yearly refresher training requirement.
They m ust be trained to be sufficiently familiar with the design and operational
limitations o f passenger ships and the tasks detailed in Paragraph 2, STCW
Code A -V /3. The practical elem ents o f this training can be undertaken on
board under supervision.
Documentary evidence o f m eeting the standard. A lso, a record should be kept
on board. (Both may be required for ISM purposes.)
Before being assigned to any shipboard duties, masters, c h ie f mates and
anyone with immediate responsibility for embarking and disembarking
passengers must com plete M CA-apptoved training in (1) Passenger Safety (as
specified in Paragraph 4 , STCW Code A -V /3), and (2) Crisis M anagement and
Human Behaviour (as specified in Paragraph 5, STCW Code A -V /3).
All Approved Training.
Yes.
Both should be incorporated into the shipboard Safety M anagement System
(SM S) required under the ISM Code.
In the High Speed Craft Code 1994, the High Speed Craft Code 2000 and M SN
1740. There is a summary in M G N 95 (Training and Certification Guidance
Part 5).
Yes.
A Type Rating Certificate (TRC). A TRC must be held by every officer with
an operational role serving in any kind o f HSC (including hovercraft), in
addition to a valid certificate o f com petency as required by the ve sse l’s Safe
Manning Docum ent.
“Appropriate’’ M CA-approved training, including knowledge o f the craft’s
propulsion and control system s, handling characteristics, communication and
navigation procedures, intact stability and survivability.
In Chapter 18.3 o f the 1994 and 2000 HSC Codes, in M SN 1740 and in M GN
95 (Training and Certification Guidance Part 5).
A Type Rating Instructor (TRI), to be responsible for training, must be
nominated by the organisation providing M CA-approved TRC training.
Another person must be nominated as Type Rating Examiner (TRE). TRIs and
TREs should be experienced in the operation o f the craft on which they w ill be
instructing and examining, and be M CA-approved.
After undergoing MCA-approved training a candidate is examined by the TRE.
If successful he/she is issued by the organisation with a TRC which is route-
and craft-specific. This is forwarded with a copy to the M CA, who, i f satisfied,
w ill endorse the TRC for service use and w ill return the original.
Y es, after the holder has undergone route familiarisation training and
performance assessm ent by the TRE. The M CA has to endorse any amendment
to an existing TRC.
They are required to be appropriately certificated under The MS (Training and 1
C ertification) Regulations and must hold a Type Rating Certificate (TRC). On j
HSC with gas turbine propulsion they may hold either M otor, Steam or
Com bined certificates o f com petency. In addition, senior engineer officers (as
specified in the Safe Manning Docum ent) are required to hold a certificate
attesting to the com pletion o f an M CA-approved gas turbine training
programme for the machinery on their own vessel. A TRC must be revalidated I
every 5 years.
Deck and engine ratings and other personnel em ployed on H SC must undergo 1
a training programme appropriate to their duties on board. They may be trained ■
solely for HSC service without seagoing service on other ship types. This
THE SHIPMASTER’S BUSINESS SELF-EXAMIN

E90. H ow are H SC ratings g ra d e d f o r U K
safe m anning pu rposes?
Training for emergency, occupational safety, medical care and survival functions
E 9I. Where can the training requirem ents
f o r em ergency, occu pational safety, m edical
care a n d su rvival fun ctions b e foun d?
E92. Which person n el m ust receive B asic
Training o r instruction?
E 9 3 .' What m ust B asic Training o r
instruction include?
E94. When m ust B asic Training or
instruction be received by seafarers req u ired to
have it?
E95i Which p erson n el m ust receive a p p ro ved
Fam iliarisation Training?
E96. When m ust F am iliarisation Training be
received?
E97. What altern ative to a p p ro ved
Fam iliarisation Training is perm itted?
E98. IVhat sh ou ld a perso n who has received
Fam iliarisation Training (o r sufficient
information a n d instruction) be able to do?
| E99. What records sh ould be kept o f
■ Fam iliarisation Training given?
\ EtOO. Which ch apter o f the C ode o f Safe
Working P ractices f o r M erchant Seam en
j contains guidance on fam iliarisation training?
EI01. What is PSCRB Training?
| E102. Which person n el m ust undergo PSCRB
Training?
j E l 03. Where a re the course requirem ents f o r
PSCRB training?
\ E l 04. Which person n el must undergo Fast
Rescue B oat (FRB) training?
i E l05. What addition al training m ust be
] obtained b y anyone undergoing FRB training?
1 E l 06. Where are the course requirem ents f o r
RB training?
j E107. Which person n el must undergo
j advanced Fire-Fighting training?
1 El 08. Where a re the course requirem ents f o r
Jvanced F ire-Fighting training?
-1 0 9 . Which person n el must undergo M edical
-irsl A id training?
1 E l 10. Where are the course requirem ents f o r
•'edical F irst A id training?
I E 111. Which person n el m ust undergo M edical
I Care training?
f £ 112. Where a re the course requirem ents f o r
■‘id ic a l C are training?
'HE SHIPMASTER’S BUSINESS SELF-EXAMINER
113
training should include familiarisation and appropriate STCW training
programmes required by The M S (Training a n d Certification) Regulations.
The grading structure and training for ratings described in M GN 97 (Training
and Certification Guidance Part 10) also applies to ratings on high speed craft.
In MGN 96 (Training and Certification Guidance Part 6).
Seafarers em ployed or engaged in anv cs oacitv on board shin on the business
o f that ship as part o f the ship’s com plem ent with designated safety or
pollution prevention duties in the operation o f the ship. (ST C W C ode A -V l/1 .2)
Appropriate approved basic training or instruction in: (1) personal survival
techniques (as in Table A-V I/1-1); (2) firs prevention and fire fighting (as in
Table A -V I/1-2); (3) elementary first aid (as in Table A -V I/1-3); and (4)
personal safety and social responsibilities (as in Table A -V I/1-4), Basic
Training should be appropriate to the seafarer’s designated safety or pollution
prevention functions. (STCW C ode A -V I/1.2.1)
Before being assigned to any shipboard duties. (STCW C ode A-VI/1.2)
All Dersons crnnloved or engaged on a seagoing ship, other than passengers.
(S T C W C ode A -V I/1.1) This includes stewards, shop staff, hairdressers and
entertainers. Supernumeraries should also be given Familiarisation Training,
Before being assigned to shipboard duties. (ST C W C ode A -V I/1.1)
“Sufficient information and instruction.” (STCW C ode A -V I/1.1)
(1) Communicate with other persons on board on elementary safety matters
and understand safety information sym bols, signs and alarm signals; (2) know
what to do if: (a) a person falls overboard; (b) fire or sm oke is detected; or (c)
the fire or abandon ship alarm is sounded!; (3) identify muster and embarkation
stations and em ergency escape routes; (4 ) locate and don lifejackets; (5) raise
the alarm and have basic knowledge o f the use o f portable fire extinguishers;
(6) take immediat e action upon encountering an accident or other medical
em ergency before seeking further medical assistance on board; and (7) close
and open the fire, weathertight and watertight doors fitted in the particular ship
other than those for hull openings. (STCW C ode A -V I/1.1)
A record should be retained on board to show that the training has been given.
Chapter 8 - Safety Induction.
Proficiency in Survival Craft and Rescue Boats Training.
All candidates for certificates o f com petency (both deck and engine
departments) and any other p eisons required to undertake duties involving
survival craft or rescue boats (other than fast rescue boats).
In a table in the STCW Code Table A -V I/2 -1.
Persons involved in the operation o f fast rescue boats (FRBs).
Proficiency in Survival Craft and R escue Boats (PSCR B) Training.
In a table in Chapter VI o f the STCW C ode (Table A -V I/2-2).
All candidates for certificates o f compete ncy (both deck and engine
departments) and any other persons required to undertake duties involving the
control o f fire fighting operations
In a table in Chapter VI o f the STCW Code (Table A -V I/3).
All candidates for certificates o f com petency (both deck and engine
departments) and all seafarers designated to provide m edical first aid.
In a (able in Chapter VI o f the STCW C ede (Table A - VI/4-1).
All candidates for master and c h ief mate certification at level II/2, and any
person designated to take charge o f medical care on board ship. (They must
also have M edical First Aid training.)
In a table in Chapter V I o f the STCW Code (Table A -V I/4-2).
114
E l l 3. F or h ow long a re a M edical F irst A id
C ertificate a n d P roficiency in M edical C are
C ertificate valid?
E l 14. Which p erson n el m ust undergo training
in the use o f M arine E vacuation System s?
E l 15. Where can the MCA guidan ce on ST C W
95 training requirem ents fo r ratings be found?
E l 16. What basic requirem ents apply to a ll
c ertificated ratings?
E l 17. What addition al training must seafarers
with design ated safety o r pollution preven tion
duties have re c eive d before being assign ed to
an y sh ipboard duties?
E l 18. Is there any U K statu tory requirem ent
f o r training o f Ship Safety Officers?
Training o f Ship Security O fficers
E l 19. M ust a Ship Security Officer have
training?
E l 20. A ccordin g to the guidan ce in P art B o f
the ISPS Code, w hat sh o u ld a Ship Security
O fficer h ave know ledge o f a n d training in?
E l 21. What are the re v ised ST C W Convention
qualifying requirem ents f o r a C ertificate o f
P roficiency a s a Ship Security Officer?
............. .......... ..................... .............. ....................................
U a n f^ A m m d im riis io STCW
E l 22. What a re the "Manila Am endm ents to
STCW "?
E l 23. What a re the c h ie f am endm ents in the
"Manila Am endm ents to S T C W ”?
5 years.
Masters, officers and ratings with designated duties in the deploym ent o f M ES.
In M GN 97 (Training and Certification Guidance Part 10).
i n Thev must be m edically fit. (2) Thev must have been trained in personal
survival techniques before being assigned to shipboard duties. (3) On joining
the ship thev must have had familiarisation training in respect o f em ergency
duties as w ell as routine duties for the safe operation o f the ship and the
protection o f the marine environment. I4\ Thev must be able to communicate
in the com mon working language determined for the ship.
Approved basic training, i.e. in personal survival techniques, fire prevention
and fire-fighting, elementary first aid, and personal safety and social
responsibilities.
No. Paragraph 3.4.2 o f the C ode o f Safe Working P ractices f o r M erchant
Seam en advi ses that “H e sh ou ld have a tten ded a su itable Safety O fficer’s
course”, but this is not a statutory requirement, and any such course does not
have to be M CA-approved.
See also Certification o f Ship Security Officers in this Section
Yes. Paragraph 13.2 o f the ISPS Code provides: “The ship security officer
sh all have know ledge a n d have re c eive d training, taking into account the
guidance given in p a rt B o f this C ode ”.
The SSO should have adequate knowledge of, and receive training, in som e or
all o f the follow ing, as appropriate: (1) the layout o f the ship; (2) the Ship
Security Plan and related procedures (including scenario-based training on how
to respond); (3) crowd management and control techniques; (4) operations o f
security equipment and systems; and (5) testing, calibration and w hilst at sea
maintenance o f security equipment and systems.
Under a revision to STCW Regulation VI/5 (M andatory minimum
requirem ents f o r the issue o f certificates ofp ro ficien cy f o r sh ip security
officers), which entered into force on 1 January 2008, every candidate for a
Certificate o f Proficiency as a Ship Security Officer must: (1) have approved
seagoing service o f not less than 12 months or appropriate seagoing service
and knowledge o f ship operations; and (2) meet the standard o f com petence set
out in section A -V I/5, paragraphs 1 to 4 o f the STCW Code.
....... -..................................
■ i * '<£*>X \ 4- : ii - i
Major revisions to the STCW Convention and the STCW Code adopted at a
Diplomatic Conference in Manila held in June 2010 and due to enter into force
on 1 January 2012, aimed at bringing the Convention and Code up to date and
to enable them to address issues anticipated to em erge in the foreseeable future.
(11 Improved measures to prevent fraudulent practices associated with
certificates o f com petency and strengthen the evaluation process (monitoring
o f Parties' com pliance with the Convention); (2) Revised requirements on
hours o f work and rest and new requirements for the prevention o f drug and
alcohol abuse, as w ell as updated standards relating to medical fitness
standards for seafarers: (3) new certification requirements for able seafarers;
(41 new requirements relating to training in m odem technology such as
electronic charts and information system s (ECDIS); (5) new requirements for
marine environment awareness training and training in leadership and
teamwork; (61 new training and certification requirements for electro-technical I
officers: updating o f com petence reauirements for personnel serving on board [
all types o f tankers, including new requirements for personnel serving on
liquefied gas tankers; (71 new requirements for securitv training, as w ell as
provisions to ensure that seafarers are properly trained to cope i f their ship
com es under attack bv pirates: (8) introduction o f m odem training
m ethodology including distance learning and web-based learning; (9) new
training guidance for personnel serving on board ships operating in polar
waters; and (101 new training guidance for personnel operating dynamic
positioning (DPI svstems.
THE SHIPMASTER’S BUSINESS SELF-EXAMI

SEAFARER CERTIFICATION
Shipboard responsibility levels and functions under STCW 95
E l 24. In ST C W 95, w hat a re the three levels
o f respon sibility on b o a rd ship?
E l 25. In STW C 95, what are the seven
functions a sso cia ted with the different levels o f
respon sibility on b o a rd ship?
department c&mficdtQS &f oOfnpQt&nGy
E l 26. Where can d eta ils o f deck departm ent
certificates o f com petency f o r se rv ice in U K
sh ips be found?
E l27. Which ST C W regulations contain
requirem ents f o r deck departm ent o ffice rs '
certificates o f com petency?
E l 28. What deck officer capacities are
p ro v id e d f o r in S T C W 95?
E l 29. What are the tw o g ra d es o f deck O O W
p ro v id e d fo r in S T C W 95?
E l 30. What a re the tw o g rades o f c h ie f m ate
p ro v id e d f o r in ST C W 95?
E l 31. What a re the three g ra d es o f m aster
p ro v id e d f o r in ST C W 95?
E l 32. What deck officer capacities are
p ro v id e d f o r in U K regulations?
E l 33. What are the tw o g ra d es o f deck O O W
p ro v id ed fo r in U K regulations?
E l 34. What a re the f o u r g ra d es o f c h ie f m ate
p ro v id e d fo r in U K regulations?
E l 35. What are the f iv e grades o f m aster
p ro v id e d fo r in U K regulations?
E l 36. What d o es "near-coastal" m ean in
ST C W 95?
E l 37. What does ‘‘near-coastal" m ean on a
U K certificate o f com petency?
E l 38. Can a n ear-coastal endorsem ent on a
U K certificate o f com petency be u sed to sa il on
the coasts o f other countries?
Engine department certificates o f competency
E l 39. Where can details o f engine departm ent
certificates o f com petency f o r service in U K
j ships be found?
E l 40. What engineer officer ca pacities a re
p ro v id ed f o r in ST C W 95?
1 E l 41. What is the single g rade o f engine
| O O W p ro v id e d f o r in STCW 95?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
115
(1) M anaeement level (master, c h ie f mate, c h ie f engineer and second
engineer); (2) Operational leVel (officer in charse o f a navigational or
engineering watch or as designated duty engineer for periodically unmanned
machinery spaces or as radio operator); and (3) Support level (personnel
working under the direction o f an individual at M anagement or Operational
level). (The level for which a person is qualified is endorsed on his or her
certificate o f com petency.)
(1) Navigation; (2) cargo handling and stowage; (3 ) control and operation o f
the ship and care for persons on board; (4) marine engineering; (5) electrical,
electronic and control engineering, (6) maintenance and repair; and (7)
radiocommunications. (The functions for which a person is qualified is
endorsed on his or her certificate o f com petency.)
In M GN 92 (Training and Certification Guidance Part 2).
Regulation II/3 contains requirements for near-coastal certificates. Regulation
II/2 contains requirements for unlimited certificates.
(1) Officer o f the watch (OOW ); (2) c h isf mate; and (3) master. These are
graded according to area and tonnage limitations so that there are two STCW
95 grades o f OOW, two grades o f c h ief mate and three grades o f master.
(1) OOW near-coastal - less than 500 GT (Regulation II/3); and (2) OOW -
no restrictions (Regulation 11/1).
(1) C h ief mate - no area limit - less than 3000 GT (Regulation II/2); and (2)
ch ief mate - no restrictions (Regulation II/2).
(1) Master near-coastal - less than 500 GT (Regulation 11/3); (2) master - no
area lim it - less than 3000 GT; and (3) master - n o restrictions (Regulation
II/2).
OOW, c h ief mate and master. These are graded according to area and tonnage
limitations so that there are two grades o f OOW , four grades o f c h ief mate and
five grades o f master.
The same as in STCW 95.
(1) C h ief mate - near-coastal - less than 3000 GT; (2) c h ief mate - near­
coastal - no tonnage limit; (3) c h ief mate - no area limit - less than 3000 GT;
and (4) c h ief mate - no restrictions.
(1) Master near-coastal - less than 500 GT; (2) master near-coastal - less
than 3000 GT - local dom estic passenger vessels; (3) master - near-coastal - ;
no tonnage limit; (4) master - no area lim it - less than 3000 GT; and (5) master
- no restrictions.
V oyages in the vicinity o f a Party as defined by that Party. This means that
different States set their own individual “near-coastal” limits.
The M S (Training a n d C ertification) Regulations define “near-coastal voyage”
as “a voyage during which the vessel is never more than 150 nautical m iles
from a safe haven in the United Kingdom, or never more than 30 nautical m iles
from a safe haven in the Republic o f Ireland”. The area within these limits is
som etimes referred to as the “U K near-coastal area”.
The guidance in Section B-I/3 o f the STCW Code states that it is not intended
that ships engaged on “near-coastal” voyaiges should extend their voyages
worldwide, under the excuse that they are navigating constantly within the
limits o f designated near-coastal voyages o f neighbouring Parties to the STCW
Convention. However, a Party w hich includes voyages o f f another Party’s
coast within the limits o f its near-coastal voyage definition m ay enter into a
bilateral agreement with the Party concerned.
'
In M G N 93 (Training and Certification Guidance Part 3).
OOW, second engineer and c h ief engineer. These are graded according to a
propulsive power limitation so that there is a single grade o f OOW , two grades
o f second engineer and two grades o f ch ief engineer. The U K regulations
provide for the same grades.
OOW - 750kW or more (Regulation III/l).
116
E l 42. What are the tw o g ra d es o f seco n d
engineer p ro v id ed fo r in ST C W 95?
E l 43. What a re the tw o g rades o f ch ief
engineer p ro v id e d fo r in ST C W 95?
Deck and engine certificates: miscellaneous
E l 44. H ow is a U K certificate o f com petency
obtainable?
E l 45. Where can d e ta iled U K ora l
exam ination syllabu ses f o r deck a n d engineer
officers be found?
E l 46. What kind o f lim itations m ay the MCA
im pose on a U K certificate o f com petency?
Radio operator certificates
E147. What certificates are issu ed in the U K
to radio personnel?
E l 48. F or what g ra d e s o f person n el a n d types
o f vessel a re the certificates in the la st an sw er
required?
E l 49. Who adm inisters exam inations f o r the
GOC, ROC, LRC a n d SR C in the UK?
E l 50. What are the statu tory requirem ents
relating to certification o f radio person n el in
U K m erchant ships?
E l 51. A U K ship is f itte d with G M D SS
equipment. H ow m any o perators sh o u ld it
carry, a n d w hat certificate sh ou ld they hold?
Watch Rating Certificates
E l 52. What g ra d es o f watch rating certificate
do es ST C W 95 p ro v id e for?
E 153. What is the sin gle g rade o f navigational
watch rating p ro v id e d fo r in ST C W 95?
E l 54. What certificate m ust any watchkeeping
rating in the deck departm ent hold?
E l 55. What certificate m ust any w atchkeeping
rating in the engine departm ent hold?
E l 56. What is the sin gle g ra d e o f engine-room
w atch rating p ro v id e d fo r in ST C W 95?
E l 57. Where can the training a n d
certification requirem ents f o r N avigational
Watch Ratings in U K sh ips be foun d?
E l 58. Where can the M CA's guidan ce on
Watch R ating C ertificates be found?
E l 59. Who can issue Watch Rating
C ertificates to ratings on U K ships?
E l 60 What conditions must be m et by a
rating on a U K ship before issue w ith a
N avigational Watch R ating Certificate under
S T C W C ode A-II/4?
( ! ) Second engineer - 750 to 2999 kW (Regulation III/3); and (2) sccond
engineer - 3000 kW or more (Regulation III/2).
(1) C h ief engineer - 750 to 2999 kW (Regulation II1/3); and (2) ch ief engineer
- 3000 kW or more (Regulation III/2).
O nly by assessm ent and examination consisting o f practical, written and oral
components. Details are in M GN 9 (Training and Certification Guidance Part
9).
In MGN 69 (Training and Certification Guidance Part 11).
Limitations for service on specific ship types, engine types or trades, as
appropriate.
G M D SS General Operator’s Certificate (GOC); G M D SS Restricted Operator’s
Certificate (ROC); G M D SS Long Range Certificate (LRC); and G M D SS Short
Range Certificate (SRC).
The GOC is required by masters and deck officers on merchant ships, and by
professional yachtmasters. The ROC is required by bridge watchkeeping
officers on SO LAS vessels trading exclusively within Sea Area A 1 . (M any
pilots, harbour masters, berthing masters, etc. also hold an ROC.) The LRC is
suitable for “ blue water” yachtsm en, fishing vessel officers, and masters and
deck officers in commercial vessels o f under 300 GT. The SRC (which has
replaced the VHF Operator’s Certificate) is mandatory for personnel in non­
commercial “voluntary-fit” vessels, such as small pleasure craft, which fit
G M D SS equipment (i.e. VHF DSC).
The A ssociation o f Marine Electronic and Radio C olleges (AM ERC)
administers exam s for and issues the GOC, ROC and LRC. The Royal
Yachting A ssociation (R Y A ) administers exam s for and issues the SRC.
Certificates must be endorsed for STCW 95 by the MCA.
All radio personnel in U K G M D SS ships (i.e. o f 300 GT or more) must reach
the academic and vocational standards specified in STCW Code A -IV /2 and
hold either a Restricted Operator’s Certificate (RO C) or General Operator’s
Certificate (GOC), suitably endorsed.
One operator is required, w ho must hold a G M D SS GOC i f trading beyond Sea
Area A l , or a G M D SS ROC for use only in Sea Area 1 (i.e. within VHF range
o f the coast).
, > ■ ■ ' * -■‘ - ; ij
(1) Navigational Watch Rating Certificate; and (2) Engine R oom Watch Rating
Certificate.
Navigational watch rating - no restrictions (Regulation II/4).
A Navigational Watch Rating Certificate.
An Engine Watch Rating Certificate.
Engine-room watch rating - no power limit (Regulation III/4).
In STCW Regulation II/4; in STCW Code A-II/4; in M G N 97 (Training and
Certification Guidance Part 10); and in MIN 303 (M CA-issued Watch Rating
Certificates).
In M IN 303 (M CA-issued Watch Rating Certificates).
U K com panies which have been certificated under the ISM Code can apply to
the M CA for approval to issue Watch Rating Certificates on behalf o f the
MCA. The applicant company has to demonstrate to the M CA that it has
adequate arrangements for training and assessing watchkeeping ratings and an
acceptable quality control system.
The applicant must be: (1) at least 17 years old; (2) have completed approved
sea-going service in the deck department o f at least 6 months, or 2 months i f an II
M CA-approved special training programme has been completed; (3) have
completed basic safety training; (4) have been assessed as m eeting the
requirements and performance standards o f STCW Code A-II/4; and (5) hold a |j
— __________________________
THE SHIPMASTER’S BUSINESS SELF-EXAMINE

E l 61. What conditions m ust be m et b y a
rating on a U K sh ip before issue w ith an
Engine Watch R ating Certificate under S T C W
C ode A -111/4?
E 162. In what fo rm a t d o e s a U K Watch
Rating C ertificate have to be?
E l 63. What are the requirem ents f o r
recording the issue o f Watch Rating
Certificates?
E l 64. A rating on b o a rd holds an ST C W 78-
fo rm a t Watch R atin g Certificate. Is this still
valid under ST C W 95?
Medical Fitness Certificates
E l 65. Which p erson n el on U K sh ips require
M edical F itness C ertificates?
E l 66. Which M N otices contain UK
requirem ents f o r M edical Fitness C ertificates?
E l 67. What is a M edical Fitness C ertificate
issu ed in the U K usually called?
E l 68. H ow does a seafarer obtain an ENG 1
M edical Fitness C ertificate?
E l 69. What is the p e r io d o f validity o f an
ENG 1 M edical Fitness C ertificate?
E 170. Can an a p p ro v e d d o cto r restrict a
M edical F itness C ertificate f o r service in a
certain capacity o r a certain area?
E l 71. What a re the U K ’s categories o f
m edical fitn ess f o r seafarers?
E l 72. What sh ou ld a seafarer do who is o ff
sick f o r m ore than 3 0 days o r w hose m edical
fitness changes significantly?
E 173. Can an a p p ro v e d d o cto r su spen d o r
can cel an ENG 1 M edical Fitness C ertificate?
E l 74. A re there any conditions under which a
seafarer m ay continue to be em ployed after his
o r her M edical Fitness Certificate has expired?
E l 75. H ow can a m aster tell whether a
M edical F itness C ertificate issu ed in a fo reig n
cou n tiy is acceptable f o r service on a U K ship?
Pathways to certification, watchkeeping certificates, testimonials and other requirements
E l 76. Where can guidan ce on gen eral
requirem ents fo r certification be found?
E l 77. What, in general, must all candidates
f o r U K certificates o f com petency achieve?
E l 78. What are the additional requirem ents
fo r officer candidates?
E l 79. What testim onials are req u ired by
applicants f o r certificates o f com petency, where
se a service is required?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
117
The applicant must be: (1) at least 17 years old; (2) have completed approved
sea-going service in the engine room o f at least 6 months, or 2 months i f an
M CA-approved special training programme has been completed; (3) have
com pleted basic safety training; (4) have been assessed as m eeting the
requirements and performance standards o f STCW C ode A-III/4; and (5) hold
a valid M edical Fitness Certificate. (M IN 303, 2.3)
In an M CA-approved format (A 4 size) as shown in Annex 3 to MGN 97
(Training and Certification Guidance Part 10).
A cop y o f each Watch Rating Certificate issued by the company m ust be sent
for registration bv the M CA Seafarers’ Standards Branch. Southampton as
soon as possible after issue o f the original to the rating. The com oanv must
keep a record o f all Watch Rating Certificates issued.
No- M CA-approved com panies (i.e. those with an ISM Code DO C) should
have issued an STCW 95 Watch Rating Certificate to the rating, follow in g the
procedure in M GN 97 (Training and Certification Guidance Part 10).
Seafarers in ships to w hich the M S (M edical Exam ination) R egulations 2002
apply, i.e. sea-going U K ships wherever they m ay be. “Seafarer” includes any
person, including a master, em ployed or engaged in any capacity on board a
ship on the business o f the ship. It does not include persons training in a sail
training vessel or persons not engaged in the navigation of, or have no
em ergency safety responsibilities on, a sail training vessel,
M SN 1822 contains the detailed statutory m edical and eyesight standards.
M GN 91 (Training and Certification Guidance Part 1) contains a summary.
An ENG 1.
B y applying directly to an M CA-approved medical practitioner (a list o f whom
is in M SN 1821 undergoing a medical check and paying a fee.
If the seafarer is over 18. two vears. and i f under 18, one year. I f the seafarer’s
health demands it, an approved doctor may issue a certificate for less than two
years.
Y es, e.g. for service only in the catering department, or excluding service in
tropical areas. The doctor must in this case issue a N otice o f Failure or
Restriction (ENG 3).
Category 1 means fit for sea service with no restrictions. Category 2 means fit
for sea service but with restrictions (e.g near-coastal waters only). Category 3
means temporarily unfit for sea service. Category 4 means permanently unfit
for sea service.
A s advised on the back o f the ENG 1, contact an approved doctor (preferably
the one w ho issued the certificate) for m edical review.
Yes.
Y es. (1) A seafarer, the validity o f w h ose certificate expires w hile he or she is
in a location where medical examination in accordance with the MS (M edical
Exam ination) R egulations 2002 is impracticable, may continue to be em ployed
without such a certificate for a period not exceeding three months from the date
o f expiry o f such medical certificate. (2) Under The MS a n d F V (H ealth an d
Safety at Work) (Em ploym ent o f Young Persons) R egulations 1998, i f a young
person’s M edical Fitness Certificate expires during a voyage, it remains
effective until the next port o f call where there is a duly qualified m edical
practitioner.
B y checking M SN 1815, which contain? a list o f countries issuing acceptable
M edical Fitness Certificates. If the relevant country is not on the list, the
company should be asked to find out from the M CA i f it has been added since
publication o f the M SN.
In MGN 91 (Training and Certification Guidance Part 1).
(1) Certain medical standards (including eyesight); (2 ) satisfactorily com plete
the minimum period o f seagoing service; (3) reach the required vocational and
academic standard, (4) undertake som e ancillary technical training.
In addition to the above they must, on com pletion o f approved programmes o f
education and training, pass an M CA oral exam.
Applicants for certificates for w hich service as a watchkeeping officer is
required must also produce certificates o f watchkeeping service incorporating
testimonial(s) signed by the master or ch ief engineer, as appropriate. A
specim en certificate is shown in M G N 91.
118
E l 80. Where can the U K requirem ents
relating to w atchkeeping certificates a n d
testim onials be found?
E l 81. Where can a d eck o r G P rating fin d
guidance on obtaining an officer qualification?
E l 82. I f a candidate f o r a certificate o f
com petency h as se rv e d in non-trading vessels,
w hat m ay the MCA do?
E l 83. Where can the se a service allow an ces
f o r service in non-trading ships be found?
•' C»rriag# m 'board ship o f STCW certi)ficates
E l 84. What are the requirem ents o f the ST C W
Convention concerning carriage on b o a rd ship
o f seafarer certificates?
.Flag State recognition o f certificates issued by other STCW P artim
E185. What a re the requirem ents o f the ST C W
Convention concerning recognition o f
certificates issu ed b y a S tate other than the fla g
State?
E l 86. U nder w hat circum stances do es the
ST C W Convention p e rm it a seafarer to serve on
a ship w ithout endorsem ent o f the f la g State
A dm inistration's recognition o f a certificate
issu ed by another A dm inistration?
UK Certificates o f Equivalent Competency
E I 87. What certificate must be h e ld by a
certificated officer servin g in a U K sh ip who
do es not h o ld a U K Certificate o f Com petency?
E l 88. Can U K C EC s be issu ed to applicants
holding C ertificates o f Com petency issu ed in
an y S T C W Convention P arty country?
E189. H ow long w ill a UK C E C rem ain valid?
E l 90. D oes the origin al ST C W C ertificate o f
C om petency have to be ca rrie d b y the h older o f
a U K CEC?
E l 91. D o es a U K C E C n e e d to be
revalidated?
E l 92. Where can d etails o f application
arrangem ents fo r C ECs be found?
E l 93. What docum ent m ay be issu ed b y the
MCA to allo w an applicant f o r a C E C to serve
as an officer in a U K ship before the C E C is
issued?
E l 94. When w ill a Confirm ation o f R eceipt o f
A pplication be issu ed b y the RSS, a n d who w ill
they sen d it to?
E l 95. F or h ow long w ill a Confirm ation o f
R eceipt o f A pplication a llo w an applicant to
serve in a UK ship w ithout a CEC?
E l 96. U nder w hat circum stances can a
T em porary C E C be obtained, a n d fo r h ow long
w ill it be valid?
C ertification o f s h im 'c o o k s '
E l 97. Which ILO Convention concerns the
certification o f ships ’ cooks?
In M GN 91 (Training and Certification Guidance Part 1).
In M GN 92 (Training and Certification Guidance Part 2), This explains the
choice o f pathways to certification.
(1) Count ail or part o f his sea-tim e towards the required qualifying sea service,
or (2) limit his certificate, temporarily or permanently, for service only in
certain ship types or trades.
In a table in M GN 92 (Training and Certification Guidance Part 2). There is
also a table for service in tugs.
Regulation 1/2 o f the Annex to the STCW Convention provides that, subject to
certain provisions (relating to service without the flag State’s endorsement o f
its recognition o f another State’s certificate), any certificate required by the
Convention must be kept available in its original form on board the ship on
w hich the holder is serving.
Regulation f/10 o f the Annex to the Convention contains provisions for the
recognition o f a certificate issued to a master, officer or radio operator by or
under the authority o f another STCW Party. The endorsement may be on the
certificate or may be issued as a separate document by the flag State.
Regulation f/10 o f the Annex to the Convention allow s a flag State to permit a
person holding an appropriate and valid certificate issued and endorsed by
another STCW Party to serve (other than as radio operator) on its ships for up
to 3 months i f it has not yet been endorsed by the flag State as being
recognised for service on its ships. In such a case, documentary proof that
application for endorsement has been submitted to the flag State must be
readily available (for flag State or port State control inspection). (This allow s
em ployers to m ove seafarers between ships o f different flag States.)
J
A Certificate o f Equivalent Competency (CEC), either o f Grade 1 (Master) or
Grade 2 (D eck O fficer or Engineer Officer), as appropriate, issued by the
Registry o f Shipping and Seamen (R SS), Cardiff.
N o. UK CECs are only issued to holders o f Certificates o f Com petency issued
in STCW countries w hose standards o f com petency and administration
arrangements have been assessed by the M CA as equivalent to those o f the
UK.
For as long as the original STCW Certificate o f Com petency remains valid.
Yes. The original STCW Certificate o f Com petency must be made available
for inspection by duly authorised persons.
Y es, every 5 years. The original STCW Certificate o f Com petency has to be
revalidated first with the issuing Administration and sent to the RSS with a
valid M edical Fitness Certificate.
In M GN 22! (Training and Certification Guidance Part 19), as amended by
M IN 340.
A Confirmation o f Receipt o f Application - Certificate o f Equivalent
Com petency, details o f which are given, with a specim en copy, in MIN 340.
A CRA is only issued when the RSS has received a com plete CEC application
from a shipping company. The application is assessed by the CEC Team and if
requested, a CRA is faxed to the shipping company.
For a period not exceeding three months. (This is the maximum period
permitted in accordance with para. 5 o f Regulation 1/10 o f the 1995
Amendments to the STCW Convention.)
An applicant for a full CEC as master can be issued by the M CA with a
temporary CEC for a maximum o f 6 months, where, for example, longer than 3
months is required to obtain the U K Legal and Administrative Procedures
(UK LAP) Grade 1, or where the M CA has not received verification o f the
STCW Certificate o f Competency. EU and EEA nationals may alternatively
serve an Adaptation Period of up to 6 months in a lower rank. A full (5-year)
CEC w ill only be issued once all requirements have been met and verified by
the M CA, (M IN 340)
J
Convention N o. 69 (the Certification o f Ships’ Cooks Convention, 1946).
THE SHIPMASTER’S BUSINESS SELF-EXAMINE-

E l 98. Where can the M CA's guidan ce be
foun d on the certification o f s h ip s ' cooks?
C ertification o f Ship Security O fficers
E l 99. A Ship Security O fficer holds an SSO
qualification obtain ed before 1 January 2008.
D oes he have to obtain a new C ertificate o f
P roficien cy a s SSO?
E200. Where can the M CA's guidan ce on Ship
Security O fficer certification be found?
E201. A c h ie f officer com pleted his Ship
Security O fficer training in a fo reig n country. Is
he qu alified to be SSO on a U K ship?
MANNING Soe also SAFE MANNING DOCUMENT in Section D
SOLAS requirem ents fo r safe manniru 9 and a Minimum
E202. D oes SO LAS contain any requirem ents
f o r safe manning?
E203. D oes SO LAS contain any requirem ent
f o r a Safe Manning D ocum ent?
UK requirements for safe manning
E204. Which U K regulations g iv e effect to the
SOLAS minimum safe m anning requirem ents?
E205. What guidan ce on m anning levels does
MSN 1767 contain?
E206. Who has the respon sibility to m ake an
assessm ent o f the num bers a n d g ra d es o f
person nel n ecessary f o r safe operation, security
a n d pollution preven tion?
E207. What IM O docum ent sh ould ow ners o r
operators consult when determ ining safe
manning levels?
E208. When w ill the MCA consider a ship to
be safely manned, according to the guidan ce on
its w ebsite?
Saftinq short-handed
E209. Is sailin g sh ort-han ded a llo w e d by the
MS (Safe Manning, H ours o f Work a n d
Watchkeeping) R egulations 1997?
E 210. D oes the MCA have a n y p o w e rs to
exempt a ship fro m m anning regulations?
E2I1. A U K s h ip ’s th ird engineer is absent
i without leave two hours before sailing. What
action sh ould the m aster take?
E212. What are the p o ssib le consequences o f
sailin g without a crew m em ber liste d on the
Safe M anning D ocum ent?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
119
In Merchant Shipping N otice M .1482, 'which was published in 199!,
See aim Training of Ship Security Officers in this Section
SSO qualifications obtained before 1 January 2008 can continue to be
recognized by flag State Administrations until 1 July 2009. From I M y 2009
all SSO s must, hold a Certificate o f Proficiency as a Ship Security O fficer in
accordance with STCW Regulation VI/5 and STCW Code Section A-VI/5,
In M IN 372 - Skip Security O fficer C ertification: changes and M IN 379 - Ship
Security O fficer C ertification - Recognition.
In M IN 379 (Ship Security Officer: Recognition) the M CA states that it w ill
accept an SSO certificate issued by another Administration if: (1) the M CA
already accepts that country’s Certificates o f Com petency towards the issue o f
U K CECs; and (2) the SSO Certificate is issued under STCW Code A -V I/5.
M IN 379 lists EU/EEA and non-EU/EEA countries w hose CoCs w ere (in
February 2 0 10) accepted by the M CA. Because that list may have since been
updated, the M C A ’s website should be consulted for the current list, or the
M CA should be contacted to check for any update.
Safe Manning Document
Y es. SO LAS regulation V /14.1 provides that "C ontracting G overnm ents
undertake, each fo r its national ships, to maintain, or, i f it is necessary, to
adopt, m easures f o r the p u rp o se o f ensuring that, from, the p o in t o f view o f
safety o f life a t sea, all ships sh all be sufficiently a n d efficiently m an n ed”.
Yes. SO LAS regulation V /14.2 provides that "every sh ip to which (SOLAS)
C hapter I applies sh all have an appropriate minimum safe m anning docum ent
o r equivalent issu ed bv the A dm inistration a s eviden ce o f the minimum safe
m anning con sidered necessary to com ply with the provision s o f paragraph 1 ”.
(Ships to which SOLAS Chapter I applies are ships engaged on international
voyages.)
The MS (Safe Manning, H ours o f Work a n d W atchkeeping) R egulations 1997.
Guidance on their requirements is in M SN 1767-
Tables showing appropriate (but non-mandatory) manning levels for deck
officers and engineer officers on ships o f various sizes and registered power in
the Unlim ited arid Near-coastal trading areas.
The ship’s owner or operator.
IMO Resolution A .890(21), which contains the Principles o f Safe Manning, as
amended by Resolution A .955(23).
The M CA w ill consider a ship to b e safely manned if the crew includes
sufficient officers and ratings with appropriate skills and experience to ensure
that the principles set out in IMO Resolution A .8021) as amended are com plied
with and that the; capabilities spelt out in that Resolution are available. The
Resolution should be consulted when determining safe manning levels.
N o. Under regulation 5(1) a Safe M anning Docum ent must always be in force
and on board, and the m anning o f the ship must be maintained at all tim es to at
least the levels specified in it. Under Regulation 5(2) the master must ensure
that the ship does not proceed to sea unless there is on board a valid SM D and
the manning o f the ship com plies wi th it. There are no provisions permitting
sailing short-handed with respect to the SM D.
Y es. Under section 48 o f the M erchant Shipping A ct 1995 the MCA can grant
an exemption for a particular period or one or more particular voyages. In
practice this power is rarely used, however.
The full com plem ent listed on the Safe M anning Docum ent must be on board
when going to sea. If the third engineer forms part o f the engine room OOW
com plem ent listed on the SM D, the ship should not sail until a replacement is
engaged. The master should discharge the absent engineer from the Crew
Agreement, land his gear to the agent, and engage a qualified replacement.
(1) Prosecution o f the owner and master in the U K for breach of: (a) The MS
(Safe Manning, H ours o f Work a n d Watchkeeping) R egulations 1997; and (b)
section 49 o f the M erchant Shipping A c t 1995 (Prohibition o f going to sea
undermanned); (2) detention o f the ship at a U K port; (3) detention o f the ship
at a non-UK port by a port State control inspector; (4) loss o f defences to
120
Rating categories
E213. What g ra d es o f rating in U K ships are
p ro v id e d fo r in M G N 9 7 (Training a n d
C ertification G uidance P a rt 10)?
E214. What are the qualifying requirem ents
f o r a Trainee R ating (Deck) o r (Engine)?
E215. What a re the qualifying requirem ents
f o r a D eck R ating G rade 2?
E 2 16. What a re the qualifying requirem ents
f o r a D eck R ating G rade 1?
E 2 1 7. What a re the qualifying requirem ents
f o r an AB C ertificate?
E 2I8. W hat is the qualifying exam in the U K
f o r an AB Certificate?
E 2 19. Whai are the qualifying requirem ents in
the U K f o r an E D H Certificate?
E220. What are the qualifying requirem ents in
the U K f o r Engine-Room Rating?
E221. What are the qualifying requirem ents in
the U K fo r G P R ating G rade 1 ?
E222. Where can a G P R ating G rade 1 be
em ployed?
E223. What are the qualifying requirem ents in
the U K fo r G P R ating G rade 2?
E224. Where can a G P R ating G rade 2 be
em ployed?
Ganiaae o f ship's doctor
E225. Which U K regulations contain the
requirem ents f o r the carriage o f doctors in U K
sh ips?
E226, U nder the Ships ’ D octors Regulations,
which U K sh ips m ust c a rry a doctor?
Carriage o f ship's cook
E227. Which U K regulations contain the
requirem ents f o r the carriage o f a certificated
s h ip ’s cook in U K ships?
E228. Which U K ships must c a rry a
certificated s h ip ’s c o o k qu alified in accordance
with The M S (Certification o f Ships ’ Coolcs)
R egulations 1981?
E229. H ow m any certificated sh ips ’ cooks w ill
usually b e sp ecified o n the Safe Manning
Docum ent o f a U K cruise ship?
CREW AGREEMENTS
Crew Agreements in UK ships
E230. Which international convention governs
C rew A greem ents?
claim s for cargo loss or damage; (5) possible loss o f Hull & Machinery
insurance cover (breach o f “due diligence” requirement).
........ .. • ” ...... ............ — ...... “..... ............ .............. ........... .— ............... ■- ......
Trainee Rating (D eck or Engine Departments), D eck Rating Grade 2, Deck
Rating Grade 1, Able Seaman Certificate, EDH Certificate, Engine-Room
Rating, GP Rating Grade 1, GP Rating Grade 2.
The person must: (1) be at least 16; (2) be m edically fit; and (3) have had
Personal Survival Techniques (PST) and Familiarisation Training before being
assigned to duties on board. (A trainee w ho is sponsored by a UK JobCentre, is
not part o f the normal crew and w ill not be on board more than a month does
not need PST.)
The person must: (1) be at least 17; and (2) have done all four elem ents o f
B asic Training, Som e alternative qualifications are described in M GN 97.
The person must: (1) hold an A B Certificate; or (2 ) have 36 m onths’ sea
service ( o f which at least 12 months must be in the deck department) and have
met the requirements for Deck Rating Grade 2.
The person must (1) be 18 or over; (2) have a Watch Rating Certificate; (3)
have obtained an EDH Certificate or a V Q 2 in Marine V essel Operation; (4)
have have obtained a Certificate o f Proficiency in Survival Craft and Rescue
Boats (CPSC RB) or a CPSC or a Lifeboatman Certificate; (5) produce proof o f
medical fitness; and (6) have com pleted 24 m onths’ sea service iri the deck
department or 36 months as a GP rating, o f which at least 12 months must have
been on deck duties.
The EDH exam. The syllabus is in M GN 97 (Training and Certification
Guidance Part 10).
The person must (1) be 17 or over; (2) have at least 12 m onths’ sea time in the
deck department o f sea-going merchant ships, and (3) have a Navigational
Watch Rating Certificate or a Steering Certificate.
The person must: (1) have obtained an Engine-Room Watch Rating (EW R)
Certificate; and have either (2) completed the four elem ents o f Basic Training
or (3) have completed acceptable survival and fire-fighting training and more
than 6 m onths’ sea service.
The person must: (1) m eet the requirements for D eck Rating Grade 1; and (2)
hold an Engine Room Watch Rating Certificate.
Where the Safe Manning D ocum ent stipulates the requirements for Deck
Rating Grade 1 or 2, or Engine-Room or GP Rating.
The person must hold a Navigational Watch Rating Certificate as w ell as an
Engine Room Watch Rating Certificate,
Where the Safe M anning Docum ent stipulates the requirements for D eck or GP ■
Rating Grade 2 or Engine-Room Rating.
The MS (S h ips’ D octors) R egulations 1995 (SI 1995/1803), which implement a J
requirement, relating to a ship’s doctor, o f Council Directive 92/29/EEC .
Guidance on their requirements is in M .1627.
Shins with 100 persons or more on board when engaged on: (1 ) an
international vovaee o f more than three davs; or (2) a vovage during which the 1
ship is more than one and a h alf davs’ sailing time from a port with “adequate
medical equipment”. N o exem ptions are permitted.
The MS (C ertification o f S h ip s’ Cooks) Regulations 1981 (SI 1981/1076).
Guidance on their requirements is in M. 1482, to which there is an addendum.
Ships o f 1000 GT or more (except pleasure craft and fishing vessels) which go |
to sea beyond the Near Continental Trading Area, provided the majority o f the 1
crew are dom iciled (i.e. have a legal place o f residence) in the UK. (The now- j
defunct Near Continental Trading Area extended from 62°N latitude on the
Norwegian coast to Brest on the N W French coast, enclosing ail the British
Isles and much o f the N W European coast.)
Only one. A sh ip’s cook is defined in ILO Convention N o. 69 as the person
directly responsible for the preparation o f m eals for the crew o f the ship. The
numerous other cooks normally carried on such ships are not required The by
MS (C ertification o f Ships ’ Cooks) Regulations 1981 to hold a Certificate o f
Competency as a Ship’s Cook.
ILO Convention 22 (Seam en’s Articles o f Agreement Convention, 1926). The 1
U K is a Party to it, : . .
THE SHIPMASTER’S BUSINESS SELF-EXAMI

E231. W hich U K regulation s g o v e rn C rew
A greem ents in U K sh ips?
E232. U nder the M S (C rew Agreem ents)
Regulations, which sh ips an d voyages are
exem pt fro m the statu tory requirem ents on
C rew A greem ents?
E233. What docum ents must be c a rrie d by a
U K sh ip which is exem pted fro m the
requirem ent to have a C rew A greem ent?
E234. Which perso n n el in a U K ship m ust be
em ployed under a C rew Agreem ent?
E235. Where sections o f a U K sh ip 's crew are
em ployed by different em ployers, how m any
crew agreem ents sh o u ld there he?
E236. Who is inclu ded in the term "seaman "
in U K legislation on C rew Agreem ents?
E237. A m aster jo in s a UK-flag, 140 GT, 69
N T p a ssen g er fe r r y on a U K dom estic s e iv ic e
a n d fin d s that none o f the crew a re on a C rew
Agreement. Is this perm itted?
E238. I f the crew o f a sm all fe r r y d o n ’t sign a
C rew Agreem ent, where is their contract with
the em ployer?
E239. U nder U K crew agreem ents legislation,
which person s are exem pted fro m the
requirem ent to sign a C rew Agreem ent?
I E240. I f the m aster is not a ",seam an " fo r the
purposes o f U K legislation on Crew
Agreements, w h y is he not included in the
| categories o f person s exem pted fro m the
requirem ent to sign a C rew A greem ent?
I E24I. What sh ou ld the contractual p rovision s
I o f a C rew A greem ent in a U K sh ip govern,
1 according to M G N 148?
1 E242. U nder ILO Convention 22, what
Jurations are p e rm itted fo r C rew A greem ents?
1 E243. What fo rm s o f C rew A greem ent are
| perm itted b y the MCA fo r use in U K sh ips ?
Voyacw Agreements
-244. What is a Voyage A greem ent?
'H E SHIPMASTER’S BUSINESS SELF-EXAMINER
121
The M S (C rew A greem ents, L ists o f C rew a n d D isch arge o f Seam en)
R egulations 1991 (SI 1991/2144). Guidance ori their requirements is in M GN
148.
(1) A ship owned by a general lighthouse authority; (2) a ship o f less than 80
register tons engaged so lely on coastal voyages; (3) a pleasure yacht on a
coastal voyage, or any other voyage i f no more than 4 crew are paid; and (4) a
coastal voyage b y any ship solely for th ; purpose o f trials o f the ship, its
machinery or equipment. “Coastal voyage” means a voyage between places in
the British Islands, including the Republic o f Ireland.
(1) An Exem ption Certificate issued by the MCA; and (2) a List o f Crew
Exempted from the Requirement to Sign a Crew Agreem ent (A L C 1(b)).
Except w here there is a statutory exem ption, an agreement in writing must be
made between each person em ployed as a seaman in a U K ship and the persons
em ploying him.
One agreement between each em ployer and the persons on the ship em ployed
by that employer. (See anoth er question on this under BSF a n d NFD
Conditions, below .)
Every person (except masters and pilots) em ployed or engaged in any capacity
on board any ship. (Section 313, M erchant Shipping A ct 1995)
Y es. Since the ship is o f less than 80 n ei tonnage and operates on coastal
voyages, she is exem pt from the requirement to have a Crew Agreement. A ll
crew should, however, be listed on a List o f Crew for Exempted Seamen
(A L C l(b )).
Elsewhere - probably in an agreem ent made through their union, or between
each individual and the employer.
(1) A person em ployed in a ship solely in connection with the construction,
alteration, repair or testing o f the ship, its machinery or equipment, and not
engaged in the navigation o f the ship; (2) a person solely em ployed in work
directly related to: (i) the exploration o f the seabed or sub-soil or the
exploitation o f their natural resources; (ii) the storage o f gas in or under the
seabed or the recovery o f gas so stored; (iii) the laying, inspection, testing,
repair, alteration, renewal or removal o f any submarine telegraph cable; or
(iv) pipeline works; or (v) the provision o f goods, personal services or
entertainment on board, and w ho is not em ployed by the owner or the person
em ploying the master o f the ship and is not engaged in the navigation o f the
ship in the deck, engine room, radio, medical or catering department o f that
ship and w ho has been given a written statement o f his em ploym ent conditions
by his employer; and (3) a member o f the naval, military or air forces o f the
Crown or o f any service administered by the D efence Council, when acting as
such a member.
B y virtue o f the definition o f “seaman” in section 313 o f the M erchant
Shipping A ct 1995, Part I o f the M S (C r ew Agreem ents, L ists o f C rew a n d
D isch arge o f Seam en) Regulations 1991, which deals with Engagem ent o f
Seamen, does not apply to a master, in other words the master is ex cep ted (as
distinct from exem pted) from the requirements o f Part I. This is because the
master is the em ployer’s representative (or in legal term inology, agent) for the
engagem ent o f seamen, and not a seaman himself.
(1) The persons between w hom the agreement is made; (2) the description o f
the voyage or voyages to w hich the agreement relates, with geographical limits
and/or duration; (3) the capacity in w hich each seaman is to be em ployed, (4)
his/her pay, hours, leave and subsistence, which may be dealt with w holly or in
part by incorporation o f provisions o f NM B Agreem ents current on 30
September 1990; (5) other rights and duties o f the parties to the agreement; (6)
the terms under which either party m ay give notice to terminate the agreement;
and (7 ) the circumstances in which, notwithstanding the notice provisions, the
agreement m ay be terminated b y either party.
An agreement m ay be made either for: (1) a definite period; or (2) for a voyage
or (3), i f permitted by national law, for an indefinite period.
(1) V oyage Agreements; (2) Running Agreements; and (3) Indefinite
Agreements.
A crew agreement which expires at the end o f one round voyage, e.g. from a
U K port to Far East ports, and back to the UK. Until the 1970s, V oyage
Agreem ents were com m only used in numerous U K ships on liner services to
and from U K ports, but are now much less com m on, m ost crews being
em ployed under Running Agreements.
122
E245. In a Voyage Agreem ent, h ow a re the
g eograph ical lim its o f the “v o y a g e ” fixed?
E246. The crew o f a U K ship is en gaged on a
sta n d a rd U nlim ited Trading Voyage
Agreem ent. U nder w hat conditions m ay a
seam an g iv e notice to term inate his agreem ent?
E247. The ship in the la st question is due to
p ro c e e d to the U K fro m a continental a rrival
p ort, but is delayed. What a re the N otice C lause
requirem ents o f a sta n d a rd U nlim ited Trading
Voyage A greem ent in such a case?
E248. What is a Rim A greem ent?
Running Agreements
E 249. What is a Running Agreem ent?
E250. What action m ust be taken when a
Running A greem ent expires during a voyage?
E251. Is an NFD A greem ent a Voyage
A greem ent o r a Running Agreem ent?
indefinite Agreements
E252. What is an Indefinite A greem ent?
E253. A re Indefinite A greem ents a llo w ed
under international law ?
E254. D o e s the MCA p erm it the use o f
Indefinite Agreem ents?
E255. In which U K sh ips does the MCA
p e rm it the use o f Indefinite A greem ents?
E256. Why does the MCA on ly ap p ro ve the
use o f Indefinite A greem ents in the N ear
C oastal A rea?
E257. A U K ship has a n Indefinite Agreement.
When w ill it expire?
E 258. W hat n on -standard contractu al clauses
m ust an Indefinite Agreem ent contain?
E259. Where a ship has an Indefinite
Agreement, w hat list m ust be sen t to the MCA?
BSF and NFD clauses v I
E260. What sta n d a rd contractu al clau ses are
a p p ro v e d b y the MCA f o r use in C rew
A greem ents in U K ships?
E261. What are the BSF clauses?
The port where the voyage is to com m ence and the country in w hich the
voyage is to end (at a port to be determined by the master) are entered in the
V oyage Clause o f the agreem ent’s terms. The limits o f north and south latitude
are also entered.
A ny crew member who has served for at least 3 calendar months m ay g ive his
notice not later than 7 days before the ship is due to arrive at any port in the
country specified in the N otice Clause. However, his notice w ill not take
effect: (a) i f the ship is due to proceed to a port in the U K without leaving the
Near Coastal Area; or (b) i f the ship is due to reach a port in the UK within 7
days o f leaving the Near Coastal Area.
If the voyage is not ended within 7 days after the ship has arrived at the first
port o f call in the country specified in the N otice Clause, then after the expiry
o f that period any crew member w ho has served for at least 6 calendar months
may give at least 48 hours’ notice to the master to terminate his engagem ent at
that port or a subsequent port o f call before the final port. If the voyage is not
ended within 14 days after the ship has arrived at the first port o f call in the
country o f final destination, then after the expiry o f that period any member o f
the crew who has served under this Agreement for a minimum period o f 3
calendar m onths may sim ilarly give notice.
A “minimum terms” voyage agreement for a one-w ay voyage, e.g. a scrapping
voyage or delivery voyage.
A crew agreement extending over tw o or more voyages. Running Agreements
were originally intended for use in ships trading to foreign ports but making
frequent returns to the U K , and were restricted to 6 months in duration.
N ow adays, a 12-month Running Agreem ent may be used in m ost UK ships
trading in the Unlimited Area, whether they return to the U K or not.
The persons em ployed under it must be discharged from the Agreem ent and, if
their service on the ship is to continue, they must be engaged on a new
Agreement.
It may be either, as indicated by the words in clause (ii): “this A greem ent sh all
be for a vo va ee o r vovaees .... ”. The vast maioritv o f N F D Agreem ents are
used as Running Agreements.
A Crew Agreement that runs without limit o f tim e, and which may be
terminated at any tim e by a party to it.
Yes. ILO Convention N o. 22 (Seam en’s Articles o f Agreem ent) permits their
use.
Y es, as explained in M GN 148.
Ferries and other v essels trading within the Near Coastal area, unless the
employer is prepared to accept the higher repatriation costs associated with
other types o f agreement.
To protect employers from high repatriation costs. Seafarers em ployed under
an Indefinite Agreement can give notice at any time, irrespective o f the
location o f the ship, and this could im pose an unreasonable financial burden on jj
the em ployer
It w ill not expire at the end o f any particular period so long as the crew
maintain a regular duty/leave rota.
In addition tc- the contractual provisions contained in a standard agreement,
indefinite crew agreements must state: (1) the intervals at which wages are to
be paid; (2) the method o f calculating leave entitlement; (3) the maximum
period that a seaman can be required to remain on board between leave periods 1
(in many cases a copy o f the duty rosters w ill be sufficient); and (4) the notice I
required from each party to terminate a seam an’s em ploym ent under the
agreement.
The owner must deliver a list to the M CA every 6 months o f all crew changes 1
made in the last 6 months.
(1) BSF clauses, printed on form A L C (B SF )l(d ); and (2) N F D clauses, printed 1
on form A L C (N F D )l(d). They are reproduced in M GN 148.
A set o f contractual clauses for incorporation in crew agreements o f ships to
which the National Maritime Board (N M B) Agreem ents applied up to 30
September 1990, when the NM B was disbanded. (The British Shipping
Federation (BSF) was a member o f the NM B, along with the UK seafarers’
unions.) The BSF clauses incorporate the Trust D eed and Rules o f the
Merchant N avy O fficers’ Pension Fund and Merchant N avy Ratings Pension
Fund, the Merchant N avy Code o f Conduct, and many other detailed terms
THE SHIPMASTER'S BUSINESS SELF-EXAMIN
 123
E262. What is a BSF agreem ent? A crew agreement incorporating the BSF clauses. The officers in som e
passenger ships are still em ployed under BSF agreements.
E263. What a re the NFD clauses? A set o f “m inimum terms” contractual clauses w hich com ply with ILO
Convention 22 (Seam an’s Articles o f Agreem ent Convention, 1926).
E264. What is an NFD agreem ent? A crew agreement incorporating the N F D clauses. This is the m ost com m on
form, o f agreement nowadays in U K ships.
E265. What do ‘‘BSF" a n d "NFD " sta n d fo r? B SF stands for ‘ British Shipping Federation” N F D stands for “N on-
Federated”
E266. Is an NFD agreem ent a voyage It can be used as either. Its V oyage Clause (clause ii) provides that “this
agreem ent o r a running agreem ent? A greem ent sh a ll b e fo r a voyage o r voyages
E267. Can a U K ship have different sections Y es In som e cruise ships, for exam ple, the officers are on a BSF Agreement
o f its crew em ployed under different with em ployer “A ” (with an address in ':he U K ), w hile the deck and engine
contractu al terms, e.g. som e on a BSF room ratings are on an N F D Agreement with em ployer “B ” (a Cyprus ship
agreem ent a n d others on NFD agreem ents? management company), and the hotel staff are on another N F D Agreement
with em ployer “C” (a H ong K ong hote! staff agency). Each agreement is on a
separate form ALC 1(d) (se e below ) bearing the relevant em ployer’s name and
address, but all agreements must be contained in the same ALC1 outer cover.
Multiple Ship Agreements
E268. What is a M ultiple Ship Agreem ent? An M CA-approved Crew Agreem ent relating to more than one ship, permitted
under section 25(2)(b) o f the M erchant Shipping A ct 1995. It can be used, for
exam ple, where an employer has several ships operating from the same port
and needs to be able to em ploy crews flexibly on any ship during the term o f
the agreement.
E269. In w hat fo rm m ust a M ultiple Ship The same form, and containing the same provisions, as a standard Running or
Agreem ent he? V oyage Agreem ent, except that the nam e o f each ship to which it relates is
entered on the outer cover (ALC1). The original agreement is kept ashore (e.g.
in the personnel office), and each ship carries a copy agreement which must be
certified b y the ship’s master as a true copy and must specify the address where
the original is kept, as w ell as the name o f the person keeping it.
Preparation o f Crew Agreement documents
E270. What are the various p a rts o f an The follow in g M CA forms: (1) ALC1; (2) ALC 1(a); (3) ALC 1(b); (4)
Agreem ent a n d List o f C rew docum ent? ALC 1(c); and (5) ALC 1(d). (ALC stands for Agreement and List o f Crew.)
E271. Where can A greem ent a n d L ist o f C rew From M CA Marine O ffices in the U K , or from Proper O fficers (e.g. British
1 docum ents f o r U K sh ips b e obtained? Consuls) abroad. They are provided in large brown envelopes containing all
the forms and gummed slips to be assem bled to make up the Crew A greem ent
and List o f Crew document. An Officia* Log B ook is also included.
j £272. What is fo rm A L C I? The outer cover in which the other A greem ent and List o f Crew documents
must be affixed. It has boxed sections on the front w hich the master must sign
when the Agreement and List o f Crew is com m enced or terminated,
E273. What is fo rm A L C I (a)? The List o f Crew and Signature o f Seamen W ho Are Parties to the Crew
Agreement, on which ordinary crew members sign on (An easy w ay to
remember this is: “a” for “Agreem ent” .)
F E2 74. What is fo rm A L C 1(b) ? The List o f Cre w Relating to Seamen Exempted Under Section 25(5) o f the
Merchant Shipping A ct 1995 from the Requirement to Sign a Crew
Agreement, such as supernumeraries, riding gang, supercargo, concessionaires,
etc. (An easy w ay to remember this is: “b” for “Ballast”.) The master should go
on this list, since he or she is a “seaman '’ for the purposes o f Part II (Lists o f
Crew) o f The MS (C rew Agreem ents, L ists o f C rew a n d D ischarge o f Seam en)
Regulations 1991. Anyone on the A L C !(b ), i f em ployed, should have a
contract elsew here than in the Crew Agreement. Their details are entered on
the A L C l(b ), but they do not sign it.
E2 75. What is fo rm ALC1 (c) ? The List o f Y oung Persons. (An easy w ay to remember this is: “c ” for
“Children5'.) It is a summary list o f any under-18 persons listed on the ALC 1(a)
or the ALC 1(b). They do not sign the ALC 1(c).
E276. What is fo rm A L C l(d )? The Contractual Conditions o f the Crew Agreement. (An easy w ay to
remember this is: “d” for “D o ’s and D e n ’ts” .) The BSF form has green text and
a blank space for affixing a suitable V oyage and N otice Clause. The NFD
version has black text and incorporates a V oyage and N otice Clause. When
crew sign the ALC 1(a) they are signing their acceptance o f the conditions in
the ALC 1(d). The master or the em ployer’s representative must sign the form
after entering the em ployer’s name, voyage details, notice period required, etc.
E277. What is fo rm ALC6? The Crew C opy o f the Agreement. It is an A 5-size sheet on which the master
com pletes som e ship and com pany details, and then affixes a copy o f the
ALC 1(d) com pleted in exactly the same w ay as the one in the ALC1 outer
cover, including any additional clauses The ALC6 is then posted up
som ewhere where the crew can read it at any time during the voyage (e.g. in
the messroom ) so that they can readily ascertain the terms and conditions o f
their A greem ent If there is more than one ALC 1(d) (for different sections o f
the crew), a copy o f each one must be affixed to the ALC6.

THE SHIPMASTER’S BUSINESS SELF-EXAMINER

124
E278. A recen tly-com pleted newhuilding is
sh ortly to s a il fro m the Chinese b u ild e r’s yard.
The crew w ill jo in , w ith som e wives, later
today, a n d a re to b e en g a g ed on a 12-month
N F D Running Agreem ent. H ow sh ou ld the
n ecessary docum ents be p rep a red ?
E 2 79. What clau ses m ust be affixed to the
blank copy o f the A L C l(d ) when assem blin g the
A L C docum ent?
E280. What agreem ents m ight an A dditional
C lause cover?
Voyage and Notice Clauses
E281. Which clau ses in a C rew A greem ent a re
the Voyage Clause a n d the N otice C lause?
E282. What d o es a Voyage C lause state?
E283. What Im itation s are im posed by the
MCA on the use o f voyage clauses in fixed-term
C rew Agreem ents?
E284. Is the a p p ro v e d duration o f a Crew
A greem ent su bject to an y addition al p erio d ?
E 285. W here m ay a voyage en d under a
Voyage Agreem ent?
E286. What a re the usual lim its o f latitude to
be written on the d o tte d lines in the Voyage
C lause fo r a ship trading w orld-w ide?
E287. What w o u ld be the legal effect o f taking
the crew b eyon d the lim its sta te d in th eir C rew
A greem ent?
E288. What does a N otice Clause state?
E289. I f a seam an wants an e a rly discharge,
h ow must he g iv e notice?
E290. A seam an who has been on b o a rd f o r a
w eek dem ands his discharge on the grounds
that the ship is in the U K N ear-C oastal A rea. Is
he en titled to it?
A ssum ing the pack o f ALC documents is to hand, proceed as follow s: (1)
A ssem ble all ALC document pages (A L C l(a), (b), (c) and (d)). (2) Complete
front cover details on ALC1 and on the O fficial L og B ook (OLB). (3)
Com plete the V oyage and N otice clause in ALC 1(d) with the voyage limits
and notice period required (4) Affix in Clause (v) on ALC 1(d) any M CA-
approved Additional Clauses required by the em ployer, e.g. incorporating
com pany rules o f conduct, drug and alcohol policy, union agreements, etc. (5)
M ake a copy o f ALC 1(d) and copy LOC for sending to the em ployer (unless a
separate list i s to be sent), and another copy o f ALC 1(d) to post up on ALC6.
(6 ) Enter m aster’s details on ALC 1(b) using an “E” reference number, e.g.
“E 01”. (6) Copy load line and freeboard details from the fntemational Load
Line Certificate onto the special page in OLB. (8) Make entries in narrative
section o f OLB re- appointment as master and opening o f new Agreement and
List o f Crew, (9) Prepare to make entries in ALC 1(a) and (b) as crew members
and others are engaged, and add their reference numbers and nam es to list
inside OLB front cover. (10) Have any additional docum ents referred to in the
crew agreem ent (e.g. com pany’s Drug and A lcohol P olicy or Sm oking Policy)
and a Schedule o f Duties (as required by the H ours o f Work R egulations) on
display.
In the case o f a BSF agreement: in the space for Clauses (ii) and (iii), the
appropriate V oyage and N otice Clause selected from the slips enclosed in the
pack, and, i f required, in the space in Clause (iv)(c), one or more Additional
Clauses to cover any non-standard agreements made between the crew and the
employer. (A V oyage and N otice Clause need only be pasted onto a BSF
agreement, since the N F D agreement has a printed V oyage and N otice Clause.)
Agreem ents reached on matters such as radio officers’ hours o f work; local
working arrangements; RFA crew and use o f weapons; amendments to the MN
Code o f Conduct (e.g. additional breaches related to the service o f the ship,
drug and alcohol policy, etc.); com pany rules o f conduct (on NFD ships).
. ■'
Clauses (ii) and (iii) respectively. In a BSF Agreem ent the appropriate V oyage
and N otice clause (for either Unlim ited Trading, Running Agreem ent
(Unlim ited Area) or Running Agreem ent (Near-Coastal Area) has to be
selected and inserted in the space provided.
The duration o f the em ploym ent (in months); its geographical limits; and the
port where the voyage com m ences. These details must be inserted before
signing any person on to the Crew Agreement.
A Running Agreement m ay be for a maximum o f 6 months for a vessel
engaged in frequent short voyages, e.g. a ferry, unless the vessel has a small
crew and a low staff turnover, in which case the agreement may be extended to
12 months. Any other Running Agreement may be for 12 months. A V oyage
A greem ent may have a duration o f up to 24 months. These periods are subject
to any additional period provided for in associated notice clauses. The
geographical limitations o f a voyage clause should be clearly stated when the
clause is com pleted and used. Subject to these limitations, the duration in a
V oyage Clause is open for agreement between the parties in a fixed-term crew
agreement.
Y es, as provided for in its N otice Clauses.
At a port in a country named in the V oyage Clause. (The country’s name
should be entered by the person preparing the ALC documents.)
75° north latitude and 60° south latitude for m ost cargo ships. However, higher
latitudes may be appropriate for som e ships, such as cruise ships (80° or 85°
north and 62° south) and polar supply/research ships.
It would amount to a breach o f contract by the em ployer, for which the seamen J
could bring a legal action for damages, C'harterparty terms may therefore be
restricted by the terms o f the Crew Agreement.
The conditions under w hich a person engaged under the agreement m ay give
notice to the employer to terminate his engagement.
In writing, or verbally before a w itness, in accordance with the terms o f the
N otice Clause in the Crew Agreement.
It depends on the type o f Crew Agreem ent and the terms o f the N otice Clause j
contained in it. He can read this on the Crew C opy o f the Agreem ent on the
ALC 6, which should be posted up in the crew accommodation.
THE SHIPMASTER’S BUSINESS SELF-EXAW !

E291. A UK fre ig h t f e r i y on a 6-month
Running A greem ent is trading betw een the U K
a n d Denmark. U nder w hat conditions m ay a
new crew m em ber claim his discharge in the
UK?
E292. I f the sh ip in the p reviou s question is
p ro ceed in g fro m the fir s t U K a rrival p o rt to
another, can the c rew m em ber's engagem ent be
p ro lo n g e d by the m aster f o r any fu rth er p e rio d ?
E293. A U K bulk ca rrie r on a 12-month NFD
Running A greem ent has been trading outside
Europe f o r a y e a r but is now bo u n d fo r
Antwerp. U nder w hat conditions m ay a crew
m em ber claim his discharge?_________________
E294. I f the sh ip in the p reviou s question h ad
re lu m e d to the U K a n d s a ile d fro m it again, but
the seam an h a d not given notice to term inate
his engagem ent in the UK, can he s till leave the
sh ip in A ntw erp?______________________________
E295. A sh ip on a 24-m onth Voyage
Agreem ent has been trading outside Europe f o r
a y e a r a n d is now boun d f o r a European port.
U nder what conditions can a seam an claim his
discharge?
E296. A seam an on a N ear-C oastal Running
A greem ent w ants to claim his discharge. When
can he d o this?
Lists o f Grew
E297. What L ists o f C rew m ust be m ain tain ed
on b o a rd a U K ship?
E298. Is a L ist o f C rew the sam e as a C rew
List?
E299. On which L ist o f C rew sh ould the
m a ster’s nam e a n d details appear?
E300. A 1 7-yea r o ld ca d et has sig n ed the
A L C I(a). Where else m ust his d etails be
recorded?
E301. What is the maximum duration o f a List
o f C rew?
E302. Why is an A L C l(c ) necessary in a Crew
A greem ent a n d List o f Crew?
E303. What details sh ould be entered on the
A L C l(c) - L ist o f Young P ersons under 18?
E304. Who can dem an d (under U K law ) to see
a sh ip's List o f Crew?
E305. A sm all fe r ry does not have C rew
Agreement. Should it have a L ist o f Crew?
Nationality and language requirements
E306. What nationality restrictions ap p ly to
she m aster o f a U K ship?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
125
After one voyage outside the Near-Coastal Area (e.g. to Denmark) or after the
minimum number o f days’ service (as stated in the N otice Clause) has been
com pleted, his engagem ent may be terminated in the U K , provided the U K is
the agreed termination country named in the N otice Clause and that he gives
the master at leas t the agreed minimum period o f notice stated in the clause
either in writing or verbally before a w itness
Y es. I f after arrival at the first port (in the U K in that particular case) the ship is
due to proceed to another port or ports in the same country, then
notwithstanding any notice given, the engagem ent w ill automatically continue
either until arrival at the other port (or the last port in the country i f more than
one), or for another 7 days from arrival at the first port, w hichever occurs first.
After either one voyage has been com pleted or 7 days have elapsed since his
em ploym ent under the Agreem ent com m enced, the seaman m ay g ive the
em ployer notice to terminate the Agreem ent as specified in its N otice Clause,
either in writing or orally before a witness.
N o He w ill be bound to serve for a further period o f 42 days from the date o f
the ship’s departure from the U K before being able to give 7 days’ notice as in
the last answer, provided the minimum 3 month period has expired.
H e must have been on the Crew Agreem ent for at least 3 months. H e must give
at least 7 days’ notice before the ship is due to arrive at any port in the country
named in the N otice Clause, His discharge can take place after expiry o f the
notice at a port in the named country to be nominated by the master. (The 3-
month requirement also applies to Unlim ited Running Agreem ents.)___________
After one voyage or 7 days’ service has been com pleted, whichever first
occurs. H is engagement can be terminated in a country named in the
Agr eem ent by the period o f notice stated in the N otice Clause. The notice
period excludes Saturdays, Sundays and public holidays.
(1) A List o f Crew w ho are Parties to the Crew Agreem ent (A L C l(a)); and (2)
a List o f Crew w ho are Exempt from the requirement to sign a Crew
Agreem ent (A L C l(b )) (e.g. concessionaires, riding crew, shore-based
technicians and other supernumeraries). A List o f Y oung Persons under 18
em ployed on board (A L C l(c)) must also be maintained.
N o. A List o f Crew required for engagem ent and discharge purposes should not
be confused with a Crew List (IM O FAL Form 5) maintained b y the master for
submitting to port officials.__________________________________________________
Although a master is not a “seaman” for the purposes o f the regulations on
Crew Agreements, he is a “seaman” for purposes o f the regulations on Lists o f
Crew, and should therefore enter his details on A L C l(b )
On the A L C l(c) List o f Y oung Persons Under 18. (H e doesn't sign the
A L C l(c) though it is only a summary o f details o f under-18 people employed
on board.)
Except where there is an Indefinite Agreement, a List o f Crew must remain in
force: (a) i f any person is em ployed in the ship under a Crew Agreement, until
all the persons employed under that Agreement in that ship have been
discharged; arid (b) in the case o f a ship engaged on coastal voyages for port
authorities, w hose crew are returned to shore within each period o f 24 hours,
for 12 months after the first entry relating to a seaman is made on the list; and
(c) in any other case, until the ship first calls at a port more than 6 months after
the first entry relating to a seaman is made in the list.
To m eet the requirements o f the M erchant Shipping A ct 1995 and The M S and
F V (H ealth a n d Safety a t Work) (Em ploym ent o f Young P ersons) Regulations
1998. The legislation im poses measures for the protection o f em ployees under
18 from risks to their health and safety and requires a separate list o f them to
be made.
(1) Reference number in List o f Crew; (2) surname and other names in full; (3)
date o f birth; (4) place o f birth; (5) capacity (If the capacity changes, the list
should be amended.)________________________________________________________
The RSS; an M CA superintendent, an M CA surveyor; and a UK Customs
officer- (N on-U K officials m ay have similar powers under port State laws.)
Y es, even though there may be no requirement for a Crew Agreement, there
must be a List o f Crew for Exempted Seamen. The crew should be listed on an
A L C i(b). _
The M S (Officer Nationality) Regulations 1995 provide that the master o f every
strategic ship must be: (1) a Commonwealth citizen, or (2) an EEA national; or
126
E307. With resp ect to the last answer, w hat is
the EE A?
E308. What is a stra te g ic ship?
E309. What nationality restrictions a pply to
officers other than m asters servin g in U K
ships?
E310. A fo re ig n officer is to jo in a U K sh ip
but does n ot seem to understand English very
well. What action m ight be taken against the
sh ip a n d its m aster i f he was sig n e d on?
E 311. What requirem ent does SO LAS m ake
about the language to be u sed on b o a rd ?
Carriage o f seafarer documents
E 3 12. What sea fa rer docum ents sh ou ld be
c a rrie d b y a U K ship?
Chocking crew documents
E 3I3. H ow can a m aster tell w hether a U K
C ertificate o f C om petency o r Certificate o f
E quivalent C om petency is genuine?
E 314. H ow can a m aster tell w hether a
fo re ig n C ertificate o f C om petency is genuine?
E 3 15. What sh ou ld be looked f o r when
checking an officer's C ertificate o f Com petency
o r C ertificate o f E quivalent C om petency?
E316. What checks sh o u ld a U K sh ipm aster
m ake when engaging a fo re ig n deck o r
engineer officer on a C rew Agreem ent?
E 3 17. A fo re ig n -c ertific a ted deck o r engineer
o ff icer is jo in in g a U K ship but d o e s not y e t
have a CEC. What docum ent sh ou ld he o r she
have?
E 318. H ow can it b e a scertain ed w hether a
M edical F itness C ertificate issu ed in a fo reig n
country is acceptable f o r service on a U K ship?
Master's rote and legal status in unga gement and discharge procedures
E 3 19. What is the m a s te r ’s ro le a n d legal
statu s in the engagem ent a n d disch arge o f crew
o f a U K ship?
Engagement o f craw members
E320. H o w sh ou ld a m aster open a C rew
A greem ent a n d engage the crew m em bers?
(3) a national o f a State (other than an EEA State) which is a m ember o f
NATO, On other UK ships there are no nationality restrictions on the master.
The European Econom ic Area, which comprises the European Union (EU),
Norway, Iceland and Liechtenstein.
C lass 1 passenger ships o f 500 GT or more certified to carry more than 300
passengers, ro-ros, product tankers, and fishing vessels over 24 m in length.
N on e, so long as they hold valid STCW Certificates o f Com petency, and,
where these are not issued by the U K , they also hold valid U K Certificates o f
Equivalent Competency.
I f an M CA Superintendent or Proper Officer decided that the officer might not
understand orders because o f his insufficient knowledge o f English, the ship
could be detained under section 51 o f the M erchant Shipping A c t 1995, and the
master could be fined up to Level 5 (£5000).
SO LAS regulation V /14.4 provides that on ships to which SO LAS chapter I
applies, English must be used on the bridge as the working language for
bridge-to-bridge and bridge-to-shore safety com munications as w ell as for
com munications on board between the pilot and bridge watchkeeping
personnel, unless those directly involved in the com munication speak a
com mon language other than English.
Under regulation 14 o f The MS (Safe Manning, H ours o f Work an d
W atchkeeping) R egulations, the com pany and the master must ensure that there
are carried, at all times on board ship, all original certificates and other
documents issued pursuant to the STCW Convention indicating the
qualification o f any member o f the crew to perform functions w hich they are
required to perform aboard ship in the course o f their designated duties.
B y checking with the employer, w ho can check with the M CA. Shipping
com panies (and foreign national marine administrations) can use the on-line
Certificate o f Com petency and Certificate o f Equivalent Com petency Checker
on the M C A ’s w ebsite after obtaining the M C A ’s approval.
O nly b y cheeking with the employer, who m ay be able to check with the
issuing Administration, since the Administration is required under STCW 95 to
maintain a register o f certificates issued. (The M CA does not keep records o f
foreign certificates, and has no means o f verifying their authenticity.)
(1) Endorsement in accordance with STCW reg. I; (2) evidence o f revalidation,
where required by STCW 95 (this should be shown by an endorsement); and
(3) indications that the certificate m av be a forgery, e.e. wrong STCW chapter
number for the seafarer’s department, or wrong STCW regulation number for
the holder’s occupation, sh ip’s tonnage or engine power.
The master should check: (1) the officer’s non-UK Certificate o f Com petency
( with revalidation endorsement, i f necessary) and U K Certificate o f Equivalent
Competency; (2 ) his ENG 1 or equivalent M edical Fitness Certificate; (3) that
he can speak and understand English w ell enough to com ply with Regulations.
A Confirmation o f Receipt o f Application - Certificate o f Equivalent
Competency, a specim en o f which is at Annex 2 to M IN 340.
B y checking M SN 1815, which contains a list o f countries issuing acceptable
M edical Fitness Certificates. If the relevant country is not on the list, the
company should be asked to find out from the M CA i f it has been added since
publication o f the M SN.
Crew members o f a U K ship are no longer em ployed by the master, unless he
is also the shipowner. W here the master supervises the engagem ent and
discharge o f a crew member, he acts as the representative o f that crew
m em ber’s em ployer - in legal terms, as the em ployer’s agent. The master may
sign a Crew Agreem ent doc ument as the agent o f the employer, but not as a
seaman w ho is party to the agreement
The master should: (1) Prepare the ALC documents (ALC 1(a), (b), (c) and (d)
and ALC6) and the Official Log Book, entering an “E” reference number
against the master’s own details on ALC 1(b). (2 ) A s each seaman approaches,
ask to see his M edical Fitness Certificate (ENG 1 or non-UK equivalent), his
Certificate o f Competency, i f any, and his Certificate o f Equivalent
Competency, i f any. (3 ) Check the certificates for validity, STCW 95
references and endorsements, and for any indication o f false or forged
documents. (4) For non-exem pt seamen (i.e. those signing on), write a
reference number in the left-hand column o f A L C l(a), com plete the details in ]
THE SHIPMASTER’S BUSINESS SELF-EXAMINE

E321, What notification m ust be m ade after
any change in the L ist o f C rew subsequent to
opening a C rew Agreem ent?
E322. Where a sh ip is on an Indefinite
Agreement, what notification must b e m ade o f
changes in the crew ?
E323. A ridin g g a n g o f repairm en, em ployed
by a sh ip repair com pany, is sailin g in a UK
ship. On which docum ent sh ou ld they be listed?
E324. Can a seam an dem an d any docum ent
fro m the m aster when he signs on?
E325. D oes a U K sh ipm aster have any right
or obligation to retain the c r e w ’s discharge
books in his custody?
Discharge o f crew members
E326. H ow sh ou ld a seam an on a U K ship be
disch arged fro m the C rew A greem ent a t the en d
o f his tour o f duty?
\ E327. What entries sh ou ld be m ade in a
se a m a n ’s discharge book a t his discharge?
j E328. A seam an is being left behind in a
fo reig n p o r t (e.g. in h ospital o r ja il, o r absent
I w ithout leave). H ow sh ould he be sig n e d off?
■ “in hospital”. Sign in the lower space. Make an OLB narrative space entry
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
127
the white spaces, and com plete the certificate and endorsem ent details. (5)
Show all non-exem pted crew the terms o f the ALC 1(d), which is the contract
by which they w ill be bound once they cign the Agreement, and note requests
for a personal copy (which must be provided). (6) Show any seaman on request
any relevant document m entioned in the Crew Agreement (e.g. M N Code o f
Conduct or company Drug and A lcohol Policy). (7) Request non-exem pt
seamen to sign in the top white space at the right hand side on ALC 1(a). (8)
Enter details o f exem pted seamen (e.g. contractors’ personnel, supercargo,
surveyors) and supernumeraries on ALC 1(b) below master’s details, giving
them “E” reference numbers, and write details o f any certificates and
endorsements they hold. (9) N ote all seamen under 18 years listed on ALC 1(a)
or (b) and copy their details onto ALC 1(e) - List o f Y oung Persons. (10) Make
out a duplicate copy o f ALC 1(d) com plete with any additional clauses, affix, it
to ALC6 and post it up in the crew accom modation. (11) Copy all reference
numbers, nam es and capacities o f all personnel engaged (including exempted
personnel) into the special colum ns inside the front cover o f the O fficial Log
B ook. (12) Make an entry in the OLB narrative section to the effect that a new
Crew Agreement: w as opened and crew engaged, listing their reference
numbers (e.g. “N os. 1-23 and E 1-E4”). (12) Send the em ployer (e.g. by fax or
telex) a list o f all crew engaged so that they know w ho is on board and are in a
position to notify details to M C A should the need arise.
The master must inform the owners o f the change in the List o f Crew as soon
as possible but within 3 days.
Every 6 months the owner must m ake a list show ing ail changes made in the
last 6 m onths, and send it to an M CA Superintendent where the ship was at a
U K port at the end o f the 6 months, or to the RSS i f the ship w as abroad.
On ALC 1(b). Any o f them w ho are under 18 should also be listed on ALC 1(c),
They do not sign on, since their em ploym ent contract is with the ship repair
company.
Y es. I f a seaman demands, the master must, within a reasonable time, supply
the seaman with a copy o f the Crew Agreem ent under which he is em ployed,
or “such extracts therefrom as are necessary to show the terms on which he is
em ployed”, and make available to him a copy o f any document referred to in
the Crew Agreement. (SI 1991/2144, reg. 8) This could mean, for example,
showing him the M N Code o f Conduct or any document referred to in an
additional clause such as the com pany’s Drug and A lcohol P olicy or Sm oking
Policy, or a union agreement referred to
N o. Although it m ay be useful when inspectors want to see all crew
documents, it is in fact a breach o f regul ation 22(3) o f The M S (S eam en ’s
D ocum ents) Regulations 1987, which provides that a person to whom a
Discharge B ook is produced must return it to the holder as soon as practicable
after the entry has been made or after any inspection o f it.
The agent should be informed, with instructions to notify Immigration,
Customs, taxi, etc. I f the seaman is being paid from the ship, make up his
overtime, bar account, etc., and an Account o f Seam an’s W ages (A SW /2). Pay
any w ages due on board in accordance with The M S (Seam en's Wages a n d
Accounts) Regulations. Make appropriate entries in the seam an’s Discharge
B ook and ask him to sign o ff on the ALC 1(a). W itness his signature by signing
beneath it. M ake an OLB entry in the narrative section to the effect that
“Seaman No. ,.. (ref. no. from ALC) was today discharged from the Crew
Agreem ent” , A t the seam an’s request, issue a certificate as to the quality o f his
work or that he has fully discharged his obligations under the contract. Inform
the em ployer o f the change in the LOC as soon as possible but within 3 days.
The name o f the ship; its port o f choice, gross tonnage; official number; the
description o f the voyage; the capacity in w hich the seaman has been em ployed
in the ship, the date on which he began to be so em ployed; and the date and
place o f his discharge.
The master should notify the local Proper O fficer (e.g. British Consul) and
make an OLB entry to the effect that he had done so. The seaman’s gear should
be tallied and packed by two officers, and landed ashore to the agent. Record
the seam an’s service in his/her discharge book, or on a Certificate o f Discharge
i f no discharge book. Com plete the entries in the shaded spaces on ALC 1(a),
writing in the seaman’s signature space the reason w hy he/she cannot sign, e.g.
recording the seam an’s place, date and reason for discharge, quoting the
reference number in the List o f Crew. N otify the em ployer within 3 days o f the
change in the List o f Crew. Am end the Crew List.
128
E329. What m ust the m aster do where a
seam an fa ils to pro d u ce a discharge book at his
discharge, i f he is presen t?
E330. Where can a specim en copy o f a
C ertificate o f D isch arge fro m a U K sh ip be
fou n d?
ESS 1. What docum ent can a seam an request
fro m the m aster, even after he has left the ship?
E332. A crew m em ber appears to have
d e se rted in a fo re ig n port. What sh ould be done
before sailing?
Closing a Grew Agreement and List o f Crew
E333. A U K -flagged sh ip is being s o ld to
fo re ig n owners, a n d a t the p o rt o f delivery the
C rew A greem ent a n d L ist o f C rew m ust be
term inated. H ow sh ou ld this b e done?
E334. A U K sh ip w ith a Running A greem ent is
changing articles durin g a voyage to Australia.
Should the c rew b e told, to sign on a new C rew
A greem ent before signing them o ff ihe o ld one?
E335. In the situation in the previou s
question, w hat action sh ou ld the m aster take
where a seam an refused to sign on the new
C rew A greem ent?
DEFINITION, DESIGNATION AND DUTIES OF SHIP SECURITY OFFICER
Definition o f Ship Security Officer
E336. What is the sta tu to iy definition o f a
Ship Security Officer?
E337. What a re the sta tu to iy requirem ents
regarding the designation o f a Ship Security
O fficer on a ship?
Duties o f Ship Security Officer
ES38. What a re the sta tu to iy duties o f a Ship
Security Officer, a s sp ecified in paragraph 12
o f P art A o f the ISPS C ode?
G ive the seaman a Certificate o f Discharge containing the same particulars as
would have been entered in his discharge book i f he had one.
In M GN 123, which announces the discontinuation o f the printing and supply
o f these certificates by the M CA. Shipowners are now responsible for their
production where they are required.
A certificate (separate from any other document) either as to the quality o f his
work or indicating whether he has fully discharged his obligations under his
contract o f employment. The master, or another authorised officer, must give
him this, i f the seaman asks for it, within 6 months from the date o f his
discharge from or his leaving the ship.
Sign the seaman o f f in his absence, have his gear tallied and packed, and land it
ashore to the agent. Inform the British Consul and m ake an OLB entry to the
effect that this has been done. (N o Proper O fficer’s permission is required, just
his notification.) Inform the em ployer o f the change in the LOC as soon as
possible but within 3 days.
(1) Discharge all seamen and enter the date and place o f closin g the Crew
Agreem ent on the front o f the ALC1. (2) Make an entry in the OLB (narrative
section) recording the closure o f the Crew Agreement and LOC. (3) Enter the
date and place o f closin g the OLB on its front cover. (4) R em ove the ALC 6
from the place where it w as posted up. (5) Send the OLB and ALC document
(containing the ALC 1(a), (b), (c) and (d)), as w ell as all G M D SS Radio Log
sheets and any OLB annexes made, to the nearest Marine O ffice
superintendent in the U K or to the nearest Proper O fficer abroad, within 3 days
o f the last person em ployed on the Crew Agreement signing off, or as soon as
possible thereafter. (5) Inform the employer.
No! Although some masters do this in the apparent b e lie f that it will prevent a
seaman from refusing to sign on again, it is totally unnecessary and legally
improper. A ny contract, including a Crew Agreement, signed under duress has
no legal effect and is voidable in English law.
H e should: (1) enter the seaman’s details on the ALC 1(b) as a seaman w ho is
not a party to the Crew Agreement; (2) arrange for him to be repatriated (at the
em ployer’s expense) from the next convenient port, and (3) sign him o f f the
ALC 1(b) when there. The seaman should be treated like any other seaman who
com pletes his contractual duties w hilst outside the UK. The master or
employer cannot force any seaman to sign on for another 12 months!
:
'
-■
The person on b o a rd the ship, accou ntable to the master, design ated b y the
C om pany as respon sible f o r the secu rity o f the ship, including im plem entation
a n d m aintenance o f the sh ip secu rity plan a n d fo r liaison with the com pany
secu rity officer a n d p o rt facility secu rity officers. (ISPS Code, para. A /2 .1.6)
v ■ ' i
Para. A/12.1 o f the ISPS Code provides that a ship security officer shall be
designated on each ship.
’ ■■ ■ ■ ’ ' ' :Yr-r : JSj
Para A /12.2 provides that in addition to those specified elsew here in Part A o f
the Code, the duties and responsibilities o f the SSO shall include, but are not
limited to: ( I ) undertaking regular securitv inspections o f the ship to ensure
that appropriate security measures are maintained; (2) maintaining and
supervising the implementation o f the ship securitv plan, including anv
amendments to the plan: (31 coordinating the securitv aspects o f the handling
o f cargo and ship’s stores with other shipboard personnel and with the relevant
port facility security officers: <41 proposine m odifications to the ship security
plan: (5) reporting to the com pany securitv officer anv deficiencies and non­
conformities identified during internal audits, periodic review s, security
inspections and verifications o f com pliance and im plem enting anv corrective
actions; (61 enhancing securitv awareness and vigilance on board; (7) ensuring 1
that adequate training has been provided to shipboard personnel, as
appropriate: (81 reporting all securitv incidents: (91 coordinating
implementation o f the ship security plan with the company security officer and 1
the relevant port facility securitv officer: and (101 ensuring that security
........... ...........
THE SHIPMASTER’S BUSINESS SELF-EXAMIN!

E 339. What other d u ties o f a Ship S ecw ity
O fficer a re sp e c ified elsew h ere in P art A o f the
ISPS Code?
Ship security drills and exercises
E340. What are the requirem ents o f the ISPS
C ode concerning ship secu rity drills?
E341. What are the requirem ents o f the ISPS
C ode concerning sh ip secu rity exercises?
Ship security internal audits
E342. A re there any requirem ents in the ISPS
C ode concerning sh ip secu rity audits?
E343. D u ring an internal sh ip secu rity audit
som e deficiencies a n d non-conform ities are
no ted by the Ship Security Officer. Whose duty
is it to deal w ith them under the ISPS C ode?
HEALTH, SAFETY AND WELFARE
Provisions and water
I E344. What a re the p rin c ip a l statu tory
requirem ents regardin g the su pply o f
\ provisions a n d w a ter to the crew o f a U K ship?
E345. Where can the M CA's guidan ce on fo o d
preparation a n d handling be found?
E346. Which M N otice contains the latest
i MCA G uidelines f o r the P rovision o f F o o d a n d
Fresh Water?
E347. What is the m ost serious risk to f o o d
an d fresh w a ter safety?
E348. What is the m ost effective w ay o f
ensuring the safety o f the s h ip ’s fre sh w ater
su pply?
E349. What plan sh ou ld be m ade regardin g a
sh ip 's fre sh w a ter supply, accordin g to the
MCA?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
129
(1) Completion o f a Declaration o f Securitv ( if not done bv the master) (para.
A /5.4): (2) liaising with the Port Facility Secuntv Officer in cases o f difficulty
in im plem enting measures, procedures or instructions o f a Contracting
Government that has set Level 2 or 3 (nurd. A /7.6): (3) liaisine with the Port
Facility Securitv Officer where the ship is required bv the flae State
Administration to set, or is already at, a higher security level than that set for
the port it intends to enter or is already in (para. A /7.6): (4) keepina securitv
records as specified in para. A/10.1 ( i f not kept bv the master or another
person).
The CSO and SSO are required to ensure the effective implementation o f the
SSP b y carrying out drills and exercises at appropriate intervals. Paraeraph
B /l 3.6 states that to ensure the effective implementation o f the provisions o f
the Ship Security Plan, drills should be conducted at least once every three
months. In addition, where more than 25% o f the ship’s personnel has been
changed at any one time with personnel that has not previously participated in
any drill on that ship within the last 3 months, a drill should be conducted
within one w eek o f the change. These d rills should test individual elem ents o f
the plan such as those security threats listed in paragraph B 8.9 o f the Code.
Regulation 13(1) o f The Ship a n d P o rt F acility (Security) Regulations 2004
provides that an authorised officer may serve an Enforcement N otice (e.g. an
Improvement N otice or Prohibition N otice) on various persons including a
Company Security O fficer, Ship Security O fficer or master for foiling to
com ply with para. B /l 3.6 o f the ISPS C ode (even though Part B provisions are
“guidance”).
Paragraph B /I3 .7 provides that various types o f exercises which may include
participation o f Company Security O fficers, Port Facility Security O fficers,
relevant authorities o f Contracting Governments as w ell as Ship Security
O fficers, if available, should be carried out at least once each catendai year
with not more than 18 m onths between exercises. These exercises should test
com munications, coordination, resource availability, and response. These
exercises m ay be: full scale or live; tabletop simulation or seminar; or
com bined with other exercises held such as search and rescue or em ergency
response exercises. A s in the previous answer, an Enforcement N otice (e.g. an
Improvement N otice) may be served on a CSO, SSO or master for failing to
com ply with para. B /l 3.7.
Para. A /1 1.2.5 requires the CSO to arrange for internal audits and review s o f
security activities. Para, B /l. 12 states that the Com pany and ship security
officer should monitor the continuing relevance and effectiveness o f the plan,
including the undertaking o f internal audits.
Para. A /1 1.2.7 provides that the duties and responsibilities o f the company
security officer shall include ensuring that deficiencies and non-conform ities
identified during internal audits, periodic review s, security inspections and
verifications o f com pliance are promptly addressed and dealt with.
Under The MS (P rovisions a n d W ater) Regulations 1989 (SI 1989/102) the
em ployer and the master have a general duty to provide "adeauate” provisions
and water to the crew. Provisions and water must be suitable in respect o f
quantity, nutritive value, quality and variety having regard to the size o f the
crew and the character and nature o f the voyage. Thev must not contain
anything likely to cause sickness or iniurv to health or which makes them
unpalatable, and they must be otherwise fit for consumption.
Chapter 14 o f the C ode o f Safe Working P ractices f o r M erchant Seam en is
about Food Preparation and Handling.
M GN 397. It replaced M GN 61, M .1214 and M .1401.
Bacterial contamination.
Through the use o f a risk assessm ent and management approach that covers the
w hole process from loading to delivery at the tap and that includes a planned
maintenance system , as explained by M G N 397.
A Fresh Water Safetv Plan, as advised bv M G N 397. This should include: (1)
System assessm ent and hazard analysis (including an assessm ent o f source
water loaded on to the ship); (2) M anagement plan and control measures, (the
selection and operation o f appropriate fc catment processes); (3) Monitoring and
130
E350. D o U K fo o d stan dards enforcem ent
officers have p o w e rs to inspect sh ips in U K
p o rts to enforce f o o d safety legislation?
Master’s weekly inspections
E351. What inspections m ust the m aster o f a
U K ship make on a regu lar basis?
E352. What a re the m a ste r’s obligations
regardin g inspections o f the crew
accom m odation ?
E353. What are the m aster's obligations
regarding inspections o f provision s a n d w ater?
MCA inspections o f seafarers WQrfclng and livin g conditions ( I L 0 178 inspections)
E354. H ow often m ay MCA inspections be
ca rrie d out o f seafarers ’ w orking a n d living
conditions on U K sea-goin g ships?
E355. What item s m ay be in spected in an ILO
178 inspection?
E356. F ollow ing an IL O 178 inspection w hat
docum ent w ill be issu ed b y the MCA, a n d what
sh ou ld the m aster do w ith it?
Health and safety legislation
E357. What a re the prin cip a l U K m erchant
sh ippin g regulations concerning health a n d
safety a t w ork a b o a rd a U K ship?
E358. A part fro m The M S a n d F V (H ealth a n d
Safety a t Work) Regulations, which regulations
concern health a n d safety m atters a b o a rd U K
ships?
corrective action system in accordance with the Plan (the prevention o f
contamination/re-contamination during storage and distribution).
Yes. The F o o d Safety (Ships a n d A ircraft) (England a n d Scotland) O rder 2003
(and equivalent W ales and Northern Ireland legislation) extends the m eaning
o f “prem ises” in the F o o d Safety A ct 1990 to give “authorised officers” powers
o f entry to certain ships to enforce parts o f the A ct as w ell as The F o o d Safety
(G eneral F o o d H ygiene) Regulations 1995 and The F o o d Safety (Tem perature
C ontrol) R egulations 1995.
A w eek ly inspection o f the crew accom m odation, as required by The M S (C rew
Accom m odation) Regulations 1997, and a w eekly inspection o f the provisions
and water, as required by The MS (P rovisions a n d Water) Regulations 1989.
The master or an officer appointed by him, accompanied by at least one other
crew member ( o f any rank) must inspect every part o f the crew
accommodation at least every 7 days. The master must have an entry made in
the O fficial L og B ook (in a special page) recording the time and date o f the
inspection, the names and ranks o f the inspectors, and particulars o f any
respect in which the accom m odation or any part o f it was found by either
inspector not to com ply with the Regulations.
The master, or a person authorised by him, together with a member o f the crew
em ployed in catering, must inspect the provisions and water at least once a
w eek to cheek whether The M S (P rovision s a n d Water) Regulations are being
com plied with. The results o f the inspection must be recorded on a special page
in the O fficial L og Book.
At approximately 2 Vi-yearly (and not more than 3-yearly) intervals by M CA
surveyors in accordance with ILO Convention 178 and the associated ILO
Recom mendation 185, as described in M SN 1769. Inspections w ill usually be
arranged to coincide with ISM Safety M anagement Certificate audits.
UK statutory requirements relating to: (1) the standard o f maintenance and
cleanliness o f shipboard working and living areas; (2) minimum age o f
seafarers; (3) crew agreements; (4) food and catering; (5) crew
accommodation; (6) recruitment; (7 ) manning; (8) qualifications; (9) hours o f
work; (10) medical certificates; (1 1 ) prevention o f occupational accidents; (12)
medical care; (13) sickness and injury benefits; (1 4 ) social welfare; (1 5 ) social
welfare and related matters, including freedom o f association and the right to
organise. (U K law on these subjects is based m ostly on ILO Conventions.)
The M CA surveyor w ill issue to the master a Report o f Inspection o f Seafarers’
Working and Living Conditions, an exam ple o f which is in M SN 1769. The
crew must have access to this report; the master should therefore post it on the
ship’s notice board. The report must be retained on board for 3 years.
MS a n d FV (H ealth a n d Safety at II brk) Regulations 1997 (SI 1997/2962),
as amended (som etim es referred to by the M CA as the “General Duties
Regulations”). Guidance on their requirements is in MGN 20.
(1) The MS (C ode o f Safe Working P ractices) R egulations 1998; (2) The MS
tSafe Manning. H ours o f Work a n d W atchkeeping) R egulations 1997. as
am ended: (3 i The M S an d F V <H ealth a n d Safetv a t Work) (Em ploym ent o f
Young P ersons) R egulations 1998: (4) The MS a n d F V (M anual H andling
O perations) Regulations 1998: (5) The M S (P erson al P rotective Equipm ent)
Regulations 1999: (6) The M S (P rovision a n d U se o f Work Eauipm ent)
Regulations 2006 (PUW ER): (7) The M S (M eans o f A ccess) Regulations 1988:
(8) The M S (E n tiy Into D angerous S vaces) R egulations 1988: (9) The MS a n d
F V (Lifting O perations a n d Lifting Eauipm ent) R egulations 2006 (LOLER);
(101 The MS (Safe M ovem ent On B o a rd Ship) Regulations 1988: (11) The MS
(Hours o f Work) R egulations 2002: (1 2 ) The MS a n d F V (C on trol o f N oise at
Work) Regulations: ( 13) The M S a n d F V (C ontrol o f Vibration at Work)
R egulations 2007; (14) The MS a n d F V (H ealth a n d Safety a t Work)
(C arcinogens a n d M utagens) Regulations 2007: ( 15) The M S a n d F V (Health
a n d Safetv a t Work) (B iological A gents) Regulations 2010: (16) The M S a n d
F V (H ealth a n d Safetv a t Work) (C hem ical Agents) Regulations 2010: (17) The
MS a n d F V (Health an d Safetv a t Work) (Work a t H eight) R egulations 2010:
(18) The MS a n d F V (H ealth a n d Safetv at Work) (Asbestos) R egulations 2 0 1 0 ;
and (19) The MS a n d F V (H ealth a n d Safetv a t Work) (A rtificial O ptical
R adiation) R egulations 2010.
1 ■ 1
THE SHIPMASTER’S BUSINESS SELF-EXAMINEF

General duties o f employer under Health and Safety at Work Regulations
E359. What g en era l du ty is im posed on the
em ployer by The M S a n d F V (Health a n d Safety
a t Work) R egulations?
Health and safetv policy
E360. What duty in connection w ith health
a n d safety p o lic y is im posed on the em ployer by
The M S a n d F V (H ealth a n d Safety a t Work)
R egulations?
Risk assessment
E361. What a re the m ain statutory U K
requirem ents relatin g to risk assessm ent?
E362. Where can inform ation abou t risk
assessm ent be o b ta in ed in a U K ship?
E363. A ccordin g to p aragraph 1.3.1 o f the
C ode o f Safe Working P ractices f o r M erchant
Seamen, w hat is a risk assessm ent inten ded to
be?
E364. A re there any f ix e d rules about how risk
assessm ents sh o u ld be m ade?
E365. What are the m ain elem ents o f the risk
assessm ent process, as d e sc rib ed in paragraph
1.9.1 o f the C ode o f Safe Working P ractices f o r
M erchant Seam en?
E366. What a re the m ain elem ents o f the risk
assessm ent process, a s d e sc rib ed in paragraph
10 o f M G N 20?
E367. What British S tan dard sh ou ld the
fo rm a t o f risk assessm en ts ideally be b a se d on?
E368. When sh ou ld risk assessm ent b e done?
E369. In w hat a reas o f sh ipboard operation s
m ight it be appropriate to make risk
assessm ents on a new ship?
E370. On com pletion o f a risk assessm ent,
w hat sh ould b e done?
i E371. What a re the key questions that sh ould
be a sked when considering a task?
E3 72. What a re the k ey elem ents in an y risk
assessm ent?
E373. H ow sh ou ld h a za rd severity be ra te d on
I a risk assessm ent sum m ary sheet?
j E374. What does “slig h tly harm ful" mean?
E375. What does "harmful" mean?
j E376. What does “extrem ely harmful" mean?
"HE SHIPMASTER'S BUSINESS SELF-EXAMINER
131
A general duty to ensure the health and safety o f workers, which includes
provision and m aintenance o f safe plant and equipment, safe arrangements for
handling, storage and transportation o f articles, provision o f safety information,
training and supervision, restriction on access and collaboration between duty-
holders. (Reg. 5)
The duty to write an up-to-date policy statement and bring this to the notice o f
the workers on board, (Reg. 6)
The MS a n d F V (H ealth a n d Safety a t Work) R egulations require employers to
make a suitable and sufficient assessm ent o f the risks to health and safety o f
workers arising in the normal course o f their activities or duties, for the
purpose o f identifying groups o f workers at particular risk in the performance
o f their duties, and the measures to be taken to com ply with the em ployer’s
duties under the Regulations. (Reg 7)
In M GN 20 and in Chapter 1 o f the C ode o f Safe Working P ractices f o r
M erchant Seamen.
A careful examination o f what, in the nature o f operations, could cause harm,
so that decisions can be made as to whether enough precautions have been
taken or whether more should be done to prevent harm.
No. COSW P para. 1.4.1 states: “There o re no f ix e d rules about how risk
assessm ent sh ou ld be undertaken, although section 1.10 (sic) g ive s the main
elem ents. The assessm ent w ill depen d on the type o f ship, the nature o f
operation s a n d the typ e a n d extent o f the hazards a n d risks. The intention is
that the p ro c e ss sh ou ld be sim ple, but meaningful. "
(a) C lassify work activities; (b) identify hazards and personnel at risk; (c)
identify risk controls; (d) estimate the risk; (e) decide the tolerability o f the
risks; (f) prepare risk control action plan ( i f necessary); (g ) review adequacy o f
action plan; (h) ensure risk assessm ent and controls are effective and up to
date.
(1) C lassify work activities; (2) identify hazards and personnel at risk; (3)
determine risk; (4) decide i f risk is tolerable; (5) prepare action plan ( if
necessary); and (6) review adequacy o f action plan.
B S8800:2004. (The M C A ’s guidance is based on this standard.)
Risk assessm ent should be seen as a continuous process. In practice, the risks
in the workplace should be assessed before work begins on any task for w hich
no valid risk assessm ent exists. An assessm ent m ust be review ed and updated
as necessary, to ensure that is reflects any significant changes o f equipment or
procedure. (M G N 20, para. 8.1 a n d C O SW P para. 1.8)
Cargo-handling, hose-handling, connection and disconnection (on tankers,
supply vessels, etc.), anchor-handling (on offshore vessels), bunkering,
enclosed space entry, manual handling o f stores, spares, engine parts, etc.,
berthing and unberthing, working aloft, working on pressure vessels or system s
which could be under pressure, hot work, electrical work, isolation o f system s,
etc. (This answer should be adapted by the reader for special ship types.)
A summary sheet should be made and kspt on board, ready for inspection by
the M CA surveyors and port State control officers. A copy should be sent to
the fleet safety officer or D esignated Person.
(1) Is there any source o f harm? (2) If so, what is the potential severity o f the
harm? (3) What is the likelihood o f harm occurring ? (4) What control measures
can be adopted to reduce or elim inate the risk o f harm?
(1) Identification o f the hazards, and (2) control measures (“controls”) to be
implemented.
A s either “slightly harmful”, “harmful” or “extrem ely harmful”. (These should
form the three right-hand column headings.)
In BS88Q 0:2004 it is defined as “harm that is o f a temporary nature, e.g.
headache or m uscle strain that dissipates”.
In B S8800:2004 it is defined as “harm that results in permanent minor
disability, e.g. slight deafness, small redactions in lung function, minor back
problems”.
In B S8800:2004 it is defined as “premature death or permanent major
disability. E.g. chronic exposure to a workplace stressor (noise, work overload,
bullying behaviour) could result in premature death from pulmonary em bolism
and thus be extrem ely harmful” .
132
E377, H ow sh ould likelih ood (or p robability)
be ra te d on a risk assessm ent sum m ary sh eet?
E 3 78. H ow sh ould risk to lerability be ra te d on
a risk assessm ent sum m ary sheet?
E379. What action is requ ired w here a risk is
d eem ed “tr iv ia l”?
E380. What action is requ ired w here a risk is
deem ed “tolerable "?
E381. What action is requ ired w here a risk is
d e em ed “m oderate ”?
E38.2. What action is requ ired w here a risk is
d eem ed “su b sta n tia l”?
E383. What action is requ ired w here a risk is
d e em ed “intolerable"?
E384. A re risks to w orkers the only type o f
risk that sh ould be considered?
E385. H ow can a p p ro p ria te con trol m easures
f o r different on -board tasks be identified?
E386. What a re the statu tory requirem ents
relatin g to review s o f risk assessm ents?
E387. What a re the statu tory requirem ents
relating to the inform ing o f w orkers abou t the
findings o f risk assessm ents?
Health surveillance
E388. When is the em ployer req u ired under
The M S a n d F V (H ealth a n d Safety a t Work)
Regulations to introduce health su rveillan ce o f
w orkers on his ship?
Female workers
E389. What do The M S a n d F V (H ealth a n d
Safety a t Work) R egulations require in respect
o f new o r expectant m others?
E 390 To a ssert h er sta tu to iy rights, what
m ust a new o r expectant m other do?
E 39I. What other statu tory instrum ent relates
specifically to pregnan t wom en a n d new
m others at sea?
Health end safety training and instruction
E392. U nder The M S a n d F V (H ealth a n d
Safety a t Work) Regulations, w hat m ust be
a scertain ed a n d taken into account before tasks
are a ssign ed to w orkers?
E393. When m ust w orkers be p ro v id e d with
adequate a n d a p propriate health a n d safety
training a n d instruction?
E394. Can the health a n d safety training an d
instruction referred to in the last a n sw er be
g iven during a w o rk e r’s free time?
General duties o f workers under Health and Safety at Work Regulations
E39S. What a re the g en era l duties o f a w orker
a b o a rd a ship under The M S a n d F V (Health
a n d Safety a t Work) Regulations?
A s either “highly unlikely”, “unlikely” or “likely”. (These should form the
headings for each horizontal line.)
As either “trivial”, “tolerable”, “moderate”, “substantial” or “intolerable”.
N o action is required and no documentary records need be kept.
N o additional controls are required. Consideration may be given to a more
cost- effective solution or improvement that im poses no additional cost burden.
M onitoring is required to ensure that controls are maintained.
Efforts should be made to reduce the risk, but the costs o f prevention should be
carefully measured and limited. Risk reduction measures should be
implemented within a defined time period. W here the moderate risk is
associated with extrem ely harmful consequences, further assessm ent may be
necessary to establish more precisely the likelihood o f harm as a basis for
determining the need for improved control measures.
Work should not be started until the risk has been reduced. Considerable
resources m ay have to be allocated to reduce the risk. W here the risk involves
work in progress, urgent action should be taken.
Work should not be started or continued until the risk has been reduced. If it is
not possible to reduce the risk even with unlimited resources, work has to
remain prohibited.
N o. Risks to the environment (such as when bunkering) should be considered,
as w ell as risks to property (such as the ship, or ship’s or shore equipment), and
possible lost operational time as a consequence o f these.
B y reading the appropriate chapter o f the C ode o f Safe Working P ractices f o r
M erchant Seam en covering that type o f task, and by reading the com pany’s
Safety M anagement System documentation.
Employers must review the assessm ent when there is reason to believe that it is
no longer valid, and make any necessary changes.
Workers must b e informed o f any significant findings o f the assessm ent and
measures for their protection, and o f any subsequent revisions made.
W here risk assessm ent identifies that: (1) a particular work activity may cause
ill health; (2) an identifiable disease or adverse health condition is related to the
work; (3) recognised testing m ethods are available for early detection o f an
occupational disease or condition; (4) there is a reasonable likelihood that a
disease or condition may occur in relation to particular w orking conditions; and
(5) surveillance is likely to further the protection o f w orkers’ health. (Reg. 11)
The particular risks o f a new or expectant mother must be included in the risk
assessm ent, and her working conditions or hours must be altered if necessary.
If that is im possible she must be suspended from work subject to her overriding
statutory rights regarding the offer o f alternative work and remuneration.
(Regs. 8 & 9)
She must notify the em ployer that she is a new or expectant mother. (Reg. 10)
The Suspension fro m Work on M aternity Grounds (M erchant Ships a n d
Fishing Vessels) O rder 1998 (SI 1998/587).
Their capabilities as regards health and safety (Reg. 12)
(1) Before being assigned to shipboard duties; and (2) on their being exposed
to new or increased risks because of: (i) being transferred or given a change o f
responsibilities; (ii) introduction o f new equipment or a change to equipment in II
use; (iii) introduction o f new technology; and (iv) introduction o f new
shipboard practices, a new system o f work or a change in a system o f work in
use, The training must be repeated periodically where appropriate. (Reg. 12)
N o. It m ust take place during his w orking hours. (Reg. 12)
11
(1) To take reasonable care for the health and safety o f h im self and o f any
other persoii aboard ship w ho may be affected by his acts or om issions; and (2) 1
to co-operate with any person (e.g. employer, Company or other) with any
THE SHIPMASTER’S BUSINESS SELF-EXAMIN!

E396. What a re w orkers p ro h ib ited from
doin g under The MS a n d F V (H ealth a n d Safety
a t Work) R egulations?
E397. U nder The M S a n d F V (H ealth an d
Safety’ at Work) Regulations, what a re the
duties o f every w orker w ith re g a rd to reporting
deficiencies o r dangers?
Code of Safe Working Practices for Merchant Seamen
E398. Which regulations govern the c a rn a g e
o f copies o f the C ode o f Safe Working P ractices
fo r M erchant Seam en?
E399. Which ships m ust carry the C ode o f
Safe Working P ractices fo r M erchant Seam en?
E400. H ow m any copies o f the C ode o f Safe
W orking P ractices fo r M erchant Seam en m ust
be on b o a rd a ship in which 5 o r fe w e r w orkers
are em ployed, a n d who must have a copy?
E401. H ow m any copies o f the C ode o f Safe
Working P ractices f o r M erchant Seam en must
be on b o a rd a sh ip in which between 6 a n d 20
workers are em ployed, a n d who m ust have a
copy?
E402. H ow manyj copies o f the C ode o f Safe
Working P ractices f o r M erchant Seam en m ust
be on b o a rd a sh ip in which m ore than 20
workers a re em ployed, a n d who m ust have a
copy?
E403. In w hat fo rm s is the C ode o f Safe
Working P ractices f o r M erchant Seam en
published?
E404. What is the latest edition o f the C ode o f
Safe Working P ractices f o r M erchant Seam en
p u b lish ed on the M C A 's w ebsite?
E405. What is the latest am endment to the
C ode o f Safe Working P ractices f o r M erchant
Seamen?
E406. What is in Am endment 10 to the C ode
o f Safe Working P ractices f o r M erchant
Seam en?
E407. G iven a choice betw een using a loose-
le a f copy a n d the MCA w ebsite version, which
sh ould be used?
E408. H ow is the C ode o f Safe Working
P ractices f o r M erchant Seam en arranged?
E409. What a re the contents o f Section 1 o f
the C ode o f Safe Working P ractices f o r
M erchant Seamen, 2 0 1 0 edition?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
133
statutory duty or requirement relating to health and safety im posed on them, sd
far as is necessary to enable that duty or requirement to be carried out. (Reg.
21)
They must not: (1) use any machinery, equipment, dangerous substance,
transport equipment, means o f production or safety device provided by his
em ployer or the Company other than in accordance with any relevant training
or instructions which have been received or provided by the employer or the
Com pany in com pliance with the Regulations; or (2) disconnect, change or
rem ove or otherwise interfere with any safety device provided by the em ployer
or the Company, (Reg. 23)
To im m ediately inform the master, safety officer or another com petent person
appointed under the Regulations (e.g. the com pany safety manager) o f any
matter which may reasonably be considered to represent a deficiency in the
Com pany’s protection arrangements for the health and safety o f persons on
board. A lso, to im mediately inform his employer, safety officer or other
competent person: (1) o f any work situation w hich he reasonably considers to
represent a serious and immediate danger to health and safety; and (2) o f any
matter which he reasonably considers to represent a deficiency in the
em ployer’s protection arrangements for health and safety, (Reg. 21)
The M erchant Shipping (C ode o f Safe Working P ractices f o r M erchant
Seam en) Regulations 1998 (SI 1998/1838).
A ll U K ships except fishing v essels and pleasure vessels. (Reg. 3)
There must be at least one copy, in the custody o f the master. It must be readily
accessible and available to workers. (Reg. 4(1))
A “suitable number” o f copies must be carried. One copy must be kept by the
master, one by the safety officer, one must be provided for each safety
representative, where elected, and one or more copies must be kept in a place
readily accessible to other workers; nobody is required to keep more than one
copy, (Reg. 4(2))
A “suitable number” o f copies m ust be carried. One copy must be kept by the
master, one by the c h ief officer, one by the ch ief engineer, one by either the
purser or catering officer, one by the safety officer, one by each safety
representative, v/here elected, and in addition a number o f copies which is
adequate for the number o f workers em ployed, taking account o f the nature o f
their duties, must be readily available and kept in a place or places readily
accessible to them; nobody is required to hold more than one copy. (Reg. 4(3))
(1) A s a loose-leaf, printed publication, available in the U K with all
amendments to date from TSO (The Stationery O ffice); and (2) as the O fficial
Electronic Version, including all amendments to date, also available from TSO,
It can be downloaded as a p d f file from the M CA w ebsite - Working at Sea -
Health and Safely - Seafarer Health and Safety publications.
At 27 December 2010 it is the Consolidated 2010 edition, incorporating
Amendment 10.
Am endm ent 10, which was promulgated in Decem ber 2 0 1 0 by M IN 402.
Further guidance on existing safety points, including: (1) entry into enclosed
spaces; (2) the operation o f watertight doors; (3) working at height and over the
side, in line with new legislation; (4 ) scaffolding; (5) means o f access; (6)
m ooring, especially small vessels; (7) handling o f chem icals and other
substances that can be hazardous to health including health surveillance.
In view o f the safety-critical nature o f the Code, the M CA version should be
used since this will almost certainly be up to date, whereas a paper copy might
not be.
In four sections which deal with broad areas o f concern. Section 1 (Safetv
R esponsibilities/S hipboard M anagem ent) deals with the regulatory background
to the advice and general principles o f health and safetv Section 2 (P ersonal
H ealth a n d Safety) gives general advice to seafarers. Section 3 (Work
A ctivities) covers specific work activities. Section 4 (S p ecialist Ships) deals
with Safety for specialist ship operations.
Safety R esponsibilities/S hipboard M an agem en t Chapter 1: Risk assessment;
Chapter 2: Health surveillance; Chapter 3: Safety officials; Chapter 4: Personal
protective equipment; Chapter 5: Safety signs; Chapter 6: M eans o f access and
134
E410. What a re the contents o f Section 2 o f
the C ode o f Safe Working P ractices f o r
M erchant Seamen, 2010 edition?
E411. What are the contents o f Section 3 o f
the C ode o f Safe Working P ractices f o r
M erchant Seamen, 2 0 1 0 edition?
E 4 12. What are the contents o f Section 4 o f
the C ode o f Safe Working P ractices f o r
M erchant Seamen, 2010 edition?
E 4 13. What a re the A ppendixes to the C ode o f
Safe Working P ractices f o r M erchant Seamen,
2 0 1 0 edition?
E414. What is the leg a l status o f the C ode o f
Safe Working P ractices f o r M erchant Seam en?
E 4 15. What indications a re g iven in the C ode
o f Safe Working P ractices f o r M erchant
Seam en w here its contents relate to a legal
requirem ent?
M eins o f Access Regulations
E416. Which U K regulations c o v e r m eans o f
access to a n d fro m ships?
E 4 1 7. What a re a sh ip m a ste r’s basic
obligations under The M S (M eans o f A ccess)
Regulations?
E 4 18. U nder The M S (M eans o f A ccess)
R egulations, what a re the m a ste r’s obligations
w ith respect to p o rta b le ladders a n d rope
ladders?
E 4 19. U nder The M S (M eans o f A ccess)
Regulations, w hat a re the m aster's obligations
w ith respect to p ro vid in g safety equipm ent f o r
use a t the sh ip 's p o in t o f access?
E420. What are the e m p lo y e r’s obligations
under The M S (M eans o f A ccess) Regulations?
safe movement; Chapter 7: Work equipment.
P erson al H ealth a n d Safety: Chapter 8: Safety induction. Chapter 9: Fire
precautions; Chapter 10: Em ergency procedures; Chapter 11: Security on
board; Chapter 12: Living on board; Chapter 13: Safe m ovement; Chapter 14:
Food preparation and handling.
Work A ctivities: Chapter 15: Safe system s o f work; Chapter 16: Permit to work
systems; Chapter 17: Entering enclosed or confined spaces; Chapter 18:
Boarding arrangements; Chapter 19: Manual handling; Chapter 20: U se o f
work equipment; Chapter 21: Lifting plant; Chapter 22: Maintenance; Chapter
23: Hot work; Chapter 24: Painting; Chapter 25: Anchoring, mooring and
tow ing operations; Chapter 26: Hatch covers and access lids; Chapter 27:
Hazardous substances; Chapter 28: U se o f safety signs.
Specialist Ships: Chapter 29: Dry cargo ships; Chapter 30: Tankers and other
ships carrying bulk liquid cargoes; Chapter 31: Ships serving offshore oil and
gas installations; Chapter 32: Ro-ro ferries; Chapter 33: Port towage industry;
Chapter 34: N oise, vibration and other physical agents.
Appendix 1: Standards specifications referred to in this Code; Appendix 2:
Bibliography.
The Code itself is not law, but much o f it explains how the law should be
com plied with. Many regulations (in S is) specify requirements for standards o f
safety, equipment or operations, and som e require that a relevant part o f the
Code should be consulted and that the C ode’s principles and guidance are
applied. In these areas, the M CA w ill generally accept com pliance with the
guidance in the Code as demonstrating that the company, em ployer or worker
had done what was reasonable to com ply with the regulations. Adherence to
the C ode’s guidance generally means com pliance with the related law.
Legal requirements are in italicised text. The relevant legislation is shown in
italicised blue text in the adjacent left margin.
■ ■; c ' - ;: ; ■.
The M S (M eans o f A ccess) Regulations 1988 (SI 1988/1637). Guidance on
their requirements is in Chapter 6 o f the C ode o f Safe W orking P ractices f o r
M erchant Seamen.
Taking full o f the principles and guidance in chapter 8 o f the C ode o f Safe
Working P ractices f o r M erchant Seam en, to ensure that: (1) safe means o f
access exists between ship and quay, pontoon, etc.; (2) access equipment is
positioned promptly after the ship has been made fast and remains in position
while the ship is made fast; (3) access equipment in use is properly rigged,
secured, deployed and safe to use, and is adjusted when necessary to maintain
safe access; (4) access equipment and the immediate approaches to it are
properly lit; (5) any access equipment used and any safety net is o f good
construction, sound material, adequate strength for its purpose, free from patent
defect and properly maintained; (6) access necessary between ship arid shore
when the ship is not secured alongside is provided in a safe manner.
To ensure that: (1) a portable ladder is only used for access to the ship where
no safer means o f access is reasonably practicable; (2) a rope ladder is used
only for access between a ship with high freeboard and a ship with low
freeboard or between a ship and boat i f no safer m eans o f access is reasonably
practicable; (3) any rope ladder used for access to a ship com plies with the
specifications in the C ode o f Safe W orking P ractices f o r M erchant Seam en and
SOLAS regulation V/23 and Annex 21 to the M C A ’s SO LAS V 2002
publication.
To ensure that: (1) a life-buoy with self-activating light and separate safety line y
attached to a quoit or similar device is ready for use at the point o f access
aboard the ship; (2) an adequate number o f safety nets is carried on board or is 1
otherwise readily available; and (3) w hen access equipment is in use and there ]
is a risk o f a person falling from it or from the ship or quay im m ediately
adjacent to the equipment, a safety net is rigged.
Broadly to com ply with the same requirements as the master; and also to
ensure that ( i ) a gangw ay is carried in ev eiy ship o f 30 metres or more
registered length, appropriate to the deck layout, size, shape and maximum
freeboard, com plying with the specifications in the C ode o f Safe Working
P ractices f o r M erchant Seamen; and (2) an accomm odation ladder is carried i* 1
a ship o f 120 metres or more registered length, appropriate to deck layout, size. ■
shape and maximum freeboard, com plying with the specifications in the Code 1
o f Safe Working P ractices f o r M erchant Seamen,
THE SHIPMASTER’S BUSINESS SELF-EXAMIN:

E 42I. U nder The M S (M eans o f A ccess)
Regulations, w hat a re the sta tu to iy obligations
o f any person boarding o r leaving a ship?
Provision and Use o f Work Equipment Regulations /PUWER)
E422. Which U K regulations govern the
provision a n d use o f w ork equipm ent on U K
ships, a n d which M N o tic e explains them?
E 423. Which regulations a re revoked by
PUW ER?
E424. Which ships are co ve re d b y PUW ER?
E425. What are PUW ER an d M G N 331 aim ed
a t preventing?
E426. What gen eral a rea s are c o ve re d by
M G N 331?
E427. D o es PUWER p re sc rib e w hat work
equipm ent m ust be u sed o r w hat m easures must
be taken b y an em ployer?
E 428. When com plyin g with PUWER, which
other health a n d safety regulations m ust an
em ployer (an d m aster) have re g a rd to?
E429. What does M G N 331 recom m end
concerning inspection o f work equipm ent?
E430. What does M G N 331 recom m end
regardin g the regu lar exam inations o f w ork
equipm ent?
E431. Who is a "com petent p erso n " fo r the
pu rposes o f PUW ER?
E432. What does M G N 331 recom m end
regarding reg id a r m aintenance o f w ork
equipm ent?
I E433. What does M G N 331 recom m end
regarding training in the use o f work
equipment?
1 E434. What does M G N 331 recom m end
regarding m arking o f work equipm ent?
| E435. What does M G N 331 recom m end
I regarding o peration al considerations when
1 using work equipm ent?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
135
They must, when access equipment is provided in accordance with the
Regulations, use that equipment except in an em ergency
The M S a n d F V (P rovision a n d Use o f Work E quipm ent) R egulations 2006 (SI
2006/2183) (com m only known as “PUW ER”). Guidance on their requirements
is in M GN 331, as amended by M GN 378, and in Chapter 20 o f the C ode o f
Safe Working P ractices fo r M erchant Seamen.
The M S (G uarding o f Machinery>a n d Safety o f E lectrical Equipment)
R egulations 1988.
U K ships wherever they are, and non-U K ships w hile in U K waters (other than
when exercising their right o f innocent passage through U K waters).
A ccidents arising through mechanical failure, corrosion, fatigue, inappropriate
repairs or m odifications and poor maintenance.
General legal obligations and what em ployers m ust do; inspection o f work
equipment; regular maintenance; training; marking o f work equipment;
operational considerations; construction, repair and m odification including
w elding repairs; records o f equipment; survey and inspection by M CA
surveyors.
N o. In line with the EC Work Equipment Directive, PUW ER does not, in
general, prescribe measures to be taken fay an em ployer but places the onus on
the em ployer to ensure that all work equipment is appropriate for its intended
purpose and is safe to use.
The M S a n d F V (H ealth a n d Safety a t Work) R egulations (see above). Where
work equipment is to be used for lifting, regard must also be had to The M S
a n d F V (Lifting O perations a n d L ifting Equipment) Regulations (“LOLER”)
(see below ) and M GN 332.
It contains a strong recommendation that the maximum interval between
inspections should be 5 years for work equipment, or a shorter period i f
recommended by the manufacturer.
W here the safety o f work equipment depends on the manner in which it w as
installed, it should be inspected by a com petent person after installation, and
before being brought into use, and at regular intervals thereafter. The M CA
strongly recomm ends that the maximum interval between inspections should
be 5 years for work equipment, or any shorter period recommended by the
manufacturer. A “com petent person” should carry out all inspections.
A person “possessing the knowledge or experience required to enable them to
satisfactorily perform the duties required by the R egulations”. PUW ER is
deliberately vague. In m ost cases in practice, a ship’s officer w ill not be a
“com petent person” to perform a 5 -yearly test, whereas after appropriate
training an officer may be a “com petent person” for the purpose o f inspections
o f equipment.
Regular preventative maintenance should be carried out on all parts o f work
equipm ent This should include regular examinations by a com petent person as
often as necessary but at least once annually. They should include checks for
general material defects that w ill affect safety or ability to perform the required
function. When there is suspicion that an appliance or item m ay not be
performing correctly or has been subjected to treatment likely to cause damage,
it should be taken out o f service until it can be subjected to examination.
Greasing should be thorough and frequent. Ropes and chains should be
checked regularly for wear, dam age and corrosion; they should be replaced as
necessary. Shackles, links and rings should be renewed when wear or damage
is evident. Structures should be exam ined frequently for corrosion, cracks,
distortion and wear o f bearings, securing points, etc. H ollow structures such as
gantries or masts should be checked for trapped water. There should be regular
function tests o f controls, stops, brakes, safety devices, etc. for work
equipm ent preferably before the start o f operations.
O nly those trained and competent to do so should operate any work equipment.
Instruction should be given to the v e sse l’s personnel to enable them to
appreciate factors affecting the safe operation o f work equipment. Training and
safety information for those on board sh ould include an understanding o f the
relevant sections o f the C ode o f Safe Working P ractices fo r M erchant Seamen.
Where appropriate, work equipment should be clearly marked to indicate its
safe working load. It may be necessary to have more than one marking when
equipment is used in differing configurations.
A ll work operations must be properly planned, appropriately supervised and
carried out to protect the safety o f workers. All reasonable measures should be
taken so as to ensure that equipment being used or materials being worked on
cannot strike and injure som eone, or m ove or sw ing dangerously, or fall freely.
136
E436. What does M G N 331 recom m end
regarding the construction, repair a n d
m odification o f w ork equipm ent?
E 43 7. What does M G N 331 recom m end
regarding records o f w ork equipm ent?
E438. When can the MCA inspect work
equipm ent?
E439. H ow w ill PUW ER b e enforced b v the
M CA?
Safe Movemmit on Board Ship Regulations
E440. Which U K regulations c o ver safe
m ovem ent on ships?
E441. What a re the m a ste r’s obligations
under The M S (Safe M ovem ent on B o a rd Ship)
R egulations?
E442. What are the m aster's obligations
under The MS (Safe M ovem ent on B oard Ship)
R egulations with resp ect to p o w e re d vehicles
a n d m obile lifting appliances?
Entry into Dangerous Spaces Regulations
E 443. Which U K regulation s c o ver entry by
person n el into dangerous sp a ces on ships?
E444, What is a dangerous space?
E445. What are the m aster's basic obligations
under The M S (Entry into D angerous S paces)
R egulations?
E446. Under The MS (Entry into D angerous
Spaces) Regulations, w hat a re the m a ste r’s
obligations w ith re g a rd to dangerous sp a ce
drills?
E447. Under The M S (Entry into D angerous
Spaces) Regulations, w hat a re the m a ste r’s
obligations w ith re g a rd to atm osphere testin g
devices?
E448. What are the e m p lo y er’s obligations
under The MS (Entry into D angerous Spaces)
R egulations?
E449. What a re the obligations o f em ployees
under The MS (Entry into D an gerous S paces)
R egulations?
Contact betw een bare rope, warps, etc. and m oving parts o f the equipment
should be m inim ised by the installation o f protective devices.
Every item o f work equipment, all parts o f it and any part o f the vessel used in
support o f it must be constructed such that it is suitable for the work to be
carried out and capable o f being used by workers without risk to their health
and safety. M odifications or repairs should be o f equivalent strength, using
compatible materials. Account should be taken o f the adverse effects o f heat
from welded repairs.
In-service inspections must be carried out in accordance with LOLER. Records
and service history should be kept o f equipment, o f when and where it was
brought into use, its maximum rating ( if appropriate), and any repairs,
m odifications, tests and examinations carried out.
Work equipment is subject to safety inspection by M CA surveyors at any time.
Enforcement may include the use o f Prohibition or Improvement N otices,
prosecution, and/or detention o f the ship.
The M S (Safe M ovem ent on B oard Ship) Regulations 1988 (SI 1988/1641).
Guidance on their requirements is in Chapter 6 o f the C ode o f Safe Working
P ractices fo r M erchant Seamen.
To ensure that safe means o f access is provided and maintained to any place on
the ship where a person m ay be expected to go, taking full account o f the
principles and guidance in the C ode o f Safe Working P ractices f o r M erchant
Seamen. A lso to ensure that (1) all deck surfaces used for transit about the ship,
and all passageways, walkw ays and stairs, are properly maintained and kept
free from materials and substances liable to cause a person to slip or fall; (2)
those areas o f the ship being used for loading or unloading o f cargo or for other
work processes or for transit are adequately and properly illuminated; (3) any
permanent safety signs used on board the ship for the purpose o f giving health
or safety information or instruction com ply with BS 5378 Part I or with any
equivalent standard; (4) any opening, open hatchway or dangerous edge into,
through, or over w hich a person may fall is fitted with secure guards or fencing
o f adequate design and construction, kept in a good state o f repair, and (5 ) all
ship’s ladders are o f good construction and sound material, o f adequate
strength for their purpose, free from patent defect and properly maintained.
To ensure that; (1) no ship’s powered vehicle or powered m obile lifting
appliance is driven in the course o f a work process except by a competent and
authorised person; (2) danger from use or m ovem ent o f all such vehicles and
m obile lifting appliances is so far as is reasonably practicable prevented; and
(3) all ship’s vehicles and m obile lifting appliances are properly maintained.
The M S (Entry into D angerous Spaces) Regulations 1988 (SI 1988/1638).
Guidance on their requirements is in Chapters 6 and 17 o f the C ode o f Safe
Working P ractices fo r M erchant Seam en.
A ny enclosed or confined space in which it is foreseeable that the atmosphere
may at som e stage contain toxic or flammable gases or vapours, or be deficient
in oxygen, to the extent that it may endanger the life or health o f any person
entering that space.
To ensure that: (1) except when necessary for entry, all entrances to unattended
dangerous spaces are either kept closed or otherwise secured against entry; (2)
all procedures for ensuring safe entry and working in dangerous spaces are
observed on board; and (3) full account is taken o f the principles and guidance
in the C ode o f Safe Working P ractices fo r M erchant Seam en.
To ensure that in any tanker o f 500 GT or over, and in any other ship o f 1000
GT and over, drills simulating the rescue o f a crew member from a dangerous
space are held at intervals not exceeding 2 months, and that a record o f these
drills is entered in the O fficial L og Book.
To ensure that the regulation oxygen meter and any other testing device is
maintained in good working order and. where applicable, regularly serviced
and calibrated to the maker’s recommendations.
To: (1) ensure that procedures for ensuring safe entry and working in
dangerous spaces are clearly laid down; (2) ensure that each ship where entry
into a dangerous space may be necessary carries or has available an oxygen
meter and such other testing device as appropriate to the hazard likely to be
encountered in any dangerous space.
(1) N ot to enter or be in a dangerous space except in accordance with the
procedures laid down by the employer; (2) i f on duty in a dangerous space, to
take full account o f the principles and guidance in the C ode o f Safe Working
THE SHIPMASTER'S BUSINESS SELF-EXAMINE

I P ractices f o r M erchant Seamen.
Personal Protective Equipment Regulations
E450. Which U K regulations c o ve r person al
pro te ctive equipm ent f o r ships ’ crew s?
E451. What is the g en era l rule under The MS
(P ersonal P rotective Equipm ent) R egulations?
E452. What m ust the em ployer ensure before
p ro vid in g p e rso n a l p ro te ctive equipment?
E453. Can the em ployer m ake a charge f o r
use o f person al p ro te ctive equipm ent?
E454. D oes each w orker have to have his own
p erso n a l p ro te ctive equipment?
E455. What a re the other basic requirem ents
o f The MS (P ersonal P rotective Equipm ent)
R egulations regardin g p erson al protective
equipm ent provid ed ?
E456. H ow can it be determ ined w hether
p erso n a l p ro te ctive equipm ent p ro v id e d w ill be
“su itable " fo r use fo r a particu lar jo b ?
E457. D oes a w orker have to use the p e rso n a l
p rotective equipm ent p rovided?
Lifting Operations and Lifting Equipment Regulations (LOLER)
E458. Which are the prin cip a l U K regulations
governing the use o f lifting pla n t on U K ships,
a n d when d id they com e into force?
E459. Which other U K regulations concern
the use o f s h ip s ' lifting plant?
E460. What does LOLER apply to?
E461. What g en era l areas are co ve re d by
M G N 332?
E462. When com plyin g with LOLER, which
other health a n d safety regulations m ust an
em ployer h ave re g a rd to?
E463. D oes LOLER pre sc rib e specific
m easures that m ust be taken by an em ployer?
I E464. What does the MCA recom m end
regarding regular m aintenance o f lifting
\ equipment?
E465. What d o es the MCA recom m end
regarding training in the use o f lifting
i equipment?
E466. What does the MCA recom m end
j regarding records o f lifting equipment?
~HE SHIPMASTER’S BUSINESS SELF-EXAMINER
137
.>^1?
The M S (P ersonal P rotective Equipm ent) Regulations 1999 (SI 1999/2205).
Guidance on their requirements is in Chapters 4 and 23 o f the C ode o f Safe
Working P ractices f o r M erchant Seamen.
Personal protective equipment must be used when risks cannot be avoided or
reduced to an acceptable level.
That an assessm ent is carried out to identify the characteristics required o f the
equipment.
N o. The em ployer must ensure that suitable personal protective equipment is
provided free o f charge unless the equipment is not exclusive to the work
place.
N o. Personal protective equipment must either be given to the worker for
individual use or it must be adjustable to fit all sizes, easily accessible, and
kept in a hygienic condition.
instructions for use and maintenance o f the persona! protective equipment must
be available and comprehensible. Equipment must be properly stored,
maintained and inspected. Workers must be provided with training and
instruction as regards the use and maintenance o f the equipment. Employers
must take reasonably practicable steps to ensure the equipment is used as
instructed.
B y consulting M SN 1731, which show s various work activities and the
standards o f equipment required for those activities.
Y es. H e is required to use personal protective equipment provided by the
employer and to follow any training and instruction provided to him.
The MS a n d F V (Lifting O perations a n d L ifting Equipm ent) R egulations 2006
(SI 2 0 0 6 /2 184). Guidance on their requirements is in M GN 332 and in Chapter
21 o f the C ode o f Safe Working P ractices f o r M erchant Seamen.
The M S a n d F V (Provision a n d Use o f Work Equipm ent) R egulations 2006 (see
above). Together the two sets o f Regulations im plem ent the requirements o f
the EC Work Equipment Directive.
The use o f lifting equipment on U K ships except when it is on a public service
vessel or a vessel engaged in search and rescue and characteristics o f the
vessel’s activity inevitably conflict with a provision o f the Regulations, They
also apply to non-UTC ships when in UK waters, except when exercising their
right o f innocent passage.
General legal obligations and what employers must do; regular maintenance;
training; records o f lifting equipment; and Code o f Safe Practices for Merchant
Seamen.
The MS a n d F V (Health a n d Safety a t Work) R egulations, and The M S a n d FV
(P rovision a n d U se o f Work Equipm ent) R egulations 2006 ( “PUW ER ”) (see
above).
No. In line with the EC Work Equipment D irective, LOLER instead places the
onus on the employer to ensure that all lifting equipment that is fitted on board
is appropriate for its intended purpose and is safe to use.
The guidance is broadly the same as given in MGN 331 in respect o f PUW ER
(see above).
O nly those trained and com petent to do so should operate any lifting appliance.
Training may be in-house, including on-the-job training by another worker or a
supervisor, or may be provided by the equipment manufacturer or another
outside body. It w ill be for the em ployer to decide the most appropriate form o f
training to be provided. Instruction should be given to the vessel’s personnel to
enable them to appreciate factors affecting the safe operation o f work
equipment. Training and safety information for those on board should include
an understanding o f the relevant sections o f the C ode o f Safe Working
P ractices f o r M erchant Seamen.
In-service survey, inspections, thorough examinations and certification are to
be carried out as required b y LOLER. Records and service history should be
kept o f equipment, o f when and where it is brought into use, its safe working
load, any repairs, m odifications, tests arid examinations earned out. A ll ships
must maintain a Register o f Lifting Appliances and L oose Gear in a form based
on the model recommended by the ILO and shown at Annex 21.2 o f the C ode
o f Safe Working P ractices f o r M erchant Seamen.
138
Employmont of Young Persons Reguiations
E467. Which U K regulations regulate the
w ork o f you n g p erso n s on U K ships?
E 468 To which a ctivities do The MS e n d FV
(Health a n d Safety a t Work) (Em ploym ent o f
Young P ersons) Regulations 1998 apply?
E469. U nder The M S a n d F V (H ealth a n d
Safety a t W ork) (Em ploym ent o f Young
P ersons) Regulations 1998, who is a “you n g
person ”?
E 470. Can a p erso n under sch ool-leavin g age
be em ployed on a U K ship?
E471. What docum ent m ust b e given to the
m aster before a you n g person m ay be en gaged
as a w orker in any capacity in a U K ship?
E 4 72. What rest p e rio d s are p re sc rib e d by
The M S a n d F V (H ealth a n d Safety a t Work)
(Em ploym ent o f Young P ersons) R egulations
1998?
E473. A re the re st p e rio d s in the last a nsw er
ch an ged by the operation o f the M S (H ours o f
Work) Regulations 2002?
E474. In w hat circum stances m ay the
minimum d a ily rest p e r io d o f a t least 12 hoars
in every 24-hou r p e r io d be interrupted?
E475. In w hat circum stances m ay the
minimum w eekly rest p e r io d o f at least 2 da ys
be interrupted?
E476. B y h ow much m ay the minimum w eekly
re st p e rio d o f a t lea st 2 days be reduced, a n d
fo r what reasons?
E 4 77. Should tim e spen t by a y o u n g p erso n on
training be counted a s w orking tim e?
E478. Is a you n g p erso n p e rm itted to w ork at
night in a U K ship?
E479: What list is req u ired by the E m ploym ent
o f Young P ersons Regulations to be inclu ded in
a C rew Agreem ent?
E480. In which MCA inspection o f a U K ship
m ay a you n g p e r s o n ’s rest p erio d s a n d other
w orking a n d living conditions be checked?
Manual Handling Operations Regulations
E481. Which U K regulations regulate the
manual handling o f heavy item s on b o a rd U K
ships?
The MS a n d F V (H ealth a n d Safety a t Work) (Em ploym ent o f Young Persons)
Regulations 1998 (SI 1998/2411), as amended by The M S (H ours o f Work)
Regulations 2002. The Regulations implement the requirements o f an EC
Directive. Guidance on their requirements is in M GN 88.
AH activities o f young persons engaged as workers on U K ships, wherever they
are.
('a') In relation to em ploym ent on a sea-going UK ship, anv person w ho is o f the
ape o f 16 or 17; or (b) in relation to employm ent on anv other UK ship, anv
person w ho is under the aee o f 18 and. in Great Britain is over school-leaving
age for the purposes o f section 55 o f the M erchant Shipping A ct 1995 or, in
Northern Ireland, is over compulsory school age within the meaning in article
46 o f the Education a n d L ibraries (Northern Ireland) O rder 1986. (Reg. 2(2)
as am ended) (Great Britain includes England, Scotland and W ales, but not
Northern Ireland. A person is over com pulsory school age in Northern Ireland
after June 30 in the school year in which their 16th birthday occurs.)
Section 55 o f the M erchant Shipping A c t 1995 provides that a person under
school-leaving age must not be em ployed on any U K ship except as permitted
by Merchant Shipping regulations.
A certificate granted by a duly qualified medical practitioner certifying that the
young person is fit to be engaged in that capacity, i.e. a M edical Fitness
Certificate.
Where a young person is engaged as a worker on any ship, he/she must be
provided with; H ) a rest period o f at least 12 consecutive hours in every 24-
hour period and (2) a rest period o f at least 2 days, which must be consecutive
i f possible, in every w eek. Where a voune person’s dailv working time is more
than 4 lA hours, he/she must be provided with a rest break o f at least 30
minutes, which must be consecutive i f possible. (Reg. 6)
No. The minimum hours o f rest requirements in regulation 5 o f The MS (Hours
o f Work) R egulations 2002 do not change the rest period requirements in
regulation 6 o f the Em ploym ent o f Young P ersons R egulations.
In the case o f activities involving periods o f work that are split up over the day
or o f short duration.
In the case o f activities involving periods o f work that arc split up over the day
or o f short duration.
It m av be reduced to a period o f not less than 36 hours where justified by
technical or organisational reasons.
Y es. Time spent on training, whether under a theoretical or practical or
combined theoretical and practical work training scheme, is to be counted as
working time.
Reg. 10(1) o f The MS (H ours o f Work) Regulations 2002 prohibits a seafarer
under the age o f 18 from work at night. (“N ight” for this purpose means a
period the duration o f which is not less than nine consecutive hours and which
includes the period between midnight and 5 a.m. local tim e.) However,
regulation 10(2) permits a seafarer o f the age o f 16 or 17 to work at night i f the
work forms part o f an established programme o f training the effectiveness o f
which w ould be impaired by the prohibition in reg. 10(1). (This provision,
which gives effect to article 6 o flL O Convention 180, allow s deck cadets o f 16
or 17 years o f age, for exam ple, to keep night bridge watches.)
A list o f the young persons who are engaged as workers on the ship, together
with particuiars o f their dates o f birth, and a short summary o f the provisions o f
the Regulations. (This list must be made at the foot o f form ALC 1(c); the
summary o f the statutory provisions is printed at the head o f this form.) In a
ship having no Crew Agreement (e.g. a ship o f under 80 N T), the master must,
i f young persons are engaged as workers on the ship, keep a register o f them
with particulars o f their dates o f birth and o f their dates o f engagem ent on
board.
The ILO 178 inspection which is usually carried out by the M CA at the same
time as an external audit o f the Safety M anagem ent Certificate.
The MS a n d F V (M anual H andling O perations) Regulations 1998 (SI
1998/2857). Guidance on their requirements is in M GN 90 and in Chapter 19
o f the C ode o f Safe Working P ractices f o r M erchant Seamen.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

£48.2. To w hich U K ships do The MS and FV
(M anual H andling O perations) R egulations
apply?
E483. What is the em ployer's basic obligation
under The M S a n d F V (M anual H andling
O perations) Regulations?
E484. What obligation is im posed b y The MS
a n d F V (M anual H andling O perations)
Regulations on w orkers on b o a rd ship?
COSHH Regulations
E485. What are the CO SH H R egulations?
E486. What effect d id the COSH H Am endm ent
Regulations 2004 have on the application o f
COSH H on sh ips?
E487. In what w ork situations m ay the
COSH H Regulations, a s am en ded in 2004, still
apply to the a ctivities o f the m aster o r crew o f a
ship, o r their em ployer?
Code o f Practice for Noise Levels in Ships
E488. To which ships does the C ode o f
P ractice f o r N oise L evels apply, a n d w here can
the C ode a n d guidan ce on its use b e found?
Control o f Noise at Work Regulations
E489. Which U K regulations regulate the
control o f noise a t w ork on U K ships, a n d
w here can the M C A 's guidan ce b e fou n d?
E490. What a re the m ain provision s o f the MS
a n d F V (C ontrol o f N oise at Work) R egulations
2007?
E 49I. What docum ent contains p ra c tic a l
guidelines to help w orkers an d em ployers in the
m usic an d entertainm ent secto rs m eet the
requirem ents o f the C ontrol o f N oise a t Work
R egulations?
Control of Vibration at Work Regulations
E492. Which U K regulations regulate the
control o f vibration a t w ork on U K ships, a n d
where can the M C A 's guidance be foun d?
E493. What a re the m ain provision s o f The
MS a n d F V (C ontrol o f Vibration at Work)
R egulations 2007?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
139
AW U K ships oti/ier than pvibhc service v essels and v essels engaged iti search
and rescue.
To avoid, so far as is reasonably practicable, the need for any manual handling
o f a load which would involve a health and safety risk to a worker. H owever, i f
avoidance is not reasonably practicable the em ployer must: (1) carry out an
assessment; (2 ) take appropriate steps to reduce the risk o f injury to workers to
the low est level reasonably practicable; (3) take steps to provide the worker
with precise information on the w eight and centre o f gravity where practicable
to do so; and (4 ) provide workers w ho w ill be involved in a manual handling
operation with proper training and information.
To make full use o f any system o f work provided by the employer to reduce
the risk to the low est level that is reasonably practicable.
The C ontrol o f Substances H azardou s to H ealth R egulations 2002 (SI
2002/2677), as amended by The C ontrol o f Substances H azardous to H ealth
(Am endment) Regulations 2004 (SI 2004/3386), which im pose duties on
em ployers and em ployees concerning the use o f dangerous substances.
The disapplication in the C O SH H R egulations 2 0 0 2 to the master, crew and
em ployer o f a seagoing ship w as extended b y the CO SH H Am endment
Regulations 2004 to all ships used in navigation, other than Royal N avy ships.
H owever, the wording o f the amended Regulations leaves open possibilities for
C O SH H to apply in som e work situations on board a ship.
If the activities are not carried out so le ly by the crew under the direction o f the
master and are liable to expose p erso n s o th er than the m aster a n d crew to risk
to their health and safety. Exam ples m ight be where shore-based contractors
are carrying out fumigation or repairs or maintenance w ork on board. (Possibly
for this reason, the Safety M anagement System o f m any U K shipowners and
operators still requires com pliance with COSHH .)
The Code applies to all ships o f 500 GT and over, but is not mandatory. It is
published on the M CA w ebsite under Working at Sea/ Health and Safety/
A d vice and Guidance. Guidance on its application is in M .1415.
-
The MS a n d F V (C ontrol o f N oise at Work) Regulations 2007, which
implement an EC Directive. M C A guidance on their requirements is in M GN
352 and Chapter 34 o f the C ode o f Safe Working P ractices f o r M erchant
Seamen.
The Regulations im pose duties on em ployers to protect workers w ho may be
exposed to risk from exposure to noise at work and include provisions
covering: (a) action values and limit values for daily and w eekly exposure to
noise; (b) risk assessm ent; (c) elim ination or, where elim ination is not
reasonably practicable, reduction o f exposure to noise; (d) actions to be taken
at action values and limit values; (e) prohibition on exceeding limit values; (f)
provision o f individual hearing protection; (g) information, instruction and
training; (h) health surveillance; and (i) consultation with workers.
Sound A dvice - C ontrol o f N oise a t Work in M usic a n d Entertainm ent, which
can be accessed electronically as described in M GN 377, or bought from HSE
Books.
The M S a n d F V (C ontrol o f Vibration a t Work) Regulations 2 00 7 , which
implement an EC Directive. M CA guidance on their requirements is in M GN
353 and Chapter 34, para. 34.11, o f the C ode o f Safe Working P ractices f o r
M erchant Seamen.
The Regulations im pose duties on em ployers to protect workers w ho may be
exposed to risk from exposure to vibration at work. They apply to both hand-
arm and w hole-body vibration and include provisions covering: (a) action
values and lim it values for daily exposure to vibration; (b) risk assessment; (c)
elim ination or, where elim ination is not reasonably practicable, reduction o f
exposure to vibration; (d) measures to reduce exposure to vibration to as low a
level as is reasonably practicable; (e) actions to be taken at action values and
limit values; (f) prohibition on exceeding limit values; (g) information,
instruction and training; (h) health surveillance; and (i) consultation.
140
Codes o f Practice for ControUing Risks due to Noise and Vibration on Ships
E494. What codes o f pra ctice a re p u b lish ed by
the MCA on controlling risks du e to noise an d
vibration on ships?
Carcinogens and Mutagens Regulations
E495. Which U K regulations d e a l with
carcinogens a n d m utagens on U K ships, a n d
w here can the M CA's guidan ce be fou n d?
E496. What a re the m ain provision s o f The
M S a n d F V (H ealth a n d Safety a t Work)
(C arcinogens a n d M utagens) Regulations
2007?
F.497. What m ust the em ployer d o under the
C arcinogens a n d M utagens R egulations to
establish whether a risk o f exposure to
carcinogens a n d m utagens exists?
BiologicalAm nts Regulations
E498. Which U K regulations d e a l with
biological agents on U K ships, a n d w here can
the M C A ’s guidan ce be foun d?
E 499 What is a b iological agent, f o r the
p u rposes o f the B iological A gents R egulations?
E500. H ow a re b io lo g ica l agents categ o rised
in the B iological A gents R egulations?
E 501. H ow do the B iological A gents
R egulations change the e m p lo y e r’s du ty under
the MS a n d F V (Health a n d Safety a t Work)
R egulations 1997 to m ake a gen eral assessm ent
o f the risks to w orkers arisin g fro m the w ork
they a re undertaking?
E502. What exam ples a re given in M G N 408
o f a ctivities on a sh ip that w ou ld inevitably
involve risk o f exposure to b iological agents?
Chemical Agents Regulations
E503. Which U K regulations d e a l with
chem ical agents on U K ships, a n d w here can
the M C A 's guidan ce be foun d?
E504. What is a chem ical agent, f o r the
pu rposes o f the Chem ical A gents R egulations?
E505. H ow do the Chem ical A gents
R egulations change the em ployer's duty under
the M S a n d F V (H ealth an d Safety a t Work)
R egulations 1997 to m ake a g en era l assessm ent
o f the risks to w orkers arisin g fro m the w ork
they are undertaking?
F ollow ing implementation o f the C ontrol o f N oise a t Work Regulations and
C ontrol o f Vibration a t Work Regulations (outlined above), the M CA produced
three codes o f practice containing guidance on the Regulations: (1) C ode o f
P ractice fo r Controlling Risks due to N oise on S h ips; (2) C ode o f P ractice f o r
C ontrolling H and-T ransm itted Vibration on Ships; and (3) C ode o f P ractice
f o r C ontrolling R isks due to W hole-body Vibration on Ships. The Codes were
promulgated in M IN 363, which explained how to obtain them.
The M S a n d F V (H ealth a n d Safety a t Work) (C arcinogens a n d Mutagens)
Regulations 2007 (SI 2007/3100). The Regulations implement an EC
Directive. M CA guidance on their requirements is in M GN 356 and Chapter
27, para. 27.2, o f the C ode o f Safe Working P ractices fo r M erchant Seamen.
Employers o f seafarers and other workers on ships must protect workers from
risks related to exposure to carcinogens and mutagens. The Regulations apply
to all activities o f workers on U K ships, whether on inland waters or at sea.
The em ployer’s general health and safety obligation to improve the safety and
health o f workers at work is extended to remove or limit the risks o f exposure
to carcinogens and mutagens.
(1) Carry out regular risk assessments; (2) remove the risk w here possible, e.g.
by replacing toxic substances or products with non-hazardous ones; (3) reduce
the level o f exposure as far as technically possible, e.g. by using the substances
in a closed system; (4) ensure that exposure never exceeds the limit values set
out in M GN 356; and (5) provide information to the authorities on request, e.g.
the number o f workers likely to be affected by the identified risks.
Tlie MS a n d F V (H ealth a n d Safety a t Work) (B iological A gents) Regulations
2 0 1 0 (SI 2010/323). The Regulations implement an EC Directive. M CA
guidance on their requirements is in M GN 408 and Chapter 27, para. 27.9, o f
the C ode o f Safe Working P ractices fo r M erchant Seam en.
A ny micro-organism, which includes viruses, fungi, parasites and bacteria,
which may cause infection, allergy or toxicity.
Into Groups 1, 2, 3 and 4, according to their potential effect on humans. A
Grouo 1 bioloeical agent is one that is unlikelv to cause human disease. A
Group 2 biological agent is one that can cause human disease and might be a
hazard to workers but is unlikely to spread to the com munity and for w hich
there is usuallv an effective prophvlaxis or treatment available. A Grouo 3
biological agent is one that can cause severe human disease, presents a serious
hazard to workers and m ay present a risk o f spreading to the com munity but
for which there is usually an effective prophylaxis or treatment available. A
Group 4 biological agent is one that causes severe human disease, is a serious
hazard to workers and m ay present a high risk o f spreading to the com m unity
and for w hich there is usually no effective prophylaxis or treatment available.
The B iological A gents R egulations build on the requirements o f the H ealth an d
Safety a t Work Regulations by requiring that em ployers’ risk assessm ents
establish whether the possibility o f exposure to biological agents exists and, if
so, what category such agents fall into, w ho is at risk from them, and what the
potential exposure to such agents is likely to be.
(1) M edical care on board; (2) contact with animals and/or products o f animal
origin; (3) work with air conditioning and water supply system s; (4) work with
food production; and (5) work involving waste disposal and sewage plant.
\ ' ‘ -V s
The MS a n d F V (H ealth a n d Safety a t Work) (Chem ical Agents) Regidations
2010 (SI 2010/330). The Regulations implement an EC Directive. M CA
guidance on their requirements is in MGN 409 and Chapter 27, para. 27.6, o f
the C ode o f Safe Working P ractices fo r M erchant Seam en.
Any chem ical elem ent or compound, on its own or admixed, as it occurs in the
natural state or as produced, used or released, including release as waste, by
any work activity, whether or not produced intentionally and whether or not
placed on the market.
The Chem ical A gents Regulations build on the requirements o f the H ealth and
Safety at Work R egidations by requiring that the em ployers’ risk assessm ents
establish whether the possibility o f exposure to chemical agents exists and, if
so, what category such agents fall into, who is at risk from them, and what the
potential exposure to such agents is likely to be.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Work at H&mht Regulations
E506. Which U K regulations d e a l w ith w ork
a t height on U K ships, a n d where can the
M C A ’s guidan ce be fou n d?
E507. H ow do the Work a t H eight Regulations
change the em ployer's duty under the MS a n d
F V (Health a n d Safety a t Work) Regulations
1997 to m ake a g en eral assessm ent o f the risks
to w orkers arisin g fro m the work they are
undertaking?
E508. D o the Work at H eight R egulations only
apply where a p erso n c o a id f a ll m ore than two
m etres?
Asbestos Regulations
E509. Which U K regulation s d e a l with
asbestos on UK ships?
E 510. Where can the M CA's guidan ce on the
A sbestos R egulations be found, a n d w hat a re its
contents?
Artificial Optical Radiation Regulations
E511. Which U K regulations d e a l with
artificial optica l radiation on UK ships, a n d
where can the M C A ’s guidance be foun d?
E512. What is “a rtificial o ptical radiation "
a n d w hat dam age can it cause?
E513. Where can the M C A 's guidan ce on the
A rtificial O ptical R adiation Regulations be
found, a n d w hat a re its contents?
Permits-to~ Work
E514. Where can the M CA's guidan ce on the
use o f Perm its-to-W ork b e foun d?
E515. What is the p e rio d o f validity o f a
P erm it-to- Work?
E516. Whose signatu res sh ould b e on a
P erm it-to- Work?
MUSTERS, DRILLS, ON-BOARD TRAINING and INSTRUCTIONS, and DECISION
SUPPORT SYSTEMS
S'
E517. Which U K regulations c o ve r masters,
d rills a n d decision su pport system s?
E 518. Where can guidan ce on the M usters
R egulations be found?
E 519. What are the basic U K statutory
requirem ents relating to m uster lists?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
141
The MS a n d F V (Health a n d Safety a t Work) (W ork a t H eight) Regulations
2010 (SI 2010/332). The Regulations implement an EC Directive. M CA
guidance on their requirements is in M G N 410. Chapter 15, para. 15.2, o f the
C ode o f Safe Working P ractices f o r M erchant Seam en deals with Working aloft
an d outboard.
The Work at H eight R egulations build on the requirements o f the H ealth an d
Safety a t Work Regulations by requiring that em ployers’ risk assessm ents
include more detailed consideration o f whether any risks to workers exist, or
could potentially arise, as a result o f carrying out work at height. If such risks
are identified, appropriate measures must be taken to rem ove or mitigate the
n sk and to protect workers.
N o. The provisions o f the Work at H eight R egulations apply to all work carried
out “at height” where a person could fall a distance liable to result in an injury
to them. M G N 4 1 0 states that for this reason, the “two metre rale”, previously
used for land based workers and informally applied to maritime workers, no
longer applies. The Work a t H eight Regulations apply irrespective o f whether
work is being carried out at 2 metres or above or below 2 metres.
The M S a n d F V (Health a n d Safety a t Work) (A sbestos) Regulations 2010 (SI
2010/2984), which are in force from 10 January 2011. The Regulation,
explained in M G N 429, im plem ent an EC Directive (1983/47 7/EEC, as
amended) by extending to the maritime sector the duty on em ployers to reduce
the risk to their em ployees’ health resulting from exposure to asbestos at work.
M CA guidance on their requirements is (at 30 Decem ber 2010) due to be
published in an M GN. Chapter 27, para 27.4, o f the C ode o f Safe Working
P ractices f o r M erchant Seam en deals with A sbestos dust. Specific guidance on
the requirements o f the Regulations is expected in a future Amendment to
COSWP.
The M S a n d F V (H ealth a n d Safety a t Work) (A rtificial O ptica l Radiation)
R egulations 2 0 1 0 (SI 2010/2987), which are in force from 10 January 2011.
The Regulations implement an EC Directive (2006/25/E C ) by extending to the
maritime sector the duty on employers to reduce the risk to their em ployees’
health resulting from exposure to artificial optical radiation at work. The
Regulations are explained in M GN 428
Optical radiation is another name for light. Artificial sources can produce
ultraviolet, infrared and laser radiation. The risks from optical radiation depend
on the type and intensity o f radiation and the parts o f the body exposed: the
eyes and skin are m ost at risk. Dam age to the eyes can range from photo-retinal
damage (B lue Light Hazard) to bum s to the retina and com ea or even cataracts.
Skin damage can range from bum s up to skin cancer. (D raft MGN, 2.1)
M CA guidance on their requirements is (at 30 Decem ber 2 0 10) due to be
published in an MGN. Guidance on the requirements o f the Regulations is
expected in a future Amendment to COSWP.
In Chapter 16 (Permit to Work System s) o f the C ode o f Safe Working P ractices
fo r M erchant Seamen.
COSW P advises that the permit should specify its period o f validity (which
should not be more than 24 hours) and any time lim its to the work which it
authorises.
In all cases, those o f the authorising officer and the person responsible for
carrvine out the specified work. I f the authorising officer formallv transfers
responsibility to another authorised person, either as a matter o f routine or in
an em ereencv. that person should also sien the permit to indicate transfer o f
full responsibility.
The M S (Musters, Training a n d D ecision Support System s) R egulations 1999
(SI 1999/2722).
In M GN 71. This should be read in association with M SN 1803.
Every ship must have a muster list, which must be in an M CA-approved
format. It must be exhibited in conspicuous places throughout the ship
including the bridge, the engine room and crew accomm odation It must
specify certain information.
142
E520. What inform ation must be inclu ded in a
m uster list?
E521. What are a U K sh ipm aster's statutory
respon sibilities in relation to m uster lists an d
em ergency instructions?
E522. On which sh ips m ust any m uster list be
a p p ro v e d by the MCA?
E523. What a re the U K statutory
requirem ents relatin g to d esign ated person n el
in lifeboats a n d liferafts?
E524. What m ust a U K sh ipm aster ensure
with respect to the distribution o f certain
person s in su rviva l craft?
Emergency instructions
E525. What are the U K sta tu to iy
requirem ents relatin g to em ergency instructions
f o r crew m em bers?
E526. What are the U K sta tu to iy
requirem ents relating to em ergency instructions
f o r passen gers?
(1) The general em ergency alarm signal; (2) action to be taken by crew and
passengers when the em ergency alarm signal sounds; (3) how the abandon ship
order w ill be given; (4) other em ergency signals and the action to be taken by
the crew on hearing them; (5) on Class I, II, 11(A) and III ships, the location o f
passenger muster stations; (6) duties assigned to crew members including; (a)
closin g o f w /t doors, fire doors, valves, scuppers, side-scuttles, portholes and
other similar openings; (b) equipping o f survival craft and other LSA; (c)
preparation and launching o f survival craft; (d) general preparation o f other
LSA; (e) muster o f passengers ( i f any); (f) use o f communication equipment;
(g) manning o f fire parties; (h) any special duties assigned in connection with
fire-fighting equipment and installations (e.g. B /A parties); (7) em ergency
duties assigned to crew members in connection with passengers, including; (a)
warning the passengers; (b) seeing that passengers are suitably clad and have
donned their lifejackets correctly; (c) assem bling the passengers at muster
stations; (d) keeping order in passagew ays and on stairways and generally
controlling the m ovem ents o f passengers; and (e) ensuring that blankets are
taken to survival craft; (8) the o ffic e r s ) assigned to the maintenance o f the
L SA and fire appliances; (9) substitutes for key persons when they are disabled
(e.g. the master, c h ief officer and c h ief engineer).
(1) To prepare a muster list before the ship proceeds to sea. (2) To maintain the
muster list for the duration o f the voyage for w hich it was prepared. (3) To
revise the muster list, or prepare a new list, if there is any change in the crew
necessitating an alteration. (4) To ensure that copies o f the muster list are
exhibited in conspicuous places throughout the ship including the bridge,
engine room and crew accom m odation spaces. (5) To ensure that clear
instructions to be follow ed in the event o f an em ergency are provided for every
person on board. (6) To ensure that illustrations and instructions in English and
in any other appropriate languages are posted in passenger cabins and
conspicuousl y displayed at assem bly or muster stations and other passenger
spaces to inform passengers o f their assem bly or muster station, the essential
actions they must take in an em ergency, and the method o f donning lifejackets.
Passenger ships o f C lasses I, II, 11(A) and III. These ships must hold a Muster
List Approval Docum ent issued by the M CA.
A deck officer or certificated person must be placed in charge o f each survival
craft to be used, and a deck officer or certificated person must be assigned as
second-in-com m and o f a lifeboat. In ships o f C lasses II, 11(A) and III, a person
practiced in the handling and operation o f liferafts may be placed in charge o f a
liferaft in lieu o f a deck officer or certificated person. A motor lifeboat must
have a person assigned to it w ho is capable o f operating the engine and
carrying out minor adjustments; this person may be the coxsw ain i f it is
possible to operate the engine and steer the lifeboat from one position. A
lifeboat w ith a radio installation and each survival craft in which are placed
EPIRBs, SARTs or tw o-w ay R/T sets must have a person assigned to it capable
o f operating such equipment.
That the distribution o f crew members with special responsibilities is equitable
am ong the survival craft. These personnel are: crew members to assist
passengers in em ergency situations; crew members to man survival craft and
handle launching appliances; a deck officer or certificated person in charge o f
each survival craft; a deck officer or certificated person as second-in-com m and
o f a lifeboat; and a person practiced in the handling and operation o f liferafts in
charge o f each liferaft.
In ships on international voyages, and in passenger ships o f classes 11(A) and
III, each crew member must be provided with clear instructions to be follow ed
in the event o f an em ergency, e.g. on a card showing his assem bly or muster
station, his em ergency duty, and the lifeboat or liferaft to which he is allocated.
The card or other means should also describe the general em ergency alarm
signal and any other signals to be used in an em ergency, and the action to be
taken on hearing the signals. It should also show the means by which the
abandon ship order is to be given. In ships with significant numbers o f non-
English speaking crew, em ergency instructions should be provided in the
appropriate language(s).
Emergency instructions, illustrated where possible, must be displayed in each
passenger cabin, in passenger assem bly or muster stations and in other
passenger spaces. Such instructions, in English and in any other language
appropriate to the principal nationalities carried on the sh ip’s route, are to
inform passengers o f their assem bly or muster stations, essential actions to be
taken on hearing the general em ergency alarm signal and any other signal
requiring action on their part, and the method o f donning lifejackets. The
location o f lifejackets should be included in these instructions.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Emergency signals
E527. What a re the U K statutory
requirem ents relatin g to em ergency signals?
E528. A re a n y em ergency sign als p e rm itte d
other than the g en era l em ergency alarm ?
E529. Is a s p e c ia l sign al p erm issib le f o r
sum m oning crew to su rvival craft em barkation
stations?
E530. B y w hat m eans m ay the abandon ship
o rd er b e given ?
E 5 3 I. A re unannounced m usters o r drills
p e rm itted in U K ships?
Crew participation in and frequenry o f drills
E532. H ow often m ust crew m em bers be
ex ercised in f ir e a n d boat drills?
E533. When m ust abandon ship a n d fire d rills
be h eld in U K sh ips?
E534. What arrangem ents sh ou ld b e m ade
w here it is im practicable to have a f u ll drill
within 24 hours o f leaving p o rt?
E535. What are the additional U K sta tu to iy
requirem ents relatin g to drills in ships o f
classes I, II, 11(A) a n d III?
Abandon ship drills
E536. What sh ou ld an abandon ship drill
consist of?
E537. H ow sh ou ld the com m encem ent o f an
abandon sh ip d rill be announced?
E538. What em ergency d rills m ight be
inclu ded in the fir s t sta g e o f an abandon ship
drill?
Fire and other emergency drills
E539. When sh ou ld a f ir e d rill b e held?
E540. In what m anner sh ou ld a f ir e o r other
em ergency d rill be conducted?
E 54I. What instruction concerning fir e
preven tion sh ou ld be given on board?
E542. What sh o u ld fo llo w a f ir e o r other
em ergency d rill on a U K ship?
Drills in closing o f doors, side scuttles and other openings
E543. What drills a n d inspections in
connection with w atertight doors a n d other
devices a re req u ired in U K p a ssen g er ships?
Survival craft musters and drills, and lowering of lifeboats in drills
E544. Which person n el sh ould have a list o f
su rvival craft crew ?
E545. On a pa ssen g er ship, which lifeboats
sh ou ld be u sed in a drill?
E546. What is the M CA's advice regarding
low erin g o f lifeboats in drills on p a ssen g er
sh ips?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
143
The general em ergency alarm is to consist o f seven or more short blasts
follow ed by one long blast on the ship’s w histle or siren and on a bell, klaxon
or similar warning system where provided.
Yes. Signals for incidents not requiring a muster o f the passengers or o f the
w hole crew, or for dealing with a minor incident, are at the master’s discretion.
Y es - but only in a cargo ship. The signal may be used in a drill or in an
emergency.
The means o f giving the signal is at the master’s discretion. It may be by a
signal (e.g. a siren) or by word o f mouth, but arrangements should be such that
everyone on board, including those in em ergency parties, w ill receive it.
N o. All persons on board should be notified beforehand that a practice muster
or drill is about to be held.
Each crew member must participate in at least one abandon ship drill and one
fire drill every month.
Within 24 hours o f leaving port i f more than 25% o f the crew have not
participated in drills on that ship in the previous month. In Class I, II, 11(A) and
III ships, abandon ship and fire drills m ast be held w eekly. (In ships o f other
classes there is no such requirement.)
Musters should be held within this period and instructions given to crew
members on their em ergency duties and on abandon ship procedures. On ro-ro
passenger ferries these instructions m ust be given before any passenger-
carrying voyage. Full drills should be h d d as soon as circumstances permit.
An abandon ship drill and a fire drill must be held w eekly and as many o f the
crew as practicable should take part. Each crew m ember m ust participate in at
least one abandon ship drill and one fire drill each month.
T w o stages: (1) A muster o f crew (and passengers, i f appropriate) at the
stations specified in the muster list, together with a fire or other em ergency
drill; and (2) and a muster and drill at survival craft stations.
B y the general em ergency alarm signal.
A fire drill, or a drill for em ergencies other than fire, e.g. collision, damage
control, grounding, cargo or bunker spillage, rescue o f personnel from
dangerous spaces, or m edical treatment
In the first stage o f an abandon ship drill.
A s far as practicable as i f it w ere an actual em ergency. Full details are given in
M GN 71.
Instruction should cover fire prevention, particularly in galleys, machinery
spaces, cargo compartments, pumprooms and accom m odation spaces. On­
board instruction in fire-fighting is supplementary to training available at fire­
fighting courses ashore and is primarily concerned with the particular
equipment available on board and the nature o f on-board fire hazards.
The second stage o f the abandon ship drill, i.e. the muster and drill at survival
craft stations. This stage o f the drill should be announced by the abandon ship
signal or by the particular means by which “abandon ship” is announced, or by
a signal used for the purpose o f summoning crew members to their survival
craft stations.
Under the tw o sets o f M S (P assen ger Ship Construction) Regulations,
passenger ships o f Classes I to V I(A ) drills for practising the closing o f
watertight doors, deadlights, scuppers, ash-shoots, rubbish-shoots and similar
devices must be held “as required”. Inspections must be made every 7 days or
less o f all watertight doors and mechanisms, indicators and warning devices
connected with same, the closin g o f w hich is necessary to m ake watertight any
compartment b elow the margin line, and valves the operation o f which is
necessary for the efficient operation o f damage-cohtrol cross-connections.
The person in charge o f each survival craft must have a list o f its crew. The
second-in-com m and o f a lifeboat must also have a list o f the lifeboat crew.
W here practicable, some from each side o f the ship. Different groups o f
lifeboats should be used at su ccessive drills.
W hen the drill is held at sea, a number o f lifeboats should, i f weather and other
circumstances permit, and subject to overriding safety constraints, be cleared,
sw ung out, and lowered to embarkation deck level in the case o f boats boarded
144
E547. What is the MCA ’$ advice regardin g
low ering o f lifeboats in drills on cargo ships?
E548, What are the U K statutory
requirem ents for testing em ergency lighting?
E549. What are the U K statutory
requirem ents relating to su rvival craft d rills
h eld in p o rt?
E550. What a re the U K statutory
requirem ents where the berthing arrangem ents
a n d trading pattern s o f sh ips make the
launching o f lifeboats on one side
im practicable?
E551. Is launching o f lifeboats a n d rescue
boats p e rm itte d when the sh ip is m aking
headway, o r when an ch ored in a tidew ay or
current?
E552. What are the U K statutory
requirem ents f o r the launching in d rills o ffre e -
f a l l lifeboats?
E553. M SN 1803 w a s issu ed in 2006 to
im plem ent IM O guidan ce on m easures to
p re v en t lifeboat accidents. What is in M SN
1803?
Passenger musters and passetmer participation in drills
ES54. Should passen gers p a rticip a te in drills?
E555. When m ust a p a ssen g er m uster b e held,
an d in what m ust pa ssen g ers be instructed?
E556. A fter em barking m ost o f the p assen gers
an d holding a p a ssen g er m aster on a cruise
ship, a f e w m ore p a ssen g ers embark. What
arrangem ents m ust be m ade?
E 5 5 7. What a re the U K sta tu to iy
requirem ents w here a p a ssen g er m uster is not
h e ld on sailing?
i--''--''... ; .................................. .......
Rescue boat and emergency boa1 dril w
E558. What a re the U K sta tu to iy
requirem ents f o r launching rescue boats in
drills?
E559. What are the U K sta tu to iy
requirem ents f o r m usters a n d drills o f rescue
boat crew s in C lass I ships?
-Davit-launched liferaft on-board trainiina
E560. On ships f itte d w ith davit-launched
liferafts, when m ust o n -b o a rd training in iheir
launching be given, a n d w hat m ust the training
include?
E 56I. In ships o f C lasses II a n d 11(A) on
regular voyages, w hat sh ou ld the 4-m onthly
liferaft training include?
at this position, and side ladders and embarkation arrangements prepared.
At least one lifeboat should be lowered when weather and other circumstances
permit.
Emergency lighting for mustering and abandonment must be tested at each
survival craft drill.
As m any as possible o f the lifeboats should be cleared, swung out and lowered.
Each lifeboat must be launched with its assigned operating crew aboard and
manoeuvred in the water once every 3 months during an abandon ship drill. In
lifeboats not fitted with engines the crew should be exercised in rowing or in
the use o f the mechanical hand-propelling gear. Each opportunity should be
taken to test the lifeboat disengaging gear where fitted.
In ships o f C lasses II, 11(A), VIII or VIII(A) only, i f the berthing arrangements
and trading patterns make launching on one side impracticable, then launching
on that side at 3-m onthly intervals is not required, but all lifeboats on that side
must be lowered at least once every 3 months and launched at least annually.
The launching o f lifeboats and rescue boats should normally take place when
the ship is alongside or at anchor with little or no tide or current. Where there is
actual or effective headway, such launching should be carried out in
accordance with the guidelines in M SN 1722.
A free-fall lifeboat m ay be lowered to the water i f launching is impracticable,
provided that free-fall launching with the assigned operating crew and
manoeuvring in the water is carried out at least once every 6 months. If it is
impracticable to launch within a period o f 6 months, the shipowners may apply
to the M CA for an extension to 12 months.
Part 1 contains guidelines for periodic servicing and maintenance o f lifeboats,
launching appliances and on-load release gear, and has three appendices:
Appendix 1 contains specific procedures for maintenance and servicing:
Appendix 2 contains general guidance on the conduct o f 5-vearlv load tests on
U K vessels; Appendix 3 contains approval procedure for independent lifeboat
servicing com panies. Part 2 contains guidelines on safetv during abandon ship
drills using lifeboats, and Part 3 concerns free-fall lifeboats.
See also Section 1
Where practicable, passengers on Class I passenger ships should be strongly
recommended to attend abandon ship drills.
On any ship carrying passengers where the passengers are scheduled to be on
board for more than 24 hours, within 24 hours o f embarkation. The passenger
must be instructed in the use o f lifejackets and in the em ergency actions to be
taken on hearing the general em ergency alarm signal.
It is not necessary to hold another muster, but the attention o f the new
passengers must be drawn to the em ergency instructions. This can be done on
the ship’s PA system or by direct oral announcement.
In all Class 11,11(A) and III ships, and Class VIII, VIII(A), VIII(A)(T) and IX
ships carrying passengers, and Class XI ships on international voyages, the
attention o f the passengers must be drawn to the em ergency instructions.
... - — ----------- -
- .' • , . -
A s far as reasonable and practicable, rescue boats other than those which are
also lifeboats, must be launched each month with their rescue boat crews
aboard and manoeuvred in the water. The interval between drills must not
exceed 3 months. Emergency boats carried on passenger ships which do not
ca n y rescue boats should be launched at similar intervals and should carry out
similar drill procedures.
The crews o f rescue and em ergency boats should be mustered on the first day
o f the voyage as soon as possible after sailing and should be fully instructed
and drilled in their duties. Thereafter they should be mustered and drilled at
intervals o f not more than 7 days.
"
At intervals o f not more than 4 months. W henever practicable the training must
include the inflation and lowering o f a liferaft. The liferaft may be a special
training raft that is not part o f the LSA , but must be marked as such.
The inflation, in port, o f one o f the ship’s liferafts. This should be lowered,
unloaded, onto the quay. Training in boarding and using the release hook can
be carried out with the liferaft suspended just clear o f the quay, or i f landing on
the quay is not practical, just clear o f the embarkation deck follow ing inflation
in the overside position. The liferaft should be serviced after the training.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

E562. In cargo sh ips a n d in p a ssen g er ships
on irregular voyages, w hat sh ou ld the 4-
m onthly liferaft training include?
On-board instruction, training and tra Ining manuals
E563. What training sh ou ld a ll person s
e m ployed o r en g a g ed on a sea-goin g ship,
o th er than passengers, receive before being
a ssign ed to sh ip b o a rd duties?
E564. What s p e c ia l training m ust be given to
certain p erson n el in ro-ro p a ssen g er sh ips a n d
other p a ssen g er ships?
E565. What sp e c ia l training m ust be given to
crew m em bers a llo c a ted specific key tasks f o r
the preparation, launching a n d handling o f
lifeboats, rescu e boats, liferafts a n d m arine
evacuation system s?
E566. What kind o f on-board LSA training
does the MCA stron gly em ph asise a s being
p articu larly im portant?
E567. Where o n -b o a rd training cannot be
g iven in the use o f certain item s o f LSA because
o f p ra c tic a l considerations, w hat arrangem ents
sh ould be m ade?
E568. What sh ou ld a sh ip 's LSA Training
M anual contain?
Records o f musters, drills, training and on-board instruction
E569. What records m ust be m ade o f musters,
drills, training a n d o n -board instruction?
E 5 70. What records m ust be m ade w here a
fu ll muster, d rill o r training session cannot be
h eld as req u ired b y the Regulations?
Weekly and monthly inspections o f LSA
E571. When m ust life-savin g applian ces be
inspected under The M S (M usters, Training a n d
D ecision Support System s) R egulations?
Testing o f LSA
. E572. What a re the U K statutory
requirem ents f o r testing lifeboat a n d rescue
! boat engines?
j E573. What are the U K statutory
requirements f o r testin g liferaft davits and
{ **inches?
Testing and inspections of fire-fighting equipment
I; E574. What m onthly testing a n d inspections o f
j fire-fighting equipm ent m ust be c a rrie d out on
-o a rd a U K ship?
~HE SHIPMASTER’S BUSINESS SELF-EXAMINER
145
An inflation, in port or at sea, o f one o f the sh ip’s liferafts. The training should
be as for Class II and 11(A) ships in the last answer, but i f the training is carried
out at sea, means should be provided for suspending or lowering the raft over a
deck to provide the opportunity for boarding and handling the release hook.
The liferaft should be serviced after the training.
Familiarisation training. Where thermal protective aids (TPAs) are carried, this
should include training in donning the TPA w hile wearing a lifejacket. Crew
members allocated an immersion suit should be trained in donning the suit and
familiarised with its wearing.
Crew members w hose em ergency duties include the guidance o f passengers,
and the searching and closin g down o f p assenger spaces must be trained and
instructed in these duties, as explained in M GN 71 and M GN 95 (Training and
Certification Guidance Part 5).
They should be trained in their specific tasks. This training should also be
given to a sufficient number o f crew members to provide substitutes for the
crew members al located these key tasks in the muster list.
Training in the handling o f totally enclosed and partially enclosed motor
propelled lifeboats fitted with on-load release gear and in certain cases with
self-contained air support and water spray system s. (The emphasis is due to the
com plexity o f the equipment.)
On-board instructions in the use o f the equipment must be given at the same
time interval as drills.
Instructions and information on the L SA carried, personal protective
equipment and its location, and information and instructions on survival,
hazards o f exposure, methods o f retrieval and em ergency repair o f LSA. Any
part o f the information to be included in the Training Manual may be provided
in the form o f audio-visual aids.
The follow ing must be recorded in a special page in the Official L og Book: the
date on which any muster, drill or training session is held, the type o f drill or
training held, and the occasions on which any lifeboat, rescue boat or davit-
launched liferaft is lowered or launched.
A record must be made in the “Musters, Drills and Training” page o f the
O fficial L og B ook o f the relevant circumstances and the extent o f any muster,
drill or training session held
W eekly and monthly. (1) A t w eek ly intervals, survival craft, rescue boats and
launching appliances must be inspected to ensure that they are ready for
immediate use; rescue boat and lifeboat engines must be run ahead and astern
for a total period o f not less than 3 minutes, i f safe to do so when out o f the
water and the ambient temperature is above the m inimum required for starting
the engine; and the general em ergency alarm system must be tested. (2) At
monthly intervals all L SA including lifeboat and rescue boat equipment must
be inspected, using the check-list provided in the instructions for on-board
maintenance. This inspection should include an examination and test o f fixed
radio installations and searchlights on survival craft, and ensuring that the
batteries can be charged from the dynamo when the engine is running; in
lifeboats with water spray system s, a test o f the system in accordance with the
manufacturer’s instructions, follow ed by flushing through with fresh water i f
sea water w as used in the test.
Each lifeboat and rescue boat engine must be tested by being run ahead and
astern for a total period o f not less than 3 minutes provided that the engine can
be safely run for this period when out o f the water and the ambient temperature
is above the minimum for starting the engine. Where lifeboats are fitted with
mechanical hand-propelling gear, this g-jar should be examined and tested
ahead and astern.
Liferaft davits must be sw ung out and w inches operated at each survival craft
drill.
To ensure that: (1) all fireman’s outfits, fire extinguishers, fire hydrants, hoses
and nozzles are in place and in serviceable condition; (2) all escape routes
including stairways and corridors are free o f obstructions and properly
146
ES 75. What quarterly testin g a n d inspections
offire-figh tin g equipm ent m ust be c a rrie d out
on b o a rd a U K ship?
E576. What annual testin g a n d inspections o f
fire-figh tin g equipm ent m ust be c a rrie d out on
b o a rd a U K sh ip?
Decision Support System
E 5 77. Which U K ships m ust have a D ecision
Support System?
E 5 78. What is a D ecision Support System fo r,
a n d w hat is it m eant to do?
E5 79. Where must the D ecision Support
System be provided?
E580. What, a s a minimum, m ust the D ecision
Support System consist of?
E581. In a D ecision Support System, what
m ust the em ergency p la n o r p la n s do?
E582. What em ergency situation s m ust be
iden tified in the em ergency pla n o r p la n s in a
D ecision Support System ?
E583. U nder w hat conditions m ay a ship
c a rry a com pu ter-based D ecision Support
System on the bridge o r in any o th er safety
con trol centre?
ILLNESS
Master’s statutory duties in event o f crew illness
E584. What a re a U K sh ip m a ste r’s sta tu to iy
duties when a seam an fa lls ill with chickenpox
on a voyage?
E585. What is the legal status o f the M edical
Log, where one is kept in a U K ship?
HOURS OF WORK
Hours o f Work Regulations
E586. Which U K regulations c o ve r seafarers ’
hours o f w ork a n d rest?
maintained; (3) P A system and ship’s alarms are serviceable; (4) all fixed fire­
fighting installation valves are set in the correct operational position; (5) dry
pipe sprinkler system s are pressurised where appropriate, and gauges indicate
correctly; (6) sprinkler system pressure tank water levels are correct as
indicated by glass gauges; (7) all sprinkler system pumps operate automatically
on pressure loss in the systems; (8 ) all fire pumps are operational; and (9) all
fixed gas fire extinguishing installations are free from leakage.
To ensure that: (1) all fire extinguishers are at correct pressure and are not due
for servicing; (2) all automatic alarms for sprinkler system s activate using the
suction test valves; (3 ) the international shore connection is serviceable; (4)
fire-fighting equipment lockers contain their full inventory and the equipment
they contain is in serviceable condition; and (5) all fire doors, fire dampers and
closin g devices can be operated locally.
To ensure that: (1) all fire doors, and ventilation dampers where appropriate,
operate remotely; (2) where practicable, all aqueous foam and water spray
fixed fire-fighting installations operate correctly; (3) all accessible components
o f fixed fire- fighting system s (typically n ozzles) are free from damage or
obstruction on visual inspection, (4) all fire pumps, including sprinkler system
pumps, develop correct pressures and flow rates; (5) all hydrants operate; (6)
all antifreeze solutions are correctly maintained and cross-connection between
fire main and sprinkler system operates correctly; and (7) fixed fire detection
system s operate correctly, according to manufacturers’ test instructions.
Ships o f C lasses I, II and 11(A). (For definitions o f C lass categories, se e U K
P assen ger Ship C lasses in Section D .)
A D C S is for em ergency m anagem ent and is meant to guide the master, step by
step, through the necessary procedures to deal with a specified em ergency
situation or combination o f em ergency situations.
On the navigation bridge.
A printed em ergency plan in English and, i f different, in the working language
o f the crew, in respect o f each Class in which the ship operates. (In practice,
many ships have a computer-based D ecision Support System .)
It must identify all foreseeable em ergency situations. For each situation it must
establish em ereencv procedures. It must also provide decision support to the
master for handling anv combination o f the em ereencv situations identified. It
must have a uniform structure and be clear and easv to understand in
accordance with M GN 71. Where applicable the plan must use the actual
loadine condition as calculated for the ship’s vovaee stability for damage
control purposes.
A s a minimum: fire, damage to the ship, pollution caused or likely to be caused
bv the ship, unlawful acts threatenine the safety o f the ship and the security o f
its passeneers and crew, serious accidents or iniuries to the crew or oasseneers.
serious careo-related accidents, and beine required to provide em ergency
assistance to another ship. Anv other foreseeable situations should also be
identified.
If it (1) provides all the information contained in the em ergency plan(s),
including the em ergency procedures, and any checklists, and (2 ) is able to
present a list o f recommended actions to be carried out in any foreseeable
em ergency situation.
To: (1 ) give m edical care in accordance with the Ship C aptain "s M edical
G uide; (2) record the illness in the O fficial Log Book, stating (a) the
occurrence o f the illness, (b) the treatment given, (c) the progress o f the illness
and (d) the disposal o f the case (i.e. whether he was cured); (3) notify the port
health authority o f a case o f infectious disease on board before arrival at the
next port o f call; (4) com plete a Maritime Declaration o f Health if required (see
Section I - H ealth C learance Procedures).
Unless all illnesses are also recorded in the O fficial L og B ook, it is technically j
an annex to the Official L og Book, and has the same legal status.
j
The M S (H ours o f Work) Regulations 2002 (SI 2002/2125) as amended by The |
MS (H ours o f Work) (Amendment) R egulations 2004 (SI 2004/1469). They
implement in the UK the EU Directive on the Organisation o f Seafarers’
THE SHIPMASTER’S BUSINESS SELF-EXAMINE=

E587. Which U K sh ips do The M S (H ours o f
Work) Regulations, as am ended, a pply to?
E588. Which non-U K ships d o The MS (H ours
o f Work) Regidations, as am ended, a pply to?
E589. Which p erso n s do The M S (H ours o f
Work) Regulations a p p ly to?
E590. Who is defin ed as a “seafarer" under
The M S (H ours o f Work) R egulations?
E591. What is the p r o p e r interpretation o f the
p h ra se "any p erso n ... em ployed o r en g a g ed in
any capacity on b o a rd a ship, on the business o f
the ship " in the last answ er?
E592. Which p e rso n s on a U K sh ip do The M S
(H ours o f Work) R egulations not a p p ly to?
E593. In a s a il training ship, which person n el
are co ve re d by The M S (H ours o f Work)
Regulations?
Duties tinder Hours of Work Regulatte
E594. What is the g en era l duty o f the
com pany, the p erso n em ploying a seafarer a n d
the m aster under The M S (H ours o f Work)
R egulations?
E595. What is the respon sibility o f all
seafarers when they begin a p e rio d o f duty?
E596. What is the respon sibility o f all
seafarers when they a re not on duty?
Minimum hours o f rest
E597. What a re the minimum hours o f rest
under The MS (H ours o f Work) Regulations?
E598. Can the minimum hours o f re st in the
last an sw er be d iv id e d into separate p e rio d s?
E599. D o the rest p e r io d requirem ents in The
MS (H ours o f Work) R egulations override the
rest p e r io d requirem ents in The MS (Health
a n d Safety at Work) (Em ploym ent o f Young
Persons) R egulations?
E600. What do The MS (H ours o f Work)
R egulations sa y about exceptions being
p erm itted to the lim its on minimum hours o f
rest?
E 60I. Why d o the minimum hours o f rest
requ ired by The MS (H ours o f Work)
j Regulations differ fro m those requ ired by
C hapter VIII o f ST C W 95?
E602, A m aster receives a report that the c h ief
cook is exceeding his hours o f work. What
action sh ou ld the m aster take?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
147
W orking time (1999/63/E C ). Guidance on their requirements is in M SN 1767.
M IN 178 (now expired) explained the requirements o f the 2004 Amendment
Regulations.
Sea-going U K ships wherever they (nay be, except fishing vessels, pleasure
vessels and offshore installations whilst on their working stations.
R egulations 15 (Inspections o f ships other than U K ships) and 16 (Rectification
o f deficiencies) apply to sea-going ships other than UK ships (except fishing
vessels, pleasure vessels, and offshore installations w hilst on their working
stations) when they are in a UK port or in UK waters.
Seafarers enrroloved or eneaeed in anv capacity on board everv seagoing ship,
whether publicly or privately ow ned, which is registered in the territory o f any
Member State and is ordinarily engaged in commercial maritime operations.
Any person, including a master, w ho is em ployed or engaged in any capacity
on board a ship, on the business o f the ship. It does not include persons who
are training in a sail training v essel or persons w h o are not engaged in the
navigation of, or have no em ergency safety responsibilities on, such a vessel.
According to para. 2.2.1 o f M SN 1767, it is taken to mean a person, em ployed
either directly by a shipping com pany or through a manning agency, w hose
usual place o f work is on board a seagoing ship, and includes masters and crew
members, and resident entertainers and franchise em ployees on passenger
ships. Boatmaster’s Licence holders on sea-going passenger vessels (carrying
more than 12 passengers) are also “seafarers”.
According to para. 2.2.2 o f M SN 1767, the Regulations w ill not be taken to
apply to those w hose norma! place o f work is ashore but w ho are working on a
sea-going ship on a temporary or short-term basis, e.g fitters, guest lecturers
and entertainers, research scientists, riding crews, trainees and volunteers on
sail training ships w ho are not carrying out safety-critical roles, provided such
workers are covered by the W orking Time Regulations 1998 (SI 1988/1833).
All contracted crew (or those listed on the Safe M anning Docum ent, as
applicable) and any person in charge o f a navigational or engineering watch
and/or with STsafety-critical role. (These seafarers w ill generally be signed on
the Crew Agreem ent.) Volunteers and trainees with no safety-critical
responsibilities are not covered.
Subject to the exceptions for em ergencies allow ed under regulation 8, to ensure
that a seafarer is provided with at least the minimum hours o f rest. (This duty
also applies to the managers o f franchises on ships such as passenger ships.)
To ensure that they are properly rested.
To ensure that they obtain adequate rest.
.• : ■ . : •— :v
•. . V • •/ • —■'' ........: . ... .> ' V >.
Subject to any exceptions to the lim its as agreed in an M CA-authorised
collective agreement or w orkforce agreement, the minimum hours o f rest must
be not less than 10 hours in any 24-hour period, and 77 hours in any 7-day
period.
Yes. Subject to any exceptions to the limits as agreed in an M CA-authorised
collective agreement or workforce agreement, hours o f rest may be divided
into no more than two periods, one o f which must be o f at least 6 hours, and
the interval between consecutive such rest periods m ay not exceed 14 hours.
N o. N othing in the Hours o f Work R egidations w ill restrict the operation o f the
rest period provisions o f the E m ploym ent o f Young P ersons Regulations.
The M CA m ay authorise a collective agreement or a workforce agreement
permitting exceptions to the minimum hours o f rest lim its and the restrictions
on dividing rest into periods. Such exceptions m ay take account o f more
frequent or longer leave periods, or the granting o f compensatory leave for
watchkeepers or seafarers working on ships making short voyages. If such an
agreement exists, it must be earned on board in an easily accessible place.
B ecause as an EU M ember State, the U K m ust im plem ent the EU Directive on
the Organisation o f Seafarers’ W orking Time, under w hich the ILO 180
maximum hours o f work or m inimum hours o f rest are mandatory . (The UK
has opted for the; minimum hours o f rest approach.)
(1) Check tha cook ’s hours o f work record; (2) raise a non-conform ity with the
SMS; (3) determine the cause; (4) review the hours o f rest schedule (table o f
duties); (5) give the cook com pensatory rest time.
Suspension of scheduled hours o f rest in emerttsncies
E603. What pro visio n s a re m ade in The MS
(Hours o j Work) R egulations f o r exceptions
fro m the re st requirem ents in em ergencies?
Drills and hours of rest
E604. U nder The M S (H ours o f Work)
R egulations how m ust m usters, fire-figh tin g
a n d lifeboat drills b e conducted?
Hours of rest and seafarers on call
E605. What a re the requirem ents o f The MS
(H ours o f Work) R egulations relatin g to a
seafarer w ho is on call?
Hours o f rest schedule (table o f duties)
E606. What is the m aster's duty with resp ect
to a table o f sch edu led hours o f rest (or “table
o f duties ’’)?
E607. What inform ation m ust be in a table o f
sch edu led hours o f re st (o r “table o f duties ’’)?
Hours o f rest records
E608. What a re the requirem ents o f The M S
(H ours o f Work) Regulations relating to
records?
E609. What inform ation on the hours o f re st
re c o rd sh ou ld be co m p leted on board, as shown
in the specim en a t Annex B o f MSN 1767?
E610. F or h ow long sh ou ld hours o f rest
records be kept?
E611. When is an MCA su rveyor likely to
check a s e a fa re r’s hours o f rest records?
Working at night
E 6I2. What are the requirem ents o f The MS
(H ours o f Work) Regulations relating to
working a t night?
Annual leave
E613. What a re the requirem ents o f The MS
(H ours o f Work) Regulations relating to
entitlem ent to annual leave?
E614. What a re the requirem ents o f The MS
(H ours o f Work) R egulations relating to
entitlem ents under o th er provision s, such a s a
com pany contract?
Application o f hours of rest requirements to non-permanent ship’s personnel
E615. A re The M S (H ours o f Work)
R egulations inten ded to a pply to p e o p le
working tem porarily on board, such as riding
crew s?
The master m av require a seafarer to work anv hours o f work necessary for the
immediate safetv o f the shin or persons on board or cargo or for the purpose o f
giving assistance to another ship or to a person in distress at sea. For these
purposes, the master may suspend the scheduled hours o f rest and require a
seafarer to perform any hours o f work necessary until the normal situation has
been restored. A s soon as practicable after this, the master must ensure that a
seafarer w ho has worked in his scheduled hours o f rest is given an adequate
(compensatory) rest period.
'. •■■ . ■
In a manner that m inim ises the disturbance o f rest periods and does not induce
fatigue.
A seafarer w ho is on call on board ship must have an adequate compensatory
rest period i f his normal period o f rest is disturbed by call-outs to work.
•
The master, or a person authorised by him, must ensure that a table o f
scheduled hours o f rest is posted up in a prominent and easily accessible place
on board. The table must contain the information specified in M SN 1767, and
be in the same format, or on substantially like, that in M SN 1767, and be in
English and in the working language o f the ship i f different.
The specim en in M SN 1767 has colum ns for: (1) Position/rank; (2) scheduled
daily work hours at sea, including sub-colum ns for watchkeeping and non-
watchkeeping duties; (3) scheduled daily work hours in port, including sub­
colum ns for watchkeeping and non-watchkeeping duties; (4) comments; and
(5) total daily rest hours at sea and in ports; (5) signature o f master.
A record o f a seafarer’s dailv hours o f rest must be maintained bv the master or
a person authorised bv him. Records must he in English and in the working
language o f the ship i f different. Records must be endorsed bv the master and
bv the seafarer. A copv must be given to the seafarer. M SN 1767 states that
records should be completed m onthlv in arrears, and that thev should be in the
same format as the specim en at A nnex B o f the M SN , or an equivalent format
show ing at least this information.
N am e o f ship; IM O number; Flag; Seafarer (full name); Position/rank; Month
and year; Whether a watchkeeper or not; Hours o f rest (marked with an X or
using a continuous line or an arrow); (Total) hours o f rest in 24-hour period;
Comments; Master or authorised person’s signature; Seafarer’s signature.
For a minimum o f one year. They should be available for inspection by MCA
surveyors at tmy time. If during the year, a com pany ceases to operate, the duty
to retain the records remains with that company. (M SN 1767 para. 7.3)
During an ILO 178 inspection which is normally carried out every 2!4 years
(approximately) during the visit to the ship for the external audit o f the Safety
Management System.
A seafarer w ho is 16 or 17 (i.e. a “young person”) may work at night i f the
work forms part o f an established training, the effectiveness o f which would be
impaired by any prohibition. Otherwise, no seafarer under 18 may work at
night. (“Night” means a period o f not less than 9 consecutive hours including
the period between midnight and 0500 local time.)
A seafarer is entitled to paid annual leave o f at least 4 w eeks, or a proportion o f 1
4 w eeks in respect o f a period o f em ploym ent o f less than one year. The leave
entitlement m ay be taken in instalments. It may not be replaced by a payment
in lieu except where the em ploym ent is terminated.
Where a seafarer is entitled to hours o f rest or annual leave both under the
Regulations and som e other provision (including a contract), he may not
exercise the two rights separately, but may take advantage o f whichever right is 1
the more favourable to him.
N o. M SN 1767 explains that they w ill not be taken to apply to those w hose
normal place o f work is ashore but w ho are working on a sea-going ship on a
temporary or short-term basis, e.g. fitters, guest lecturers and entertainers,
research scientists, riding crews, trainees and volunteers on sail training ships
w ho are not carrying out safety-critical roles, provided they are covered by The 1
Working Time R egulations (SI 1998/1833). (TTiese Regulations implement in
THE SHIPMASTER’S BUSINESS SELF-EXAMINE =

E616. A w e ld e r in a riding crew, who has
already w orked a 14-hour day, sa y s he needs to
continue w orking through the night to fin ish his
con tracted w ork before disem barking a t the
next port. Can the m aster perm it this?
1
}
i
I ***
I?
0
I
E 6I7. What statu tory certificate m ay the MCA
w ith draw fro m a U K sh ip where the sh ip
persisten tly f a ils to com ply w ith the rest hours
requirem ents?
SAFETY OFFICIALS
Safety officials legislation
E618. Which U K regulations contain the
requirem ents fo r sh ips ’ safety officials?
E619. Where can the M CA's gu idan ce about
safety officials be o b ta in ed on a U K ship?
E620. What official records m ust b e m ade on
a sh ip concerning the appointm ent o f safety
officials?
Competent person
E621. What are the requirem ents o f The MS
a n d F V (Health a n d Safety a t Work)
Regulations concerning the appointm ent o f
"com petent p e rso n s " fo r the pu rposes o f the
R egulations?
E622. Why w ou ld m ore than one com petent
person som etim es be necessary?
E623. What inform ation must the em ployer
p ro vid e the com petent person with?
Safety officer
E624. Which sh ips m ust have a safety officer?
E625. Is a s h ip ’s safety officer app o in ted or
elected, a n d can he refuse to do the job?
E626. Should a re c o rd o f the safety o ffic e r’s
appointm ent be m ade?
E627. Must a safety officer a tten d a safety
o ffice r’s course before h e can be appointed?
E628. What are the statutory duties o f a safety
j officer under The M S a n d F V (Health an d
Safety at Work) Regulations?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
149
the U K the requirements o f Directive 93/104/E C , which contain general rules
for the regulation o f working time. A supplementary Directive, 1999/63/E C ,
regulates seafarers’ working time.)
Subject to strict control measures stipulated in a Permit to Work, yes. This
w ould probably include requirements for short breaks and a fire watch near the
welder.
Manning Document
The Safe M anning Docum ent, as explained in para. 2 0.4 o f M SN 1767.
The M erchant Shipping a n d Fishing Vessels (H ealth a n d Safety at Work)
Regulations 1997 (SI 1997/2962), as am ended by SI 2001/54.
In chapter 3 o f the C ode o f Safe W orking P ractices f o r M erchant Seamen.
The appointment o f a person (1) as the “competent person providing protective
and preventive services”, (2) as the ship's safety officer, (3) as a safety
representative, or (4) onto a safety com mittee must be “recorded in writing”.
Although the Regulations do not specify that the record should be made in the
O fficial Log B ook, (since not all ships covered by the Regulations are required
to have an OLB), the records should be made in the narrative section o f the
O LB on ships that have one, and in the deck lo g o f ships that do not.
One or more “competent persons must be appointed by the em ployer “in order
to provide such protective and preventive services as are necessary to enable
him to com ply with the requirements o f these R egulations” - in other words to
promote shipboard health and safety.
On ships carrying personnel em ployed by several different em ployers (e.g.
cruise ships and many offshore industry vessels), each such em ployer must
appoint one or more “competent persons”.
All relevant information they need to do their job, e.g. a copy o f the em ployer’s
safety policy, risk assessm ents, information about the duti es o f personnel, and
any information provided by other em ployers about risks and safety procedures
in shared work-places on board.
U K ships to which The M S a n d F V (H ealth a n d Safety a t Work) Regulations
apply, i.e. those with more than 5 workers on board.
He is appointed to the post by the Company. H e m ay not refuse to do the job.
Y es. The Regulations require a record to be made in writing. COSW P states
that the master should make this record in the Official L og Book.
Although the Regulations do not require this, chapter 3 o f the C ode o f Safe
Working P ractices f o r M erchant Seam en advises that the SO should have
attended “a su itable Safety O ffice r’s Training C ourse” .
(11 To improve the standard o f safety consciousness am onest the crew: (2) to
ensure that the provisions o f the C ode o f Safe Working P ractices for M erchant
Seam en and safetv instructions, rules and guidance for the shin relating to
health and safetv are com plied with; (3) to investigate, so far as is reasonably
practicable, (i) every accident involving death, major or serious injury as
defined in the MS (A ccident Investigatio n a n d Reporting) Regulations, (ii) all
potential hazards to health and safety, and (iii) all reasonable complaints by
workers about health and safety, and make recommendations to the master to
prevent their recurrence or to rem ove any hazard (provided that the duty to
investigate shall not extend to accidents arising from a casualty to the ship); (4)
to ensure that health and safety inspections o f each accessible part o f the shio
are carried out at least once every 3 m onths, and more frequently i f there have
been substantial changes in the conditions o f work; (5 ) to make representations
and. where appropriate, recommendations to the master about any deficiency in
the ship in respect o f (i) any legislative requirement relating to health and
safety, (ii) any relevant M N otice, or (iii) any provision o f the C ode o f Safe
Working P ractices f o r M erchant Seam en, and also suggest whether those
representations and recommendations should be passed by the master on to the
 150
r employer or other person w ho has control o f the matter; (6) to maintain a
E629. A re there a n y occasion s when the safety
officer d oes not have to c a rry out his statutory
duties?
E630. Can the safety officer o rd e r the
resum ption o f any w ork that he has o rd e re d to
b e stopped?
E631. Should the officer appo in ted as safety
officer on a ship also be the m edical officer?
E632. F ollow ing the occurrence o f an
acciden t on board, what sh o u ld the safety
officer do?
E633. When is the safety officer's appointm ent
term inated?
E634. What is the m aximum p e n a lty f o r
breach o f the safety o ffic e r’s duties?
E635. Which ships, i f any, m ust have safety
representatives in the crew ?
E636, M ust the com pany make any rules
about safety representatives?
| E637. When sh o u ld arrangem ents be m ade f o r
; an election o f a safety representative?
i persons entitled to vote.
E638. What a re the statu tory requirem ents
concerning elections o f safety representatives?
E639. Should a re c o rd o f a safety
rep resen ta tive’s election a n d appointm ent be
m ade?
E640. What p o w e rs d o safety representatives
have under The MS a n d F V (Health a n d Safety
a t Work) Regulations?
E641. When does a safety rep resen ta tive’s
appointm ent end?
E642. What a re the requirem ents o f The MS
a n d F V (H ealth a n d Safety at Work)
R egidations concerning consultation with
w orkers?
record o f everv accident involving death, or maior or serious iniurv, and make
it available on request to any elected safety representative, to the master and to
any person duly authorised by the Secretary o f State (e.g. an M AIB inspector
or M CA surveyor): (7) to stoo anv work which he observes in progress and
reasonably believes mav cause a serious accident, and im mediately inform the
master or the master’s denutv. w ho shall decide when work can safely be
resumed.
Y es. He is not required to take any o f the actions listed in the last answer at a
time when em ergency action to safeguard life or the ship is being taken.
No; only the master or the master’s deputy can order the resumption o f the
work, (The safety officer should have im m ediately informed the master or his
deputy when he stopped the work.)
N o. B ecause the safety officer has to investigate all accidents, he should avoid
direct involvem ent with any medical treatment, i f possible, so that he can carry
out his investigation o f any personnel accident as soon as possible.
He should tiy to determine how and why accident the occurred and should
assist the master in reporting the accident on an Incident Report Form (IRF).
He should concentrate on establishing the facts o f the case and should: (1)
record the names (and addresses i f shore personnel are involved) o f all those in
the vicinity; (2) note and mark the positions o f the injured and details o f
clothing, equipment and tools likely to have been in use; and (3) take
possession o f portable items which might be relevant to the investigation. He
should make sketches and/or take photographs i f possible. His duty to
investigate does not extend to accidents arising from a casualty to the ship.
As soon as he ceases to be em ployed in the particular ship, or as soon as the
employer terminates his particular appointment as safety officer.
On summary conviction, a fine o f Level 4 on the Standard Scale, i.e. £2500.
' t- ' ■ filfi Si
There is no statutory requirement for any U K ship to have a safety
representative, although it may be a contractual requirement or part o f the
com pany’s safety policy. But The M S a n d FV (H ealth a n d Safety at Work)
R egidations require the master o f a ship with more than 5 crew to arrange, if
requested, the election o f a safety representative i f the crew want one.
Yes, the Regulations require the Company to make rules for the election and
appointment o f safety representatives.
The C ode o f Safe Working P ractices f o r M erchant Seam en advises that the
master should organise an election within 3 days o f being requested by any 2
The candidate receiving the m ost votes is elected, provided that no safety
representative m ay be appointed w ho has less than 2 years’ consecutive sea
service since: reaching the age o f 18, which in the case o f a safety
representative on a tanker must include at least 6 months’ tanker service.
Yes. The Regulations require a record to be made in writing. COSW P states
that the master should record the election or appointment o f every safety
representative either in the O fficial L og B ook or in the minutes o f safety
com mittee meetings.
They may: (1) participate, subject to the concurrence o f the safety officer (SO),
in any o f the investigations or inspections carried out by the SO; (2) after
notification to the master or his deputy, undertake similar investigations or
inspections them selves, whether or not such investigations or inspections have
already beer carried out by the safety officer; (3) make representations to the
employer on potential hazards and dangerous occurrences at the workplace
which affect, or could affect, workers on the ship; (4) make representations to
the master and the employer on general matters affecting the health and safety
o f workers on the ship and, in particula r, on such matters as those on which the
employer carries out consultation under the Regulations; and (5) request the
SO to carry out any occupational health and safety inspection they consider
necessary and report the findings to them.
On that person ceasing to be em ployed in the ship, or from the date on which
that person resigns from that position or on which another duly elected person
is elected in his place.
Every em ployer is required to consult workers or their elected representatives
on health and safety matters, and in particular: (1) arrangements for the
appointment o f a com petent person; (2) the findings o f a risk assessment; (3)
arrangements for health and safety training; and (4) the introduction o f new
technology. The matters to be discussed might also include the selection o f
THE SHIPMASTER’S BUSINESS SELF-EXAMINEl

Safety committee
E643. In w hat circum stances m ust a safety
com m ittee be form ed?
E 644. Who m ust b e on a safety com m ittee?
E645. Who m ay b e on a safety com m ittee
apart from those liste d in the last answ er?
E646. Should a re c o rd o f a safety co m m ittee’s
form ation b e m ade?
E647. What p o w e rs d o safety com m ittees have
under The MS a n d F V (H ealth an d Safety a t
Work) Regulations?
E648. When can a safety com m ittee be
disbanded?
Duties o f Company and master concerning work o f $8fety oMm$ite
E649. What a re the duties o f the Com pany
an d the m aster concerning the w ork o f safety
officials a ppoin ted under The M S a n d F V
(Health a n d Safety at Work) Regulations?
E650. What are the requirem ents o f The MS
and F V (Health an d Safety at Work)
Regulations concerning accident records w here
: no safety officer is appointed?
ACCIDENT REPORTING AND INVESTIGATION
Accident Repotting and investigation Regulations
'■ E651. Which regulations g overn acciden t
reporting procedu res f o r U K ships anyw here
a n d other ships in U K w aters?
• E652. To which acciden ts a n d sh ips do The
MS (Accident R eportin g a n d Investigation)
| Regulations 2005 apply?
Accidents
| E653. H ow do The MS (Accident Reporting
\ an d Investigation) R egulations 2005 define an
"accident”?
I E654. What is the fir s t g rou p o f occurrences
defined in The M S (Accident Reporting a n d
Investigation) Regulations 2005 as an accident,
| i.e. accidents to person s?
THE SHIPMASTER'S BUSINESS SELF-EXAMINER
151
work equipment and/or personal protective equipment, installation o f safety
signs and follow -up to accidents and other incidents.
In all ships where a safety representative is elected, the Company must appoint
a safety committee.
The master as chairman, the safety officer and every safety representative.
Any com petent person appointed under The MS a n d F V (H ealth a n d Safety at
Work) Regulations to provide protective and preventive services.
Y es. The Regulations require a record to be made in writing. COSW P states
that the master must record the appointment o f a safety com m ittee in writing,
and that this should normally be in the Official L og B ook or minutes o f the
com m ittee’s meetings.
They may (1) participate, subject to the concurrence o f the safety officer, in
any o f the investigations or inspections carried out by the SO, or (2) after
notification to the master or his deputy, undertake similar investigations or
inspections them selves, whether or not such investigations or inspections have
already been carried out by the safety officer; (3) make representations to the
em ployer on potential hazards and dangerous occurrences at the workplace
which affect, or could affect, workers on the ship; (4) make representations to
the master and the em ployer on general matters affecting the health and safety
o f workers on ths ship and, in particular, on such matters as those on which the
em ployer carries out consultation under the Regulations; (5) request the safety
officer to c a n y cut any occupational health and safety inspection they consider
necessary and report the findings to them.
O nly w hen there is no longer an elected safety representative on board. A
safety com m ittee can, how ever, operate whether or not there is an elected
safety representative.
(1) The Company and master m ust facilitate the work o f any person appointed
as a “com petent person”, safety officer or safety representative in carrying out
their health and safety functions, and in particular must provide for use by
them a copy o f the C ode o f Safe W orking P ractices f o r M erchant Seam en
(where appropriate), and access to any necessary information, documents and
similar material including relevant legislation and M N otices. (2) They must
also provide safety officials with relevant information about: (a) findings o f
risk assessm ents and measures in place for protection; (b) any other factors
affecting the health and safety o f those working on the ship; and (c) details o f
fire-fighting, first aid and other em ergency procedures. (3) They must ensure
that safety officials have the necessary resources and m eans to carry out their
functions and duties. (4) They must a llow safety officials such absence from
ship duties without loss o f pay as m ay be necessary to enable them to fulfil
their functions, or to undertake any necessary training in health and safety
matters, (5) They must receive, at any reasonable time, representations about
health and safety from the safety officer, safety representatives or the safety
committee, discuss their representations with them and implement any agreed
measures as soon as may be reasonable and practicable.
The Com pany must maintain a record o f every accident involving death, major
or serious injury, and every dangerous occurrence and make it available on
request to any worker and any person duly authorised by the Secretary o f State
for Transport (e.g. an M AIB inspector).
For questions on MAIB, see Sectbn B
The M S (Accident R eportin g a n d Investigation) Regulations 2005 (SI
2005/881) (the “ARI R egulations”). Guidance on their requirements is in M GN
289.
Accidents involving or occurring on board: (1) U K ships anywhere; and (2)
non-UK ships in the U K or U K waters.
In three groups o f event or occurrence. The first group includes accidents to
persons. The second group includes events involving the ship itself. The third
group includes mishaps that were termed “dangerous occurrences” under
former accident reporting regulations.
(1) There is loss o f life o f any person on board; (2) there is a major injury o f
any person on board; (3) any person is tost from the ship or one o f its ship’s
boats; or (4) any person falls overboard from the ship or one o f its sh ip’s boats.
152
E655. What is the se c o n d grou p o f
occurrences defin ed in The MS (Accident
R eporting a n d Investigation) R egidations 2005
a s an accident, i.e. accidents involving the
sh ip?
E656. H ow is the w o rd “grounds ” defin ed in
the Regulations?
E657. What is the th ird g rou p o f occurrences
defined in The M S (A ccident R eporting a n d
Investigation) Regulations 2005 as an
accident?
E658. “M ajor injury" is inclu ded in the
definition o f an acciden t in The M S (Accident
R eporting a n d Investigation) R egulations 2005.
What is the definition o f a m ajor injury in the
R egulations?
E 659. What is the m eaning o f “d isabled" in
the Regidations?
Accident reports
E660. What sh ips do the reporting
requirem ents o f The M S (Accident R eporting
a n d Investigation) R egidations 2005 a p p ly to?
E 66I. U nder The M S (A ccident R eportin g a n d
Investigation) R egulations 2005 when a n d how
m ust an acciden t b e reported?
E662. In addition to the report o f the person s
m entioned in the last answer, who else has a
statu tory duty under The MS (Accident
R eporting a n d Investigation) R egulations 2005
to report an acciden t o f which they a re aw are?
E663. What inform ation m ust b e inclu ded in
an acciden t rep o rt to the MAIB?
E664. Is the in itial report to the MAIB ihe
on ly one the m aster w ilt have to make?
E665. A re there a n y cases in which the
requirem ent to report acciden ts a n d serious
injuries to the MAIB does not apply?
E666. To which U K vessels does the statutory
requirem ent under the M S (Accident Reporting
a n d Investigation) Regulations 2005 to report
an acciden t not apply?
The ship: (1) causes any loss o f life, major injury or material damage; (2) is
lost or is presumed to be lost; (3) is abandoned; (4) is materially damaged by
fire, explosion, weather or other cause; (5) grounds; (6) is in collision; (7) is
disabled; or (8) causes significant harm to the environment.
Making involuntary contact with the ground, except for touching briefly so that
no damage is caused.
A ny o f the follow ing occur, i f the occurrence might have caused serious injury
or damage to the health o f any person: (1) a collapse or bursting or any
pressure vessel, pipeline or valve; (2) a collapse or failure o f any lifting
equipment, access equipment, hatch-cover, staging or boatswain’s chair or any
associated load-bearing parts; (3) a collapse o f cargo, unintended m ovement o f
cargo or ballast sufficient to cause a list, or loss o f cargo overboard; (4) a
snagging o f fishing gear which results in the vessel heeling to a dangerous
angle; (5 ) a contact by a person with loose asbestos fibre except w hen full
protective clothing is worn; or (6) an escape o f any harmful substance or agent.
(a) A ny fracture, other than to a finger, thumb or toe; (b) any loss o f a limb or
part o f a limb, (c) dislocation o f the shoulder, hip, knee or spine; (d) loss o f
sight, whether temporary or permanent; (e) penetrating injury to the eye; or (f)
any other injury - (i) leading to hypothermia or to unconsciousness, (ii)
requiring resuscitation, or (iii) requiring admittance to a hospital or other
m edical facility as an in-patient for more than 24 hours.
N ot under command for a period o f more than 12 hours, or for any lesser
period if, as a result, the vessel needs assistance to reach port.
Merchant ships, fishing vessels and vessels in commercial use for sport or
pleasure, They also apply to hired recreational craft, together with boats o f less
than 8 m in length in commercial use in harbours or on inland waterways,
where the accident involves explosion, fire, death, major injury, capsize o f a
power-driven craft or boat, or pollution causing serious harm to the
environm ent
The master or, i f he has not survived, the senior surviving officer, must send a
report to the C h ief Inspector o f Marine Accidents by the quickest means
available. The sh ip’s owner must send the report unless he has ascertained to
his satisfaction that the master or senior surviving officer has reported the
accident.
(1 ) In the case o f an accident within or adjacent to the lim its o f any harbour,
the harbour authority for that harbour; (2) in the case o f an accident on any
inland waterway in the UK , the person, authority or body having responsibility
for that waterway; and (3) an official o f the M CA in respect o f an accident
within U K waters.
So far as is practicable and possible, the following: (a) ship’s name and IMO,
official or fishing vessel number; (b) name and address o f owners; (c) name o f I
the master, skipper or other person in charge; (d) date and time o f the accident; I
(e) where from and where bound; (f) latitude and longitude or geographical
position in which the accident occurred; (g) part o f ship where accident
occurred i f on board; (h) weather conditions; (i) name and port o f registry o f
any other ship involved; (j) number o f people killed or injured, together with
their names, addresses and gender; (k) brief details o f the accident, including, j
where known, the sequence o f events leading to the accident, extent o f damage I
and whether accident caused pollution or hazard to navigation.
N ot necessarily. In the case o f “serious injuries”, the master must send a report 1
(whether requested or not) within 14 days to M AIB. In the case o f all other
accidents, on the request o f the M AIB the master must provide an additional
report, givin g the findings o f the examination o f the accident’s circumstances
and stating any measures taken or proposed to prevent a recurrence.
Yes. The requirements do not apply (1) to an accident when the person killed_|
or injured is a stevedore or shore-based worker and the accident occurs in a I H
port, or (2) to an accident which occurs in a UK shipyard.
A pleasure vessel, a recreational craft hired on a bareboat basis (i.e. without t I
professional master, skipper or crew), or any other craft or boat, other than o a l
carrying passengers, which is in commercial use in a harbour or on an inlans I
waterway and is less than 8 metres overall in length, unless, in the case o f ax I
afore-mentioned craft or boat other than a pleasure vessel, the accident
involves explosion, fire, death, major injury, capsize o f a power-driven craS mM
boat, or pollution causing significant harm to the environment.
THE SHIPMASTER'S BUSINESS SELF-E

Reports of accidents to shore-based workers and accidents in UK shipyards
E667. In the case o f acciden ts occu rring in
U K p o rts to steved o res o r sh ore-based workers,
o r acciden ts occu rring in UK shipyards, who is
the approp riate body to report to?
E668. Whilst a sh ip is in a d iy d o c k in G reat
Britain, a ship re p a ir w orker slips on a p a tc h o f
o il on the deck a n d falls, breaking his leg. Who
sh o u ld report this incident, a n d to whom ?
Qn-btmrd investigation o f accidents
E669. When an acciden t involving death,
m ajor o r serious injury h as o ccu rred on a U K
sh ip with a crew o f m ore than five, w hat is the
du ty o f the safety officer?
Official Log Book entries relating to accidents
E670. What entries m ust be m ade in the
O fficial L og Book fo llo w in g an acciden t in o r
involving a U K ship?
Preservation o f evidence following accidents
E671. U nder the MS (A ccident R eportin g a n d
Investigation) Regulations 2005, w hat m ust the
m aster o r sen ior su rviving officer d o with
respect to evidence fo llo w in g a reportable
acciden t involving a U K ship?
E672. F or how long d o es the duty to prese rv e
evidence d e sc rib ed in the previou s an sw er
continue?
Reporting o f serious injuries
E673. What is a serious injury, a s defin ed by
the MS (Accident R eporting a n d Investigation)
Regulations 2005?
E 674. What m ust the m aster a n d sh ip 's ow ner
do follo w in g a seriou s injuiy?
L proposed to prevent a recurrence.
I Incident Report Form (IRF)
; E675. What is an IRF, where can it be
obtained, an d when sh ould it b e used?
[ Reporting o f hazardous incidents
\ E676. What is a hazardous incident?
I E677. What a re exam ples o f events that w ou ld
I be reg a rd ed by the MAIB as hazardous
I incidents?
I E678. What is the MAIB's advice on the
I reporting o f hazardous incidents?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
153
In England, Scotland and W ales, the Health and Safety Executive (H SE), and
in Northern Ireland, the Health and Safety Executive ofN orth em Ireland
(HSENI).
The worker’s em ployer should report it to the Health and Safety Executive
(HSE). The master does not have a statutory duty to report this accident to the
M AIB.
' ■' ■' ■' ■ ' :1■V
To investigate the accident, so far as is reasonably practicable. (This
requirement is under regulation 16 o f The M S a n d F V (H ealth a n d Safety at
Work) Regulations 1997. (SI 1997/2962).)
When any o f the follow ing casualties has occurred; the loss or presumed loss,
stranding, grounding, abandonment o f or damage to the ship, or a loss o f life
caused by fire on board or by an accident to the ship or a sh ip’s boat, or by any
accident occurring on board the ship or a ship’s boat, an entry must be made in
the narrative section in accordance with the M S (O fficial L og Books)
Regulations 1981, including a description o f the casualty and the place where,
or the position o f the ship w hen, it occurred. The master’s signature must be
witnessed b y a member o f the crew.
(1) He must ensure, so far as is practicable, that all charts, log books, electronic
and magnetic recording and video tapes, including information from a V D R or
recording system relating to the period preceding, during and after the accident,
and all docum ents or other records w hich m ight reasonably b e considered
pertinent to the accident, are kept and that no alteration is made to any
recordings or entries in them. (2) H e must ensure that all information from a
V D R or recording system relating to the circumstances o f the accident is saved
and preserved, in particular by taking steps, where necessary, to prevent such
information from being overwritten. (3 ) H e m ust also ensure that any other
equipment which m ight reasonably be considered pertinent to the investigation
o f the accident is so far as practicable left undisturbed.
Until: (a) notification is received from the C h ief Inspector o f Marine Accidents
that no investigation is to take place or that the investigation has been
completed; or (b) 28 days have passed since the C h ief Inspector received the
accident report and no notice has been sent that he has decided to investigate
the matter; or (c) the C h ief Inspector or an inspector carrying out the
investigation gives written notification that he no longer requires the evidence.
: : -V* &;■
A ny injury, other than a major injury, to a person em ployed or carried in a ship
which occurs on board or during access which results in incapacity for more
than 3 consecutive days excluding the day o f the accident, or as a result o f
which the person concerned is put ashore and the ship sails without that person,
unless the incapacity is known or advised to be o f 3 consecutive days or less,
excluding the day o f the accident.
The master and ship’s owner must, so far as is reasonably practicable, ensure
that the circumstances o f every serious injury are examined. One o f them must,
within 14 days, provide the C h ief Inspector o f Marine Accidents with a report
giving the findings o f the exam ination and stating any measures taken or
.................... •............................. . .... *• *. i
An Incident Report Form, the M A IB’s form that may be used for the initial
report o f an accident or for a serious injury (although plain narrative may be
used i f the form is not available). The IRF is downloadable from the M A IB ’s
w ebsite (see Section B f o r address). In the case o f a serious injury the IRF must
be sent within 14 days.
Any event, other than an accident, associated with the operation o f a ship
which involves circumstances indicating that an accident nearly occurred.
Near m isses, including: (1) failure o f procedures in shipboard operations; (2)
material defects;, (3) fatigue; and (4) human failures.
Although there is no statutory requirement to report hazardous incidents, the
M AIB strongly urges any person to report them voluntarily, since useful
lessons can be learned. The critical question in deciding whether or not to
 154
What ls an exam ple o f a hazardous
m ' ii r a l th at m ay be worth reporting?
j incident reporting schemes
£ > H /j.j/ is a MARS report?
E6S What is CHIRP?
CONDUCT a n d DISCIPLINE
Code of Conduct for the Merchant Navy
E682. Which organ isation s d e ve lo p e d the
C ode o f C onduct f o r the M erchant N avy?
E683. When is com pliance with the C e d e o f
Conduct f o r the M erchant N avy a contractual
obligation o f a seam an in a U K ship?
Discipline where MN Code o f Conduct does not applv
E684. H ow can discipline be m ain tain ed when
the M N C ode o f Conduct is not in corporated
into the term s o f the C rew Agreement, e g . an
N F D agreem ent?
E685. Can the M N C ode o f Conduct be u sed
on a voluntary basis?
\" S e rio m ” o r ^ s m is s a l” (Paragraph
E686. What are the m ost serious acts o f
m isconduct under the M erchant N avy C ode o f
\ Conduct?
E687. What collective name m ight b e u sed by
em ploym ent law yers f o r the dism issal
breaches?
“Lesser” (Paragraph 11) breaches
E688. What a re the “lesser" a cts o f
m isconduct under P aragraph 11 o f the
M erchant N avy C ode o f Conduct?
report an incident is whether it had the potential to lead to an accident. The
report may be on an IRF or in narrative form.
A temporary steering failure in m id-ocean where there is no threat to safety. (In
a different location, e.g. a crowded fairway, the same incident may have led to
an accident.)
, .
A report to the Nautical Institute International Marine Accident Reporting
Scheme, which publishes incident reports in the NI journal Seaw ays without
naming the sender.
The Confidential Human Factors Incident Reporting Programme, an
independent, confidential and voluntary reporting programme for people
em ployed or having an active interest in the aviation and maritime industries.
CHIRP’s primary purpose is to receive confidential reports and, when relevant,
to represent safety-related issues to the respective operational management
and/or regul atory agency without revealing the identity o f the reporter. Reports
are published anonym ously in a newsletter, CH IRP M aritim e Feedback.
CHIRP website: www.chirti.co.uk
' '"If *** r . „ /' “ r " • f i’jxp
The U K officers' union, N U M A ST (predecessor o f Nautilus UK); the UK
ratings’ union, RMT; and the Chamber o f Shipping, representing UK
shipowners. It was approved by the M CA.
(1) W hen he is em ployed under a BSF Crew Asreemerit. since the BSF terms
incorporate the M N Code o f Conduct by reference. (2) If he is em ployed under
an N F D Crew Agreem ent into which the Code has been incorporated bv
reference in an additional clause.
Another code o f conduct, or the com pany’s disciplinary rules, i f approved by
the M CA, may be incorporated by reference (in an additional clause) into the
Crew Agreement. A ny code or rules so used must be made available, on
demand, to each person signing the Crew Agreement.
Yes. Even where a Crew Agreem ent makes no reference to any rules or code o f
conduct, com pliance with the M N Code o f Conduct w ill ensure that, when
dealing with any case o f misconduct, UK em ployment law w ill be com plied
with. A UK em ployer may only dism iss a person for a fair reason and in a fair
manner; adherence to the Code o f Conduct w ill ensure com pliance with the
law.
H
■Q
1
<0
0
ft*
The Paragraph 9 “dism issal” breaches. These are: (1) assault; (2) wilful
damage to the ship or any property on board; (3) theft, or p ossession o f stolen
property; (4) possession o f offensive weapons; (5) persistent or wilful failure to
perform duty; (6) unlawful possession or distribution o f drugs; (7) conduct
endangering the ship or persons on board; (8) combination with others to
impede the progress o f the voyage or the navigation o f the ship; (9)
disobedience o f orders relating to the safety o f the ship or o f any person on
board; (10) being asleep on duty or failing to remain on duty i f this prejudiced
the safety o f the ship or any person on board; (1 1 ) incapacity through drink or
drugs to c a n y out duty to the prejudice o f safety o f the ship or o f any person on
board; (12) to smoke, use a naked light or unapproved electric torch in any part
o f a ship carrying dangerous cargo or stores where sm oking or the use o f naked
lights or unapproved torches is prohibited; (13) intimidation, coercion and/or
interference with the work o f other em ployees; (14) behaviour seriously
detracting from the safe and/or efficient w orking o f the ship; ( 15) conduct o f a
sexual nature, or other conduct based on sex affecting the dignity o f women
and men at work which is unwanted, unreasonable and offen sive to the
recipient; (16) behaviour seriously detracting from the social w ell-being o f any 1
other person on board; (17) causing or allow ing unauthorised persons to be on 1
board whilst at sea, (18) repeated com m issions o f lesser breaches listed in
Paragraph 11 after warnings have been given in accordance with the
procedures in Paragraph 10.
Gross misconduct.
(1) Paragraph 9 breaches, but not justifying dism issal in the particular case; SI
minor acts o f negligence, neglect o f duty, disobedience and assault; (3)
unsatisfactory work performance; (4) poor time keeping; (5) stopping work
THE SHIPMASTER’S BUSINESS SELF-EXAM!

E689. What c ollective nam e m ight be u sed by
em ploym ent law yers fo r the “lesser" breaches?
E690. Can a com pan y a d d other breaches to
those in P aragraphs 9 a n d 11?
Procedure for dealing with breaches
E691. H ow sh o u ld a "lesser” (P aragraph 11)
breach o f the M erchant N avy C ode o f Conduct
be d e a lt w ith?
E692. When a seafarer receives a fo rm a l
w arning fro m his H ea d o f D epartm ent o r the
master, w hat sh ou ld he b e a d vised of?
E693. H ow sh ou ld a U K sh ipm aster d eal with
an a lle g e d seriou s (P aragraph 9) breach o f the
M erchant N avy C ode o f Conduct th at w as
referred to him?
E694. What sanctions m ay a m aster im pose
under the M erchant N avy C ode o f C onduct i f a
seafarer is fo u n d gu ilty o f a P aragraph 9
(serious) breach o f the C ode?
E695. In what circum stances c o u ld a m aster
arrange f o r the dism issal o f a seafarer a n d his
repatriation to the U K fro m an o verseas p o rt o f
call?
E696. I f a seafarer is dism issed an d
rep a tria ted to the U K fro m an overseas port,
how cou ld the m aster help the em ployer
recover som e o f the repatriation costs?
Importance of correct disciplinaiy procedure
E697. What sh ou ld a shipm aster w rite in the
O fficial L og B ook concerning a d iscip lin a iy
case?
E698. What d o c u m en ts) sh ou ld an accu sed
seafarer be given, a n d why?
E699. What sh ou ld an a ccu sed seafarer be
asked to d o when he o r she is given a copy o f
O fficial L og B ook entries?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
155
before the authorised time; (6 ) failure to report to work w ithout satisfactory
reason; (7) absence from the place o f duty or from the ship without leave; (8)
■offensive or disorderly behaviour. Som e com panies add breaches related to
special trading patterns, etc.
General misconduct.
Y es, but any added clauses must be agreed with seafarers’ trades unions and
approved by the M CA, and reference v/ould have to be made to their addition
in the Crew Agreement.
(1) B v an informal warning administered at an appronriate level lower than that
o f master (e.g. by a petty officer or a junior officer). I f the PO or officer is
satisfied that no further action is called for, or that the breach, although proved,
cal ls only for an informal warning, he should give such a warning and the
matter should be regarded as closed. N o formal records should be kept. I f the
master is informed, the matter should not be recorded in the OLB. (2)
Alternatively by a formal w am ine bv the Head o f Department (H oD ) (e.g. the
mate or c h ief engineer), recorded on a company disciplinary document i f
desired, but not in the OLB. W here a breach is more serious (but not listed
under Para. 9), or is a repetition o f a lesser breach, a Head o f Department’s
formal warning should be given and, i f required, recorded on a com pany
disciplinary document, but not in the OLB. (3) Alternatively the matter may be
referred to the master, in which case it must be recorded in the OLB. The
master could give a forma! w am ine or a written reprimand
The likely consequences o f a further breach.
He should: (1) deal with it as soon as possible, and in person: (2) first convene
a formal hearing in his office, with the accuser and accused present: (3) tell the
seafarer that he may be accom panied bv a friend w ho can advise him and speak
on his behalf (like a solicitor or counsel in court), and that he (or his friend)
m av call anv w itnesses he chooses and question them on their evidence: (41
when ready to start, inform the seafarer o f the alleged breach (referring to the
particular paragraph and sub-paragraph o f the M N Code o f Conduct) and ask
him i f he admits or denies the allegation, f l f he admits i t there will be no need
for any evidence to be called, except in mitigation, or for cross-exam ination.)
(5) tell the seafarer he mav make anv statement he w ishes in answer to the
alleged breach, including com m ents on evidence produced against him; (6)
hear all the evidence (against and in defence o f the seafarer) and anv cross-
examination o f the evidence: (7 i after considering the evidence, orallv inform
the seafarer whether or not he finds that he had committed the alleged breach.
(8) i f he does so find, im pose a sanction which he considers reasonable in all
the circum stances, taking into account his record on the ship and anv other
relevant factors. (9) record all statements (e.g. responses to questions and
evidence heard) in the O fficial L og Book.
( 1 ) A formal (oral) warning recorded in the OLB: (2) a written reprimand, also
recorded in the OLB; or (3) dism issal from the ship, either im m ediately ( i f in a
U K or overseas port), or at the next port, also recorded in the OLB,
I f he finds (after a properly conducted hearing) that he had breached Paragraph
9 o f the Merchant N avy C ode o f Conduct and decides that the continued
presence on board o f the seafarer w ould be detrimental to the efficient and safe
running o f the ship or to the maintenance o f harmonious personal relations on
board.
If the Crew Agreement is a BSF Agreement, or an additional clause has been
inserted in an N F D agreement so as to permit it, the master could deduct a sum
from the seafarer’s w ages equal to the actual cost o f his repatriation, or to one
w eek 's pay, whichever w as the lower sum.
Full details o f the alleged breach and the action taken in response to i t
He should be gi ven a copy o f every O fficial L og B ook entry relating to his
case. I f the case ends in dism issal, unfair dism issal m ay be claim ed on the
grounds that the case was dealt with in an unfair manner.
A cknow ledge their receipt by signing a further Official L og B ook entry made
by the master.
156
E700. What precaution s sh ou ld a U K
sh ipm aster take, when holding a disciplin ary
hearing resulting in a seafarer's dism issal, to
p ro te c t the e m p lo y er’s leg a l position ?
E701. Wiry is it so im portant to fo llo w the
dism issal procedu res la id dow n in the
M erchant N avy C ode o f Conduct?
E702. What sh ould a sh ipm aster do i f an
a ccu sed seafarer to ld him to “g e t stuffed " when
ask ed to sign f o r receip t o f O fficial L og Book
entries abou t his case?
Post-dismissal procedure ashore
E703. I f a seafarer is d ism issedfrom a U K
ship to which the M erchant N avy C ode o f
C onduct applies, what sh ou ld happen ashore
after the dism issal?
E704. What sh ould happen after a s e a fa re r’s
dism issal is confirm ed by a shore hearing o r
his contract is term in ated b y the em ployer?
E705. To whom sh ou ld an app ea l against
dism issal be m ade?
E706. A re sh ore pro ced u res fo llo w in g
dism issal alw ays the sam e?
E707. Which A ct o f P arliam ent a llow s a
dism issed seafarer to bring a claim f o r unfair
dism issal before an industrial tribunal?
E708. A re a ll U K seafarers co ve re d by the A ct
referred to in the la st answer?
Alconol and drugs
E709. Which U K legislation contains alcoh ol
lim its f o r seafarers?
E710. To which ships does P art 4 o f the RTSA
apply?
E 7I1. What offences m ay be com m itted under
the RTSA by a master, a p ilo t o r a seam an who
is on duty?
E 7I2. What offences m ay b e com m itted under
the RTSA b y a seam an who is not on duty?
E 7I3. What is the “p re sc rib e d lim it ” o f
alcoh ol referred to in the p reviou s two
questions?
E714. Who has p o w e rs under the RTSA to
take action w here an offence is su spected o f
bein g com m itted under section s 78, 79 o r 80?
E 7I5. Can a sh ippin g com pany ado p t m ore
stringent alcohol lim its than those in the RTSA?
The master should ensure: (1) that the hearing is conducted exactly as laid
do wn in the Merchant N avy Code o f Conduct; (2) that as the seafarer is found
to have committed a (paragraph 9) serious breach and is being dism issed in
consequence, he or she is formally advised o f the finding as w ell as the
sanction; (3) that the seafarer is given copies o f all relevant statements made in
the O fficial Log Book; and (4) that the seafarer signs an O fficial Log Book
entry acknow ledging receipt o f those copies.
Because failure to do so in any respect (e.g. not allow ing the seafarer to have
som eone speak for him or her at the hearing) might allow the seafarer, i f he or
she is dism issed, to win a claim o f unfair dismissal brought before an
Employment Tribunal. Dism issal must be for a fair reason and in a fair manner.
Make a further appropriate entry to that effect. The master should sign it and
have it w itnessed by another person present at the time.
The com pany (or employer) should, within 5 working days o f the dismissal if
in the UK , or within 5 working days o f the seafarer’s arrival in the UK if
dism issed abroad, convene a hearing ashore to review the circumstances o f the
dismissal and decide whether it should be confirmed or (in the case o f a
permanent em ployee) whether the contract o f em ployment should be
terminated. If requested by the seafarer, an official o f his/her union or a fellow
em ployee should be invited to be present at the hearing. The seafarer should be
advised in w ilting o f the outcom e o f the hearing.
The seafarer should be advised o f the tim e limits within which any appeal
against the dism issal should be lodged. (Norm ally this is 14 days.)
A higher leve l o f authority within the company.
N ot necessarily. They may be amended in accordance w ith local circumstances
i f agreed to by the company and the seafarer’s union.
The Em ploym ent R ights A ct 1996.
N o. If the seafarer’s em ploym ent is not “w holly in Great Britain” (i.e. sailing
from/to British ports) he or she w ill probably not be protected by it.
Part 4 (sections 78 to 91) o f the R ailw ays a n d Transport Safety A ct 2003 (the
“R TSA ”).
To all UK ships (wherever they may be), and to all non-U K ships w hile in UK
waters.
Under section 78 o f the RTSA, a professional master (at any time when he is on
board), a professional pilot (when on board), or a professional seaman while on
board on duty com m its an offence i f the proportion o f alcohol in his breath,
blood or urine exceeds the prescribed limit. These persons com mit a separate
offence i f thei r ability to carry out their duties is impaired because o f drink or
drugs. (“Seaman” includes any officer below the rank o f master.)
Under section 79 o f the RTSA, a professional seaman who is not on duty, but in
an em ergency w ould or m ight be required under his em ploym ent contract to
take action to protect the safety o f passengers, com mits an offence if his ability
to take such action is impaired because o f drink or drugs, and commits a
separate offence i f the proportion o f alcohol in his breath, blood or urine
exceeds the prescribed limit.
In the case o f breath, 35 microgrammes o f alcohol in 100 millilitres; in the case
o f blood, 80 milligrammes in 100 m illilitres; and in the case o f urine, 107
m illigramm es in 100 millilitres. (This limit is the same as for road users.)
A “marine official” (including a harbour master or his assistant, an M CA
surveyor, an M CA superintendent, a U K Customs officer, a British naval or
military office*, and a British consular officer) may detain a ship where an
offence is suspected, pending arrival o f a uniformed police officer. Police
officers have powers under the A ct to board ships and administer tests, and
may make arrests without warrant.
Yes. Every shipping company should have a ding and alcohol policy in which
its limits are clearly stated.
THE SHIPMASTER S BUSINESS SELF-EXAMINER

Dealing with crew drunkenness
E716. What action sh ould a U K sh ipm aster
take i f a seam an, who appears to be drunk,
com plains to him about the fo o d a t 2100, w hile
the m aster is w atching a video?
E 7 1 7. What action sh o u ld a U K sh ipm aster
take regarding a seam an who is drunk w hile on
duty?
E 7I8. W ia t action sh ou ld a U K shipm aster
lake regarding a seam an who w as drunk on
b o a rd w hile o f f duty?
E 7 19. Why sh o u ld a seam an not b e drunk
when o ff duty? Why caution the m an in the
a b o v e case?
Deductions from wages for breaches of Crew Agreement
E720. Can a U K sh ipm aster im pose any fin es
on crew m em bers?
E721. What d eductions fro m a s e a m a n ’s
w ages m ay be m ade in connection with his
dism issal o r indiscipline?
E722. The deduction f o r expense o r loss
ca u sed to the em ployer b y absence a seam an's
without leave u sed to b e £300. Why w as it
redu ced to £100?
E723. In w hat circum stances co u ld a seaman,
fro m whose w ages the m aster intended to m ake
a deduction on account o f his absence w ithout
leave, a v o id the deduction?
- s a s s s n ; .., .... ......... ..
DEATHS
Master s actions following seaman’s death
E724. A seam an dies after being struck on the
h e a d by a derrick heel block that he was
rem oving f o r inspection. What action sh ould
the m aster take?
THE SHIPMASTER'S BUSINESS SELF-EXAMINER
157
The master should: ( ! ) ensure the safety o f ship, personnel and the seaman
him self, i f necessary; (2) find out w hen the seaman is next on watch (at 2400?);
(3) have the seaman sobered up (until sober he’s a potential liability to others
on board); (4) discipline the seaman when he’s sober, i f necessary. The
complaint m ay be genuine, but the master has no legal duty to investigate
3
unless there are or more complainants (see C om plaints b y C rew M em bers a t
e n d o f Section E). I f he decides to act on the com plaint anyway, he should
make an O fficial L og B ook entiy about it and enter details o f any investigation.
The master should: (1) ensure the safety o f the ship, personnel and the seaman
himself; (2) rem ove the seaman from du'y and substitute another seaman; (3)
have the seaman sobered up; (4) discipline the seaman in accordance with any
applicable code o f conduct (Merchant N avy or com pany) (w as he drunk
enough to jeopardise the safety o f the ship and personnel?).
The master should: (1) ensure the safety o f the ship, personnel and the seaman
himself; (2) i f there was no threat to safety, take no action beyond an informal
warning unless the com pany’s, charterer’s or ship’s rules prohibit alcohol; (3)
perhaps give a drug and alcohol test ( i f equipment is available) before the
seaman starts work again.
Every crew member with duties listed on a muster list should be able to
perform his or her em ergency duties at any tim e, whether at sea or in port. If
one seaman needs the assistance o f another to reach a survival craft, it means
that two people w ill not be able to perform their em ergency duties.
N o. Fines w ere abolished in the British Merchant N avy in the 1980s. Specified
deductions from wages may, how ever, be made in certain circumstances.
A deduction from w ages m ay be made in three cases. (1) Where a seafarer
em ployed under an M CA-approved crew agreement incorporating the M N
Code o f Conduct is dism issed from the ship for a Paragraph 9 breach, a
deduction m ay be made o f the actual cost o f his repatriation to the U K or one
w eek ’s w ages, whichever is least. (2) A deduction o f up to £100 may be made
for any expense or financial loss suffered by the em ployer because o f a
seaman’s absence without leave. (3) A deduction o f up to £300 may b e made
for any expense or financial loss to the em ployer where the cause w as a breach
o f the Crew Agreem ent other than absence without leave (e.g. because the
seaman damaged sh ip’s property).
It w as reduced in 1999 to bring the maximum deductions in The M S (S eam en ’s
Wages an d Accounts) Regulations into line with the limits set in the M erchant
Shipping A ct 1995. It is explained in M G N 136.
If the seaman satisfied the master that his absence was due to an accident, a
mistake, or som e other cause beyond his control and that he took all reasonable
precautions to avoid being absent.
........................................... . ........ .— ..........
The master should: (1) obtain w itness statements at tim e o f the death or as soon
as possible thereafter, and make these available to any Superintendent or
Proper O fficer w ho later boards in connection with a Section 271 Inquiry; (2)
have the cause ol death established and certified, i f possible, bv a doctor: (3)
inform the owners/managers: (4) inform the deceased’s next-of-kin as soon as
possible and in any case within 3 days - this w ill probably be done by owners,
but it is the master’s legal responsibility; (5) inform the agent at the next port -
he w ill probably have to inform various local officials, e.g. port health,
custom s and police; (6) inform the P&I club correspondent at the next port: (7)
make entries in the Deaths section o f the OLB; (8) have the safety officer
investigate, report and make an entry in his accident log; (9) on receipt o f the
safetv officer’s report, inform M AIB (bv fax, telex, satcom s. etc.). follow ing
up the initial report with a com pleted IRF form and narrative report, and
inserting a copy o f this in the OLB; (10) make a Return ofD eatb on an RBD
form (M C A Form M SF 4605 - formerly R BD /1) and send as soon as possible
to a Marine O ffice Superintendent in the U K or a Proper O fficer abroad (RSS
Cardiff should be called i f in doubt as to the procedure); (11) make appropriate
discharge entries in the grev spaces o f the List o f Crew ( ALC Ha) or (b) as
appropriate) and have them witnessed: (12) preserve the bodv. i f possible, for
landing ashore, but i f im possible, perform a burial at sea in com pliance with
the Ship C a p ta in ’s M edical Guide, but only after advising the Proper Officer at
the next port; (13) check the Safe Manning Document and ascertain whether a
158
E725. Why is it im portant to se n d the RBD
fo rm as soon as p o ssib le?
Qecemmi seaman's p r o p e r t y a n t i waci e s
E726. What sh ou ld b e done w ith the g e a r o f a
d e cea sed seam an who was em ployed on a UK
ship?
E727. What sh ou ld be done with a d ece a se d
se a m a n ’s w ages i f he h a d been p a id fr o m a U K Account o f Seam an’s W ages (A SW /2) in accordance with The MS (Seam en's
ship?
UK inquiries following deaths
E728. In w hat circum stances w ill a U K
coroner have ju risd ictio n to h o ld an inquest,
fo llo w in g a death on a ship o r loss o f som eone
fro m a ship?
E729. I f a death o r loss o v erb o a rd fro m a U K
ship occurs outside the 12-m ile lim it, who w ill
have ju risdiction to h old the inquiry?
E730. What O fficial L og Book entries are
req u ired in relation to death inquiries?
RELIEF, MAINTENANCE and REPATRIATION OF SEAMEN
E m p l o y e r ' s o b l i g a t i o n s t o m a M provision
E731, What a re the statu tory obligations o f
the em ployer o f a seam an left b ehind outside
the UK?
E732. What is the p o sitio n where a (JK sh ip
has a n on -U K crew w ho sig n e d on abroad, an d
a seam an has to b e left behind in a U K p o rt?
E733. D o the em ployer's obligation s apply
also w here the m aster is left behind?________
E734. D o the e m p lo y e r’s obligations a pply in
the case o f seam en left b ehind when a U K ship
is s o ld out o f the fla g ? ________________________
E735. A British seam an is disch a rg ed to
h ospital in a non -U K port. D oes the e m p lo y e r’s
obligation f o r r e lie f a n d m aintenance continue
i f the seam an dies before he can be returned?
E736. A seam an fro m a U K sh ip has been
d isch arged to hospital in a fo re ig n port. For
how long w ill the e m p lo y e r’s obligation f o r
r e lie f a n d m aintenance continue?___________
E737. A seam an fi-om a U K ship has
apparently gone absen t w ithout leave in a
fo re ig n port. I f he eventually turns up a t the
a g e n t’s office a n d asks f o r repatriation, w ill the
em ployer still b e under an obligation to p ro v id e
f o r re lief, m aintenance a n d repatriation?_______
a seaman behind abroad.-
E738. To com ply w ith U K em ploym ent law,
w h at advice sh ou ld b e given to a seam an who is
bein g sig n e d o ff abroad?______ ______________
E739. A seam an who w itn essed an explosion
is suffering fro m traum atic shock a n d requires
repatriation to the UK. What arrangem ents
sh ou ld the m aster make?
replacement is required - i f so, contact the owners or agent at the next port o f
call; (14) i f no Section 271 Inauirv is to be held at the next port where there is
a Superintendent or Proper Officer, make an OLB entrv to that effect; (15) deal
with the deceased seam an’s property and w ages as described below.
Because until the death is registered by the RSS (which can only be done on
receipt o f the RBD form, a Certificate o f Death cannot be issued by the RSS
and the relatives o f the deceased cannot make an insurance claim or wind up
his estate, eic.
The master should detail tw o officers to tally and pack the gear ready for
returning to the next-of-kin via the agent at the next suitable port. One copy o f
the tally should be packed with the gear and one inserted in the OLB (as an
Annex). Custom s may want to check the gear before landing.
The master should make up the seam an’s w ages and overtime, and draw up an
Wages an d Accounts) Regulations. The account should be sent to a
Superintendent or Proper Officer, and the wages to the next-of-kin.
When the person’s death or loss occurred inside the 12-mile limit extending
from the shore o f the coroner’s area.
A senior M CA Superintendent in the U K , or a Proper O fficer abroad.
Where a death inquiry' is required b y the M erchant Shipping A ct 1995 to be
held, a record must be made o f either: (1) the name o f the superintendent or
proper officer holding the inquiry, and the date and place where it was held; or
(2) that an inquiry w as not held at the first port o f call after the death where
there was a superintendent or proper officer.
The seaman s last em ployer must make provision for his return, and for his
relief and maintenance until his return, and such other provisions as m ay be
required by the DfT.
The em ployer’s obligations as in the last answer apply also in the case o f a
seaman left behind in the UK who became employed under an agreement
entered into outside the UK.
Yes.
Y es, whether or not at the time they are left behind the ship is still a UK ship.
The obligations are imposed on the persons who last em ployed the seaman
(since at the time o f leaving behind, there may not legally be any employer).
Y es. The em ployer’s obligations include payment o f expenses o f the burial or
cremation o f a seaman w ho dies before he can be returned.
Until he is repatriated. I f the obligation to provide relief and maintenance arises
within 3 months o f leaving the seaman behind, it continues after that period has
elapsed
Y es, provided the seaman turns up within 3 months from the time he was left
behind. Where a person left behind outside the UK remains there beyond 3
months, the persons who last em ployed him as a seaman w ill not be liable to
make provision for his return, or any other matter, after 3 months has elapsed
Clear advice as to any arrangements made for his maintenance, repatriation and
payment after discharge, i f necessary after consultation with the employer.
The master should make relief and travel arrangements with the owners and
agent. Local immigration and other regulations may require certain forms or
formalities to be completed. Discharge documentation should be completed,
whether the seaman is on board or not. T w o officers should list the seaman's
personal effects. A t least tw o copies o f the list should be made, one being
annexed to the OLB and the other sent ashore with the seaman’s gear. The
THE SHIPMASTER’S BUSINESS SELF-EXAMIN-

E740. I f a seam an fro m a U K sh ip is being
behind in a fo reig n port, w hat inform ation must
the m aster g iv e to the lo ca l P roper Officer?
E 74I. What entries sh ou ld be m ade in the
O fficial L og Book concerning a seam an left
behind fro m a U K ship?
Property and wages of seamen left behind
E742. U nder w hat circum stances can a
se a m a n ’s g e a r be s o ld o r d estro yed after he has
been left behind in a fo re ig n po rt?
E743. A seam an on a U K ship is d isch arged to
a hospital abroad, w here he is e xpected to
rem ain f o r 3 days. H is g e a r is still on board.
What a re the rules about d elivery o f his g e a r to
him?
E744. Where a seam an is left behind abroad,
w hat a re the rides about paym en t o f w ages due
to him?
E745. A seam an has "gone adrift "from a U K
ship in Bangkok, but has left a considerable
am ount o f his w ages on board. What a re the
rules about paym en t o f his w ages?
COMPLAINTS BY CREW ft
E746. U nder what conditions do seam en in a
U K ship have a statu tory right to com plain to
the master, a n d what is the m aster req u ired to
do about a n y rightful com plaint?
E747. I f seam en m aking a rightful com plaint
are d issatisfied w ith the m aster's action o r
inaction in respon se to it, w hat m ay they do?
E748. What records sh ould be m ade when
there is a com plaint about provision s o r w ater?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
159
seaman’s w ages and overtime, i f paid from the ship, should be made up and an
ASW /2 form completed. O therwise the em ployer should be notified o f
overtim e payments ow ing, etc. If the seam an’s gear is not landed with him, it
should be returned via the agent to the seam an’s home address,
Provision must be made (via the agent) to ensure that, within 4 8 hours after
leaving the seaman behind, or as soon as possible thereafter, the nearest
Superintendent or Proper O fficer is informed of: the seam an’s name; his home
address (as stated in the List o f Crew); the name and address o f his next-of-kin
(as in the List o f Crew); sh ip’s name; the date on which he was left behind; the
place where he w as left behind and, i f known, his present whereabouts; the
reason for his being left behind; and the name and address o f his employer and
the em ployer’s agent, i f any, at or nearest to the place where he was left
behind.
(1) An entry recording any provision made on the em ployer’s behalf to ensure
that the Proper Officer has been informed o f the seam an’s leaving behind; and
(2) an entry recording the date and place o f leaving the seaman behind and the
reason for leaving him behind.
The master can, at any tim e, sell any part o f the property i f o f a perishable or
deteriorating nature (the proceeds o f sale then forming part o f the property);
and destroy or otherwise dispose o f any part w hich, in his opinion, endangers
or is likely to endanger the health or safety o f any person on board , A
description must be entered in the OLB o f each article sold and the sum
received, and o f each article destroyed or disposed of, with the name o f any
person to w hom disposal w as made.
The master must, when directed by the employer, have the seam an’s property
delivered to the em ployer at an address in the country to which the seaman is to
be returned. The employer m ust deliver the property to the seaman at his last
known address. Costs are to be borne by the person to w hom the property was
delivered. I f the seaman requests, the master must have the property delivered
at an address named by the seaman, and the costs are to be borne by the
seaman. The master must, when delivering property, include a record o f the
property delivered. I f any property has been sold, the record must include a
description o f each article sold and the sum received, and i f any property has
been destroyed or disposed of, a description o f each affected article. The
seaman’s discharge book should be returned with his property.
U nless a seaman left behind is discharged in the normal w ay and receives his
w ages on his discharge, any w ages due under the Crew Agreem ent must be
paid by the em ployer, or by the master on the em ployer’s behalf, within 28
days o f the seam an’s arrival at his place o f return. An A ccount o f W ages
(A SW ) must be delivered at the same time.
When the em ployer’s obligation to return the seaman ceases (i.e. after the end
o f 3 months), the w ages m ust be paid within 28 days o f the obligation ceasing.
If the em ployer does not know the seam an’s whereabouts, an Account o f
W ages (A SW ) and a notice that the w ages may be obtained on application to
the em ployer must be sent to the seam an’s last known address. The master
must keep ail records o f expenses incurred in leaving the seaman behind. I f the
master is authorised to make a deduction from w ages (e.g. because the seaman
is AW O L), the em ployer must render an account o f all expenses and sums to
the seaman or his next-of-kin, as appropriate, when paying the wages.
ERS
If three or more seamen in a U K ship consider that the provisions or water
supplied are not in accordance with regulations (because o f bad quality,
unfitness for use or deficiency in quantify), they may complain to the master.
The master must investigate the complaint. (MSA 1995, s .4 4 (l))
The seam en may take their complaint to a superintendent or proper officer (i.e.
an M CA superintendent in the U K or a British consul or a shipping master or
marine officer in a U K overseas territory) (MSA 1995, s.44(2))
In the narrative section o f the O fficial L og Book: (1) a record o f the complaint,
with the names o f the complainants; (2) a record o f any investigation made by
the master; (3) a record o f any action taken by a superintendent or proper
officer with the ship’s provisions or water.
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THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Section F: The Ship’s Employment
PARTIES INVOLVED IN SEA TRANSPORTATION
Seller and buyer (exporter and importer)
F I. What a re INCOTERM5®? A set o f uniform rules which codify the interpretation o f trade terms defining
the obligations and rights o f the seller and buyer in an international sale o f
goods transaction. They enable an otherwise com plex basis for a sale contract
to be accom plished in three letters, e.g. “FOB”. There are eleven
INCOTERMS® (2010), som e o f which are inappropriate for use in contracts
involving sea carriage.
F2. Which lNCOTERMf> *’ are appropriate FCA (which stands for “Free Carrier”), FAS (“Free A longside Ship (named
f o r use in contracts involving sea carriage? port o f loading)”), FOB (“Free On Board” (named port o f loading)), CFR
(“Cost and Freight” (named port o f discharge)), CIF (“Cost, Insurance and
Freight” (named port o f discharge)) and CPT (“Carriage Paid To” (named
destination)). The two m ost important INCOTERMS® in sea transport are FOB
and CIF.
F3. What are the m ain respon sibilities o f The seller must bear all costs and risks until the goods have passed the sh ip’s
the se lle r when g o o d s a re s o ld “FOB rail at the loading port (Liverpool). H e must obtain a bill o f lading and any
L iverpool"? other necessary docum ents and send them to the buyer.
F4. What a re the m ain respon sibilities o f The buyer must charter a ship or reserve the necessary space on a ship and give
the buyer when g o o d s a re s o ld "FOB the seller details o f the ship, the loading berth and loading dates. The buyer
L iverpool"? must bear all costs and risks after the goods pass the ship’s rail at the loading
port (Liverpool). H e must pay the seller’s expenses for obtaining the
documentation.
F5. What is the m ain benefit to the buyer He can sell the goods once he has received the docum ents (which he should
when he buys on an FOB basis? soon after loading). The goods m ay therefore be sold w hile on the voyage,
which m ay be essential in the case o f oil, grain and other bulk com modities
traded on international markets.
F6. What a re the m ain respon sibilities o f The seller must pay the costs and freight necessary to bring the goods to the
the se lle r a n d buyer when g oo d s a re s o ld on a named destination, but the risk o f loss o f or damage to the goods, and o f any
CIF basis? cost increases, is transferred from the seller to the buyer w hen the goods pass
the ship’s rail at the loading port. The seller must also, on behalf o f the buyer,
obtain insurance cover for the carriage.
F7. What are the m ain respon sibilities o f The seller must pay the costs o f the goods and the insurance and freight to
the seller a n d buyer when g o o d s are s o ld "CIF Kobe. The buyer must pay all costs, including duty, after delivery on board the
K obe"? ship at Kobe.
F8. What is the main benefit o f a CIF CIF allow s the sale o f the goods by the sale o f the docum ents, and is therefore
contract? the preferred trade term where the documentary credit system is used. The
banks involved can obtain security for their credit advance by holding the
documents that represent the goods.
Banks
F9. In what w a y m ight banks be in volved in Banks are com m only asked by buyers to make credit available to sellers, with
the carriage o f g o o d s by sea? shipping docum ents (e.g. bills o f lading) as security, so that sellers can be paid
as soon as goods are shipped on board. W ithout the banks’ involvem ent, sellers
might have to wait until goods reach their consignees before being paid.
F10. What is a letter o f credit? An undertaking issued by a bank, on behalf o f the buyer (importer), to the
seller (exporter), to pay for goods and/or services, provided that the seller
presents docum ents which com ply fully with the *erms and conditions o f the
letter o f credit. It may also be called a documentary credit.
| FI 1. What is the p u rp o se o f a letter o f To enable the seller to receive payment for the goods soon after shipment. The
| credit? LOC contains the conditions under w hich payment m ay be made and to which
the banks involved must adhere.
F 12. H ow d oes a letter o f cred it operate? (1) The seller and buyer agree in their sales contract that payment w ill be made
using a letter o f credit. (2) The buyer instructs his bank to open a credit in
favour o f the seller, and that bank sends the letter o f credit to the seller’s
nom inated bank. (3) The seller ships the goods, obtains the documents required
by the letter o f credit and presents them to his bank, which checks the
documents for com pliance with the tetter o f credit before m aking payment. (4)
The docum ents are passed to the buyer’s bank (in return for payment), which
debits the buyer’s account before passing the documents to him.
1 F I 3. What docum ents are typically requ ired (1) A set o f original, clean, on-board bills o f lading made out “to order”; (2) a
to be o b tain ed b y the se lle r under the term s o f commercial invoice; and (3) a certificate o f insurance.
a letter o f credit?
1 F14. What secu rity does a bank in volved in a It has possession o f the documents givin g title to the goods (i.e. “order” bills o f
letter o f cred it transaction have in return f o r lading), and thus has constructive possession o f the goods. Should the buyer
the sum advanced? not be able to pay or take delivery o f the goods for som e reason, the bank w ill
be in a position to sell the goods. If the goods are damaged, the bank can claim
___ on the insurance certificate, which it w ill have.

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162
. S tu p n e r
j FI 5 What is a shipper? A com pany or person who contracts with a carrier for the carriage o f goods by
sea. Iri shipping documents the shipper may be called “the merchant”.
f F IS Is the sh ipper a lw ays the se lle r o r No. M any sellers and exporters em ploy an agent (e.g. a freight forwarder) to
exporter o f the goods? organise the shipment, and in that case that party w ill be the shipper in the
contractual relationship with the carrier. The shipper may be thought o f as the
party from whom goods are received on board the vessel by the carrier.
Freight forwarder
F I 7. What is a fre ig h t fo rw a rd er? A firm specialising in the export and/or import o f goods on behalf o f
merchants, private individuals, etc. When a shipment is being arranged, the
forwarder is the exporter’s agent
FIS. By w hat other nam e a re fre ig h t Shipping and forwarding agents. They can be found under that name in Y ellow
fo rw a rd ers som etim es known? Pages in every city in Britain, located at container bases and near airports.
F I 9. Whose agent is a fre ig h t fo rw a rd er? W hen a forwarder is arranging a shipment, the forwarder is the exporter’s
agent. When handling imports the forwarder is the consignee’s agent or
“receiver”.
F 20 What is a fre ig h t fo rw a rd e r's legal Where the forwarder books the shipping space with the sea carrier, the
relationship with the s e a carrier? forwarder b ecom es the shipper or “merchant” under the contract o f carriage.
F 2I. In which se a trades are fre ig h t In the liner trades (i.e. container, ro-ro and general cargo). They are not
forw arders em ployed: liner, d ty balk o r tanker? necessary in the other trades, where the shipping procedures are different.
F22. What services can fre ig h t fo rw a rd ers They can (1 ) give expert advice on routeing (cheapest, quickest, safest); (2)
usually p ro vid e f o r exporters? arrange carriage with a earner (i.e. booking space, paying freight, etc.); (3)
prepare or assist in preparation o f shipping documents; (4) make custom s entry
(clearance) o f goods; (5) arrange packaging and warehousing o f goods before
shipment; (6 ) arrange goods transit insurance; (7) arrange groupage or
consolidation (e.g. in an LCL container) with other shippers’ goods destined
for the same place. M ost forwarders can usually carry out any or all o f these
functions as required by the shipper.
F23. What is grou page o r consolidation? The grouping in one cargo unit (e.g. an LCL container) o f the goods o f two or
more shippers, where all the shipments are destined for the same place in the
import country, e.g. an inland container depot. A groupage container is known
as an LCL container. Groupage is cheaper for the shipper, since LCL freight
rates are lower than FCL rates. Many freight forwarders and earners offer both
LCL and FCL services for shippers.
F24. Where is grou page o r consolidation U sually at a container freight station or inland container depot, by a freight
c a rrie d out. a n d by whom ? forwarder offering this service.
F25. What happens to g rou page c argo a t its The individual shipments o f goods in the LCL unit are de-consolidated and
destination? dispersed to their various receivers or consignees.
F26. What is an LCL shipm ent? A “less than container load”, i.e. a shipment which w ould not fill a container
and could therefore be grouped or consolidated in one cargo unit with other
goods destined for the same place in the import country.
F27. What is a n FCL shipm ent? A full container load, which w ouid not need groupage or consolidation. An
FCL shipment, e.g. a container-load o f Scotch whisky, might be loaded into the
container or frailer at the shipper's premises.
Consignee
F28. What is a consignee? The party to w hom goods are consigned, or addressed. The consignee is the
importer, but may em ploy a freight forwarder to handle the import formalities.
Receiver .- •• ...,,,4 .
F29. In a cargo sh ippin g context, who is the The party w ho takes delivery o f the goods from the carrier at the destination
receiver? port or terminal. It may be the consignee him self, or another party (e.g. a road
transport company) acting as an agent o f the consignee.
Notify party
F30. In a cargo sh ippin g context, who is the The party w hom the carrier has to notify when the goods have arrived at the
notify p a rty ? discharge port, so that collection from the carrier (legally called delivery) can
be arranged. Ships’ agents at discharge ports have to send Arrival Notification j
Forms to these parties, w ho are called receivers. Their name and address must
appear on a bill o f lading or sea waybill. Often the notify party/receiver is, in
fact, the consignee.
Cargo insurers
F 31. H ow can c argo insurance b e a r ran ged Through his broker with: (1) one or more insurance com pany underwriters;
b y a shipper? and/or (2) one or more underwriters at L loyd’s. Alternatively, he could arrange j
insurance through a freight forwarder or shipping company offering insurance
services. (M any liner carriers offer transit insurance as part o f a package o f
services to shippers.)
Shipbrok&rs : -**
F32. What a re the c h ie f m arkets in which The dry cargo market and the tanker market. In both markets there is a voyage
sh ipbrokers operate? charter (or spot) market and a tim e charter market.

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 163
F33. What are the fun ctions o f shipbrokers in To find em ploym ent for ships, and to find suitable sea transport for the carriage
the d ry cargo a n d tanker m arkets? o f a cargo.
F34. What a re the various types o f O wners’ brokers, charterers’ brokers, tanker brokers, coasting brokers, heavy
shipbroker? lift brokers, sale and purchase brokers and various other brokers in sub-
markets. M any ships’ agents are qualified shipbrokers.
F35. H ow a re shipbrokers p a id f o r their They earn com m ission, called brokerage, normally at an industry standard rate
services? o f 1.25% o f the gross freight or hire rate negotiated for each broker involved in
the negotiations o f a fixture.
F36. What is the leading profession al body The Institute o f Chartered Shinbrokers. Website: w w w .ics.ore.uk Seafarers
f o r shipbrokers, a n d how can a sh ip 's officer can study w ith the Institute’s TutorShip correspondence course, sit
gain its profession al qualification? exam inations and gain ICS Membership as MICS.
F37. What is the B altic Exchange? A membership organisation, based in London, for global shipping market
practitioners. Website: w w w .balticexchanee.com It was formerlv a
marketplace where shipbrokers met daily for face-to-face trading.
F38. H ow has the role o f the B altic Although som e trading is still done face-to-face between member brokers on
Exchange ch an ged in m odern tim es? “The Floor” o f the Exchange, m ost com munications between shipbrokers
involved in a fixture are now made b y electronic means, since the brokers may
be in two or more countries. The Baltic Exchange is in effect a
com m unications hub and a key source o f market information. M ost London
brokers and many overseas brokers are members o f the Baltic Exchange.
Charterers yCM „ .v-'.-av. ■ ~ 1 ' Vr.» 1 V ' i' «
F39. What kind o f businesses a re the m ajor Major exporters and importers o f iron ore, grain, coal, forest products, sugar,
charterers in the d ry bulk m arkets? etc., and com m odity traders such as Cargill and Glencore.
F40. What kind o f businesses a re m ajor Oil com panies, traders and governments A large oil com pany w ill typically
charterers in the tanker m arkets? have on any given day a core fleet o f ow ned tankers, an additional number o f
tankers chartered-in on a time basis and a large number o f voyage-chartered
tankers.
F41. Are the tankers o w n ed by an o il N ot necessarily. W hen an oil com pany can earn more by chartering its own
com pany norm ally em ployed carrying the ships out to another company, it usually will. Thus it is not uncommon to find a
com pan y's ow n oil? BP tanker chartered to Shell, etc. Independently-owned tankers time-chartered
to oil com panies are also often em ployed on voyage charters to third parties.
F42. In w hat circum stances m ight a liner M any liner shipping com panies have a core fleet o f ow ned ships, but for
com pany charter-in ships? flexibility o f operation, charter-in a proportion (in som e cases the majority) o f
their fleet, in most cases on time charters. W hen there is an upturn in trade,
additional tonnage may be sought in the charter markets, and when there is a
downturn, expired charters need not be renewed. Tonnage may also be
chartered-in when an ow ned ship is out o f service.
Carrier and shipowners See also Identity' of carrier under BILLS OF LADING in this Section
F43. What is a carrier? A person (which includes a company, such as shipowners or ship operators)
w ho agrees to carry goods or persons from one place to another.
F44. In law, w hat types o f ca rrier o perate? (1) Common carriers; and (2) private carriers.
F45. What is a com m on carrier? A person or com pany who advertises as a carrier o f the goods o f anyone who
w ishes to use his services (or in the case o f a passenger carrier, any persons
w ho w ish to use his services), without restriction, as long as he has space for
the goods or persons. Because a com m on carrier is bound by the “com mon law
obligations” and is strictly liable for any loss o f or damage to goods that he
carries (effectively making him the insurer o f goods in his care), very few
com mon carriers operate in the m odern shipping industry.
F46. What is a p riv a te carrier? A carrier w ho does not hold him self out as a com m on carrier, and thus reserves
the right o f accepting or rejecting offers for carriage. A lm ost all sea carriers
today are private carriers, carrying goods or persons on their own terms and '
conditions.
F47. What is an NVOC? A non-vessel-operating carrier, which is a com pany operating a goods shipping
service using space it has hired on another com pany’s ship. Som e NV O C s hire
containership slots from shipowners (for w hich purpose the SLOTHIRE
charter party was, developed), w hile others charter entire ships. An NV O C thus
has one contract, as carrier, with the exporter/merchant, and another, as
shipper, with the owners or operator o f the carrying ship (som etim es called the
performing carrier). Num erous NV O C s operate in the liner trades.
F48. What are the basic leg a l obligations o f (1) To provide a vessel which is seaworthv for the purpose o f the contract (at
a ll sea carriers, i.e. th e "common law the time the contract is made). (2) The carrier’s vessel must not deviate from
obligations ’’? the contract route or the usual route unjustifiably. (3) To ensure that the vessel
w ill be ready to load the cargo and proceed on the voyage with reasonable
despatch. These obligations are implied conditions and need not be expressed
in the contract, but they are often included in printed conditions o f carriage on
bills o f lading, etc.
F49. A re the sh ipow ners the carrier? In m any cases, no. W here a cargo ship is bareboat chartered, the owners are not
the carrier. W here a ship is time-chartered, the charterers w ill usually be the
carrier. Liner service operators such as Maersk, CM A-CGM and M SC time-

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164
charter the majority o f the ships they operate and, in relation to the shippers o f
their cargoes, are the carrier, usually making this clear in shipping documents.
F50. Where sh ipow ners tim e-charter a vessel Where time charterers issue their own bills o f lading (as is the case with many
an d em ploy it in their ow n liner service, who liner com panies w ho charter-in ships), they will be the carrier. Where the ship
w ill the ca rrier norm ally be? issues its own bills o f lading, however, the shipowners w ill probably be
regarded by courts as the carrier.
Liner agent
F51. What is a liner agent? A business entity acting as a local agent for one or more (and often several)
carriers, and w h ose main function is procuring bookings o f shipping space
from local shippers. Major carriers maintain a network o f liner agents in the
main cities o f countries served by their services.
Shipmaster
F52. What is a sh ip m a ste r’s leg a l position in The master, as the carrier’s representative, is the bailee o f the cargo, and as
relation to an ow ner o f cargo? such is responsible for the proper care and delivery in good condition o f the
goods. The master should look after the cargo as i f it were his own uninsured
property. (See also The m aster as bailee in Section E.)
F53, In a salvage situation, in what Where: (1) it is necessary to take salvage assistance; (2) it is not reasonably
circum stances m ight a sh ipm aster becom e an practicable to communicate with the cargo owners to get their instructions; (3)
agen t o f necessity? the master or owners act bona fid e (i.e. in good faith) in the interests o f the
cargo; and (4) it is reasonable for the master or shipowner to enter into the
particular contract. (Clarke J. in The PA M ar [ 1999] 1 L loyd’s Rep 338.) (For
questions on SALVAGE, se e Section H.)
F54. Since the U K has ratified the N o, because the International Salvage Convention 1989 provides: (1) that the
International S alvage Convention 1989, is it master shal l have the authority to conclude contracts for salvage operations on
necessary f o r the m aster o f a U K ship to behalf o f the owner o f the vessel; and (2) the master or the owner o f the vessel
establish agency o f necessity before m aking a shall have the authority to conclude such contracts on behalf o f the owner o f
sa lva g e agreem ent? the property on board the vessel.
Supercargo
F55. What is a su percargo? A person (very often a surveyor with deck officer experience) who is em ployed
by charterers or cargo owners to oversee the loading, carriage and/or discharge
o f goods or som e operation on board a ship, usually where there is som e
com plexity in the nature o f the cargo or operation. A supercargo will often sail
on board the ship under a charter party term. A s charterers’ representative he
has considerable importance, although he has no right to interfere with
decisions made by the master in the interests o f safety. (See questions on
M a ste r’s D iscretion in Section H.) ... . i : ,
Ship’s agent See also questions on Agents and Agency in Section B and on the Port Agent in Section 1
F56. What a re the p rim a ry duties o f a sh ip's To look after the needs o f the ship and its crew during their stay in port. The
agent? agent should: (1) aim for the quickest possible turn-round with maximum
efficiency and minimum cost; (2) assist the master in his dealings with
officials; (3) procure provisions, stores and other requirements; and (4)
communicate m essages between owners/charterers and the master.
F5 7. Who is the s h ip ’s a g e n t’s prin cipal? The partv who appointed the agent and w ill therefore be paving the agencv fee. !
If the shipo wners w ill be paying the tee, then owners are the agent’s principal,
regardless o f whether charterers or any other party nominated the agent.
(Nom inating an agent means specifying the agent to be used, and is not the
same as appointing the agent.) (See questions on agency law in Section B.)

CONTRACTS OF CARRIAGE BY SEA

Ship’s employment
F58. What are the traditional fo rm s o f
em ploym ent f o r m ost m erchant ships?
F59. Under what fo rm s o f contract do m ost
m erchant sh ips trade?
F60. Whose j o b is it to arrange the
em ploym ent o f ships in the charter m arkets?
F61. What is a charter agreem ent known as
in the shipping business?____________________
(1) On liner services (in the case o f most containerships, deep-sea ro-ros and
multi-purpose ships); or (2) in the voyage and time charter markets (in the case
o f containerships, oil tankers, dry bulk carriers, chemical tankers, LPG and
LNG carriers, offshore supply vessels, etc.).__________________________________
(1) Liner vessels trade on liner terms, also called bill o f lading terms. The
carrier’s standard terms and conditions are stated in his bill o f lading (or
similar document, such as a sea w aybill) which he issues to each shipper o f
goods carried. (2) Bulk carriers and tankers generally trade on charter party
terms, whether a bill o f lading is issued to the shipper or not. (3) Passenger
ships carry passengers on the carrier’s standard terms and conditions, which
are usually available from the carrier’s offices or from his website. (The
passenger ticket should mention this.)_____________________________________
Shipbrokers. Owners’ brokers (som etim es in-house) find cargoes for their
principals’ ships, while charterers’ brokers find suitable ships to meet the carat
transportation requirements o f charterers.____________________________________
A fixture. A vessel is said to be fixed to particular charterers. Representative
fixtures are reported in shipping journals such as L lo y d ’s List and Fairplay

THE SHIPMASTER’S BUSINESS SELF-EXAM

 165
Charter parties
F62. What is a ch arter party? A document containing the express terms o f an agreement for the charter o f a
ship. Charter parties include voyage, time and bareboat charter parties.
F63. When a sh ip is on charter, is it If the charter is a bareboat charter, probably not, as few i f any o f the clauses
necessary fo r the charter p a rty to be on board? w ill need to be read by the master. I f the charter is a time or voyage charter,
however, it is vita! that the master is familiar with the contents o f certain
clauses, such as the on- and off-hire provisions o f a time charter, and the notice
o f readiness and laytime clauses o f a voyage charter.
F64. What are the various types o f term s an d Standard terms are clauses printed on the charter party form. Side clauses are
conditions p rin te d o r w ritten in charter typed clauses inserted in a standard contract, often am ending the printed terms,
pa rties? and very often typed in the margins o f the document, with lines indicating
exactly where in the text they are to be inserted. Rider clauses are typed clauses
containing additional terms agreed by the parties, normally added at the end o f
the standard terms; they over-ride any standard term conflicting with them.
Addenda docum ents m ay contain sensitive clauses that the parties do not want
to be in the main charter party document for reasons o f security. A side letter
may be appended concerning matters relating to the contract, such as
charterers’ instructions to the master.
Seaworthiness in carriage o f goods la W
F65. What are the various a spects o f Seaworthiness has three legal aspects: (1) technical seaworthiness, relating to
seaw orthin ess in carriage o f g o o d s law ? the v e sse l’s design, condition o f her hull and machinery, and her stability, etc.;
(2) “cargoworthiness”, relating to her suitability for the intended cargo and the
condition o f her cargo spaces; and (3) “fittedness for the intended voyage” (or
“voyage-w orthiness”), relating to her equipment (including charts), safe
manning, bunkering and stores for the intended voyage. If a claim o f alleged
unseaworthiness is to be successfully defended by the carrier, charts must be
available and corrected up to date, crew must be properly qualified, etc.
F66. What are the basic requirem ents o f The vessel must be fit to encounter the “ordinary perils o f the sea” (e.g. bad
English comm on la w a s to seaw orthiness? weather) and other incidental risks to which she w ill be exposed on the voyage.
The com mon law recognises that owners cannot guarantee their v essels’
seaworthiness once they have left port, so this obligation is im posed only at the
start o f the voyage, i.e. when the vessel leaves the berth either under her own
pow er or under tow. Under the doctrine o f stages, seaworthiness at each stage
o f the voyage, e.g. in dock, in a river, in an estuary, must be considered
separately.
F67. In w hat w ays m ight a vessel be h eld by If, for exam ple, she sailed without valid statutory certificates or a valid
a court to be unseaworthy? Certificate (or Interim Certificate) o f Class; i f her holds w ere not properly
fitted for the cargo (e.g. ventilation system not working, no dunnage, no fire­
fighting agent); i f her cargo was not properly stow ed or secured; i f she had an
improperly qualified master or officers; if she did not c a n y appropriate (and
corrected) charts for the voyage; or i f she had insufficient bunkers for the
voyage.
Exceptions from liability o f common carriers
F68. What exception s fro m liability does the (1) Act o f God; (2) act o f Q ueen’s enemies; (3) inherent v ice in the goods; (4)
comm on law a llo w a carrier, i.e. the “comm on negligence o f the consignor; (5) fraud o f the owner or consignor o f the goods;
law exceptions " from liability? (6) jettison or other proper general average sacrifice.
F69. What is an “a c t o f G od"? Som e unforeseen and unpreventable natural event, e.g. lightning or earthquake.
F70. What is m eant by “Q ueen's enem ies "? A State or people with whom the carrier is at war during the carriage o f the
goods (but excluding robbers, rioters and pirates).
F 7I. What is m eant by “inherent vice in the A natural tendency o f the goods to deteriorate without human negligence, e.g.
goods" ? ' deterioration o f fruit and fish, fermenting o f liquids, loss o f weight in hides due
to evaporation, severe pitting o f steel plates not due to atmospheric rusting.
F72. What is m eant b y "negligence o f the N egligence o f the shipper or sender o f the goods, e.g. where insufficient or
consignor"? defective packing o f goods inside containers or cases leads to damage.
F73. What is m eant by "fraud o f the ow ner For exam ple, where the shipper m akes an untrue statement to the carrier as to
o r consignor o f the g o o d s ’’? their nature or value, or their threat to safety as w ell as (for sea carriers only).
F74. What is m eant by “jettiso n o r other When cargo is intentionally aftd properly destroyed or damaged during the
p ro p e r g en era l a verage sacrifice "? voyage in order to preserve the ship and other cargo from a danger threatening
the entire “com m on marine adventure” .
F75. When w ill a ca rrier not be p ro te c te d by W hen the true cause o f the loss or damage to the goods was: (a) his negligence,
the com m on la w exceptions? for exam ple in not taking reasonable steps to protect cargo from loss or
damage; (b) his vessel w as unseaworthy at the start o f the voyage; or (c) the
loss or damage occurred w hile the vessel was unjustifiably deviating.
rriers
l
f

F76. What is a p riv a te carrier? A earner who restricts his strict liability by contracting out o f his com m on law
obligations. H e is allow ed to do this by expressly and clearly stating his own
terms o f carriage in a docum ent such as a bill o f lading. The vast majority o f
shipping com panies make them selves private earners so as to restrict their
liability as much as possible.

THE SHIPMASTER’S BUSINESS SELF-EXAMINER

166
F77. What steps m ust a p riv a te ca rrier take
to ensure that his term s p ro te c t him fro m
liability?
F78. What exceptions to lia bility w ill a
p riv a te ca rrier usually insert in his contract
term s a n d conditions?
F79. What is barratry?
Carrier’s lien
F80. What is a p o ssesso ry lien?
F81, What p o ssesso ry lien does a sea carrier
have in English comm on law?
F82. H ow can a ca rrier ensure that, as w ell
as his com m on taw lien, he also has a Hen on
cargo f o r deadfreight, dem urrage a n d dam ages
fo r detention?
F83. What is an exam ple o f the w ording o f a
lien clause in a voyage charterparty?
F84. What is an exam ple o f the w ording o f a
lien clause in a tim e charterparty?
F85. What is an exam ple o f a lien clause in a
b ill o f lading?
F86. A ship has disch a rg ed a cargo o f co a l
a n d is about to sail. I f the sh ipow ners a re still
o w e d the freight, h ow can their lien on the
cargo be exercised after the ship has sailed?
Arbitration
F87. What are the fu n ction s o f m aritim e
arbitrators?
F88. What a re the m ain advantages o f
arbitration o v er litigation f o r the disputing
pa rties?
F89. H ow co u ld it be determ in ed that a
shipow ners an d charterers h ad a g re e d to refer
any dispute arisin g to arbitration?
F90. What a re the m ost p o p u la r m aritim e
arbitration centres?
F91. Why m ight shipping p a rties p re fer to
refer their dispute to arbitration in London
rather than in N ew York?
CONTRACT OF AFFREIGHTMEI
F92. What is a con tract o f affreightm ent in
the legal sense, as u sed in m aritim e law
textbooks written bv law yers?
F93. What is a contract o f affreightm ent in
m odern shipping usage (as op p o sed to the
leg a l sense often u sed in textbooks)?
F94. What is an exam ple o f a contract o f
affreightm ent (COA) operation?
His conditions o f carriage must be clearly stated to the shipper. (M ost carriers
print their terms on their house bill o f lading or other contract o f carriage
document.) H is terms must be fair; i f a court holds that his contract terms were
unreasonable or unfair, a private carrier may find h im self reverting to the status
o f a com mon carrier, and losing the benefit o f the exceptions from liability that
he has inserted in his contract (other than the com m on law exceptions).
All o f the com m on law exceptions, plus others such as loss, damage or delay
resulting from: pirates; thieves; arrest or restraints o f princes, rulers or people;
riots; insurrections; barratty - to name but a few.
A wrongful act w ilfully committed by the master or crew to the prejudice o f
the owners or charterers. (See D eviation a n d B arratry in Section H f o r m ore
details.)
See also MARITIME CLAIMS, LIENS and ARREST in Section 8
The right o f a person in lawful possession o f the property o f another to retain
possession o f it as security for a claim against its owner.
A lien on cargo carried for freight, general average and expenses incurred in
protecting the cargo.
B y inserting a Lien Clause in his terms o f carriage expressly stating that he
shall have a lien for these sums.
“O wners sh all h ave a lien on the cargo f o r freigh t, deadfreight, dem urrage
an d dam ages fo r detention.” (G E N C O N 1976 charterparty)
“ The O w ners to have a lien upon a ll cargoes a n d sub-freights belonging to the
Tim e-Charterers a n d any B ill o f L adin g fre ig h t f o r a ll claim s under this
Charter, a n d the C harterers to have a lien on the Vessel f o r a ll m oneys p a id in
advance a n d not earned.” (BALTIME 1939 charterparty)
“The C arrier sh all have a lien on the G oods a n d any docum ents relating
thereto f o r a ll sum s p a y a b le by the M erchant to the C arrier under this o r any
other con tract a n d fo r G eneral A verage contributions, to w hom soever due. ”
The sh ip’s agent ( if instructed by the owners) can retain constructive
possession o f the coal on ow ners’ behalf at a hired storage facility until the
freight is paid, the costs being for the consignee’s account.
To decide matters in dispute between two parties to a shipping-related contract
(e.g. a charter party), as an alternative to litigation.
(1) Greater convenience (than in court action); (2) faster settlement; (3 ) less
formality than in court; (4) expert knowledge o f arbitrators; (5) lower costs; (6) 1
less publicity (in London arbitrations).
In the Arbitration Clause in the charter party. This may define where the
arbitration is to be held, how many arbitrators there must be, what type o f
persons they are to be, and whether an umpire has to be appointed in the event !
that they cannot agree, etc.
London and N ew York. London is more popular with parties who do not want
their identities revealed.
U S arbitrations are in public and m ay be published with the names o f the
parties, their lawyers and the arbitrators, which might deter som e shipping
parties. London arbitrations, on the other hand, are in private and i f published
at all (by agreement o f parties), do not usually mention names. W hile Fairplay. j
BIM CO Bulletin and other shipping journals carry reports o f arbitrations,
shipping industry organisations don’t usually want their disputes made public, j
—1
1*.
o
o
'
>
Any contract o f carriage by sea, e.g. a contract evidenced by a bill o f lading or 1
a chartering agreement. M ost m odem shipping practitioners avoid using this
term, howev er, because o f the confusion that can arise. (See next question.)
An agreement between charterers on the one hand and owners, disponent
owners or a carrier on the other hand, for the carriage o f an agreed (and often
large) quantity o f named goods (usually in bulk) between named places, over
an agreed tim e period (often o f many months), by vessels o f a type and size
specified by charterers, but which are nominated by owners. It is basically a
long-term haulage contract. The term is often abbreviated to “C OA”
Where, for exam ple, charterers contract with shipowners for the carriage o f
900,000 tonnes o f iron ore from named ports in Brazil to named ports in
Europe, with shipments o f 120,000 tonnes (+/- 10% at ow ners’ option) at
intervals o f approximately one month. The COA may be based on a standard
charter party (e.g. O REVO Y) as the main COA document, with a number o f
THE SHIPMASTER’S BUSINESS SELF-EXAM Ik-

VOYAGE CHARTER
Definition o f voyage charter
F95. What is a voyage charter?
F96. What are ow ners ’ usual basic
obligations under a voyage charter p a rty?
F97. What are charterers ’ usual basic
obligations under a voyage charter p a rty?
F98. Under a voyage charter, which p a rty is
responsible f o r the sh ip's running costs (or
vessel o peratin g expenses) and voyage costs?
F99. What costs are included in “running
costs " o r “vessel operating expenses ’’?
F I 00. What costs are included in “voyage
costs ”?
F I 01. A m aster has ju s t jo in e d a ship and
learns that she is on a voyage charter. What
information in the charier p a rty w ould he
p ro b a b ly want to read?
F I 02. D oes a voyage charter com m ence on
the d a y the agreem ent (i.e. fixture) w as m ade?
FI 03. In voyage chartering, what is the
prelim inary voyage?
FI 04. What are the usual agency
arrangem ents under voyage charters?
FI 05. Why m ight voyage charterers w ant to
nom inate a p o rt agent?
F I 06. What problem m ight arise where
voyage charterers have nom inated a p o rt
agent, and what can be done to rem edy it?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
167
rider clauses added, or on a main COA document supplemented by separate
voyage charter parties relating to the voyages made by vessels nominated
under the COA.
A contractual agreement between owners and charterers for the carriage by a
named vessel o f a specified quantity o f a specified com m odity from one named
place or places to another named place or places, in return for an agreed sum o f
freight._____________________________________________________________________
(1) To provide a seaworthy ship suitable for carrying the intended cargo; (2) to
bring the ship to the agreed loading port by the agreed date; (3) to load the
agreed cargo; (4) to carry the cargo to the agreed discharge port(s); (5 ) to
discharge and deliver the cargo. Owners must pay both the ship’s running costs
(vessel operating expenses) and voyage costs, with the exception, where “free
in and out” (FIO) terms are agreed, o f cargo-handling costs at both ends.
(1) To provide the agreed cargo at the agreed loading port; (2) to load the cargo
within the agreed period o f laytime; (3) to pay owners the agreed rate o f freight
at the agreed time. Where “free in and out” (FIO) terms are agreed they must
pay cargo-handling costs at both ends.___________________________________
Owners are generally responsible for both running costs (or vessel operating
expenses) and voyage costs, except where “free in and out” (FIO) terms are
agreed, in which case the charterer pays all cargo-handling costs at both ends.
(In som e cases the arrangement is “free in/liner out” or FILO, or liner in/free
out” or L1FO, relieving owners o f cargo-handling costs only at one end.)
Costs of: (1) crew wages and travel; (2) management fees; (3 ) hull and
machinery and P&I insurance premiums; (4) stores; (5) lubricants; (6) spare
parts; (7) maintenance and repairs; (8) survey and certification; and (9)
drydocking. Running costs are calculated as a fixed daily cost.
Costs of: (1) bunker fuel; (2 ) cargo-handling; (3) hold- or tank-cleaning; (4)
passenger-handling; (5) berth dues; (6) canal dues; (7) light dues; 8) agency;
(9) pilotage; (10) harbour towage; and (11) line-handling. Voyage expenses
vary with the length o f the voyage and the number o f port calls.
(1) The loading port or ports; (2) the taycan period; (3 ) the cancelling date; (4)
requirements for tendering notice o f readiness on arrival, including whether
notice o f readiness can be tendered when not in berth or in port, etc.; (5) the
“turn time” or “notice time” allow ed to charterers before laytime commences;
(6) the period o f laytime agreed, or if no definite period is stated, how laytime
is to be determined; (7) the period allow ed on demurrage; (8) the cargo to be
loaded, including any margin allow ed and in w hose option (charterers’ or
ow ners’?); (8 ) any special instructions o f owners or charterers (e.g.
requirements re- cargo temperature, sending m essages, etc.); (9) the discharge
port or ports; and. (10) whether he is required to issue bills o f lading.
N ot usually. The fixture w ill probably have been made and the charter party
drawn up som e weeks or days before the ship must load the cargo. The date o f
the fixture is normally at the top o f the first page o f the charter party.
The voyage to the loading port. When the vessel is fixed, perhaps som e w eeks
earlier, the ship is usually som ewhere other than the loading port, employed on
another contract (“now trading”). The first contractual obligation o f the owners
is to bring the ship to the agreed loading port not later than the cancelling date.
Unless otherwise agreed, shipowners must provide and pay for agents at
loading and discharge ports; this is printed in the standard terms o f charter
parties such as GENCON. This clause is often deleted, however, and replaced
with an agreement that the vessel w ill be “consigned” or “addressed” to agents
nominated by charterers, or in som e cases the consignee. In such cases the
shipowners still appoint and pay for these agents.
To ensure that the agent em ployed w ill suit the charterers’ particular interests.
An agent nominated by charterers w ill usually have a w ell-established business
relationship with the charterers and w ill be familiar with their cargo-related
requirements.
The agent, having a close relationship with charterers, might fail to give all due
attention to the ship’s business, such as crew matters, stores, repairs, etc. In
such a case the master should: (1) remind the agents o f their primary
responsibility to the shipowners (as principal); and/or (2) advise owners or
m anagers to appoin t a protectin g agen t o r husbandry agent (i.e. an agent w hose
duties would be solely to look after the ship’s business and not the cargo
168
I operations).
Clause Paramount
F l 07. What is the p rin c ip a l pu rpose o f a To incorporate into the terms o f any bill o f lading issued under the charter
C lause Param ount in a voyage charter party? party the provisions o f a specified liability convention governing bills o f
lading, e.g. the H ague-Visby Rules, or specified national legislation, e.g. the
U S C arriage o f G oods by Sea Act, 1936. The Rules as drafted do not apply to
charter parties, but are given contractual force by the Clause Paramount.
Deviation Clause
F l 08. What is a D eviation Clause? A clause in a voyage charter party giving the ship the liberty to call at ports in
any order, to sail without pilots, to tow or be towed, and to assist other vessels
or persons. In som e charter parties it is called the Liberty Clause.
P&l Bunker Deviation Clause
F109. What is a P & l Bunker D eviation A standard protecting clause, recommended by P&I clubs, which allow s the
C lause? vessel to deviate o ff her contract route to take advantage o f cheap bunker
prices obtainable at ports near oil producing centres, allow ing the vessel to take
full roundtrip bunkers.
Freight
F110. What is freigh t? The agreed irate for carrying the cargo, payable by charterers to owners in
accordance with the charter party. In deep-sea trades it is usually in U S dollars.
In short-sea trades it may be in a local currency.
F ill. When is fre ig h t p a id ? Either before delivery o f the cargo is made at the destination, or partially or
w h olly in advance o f carriage, or on signing bills o f lading, depending on what
has been agreed in the charter party. In the liner trades it is normally pre-paid
by the shipper and the bill o f lading is marked accordingly.
F l 12. Where the a g re e d rate o f freig h t The agreed freight rate is U S D 28.50 per ton (metric, long, short or other, as
appears on a voyage ch arter p a rty form , what stated) o f cargo loaded, on a “free in and out” (FIO) basis.
w ou ld “U S$28.50 fio" mean?
F l 13. What does “fr e e in a n d out ” (fio o r The costs o f loading (“in”) and discharging (“out”) are free to the shipowners
FIO) mean? i.e. the charterers w ill pay the loading costs and the consignees (or charterers)
w ill pay the discharge costs. In return, charterers are usually entitled to a
reduced freight rate. “Free in and out” is the usual agreement in bulk shipping
charter parties, since bulk charterers are generally in the best position to control
loading and discharge costs, especially where also operate the bulk terminals.
F114. What variations o f “f r e e in a n d out" “Free In and Out and Stow ed” (FIOS); “Free In and Out, Stow ed and
(FIO) are com m on in the bulk trades? Trimmed” (FIOST); “Free In and Out and Spout-Trimmed (FIOSpT).
F l 15. What is deadfreight? A sum o f liquidated damages charged by owners to charterers for cargo that
w as agreed for loading but not actually loaded. If the charter party specifies
“60,000m t”, but only 50,000 tonnes is loaded, deadfreight is due on 10,000
tonnes, at the same rate as the freight. Any margin allow ed to charterers, e.g.
“ 10% more or less in charterers’ option” should, however, be allowed for, so
that in the above exam ple charterers can legally load as little as 54,000 tonnes.
The master should make out a Deadfreight Claim form.
Safe ports and berths
F l 16. What is a safe p o rt? A port w hich the ship can safely reach, enter, stay at and leave without any
requirement other than good navigation and seamanship. There must be safe
access and the port must be free from permanent obstruction. The ship must be
able to lie safely afloat at all states o f the tide, unless it is customary and safe to
load and/or discharge aground or there is specific agreement that she w ill do
so. There must be adequate facilities for trade, including a safe shore landing o f
goods, proper wharves, warehouses and other establishm ents for dealing with
the kind o f cargo contemplated. It must be a politically safe port, free from any
state o f war or embargo. The ship, having reached the port (and discharged her
cargo), must also be able to leave without lowering or cutting her masts.
F l 17. What is the leg a l test f o r a safe port, i.e. The test in the Eastern C ity judgment, which was as follow s: “A p o r t w ill not
the test a p p lie d b y law yers an d ju d g e s? be safe unless, in the relevant p e r io d o f time, the p a rticu la r ship can reach it,
use it a n d return fro m it without, in the absence o f som e abnorm al occurrence,
bein g ex p o sed to dan ger which cannot be a vo id e d b y g o o d navigation a n d
seam anship
F l 18. What conditions m ight m ake a p o rt Inability o f the ship to reach, stay at or leave a loading berth safely for som e
unsafe within the m eaning o f a charter party? reason, e.g. insufficient depth o f water, berth obstructions, ice, war, general
strike, civil insurrection, quarantine restrictions.
F l 19. What is a m aster en titled to do i f he He can refuse to enter. U nless there is specific agreement to the contrary, the
fin d s a p o r t is unsafe, f o r exam ple d u e to a master is always entitled to refuse to enter a port which his vessel cannot safely
g re a tly insufficient depth o f w ater? reach without first lightening in a roadstead or other port, even if it is a
customary method o f discharge at the port. He should contact his owners and
note protest at the first opportunity. (Neap tides will not make a port unsafe.)
F120. What is a safe berth? A berth which is safe in the same respects as a safe port. I f the ship cannot lie
at the berth in safety, it is not a safe berth. The master is entitled to refuse to

THE SHIPMASTER’S BUSINESS SELF-EXAMINER


F I 21. I f a ch a rtered sh ip g o e s alongside a
berth a t which the sh ip g e ts dam aged, whose
liability is it - ow ners ’ o r charterers ’?
F I 22. What is a NAABSA berth o r NAABSA
p o rt?
F I 23. What does NAABSA sta n d fo r?
Laydays, laytim e and notice o f readiness
F I 24. What are laydays?
F I25. A re charterers o b lig e d to a ccep t the
sh ip i f she arrives before the first layday?
F I 26. What is the cancellin g date?
F I 2 7. C harter p a rty m essages a n d m arket
reports som etim es refer to a “lay/can " o r
“laycan" period. What is this?
F I28. What provision s does a Cancelling
C lause in a voyage charter p a rty usually
contain?
F I29. What is laytim e?
FI 30. What three conditions must norm ally be
m et before laytim e can comm ence?
F I 31. What is an “a rriv e d sh ip ” (the fir s t
p rerequ isite f o r laytim e to com m ence)?
F I32. H ow can a m aster determ ine whether
his ship is an “a rr iv e d ship ”?
F I33. What does “rea d y to load" mean (the
secon d prerequ isite f o r laytim e to com m ence)?
i F I34. H ow can ow ners ensure that charterers
I w ill not obstru ct the com m encem ent o f laytim e
1 by preven ting a vessel fro m reaching the
loading berth?
I FI 35. What is a notice o f readiness (the th ird
prerequ isite f o r laytim e to com m ence)?
'rHE SHIPMASTER’S BUSINESS SELF-EXAMINER
169
proceed to an unsafe berth, and to leave a berth which becom cs unsafe.
Dam age done to either ship or quay at an unsafe berth is usually ow ners’
liability, not charterers’ (although som e courts have held the reverse to be the
case). It is always best to assume that the shipowners w ill be liable.
A N A A B S A berth is a berth at which a ship may ground in safety at low water.
The bottom at such berths is usually soft mud. The berth operator should have
a system for ensuring that vessels using the berth can do so without suffering
damage. A N A A B SA port is a port in which ships at all berths may lie aground
in safety at low water. An exam ple is Buenaventura, Colom bia. The shipmaster
should check with the port agent regarding the maximum draught permitted.
N ot A lw ays Afloat But Safe Aground.
An agreed period o f specified days (e.g. “Jan 8/15”) during which the
shipowners must present the vessel to charterers at the agreed place for
loading. Failure to tender notice o f readiness within the laycan period w ill give
charterers the option to cancel the charter and sue the owners for damages.
Laydays should not be confused with laytim e (see below ) although lawyers and
law text books often use the name laydays for both purposes.)
N o, but a charter party provision m ay give them an option to do so.
The final day o f laydays. Arrival after the cancelling date w ill give charterers
the option o f cancelling the charter and suing for damages. Charterers might,
however, accept the ship for loading even i f she is late.
Lay/can is a contraction o f “laydays and cancelling date”. For exam ple, a
lay/can o f “ 18/22 Jan” would mean that the first layday is 18 January, and the
final layday, or cancelling date, is 22 January.
(1) Charterers’ option to cancel, i f the vessel is not ready to load (or in som e
forms, to tender N O R ) on the agreed cancelling date; (2) ow ners’ obligation to
notify charterers i f it is anticipated that the ship w ill not be ready to load or
tender by the cancelling date; and (3) charterers’ obligation to declare, on
receipt o f ow ners’ notification, whether they intend to cancel.
Laytime is defined by shipbrokers as the period o f time agreed between the
shipowners and charterers during which the owners must make and keep the
ship available for loading and/or discharging without pavment additional to the
freight. Lavtime is measured in davs. hours and minutes, and mav be
considered as a reservoir o f time that is gradually used up by the charterers.
(1) The vessel must be an “arrived ship”; (2) she must be fully ready to load or
discharge (as the case may be); and (3) notice o f readiness must have been
tendered exactly in accordance with the charter party.
A ship which has reached the required place (i.e. port or berth) under the terms
o f the charter paity, and is fully at charterers’ disposal. (The charter party may
allow her to becom e an arrived ship even though she is not in the port, in the
berth, in free pratique, or custom s-cleared.)
B y checking the wording o f the charter party to establish whether it is a port
charter party or a berth charter party, and checking the ship’s position. I f a port
is defined as the place for loading without specifying a particular loading berth,
the charter partv is a port charter party and it is unnecessary to be on a berth to
be an arrived ship; as lone as the shin is within port limits, is at the usual placc
where ships wait for a berth, and is at the immediate and effective disposition
o f the charterers, all delavs in berthing will be for charterers’ account. I f a
particular berth is defined as the loading place, the charter partv is a berth
charter partv and the vessel becom es an arrived ship onlv when she has reached
the specified berth. Owners prefer port charter parties.
Ready both physically and legally, i.e. with hatches prepared for receiving the
cargo, the vessel cleared custom s and other formalities, any required survey
carried out and passed.
Owners can insert a W aiting for Berth Clause in the charter party, or the words
“w hether in berth o r not”, “w hether in p o r t o r not” or another protecting
phrase in the Laytime Clause to make it clear that tim e can count as laytime
once the vessel is at the customary waiting place. The follow ing abbreviations
are often used for these protecting phrases: w.i.p.o.n. (“w hether in p o rt o r
not"); w.i.b.o.n. (“w hether in berth o r n o f ') \ w .c.c.o.n. (“w hether custom s
c le a re d o r not”): w .i.f.p.o.n. (“w hether in f r e e p ratiqu e o r not”).
N otice given to the charterers, shipper, receiver or other person as required by
the charter party that the vessel has arrived at the port or berth and is ready to
load or discharge, as the case may be. Laytime usually com m ences on the
expiry o f som e specified number o f hours, variously called notice time or turn
time, during w hich the charterers, etc. can make preparations for the sh ip’s
cargo operations.
170
F 136. When sh ou ld notice o f readiness be
tendered?
F137. H ow can notice o f readiness be
tendered?
F138. Who sh ould notice o f readiness be
a d d ressed to?
F ! 39. What sh ou ld a m aster do i f charterers
refuse to acknow ledge receipt o f his notice o f
readiness?
F l 40. Assum ing that n otice o f readiness is
acknow ledged by charterers o r their agent,
when w ill laytim e com m ence?
F l 41. Why is it often im portant to tender
notice a s soon as p o ssib le a t w eekends?
F 142. What happens i f notice o f readiness is
ten dered w hilst a t anchor, before a requ ired
h o ld su rvey is m ade, a n d the ship then fa ils the
survey?
F143. Are there any circum stances in which a
m aster c o u ld ten der an in valid notice o f
readiness, but laytim e c o u ld still com m ence?
Laytime exceptions and interruptions
F l 44. What a re "laytime exceptions ” or
“exceptions to la y tim e ”?
F145. What are “laytim e interruptions" o r
"interruptions to laytim e ”?
Demurrage, damages for detention an
F146. What is dem urrage?
A s soon as possible, on a day within the laycan period (i.e. the laydays), in
accordance with the procedure stated in the N otice Clause or Laytime Clause
in the charter party. This may require that notice be tendered only during office
hours, and particular care must be taken by the master only to tender in strict
accordance with the clause.
B y delivery o f a printed form or letter, or by telex, fax or cable, unless the
charter part)' provides otherwise. Charterers’ or ow ners’ notice o f readiness
forms are often pre-printed for masters to use, but i f necessary the master
should write and send his own notice in duplicate, with a request that the
second copy, with the time and date o f receipt com pleted, be returned for the
ship’s retention.
To charterers or their agent, not to the shipowners’ port agent, although it may
be sent via the ow ners’ agent.
(1) Make daily attempts to have the notice accepted; (2) send a letter o f protest
to charterers or their agent; (3 ) consult ow ners’ P& l club correspondent; (4)
note protest as soon as possible.
The charter party will normally state that laytime w ill com m ence a specified
number o f hours after notice o f readiness is given or accepted, but i f it is not
stated, laytime w ill com m ence as soon as notice o f readiness is given.
Som e charter parties state that i f notice is not given before Saturday noon or
1pm, it may not be tendered again until the start o f office hours on the next
office working day, which w ill usually be M onday. It may also be stated that
laytime w ill com m ence on the morning after notice o f readiness is given,
which w ould mean Tuesday. Even so, charterers may start cargo operations
during the weekend, i.e. before laytim e starts. Thus, a few minutes delay in
tendering on a Saturday morning could mean that charterers get the benefit o f
three days’ free tim e at ow ners’ expense.
The notice o f readiness given w ill be invalid, and a new notice o f readiness
w ill have to be tendered once the holds have been further prepared and pass
another survey.
Y es. The Court o f Appeal held in 2002 that under a voyage charter party which
requires a notice o f readiness to be served, laytime can com m ence even when
no valid notice has been served, where the follow ing all apply: (1) a NOR in
the required form is served on charterers or receivers prior to the v e ssel’s
arrival; (2) the vessel subsequently arrives and is, or is expected to be, ready to
discharge, to the know ledge o f the charterers; and (3) discharge com m ences to
the order o f the charterers or receivers without either having given any
indication o f rejection or reservation about the NO R already served, or any
indication that a further NO R is required before laytime com m ences. In these
circumstances, charterers can be deem ed to have waived their riaht to relv on
the invalidity o f the original NOR as from the time o f com m encem ent o f
discharge, and lavtime w ill com m ence in accordance with the charter partv as
if a valid N O R had been served at that moment.
Periods as agreed in the charter partv’s Lavtime Clause which are not to count
as lavtime. even if loading or discharging is carried out during them. Thev are
within the definition o f laytime in the Laytime Clause but are nevertheless
excluded by an exceptions clause. Exam ples often include: weather that
prevents cargo operations ( if lavtime is expressed as “Weather Working D avs”
or “W eather Permitting”); Sundays and holidays (where lavtime is expressed to
be “SH EX”); Fridays and holidavs (where lavtime is expressed to be “FHEX”Y
Laytime exceptions should not be confused with laytime interruptions.
Periods during which the running o f laytime is suspended because they are
outside the definition oflaytim e. (To be within the definition o f laytime the
ship must be a vailable for loading or discharging.) Examples are: breakdowns
o f sh ip’s equipment that prevent loading or discharging; adverse weather
during Weather Working D ays ( if these are agreed in the Laytime Clause).
Laytime interruptions should be recorded in the deck log book and on the
Statement o f Facts (see below ).
A sum o f liquidated damages which becom es payable by charterers to owners
for each day, or part thereof i f stipulated, that the ship is detained beyond the
time o f expiry o f laytime. A Demurrage Clause may state the number o f days
and the rate payable, usually in U S dollars per day. Demurrage is normally
paid per running day, i.e. without exclusion o f any Sundays, holidays, or bad
weather, strikes, etc., occurring during the detention period - hence the w ell-
known expression “once on demurrage, always on demurrage”. However,
running o f demurrage can be interrupted in the event that there is fault on the
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

F I 47. What provision s are con tain ed in the
D em urrage C lause o f a voyage charter p a rty?
F I 48. What are dam ages f o r detention?
F I 49. What is despatch o r despatch m oney?
F I 50. Is despatch alw ays payable?
F I 51. What is a Statem ent o f Facts?
F I52. What is a Laytim e Statem ent?
Delivery o f cargo
F I 53. Who m ust the cargo be d e liv ere d to?
F I 54. H as the cargo been d e liv ere d once it
has been discharged?
FI 55. H ow can the shipow ners ensure (on
p a p e r at least) that they a re p a id fre ig h t before
deliverin g the cargo a t the /discharge p o rt?
F I 56. A sh ip is discharging a cargo o f coal
when the m aster learns fro m the agen t that
there is a problem w ith collection o f the
freight. I f the sh ip has to sail, how can ow ners ’
lien f o r fre ig h t b e exercised?
F I 57. What happens if, after a reason able
am ount o f tim e has p assed, fre ig h t is still not
p a id at the discharge port?
F I 58. H ow can ow ners ensure that they a re
p a id any deadfreight a n d dem urrage o w e d to
them before deliverin g the cargo?
FI 59. What are a C esser C lause a n d a C esser
a n d Lien C lause?
■
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
171
part o f owners or their servants or agents, and also i f the charter party so
provides.
(1) Charterers’ obligation to pay demurrage; (2) the demurrage rate; (3) the
payment method; (4) the place o f payment; and (5) the beneficiaries o f the
demurrage.
A sum o f damages awarded to owners w ho successfully sue charterers for
unreasonably detaining their ship beyond a reasonable demurrage period.
There may be a maximum number o f days allow ed on demurrage, which if
exceeded allow s owners to claim their actual losses caused by the delay, i.e.
damages for detention, which w ill normally be more punitive than demurrage.
Owners w ould have a claim for damages for detention, for example, where an
extended delay on one charter prevented them from taking up a second charter
on which their ship had been fixed on the assumption that she would be
available by then.
A monetary reward payable by owners to charterers for com pletion o f cargo
operations within the agreed laytime period. Early com pletion may give
owners an opportunity to com plete the voyage early and fix the vessel on
another charter, and is obviously also to charterers’ benefit. The rate for
despatch is stated in the Demurrage and Despatch Clause and is usually half
the demurrage rate “for all time saved”, which means that the laytime
exclusions (for weather, etc.) are not taken into account after the com pletion o f
cargo. If for working tim e saved, lavtim e exclusions must be taken into
account.
N o. A charter party may stipulate “free despatch”, m eaning that the owners are
free o f any obligation to pay despatch i f time is saved by charterers.
An extract from the port operations log kept b y the port agent and signed by all
parties involved (master, stevedore, agent, etc.). It contains times o f all main
events surrounding the v e ssel’s cargo operations in port, such as arrival,
tendering notice o f readiness, com m encem ent o f laytime, weather stoppages,
etc. From these facts the Laytime Statement is com piled.
A document on which the agent has m ade a calculation o f the amount o f
demurrage (ow ed to owners) or despatch (ow ed to charterers), as the case may
be, based on the facts in the Statement o f Facts. The Laytime Statement
(som etim es confusingly headed Laydays Statement) is submitted to both
owners and charterers. Several layouts are in use including a BIM CO-
recommended format and various charterers’ house styles, each slightly
different but containing the sam e essentials, these being colum ns for: Day;
Date; Tim e or Hours worked; Remarks; Laytime used; Tim e saved or time on
demurrage. Space is left at the foot for despatch or demurrage calculations.
r
fe
Hi
-r •
The consignee (o f each consignm ent) or his receiver.
N ot necessarily. The cargo may lie in a terminal, e.g. a stockyard, tank farm,
car parking lot, container compound, etc. and still be in the carrier’s
constructive possession. G oods are not legally delivered until they are handed
over to the consignee or his receiver.
In English com m on law the shipowners may exercise a possessory lien on any
part o f the cargo in respect o f which freight is ow ed at the destination or on
w hich m oney has been spent in protecting the cargo. A Lien Clause is usually
inserted in the charter party.
The agent ( i f he is the ow ners’ agent), can be instructed to exercise the lien on
behalf o f owners. To preserve their lien, owners need only retain constructive
possession o f the goods on which freight is due, and this can be done by
keeping the cargo under the agent’s legal control (in a stockyard). The agent
should be given instructions by the shipowners to deliver the cargo only after
surrender o f an original bill o f lading and payment o f freight. The P&I club
correspondent should be notified as soon as this problem arises.
Local law may allow the cargo to be sold to pay freight, storage charges,
custom s duty, etc. The agent and the P&I club correspondent would advise on
this.
They can extend their common law lien for freight by adding a contractual lien
for deadfreight and demurrage, e.g. “O w ners sh all have a lien on the cargo f o r
freight, deadfeight a n d dem u rrage".
A Cesser Clause is a voyage charter party clause stating that “charterers’
liability w ill cease on shipment o f cargo and payment o f freight, deadfreight
and demurrage”, i.e. sums incurred at the loading port. It is used where
charterers are m erely agents or brokers for the loading o f a shipper’s cargo and
are not them selves the shippers. Charterers would be anxious in that case to
ensure that their liability for the cargo ceased once it w as loaded, but the
shipowners, not wanting to find them selves without legal remedy for any
172
TIME CHARTER
Definition o f time charter
F I 60. What is a tim e charter?
F I 61. In ro a d transport terms, w hat is a tim e
ch arter sim ilar to?
F I 62. What are com m on exam ples o f time
chartering situations?
Basic obligations o f shipowners and time charterers
F I 63. U nder a tim e ch arter party, what are
ow ners usually responsible fo r?
F I 64. “D ispon en t o w ners ’’ are som etim es
m entioned in tim e charters. Who are they?
F I 65. U nder a tim e ch a rter party, what are
the charterers usually respon sible fo r?
F I 66. U nder a tim e charter, who w ou ld p a y
the crew 's overtim e when work h a d to be done
prep a rin g the ship f o r a particu lar cargo, e.g.
w ashing down holds?
F I 67. What charterers 'paperw ork w ill
p ro b a b ly b e on b o a rd w hite on tim e charter?
F I 68. H ow long m ay the hire p e rio d be under
a tim e charter?
F I 69. I f tim e charterers hire a vessel f o r one
voyage, why d o n ’t they use a voyage charter?
FI 70. Can tim e charterers direct the route
that a ship takes, e.g. across the P acific Ocean?
breach o f contract or damage done to the ship after this, want recourse against
some other party (normally the receiver). Therefore, where a Cesser Clause is
used, a Lien Clause w ill usually also be included, giving owners the right to
retain possession o f the goods at the discharge port until outstanding debts are
paid. The two clauses are som etim es combined in a Cesser and Lien Clause.
(The relief given to charterers from their obligations only operates to the extent
that outstanding sums can be recovered at the discharge port. The owners must
proceed against receivers first, but charterers w ill still be liable for sums which
cannot be recovered from receivers.)_________________________________________
A contract for the hire o f a specified vessel, and its crew, for an agreed period.
The charterers basically agree to hire from the shipowners a named vessel, o f
specified technical characteristics, with its crew, for a specified period o f time,
for agreed purposes, subject to agreed restrictions as to use o f the vessel.
A hire agreement for a chauffeur-driven car. The chauffeur/ship’s crew, drive
the vehicle/ship to the hirer’s/charterers’ instructions.
Major liner carriers (Maersk, CM A-CGM , M SC, Hanjin, etc.) time-charter
numerous container ships to supplement their owned fleet. M ost ships working
in the offshore oil and gas sector are em ployed under time charters. Oil
com panies and oil traders tim e charter tankers. Tim e charters are also
com m only used in the dry bulk shipping markets, and in any sector where ship
operators have a short- or long-term requirement for additional tonnage.
For all running costs, i.e. costs o f crewing, repairs and maintenance (including
statutory and class survey and certification costs), stores, hull and machinery
insurance, etc. Owners operate the vessel technically, but not commercially.
Owners bear no cargo-handling expenses and do not appoint stevedores.
Where a charter party contains a Subletting Clause allow ing the first charterers
to sub-let the vessel to other charterers, the first charterers, or “head
charterers”, becom es the disponent owners, meaning they take the place o f the
real owners in that relationship.
For the commercial em ploym ent o f the vessel. Charterers pay for bunker fuel,
canal dues, port charges (including light dues i f any, pilotage, towage,
linesmen, agency, etc.) and all loading, stowing, trimming and discharging
costs. They normally nominate port agents and hire stevedores. Since time
charterers are the beneficiaries o f the freight, they pay the costs o f earning it.
There may be an agreement in the charter party for an extra payment to be
made by charterers to owners each time the crew sw eep and/or wash down the
holds. The same would probably apply for lashing a ro-ro or container cargo,
etc. If charterers require sh ip’s crew to do extra work for their purposes, they
probably pay.
Charterers’ logs, cargo records and other stationery may be provided so that
charterers can monitor the v e ssel’s efficiency. Stevedoring damage notification
forms and log extracts w ill be required to be sent to charterers. In some tanker
and dry bulk trades, charterers’ bill o f lading forms may be provided for the
master to issue. (In the liner trades this w ill usually be done ashore by
charterers’ agents.)
For a single round vovaae (called a trip time charter) or a period o f days,
months or a few or many years fa period time charter).
Because a time charter party’s terms give the charterers control o f the vessel’s
commercial operations (i.e. her em ploym ent), whereas a voyage charter party’s
terms do not. M any charterers, e.g. oilfield operators or drilling contractors
hiring offshore support vessels, require this higher degree o f control o f the
vessel. A bulk carrier loading coal for several discharge ports might be time-
chartered so that the charterers can direct the ship’s scheduling, routeing, etc.
as they require.
The general rule in time chartering is that matters o f navigation are for the
shipowners to control, w hile matters o f em ploym ent are for charterers to
control. The H ill H arm ony ruling in the H ouse o f Lords in 2000 made it clear
that ocean routeing o f a tim e chartered ship is an emnlovm ent matter, since it
affects the amount o f fuel and m oney that the charterer saves. When, however,
the master o f a ship follow ing time charterers’ route as directed actually
encounters a hazard (e.g. ice or heavy seas) on that route, the matter becom es a 1
navigational one and the master may leave the route and find a safer one. The
master may not refuse to follow the time charterers’ voyage instructions only
on the basis that he anticipates adverse conditions on the route. If hazards are
actually encountered w hilst on that route, the master may, however, always
THE SHIPMASTER’S BUSINESS SELF-EXAMINED

Agents under time charters
F 171. What are the usual agency
arrangem ents under tim e charters?
Hire : ' ' ■ -• ^ : v
F l 72. What is hire o r charterhire?
F l 73. U nder w hat circum stances m ay hire
paym ents be su spen ded b y tim e charterers?
Time-chartered vessel
F l 74. Why w ou ld tim e charterers b e m ore
p articu lar than voyage charterers about the
h ired v e s s e l’s technical details?
F l 75. What d etails a bou t the vessel w ill tim e
charterers n orm ally w ant to se e in the charter
party?
F l 76. What sh ip 's p lan s w ou ld tim e
charterers p ro b a b ly w ant to inspect?
F l 77. Why d o tim e charterers p la c e so much
im portance on voyage perform ance records?
F l 78. What a spects o f the v e s se l’s capacity
w ill tim e charterers usually be in terested in?
F l 79. What undertakings do ow ners usually
g ive tim e charterers about th eir v e s se l’s
seaw orthiness?
F180. What p ro visio n s c o u ld be e xpected to
b e inclu ded in a tim e charter p a rty concerning
m aintenance o f the vessel?
F 181. U n der a long tim e charter, h ow can
ow ners ensure that they w ill not be p e n a lise d
f o r d tydockin g the ship durin g the hire p eriod?
F 182. Can tim e charterers have the ship
repain ted in their ow n colours, a n d fly their
ow n house flag, etc. ?
Trading restrictions unoer time cnarr<fl
F183. What restrictions are usually p la c e d on
tim e charterers a s to where they can se n d the
sh ip o r what they can carry?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
173
take navigational avoiding action.
.......
•
M ost time charter parties provide that charterers w ill provide and pay for all
agents. Where time charterers’ agents fail to properly look after the ship’s
business (such as crew changes, repairs, stores, etc.), the owners or managers
should appoint their own protecting or husbandry agent to look after their
interests. (In som e charter parties an agreement is made that owners w ill do
this in any case.)
■- '.\ v - ■ "'7 '' • " -.f.
O wners’ remuneration, payable by charterers in U S$ every 15 days (sem i­
monthly) or 30 days (m onthly) in advance. It may be calculated as a certain
sum (e.g. $10,000) per day or as a sum per Summer deadweight tonne (e.g.
$7.50 per sdwt) per calendar month and is usually paid after deduction o f
brokerage and com m ission, and for extra payments where holds have to be
sw ept and/or washed down by crew, etc. Claim s for under-performance, etc.
must usually be negotiated with owners and deducted from the follow ing
m onth’s hire.
Tim e charter parties usually provide that after the vessel has been unavailable
to charterers for a specified period o f time because o f machinery breakdown,
winch breakdowns, crew strikes, hull damage, drydocking or other reasons not
beyond ow ners’ control, payments o f hire w ill cease until the vessel is
available to charterers again. During this tim e the vessel is said to be off-hire.
. , ■!
For the same reasons as a person hiring a motor vehicle would stipulate what
type, size, power, etc. o f vehicle he wanted for the hire period. Tim e charterers
require a hired vessel for a specific purpose, and it must generally closely
match their technical requirements.
A Statement o f General Particulars including classification, dim ensions,
tonnages (GT, N T, dwt), constant w eight, draughts, grain/bale cubic capacity
o f holds/tanks, dim ensions, speeds (laden/in ballast), consum ptions o f fiiel oil
and diesel oil (laden/in ballast/in port working/idle), type o f engines, fuel used,
call sign, etc. For special ship types other specialist information w ill be
required, e.g. lane and ramp details o f a ro/ro ship.
Genera) arrangement (G A) and capacity plans. In tanker time charter parties,
drawings o f the cargo manifold, pumping arrangement and ventilation system,
pump characteristic curves, etc.
Speed and fuel consumption are vitally important for determining whether the
vessel is performing the contract efficiently and whether charterers are entitled
to claim for alleged under-performance. (This is a frequent subject o f dispute,
as m odem bunker prices fluctuate greatly.)
It depends on the type o f ship. For a bulker, for exam ple, her deadweight
carrying capacity (DW CC) and deadw eight all told (D W A T). For a ro-ro ship,
her lane-metres. For a containership, the number o f slots (TEUs) and reefer slot
numbers. They are also interested in the declared constant weight (a fixed
tonnage allow ed for water, stores, provisions, spares, etc.).
At com m on law, the vessel provided must be seaworthy for the purposes o f the
contract (when this is agreed). Thereafter, owners usually agree only to
exercise due diligence to make the vessel seaworthy for each voyage during the
charter period.
An undertaking by the owners to maintain the vessel in good condition
throughout the charter period. Owners may be required to keep the vessel in
the condition she w as stated to be in when the contract was made, e.g. to “LR
class 100A1 o r equivalent”. Som e time charter parties require owners to
“ exercise due diligence to m ake the vessel tight, staunch, strong, in g o o d order
a n d condition, a n d in every w ay f i t fo r the service, both before, a t a n d
throughout the tim e charter period, taking w hatever ste p s are n ecessary to so
m aintain the vessel, even i f the cause o f repairs an d/or a ddition al m aintenance
result fro m a cau se f o r which ow ners are not directly respon sible”. “Tight,
staunch and strong” etc. basically means “seaworthy”.
There w ill usually be a Drydocking Clause and a Maintenance Clause allow ing
the vessel limited periods off-hire for essential maintenance and surveys.
It depends on the agreement in the charter party. Period charterers will
probably be allow ed to fly their own house flag or even paint their own colours
on the funnel and/or sides, but this m ay not be important to them.
It is usually agreed that charterers em ploy the vessel only in lawful trades,
carrying lawful merchandise, using only safe ports or berths and som etimes
safe anchorages where the vessel can safely lie always afloat. Ice-bound and
174
F I 84. U nder a tim e charier, w hat kin d o f
countries is a tim e charterer often p ro h ib ited
fro m sending the ch artered ship to?
F I 85. H ow m ight a sh ipow ner fix in g his ship
on tim e ch arter seek to p ro tect h im self from
action by the International Transport W orkers ’
F ederation (ITF)?
F I 86. What is p ro b a b ly the m ost com m only
defin ed trading a rea in tim e charters f o r a
vessel trading w orldw ide?
FI 87. In respect o f trading lim its, w hat other
docum ent sh ould a tim e ch arter not conflict
w ith?
F I 88. In a tim e charter, what d ry cargo
com m odity restrictions are often im posed on
tim e charterers?
F I 89. D oes lawful m erchandise include
dangerous goods?
Delivery and redeliverv o f tim e-chartered vessel
FI 90. What are the usual agreem ents in a
tim e charter p a r ty concerning delivery o f the
vessel to charterers?
F I 91. What sh ould a m aster do i f his ship is
d e la y ed on a delivery voyage under a tim e
charter p a rty?
F I 92. What inspections o f a vessel w ill tim e
charterers som etim es make?
F I 93. What are the aim s o f an on-hire
survey?
F I 94. Who sh ou ld ca rry out an on-hire
survey?
F I 95. What docum ents sh ould the m aster
expect to be given by an on-hire su rveyor a t the
com m encem ent o f a tim e charter?
F I 96. What stipulations w ill a tim e charter
p a rty usually make about bunkers to be on
b o a rd a t d elivery a n d redelivery?
other unsafe ports are usually excluded unless owners agree otherwise. No
lightening at sea is normally allow ed without the permission o f underwriters,
since this is usually outside terms o f the Hull and Machinery policy.
A ny country' where a port call may bring increased financial or other risks (e.g.
o f detention) to the shipowner, or a risk o f the ship being subsequently barred
from another country’s ports, e.g. Israel, Persian/Arabian Gulf, Cuba, Vietnam,
Kampuchea, North Korea, Lebanon, Angola, Nam ibia, Syria, Libya, Somalia,
Ethiopia and South Africa.
By prohibiting time charterers from sending the vessel to countries regarded as
ITF “strongholds”, i.e. Scandinavian and Australasian countries.
“ W orldwide within Institute W arranty Lim its” , This prohibits the vessel from
entering the major areas o f the world prone to icing, and from carrying Indian
coal during a specified period within a defined zone. (F or m ore inform ation
se e Insurance W arranties in Section G.)
The crew agreement. The voyage clause in the crew agreement specifies the
lim iting latitudes o f the crew ’s agreed employment. Breach o f those limits
would give the crew grounds for legal action for breach o f contract.
G enerally, certain com m odities w hich may be injurious to the ship, such as
bulk asphalt, pitch or tar, livestock, logs, acids, scrap, sulphur, petroleum coke,
explosives, fishmeal and nuclear materials are expressly prohibited as cargo.
Otherwise, the vessel m ay load any lawful merchandise.
A t com mon law, charterers are under an implied obligation not to load any
dangerous cargoes, but m ost charter parties state that charterers may load
certain dangerous goods i f various statutes and regulations (e.g. the IMDG
Code) are com plied with.
The vessel goes on hire when she is delivered to charterers. Owners must
deliver the vessel at the agreed place in a fit condition for the employment
contemplated. Delivery may be at a named geographical location, e.g. “p assin g
C ape P a ssero ”, or at a specified event, e.g. “taking inbound p ilo t (TIP) N ew
York”, or “dropping ou tw ard p ilo t (D O P) H ong K ong”. D elivery w ill be
required either “spot” (im m ediate) or between stated laydays for presentation
o f the vessel. I f the vessel is not presented by the final layday (i.e. the
cancelling date), charterers have the option o f cancelling the charter, as with a
voyage charter. Time charters m ost often com m ence with a ballast voyage to a
loading port, so that “dropping o u tw a rd p ilo t...... ” at the last discharging port is
frequently stated in the charter party as the place for delivery. On delivery, an
on-hire survey w ill often be required (see below).
Continue with all despatch to the delivery place, checking the charter party for
instructions. A Cancelling Clause may require charterers to declare whether
they w ill exercise their option to cancel, if they have been notified that the ship
w ill be unable to arrive by the last minute o f the cancelling date.
Before taking a vessel on charter, prospective charterers - especially an oil
com pany and charterers hiring older tonnage - may require a thorough
condition survey to be made. Having hired a vessel, in m ost cases, an on-hire
or delivery survey w ill be required. In som e cases, however, there is no survey
o f any kind.
To determine (1) the quantity o f bunkers remaining on board (since charterers
w ill buy them); (2) the general condition o f the vessel; and (3) that tanks/holds
are fit for the carriage o f the contemplated cargoes. The surveyor w ill note any
existing damage in holds/tanks. H olds o f a dry cargo vessel must be dry and
sw ept clean, etc., and tanks for oil or chem icals must pass survey and be
certified fit. Time spent on the survey is normally at the owner’s risk, i.e. the
vessel is not on-hire until after the survey.
Usually, jointly-approved surveyors, paid for 50/50 by owners and charterers.
Som etim es, however, the on-hire survey is paid by one party and the off-hire
survey by the other party.
A D elivery Certificate confirm ing the date and tim e o f hand-over, bunkers
r.o.b. (and perhaps boiler water r.o.b.), and condition o f holds/tanks. The
certificate should be attached to the condition survey report and is vital for the
assessm ent o f hire payments due and the com m encem ent o f various charterers j
liabilities.
A Bunker Clause will usually require a certain quantity o f fuel to be on board
at delivery, with approximately the same quantity to be on board at redeliverv. j
and in any case enough to reach the next bunkering port. The charter party w i l 1
provide for cash settlement o f the balance, so that charterers effectively buy
from the owners any bunkers remaining on board at delivery and sell the
THE SHIPMASTER’S BUSINESS SELF-EXAMINl

F I 97. What a re the usual agreem ents in a
tim e charter concerning redelivery?
F I 98. I f the vessel w a s not in the sam e g o o d
ord er a n d condition a t redelivery, who w ou ld
be liable f o r the cost o f repairs?
F I 99. Is it p erm issib le f o r tim e charterers to
redeliver a vessel, e.g. a tanker, “d irty ”?
F200. What inspections are norm al at
redelivery a t the e n d o f a tim e charter?
Time charterers’ rights
F 20I. Can tim e charterers h ave a m aster
an d/or officers dism issed?
F202. Since a tim e-ch artered vessel is under
the com m ercial control o f the charterers, what
is the m aster's p o sitio n with respect to obeying
charterers ’ instructions?
F203. I f a b ill o f ladin g is basically a receipt
issu ed b y the ship f o r cargo loaded, are tim e
charterers ’ agents a llo w e d to sign bills o f
lading?
F204. What is a sh ipm aster's leg a l p osition in
relation to tim e charterers?
identity o f carrier under time charter
F205. Who is the leg a l carrier under a time
charter?
F206. Where there is doubt over who the
ca rrier is, w hat sh ou ld the m aster do?
Miscellaneous time charter clauses
F207. What do charterers - e specially time
charterers - som etim es d o to p ro te ct their
interests when the sh ip is at sea?
F208. While a tim e ch artered ro-ro fre ig h t
fe r r y is loadin g cargo, her hydraulics f a il
m aking the stern ram p unusable. What
provision s in the charter p a rty w ill usually
c o ver this a n d oth er failu res o f s h ip ’s
equipm ent?
F209. H ow can the ow ners o f a time-
ch artered sh ip ensure that they w ill have the
opportunity to carry out p ro p e r m aintenance
during a lengthy p e r io d tim e charter?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
175
bunkers remaining on board to owners at redelivery.
Charterers must norm ally re-deliver the vessel in the “same good order as
when delivered to Charterers, fair wear and tear excepted ” at an agreed port
or place and at the agreed time, with the agreed amount o f fuel remaining on
board.
Charterers.
I f agreed, yes. A sum in com pensation to owners w ill normally be provided for
in the charter party.
An off-hire survey carried out by independent surveyors to ascertain the extent
o f damage done during the survey, and bunkers r.o.b. A Redelivery Certificate
should be issued by the surveyor.
............ 1 .......................................... - m -
The charter party may require owners to investigate com plaints by charterers
regarding the master or officers, and replace them i f requested.
Although em ployed as a servant o f the owners, the master is always under the
time charterers’ orders as far as the em ploym ent o f the vessel and agency
matters are concerned. He must accordingly prosecute the voyage with “utmost
despatch” and give charterers “customary and reasonable assistance” with the
crew and ship’s equipment. Charterers may only give master orders regarding
em ploym ent o f the vessel, and not regarding navigation, safety, etc. (I f the
master did obey charterers’ order regarding navigation and loss or damage
occurred, owners w ould be liable, with no recourse from charterers.)
A s the master is under the time charterer’s orders regarding em ploym ent and
agency, the charterer’s agents have the right to sign bills o f lading on behalf o f
the master, and the master is usually required to sign a form permitting agents
to do this.
The master should follow tim e charterers’ instructions insofar as they relate to
the com mercial activities o f the ship, e.g. voyage orders, issuing bills o f lading,
sending m essages, etc. There w ill usually be a clause in the charter party
stating that: (1) the charterers are to give the master the necessary sailing
instructions; (2) the master is to be under the orders o f the charterers as regards
em ploym ent, agency, or other arrangements; (3) the master is to prosecute the
voyage with the utmost despatch and render customary assistance (to the
charterers) with the v e sse l’s crew; (4) the master (and c h ief engineer) are to
keep proper logs accessible to the charterers and their agents; and (5) i f the
charterers are dissatisfied with the conduct o f the master (or other officers), the
owners w ill investigate the matter and, i f necessary and practicable, change the
appointments.
■
If charterers insist on issue o f their own house bill o f lading forms, the contract
o f carriage w ill normally be between the charterers and the shipper, and the
terms printed on the bill o f lading should make clear w ho the carrier is. If a
time-chartered ship issues a bill o f lading using her ow ners’ own bill o f lading
form and without mention o f the fact that the v essel is time-chartered (e.g. in a
statement that “all terms and conditions o f carriage are in the relevant Charter
party dated..... ”), the contract o f carriage may be deem ed to be between the
owners and the shipper.
Assum e that owners are legally the carrier and take care o f the cargo and
documentation accordingly, issuing a ship’s bill o f lading i f necessary.
........ -■....... -..........................,.................. ' . ‘.’k .......... •
The charter party m ay provide for a supercargo to be carried to oversee
charterers’ interests during the voyage. The usual agreement is that his meals
w ill be paid for by charterers, so records should be kept o f supercargo’s meals
provided.
The standard (printed) charter party clauses w ill usually include a Suspension
o f Hire Clause that provides for hire to cease after the vessel has been
unavailable to charterers for a specified period o f time, e.g. 24 hours, because
o f machinery breakdown, winch breakdowns, crew strikes, hull damage,
drydocking or other reasons within ow ners’ control. However, a rider clause
w ill probably be appended to the standard charter party document, reducing the
time allow ed for repairs, in the case o f a ro-ro ferry to perhaps an hour or 30
minutes. (A rider clause overrides a standard clause that conflicts with it.)
A Drydocking Clause w ill usually be included in the charter party providing
for the vessel to be made available to owners free o f cargo after a stated period
o f notice for cleaning, painting, survey, routine repairs and maintenance.
During this period she w ill be off-hire.
176
F 210. A sh ip on tim e charter has to divert to a
n earby port. What is the legal p osition with
respect to the continuation o f hire?
BAREBOAT CHARTER
F211. What is a b areboat charter?
F212. What are the m ain fe a tu re s o f a
barebo at charter?
F213. In ro a d transport terms, w hat is a
barebo at charter sim ilar to?
F 2I4. Who m ight be the ow ners b e under a
barebo at charter?
F215. Can anything be a d d e d on to a
bareboat charter?
F216. What is the m ost com m only u sed
bareboat charter p a rty form ?
SHIPPING NOTE, STANDARD SHIPPING NOTE and MATE’S RECEIPT
Shipping note (S/N)
F 2 1 7. What is a shipping note (S/N) ?
Standard Shipping Note ( SSN)
F 2I8. What is a Stan dard Shipping N ote
(SSN)?
F 219. What docum ent sh ould be u sed instead
o f a S tan dard Shipping N ote where the goo d s
to be sh ipped are hazardous?
Mate’s receipt (M/R)
F220. What is a m ate's receipt, a n d how is it
used?
F 22I. I f a m ate's receipt has been clau sed by
the ship, e.g. with rem arks about rust on steel
plates, what m ay a m aster expect to see when
p resen ted with the b ill o f lading fo r signature?
BILL OF LADING (B/L)
1
1
I
0
F222. What is a b ill o f lading?
If deviating for ow ners’ purposes, for example to collect an engine part or crew
member, the vessel w ill usually be off-hire from the moment o f the deviation
until ready to resume service in a position no less favourable to charterers. In
this case the exact tim es, positions and fuel r.o.b. (1) at the start o f the
deviation and (2) on rejoining the route should be recorded, since a deduction
from hire w ill be calculated on the basis o f fuel used in the deviation, including
FO and DO at the port deviated to. If the deviation was for charterers’ purposes
or stress o f weather, however, there should be no deduction from hire.________
■ ' - '
A contract for the lease o f a vessel for an agreed period during which the
charterers acquire most o f the rights o f the owners. It is a ship financing
arrangement rather than a trading agreement.
Basically the vessel owners put the vessel, without crew, at the com plete
disposal o f charterers and pay her capital costs, but (usually) no other costs.
Charterers have com mercial and technical responsibility for the vessel, and pay
all costs except capital costs. Bareboat charterers becom e “disponent owners”
under the charter party.
A vehicle leasing contract.
Banks or finance houses which are not prepared to operate or manage ships
them selves, or som e other shipowner.
The basic agreement may be hinged to a purchase option after expiry o f the
charter or during the hire period. (Hire payments may include instalments o f
the purchase price, and transfer o f ownership may follow the final instalment.
M any permutations are possible.)
BARECO N 89, w hich is a BIMCO document. BIM CO also publishes
BARECON 2001.
A document on which the shipper o f a consignm ent o f goods provides
information to the carrier, and which accompanies the goods to the place o f
shipment (e g. port, a freight forwarder’s depot or an inland container depot).
■
■■
A m ulti-pan, multi-purpose shipping document for non-hazardous goods,
w idely used in the liner trades where it accom panies the goods to the port, to a
freight forwarder’s depot or to an inland container depot. It contains
information about the shipment o f interest to the carrier, receiving authority,
freight forwarder, etc.
A Dangerous G oods N ote (DG N). This is basically a standard shipping note
with additional features describing the dangerous aspects o f the goods, and an
eye-catching red border.
It is a receipt, used in som e trades and at certain ports, show ing accurate details 1
o f a consignm ent o f goods loaded, as found in a ship’s tally or loading survey.
It should bear a reference number and show the date and place o f loading, any
shipping marks, the number o f pieces or packages, and the actual quantity and
apparent order and condition o f the goods as received by the ship. It may state j
“received in apparent good order and condition unless otherwise stated”, or
similar words. It should be made out on board (where a copy should be
retained) and given to the shipper, w ho should carefully copy its details onto a 1
set o f blank bills o f lading obtained from the carrier or his agent. The shipper
should then present the bills o f lading to the carrier (or agent, or ship) for
signing, at the same time returning the original m ate’s receipt, which should ix I
compared with the ship’s copy and the details on the bills o f lading before
signing. A ny shortage or defect shown on the mate’s receipt should also be
shown on the bill o f lading. I f all is in order, the bills o f lading should be issuer 1
to the shipper.
Exactly the same remarks on the face o f the bill o f lading. (Remarks made t • I
the ship concerning deficiencies in number or condition o f the goods shoula
always be authorised by the carrier and his P&I club, however, since probtea* ■
with banks c an arise with certain forms o f wording.)
A document issued by a carrier to a shipper recording receipt by the carrc- i f A
THE SHIPMASTER’S BUSINESS SELF-EXMH

F223. In w hat trades a re bills o f lading used,
a n d why?
F224. What a re the chieffu nctions o f a b ill o f
lading?
F225. H ow d oes a b ill o f ladin g fun ction as
g o o d evidence o f a con tract?
F226. H ow does a b ill o f lading function as a
receipt fo r goo d s?
F227. H ow m ay a b ill o f lading fun ction as a
receipt f o r freight?
F228. What rem arks concerning fre ig h t
sh o u ld ap p ea r on a b ill o f lading?
Generation o f b ill o f lading
F229. H ow is a b ill o f ladin g g e n e ra ted in the
tradition al w ay?
F 230. H ow is a b ill o f ladin g g e n era ted in the
liner trades (i.e. in container a n d ro-ro fre ig h t
shipping)?
F 23I. What happens to the se t o f bills o f
lading once it has been issu ed to the shipper?
F232. Will a n y copy bills o f ladin g b e issu ed
along with the se t o f originals?
fHE SHIPMASTER’S BUSINESS SELF-EXAMINER
177
consignm ent o f goods for carriage to a stated destination, and incorporating the
carrier’s conditions o f carriage.
They are used in the liner trades, the dry bulk trades and the tanker trades
worldwide. The requirement for bills o f lading to be issued generally stems
from a term in the contract o f sale o f the goods.
Any original bill o f lading (as opposed to a copy B ill) is: (1) a receipt for goods
(received by the carrier at a terminal or loaded on board, depending on what is
stated): (2) a docum ent o f title (i.e. evidence o f ownership o f the goods it
describes): and (3) good evidence o f a contract between the shipper and the
carrier.
It should either contain the carrier’s terms, conditions and exceptions (as on a
liner bill o f lading) or state where these can be found (as on a charter party bill
o f lading). The fact that a bill o f lading has been issued by the carrier is strong
evidence that a contract o f carriage with him was entered into by the shipper.
A bill o f lading should only be issued once goods have been received, either
into the custody o f a carrier or forwarder, e.g. at an inland container depot (a
“received” bill o f lading), or on board the vessel (a “shipped” or “ocean” bill o f
lading). Acting as a receipt for goods is the basic function o f any bill o f lading.
If freight was paid before issue (e.g. advance freight paid to a carrier operating
a liner service), the bill o f lading should be stamped “FREIGHT PAID” or
“FREIGHT PRE-PAID”. N o freight can be demanded when at the discharge
port. If not so stamped, freight may be demanded before delivery o f the goods.
On a liner bill o f lading, a statement “freight paid” or “freight pre-paid” ( i f this
is true). On a non-liner bill o f lading, the place where freight is to be paid (if
not pre-paid), or “freight collect” or “freight payable as per charter party”. The
amount to be paid may also be stated.
(1) The shipper brings his cargo alongside for loading and tenders to the
carrier, master or agent a shipping note describing the goods to be loaded. (2)
The goods are tallied as they are loaded. (3) On com pletion o f loading the ship
issues to the shipper a m ate’s receipt containing details o f the quantity and
apparent condition o f the goods loaded. (4) The shipper, m eanwhile, obtains a
set o f blank, original bills o f lading, and any “copy” bills needed to meet his
sales contract obligations. (5) The shipper copies the details o f the goods
loaded from the mate’s receipt onto the bills o f lading. (6) The shipper brings
the set o f original bills o f lading to the carrier, carrier’s agent or master for
signature. (7) Freight, or part o f the freight, m ay be payable at this stage,
depending on the carriage agreement. I f freight is fully paid, the bill o f lading
is endorsed “'Freight paid". (8) The carrier, agent or master compares the
details entered by the shipper on the bill o f lading with those on the ship’s copy
o f the m ate’s receipt and, i f no changes are required, signs the original bills o f
lading. (A ny remarks on the ship’s copy o f the m ate’s receipt as to defective
condition or number o f the goods should also appear on the bills o f lading.) (9)
The bills o f lading are issued to the shipper in exchange for the original mate’s
receipt, which is surrendered by the shipper.
Assum ing that the shipper is a freight forwarder acting on behalf o f the
exporter: (1) The exporter sends a shipping note and Export Cargo Shipping
Instructions (ECSI) to the freight forwarder. (2) The freight forwarder books
space on a liner vessel and arranges custom s clearance and documentation. (2)
The freight forwarder pays freight to the sea carrier and delivers the goods to
the sea carrier’s port terminal. (3 ) The sea carrier issues to the freight
forwarder a set o f “shipped” or “on board” bills o f lading on loading. (6) The
forwarder sends the bills o f lading to the exporter i f he needs them in a
documentary credit transaction.
Depending on the terms o f sale between the seller and buyer o f the goods, the
exporter may send the set o f original bills o f lading to the consignee (buyer),
w ho w ill pass one to the receiver, enabling the receiver to take delivery from
the carrier at the discharge port. Alternatively, where a letter o f credit has been
issued to enable the seller to obtain early payment, the original bills o f lading
w ill be endorsed and transferred by the seller to his bank, which w ill endorse
and transfer them to the buyer's bank, which w ill in turn endorse and transfer
them to the buyer, enabling him to take delivery o f the goods. W hile a bank has
the B ills it holds the title in the goods described on the Bills.
Several copy bills o f lading (which are not negotiable documents o f title) will
be issued for purposes o f agents, custom s, etc. One is usually marked
“Captain’s Copy” and can be carried on board and used when necessary to
identify the contents o f a consignm ent, e.g. where liquid leaks from a container
during a voyage.
178
Contents o f bill o f lading
F233. What basic inform ation sh ould a b ill o f Reference number; shipper’s name/address; consignee’s name/address, or “to
lading contain? order” ; notify party’s name/address; loading port; loading date; vessel’s name;
discharge port; number & type o f packages; contents; weight or volume; any
leading marks; statement that goods were received on board/loaded/shipped “in
good order and condition”, qualified by suitable any remarks about defective
order or condition; number o f original bills o f lading issued in set; signature o f
carrier, master or agent. Copies should be stamped “copy - non-negotiable”.
F234. What additional rem arks sh o u ld a bill The statement “C a rried on deck w ithout liability to the ca rrier f o r loss o r
o f ladin g contain i f cargo has been sh ip p e d on dam age, how soever cau sed ” or “C a rried on deck a t sh ip p e r ’s risk”, or words
deck? to that effect, should appear on the face o f the bill o f lading, A party to whom
the bill o f lading is transferred must be able to ascertain from the bill whether
the goods are not being carried in the proper place, i.e. under-deck (where they
w ill be covered by the Hague Rules or H ague-V isby R ules in the event o f a
claim).
F235. What is the prim ary pu rpose o f a To incorporate into the contract o f carriage evidenced by the bill o f lading the
Clause Param ount (or Param ount Clause) in a provisions o f a specified liability convention governing b ills o f lading, e.g. the
b ill o f lading? H ague-Visby Rules, or specified national legislation, e.g. the US C arriage o f
G oods by Sea Act, 1936. The clause is important to establish the shipper’s or
consignee’s rights, and the carrier’s defences to cargo claim s and limits o f
liability.
■\ . ' . • , - ■
Types o f bill o f lading .... • ■■ - -• < - - ' • , ■ ■- . -■
F236. What is a shipow ners ’ b ill o f lading, o r A bill o f lad ing issued by or on behalf o f shipowners or bareboat charterers.
“o w n e r’s b ill”? (See Identity o f C arrier below .)
F23 7. What is a charterers ’ b ill o f lading? A bill o f lad ing issued by or on behalf o f charterers, rather than shipowners or
bareboat charterers. (See Identity o f C arrier below.)
F238. What is a liner b ill o f lading? A bill o f lading used in the liner trades. Typically, the carrier’s standard terms
and conditions w ill be printed in very small print on the back.
F239. What is a ch arter p a rty b ill o f lading? A bill o f lading used when the ship is on a voyage charter. In this case the
terms and conditions o f the relevant charter party are deem ed to be
incorporated into the bill o f lading terms, as should be stated on the bill.
F240. What is a tanker b ill o f lading? A bill o f lading used in the tanker trades. It will usually be a form o f charter
party bill.
F241. What is a fre ig h t f o r w a r d e r ’s b ill o f A bill o f lading issued by a freight forwarder to his client where the forwarder
lading? is acting as arranging the shipment. These are com m on in the liner trades.
F242. What is a com bined transport b ill o f A bill o f lading used for a multimodal shipment, i.e. where the goods are
lading? travelling by various forms o f transport (e.g. road, rail, barge and ship) under
one bill. These are com mon in the liner trades.
F243. What is an origin al b ill o f lading? A bill o f lading forming part o f the set o f signed bills, any one o f w hich must
be surrendered to the carrier at the discharge port in order to claim delivery o f
the goods. The most com mon number o f originals in a set is probably three,
although sets o f tw o are also com m on, and a few shipments go under just one
original bill.
F244. What is a c o p y b ill o f ladin g ? A bill o f lading issued with a set o f original bills for som e purpose other than
that o f claim ing delivery o f the goods. It may be a captain’s copy or an office
filing copy. It should be clearly marked “COPY NO N-N EG O TIA BLE”.
Several copy bills w ill usually be issued for each consignment.
F245. What is a re c eive d b ill o f lading? A bill o f lading issued by the carrier w hen he has received the goods into his
care, typically at a freight depot, but before loading onto the ship.
F246. What is a sh ip p ed b ill o f lading? A bill o f lading issued when the goods have been loaded on board a ship.
Shipped bills are som etim es called on-board or ocean bills o f lading.
F247. What is a clean b ill o f lading? A bill o f lading which bears no remark altering the printed statement “Sh ipped
in apparen t g o o d o rd e r a n d co n dition ....''. The words “CLEA N O N BO A R D ”
are often also endorsed on the Bill. Letters o f credit - and banks generally
demand production o f only clean bills o f lading, which may cause problems
when goods are loaded which require clausing o f the bill.
F248. What is a d irty b ill o f lading? A bill o f lading claused with remarks about the defective order or condition, or
shortage, o f the goods loaded. It m ay alternatively be called a foul bill.
F249. What is an accom plished b ill o f lading? One o f the set o f original bills o f lading which has been surrendered to the
carrier’s agent (or to the sh ip’s master) at the discharge port and stamped
“accom plished”, any freight and charges due having been paid, leaving the
consignee or his receiver free to take delivery o f the goods. The other bills in
the set w ill then stand void, i.e. they w ill be o f no value even i f produced.
Identity o f cBtti&t in bit! o f Iscffncs tGiTV s
F250. What is an Identity o f C arrier C lause? A clause in a bill o f lading which identifies the legal carrier and avoids any
uncertainty as to whether the bill is a shipowners’ bill or a charterers’ bill.
F 25I. What is a D em ise Clause? A clause in a bill o f lading which provides that: (1) i f the (carrying) ship is no: 1
owned or chartered by dem ise (i.e. bareboat chartered) to the company issuing J

THE SHIPMASTER’S BUSINESS SELF-EXAMINE-


nf hifi n f Iz ir iitin / ; i c o n f k
F252. H ow m ay a b ill o f lading fun ction as
docum ent o f title?
F253. What w ill p reven t a b ill o f lading fro m
bein g a negotiable docum ent o f title?
F254. Why are som e bills o f lading m ade out
"TO ORDER " in stead o f bearing a particu la r
co n sig n ee’s nam e a n d address?
F255. Why a re som e bills o f lading m ade out
to a sp ecified consignee, but the w ords "OR
TO THEIR ORDER " are a d d e d to the
consignee's details?
Endorsements and other details on b iII o f lading
F256. What is the significance o f rem arks on
a b ill o f lading such a s “SH IP P E R ’S L O AD
AN D COUNT", "SAID TO W E IG H . .. " o r
"WEIGHT UNKNOW N"?
F257. Why is it im portant f o r the num ber o f
\ sig n ed origin al bills o f lading to b e show n?
F258. Whose signature sh ould be on a b ill o f
j lading?
j F259. I f a b ill o f ladin g is issu ed in
accordance w ith the term s o f a ch arter party,
what statem ent sh ou ld be on the b ill o f lading?
f F260. With reference to the p reviou s question,
which docum ent w ill be the contract o f
\ carriage - the charter p a r ty o r the b ill o f
lading?
Letters o f indemnity connected with b ill o f lading
F261. In w hat circum stances m ight a letter o f
indemnity be o ffered to the ship o r ca rrier in
• connection with a b ill o f lading?
j F262. In which o f the tw o circum stances in
. the last answ er sh ou ld an offered letter o f
indemnity never be accepted?
J F263. Why w ou ld a sh ipper want a clean bill
I o f lading when a clean b ill o f lading is not
ustified by the o rd er a n d condition o f cargo?
~HE SHIPMASTER’S BUSINESS SELF-EXAMINER
179
the bill, then the contract evidenced by the bill w ill be solely with the
shipowners or dem ise (bareboat) charterers, and, in that case: (2) the party
issuing the bill (w ho w ill usually be the charterers) is m erely an agent with “no
personal liability whatsoever” under the contract. M any ships em ployed by
carriers w ho issue bills o f lading are not owned or bareboat-chartered by them,
but are chartered. A D em ise Clause effectively transfers liability from the
issuing charterers to the shipowners, even though the holder o f the B/L will
probably not have a copy o f the charter party. English courts accept dem ise
clauses, but som e jurisdictions do not.
ill o f lading as a document o f title)
B y being a negotiable bill o f lading, i.e. one o f the set o f “originals”, made out
“to o rd er”, or to the order o f a named consignee. This enables the bill o f lading
representing the goods to be passed to a bank or an alternative buyer (perhaps
in a chain o f buyers) sim ply by the present title-holder writing the name o f the
next title-holder (the transferee) on the back o f the bill o f lading. A negotiable
bill o f lading is similar to a cloakroom ticket: whoever has possession o f it can
claim the goods.
H aving a particular consignee’s name inserted on its face, i.e. not being made
out “to order". B ills o f lading which are not made out “to o rd e r” will have a
particular consignee’s name inserted and are therefore not negotiable to a third
party, e.g. a bank or a second buyer o f the goods. They are therefore similar to
a crossed cheque. Copy bills are non-negotiable and should be marked as such.
To enable title in the goods to be transferred to a third party, e.g. a bank in the
case o f a letter o f credit sale or an alternative buyer where the goods are to be
sold in transit. (Som e bulk cargoes are sold many tim es during a voyage.) Title
is passed by the holder stamping the back o f the bill o f lading “D e liv er to the
order o f .....” and adding a transferee’s name (called endorsement in full), or by
stamping the back o f the B ill with his com pany’s stamp and adding his
signature, but without naming a sp ecific transferee (called endorsement in
blank; this makes the bill a “bearer document”). Title cannot be passed if, in
the space on the front for the consignee’s details, a specific name and address
is inserted without the additional words “ . ..o r to his order".
It enables the named consignee to transfer title in the goods to a third party if
necessary.
Under the Hague and H ague-Visby Rules the carrier, master or agent need not
insert any inaccurate statements on the bill o f lading or give any details which
he cannot reasonably check. W here it is im possible for the carrier, ship or
agent to ascertain the quantity and condition o f the goods (e.g. with
containerised cargo and som e bulk cargoes) it is advisable to insert a remark to
this effect, as in the question. I f a suitable remark is not inserted, the carrier
m ay be held liable, when the bill o f lading has passed to a third party, for any
difference in w eights found on discharge.
To reduce the risk o f fraud, bills o f lading may have to be recalled for
amendment or re-issue. The person entitled to the original B ills should have all
o f them, so he needs to know how m any were issued.
The carrier’s, the master’s, the carrier’s agent’s, or any o f these, depending on
what is required in the proper space at the foot o f the bill o f lading.
“A ll terms, conditions a n d exceptions o f the ch arier p a rty d a ted (place and
dale inserted), including the choice o f la w clause a n d arbitration clause, sh all
be d eem ed to be in corporated herein" - or words to that effect.
The charter party. A ny third party to whom the bill o f lading is transferred may
determine the carrier’s terms, exceptions, etc. by inspecting the charter party.
The bill o f lading in this case will serve only as a receipt for the goods and as a
document o f title to the goods.
(1) Against issue o f a “clean” bill o f lading when cargo is shipped that is not in
“apparent good order and condition”; (2) when goods are being claimed at the
discharge port without surrender o f one o f the set o f “original” bills o f lading;
and (3) when the port where delivery is required is not the same as the port o f
discharge shown on the Bill; (4) where there is a combination o f (2) and (3).
The first. To accept the letter o f indemnity in that case could amount to a fraud
(a criminal act) against the bank or banks involved as w ell as the consignee.
To enable him to com ply with the terms o f a letter o f credit which requires him
to tender a full set o f “clean on-board ocean bills o f lading” to a bank in order
to be paid the invoice price o f the goods.
180
Carriage o f Goods bv Sea A ct 1992 (C OGSA 92)
F 264. What is the pu rpose o f the C arriage o f
G oods by Sea Act 1992?
SEA WAYBILL (W/B)
F265. What is a se a waybill, a n d what are its
benefits?
F266. Can a se a w aybill be req u ired under
the term s o f a letter o f credit sale?
F267. What statem ent norm ally a ppears in the
title o f a se a w aybill?
F268. Why does a sea w aybill not n e e d to be
issu ed in a se t o f originals like a b ill o f lading?
F269. In what circum stances is it p o ssib le f o r
the c arrier to issue a se a w aybill rather than a
b ill o f lading?
CARRIAGE OF GOODS BY SEA RULES
F270. What are the H ague Rules, the H ague-
Visby Rules a n d the H am burg Rules?
F271. Which o f the rules in the previou s
question are gen erally u sed in sea carriage?
F272. What new convention, intended to
replace the Hague, H ague-V isby a n d H am burg
Rules, w as a d o p ted in 2008 by the U nited
N ations?
Application o f Hague-Visby Rules
F 2 73. Which g o o d s do the H ague- Visby Rules
a pply to?
F274. Which docum ents d o the H ague-V isby
Rules apply to?
F2 75. H ow a re the H ague- Visby Rules m ade
applicable to carriage o f g o o d s contracts?
Chiefly, it e nables a consignee or endorsee o f a bill o f lading, on transfer o f the
B ill, to sue the carrier for loss or damage to the goods as though he was a party
to the contract o f carriage (the shipper and the carrier being the two parties).
A non-negotiable document, otherwise having similar functions to a bill o f
lading, which is often used in preference to a bill o f lading if agreed by the
buyer and seller o f the goods. It is not a document o f title and can not, ~
therefore, be used to transfer title in the goods to a third party. It may travel
with the goods on the ship and does not need to be presented by the consignee
or receiver to claim the goods. It is often used where there is trust between the
buyer and seller, and is preferred to a bill o f lading in trades where bills o f
lading often lag behind the cargo (e.g. short-sea trades), and where there is no
contractual requirement for bills o f lading (e.g. in a sale not involving a letter
o f credit) or prospect o f a subsequent sale during transit. M ost liner carriers
prefer their customers to use sea w aybills since they enable faster delivery
(release) o f goods and thus help to reduce terminal congestion.
Y es, i f both parties to the sale o f the goods agree to its use. Usually, however,
letters o f credit stipulate bills o f lading.
“N O N-NEGO TIABLE SEA W AY BILL”, printed at the top o f the first page.
B ecause it is a non-negotiable document and is therefore less likely to be used
for fraudulent purposes than a bill o f lading. Only one original needs to travel
with the goods. There w ill usually, however, be several copy documents.
Where the shipment is an in-house shipment, or where the goods are consigned
to a specified consignee (and not “to order”) and the terms o f the contract o f
sale don’t require a bill o f lading (e.g. where a letter o f credit will not be issued
to effect payment) - in other words, where a negotiable document is not
required.
Internationally agreed rules that define the basic contractual obligations, rights,
liabilities and immunities o f sea carriers and cargo shippers where a bill o f
lading or sea waybill is issued. They are som etim es known as liability regimes.
They are all in force, but none o f them is universally applied in every country,
and som e countries are not party to any o f these rules.
The Hague Rules and the H ague-V isby Rules are given effect in the national
law o f many countries, but the Hamburg Rules, which are less favourable to
shipowners, are not w idely accepted. For P&I cover o f his cargo liabilities by a
P&I club, a shipowner is required to incorporate into his contracts o f carriage
with shippers a set o f rules at least as favourable as the Hague Rules; bills o f
lading normally do this by inclusion o f a Clause Paramount.
The United Nations Convention on Contracts for the International Carriage o f
G oods W holly or Partly by Sea, more com m only known as the Rotterdam
Rules. In addition to providing for m odem door-to-door container transport, it
contains many innovative features, including provisions allow ing for electronic
transport records, and other more technical features to fill the perceived gaps in
the existing rules. The Convention w ill enter into force one year after 20 States
have ratified it. (See also Rotterdam Rules belo w in this Section.)
All goods shipped under bill o f lading terms except for: (1) live animals; and
(2) cargo w hich is stated by the contract o f carriage as being, and is actually
earned on deck.
Every bill o f lading relating to the carriage o f goods between ports in two
different states if: (1) the bill o f lading is issued in a contracting State; or (2)
the carriage is from a port in a contracting State; or (3) the contract contained
in or evidenced by the bill o f lading provides that the H ague-Visby Rules or
the legislation o f any state givin g effect to them (e.g. the U K C arriage o f
G oods by Sea A ct 1971) are to govern the contract.
Many States (including the UK) have enacted legislation incorporating the
H ague-Visby Rules into their national sea carriage o f goods law. Where no
such national legislation applies, and there is no legislation making the Hague
Rules or Hamburg Rules apply, the H ague-Visby Rules may still be made
applicable by the shipowner inserting appropriate words into the Clause
Paramount iri the contract o f carriage.
THE SHIPMASTER’S BUSINESS SELF-EXAMINE

Carrier’s obligations under Hague-Visby Rules
F276. In a,nutshell, w hat are the ca rrier ’s .
three basic obligations under the H ague-V isby
Rules?
F277. Where the H ague- Vis b y Rules apply,
what a re the carrier's obligations in respect o f
seaw orthiness?
F2 78. What d oes “exercise due diligence ”
mean?
F279. Where the ca rrie r m ust exercise due
diligence to m ake the ship seaworthy, what
does "seaworthy" m ean?
F280. What w ill be the legal effect o f a fa ilu re
by the ca rrie r to sh ow that he exercised due
diligence, etc.?
F281. Where the H ague-V isby Rules apply,
w hat are the c a rrie r’s obligations regarding
looking a fter the cargo?
F282. D o the w ords "properly a n d carefully ”
im ply the sam e d egree o f care as exercising due
diligence?
F283. Where the H ague-V isby Rules apply,
what a re the c a rrie r’s obligations regarding
issue o f a b ill o f lading?
Carrier’s rights and immunities under Hague-Visby Rules
F284. In a nutshell, w hat three things do the
carrier's rights an d imm unities under the
H ague-Visby Rules concern?
F285. What exceptions to liability a re g ra n te d
to the ca rrier under the H ague-V isby Rules?
HE SHIPMASTER’S BUSINESS SELF-EXAMINER
1 81
(1 ) To ensure the vessel's seaworthiness as far as reasonably possible; (2) to
look after the cargo; and (3) to issue a bill o f lading if the shipper wants one.
The carrier must, before and at the beginning o f the voyage (i.e. up to the
moment o f sailing), exercise due diligence to: (1) make the ship seaworthy; (2)
properly man, equip and supply the ship; and (3) make the holds, refrigerating
and cool chambers, and all other parts o f the ship in which goods are carried,
fit and safe for:their reception, carriage and preservation. (These requirements
cover the three aspects o f seaworthiness: technical seaworthiness; cargo-
worthiness; and fittedness for the voyage.) The vessel must be seaworthy only
at the com mencem ent o f the voyage, which usually means when she leaves the
berth, whether under her own m otive pow er or with the aid o f tugs.
Taking all reasonable precautions to see that the vessel is fit for the voyage
contemplated. It could be argued that a shipowner w ho fails to check the
qualifications o f his sh ip s’ officers fails to exercise due diligence. The carrier is
not obliged to give an absolute guarantee o f seaworthiness. The carrier may
delegate his duty to exercise o f due d iligence (e.g. to surveyors or repairers)
but he will be responsible i f they fail to exercise due diligence in carrying out
their work.
The hull must be in sound condition, the vessel must be m echanically sound,
equipped with charts, etc., and crewed by a properly trained crew. The holds
must be fit and safe for the reception, carriage and preservation o f the cargo
and, in particular, the hatch covers must be tight and there must be no
instability o f the vessel through improper stow age. It has been held that the
neglect to protect a water pipe in a hold from frost which could have been
expected at the time o f year showed lack o f due diligence to make the vessel
seaworthy.
If a cargo owner can show that his loss was caused by a failure o f the carrier to
exercise due diligence to make the vessel seaworthy, the carrier w ill not be
able to rely on any other clauses in the H ague-V isby Rules which reduce his
liability (i.e. the exceptions from liability).
The carrier must ‘properly and carefully load, handle, stow , carry, keep, care
for and discharge any goods carried”. U nlike seaworthiness, this duty extends
throughout the voyage and im plies greater care than “due diligence”. The
courts do not expect perfection from the carrier, but it has been held that
stow age was improper where contamination o f other goods occurred; there was
inadequate or no ventilation; dry cargo w as damaged b y liquid goods; and
vehicles were secured only by their own brakes. The carrier must have a sound
system for looking after the cargo w hen stowed. H e has a duty to use all
reasonable means to ascertain the nature and characteristics o f the cargo and to
care for it accordingly, though the shipper should give special instructions
where special care is required. (Where water in tractor radiators froze, it was
held that the earner should have been told o f the risks.)
N o - a greater degree o f care. “Properly and carefully” caring, etc. for the
cargo means looking after it with the greatest degree o f care and attention, as i f
it were the carrier’s own property.
On receiving goods into his charge, the carrier, the master or the carrier’s
agent, i f the shipper demands, must issue a bill o f lading to the shipper
showing, amongst other things: all leading marks for identification o f the
goods, as stated by the shipper before loading (in his shipping note), provided
these are visible on the goods or their coverings; either the number o f packages
or pieces, or the quantity, or w eight, as stated by the shipper (in his shipping
note); and the apparent order and condition o f the goods. A ny bill o f lading
thus issued w ill be prima facie evidence o f receipt o f the goods by the carrier
as described, but p roof to the contrary w ill not be adm issible i f the bill o f
lading is transferred to a third party acting in good faith. A ny bill o f lading
issued after loading must be a “shipped” bill o f lading i f the shipper demands,
provided he surrenders any previously issued document o f title (e.g. a
“received” bill o f lading issued when the goods arrived at a warehouse or depot
before shipment).
(1) H is exceptions from liability; (2) his right to deviate; and (3) his rights in
respect o f dangerous goods.
The carrier or ship w ill not be responsible for loss or damage arising from: act,
neglect or default o f the master, mariner, pilot, or the servants o f the carrier in
the navigation or management o f the ship; fire, unless caused by actual fault or
privity o f the carrier; perils, dangers and accidents o f the sea or other navigable
182
F286. Where the H ague-V isby Rules apply,
w hat rights has the ca rrier regarding
deviation?
Carrier's rights re- dangerous goods shipped under Hague-Visby Rules
F287. Where the H ague-V isby Rules apply,
what rights does the ca rrier have regarding
dangerous g oo d s shipped?
Hague-Visby Rules restrictions on cover o f live animals and deck cargo
F288. A re live anim als co ve re d by the H ague-
Visby Rules?
F289. Is deck cargo c o vered b y the Hague-
Visby Rules?
F290. In w hat circum stances is deck cargo
exclu dedfrom c o ve r b y the H ague-Visby
Rules?
F291. What sp e c ia l endorsem ent sh ould a
sh ipper o f deck cargo insert on his shipping
note?
F292. Why does deck cargo w arrant a sp ecia l
agreem ent betw een sh ipper a n d carrier?
F293. Generally, a t whose risk is a deck cargo
carried?
F294. What m ust a sh ipper o f cargo inten ded
to b e sto w e d on d e ck do w here the ca rrier's
norm al contract ten ns incorporate the Hague-
Visby Rules?
F295. What sh ou ld be s ta te d on a b ill o f
ladin g issu ed to the sh ipper o f deck cargo, and
w hy sh ou ld this statem ent be m ade?
F296. The H ague- Vis b y Rules w ill not
norm ally co ver c argo sh ip p ed on deck. Under
w hat circum stances w ill the H ague-V isby Rules
cover a deck cargo?
F297. What d o the P & I clubs recom m end
ow ners do i f they w ant to carry cargo on deck
a t their option?
F298. What m ight be the consequences f o r the
carrier i f cargo that sh ould h ave g o n e under
deck was sto w e d on deck?
F299. A bus is bein g lo a d ed on deck, f o r
which an “on deck" b ill o f ladin g w ill be
issued. Can the bus be sto w e d anywhere on
deck?
waters; act o f God; act o f war; act o f public enemies; arrest or restraint o f
princes, rulers or people, or seizure under legal process; quarantine regulations;
act or om ission o f the shipper or owner o f the goods, his agent or
representatives; strikes, lockouts, stoppage or restraint o f labour; riots and civil
com m otions; saving or attempting to safe life or property at sea; wastage in
bulk or w eight or any other loss or damage arising from inherent defect, quality
or vice o f the goods; insufficiency o f packing; insufficiency or inadequacy o f
marks; latent defects not discoverable by due diligence; any other cause arising
without the actual fault or privity o f the carrier, or without the fault or neglect
o f the agents or servants o f the carrier (but the burden o f proof w ill be on the
carrier to show that his fault or privity or the fault or neglect o f his agents or
servants did not contribute to the loss or damage).
A n y deviation in saving or attempting to save life or property at sea, or any
reasonable deviation, w ill not be an infringement or breach o f the H ague-Visby
Rules or o f the contract o f carriage, and the carrier will therefore not be liable
for any resulting loss or damage.
G oods o f an inflamm able, explosive or dangerous nature, i f not properly
marked, or i f shipped without the knowledge or consent o f the carrier, may be
landed, destroyed, jettisoned or rendered innocuous at any time before
discharge. Such goods, even when shipped with the carrier’s knowledge and
consent, m ay be dealt with in this w ay without liability to the carrier, should
they bccom e dangerous.
No; they are excluded from cover at all times.
D eck cargo w ill be covered unless both o f the follow ing criteria are met: (1)
there is a statement on the face o f the bill o f lading issued to the shipper that
the goods are stowed on deck, and (2) the goods are, in fact, stow ed on deck.
W hen (1) there is a statement on the face o f the bill o f lading issued to the
shipper that the goods are stowed on deck, and (2) the goods are, in fact,
stowed on deck. (I f either requirement is not met, the Rules w ill be applicable.)
“FOR DECK CARRIAGE”.
Because o f the special risks to which goods stow ed on deck are exposed (from
sea and rain water, lightning, frost, heat, etc.).
A t the shipper’s risk, or to be more accurate, at the risk o f som e party other
than the earner. (The risk o f loss/dam age transfers from shipper to consignee.)
M ake a special agreement with the carrier (i.e. a contract that w ill not be
governed by the carrier’s standard terms, conditions and exceptions).
“CARRIED O N DECK W ITHOUT LIABILITY TO THE CARRIER FOR
LOSS OR DA M A G E HOW SOEVER C A U SE D ”, or “CARRIED ON DECK
A T SHIPPER’S RISK”, or words to that effect. A ny innocent transferee o f the j
bill o f lading acting in good faith (i.e. a third party obtaining title in the cargo
by transfer o f the bill o f lading) w ill then know the risks attaching to the goods ;
he is gaining title to. It would not be fair to transfer a bill o f lading in respect o f 1
deck cargo without declaring to the transferee that the goods to which he has
obtained title are on deck and may therefore be exposed to sea water damage,
etc.
(1) I f cargo which should have been stowed under deck is stowed on deck; or
(2) i f a bill o f lading in respect o f cargo which should have been shipped on
deck does not clearly mention the deck carriage on its face.
To cover the deck cargo by an “on deck” bill o f lading expressly recording the 1
deck stow age, and to insert (i.e. stamp) on the face o f the bill o f lading a clause 1
disclaim ing liability for loss or damage, how soever caused.
The deck carriage would be a fundamental breach o f contract similar in gravir- 1
to an unlawful deviation. The carrier would have no defences to a claim for
loss or damage, and he would not be indemnified by his P&l club.
N o. It may b e a fundamental breach o f the contract to stow cargo in an
unsuitable place on deck. The place o f stowage on deck is important. The bus j
should not be stowed in any exposed place, and especially not on the fore deck I
where seas or spray may damage it.
THE SHIPMASTER’S BUSINESS SELF-EXAM!

F 300 A contain er sh ip opera to r d o e s not
norm ally clau se its bills o f lading f o r "on
deck ” carriage, even though deck cargo is
often carried. What sh ould the com pany do in
this case?
F 30I. A sh ipow ner tells a m aster to stow a
p ie c e o f un protected m achinery on deck f o r a
co a sta l voyage, even though the cargo cou ld
ea sily be s to w e d under deck. Will the owners
be breaching the con tract o f carriage?
F302. H ow does the law generally view the
carria g e o f con tain erised cargo on deck on
pu rpose-bu ilt containerships?
F303. H ow d o es the law view the carriage o f
con tain erised cargo on deck on sh ips other
than purpose-built containerships?
Carriage o f Goods by Sea A ct 1971 (COGSA 71)
F304. What is the m ain pu rpose o f the U K
C arriage o f G oods by Sea A ct 19 7 1?
F305. When does the C arriage o f G oods by
Sea A ct 1971 a pply to a shipm ent?
F306. H ow does the C arriage o f G oods by
Sea A ct 1971 a lte r the c a rrier's obligations as
to live anim als a n d deck cargoes?
F307. Where the C arriage o f G oods by Sea
A ct 1971 applies, w hat a re the c a r r ie r ’s
obligations as to seaw orthin ess o f the ship?
Rotterdam Rules
F308. What a re the R otterdam Rules, a n d
when w ill they enter into fo rc e?
F309. What are the c h ie f differences between
the Rotterdam Rules a n d the rules they are
in ten ded to replace?
DANGEROUS GOODS and MARINE POLLUTANTS
UK dangerous goods legislation
F 310. What U K regulations govern the
carria g e o f dangerous g o o d s a n d m arine
pollu tan ts by ships, a n d which international
instrum ents do they g iv e effect to?
IMO codes dealing with dangerous goods
F311. Which IM O co d es contain requirem ents
f o r the carriage o f dangerous goods?
IMDG Code
F 3I2. What is the IM D G C ode?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
183
The company, as carrier, should incorporate a suitable liberty clause permitting
on-deck stow age at the carrier’s option. This is recommended by the P& l clubs
even when the custom o f the trade permits on-deck stow age, e.g. when closed
containers are carried on purpose-built container ships. The purpose o f these
clauses (which are nevertheless ineffective in a few jurisdictions which don’t
follow the generally accepted principles o f maritime law) is to ensure that the
carrier has a contractual right to stow cargo on deck at his option. However, the
clause must be used reasonably, and cannot be used to justify deck stow age for
cargo which is unsuitable for deck stowage.
Even when there is no express or implied agreement for under-deck stow age, it
m ay w ell be a fundamental breach o f the contract o f carriage to stow cargo on
deck which is not suitable for on-deck carriage. G oods are not suitable for deck
carriage i f they are not packed in such a way as to be protected from contact
with sea water which could occur during the voyage and which, i f it did occur,
would inevitably or probably cause damage to the goods. For example,
sensitive machinery transported in a flat or open-top container should not be
carried on deck.
As being equivalent to underdeck carriage o f goods. Container line bills o f
lading therefore usually give the carrier the option o f stow ing the cargo either
on or under deck.
A s the carriage o f ordinary deck cargo. The bill o f lading should therefore be
properly claused for deck stow age and/or a proper liberty clause should be
inserted in it. > , >;
f- * - >, , ✓>
To give legal effect in the U K to the H ague-V isby Rules, i.e. to make the Rules
part o f UK statute law.
Where the port o f shipment is a port in the U K , whether or not the carriage is
between ports in two different States. Where the cargo is shipped as part o f a
multi-modal operation (for which a “com bined transport or multi-modal bill o f
lading has been issued), CO G SA 71 applies only to the seaborne part o f the
carriage.
Although the H ague-V isby Rules as they stand alone do not apply to live
animals or to deck cargo which is stated (on the face o f the bill o f lading) as
being earned on deck and is so carried, COGSA 71 reverses this by stating that
the rules w ill apply as i f they did not exclude deck cargo and live animals.
There shall not be im plied in any contract o f carriage o f goods by sea to which
the H ague-Visby Rules apply under the Act any absolute undertaking (i.e. a
guarantee) by the carrier to provide a seaworthy ship. However, the carrier still
has the clear obligation to exercise, before and at the beginning o f the voyage,
due diligence to make the ship seaworthy, properly man, equip and supply her,
and make her holds, refrigerating and cool chambers, and all other parts o f the
ship in which goods are carried, fit and safe for their reception, carriage and
preservation.
■ ■ .• . ' . ■■■
The Rotterdam Rules are embodied in the U nited Nations Convention on
Contracts for the International Carriage o f G oods W holly or Partly by Sea,
which w as adopted by the U N General A ssem bly in D ecem ber 2008. The
Rotterdam Rules are intended to replace the Hague Rules, H ague-V isby Rules
and Hamburg Rules. The Convention w as opened for signature in September
2009 and w ill enter into force one year after 20 States have ratified it.
(1) The Rotterdam Rules apply to goods carriage from door to door (whereas
the existing rules apply only to the sea leg o f the carriage); (2) the Rotterdam
Rules allow for e-com m erce and containerisation; and (3) the Rotterdam Rules
clarify and bring uniformity to liability.
The MS (D angerous G oods a n d M arine Pollutants) R egulations 1997, as
amended. They give effect in the UK chiefly to SO LAS chapter VII (Carriage
o f dangerous goods) and to M ARPOL Annex III (Harmful substances in
packaged form).
(1) The International Maritime Dangerous G oods (IM DG ) Code in respect o f
dangerous eoods in packaged form: and (2) The International Maritime Solid
Bulk Cargoes (IM SBC ) Code in respect o f dangerous goods in solid bulk form.
(F or n otes on the IM SBC Code, se e IM SBC C ode below .)
ft:/ " : M
The International Maritime Dangerous G oods Code, an IMO Code the majority
184
F 3I3. What are the contents o f Volume 1 o f
the IM DG C ode?
F314. What are the contents o f Volume 2 o f
the IM DG C ode?
F315. What a re the contents o f the
Supplem ent to the IM D G C ode?
F 316. What are the m ain classes o f dangerous
goo d s liste d in the IM D G C ode?
Identity o f dangerous goods and manne pollutants
F 3 1 7. What are dangerous g o o d s ? G oods classified
F 3 18. What is a m arine pollu tan t?
F319. Where can a list o f a ll recogn ised
m arine pollu tan ts b e found, a n d h ow a re they
in dicated in this list?
1
F320. H ow sh ou ld a m arine p o llu tan t he
m arked on its packagin g o r container?
f
i
F332. What sp e c ia l docum entation m ay be
req u ired b y a U K sh ip intending to c a riy
dangerous goods?
F333. F or which dangerous g o o d s are there
no sp ecia l requirem ents in SO LAS regulation
11-2/19, a n d therefore no Docum ent o f
Com pliance required?
Dangerous goods/marine pollutants cdeclaration
F 32I. What declaration sh ou ld be m ade by
the sh ipper before p a c k a g ed dangerous g oo d s
o r m arine pollu tan ts are lo a d ed on a U K ship,
a n d who sh ould it be p re se n te d to?
F322. What inform ation must be included in a
dangerous g o o d s o r m arine pollu tan ts
declaration f o r p a c k a g ed goods?
o f which was made mandatory from 1 January 2004 by amendments to SOLAS
chapter VII. It consists o f two volum es and a Supplement.
Part 1: general provisions, definitions and training; Part 2: classification; Part
4: packing and tank provisions; Part 5: consignment procedures; Part 6:
construction and testing o f packagings, intermediate bulk containers (IBCs),
large packagings, portable tanks and road tank vehicles; and Part 7: transport
operations.
The Dangerous G oods List (equivalent to the schedules in previous editions o f
the Code), presented in tabular format; limited quantities exceptions; the Index;
and appendices.
Em ergency R esponse Procedures for Ships Carrying Dangerous G oods (“The
EmS Guide”); M edical First Aid Guide for U se in Accidents Involving
Dangerous G oods; Reporting Procedures; IM O /ILO/UN ECE Guidelines for
Packing Cargo Transport Units; Recomm endations on the Safe U se o f
Pesticides; and the INF Code.
C lass 1 : Explosives; Class 2: Gases; Class 3: Flammable liquids; Class 4:
Flammable solids; substances liable to spontaneous combustion; substances
which, in contact with water, emit flammable gases; Class 5: O xidising
substances and organic peroxides; Class 6: Toxic and infectious substances;
C lass 7: Radioactive material; Class 8: Corrosive substances; and Class 9:
M iscellaneous dangerous substances and articles.
in the IMDG Code or in any other IMO publication referred
to in The MS (D angerous G oods a n d M arine Pollutants) R egulations (e.g. the
IBC Code and IGC Code) as dangerous for carriage by sea, and any other
substance or article which the shipper has reasonable cause to believe might
m eet the criteria for such classification. They include residues in empty
receptacles, em pty tanks or cargo holds previously used for carrying dangerous
goods unless cleaned, dried, purged, gas freed or ventilated as appropriate or,
in the case o f radioactive materials, have been both cleaned and adequately
closed; and goods labelled, marked or declared as dangerous goods. They do
not include goods forming part o f the carrying sh ip’s equipment or stores.
A substance classified as such in the IM DG Code, or as a noxious liquid
substance in the IBC Code, oil as defined in M ARPOL Annex I, excluding
bunkers and sh ip’s stores, and any other substance, material or article that the
shipper has reasonable cause to believe might m eet the criteria for such
classification.
In Volum e 2 o f the IM DG Code. They are indicated by the words “M ARINE
P O L L U T A N T ’ and a sym bol o f a triangle containing a fish, with an overlaid
cross.
B y a triangle sym bol having a fish at its centre, with an overlaid cross.
8.
•?
m Before loading anv dangerous goods: a Docum ent o f Com pliance with the
Special Requirements for Shins Carrvine Dangerous Goods; (2) after loading:
a dangerous goods list, manifest or stowage plan; 131 em ergency response
procedures for dealing with explosion, fire, spillage, etc. (For questions on the
D G D ocum ent o f Com pliance, se e MISCELLANEOUS STA TUTOR Y
D O CU M EN TS in Section D.)
There are no special requirements in SO LAS regulation 11-2/19 for the carriage j
o f dangerous goods o f classes 6.2 and 7, and for the carriage o f dangerous
goods in limited quantities, as required in chapter 3.4 o f the IMDG Code, and
excepted quantities, as required in chapter 3.5 o f the IM DG Code. Class 6.2
A dangerous goods declaration or a marine pollutants declaration, as
appropriate, or a com bined dangerous goods and marine pollutants declaration, j
should be presented to the master or the ship operator. The declaration can be
made on a Dangerous Goods/M arine Pollutants Note.
(I ) The proper shipping name o f the goods; (2) their class and division where
applicable; (3) U N Num bers where allocated by the IM DG Code; (4) the
packaging or packing group where relevant; (5) the number and kind o f
packages; (6) the total quantity o f dangerous goods or net explosive mass o f
the contents; (7) the words “M ARINE P O L L U T A N T ’ where appropriate; (8)
any other information required by the IMDG Code; (9) i f appropriate, the clas> I
o f ship needed for any packaged irradiated nuclear fuel, plutonium and high-
level radioactive w astes carried as cargo in accordance with IMDG class 7, and 1
the quantities o f such goods; (10) the date o f preparation o f the declaration ;
( I I ) the name o f the signatory; (1 2 ) the signatory’s com pany or organization;
(13) the status o f the signatory in the company or organization; (14) the postal
THE SHIPMASTER’S BUSINESS SELF-EXAMINED

F323. What certificate must b e c om pleted
w here p a c k a g e d g o o d s a re to be p a c k e d o r
sh ip p e d in o r on a cargo transport unit?
F324. Is a P acking C ertificate req u ired f o r a ll
pa ck a g ed g o o d s ?
F325. What notification must a sh ipper m ake
to the ship o p e ra to r o r m aster before loadin g
bulk dangerous goods, bulk m arine pollutants,
o r g o o d s liste d in Annex B o f the B C C ode?
F326. What shipping docum ent usually
ca rries the dangerous g oo d s o r m arine
pollu tan ts declaration?
F327. M ust dangerou s goo d s declarations,
m arine pollu tan ts declarations a n d packin g
lists alw ays b e m ade in p a p e r form ?
Dangerous goods/marine pollutants Iist, m anifest o r stowage plan
F328. Afte r loadin g p a c k a g ed dangerous
go o d s o r m arine pollutants, what m ust the
m aster ensure with respect to cargo
docum entation ?
F329. What m ust the dangerous g o o d s list,
manifest o r stow age p la n show?
F330. What docum entation relating to a bulk
cargo o f dangerous g o o d s m ust the m aster
ensure is c a rrie d on board?
Additional special documents
F 33I. Where a ship is carrying dangerous
go o d s in bulk, e.g. bulk liqu id chem icals, must
an y docum ents be c a rrie d in addition to the
requ ired list, m anifest o r stow age plan?
EmS and MFAG
F332. What are Em S a n d MFAG, a n d where
are they fou n d?
Carriage o f dangerous goods by offshore supply vessels
F333. Where can the M C A ’s guidan ce be
fo u n d on the carriage o f dangerous g o o d s on
the w eath er decks o f offshore su pply vessels?
F334. What IM O C ode sh ould be o b served by
offshore su pply vessels carrying dangerous
goods, accordin g to M G N 282?
F335. Must an offshore su pply vessel have a
D angerous G oods D ocum ent o f Com pliance?
LOADING and DISCHARGING CARGO
F334. What ships do The MS (C arriage o f
C argoes) R egulations 1999 apply to?_______
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
185
address, email address, telephone number and fax number o f the person from
whom detailed information about the packaged goods may be obtained.
A Container or V ehicle Packing Certificate must be signed by the person w ho
stow ed the goods in or on their transport unit (e.g. container).
N o. It is not required for goods packaged within a portable tank, road tank
vehicle, rail tank wagon or tank container.
Written notification o f the nature and quantity o f the goods, specifying: ( i )
their correct technical name; (2) their U N number, i f any; (3) for any solid bulk
dangerous goods, the IMDG Code classification; (4) for liquid goods with a
flashpoint below 60°C (closed cup), the flashpoint; and (5) details o f the postal
address, em ail address, telephone number an d fax number o f the person from
whom detailed information about the goods may be obtained.
A Dangerous G oods/M arine Pollutants Note. This is a special form o f shipping
note used only for dangerous goods or marine pollutants shipments. In addition
to the declaration it includes a Container or V ehicle Packing Certificate for
com pletion when shipping packaged goods. (For declaring shipments o f non-
hazardous goods, a Standard Shipping N ote is used.)
N o. They can also be provided directly to the master or ship operator by
electronic data processing or electronic data interchange methods.
That a special dangerous goods/m arine pollutants list, m anifest or stow age plan
is carried in the ship. This, and any additional special docum ents required for
the acceptance o f goods for carriage must be kept on board and available for
reference or inspection until the goods have been discharged.
It must set out details, obtained from the shipping docum ents submitted by the
shipper, o f the packaged goods on board including: (1) the correct technical
name o f the goods; (2) their classification in accordance with the IM DG Code;
(3) their m ass or volume; and (4 ) details o f the stow age location in the ship.
The information may be in one com bined document relating to both dangerous
goods and marine pollutants, or in separate lists. Combined lists must show
clearly w hich goods are dangerous goods and w hich are marine pollutants.
A specific list, m anifest or stow age plan setting out the details, obtained from
the shipping documents submitted by the shipper, o f the dangerous goods or
marine pollutants carried including: (1) the correct technical name o f the
goods; (2) their mass or volum e; (3) where the dangerous goods are shown in
Appendix B o f the Bulk Cargoes Code, the classification as shown in the
IM DG Code; and (4) the stow age location in the ship. The list, manifest or
stowage plan and any additional special documents must be kept available for
reference or inspection on board until the goods have been discharged.
Y es, the ship must carry any additional special docum ents where required for
dangerous goods or marine pollutants by the Bulk Cargoes Code, the BCH
Code, the IBC Code, the IGC Code or the Gas Carrier C ode (GC Code). These
might include a solid bulk cargo density declaration, a Certificate o f Test o f a
substance, a Certificate o f Fitness, etc.
-• : :
Emergency Response Procedures for Ships Carrying D angerous G oods (“The
EM s Guide”); M edical First A id Guide for U se in A ccidents Involving
Dangerous Goods. They are in the Supplement to the IM DG Code.
In M GN 282 which outlines the required standard o f com pliance with the
requirements o f the IM DG C ode and SOLAS chapter VII for offshore supply
vessels utilising only weather deck stowage and goods stow ed in cargo
transport units (CTUs).
The Code o f Safe Practice for the Carriage o f Cargoes and Persons by Offshore
Supply V essels, adopted by IMO resolution A .863(20) and com m only known
as the O SV Code.
Yes, i f she is o f 500 GT or more and was built on or after 1 September 1984.
The M CA recom m ends in M GN 282! that all O SV s operating on the UK
Continental S h elf obtain a DG DOC, regardless o f size or date o f build.
Sea-going UK ships everywhere, and sea-going non-UK ships in UK waters,
when loaded or intended to be loaded with any cargo.______________________
186
F335. What cargoes do The MS (C arriage o f
C argoes) Regulations apply to?
Cargo information
F336. What are the sh ipper's obligations
under The M S (C arriage o f C argoes)
Regulations with respect to providin g cargo
inform ation?
F33 7. In the case o f g en era l cargo an d
un itised cargo, w hat m ust the inform ation
p ro v id e d by the sh ipper contain?
F338. In the case o f bulk cargoes, what must
the inform ation p ro v id e d by the sh ipper
contain?
F 339. What kind o f bulk cargoes require the
provision by the sh ipper o f inform ation on their
chem ical properties, in addition to the
inform ation in the last answ er?
I
ation
1
0
F340. What are the obligations o f the ow ner
a n d the m aster under The MS (C arriage o f
Cargoes) Regulations with respect to carriage
on b o a rd o f cargo docum entation in a sh ip not
carryin g grain?
F341. What code m ust the ow ner a n d m aster
ensure is c a rried on b o a rd a ship carryin g
grain?
Stowage and securing o f cargo
F342. What a re the m aster's obligations
under The MS (C arriage o f Cargoes)
Regulations with respect to stow age an d
securing o f cargo?
F343. Which ships must c a n y a Cargo
Securing M anual?
Oxygen analysis and gas detection ecwipm ent
F344. What a re the requirem ents o f The MS
(C arriage o f C argoes) Regulations with
respect to oxygen analysis a n d gas detection
equipm ent?
All cargoes, subject to any requirements in The MS (D angerous G oods and
M arine P ollutants) R egulations in respect o f dangerous goods and marine
pollutants.
The shipper must provide such information to the owner or master sufficiently
in advance o f loading as is necessary to enable them to ensure that: (1) the
different com m odities to be carried are compatible with each other or suitably
separated; (2) the cargo is suitable for the ship; (3) the ship is suitable for the
cargo; (4) the cargo can be safely stow ed and secured and transported under all
expected conditions during the intended voyage. The information must be in
writing in appropriate shipping docum ents and be given before loading the
cargo on the ship. Where the shipper does not deliver the cargo to the ship or
its agent, he must provide the forwarder with the information; it then becom es
the forwarder's duty to pass the information to the owner or master.
(1) A general description o f the cargo, (2) the gross mass o f the cargo or cargo
units and (3) any relevant special properties o f the cargo.
m Information on the stowage factor o f the cargo, the trimming procedures,
the likelihood o f shifting including the angle o f repose ( if applicable), and any
other relevant special properties. In the case o f a concentrate or other cargo
which mav liquefv. there must be also be a certificate indicating the moisture
content o f the cargo and its transportable moisture limit (TML).
Bulk cargoes which are not classified in accordance with Regulation VII/2 o f
SO LAS, but that have chem ical properties that may create a potential hazard.
They must ensure that appropriate documentation, relevant to the cargo and its
stowage and securing, which should specify in particular the precautions
necessary for the safe carriage o f that cargo, is carried on board. This may
consist o f one or more of: (1) the IMO Code o f Safe Practice for Cargo
Stowage and Securing (CSS Code); (2) the IMO Code o f Safe Practice for
Ships Carrying Timber D eck Cargoes (TDC Code); or (3) (from 1 January
2011) the International Maritime Solid Bulk Cargoes Code (IM SBC Code).
The International Grain Code.
■ -: ' '
To ensure that: (1) cargo and cargo units carried on or under deck are loaded,
stowed and secured so as to prevent as far as practicable, throughout the
voyage, damage or hazard to the ship or the persons on board, and loss o f cargo
overboard; (2) appropriate precautions are taken during loading and transport
o f heavy cargoes or cargoes with abnormal physical dim ensions to ensure that
no structural damage to the ship occurs and to maintain adequate stability
throughout the voyage; (3) appropriate precautions are taken during loading
and transport o f cargo units on board ro-ro ships, especially with regard to the
securing arrangements on board such ships and on the cargo units and with
regard to the strength o f the securing points and lashings; (4) cargo on board all
ships to which Reg. 5(4) applies (i.e. all passenger ships and cargo ships
carrying cargoes other than solid bulk cargoes, except cargo ships o f less than
500 GT on non-intem ational voyages) is stow ed and secured throughout any
voyage in accordance with the Cargo Securing Manual; (5) cargo on board all
ships to which Reg. 5(4) applies with ro-ro cargo spaces must be stowed and
secured in accordance with the Cargo Securing Manual before the ship leaves a
berth.
All passenger ships and cargo ships carrying cargoes other than solid bulk
cargoes, except cargo ships o f less than 500 GT engaged on dom estic (non-
intemational) voyages. (Reg. 5(4))
In the case o f a ship transporting or accepting for transport a bulk cargo which
is liable to emit a toxic or flam mable gas, or cause oxygen depletion in the
cargo hold, an appropriate instrument for m easuring the concentration o f gas or
oxygen in the air must be provided together with detailed instructions for its
use. The instrument must be o f a type approved by a certifying authority, and
the crew must be trained in its use. The owner o f a ship which transports, or a
master who accepts for carriage, such a cargo without ensuring that these
requirements have been com plied with com m its an offence. (Reg. 7)
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Use o f pesticides
F345. What a re the m aster's obligations with
respect to u se o f pesticid es on board?
F346. Where can MCA guidan ce on the safe
use o f p esticides be found?
Special provisions for bulk cargoes other than grain
F347. Before a ship loads a bulk cargo, w hat
must the m aster be in p ossession of?
F348. On w hat conditions m ay the m aster
a ccep t bulk cargoes fo r loading?
F349. Under what additional conditions m ay
the m aster a ccep t f o r loadin g concentrates o r
o th er cargoes which m ay liquefy?
Loading, unloading and stowage o f bulk cargoes
F350. Which IM O c o d e applies to the
carria g e o f a s o lid bulk cargo?
F351. What m anual m ust be p ro v id e d by the
ow n er o f a bulk ca rrier to enable the m aster to
p re v en t excessive stresses in the sh ip's
structure?
F352. What m ust the m aster a n d term inal
representative a g ree before a so lid bulk cargo
is lo a d ed o r unloaded?
F353. With whom m ust the loading plan be
lodged?
F3S4. What gen eral rules must be o b se rv ed
during loading, unloading o r ballasting?
F355. What are the m a ste r’s obligations
under The MS (C arriage o f C argoes)
Regulations with resp ect to trim m ing o f bulk
cargoes?
F356. What right does the m aster have i f any
ag re e d lim its are exceeded during loading o r
unloading, o r a re likely to becom e so i f loadin g
o r unloading continues?
F357. What m ust the m aster a n d the term inal
representative ensure?
Requirements for ships carrying grain
F358. Broadly, w hat requirem ents m ust a ship
carrying grain com ply with?
F359. What docum ent must the ow n er a n d
m aster ensure that a sh ip loading grain has on
board?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
187
Where pesticides are used in cargo spaces, they must be used in accordance
with M SN 1718 (The Safe U se o f Pesticides in Ships). (Reg. 8)
In Chapter 27, para. 27.8, o f the Code o f Safe W orking Practices for Merchant
Seamen.
Stability information in accordance with regulation 32 o f the The M S (L oad
Line) R egulations containing com prehensive information on the ship’s stability
and on the distribution o f cargo and ballast for the standard loading conditions.
If he is (1 ) in possession o f stability and ballasting information; (2) satisfied by
calculations that the proposed loading arrangements would ensure sufficient
stability in accordance with the stability booklet; and (3) satisfied that, in the
case o f bulk cargoes which are not classified in accordance with SO LAS
Regulation VII/2 but have chem ical properties that m ay create a potential
hazard, appropriate special precautions are taken.
If either: (1) the moisture content o f the cargo indicated in its certificate is less
than its transportable moisture limit (TML); or (2) i f the moisture content is
above the TML, appropriate safety arrangements are made to the satisfaction o f
the certifying authority to ensure adequate stability in the case o f cargo
shifting, and the ship has adequate structural integrity.
Under SO LAS regulation V I/1-2, from 1 January 2011 the carriage o f solid
bulk cargoes other than grain must be in com pliance with the relevant
provisions o f the International Maritime Solid Bulk Cargoes (IM SBC ) Code.
A cargo loading manual, Written in a language with which the officers
responsible for cargo operations are familiar. (I f not in English, an English-
language version must also be provided ) This m ay consist o f one or more
booklets and as a minimum must contain: (1) stability date as required by
regulation 32 o f The MS (L oad Line) Regulations; (2 ) ballasting and
deballasting rates and capacities; (3) maximum allow able load per unit surfacc
area o f the tank top plating; (4) maximum allow able load per hold; (5) general
loading and unloading instructions with regard to the strength o f the ship’s
structure including any lim itations on the m ost adverse operating conditions
during loading, unloading, ballasting operations and the voyage; (6) any
special restrictions such as limitations on the most adverse operating conditions
imposed by the Administration or organisation recognised by it, i f applicable;
and (7) where strength calculations are required, maximum permissible forces
and m oments on the ship’s hull during loading, unloading and the voyage.
A plan which: (1) must ensure that the perm issible forces and moments on the
ship are not exceeded during loading or unloading; and (2) must include the
seauence. auantitv and rate o f loading or unloading - taking into consideration
the intended speed o f loading or unloading, intended number o f pours and the
deballasting or ballasting capability o f the ship. The master and terminal rep
must ensure that the loading and unloading operations conform to the plan.
The appropriate authority o f the port State.
(1) The master must ensure that ship’s personnel continuously monitor cargo
operations. (2) Where possible, the sh ip’s draught must be checked regularly
during loading or unloading to confirm the tonnage figures supplied. (3) Each
draught and tonnage observation must be entered in a cargo log book. (4) If
significant deviations from the plan agreed are detected, cargo or ballast
operations or both must be adiusted to ensure that the deviations are corrected.
To ensure that bulk cargoes are loaded and trimmed reasonably level, as
necessary, to the boundaries o f the cargo space so as to m inim ise the risk o f
shifting and to ensure that adequate stability w ill be maintained throughout the
voyage.
The right to suspend operations. If he does so he must notify the appropriate
authority o f the port State with which the plan has been lodged. The master and
the terminal representative must then ensure that corrective action is taken.
That the unloading method does not damage the sh ip’s structure.
The requirements o f the International Grain Code. The exporting State may
have additional national requirements.
A docum ent o f authorisation for the carriage o f grain, in accordance with
SO LAS regulation V I/9 and section 3 o f the International Grain Code. It may
accom pany or be incorporated into the grain loading manual provided to enable
the master to m eet the stability requirements o f the Code.
188
F360. What does the docum ent o f
authorisation f o r the carriage o f grain certify?
F 36I. What does a sh ip 's grain loading
docum entation usually include?
F362. What condition m ust he o b se rv ed i f
entering a U K p o r t in a ship lo a d ed with grain
outside the UK?
F363. What conditions must be m et before a
p erso n m ay o rd er the com m encem ent o f
loading o f grain into a ship in the UK?
Loading and unloading o f bulk carriers
F364. Which IM O C ode governs the safe
loading a n d unloading o f bulk carriers?
F365. What does the B L U C ode a pply to?
F366. H ow is the B L U C ode im plem ented in
U K law ?
F367. What is the S L U C ode?
F368. Who do the S L U Regulations an d SL U
C ode a pply to?
F369. Which bulk carriers do the SL U
Regulations a n d the SL U C ode not a pplv to?
F370. What are the contents o f the SL U
C ode?
F371. What a re the duties o f the m aster o f a
bulk carrier under the S L U Regulations >
F372. What is the information, se t out in the
S L U Code, Schedule 3, P art 2, that m ust be
p ro v id e d by the m aster to the terminal?
That the ship is capable o f com plying with International Grain Code
requirements when loaded in accordance with the approved grain loading
stability information booklet.
(1) The document o f authorisation for the carriage o f grain; (2) approved grain
stability data (referred to in paragraph A 6 .1 o f the Code); (3) approved stability
information; (4) proposed loading plan; (5) grain stability calculations; and (6)
shear force and bending moment calculations.
Except when the ship is in distress, the owner and master must not permit a
ship loaded with grain outside the U K to enter any UK port unless it was
loaded in accordance with the International Grain Code.
(1) The ship must have on board a document o f authorisation; or (2) the master
has demonstrated to the satisfaction o f the certifying authority that the ship
w ill, in its proposed loading condition, com ply with the requirements o f the
International Grain Code and has obtained a document to this effect signed by
a surveyor or a certifying authority.
The Code o f Practice for the Safe Loading and Unloading o f Hulk Carriers, or
BLU Code.
The loading and unloading o f solid bulk cargoes, to or from bulk carriers o f
more than 500 GT.
Directive 20<31 /96/EC requires all EU Member States to give effect to the
provisions o f the BLU Code in national regulations. The U K regulations
implementing the D irective’s requirements are The M S (Safe L oading a n d
U nloading o f Bulk C arriers) R egulations 2003 (SI 2003/2002) (the “SLU
Regulations”).
An M CA publication properly called Safe L oading a n d Unloading o f Bulk
C arriers 2003 im plem enting E C D irective 201/9 6 /E C (establishing harm onised
requirem ents a n d pro ced u res f o r the safe loading a n d unloading o f bulk
carriers), published in July 2003. Compliance with specified parts o f the SLU
C ode is mandatory under the S L U Regulations for the terminal operator, the
terminal representative, the master o f a bulk carrier and the MCA. In the SLU
R egulations the SLU Code is referred to as “the M C A 's S L U Bulk C arriers
pu blication".
(1 ) A ll terminals in the U K or in U K waters visited by bulk carriers; (2) all UK
bulk carriers visiting a U K bulk terminal; and (3) all non-UK bulk carriers
visiting a U K bulk terminal, w hile they are in U K waters.
Bulk carriers carrying out loading or unloading solely with their own
equipment.
Sections 1, 2 and 3 deal with the Purpose, Scope and D efinitions respectively.
There are seven schedules as follows: Schedule 1: Reauirements in relation to
the operational suitability o f bulk carriers for loading and unloading solid bulk
cargoes: Schedule 2: Reauirements in relation to the suitability o f terminals;
Schedule 3: R esponsibilities o f the master: Schedule 4: Responsibilities o f the
terminal representative: Schedule 5: Procedures between bulk carriers and
terminals; Schedule 6: Repair o f damage incurred during unloading or loading;
Schedule 7: Role o f Competent Authority.
To be responsible at all tim es for the safe loading and unloading o f the bulk
carrier under his command and to com ply with the other requirements o f
Schedule 3 o f the SLU Code. These are: fl'l to provide to the terminal the
information set out in the SLU Code. Schedule 3, Part 2; (2) to ensure that,
before anv bulk cargo is loaded, he has received the required cargo information
and. where reauired. a solid bulk cargo density declaration; (3) if due to unload
solid bulk cargo, to give a copv o f the form for cargo information to the
terminal representative, before the unloading operation begins; (4) to
discharge, prior to and during loading or unloading operations, the 15 duties
listed in the SLU Code, Schedule 3, Part 3. (Reg. 7)
(1) ETA o ff the port, as early as possible, updated as appropriate. (2) At the
time o f the initial ETA: (a) sh ip’s name, call sign, IMO number, flag, port o f
registry; (b) loading or unloading plan, stating quantity o f cargo, stow age by
hatches, loading or unloading order and quantity to be loaded in each pour or
unloaded in each stage o f discharge; (c) arrival and proposed departure
draughts; (d) time required for ballasting or de-ballasting; (e) length overall,
beam, and length o f cargo area from forward coam ing o f forward-most hatch to
after coam ing o f aft-m ost hatch into which cargo is to be loaded or from which
cargo is to be unloaded; (f) distance from waterline to first hatch to be loaded
or unloaded and distance from sh ip’s side to hatch opening; (g) location o f
accom m odation ladder; (h) air draught; (i) details and capacities o f cargo-
handling gear, i f any; (j) number and type and size o f m ooring lines; (k)
specific requests, such as for trimming or continuous measurement o f water
THE SHIPMASTER'S BUSINESS SEiLF-EXAMINE-

F373. What are the 15 duties o f the m aster
p rio r to a n d during loading o r unloading
operations, as lis te d in the S L U Code, Schedule
3, P art 3?
F3 74. What are the duties o f the term inal
representative under the S L U Regulations?
F3 75. What procedu res must be f o llo w e d by
m asters a n d term inal representatives under the
S L U Regulations?
F3 76. What a re the duties o f m asters under
the S L U R egulations where dam age occurs
\ during loading o r unloading?
I F377. H ow sh ou ld the F orm f o r C argo
j Information be used?
IMSBC Code
j F378. Which IM O C ode su p ersed ed the B C
Code with effect fro m 1 January 2 0 1 1?
[ F379. What w as the p u rp o se o f replacin g the
I 3 C C ode with the IM SBC Code?
~HE SHIPMASTER’S BUSINESS SELF-EXAMINER
189
content o f cargo; (1) details o f any necessary repairs which m ay delay berthing,
com mencem ent o f loading or unloading, or may delay the ship sailing on
com pletion o f loading or unloading; (m ) any other information related to the
ship requested by the terminal.
To ensure that: 0 ) loading or unloading and discharge or intake ofb allast
water is under the control o f the ship’s officer in charge; (2 ) the disposition o f
cargo and ballast water is monitored throughout loading or unloading to ensure
that ship’s structure is not overstressed; (3) the ship is kept upright or, i f a list
is required for operational reasons, list is kept as small as possible; (4) the ship
remains securely moored: (5) sufficient officers and crew are retained on board
to adjust m ooring lines or for any normal or em ergency situation; (6) the
terminal representative is made aware o f cargo trimming requirements; (7) the
terminal representative is made aware o f reauirements for harmonisation
between de-ballasting or ballasting and cargo loading or unloading rates; (81
ballast water is discharged at rates which conform to the loading plan and does
not result in flooding o f the quay or o f adjacent craft; (9) there is agreement
with the terminal representative as to actions in event o f rain, or other change
in weather, when the nature o f the cargo would pose a hazard in the event o f
such a change: (10) no hot work is carried out on board or near the ship w hile
alongside, except with perm ission o f the terminal representative and in
accordance with requirements o f the competent authority (which is the Health
and Safety Executive i f the hot work is undertaken in the UK by shore workers,
whether on board or not); (1 1 ) close supervision o f the loading or unloading
operation and o f the ship during final stages o f the loading or unloading; (12)
the terminal representative is warned im mediately i f the loading or unloading
process has caused damage, has created a hazardous situation, or is likely to do
so; (13) the terminal representative is advised when final trimming o f the ship
has to com m ence in order to allow for the conveyor system to run-off; (14) the
unloading o f the port side closely matches that o f the starboard side in the same
hold to avoid twisting the sh ip’s structure: and (151 when ballasting one or
more holds, account is taken o f the possibility o f the discharge o f flammable
vapours from the holds and precautions are taken before anv hot work is
permitted adjacent to or above these holds.
(1) To com ply with the requirements set out in Schedule 4 o f the SLU Code.
(2) In relation to paragraph 4 o f Part 2 o f Schedule 4, the terminal operator
must provide the information on minimum water depth to the master. (Reg. 8)
The master and the terminal representative must com ply with the requirements
set out in Schedule 5 to the SLU Code. (Rea. 9) These relate to: (11 agreement
on the loading or unloading plan; (2) com pletion o f a ship/shore safety
checklist; (3) effective com munication between ship and terminal; (4) conduct
o f loading or unloading in accordance with agreed plan; (5) formalities on
com pletion o f loading or unloading.
The master and the terminal representative must com ply with the requirements
in the SLU Code, Schedule 6, paragraphs 1 and 2. (Res. 10) Paragraph 1
requires that i f damage to the ship’s structure or equipment occurs during
loading or unloading, it must be reported by the terminal representative to the
master and, i f necessary, repaired. Paragraph 2 requires that i f the damage
could impair the structural capability or watertight integrity o f the hull, or
essential engineering svstem s. the M CA and the competent authority o f the
flag State, or a recognised organisation o f the flag State, must be informed bv
the terminal representative and the master. The decision as to whether
immediate repair is necessary or whether it can be deferred must be taken bv
the M CA, due account being taken o f the opinion, i f any, o f the flag State
administration, or RO. and the master. Where immediate repair is considered
necessary, it must be carried out to the satisfaction o f the master and the MCA
before the ship leaves the port.
(11 Before anv solid bulk cargo is loaded, the master must ensure that he has
received the required cargo information and, where required, a solid bulk cargo
density declaration. This information must be in a Form for Cargo Information,
as set out in Appendix 5 o f the BLU Code, and reproduced in Part 4 o f the
SLU Code'. (21 I f the ship is due to unload solid bulk cargo then the master
must give a copy o f the Form for Cargo Information to the terminal
representative before the unloading operation begins.
The International Maritime Solid Bulk Cargoes (IM SBC ) Code. The code is
made mandatory from 1 January 2011 under Amendments to SO LAS Chapter
VI.
(1) To make the C ode mandatory (the BC Code being only recommendatory
for implementation by States); to draw a parallel with the structure o f the
IMDG C ode (e.g. the Code w ill be review ed every 2 years like the IMDG
190
F380. D oes the IM SBC C ode a ddress the
c arriage o f bulk grain?
F381. H ow is the IM SBC C ode arranged?
F382. H ow does the IM SBC C ode categorise
s o lid bulk cargoes?
F383. What does section 4.8 o f the IM SBC
C ode require w ith re g a rd to docum entation f o r
a ship carryin g dangerous goods?
F384. Is there any p ro visio n in the IM SBC
C ode f o r a su rvey a n d issue o f a ship
certificate to sh ow com pliance w ith the C ode's
requirem ents?
F385. I f there is no requirem ent in the IM SBC
C ode f o r a su rvey a n d issue o f a certificate,
why do som e ships have a Docum ent o f
Com pliance f o r the C arriage o f S o lid Bulk
Cargoes?
F386. I f a sh ip has a D ocum ent o f
Com pliance o r Statem ent o f C om pliance f o r
the C arriage o f S o lid Bulk Cargoes, what w ill
it usually certify?
F387. What is the B C S N o f a bulk cargo?
F388. What are MHB, a n d does the IMSBC
C ode cover their carriage?
F389. U nder the IM SBC Code, w hat cargo
inform ation m ust the sh ipper o f a so lid bulk
cargo p ro v id e to the m aster o r his
representative?
Code); (3) to include references to the m ost recent SO LAS Amendments; and
(4) to add new products and update information for existing cargoes.
No; that remains covered by the International Grain Code.
In 372 pages divided into 13 sections as follow s: 1. General provisions; 2.
General loading, carriage and unloading precautions; 3. Safety o f personnel
and ship; 4. A ssessm ent o f acceptability o f consignm ents for safe shipment; 5.
Trimming procedures; 6. M ethods o f determining the angle o f repose; 7.
Cargoes that may liquefy; 8.Test procedures for cargoes that may liquefy; 9.
Materials possessin g chem ical hazards; 10. Carriage o f solid wastes in bulk;
11. Security provisions; 12. Stowage factor conversion tables; 13. References
to related information and recommendations. There are also 4 appendices as
follows: 1. Individual schedules o f solid bulk cargoes; 2. Laboratory test
procedures, associated apparatus and standards; 3. Properties o f solid bulk
cargoes; and 4. Index (listing Material, Group and References).
In three groups. Group A consists o f cargoes which m av liquefy i f shipped at a
moisture content in excess o f their transportable m oisture limit. Group B
consists o f cargoes w hich possess a chem ical hazard which could give rise to a
dangerous situation on a ship. Group C consists o f cargoes which are neither
liable to liquefy (Group A ) nor to possess chem ical hazards (Group B).
(1) Each ship carrying dangerous goods in solid form in bulk (“solid bulk
DG s”) must have a special list or m anifest setting forth the dangerous goods on
board and their location, in accordance with SO LAS regulation V II/7-2.2. A
detailed stowage plan mav be used in place o f a special list or manifest. (2)
When solid bulk D G s are carried appropriate instructions on emergency
response to incidents involving the cargoes must be on board. (3) Cargo ships
o f 500 GT and over constructed on or after 1 September 1984 and cargo ships
o f less than 500 GT constructed on or after 1 February 1992, subject to SO LAS
regulation II-2/19.4 (or H-2/54.3'1. must have a D ocum ent o f Com pliance when
carrying solid bulk dangerous goods except class 6.2 and class 7.
N o. Although som e industry organisations, such as IA CS, proposed to IM O the
adoption o f Amendments to the IM SBC Code including developm ent o f a
com m on survey and certification schem e and a m odel form o f certificate as a
means o f demonstrating com pliance with the C ode’s technical aspects, this was
rejected by som e M ember States, and it was decided that certification should
be voluntary for shipowners.
Because their owners request, from their classification society, som e form o f
certification as a means o f demonstrating com pliance with the provisions o f the
IM SBC Code to port State control authorities, port authorities and other
interested parties for all cargoes that the ship may carry. (M any shipowners
also obtained a DO C or Statement o f Compliance to show com pliance with the
BC Code before it w as superseded b y the IM SBC Code.)
(1) That the construction and equipment o f the ship have been found to com ply
with the provisions o f the IM SBC Code; (2) that the ship is suitable for the
carriage o f those solid bulk cargoes listed in supplement to the DO C, subject to
the provision s o f the Code, and to SO LAS Chapter V I, and any conditions
stated on the sh ip’s DOC for the Carriage o f Dangerous Goods (issued under
SO LAS regulation II-2/19.4) being com plied with. Supplements to the DOC
include: (1) a List o f Cargoes, showing the Bulk Cargo Shipping Nam e
(B C SN ), U N N o., Class, H old N o. and Footnotes; (2) List o f Footnotes (e.g.
specifying that a suitable instrument for measuring the concentration o f a
specified gas is to be provided, or stow age restrictions); and (3) List o f
Equipment (show ing safety equipment, ventilation system , etc. required in
specified holds).
The IM SBC Code defines it as a name w hich identifies a bulk cargo during
transport by sea. W hen a cargo is listed in the IM SBC Code, the Bulk Cargo
Shipping N am e o f the cargo is identified by capital letters in the individual
schedules or in the index. W hen the cargo is a dangerous good, as defined by
SO LAS regulation V II/1.1, the Proper Shipping N am e o f that cargo is the Bulk I
Cargo Shipping Nam e. The B C SN for “steel turnings”, for exam ple, is Ferrous j
Metal, Borings, Shavings, Turnings o r Cuttings UN2793 in a fo rm liable to s e lf 1
heating. {See the MAIB R eport on the “Sava L ake" accident.)
M HB (Materials Hazardous only in Bulk) are defined as materials which may
p ossess chem ical hazards when carried in bulk other than materials classified
as dangerous goods in the IMDG Code. The IM SBC Code covers their cam age 1
in Section 9 (M aterials possessing chem ical hazards).
“Appropriate information on the cargo sufficiently in advance o f loading to
enable the precautions w hich may be necessary for proper stowage and safe
carriage o f the carpo to be put into effect.” It must be confirmed in writing bv j
“appropriate shipping docum ents” and must be accompanied bv a declaration
THE SHIPMASTER’S BUSINESS SELF-EXAMINED

Cargo-related problems
F390. Whilst loading cotton bales, the c h ie f
m ate reports that som e o f the bales are damp.
What sh ou ld the m aster do ?
F391. What action sh ou ld the m aster take i f
goo d s being loaded, e.g. se c o n d hand cars,
w ere in a d a m aged condition a n d the stevedore
in sisted that this w as norm al?
F392. The m aster o f a ship loadin g apparently
defective g o o d s fe e ls he sh ould m ake rem arks
on the m ate's receipt, but is not certain w hat
rem arks to make. What action sh ould he take?
F393. Why are the rem arks m ade on a b ill o f
ladin g im portant?
F394. A tanker has com pleted loading a n d is
o rd e re d to sea, but the bills o f ladin g have
been p re se n te d f o r signature w ithout an y cargo
fig u re s being inserted. What sh ou ld the m aster
do?
F395. What sh ould a m aster do in the
situation in the previo u s question where he d id
n ot ag ree with the s h ip p e r’s cargo figu res?
F3 96. What sh ould the m aster do i f he is
a sk e d to sign bills o f ladin g which are either
blank o r on ly p a rtia lly com pleted?
F397. What sh ould a m aster do i f stevedores
a re re p o rte d during loading to be urinating in
a corner o f a h old containing sacks o f rice?
F398. What sh ould a m aster do before coils o f
ste e l a re lo a d ed fro m a quayside?
F3 99. What sh ould a m aster d o i f he is asked
to d eliver cargo again st an origin al b ill o f
ladin g c a rrie d on board?
F400. What sh ould a m aster d o i f he is a sked
to p re-date o r p ost-date bills o f lading?
F401. What sh ou ld a m aster do i f he is asked
to re-issue a p reviou sly-issu ed se t o f bills o f
lading?
F402. What sh ou ld a m aster do i f he is asked
to am en d a p reviou sly-issu ed se t o f bills o f
lading?
F403. What sh ou ld a m aster do i f he is asked
to sign blank o r p a rtia lly com pleted bills o f
lading?
F404. In what circum stances m ight two o r
m ore sets o f bills o f ladin g be requ ested b y a
sh ipper?
THE SHIPMASTER'S BUSINESS SELF-EXAMINER
191
(A model Form for Careo Information for Solid Bulk Cargoes is included in
the IM SBC C o d e )
' •■■■;. •
'
Reject the goods Iwith the advice/assistance o f an independent cargo surveyor
where necessary).
The master should accept the goods for carriage on condition that he can issue
a claused bill o f lading stating the nature o f the damage. He is entitled, as the
carrier’s servant, to enter remarks on the bill o f lading as to the apparent order
and condition o f the goods.
Since som e remarks may not be effective in protecting the carrier’s position
against later claim s by third parties, the master should contact the owners’ P&I
club correspondent before making any remarks o f which he w as uncertain.
B ecause certain remarks w ill make a bill o f lading “dirty”, “claused” or “foul”,
with serious consequences for the shipper when he presents a set o f shipped
bills o f lading to his bank and tries to collect early payment for the goods in a
letter o f credit transaction.
If the “Early Dep;uture Procedure” is used in this trade: (1) sign bills o f lading;
(2) return originals to the agent, retaining non-negotiable “captain’s copies”
together with other copy bills for consignees; (3 ) make any necessary protest
regarding the order or condition o f cargo, and allow any investigation to be
com pleted before departure. (4) After departure the agent w ill normally
communicate the shipper’s final loading figures as soon as they are available.
If shore figures are agreed when notified, enter them on captain’s copies and
consignee’s copies o f bills o f lading. The agent w ill com plete the original bills
o f lading and sign them on the master’s behalf. (“Early departure procedure” is
com m only used in the tanker trades.)
Inform the agent, w ho should write a letter o f protest to the shipper on the
master’s behalf and com plete and sign the bills o f lading under protest. The
agent would then release all the original documents to the shipper, w ho would
send them to the consignee.
R efuse to sign, and consult the nearest P&l club correspondent for advice.
Suspend loading in that hold, issue a letter o f protest to the stevedoring
com pany’s manager, and gather evidence (e.g. a photograph, statement from
the OOW, watchman, etc.).
(1) Seek guidance from the P&I club correspondent as to extent o f rusting that
w ill be acceptable. (2) Arrange for an independent pre-load survey o f the steel
coils on the quayside. (3) I f no surveyor is available, carry out a survey in
person, taking photographs o f the steel and recording.
Seek advice from the owners or the P&I club correspondent. They would
probably instruct him to issue a receipt to the shipper or his representative (e.g.
a freight forwarder). He should not accept for carriage original bills o f lading
made out “to order”, or where there w as no named destination or where the
destination was qualified, e.g. “Lands E n d f o r orders/intention L e H avre". He
should not accept original bills o f lading for carriage i f the shipper refuses to
sign the receipt, or i f n o party is named as receiver in the bill o f lading. He
should not discharge against an original bill o f lading carried on board i f the
discharge port is different from the destination shown in the bill o f lading.
Refuse. A shipped bill o f lading should only be dated for the actual date o f
loading, or o f com pletion o f loading.
R efuse, unless with the agreement o f the P&I club correspondent. They would
normally ensure that before a second set is issued, all bills o f lading in the first
set were returned and cancelled or destroyed (hence the requirement for the
number o f B ills in the set to be shown). Each bill o f lading in a new set should
be claused to effect that it is a replacement bill o f lading, with the reason for re­
issue.
Refuse, unless with agreement o f the P&I club correspondent.
Refuse. There m ay be an intention by som eone to com mit a fraud.
Where cargo is shipped by more than one shipper (e.g. at multiple loading
ports), or where cargo is consigned to more than one consignee, or where more
than one type/grade/specification o f cargo is shipped by one shipper.
192
F 405. What sh ould the m aster o f a tanker do i f
tw o o r m ore consignm ents o f oil, sh ip p e d by
different shippers, a re intentionally lo a d ed into
one tank, so that it becom es im possible to
determ ine the respective sh ippers ’ quantities
on com pletion o f loading.
F406. What sh ould a m aster do i f m ultiple
consignm ents are lo a d ed but only one total
fig u re is given on the b ill o f lading?
F407. What sh ould the m aster o f a tanker
which has ju s t com pleting loading do i f the
sh ip 's cargo fig u re is less than the s h ip p e r’s?
F 408. What sh ou ld the m aster o f a tanker
which has ju s t com pleting loading do i f the
sh ip 's cargo fig u re is g re a ter than the
sh ipper's?
F409. What precau tion s sh ould a m aster take
when signing bills o f lading, with re g a rd the
num ber o f originals?
F410. What precaution s sh ou ld a m aster take
when he is requ ired to sign bills o f ladin g
under a charter party, a n d the charterer's bills
are to be used?
F411. What sh ould a m aster do a t a loading
p o r t where a contractual lien f o r dem urrage is
given by the charter p a r ty terms, a n d
dem urrage is due but not paid?
F412. C ould a m aster clause a b ill o f lading
a s in the pre v io u s question without m aking it
"dirty"?
F 413. What sh ould a m aster do i f rusty ste el is
p resen ted fo r loading?
F414. What sh ou ld a m aster do i f a sk e d to
a c ce p t a letter o f indem nity in return f o r
signin g “clean " bills o f lading, when these
w ere not ju stified?
F 415. Why m ight a sh ipper offer a letter o f
indem nity in the case in the p reviou s question?
F416. What is an acceptable letter o f
indemnity?
F 4 1 7. The m aster o f a d ry cargo ship is asked
to discharge cargo onto trucks W ithout
presen tation o f a b ill o f lading by the receiver.
What sh ou ld he do?
F418. Just before sailing, the c h ie f m ate
informs the m aster that the cargo lo a d ed is
4000 tonnes sh ort o f the ch arter p a r ty figure.
What sh ou ld the m aster do?
Endorse and sign separate bills o f lading to the effect that the shipments are
“part cargoes”, or are “part o f a bulk cargo”.
Consult the shipper as to the apportionment o f quantities on the bills o f lading
for each consignm ent. W here no instructions are obtainable, the total quantity
loaded should generally be divided between the b ills o f lading in proportion to
the original split o f the nominated consignm ents.
Enter the ship’s figures on the face o f the bill o f lading. Som e owners require
masters to endorse a bill o f lading w hich does not provide space for the ship’s
figures in the follow ing terms: “ V essel’s m easurem ents are s ta te d below and
this B ill o f L adin g only acknow ledges the shipm ent o f the weight o r quantity
given in the v e s s e l’s m easurem ents on com pletion o f loading." Where the
shipper refuses to accept such an endorsement, write a letter o f protest to the
shipper, pointing out the discrepancy in the figures and stating that the bill o f
lading w ill be signed under protest. Staple a copy o f the letter o f protest to each
negotiable copy o f the bill o f lading (i.e. all bills in the set o f originals).
Enter the shipper’s figures on the bill o f lading. N o letter o f protest is
necessary.
Ensure that the number o f originals shown on the face is the same as the
number o f bills o f lading presented and not marked “N O N-N EG O TIA BLE”.
Check that the charterers’ bills incorporate (by the inclusion o f a Clause
Paramount) the terms o f the Hague Rules or H ague-V isby Rules. If there is no
reference to either rules, seek the advice o f the P&I club correspondent. (Clubs
usually restrict cover to contracts incorporating terms at least as favourable as
those given by the Hague Rules or H ague-V isby Rules.)
Clause the bill o f lading to the effect that demurrage is due but has not been
paid, so that the lien can be exercised i f necessary at the discharge port.
Probably. Where a charter party requires the master to sign “clean” bills o f
lading as presented b y charterers, “clean” has been held to mean only that the
bill o f lading should not be claused to the effect that demurrage was due at the
loading port, without affecting the m aster’s right to clause the bill o f lading as
to the apparent order and condition o f the goods, where necessary.
Clause the bill o f lading w ith an appropriate clause recommended by the P&I
club correspondent.
Refuse in all cases. I f the master signed “clean” bills o f lading where they were
not justified he w ou ld becom e party to a fraud (by the shipper or carrier or
both) on the consignee or another innocent third party to w hom the bill o f
lading may be endorsed, and the ow ners’ P&I club w ould not cover any claim
arising in connection with the matter. On no account should the master issue
clean bills o f lading in return for a letter o f indemnity in these circumstances.
Because the rigid adherence o f banks to the terms o f letters o f credit w ill make
it im possible for the shipper to receive payment on presentation o f bills o f
lading that were anything other than “clean”.
One phrased in terms acceptable to the ow ners’ P&I club and countersigned by
a first class bank or cargo insurance underwriter. Som e clubs print their
standard Lol wording in the club rulebook, which should be on board.
Instruct the agent to inform the receiver so that no cargo can be discharged
until either: (1) an original bill o f lading can be presented; or (2) an acceptable
letter o f indemnity is given by the receiver. The P&I club correspondent should
be informed.
(1) Consult the stevedore, charterers, P&I club correspondent and owners. (The
stevedore or charterers may be able to remedy the shortage). (2) If the m issing
cargo could not be provided, issue a Deadfreight Letter to charterers. (3) N ote
protest and make a record o f this in the OLB.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Section G: Marine Insurance
SHIPOWNERS’ INSURANCE
Types o f marine insurance and marine insurance providers
G l. D oes U K la w require a sh ipow ner to
have m arine insurance co ver against loss o f o r
dam age to his ship?
G2. What basic fo rm s o f m arine insurance
co ver d o U K sh ipow ners usually obtain?
G3. What is P & I c o ve r a n d where does the
ow n er usually obtain it?
G4. H ow d oes a shipow ner n orm ally insure
against th ird p a rty liabilities such as oil
pollu tion claim s, cargo claim s a n d person al
injury claim s?
G5. H ow d oes a sh ipow ner usually obtain
hull a n d m achinery insurance in the UK?
G6. D oes insurance have to be obtain ed
entirely in one m arket?
Employer’s liability insurance
G7. What does U K la w require em ployers to
insure against in resp ect o f th eir em ployees?
G8. Which U K em ployers o f seafarers must
com ply w ith the law in the last question?
INSURANCE LAW AND PRINCIPLES
UK marine insurance legislation
G9. I f a sh ipow ner obtains insurance cover
in the UK, which statute m ust his insurance
conform with?
Types o f policy undeir Marine Insurance A ct 1906
G I0. What two kinds o f p o lic y d oes the
M arine Insurance A ct 1906 recognise?
G II. What is a tim e policy?
G I2. What is a voyage policy?
Marine adventure
G I3. The M arine Insurance A ct 1906 refers
to a m arine adventure. What is this?
Insurance warranties
G14. What is a w arranty in insurance law ?
G15. What types o f w arranty a re there?
G 16. What is the difference between the
effect o f breaching a w arranty in m arine
insurance law a n d in carriage o f g o o d s law ?
G l 7. What geograph ical trading restrictions
a re often a ttach ed to m arine insurance
p o licies?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
193
______ ____ - .......... . - ..........................
N o. Although m ost ships are in practice insured against total loss and damage,
som e prominent British shipowners have successfully operated without
insurance. Lack o f insurance does not mean immunity from claim s, however.
(1) Hull and m achinery insurance; (2) P&I cover; and (3) from Novem ber
2008, bunker oil pollution insurance on a ship o f over 1000 GT. D epending on
their ships’ operations they may require additional insurances against war risks,
freight, demurrage and defence (FD & D ), loss o f hire, strikes, and various other
risks.
Basically it is third party liability insurance, obtained from one o f a number o f
P&I clubs. (See P & I COVER in this Section.)
B y entering his ships with a P&I club. The only third party liability usually
insured by L loyd’s or London insurance com pany underwriters is collision
liability, and this is usually restricted to three-fourths o f the liability or three-
fourths o f the insured value, whichever is less. The shipowner therefore obtains
cover for the remaining one-fourth from his P&I club.
Through an insurance broker, from (1) underwriters at L loyd’s or (2)
com panies at the International Underwriting A ssociation o f London (IU A) or
(3) a combination o f both.
No. The insurance on a high-value vessel (or cargo) may be spread between
several marine markets, including som e abroad such as in N ew York, Hamburg
or Tokyo.
" ‘ ^ •'<' " 1 ? , j
Liability for bodily injury or disease sustained by em ployees during the course
o f their employment.
Employers w ho do not have cover against liability for crew personal injuries,
etc. from a P&I club. (N ot ail shipowners insure their ships in a P&I club.)
The M arine Insurance A ct 1906.
(1) Time policies; and (2) voyage policies.
A policy for a specified period o f cover. Although the period may be o f any
agreed duration, the hull and machinery o f m ost ships is insured on a time
policy with cover com m encing at 0000 hours GM T/UTC on a specified date
and ending exactly 12 m onths later.
A p olicy with cover from one specified place to another. This type o f p olicy is
used m ainly for goods insurance, although som e ships, e.g. on delivery or
scrapping voyages, may be insured on a voyage policy.
A marine adventure occurs when a ship, cargo or other m oveables are exposed
to maritime perils, i.e. are at sea or in port.
.....
A statement o f fact at the time the contract was made, or a promise by the
assured that som ething w ill or w ill not be done, or that som e obligation w ill be
fulfilled, during the period o f insurance. The assured may, for exam ple, give a
warranty that the ship w ill trade only “within Institute W arranty Lim its”, and/or
that it w ill be “c la sse d LR a n d class m aintained".
Express warranties, which are printed in the insurance documents, and im plied
warranties, which apply even though they are not printed. The warranty o f
legality, for exam ple, is an im plied warranty in a marine insurance contract.
Whereas in carriage o f goods law breach o f warranty only allow s the injured
party to sue for damages, in insurance law breach o f a warranty is a breach o f
an essential term, giving the insurer the right to repudiate the contract, i.e. it
has the same effect as a breach o f condition in carriage o f goods law.
In policies to which the Institute Time Clauses - H ulls (1/10/83) are attached,
the shipowner often gives a warranty that the ship w ill trade “within Institute
Warranty Lim its” (IWLs). These prohibit the ship from entering the extreme
northern and southern latitudes and other ice-prone areas o f the world such as
the Atlantic coast o f North America, the Great Lakes, Greenland waters, Baltic
194
Sea, Bering Sea and northern Far East w aters,unless amended terms are agreed;
carriage o f Indian coal in eastern waters during the summer months is also
prohibited. Breach o f IWLs is a breach o f warranty, discharging the insurer
from the contract as a w hole. However, the International Hull Clauses
(01/11/03) include a N avigating Limits clause restricting entry to virtually the
same areas, but which does not operate as a warranty and only deprives the
owner o f cover for loss or damage w hile the ship is within a prohibited area.
Principles o f insurance
G18. What are the three prin ciples o f (1) Indemnity; (2) insurable interest; and (3) utmost good faith.
insurance?
G19. What is the m eaning o f ‘‘indem nity ”? To indem nify is to make good a loss suffered, not by replacement o f the
subject matter lost, but by a financiat payment, i.e. to compensate.
G20. With respect to indemnity, how do es the As: “a contract w hereby the insurer undertakes to indemnify the assured, in the
M arine Insurance A ct 1906 define a contract o f manner and to the extent thereby agreed, against marine losses, i.e. the losses
m arine insurance? incident to a marine adventure”.
G21. H ow does an indem nity operate in non­ An indemnity is for the value o f the subject matter insured at the time o f its
m arine insurance? loss, i.e. the insurers w ill place the assured in the same financial position as he
occupied im mediately prior to his loss. That is w hy insurers w ill assess the
value o f a w ritten-off car before paying a claim.
G22. H ow does an indem nity operate in Because o f the difficulty o f putting a value on ships at sea or on cargoes in
m arine insurance? transit, they are valued at the com m encem ent o f the risk, and the insurers use
that value to determine the measure o f indemnity they w ill give the assured.
G23. What is the ‘‘m easure o f indemnity ” in Where there is a total loss the measure o f indemnity is 100% o f the insured
m arine insurance? value. Where 50% o f subject matter insured is destroyed, the measure o f
indemnity is 50% o f the insured value, etc.
G24. What is m eant by “insurable in terest”? Any assured must have som e legal relationship to the subject matter insured,
and must stand to benefit by its preservation or lose by its loss or damage.
G25. What is to sto p som eone with a m inor The insurable interest o f an assured is limited to the amount which he actually
interest fro m taking out a big policy, in o rd er to stands to lose. The sim plest form o f insurable interest is ownership o f the
m ake m oney fro m a loss? subject matter insured.
G26. What are exam ples o f insurable FOB, CIF and other contracts o f sale define the tim e o f passing o f risk, and
interest? thereby insurable interest, from seller to buyer. A carrier has an insurable
interest in goods because o f his liability to the goods owner. A shipper has an
insurable interest in respect o f any freight prepaid but not earned (e.g. i f the
vessel does not com plete the voyage). The insurer o f a subject-matter insured
has an insurable interest in the risk he has written, allow ing him to re-insure
and spread the risk.
G27. D o sh ip's m asters a n d crew have an Yes. Under the M arine Insurance A ct 1906 the master or any member o f the
insurable interest? crew o f a ship has an insurable interest in respect o f his wages.
G28. What is m eant by “utm ost g o o d fa ith "? Basically, honesty in declaring the facts about the subject matter to be insured.
The assured must disclose to the insurer, before the contract is concluded,
every material circumstance which is known to the assured.
G29. What is an exam ple o f utm ost g o o d It w ould be dishonest for a shipowner not to disclose that his 25-year old vessel
fa ith ? had just failed her 5th special survey. I f the assured fails to make such
disclosure, the insurer may avoid the contract.
Doctrine o f proximate cause
G30. What is the doctrine o f proxim ate Subject to the provisions o f the M arine Insurance A ct 1906 and unless the
cause? policy otherwise provides, an insurer is liable for any loss proximately caused
by a peril insured against, but, subject to the same conditions, he is not liable
for any loss not proximately caused by a peril insured against.
G31. Where there is a chain o f events leading The m ost dominant and effective cause, not the nearest cause in time. For
to a loss, which event is the proxim ate cause? exam ple, i f a ship is scuttled, the proximate cause is the act o f scuttling,
although the nearest cause in time is seawater entering the ship. An assured
who scuttled his ship might claim that a peril o f the seas was the cause o f his
loss, but the insurer w ould not be liable, since scuttling is w ilful m isconduct o f
the assured.

LONDON HULL INSURANCE MARKET PRACTICE

London hull and machinery market
G32. What are the various elem ents o f the
London hull insurance m arket?
G33. A re ships only insured in the London
m arket?
Obtainina hull and machinery insurance
G34. Who is a llo w e d to obtain insurance at
L lo y d ’s?
(1) L loyd’s underwriters; (2) members com panies o f the International
Underwriting A ssociation (IU A ) o f London; and (3) other non-affiliated
com panies (m any o f which are London branches o f foreign insurers).
No. Although a low -value ship m ight be insured entirely in the London marke:
the insurance on a high-value ship is likely to placed in several markets, such
as those in Japan, Germany, Norway, France, U S A and Italy.
Only L loyd’s brokers. Shipowners and other private individuals cannot do
business directly with L loyd’s underwriters.

THE SHIPMASTER’S BUSINESS SELF-EXAMINE =t


G35. What is an underwriter?
G36. H ow does an insurance broker
(traditionally) g o about obtain in g hull a n d
m achinery insurance c o ve r in London on b e h a lf
o f a shipow ner?
Cover under Lloyd’s and Companies iu ll policies
G 37. What c o ve r w o u ld hull a n d m achinery
insurance o b tain ed in London norm ally g iv e a
shipow ner?
G38. Is it im possible to obtain m ore than
three-fourths collision liability cover in
London?
G39. I f a sh ipow ner is only c o v e re d fo r
three-fourths o f his collision liability by his hull
policy, how does he p ro te ct h im self against the
other one-fourth liability?
G40. What clau ses w ou ld p ro b a b ly be
attach ed to a typical hull a n d m achinery p o lic y
obtain ed in London?
G41. What p e rils is a sh ipow ner insured
against under the P erils C lause o f a hull a n d
m achinery p o lic y incorporating the Institute
Time Clauses - H ulls (1/10/83)?
G42. What losses a re U K m arine insurers not
liable fo r under the M arine Insurance A ct
1906?
G43. What is a deductible in a hull a n d
m achinery policy, a n d h ow w ou ld it operate?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
195
An individual w ho accepts and underwrites a risk on behalf his syndicate (in
the case o f a L loyd’s underwriter) or company (in the case o f an IU A or non­
affiliated com pany underwriter).
On instructions from the assured (the shipowner), the broker prepares a
document called a slip for presentation o f details o f the subject matter (the
ship) to underwriters. The broker first takes the slip to an influential lead
underwriter, who, i f he accepts the terms sought, stamps the slip, indicating on
it the percentage o f the risk which he is accepting on behalf o f his (L loyd’s)
syndicate or (IU A ) company, and initialling or signing it. The broker then
approaches a succession o f other underwriters, and in the same way obtains
lines from each o f them, until the risk is totally covered. The broker then
prepares details o f the cover on a cover note and sends this to the assured for
his approval. If the assured approves the terms, a L loyd’s or Companies policy
document is drawn up (depending on where the lead insurance was obtained)
with the relevant clauses attached (e.g. Institute Hull Clauses or American Hull
Clauses, Institute Strike Clauses, etc.).
Cover against: (1) actual total loss or constructive total loss o f his ship’s hull,
machinery and equipment; (2) accidental (particular average) damage to his
ship’s hull, machinery and equipment; (3) three-fourths o f his liability to
owners o f other vessels (or their cargoes) with which his ship collides
(collision liability); (4) liability for general average charges; (5) liability for
salvage charges.
N o. It is possible - for an added premium - to obtain four-fourths collision
liability cover, but three-fourths cover is the basic standard cover in the
London markets. It was originally intended to make shipowners more careful.
B y entering his ship with a P&I club offering collision liability cover (which
m ost o f the clubs do). Protection from this risk w as an original reason for the
formation in the 19th century o f “protecting clubs” by groups o f British
shipowners.
(1) The Institute Time Clauses - H ulls (1/10/83) or the International Hull
Clauses (1/11/03); (2) the Institute Strike Clauses; (3) the Institute War and
Strikes Clauses (H ulls - Tim e) or (H ulls - Voyage); and (4), i f the 1983 ITCs
are used, the Institute Warranties, also called Institute Warranty Limits). The
shipowner instructs his broker as to what cover he requires, e.g. for 12 months,
with strikes and war risks cover, and the broker agrees with the underwriters
for the appropriate clauses to be attached to the policy. In a p olicy for a single
voyage, the Institute V oyage Clauses would be used instead o f Tim e Clauses.
Loss or damage caused by: (1) perils o f the seas, rivers, lakes or other
navigable waters; (2) fire, explosion; (3) violent theft by persons from outside
the vessel; (4) jettison; (5) piracy; (6) contact with land conveyance, dock or
harbour equipment or installation; (7) earthquake, volcanic eruption or
lightning; (8) accidents in loading, discharging or shifting cargo or fuel. The
p olicy also covers loss or damage caused by: (9) bursting o f boilers, breakage
o f shafts or any latent defect in the machinery or hull; (10) negligence o f
Master, O fficers, Crew or Pilots; (11) negligence o f repairers or charterers,
provided such repairers or charterers are not an Assured under the Policy; (12)
barratry o f Master, O fficers or Crew; and (13) contact with aircraft, helicopters
or similar objects, or objects falling therefrom, provided that in these last 5
cases the loss or damage did not result from want o f due diligence by the
assured, owners, managers or superintendents, or any o f their onshore
management (e.g. port captains). (C lause 6 - Perils)
(1) A ny loss attributable to the wilful m isconduct o f an assured (although
unless the policy otherwise provides, the underwriter is liable for any loss
proxim ately caused by a peril insured against, even though the loss w ould not
have occurred without the misconduct or negligence o f master or crew) (e.g.
scuttling). (2) U n less the p olicy otherwise provides, an insurer o f a ship or
goods is not liable for any loss proximately caused by delay, although the delay
m ay be caused by a peril insured against, such as bad weather. (3) U n less the
policy otherwise provides, an insurer is not liable for Ordinary wear and tear,
ordinary leakage and breakage, inherent vice or nature o f the subject matter
insured, or for any loss proxim ately caused by rats or vermin, or for any injury
to machinery not proximately caused by marine perils.
A deductible is a claim value which must be reached before the claim w ill be
met by the insurer, in other words the amount o f the loss which the assured
must bear himself. If, for exam ple, the cost o f repairing grounding damage is
$100,000 and the deductible is $40,000, the insurer w ill pay $60,000 only. N o
claim s arising from an insured peril are payable unless the aggregate o f all such
claim s exceeds the deductible. In return, the shipowner’s premium is reduced.
The more claim s the owner makes in a p olicy year, the higher his deductible is
196
likely to be in the next policy year. The deductible is not applied to a claim for
total or constructive total loss.
G 4 4. What is a D u ty o f the A ssu red (Sue an d An insurance clause that obliges the assured to take all reasonable steps to
Labour) Clause? avert or m inim ise any loss for which a claim would be payable under the
policy; in return, m ost costs incurred in taking such steps are recoverable from
the underwriters. In practice these expenses are called “sue and labour
charges”. Sue and labour charges are supplementary to those covered by the
policy, and do not include expenses incurred in general average or salvage,
these being recoverable separately from the insurer.
G45. What are exam ples o f sue a n d labour (1) Expenses incurred when an insured vessel, in ballast, makes for and enters
charges? a port o f refuge after suffering structural damage at sea. (If she had been laden,
the expenses could have been recovered as general average.) (2) Expenses
incurred in refloating the same vessel.
Particular average and total losses
G46. What is the m eaning o f “average ” in A partial loss o f property exposed to marine perils.
the context o f insurance?
G47. What are the various categories o f loss (1) Total losses, which can be cateeorised as actual total osses fATLs) and
in m arine insurance? constructive total losses (CTLs); and (2) partial losses, usually called
“average”. Average includes particular average or general average.
G 48. What is p a rticu la r average? It can be defined as “a fortuitous partial loss caused by a peril insured against”.
Basically, P A is an accidental partial loss o f insured property, e.g. damage to a
ship’s hull. The costs are claim ed on the hull and machinery insurance policy.
G49. What are the usual types o f dam age (1) Heavy weather damage; (2) grounding/stranding damage; (3) fire or
which are reco vered fro m insurers as explosion damage; (4) collision damage; and (5) contact damage (with fixed or
p a rticu la r average? floating objects).
G50. Where there is a f ir e in a cargo a n d it is The fire dam age to cargo would be settled as particular average, w hile the
extinguished b y releasin g the sh ip's C 0 2, how damage done by the C 0 2 would be settled as general average, since releasing
w ou ld the loss be adjusted? C 0 2 to save the cargo and ship is a general average act.
G51. Who are the f ir s t p e o p le a shipow ner (1) H is insurance broker, w ho w ill take steps to appoint a surveyor to attend on
sh ou ld contact w henever his vessel has been behalf o f underwriters; and (2) an average adjuster, who w ill give the necessary
in volved in a casualty? assistance to protect the shipowner’s position and w ill consider the position o f
other parties such as hull insurers, cargo interests, charterers, owners o f the
colliding vessel and salvors.
G52. In w hat circum stances m ight a If, for example: (1 ) a ship was so badly damaged that the cost o f repairs would
constru ctive to ta l loss be declared? exceed the value o f the repaired vessel (e.g. in the case o f an old single-hulled
tanker); (2 ) a ship was ashore in a position from which it would be difficult to
refloat her without great expense; or (3) a ship was trapped in a war situation
(e.g. as has happened to ships in M iddle East conflicts).
G53. In w hat circum stances m ight an Actual W hen, for exam ple, (1) a ship or cargo is totally destroyed by fire; (2) when a
T otal Loss be declared? ship or cargo is sunk in water so deep that it would be technically impossible to
recover the property.
Insurance claims
G54. I f an insu red loss occurs before a Y es. Under the code o f ethics o f the London market, once an underwriter has
L lo y d ’s p o lic y docum ent has been draw n up initialled or signed a slip, he is honour-bound to pay any claim on it, even
a n d signed, are the underw riters liable to p a y a though the p olicy is not yet drawn up. In any case, the M arine Insurance A ct
claim ? 1906 requires this.
G55. What is the usual insurance claim The assured must contact his broker to initiate the claim s process. Therefore,
p rocedu re fo llo w in g hull dam age to a ship the shipowner’s or manager’s insurance department w ill im m ediately inform
insured a t L lo y d ’s ? the com pany’s broker, who w ill inform the lead underwriter at L loyd’s
(assum ing that the leading line on the slip was that o f a L loyd’s underwriter).
The lead underwriter will instruct a surveyor to ascertain and report the nature,
cause and extent o f damage. The broker then informs the lead underwriter and
L loyd’s Claims O ffice, which acts on behalf o f the other “follow in g”
underwriters. Once the validity o f the claim has been checked and payment
agreed, L loyd’s central accounting system ensures that the claim is paid
directly to the broker’s account and the accounts o f the underwriting syndicates
are duly debited.
Insurance when under tow
G56. I f a ship under tow is not in class but is Hull underwriters normally im pose a warranty and instruct an approved survey j
to be insured f o r her voyage, what step s w ill organisation to make a survey o f the tow ing arrangements to verify that the
the hull u nderw riters p ro b a b ly take to confirm conditions o f the warranty are com plied with. If so, the surveyor w ill issue an
that she is f i t f o r the tow? Insurance Survey Certificate confirming that, subject to the attached conditions |
(e.g. relating to route, weather conditions, towing arrangements, etc.) the vessel I
is fit for the tow.

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P&I COVER
PSJ clubs and liabilities covered
G 5 7. H ow do sh ipow ners obtain cover B y entering their ships with a P&I club (more formally called a protection and
against their th ird p a rty liabilities? indemnity association).
G58. What a re the m ain fun ctions o f a P & I To insure member shipowners and operators against third party liabilities not
club? covered by their hull and machinery policies, and to compensate members for
claim s against them.
G59. What does “P & I” sta n d for? Protection and Indemnity.
G60. What does “P rotection " m ean in the Protection from exposure to the one fourth o f collision liability that London
term “P rotection a n d Indemnity"? hull and machinery underwriters traditionally do not cover.
G 6I. What d oes “Indem nity " m ean in Compensation for club members w ho have paid sum s paid claim s covered by
“P rotection a n d In dem nity”? the club. The club w ill only reimburse a member w ho has first paid a claim.
G62. What is P & l cover? C over provided by a P&I club against liabilities such as: (1) cargo claim s (e.g.
loss o f or damage to cargo); (2) crew claim s (e.g. medical expenses,
repatriation, substitute expenses, compensation for death or injury); (3)
collision liabilities (to the extent that the claim is not covered under the hull
policy); (4) damage to fixed and floating objects (e.g. docks, wharves and
buoys); (5 ) third party injury and death claims (e.g. from crew members,
stevedores and passengers); (6) oil pollution liability (and liability for pollution
by other substances); (7) special compensation payable to salvors in
accordance with Article 14 o f the International Salvage Convention, 1989,
including payments assessed under the SCOPIC Clause; (8) fines for innocent
breaches o f regulations; (9) diversion and other expenses incurred in landing
refugees, sick persons and stowaways; (10) contractual liabilities including
those o f customary towage; and (11) wreck removal costs.
G63. H ow m any P & I clu bs are there? There are 16 major clubs in the International Group o f P&I clubs. O f these, 13
are British in origin, two are Norwegian, one is Sw edish, one is Japanese and
one is American. P&I clubs also operate in other countries.*'' ’ 1
G64. H ow do P & I clubs operate? Each club is controlled by a com m ittee o f directors representing its shipowner
members and is managed by a firm o f managers usually com prising insurance
experts, maritime lawyers and experienced mariners. Each club operates on a
non-profit-making basis, i.e. its incom e from calls on members and
investments must balance claim s paid plus expenses. Large claims are
exam ined by the directors at regular m eetings before a payment is m ade to a
member.
G65. Is P & I c o ver com pulsory f o r N o, but m ost reputable owners enter their ships - som etim es as a fleet - with a
shipow ners? club. Different ships in a com pany’s fleet may be entered with different clubs.
G66. In what circum stances m ight a Failure to adhere to the club’s rules; failure to keep the ship in a good condition
sh ipow n er lose his P & I club cover? or in class, or ISM certified, as required by the clu b’s rules.
G67. What is a deductible in a P & l club A com pulsory excess applied by the club, so that the owner has to bear the first
p o lic y ? part o f each claim him self. This is intended to make the owner more careful in
the management o f his ship.
G68. What is a c a ll in the context o f P&I? A premium levied on a P&I club’s members by the club managers. Advance
calls are levied at the start o f the P&I year (20 February). Later in the year, i f
claim s have been heavier than expected, the managers w ill ask members for a
supplementary call to balance the books.
G69. What is Freight, D em urrage a n d A separate class o f insurance cover offered by the P&I clubs against the costs
D efence (FD & D ) cover? o f legal representation in the collection o f freight or demurrage, or in the
defence o f claim s by consignees, charterers, etc, and in connection with
disputes w ith parties such as bunker suppliers, repairers, ship suppliers, etc.
N ot all shipowners require FD& D cover as w ell as P& l cover.
G70. In what w ay a re P & l clubs concerned W here the shipowner has a liability to a salvor for special compensation, under
with salvage? either Article 14 o f the International Salvage Convention or the SCOPIC
Clause, it is usually covered by his P&l club entry, The clubs are therefore
closely involved in salvage cases, especially where there is risk o f pollution.
p&l club corresr.
G 71. Who a re P & l club correspondents? Representatives (but not agents in the legal sense) which m ost P& l clubs retain
at ports worldwide. A club’s correspondent in a port or country may be a firm
o f insurance specialists who act for more than one club, or a shipbroking or
insurance com pany only occasionally handling P& l business. Correspondents
in the U S are often law firms.
G72. What are the fun ctions o f a P & l d u b To attend a member’s vessel when requested by the master or ship’s agent in
correspondent? order to protect the member’s interests, and to report any occurrence likely to
result in a claim on the club to the clu b’s managers. The correspondent will
appoint surveyors to inspect damage, etc. and may be instructed by the club to
offer a letter o f undertaking in cases o f possible liability. In m ost cases, e.g.
where there has been pollution follow in g a bunkering accident, or jetty damage
caused by a ship, this w ill avert the need for a bond to be posted in order to

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G73. H ow can the local correspondent o f a
s h ip ’s P & l club b e useful to the m aster?
P&l documents carried on board ship
G74. What P & I club docum ents are likely to
be on b o a rd a sea-going m erchant ship?
G75. What is the C ertificate o f Entry?
G76. Is it p o ssib le f o r a sh ip to have two
C ertificates o f Entry issu ed by different P & I
clubs?
G77. F ollow ing an acciden t o r incident likely
to involve the P & l club, w hat d u b docum ent
w ill the m aster n eed to consult?
POLLUTION LIABILITY INSURANCE
See also POLLUTION LIABILITY CERTIFICATES in Section D
Civil Liability Convention insurance requirements
G78. What is the pu rpose o f the C ivil
L iability Convention 1992?
G79. What ships does the C ivil L iability
Convention 1992 apply to?
G80. What is “o il ” defin ed as in the C ivil
L iability Convention 1992?
G81. What does the C ivil L iability
Convention 1992 require with respect to
insurance?
G82. What docum ent m ust be o b tain ed b y a
sh ipow ner a s evidence o f his insurance co ver
against cargo o il pollu tion liability?
Bunkers Convention insurance requirements
G83. What is the p u rp o se o f the Bunkers
Convention, 2001?
G84. What is “bunker o il" defin ed as in the
Bunkers Convention?
G85. What does the Bunkers Convention
require with respect to insurance?
G86. What docum ent m ust be obtain ed by a
sh ipow ner as evidence o f his insurance c o ver
against bunker o il pollu tion liability?
avoid arrest.
B y giving the master advice in any situation which may result in the owners
making a claim on the club, e.g. cargo problems, bill o f lading problems,
discovery or escape o f stow aw ays, a bunker fuel spillage, a personnel accident
on board, or anything else covered by the owner’s entry with the club.
Correspondents are there to protect the ow ners’ interests and reduce their
liabilities wherever possible. A master should consult the local P&I club
correspondent when in any doubt as to the correct action to take, especially
where the local law may require a particular procedure.
A Certificate o f Entry for the ship; the club’s Rule Book; the club’s List o f
Corresponde nts; possibly a List o f Ships entered with the club. M ost clubs
issue loss prevention literature (bulletins, booklets, etc.) for officers’ guidance,
as w ell as a club magazine. Som e also produce loss prevention videos.
A certificate, issued by a P&I club to a vessel entered with the club for cover
against third party liabilities, as evidence o f the contract o f indemnity
insurance between the club and the club member or members named in the
certificate. It show s the risks covered (e.g. “Class 1 Protection and Indemnity
risks”), any inclusions (e.g. “four fourths collision liability in accordance with
Rule . . . ”), any exclusions, and the deductible(s) to be borne by the member.
Yes, i f the insured risks are shared between two P&I clubs. This arrangement is
not uncommon with high-value cruise ships. The percentage o f risk covered by
a club is stated on its Certificate o f Entry.
The List o f Correspondents, so that he can, either directly or through the ship’s
agent, contact the nearest correspondent in order to obtain advice.
To ensure that adequate com pensation is available to persons w ho suffer
damage caused by pollution resulting from the escape or discharge o f oil from
ships. The Convention applies exclusively to pollution damage caused on the
territory including the territorial sea o f a Contracting State and to preventive
measures taken to prevent or m inim ize such damage.
A ny sea-goirtg vessel and seaborne craft o f any type whatsoever constructed or
adapted for the carriage o f oil in bulk as cargo, provided that a ship capable o f
carrying oil find other cargoes shall be regarded as a ship only when it is
actually carrying oil in bulk as cargo and during any voyage follow ing such
carriage unless it is proved that it has no residues o f such carriage o f oil in bulk
aboard. (Art. 1.1)
Anv oersistent hydrocarbon mineral oil such as crude oil. fuel oil. h e a w diesel
oil and lubricating oil, whether carried on board a shin as cargo or in the
bunkers o f such a ship. (Art. 1.5)
The owner o f a ship registered in a Contracting State and carrying more than
2,000 tons o f oil in bulk as cargo must maintain insurance or other financial
security, such as the guarantee o f a bank or a certificate delivered by an
international com pensation fund to cover his liability for pollution damage
under the Convention. (Art. VII)
A Certificate o f Insurance or Other Financial Security in respect o f Civil
Liability for Oil Pollution Damage, also called an O il Pollution Insurance
Certificate (OPIC) or CLC certificate. (F or questions on this, se e PO LLU TIO N
LIABILITY CERTIFICA TES in Section D .)
To ensure the payment o f adequate, prompt and effective compensation for
damage caused by pollution resulting from the escape or discharge o f bunker
oil from ships.
Any hydrocarbon mineral oil, including lubricating oil, used or intended to be
used for the operation or propulsion o f the ship, and any residues o f such oil.
The registered owner o f a ship having a gross tonnage greater than 1000
registered in a State Party must maintain insurance or other financial security,
such as the guarantee o f a bank or similar financial institution, to cover the
liability o f the registered owner for pollution damage.
A Certificate o f Insurance or Other Financial Security in respect o f Civil
Liability for Bunker Oil Pollution Damage, also called a Bunker CLC
certificate. (For questions on this, se e PO LLU TIO N LIABILITY
CERTIFICA TES in Section D .)
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

US pollution insurance requirements
G87. What pollu tion liability insurance is
requ ired f o r a sh ip entering US w aters?
199
.
The O il Pollution A c t 1990 o f the U S A requires the operator o f a tank vessel or
non-tank vessel in U S waters to have oil pollution liability insurance up to
specified limits o f liability, which are periodically revised upwards. A U S
Coast Guard Certificate o f Financial Responsibility (COFR) must be carried by
ships o f over 300 GT to evidence the insurance cover. Certain U S states, e.g.
California, have their own oil pollution insurance requirements.

CARGO INSURANCE
G88. Which p a rty is respon sible f o r Either o f them, depending on the terms o f sale. Under CIF terms, the insurance
obtaining cargo insurance - the se lle r o f goo d s for the entire transit to the CIF destination must be arranged by the seller;
o r the buyer? under FOB terms, insurance from the point o f loading onwards is arranged by
the buyer.
G89. What kinds o f cargo insurance cover A voyage p olicy is usually obtained for a o n e-o ff shipment. Regular shippers
are usually obtained? often buy an open cover.
G90. What is an open cover? A form o f long-term cargo insurance contract covering all goods shipments
forwarded by the assured (i.e. the seller or buyer) during the period o f the open
cover, which is usually 12 months.
G91. H ow does an open co ver operate? The assured must declare all his shipments during the term o f the open cover.
There is no aggregate limit to the value o f all shipments made, but a limit is set
on the amount at risk in any one vessel, and often on the amount at risk in any
one location.
G92. D oes a sep a ra te p o lic y have to be No. Since a formal p olicy docum ent for each shipment w ould take som e time
written f o r each consignm ent o f g o o d s sent to draw up, the insurer allow s the merchant to issue h im self with a Certificate
under an open cover? o f Insurance o ff the open cover for each consignm ent shipped.
G93. H ow is cargo insurance usually Either the seller o f the goods or the buyer (depending on the terms o f sale), or a
arranged? freight forwarder on behalf o f the party bearing responsibility for shipping
arrangements, m ay buy cover directly from an insurance com pany offering
marine goods transit insurance, or from underwriters in the London market, as
for a ship. A basic p olicy docum ent is drawn up with suitable clauses attached.
The c h ief clauses attached to a cargo p olicy obtained in the London market are
the Institute Cargo Clauses “A ”, “B ” or “C” .
G94. What c o ve r do es cargo insurance Institute Cargo Clauses “C” give basic cover against major casualties as well as
arran ged in the U K usually p rovide? general average sacrifice and jettison. Theft is not covered. The “B ” Clauses
extend the “C” cover to include earthquake, volcanic eruption, lightning,
washing overboard, entry o f sea into the vessel, total loss o f packages lost
overboard during loading or unloading. Theft is still not covered. The “A ”
Clauses give cover “Against All Risks o f loss o f or damage to the subject
matter insured”, making the p olicy almost “ fully com prehensive”. However,
ordinary leakage, ordinary loss in weight or volum e, ordinary wear and tear,
inherent vice, arid delay are excluded. The Institute Strikes Clauses are also
added to the policy.
G95. D oes a cargo o w n e r’s insurance p o lic y Y es, i f he obtains insurance in the London market with the Institute Cargo
co ver him f o r his liability to p a y gen eral Clauses attached.
a verage a n d salvage charges?
G96. I f g o o d s are insured by a se lle r (e.g. When the shipping and insurance documents are passed to the buyer, the risk
under CIF sa le terms), a n d are d a m aged in (o f loss or damage) is transferred to him. The p olicy is said to be assigned to
transit, how is it p o ssib le f o r a claim to be the buyer, enabling him to make a claim on it. The buyer can ascertain the
m ade on the insurance? place where claim s are to be made from the Certificate o f Insurance. On a
L loyd’s policy, for example, claim s may be payable by L loyd’s Agent at the
discharge port.

GENERAL AVERAGE See Section 1for the main section on general average
Relationship between general average and m arine iinsurance
G97. H ow is g en eral a verage re la te d to The terms o f a hull and machinery policy usually provide that the insurance
m arine insurance? covers the v e ssel’s proportion o f general average liability. Similarly, cargo
insurance usually covers cargo’s proportion o f general average. Otherwise,
general average and marine insurance are separate areas o f commercial
practice, although partial losses under both are adjusted by average adjusters.

INSURANCE-RELATED ORGANISATIONS
Lloyd’s Agents
G98. What are the fun ctions o f a L lo y d ’s (1) To pass to the L loyd’s market information o f value to underwriters (i.e. to
Agent? act as the “eyes and ears” o f the insurance market); (2) to ensure that surveys
o f cargo and vessel damage (e.g. damage discovered on discharge or on
opening a container at its destination) are carried out; (3) to settle small claims
locally on behalf o f L loyd’s underwriters. (Parallel functions apply to IUA
A gents.) M any o f the casualty reports concerning ships, aircraft, factory

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200
G99. What kind o f enterprises a re L lo y d ’s
A gents?
G100. What kind o f inform ation is p a s s e d to
L loyd's b y L lo y d ’s Agents?
Marino warranty surveyors
G101. What m arine operation s are su bject to
m arine w arranty surveys?
G l 02. What is a m arine w arranty su rvey?
G 103. What are the chieffunctions o f marine
w arranty surveyors?
G104. What is the typical w ordin g o f a tow age
w arranty in a policy?
G 105. What certificate is issu ed by a marine
w arranty su rveyor who Is satisfied that all
recom m endations have been com plied with?
G 106. What w ou ld be the effect on insurance
co ver o f departin g on a tow age voyage in
breach o f the term s o f a m arine w arranty
s u rv e y o r’s Certificate o f A pproval?
Average adjustors
G107. What is an average adjuster?
G I08. Who can appoint an a verage adjuster?
G 109. What claim s do average adjusters
p repare?
G l 10. What fo rm s o f security a re average
adjusters often instructed to collect?
explosions, typhoon and flood damage, etc. published daily in L lo y d ’s List
com e from L loyd’s Agents.
Usually a com pany or firm o f port agents, loss adjusters, brokers, merchants,
etc. closely involved with shipping.
Information on: shipping m ovem ents at the port; casualties; local port
conditions (e.g. congestion, strikes); local weather conditions (e.g. hurricanes,
floods); arrests and detainment o f ships, etc.
; - .
Operations which are insured only i f they m eet the requirements o f a Warranty
Clause in the insurance policy, such as: w et and dry tows; lifting-on and lift-off
o f heavy lifts; offshore installations (including launching, upending, mating,
piling, grouting, positioning, setting and levelling); load-outs and float-outs;
sub-sea operations; and offshore wind turbine installations.
The verification, by a marine warranty surveyor, o f the requirements o f an
insurer specified in a Warranty Clause covering a marine operation, to ensure
that all necessary precautions are taken to avoid loss. A survey typicaSly
includes review o f all relevant documents, condition surveys o f vessels and
equipment, and approval o f marine operations.
To make reasonable endeavours to ensure that the risks associated with the
warranted operations are reduced to an acceptable level in accordance with best
industry practice.
"W arranted tug, tow age a n d stow age arrangem ents to be ap p ro ved b y (nam ed
su rvey organ isation ) an d a ll recom m endations com plied with. ”
A Certificate o f Approval, som etimes called a Warranty Certificate.
Hull and machinery underwriters m ay consider the shipowners to be in breach
o f their cover. P&I cover would probably also be prejudiced.
Se& also GENERAL AVERAGE in Section 1
An expert in the law and practice o f marine insurance and general average who
prepares claim s under marine insurance policies involving loss o f or damage to
vessels, their cargoes and freight. Average adjusters also prepare general
average statements and arrange settlements according to these statements.
Any party involved in a marine claim.
Claims in the areas of: particular average; general average; collision liability;
sue and labour charges; salvage charges; actual and constructive total loss; and
collision recoveries.
General average security and salvage security. (For questions on Salvage
security, see Section Ft. F or questions on gen eral a verage security se e S ection
I.)
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 201
Section H: At Sea
THE VOYAGE
Voyage and passage planning
H I. What is the difference betw een a voyage A voyage extends from berth to berth. Passage (or “sea passage”) is the phase
a n d a p a ssage? o f a voyage between the seaward limits o f pilotage waters at the ports or places
o f departure and destination, usually denoted by “F ull a w a y on passage" and
“E n d o f passage" entries in a bridge movem ent book.
H2. What is a voyage plan? A written plan for the safe execution o f a voyage from berth to berth, as
required by SO LAS regulation V /34 and drawn up in accordance with the IM O
G uidelines f o r Voyage Planning. (The term “passage planning”, used by many
seafarers, is not used by IMO. A ny navigational plan for a sea passage only
should form part o f the more extensive voyage plan.)
H i. Is voyage plann in g a statutory Yes. SO LAS regulation V /34 (Safe navigation and avoidance o f dangerous
requirem ent? situations) provides that prior to proceeding to sea, the master shall ensure that
the intended voyage has been planned using the appropriate nautical charts and
nautical publications for the area concerned, taking into account IMO
G uidelines and Recommendations. The voyage plan must identify a route
which: (1) takes into account any relevant ships’ routeing system s; (2) ensures
sufficient sea room for the safe passage o f the ship throughout the voyage; (3)
anticipates all known navigational hazards and adverse weather conditions; and
(4) takes into account the marine environmental protection measures that
apply, and avoids, as far as possible, actions and activities which could cause
damage to the environment.
H4. Where can the IM O G uidelines f o r The IM O G uidelines f o r Voyage P lanning are in Annex 25 to the M CA
Voyage P lanning a n d the M CA's a d vice on publication Im plem enting SO LAS C hapter V 2002, published in the Statutory
voyage plann in g be found? Publications page o f the Legislation and Guidance section o f the M CA’s
website. The M C A ’s voyage planning advice is in Annex 24 to the publication.
Use o f navigational equipment and systems See also SHIP EQUIPMENT in Section D
H5. Which M N otice contains guidan ce on M GN 379 (N avigation: U se o f electron ic navigation aids). Other guidance is
the use o f n avigational equipm ent a n d system s? contained in the M CA statutory publication Safety o f N avigation -
Im plem enting SO LAS C hapter V, 2002.
H6. Where can the M CA's guidance be In Annex 13 to Safety o f N avigation - Im plem enting SO LAS C hapter V, 2002.
fo u n d on the operation, m aintenance a n d
testin g o f m agnetic com passes?
/stems
I

|
f

H7. What does SO LAS require regarding
the use o f steerin g g e a r a t sea?
H8. What is the MCA 's g iddan ce regarding
the testing o f m anual steerin g at sea?
SO LAS Regulation V /24 ( Use o f heading an d/or track con trol system s) makes
four requirements as follow s. (1) In areas o f high traffic density, in conditions
o f restricted visibility and in all other hazardous navigational situations where
heading and/or track control system s are in use, it must be possible to establish
manual control o f the ship’s steering immediately. (2) In circumstances as
above, the OOW must have available without delay the services o f a qualified
helmsperson w ho must be ready at all times to take over steering control. (3)
The changeover from automatic to manual steering and vice versa must be
made by or under the supervision o f a responsible officer. (4) The manual
steering must be tested after prolonged use o f heading and/or track control
systems, and before entering areas where navigation demands special caution.
The M CA recom m ends that the manual steering be tested at least once a day
and before entering areas where caution is required. During this test, the wheel
(or equivalent) should be engaged and the ship steered by hand.
1
1

Operation o f main source o f electrical

1
s

H9. In w hat circum stances does SO LAS SO LAS Regulation V /25 ( O peration o f main sou rce o f electrical p o w e r a n d
require m ore than one steerin g g e a r p o w e r unit steerin g g e a r) provides that in areas where navigation demands special caution,
to be in operation ? ships must have more than one steering gear power unit in operation when such
units are capable Of sim ultaneous operation.
Use o f AIS See also SHIP EQUIPMENT in Section D
H10. Where can the M CA's guidance be In Annex 17 to ,5afety o f N avigation - Im plem enting SO LAS C hapter V, 2002.
fo u n d on the use o f A IS in ship reporting a n d in
navigation?
H I I. Which M N otices contain guidance on M IN 290 (AIS: A ccu racy o f transm issions); M GN 321 (AIS on double-en ded
the use o f AIS at sea? p a ssen g er fe rrie s) and M GN 324 ( O perational giddan ce on the use o f VHF
radio a n d AIS at sea).
H I2. What cautions sh ou ld be given to (1) That other ships and, in particular, leisure craft, fishing boats and warships,
O O W s regarding the use o f AIS at sea? and som e coastal shore stations including V essel Traffic Service (VTS)
centres, m iaht not be fitted with AIS. (2) That AIS fitted on other ships as a
mandatory carriage requirement, might, under certain circumstances, be
switched o ff on the master’s professional iudeement.

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H I 3. What are the statutory requirem ents
concerning o n board operation o f AIS?
H14. In w hat circum stances m ay the AIS be
sw itch ed off, accordin g to IM O Guidelines?
H I 5. What do IM O G uidelines advise
regarding reporting the action o f sw itch in g o f f
the AIS?
H I 6. What re c o rd sh ould be m ade i f AIS is
sw itch ed o ff a t when under w a v o r a t anchor?
SeaHmrthiness
H I 7. In law, w hat is a seaw orth y ship?
H I 8. What a re “p e rils o f the se a "?
H 19. What a re exam ples o f an unsea worthy
sh ip?
H20. Where a sh ip h a d a defect, what is the
leg a l test (em ployed b y law yers) to determ ine
w hether it w as unseaworthy?
Master’s discretion for safety o f life a id protection o f marine environm ent
H21. D oes any p erso n o r organisation have
the right to interfere w ith the m a ste r’s decisions
when plann in g a voyage o r during a voyage?
H22. In what situations m ight SOLAS
regulation V/34.1 on m a ste r’s discretion apply?
Master’s discretion for ship safety and security
H23. D oes any person o r organisation have
the right to overrule the m aster's decisions
relatin g to the safety a n d secu rity o f the ship?
H24. In w hat situations a t se a m ight SO LAS
regulation XI-2/8.1 on m aster's discretion f o r
ship safety a n d secu rity apply?
H25. A conflict betw een a safety requirem ent
a n d a security requirem ent arises. Which takes
preceden ce?
Paragraph 21 o f IMO G uidelines for the Onboard Operational U se o f
Shipbom e Automatic Identification System s (Resolution A .9 17(22) (reprinted
in M SN 1795) states: “A IS sh ou ld alw ays be in operation when ships are
underw ay o r a t anchor. ” There are, however, circumstances in which AIS may
be sw itched o f f when under w ay or at anchor.
Paragraph 21 o f IMO AIS G uidelines states: “I f the m aster believes that the
continual o peration o f A IS m ight com prom ise the safety o r security o f his/her
ship o r w here secu rity incidents a re imminent, the A IS m ay be sw itch ed off. ”
“U nless it w ou ldfu rth er com prise the safety o r security, i f the sh ip is operatin g
in a m andatory reporting system , the m aster sh ou ld report this action a n d the
reason f o r doing so to the com petent authority. ” This means, for exam ple, the
authority for a mandatory ship reporting system.
A record o f the sw itching-off o f the AIS should be made in the Official Log
Book together with the reason for doing so.
-
A ship which is reasonably fit to encounter the ordinary perils o f the sea on the
intended voyage.
Fortuitous accidents or casualties, peculiar to transportation on navigable
water, such as stranding, sinking, collision, striking a submerged object, or
encountering heavy weather or other unusual forces o f nature. The ordinary
corrosive action o f seawater (which may cause a vessel to leak and founder) is
not a peril o f the sea, since it is not fortuitous, i.e. it does not happen by
chance.
(1) A ship with a defective engine; (2) a ship w ith a defective compass; (3) a
ship with an incompetent engineer or other officer; (4) a ship with deck cargo
stowed in such a w ay as to render the vessel unstable; (5) a ship o f which the
master is not fully conversant with the SMS.
The follow in g question is asked: “W ould a prudent owner have required that
the d efect should be made good.before sending his ship to sea, had he known
o f it?” If the answer is “y es”, the ship w as not seaworthy.
It depends on what the master’s decisions relate to. SO LAS regulation V /3 4 .1
provides that: the owner, the charterer, the company operating the ship as
defined in regulation IX /1. or anv other person shall not prevent or restrict the
master o f the ship from taking or executing any decision which, in the master’s
professional judgement, is necessarv for safetv o f life at sea and protection o f
the marine environment.
Where, for exam ple, a master is put under pressure by the company or
charterers to: (1) take a particular (tim e-saving) route or passage; (2) steam at
an unsafe speed in restricted visibility, e.g. to maintain a schedule; (3) sail with
defective navigational aids or pollution prevention equipment; (4) sail short-
handed without flag State sanction; (5) delay acceptance o f an offer o f salvage
assistance when the master considers it to be urgently needed; (6) sail when a
storm is imminent; (7) discharge all ballast whilst anchored o ff a lee shore, in
preparation for fast loading. (There may be many other situations.)
See also Master’s discretion for ship safety and
No. SO LAS regulation XI-2/8.1 provides as follows: “The m aster sh all not be
c on strain ed b y the Company, the ch arterer o r any other p erso n from taking o r
executing any decision which, in the profession al ju d g em en t o f the master, is
n ecessary to m aintain the safety a n d security o f the ship. This includes denial
o f access to p e rso n s (except those iden tified as duly auth orized b y a
C ontracting G overnm ent) o r their effects a n d refusal to lo a d cargo, including
containers o r o th er c lo se d cargo transport units. ”
Where, for exam ple, a master is under pressure to refrain from: (1) switching
o ff the AIS when the master considers it to be prudent to do so in a particular
area; (2) operating at a higher security level than that set by the flag State when
the master considers it prudent to do so in a particular place or area; (3)
searching personnel seeking access to the ship (e.g. pilots, mooring personnel,
etc.) when the master considers it prudent to do so.
The safety requirement. SO LAS regulation X I-2/8.2 provides as follows: “If,
in the profession al ju dgem en t o f the m aster, a conflict betw een any safety a n d
secu rity requirem ents applicable to the ship arises during its operations, the
m aster m ust g iv e effect to those requirem ents necessary to m aintain the safety
o f the ship. In such cases, the m aster m ay im plem ent tem porary security
m easures a n d m ust inform the f la g State A dm inistration and, i f appropriate,
the p o r t State. ”
THE SHIPMASTER’S BUSINESS SELF-EXAMINE-
 Ship security at sea
H26. Whose respon sibility is it to se t the
! security level f o r UK ships?
):
H27. I f TRANSEC se ts a secu rity level a t 2 o r
3, what must a U K sh ip do?
H28. What is a sh ip secu rity a lert system
(SSAS')?
H29. Who m ay the C om petent A uthority be,
f o r pu rposes o f receiving ship secu rity a lerts
fro m a UK ship?
H30. I f a U K ship transm its a sh ip security
alert, who w ill receive it?
H 31. What inform ation is given in a ship
security alert?
H32. May the ship secu rity a lert system
utilise the radio installation p ro v id e d fo r
com pliance with SO LAS chapter IV?
H33. What inform ation sh ould be in the ship
secu rity plan concerning the ship secu rity alert
system ?
H34. Which M N otice contains g uidan ce on
m easures to counter piracy?
H35. I f a ship is atta ck ed in the G u lf o fA d en
o r Som alia region, who sh o u ld d e ta iled reports
be sent to. a n d w here can contact d eta ils be
foun d?
H36. I f a U K ship is atta ck ed outside the G u lf
o f Aden o r Som alia region, who sh ou ld reports
be sen t to?
H37. Who sh ou ld a p ira c y report be sen t to i f
the Rescue an d C oordination Centre (RCC)
cannot be contacted?
H38. Should a m essage sent when a ship is
under attack by p ira tes be a distress m essage o r
an urgency m essage?
II39. What is a sum m ary o f the key m essages
contain ed in M G N 420?
H40. What plan does M G N 420 a dvise all
U K ships operatin g in w aters where p ira c y
incidents occu r to have, a n d what sh ou ld it
cover?
H 4I. What shipping industry advice and
guidan ce sh ould be consu lted a n d a d h ered to
b y any ship intending to transit the G u lf o f
Aden o r seas o f f the co a st o f Som alia?
H 42. What is the legal definition o f piracy?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
See also Pre- Arrival Notification later in this Section
SOLAS regulation XI-2/3.1 reauires flae State Administrations to set securitv
levels and ensure security level information to ships entitled to fly their flag.
TRA NSEC (the Transport Securitv and Contingencies Directorate o f the
Department for Transport, or D fT) sets the security level for UK ships.
A cknow ledge receipt o f the instructions on change o f the security level. (ISPS
Code, P art A, 7.5)
A system required by SO LAS regulation X I-2/6 to be provided to all ships
covered by the ISPS Code that, when activated, w ill initiate and transmit a
ship-to-shore securitv alert to a com petent authority designated bv the flag
State Administration, which in these circumstances m ay include the Company,
identifying the ship, its location and indicating that the security o f the ship is
under threat or has been compromised. The SSA S must not send the security
alert to any other ships, or raise the alarm on board the ship, and it must
continue the ship security alert until deactivated and/or reset. The SSA S must
be capable o f being activated from the navigation bridge and at least one other
location.
(1) The Company; (2) the com pany that provides the SSA S equipment and
receives the alert: or (3) a third party contracted by the Company. (Other Red
Ensign Group Administrations have different requirements on this subject.)
(1) M RCC Falmouth; (2) the Company Security Officer. (See a lso Ship
secu rity a lert system in Section D.)
(1) The ship’s identity; (2) the ship’s location; and (3) an indication that the
security o f the sh ip is under threat or has been compromised.
Yes. It m ay also utilise other radio system s provided for general
com m unications or a dedicated radio system.
(1) Identification o f the locations for activation o f the SSAS; (2) procedures
and instructions for the use o f the SSA S, including testing, de-activation,
resetting and lim iting false alerts (this may be documented as a separate part o f
the SSP and kept elsewhere); and (3) SSA S testing procedure (6-m onthly and
annually with Falmouth MRCC).
M GN 4 2 0 - M easures to Counter Piracy, Armed Robbery and other Acts o f
V iolence against Merchant Shipping. It replaced M GN 298.
Maritime Security Centre (Horn o f Africa) (M SCH O A), U K Maritime Trade
Operations Dubai (UKM TO Dubai) and the International Maritime Bureau
(IM B) Piracy Reporting Centre, Kuala Lumpur. (M G N 420, 32.1) Contact
details are in MGN 420.
An immediate post attack report should be made to the relevant R escue and
Coordination Centre (RCC) and through them to the law enforcement agencies
or naval authorities o f the port or Coastal State. (M G N 420, 32.2)
The International Maritime Bureau (IM B) Piracy Reporting Centre, Kuala
Lumpur. (M G N 420, 2.4) Contact details are in para. 39.1 o f M GN 420.
If, in the opinion o f the master, the ship or crew are in grave and imminent
danger requiring immediate assistance, the master should immediately
authorise the broadcast o f a distress m essage. (M G N 420, 2.6)
( 1) Plan the voyage. Carry out a risk assessm ent and make an assessm ent o f the
measures required when transiting high-risk areas. (2) M any attempted piracy
and armed robbeiy “attacks” are unsuccessful, countered by ships’ crew who
have planned and trained in advance. (3) B e vigilant. (4) Maintain high speed
where possible in high-risk areas. (5) Good communications with relevant
authorities is vital. Report to the relevant authorities before, during or after an
attack.
A counter-piracy plan. This should cover: (1) The need for enhanced watch
keeping; (2) use o f lighting and surveillance, detection or perimeter protection
equipment; (3) the need for high speed and evasive manoeuvres; (4) crew and
passenger response i f a potential attack is detected or an attack is underway; (5)
radio and alarm procedures to be follow ed; (6) reports to be made after an
attack or attempted attack; (7) training to ensure crew react consistently to an
incident; and (8) specific procedures to register the ship with naval authorities
i f transiting through the G ulf o f Aden or o ff the coast o f Somalia, if
appropriate.
B est M anagem ent P ractices to D e ter P iracy in the G u lf o f Aden an d o ff the
C oast o f Som alia, published jointly by Intertanko, ICS, OCIMF, BIMCO,
SIGTTO, Intercargo, International Group o f P&I Clubs, CLIA, IUMI, JHC,
IMB and ITF.
UN CLO S Article 101 defines piracy as: “(a) any illegal acts o f violence or
detention, or any act o f depredation, committed for private ends by the crew or
204
H43. I f a rm ed stow aw ays em erge a n d attack
a ship on the high seas, is it legally piracy?
H44. I f terrorists attack a ship on the high
seas f o r p o litica l ends, is it legally piracy?
H45. I f p ira c y is an attack on a ship on the
high seas, w hat sh ou ld a sim ilar attack on a
sh ip within territorial w aters be called?
H46. Which IM O convention w as intended to
“p lu g the g a p s ” in the UNCLOS definition o f
p ira cy?
Prohibited or restricted sea areas
H47. In w hat se a area s a re U K m erchant
ships su bject to statutory entry restrictions?
H48. Under w hat conditions is a U K ship
p e rm itted to enter the A ntarctic area?
H49. What organisations m ight im pose
restrictions on the trading a rea o f a ship?
H50. What g eograph ical trading restrictions
are often a ttach ed to m arine insurance
policies?
H 5I. What is a w a r zone, a n d which body
designates a reas as w a r zones?
H52. What w ould b e the effects o f breaching
any plyin g lim its im posed by the MCA?
H53. In U K law, w hat is a tem porary
exclusion zon e (TEZ)?
H54. What is the p e n a lty f o r unauthorised
presen ce in o r entry into a U K tem porary
exclusion zone?
Offshore renewable energy installations (OREIs)
H55. Where can the M C A 's guidan ce be
fo u n d concerning n avigational safety in the
vicinity o f offshore renew able energy
installations (OREIs)?
National claims to maritim e jurisdiction
H56. What zon es o f coa sta l State ju risdiction
does UNCLOS p ro vid e fo r ?
the passengers o f a private ship or a private aircraft, and directed: (i) on the
high seas, against another ship or aircraft, or against persons or property on
board such ship or aircraft; (ii) against a ship, aircraft, persons or property in a
place outside the jurisdiction o f any State; (b) any act o f voluntary participation
in the operation o f a ship or o f an aircraft with knowledge o f facts making it a
pirate ship or aircraft; (c) any act o f inciting or o f intentionally facilitating an
act described in subparagraph (a) or (b)”.
Under the UN CLO S definition, no.
Under the UN C LO S definition, no.
Armed robbery. (The law o f the coastal State may use another term.)
The Convention for the Suppression o f Unlaw ful Acts Against the Safety o f
Maritime Navigation, 1988 (also called the SU A Convention or Rome
Convention).
in: (1) Antarctica (as defined bv the Antarctic Act 1994, i.e. all sea south o f
60°S); in (2) safetv zones around offshore installations; and (3) in anv
tcmnorarv exclusion zone (TEZ) established in UK waters or on the UK
continental shelf.
If: ( ! ) it has sufficient capacity for the retention on board o f all garbage w hile
operating in the area; and (2) it has made arrangements for the discharge o f
retained garbage at a reception facility after it leaving the area. It must also
hold an entry permit issued under Section 5 o f the A ntarctic A ct 1994 (although
a permit is not required for a ship in transit through the high seas o f Antarctica
to an immediate destination outside Antarctica).
(1) The classification society (on the Certificate o f Class); (2) the hull and
machinery insurers (see below); and (3) in relation to safety certificates, the
flag State Administration. Passenger ships on international voyages have
written Operational Limitations; UK passenger ships on dom estic voyages
have plying lim its set by the M CA.
The Institute Warranty Lim its are often attached to policies containing the
Institute Tim e Clauses - H ulls (1/10/83). They prohibit ships from entering the
extreme northern and southern latitudes and other ice-prone areas o f the world
such as the Atlantic coast o f North America, the Great Lakes, Greenland
waters, Baltic Sea, Bering Sea and northern Far East waters unless amended
terms are agreed; carriage o f Indian coal in eastern waters during the summer
months is also prohibited; The more m odem (but less com m only used)
International Hull Clauses (01/11/03) include a Navigating Limits clause
containing restricting entry to the Arctic, Northern Seas, Baltic, Greenland,
North America (east), North Am erica (w est), Southern Ocean,
Kerguelen/Crozet, East A sia and Bering Sea.
A war zone is a geographical zone declared by marine insurers to be an area o f
increased risk (to hulls) due to war, strikes, terrorism and related perils (which
include piracy). For the benefit o f the London insurance market, the Joint War
Committee (JWC) periodically updates a list called the Hull War, Strikes,
Terrorism and Related Perils - Listed Areas.
Invalidation o f statutory certificates. This would have the knock-on effects o f
making the ship: (1) legally unseaworthy; (2) out o f class; and (3) uninsured.
A zone, designated by the M CA under powers in section 100A o f the M erchant
Shipping A ct 1995, around a casualty in the U K territorial sea or on the UK
continental shelf, where there is a threat o f pollution or damage to persons or
property from the casualty. (Several other countries have similar laws
permitting the establishment o f TEZs.)
On summary conviction, a fine o f up to £50,000.
In M GN 372 (Offshore Renewable Energy Installations (OREIs): Guidance to
mariners operating in the vicinity o f U K OREIs). The notice concerns wind
farms as well as w ave and tidal power installations.
(1) Internal waters (under Article 8); (2) territorial sea (Article 3); (3)
Archipelagic Waters (Article 49); (4) contiguous zone (Article 33); (5)
exclusive econom ic zone (EEZ) (Article 55); and (6) continental sh elf (Article
77).
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

H57. What does "U K w aters" mean, w here
this term appears in U K legislation?
Baselines and internal waters
H58. Where is the baseline fro m which the
breadth o f the U K 's territorial se a is
m easured?
H59. What a re w aters to lan dw ard o f a
S ta te ’s baselines called, a n d to what extent
d oes the State have ju risd ictio n o v er sh ips in
them?
H60. In w hat circum stances do fo re ig n f la g
vessels have a right o f innocent p a ssa g e
through a S tate's internal w aters?
H 6I. D o coastal States gen erally enforce
their own law s on fo reig n fla g vessels in their
internal w aters?
Territorial sea
H62. What is the territorial se a o f a S tate?
H63. What is the maximum width o f
territorial se a a llo w e d under UNCLOS?
H64. What width o f territo ria l se a is claim ed
b y the UK?
H65. D oes the U K recognise claim s to
territorial se a s exceeding 12 nautical m iles?
H66. Which States claim a territorial se a o f
m ore than 12 nautical m iles?
H 67. What basic right does any m erchant
sh ip have in a coastal S tate's territorial sea?
H68. When is p a ssa g e con sidered under
UN CLO S to be “innocent"?
H 69. When w ill p a ssa g e o f a fo reig n ship be
con sidered under UN CLO S to be preju d icia l to
the peace, g o o d o rd e r o r security o f the coastal
State?
H70. A UK sh ip is on p a ssa g e through the
territorial sea o f anoth er coastal State. In what
circum stances m ay the c o a sta l State exercise
crim inal ju risdiction o v er her?
H71. H ow can the m aster o f a U K ship
determ ine w hether his ship is in a coastal
S tate's territorial sea?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
205
The sea or other waters (such as internal waters and categorised waters) within
the seaward limits o f the territorial sea o f the UK .
Generally, the baseline is the low-water line round the coast, including the
coast o f all islands, but between Cape Wrath and the Mull o f Kintyre it is a
series o f straight lines joining specified points to seaward o f the islands o ff the
coast. Where there are w ell-defined bays elsew here, lines not more than 24
nautical m iles in length are drawn across them.
They are called internal waters, and they form part o f the sovereign territory o f
the coastal State. A ll vessels, whether owned privately or com mercially, by the
act o f voluntarily entering internal waters, place them selves within the
jurisdiction o f the coastal State.
In three cases: (1) when baselines which have been redrawn enclose waters
previously to seaward o f the baselines; (2) in cases o f fo rc e m ajeure, i.e. when
vessels enter internal waters involuntarily, e.g. due to distress, stress o f weather
or mechanical breakdown (in such cases jurisdiction remains with the flag
State); (3) in the case o f warships and other public vessels: these are granted
special status in international law as they are regarded as agents o f the
sovereign. (A ll sovereigns are immune from the jurisdiction o f other States and
their vessels are granted immunity, provided they enter internal waters with the
coastal State’s consent.)
N o, except where their “particular interests are engaged”, e.g. when an offence
by a vessel affects the peace and good order o f the port (including breach o f
custom s and immigration regulations), or when the master o f the vessel
requests the coastal State to assert jurisdiction (e.g. when passengers are
disorderly), or when a person other than a crew member (e.g. a stevedore) is
involved, or when the vessel breaches local regulations on pollution,
navigation, pilotage, etc.
A band o f sea, bordering a coastal State’s baselines, to which the sovereignty
o f the State is extended.
12 nautical m iles from the baseline. Several States claim more than this,
however, som e as much as 200 nautical miles.
12 nautical m iles. The U K ’s old “3-m ile limit” was raised to 12 m iles with the
passing o f the Territorial Sea A ct 1987.
N o. However, UK (and other) merchant ships should observe a coastal State’s
laws within its claim ed lim its, in order to avoid arrest and voyage delays.
Benin, C ongo (formerly Brazzaville), Ecuador, Peru and Somalia all claim 200
nautical m iles, w hile T ogo claim s 30 nautical m iles. (N otice 12. Annual
Sum m ary o f A dm iralty N otices to M ariners, 2 6 D ecem ber 2 0 0 9 edition)
The right o f innocent passage through the territorial sea. (There is no such right
in the State’s internal waters.)
Passage is innocent so long as it is not prejudicial to the peace, good order or
security o f the coastal State.
Tf, in the territorial sea, the ship engages in any o f the follow in g activities: (1)
anv threat or use o f force against the sovereignty, territorial integrity or
political independence o f the coastal State, or in any other manner in violation
o f the principles o f international law em bodied in the Charter o f the UN ; (2)
any exercise or practice with weapons o f any kind; (3) any act aimed at
collecting information to the prejudice o f the defence or security o f the coastal
State: (41 anv act o f propaganda aimed at affecting the defence or security o f
the coastal State; (5) the launching, landing or taking on board o f any
aircraft: (6) the launching, landing or taking on board o f anv military
device: (7) the loading or unloading o f any com modity, currency or person
contrary to the custom s, fiscal, immigration or sanitarv laws and regulations o f
the coastal State; (8) any act o f w ilful and serious pollution contrary to
UNCLOS: (9) anv fishing activities: CIO) the carrying out o f research or survev
activities; (11) any act aimed at interfering with anv system s o f communication
or anv other facilities or installations o f the coastal State: or ( 12) anv other
activity not having a direct bearing on passage.
(1) If the consequences o f a crime on or by the ship extend to the coastal State;
(2) i f a crime on or by the ship disturbs the peace o f th e country o r the g o o d
order o f the terri torial sea; (3) i f the master, or an agent o f the ship’s flag State
(e.g. a British consul) requests the coastal State to exercise jurisdiction; or (4)
i f jurisdiction is necessary to suppress the illicit traffic o f narcotic drugs or
psychotrophic substances.
B y fixin g the ship’s position and then checking Annual N otice to Mariners N o.
12 (National Claims to Maritime Jurisdiction). This lists, for all maritime
States, the width o f the territorial sea (TS), contiguous zone (CZ), exclusive
206
I econom ic zone (EEZ), and (where no EEZ is claim ed) fishery zone (FZ).
Contiguous zone
; H 72 What is a contiguous zone, an d to w hat
extent does a coa sta l State have ju risdiction
over ships in its contiguous zone?
H 73 H ow f a r fro m the baseline can a
- ontiguous zon e extend?
H74. On a U K ship, how can it be
ascertain ed whether a coastal State claim s a
1 contiguous zone?
. H75. What are exam ples o f possible
situations when a c o a sta l State m ight exercise
its p ow ers in its contiguous zone?
H76. D oes the U K claim a contiguous zon e?
Straits transit passage
H77. A U K ship is steam ing out o f the
C aribbean through a narrow stra it betw een two
islan d States. What rights o f passage, if any,
d oes the sh ip have?
Passage through archipelagic waters
H78. What is an archipelagic State?
H79. What are arch ipelagic w aters?
H80. What are arch ipelagic se a lanes?
H81. What basic right under UN CLO S does
a fo reig n m erchant sh ip have in archipelagic
w aters?
H 82. What additional right under UNCLOS
d oes a fo re ig n m erchant ship have in
archipelagic w aters?
Continental shelf
H83. What is the continental s h e lf o f a
c o a sta l State?
H84. What a re the benefits to a coastal State
o f establishing the boundaries o f the
continental shelf?
H85. What lim its does UNCLOS se t f o r the
boundary o f a coastal S tate's continental shelf?
H86. Where a coastal State exercises rights
on its continental shelf, w hat rights does it have
concerning safety zones?
'
A zone bounding a coastal State’s territorial sea in which the State may
exercise the control necessarv to: H I prevent infringement o f its customs,
fiscal, immigration or sanitarv laws and regulations within its territory or
territorial sea; and (2) punish infringement o f these laws and regulations
com mitted within its territory or territorial sea.
12 nautical m iles beyond the claim ed territorial sea limit. (The UK does not
recognise claim s to contiguous zones exceeding 24 nautical m iles from
baselines.)
B y checking N otice N o. 12 in the Annual Sum m ary o f A dm iralty N otices to
M ariners. This gives the outer limit o f the contiguous zones o f each State that
claim s one; in m ost cases this is 24 m iles or 18 m iles, but for North Korea ir is
50 m iles.
Operation o f a shipboard casino or shop (fiscal law); arrival with foodstuffs
from certain countries (sanitary law); arrival with people from certain countries
(sanitary law) or rescued persons, refugees or migrants (immigration law).
No.
- . ' . i . .' • ■ -, ■ • 7"
The right o f straits transit passage under UN CLO S Article 38. States bordering
straits m ay not impede transit passage and must give appropriate publicity to
any navigational dangers. Transit passage cannot be suspended, but coastal
States have a limited right to regulate passage through straits. They may
establish sea lanes and traffic separation schem es which vessels must observe.
A State constituted w holly by one or more groups o f islands, including parts o f
islands, interconnecting waters and other natural features which are so closely
interrelated that these islands, waters and other natural features form an
intrinsic geographical, econom ic and political entity, or have been regarded
historically as such. Examples are: Philippines; Indonesia; Bahamas; Fiji;
Vanuatu; Kiribati; Marshall Islands; Jamaica; M aldives; Trinidad and Tobago.
Waters established for m id-ocean archipelagic States. They have a similar
status to that o f the territorial sea, but the coastal State is bound by a number o f
additional obligations regarding access to traditional fishing grounds, for other
legitimate activities and for the maintenance and replacement o f existing
submarine cables.
Sea lanes designated in accordance with U N C LO S Article 53, paragraph 1 by
an archipelagic State as being suitable for the continuous and expeditious
passage o f foreign ships through its archipelagic waters and the adjacent
territorial sea.
Under UNCLOS Article 52, a right o f innocent passage through archipelagic
waters in accordance with U N C LO S Part 11 Section 3 (Innocent Passage in the
Territorial Sea).
Under UN C LO S Article 53, a right o f archipelagic sea lanes passage, which is
the exercise in accordance with U N C LO S o f the right o f navigation in the
normal mode so lely for the purpose o f continuous, expeditious and
unobstructed transit between one part o f the high seas or an exclusive
econom ic zone and another part o f the high seas or an exclusive econom ic
zone.
•- % ■' ... •: .
It is defined in UN CLO S Article 76 as the seabed and subsoil o f the submarine
areas extending beyond the territorial sea throughout the natural prolongation
o f it land territory to the outer edge o f the continental margin, or to a distance
o f 2 0 0 m iles from the baselines from which the breadth o f the territorial sea is
measured where the outer edge o f the continental margin does not extend up to
that distance.
The rights to the “mineral and other non-living resources o f the sea-bed and
subsoil together with living resources belonging to sedentary species” on the
continental sh elf (but not the resources o f the water column above it) are
exclusive to the coastal State. Oil and gas exploration and production, and
seabed mineral m ining can therefore be controlled, generating State income
through licences, royalties and taxes.
It may be either 350 nautical m iles (nm) from baselines or 100 nm from the
2500-m etre isobath (a line connecting depths o f 2500 m), whichever is greater
Safety zones o f not more than 500 metres may be established within which the j
coastal State “may take appropriate measures to ensure the safety o f navigation j
and o f the artificial islands, installations and structures” within them. (Safety
zones have been established around oil and gas installations on the U K
THE SHIPMASTER’S BUSINESS SELF-EXAMINE-
 207
continental sh elf and legislation has extended U K civil and criminal
jurisdiction to them.)
H87. D oes the U K exercise rights o v e r the Y es. The Continental S h e lf A c t 1964 gave the UK Government rights over the
resources o f its contin en tal shelf? continental sh elf and led to the division o f the shelf, for licensing and
exploitation purposes, into quadrants and blocks. The boundaries o f the shelf,
originally set in the C ontinental S h elf (D esignation o f A reas) O rder 1964, have
been extended since 1964 by several C ontinental S h elf (D esignation o f
A ddition al A reas) O rders.
Exclusive economic zone (EEZ)
H88. What is an exclusive econom ic zone, o r A zone beyond and adjacent to a State’s territorial sea in which the State has
EEZ? sovereign rights and duties in relation to the zon e’s natural resources, e.g. fish,
oil, gas and minerals. (The State can license fishing, drilling, and the
installation o f wind farms, for exam ple.) Freedom o f navigation in the EEZ is
the same as on the high seas, but in the interests o f safety near offshore
installations, the coastal State may restrict navigation.
H89. I f a State claim s an exclusive econom ic Sovereign rights for the purpose o f exploring and exploiting, conserving and
zon e (EEZ), w hat rights do es the State h ave in m anaging the natural resources, whether living or non-living, o f the waters
the zone? superjacent to the sea-bed and o f the sea bed and its subsoil, and with regard to
other activities for the econom ic exploitation and exploration o f the zone, such
as the production o f energy from the water, currents and winds.
H90. H ow f a r fro m the baseline can a c o a sta l 200 nautical m iles from baselines.
S tate's EEZ extend?
H91. What is the U K ’s p osition in respect o f The UK does not claim an EEZ and does not recognise claim s to EEZs
EEZs? exceeding 200 nautical m iles. (Fishing can be controlled in the U K ’s 200-m ile
extended fishing zone, w hile offshore oil and gas are controlled on the UK
continental shelf.)
Renewable Energy Zone (REZ)
H92. What is the U K ’s Renew able Energy A zone established under the Energy A ct 2004 beyond the limits o f the U K
Zone (REZ)? territorial sea, in which the U K can exercise rights over the production o f
energy from water or winds. The REZ is similar in function and extent to an
exclusive econom ic zone (EEZ). U K criminal and civil law are extended to the
REZ. The U K Government issues licences to developers o f wind farms, etc.
High seas
H93. What a re the high seas? The Convention on the High Seas, 1958, defines “high Seas” as “a / / p a rts o f
the se a that a re not inclu ded in the territo ria l se a o r in the internal w aters o f a
State”. UN CLO S does not actually define “high seas”. H owever, UNCLOS
article 86 states that the provisions o f Part VII (H igh Seas) apply to all parts o f
the sea that are not included in the exclusive econom ic zone, in the territorial
sea or in the internal waters o f a State, or in the archipelagic waters o f an
archipelagic State.
H94. Where the c o a sta l State has d e cla re d an I f an EEZ has been declared, the coastal State’s rights and jurisdiction are
EEZ, where d o the high sea s com m ence? increased to the extent that the EEZ can no longer be described as high seas. (If
there is no EEZ, high seas com m ence at the outer limit o f the territorial sea.)
H95. What freed o m s does "freedom o f the Freedom: (1) o f navigation; (2) o f overflight; (3) to lay submarine cables and
high sea s ” com prise? pipelines; (4) to construct artificial islands and other installations permitted
under international law; (5) o f fishing; and (6) o f scientific research.
H96. Which sh ips on the high seas have Warships and ships ow ned or operated by a State and used only on government
com plete immunity under UN CLO S fro m the non-com m ercial service have immunity under U N CLO S Articles 95 and 96
ju risd ic tio n o f any State other than the fla g respectively.
State?
H97. In the event o f a collision o r other Under UNCLO S Article 97, no penal or disciplinary proceedings may be
incident o f navigation involving a ship when on com m enced against the master or any other person in the service o f the ship,
the high seas, which authorities have p e n a l o r except by the judicial or administrative authorities either o f the flag State or the
disciplin ary p o w e rs o v er the ship? State o f which that person is a national.
H98. What rule d o es UN CLO S m ake Under Article 105, on the high seas, or in any other place outside the
regardin g the seizure o f p ira te ships? jurisdiction o f any State, every State m ay seize a pirate ship, or a ship taken by
piracy and under the control o f pirates, and arrest the persons and seize the
property on board.
H99. In what circum stances does a w arship Under Article 110 a warship has a “right o f visit” if there is reasonable ground
have a right, under UNCLOS, to b o a rd a for suspecting that: (1) the ship is engaged in piracv: (21 the ship is engaged in
m erchant ship on the high seas? the slave trade: (3) the ship is engaged in unauthorized broadcasting and the
flag State o f the warship has jurisdiction under article 109; (4 ) the ship is
without nationality: or (5) though flving a foreign flag or refusing to show its
flag, the ship is, in reality, o f the same nationality as the warship.
H I 00. What rules does UN CLO S make Under Article 111 the hot pursuit o f a foreign ship may be undertaken when
regarding hot pursuit? the competent authorities o f the coastal State have good reason to believe that
the ship has violated the laws and regulations o f the State. Hot pursuit must be
com m enced when the foreign ship or one o f its boats is within the internal
waters, the archipelagic waters, the territorial sea or the contiguous zone o f the

THE SHIPMASTER’S BUSINESS SELF-EXAMINER

208
H I 01. Where can a list be fo u n d o fp ro v id ers
o f deep sea p ilo ta g e services?
H I 02. H ow can the services o f a deep sea p ilo t
be o b ta in e d fo r a voyage fro m the English
Channel to the B altic via the Skaggerak?
H 103. Which U K b odies authorise deep sea
pilo ts? _____________________________________
H 104. Which other E U States authorise deep
sea p ilo ts? __________________________________
H I 05. What precaution sh ould be taken to
ensure that a deep sea p ilo t who boards is a
profession al p ilo t?
H I 06. Is the B ridge P rocedures G uide a
statutory o r m andatory docum ent?
H I 07. What are the contents o f the Bridge
P rocedures G uide (4,h edition, 2007)?
H I 08. What em ergency checklists a re included
in the B ridge P rocedures Guide (4th edition,
2007)?
H I 09. In what industry publication can advice
about m aster's standing orders be found?______
H I 10. What advice does the B ridge
P rocedu res G uide contain on m a ste r’s standing
orders?
H i l l . What m atters should, as a minimum, be
included in m aster's standin g orders?
H I 1~Z. What advice does the B ridge
P rocedu res G uide contain about keeping a
bridge o rd e r hook?
H I 13. Where can the minimum international
standards regarding w atchkeeping b e fou n d?
pursuing State and may only be continued outside the territorial sea or the
contiguous zone i f the pursuit has not been interrupted. The right o f hot pursuit
ceases as soon as the ship pursued enters the territorial sea o f its own State or
o f a third State.
biate. _________________________________________ ________
_L_____________________________________________
hv L
In A dm iralty JAxt
ist on f R adio Signals.
Signals, Volum e 6. This list should be kept ud
up to
date from w eekly NTM s.
B y checking ALRS Volum e 6 for a current list o f deep sea pilotage providers,
and contact ing the most appropriate one for the sh ip’s route. Arrangements
may be made to embark a pilot at Brixham, for exam ple, or at Cherbourg.
(1) Trinity H ouse (properly called the Corporation o f Trinity House, based in
London); (2) Hull Trinity House; and (3) N ewcastle upon Tyne Trinity House.
Belgium , France, Germany and the Netherlands.
After boarding, the pilot’s licence card should be inspected. A UK pilot’s
licence card should bear the words: “In the name o f the Corporation o f Trinity
House. The bearer o f this card is licensed to act as a Deep-Sea Pilot. All
Authorities involved shall recognize him in this capacity and shall render him
aid and protection in the pursuance o f his duties.” On the back should be the
licence number, date o f issue and limits; and the pilot’s name, photograph, date
o f birth and signature. (M GN 55, which is no longer listed in the M C A ’s list o f
current M N otices, showed a specimen card and gave addresses o f all European
authorising bodies.)
N o, but it is one o f the "applicable codes, guidelines a n d standards
recom m ended b y the Organization, Adm inistrations, classification societies
a n d m aritim e industry organizations ” which a Safety Management System
should ensure are taken into account under paragraph 1.2.3 o f the ISM Code.
Adherence to it is also recommended by the P&I clubs.
The main part, headed Guidance to Masters and Navigating O fficers, includes
sections as follows: 1. Bridge organisation; 2. Passage planning; 3. Duties o f
the Officer o f the Watch; 4. Operation and maintenance o f bridge equipment;
5. Dynamic positioning; and 6. Maritime pilotage. The Annexes are: Part A -
Communications; Part B Bridge checklists; and Part C -- Emergency
checklists.
C l M ain engine or steering failure; C2 Collision; C3 Stranding or grounding;
C4 Man overboard; C5 Fire; C6 Flooding; C l Search and rescue; and C8
Abandoning ship.
In the B ridge P rocedu res G uide (4l edition, 2007), Section 1 Bridge
organisation.
“S h ipboard operation al procedures m anuals su p p o rted b y stan din s
instructions b a se d upon the co m p a n y ’s navigation p o lic y sh ou ld fo rm the basis
o f com m and a n d control on board. M a ste r’s standin g o rders sh ou ld b e written
to reflect the m aster's own p a rticu la r requirem ents a n d the circum stances
p a rticu la r to the ship, her trade a n d the experience o f the bridge team
currently on board. Standing o rders a n d instructions sh ould operate w ithout
conflict within the s h ip ’s Safety M anagem ent System. Standing orders sh ould
be re a d b y a ll officers upon jo in in g the ship, a n d sig n e d a n d d a te d accordingly.
A c o p y o f the orders sh ou ld b e a vailable on the bridge fo r reference. ”
A t sea: (1) strict adherence to Collision Regulations; (2) general bridge
procedures; (3) use o f engine controls, w histle, navaids, charts and radio
equipment; (4 ) checks on course, position, com pass error and other navaid
errors; (5) keeping o f logs and records; (6) conduct required in restricted
visibility; (7 ) procedures when at anchor; (8) watch ratings’ duties; (9)
circumstances in which to call master (but reminding OOW s o f their full
authority to take action whenever necessary); (1 0 ) ship security instructions. In
or approaching port: (1) OOW duties when under pilotage; (2) preparations for
anchoring; (3) rigging o f access equipment; (4 ) watchm en’s duties; (5)
preparations for departure.
"In addition to g e n e ra l standin g orders, specific instructions m ay be needed
f o r sp e c ia l circum stances. A t d a ily intervals, the m aster should'w rite in the
b ridge o rd e r book w hat is e x p ected o f the OOW , w ith p a rticu la r reference to
his requirem ents during the hours o f darkness. These orders m ust be sig n e d by
each O O W when g o in g on watch. ”_________________ _____ _____________
In Section A-VIII o f the STCW Code. Part 3 contains the standards for
W atchkeeping at sea; Part 4 contains the standards for Watchkeeping in port.
THE SHIPMASTER’S BUSINESS SELF-EXAMINE

Anchor watch
H I 14. Should a ratin g be a llo w e d to keep an
anchor watch?
Deviation and barratry
H I 15. What deviation s fro m the custom ary
rou te a re usually ju stifia b le when on a voyage
charier?
H I 16. What kin d o f deviation s w ou ld p ro b a b ly
be re g a rd ed in law’ as unjustifiable?
H I 17. What a re the po ssib le consequences f o r
the ow ners o r ca rrier o f deviatin g fro m the
c on tracted voyage?
H I 18. What is barratry?
H I 19. I f during a lo a d e d voyage, a p o r t c a ll
is p la n n e d fo r bunkers which are n e e d ed f o r the
next voyage (but not this one), what sp ecia l
clau se sh ould be in the contract o f Carriage?
H I 20. I f it becom es necessary to deviate fro m
the con tracted voyage f o r som e reason, w hat
sh ou ld the m aster do?
Offshore safety zones
H I 21. What advice sh ou ld the m aster o f a ship
in an offshore o il o r g a s produ ction area g ive
to w atchkeeping OO W s about steam ing c lo se to
installations?
H I 22. D o the safety zon e rules in the last
an sw er also a pply to offshore su pport vessels?
H I 23. On a U K ship, w here can inform ation
be fo u n d on safety zo n es applyin g in the w aters
o f foreign countries?
Collision Regulations
H I 24. Under which U K regulations a re the
international C ollision Regulations m andatory
fo r U K ships?
H I 25. Is it p o ssib le f o r a U K ship to be
exem ptedfrom the C ollision R egulations?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
209
It depends on the ship’s location and the prevailing conditions. IMO Guidance
for Masters on K eeping a Safe Anchor W atch (STCW .7/Circ. 14) advises as
follow s: “The m aster o f e very ship a t an un sheltered anchorage, a t an open
ro a d ste a d o r any other virtually “a t se a ” conditions in accordance with
ch apter VIII, section A-VIII/2, p a r t 3-1, paragraph 51 o f the ST C W Code, is
boun d to ensure that w atchkeeping arrangem ents a re a dequ ate fo r m aintaining
a safe w atch a t a ll times. A deck officer sh all at a ll tim es m aintain
respon sibility fo r a safe a nchor watch. ’’
(1) A deviation made to save or attempt to save life (e.g. responding to a DSC
distress alert or ‘'Mayday”); (2) a deviation made to avoid imminent danger
(e.g. a TRS); (3) a deviation due to the default o f the charterer (e.g. where the
discharge port nominated by the charterer is found to be unsafe); (4) an
involuntary deviation due to fo r c e m ajeure beyond the shipowner’s or master’s
control (e.g. on a w arship’s orders); and (5) a deviation made to save property
(e.g. for salvage purposes).
(1) Taking a route which is not the custom o f the trade, for purely private
reasons; (2) putting in to an intermediate port or place for stores or provisions
which are not essential to the safe com pletion o f the voyage; (3) putting in for
bunkers for a future voyage when there is no clause in the contract o f carriage
permitting it (e.g. a P&I Bunker D eviation Clause).
They would probably be deprived o f all defences under the Hague or H ague-
V isby Rules (as applicable), as w ell as com mon law, to liability for cargo loss,
damage and delay, and would consequently be greatly exposed to claims. (The
owners w ould not necessarily lose their insurance cover i f the deviation was
not authorised by them, however, e.g. i f it w as an act o f barratry by the
master.)
The M arine Insurance A ct 1906 defines it as “e very w rongful a c t w ilfully
com m itted by the m aster o r crew to the p reju d ice o f the owner, or, as the case
m ay be, the charterer". It includes every kind o f fraud and wrong deliberately
committed by the master or crew with the intention o f benefiting them selves at
the expense o f the shipowners, and any w ilful act o f the master or crew o f
illegality, corruption or criminal negligence, to the prejudice o f the owners or
charterers. Exam ples include: bringing articles on board that subject the ship to
seizure or detention by custom s or other authorities; delaying the progress o f
the voyage; deviating from the proper course o f the voyage for private reasons.
The Perils Clause in the Institute Tim e Clauses - Hulls (1/10/83) covers an
assured for the barratry o f his masters and crew.
The P&I Bunker Deviation Clause, the aim o f which is to protect the
shipowner from legal action by the cargo owners for deviation and delay. (F or
another question on this clause, se e Section F.)
(1) Report to the owners so that they can arrange protective additional cover
with their P&I club; and (2) make a full record in the O fficial L og B ook o f the
circumstances necessitating the deviation, the deviation time and position.
'
In general, keep well clear o f all oil and gas installations. Those w hich project
above the sea surface at any state o f the tide, including those being constructed
or dismantled, are protected by statutory 500-m etre safety zones around them.
In general, all vessels are prohibited from entering safety zones, and entry by
an unauthorised vessel makes the owner, master and others w ho have
contributed to the offence liable to a fine or imprisonment or both.
Support vessels servicing the installation concerned are allow ed to enter but
should only do so after consultation with the installation’s OIM, to ensure that
they don’t endanger any other operations being carried out. OIMs m ay demand
the m odification or termination o f any support vessel activity that they regard
as hazardous.
In N otice N o. 20 o f the Annual Sum m ary o f N otices to M ariners and in M. 1290
(Offshore installations observance o f safety zones).
'■ '■ ■■ ■ ■ "
The M S (D istress Signals a n d P revention o f C ollisions) R egulations 1996 (SI
1996/75), as amended.
Y es. The M C A m ay exem pt any ship or description o f ships from all or any o f
the provisions o f the C ollision R egulations which relate to the number,
position, range or arc o f visibility o f lights or shapes, and to the disposition and
characteristics o f sound-signalling appliances, i f they are satisfied that
210
H I 26. What are the current pen alties in the
U K f o r breach o f the C ollision R egulations?
H I 27. Is there any defence to a charge o f a
breach o f the C ollision R egidations?
H I28. In a U K ship, w here can the latest
revision o f the C ollision Regulations be found?
H I29. What are the differences betw een an
a d o p ted traffic separation schem e a n d an
unadopted traffic separation schem e?
H I30. What official pu blication s contain
inform ation on traffic separation schem es?
H I3 I. Which pu blication contains a list o f all
traffic separation schem es, both a d o p ted a n d
unadopted?
H I 32. H ow can it be ensu red that the list in
the previou s question is kept up to date?
H I33. Which traffic separation schem es does
Rule 10 ap p ly to?
H I 34. H ow w ou ld an infringem ent o f the
C ollision Regulations in an a d o p ted traffic
separation schem e be d e a lt with?
H I 35. H ow w ou ld an infringem ent o f the
C ollision R egulations in an unadopted traffic
separation schem e be d e a lt with?
H I36. Where can the MCA ’s advice
concerning ships ’ routeing be found?
H 137. Where can inform ation be fo u n d about
traffic separation schem es?
H I 38. H ow much notice is given o f the sta rt o f
a n ew routeing system ?
H I 39. What a re the U K statutory
requirem ents relating to the m andatory use o f
routeing schem es? * ships’ routeing system adopted by IMO as required for its category or cargo
AMVER ? V-
H 140. What is AMVER?
com pliance is either impractical or unreasonable. (Reg. 5) An Exemption
Certificate should be carried covering any exem ption granted by the MCA.
Where any o f the Regulations o f SI 1996/75 is contravened, the owner, the
master and any person for the time being responsible for the vessel’s conduct
(e.g. the OOW1 w ill each be euiltv o f an offence punishable on conviction on
indictment bv a maximum 2 vears’ imprisonment and a fine: and on summary
conviction, in the case o f a breach o f Rule lOfbVil (dutv to proceed with traffic
flow in TSS lanes) by a fine not exceeding £50,000, and in any other case by a
fine not exceeding the statutory maximum (i.e. £5,000). (Reg. 6(1))
Y es. It w ill be a defence for the person charged to show that he took all
reasonable precautions to avoid com m itting the offence. (Reg. 6(2))
In M SN 1781, as amended by M SN 1781 (Corrigendum) and M SN 1781
(Amendment).
no svststns
IMO-approved schem es are “adopted” and com c into forcc 6 months after
adoption by IMO. Before adopting a schem e, IMO considers whether it meets
IMO design criteria. Rules for navigation in adopted schem es are as in Colregs
R ule 10. Unapproved schem es m ay lie totally in national waters and are
unadopted. Where a traffic separation schem e lies w h olly within national
territorial waters, decisions concerning routeing lie with the coastal State
government. National rules may therefore differ from the international rules.
Colregs Rule 10; M a rin er’s H andbook ; S h ip ’s R outeing ; routeing charts (e.g.
5500); A nnual Sum m ary o f N otices to M ariners’, pilot books; W eekly N otices
to Mariners.
Annual N otice N o. 17 in the A nnual Sum mary o f N otices to Mariners.
Unadopted schem es are marked in the list with an asterisk.
B y correcting it from W eekly N otices to Mariners.
Rule 10 prescribes conduct o f vessels within or near traffic separation schem es
which have been adopted by IMO.
B y the flag State, in accordance with its law. For exam ple, the master and/or
owners o f a U K ship which contravened an adopted traffic separation schem e
in the Arabian G u lf would be prosecuted by the D fT under the Merchant
Shipping Acts.
B y the port State in w hose waters the schem e lies, in accordance with the laws
o f that State.
In the guidance notes to SO LAS regulation V /10 in the M C A ’s 2002 SOLAS
V Publication, w hich is on the M C A ’s website.
Admiralty charts contain relevant information or a recommendation to consult
A dm iralty Sailing D irections for details. N otice N o. 17 in the Annual Sum mary
o f N otices to M ariners includes a com plete list o f all traffic separation schem es
- both adopted and unadopted. S h ip s' Routeing contains full details o f all IMO-
adopted traffic separation schem es and how to use them. The M ariner's
H andbook includes general information on routeing. A dm iralty Sailing
D irections (“pilot books”) mention all traffic separation schem es shown on
charts covered by the book, stating whether or not a schem e has been adopted.
If not adopted, the regulations governing the schem e’s use are stated.
Admiralty M ariners’ Routeing Guide Charts, e.g. Chart 5500: English Channel 1
and Southern North Sea, are recommended as an additional reference for ships
in certain waters.
IMO-adoptecI routeing system s (traffic separation schem es, 2 -w ay routes,
recommended tracks, areas to be avoided, inshore traffic zones, roundabouts,
precautionary areas and deep-water routes) com e into force not before 6
months after the date o f their adoption by IMO. N ew charts, or N otices to
Mariners to correct charts, must be available before a system com es into force,
and the chart should state when the system com es or came into force. W eekly
N otices to Mariners should be checked for new information.
Under SO LAS regulation V /10.7 (which is mandatory for U K ships under The j
MS (Safety o f N avigation) Regulations 2002), a ship must use a mandatory
carried and in accordance with the relevant provisions in force, unless there are f
com pelling reasons not to use a particular ships’ routeing system. A ny such
reason must be recorded in the ship’s log.
*- "■’ . '" -* * * ' . \
The Automated M utual-Assistance V essel Rescue System , a computer-based,
voluntary, global ship reporting system sponsored by the US Coast Guard, used j
worldwide by search and rescue authorities to arrange for assistance to persons *
THE SHIPMASTER’S BUSINESS SELF-EXAMINE

CARE OF CARGO AT SEA
Carrier’s obligation re- cargo cate under Hague-Visby Rules
H 141. What is the carrier's leg a l o bligation
tow ards the cargo when the ship is a t sea?
Cargo care information
H I 42. Where can inform ation be obta in ed on
looking a fter a particu la r bulk cargo w hilst on
a voyage?
Evidence o f cargo care
H 143. I f cargo w as not d isch arged in
“apparen t g o o d o rd er a n d condition ” a n d there
was a claim against the company, what
evidence m ight be useful in resisting the claim ?
DISCHARGES OF POLLUTANTS AT SEA
Discharges o f oil: legislation
H 144. Which Annex o f M ARPOL contains the
regulations f o r preven tion o fp o llu tio n b y oil?
H I45. Which M ARPOL Annex I regulations
contain the conditions f o r o il a n d o ily w ater
discharges fro m sh ips?
H146. Which U K regulations d e a l with
preven tion o f o il pollu tion fro m ships?
MARPOL Annex 1special areas
H I47. What sp e c ia l areas have been a d o p ted
under MARPOL Annex I?
H I48. Which Annex I sp ecia l a reas have
en tered into force but a re not in effect?
H I49. Why h ave the Annex I sp ecia l a reas in
the last an sw er n ot e n tered into effect?
H I50. Which w aters a re inclu ded in “North
West European W aters "?
H I 51. Which M ARPOL Annex I sp e c ia l areas
are defined a s sp e c ia l areas by the U K ’s MS
(Prevention o f O il P ollution) R egulations?
H I 52. Why are the R ed Sea area a n d the Gulfs
area not defin ed as sp e c ia l areas in U K oil
pollution law?
H I 53. Should d irty ballast be disch arged fro m
a U K tanker in the R ed Sea o r Gulfs areas?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
211
in distress at sea. With AM VER , rescue coordinators can identify participating
ships in the area o f distress and divert the best-suited ship or ships to respond.
A M V E R ’s m ission is to quickly provide search and rescue authorities, on
demand, accurate information on the positions and characteristics o f vessels
near a reported distress. Website: ww w.am ver.com
Article III o f the H ague-Visby Rules (and Article 3 o f the Hague Rules)
requires the Carrier to "... p ro p e rly a n d carefully load, handle, stow, carry,
keep, care fo r, a n d discharge the g o o d s carried. " This means the ship must
maintain proper procedures in relation to the care o f the cargo, including usual
seamanlike practices such as operating ventilation system s properly and
sounding bilges regularly, and must take any special measures that may be
required for the care o f particular com m odities or items.
For most “problem” dry bulk cargoes, in the BC Code. Charterers or the
shipowners should also have issued instructions concerning the particular
cargo. The ow ners’ P&I club m ay publish loss prevention literature and
w ebsite information on the com m odity (e.g. the U K Club’s Carefully to C arry
booklets and brochures). The P&I club managers should be able to give advice
about any “problem” cargo. A textbook (e.g. T h om as’s Stow age) may contain
advice, although it should be checked for validity.
B ilge, ballast and bunker sounding and pumping records; cargo ventilation,
humidity and temperature records; records o f unusual weather conditions,
routeing details, warnings and weather reports; records o f hatch, access, hold
and watertight door checks; records o f fire and safety equipment checks,
including log entries and other records o f training and safety exercises; records
o f cargo securing and lashing rounds and checks. Depending what the
com m odity was: records o f cargo temperatures (heating or cooling) where
appropriate; records o f inert gas and venting operations; records o f reefer
defrosting and temperature control; records o f temperatures in FO tanks
beneath sensitive cargoes.
M ARPOL Annex I. A revised edition (Resolution MEPC. 117(52), adopted in
October 2004) entered into force on 1 January 2007.
Regulation 15 o f Annex I, as revised, contains the conditions for discharges o f
machinery space oil from all ships. Regulation 34 contains the conditions for
discharges o f oil and oily mixtures from the cargo area o f oil tankers.
The MS (P revention o f O il P ollution) R egulations 1996 (SI 1996/2154) as
amended.
^y:r}s% !
(1) The Mediterranean Sea area; (2) the Baltic Sea area; (3) the Black Sea area;
(4) the Red Sea area; (5) the G ulfs area; (6) the G ulf o f Aden area; (7) the
Antarctic area; (8) the North W est European Waters; (9) the Oman Area o f the
Arabian Sea; and (10) Southern South African waters.
At 29 December 2010: (1) The Red Sea; (2) the G ulf o f Aden; and (3) the
Oman Area o f the Arabian Sea.
Because o f a lack o f notifications to IMO, as required by M ARPOL Annex I
reg. 38.6 from M ARPOL Parties w hose coastlines border the relevant special
areas, on the existence o f adequate reception facilities.
The North Sea and its approaches, the Irish Sea and its approaches, the Celtic
Sea, the English Channel and its approaches and part o f the North East Atlantic
im m ediately to the w est o f Ireland.
(1) The Mediterranean Sea area; (2 ) the Baltic Sea area; (3) the Black Sea area;
(4) the Antarctic area; and (5) the North West European Waters.
A long with many other States, the UK does not recognise the Red Sea and
Gulfs areas as special areas in view o f the lack o f slops reception facilities
provided. They were therefore de-designated by SI 1985/2040.
No. Although a discharge w ould not be a breach o f U K law, the M ARPOL
special area status may be enforced under coastal State law. (In any case, the
IMO Clean Seas G uide lists these areas as special areas to be observed.)
212
Discharges in MARPOL Annex I spec. at areas
H I 54. What is the gen eral rule about
discharges o f o il o r o ily m ixtures in the
A ntarctic area?
H I 55. U nder w hat conditions m ay a sh ip o f
4 0 0 G T o r m ore discharge o il o r o ily mixtures
in a sp e c ia l area o th er than the A ntarctic A rea?
H I 56. What a re the o il discharge
requirem ents f o r ships o f less than 400 G T in
any sp e c ia l area o th er than the A ntarctic A rea?
H I 57. A tanker is tank-cleaning w hile on a
ballast p a ssa g e through an Annex I sp e c ia l
area. What a re the requirem ents concerning
d isp o sa l o f o il residues a n d oil a n d w a ter u sed
f o r tank washing?
MMA |? P A / / I n n a y f
H I 58. U nder what conditions m ay a ship o f
4 0 0 G T o r m ore discharge m achinery sp a c e
b ilg e w ater outside sp e c ia l areas?
O ii tanker cargo area discharge criten'a
H I 59. U nder w hat conditions m ay o il o r o ily
m ixtures be disch a rg ed fro m the cargo area o f
an oil tanker at sea?
H I 60. What liquids do the Regulation 34
d isch arge criteria not a p p ly to?
H 161. I f o il fu e l tanks a re ballasted, how
sh ou ld the d irty b allast be discharged?
Exceptional discharges o f oil
H I 62. Under w hat circum stances w ill the oil
discharge restrictions in MARPOL Annex I
regulations 15 a n d 34 not apply?
H I 63. What re c o rd m ust be m ade o f any
exceptional discharge under M ARPOL Annex I
regulation 4?
Any discharge into the sea o f oil or oily mixtures from any ship in the
Antarctic Area (the sea area south o f latitude 6 0°S ) is prohibited. (MARPOL
Annex I, reg. 15.4)
(1) The ship must be proceeding en route-. (2) the oilv mixture must be
processed through oil filtering equipment; (3) the oil content o f the effluent
without dilution must not exceed 15 parts per million; (4) the oilv mixture must
not originate from cargo pump room bilges on oil tankers; and (5) the oily
mixture, in case o f oil tankers, must not be m ixed with oil cargo residues. The
oil filtering equipment must have an alarm to indicate when the 15 ppm level
cannot be maintained, and an automatic stopping arrangement to activate in
this case. (MARPOL Annex I, reg. 15.3)
Oil and all o ily mixtures must either be retained on board for subsequent
discharge to reception facilities or discharged into the sea in accordance with
the follow ing provisions: f l ) the ship must be proceeding en rou te: (2) the ship
must have in operation equipment o f a design approved by the flag State
Administration that ensures that the oil content o f the effluent without dilution
does not exceed 15 ppm; (3) the oilv mixture must not originate from cargo
numo room bilges on oil tankers; and (4) the o ilv mixture, in case o f oil
tankers, must not be m ixed with oil cargo residues. (MARPOL Annex I, reg.
15.6)
A ny discharge into the sea (other than an exceptional discharge) o f oil or oily
mixture from the cargo area is prohibited in a special area. (MARPOL Annex I,
reg. 34.3) The oil residues which cannot be discharged into the sea in ■>
com pliance with regulation 34.1 or 34.3 must be retained on board for
subsequent discharge to reception facilities. (MARPOL Annex I, reg. 34.9)
special areas
f l ) The ship must be proceeding en rou te: f2) the oilv mixture must be
processed through oil filtering eauipm ent (m eeting the requirements o f Annex
I regulation 14); (3) the oil content o f the effluent w ithout dilution must not
exceed 15 parts per m illion: (4) the oilv mixture must not originate from cargo
pump room bilges on oil tankers: and (5) the o ilv mixture, in case o f oil
tankers, must not be m ixed with oil cargo residues. (An alarm and an automatic
stopping device are not required to be in operation outside a special area.)
(MARPOL Annex I, reg. 15A)
(1) The tanker must not be within a special area; (2) the tanker must be more
than 50 nautical m iles from the nearest land: (3) the tanker must be proceeding
en route: (4) the instantaneous rate o f discharge o f oil content must not exceed
30 litres per nautical m ile; (5) the total auantitv o f oil discharged into the sea
must not exceed, for tankers delivered on or before 31 December 1979,
1/15.000 o f the total quantitv o f the particular cargo o f which the residue
formed a part, and for tankers delivered after 31 Decem ber 1979. 1/30.000 o f
the total quantity o f the particular cargo o f which the residue formed a part;
and (6) the tanker must have in operation an oil discharge monitoring and
control svstem and a slop tank arrangement. (M ARPOL Annex I, reg. 3 4 .1)
Clean or segregated ballast. (M ARPOL Annex I, reg. 34.2)
tanks
Either through the oil/water separator or to reception facilities, in either case
with a record m ade in the Oil Record B ook Part 1, Section (B).
(1) The discharge into the sea o f oil or oily mixture necessary for the purpose
o f securing the safetv o f a ship or saving life at sea; or (2) the discharge into
the sea o f oil or o ilv mixture resulting from damage to a ship or its eauipment:
(a) provided that all reasonable precautions have been taken after the
occurrence o f the damage or discovery o f the discharge for the purpose o f
preventing or m inim izing the discharge; and (b) except i f the owner or the
master acted either with intent to cause damage, or recklessly and with
knowledge that damage w ould probably result; or (3) the discharge into the sea
o f substances containing oil, approved by the flag State Administration, when
being used for the purpose o f com bating specific pollution incidents in order to
m inim ize the damage from pollution. Any such discharge shall be subject to
the approval o f any Government in w h ose jurisdiction it is contemplated the
discharge w ill occur. (M ARPOL Annex I reg. 4)
In the event o f an accidental or other exceptional discharge o f oil a statement
must be made in the O il Record B ook Part 1 or Part II, as appropriate, o f the
circumstances of, and the reasons for, the discharge.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Discharges o f noxious liquid substances ( NLSs) : legislation
H I64. Which Annex o f MARPOL contains the
regulations f o r the con trol o f pollution by
noxious liq u id substances in bulk?
H I 65. What are the m ain changes under the
re v ise d Annex 11 which en tered into fo r c e on 1
January 2 007?
Noxious liquid substance: definition
H I 66. What is a noxious liqu id substance?
Noxious liquid substances discharge criteria
H I67. What are the noxious liqu id substance
(NLS) discharge standards under the revised
MARPOL Annex II which cam e into fo r c e on 1
January 2 007?
H I 68. U nder w hat circum stances w ill the
re v ised M ARPOL Annex 11 NLS discharge
requirem ents not a pply?
H I 69. What records m ust be kept o f NLS
discharges?
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H I 70. What are the Im plem entation o f Ship-
Source Pollution D irective R egulations?
H I 71. Why w as the Ship Source P ollution
D irective introdu ced by the EU?
H I 72. What are the c h ie f effects o f the Ship-
Source Pollution D irective Regulations?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
213
MARPOL Annex II. A revised version o f Annex II entered into force on 1
January 2007.
(1) A four-category system o f categorisation for N L Ss (categories X , Y, Z and
Other Substances) replaces the old five-category system (categories A , B, C, D
and Appendix III). For ships built on or after 1 January 2007 the maximum
permitted residue in a tank and its associated piping left after discharge is set at
a maximum o f 75 litres for products in categories X , Y and Z (whereas under
the old Annex II it was 100 or 300 litres, depending on the category). (2) N o
special areas are designated b y the revised Annex II, whereas the old Annex II
designated three (the Baltic Sea area, the Black Sea area and the Antarctic
area). D ischarges o f N L Ss in the Antarctic area (i.e. the sea area south o f 60°
south) are prohibited under reg. 13.
For the purposes; o f M ARPOL Annex II: any substance indicated in the
Pollution Category colum n o f chapter 17 or 18 o f the International Bulk
C hem ical C ode or provisionally assessed under the provisions o f Annex II
regulation 6.3 as falling into Category X , Y or Z.
Where the provisions in Annex II regulation 13 allow the discharge into the sea
o f residues o f substances in Cateeorv X. Y or Z or o f those provisionally
assessed as such or ballast water, tank washings or other mixtures containing
such substances, the follow ing discharge standards w ill apply: d l the ship
must be proceeding en rou te at a speed o f at least 7 knots in the case
o f self-propelled ships or at least 4 knots in the case o f non-self-propelled
ships; (2) the discharge must be made below the waterline through the
underwater discharge outlet(s) not exceeding the m aximum rate for which the
outlet(s) is (are) designed; and (3) the discharge must be made at least 12
nautical m iles from the nearest land in water o f not less than 25 metres depth.
The Annex II discharge requirements w ill not apply to the discharge into the
sea o f N L Ss or mixtures containing N LSs when the discharge: (1) is necessary
to secure the safetv o f a ship or save life at sea: or (2) results from damage to a
ship or its equipment, provided that all reasonable precautions have been taken
after the occurrence o f the damage or discovery o f the discharge to prevent or
m inim ise the discharge, and except i f the owner or the master acted either with
intent to cause damage, or recklessly and with know ledge that damage would
probably result; or (3) is approved by the flag State Administration, when
being used for the purpose o f combating specific pollution incidents in order to
m inim ise the damage from pollution. Any such discharge w ill be subject to the
approval o f any coastal State Government in w h ose jurisdiction the discharge
is expected to occur.
W henever any o f the above operations (i.e. discharges o f residues into the sea
in accordance w ith regulations, and exceptional discharges) takes place in
respect o f any N L S, a record o f the operation must be made in the Cargo
Record B ook in relation to each tank affected by the operation. An entry must
be made on each occasion of: internal transfer o f cargo; cleaning o f cargo
tanks; ballasting o f cargo tanks; discharge o f ballast from cargo tanks;
discharge o f residues into the sea in accordance with Schedule 2 o f
M .l 703/N L S 1; removal o f residues by ventilation; and em ergency discharges
(stating the circumstances o f and reason for the discharge).
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The MS (Im plem entation o f Ship-Source P ollution D irective) Regulations 2009
(SI 2009/1210) give effect in the U K to Directive 2005/35/E C on ship-source
pollution and on the introduction o f penalties for infringement.
The European Com m ission wanted to address the issue that w hile it was
possible to prosecute deliberate spills o f oil and noxious liquid substances
(which are normally very sm all) under national law implementing M ARPOL,
the very b ig accidental spills, such as those from the tankers Erika and
P restig e, were not open to prosecution because o f the exceptions in M ARPOL
in respect o f discharges resulting from damage to the ship.
They amend the M erchant Shipping A ct 1995, The MS (Prevention o f O il
Pollution) Regulations 1996 and The M S (D angerous o r N oxious L iqu id
Substances C a rried in Bulk) Regulations 1996) so that: (1) for U K ships, and
non-UK ships iri U K territorial waters, criminal offen ces cover ship-source oil
or N LS pollution resulting from serious negligence: and (2) thev extend
possible criminal sanctions to anv person who causcs or contributes to a
discharge. (“A ny person” could, for exam ple, include a ship’s charterer and/or
classification society, as w ell as the owner or master.)
214
H I 73. Why is '‘serious negligence ” not
defin ed b y the Ship-Source Pollution D irective
Regulations?
Discharges o f sewage: legislation
H I 74. Which Annex o f MARPOL deals w ith
se w a g e discharges fro m ships?
H I 75. Which U K regulations g iv e effect to the
re v ised MARPOL Annex IV?
Definition o f sewage
H I 76. What do es "se w a g e " include, as
defin ed in the re v ised version o f MARPOL
Annex IV?
Sewage discharge criteria For sei
H I 77. What a re the se w a g e discharge criteria
under the re v ised M ARPOL Annex IV?
Disposal o f garbage: legislation
H I 78. What international legislation governs
disp o sa l o f g a rb a g e fro m ships?
H I 79. Which U K regulations g iv e effect to
M ARPOL Annex V?
H I 80. To which sh ips d o The M erchant
Shipping (P revention o f P ollution by S ew age
a n d G arbage) Regulations 2008 a pply?
H I81. What are "c on trolled w aters ” in U K
law ?
H I 82. What is the maximum p e n a lty f o r
breach o f the garb a g e disposal requirem ents o f
The M erchant Shipping (Prevention o f
Pollution b y S ew age an d G arbage) R egulations
2008?
Garbage: definitions
H 183. What w a ste d oes "garbage ” include?
H I 84. What a re "operational w astes"?
H I85. What is " cargo-associated w aste"?
H I86. What is "maintenance w aste"?
H I87. What a re "cargo residues"?
Because, in the M C A ’s consultation exercise, the M CA received m ixed view s
as to whether it would or would not benefit stakeholders to have an explicit
definition. The term therefore falls to judicial interpretation in the light o f
relevant caselaw (which w ould include a definition given in the judgment o f
the European Court o f Justice in a case brought by Intertanko.
A revised M ARPOL Annex IV (R egulations f o r the P revention o f Pollution by
S ew age fro m Ships) came into force for new ships on 1 August 2005 and for
existing ships on 27 September 2008.
The M erchant Shipping (P revention o f P ollution b y Sew age a n d G arbage)
R egulations 2008 (SI 2008/3257), as amended by SI 2010/897.
' ......................i v . f . .. . > ........*L
Drainage and other wastes from any form o f toilets and urinals; drainage from
medical premises (dispensary, sick bay, etc.) via wash basins, wash tubs and
scuppers located in such premises; drainage from spaces containing living
animals; or other waste waters w hen m ixed with the drainages defined above.
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The discharge o f sew age into the sea is prohibited, except when: (1) the ship is
dischareine com minuted and disinfected sew age using an approved system at a
distance o f more than 3 nautical m iles from the nearest land, or sew age which
is not com minuted or disinfected at a distance o f more than 12 nautical m iles
from the nearest land, provided that in any case, the sew age that has been
stored in holding tanks shall not be discharged instantaneously but at a
moderate rate when the shin is en route and proceeding at not less than 4 knots;
the rate o f discharge shall be approved by the flag State Administration based
upon standards developed bv IMO: or (21 the ship has in operation an approved
sew age treatment plant (provided that its test results are in the International
Sew age Pollution Prevention Certificate and the effluent does not produce
visible floating solids nor cause discoloration o f the surrounding water).
(A n n exIV R eg. I ! )
M ARPOL Annex V , which entered into force on 31 D ecem ber 1988.
The M erchant Shipping (P revention o f P ollution by Sew age a n d G arbage)
Regulations 2008 (SI 2008/3257), as amended by SI 2010/897. Part 5
(regulations 26 to 31) deals with Disposal o f Garbage.
UK ships on international voyages, wherever they may be, and non-UK ships
in UK waters, o f 4 0 0 GT or above or certified to carrv more than 15 persons.
Waters specified as areas within which the jurisdiction and rights o f the UK are
exercisable by The MS (P revention o f P ollution) (Lim its) Regulations 1996.
These Regulations allow the U K to exercise pollution control within a 200-
m ile limit around the UK , as agreed with neighbouring countries.
A fine on summary conviction (i.e. in the lower courts) o f the statutory
maximum, i.e. £5,000, or on conviction on indictment (in the higher courts) an
unlimited fine. The owner, manager, dem ise charterer or the master may be
liable. (Under the 1998 Regulations the maximum fine on summary conviction
was £25,000.)
Any victual, dom estic or operational waste (excluding fresh fish and parts
thereof), generated during the normal operation o f the ship and liable to be
disposed o f continuously or periodically except those substances which are
defined or listed in other annexes to MARPOL 73/78 (such as oil, sew age or
noxious liquid substances).
A ll cargo-associated waste and maintenance waste, and cargo residues defined
as garbage.
Materials which have becom e wastes as a result o f use on board a ship for
cargo stow age and handling. Cargo-associated waste includes but is not limited
to dunnage, shoring, pallets, lining and packing materials, plywood, paper,
cardboard, wire, and steel strapping.
Materials collected by the engine department and the deck department while
maintaining and operating the vessel, such as soot, machinery deposits, scraped
paint, deck sw eeping, w iping waste, and rags, etc.
The remnants o f any cargo on board that cannot be placed in proper cargo
holds (loading excess and spillage) or w hich remain in cargo holds and
elsew here after unloading procedures are com pleted (unloading residual and
spillage). H owever, cargo residues are expected to be in small quantities.
Cargo material contained in the cargo hold bilge water is not treated as cargo
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

H I 88. Is incin erator ash "operational
w aste "?
Disposal o f garbage in MARPOL Annex V special areas
H I89. What sp e c ia l a rea s have been a d o p ted
under MARPOL Annex V?
H I 90. Which Annex V sp e c ia l a reas have
en tered into force but are not in effect?
H 191. Why have the Annex V sp e c ia l areas in
the last an sw er not en tered into effect?
H I 92. When d id the M editerranean Sea area
enter into effect as an Annex V sp e c ia l area?
H I 93. From what date is the W ider C aribbean
Region in effect a s an Annex V sp e c ia l a rea?
H I 94. What are the rides f o r the d isp o sa l o f
g a rb a g e in an Annex V sp e c ia l area?
H I 95. A bulk ca rrier h as sa iled after
discharging iron o re at Rotterdam. What are
the rules about disp o sa l o f h old sw eepin gs a n d
washing down the deck?
Disposal o f garbage outside MARPOL Annex V special areas
H I 96. What a re the rules governing the
disposal o f different types o fg a rb a g e outside
an Annex V sp e c ia l area?
H I 97. What is m eant b y "lining a n d packin g
m aterials which f lo a t"?
H I 98. What are the rules governing the
disposal o f g a rb a g e fro m offshore installations
a n d vessels near them?
H I 99. Can incinerator ash be d isch arged at
sea?
Restriction on UK ships entering Antarctic area
H200. U nder w hat conditions m ay a U K ship
enter the A ntarctic area, accordin g to The MS
(Prevention o f P ollution b y Sew age a n d
G arbage) R egulations 2008?
Garbage disposal records
H 20I. A fter disposin g o f g a rb a g e a t sea, w hat
records m ust be m ade?
Disposal o f plastics and expired pyrotechnics
H202. Where can p la stics be du m ped a t sea?
H203. H ow sh ou ld e xpired pyrotech n ics be
d isp o sed of?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
215 '
residues provided that the cargo material is not classified as a marine pollutant
in the IlWDG Code, and the b ilge water is discharged from a loaded hold
through the v e ssel’s fixed piping bilge drainage system.
Y es. The Guidelines for the Implementation o f M ARPOL Annex V state that
ash and clinkers from shipboard incinerators and coal-burning boilers (except
ashes from plastic products which may contain toxic or heavy metal residues,
disposal o f which is prohibited by reg. 3(1 )(a)), are operational wastes in the
m eaning o f Annex V , reg. 1(1), and therefore are included in the term “all
other garbage”, in the m eaning o f A nnex V, regulation 3 (l)(b )(ii) and
5(2)(a)(ii ), notwithstanding reg. 3(2) and para. 5.4.6.2 o f the Guidelines.
f l ) The Mediterranean Sea area: (2) the Baltic Sea area; (3) the Black Sea area:
(4) the Red Sea area: 15) the “G ulfs” area: (6) the North Sea area: (7) the
Antarctic area (south o f 60°S); and (7) the Wider Caribbean Region.
A t 29 Decem ber 2010: (1) The Black Sea area: (2) the Red Sea area; and (3)
the Wider Caribbean Region.
Because o f a lack o f notifications to IMO, as required by MARPOL Annex V
regulation 5(4) from M ARPO L Parties w hose coastlines border the relevant
special areas, on the existence o f adequate reception facilities.
1 M ay 2009.
1 May 2011.
(1) Outside the Wider Caribbean Region, food wastes onlv mav be disposed of.
without grinding or comminution, as far as practicable and at least 12 nautical
m iles from the nearest land. (2) In the Wider Caribbean Region, comminuted
or ground food wastes m a y b e disposed o f as far as practicable from land, but
in any case not less than 3 nautical m iles from the nearest land.
From Rotterdam the v essel sails into the North Sea special area. Cargo residues
m ay not be discharged at sea in a special area, and must therefore either be
retained on board until they can be disposed o f to a shore reception facility or
be discharged at sea as far as practicable and not less than 12 m iles from the
nearest land once the ship is beyond a special area.
(1) Plastics cannot be disposed o f anvwhere. (2) Dunnage, lining and packing
materials which will float mav be disposed o f 25 nautical m iles or more from
the nearest land. (3) Unground or uncomminuted food w astes and all other
unground or uncomm inuted garbage including cargo residues, paper, products,
rags, glass, metal, bottles, crockery and similar refuse may be disposed o f 12
nautical m iles ot more from the nearest land. (4) Ground or comminuted food
wastes and all other ground or comminuted garbage including paper products,
rags, glass, metal, bottles, crockery and similar refuse may be disposed o f 3
nautical m iles or more from the nearest land.
The kind o f materials remaining in holds after discharging a bagged general
cargo that had to be protected from damage, e.g. matting and kraft paper.
A ship which is a fixed or floating platform engaged in exploration,
exploitation and associated offshore processing o f seabed mineral resources, or
is within 500 metres o f such a platform, may not dump any garbage into the
sea except for food w astes which have been comminuted or ground, provided
that the platform is more than 12 nautical m iles from the nearest land.
Y es. H owever, ash containing toxic substances (e.g. from batteries) should not
be discharged.
A U K ship m ust not enter the Antarctic area unless: (a) it has sufficient
capacity for the retention on board o f all garbage w hile operating in the area;
and (b) it has concluded arrangements for the discharge o f retained garbage at a
reception facility after it has left that area. (Reg. 30)
For questions on Garbage Record Book entries, see Section D
A record in the Garbage Record B ook (GRB). A record also has to be made i f
any garbage is accidentally lost overboard. (F or questions on the GRB, see
Section D.)
Nowhere.
M G N 4 1 9 (D isposal o f ou t o f date pyrotech n ics (m arine fla re s)) advises as
follow s: (1) It is an offence to fire distress-signal pyrotechnics on land, in
harbour or at sea for either testing purposes, practice or as fireworks (whether
the pyrotechnics are out o f date or not). (2) It is an offence to dump
pyrotechnics at sea. (3) Out o f date pyrotechnics should be landed ashore as
216
H 204. What international legislation governs
em issions o f a ir pollu tan ts from ships?
H 205. What em issions a re regu lated by the
re v ised MARPOL A nnex VI?
H 206. What Em ission C ontrol A reas (ECAs)
h ave been design ated under the revised
M ARPOL Annex VI?
H 207. D oes the re v ised M ARPOL Annex VI
allo w f o r com pliance through equivalency?
Emissions o f a ir pollutants: ozone-deiDieting substances
H 208. What are the m ain provision s o f the
re v ised M ARPOL Annex VI with respect to
ozon e depletin g substances?
H 209. What engines does Regulation 13 (N O J
o f the re v ised MARPOL Annex VI a pply to?
H 210. H ow does the re v ised MARPOL Annex
VI regulate em issions o f nitrogen oxides?
H 211. What are “Tier I, Tier II a n d Tier III
standards "?
H 2I2. What engines does the Tier I stan dard
a pply to?
H 213. What engines d oes the Tier II stan dard
a pply to?
H 214. What engines d oes the Tier III stan dard
a p p ly to?
H 215. What NOx em ission limits, i f any. apply
to engines in sh ips built before 1 Januarv
2000?
Emissions o f a ir pollutants: sulphur oxides fSO J and particulate m atter
H 216. What is the maximum sulphur content
o f bunker f u e l u sed on a ship outside an
Em ission C ontrol A rea f o r SOx?
soon as possible after the date o f expiry for safe disposal. (4) D o not place out
o f date pyro technics in the general rubbish, or abandon them at Coastguard,
RNL1 or P olice stations. M GN 419 contains a link to an M CA w ebsite page
headed A dvice f o r the disp o sa l o f tim e-expired p yrotech n ics (TEPs) fro m I
A p ril 2 010 which advises as follows: "Ifyou have out o f date o r dam aged
fla re s y o u sh o u ld first con tact the su pplier fro m whom y o u originally brought
them to see i f they offer a take back scheme. Som e L ocal Authorities also
operate disp o sa l fa c ilitie s ."
n
The revised M ARPO L Annex V I which w as adopted in 2008 and entered into
force on 1 July 2010.
(1) O zone depleting substances (regulation 12); (2) nitrogen oxides (N O ,) (reg.
13); (3) sulphur oxides (S O .) and particulate matter (reg. 14): (4) volatile
organic compounds (V O C s) (reg. 15); and (5) shipboard incineration (reg. 16).
The Baltic Sea area (as defined in Annex I) and the North Sea area (as defined
in Annex V ) are designated as ECAs for the purposes o f regulation 14 (Sulphur
O xides and Particulate Matter). A North American ECA for N O ,, SO , and
Particulate Matter was adopted in March 2010, w ill enter into force on 1
August 2011, and com e into effect on 1 August 2012.
Yes. Under Regulation 4 (Equivalents), the flag State Administration may
allow any fitting, material, appliance or apparatus to be fitted in a ship or other
procedures, alternative fuel oils, or com pliance methods used as an alternative
to that requi red by Annex VI i f it at least as effective in terms o f em issions
reductions as that required by A nnex VI.
(1) Deliberate em issions o f ozone depleting substances are prohibited (except
if necessary for ship safety or for saving life, or resulting from damage). (2)
Installations containing ozone-denletine substances, other than hydro-
chlorofluorocarbons (H CFCs), are prohibited on ships built on or after 19 May
2005. (3) Installations containing HCFCs are prohibited on ships built on or
after 1 Januarv 2020. (4) Shins must maintain a list o f eauipm ent containing
ozone-depleting substances. (5) Ships with rechargeable svstem s containing
ozone-depleting substances must maintain an Ozone Depleting Substances
Record Book.
ixldes (NO J
Each diesel engine (other than em ergency diesel engines, engines installed in
lifeboats or for any equipment intended to be used solely in case o f em ergency)
with a power output o f more than 130 kW installed, installed in a ship.
Regulation 13 sets progressively reducing N O x em ission lim its for diesel
engines (other than em ergency engines) o f over 130 kW output power in three
tiers (Tier I, Tier II and Tier III), according to date o f construction o f the ship,
with the low est lim its applied to engines in ships built on or after 1 January
2016 when operating in an Em ission Control Area. Within each tier the N O x
em ission limit (in grams per kilowatt-hour, or g/kW h) is set according to the
rated engine speed (i.e. crankshaft revolutions per minute).
Nitrogen oxides (N O x) em ission limits applicable to diesel engines (other than
em ergency engines) o f over 130 kW output pow er installed in ships o f
different dates o f construction. Tier I standards were defined in the 1997
version o f Annex VI. Tier II and Tier III standards were introduced by the
revised Annex VI adopted in 2008 and which came into force on 1 July 2010.
D iesel engines installed in a ship built on or after 1 January 2000 but before 1
January 2011.
D iesel engines installed in a ship built on or after 1 January 2011.
D iesel engines installed in a ship built on or after 1 January 2016 when
operating in an Em ission Control Area. If not operating in an Em ission Control
Area, these engines must m eet the Tier II standard.
A diesel engine with a power output o f more than 5,000 kW and a per cylinder
displacement at or above 90 litres installed on a ship constructed on or after 1
January 1990 but prior to 1 January 2000, must fit an “approved m ethod”,
where com m ercially available, within a set time period. The effect o f the
approved method is to restrict NO„ em issions to no more than the Tier I
standard.
Prior to 1 January 2012 it is 4.5% m/m (measurement by mass). On and after 1
January 2012 it is 3.5% m/m and; and on and after 1 January 2020 it is 0.5%
m/m. (Reg. 14.1) This limit is som etim es called the “global sulphur cap”.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

H 2 1 7. What is the maximum sulphur content
o f bunker fu e l u sed on a ship w hile it is
operatin g within an Em ission C ontrol A rea f o r
SOx?
Emissions o f a ir pollutants: shipboard incineration
H218. What a re the m ain provision s o f the
re v ise d MARPOL Annex VI with resp ect to
sh ipboard incineration?
Compliance with US pollution legistatton
H 219. What is a "magic p ip e ” a n d w hat are
the p o ssib le consequences o f using one w hilst
in US w aters?
SHIP-TO-SHIP TRANSFERS
H220. Which U K regulations a pply to sh ip-to-
ship transfers o f cargo o il a n d bunkering
operation s in the U K territorial sea?
H221. Where d o the STS Regulations apply?
H222. What operation s do the STS
Regulations proh ibit?
H 223. What STS transfers are e xcepted from
application o f the STS Regulations?
H224. What operation s m ay be exem pted fro m
application o f the STS Regulations?
H 225. Before a STS transfer can take p la c e in
a harbour area, w hat m ust the h arbour
authority obtain fro m the MCA ?
H 226. What new ch apter o f MARPOL Annex I
concerns STS operations?
H 227. What are the c h ie f requirem ents o f the
new chapter 8 o f M ARPOL Annex I?
H228. What sta n d a rd industry gu id e to best
p ra c tic e sh ou ld be consu lted p rio r to any STS
operations?
BURIAL AT SEA
11229. Can a body be bu ried at sea in English
w aters?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
217
On and after 1 July 2010 it is 1.0% m/m. On and after 1 January 2015 it is
0.10% m/m. (Reg. 14.4) (Prior to 1 July 2010 it was 1.5% m/m.)
(1) Except as provided in (4), incineration is allow ed only in a shipboard
incinerator. (2) Incineration o f the follow ing is prohibited: (a) residues o f
cargoes subject to Annex I, II or III or related contaminated packing materials;
(b) PCBs; (c) garbage containing more than traces o f heavy metals; (d) refined
petroleum products containing halogen compounds; (e) sew age sludge and
sludge oil either o f which are not generated on board the ship; and (e) exhaust
gas cleaning system residues. (3) Incineration o f PVCs is prohibited, except in
shipboard incinerator for w hich an IM O Type Approval Certificates has been
issued. (4) Incineration o f sew age sludge and sludge oil generated during
normal operation o f a ship may also take place in the main or auxiliary power
plant or boilers, but in those cases, must not take place inside ports, harbours
and estuaries. (MARPOL A nnex VI reg. 16)
A m agic pipe is a length o f rigid or flexible pipe used (illegally) in som e ships
to by-pass the oily water separator. Under U S federal law, separate charges o f
(a) conspiracy, (b) falsifying records, and (c) making false statements to a U S
Coast Guard officer carry sentences of: (a) up to 5 years in jail follow ed by 3
years o f supervised release and a $250,000 fine; (b) 6 years in jail follow ed by
3 years o f supervised release and a $250,000 fine; and (c) 5 years in jail
follow ed by 3 years o f supervised release and a $250,000 fine respectively.
The M erchant Shipping (Ship-to-Ship Transfers) Regulations 2010 (SI
2010/1228), as amended by SI 2010/1769 and SI 2011/974.
W ithin the U K ’s internal waters (i.e. inside baselines) and within the U K ’s
territorial sea (the seaward limit o f which extends to a maximum o f 12 nautical
m iles from the baseline).
Transfers o f oil cargoes or bunkering operations, unless carried out within a
harbour area. (The DurooSe o f the Regulations is to ensure that STS transfers
take place in harbour areas which have a suitable oil spill contingency plan.)
(1) A transfer between a ship and an offshore installation; (2) a transfer to or
from a warship, naval auxiliary ship or other ship owned or operated by a State
and used solely, for the time being, on government non-com mercial service;
and (3) a transfer carried out by or on beh alf o f a general lighthouse authority
in the UK.
Exem ptions w ill be granted by the M CA on a case-by-case basis. Examples
are: transfers as part o f seism ic survey operations; transfers as part o f cable
laying or pipe laying operations; transfers operations involving offshore
support vessels; bunker transfers outside statutory harbour areas for ships o f
restrictively deep draft; and transfer operations in situations o f force m ajeure.
An Oil Transfer Licence. (L icences w ill only be issued to harbour areas with a
fully worked-up oil spill contingency plan, trained personnel and the necessary
equipment for responding to spills.)
A new chapter 8 entitled P revention o f Pollution D uring Transfer o f O il C argo
B etween O il Tankers a t Sea is added to M ARPOL Annex I, with entry into
force on 1 January 2011.
(1) The n ew chapter 8 applies to oil tankers o f 150 GT and above and requires
any oil tanker involved in oil cargo STS operations to have on board a plan
prescribing how to conduct STS operations (the STS Plan), which must be
approved by the flag State Administration. (2) Notification to the relevant
coastal State is required not less than 48 hours in advance o f the scheduled STS
operations, although some relaxation to this rule is allow ed in certain, very
specific, cases. The regulations are not intended to apply to bunkering
operations. (3) There are consequential amendments to the IOPP Certificate,
the Supplement to the IOPP Certificate and the O il Record Book.
The ICS/OCIM F Ship to Ship Transfer G uide (Petroleum ) or Ship to Ship
Transfer G uide (L iquefied G ases), as appropriate.
Y es, under a F ood an d Environment Protection A ct 1985 (FEPA) licence
obtainable from the Marine M anagement Organisation (M M O). However, to
218
H230. Where can official a dvice he o btain ed
on burial at sea in English w aters?
H231. Where a re the a p p ro v e d burial-at-sea
sites in E nglish w aters?
H232. Can a body b e bu ried at se a in Scottish
w aters?
H233. Where a re the a p p ro v e d bu rial-at-sea
sites in Scottish w aters?
SAFETY COMMUNICATIONS
Safety massage prefixes
H234. What a re the m eanings o f the three
safety m essage prefixes f o r use in radio
transm issions?
Navigational warnings and danger messages
H 235. What is the difference between
navigational warnings a n d danger m essages?
H236. In w hat circum stances m ust the m aster
o f a ship transm it a dan ger m essage, as
req u ired by SO LAS regulation V/31?
H 2 3 7. To whom m ust a danger m essage be
sent?
H238. By w hat m eans sh ould a danger
m essage be transm itted?
H 239. What prefix sh ould be u sed w ith a
dan ger m essage transm itted by radio?
COLLISION
fllo lU i!
H 240. What are the im m ediate statu tory duties
(under U K law ) o f the m aster o f a U K ship
fo llo w in g a collision?
H 241. What is the p en a lty f o r fa ilin g to
com ply w ith the statu tory duty in U K law to
sta n d b y a n d render assistan ce to a vessel
c o llid ed with?
H 242. What is the p en a lty f o r fa ilin g to
com ply with the statutory duty in U K law to
p a ss the req u ired inform ation to the m aster o f a
vessel c o llid ed with?
H 243. What statutory duties in U K law, other
than those in the previo u s three questions, does
the m aster o r sen ior su rviving officer o f a UK
sh ip have fo llo w in g a collision with another
vessel?
avoid risks to the environment and distress to fam ilies, M M O recommends the
scattering o f cremation ashes at sea, which can be undertaken anywhere at sea
without a FEPA licence.
On the M MO w ebsite (w w w.m arinem anaeem ent.ore.uk). This contains
instructions for obtaining a licence, and the conditions o f burial.
MMO-approved burial locations are: (1) o ff the N eed les (Isle o f Wight); (2) on
the Northumberland coast near Tynemouth; and (3) between H astings and
Newhaven (Sussex).
Yes, under a F ood a n d Environm ent P rotection A ct 1985 (FEPA) licence
obtainable from the FRS Marine Laboratory, Aberdeen. The Marine
Laboratory also recomm ends the scattering o f cremation ashes at sea.
Burials at sea o f f Scotland have in the past been approved by the FRS Marine
Laboratory in locations about 210 m iles west o f Oban and about 15 m iles west
o f John o ’ Groats. However, fishing considerations may necessitate changes.
■ ■ - •
(1) M avdav (distress) means that a shin or other vehicle is threatened by grave
and imminent danger and requests immediate assistance. (2) Pan Pan (urgency)
means that the calling station has a very urgent m essage to transmit concerning
the safetv o f a ship, aircraft or other vehicle, or o f a person. (31 Securite
(safety) means that the station is about to transmit a m essage concerning the
safetv o f navigation or givin g important m eteorological warnings.
SO LAS regulation V /4 requires Contracting Governments to publish
navigational warnings, i.e. m essages Dromulgatine information relating to
dangers. The UK does this through N A V TEX m essages and N otices to
Mariners published by UKHO. SO LAS regulation V/31 requires the master o f
every ship which m eets with specified dangers to transmit a danger m essage
'to ships in the vicinity and to the com petent authorities.
On meeting: (1) dangerous ice; (2) a dangerous derelict; (3) any other direct
danger to navigation (e.g. a floating container, ship N U C , unlit fishing vessels,
large log, channel swimmers, major yacht race, etc.); (4) a tropical storm; (5)
subfreezing temperatures associated with gale force winds causing severe ice
accretion on superstructures; or (6) winds o f Beaufort force 10 or more for
which no storm warning has been received.
Ships in the vicinity and the com petent authorities. (An “all stations'”
transmission would m eet this requirement.)
B y all means at the master’s disposal.
The safety signal prescribed by the ITU Radio Regulations, i.e. “Securite”.
If and so far as he can do so without danger to his own ship, crew and
passengers, i f any: (1) to render to the other ships, its master, crew and
passengers ( i f any) such assistance as m ay be practicable and may be necessary
to save them from any danger caused by the collision; (2) to stay by the other
ship until he has ascertained that it has no need o f further assistance; and (3) to
give the master o f the other ship the name o f his own ship and the names o f the
ports from which it com es and to which it is bound.
On summary conviction, a fine o f up to £50,000; or on conviction on
indictment, an unlimited fine or imprisonment for up to 2 years, or both. In
addition, a Section 61 Inquiry into the master’s conduct could be held, and his
certificate could be cancelled or suspended.
On summary conviction, a fine not exceeding the statutory maximum
(currently £5,000); or on conviction on indictment, an unlimited fine. In
addition, a Section 61 Inquiry into the master’s conduct could be held, and his
certificate could be cancelled or suspended.
Under The M S (Accident R eportin g a n d Investigation) Regulations 2005, to
send a report to the M AIB, and to preserve relevant evidence (see Section E).
Under The MS (R eporting R equirem ents f o r Ships C arrying D angerous o r
P olluting G oods) R egulations, to send a pollution report to the coastal State
(see below). Under The M S (O fficial L og Books) Regulations, to make an entry
in the narrative section o f the OLB (see Section D).
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

H244. What advice m ay be a vailable to a
m aster when a collision is imminent?
H245. F ollow in g a m in or collision with
another ship, what action sh ou ld the m aster
take to p ro te c t his sh ipow ner's interests?
H 246. What action sh ou ld the m aster take if,
after the collision m en tioned in the p reviou s
question, he re c eive d a notice fro m the other
m aster holding him a n d his ow ners to blam e?
H 247. What m ight the ow ners o f a sh ip do
after it h a d been re p o rte d that their vessel h a d
been in collision?
H 248. F ollow in g a collision, a n d before
arriva l a t the berth, what caution sh o u ld a
sh ipm aster g iv e to his crew ?
H 249. F ollow in g a collision w ith another ship,
w h at inform ation sh ou ld be g a th e re d f o r the
o w n e rs' law yers?
H 250. What is the term u sed in the USA f o r a
violent encounter betw een a m oving vessel a n d
a station ary o b ject such as another vessel, a
bridge, pier, w h a rf o r sh ore installation?
GROUNDING
H251. A U K -flag Panam ax bulker, lo a d ed
w ith a fu ll cargo o f grain, is steam ing d ow n ­
riv er fro m a US G u lf p o r t on an ebb tide. D ue
to a navigational e rro r the ship runs agrou nd
on soft m ud a n d is unable to refloat w ithout
assistance. What action sh ould the m aster take
to report the incident?
H252. What is the difference between
grounding a n d stranding?
H253. What is beaching?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
219
Em ergency Check List procedure N o. 5 in the B ridge P rocedu res Guide.
He should: (1) advise his owners; (2) call the P&I club’s local correspondent;
(3) serve written notice on the master o f the other ship, holding him and his
owners liable for the collision and inviting him to a survey o f the damage. He
should not admit any liability to the other ship or any person without the P&I
club’s approval.
He should courteously reply by letter, denying any liability but accepting any
invitation to attend a survey on the other vessel without prejudice.
They w ould probably have the other vessel arrested pending payment o f
security up to the limit o f liability under the LLMC Convention. Alternatively,
they m ay decide on an arbitration agreement using L loyd’s Form.
Not to give statements to anyone without his authorisation. (The identity o f all
visitors should be established with the help o f the P&I club correspondent, and
his advice should be taken as to w h o to make statements to.)
The master should write a full report describing all events leading to the
collision, and gather the follow ing: deck and engine room log books,
m ovem ent books and contemporaneous notes; graphs and print-outs from
bridge equipment in use such as course recorder, echo sounder and sat-nav;
statements from all w itnesses to the collision including, where possible, pilots,
tugmasters, etc.; full details o f both ships, including names (correctly spelt),
ports o f registry, call signs and gross tonnages; exact location o f the collision;
exact tim e o f the collision, stating whether UTC (GM T) or local time;
difference betw een bridge and engine room clocks; estim ates o f speeds and
courses o f both vessels at the tim e o f impact; estimates o f angle o f impact (this
may have to be estimated by an expert surveyor); charts in use before and up to
the time o f the collision (unaltered and unerased); weather and tide conditions
at the time o f the collision; list o f all navigation equipment in use at the time o f
the collision; records o f all signals and com munications made between the
colliding ships (and any other ships in the vicinity) prior to the collision; names
and positions o f other ships in the vicinity at the tim e o f the collision; details o f
any pilotage or vessel traffic control in operation at the time o f the collision; in
the case o f a collision involving a moored vessel, details o f m oorings deployed.
An allision. U S Coast Guard press releases frequently use the term, as in:
“C oast G u ard Responds to Container Vessel A llision with San F rancisco B ay
B ridge ” a n d “C oast G u ard Investigates Tanker A llision in Baton Rouge, LA
The master should: (1) F ollow the Em ergency Procedures in the Safety
M anagement System (SM S) (which w ill probably include the Emergency
Check List procedure in the B ridge P rocedu res G uide). (2) Take the usual
“good seam anship” precautions (signals, sound round, check for pollution,
draft readings, etc.). (3) A ssum ing there is no ingress o f water, hull damage or
leakages, inform the river authority and traffic control as soon as possible and
make a “situation report” in com pliance with local regulations. (4) Inform the
owners of: the exact position o f the ship; the part o f vessel aground; conditions
o f weather, w ind, w ave height, sw ell, and area forecast; to what extent the
vessel is aground (in terms o f displacem ent tonnes), and degree o f stresses on
hull and machinery; details o f any v isible damage, including leakages from
tanks; whether the v e sse l’s main engine can be used; the state o f tide when the
vessel grounded, the quantity and disposition o f cargo on board; an assessm ent
o f the possibilities o f refloating by trimming prior to the next high water; and
details o f any salvage craft or tugs in the vicinity. (5) Report the grounding to
the U S Coast Guard in accordance with The MS (V essel Traffic M onitoring a n d
R eporting Requirem ents) R egulations 2004. (6) A s soon as practicable, report
to the M AIB (by the quickest m eans available) in com pliance with The MS
(A ccident R eportin g a n d Investigation) Regulations. (See also questions on
R eportin g o f A ccidents a n d Incidents in this section.)
A vessel is stranded when she is aground and cannot refloat without assistance.
A grounding may be accidental or may be anticipated, e.g. at ports and berths
where ships are expected to take the ground w hilst alongside (called N A A B S A
berths and N A A B S A ports (see Section F). In such cases, where the vessel is
chartered, a suitable charterparty term such as "not alw ays afloat but safe
aground" (often abbreviated to “N A A B S A ”) should be inserted in the contract.
Running a ship aground intentionally, e.g. to prevent her foundering after an
220
H254. What is putting-by?
DISTRESS INCIDENTS
Statutory duties on receiving a distretts alert
H255. Which SOLAS regulation sets out a
m a ste r’s obligations in distress incidents?
H 256. What a re a sh ip m a ste r’s statutory
obligations on receivin g a d istress alert?
H 257. D oes the obligation in the last answ er
ap p ly to a ship that is not “at se a ’’?
H258. Where a d istress signal has been
received, in w hat circum stances is the m aster o f
a ship a t se a not b oun d to p ro c e e d to assist?
H 259. What re c o rd must be m ade w here a
d istress sign al is re c eive d but the m aster
decid es f o r som e reason not to p ro c e e d to
assist?
H 260. Where severa l ships reply to a distress
signal, w hat right o f requisition has the m aster
o f the sh ip in distress, o r the SAR service?
H 261. What is the statutory duty o f m asters o f
sh ips that have been requisition ed to a ssist in a
d istress incident?
H 262. In w hat circum stances w ill m asters o f
sh ips be re lea sed fro m an obligation to p ro c e e d
to a ssist in a d istress incident?
H263. In w hat circum stances w ill a m aster be
re lea sed fro m an obligation to com ply w ith a
requisition to a ssist in a d istress incident?
• requisition, on being informed by the persons in distress or the SA R service or
H 264. When responding to a d istress signal, is
there any o bligation to sa v e the vessel in
d istress as w ell a s the person s on it?
H 265. D oes com pliance with a sta tu to iy duty
to a ssist in a distress incident affect any rights
to salvage?
H 266. What statutory records m ust be m ade
on a U K ship concerning distress signals an d
m essages h ea rd o r seen?
Search and Rescue Cooperation Plan
H 2 6 7. What plan m ust be c a rrie d on b o a rd a
U K pa ssen g er sh ip o r other pa ssen g er ship in
U K w aters in connection with SAR?
H 268. H ow can it be ascertain ed that the SAR
C o-operation Plan w ill work?
Decision Support System
H 269. On certain p a ssen g er ships, w hat other
plan o r p la n s are a vailable to the m aster f o r
use in a d istress incident?
Distress signals
H 270. In a U K ship, w here can an up-to-date
list be found o f p e rm itted d istress signals?
ingress o f water or a serious stability problem. (The container ship M SC N apoli
was beached in Lym e Bay, England in January 2007 to prevent her sinking.)
Running a ship aground intentionally to avoid a collision, e.g. in a canal.
SO LAS regulation V/33 (i.e. regulation 33 o f SO LAS chaptcr V, as amended).
To proceed with all speed to the assistance o f the persons in distress, informing
them or the SA R service, i f possible, that the ship is doing so. An entry must be
made in the O fficial Log Book or Radio L og o f the receipt o f the distress
signal. Entries should also be made fully describing any assistance being given.
N o, it only applies to a ship at sea w hich is in a position to be able to provide
assistance. A ship in port is under no obligation to render assistance, but may
do so, since it may in som e circumstances be able to render assistance.
If the ship receiving the distress alert is unable to do so (e.g. because it is
disabled with an engine breakdown) or, in the special circumstances o f the
case, considers it unreasonable or unnecessary to do so. (The master o f a
loaded gas carrier might consider the obligation to assist a tanker on fire
unreasonable. The master o f a ship in a busy shipping area m ight consider the
obligation to assist a ship 100 m iles away unnecessary, where he knew that
many other ships would be closer to the distress position.)
If the ship is unable, or in the special circumstances o f the case considers it
unreasonable or unnecessary to proceed to assist, the master must personally
enter in the Official L og B ook the reason for failing to proceed. The entry must
be w itnessed by a crew member.
The master o f a ship in distress or the SA R service, after consultation (so far as
possible) with the masters o f answering ships, m ay requisition one or more
ships considered best able to render assistance.
It is the duty o f the master or masters o f the ship or ships requisitioned to
com ply with the requisition by continuing to proceed with all speed to the
assistance o f the persons in distress. (An entry should be made in the O fficial
Log Book o f any such requisition.)
On learning that their ships have not been requisitioned and that one or more
other ships have been requisitioned and are com plying with the requisition.
The decision (to continue on their voyages) must, i f possible, be communicated
to the other requisitioned ships and to the SA R service.
The master o f a ship w ill be released from the obligation under SOLAS
regulation V /33.1 to proceed to assist and, if his ship has been requisitioned,
from the obligation under SO LAS regulation V /33.2 to com ply with the
by the master o f another ship which has reached the persons in distress that
assistance is no longer necessary. (An entry should be made in the O fficial Log
Book o f any such information.)
No. A master is obliged to do whatever he can to save the human lives on the
ship, which may mean having to take the vessel in tow to get it clear o f the
shore. However, there is no statutory obligation to save the property itself.
N o, as long as the duty to save lives is carried out.
A record must be made in the Official Log B ook (or Radio Log) o f every
signal o f distress or m essage that a v essel, aircraft or person is in distress at
sea. The entry must be w itnessed by a crew member.
An M CA-approved Search and Rescue Co-operation Plan (som etim es called a
SARCO Plan), in accordance with M SN 1783.
It must be tested periodically by exercises involving the ship and the SAR
services.
The plan or plans forming part o f the D ecision Support System which must be
on board every C lass I, II or 11(A) ship. (F or questions on D ecision Support
Systems, se e MUSTERS, DRILLS, O N -BOARD TRAINING &
INSTRUCTIONS. & DECISIO N S U P P O R T SYSTEM S in Section E.)
In M SN 1781 (Amendment). This details Amendments to the COLREG
Convention which came into force on 1 Decem ber 2009.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Misuse o f distress signals
H271. What are the U K statu tory
requirem ents regardin g the m isuse o f distress
signals?
STOWAWAYS, PERSONS IN DISTRESS and SECURITY INCIDENTS
IMO Stowaway Case Guidelines
H272. What official guidelines on dealin g with
stow aw ays are available on a U K ship?
H273. Stow aw ays are d isco vered hiding in a
cargo o f b a g g e d rice during a voyage. What
action sh ou ld be taken in accordance with IM O
G uidelines?
H274. In w hat declaration, to be su bm itted by
the m aster on arriva l a t a p o r t fro m a p o r t in
another country, are stow aw ays m entioned?
H 275. H ow does the discovery o f stow aw ays
affect sh ip secu rity procedures?
H276. What precau tion sh ould be taken before
sealin g a n d fu m igatin g a hold?
Rescue and treatment o f persons in distress
H 277. A ship is under w a y o ff the north-w est
African coast, b o u n d fo r Europe. The O O W
reports sighting a b oat f u ll o fp e o p le w avin g
their arms. What action sh ou ld be taken?
H 278. What a re the tw o convention texts on
which the m aster's duty to render assistan ce to
p e o p le in distress is based?
H279. What guidan ce is available to the
m aster o f a U K ship on how rescu ed p e o p le
sh ould be treated?
Security incidents at sea
H280. What is a secu rity incident (in relation
to a ship)?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
221
The M S (Safety o f N avigation) R egulations 2 0 0 2 require com pliance with
SO LAS regulation V /35, which provides that the use o f an international
distress signal, except for the purpose o f indicating that a person or persons are
in distress, and the use o f any signal which may be confused with an
international distress signal are prohibited. N o penalty is specified in the Safety
o f N avigation Regulations for a contravention o f regulation 35.
IM O G uidelines on the A llocation o f R esponsibilities f o r the Successful
R esolution o f Stow aw ay C ases (Resolution A .871(20)) are in MGN 70.
(1) Take the stow aways into custody; (2) find out w hich port they embarked at;
(3) prepare a statement using the form in M GN 70 for presentation to shore
authorities; (4) notify relevant authorities at port o f embarkation and next port,
as w ell as flag State; (5) do not depart from the planned voyage to seek
disembarkation o f stow aways unless repatriation has been arranged with
sufficient documentation and permission for disembarkation, or unless there
are extenuating security or com passionate reasons; (6) present stowaways to
authorities at next port o f call in accordance with their requirements; and (7)
take appropriate measures to ensure the safety, general health, welfare and
safety o f stow aw ays until disembarkation.
The Maritime Declaration o f Health required under International Health
Regulations (2005), which has a question: “H ave any stow aw ays been fo u n d on
b o a rd ? ”
The ship security assessm ent (on which the ship security plan was based)
should have considered all possible security incidents, including (amongst
other things) “unauthorized ac ce ss o r use, including p resen ce o f stow aw ays" .
A non-com pliance should be raised with the Company Securitv O fficer, a re­
assessm ent should be made, and the ship securitv plan should be reviewed and
possiblv revised. Appropriate securitv measures, as specified in the shin
security plan, should be taken w hile the stowaways are on board. A
Declaration o f Securitv should be made on arrival at the next port.
The hold should be searched for stow aways, as advised in M GN 70.
The people must b e assumed to be in distress and in need o f immediate
assistance. A ll practicable assistance should therefore be rendered.
U N C LO S article 98(1) provides that “every State sh a ll require the m aster o f a
ship fly in g its fla g , in so f a r as he can do so without serious danger to the ship,
the c rew o r the passen gers: (a) to ren der assistan ce to any p erso n fo u n d a t se a
in dan ger o f bein g lost; (b) to p r o c e e d with a ll p o ss ib le sp e e d to the rescue o f
p erso n s in distress, i f inform ed o f th eir n eed o f assistance, in so f a r a s such
action m av reason ably be expected o f him.” SO LAS regulation V/33.1
provides that “the m aster o f a ship a t se a which is in a po sitio n to be able to
p ro v id e assistan ce on receivin g inform ation fro m any sou rce that p erso n s are
in distress a t sea. is boun d to p ro c e e d w ith a ll sp e e d to their assistance, i f
p o ssib le inform ing them o r the search a n d rescue se rv ice that the sh ip is doing
so. This o bligation to p ro v id e assistan ce applies regardless o f the nationality
o r status o f such person s o r the circum stances in which they are found".
IMO G uidelines on the Treatm ent o f P ersons R escu ed at Sea (Resolution
M SC. 167(78)) are included in the M C A ’s guidance to SO LAS regulation V /33 ■
in the M CA 2002 SOLAS V document (on the M CA website).
. (
It is defined in the ISPS Code as any suspicious act or circumstance threatening
the security o f a ship or o f a port facility or o f any ship/port interface or any
ship to ship activity. Para. 8.9 o f Part B o f the ISPS Code states that the ship
security assessm ent should consider all possible threats, which may include the
follow in g securitv incidents: (11 damage to. or destruction of. the ship or o f a
port facility, e.g. by explosive devices, arson, sabotage or vandalism; (2)
hijacking or seizure o f the ship or o f persons on board; (3) tampering with
cargo, essential ship equipment or svstem s or sh ip’s stores; (4) unauthorized
access or use, including presence o f stowawavs; (5) sm uggling weapons or
equipment, including w eapons o f m ass destruction; (6) use o f the ship to carrv
those intending to cause a securitv incident and/or their equipment; (7) use o f
the ship itse lf as a weapon or as a means to cause damage or destruction; (8)
222
H 28I. I f there has been a secu rity incident
during a voyage, w hat action m ust be taken
before a rriva l a t the next port?
H282. A sh ip is prep a rin g to sa il fro m a West
African p o r t to a European port. A re there any
sh ip security concerns?
DAILY REPORTING
H 283. What is the U K statutory requirem ent
f o r d a ily reporting?
H 284. By w hat m eans m ay d aily reports be
transm itted?
H 285. Can au tom ated reporting system s be
u s e d fo r sending the d a ily report?
H 286. What must a d a ily report contain?
H 287. What is the p u rp o se o f d aily reports?
REPORTING OF ACCIDENTS AND INCIDENTS AT SEA
Statutory reporting duties under Vessel Traffic Monitoring and Reporting Requirements
H 288. U nder which U K regulations must
reports o f acciden ts a n d incidents a t se a be
m ade by m asters o f U K ships, an d which M
N otice explains their requirem ents?
H 289. What a re the requirem ents o f The MS
(V essel Traffic M onitoring a n d R eporting
Requirem ents) R egulations 2004 relating to
reports o f accidents, incidents o r pollu tion
events outside U K con trolled w aters?
H 290. What are the requirem ents o f The MS
( Vessel Traffic M onitoring a n d R eporting
Requirem ents) Regulations 2004 relatin g to
reports o f a discharge, o r a p ro b a b le
discharge, o f dangerous p a c k a g ed goods?
H 29I. Which M N otice explains the reporting
requirem ents o f The MS (V essel Traffic
M onitoring a n d Reporting Requirem ents)
R egulations 2004?
H 292. D o the VTM Regulations change the
requirem ents o f The M S (Reporting
Requirem ents f o r Ships C arrying D angerous or
P olluting G oods) Regulations 1995?
H 293. In which w aters do the accident an d
incident reporting requirem ents o f MSN 1817
a pply?
H 294. What is the U K P ollution C ontrol
Zone?
attacks from seaward w hilst at berth or at anchor; and (9) attacks whilst at sea.
The ship must make a D eclaration o f Security with the port.
Armed robbery may be attempted at or o ff som e w est African ports and piracy
m a y b e attempted offshore. People in small boats (w ho in most cases w ill be
migrants) may be encountered between Africa and the Canary Islands or the
Iberian peninsula; som e o f these craft may require immediate assistance.
Under SO LAS regulation V /28 (which is mandatory for U K ships under The
MS (Safety o f N avigation) Regulations 2002), each ship o f 500 GT or above,
engaged on international voyages exceeding 48 hours, must submit a daily
report to its Company (as defined in SO LAS regulation IX /1), which must
retain it and all subsequent daily reports for the duration o f the voyage.
B y any means, provided that they are transmitted to the Company as soon as
practicable after determination o f the position named in the report.
Y es, provided that they include a recording function o f their transmission and
that those functions and interfaces with position-fixing equipment are subjected
to regular verification by the ship’s master.
(1) Ship’s position; (2) ship’s course and speed; and (3) details o f any external
or internal conditions that are affecting the ship’s voyage or the normal safe
operation o f the ship.
They are intended to provide information o f benefit to those responsible for
mounting rescue operations.
The MS (V essel Traffic M onitoring a n d R eporting Requirem ents) Regulations
2004 (the " ITA / Regulations ”).
(1) W hen a UK ship is involved in an accident, incident or pollution event
outside UK controlled waters (i.e. outside the U K Pollution Control Zone), the
master must reDort the particulars without delav and to the fullest extent
possible. (2) Where there is a threat to the coastline or a related interest o f the
UK , the report must be sent to HM Coastguard (i.e. the nearest U K MRCC),
and where there is a threat to another State, it must be sent to the State in
question. (3) The report must b e in accordance with the Standard Reporting
Requirements in M GN 242. (4) The report must include the identity o f the
ship, the time and location o f the incident, the quantity and type o f any
dangerous goods involved, and details o f any assistance and salvage measures.
(1) When a U K ship is involved in a discharge. or a probable discharge, o f
dangerous packaged goods, the master must report the particulars without
delay and to the fullest extent possible. (2) Where there is a threat to the
coastline or a related interest o f the UK , the report must be sent to HM
Coastguard (i.e. the nearest UK M RCC), and where there is a threat to another
State, it must be sent to the State in question. (3) The report must com ply with
the Standard Reporting Requirements in M GN 242. (4) The report must
include the identity o f the ship, the time and location o f the incident, the
quantity and type o f anv dangerous goods involved, and details o f any
assistance and salvage measures.
M SN 1817 - Consolidated European Reporting System (CERS).
N o. (M SN 1817, para. 5.1)
In the Search and Rescue Region (SR R) or E xclusive Econom ic Zone (EEZ),
or equivalent, o f the Coastal State as designated by that State. (M SN 1817,
para. 5.2)
A zone extending beyond the territorial sea around the U K and the Isle o f Man
in which jurisdiction is exercisable by the UK Government (in accordance with
UN C LO S) for preventing pollution. Under The MS (P revention o f Pollution)
(Lim its) Regulations 1996, as amended, it extends to 200 m iles from baselines
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

H 295. Who m ust a report b e sen t to o f an
accident o r incident occurring in the U K
P ollution C ontrol Zone?
H 296. F or w hat events must an im m ediate
report b e sen t in com pliance with M SN 1817?
H297. What inform ation m ust be sent, in
com pliance w ith M SN 181 7, in a rep o rt o f an
incident o r acciden t a t se a a s liste d in the last
answer?
SN 242)
H298. What are the various types o f report
d e ta iled in the Stan dard Reporting
Requirem ents in M G N 242?
H299. A U K ship acciden tally grou nds in
coastal w aters, a n d o il is subsequently seen on
the w ater surface. What rep o rts m ust be m ade?
H300. What records sh ou ld be m ade o h b o a rd
fo llo w in g the disch arge in the p reviou s
question?
H301. A U K contain er ship loses severa l
containers o verb o a rd in heavy weather. Som e
o f them contain dangerous goods; others
contain m arine pollutants. What reports sh ould
b e m ade?
H302. Som e drum s o f dangerous g o o d s have
to be je ttis o n e d by a ship in the English
Channel when they sta rt leaking dangerous
fum es. What reports sh ou ld be m ade?
H 303. A non-routine discharge o f a noxious
liq u id substance o r residue is m ade at sea.
What reports sh ou ld be m ade?
H304. A U K sh ip a p p ea rs to be the sou rce o f
o il pollu tion w hilst a t sea, an d the cause is
discovered to be a new 3 rd Engineer w ho is
pum ping bilges in contravention o f com pany
rules. What action sh o u ld the m aster take?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
223
or to the nearest median line (i.e. the agreed boundary with a neighbouring
State’s waters). The zone is som etim es referred to as “U K controlled waters”.
To HM Coastguard. Reports can be made to any UK Maritime R escue C o­
ordination Centre (M RCC). (M SN 1817. p ara. 5.3)
(1) A ny accident or occurrence affecting the safety o f the ship including
collision, running aground, damage, malfunction or breakdown, flooding or
shifting o f cargo, any defect in the hull or structural failure; (2) any incident
which com prom ises shipping safety, including failures likely to affect the
ship’s manoeuvrability or seaworthiness, or any defects affecting the
propulsion system or steering gear, the electrical generating system , navigation
equipment or com munications equipment; (3) any situation liable to lead to
pollution o f the waters or shore o f the UK, such as the discharge or threat o f
discharge o f polluting products into the sea; and (4) any slick o f polluting
materials or containers or packages seen drifting at sea. (M SN 1817, para. 5.4)
The information in Appendix 2 o f M SN 1817, which is as follow s: fA ) W hen a
ship is involved in an accident, incident, a discharge or probable discharge or a
pollution event likelv to result in pollution o f U K waters or the coastline o f the
UK: (a) the identity o f the ship; (b) the position o f the ship; (c) the last port
from which the ship departed; (d) the next port o f call; (e) the number o f
people aboard the ship; (f) the date on which, and the time at which, the
accident, the incident or the polluting event, as the case may be, occurred; (g)
details o f the accident, the incident or the polluting event, as the case m ay be;
(h) the name o f the body or person from whom information regarding any
dangerous goods or polluting goods on board the ship may be obtained
together with the necessary information to enable that person or body, as the
case may be, to be contacted. (B ) I f a slick o f polluting goods or containers or
packages drifting at sea are seen from a ship in controlled waters, the report
should contain the follow ing information: (a) details o f the sighting; (b) the
information specified in paragraph A (a) and A(b); and (c) any other relevant
information referred to in IMO Resolution A .851(20) adopted by the A ssem bly
o f the IMO on 27th N ovem ber 1997. The master must also ensure that reports
com ply, as to form and content with the Standard Reporting Requirements, as
detailed in MGN 242.
Sailing Plan (SP); Position Report (PR): Deviation Report (DR); Final Report
(FR); Dangerous G oods Report (DG); Harmful Substances Report (H S); and
Marine Pollutants Report (M P).
(1) A standard Harmful Substances (H S) report to the nearest coast radio
station or coastguard station, as described in M GN 242; (2) a report to the
M AIB as described in M G N 289; and (3) a report to the owners or managers.
The coastal State’s law may require additional reports within its pollution
control zone.
(1) An entry should be made in the appropriate O il Record B ook (Part 1 or Part
2, or both) under “Accidental or other exceptional discharges o f oil”. (2 ) The
grounding should be recorded in the Official L og Book. (3) The pollution
should be recorded as a non-conform ity with the ship’s Safety M anagement
System and procedure in the SM S should be used to report it.
(1) A Dangerous G oods (D G ) Report and Marine Pollutants (M P) Report, as
described in M G N 242, to the nearest coast radio station or coastguard station;
(2) a report (by phone, fax or telex) to the M AIB o f loss o f cargo overboard
and possible serious harm to environment; and (3) a report to the owners and
charterers ( if any). The sh ip’s agent at the destination port should also be
informed, since receivers o f cargo in m issing containers w ill have to be
notified. The P& l club correspondent for that port should also be notified.
(1) A Dangerous G oods (D G ) Report, as described in M GN 242, to the nearest
coast radio station or coastguard station; (2) a report (by phone, fax or telex) to
the M AIB o f possible serious harm to environment; (3 ) a report to the owners
and time charterers ( i f any). The agent at the destination port should also be
informed; receivers o f m issing drums w ill have to be notified.
(1) A Harmful Substances (H S) Report, as described in M GN 242, to the
nearest coast radio station or coastguard station; (2) a report to the M AIB o f
possible serious harm to the environment; (3) a report to the owners and time
charterers ( if any).
(1) Stop the polluting activity. (2) Record the pollution in the ORB. (3) Report
the pollution in accordance with M GN 242. (4) Raise a non-conform ity in
accordance with the ship’s SM S. (5) Take disciplinary action (in accordance
with M N or Company Code o f Conduct i f applicable), giving an oral or written
warning, as appropriate. (6) G ive the engineer further training in pollution
224
SALVAGE
Types o f salvage
H305. What a re the different types o f salvage?
International salvage law
H 306. What international convention governs
contractu al salvage operations, a n d is this
convention law in the UK?
H 307. What duties under A rticle 8 o f the
International S alvage Convention do es the
sa lv o r ow e to the ow ner o f the vessel o r other
p ro p e rty in danger?
H 308. What duties under A rticle 8 o f the
International S alvage Convention do es the
ow n er a n d m aster o f the vessel o r the ow ner o f
oth er p ro p e rty in da n g er ow e to the salvor?
H 309. Where the International Salvage
Convention applies, does the m aster n eed the
p o w e r o f agency o f necessity to m ake a salvage
agreem ent w ithout notifying the pro p erty
ow ners?
3
H 310. H ow sh ou ld a m aster re a c t when his
sh ip is in a position o f peril?
H 311. What is the g en eral ride that applies to
e very sh ipm aster when his ship is in peril,
about seeking advice a n d instructions fro m the
ow ners?
H 3I2. In addition to the shipow ners, who
sh o u ld the m aster n otify w henever his vessel is
in a position o f peril?
H 3I3. A sh ip has lo st a ll p o w e r in storm y
w eath er a n d is in danger o f grou nding on a lee
shore. What sh ou ld be the m aster's im m ediate
actions?
H 3I4. A lo a d e d tanker has b ecom e d isa b led
o ff a lee shore. A p ow erfu l anchor-handling
su p p ly vessel quickly offers sa lva g e assistan ce
on L lo y d ’s O pen Form terms. Should the
m aster im m ediately a ccep t the offer?
H 315. When a sh ip is disabled, but n earby
vessels m ay b e w illing to assist, what is the
po in t o f the m aster contacting the ow ners?
prevention. (7) M ake entries in the O fficial L og B ook recording the pollution,
the breach o f com pany rules, the disciplinary action and the remedial training.
(1) “Contractual salvage” arises where a salvaee agreement (such as L loyd’s
Open Form) is made between a salvor and the owners o f a ship (and, i f
carrying cargo, the owners o f its cargo) when in a position o f peril. An
exam ple was the salvage on the south coast o f England o f the container ship
MSC N apoli and som e o f her careo in 2007. (21 “Common law salvaee”, also
called “voluntary salvage” or “pure salvage”, arises where property is saved
from peril without a contract being made with its owner, e.g. where an
abandoned yacht is found adrift at sea and is brought to a port, and the salvor
claim s (or is offered) a salvage reward from the yacht’s owner. It also occurs
where a person on a shore saves from peril an item o f cargo or ship’s
equipment found in the shallow s and claim s a reward from the property owner,
or where a diver recovers an item o f lost maritime property (e.g. an anchor or
bell) from the seabed and claim s a reward from its owner. Shipmasters are
m ainly concerned with contractual salvage.
The International Convention on Salvage 1989 (also called the International
Salvage Convention), which cam e into force in 1994. It is incorporated into
UK law as Schedule 11 to the M erchant Shipping A ct 1995.
(1) The duty to carry out the salvage operations with due care; (2) in
performing this first duty, to exercise due care to prevent or m inim ise damage
to the environment; (3) whenever circumstances reasonably require, to seek
assistance from other salvors; and (4) to accept the intervention o f other salvors
when reasonably requested to do so by the owner or master o f the vessel or
other property in danger.
(1) The duty to co-operate fully with the salvor during the course o f the salvage
operations; (2) in so doing, to exercise due care to prevent or m inim ise damage
to the environment; and (3) when the vessel or other property has been brought
to a place o f safety, to accept redelivery w hen reasonably requested by the
salvor to do so.
N o. Article 6, paragraph 2 o f the International Salvage Convention provides
that the master shall have the authority to conclude contracts for salvage
operations on behalf o f the owner o f the vessel. The master or the owner o f the
vessel shall have the authority to conclude such contracts on behalf o f the
owner o f the property on board the vessel.
H e should act w ith urgency in the interests o f safety and pollution prevention,
rather than delay any action in the hope that the situation may improve.
If a vessel is in danger and there is sufficient time, the master should seek the
advice and instructions o f the shipowners before calling for assistance, and
before agreeing salvage terms with another ship. If there is no time for this,
however, the master should im m ediately call for and engage assistance from
any available source i f he believes it necessary for the safety o f the ship, crew,
passengers and cargo. The master has full authority to do this, as should be
clearly stated in the ship’s Safety M anagement System documentation.
The nearest coastguard station or coast radio station in the nearest coastal State.
He should im mediately assess the threat and decide whether assistance,
including salvage assistance, is needed or not. (In this case it almost certainly is
needed.)
N ot unless his vessel is in a position o f imminent peril and there is no tim e to
contact the owners. If conditions are such that there is adequate time (e.g. in
fine weather, with favourable current, lack o f traffic, etc.), the master should
contact the owners, since they may be able to negotiate cheaper terms with a
local towage company. (There m ay be adequate tugs in a nearby harbour.)
The owners m av be able to arranee cheaper towage services on a contractual
basis (e.g. stipulating ordinary tariff, fixed lump sum or a daily rate) than any
salvage assistance that the master could engage from nearby ships. The master
would be exceeding his authority i f he engaged a more expensive salvor
without consulting the owners when there was enough time to do so.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

H 316. When sh ou ld a m aster n ever sp e n d tim e
tryin g to g e t his ow ners ’ agreem ent to terms, o r
in sending a c o n tra cted salvage vessel?
H 3I7. What are the differences betw een
“to w a g e ” a n d “salvage" ?
H 318. I f a ship g o e s agrou nd when it is under
to w by a tug, can the tug claim a salvage
re w a rd f o r refloating the ship?
Considerations before accepting salvage assistance
H 3 19. What book sh ou ld m asters r e a d
concerning sa lva g e assistance?
H 320. In decidin g w hether to a c ce p t salvage
assistance, w hat circum stances sh ou ld the
m aster o f a d isa b le d sh ip take account of?
H321. When considering w hether to engage
sa lva g e assistance, w hat consideration sh ou ld
be upperm ost in the m ind o f the m aster o f a
d isa b led ship, in addition to any threat to life,
the ship o r the cargo?
H 322. When se v era l sh ips o f different types,
size a n d p o w e r offer th eir services to a d isa b led
vessel, w hat assistan ce sh ou ld be accepted?
H323. When se v era l sh ips offer th eir services
to a d isa b led vessel, each offering salvage on
different terms, w hat sh o u ld the m aster o f a
d isa b le d sh ip ask them to do?
II324. Who is in charge in a sa lva g e operation
- the m aster o f a d isa b le d ship o r the m aster o f
a salvage tug rendering assistance?
H325. H ow much assistan ce sh ou ld the m aster
o f a d isa b led ship g ive the m aster o f a vessel
rendering assistance, since he a n d his crew a n d
ow ners are go in g to b e earning a salvage
rew ard?
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H326. Where a sh ip is in danger, is the m aster
o f a vessel rendering assistan ce under any
obligation to save the ship a s w e ll as the crew ?
H327. A lo a d ed bulk ca rrier receives a c a ll f o r
assistan ce fro m a vessel that has suffered a
m a jo r engine breakdow n in m id-Atlantic. What
sh ou ld be the bulk ca rrier m a ste r’s
considerations before offering a tow ?
H328. H aving a g re e d in p rin ciple to g ivin g a
d isa b led vessel a tow, w hat sh ould be the
assistin g sh ip m a ste r’s considerations?
THE SHIPMASTER'S BUSINESS SELF-EXAMINER
225
Where human lives, the ship, the cargo or the marine environment are in
immediate peril and the master can engage a salvor more quickly him self.
T ow age services are governed bv ordinary contract law. A contract for tow age
is for agreed purposes and an agreed sum. i.e. the tu e ’s duties and the price are
fixed beforehand, usually according to the tow age com pany’s tariff o f rates.
The tow ing ve sse l’s services are not voluntary and no salvage reward w ill be
due unless som e peril arises during the towage such as to require extraordinary
assistance from the tug. Salvage, on the other hand, is governed bv admiralty
law. It is a voluntary action, and anv reward is dependent on some measure o f
success: hence the term “n o cure, no pav” in m ost salvage agreements. The
reward can only be determined after com pletion o f the salvage services.
See H ARBOUR TOWAGE in Section I.
P eril a t Sea a n d Salvage: A Guide f o r M asters, published b y ICS/OCIMF.
(1) The safety o f personnel; (2) proximity to the shore or shoal water; (3)
weather and sea conditions; (4) current and tide; (5) the nature o f the sea bed
and shoreline; (6) the potential for safe anchoring; (7) the availability o f
assistance; (8) any damage already sustained by ship; (9) the risk o f further
damage to ship; (10) the prospect o f maintaining communications; (11) the
threat o f pollution; and (12) manpower and material requirements.
The need to avoid or reduce the risk o f harm to the marine environment.
The assistance that seem s the m ost reasonable, taking into account the possible
value o f the assisting ships, their ability to perform the salvage services and the
amount o f their deviation from their intended routes.
Immediately request them to undertake whatever action is necessary. He
should not delay to negotiate a particular form o f agreement or contract terms.
He should im mediately accept any form o f contract offered (LOF or other) in
order to get the salvage operation comm enced.
The master o f the disabled ship is legally in charge o f the salvage operation,
although the master o f the salvage tug w ill, in practice, be the expert. The
salvage tug’s owners are the contractors to the shipowners.
The master should give the assisting v e ssel’s master all possible assistance to
enable him to do the job, but should bear in mind that the more that can be
done without the salvor’s assistance, the less w ill be the salvage reward. For
exam ple, the salvor may want to put a party on board to connect up the
towline, but the ship’s crew should be able to do that. The more the salvor
does, the greater his reward is likely to be.
e assistance
N o. Shipmasters are under a statutory obligation to save human lives only. The
first priority is to decide how to save the lives on board, and then think about
saving the ship i f circumstances permit. Once they volunteer salvage services,
they also take on a statutory duty towards the environment.
A vessel requiring a tow is not necessarily in distress. The bulker master
should therefore carefully consider: (1) whether the contract o f carriage (as
contained in the charterparty or bill o f lading) gives his vessel liberty to tow:
(2) whether sufficient bunkers and/or fresh water for the tow are on board, and
whether sufficient reserves can be maintained, throughout and after the tow, so
as to m eet the stipulations o f owners or charterers; (3) whether there is a
possibility o f m issing a cancelling date or delivery/ redeliverv date under the
charterparty; (4) whether the nature o f the cargo permits a lengthening o f the
voyage; (5) whether the ship’s machinery is o f adequate power and in eood
enough condition for towing; and (6) whether the values o f the vessel
requesting the tow, and her cargo i f any, is likely to be sufficient to merit an
attempt at salvage.
(1) Has an agreement to salvage under LOF 2000 terms been made? (2) Has a
port o f destination or place o f safety been agreed? (I f near the UK it is
preferable to tow a v essel here rather than to a European port.) (3) H ave the
owners and charterers been notified so that additional hull insurance can be
arranged i f necessary? (4) Are proper records o f all events and circumstances
to date being kept?
226
H 329. H ow much m oney sh ou ld he dem an ded
fro m the m aster o f a d isa b led ship that has
a sk e d f o r a tow?
\
&
1
H330. Is L lo y d ’s O pen Form the on ly fo rm o f
sa lv a g e agreem ent u sed at sea?
H 33I. What is the well-known p rin cip le on
which L lo y d ’s O pen Form is based?
H 332. What a re the m ain fe a tu re s o f L lo y d ’s
O pen Form?
H 333. When the m aster o f a ship enters into a
L lo y d ’s Open Form contract with anoth er
vessel, on w hose b e h a lf does he d o so?
H 334. What editions o f L lo y d ’s O pen Form
are there, a n d which one sh ou ld be u sed 7
H 335. H ow sh ou ld assistan ce be offered on
L O F 2000 term s?
H 336. H ow sh ou ld an offer o f L lo y d ’s Open
Form 2000 sa lv a g e a ssistan ce b e accepted?
H 33 7. I f a m aster enters into a L lo y d ’s Open
Form agreem ent w ithout having the fo rm on
board, how can it b e signed?
H 338. O nce a sa lv o r has a g re e d to render
sa lva g e assistan ce on L lo y d ’s Open Form
terms, w hat is he basically o b lig e d to do under
the contract?
H 339. What is a “p la c e o f safety" in the
context o f sa lva g e operations?
H 340. What fa c to rs sh ou ld b e con sidered
when deciding w hat is, o r is not, a p la c e o f
safety?
It is immaterial. Courts and arbitrators w ill set aside any unreasonable demand,
even i f agreed to. Under LOF 2000 the reward (in the absence o f settlement) is
determined by arbitrators guided by a set o f criteria for fixing the reward laid
down in the International Salvage Convention 1989.
N o, but it is by far the m ost popular. Various other forms are in use around the
world, som e o f them mandatory in a coastal State’s waters. In Japanese waters,
for exam ple, the Japanese Form o f Salvage Agreement may be offered by a
local salvor. The U .S. Open Form Salvage Agreem ent may be used in the US.
There is also a B eijing Form, a M oscow Form, a Hamburg Form and others.
“N o cure, no pay”. I f the salvor fails to succeed in salvaging any o f the
property in peril, he w ill not earn any reward.
(1) Basically it is a “N o cure, no pay” contract. (2 ) LOF terms can be agreed to
by radio, sim ply by reference; there is no need to have a copy o f an LOF form
on board. (3) There is no need to haggle over the terms - they are fixed. (4)
There is no need to haggle over a potential reward; it w ill be determined (in the
absence o f settlem ent) by a L loyd’s Arbitrator after the salvage service; (5)
The salvor is entitled to security follow in g the salvage service. (6) The contract
is governed by English law and disputes are submitted to arbitration in London
by an expert salvage arbitrator.
On behalf o f the owners o f the ship and the owners o f all “maritime property”
on board including any cargo, cargo containers, bunkers, stores and other
equipment, and the recipients o f any freight at risk. On a ship with contractors’
equipment on board, such as a diving support vessel, the owners o f that
equipment w ould also be included. A ll the owners o f “maritime property”
becom e liable for a contribution to the salvor’s reward i f he is successful.
There have been m any editions over the last 120 years, the m ost recent being
1990, 1995 and 2000. LOF 2000 should ideally be used, although if another
edition is offered by a salvor it should be accepted.
Usually by radio, but it m ay be signalled by any means. A m essage might read:
“OFFER SAL VA G E SER VICES BASIS L L O Y D 'S F O R M L O F 2000 N O CURE
N O PA Y. MASTER (ASSISTING S H IP ’S NAM E) ’’.
B y signalling: "ACCEPT SALVAGE SERVICES BASIS L L O Y D ’S F O R M LO F
2000 N O C U RE N O PA Y. MASTER (S H IP ’S NAM E) ’’.
Having made the agreement with the other master, the owners should be
contacted. They can then arrange for the form to be signed ashore.
To use his best endeavours to: (1) salve the vessel and/or her cargo, freight,
bunkers, stores and any other property thereon and take them to the place either
previously or later agreed (either place to be a place o f safety), or if no such
place is agreed, to a place o f safety; and (2) w hile performing the salvage
services, to prevent or m inim ise damage to the environment.
A place at which a vessel being salvaged can be returned to a reasonably safe
condition such that her master and crew are capable o f discharging
responsibility for her safety and no further salvage assistance is necessary. It is
not necessary for the vessel to be absolutely safe, nor does she have to be fully
seaworthy, or fully repaired. It may be that all that is required are some
temporary measures, e.g. temporary repairs and careful m onitoring by her
crew, to keep her in a reasonably safe condition until she reaches a repair yard.
If so, she may be considered salved, and the salvor has com pleted his
contractual obligation. It has been held, however, that a vessel was not in a
place o f safety where there were no facilities for repairs, no cargo storage or
transhipment facilities, and where she could not lie in safety indefinitely.
(1) The repair facilities; (2) the possibility o f safely discharging and storing
cargo and o f forwarding it to its destination; (3) the danger o f deterioration o f
the cargo in the place; (4) whether the place is the m ost suitable place at which
the vessel can be repaired, with regard to nearness, convenience, cheapness and
facilities; and (5) whether the vessel is capable o f manoeuvring under her own
power or not, and whether, therefore, she could still be regarded as being in a
position o f danger even though moored in a “safe port”. Taking these factors
into account, it m ay be necessary for the ship to be towed past ports at which
she could lie in safety. Courts and arbitrators tend to consider that unless a
vessel is at a port or place where she can effect the repairs necessary for the
safe continuation o f the voyage, she cannot be considered to be in a “place o f
safety” as far as com pletion o f the salvage service is concerned. The master
should not, therefore, release a salving vessel until his ship is in a place o f
safety or a port named in the LOF.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Completion o f salvage services
H341. Where a sh ip is taken in to w on LO F
terms, when sh ou ld the sa lvo r be released?
H 342. Where a sh ip has been to w e d b y a
sa lv o r to an a g re e d port, what action sh ou ld be
taken if, because o f congestion, the sa lvo r
p ro p o ses to leave the ship a t an anchorage
outside the harbour?
Special compensation
H 343. In a nutshell, w hat is "special
com pensation "?
H 344. In m ore detail, what is “sp ecia l
com pensation ”, a n d w hy was it introduced?
H 345. Where sp e c ia l com pensation m ay be
payable, why m ight the salvor have fa ile d to
earn a rew ard?
H346. H ow much w ill a sa lvo r's sp e c ia l
com pensation be under A rticle 14 o f the
Salvage Convention, a n d who is liable to p a y
it?
H 347. Can a sa lvo r increase his sp e c ia l
com pensation?
H 348. C ou ld a sa lvo r fo rfeit his sp ecia l
com pensation?
H 349. Is sp e c ia l com pensation only p a y a b le
under a L lo y d ’s O pen Form agreem ent?
SCOPIC Clause
H350. What is the SC O PIC Clause?
H 35I. D oes the S C O P IC Clause autom atically
a pply to all L O F agreem ents?
H 352. H ow is the SC O PIC C lause a tta c h e d to
an L O F agreem ent?
H353. When a n d h ow is the SC O P IC C lause
invoked?
H 354. In w hat situations w ou ld a sa lv o r want
to invoke the SC O P IC Clause?
H355. What is the c h ie f advantage o f invoking
the SC O PIC Clause?
H 356. D o es the SC O P IC Clause apply to all
salvage services under L lo y d ’s O pen Form ?
H357. Why w ou ld a sa lvo r w ant to invoke the
SC O PIC Clause?
H 358. What happens i f the sa lv o r invokes the
S C O P IC C lause but it turns out that his salvage
re w a rd is big enough to m eet his expenses?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
227
~1
When he has brought the ship either to the place agreed or to a placc that can
be considered “a place o f safety” and has delivered the ship to the owners.
Remind him that he has not com pleted the salvage service until he has placed
the ship in a place o f safety or in the agreed port or place. H e could sub­
contract other tugs to relieve him, i f agreed with owners.
Compensation for a salvor’s efforts to protect the environment, payable under
Article 14 o f the International Salvage Convention 1989 where his salvage
reward fails to cover his expenses or where he fails to earn any salvage reward.
Compensation for a salvor w ho has carried out salvage operations in respect o f
a vessel which, by itse lf or its cargo, threatened damage to the environment,
but where the salvor has failed to earn a reward under Article 13 o f the Salvage
Convention at least equivalent to the special compensation assessable under
Article 14. It was introduced into the 1989 Salvage Convention as an incentive
to professional salvors to stay in the salvage business, since so many were
leaving it due to low salvage rewards failing to cover high salvage costs.
Perhaps because o f the low value o f the ship and cargo he was trying to salve,
or because the ship sank before he could com plete the salvage operations.
It w ill equal his expenses, i.e. out-of-pocket expenses reasonably incurred in
the salvage operation, and a fair rate for equipment and personnel actually and
reasonably used. It is paid by the shipowner (w ho w ill normally be reimbursed
by his P&I club).
Y es, i f he prevents or minim ises damage to the environment, the special
com pensation may be increased up to a maximum o f 30% o f his expenses.
H owever, the LOF arbitration tribunal, i f it deem s it fair and just to do so, and
bearing in mind the relevant criteria for fixing the reward, may increase the
special compensation up to a maximum o f 100% o f the salvor’s expenses.
Y es. I f he is negligent and thereby fails to prevent or m inim ise damage to the
environment, he may be deprived o f all or part o f his special compensation.
N o. It is payable under any salvage agreement which incorporates the terms o f
the International Salvage Convention 1989, e.g. the U .S. Open Form.
The Special Compensation P&I Clause, a supplementary clause to I,OF 2000
and 1995 agreements that provides for an alternative method o f assessing
Special Compensation to the method prescribed by Article 14 o f the
International Salvage Convention, 1989...
N o. It cannot apply unless it is: (1) attached to the LOF salvage agreement; and
(2 ) invoked by the salvor.
The SCOPIC Clause should be incorporated by reference into any LOF salvage
agreement in which it might be required. B ox 7 on the front o f the LOF 2000
form contains the question: “Is the Scopic C lause incorporated into this
agreem ent? S tate alternative: Yes/No". A note b elow this states: “ Unless the
w o rd “No ’’ in B ox 7 has been d e le te d this agreem ent sh all be deem ed to have
been m ade on the basis that the S copic Clause is not incorporated a n d fo rm s
no p a rt o f this agreement".
The salvage contractor has the option o f invoking the SCOPIC Clause, if
attached to the LOF, at any tim e o f his choosing by giving notice in writing to
the shipowner.
Where, for example: (1) there is a prospect that a vessel being salved w ill
becom e a total loss before successful com pletion o f the salvage operation; or
(2) there is a prospect that any Article 13 reward for saving property w ill be
w ill be less than the costs o f the salvage operation (e.g. due to low ship or
cargo values).
It w ill mean that any special com pensation awarded to the salvor w ill be
assessed using a tariff o f agreed rates and not on the basis o f Article 14 o f the
Salvage Convention. This w ill reduce the possibility o f costly legal disputes.
N o, only to those salvage services where the salvor has first invoked the
SCOPIC Clause (which are, in fact, a minority o f cases). The salvor must give
written notice to the shipowners i f he w ishes to invoke the clause.
To ensure that he can at least get fair compensation for his outlay and efforts in
preventing or m inim ising pollution, where the salved fund (the value o f all
property saved) is insufficient to provide an adequate award under Article 13.
The salvor is penalised: the Article 13 award or settlement w ill be discounted
b y 25% o f the difference betw een the Article 13 award or settlement figure and
the amount o f special com pensation that he would have received i f the
228
H359. A m erchant sh ip's m aster has offered
sa lva g e assistan ce on L O F 2000 terms. Should
he invoke the SCO P1C Clause?
Record-keeping in salvage incidents
H 360. What records sh ou ld be m ade on a
d isa b led vessel which is taken under tow?
H 361. What records sh ou ld be m ade relating
to a salvage service ren dered to a ship a n d
cargo, a n d why?
H 362. What records sh ou ld be m ade durin g a
refloating operation?
H 363. What statem ents o f expenditure sh ould
be draw n up fo llo w in g a refloating incident?
H364. What records sh ou ld be kept by a
sa lv o r w ho has invoked the S C O PIC C lause in
an L O F agreem ent?
Salvage security
H365. Under a L lo y d ’s O pen F orm salvage
agreem ent, what is the sa lvo r en titled to
im m ediately on com pletion o f the salvage
service?
H 366. What is salvage security?
H 367. U nder a L lo y d ’s O pen Form salvage
agreem ent, how can the sa lv o r ensure that he
g e ts his salvage security?
H368. What is SC O P IC security?
Assessment of salvage reward
H369. A ship salvages an abandon ed ya ch t
fo u n d adrift at se a a n d brings it to a U K port.
Who decides what salvage reward, i f any, has
been earned?
H370. In com m on law, what conditions must
be m et f o r a salvage se rv ice to qualify f o r a
sa lva g e rew ard?
SCOPIC Clause had been invoked on the first day o f the services.
N o. The SCOPIC Clause was designed for the owners o f the salving vessel to
invoke, not the master. The salving vessel owners can invoke it at any time
after the master has agreed the basic LOF terms, once they are contracted.
Detailed records o f all events associated with the accident or the breakdown o f
machinery or equipment, and the salvage services subsequently rendered. The
records may be in any form. All contemporaneous notes, whether on scraps o f
paper, in mo vem ent books or log books, together with course, rudder angle,
depth and other records should be kept. Appropriate entries should be made in
deck and engine room logs and in the O fficial L og Book. A record should be
made of: particulars o f the vessel and her cargo; the condition o f the vessel
including its position, proxim ity to the shore, nature o f the sea bed, the
condition o f the engines and anchors, the availability o f crew, etc.; all salvage
services rendered; all expenses incurred (overtime, hire o f boats, etc.); and the
weather conditions prevailing.
Contemporaneous evidence about: the terms on which assistance was offered
and accepted; details o f assisting vessels; any measures taken before the
salvor’s arrival, and measures that might have been taken to save the ship had
salvors not arrived (“sue and labour” costs); any damage to the salved ship,
injuries to crew, etc.; assistance rendered by ow n crew and master and the
ship’s own appliances during the salvage services. This may all be used in the
arbitration or court hearing in deciding the amount o f the salvor’s reward.
Tim es o f all events during the salvage operation; progress o f the operation;
state o f tide, wind, sea and weather; the nature o f any special risks faced by
salvors; any damage or harm suffered b y salvors; nature and extent o f
assistance given by ship’s crew and equipment; details o f any damage
sustained by m y ship during the operation. A detailed report o f the operation
should be sent by the master to the owners, including relevant log extracts, and
a similar report to the MAIB.
A statement show ing the ve sse l’s expenditure and consumption in excess o f the
daily norm during the refloating operation, including: crew ’s overtime
(item ised on a separate sheet); fuel oil; diesel oil; lube oil; sundry engine
spares, stores, wire, shackles, etc. (item ised in a separate list).
A daily record o f all personnel, tugs and other craft, and items o f portable
salvage equipment “reasonably engaged” in the salvage services, as detailed on
the latest edition o f Appendix A to the SCOPIC Clause, which is a tariff o f
agreed rates.
- - * J , - . , ,
Salvage security from each o f the owners o f property salved. This will be
required before the salvor delivers the vessel back to the owners at the place o f
safety.
An amount which, under the terms o f a salvage agreement, must be paid by
each owner o f salved property to the satisfaction o f the salvage contractor. It is
often arranged by an average adjuster (in tandem with general average security
and is lodged with Lloyd’s Salvage Department. Until security is given, the
contractor has a maritime lien on the property salved for his remuneration. F or
questions on G eneral A verage secu rity se e Section I.
If security is not given within 14 days o f com pletion o f the salvage service
(Saturdays, Sundays and holidays excepted), the salvor can retain possession o f
the property. He can also retain it i f he believes its owners w ill attempt to
rem ove it. I f security is not given or i f there is an attempt at removal, the salvor
can enforce his lien by having the ship and/or cargo arrested, and if necessary,
sold by order o f the court.
Security for the salvor’s SCOPIC remuneration, which m ust be paid within two
working days (excluding Saturdays and Sundays and holidays usually observed
at L loyd’s) after receiving written notice from the salvor invoking the SCOPIC
Clause, by bank guarantee or P&I Club letter for security for U S$3 million.
: -
This is com m on law salvage, so unless there is an amicable settlement between
the salvor and the yacht owner, the reward w ill be decided by a judge in a civil
court having admiralty jurisdiction. In England or W ales this w ill usually be
the Admiralty Court, part o f the High Court in London. (The yacht w ill first
have to be reported to the Receiver o f Wreck at M CA Southampton.)
(1) There must be a peril (e.g. the threat o f the property sinking); (2) the salved
property must be a recognised subject o f salvage: (3 ) the salvage service must
be a voluntary act: and (4) the salvage service must result in success (i.e. some
or all o f the property must be salved).
THE SHIPMASTER'S BUSINESS SELF-EXAMINER

H 371. What a re “reco g n ised su b jects o f
sa lva g e ", as m en tioned in the last answ er?
H3 72. Is it p o ssib le f o r a sh ip 's crew to earn a
sa lva g e r e w a rd fo r salvin g their “ow n ” ship?
H 3 73. After a salvage service on L lo y d ’s O pen
Form terms, who decid es what reward, i f any,
has been earned, a n d on w hat basis?
H3 74. What are the criteria la id dow n in
A rticle 13 o f the International Salvage
Convention f o r fix in g a salvage rew ard?
H3 75. H ow much is any salvage re w a rd likely
to be?
H 3 76. I f a m erchant sh ip renders salvage
services, how w ill the rew a rd be shared?
UK government intervention powers
H 377. U nder w hat legislation d o e s the U K
Secretary o f State f o r Transport have p o w e rs to
intervene during a m arine em ergency?
H 3 78. When m ay the S ecretary o f S tate's
p o w e rs o f intervention be exercised?
H 379. H ow is the term “a c c id e n t", as u sed in
the p reviou s answer, defin ed in Schedule 3A to
the M erchant Shipping Act 1995?
H380. What can the Secretary o f State do
under his intervention pow ers?
H 381. To whom m ay a direction b e given
under Schedule 3A?
H 382. What m ay a d irection m ade under
Schedule 3A require o f the person s in the
previou s question?
H 383. What other directions m ay b e given
under Section 3A?
1 place or area in UK waters; (3) the ship is m oved or not m oved over a specified
THE SHIPMASTER'S BUSINESS SELF-EXAMINER
229
Ships; sh ip s’ equipment or stores; bunkers; cargo; human lives ( if property is
also saved). Freight at risk also contributes to salvor’s reward.
Y es, but only where they have first abandoned their ship without any prospect
o f re-boarding her, and are not “com pany contract” em ployees. After the crew
o f the tanker San D em etrio abandoned their burning ship in 1942, some o f
them managed to board and salvage the ship, and earned a salvage reward.
In som e cases the parties reach an amicable settlement, but otherwise the
matter is referred to an arbitrator from L loyd’s Salvage Arbitration panel in
London. The criteria for fixing the salvage reward are laid down in Article 13
o f the International Salvage Convention. (The reward is often called an
“Article 13 reward” or, in SCOPIC docum ents, “Article 13 Award”.)
The reward w ill be fixed with a view to encouraging salvage operations, taking
into account: (1) The salved value o f the vessel and other property; (2) the skill
and efforts o f the salvors in preventing or m inim izing damage to the
environment; (3) the measure o f success obtained by the salvor; (4) the nature
and degree o f the danger; (5) the skill and efforts o f the salvors in saving the
vessel, other property and life; (6) the time used and expenses and losses
incurred b y the salvors; (7) the risk o f liability and other risks run by the
salvors or their equipment; (8) the promptness o f the services rendered; (9) the
availability and use o f vessels or other equipment intended for salvage
operations; (10) the state o f readiness and efficiency o f the salvor’s equipment
and the value thereof. (These criteria are incorporated into LOF 2000.)
It can never exceed the value o f the salved property (even when the salvor’s
costs are greater), but otherwise it is not fixed, and there is no firm rule. In
some years, salvage rewards have averaged less than 10% o f the value o f the
salved property; in other years they have averaged closer to 20%.
There is no fixed rule, but traditionally in the U K the shipowners (and any time
charterer) have been awarded 3A o f the total, and the master and crew 'A. O f the
master and crew ’s share, the master receives a third and the crew tw o thirds,
for distribution according to each crew member’s rate o f pay.
Under Schedule 3 A to the M erchant Shipping A ct 1995. (Schedule 3 A was
added to the M erchant Shipping A ct 1995 by the M arine Safety A ct 2003.)
W hen (1) an accident has occurred to or in a ship; and (2) in the opinion o f the
Secretary o f State, the accident has created a risk to the safety or a risk o f
significant pollution by a hazardous substance in the U K , in the U K ’s territorial
sea or in the U K ’s pollution control zone; and (3) in the opinion o f the
Secretary o f State, the use o f the pow ers is necessary to rem ove or reduce the
risk.
A s a collision o f ships, stranding or other incident o f navigation, or other
occurrence on board a ship or external to it resulting in material damage or
imminent threat o f material damage to a ship or cargo. (The definition follow s
the wording used in the 1969 Intervention Convention and in UN CLO S.)
He m ay give certain statutory directions (called “safety directions” in Schedule
3A ) concerning the ship or its cargo.
To: (1) the owner o f the ship; (2) a person in possession o f the ship; (3) the
master o f the ship; (4) a pilot o f the ship; (5) a salvor in possession o f the ship;
(6) a person w ho is the servant or agent o f a salvor in possession o f the ship
and w ho is in charge o f the salvage operation; or (6) where the ship is in, or has
been directed to m ove into, waters which are regulated or managed by a
harbour authority', the harbour authority or the harbour master.
That they take or refrain from taking any specified action in relation to: (1) the
ship; (2) anything which is, or w as, in the ship; (3) anything which forms or
formed part o f the ship; (4) anything which is or was being towed by the ship.
In particular, the direction may require a person to ensure: (5) that a ship or
other thing is m oved or not moved; (6) that a ship or other thing is m oved or
not m oved to or from a specified place or area or over a specified route; (7)
that cargo is or is not unloaded or discharged; (8) that a substance is or is not
unloaded or discharged; (9) that specified salvage measures are taken or not
taken; or (10) that a person is put ashore or on board a ship.
The Secretary o f State m ay give a direction in respect o f a ship under this
paragraph i f in h is opinion it is necessary for the purpose of: (1) securing the
safety o f the ship or o f other ships; (2) securing the safety o f persons or
property; or (3) preventing or reducing pollution. The direction m ay be given
to the owner o f the ship, a person in possession o f the ship or the master o f the
ship, and m ay require that: (1) the ship is m oved or not moved from a specified
place or area in U K waters; (2) the ship is m oved or not m oved to a specified
230
H 384. In practice, who w ill exercise the
S ecretary o f S ta te ’s intervention pow ers?
H 385. Who is SOSREP?
H 386. What is the p e n a lty f o r fa ilu re to
com ply with a direction under Schedule 3A?
Intervention powers o f other States
H387. What intervention rights does a coastal
S tate h ave w here a sh ip on the high s e a s has
su ffered a casualty a n d p o s e s a risk o f pollution
to the S tate's w aters?
— ——------ ----- —------------------- -— ----- ------------------ --------— --------------------------------——
PLACE OF REFUGE
H 388. What is a p la ce o f refuge?
H 389. U nder w hat circum stances sh ou ld a
sh ipm aster d ecide to divert f o r a p la c e o f
refuge?
H 390. A ccordin g to IM O Resolution
A .949(23) - G uidelines on P laces o f Refuge f o r
Ships in N e ed o f A ssistance - w hat steps sh ould
the m aster take when his ship is in n eed o f
assistan ce?
H 391. Will the coa sta l State a lw ays p ro v id e a
p la c e o f refuge when requested?
H 392. Who w ill a pru den t sh ipow ner appoint
on learning o f a casualty involving his ship?
H 393. Who w ill the shipow ner have to notify
f o r assistan ce fo llo w in g a casualty?
PORT OF REFUGE DECISIONS and GENERAL AVERAGE EXPENDITURE
H 394. Who w ilt a sh ipow ner usually appoint
on learning o f a casu alty involving his ship?
H39S. Who w ill the sh ipow ner n e e d to notify
f o r assistan ce fo llo w in g a casualty?
H 396. Where sh o u ld a m aster m ake f o r after
refloating o r sustaining m ajor dam age a t sea?
H 397. What is a p o r t o f refuge?
route in UK waters; or (4) the ship is removed from UK waters.
SOSREP or, in his absence, senior M CA officials (the Director o f Operations
or Deputy Director o f Operations).
The Secretary o f State’s Representative for Maritime Salvage and Intervention,
who is appointed under U K legislation to take control at salvage incidents
where there is a threat o f significant pollution o f U K waters. During such an
incident SOSREP has powers to give statutory directions (under Schedule 3A
on behalf o f the Secretary o f State) to the shipowner, master, pilot, salvor or
harbour master. SOSREP is attached to the M CA, but during an incident will
usually be based near the scene so that he can liaise with all the representatives
o f the concerned parties.
A £50,000 fine on summary conviction, or an unlimited fine on conviction on
indictment.
.
Under a convention w idely known as the Intervention Convention 1969, the
government o f any State that is threatened by pollution m ay take measures to
prevent, mit igate or eliminate any grave and imminent danger o f pollution. The
government must consult, i f possible, with other affected governments,
including that o f the ship’s flag State, the owners o f the ship and cargo, if
known. Measures taken must be reasonably necessary for the purpose, and
compensation is payable i f damage is caused by excessive measures.
*! ^ ' *1 $ ' , S* W .
IMO Resolution A .949(23) G uidelines on P laces o f Refuge f o r Ships in N eed
o f A ssistance defines it as a place where a ship in need o f assistance can take
action to enable it to stabilize its condition and reduce the hazards to
navigation, and to protect human life and the environment. It is, for exam ple, a
sheltered coastal place to which a ship which has suffered a structural failure
may be escorted to by a salvor in order for a salvage and pollution-control
operation to take place in relatively calm conditions. IMO is urging coastal
States to designate places o f refuge on their coasts.
When it becom es unsafe to continue the voyage for any reason, for example
because o f a dangerous shift o f cargo, a serious fire, serious hull damage (e.g.
from grounding, collision, heavy weather, structural failure), a main machinery
failure not repairable at sea, or loss o f propeller or rudder.
The master should (with the company and/or salvor, where appropriate): (1)
identify the reasons for the need o f assistance; (2) estimate the consequences o f
the potential casualty i f the ship remains in the same position, or i f the ship
continues on its voyage, or i f the ship reaches a place o f refuge or if the ship is
taken out to sea; (3 ) identify the assistance required from the coastal State; (4)
make contact with the coastal State and notify the Maritime A ssistance Service
o f the actions intended to be taken and within what period o f time; (5) subject,
where necessary, to the coastal State’s prior consent, take any necessary
response actions, such as signing a salvage or towage agreement.
Unfortunately not, as the masters and salvors o f the oil tankers C astor and
P restige discovered to their personal cost. Under Resolution A .949(23) the
Maritime A ssistance Service should notify the master and/or the salvor o f the
facilities that it can make available with a view to assistance or admittance o f
the ship to a place o f refuge, i f required.
An average adjuster. They can advise on choice o f a port o f refuge and on
persons to notify.
Apart from the average adjuster: (1) hull and machinery insurers; (2) the P&I
club; (3) the classification society; (4) a general average surveyor in the
general interest; (5) solicitors; (6) agents at the port o f refuge; (7) charterers
An average adjuster. They can advise on choice o f a port o f refuge and on
persons to notify.
Apart from the average adjuster: (1) hull and machinery insurers; (2) the P&l
club; (3) the classification society; (4) a general average surveyor in the
general interest; (5) solicitors; (6) agents at the port o f refuge; (7) charterers
An effective port o f refuge.
A port that a ship is diverted to when the master considers it unsafe to c o n to n e 1
the vovaae due to a peril that threatens the com mon safetv, e.g. when there e 1
dangerous ingress o f water into the ship; there is a dangerous shift o f cargo, 3 * I
ship adopts an angle o f loll; there is a serious fire on board; etc. Where the
deviation is for the preservation o f all the property involved in a common
THE SHIPMASTER’S BUSINESS SELF-EXAM IN -

H398. Will the voyage term inate a t the p o r t o f
refuge?
H 3 99. C ou ld the o rigin al loadin g p o r t be the
p o r t o f refuge?
H400. What sh ou ld the a gent a t the p o r t o f
refuge be a sked to do?
H 401. What g en eral a verage expenditure
m ight be incurred a t the p o rt o f refuge?
H 402. What g en era l average expenditure w ill
be incurred on the w ay to the p o r t o f refuge?
H403. A sh ip is in the Pacific w ith serious
steerin g g e a r problem s, but the nearest p o r t
with repair fa c ilitie s is 2000 m iles away.
Should the m aster m ake f o r that p o r t o r not?
USE OFVTS
H404. What do the initials “ V IS " sta n d for?
H405. What is the pu rpose o f vessel traffic
services?
H406. Which U K regulations m ake the use o f
VTS m andatory in the territorial w aters o f EEA
States, w here it is p rovided?
H407. What a re the U K statu tory
requirem ents relatin g to use o f VTS in
territorial seas?
H408. What a re the U K statutory
requirem ents relatin g to use o f VTS outside
territorial seas?
PORT ARRIVAL PREPARATIONS
Statutory notifications prior to arrival at UK ports and terminals: overview
H409. U nder which E U D irectives m ust p r e ­
arriva l notifications be m ade by the m aster o f a
ship arrivin g a t a p o r t o r term inal in the U K
a n d other E U M em ber States?
H 410. Which U K M erchant Shipping
Regulations g ive effect in the U K to the three
D irectives in the last answ er?
H 411. What p re -a rriv a l notifications are
requ ired b y the U K 's Vessel Traffic M onitoring
a n d R eportin g Requirem ents Regulations?
H412. What p re -a rriv a l notification is
requ ired b y the U K ’s P ort W aste R eception
F acilities Regulations?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
231
maritime adventure (i.e. for the common safetv). it will usuallv aualifv as a
general average act and the costs o f the diversion to. entrv into and stav at the
port o f refuge w ill be allow ed in general average. A port o f refuge can be said,
in summary, to be any port where general average expenditure is incurred.
If the shipowner decides to abandon the voyage there, yes. Otherwise the port
o f refuge w ill probably be an intermediate port where temporary measures, e.g.
repairs, are taken to enable the voyage to safely continue to destination.
Y es, where for exam ple a loading port is returned to because o f a stability
problem or because loose vehicle lashings are causing vehicles to m ove and
threaten the safety o f the ship and other cargo.
To notify all relevant local officials (port State Administration, harbour
authority, custom s, immigration, port health, etc.), and to arrange visits by the
surveyors representing the various interests. H e may also need to arrange for
discharge and temporary storage o f cargo during repairs. He w ill usually also
collect general average security and salvage security documents and deposits.
Port charges; cargo discharge costs; cargo storage costs; reloading costs;
temporary or peimanent repair costs; survey costs; agency fees; crew costs.
Costs o f bunkers, lubricants and stores w hilst deviating (as w ell as whilst
regaining position after the call at the port o f refuge).
If repairs cannot be effected at sea it w ill be unsafe to continue the voyage;
attempting to do so would expose the owners to liability for any loss or damage
to cargo (e.g. i f the ship grounded after a steering failure). At the sam e time,
under class rules, the vessel must be taken to a port w here she can be surveyed
w henever there is serious damage o f this sort. Breach o f class rules w ill usually
invalidate hull and machinery and P&I insurance cover. In practice, owners
should give the master instructions after liaising with the class society.
V essel traffic service.
To provide active monitoring and navigational advice for vessels in
particularly confined and busy waterways.
The M S (V essel Traffic M onitoring a n d R eporting Requirem ents) R egulations
2004 (SI 2004/2110).
The master o f a UK ship must ensure that, when the ship enters a VTS area in
the territorial waiters o f an EEA State (i.e. an EU Member State, Norway or
Iceland), the ship must com ply with the rules o f the V TS if they are in
accordance with IMO Guidelines. The master o f a non-UK ship must ensure
that, when the ship enters a V TS area in U K territorial waters, the ship must
com ply with the published or promulgated VTS rules.
(1) The master o f a UK ship or a non-UK ship bound for a port in the U K must
ensure that, when the ship enters a V TS area outside the territorial waters o f an
EEA State, the ship com plies with the rules o f the V TS i f they are in
accordance with IMO Guidelines. (2) The master o f a non-UK ship which is
not bound for a U K port must ensure that, when the ship enters a VTS area
outside the U K territorial sea and the VTS is operated by the U K or two or
more States one o f which is the UK , the ship follow s the rules wherever
possible.
(1) Directive 2002/59/E C (the “V essel Traffic M onitoring Directive” or “VTM
Directive”): (2) Directive 2000/59/E C (the “Port W aste Reception Facilities
D irective”); and (3) Directive 2 0 0 9 /16/EC (the “Port State Control Directive”
or “PSC Directive”).
(1) The VTM Directive is implemented in the U K by The MS (V essel Traffic
M onitoring a n d R eportin g Requirem ents) R egulations 2004 (SI 2004/2110), as
amended. (2) The Port W aste Reception Facilities Directive is implemented by
The M S a n d F V (P ort Waste R eception Facilities) Regulations 2003 (SI
2003/1809), as amended. (3) The PSC Directive is implemented by The MS
(P ort State Control) R egulations 1998 (SI 1998/2198), as amended.
( 1 ) A notification to the port authority prior to entrv into Dort (a “nre-arrival
notification” or “P A N ”); and (2 ) a notification to the port authority o f
dangerous or polluting goods carried on board (a “hazmat notification”). (For
details o f both se e below in this Section.)
U n less the ship is exem pted, a Ship’s W aste N otification form must be
com pleted and sent to the harbour authority at least 24 hours before arrival.
(F or details se e S h ip ’s w aste notification below in this Section.)
232
H 4 13. What p re-a rriva l notifications a re
requ ired b y the U K ’s P ort State C ontrol
Regulations?
Pre- arrival notification (PAN)
H414. Which regulations contain the UK
statu tory requirem ents f o r ships to make
notifications to p o r t authorities before arrival
a t a p o r t o r term inal in the UK?
H41 5. What are the U K statutory
requirem ents f o r the notification o fp o r t
authorities o f the arriva l o f ships?
H 4 16. What details, referred to in the last
answer, are requ ired to be notified to the p o r t
authority in the p re -a rriv a l notification?
H 4 1 7. H ow lon g before the s h ip ’s arriva l must
the details in the la st a n sw er be notified to the
p o r t authority?
H 418. What m ust the p o r t authority do with
p re-a rriva l inform ation notified by a ship?
H419. W h atisC E R S ?
Dangerous or polluting goods (“hazm at”) notification
H 420. Which regulations contain the UK
requirem ents f o r m aking "hazmat"
notifications?
H 421. Which ships m ust m ake “hazm at"
notifications under Regulation 10 o f the Vessel
Traffic M onitoring Regulations?
H 422. What are “dangerous g o o d s " fo r the
pu rposes o f the Vessel Traffic M onitoring
Regulations?
H 423. What are “pollu tin g goods " fo r the
pu rposes o f the Vessel Traffic M onitoring
Regulations?
H 424. A U K sh ip carryin g dangerous or
pollu tin g g o o d s is com ing fro m a non-EEA
State p o r t a n d is bound f o r a p o rt o r anchorage
in the territo ria l w aters o f an EEA State other
than the UK. What a re the requirem ents o f the
Vessel Traffic M onitoring Regulations?
H 425. A ship carrying dangerous o r pollu tin g
g o o d s is com ing fro m a non-EEA State p o rt and
is b o u n d fo r a U K p o r t o r anchorage in U K
waters. What a re the requirem ents o f the Vessel
Traffic M onitoring Regulations?
f l 1 A 72-hour pre-arrival notification to the port State control authority for
shins elieib le for expanded inspection (i.e. ships with a H igh Risk Ship (HRS)
profile and all passenger ships, oil tankers, gas carriers, chem ical tankers and
bulk carriers older than 12 years); and (2) a 24-hour pre-arrival notification to
the port State control authority for all ships. (For details se e P aris M oU region
pre -a rriv a l notifications, below .)
The M S (V essel Traffic M onitoring a n d R eportin g R equirem ents) Regulations
2004 (SI 2004/2110), as amended. The Regulations give effect in the UK to
Directive 2002/59/E C (the “V essel Traffic M onitoring Directive” or “VTM
Directive”). The M C A ’s guidance on their requirements is in M SN 1817.
When a UK ship o f 300 GT or more is bound for a port in anv EEA State, or
when a non-UK ship o f 300 GT or more is bound for a port in the UK, the
owner, agent or master must notifv the port authority at least 24 hours before
arrival o f certain details. (Res. 5, M S (V essel Traffic M onitoring a n d R eporting
Requirem ents) R egulations 2004) The requirements are explained in M SN
1817, section 3.
(1) Ship’s name, call sign, IMO number or M MSI number; (2) port o f
destination; (3) ETA at the port or pilot station, as required by the port
authority or pilot station; (4) ETD from the port o f destination; and (5) total
number o f persons on board. (MSN 1817, A ppendix 1)
(1) I f it is known to which port the ship is bound, at least 24 hours before
arrival; or (2) i f the voyage duration is less than 24 hours, no later than the time
o f departure from the previous port; or (3) i f the destination port is not known
until less than 24 hours before arrival, as soon as possible after it becom es
known. The master must im m ediately notify the port authority o f any changes
to the information.
Report it to CERS by one o f the three methods described in M SN 1817.
The Consolidated European Reporting System, an M CA information
management system intended to capture all U K ship arrival and departure
notifications, dangerous or polluting goods notifications, and notifications o f
port waste infringements and bulk carrier infringements, and forward them to
the EU SafeSeaN et system in accordance with the EU V essel Traffic
M onitoring and Information System Directive (2002/59/E C ). (SafeSeaN et is an
electronic system , managed by the European Maritime Safety A gency, for the
exchange o f AIS and other maritime data between EU M ember States.)
The M S (V essel Traffic M onitoring an d R eportin g R equirem ents) Regulations
2004 (SI 2004/2110), as amended. The Regulations give effect in the UK to
Directive 2002/59/E C (the “V essel Traffic M onitoring Directive” or “VTM
Directive”). Their requirements are explained in M SN 1817. Regulations 10
and 11 relate to “notifications o f dangerous or polluting goods”, also called
“hazmat notifications”.
Ships, regardless o f size, carrying dangerous or polluting goods.
(1) G oods classified as dangerous in the IM DG Code; (2) dangerous liquid
substances listed in Chapter 17 o f the IBC Code; (3) liquefied gases listed in
Chapter 19 o f the IGC Code; (4) solids referred to in A ppendix B o f the BC
Code; and (5) goods in respect o f w hose carriage appropriate preconditions
have been im posed in accordance with paragraph 1.1.3 o f the IBC Code or
paragraph 1.1.6 o f the IGC code.
(1) O il, oily mixture, oil fuel or crude oil (as defined in M ARPOL Annex I);
(2) noxious liquid substances (as defined in MARPOL Annex II); (3) harmful
substances (as defined in M ARPOL Annex III) and; (4) any marine pollutant
identified in the IMDG Code.
A U K shin, carrying dangerous or polluting goods, arriving at a port in the
EEA must notify the com petent authority o f the arrival port State o f the
information in the Annex to M SN 1817 on departure from the loading port, or.
i f the EEA destination port is not then known, as soon as it is known. (MSN
1817, para. 4.5)
A shin com ine from a port outside the EEA and bound for a UK port or an
anchorage in IJK territorial waters must notify the arrival port authority o f the
information in the Annex to M SN 1817 on departure from the loading port or,
if the UK destination is not then known, as soon as it is known. (M SN 1817,
para. 4.3)
THE SHIPMASTER'S BUSINESS SELF-EXAMINE-

H426. What information, liste d in the Annex to
M SN 1817, m ust be notified in a "hazmat ”
notification?
H 427. What is the procedu re when there is a
change in any o f the inform ation notified in
com pliance w ith the Annex to M SN 1817?
H 428. What a re the exem ption arrangem ents
in MSN 1817 a pplyin g to ships carryin g hazm at
cargoes on U K dom estic voyages?
Ship's waste notification
H 429. Which regulations contain U K statu tory
requirem ents f o r sh ips to make notifications o f
w a ste a n d residues to be d elivered to a p o rt?
H 430. What d oes “sh ip-gen erated w a ste ”
m ean under the P ort Waste Regulations?
H 431. What d oes “g a rb a g e " m ean under the
P ort Waste R egulations?
H 432. Which U K m erchant sh ips d o the P o rt
Waste Regulations not a pply to, a n d how
sh ou ld these ships handle their sh ip-gen erated
w aste?
H 433. A sh ip has o n b o a rd sh ip-gen erated
w aste o f various kinds f o r landing a t a U K port.
What action m ust be taken before landing it?
H 434. What inform ation is requ ired on the
W aste N otification Form in Schedule 2 o f the
P o rt Waste R egulations?
H 435. A t w hat tim e m ust a U K harbour
authority be notified o f sh ip-gen erated w a ste to
be lan ded b y a ship?
H 436. What are the requirem ents concerning
a copy o f the w a ste notification details?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
233
A: General information as follow s: ClI Ship’s name, call sign. IMO number nr
M MSI number; (2) port o f destination; (3) for a ship leaving a port in the EU:
the ETD from port o f departure or pilot station, as required by port authority or
pilot station, and! ETA at destination port; (4) for a ship com ing from a port
outside the EU and bound for an EU port: ETA at destination port or pilot
station, as requit ed by com petent authority; and (5) total number o f persons on
board. B: Cargo information as follow s: H I correct technical names o f the
dangerous or polluting goods, the U N numbers where they exist, IMO hazard
classes in accordance with IM DG, IBC and IGC Codes and, where appropriate,
the class o f ship as defined by the INF Code, the quantities o f such goods and
their location on board and, i f they are being carried in cargo transport units
other than tanks, the identification numbers thereof; (2 ) confirmation that a list
or m anifest or appropriate loading plan giving details o f the dangerous or
polluting goods carried and o f their location on the ship is on board; (3)
address from which detailed information on the cargo may be obtained. (M SN
1817, Annex)
Where information has been notified in com pliance with the Annex to M SN
1817, the ship must im m ediately notify the person to whom it was notified o f
any changes to it. (M SN 1817, para. 4.6)
Shins carrying dangerous and polluting goods on U K dom estic vovages. mav
apply to the M CA Navigation Safety Branch, at the address given in M SN
1817, for an exem ption from the requirement to make notifications. Operators
o f exem pted ships must maintain a list o f ships concerned and immediatelv
update the M CA o f any changes. Exempted ships must make the information in
the Annex to M SN 1817 available electronically to the M CA im m ediately on
request for each voyage made. (M SN 1817, para. 4.8)
For questions on Disposal o f Waste, see Section I
The M S a n d F V (P ort W aste R eception F acilities) R egulations 2003 (SI
2 0 03/1809), as amended by SI 2009/1176. The Regulations give effect in the
U K to Directive 2000/59/E C (the “Port Waste Reception Facilities Directive”).
The M C A ’s guidance on their requirements is in M G N 387
All waste and residues which are generated during the service o f a ship and
which fall within the definitions o f garbage, oil and oily mixtures, but it does
not include cargo residues (i.e. remnants o f any cargo material on board in
cargo holds or tanks which remain after unloading procedures and cleaning
operations are com pleted, including excesses and spillage from loading or
unloading).
A ll kinds o f victual, dom estic and operational w aste excluding fresh fish and
parts thereof, generated during the normal operation o f the ship and liable to be
disposed o f continuously or periodically, except sew age originating from ships.
(1) The Regulations do not apply to Class TV, V , VI and V I(A ) passenger
ships, but these ships should adopt good waste management practices in
accordance with the D SM Code. (2) The Regulations do not apply to ships o f
C lasses IX (A ) (non-tankers) and IX(A)(T) (tankers) which do not proceed to
sea, but these ships should ensure that their ship-generated waste is handled in
an environm entally sound manner. (M G N 387)
The master o f a ship bound for a port or terminal must com plete the
notification form in Schedule 2 o f the Regulations (also found at Annex A o f
M G N 387). and must give the information to the harbour authority before entrv
o f the ship.
Ship’s name; call sign; IMO number; flag state; ETA; ETD; previous port or
terminal; next port or terminal; last port or terminal and date when ship­
generated w aste was delivered; are you delivering all/som e/none o f your waste
into port reception facilities?; type and amount o f waste and residues to be
delivered and/or remaining on board, and percentage o f maximum storage
capacity, categorised into: (1) Waste oils; (2) Garbage; (3) Cargo-associated
waste; and (4) Cargo residues; master’s signed statement that there is sufficient
dedicated on-board capacity to store all waste generated between notification
and next port or terminal at w hich waste will be delivered.
W here it is known at which harbour or terminal the ship will be calling, at least
24 hours before arrival o f the ship. I f the harbour or terminal at which the ship
w ill be calling is not known until less than 24 hours before arrival, the
information must be given as soon as possible after the harbour or terminal
becom es known . Where the duration o f the vovage is less than 24 hours, the
information must be given at the latest upon departure from the previous port.
A copy o f the com pleted waste notification notice m ust be kept on board until
at least the next port o f call is reached, and must be produced on demand to the
M C A or other competent authority.
234
H 437. What co u ld be the consequence o f
fa ilu re to se n d a Waste Notification as requ ired
by the P ort Waste Regulations?
H438. In w hat circum stances m ay a vessel be
exem ptedfrom the requirem ents o f the P ort
Waste R egulations?
Paris MoU region pre-arrival notifications
H 439. What notifications are requ ired in the
P aris M oU N ew Inspection Regim e in effect
fro m I January 2011?
H 440. What are the requirem ents o f the P aris
M oU N ew Inspection Regim e f o r givin g a 72-
hour p re -a rriv a l notification?
H 441. What are the requirem ents o f the P aris
M o U N ew Inspection R egim e f o r g ivin g a 24-
hour p re -a rriv a l notification?
H 442. What happens to the d ata c o llected
fro m P aris M o U notifications at E U p o rts an d
anchorages?
Other pre-arrival notifications
H443. What notifications, other than the
sta tu to iy ones in the p reced in g questions,
sh ou ld be sen t before a U K sh ip arrives a t a
p o rt?
General arrival preparations
H444. A sh ip arriving a t a p o r t is tw o hours
fro m the p ilo t station. What general
prep a ra tio n s sh ould be m ade f o r a rriva l in
p o rt?
H445. H ow can the w idth o f a coastal S tate's
territo ria l w aters b e ascertain ed on b o a rd a
U K ship?
As advised in M GN 358, an Infringement report received by the M CA from a
Port Waste M anagement Plan holder w ill result in an M CA surveyor being sent
to inspect the vessel and take appropriate action, which m ay include serving a
Port State Control or Detention N otice on the vessel or a Prohibition N otice to
prevent loading or unloading o f the vessel. If the vessel has already sailed, or a
Surveyor cannot attend, M CA w ill request an inspection at the vessel’s next
port o f call in the U K or in the Paris M oU region.
A s advised in M G N 387, a vessel may be exempted from the requirements
relating to: (1) notification; (2) mandatory delivery; and/or (3) paying a waste
charge at each port. To be exem pted, a vessel must be engaged in “scheduled
traffic with frequent and regular port calls” and give evidence “o f an
arrangement ensuring the delivery o f ship-generated waste and payment o f
charges in a harbour or terminal along the ship’s route”. (Reg. 15(3))
For other Questions on Port State Control, see Section I
(1) 72 hours before ETA i f the ship is eligible for expanded inspection; (2) 24
hours before ETA for every ship; (3) Actual Time o f Arrival (ATA ); and (4)
Actual Time o f Departure (A TD ). (F or questions on ATA a n d ATD
notifications se e S ection I.)
A ship which is eligible for an expanded inspection (see P o rt S tate C ontrol in
Section I) and bound for a port or anchorage in the Paris M oU region must
notify its arrival 72 hours in advance to the port State control authority (or
earlier i f required by national provisions). At least the follow ing information
must be submitted: (1) ship identification (mandatory IMO number and
additional name, call sign and/or M M SI number); (2) port o f destination; (3)
ETA; (4) estimated time o f departure (ETD); (5) planned duration o f the call;
(6) for tankers: (a) configuration: single hull, single hull with SBT, double hull;
(b) condition o f the cargo and ballast tanks: full, empty, inerted; (c) volum e
and nature o f cargo; (7) planned operations at the port or anchorage o f
destination (loading, unloading, other); (8) planned statutory survey
inspections and substantial maintenance and repair work to be carried out
w hilst in the port o f destination; and (9) date o f last expanded inspection in the
Paris M oU region.
The operator, agent or master o f ship bound for a port or anchorage in the Paris
M oU region must notifv its arrival at least 24 hours in advance, or at the latest,
at the time the ship leaves the previous port, i f the voyage time is less than 24
hours, or i f the port o f call is not known or it is changed during the voyage, as
soon as this information is available. The follow ing information must be
submitted: (1) ship identification (mandatory IMO number and additional
name, call sign and/or M MSI number); (2) port o f destination; (3) estimated
time o f arrival (ETA); and (4) estimated time o f departure (ETD).
The data is collected and sent via SafeSeaN et to the THETIS information
system, from which it can be accessed by any port State control authority in the
Paris M oU region.
(1) The ETA to the agent, with a request for berth details, crew relief
arrangements, etc., giving requirements for cash, provisions, bunkers, fresh
water, etc. The carriage o f any discovered stowaways should also be notified.
(2) A reauest for boatmen/linesmen, also to the agent. (3) U nless a valid
Pilotage Exemption Certificate (PEC) is held for the port, a request for a pilot -
som etim es made direct to a pilot station or harbour authority, or via the agent
(check A dm iralty Sailing D irections for appropriate method). (4) Notification
to the port health authority o f anv circumstances requiring the attention o f the
Port M edical Officer; this m essage m ust arrive 4 - 1 2 hours before the ship.
(5) Confirmation to port authority that all eauipment is in good working order
before entering port limits (usually made by VHF when near the fairway). (6)
A ny charterparty should be checked for any special instructions about notices
to be sent. e.g. 72. 48. 36. 24 and 12 hours before the ETA. (7) A request for
tue(s) mav need to be made in conjunction with the pilot request.
(1) Pre-arrival checks (anchors cleared, engines tested astern, echo sounder
running, navigational gear all working, parallel indexing, etc.). (2) Pilot
boarding preparations. (3) Check port entry publications. (4) Tally, close and
lock the bonded store. (5) H ave all custom s declaration forms and stores lists,
crew lists, etc. completed. (6) H ave the proper courtesy ensign ready. (7) Show
any special signals.
B y checking N otice No. 12 in the Annual Sum m ary o f A dm iralty N otices to
Mariners', this contains a list o f national claim s to maritime jurisdiction by all
coastal States.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

H446. Which pu blication s sh o u ld be consu lted
before entering a p o r t f o r the fir s t tim e?
H447. What preparation s sh ould be m ade f o r
the boarding o f a p ilo t?
Harbour towage preparations
H 448. On what term s a re tugs gen erally h ired
in U K ports, a n d in m any other ports?
H 449. The m aster o f a ship arrivin g a t a p o r t
during a g a le decides to o rd er a tug, knowing
th at his ow ners have stron g view s on the taking
o f tugs. What is the m aster's leg a l position ?
H 450. A m aster asks f o r one tug to assist when
berthing, a n d the sh ip consequently causes
dam age to the quay w hen com ing alongside.
Who is at fa u lt ?
Documents to have ready for arrival
H 45I. Which docum ents sh ould a sh ipm aster
have ready on a rriv a l a t an E U p o r t fro m a p o rt
outside the EU?
H 452. Which countries are m em bers o f the
European Union (o r E U )?
H 453. What addition al a rriv a l declaration is
req u ired in som e countries?
1I
j
tions
!
H454. Which regulations im plem ent the ISPS
C ode in U K sh ips a n d U K p o rts?
H 455. To which types o f ships, a n d their
com panies, do The Ship a n d P o rt F acility
(Security) R egulations 2004 apply?
H 456. To which p o rts d o The Ship a n d P ort
F acility (Security) R egulations 2004 apply?
H 45 7. Who sets the secu rity level f o r a p o rt
a n d the sh ips in the po rt?
H458. What preparation s m ay have to be
m ade in relation to sh ip a n d p o r t secu rity when
approaching a p o rt fro m another country?
H459. What is a D eclaration o f Security?
H460. When m ust a D eclaration o f Security
requ ired be m ade by a ship, accordin g to MCA
guidance?
THE SHIPMASTER'S BUSINESS SELF-EXAMINER
235
(J) The voyage plan and any associated notebook; (2) any special instructions
from owners/tim e charterers; (3) any information about the port received from
owners or charterers; (4) port approaches charts and harbour charts (corrected
up to date); (5) relevant sailing directions (“pilot books”) (corrected up to
date); (6) G uide to P o rt Entry or similar publication, i f on board; (7) A dm iralty
L ist o f Lights (corrected up to date); (8) tide tables and tidal stream atlases; (9)
A dm iralty L ist o f R adio Signals (corrected up to date).
(1) Contact the pilot station and agree boarding arrangements. (2) Make a risk
assessm ent. (3) Detail an officer to supervise the rigging o f the pilot ladder and
stand by it. (4) Ensure Pilot Card and any other relevant information are ready.
(5) Have a conning plan in mind. (6) Remind the OOW that when the pilot has
charge, the O OW must still monitor sh ip’s progress and report as necessary.
(7) F ly the “G” flag and have the “H ” flag ready.
, , ‘4
U K Standard Towage Conditions. (For questions on these, see HARBOUR
TOW AGE in Section I.)
A shipmaster has implied authority to engage a tug or tugs whenever he deems
it reasonably necessary for the safety o f the ship’s operations, and the
shipowner (or operator or tim e charterer, as the case may be) w ill be bound by
the terms o f the contract the master m akes with the tug owner, if they are
reasonable.
W hile som e port authorities specify the number o f tugs to be used, it is the
master’s responsibility to hire as many tugs as are necessary to control his ship.
Damage to the quay w ill generally be the sh ip’s fault and the shipowner will be
liable.
“ , .. ... ........
Pilot card; General Declaration (IMO FAL form 1); Ship’s Stores Declaration
(IMO FAL form 3); C rew’s Effects Declaration (IM O FAL form 4); Crew List
(IM O FAL form 5); i f a cargo vessel is carrying 12 passengers or fewer: a
Passenger List (IMO FAL form 6); Cargo Declaration; statutory and class
certificates (preferably in clear plastic pockets in a binder); custom s clearance
from last port; Maritime Declaration o f Health; written authorisation for ship’s
agent to act for the master; and ( i f required) Declaration o f Security.
Austria, B elgium , Bulgaria, Cyprus, Czech Republic, Denmark, Estonia,
Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Poland, Portugal, Romania, Slovak
Republic, Slovenia, Spain, Sweden and U nited Kingdom (27).
A bunker declaration. (A ship w as fined more than the equivalent o f Euro
100,000 at Dakar, Senegal, for failure to have one ready for custom s.)
See also questions on Ship security in Section 1
The Ship a n d P ort F acility (Security) Regulations 2004 (SI 2004/1495). They
give effect to EC Regulation N o. 725/2004 which makes the ISPS Code
mandatory in all EU States.
The follow in g types o f U K ships, and non-U K ships in U K waters, when on
international voyages, and their companies: passenger ships (including high­
speed craft w hich carry more than 12 passengers): cargo ships (including high­
speed craft) o f 500 GT and upwards: and m obile offshore drilling units. Thev
also apply to Class A passenger ships (see U K pa ssen g er ship classes in
Section D ) operating dom estic services within UK waters, and their companies.
UK port facilities serving the ship types in the last answer.
SO LAS regulation X I-2/3.2 requires Contracting Governments, i.e. port States,
to set security levels and ensure security level information to port facilities and
for ships prior to entering a port or at a port.
In accordance with the ISPS Code, a pre-arrival Declaration o f Security (D O S)
may have to be made by the ship before it is allow ed entry to the port facility.
An agreement reached between a ship and either a port facility or another ship
with which it interfaces specifying the security measures each w ill implement.
(SOLAS reg. X I-1/1) A Declaration o f Security identifies the security activities
or measures that each party w ill undertake or implement in specified
circum stances to ensure com pliance with Part A o f the ISPS Code. It provides
a means for ensuring that all shared security concerns are fully addressed
throughout the ship/port interface. The Declaration o f Security must contain
the information set out in the form in Appendix 1 o f Part B o f the ISPS Code.
(1) W hen the ship is operating at a higher securitv level than the port facility it
has notified o f its intention to enter; (2) When the ship intends to enter a port
facility that is not reauired to have a Port Facility Securitv Pian or appoint a
Port Facility Securitv Officer; (3) When the ship is at a higher securitv level
236
H 461. U nder the ISPS Code, when can a ship
request a D eclaration o f Security?
H 462. U nder the ISPS Code, who must
com plete a s h ip ’s D eclaration o f Securitv?
H 463. U nder the ISPS Code, w hat must a
D eclaration o f Security a ddress?
11464. U nder The Ship a n d P ort F acility
(Security) Regulations 2004, f o r h ow long must
a D eclaration o f Security be retained?
H 465. What inform ation m ay a U K ship be
requ ired to p ro v id e to the p o r t State when it is
intending to enter a p o r t in that State?
H 466. What w ill happen i f a ll the necessary
security inform ation is p ro v id e d by a U K ship
but the fo re ig n p o r t State believes the ship not
to b e in com pliance w ith the ISPS C ode?
H 467. What is the m aster o f a U K ship
e xpected to do i f a fo re ig n p o rt o r another ship
it is interfacing with does not m eet ISPS C ode
secu rity requirem ents?
H 468. What sh ould the m aster o f a U K sh ip do
i f there are concerns about security provision s
a t an overseas p o rt?
H 469. Who sets the p o r t security level a n d
h ow does a sh ipm aster fin d out w hat it is?
H 470. A greem ent betw een the ship a n d p o r t
fa c ility on respon sibility f o r certain activities is
requ ired to be shown on the D eclaration o f
S ecurity form . What activities are these?
than the port facility (where the port facility is at a higher security level than
the ship, it is for the port facility to initiate the D oS); (4) In all cases where the
ship is operating at securitv level 3: (5) When a ship/ship interface takes place
outside the harbour area, whether or not the other ship is required to have a
ship security plan, or at what security level the other ship is operating at;
(6) F ollow ing a security incident or security threat to the ship, or the port
facility or ship it is interfacing with; (7) When the security level is increased
w hile the ship is in port or ship/ship interface is taking place; (8) W hen so
requested by a duly authorised U K Government officer; (9) W hen carrying or
intending to load or discharge cargoes o f dangerous goods Class 1
(explosives), 6 (toxic and infectious substances) or 7 (radioactive materials).
Specific requirements m ay also be given to individual ships, ship types and for
specific ports.
When: (1) the ship is operating at a higher securitv level than the port facility
or another ship it is interfacing with: (2) there is an agreement on a Declaration
o f Securitv betw een Contracting Governm ents covering certain international
voyages or sDecific ships on those voyages: (3) there has been a securitv threat
or a securitv incident involving the ship or involving the port facility, as
applicable: 4 ) the ship is at a port w hich is not required to have and implement
an approved Port Facility Securitv Plan; or (5) the ship is conducting ship to
ship activities with another ship not required to have and implement an
approved ship securitv plan. (ISPS Code, P art A, 5.2)
The master or the Ship Security O fficer (ISPS Code, P a rt A, 5.4)
The security requirements that could be shared between a port facility and a
ship (or between ships); it must state the responsibility for each. (ISPS Code,
P a rt A, 5.5)
A ny Declaration o f Security com pleted in respect o f a ship or a port facility
must be retained for at least 3 vears after it was last used, on board the ship by
the master. A nv com pleted Declaration o f Securitv relating to one o f a sh ip’s
last 10 calls at port facilities must be retained on board the ship by the master
for as long as it relates to any o f those last 10 calls, even where the period over
which those calls extend exceeds the minimum 3 year period. (Reg. 18)
(1) Confirmation that the ship has a valid International Ship Security
Certificate (ISSC); (2) the security level at which the ship is operating; (3) the
security level at which the ship operated at the last ten ports o f call; (4) any
special or additional security measures undertaken at the last ten ports o f call;
(5) confirmation that appropriate procedures were maintained during any ship-
to-ship activity at the last ten ports o f call; (6) records o f any Declaration o f
Security agreements at the last ten ports o f call; and (7 ) other practical security-
related information.
If, after receipt o f the information in the last answer, there are clear grounds for
believing that the ship is not in com pliance with the ISPS Code, it is likely that
port State control officers w ill attempt to establish com munication with the
ship and the flag State Administration (i.e. M CA) in order to rectify the
situation. Should this fail, they may take proportionate steps including: (1) a
requirement to rectify the non-com pliance; (2) detention o f the ship; (3) a
requirement that the ship proceeds to a location specified in the State’s
territorial seas or internal waters; (4) inspection o f the ship i f it is within the
territorial sea; or (5) detention o f the ship and/or denial o f entry into port.
It w ill ultimately be a com mercial decision for the U K ship as to whether it
calls at its intended destination or goes alongside the other ship. Where it is
decided that the U K ship w ill call at a port that does not m eet ISPS Code
security requirements, the master should request a Declaration o f Security, in
order to ensure that the ship is not prejudiced against at future ports o f call.
He should check the IMO list o f compliant ports (on the IMO w ebsite) and/or
request a Declaration o f Security from the port. I f there are still concerns, he
should notify the shipowner w ho should then contact TRANSEC (the
Transport Security Directorate o f the UK Department for Transport).
The port State sets the port securitv level. A shipmaster should ask the port
agent about the current level when com munications are established.
(1) Ensuring the performance o f all security duties; (2) monitoring restricted
areas to ensure that only authorised personnel have access; (3) controlling
access to the port facility; (4 ) controlling access to the ship; (5) monitoring c i
the port facility, including berthing areas and areas surrounding the ship; (6)
monitoring o f the ship, including berthing areas and areas surrounding the 1
(7) handling o f cargo; (8) delivery o f ships stores; (9) controlling the
embarkation o f persons and their effects; and (10) ensuring that security
com munication is readily available betw een the ship and the port facility
THE SHIPMASTER’S BUSINESS SELF-1

H 471. H ow w ill a P ort F acility Security
O fficer n orm ally obtain a sh ip's D eclaration o f
Security?
H 472. What inform ation is typically req u ired
b y a m ajor p o r t before a s h ip ’s a rriv a l fro m
another country?
H 4 73. U nder the law s o f States which have
a d o p ted the ISPS Code, when m ust a
D eclaration o f Security b e com pleted?
H 474. Can a sh ip requ est a D eclaration o f
Security fro m a p o rt fa c ility that it intends to
interface with?
H 4 75. What w o u ld be the p ro p e r procedu re
w here a ship is operatin g a t a high er secu rity
lev el than the p o r t fa c ility it is arrivin g at?
H 4 76. F or h ow long sh ou ld an y D eclaration
o f Security c om pleted in resp ect o f a sh ip be
retained?
Preparations for customs clearance
H 477. What prep a ra tio n s sh ou ld b e m ade f o r
Custom s when arrivin g in the U K fro m a p o rt
outside the EU?
H 4 78. A re custom s fo rm a lities requ ired on
a rriva l in an E U p o rt from another E U port?
Preparations fo r health clearance
H 479. What Regulations govern health
clearan ce a t U K ports?'
H480. U nder The P u blic H ealth (Ships)
Regulations, w hat is the m aster o f a ship
approaching a U K p o r t fro m a fo reig n requ ired
to do?
H 48I. What is the m aster o f a ship req u ired to
report under R egulation 13 o f The P ublic
H ealth (Ships) R egulations?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
237
Either: (1) from the sh ip’s agent; or (2) directly from the ship by radio, e-m ail,
fax or telephone (possibly through a V TS control room), before the ship is
allow ed entry to the port facility.
N am e o f ship; call sign; FMO number; berth to be used; availability o f
International Ship Security Certificate (ISSC) or Interim ISSC; expiry date o f
ISSC or Interim ISSC; issuing authority o f ISSC or Interim ISSC; security
level at which the ship is currently operating; last port o f call; name o f last port
facility interfaced with; whether the last port facility interfaced with is ISPS
compliant; security level o f last port facility; whether the ship interfaced with a
port facility (during the last 10 calls at port facilities since 1 July 2004) that
w as non-ISPS compliant; whether, within the period o f the last 10 calls at port
facilities, the ship engaged in ship-to-ship activities with a non-com pliant ship
to which the ISPS Code applies.
Before an interface starts between a ship and a port facility or another ship if:
(a) they are operating at different security levels; (b) one o f them does not have
a security plan approved by a Contracting Government or by a Security
Organisation referred to in section 9.2 o f Part A o f the ISPS Code; (c) the
interface involves a cruise ship, a vessel carrying certain dangerous cargoes or
the loading or transfer o f certain dangerous cargoes; or (d) the security officer
o f either o f them identifies security concerns about the interface. A new
Declaration o f Security is required i f there is a change in security level.
Y es, i f the ship is operating at a higher security level than the port facility it
intends to interface with.
The Ship Security O fficer (SSO ) should advise the Port Facility Security
O fficer (PFSO ) without delay. The PFSO should undertake an assessm ent o f
the situation in consultation with the SSO and agree on appropriate security
measures with the ship, which may include com pletion and signing o f a
Declaration o f Security. A ny costs entailed in additional security measures
w ould be settled by the ship.
For three years after it w as last used. In addition, anv com pleted Declaration o f
Security relating to one o f the sh ip’s last 10 calls at port facilities must be
retained on board bv the master for as lone as it relates to anv o f those last 10
calls, even where the period over w hich those calls extend exceeds the
m inimum three-year period referred to.
■
(1) C lose the “bond” after m aking any final issue o f bonded stores. (2) Tally
the remaining bonded stores and enter details on the Ship’s Stores Declaration
(IM O FAL form 3 - Customs form C 95). (3) Com plete a General Declaration
(IM O FAL form 1 - Customs form C 94). (4) Circulate a C rew’s Effects
Declaration (IM O FAL form 4 - C 96) for com pletion by individual crew
members. (5) Com plete a Cargo Declaration, unless m ade by disc or electronic
m eans. (6) Com plete a Crew List (IM O FAL form 5 -C 9 7 ). (7) If carrying 12
passengers or fewer, com plete a Passenger List (IM O FAL form 6 - C 98).
N o, not since the start o f the Single European Market in January 1993. (This
does not mean that HM Custom s cannot board and check a ship, however.)
For questions on granting of health clearance, see Section 1
At ports in England The P ublic H ealth (Ships) (England) Regulations 1979, as
amended, apply, im plem enting provisions o f the International Health
R egulations (2005) on ship sanitation certificates. Equivalent Scottish, W elsh
and Northern Ireland regulations apply at ports in Scotland, W ales and
Northern Ireland respectively.
(1) Under Regulation 11: answer all auestions as to health conditions on board
put to him by a custom s officer or authorised officer on arrival in port or if
already in port; (2) under Retaliation 13: report, before arrival, anv infectious
disease, etc. on board; and, (3) under Regulation 15: i f there was anything to
report under Reg. 13, com plete a Maritime Declaration o f Health.
(1) The occurrence on board the ship before arrival o f (i) the death o f a person
otherwise than as a result o f an accident, or (ii) illness where the person w ho is
ill has or had a temperature o f 38°C or greater which w as accom panied bv a
rash, glandular sw elling or iaundice. or where such temperature persisted for
more than 48 hours, or (iii) illness where the person has or had diarrhoea
severe enough to interfere with work or norma! activities; (2) the presence on
board o f a person who is suffering from an infectious disease or tuberculosis or
w ho has sym ptom s which m av indicate the presence o f an infectious disease or
tuberculosis: (3) anv other circumstances on board which are likelv to cause
the spread o f infectious disease or tuberculosis: and (4) the presence o f animals
or captive birds, and the occurrence o f mortality or sickness am onest such
animals or birds.
238
H482. What a re exam ples o f “circum stances
on h oard which are likely to cause the sp re a d
o f infectious d is e a s e ’’.
H 483. When a n d how must a report under
R egulation 13 o f The P ublic H ealth (Ships j
R egulations be sent by the m aster?
H 484. What m ust the m aster do w here it is not
p o ssib le to se n d the rep o rt in the last answ er
before arrival?
H485. A re a n y sign als requ ired to be shown
on approach to a U K p o r t b y a ship with a
report to m ake under Regulation 13?
H48f,. What inform ation is requ ired on a
M aritim e D eclaration o f H ealth under the
International H ealth Regulations (2005)?
H 487. What is the p ro p e r procedu re i f the
m aster has no M aritim e D eclaration o f H ealth
fo rm on board?
Preparations for border control officials
H 488. A cargo ship is arriving at a U K p o rt
fro m a p o r t outside the E U with up to 12
passen gers. What preparation s sh ou ld be m ade
f o r border control officials?
H 489. H ow w ill a ship operators have to
p ro v id e p a ssen g er a n d crew inform ation to the
U K B order A gency in future?
Preparations for agent
H 490. What arrival preparation s sh ou ld a
sh ipm aster m ake f o r m eeting the sh ip 's agent?
Preparations for cargo operations
H 491. What preparation s sh ou ld a shipm aster
m ake f o r com m encing cargo operations?
Ballast water management
See also BALLAST WATER MANAGEMENT DOCUMENTATION in Section D
H 492. Is any international law on ballast
w a ter m anagem ent in fo rc e ?
H 493. D oes the B W M Convention p erm it
exem ptions to b e g ra n te d fro m the ballast w ater
m anagem ent requirem ents?
An infestation o f cockroaches; water or food contaminated by bacteria;
presence o f rats or m ice on board.
B efore arrival, either directlv to the local authority or through an agent
approved by the local authority, by radio, fax, email or other communication,
so as to reach the local authority not more than tw elve hours, and whenever
practicable not less than four hours, before the expected arrival o f the ship.
N otify the local authority im m ediately on arrival o f the presence on board o f
infectious disease or tuberculosis, symptoms or other similar circumstances.
No. The former requirement (in Regulation 14 o f the P ublic H ealth (Ships)
Regulations 1979) to show or give day or night signals was removed by the
2007 Amendment Regulations.
(1) Port o f arrival; (2) date; (3) sh ip’s name & IMO N o.; (4) ports from & to;
(5) flag; (6) master’s name; (7) gross tonnage; (8) valid Sanitation Control
Exemption/Control Certificate carried? (9) Re-inspection required? (10) Has
ship visited an affected area identified by WHO? (11) ports o f call from
com mencement o f voyage or in past 30 days; (12) i f requested: list o f all
persons who have joined ship since international voyage began or in past 30
days; (13) number o f crew members; (14) number o f passengers; (15) nine
health questions as follow s: (1) H as an y p erso n d ie d on b o a rd during the
voyage otherw ise than as a resu lt o f accident? (2) Is there on b o a rd o r has
there been during the international voyage any case o f disease which you
su spect to be o f an infectious nature? (3) H as the total num ber o f ill
passen gers durin g the voyage been g re a te r than norm al/expected? (4) Is there
any ill p erso n on b o a rd now? (5) Was a m edical p ra ctitio n er consulted? (6)
A re y o u aw are o f an y condition on b o a rd which m ay le a d to infection o r
sp re a d o f d isease? (7) H as any san itary m easure (e.g. quarantine, Isolation,
disinfection o r decontam ination) been a p p lie d on board? (8) H ave any
stow aw ays been foun d on board? (9) Is there a sick anim al o r p e t on board?
The boarding officer w ill give the master a Maritime Declaration o f Health
form to com plete.
See also Border control in Section 1
A Passenger List (IMO FAL form 61 and several copies o f the current Crew
List (IMO FAL form 5) should be prepared. N on-EEA and non-Sw iss
passengers w ill probably have to com plete Landing Cards i f landing in the UK.
Electronically. A new system called e-Borders w ill require commercial carriers
and owner and operators o f all vessels scheduled to arrive in or depart from the
U K to submit to the e-Borders system detailed passenger, service and crew
data prior to their departure to and from the UK.
He should have readv: ( I ) a written list o f the sh in’s reauirements (already
notified where possible), e.g. cash, crew travel, repairs, stores, fresh water,
bunkers and provisions: (2) the ships’ certificates (in clear pockets i f possible)
which m av have to be taken ashore: (31 the cargo documents (e.e. manifest,
bills o f lading, wavbills. etc.: and (4) in som e ports, a letter o f authorisation to
sien bills o f lading, which m ay be prepared by the agent for signature.
■
( H He should hold a pre-arrival m eeting with all officers and any petty officers
(e.g. pumpman and bosun) concerned with cargo operations. (2) Risk
assessm ents may have to be carried out as per Safety M anagement System
instructions. (3) If ship’s lifting gear wil l be used, he should ensure that the
Register o f Lifting A ppliances and Cargo Handling Gear is in order for
inspection by shore labour representatives and Port State Control Officers.
N o. An International Convention f o r the C ontrol o f Ships ’ B allast W ater a n d
Sedim ents (the BW M Convention), adopted in 2004, w ill enter into force after
ratification by 30 States with 35% o f world gross tonnage. At 2 December
2010 it had 27 Contracting States with 25.32% o f world gross tonnage. The
Convention is expected to enter into force in 2011.
Y es. Under Regulation A -4 a flag State may grant exem ptions in waters under
its jurisdiction, but only to (1) ships on voyages between or operating
exclusively betw een specified ports or locations; (2) for no more than five
years subject to intermediate review; (3) provided the ships do not m ix ballast
water or sediments other than between these ports or locations; and (4) after
risk assessm ent in accordance with IMO Guidelines.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

H 494. What is "ballast w a te r " fo r the
pu rposes o f the B W M Convention?
H 495. U ntil the B W M C onvention enters into
fo rc e, w hat regulations on ballast w a ter
m anagem ent m ust a ship com ply with?
H 496. H ow can an arriva l p o r t S tate's ballast
w a ter m anagem ent requirem ents be
ascertain ed?
H 497. D o es the MCA publish an y guidan ce on
ballast w ater m anagem ent?
H 498. What docum ent contains a s h ip ’s
instructions a n d p ro ced u res f o r b a lla st w ater
m anagem ent?
H 499. Where sh o u ld a s h ip ’s ballast w ater
m anagem ent operation s be recorded?
H 500. What a re the tw o m ethods o f ballast
w a ter m anagem ent a llo w e d b y the B W M
Convention?
H 501. What balla st w a ter m anagem ent
standards does the B W M Convention p ro v id e
fo r ?
H 502. What is the D - l B allast W ater
Exchange Standard?
H 503. What ba lla st w a ter exchange m ethods
a re used?
H 504. What is the flow -th rou gh m ethod?
H 505. What is the sequential m ethod?
H506. What is the dilution m ethod?
H 507. Which ballast w a ter exchange m ethod
sh ou ld not b e u sed i f possible, a n d why?
H 508. Who sh ou ld m aintain ballast w ater
records a n d ensure that p r o p e r ballast w a ter
procedu res a re fo llo w e d on a ship?
H 509. What a re the c h ie f items re q u ired to be
reco rd ed when taking on o r dischargin g ballast
w ater?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
239
Wgter with its suspended matter taken on board a ship to control trim, list,
draught, stability or stresses o f the ship.
A nv applicable national retaliations o f a coastal State or region w hose waters
the ship w ill enter, and, in a federation o f states such as the U S or Australia,
anv applicable state regulations (e.e. California or V ictoria ( Aus.) regulations).
Individual ports mav also have their ow n ballast water discharge requirements,
even where the port State has no national ballast water regulations.
From the shipowner or manager, from the sh ip’s agent at the arrival port, or
from the P&I club correspondent for that port, or from the P&I club’s
managers. Som e P&I clubs publish worldwide ballast water updates.
M GN 81 stronelv urges com pliance with the IMO G uidelines for the C ontrol
an d M anagem ent o f Ships ‘ B allast W ater to M inim ize the Transfer o f H arm ful
A quatic O rganism s a n d P athoeens. M GN 363 provides information and
interim guidance for use until the BW M Convention has been ratified b y the
U K and dom estic legislation has been made. M IN 283 contains Practical
guidelines for ballast water exchange in the Antarctic Treaty Area.
The ship’s Ballast Water M anagement Plan. On entrv into force o f the BWM
Convention this w ill becom e a mandatory document. (F or questions on this,
se e B allast W ater M anagem ent P lan in Section D .)
In a Ballast Water Record Book. On entrv into force o f the BW M Convention
this w ill becom e a mandatory document. {F or questions on this, se e B allast
W ater R e co rd Book in Section D .)
(1) Exchanging the ballast water tan interim option provided for in Regulation
D -l); and (2) treating the ballast water ("the long-term requirement provided for
in Regulation D -2).
A D - l Ballast Water Exchange Standard, which can be achieved using either o f
three methods o f ballast water exchange, and a D -2 Ballast Water Performance
Standard, which is achieved b v ballast water treatment. (F or questions on the.
latter, see BALLAST WA TER TREA TMENT EQ U IP M E N T in Section D .) Due
to its limited biological efficiency, the D -l Standard is to be regarded as an
interim measure until the D -2 Performance Standard com es into effect.
It requires that ships performing ballast water exchange do so w ith an
efficien cy o f 95% volumetric exchange o f ballast water. For ships exchanging
ballast water b y the pumping-through method, pum ping through three tim es the
volum e o f each ballast water tank w ill be considered to m eet this standard.
Pumping through less than three tim es the volum e m ay be accepted provided
the ship can demonstrate that at least 95% volum etric exchange is met.
(1) The flow'-thraugh method, in w hich replacement ballast water is pumped
into a tank or hold allow ing water to overflow; (2) the seauential method, in
which a tank or hold is first emptied by at least 95% o f its volum e and then
refilled w ith ballast water; and (3) the dilution method, in which replacement
ballast water is filled from the top o f the tank or hold w h ile simultaneous
discharge occurs from the bottom to maintain a constant water level. U sin g the
flow-through method or dilution method, at least three tim es the tank or hold
volum e m ust be pumped through.
A process b y w hich replacement ballast water is pumped into a ballast tank or
hold intended for the carriage o f water ballast allow ing water to flow through,
Overflow or other arrangements. At least three tim es the tank or hold volum e
must be pumped through the tank or hold.
A process b y w hich a ballast tank or hold intended for the carriage o f water
ballast is first emptied o f at least 95% or more o f its volum e and then refilled
with replacem ent water ballast.
A process by w hich replacem ent ballast water is filled through the top o f the
ballast tank or hold intended for the carriage o f water ballast with simultaneous
discharge from the bottom at the same flow rate and maintaining a constant
level in the tank or hold. At least three times the tank or hold volum e must be
pum ped through the tank or hold.
The sequential method, since it requires tanks to be emptied at sea, which
could cause loss o f stability, as happened to the car carrier C ougar A ce in
2006.
A responsible officer should be appointed to maintain appropriate records and
to ensure that ballast water managem ent and/or treatment procedures are
follow ed and recorded. (B W M G uidelines, 8.1.2)
The dates, geographical locations, ship’s tank(s) and cargo holds, ballast water
temperature and salinity as w ell as the amount o f ballast water loaded or
discharged. (B W M Guidelines, 8.1.3)
H 5J0. B ecause o f b a d weather, a p o r t S tate's
re q u ire d ballast w ater procedu res cannot be
co m p lied with before arrival. What is the
a d vice in IM O B allast W ater M anagem ent
G uidelines regardin g this situation?
H i l l . What inform ation is entered on the IMO
B allast W ater R eport form ?
H 512. In relation to balla st water, w hat are
sedim ents?
H 513. What d o es the B W M Con vent ion
require regarding sedim ent management?
H 514. What do the IM O Ballast Water
M anagem ent G uidelines advise regarding
sedim ent m anagem ent?
EU ban on single-hull tankers carryin 3 heavy guides o f oil
H 515. What restrictions on single-hull tankers
enterin g E U p o rts a n d w aters a re in fo rc e ?
lifo c Jk/i f'sirA n Im a i/ a ii#
H 516. U nder The M S (V essel Traffic
M onitoring a n d R eporting Requirements)
Regulations 2004, w hat recom m endation m ay
the MCA g iv e to the m aster o f a sh ip in, or
about to enter, an area in U K w aters f o r which
exception ally b a d w eath er o r se a conditions are
fo re ca st?
Where a port State authority requires that specific ballast water procedures
and/or treatment option(s) be undertaken, and due to weather, sea conditions or
operational impracticability such action cannot be taken, the master should
report this fact to the port State authority as soon as possible and, where
appropriate, prior to entering seas under its jurisdiction. (B W M Guidelines,
8.1.1)
(1) Ship information; (2) Ballast water (total BW on board; total BW capacity);
(3) Ballast water tanks (number on board, number in ballast, number
exchanged, number not exchanged); (4) Ballast water history (on a tank-by-
tank basis: dates, places and volum es, etc. o f BW source, BW exchange and
BW discharge); (5) IMO Ballast Water G uidelines on board? Responsible
officer’s name, title and signature.
Matter settled out o f ballast water within a ship.
All ships must rem ove and dispose o f sedim ents from spaces designated to
carry ballast water in accordance with the provisions o f the ship’s Ballast
Water Management Plan.
Where pract icable, routine cleaning o f the ballast tank to remove sediments
should be carried out in m id-ocean or under controlled arrangements in port or
dry dock, in accordance with the provisions o f the sh ip’s Ballast Water
Management Plan.
N o oil tanker o f 5,000 dwt or more carrying heavy grades o f oil as cargo,
irrespective o f its flag, may enter or leave an EU port or offshore installation of
anchor in an area under the jurisdiction o f an EU M ember State (including for
ship-to-ship transfer operations, bunkering, crew changes, storing, etc.), unless
it is double-hulled. Single-hull oil tankers o f 600 dwt or more but less than
5,000 dwt can continue operating until the anniversary in 2008 o f their delivery
date. The ban is an interim measure pending the com plete phasing-out o f all
single-hull tankers. (See also questions on C ondition A ssessm ent Schem e in
Section D.)
ptionally bad weather o r sea conditions in UK waters
A recommendation that the ship: (1) should enter or leave a port in a relevant
area; (2) should not enter or leave a port in a relevant area; (3) should not be
bunkered; or (4) should only be bunkered subject to certain conditions, until
the M CA are o f the opinion that there is no longer a serious threat o f pollution
or a risk to human life. (F or other questions on this subject, se e the en d o f
Section I.)
THE SHIPMASTER’S BUSINESS SELF-EXAMINEr
Section I: In Port
AIS OPERATION IN PORT
II. What a re the statutory requirem ents
concerning o n b o a rd operation o f AIS?
12. In w hat circum stances m ay A IS be
sw itch ed off, accordin g to the IM O AIS
G uidelines?
13. What do the IM O AIS G uidelines advise
regardin g o peration o f A IS in p o rt?
14. What do the IM O AIS G uidelines advise
regardin g reportin g the sw itch in g o f f o f AIS?
15. What re c o rd sh ould be m ade i f A IS is
sw itch ed o f f at when under w a y o r a t anchor?
PILOTAGE
Pilot transfer arrangements
16. Which U K regulations contain
requirem ents for p ilo t transfer arrangem ents?
17. What are a m a s te r ’s duties under The
MS (Safety o f N avigation) Regulations with
respect to p ilo t transfer arrangem ents?
18. What are the statutory duties o f the
respon sible officer nom inated by the m aster to
su pervise the p ilo t transfer?
19. Where can SO LAS regulation V/23 a n d
IM O a n d MCA guidan ce on p ilo t transfer
arrangem ents be foun d?
Pilot access control
110. Where can official guidan ce be fo u n d
on control o f access b y p ilo ts?
III. What guidan ce does M S C /C irc.l 156
contain regarding controlling access by pilo ts?
112. What docum ent sh ould a p ilo t p resen t
on boarding a ship?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
Paragraph 2 1 o f IMO G uidelines fo r the O n board O perational Use o f
Shipborne Autom atic Identification System s (Resolution A .9 17(22) (which is
reprinted in M SN 1795) states: ‘‘AIS sh ould a lw ays be in operation when ships
are underw ay o r a t anchor. ’’ There are, however, circumstances in which AIS
m ay be sw itched off' when under w ay or at anchor.
Paragraph 21 o f the IMO AIS Guidelines states: “I f the m aster believes that the
continual operation o f AIS m ight com prom ise the safety o r security o fh is/h er
ship o r w here security incidents are imminent, the A IS m ay be sw itch ed off. ”
“In p o rts A IS operation sh ou ld be in accordance with p o r t requirem ents. ”
“U nless it w ou ld fu rth er com prise the safety o r security, i f the sh ip is operatin g
in a m andatory reporting system , the m aster sh ou ld report this action a n d the
reason fo r d oin g so to the com petent authority. "
A record o f the sw itching-off o f the AIS should be made in the O fficial Log
B ook together with the reason for doing so.
The MS (Safety o f N avigation) Regulations 2002, which implement the 2002
revision o f SO LAS chaptcr V.
To ensure that: (I ) all pilot transfer arrangements m eet the requirements o f
SO LAS regulation V /23; (2) all pilot transfer equipment is properly
maintained, stowed and regularly inspected in accordance with SOLAS
regulation V /23; (3) the rigging and testing o f equipment for pilot transfer, and
the procedures in place for such transfers, com ply with SO LAS regulation
V /23; and (4) each pilot ladder is used only for the embarkation and
disembarkation o f pilots and by officials and other persons authorised by the
master on arrival at or departure from a poit. H e must also nominate a ship’s
officer to be the responsible officer for supervising the pilot transfer.
To: (1 ) supervise the rigging o f the pilot transfer arrangements and the
embarkation o f the pilot; (2) escort the pilot b y a safe route to and from the
navigation bridge; (3) ensure that personnel engaged in rigging and operating
any m echanical equipment are instructed in the safe procedures to be adopted;
and (4) ensure that the equipment is tested prior to use.
In the M C A ’s 2002, SO LAS Chapter V publication (officially called Safety o f
N avigation - Im plem enting SO LAS C hapter V 2002), w hich is on the M C A ’s
w ebsite under Ships and Cargoes/Legislation and Guidance/Statutory
Publications. MCA guidance follow s the text o f SO LAS regulation V /23.
h ttp s://m c a n e t.m c g a .g o v .u k /D u b lic /c 4 /s o la sv /A n n e x e s/A n n e x 2 1 .htn\An
nex 21 - P ilot Transfer Arrangem ents contains the text o f IMO Resolution
A .889(21) which sets out fall details o f the requirements o f the SOLAS
regulation. A link is included to poster entitled R equired boarding
arrangem ents f o r p ilo ts, contained in M SC/Circ.773 - Pilot Transfer
Arrangements. IMO recomm ends that this poster is brought to the attention o f
all concerned with pilot transfer.
U \ • "• -jl : ■" ■ v- - / y •
In M SC/Circ. 1156 - G uidance on the access o f p u blic authorities, em ergency
respon se services a n d p ilo ts on h oard ships to which SOLAS C hapter X I -2 an d
the ISPS C ode apply.
Para. 3.5 states: “D elaying unnecessarily the arriva l o f the p ilo t on the bridge,
esp ecia lly when the ship is underway, is detrim ental to the safety o f navigation
a n d m ay lea d to situations w here the safety o f the ship a n d o f o th er ships o r o f
p e o p le in the vicinity m ay be jeo p a rd ized . " Para. 5.3 states: “The m aster o r the
SSO sh o u ld com m unicate with the p ilo ts to ensure that a ccess control
m easures f o r p ilo ts boarding a t sea are con du cted in such a w ay that the p ilo t
is not p re c lu d ed from reaching the bridge in tim e to conduct the m aster-pilot
inform ation exchange a n d begin pro vid in g p ilo tin g services necessary>f o r the
safety o f the ship a n d fo r the safety o f navigation. I f necessary to ensure that
the p ilo t has tim ely access to the bridge, verifications o f em ploym ent an d other
access co n trol m easures, such as searches, in accordance w ith the p rovision s
o f the SSP m ay be w a ive d once the identity o f the p ilo t has been verified to the
sa tis faction o f the m aster o r SSO. ”
M SC/Circ. 1156 advises: “P u blic authorities, em ergency respon se services a n d
p ilo ts w hether in uniform o r not, sh ou ld p resen t an identity docum ent when
seeking to b o a rd a ship. ” (Para. 4.4)
242
113. Is there any international stan dard
fo rm a t f o r p ilo t identity docum ents?
114. D oes a p ilo t n e e d to be issu ed with a
v isitor iden tity docum ent b y the ship?
Pilotage information
115. A ship has a rriv e d a t a p ilo t station in
U K w aters a n d the p ilo t has arriv e d on the
bridge. What a ction sh ou ld the m aster now
take?
116. What sh o u ld b e included, a s a
minimum, in the m aster/pilot information
exchange, accordin g to IM O Resolution
A .960(23)?
117. What a re the M CA's recom m endations
f o r the carriage o f m anoeuvring inform ation?
118. Where can an exam ple o f a P ilot Card,
W heelhouse P o ster a n d M anoeuvring B ooklet
b e found?
n «l M■■ m ■ ' ""
Pilotage l a w
U 9. What offences m ight a shipm aster
com m it under the P ilotage A ct 1987?
120. What is a p ilo t's leg a l status in relation
to the m aster?
121. H ow does U K law view a p ilo t's status?
122. What are the p rin c ip a l rules relating to
the m aster/pilot relationship?
N o. M SC/Circ. i 156 advises: “The fo rm , fo rm a t a n d language o f identity
documents, o fp u b lic authorities, a n d o f em ergency respon se services a n d o f
p ilo ts are regu lated by national o r lo ca l legislations a n d there is no
international sta n d a rd to this end. ” (Para. 4.3)
N o. M SC/Circ. 1156 advises: “The issue o f visitor identification docum ents by
the ship to p u b lic authorities, em ergency respon se services a n d pilo ts who
have provided, when seeking to b o a rd the ship, verifiable iden tity m ay not be
w arran ted a n d m ay exhibit, in lieu o f visitor identification docum ents issu ed by
the ship, their official identification documents. ” (Para. 4.6)
......... ■ .............................
The master should: (1) have the “H” flag or night signal shown; (2) introduce
him self as master; (3) conduct a master/pilot information exchange as
recommended in IMO Resolution A .960(23); and (4) ensure that the OOW w ill
monitor the ship’s progress w hilst under pilotage.
(11 Presenta tion o f a com pleted standard Pilot Card: (21 provision o f
information on rate o f turn at different speeds, tum ins circles, stopping
distances and. i f available, other appropriate data: (31 general agreement on
plans and procedures, including contingency plans, for the anticipated passage;
(4) discussion o f anv special conditions such as weather, depth o f water, tidal
currents and marine traffic that m ay be expected during the passage; (5)
discussion o f anv unusual ship-handling characteristics, machinery difficulties.
navigational equipment problems or crew limitations that could affect the
operation, handling or safe manoeuvring o f the ship: (61 information on
berthing arrangements: use. characteristics and number o f tugs: mooring boats
and other external facilities: (71 information on m ooring arrangements: and (8)
confirmation o f the language to be used on the bridge and with external parties.
The M CA recommends (in M GN 301) that m anoeuvring information in the
form o f a pilot card, w heelhouse poster and manoeuvring booklet should be
provided as follow s: (11 the pilot card on all shins to which the reauirements o f
the 1974 SO LAS Convention, as amended, applv: (21 the pilot card,
wheelhouse poster and manoeuvring booklet on all new ships and fishing
vessels o f 100 metres in length and over, and all new chem ical tankers and gas
carriers regardless o f size; and (3) the pilot card, w heelhouse poster and
m anoeuvring booklet on all new ships that may pose a hazard due to unusual
dim ensions or characteristics.
M GN 301 contains a specim en Pilot Card (at Appendix 1), W heelhouse Poster
(at Appendix 2) and M anoeuvring B ooklet (at Appendix 3).
(1) N ot being under pilotage as required after an authorised pilot has offered to
take charge o f the ship; (2) navigating the ship, i f non-exem pt, in a compulsory
pilotage area without notifying the harbour authority that he proposes to do so;
(3) being under pilotage o f an unauthorised person in a harbour without first
notifying the harbour authority; (4) being under pilotage o f an unauthorised
pilot in a harbour, after an authorised pilot has offered his services; (5) not
declaring the sh ip’s draught, length, beam and other required information to the
pilot; (6) not bringing the ship’s defects to the pilot’s notice; (7) making a false
statement in response to a request from a pilot for information, or a false
statement made by another person; (8) taking an authorised pilot out o f his
district without reasonable excuse; (9) not facilitating a pilot’s boarding and
leaving the ship.
Except in the Panama Canal (see below ), the pilot is an advisor to the master,
without having command, navigational control or charge o f the vessel. The
pilot’s duty is restricted to advising the master o f local conditions affecting
safe navigation. The master has full responsibility for the navigation and
manoeuvring o f his ship during all acts o f pilotage. (H ence the bridge
m ovement book term, “To M aster’s Orders and P ilot’s A d vice”.)
A pilot has been defined (in section 742 o f the M erchant Shipping A ct 1894) as
“any person not b elonging to a ship w ho has the conduct th ereo f’. This makes
him rather more than a sim ple adviser, and UK courts tend to take the view that
a pilot’s advice should be follow ed on account o f his specialised local
knowledge and special skill.
Generally, the master should: (1) follow the pilot’s advice unless he has good
reason to believe that follow ing that advice w ill endanger the ship; (2) see that
the sh ip’s navigation is monitored (including plotting fixes/positions on charts)
as i f there were no pilot on board; (3) insist that the pilot takes all reasonable
precautions; (4 ) ensure that the officers, helmsmen, etc. attend to the pilot’s
requests with efficiency and courtesy; (5) instruct the OOW that he has charge
o f the vessel w hilst under pilotage, unless specifically informed otherwise by
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

123. When sh ou ld a m aster definitely
interfere in the p ilo ta g e o f his ship?
124. What a dvice does the MCA 's 2002
SO LAS V pu blication g iv e regarding the
m aster/pilot relationship?
125. Who is usually liable f o r the
consequences o f negligent navigation w hilst
under p ilotage?
126. In which w aterw ay d o p ilo ts have
extraordinary respon sibility a n d p o w e rs?
127. In the UK, w hat is a P ilotage
D irection?
128. In the UK, what is a P ilotage
Exemption C ertificate?
UK pHot’s duty to report ship’s deficitmcies
129. D oes a U K harbour p ilo t have any duty
to report deficiencies n oticed in a sh ip under
pilo ta g e?
HARBOUR TOWAGE
130. On w hat term s a re tow age services
norm ally p ro v id e d a t U K p o rts?
131. H ow is "towage " defin ed in UK
Stan dard T owage Conditions?
132. U nder U K Stan dard T owage
Conditions, w hat is the legal status o f the tug's
m aster a n d crew ?
133. H ow is lia b ility sh a red under U K
Stan dard T owage Conditions?
134. What are the differences between
"to w a g e ” an d "salvage"?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
243
the master; (6) always state his opinion to the pilot on important matters o f
navigation and manoeuvring and warn the pilot i f it appears that the pilot is
taking or proposing to take any action o f which the master disapproves.
(1) When the pilot is incapable through illness, drink or drugs, or (2) when the
pilot gives orders to the helmsman that would, i f carried out, result in a breach
o f any law.
It draws attention to an extract from an IMO Resolution (A .285(V III)), which
states: “D esp ite the duties a n d obligations o f a pilo t, his p resen ce o n b o a rd
does not relieve the officer o f the w atch from his duties a n d obligations f o r the
safety o f the sh ip He sh ou ld co-operate closely w ith the p ilo t a n d m aintain an
accu rate check on the v e s s e l’s p o sitio n an d movem ents. I f he is in an y dou bt as
to the p i l o t ’s actions o r intentions, he sh ou ld seek clarification fro m the p ilo t
a n d i f dou bt still exists he sh ou ld notify the m aster im m ediately a n d take
w hatever action is n ecessary before the m aster arrives. ”
The shipowner.
In the Panama Canal, where ships com e under the navigational control o f a
Panama Canal pilot from the time they enter the canal. (A Panama Canal
Authority Marine Directive provides that "The p ilo t sh all have control o f the
navigation a n d m ovem ent o f the a ssig n ed v e s se l”.)
A direction made and published by a com petent harbour authority under the
P ilotage A ct 1987, directing that pilotage w ill be com pulsory for ships
navigating in any area or part o f an area under its jurisdiction. A Direction may
apply to all ships or to all ships o f a given description, subject to any specified
exceptions, and specifies the area and circumstances in which it applies. It may
provide for issue o f a Pilotage Exemption Certificate to the bona fide master or
first mate o f certain ships. A master may be fined under section 15 o f the
P ilotage A ct 1987 for non-com pliance.
A certificate issued b y a competent harbour authority to a bona fide master or
first mate o f a specified ship, so that, when in the charge o f the holder, the ship
m ay be exem pted from taking an authorised pilot w hen navigating in the
pilotage waters under the jurisdiction o f the issuing authority. A PEC is valid
for the w hole or specified parts o f the pilotage area, on a specified ship or
ships. Applicants are usually required to have performed a number o f passages
into and out o f the port in the previous year and are subject to annual
examination o f experience and local knowledge in order to renew the PEC.
Yes. Under the MS (P ort State C ontrol) R egulations 1995, as amended, a UK
pilot must im mediately inform the port authority authorising him whenever he
learns in the course o f his duties o f deficiencies w hich m ay prejudice the safe
navigation o f the ship or w hich m ay pose a threat to the marine environment.
The port authority must then inform the M CA. An unauthorized pilot should
inform the M CA directly, or the competent authority o f another EU Member
State. (A port authority has a similar duty to report a ship’s deficiencies.)
U K Standard Conditions for T ow age and Other Services (usually called “U K
Standard T ow age Conditions” and abbreviated to UK STC). U K Standard
T ow age Conditions are also used in ports in m any other countries.
A s “an y operation in connection w ith the holding, pushing, pulling, moving,
escortin g o r guiding o f o r standing b y the H ir e r’s v e s s e l".
They are deem ed to be servants o f the hirer (the shipowner), w ho therefore has
vicarious liability for their actions.
The owner o f the tow (i.e. the hirer) is effectively responsible for all liabilities
arising during the tow; the tug is exempt even where negligent (which is w hy
U K Standard T ow age Conditions are so popular with tugowners around the
world). The tugowner’s liability for death or personal injury resulting from
negligence cannot be excluded or restricted, however, and he w ill also be liable
for claim s resulting directly from his personal failure to exercise reasonable
care to make the tug or tender seaworthy for navigation at the com mencem ent
o f the tow ing or other service. The hirer must indem nify the tugowner for any
claim s for loss or damage made against the tugowner
T ow aae services are governed bv ordinary contract law. A contract for tow aee
is for agreed purposes and an agreed sum, i.e. the tug’s duties and the price are
fixed beforehand, usually according to the towage com pany’s tariff o f rates.
The tow ing v e ssel’s services are not voluntary and n o salvage reward is due
unless som e peril arises during the tow age such as to require extraordinary aid
244
135. A sh ip is under tow b y a tug, but g o e s
agrou nd as a resu lt o f a squall. Can the tug
claim a salvage re w a rd fo r refloating the ship?
136. What elem ents a re n ecessary f o r a tug
under a tow age contract to claim a salvage
rew ard?
BERTHING
137. What reports m ust the m aster o f a U K
sh ip make fo llo w in g a berthing accident in
which both ship a n d quay are dam aged?
138. What is the p r o p e r nam e f o r dam age
done to sh ip o r quay durin g berthing?
139. What is contact by a sh ip with a quay
o r other station ary o bject c a lle d in the USA ?
140. What action sh ou ld a m aster take to
p ro te c t the o w n e rs' interests fo llo w in g a
berthing acciden t in which both the ship an d
qu ay are dam aged?
141. What docum ent w ill the m aster
p ro b a b ly receive fro m the p o rt o r term inal
opera to r a fter collidin g with a quay, an d w hat
sh ou ld b e the m a ste r’s response to it?
CUSTOMS, HEALTH and IMMIGRATION PROCEDURES (ARRIVAL)
UK Customs report and inward clearance
142. Which U K governm ent a gency is
respon sible f o r Custom s clearan ce o f ships
arriving a t U K ports?
143. Which vessels arrivin g in the U K do not
have to rep o rt to Custom s?
144. Which vessels m ust report to Custom s
on a rriva l in the UK?
from the tue. Salvaee. on the other hand, is sovem ed bv maritime law. It is a
voluntary action, and any reward is dependent on some measure o f success:
hence the term “no cure, no pay” in m ost salvage agreements. The reward can
only be determined after com pletion o f the salvage services.
Where a vessel is contracted to tow but renders extraordinary services, the
towing vessel may have a valid claim for a salvage reward. However, the
towing v e sse l’s owner would have to show that the service changed from
towage to salvage not through want o f skill on his part, but by som e accident
over which he had no control. UK Standard T ow age Conditions (on which tugs
are usually hired in the UK and in m any other nations) preserve the right o f the
tug owners and crew to claim salvage (and special com pensation) for any
extraordinary services rendered to vessels or anything aboard vessels by any
tug or tender, the key word being “extraordinary”, i.e. beyond the services
contracted for.
The Admiralty Court (part o f the High Court in London) has held that two
elem ents are necessary to constitute a salvage service by a tug under contract to
tow: (1) the tow must have been in danger due to circumstances which could
not reasonably have been contem plated by the parties to the tow age contract;
and (2) risks w ere incurred or duties performed by the tug which could not
reasonably be held to have been v/ithin the scope o f the towage contract.
.* • ■
Under The MS (Accident R eportin g a n d Investigation) Regulations the master
must report the accident to the M AIB on two counts: (1) because the ship has
sustained material damage: and (2) because the ship has caused material
damage. He should also report to the harbour master or quay owners, as w ell as
the shipowners, any time charterer, the P&I club correspondent, the certifying
authority for the Cargo Ship Safety Construction Certificate, Passenger Ship
Safety Certificate or Passenger Certificate, whichever is applicable. In a non-
U K port the port State Administration should also be notified. (The ship
owners or managers w ill normally contact the classification society.)
Contact damage. (The term collision damage should be used only where a ship
has struck another unmoored vessel.)
An allision. U S Coast Guard press releases never use the term “collision ”
unless the vessels involved were both under way.
The master should; (1) inform the owners and local P&I club correspondent as
soon as possible; (2) send a full report to the owners, signed where possible by
the pilot, tug master(s) and any eye-w itnesses (e.g. linesm an), and including:
speed and angle o f approach, appended extracts from logs detailing helm and
engine m ovem ents, weather conditions, state o f tide and current; (3) record in
the deck log any defects or damage to the jetty prior to or im m ediately on
berthing; (4) with the assistance o f the P&I club correspondent if necessary,
appoint an independent surveyor to inspect the damage; this should ideally be a
joint survey with a surveyor appointed by the port/terminal operator or their
underwriters:, (5) take and submit to owners photographs o f the quay damage;
(7) i f requested, give the port/terminal operator and/or their surveyors every
opportunity to survey the damage to the vessel, and attempt to agree with them
the cause and extent o f the damage.
A letter o f protest holding the ship liable for the contact damage. The master
should sign this “for receipt only” and should not admit any liability, since (1)
the ship may not, in fact, be liable i f the reason for the damage is found to be
som e cause beyond the master’s control; and (2) underwriters and P&I club
rules prohibit owners from admitting liability without their consent.
HM Revenue and Customs (HMRCV Website: www.hmrc.EOV.uk
V essels arriving from EU nations which are on an “authorised regular shipping j
service”. (An authorised regular shipping service is a vessel that only operates
between EU ports (other than freeports or freezones) on a regular, previously-
authorised, scheduled service. The Customs authorities in each EU port o f cali 1
are required to approve the service and the vessel must carry a valid certificate ;
from the Customs authority.)
(1) A ll vessels arriving from outside the EU; and (2) those vessels arriving
from EU nations which are not on an “authorised regular shipping service”.
THE SHIPMASTER’S BUSINESS SELF-EXAMINED

145. On arrival in the UK, w here a n d when
m ust report he m ade to Customs?
146. Wh ich fo rm s a re requ ired to make a
report to U K Custom s?
147. H ow m ust c argo be d e cla re d in a report
to U K Custom s?
148. H ow sh ou ldfirearm s c a rrie d on a ship
be d e cla re d to U K Custom s?
149. A sh ip approaching the U K a n d which
is req u ired to report to Custom s h as on boa rd
p assen gers who w ilt be disem barking. What
action sh o u ld the m aster take?
150. A sh ip approaching the U K a n d which
is requ ired to report to Custom s has on boa rd
crew m em bers who w ill be p a y in g off. What
action sh ou ld the m aster take?
151. Which p a ssen g ers have to g e t an
im m igration officer's perm ission to enter the
UK?
152. D oes a sh ipm aster alw ays have to make
the R eport to U K Custom s in person ?
153. What w ill U K Custom s usually d o about
the bon ded stores in the bon d locker?
154. M ust the m aster o f an offshore su pply
vessel a rrivin g a t a U K p o r t fro m a North Sea
rig lo ca te d on the U K C ontinental S h e lf report
to Custom s?
155. Where can official guidance on U K
R eport a n d C learance procedu res be fou n d?
156. Where can official guidan ce on duty­
free s h ip ’s sto res lo a d ed in the U K be found?
Health clearance
157. U nder The P ublic H ealth (Ships)
Regulations, what restrictions a pply on
boarding o r leaving a ship after a rriva l a t a U K
p o rt?
158. What is “fr e e pra tiq u e ’’?
159. Who is the “a u th orisedofficer" under
The P ublic H ealth (Ships) Regulations?
160. U nder The P ublic Health (Ships)
Regulations, w hat p o w e rs do auth orised
officers have in relation to ships arrivin g a t U K
ports?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
245
Report must be made a designated place (either a Customs office or Customs
post box) within 3 hours o f the ship reaching its berth. (I f the designated place
is closed, report must be made within one hour o f its opening.) If the ship has
arrived within port limits but has not reached its berth, report must be made
within 24 hours after arrival within port limits (e.g. from an anchorage). The
sh ip’s agent m ay apply for an extension i f circumstances warrant, e.g. adverse
weather conditions. Alternatively, report must be made when requested by an
officer visiting the vessel in port.
The follow ing forms, as appropriate: a General Declaration (IMO FAL form 1
Customs form C94); a Ship’s Stores Declaration (IM O FAL form 3 - C95): a
C rew’s Effects Declaration (IM O FAL form 4 C96); a Crew List (IM O FAL
form 5 - C97); i f the vessel is carrying 12 passengers or fewer, a Passenger
List (IMO FAL form 6 - C98); and a Cargo Declaration. The number o f copies
required o f each form varies from port to port. The master should keep a copy
o f all report forms he submits.
I f the ship is carrying a single bulk com m odity (such as oil in bulk or grain in
bulk), details can be given in box 13 o f the General Declaration form.
Otherwise, the cargo declaration w ill normally consist o f the cargo manifest,
although other commercial or administrative documents relating to the goods
and containing the necessary particulars for each consignm ent m ay be
accepted. A t som e U K ports, a computerised cargo declaration may be made.
Either on the Ship’s Stores Declaration or the C rew’s Effects Declaration,
depending on whether they are owned by a crew member or not.
Before arrival in the U K the master should inform Customs (through the ship's
agent) that passengers w ill be disembarking.
B efore arrival in the U K the master should inform Customs (through the sh ip’s
agent) that crew members w ill be disembarking.
Those passengers w ho are not EEA citizens. (U n less prior arrangements have
been made with the Immigration authorities, these passengers must not
disembark until they have been seen by an immigration officer.)
No. U nless Customs inform the master otherwise, an agent may act on his
behalf, e.g. the port agent or a ship’s officer.
A Customs officer w ill compare the contents o f the locker with the list on the
Ship’s Stores Declaration, and i f everything is in order w ill seal the locker for
the duration o f the ship’s stay in port.
Y es. The UK Continental S h elf (UK CS) is treated by HM Revenue and
Customs as i f it were outside the EU. Supply vessels servicing installations on
the UK CS from UK ports m ay therefore be required to report and clear as if
they were vessels arriving from or departing for non-EU ports which are not on
an “authorised regular shipping service”.
In N otice 69 (R eport a n d C learance b y Ships ’ M asters) on the HM Revenue &
Customs website.
In N otice 69A (D uty-F ree Ships ’ S tores) on the HM Revenue & Customs
website.
For questions on Preparations for Health Clearance, see Section H
Where the authorised officer so directs, or where the master is required to
make a report under Regulation 13 (see P reparation s f o r health clearan ce in
Section H), no person other than the pilot, a custom s officer, or an immigration
officer, may, without the permission o f the authorised officer, board or leave a
ship until free pratique has been granted, and the master must take all
reasonable steps to secure com pliance with this requirement.
Perm ission for a ship to disembark and com m ence operation. It is also called
health clearance.
The medical officer, the proper officer, or any other officer authorised by the
local authority to enforce or execute any o f The P ublic H ealth (Ships)
Regulations. In many cases he or she is a custom s officer.
They may: (1) inspect (and take sam ples o f food and water from) ships from
w hich a m essage has been sent under reg. 13 (see Section H ) or ships where
there is suspected cases o f infectious disease (reg. 7); (2) require ships to be
m oved for m edical inspection (reg. 8); (3) exam ine and detain persons for
infectious disease or vermin (reg. 9); and (4) require the removal o f persons
suffering from infectious disease (reg. 10).
246
Ship sanitation certification Sees
161. A sh ipow ner o r m aster applies to an
auth orised officer a t a U K p o r t f o r a ship
sanitation con trol certificate. Under The P ublic
H ealth (Ships) Regulations, what m ust the
au th orised officer do?
162. A sh ip has a rriv e d a t a U K p o r t fro m a
fo re ig n port. What is the p o r t health procedu re
w here the Ship Sanitation C ontrol Certificate
o r Ship Sanitation C ontrol Exemption
C ertificate are out o f date?
163. F or issue o f a Ship Sanitation C ontrol
Exem ption Certificate, in w hat condition sh ou ld
the sh ip 's holds b e during an inspection b y an
auth orised officer?
164. Can a sh ip sanitation certificate be
extended?
165. Who arranges any control m easures
required?
166. What happens after any requ ired
control m easures a re com pleted?
Detention o f arriving ship for health reasons
167. Under The P ublic H ealth (Ships)
Regulations, can an auth orised officer detain a
ship which has a rriv e d a t a U K p o rt?
Fumigation in port
168. A U K s h ip ’s accom m odation requires
fu m igation in port. Where can guidan ce on
fum igation be found?
Border control
169. Which organization is respon sible f o r
b o rd er con trol in the UK?
170. A p a ssen g er sh ip is arriving a t a UK
p o r t w ith 1000 passen gers. What docum ents
m ust be ready in respect o f passen gers wishing
to land?
171. A ca rg o ship is arriving in the U K with
up to 12 passen gers. What docum ent m ust the
m aster h ave rea d y in resp ect o f the passen gers?
172. A sh ip arrivin g in the U K has a
sto w a w a y on board. What is the p ro p e r border
con trol (im m igration) procedu re?
SHIPS AGENT
173. What are the p rim a ry duties o f a sh ip 's
agent?
174. Who is a s h ip ’s a g e n t’s prin cipal?
175. What fa c ilitie s a n d services does a
s h ip ’s a gent typ ica lly h ave to organise f o r a
sh ip?
ANITATION CONTROL CERTIFICATION in Section D
The authorised officer must first inspect the ship. Then, i f satisfied that the ship
is exem pt from control measures, he must issue a Ship Sanitation Control
Certificate. When (alternatively) any necessary control measures have been
completed to his satisfaction, he must issue a Ship Sanitation Control
Certificate and note on it the control measures taken. (Reg. 18A)
An authorised officer will inspect the ship for evidence o f danger to public
health or infection, and then issue the appropriate ship sanitation certificate.
They should either be empty, or contain only ballast or other material o f such a
nature or so disposed as to make a thorough inspection possible.
Yes. A Ship Sanitation Control Certificate or a Ship Sanitation Control
Exemption Certificate m ay be extended by one month if: (a) any inspection or
control measures required cannot be carried out at the port; (b) there is no
evidence o f danger to public health or infection; and (c) the port is authorised
to extend the validity o f a ship sanitation certificate.
The master must im mediately make arrangements to carry out any required
control measures.
When control measures have been com pleted to the satisfaction o f an
authorised officer, he or she must: (1) issue a Ship Sanitation Control
Certificate; and (2) note on the certificate the evidence found and the control
measures taken.
0:. '. ■... ■■■ .............................................. . ....
Yes. An authorised officer has pow ers to order an infected ship, suspected ship
or ship on which there has been a case o f plague, cholera, y ello w fever or
smallpox in the last 4 w eeks, to a m ooring station for inspection by a medical
officer.
The IMO Recom m endations on the Safe Use o f P esticides in Ships are
incorporated in the Supplement to the IM DG Code. M SN 1718 and M GN 86
should also be consulted.
• -v ,
, : ■ - | y , .: ;
The U K Border A gency (U K B A ) o f the Home O ffice. W ebsite:
w w w .ukba.hom eoffice. gov. uk
A ll passengers must be listed on a passenger list and w ill require a passport or
other nationality identification document. Non-EEA and non-Sw iss passengers
w hose journey originated outside the Comm on Travel Area (the UK, Ireland,
Channel Islands and Isle o f M an) m ay have to com plete a landing card.
The passengers must be listed on an IMO Passenger List (IM O FAL form 6 -
U K Customs form C 98) when the master makes report to Customs.
Through the agent the master should inform the U K Border A gency (U K B A )
(who w ill want to interview the stow away), and the P&I club. The shipowner
or manager should also be informed. The U K B A w ill treat the stow away as an
un-documented passenger. I f the U K B A directs removal o f the stow away from
the U K on the ship, the master w ill be served with forms to com plete.
To look after the needs o f the ship and its crew during their stay in port. The
agent should: (1) aim for the quickest possible turn-round with maximum
efficiency and minimum cost; (2) assist the master in his dealings with
officials; (3) procure provisions, stores and other requirements; and (4)
communicate m essages between owners/charterers and the master.
The party w ho appointed the agent and w ill be paying the agency fee. I f the
shipowner w ill be paying the agency fee, the owner is the agent’s principal,
regardless o f whether the charterer or another party nominated the agent. Note:
Nom inating an agent means nam ing the agency firm to be used; this is not the
same as appointing the agent. (See notes on A gents under VOYAGE
CHARTERS a n d TIME CHARTERS in Section F.)
The agent organises a berth, pilotage, towage, line-handlers and boatmen,
cargo-handling, security guards, w aste collection, bunker fuel, fresh water,
provisions and stores, repairs, crew changes, m edical and dental visits, ship’s
cash requirements, and crew mail. The agent liaises with custom s, port health,
immigration and police, and with cargo shippers and receivers. The agent may
THE SHIPMASTER'S BUSINESS SELF-EXAMINER

176. When a ship is on voyage charter, w hat
docum ent w ill the a gen t usually w ant the
m aster to sisn before the sh ip 's departure?
17 7. H ow a re the bills f o r the services
p ro v id e d to a ship in p o rt paid?
TAKING OVER and HANDING 0>VER COMMAND
178. A new m aster is jo in in g a ship lying a t
a quay. What sh ou ld be his initial a ctions on
arriving a t the fo o t o f the accom m odation
ladder a n d m aking his w ay to the m aster's
quarters?
179. W hat s h ip 's documents s h o u ld be
checked by a new master onjoining ship?
180. A part fro m the docum ents listed in the
la st answer, w hat sh ou ld a new m aster check
when taking o v er com m and?
181. A new m aster is jo in in g a U K sh ip a t an
overseas p o rt. The crew o f non-U K officers an d
ratings a re to jo in tw o da ys later. What sh ou ld
the m aster ensure, with respect to crew, when
they jo in ?
182. A new m aster jo in s a U K ship a t an
overseas port. The crew o f non-U K officers an d
ratings are to jo in tw o days later. What sh ould
the m aster look f o r when they jo in , a n d what
sh ou ld be his priorities?
183. H ow sh ou ld a new m aster “sign h im self
on ” on a U K ship w here the form er m aster h ad
already left (e.g. to catch his flig h t home)?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
217
tender written N otice o f Readiness on the master’s behalf i f required. The
agent pays light dues on behalf o f the ship (in the UK and Ireland and some
other countries).
A Statement o f Facts, which is used in making up the Laytime Statement. (For
questions on these documents, se e Section F.)
Before the ship arrives the agent asks the shipowner or manager for funds to
meet the estimated total costs o f the visit. The agent pays the ship’s bills
incurred in port (calleel disbursements). After tVie ship's departure tVie agent
sends the owner or manager a final disbursements account with supporting
invoices, including the agency fee, and the balance is paid. Depending on the
legal jurisdiction, an unpaid agent may have a maritime claim in rem against
the ship for his disbursements, but in English law he w ill not have a maritime
lien.
He should note the appearance o f the side shell, upperworks and fittings,
including the condition o f the draught marks, load lines, mooring ropes,
rigging o f accom m odation ladder, safety net, etc., visible life-saving
appliances, fire fighting appliances, safety signs and security arrangements
(e.g. access controls and signage). These things usually give a good indication
o f the quality o f the sh ip’s on-board management.
(1) Statutory certificates, logs and record books; (2) Certificate o f Class and
latest Interim Certificate o f Class, noting any current Conditions o f Class to be
com plied with; (3) other non-statutory certificates and Statements o f
Compliance; (4) stability booklet; (5) Operational Limitations Document, if
any; (6) enhanced survey report file, i f any; (7) Com pany’s Safety
M anagement System; (8) ship security plan and the ship’s current security
level; (9) any charter party, charterers’ instructions, voyage orders or schedule;
(10) the O fficial Log B ook (noting latest entries); (11) the Oil Record Book
(noting latest entries). (For questions on the above, se e Section D.) The bonded
stores list should also be checked, as w ell as any list o f stores ordered.
(1) The off-going m aster’s hand-over report; (2) the combination number for
the master’s safe: (3) the current m anning (in comparison with the minimum
safe manning listed on the Safe M anning D ocum ent and the com pany’s
manning requirements); (4) the standard o f crew com petency and training.
(11 That joining crew members have a valid M edical Fitness Certificate issued
by a country listed in M SN 1815. (2) That officers holding a non-UK
Certificate o f Com petency also hold a U K Certificate o f Eauivalent
Com petencv (CEC). or valid Confirmation o f Receipt o f Application (CRA)
issued by the MCA. (3) That all crew members carry, in original form, their
STCW trainine and com petency certificates, properly revalidated and
endorsed. (4) That all naviaational and engine watch-keeping ratines hold a
Watch Ratine Certificate. (5) That all crew members are eneaeed on the Crew
Agreem ent and List o f Crew (as d escrib ed in Section E). (6)That all crew
members receive familiarisation trainine. (7) That m eetings are held with
senior m anagement personnel to discuss ship’s operations (crew, security,
machinery, voyage. careo. etc.). (8) That a Safetv O fficer is appointed and the
appointment is recorded in the OLB. (9) That all crew members are familiar
with relevant parts o f the Company’s Safety M anagement System. (10) That
the Ship Security Officer is familiar with the ship security plan.
(1> The master should familiarise him self with the Safetv Management Svsterii
and the ship security plan. (2) H e should check to see that all ioinine crew
members have a M edical Fitness Certificate, and that it was issued b v a
country listed in M SN 1815. (3) H e should check all crew trainine and
com petencv certificates (all o f which should be carried in original form), and
check that appropriate certificates had been revalidated and endorsed as
required. (4) I f all crew documentation is in order, he should ensure that all
new crew receive familiarisation training as per STCW 95. (5) H e should then
hold m eetings with senior m anagement personnel to discuss ship’s operations
(crew, security, machinery, voyage, cargo, etc.). (6) He should discuss the
vovaee plan with the appropriate officer.
H e should: (1) com plete the white spaces on ALC 1(b), noting the Reference
(E...) Number; (2) enter his name and Certificate o f Com petency number on
the front cover o f the O fficial L og B ook (OLB); (3) enter his reference
number, name and capacity (rank) in the record o f seamen em ployed in the
ship inside the front cover o f the OLB; (4) check the ship’s documents and
cash, etc.; (5) make an entry in the narrative section o f the OLB to the effect
that he has superseded the previous master in his absence and has received all
248
..
184. What is m eant b y “w reck ” in U K law?
185. Who m ust a ll wreck brought into the
U K o r fo u n d in U K w aters be re p o rte d to?
186. What is the p r o p e r p rocedu re when
w reck is fo u n d in U K w aters?
187. H ow d oes the R eceiver o f Wreck
d isp o se o f the goods?
188. What happens i f the o w n er claim s the
g o o d s during the 12-month p erio d ?
189. Who decides the level o f an y salvage
a w a rd when w reck is foun d in U K w aters?
190. What is the p rocedu re w here the w reck
fin d e r is a lso the ow n er o f the goo d s?
191. P assin g 2 m iles o f f D o ver harbour,
w hile b o u n d fo r Le Havre, a U K sh ip fin d s a
flo a tin g liferaft a n d m anages to recover it on
board. Should it be lan ded a t Le H avre?
192. What is the m aster o f a U K ship
a llo w e d to do to p e o p le boarding o r attem pting
to b o a rd w ithout his perm ission i f his ship has
been w recked o r stranded, o r is in distress?
-1g f ^ tN^M PR PT E ST S
193. Why m ight a sh ipm aster n eed to visit
the British Consul a t a fo reig n po rt?
ship’s documents in order. (The previous master m ay have already m ade an
entry “handing over” these to his successor.)______________________________
“Jetsam”, “flotsam”, “lagan” or derelict found in or on the shores o f the sea or
any tidal water. “Jetsam” means goods or cargo jettisoned from a vessel.
“Flotsam” means floating wreckage (e.g. o f a ship or cargo). “Lagan” means
goods, cargo or wreckage at the bottom o f sea, including goods attached to a
buoy with a view to later recovery. A derelict is an abandoned vessel,
ownerless at sea without hope or intention o f recovery.
The Receiver o f Wreck, an M CA official based at M CA headquarters,
Southampton. The main task o f the Receiver o f Wreck is to process incoming
reports o f wreck in the interest o f both salvor and owner. This involves
researching ownership, liaising with finder and owner, and other interested
parties such as archaeologists and museums.
If the finder is not the owner o f the wreck, a form must be obtained from the
Receiver o f Wreck, Coastguard station or Customs and Excise and must be
com pleted and sent to the Receiver o f Wreck. The finder may be allow ed to
keep any item s o f wreck reported subject to agreement with the Receiver o f
Wreck. The goods are held under the control o f the Receiver for one year from
the date o f their report; the finder may not use or dispose o f them. The
Receiver w ill try to locate the owner; the finder has a duty to assist in this. If at
the end o f the 12-month period the owner has not been traced, the goods will
be disposed of.
If the goods were found outside the U K (or its territorial waters), ownership
may be transferred to the finder as salvor on payment o f any expenses incurred
by the Recei ver in the 12-month period, and any Customs charges owing. If the
goods were found in the U K or its waters, they may be put up for sale at
auction, or the finder may be awarded the goods in lieu o f a salvage payment.
(The decision is at the discretion o f the Receiver o f W reck.) If the goods are
sold, once all costs have been deducted from the m oney raised, the finder will
be awarded a sum as a salvage reward. (This does not preclude the finder from
making a bid for the goods.)
The finder may be entitled to a salvage reward. The goods w ill not be released
to their owner until any outstanding charges have been paid, including any
salvage award made.
U nless a private settlement is m ade between finder and property owner, the
award is decided by a civil court having Admiralty jurisdiction.
He must still advise the Receiver o f W reck o f the salvage, describing how the
goods can be recognised. H e w ill also be required to pay any Customs charges
on the goods
N o. Under the M erchant Shipping A ct 1995 it is an offen ce to take into a
foreign port and sell: (1) any v essel stranded, derelict or otherwise in distress
found on or near the coasts o f the U K or any tidal water within UK waters; (2)
any part o f the cargo or equipment of, or anything belonging to, such a vessel;
or (3) any wreck found within those waters.
Under section 246(4) o f the M erchant Shipping A ct 1995, he may forcibly
repel them.
: ' • <. ^ ■ ,r‘
. - ........ - -
(1) To note protest; (2) to obtain official documents such as a Crew Agreement
and List o f Crew, O fficial L og B ook or Radio Log; (3) to hand in official
documents (as above) on expiry o f the crew agreement; (4) to report any death
occurring on board, or the death o f a seaman ashore; (5) to obtain or submit a
Return o f Death form (M SF 4605); (6) to make a statement for the purposes o f
the consul’s inquiry into a death; (7) to make arrangements for repatriation or
burial o f a deceased seaman or person w ho died on board; (8) to obtain
consular authentication o f an Extension to a certificate’s validity, received
from the MCA; (9) to obtain an Extension docum ent in cases o f difficulty with
the last item; (10) to obtain advice about a seam an’s w ages dispute; (1 1 ) to
report the leaving behind o f a seaman (e.g. in hospital or prison or absent
without leave); (1 2 ) to make arrangements for the relief and repatriation o f a
seaman left behind; (13) to apply for a survey; (14) to ask for advice about
som e aspect o f local law, com mercial practice, port regulations, etc.; (15) in
connection with a problem concerning the port State’s acceptance o f sh ip’s
THE SHIPMASTER'S BUSINESS SELF-EXAMINER

Protests (“sea protests”)
194. What is a protest?
195. What is the basic p u rp o se o f m aking a
p ro test?
196. D oes a p ro te st have anv o th er nam es?
197. Who is a notary pu blic?
198. In w hat circum stances sh o u ld a
sh ipm aster note protest?
199. When sh ou ld a sh ipm aster note p ro te st
fo llo w in g a heavy w eath er voyage o r fo llo w in g
an incident a t sea?
1100. When sh ou ld a sh ipm aster note p ro te st
w here the relevant incident occu rs in po rt?
1101. Is m aking a p ro te st a statu tory duty?
1102. In a m ulti-port discharge, is it
n e c essa iy to note p ro te st a t each discharge
p o rt?
1103. Where (or before whom ) can p ro te st be
noted?
1104. H ow sh ou ld a sh ipm aster g o about
noting protest?
1105. I f a sh ipm aster draw s up his own sea
protest, w hat sh ould he do to make it
adm issible in leg a l proceedings?
1106. Why sh ou ld the right to "extend p ro te st
at a tim e a n d p la c e convenient ” be reserved?
1107. When sh ou ld a m aster exten d his initial
p ro test?
1108. Who w ill n eed the exten ded pro test?
1109. Is it a lw ays necessary to extend
protest?
1110. Is it legally n ecessary to exten d p ro te st
in the U K to safegu ard owners ’ interests?
1111. H ow sh ou ld a m aster g o about
extending his protest?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
249
certificates or seam en’s documents; (16) in connection with the detention or
arrest o f the vessel; or (1 7 ) in connection with the detention or arrest o f any
person carried in the ship.
A solem n declaration made by a shipmaster under oath before a before a notary
public or other officer having authority to administer oaths, that loss, damage
or delay to the ship or its cargo have been caused by circumstances beyond his
control.
To submit, for use in any ensuing legal proceedings, a formal statement to
protect the shipowner’s legal position. In som e countries, the shipowner cannot
claim general average contributions from cargo interests unless a protest is
submitted in com pliance with the local law.
In many countries it is called a sea protest, and in a few, a maritime protest.
A licensed publi c officer w h ose c h ie f functions are to administer oaths,
authenticate documents and take depositions. In the U K and Ireland, notaries
are usually solici tors. Professional notaries operate in the US.
(1) After every case o f general average; (2) after wind and/or sea conditions
have been encountered which may have damaged cargo; (3) after w ind and/or
sea conditions have been encountered which caused failure to make a
cancelling date; (4) after cargo is shipped in a condition likely to deteriorate
during the forthcoming voyage (also, bills o f lading should be appropriately
claused after consultation with the shipper and P&l correspondent); (5) after
the ship has been damaged from any cause; (6) after a serious breach o f the
charterparty by the charterer or his agent (e.g.: undue delay; refusal to load;
cargo not o f a sort allow ed by the charterparty; refusal to pay demurrage;
refusal to accept b ills o f lading after signing because o f clausing by master;
sending vessel to an unsafe port, etc.); (7) after the consignee fails to discharge
or take delivery o f the cargo or fails to pay freight, and similar situations.
Generally, as soon as possible (and always within 24 hoSrs) after arrival in
port, and where there m ay be cargo damage, before breaking bulk
(com m encing discharge from the relevant hold or tank).
W ithin 24 hours o f the incident.
In som e countries, yes. (See, for exam ple, D ecision N o. 41/2005/Q D -B G T V T
O f September 16, 2005, Providing For Order And Procedures For Certifying
The Subm ission O f Sea Protests In Vietnam , and Article 104 o f the Merchant
Shipping A ct o f Malta.) It is not a statutory duty in the UK , however. A master
should always ask the P&I club correspondent or ship’s agent whether he is
under a local legal duty to make a protest.
Perhaps, depending on local law. The agent at the first port should be asked if
it w ill be necessary to note protest at each port in the rotation.
Before a notary public, or a British Consul, or som e other person authorised
under local law to administer oaths and take sworn declarations (affidavits).
He should: (1) go to a notary public or other person authorised under local law
to take statements on oath; (2) be accom panied by one or more w itnesses from
the crew w ho have know ledge o f the facts (w ho should be prepared to be
questioned); (3) have with him the Official L og Book, the deck log (or engine
room log i f relevant) and all other relevant information surrounding the event
being protested (e.g. cargo ventilation or temperature records where there has
been a cargo fire); (4) make a sworn statement before the notary, w ho w ill
enter it in a Register o f Protests; (5) purchase at least 3 certified copies o f the
protest (for the owners, average adjuster and ship’s file); (6) pay the notarial
fee and obtain a receipt.
H ave it notarised by a notary public or British consul.
B ecause it m ay be im possible to ascertain the full extent o f the loss or damage
when first noting protest, and further facts may have to be added to the original
protest.
W hen relevant facts have com e to light, e.g. when a surveyor’s report has been
received.
An average adjuster, e.g. when preparing a general average statement.
N o , as long as the initial protest is submitted and the average adjuster gets the
required surveyors’ reports, etc. from som e source.
N o, but it is good practice to.
In strict conformity with local law regarding time lim its, procedure and
content. The extension need not be made in the same port as the original
250
protest. The master should go to a notary, British consul or other authorised
official with the original protest and relevant additional docum ents (e.g.
surveyors’ report). H e should make a sworn statement before the notary or
consul, w ho w ill attach authenticated copies o f relevant documents, and sign
and seal the protest. He should pay the fee and obtain copies and a receipt.
Letters o f Protest
1112. What is a L etter o f P rotest? A written communication recording dissatisfaction on the part o f one party
concerning any operational matter over w hich the recipient or other party has
control, and holding the other party responsible for any consequences o f the
matter being com plained about. M ost com m only a protest is in connection with
cargo, although one may be written about almost any matter. It may help to
substantiate a claim by owners (or refute a claim by charterers, a harbour
authority, etc.), and may prove useful, i f properly filed, when a dispute is being
resolved long after the related event. A Letter o f Protest should not to be
confused with a protest (or sea protest) noted or lodged with a notary public or
consul.
1113. In w hat circum stances w ou ld it be (1) W hen cargo is being loaded too fast or too slowly; (2) when stevedores are
appropriate fo r a m aster to issue a L etter o f damaging the ship or mishandling sh ip’s equipment; (3) when the cargo
P rotest? specification is wrong; (4) when there is a discrepancy between the sh ip’s and
shore cargo figures; (5) when the berth or fendering arrangements are
inadequate; (6) when dock workers are m isusing ships’ equipment and are
ignoring duty o fficers’ advice, or are urinating in cargo spaces; (7) when
passing vessels cause ranging, wash damage, etc. whilst loading/discharging;
(8) when it is im possible to disembark passengers due to a quayside
obstruction; (9) in any other situation where the master w ishes to formally
record his dissatisfaction with or disapproval o f arrangements over which the
other party has som e control.
I I 14. Who sh ou ld a L etter o f P ro test b e sent The person having control o f the matter being protested about, e.g. the terminal
to? supervisor for loading matters, or the harbour master for berth and traffic
matters.
1115. H ow sh ou ld a m aster p re p a re a L etter He should type or hand-write it. Owners and charterers in the oil, gas and
o f P rotest? chem ical trades often supply a stock o f printed forms for com mon matters o f
protest, but i f a form is not available the master should draft a clearly worded
letter, setting out his complaint with all relevant times, facts, etc., and ending in
a formal manner, e.g., “the undersigned hereby d eclares that the B ill o f L ading
w ill b e sig n ed under p ro te st " or “....an d I hereby lodge p ro te st
accordingly, a n d we, including m y disponent owners, h o ld y o u and/or
C harterers respon sible f o r delays a n d consequences.”
1116. What is a disponent owner? Anyone other than the real, legal owner o f the ship to whom operational
control o f the ship has been passed, e.g. a time charterer or bareboat charterer.
When the master o f a time-chartered ship sends a protest about cargo to a
loading terminal, he usually does so on behalf o f the time charterer.
1117. H ow m any copies o f a L etter o f P rotest Two. The original should be sent for the retention o f the other party. O ne copy
sh o u ld be sent to the other party? should have a place for the time and dat e o f receipt and the signature o f the
other party, and should have a written instruction for this copy to be returned,
signed, to the ship. A ship’s copy should be retained on board.
I I 18. H ow w ill the o th er p a rty p ro b a b ly treat They w ill probably sign the copy “f o r receipt only” and send it back to the
the m aster's p rotest? ship.
1119. In w hat circum stances m ight a (1) When the discharged cargo quantity does not match the bill o f lading
sh ipm aster receive a L etter o f P rotest? quantity; (2) when the ship is alleged to be discharging too slowly; (3) when
the specification, colour, temperature, etc. o f discharged cargo is “wrong”; (4)
when making sm oke in port; (5) w hen the ship is alleged to have caused
damage to a quay, another ship or other property.
I I 20. What sh ould a m aster do w ith a Letter (1) Sign it “f o r receip t only”; (2) return the original to the sender; and (3) file
o f P rotest given to him by a term inal the received letter in the cargo file or “protests received” file. (In m any cases a
su pervisor? separate file is kept o f all docum ents relating to a particular cargo.)

PORT STATE CONTROL

Flag State control and port State control
1121. What is a fla g S tate? A State w hose flag a vessel is entitled to fly.
1122. What is a fla g State A dm inistration? The maritime department or agency o f a flag State’s government with
responsibility for enforcing the implementation o f international agreements and
national regulations on vessels entitled to fly the State’s flag.
1123. Whose respon sibility is it, prim arily, to The sh ip’s owner or any other organisation or person, such as the manager or
im plem ent the requirem ents o f international bareboat charterer, w ho has assumed responsibility for operation o f the ship
agreem ents a n d n ational regulations that a re in from the owner. If a new SO LAS or M ARPOL regulation com es into force, for
force a n d apply to a ship? example, it is the Com pany’s duty to implement its requirements.
1124. What is f la g State C ontrol? Effective enforcement, by the flag State Administration, o f the implementation
o f international agreements and national regulations that are in force on board

THE SHIPMASTER’S BUSINESS SELF-EXAMINER


I I 25. What is a p o rt State?
I I 26. What is a p o r t S tate A dm inistration?
1127. What is p o r t State control?
I I 28. Why is p o rt State control n ecessary?
1129. What is a p o r t S tate con trol authority?
1130. Where m ight a U K sh ip be su bject to a
p o r t State con trol inspection?
I I 31. Which officials carry out p o r t State
control inspections?
1132. What is the "no m ore fa vo u ra b le
treatm ent" rule?
1133. Can a P ort State C ontrol O fficer also
enforce national regulations o f the p o r t State
which d e a l with non-convention m atters?
Regional port State control agreements
1134. What is a region al p o r t State control
agreem ent?
1135. What region al p o rt State control
agreem ents are in operation?
1136. Is there a n y collaboration between
region al p o r t State control authorities?
Paris MoU
1137. Which countries are M em ber S tates o f
the Paris MoU?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
251
the v essels entitled to fly the State’s flag, wherever they are. (UNCLO S Article
94 requires that every State effectively exercises its jurisdiction and control in
administrative, technical and social matters over ships flying its flag.)
A State within w hose territorial sea a port or anchorage is situated. In respect
o f the port o f London, for exam ple, the United Kingdom is the port State.
The government o f a port State.
Inspection, by a port State control authority, at ports and anchorages within the
jurisdiction o f the port State, o f vessels flying flags other than that o f the port
State for the purpose o f enforcing international standards for maritime safety
and security, pollution prevention and on-board living and working conditions.
Because som e flag State Administrations fail to effectively enforce the
implementation o f international agreements on vessels flying their flags. A
second line o f defence or “safety net” is therefore necessary in order to
preserve the safety and security o f life, property and the marine environment.
The department or agency o f a port State Administration with responsibility for
the control o f vessels at ports and anchorages within the State’s territorial sea.
For example, the MCA is the port State control authority in the UK , the
Australian Maritime Safety Authority (A M SA ) is the port State control
authority in Australia, and the U S Coast Guard is the port State control
authority in the U S A and U S territories.
At any port or anchorage within the territorial sea o f a State other than the UK
which exercises port State control o f visiting foreign ships, either as a member
o f a regional port State control regime (such as the Paris Memorandum o f
Understanding on Port State Control) or unilaterally (as in the U SA ).
Port State Control O fficers (PSCO s), who are usually marine surveyors o f the
marine administration o f the port State. M CA surveyors, for exam ple, carry out
port State control inspections o f non-UK ships at UK ports and anchorages.
A rule in major IMO conventions that, when inspecting a ship flying the flag o f
a State which is not a party to the Convention, Port State Control Officers must
ensure that the treatment o f such a ship and its crew is not more favourable
than that o f a shi p flying the flag o f a State party to that Convention. For
exam ple, many States have not yet ratified or acceded to M ARPOL Annex VI,
but ships flying their flags w ill still be required to m eet the requirements o f
Annex VI to pass port State control inspections.
Y es, but enforcem ent o f a national law that does not implement a “relevant
instrument” (i.e. a convention or code containing port State control provisions)
w ould be outside the scope o f the port State control inspection. For exam ple,
an M CA surveyor carrying out a port State control inspection o f a non-UK ship
in a UK port, and believing the master to be drunk, has powers to enforce the
alcohol-related provisions o f Part 4 o f the R ailw ays a n d Transport Safety A ct
2 003, although this UK legislation is not a “relevant instrument” listed in the
Paris M oU.
A formal agreement (usually called a Memorandum o f Understanding, or
M oU ) between regional port State Administrations on the use o f harmonised
port State control inspection procedures and the sharing o f inspection data,
designed to eliminate the operation o f sub-standard foreign ships in the region
covered by the M oU.
f l ) The Paris M oU in EU maritime States as w ell as Croatia. Iceland. Norwav.
Russia and Canada; (2) the Caribbean M oU: (3) the Tokyo M oU in “Pacific
rim” nations: (4'i the Latin American Agreement ('Acuerdo de V ina del Mar) in
South and Central America; (5) the Mediterranean M oU in the Eastern
Mediterranean; ( 6) the Indian Ocean M oU in nations bordering and within the
Indian Ocean; the (7) the Abuia M oU in W est and Central Africa: and the (8)
the Riyadh MoLf in G u lf Co-operation Council countries fU A E. Oman. Saudi
Arabia, Bahrain, Oatar and Kuwait). The U S Coast Guard Port State Control
Program operates unilaterally in the U S A and U S territories (Puerto Rico. US
Virgin Islands, Guam, Northern Mariana Islands and American Samoa).
Y es. For exam ple, the Tokyo M oU holds “observer” status o f the Paris M oU ,
the Caribbean M oU and the Indian Ocean M oU. On the other hand, Tokyo
M oU has granted “observer” status to the Paris M oU , the Indian Ocean M oU ,
the Latin American M oU and the Black Sea M oU. The Paris M oU and Tokyo
M oU also mount joint Concentrated Inspection Campaigns (see below).
Belgium , Bulgaria, Canada, Croatia, Cyprus, Denmark, Estonia, Finland,
France, Germany, Greece, Iceland, Ireland, Italy, Latvia, Lithuania, Malta,
Netherlands, Norway, Poland, Portugal, Romania, Russian Federation,
Slovenia, Spain, Sweden and the U K (27). (A ll except Canada, Croatia,
Iceland, Norway and Russian Federation are EU Member States.)
252
I I 38. Where is the text o f the P aris M oU
publish ed?
I I 39. What are the Black, G rey a n d White
L ists o f the P aris M oU ?
I I 40. P aris Mo U p o r t State control
inspections check com pliance b y a ship a n d its
c rew with certain international conventions.
Which conventions are they?
1141. The P aris M oU occasion ally m ounts a
con cen trated inspection cam paign (C1C),
som etim es in partnership with one o r m ore
o th er MoUs. What is a concen trated inspection
cam paign?
1142. Which E U D irective makes the P aris
M oU m andatory in E U M em ber States?
1143. Which U K regulations im plem ent
D irective 2 0 0 9 /1 6/E C in the UK?
1144. D o the U K 's P ort S tate C ontrol
R egulations affect U K ships?
Paris MoU New Inspection Regime
1145. What is the Mew Inspection R egim e o f
the P aris M oU?
1146. H ow was the N ew Inspection Regim e
announced?
1147. D o es the N ew Inspection Regim e
include the target, a s in the previo u s regime, o f
inspecting 25 % visiting foreign ships?
1148. H ow a re sh ips s e le c te d fo r inspection in
the New Inspection Regim e?
1149. On w hat param eters are ship risk
p ro files based?
1150. H ow are sh ip risk profiles determ ined
fro m the param eters in the last answ er?
1151. H ow d oes the C om pany perform ance
operate f o r the calculation o f ship risk profile?
On the Paris M oU website: www.Darismou.ore
Lists o f flag States ranked according to the number o f detentions o f ships
flying their flags follow ing port State control inspections in the Paris M oU
region during the last three years. The Black List lists flag State with a
significantly worse-than-average detention record, the W hite List lists flag
States with a significantly better-than-average detention and the Grey List lists
flag States with a detention record which is neither significantly better-than-
average nor significantly worse-than-average. The lists are published on 1 July
annually in the Paris M oU Annual Report.
(1) LOAD LINES 66 (and its 1988 Protocol); (2) SO LAS 74 and its 1974 and
1988 Protocols; (3) M ARPOL 73/78; (4) STCW 78; (5) COLREG 72; (6)
TO NNA GE 69; (7) ILO 147 and its 1996 Protocol; (8) C ivil Liability
Convention 1969 (CLC) and CLC Protocol 1992; (9) Anti-Fouling Systems
(AFS) Convention 2001; and (10) Bunkers Convention 2001 (Bunker CLC).
A campaign at least once a year when regional port State control authorities,
som etimes jointly (e.g. the Paris M oU together with the Tokyo M oU ), conduct
inspections focussed on an agreed particular area o f concern, or when new
requirements have entered into force. Past Paris M oU CICs have, for example,
have focussed on communication equipment (in 2005), M ARPOL Annex I
(2007), the ISM Code (2007) and SO LAS Chapter V - Safety o f N avigation
(2008); lifeboat launching arrangements (2009); and tanker damage stability
(2010). In 2011 there is to be a Paris M oU /Tokyo M oU CIC focussing on
structural safety and the International Load Lines Convention.
D irective 2 0 0 9 /16/EC on port State control. It repeals, with effect from 1
January 2011, Directive 95/21/EC, as amended, under which the “old” Paris
M oU inspection regime operated until 31 December 2010.
At 1 January 2011 no amendment to The M S (P ort State C ontrol) Regulations
1995 im plem enting Directive 2 0 0 9 /16/EC is in force in the UK. Amendment
Regulations, and a new M SN , are expected in 2011.
No. However, equivalent regulations enforcing the same requirements w ill be
in force in all other EU M ember States, as w ell as Canada and Russia, and
these w ill be applicable to visiting U K ships.
A port State control inspection system operating in the Paris M oU region from
1 January 2011 which uses a risk-based targeting m echanism that rewards
quality shipping with a smaller inspection burden and concentrates on high-risk
ships. Directive 2009/16/E C (the “Port State Control Directive”) makes the
N ew Inspection R egim e mandatory in EU Member States.
A “flyer” was published on the Paris M oU website. It w as also announced by
the M CA in M IN 380.
N o. Under the N ew Inspection Regim e there is full coveraee o f all foreign
merchant ships visiting Paris M oU R egion ports.
All ships calling at a port or anchorage in the Paris M oU region w ill be
attributed a shin risk profile as a H igh Risk Ship ( HRS), a Standard Risk Shin
(SR S) or a L ow Risk Shin (LRS). which w ill determine: (1) their respective
priority for inspection: (2) the intervals between inspections; and (3 ) the scope
o f inspections.
The follow ing parameters, using details o f inspections in the Paris M oU
Region in the last 3 years: (1) type o f ship; (2) age o f ship; (3) performance o f
the flag o f the ship (including undertaking Voluntary IMO M ember State Audit
Schem e (V IM SA S)); (4) performance o f the recognized organization(s); (5)
performance o f the company responsible for the ISM management; (6) number
o f deficiencies; and (7) number o f detentions. The first five parameters are
called generic parameters, w hile the last two are historic parameters.
The seven parameters are set out in a table in Annex 7 o f the Paris M oU
document. W ithin each parameter are criteria w hich have a w eighting (i.e.
points from 0 to 2) which reflects the relative influence o f each parameter on
the overall risk o f the ship. High Risk Ships (H R S) are ships which m eet
criteria to a total value o f 5 or more weighting points. L ow Risk Ships (LRS)
are ships which m eet all the criteria o f the Low R isk Parameters and have had
at least one inspection in the previous 36 months. Standard Risk Ships (SR S)
are ships w hich are neither HRS nor LRS.
A formula takes account o f deficiencies and detentions in the last 36 months in
the Com pany’s fleet, and compares it with the average for all vessels inspected
in the Paris M oU Region to determine the C om pany’s performance level.
Companies (listed according to their IMO Company Number) will be ranked
into Very Low, Low, M edium and High. Any Refusal o f A ccess (Ban) will
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

1152. What categories o f inspection are
included in the N ew Inspection Regim e?
1153. When does a ship becom e eligible f o r a
p e rio d ic inspection in the N ew Inspection
Regim e?
I I 54. What is the tim e w indow f o r a High
Risk Ship in the N ew Inspection Regime?
1155. What is the tim e w indow f o r a S tan dard
Risk Ship in the N ew Inspection Regim e?
1156. What is the tim e w indow f o r a L ow Risk
Ship in the N ew Inspection Regim e?
I I 57. H ow does the selection schem e operate
in the N ew Inspection Regim e?
1158. What is an addition al inspection in the
N ew Inspection R egim e?
1159. What are “o v e r rid in g fa c to rs” in the
N ew Inspection Regim e?
U 60. What are exam ples o f "overridin g
fa c to rs ” that m ay trig g er an addition al
inspection in the N ew Inspection Regim e?
1161. What w ill b e the p rio rity o f the
inspection trig g ered b y “overridin g fa c to r s ’’?
I I 62. What are “u n expectedfactors" in the
N ew Inspection Regim e?
1163. What are exam ples o f “unexpected
fa c to rs " that m ay trig g er an additional
inspection in the N ew Inspection Regim e?
1164. What w ill be the p rio rity o f any
inspection trig g ered by “un expected fa c to r s ”?
Parts MoU inspection types and procedure
1165. What a re the three inspection types in
the N ew Inspection Regim e?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
253
have a negative impact on the ranking o f the Company.
( D A periodic inspection, which is determined bv the tim e window; and (2) an
additional inspection, which is triggered bv overriding or unexpected factors
depending on the severity o f the occurrence. (There are also three inspection
types; see below .)
Every ship becom es eligible for a periodic inspection as follow s: (11 H igh Risk
Ship (HRS): between 5 and 6 m onths after the last inspection in the PMoU
region; (2) Standard Risk Ship (SRS1: between 10 and 12 months after the last
inspection in the PM oU region; (3) Low Risk Ship (LRS1: between 24 and 36
months after the last inspection in the PM oU region. The time span for the next
periodic inspection re-starts after any inspection.
Betw een 5 and 6 months after the last inspection in the PM oU region.
Betw een 10 and 12 months after the last inspection in the PM oU region.
Betw een 24 and 36 months after the last inspection in the PM oU region.
(H Before the time w indow opens for anv risk profile and there are no
overriding or unexpected factors logged, the ship has no priority status and
member States are not obliged to perform an inspection on it, but i f they deem
it appropriate they may still choose to do so. (2) When the time w indow opens
a ship becom es Priority II and can be selected for a periodic inspection. (31
W hen the time w indow has passed, a ship becom es Priority I and m ust be
selected for a periodic inspection. (41 If an unexpected factor is logged against
a ship it becom es Priority II irrespective o f the time w indow and it can be
selected for inspection. (51 I f an overriding factor is logged against a ship it
becom es Priority I irrespective o f the time w indow and it must be selected for
inspection: (Priority I inspections are mandatory; Priority II inspections are
optional for the port State control authority.)
A category o f inspection in between periodic inspections that might be
triggered by overriding or unexpected factors.
Factors considered sufficiently serious to trigger an additional inspection at
Priority I.
(1) Ships reported by another Member State excluding unexpected factors; (2)
ships involved in a collision, grounding or stranding on their w ay to port; (3)
ships accused o f an alleged violation o f the provisions on discharge o f harmful
substances or effluents; (4 ) ships which have been manoeuvred in an erratic or
unsafe manner w hereby routing measures, adopted by the IMO, or safe
navigational practices and procedures have not been follow ed; (5) ships which
have been suspended or withdrawn from their Class for safety reasons after
last PSC inspection; (6) ships which cannot be identified in the PM oU
database.
Priority I. This means the inspection is mandatory, i.e. the port State control
authority must carry it out before departure o f the ship.
Factors that could indicate a serious threat to the safety o f the ship and the crew
or to the environment, although the need to undertake an additional inspection
is for the professional judgement o f the port State control authority.
(1) Ships reported by pilots or relevant authorities which may include
information from V essel Traffic Services about ships’ navigation; (2) ships
w hich did not com ply with the reporting obligations; (3) ships reported with
outstanding deficiencies (except those with code 16 (within fourteen days) and
code 17 (before departure)); (4 ) previously detained ships (3 months after the
detention); (5) ships reported by the master, crew member or any person or
organization with a legitimate interest in the safe operation o f the ship,
shipboard living and working conditions or the prevention o f pollution; (6)
ships operated iri a manner to pose a danger; (7) ships reported with problems
concerning their cargo, in particular noxious or dangerous cargo; (8) ships
where information from a reliable source became known, that their risk
parameters differ from the recorded ones and the risk level is thereby
increased; (9) ships carrying certificates issued by a formerly Paris M oU
recognized organization w h ose recognition has been withdrawn since the last
inspection in the Paris M oU region.
Priority II. This means that the port State control authoritv mav carrv out at an
inspection at its option.
(11 Initial inspection; (2) more detailed inspection: and (3) expanded
inspection. (This is as in the former Paris M oU regime, but the expanded
inspection is n ow extended to more ship types.)
254
1166. What w ill an in itial inspection consist
oj?
1167. In what circum stances m ust a m ore
d e ta iled inspection be c a rried out?
1168. What a re exam ples o f "c lea r grounds ’’
f o r carryin g out a m ore d e ta iled inspection?
1169. What w ill a m ore d e ta iled inspection
consist of?
1170. In w hat circum stances w ill o r m ay an
inspection be an expan ded inspection?
1171. Which ships a re eligible f o r an
expan ded inspection?
1172. What is the minimum sc o p e o f an
expanded inspection?
1173. What is a P riority I (or PI) ship?
1174. What is a P riority II (or PII) ship?
A visit on board the ship (normally unannounced) in order to: (1) check the
certificates and docum ents listed in Annex 10 o f the Paris M oU document; (2)
check that the overall condition and hveiene o f the ship including navigation
bridge, accom modation and galley, decks including forecastle, cargo
holds/area, and engine room meets generally accepted international rules and
standards; and (3) verify, i f it has not previously been done, whether any
deficiencies found by a port State control authority at a previous inspection
have been rectified in accordance with the time specified in the inspection
report.
A more detailed inspection must be carried out. including further checking o f
com pliance with on-board operational reauirements. i f the Port State Control
Officer has clear grounds for believing. after the initial inspection, that the
condition o f a ship or o f its equipment or crew d oes not substantially m eet the
relevant reauirements o f a Convention. “Clear grounds” w ill exist when the
PSCO finds evidence w hich in his professional judgem ent warrants a more
detailed inspection o f the ship, its equipment or its crew.
(1) Ships with overriding or unexpected factors; (2 ) inaccurate or invalid
certificates and documents; (3) relevant crew members unable to communicate
appropriately w ith each other, or ship is unable to com municate with shore-
based authorities either in a com mon language or language o f authorities; (4)
certificate fraudulently obtained or holder o f a certificate not the person to
whom it was originally issued; (5) master, officer or rating holding a certificate
issued by a State not a party to STCW Convention; (6) cargo and other
operations not being conducted safely or in accordance with IMO guidelines;
(7) failure by oil tanker master to produce record o f ODM CS for last ballast
voyage; (8) absence o f up-to-date muster list, or crew members not aware o f
fire or abandonment duties; (9) false distress alerts not follow ed by proper
cancellation procedures; (10) absence o f principal equipment or arrangements
required by conventions; (11) Port State Control Officer considers serious hull
or structural deterioration or deficiencies exist; (1 2 ) excessively unsanitary
conditions; (13) information or evidence that master or crew is not familiar
with essential shipboard operations relating to safety or pollution prevention, or
such operations have not been carried out; (14) absence o f table o f shipboard
working arrangements or records o f hours o f work or rest.
An in-depth examination of: (1 ) the areas where clear grounds are established;
(2) the areas relevant to any overriding or unexpected factors; and (3) other
areas at random from the follow in g risk areas: documentation; structural
condition; watertight/weathertight condition; em ergency systems; radio
communication; cargo operations; fire safety; alarms; living and working
conditions; navigation equipment; life-saving appliances; dangerous goods;
propulsion and auxiliary machinery; pollution prevention. The more detailed
inspection w ill take account o f the human elem ents covered by ILO, ISM and
STCW and include operational controls as appropriate.
( D A periodic inspection w ill be an expanded inspection i f the ship is a High
Risk Ship or i f it is a bulk carrier, chem ical tanker, sas carrier, oil tanker or
passenger ship older than 12 years. (2) An additional inspection m av be an
expanded inspection according to the professional judgment o f the Port State
Control O fficer i f the shin is a High Risk Ship or i f it is a bulk carrier, chemical
tanker, gas carrier, oil tanker or passenger ship older than 12 years.
CD Ships with a H igh Risk Profile; (2) passenger ships, oil tankers, gas or
chemical tankers or bulk carriers, older than 12 years o f ase: (3) ships with a
High Risk Profile or passenger ships, oil tankers, gas or chem ical tankers or
bulk carriers, older than 12 vears o f age. in cases o f overriding or unexpected
factors: and (41 ships subject to a re-inspection follow ing a Refusal o f A ccess
Order (i.e. a ban).
Documentation; structural condition; weathertight condition; em ergency
systems; radio communication; cargo operations; fire safety; alarms; living and
working conditions; navigation equipment; life saving appliances; dangerous
goods; propulsion and auxiliary machinery; pollution prevention. In addition,
subject to practical feasibility or any constraints relating to the safety o f
persons, the ship or the port, an expanded inspection w ill include verification
o f specific item s o f risk areas depending on the type o f vessel inspected.
A ship at a port or anchorage in the Paris M oU region which must be inspected
because either the time w indow has closed or there is an overriding factor.
A ship at a port or anchorage in the Paris M oU region which m ay be inspected
because either the time w indow is open or the port State control authority
considers that an unexpected factor warrants an inspection.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Paris MoU notifications
1175. What notifications a re requ ired in the
P aris M oU N ew Inspection Regim e?
1176. What are the requirem ents f o r
notification o f the actu al tim e o f arriva l (ATA)
a n d actu al tim e o f departure (ATD) in the
P M oU N ew Inspection Regim e?
Access refusal
1177. What are the criteria f o r refusal o f
access (i.e. banning o f a ship) in the P aris M oU
N ew Inspection R egim e?
1178. Is there a minimum tim e p e r io d f o r a
ban?
Inspection report
1179. What docum ent w ill a P aris M oU p o r t
State C ontrol O fficer issue on com pletion o f an
inspection?
1180. What is an action code?
1181. F or h ow long sh ould an inspection
report be kept?
Restrictions on inspection o f ship security documentation by foreign governments
1182. A re ship secu rity p la n s su bject to
inspection by P ort State C ontrol Officers?
1183. With respect to the last answer, w hat is
the advan tage o f using the M CA's m odel ship
security plan (available on the MCA w ebsite)?
1184. What w ou ld b e an exam ple o f a
situation w here a P ort State C ontrol O fficer
w ould have the authority to check a specific
section o f the ship secu rity plan ?
1185. What are the confidential provision s o f
the ship secu rity p la n relating to section 9.4
su bsections .2, .4, .5, .7, .15, .17 a n d .18 o f P ari
A o f the ISPS Code, that cannot be su bject to
inspection unless otherw ise a g re e d b y the
C ontracting Governm ents concerned?
■---- —----------------------------
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
255
(1) A pre-arrival notification 72 hours in advance for ships eligible for
expanded inspection; (2) a pre-arrival notification 24 hours in advance for all
ships; (3) a notification o f the actual time o f arrival (A T A ) o f all ships: and (4)
a notification o f the actual time o f departure ( A TD ) o f all shins. F or auestions
on the 72-hour an d 24-hour p re-a rriva l notifications, se e P O R T ARRIVAL
PREPARATIONS in Section H.
The port authori ty must notify the actual time o f arrival (A TA ) and actual time
o f departure (A TD ) o f every ship visiting its port or anchorage through
SafeSeaN et to the THETIS targeting and information system.
Banning applies to all ship types and is based on the number o f detentions o f a
ship in a specified period. (1) If a ship flies a flag on the Paris M oU Black List
it w ill be banned after more than 2 detentions in the previous 36 months. (2) I f
a ship flies a flag on the Grcv List it w ill be banned after more than 2
detentions in the previous 24 months.
Yes: 3 months for a first ban, and 12 months for a second ban. A detention
after a second ban could lead to permanent exclusion from EU ports and
anchorages.
A Report o f Inspection, a copv o f which w ill be given to the ship’s master.
This lists the type o f inspection, any d eficiencies found, and action taken
(where necessary), with the action code.
A codc number for the applicable control action. Examples are: 10: D eficiency
rectified; 15: Rectify deficiency at next port; 16: Rectify deficiency within 14
days; 17: Master instructed to rectify deficiency before departure; 18: R ectify
non-conformity within 3 months; 19: Rectify major non-conform ity before
departure; 30: Grounds for detention; 40: N ext port o f call informed; 50: Flag
State/consul informed; 70: Classification society informed; 85: Investigation o f
contravention o f discharge provisions in M ARPGL.
Until the next port State control inspection in the same M oU region.
Under section 9 8 o f the ISPS Code, ship security plans are not subject to
inspection b y officers duly authorized by a Contracting Government to carry
out control and com pliance measures in accordance with regulation X I-2/9,
except in circumstances specified in section 9.8.1. Section 9.8.1 provides that i f
the officers dulv authorized b v a Contracting Government have clear grounds
to believe that the ship is not in com pliance with the requirements o f SO LAS
chapter X I-2 or part A o f the ISPS Code, and the onlv means to verifV or
rectify the non-com pliance is to review the relevant requirements o f the ship
security plan, limited access to the specific sections o f the plan relating to the
non-com pliance is exceptionally allow ed, but onlv with the consent o f the
Contracting Government of. or the master of. the ship concerned. Nevertheless,
the provisions in the plan relating to section 9.4 subsections .2. .4. .5. .7 .. 15.
. 17 and . 18 o f Part A o f the Code are considered as confidential information.
and cannot be subject to inspection unless otherwise agreed bv the Contracting
Governments concerned. (ISPS Code, 9 8.1)
The M C A ’s model ship security plan has been designed to keep those parts that
could be inspected by an officer duly authorised by a foreign government
separate from those parts that require the permission for inspection o f the U K
Government or the master.
I f the identity o f the Port State Control Officer (PSCO), when boarding, was
not checked by a member o f the sh ip’s crew. In that case, the PSCO would
have limited access to the specific section o f the ship security plan covering
access to the ship and identification o f visitors.
Identification o f the restricted areas and measures for the prevention o f
unauthorized access to them (ISPS Code. 9.4.2): procedures for responding to
security threats or breaches o f security, including provisions for maintaining
critical operations o f the ship or ship/port interface (9.4.4): procedures for
responding to anv security instructions Contracting Governments m ay give at
security level 3 (9.4.5): duties o f shipboard personnel assigned security
responsibilities and o f other shipboard personnel on security aspects (9.4.7):
procedures to ensure the inspection, testing, calibration, and maintenance o f
anv security equipment provided on board (9.4.15): identification o f the
locations where the ship security alert system activation points are provided
(9.4.171: and procedures, instructions and guidance on the use o f the shin
security alert system , including the testing, activation, deactivation and
256
1 resetting and to limit false alerts (9.4.18).
Equasis
. 1186. What is Equasis? An international, Internet-based, ship information database, funded by a
number o f European governm ents, which is aimed at collecting and
disseminating quality- and safety-related information on the world’s merchant
ships. Paris M oU port State control officers use information held on Equasis
when deciding the order o f priority o f ships for inspection. Website:
w w w .equasis.ore

BUNKERING
1187. Which Annexes o f M ARPOL concern
bunker fu el?
1188. What is the maximum sulphur content
p e rm itte d in bunker fu e l u sed outside a SO x
Em ission C ontrol A rea?
1189. What sulphur content is p e rm itte d by
M ARPOL Annex VI in bunker f u e l in a sh ip in a
SOx Em ission C ontrol A rea?
1190. What reduction in bunker fu e l sulphur
content in SOx Em ission C ontrol A reas is
pla n n ed b y IM O?
1191. Who decides how much fu e l is carried
on any p a rticu la r voyage?
1192. What reserves o f fu el sh ou ld be
carried?
1193. Where a sh ip is on a voyage charter,
which p a rty is usually respon sible f o r
purch asing bunkers?
1194. Where a ship is on a tim e charter,
which p a r ty is usually respon sible f o r
purch asing bunkers?
1195. What precaution s sh ould be taken
w here a tim e charterer is buying bunkers?
1196. When ordering bunkers, what
precau tion s sh ou ld be taken by a m aster to
p ro te ct the ow ners ’ interests a s f a r as bunker
q u ality is concerned?
1197. What other precaution s sh ould b e taken
when bunkering?
. .
Annex I and Annex VI.
The “global sulphur cap” is currently 4.5%, but this is to be reduced to 3.5%
from 1 January 2012.
A maximum o f 1.5% m/m (i.e. a concentration o f 1.5% by m ass), unless the
ship is fitted with an approved exhaust gas cleaning system or another
technological method to lim it SO x em issions to 6.0 g/kWh or less.
The SECA sulphur cap o f 1.5% is to be reduced to 0.5% from 1 January 2018,
subject to a feasibility review to be completed not later than 2018.
The master (ideally in consultation with the ch ief engineer) provided that the
ship must always carry any minimum quantity required by ow ners’ instructions
(as recorded in the SM S) and as agreed in any charterparty.
It w ill depend partly on ow ners’ instructions (as recorded in the SM S) and the
requirements o f any charterparty, and partly on the nature o f the voyage and
the time o f year. On a winter westbound trans-Atlantic voyage, for exam ple, it
m ay be prudent to c a n y a weather reserve o f perhaps 3 days’ bunkers, whereas
on an eastbound voyage only one or two days’ reserve might be adequate.
The shipowner. (F or questions on allocation o f costs under voyage a n d tim e
charters, se e VOYAGE CHARTER a n d TIME CHARTER in Section F.)
The time charterer. H e takes over (and pays for) any bunkers when the ship is
delivered to him, buys all bunkers during the charter period, and sells any
remaining bunkers on board back to the owner at redelivery o f the ship.
Checks shou ld be made that the charterer is ordering fuel o f the correct
specification, since low-grade fuel (which is generally cheapest) m ay damage
the machinery. The fuel specification should have been agreed between the
owner and charterer and should be detailed in the charterparty.
In consultation with the c h ief engineer, the master should: (1) check the engine
operation manuals, and i f on time charter, the Bunker Clause; (2) order bunkers
specifying an approved fuel standard, e.g. “B SM A 100”, rather than specifying
only a type and viscosity, e.g. “IFO 180”; (3) have the c h ie f engineer check
that the bunkers presented for loading match the sh ip’s requirements and
specification ordered; (4) have the c h ief engineer make accurate tank
soundings before com m encing bunkering in order to verify the amount
delivered; (5) have the c h ief engineer make a com patibility test to confirm that
bunkers presented are com patible with fuel already on board, and see that
bunkers are loaded into empty tanks i f possible and kept separate from other
bunkers until any analysis had been completed; (6) ensure that the vessel is, so
far as possible, maintained upright and on even keel throughout the bunkering
operation; (7) ensure that sam ples o f oil loaded were taken at regular intervals
at the manifold.
The master should ensure: (1) that a risk assessm ent is made; (2) that
procedures in the SM S are follow ed; (3) that local and international regulations
are com plied with throughout the operation; (4) that scupper plugs are fitted
before com m encing bunkering; (5) that drain plugs in manifold and fuel tank
air pipe containment save-alls are in place before com m encing bunkering; (6)
that com munications are established with the supply control position and
signals to be used are understood by both sides; (7) that a maximum pumping
rate and pressure are agreed with the supplier; (8) that the condition o f hoses
and couplings is checked before (and after) bunkering; (9) that blanks and
numbers o f required nuts and bolts, etc. are checked before bunkering; (10)
that the required hose lengths (allow ing for ranging o f vessel) arc checked
before bunkering; (11) that valves are in the required positions before
(
bunkering and that tank vent pipes are free from obstruction; 12) that barge or
shore tank soundings and/or meter readings are checked before (and after)
bunkering to help avert any problems concerning quantity; (1 3 ) that frequent
soundings are taken during the bunkering operation; (14) that the rate o f

THE SHIPMASTER’S BUSINESS SELF-EXAMINER


1198. What a re the p o ssib le consequences o f
not having p r o p e r pro ced u res f o r bunkering
operations?
1199. What action sh ou ld be taken i f a
sp illa g e occurs durin g bunkering?
1200. Whilst bunkering, oil is seen on the
dock water, apparen tly com ing fro m the bunker
barge. Should the sh ip take any action?
1201. What arrangem ents m ay a c h ie f
engineer be expected to m ake f o r taking bunker
f u e l oil sam ples?
1202. What precau tion sh ould the m aster (or
c h ie f engineer) take w hen signing a Bunker
D elivery N ote o r R eceipt fo r bunkers?
1203. What a re the requirem ents o f Annex VI
regarding Bunker D elivery N otes f o r f u e l o il
d e liv ere d to ships?
1204. What are the contents o f a Bunker
D elivery Note, as requ ired by M ARPOL Annex
VI?
1205. What are the requirem ents o f Annex VI
regardin g sam ples o f fu el o il d eliv ere d to
ships?
1206. D oes "retained under the sh ip's
co n tro l” m ean that a ll fu e l o il sam ples m ust be
kept on board?
1207. A re there any circum stances w here a
ship do es not have to produ ce a Bunker
D elivery N ote a n d sam ples as requ ired by
regulation 18 o f Annex VI?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
257
delivery is slow ed down w hile topping off; (15) that ample warning is given to
the supplier to reduce the delivery rate and final shutting off; (16) that accurate
soundings o f tanks are taken after bunkering and compared with pre-loading
soundings to determine the quantity delivered; and (17) that the Oil Record
B ook and deck and engine room log books are com pleted im m ediately after
bunkering with accurate details o f the operation.
(1) Harbour pollution; (2) a fine on the owner/operator; (3) a fine on the
master; (4) detention o f the ship in port; (5) an adverse effect on ow ners’
deductibles and standing with their P&I club; (6) loss o f ISM certification.
The master should take immediate steps to: (1) stop the bunkering operation;
(2) m inim ise the spread o f the oil in the harbour, taking all possible action to
contain the spillage until shore assistance arrives, but without using any
dispersants for which approval had not previously been obtained; (3) stop any
hot work on board or on nearby v essels and quays; (4) contact: harbour
authorities (on VHF i f possible); ship’s agent; P&I club correspondent;
owners/managers; (5) make statutory reports to the M AIB, coastal State
Administration and port authority; (6) obtain sam ples o f the oil from which the
spillage came; (7) establish the facts and (before investigators arrive, if
possible) write a full report o f the occurrence, stating all efforts taken by sh ip’s
crew to deal with the spillage; (8) attempt to establish the quantity o f oil
spilled; and (9) together w ith officers and crew, work clo sely with the local
authorities in the clean-up operation. All procedures should be in conformity
w ith the SOPEP or SMPEP.
Yes; i f the bunker barge departs, the oil may be alleged by shore authorities to
have com e from the ship. The procedures in the last answer w ill be equally
applicable in this case. Evidence should be obtained (w itness statements,
photographs, etc.) and advice sought from the local P&I club correspondent.
It w ill depend on the com pany’s procedures, as detailed in the Safety
M anagem ent System docum entation, but the P&I clubs advise as follow s: (1)
The c h ief engineer should take at least two sam ples during bunkering.
(Sam ples present ed by the supplier should not be accepted.) (2) If the vessel
carries an on-board fuel test kit, the c h ief engineer should carry out a spot
analysis and, i f this indicates the fuel is unsuitable, a full analysis should be
carried out at an approved shore laboratory before the bunkers are used. (3) In
any event, one sample should be retained on board until all bunkers loaded
have been burned without problem, w hile the other should be forwarded to an
independent fuel analysis service. (4) Samples o f oil loaded during bunkering
should be sealed, dated and signed by the c h ief engineer and the supplier.
He should sign for receipt “f o r a n d on beh a lf o f (com pany name)" stating
whether the com pany are Owners, Managers or Tim e Charterers, as
appropriate.
The “local supplier o f fuel oil” m ust provide a Bunker D elivery N ote (B D N )
with any fuel oil delivered to a ship o f over 400 GT. The B D N must be kept on
board the ship for 3 years after the fuel oil has been delivered and must be
made available for port State control inspections.
At least: name and IMO number o f receiving ship; port; date o f
com mencem ent o f delivery; name, address and telephone number o f marine
fuel oil supplier; product nam e(s); quantity (metric tons); density at,15°£J y
(kg/m 3); sulphur content (% m/m); and a declaration signed and certified by the
fuel oil supplier’s representative that the fuel oil supplied is in conformity with
regulation 14(1) or (4)(a) and regulation 18(1) o f M ARPOL Annex VI.
The “local supplier o f fuel oil” must provide a ship o f 4 0 0 GT or more w ith a
sample o f the fuel oil supplied, signed by the “local supplier’s representative”.
This sam ple must also be signed by the ship’s master or the officer in charge
on com pletion o f bunkering, and must be retained under the ship’s control until
the fuel oil is substantially consumed, but in any case for a period o f not less
than 12 months from the tim e o f delivery.
N o. The control sample need only be retained under the ship’s control, which
means that samples can be deposited at a port office or other similar facility
where they can be readily obtained. This concession is useful to high speed
craft or other ships which bunker frequently.
Yes. W here offshore supply vessels and bunker barges use fuel blended on
board for their own bunkers they need not produce the B D N and samples
required by regulation 18. They must, how ever, keep records o f all fuel oil
transfers in the Oil Record Book.
258
1208. What is the p ro p e r p rocedu re where a
M ARPO L-com pliant Bunker D elivery N ote o r
representative sam ple cannot be obtained, e.g.
a t a p o rt in a S tate which is not a P a rty to
M ARPOL Annex VI?
AIR POLLUTION PREVENTION
Volatile organic compounds (VOCs)
1209. What a re volatile organ ic com pounds
(VOCs)?
1210. What a re the m ain requirem ents o f the
re v ised M ARPOL Annex VI with respect to
volatile organ ic com pounds (VO Cs)?
1211. What is a vapour em ission control
system ?
1212. What is a vapour collection system ?
Sulphur a t berth in EU ports
1213. What are the m ain requirem ents o f
D irective 2 0 0 5/33/E C concerning the Maximum
sulphur content o f m arine fu e ls u sed by inland
w aterw ay vessels a n d sh ips a t berth in
Com m unity ports?
1214. What does ‘‘ship a t berth" mean?
1215. In what circum stances is the
changeover to 0.1% sulphur fu e l not requ ired
fo r a sh ip a t a berth in an E U port?
1216. Which M N otice contains the MCA 's
guidan ce on the sulphur a t berth requirem ents?
DISPOSAL OF WASTE
1217. Which U K regulation s govern the
p ro visio n a n d use o f p o r t w a ste reception
facilities a t U K p o rts a n d term inals?
1218. What are the U K requirem ents
concerning d elivery o f sh ip-gen erated w aste to
w a ste reception fa c ilities?
1219. Is there a charge f o r landing ship­
g e n e ra ted w aste a t a U K po rt?
1220. D oes the MCA g ra n t any exem ptions
fro m The MS (P ort Waste R eception F acilities)
R egulations?
1221. What action sh ou ld a sh ipm aster take
when inadequate w aste reception fa c ilities are
encountered a t a port?
Where the B D N or representative sample as required by regulation V I/18 are
not in com pliance with the relevant requirements, the master or crew should
have documented that fact. (MEPC. 129(53))
For questions on emissions of air pollutants at sea. see Section H
Organic chem icals that easily vaporise at normal conditions and enter into the
atmosphere. They are emitted in ships’ exhaust gases due to incomplete
combustion processes, and by tankers during cargo loading and crude oil
w ashing operations, and during sea voyages.
(1) A State w hich is party to M ARPOL Annex VI and which intends to
regulate VOC em issions from tankers at its ports and terminals must ensure
that vapour em ission control system s are provided in designated ports and
terminals, an d must notify IMO o f the size o f tankers to be controlled, the
cargoes requiring a vapour em ission control system, and the effective date o f
such control. (2) A tanker using such a port or terminal m ust have a vapour
collection system approved bv the flae State Administration, and must use it
when loading cargo. (3) A port or terminal which has installed a vapour
em ission control system mav accept tankers not fitted with vapour collection
system s for three years after the effective date o f control. (4) A tanker carrying
crude oil must have on board and implement a VO C M anagement Plan
approved by the flag State Administration. (Reg. 15)
An arrangement o f piping and hoses used to control vapour em issions collected
from a tanker, and includes the vapour collection system and the vapour
processing unit. (Standards f o r Vapour Em ission C ontrol Systems,
M SC/Circ.585)
An arrangement o f piping and hoses used to collect vapour emitted from a
tanker’s cargo tanks and transport the vapour to a vapour processing unit.
(Standards fo r Vapour Em ission C ontrol Systems, M SC /C irc.585)
■ St5
(1) Inland waterway vessels and ships at berth in EU Member States must not
use marine fuels with a sulphur content exceeding 0.1% by mass. (2) Ships are
allow ed sufficient time to com plete the necessary fuel changeover operations
as soon as possible after berthing and as late as possible prior to departure from
the berth. (3) Ships must record the time o f such fuel changeover operations.
Ships which are securely moored or anchored in a Community port w h ile they
are loading, unloading or hotelling, including the time spent w hen not engaged
in cargo operations.
If: (1) according to published timetables, the ship w ill remain at the berth for
less than two hours; or (2) all engines are to be closed down and shore pow er is
to be used.
M GN 400.
For questions on Ship’s Waste Notification, see Section H
The MS a n d FV (P ort W aste Reception F acilities) Regulations 2003 (SI
2003/1809). Guidance on their requirements is in M GN 387 and M IN 377.
The master o f a ship calling at a harbour or terminal must ensure that, before
the ship leaves the harbour or terminal, all shin-generated waste is delivered to
a w aste reception facility. However, the ship m av proceed to the next port o f
call without delivering the waste i f it follow s from the information notified to
the harbour authority that there is sufficient dedicated storage capacity for all
the ship-generated waste that has been accumulated and w ill be accumulated
during the intended voyage o f the ship to the port o f delivery.
Yes. Ships must pav the port or terminal a mandatory w aste charge to cover the
cost o f the waste reception facility, whether thev use the facilitv or not. The
only craft exem pt from the charge are: fishing vessels; and recreational craft
which carry (or are designed to carry) no more than 12 passengers.
Exemptions mav be granted bv the M C A to ships on regular, frequent,
scheduled routes (such as ferries and short-sea traders), where they are
an arrangement with a waste disposal contractor). Details are in M GN 387.
When possible, he should im m ediately bring the alleged inadequacy to the
attention o f the port or terminal. If the problem is not then satisfactorily
resolved, the form at Annex D o f M G N 387 should be com pleted by the
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

1222. What re c o rd sh ou ld be m ade o f the use
o f an o il reception fa c ility ?
1223. What advice to ships ’ m asters is given
in O il R ecord Books on obtaining receipts fro m
reception fa c ilities?
1224. What inspections o f g a rb a g e d isp o sa l
arrangem ents m ay be m ade in a U K p o rt?
259
master, shipowner or agent and sent or faxed to the address given in M GN 387
An entry in the Oil Record B ook (Part I) or (Part II) as appropriate.
Ship’s masters should obtain from the operator o f the reception facilities,
w hich includes barges and tank trucks, a receipt or certificate detailing the
quantity o f tank washings, dirty ballast, residues or oily mixtures transferred,
together with the time and date o f the transfer. This receipt or certificate, if
attached to the Oil Record B ook Part I or II, as appropriate, may aid the master
o f the ship in proving that his ship was not involved in an alleged pollution
incident. The receipt or certificate should be kept together with the O il Record
B ook Part I or II.
M CA surveyors may inspect any ship to check com pliance with The MS
(Prevention o f Pollution b y G arbage) Regulations.

PERSONNEL BUSINESS For Engagement and Discharge procedures, see Section E

Master’s discretion for ship safety and security
security (at sea) in Section H
1225. D o e s an y p erso n o r organisation have
the right to overru le the m a ste r’s decisions
relating to the safety a n d secu rity o f the ship?
1226. In w hat situations in p o rt (or a t a p o rt
anchorage) m ight SOLAS regulation X I-2/8.1
on m a ste r’s discretion fo r ship safety an d
security apply?
1227. A conflict between a safety requirem ent
a n d a secu rity requirem ent arises. Which takes
preceden ce?
Visitors to ship
1228. H ow m ight the ISPS C ode affect s h ip ’s
visitors?
1229. What precaution s concerning visitors to
the ship sh ou ld a m aster take after an accident?
1230. What precau tion s sh ou ld a m aster take
w ith visitors to the ship in the interests o f safety
a n d legal p ro p rie ty?
1231. What sh ou ld a m aster do if, fo llo w in g
an acciden t to a stevedore, an insurance
su rveyor a sk e d to se e som e s h ip ’s docum ents?
1232. Should docum ents be shown to the P& I
club correspondent?
Watchkeeping in port
1233. What are the statutory obligations o f
the m aster o f a U K sh ip regarding the keeping
o f a w atch in po rt?
See also Master’s discretion for ship safety and
N o. SO LAS regulation X I-2 /8 .1 provides as follow s: “The m aster sh all not be
con strain ed b y the Company, the charterer o r any o th er person fro m takin g or
executing a n y decision which, in the profession al ju d g e m e n t o f the m aster, is
n ecessary to m aintain the safety a n d security o f the ship. This includes den ial
o f access to person s (except those identified a s du ly a u th orized b y a
C ontractin g Governm ent) o r their effects a n d refusal to lo a d cargo, including
containers o r other c lo sed cargo transport units. ”
Where, for exam ple, a master considers it prudent, against the advice o f the
Com pany Security Officer, for example: (1) to switch o ff AIS at a particular
anchorage; (2) to search personnel, or their baggage, or to deny their access to
the ship; (3) to refuse to load a certain container or item o f cargo until it has
been searched.
The safety requirement. SO LAS regulation X I-2/8.2 provides as follow s: “If,
in the profession al ju d g em en t o f the master, a conflict betw een any safety an d
secu rity requirem ents a pplicable to the sh ip arises during its operations, the
m aster m ust g iv e effect to those requirem ents necessary to m aintain the safety
o f the ship. In such cases, the m aster m ay im plem ent tem porary security
m easures a n d must inform the f la g State Adm inistration and, i f appropriate,
the p o rt S ta te ."
There should be a system to record the names and purpose o f visitors. All
ship’s visitors (including agents and port officials) should have their ID
verified on boarding and should be given temporary visitors’ ID tags. At
security levels 2 and 3 no visitors should be allow ed except for persons
providing essential services and shore officials. At security level 3 every visitor
should be accom panied by a responsible crew member. Restricted areas on
board should be indicated by signs, and should be secured or controlled.
H e should be careful to verify the identity o f any surveyor, lawyer or other
expert com ing on board. I f in doubt, he should consult the owners’ P&I club
correspondent.
H e should ensure that surveyors and other visitors who need to m ove about the
ship are at all times accom panied by an officer. M ovem ents o f visitors on any
kind o f business (e.g. surveyors) should be restricted to those parts o f the ship
o f legitimate interest. M ovem ents o f other visitors (e.g. fam ily, students, etc.) '
should likew ise be monitored and controlled, and in the interests o f claims
reduction should be restricted to non-working areas o f the vessel.
R efuse to show him any documents which did not have the approval o f the P&I
club correspondent.
Y es. A correspondent o f the ow ners’ P&I club should always be given every
assistance and should be shown any documentation requested, with the
exception o f ship security documentation (unless flag State approval is
obtained).
Under The M S (Safe Manning, H ours o f Work a n d W atchkeeping) Regulations,
i f the ship is safely m oored or safely at anchor in port, the master must arrange
for an appropriate and effective watch to be maintained for the purposes o f
safety. The watch arrangements must com ply with Chapter VIII o f the STCW
Code.

THE SHIPMASTER’S BUSINESS SELF-EXAMINER

260
1234. Where a U K ship is carryin g hazardous
cargo, w hat are the m a ste r’s statutory
obligations regardin g the keeping o f a w atch in
p o rt?
Insufficient LSA fo r a ll personnel
1235. The tim e charterers o f a c argo ship at a
loadin g berth inform the m aster that they a re
sending 25 office s ta ff to "come f o r the ride ”
when shifting to the bunkering berth. What
sh o u ld be checked before agreein g to this?
STOWAWAYS
See also STOWAWAYS, PEOPLE IN DISTRESS AND SECURITY INCIDENTS in Section H
1236. What g en era l precaution s sh ou ld be
taken against stow aw ays boarding in p o rt?
1237. H ow sh o u ld a sto w a w a y search be
ca rrie d out a n d recorded?
1238. Where can a m aster fin d guidance on
the p ro p e r p rocedu re w h ere stow aw ays fo u n d
on b o a rd a t se a are brought to a p o rt?
1239. When arriving at a fo re ig n p o r t with
stow aw ays on board, w hat fin a n cia l docum ent
m ay the m aster be re q u ire d (under lo ca l law) to
sig n in respect o f the stow aw ays?
LAY-UP
1240. What m odes o f lay-up a re u sed by
shipow ners?
1241. H ow does lay-up affect a U K sh ip's
IS M an d ISPS certification?
When safely moored or safely at anchor, the master must, in addition to any
other port watchkeeping arrangements required by The MS (Safe Manning,
Hours o f Work a n d Watchkeeping) R egulations, ensure that, where the
hazardous cargo is a bulk cargo, a safe deck watch and a safe engineering
watch are maintained by the ready availability on board o f a duly qualified
officer or officers, and, where appropriate, ratings. If the cargo is packaged
hazardous cargo, then in organizing the safe watchkeeping arrangements the
master must take account o f the nature, quantity, packing and stowage o f the
hazardous cargo and o f any special conditions on board, afloat and ashore.
fi '' “ ,*< m u
Form E, which supplements the Cargo Ship Safety Equipment Certificate and
lists the total number o f persons for which LSA is provided. If the total number
o f persons on board w ill exceed the stated number, there w ill be insufficient
lifejackets, etc. in event o f abandonment. I f this w ill be the case the master
should advise the owners or managers to ask the M CA for an exem ption and to
ensure that a copy o f the Exemption Certificate is issued to the ship before
leaving the berth with the visitors embarked. (If the M CA granted an
exem ption it would normally be conditional, e.g. on extra lifejackets being
placed on board.)
The master should have a watch kept on the gangway. He should prohibit
stevedores from certain areas and have a watch kept on them. He should have a
search made o f the ship before sailing. Stow aw ays by Sea (published by the
Nautical Institute) recommends: (1) checking everyone embarking and
disembarking; (2) sealing o f f certain parts o f the ship to prevent access and
reduce the areas and compartments which may need to be searched; (3)
conducting searches o f vehicles and loose cargo; and (4) posting a lookout to
prevent people clim bing aboard. An extensive, system atic and detailed search
o f the ship should be made im mediately before departure, especially from any
high-risk port or place.
(1) The master should draw up a checklist or lists based on his own ship and
cargo. (A standard ship’s form can be drafted for m odification for different
cargoes carried.) (2) The master should have a thorough search made o f all
areas o f the ship by crew parties with an officer in charge o f each party.
Completed checklists should be returned to the c h ief officer or master and
filed; these w ill be needed by the owners, P&I club, lawyers or shore
authorities i f stow aways are discovered. (3) The master should make an entry
in the deck log recording the search and its results, with full details o f the date,
time, spaces searched, and names and ranks o f searchers.
In M GN 70 (G uidelines on the allocation o f responsibilities to seek the
successful resolution to stow away cases). This contains the latest IMO
G uidelines on the subject.
A bond, som etim es for a large amount o f money, for each stow away on board.
(In Singapore, for exam ple, the bond amount in 2008 was U S D 10,000.) The
port authorities w ill enforce these bonds i f the stowaways are found m issing
from the ship at the time o f departure clearance.
( 1) Hot lav-uo (e.a. for up to 3 months) with the ship maintained and manned
for 24-hour reactivation: (2) warm lav-un te.e. for up to 12 months, with
reduced manning and one-w eek reactivation): and (3) cold lav-un (e.g. for up
to 5 years, with machinery and system s shut down and certificates withdrawn).
M CA Instructions f o r the Guidance o f Surveyors specifies requirements for:
(1) “vessel secured alongside berth/at anchor - live ship”; and (2) “vessel
secured alongside berth/at anchor - dead ship”. Cl) In the case o f a “live ship” :
the Safety M anagement Certificate (SM C) remains valid and audits are carried
out as required by the ISM Code. The Safety M anagement System (SM S) may
need to be revised to cover the activities required during the lay-up period and
reactivation procedures. If the lay-up period is longer than 3 months, or a
different crew reactivates the ship, an additional ISM audit w ill be required.
(No m ention is m ade o f the International Ship Security C ertificate.) (2 ) In the
case o f a “dead ship” : the SM C and International Ship Security Certificate
(ISSC) w ill be withdrawn. Procedures required for reactivation o f the ship will
have to be established. On reactivation the ship w ill be treated as a new ship to
the Company and follow ing successful interim audit, an Interim SMC w ill be
issued. (N o fu rth er m ention is m ade by the MCA o f the International Ship
Security Certificate. H owever, G erm anischer L lo y d ’s w ebsite states that an
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

1242. What docum ents sh ou ld be checked b y
a m aster jo in in g a ship being re a ctiva ted
fo llo w in g a lengthy p e r io d o f c o ld lay-up?
DRYDOCKING
1243. What su rveys a re likely to be c a rrie d
out during a sch edu led dry-dockin g o f a cargo
ship?
1244. What docum ent w ill the ow ners
norm ally g ive the m aster when taking a ship
into drydock?
1245. What equipm ent a n d services sh ou ld a
rep a irer o r drydock com pany norm ally have to
su pply to the ship under their contract with the
ow ners?
GENERAL AVERAGE
Purpose and principle o f general average
1246. What is the pu rpose o f gen eral
average?
1247. What is the maxim that sum m arises the
basic prin ciple o f g en era l average?
1248. What is a g en era l a verage loss?
1249. H ow are g en eral a verage losses p a id
fo r?
1250. Who w o u ld norm ally be the p a rtie s to a
"common adven tu re ’’?
1251. H ow is a tim e ch arterer's interest in a
com m on adventure determ ined?
1252. Can there be g en eral a verage w here a
ship is in ballast?
1253. On w hat basis do the p a rties to a
com m on adven tu re contribute to g en eral
average?
1254. What fo rm s can g en eral a verage take?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
261
interim verification audit (pre-audit) a n d re-approval o f the SSP w ill be
req u ired on reactivation. The ship w ill then be tre a te d as a new sh ip to the
Com pany a n d issu ed with an Interim ISSC.) See also IS M C ode certification in
Section D.
(1) Statutory certificates (which would have been withdrawn and should have
been re-issued); (2) Certificate or Interim Certificate o f Class; (3) com pass
deviation card (which should be renewed by an adjuster before sailing); (4)
voyage orders; (5) the Safety M anagement System (which should contain
reactivation procedures).
At every second scheduled dry-docking (i.e. everv 5 years, usually) the Special
Survev for renewal o f class w ill be carried out Heading to the issue o f a new
Certificate o f Class). Coinciding with this w ill be the D ocking Survev under
class rules, including a tailshaft survev. Under the statutorv Harmonized
System o f Survey and Certification, the drydocking w ill normally also be the
time for carrying out renewal survevs for all the certificates in the svstem (see
Section D). The statutorv inspection o f the shin’s bottom w ill also be carried
out at this time.
A copy o f the Drydock and Repair Specification. The master needs this to
check what work is to be carried out and to consult with company technical
staff and drydock staff.
(1) Fire guards; (2) fire extinguishers; (3) connection o f fire hoses to the yard’s
main; (4) sea water cooling o f refrigeration and air conditioning condensers;
(5) containers for collection o f scrap and debris left over from repairs; (6)
containers for collection o f ship’s garbage; (7) telephone on board; (8)
em ergency contacts list; (9) electric current; (10) possibly an earth return; (11)
two illuminated gangways; (1 2 ) gas-free certificates from an authorised
chemist i f requested or deem ed necessary; (1 3 ) drinking water; (14) craneage;
(15) unmooring and mooring in the drydock with assistance o f the yard’s tugs,
pilots, boatmen and riggers.
To ensure that the owner o f a ship or cargo w ho has incurred an expenditure or
suffered a sacrifice o f his property in order to extricate the ship (and
consequently the cargo) from a perilous position receives a contribution to his
loss from all those w ho have benefited from the action.
“ That which has been sa c rific e d fo r the benefit o f a ll sh all be m ade g o o d by
the contribution o f all. ”
A partial loss incurred through a deliberate act performed with the intention o f
protecting all the interests involved in a voyage from a danger which threatens
them all.
They are equitably shared by all the parties to the com m on adventure (i.e. the
voyage), each contributing in proportion to his percentage o f the total values
involved (e.g. ship + cargo + freight at risk).
The shipowner, each cargo owner (how ever many); the owners o f the ship’s
bunker fuel (w ho are often tim e charterers); the recipients o f the freight at risk
(usually the shipowner or time charterers). Where cargo is owned by more than
one party, each cargo owner is treated as a separate interest and bears his own
share o f any general average loss, no matter how small.
B y the value o f his bunkers remaining on board at the termination o f the
voyage, plus any freight at risk, i f he is the recipient o f freight. (W here the time
charterer actually ow ns the cargo there may not be any freight at risk.)
If there is no party with property at risk other than the shipowner, no, since
there is no “com mon adventure”. Where a ship is chartered, however, there
may be charterers’ property at risk. When a containership carries a cargo o f
empty containers, the owners o f the containers are parties to a com mon
adventure, so there can be general average.
All the property at risk in the com mon adventure at the time o f the incident
giving rise to the general average act, and saved by that act, must contribute to
the general average according to its value to its sound market value at the
termination o f the adventure. There must be equality o f contribution between
the owner o f property sacrificed and the owner o f property saved, so that no
interest profits by his sacrifice.
General average acts, general average sacrifices, and general average
expenditure. A general average act is, for exam ple, the act o f refloating a
stranded ship. A general average sacrifice might be the jettison o f cargo to
262
Rules for adjustment o f general avera 9®
1255. U nder w hat rules is g en era l average
usually adjusted?
1256. A re the la test York-Antwerp Rules
alw ays the ones sp ecified in contracts?
1257. C ou ld g en era l average b e a dju sted
under any rules other than the York-Antwerp
Rules?
1258. U nder the York-Antwerp Rules, what
are the n ecessary elem ents f o r a sacrifice o r
expenditure to qualify as a g en eral average
act?
1259. What is m eant b y "extraordinary
sa crifice o r expen ditu re”?
1260. What is m eant b y ‘‘reason able sacrifice
o r expenditure ”?
1261. What is m eant b y ‘‘intentional or
voluntary a c t ”?
1262. What is m eant b y ‘‘p e r i l ” in the context
o f g en eral average?
1263. What is m eant by ‘‘action f o r the
com m on safety ’’?
1264. What actions m ight qualify a s gen eral
a verage acts?
assist refloating, or rudder damage sustained during the refloating operation,
general average expenditure might include a salvor’s reward and expenses
incurred at a port o f refuge.
The York-Antwerp Rules, which are not mandatory and apply only on a
contractual basis. Several editions have been produced, the latest in 2004.
N o. Since the 2004 Rules are less favourable to the shipowner in terms o f what
costs can be recovered in general average from the other parties to the
“com m on maritime adventure”, they are not recommended by shipowners’
bodies such as BIMCO. M ost charterparties and Bills o f Lading therefore
contain a General Average Clause specifying that general average w ill Be
adjusted according to the York-Antwerp Rules 1994, or in som e cases an
earlier version.
Y es, depending on what w as stated in the contract o f carriage. U nless the
contract stipulates the York-Antwerp Rules, adjustment may have to be made
under the rules applicable in the country where the voyage is terminated, which
may be som ewhat different. Under a Chinese carrier’s Bill o f Lading terms, for
example, "G eneral A verage sh all be a dju sted in B eijing in accordance with
China C ouncil f o r the prom otion o f International Trade P rovision al Rules an d
G eneral A verage Adjustm ent, 1975 ” (i.e. the “B eijing Rules”).
(1) The sacrifice or expenditure must be extraordinary. (2) The sacrifice or
expenditure must be reasonable. (3) The act must be intentional o r voluntary,
and not inevitable. (4) There must be a p e ril. (5) The action taken m ust be for
the com m on safety and not merely for the safety o f part o f the property
involved.
Ordinary losses and expenses incurred by a shipowner in running his ship and
carrying cargoes are not allowed in general average. For exam ple, damage
done in overworking a sh ip’s engines w hile afloat, trying to prevent grounding,
is considered ordinary, whereas damage done to engines overworked when
aground, in attempting to refloat, would qualify in general average, since this is
an extraordinary act.
The sacrifice or expenditure must be reasonable. Jettisoning enough, but no
more, o f a deck cargo o f timber to refloat a grounded ship would be
reasonable. Jettisoning the entire deck cargo would not be reasonable.
Beaching a leaking ship ( i f loaded with cargo) (i.e. voluntary stranding) to
prevent her foundering w ill generally be allow ed as general average, as this is
intentional and voluntary. Costs o f repairs to the damage causing the leak, i f
caused b y an insured peril, would qualify in particular average, not general
average. Refloating an accidentally grounded ship could be a general average
act, since the act o f refloating is intentional.
A danger. The peril must be real and substantial, but it need not be imminent.
The distinction between action taken for the com mon safety in time o f peril
and a measure which, how ever reasonable, is purely precautionary, is a very
fine one. A ship drifting without engine power in m id-ocean would certainly be
in peril under the York-Antwerp Rules (which govern the assessm ent o f most
general average cases), even though the weather might be calm at the tim e and
there w as no immediate threat. Sooner or later, ship and cargo would com e to
g rief one w ay or another, so the cost o f a tow to safety w ould therefore qualify
in general average. Where the master o f a perfectly sound ship prudently
decides to run for shelter from an approaching storm, there is no general
average act, since the measure is purely a precaution o f a prudent seaman.
Action to avoid a loss due to a peril which threatens the interests o f all the
parties to a com mon adventure. For exam ple, say refrigerating m achinery o f a
reefer vessel breaks down during a loaded voyage through tropical waters,
making it imperative to put into port for repairs. The threat o f loss in this case
is limited to the cargo and perhaps the freight. A s far as the ship itself is
concerned the voyage could quite safely continue, so deviation to a repair port
would not be a general average act. W here a fishmeal cargo was on fire,
however, deviation would alm ost certainly qualify as a general average act.
D eviation to a port o f refuge is only allow ed in general average where to do
otherwise would imperil the ship, cargo and freight.
Acts such as: (1) taking a tow to a port o f refuge after a major machinery
failure; (2) jettisoning or discharging cargo to aid refloating after stranding; (3)
extinguishing a fire; (4) wetting previously undamaged cargo while
extinguishing a fire; (5) beaching a ship (i.e. voluntary stranding) to avoid
foundering; (6) putting into a port o f refuge during a loaded voyage due to fire,
shifting o f cargo, collision, grounding, leakage, etc.; (7) putting into a port o f
refuge to effect essential hull or m achinery repairs.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

1265. What sacrifices m ight qualify as
g en eral a verage sacrifices?
1266 What outlays m ight qualify a s gen eral
average expenditure?
1267. What is a p o r t o f refuge?
Declaration o f general average
1268. Who d eclares g en eral a verage?
1269. How, a n d where, sh ould gen eral
average be declared?
1270. What ste p s sh ou ld the sh ipow ner take
after declarin g g en eral a verage?
General average security
1271. What is g en era l a verage security, an d
why is it required?
1272. Who arranges g en era l average
security?
12 73. What is an A verage Bond?
1274. Special charges are m en tioned on a
L loyd's A verage B ondform . What a re they?
1275. What is an A verage G uarantee?
1276. Who sh ou ld co llect genera! average
bonds a n d guarantees?
1277. Is any o th er form o f g en era l average
security acceptable?
1278. What sh ou ld be given to cargo owners
in return fo r th eir deposits?
12 79. What happens after g en eral a verage
bonds, guarantees an d deposits are collected?
Deck carao and general average
1280. I f deck cargo has to be je ttis o n e d as a
gen eral a verage act, what is the cargo o w n e r’s
position under the York-Antwerp Rules?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
263
For example, damaging engine, propeller or hull durring refloating operations;
jettison o f cargo from underdeck; jettison o f cargo carried on deck by a
recognised custom o f the trade; slipping an anchor and cable to avoid a
collision.
For example: costs o f hiring a tug to refloat a stranded ship with cargo
onboard; cost o f discharging cargo in order to refloat a stranded ship or to carry
out repairs at a port o f refuge; salvage costs; agency fees at a port o f refuge;
surveyors’ fees; warehousing charges; port charges; master’s and crew ’s wages
while a ship is being repaired; and Average Adjuster’s fee.
Basically, any port where general average expenditure is incurred. It can
include a loading port w hich is returned to (e.g. because cargo has shifted).
Normally, the party who has made an extraordinary sacrifice or expenditure to
avoid a peril (and w ho needs to recoup his loss), which in m ost cases is the
shipowner. If ship and cargo have both been saved by a jettison o f cargo,
however, it may be the owner o f the jettisoned cargo w ho appoints an average
adjuster and declares general average. Generally, the party to the adventure
who requires contributions from the other parties w ill be the one w ho appoints
the adjuster, and the adjuster w ill give guidance on making a declaration.
In com pliance with local law and custom, before delivery o f cargo to receivers
at the destination port (not an intermediate port o f refuge), and after a general
average act. The average adjuster w ill usually advise on procedure in the
country concerned. In many cases the declaration will be no more than the
shipowner’s announcement to cargo owners o f his decision to collect general
average contributions from them, but in some countries the procedure is more
formal, and may involve lawyers and a court.
He should follow the average adjuster’s advice, which w ill normally be to
obtain Average Bonds and Guarantees on all sound cargo being discharged
after the general average act, and to accumulate evidence required for the
adjustment. The adjuster w ill make an estimate o f the total value o f the loss or
damage and advise the shipowner o f the rate o f contribution required from
each party.
A shipowner has a com m on law lien on cargo in his possession for its
contribution to a general average. However, because GA contributions take
many m onths to be assessed, it is not normal for the shipowner to exercise his
lien on cargo for the full contribution. Instead, he exercises the lien on some
form o f security pending the final adjustment. This usually takes the form o f an
Average Bond and an Average Guarantee in respect o f each consignment.
The average adjuster appointed by the party w ho declared general average
(which is m ost often the shipowner). The adjuster is often requested b y any
salvor involved to also collect salvage security. F or questions on Salvage
security, see Section H.
A signed undertaking given by cargo receivers stating that, in return for
delivery to them or to their order o f the goods noted in the bond, they agree to
pay the proper proportion o f any general average charges (and salvage or
special charges) which may thereafter be ascertained to be due from the goods.
L loyd’s Average; Bond form (L A B 77) is normally used.
Charges, som etim es called Particular Charges, which are incurred during a
voyage (usually by the carrier) solely for the benefit o f an individual owner o f
a consignm ent o f goods as opposed to all the parties to the common adventure,
general average therefore cannot apply, and the carrier must recover the costs
from the receiver o f that consignment. The carrier has a possessory lien for
Special Charges whilst he remains in possession o f the goods.
A cargo underwriter’s signed guarantee, given in consideration o f delivery o f
the goods to their consignees without collection o f a general average deposit.
The master, or the ship’s agent on his behalf. (In practice, it w ill usually be the
agent.)
Y es, a general average deposit (in cash). Cash deposits might be less readily
given, how ever, than bonds and guarantees.
A General Average D eposit Receipt, but never in duplicate.
Cargo is delivered to the receivers, or to their order. The average adjuster then
com m ences collecting documents for the adjustment, which may take several
months or even years to complete.
U nless the cargo is carried on deck in accordance with a recognised custom o f
the trade, e.g. it is a timber deck cargo or containerised cargo, the cargo owner
w ill have no claim under the York-Antwerp R ules to a general average
264
1281. What is the gen eral average position
w here deck cargo has been sa v e d by a gen eral
average act?
1282. What is the g en era l average position
w here the je ttis o n e d ca rgo w as wrongfully
sto w e d on deck?
Master’s general average procedure at port o f refuge
1283. Whilst approaching an upriver port, a
tim e-chartered, lo a d e d gen eral cargo ship
grou nds on a riv er shoal, sustaining dam age.
The ship is refloated an d to w ed to a dow n -river
term inal f o r d ive r survey. Som e ca rg o «
disch arged there f o r delivery to consignees.
What sh ou ld the m aster d o on a rriv a l a t this
berth to safegu ard the ow ners ’ o r charterers ’
interests?
1284. In the incident in the p reviou s question,
who w ill instruct the a verage adjuster, a n d who
w ill instruct the su rveyors?
PASSENGERS
Passenger counting and registration
1285. Which U K regulations contain
requirem ents f o r p a ssen g er counting?
1286. To which sh ips d o the P assenger
Counting R egidations apply?
1287. What are the m eanings o f "adult ”,
“child" a n d “in fan t” under the R egulations?
1288. What are the m ain requirem ents o f the
P assen ger Counting R egulations?
1289. What a re the statutory requirem ents
regarding p a ssen g er counting?
1290. Who m ust the p a ssen g er count be
p a s s e d to, a n d when?
1291. Who is the pa ssen g er registrar?
1292. M ust a p a ssen g er counting a n d
registration system be a p p ro v e d b y the MCA?
1293. A re exem ptions fro m the Requirem ents
o f the P assenger Counting R egulations
available?
contribution from the other parties to the adventure.
I f deck cargo is saved by a general average act (e.g. the refloating o f a
grounded ship), the owner o f the deck cargo w ill be liable to make a general
average contribution along with other parties to the adventure who have
benefited from the general average act. Carriers usually underline this by an
express statement in their B ills o f Lading.
If the jettisoned deck cargo had been stowed on deck without the shipper’s
consent or knowledge, the shipowner, apart from being liable for breach o f
contract, w ill be totally liable to the goods owner.
(1) N otify the owner, agent and charterer o f the ship’s safe arrival alongside.
(2) Contact and liaise with the local P&I club correspondent. (3) N ote protest,
reserving the right to extend the protest later. (4) Liaise with the port agent and
P&I club correspondent. (5) Ensure that the agent collects the required general
average security (usually in the form o f Average Bonds and Guarantees) from
each consignee or receiver before releasing cargo from ow ners’ possession, as
instructed b y the average adjuster (possessory lien applies). (6) Liaise with the
general interest survevor (also called the general average surveyor) and gather
all required documentary evidence. (1) Write a full report o f the incident, with
copies for all interested parties including the adjuster. (81 Extend the protest
when further survey reports, etc. are to hand, and forward a copy o f same to the
owners for the adjuster. (9) K eep a detailed log for the average adjuster o f all
events surrounding the incident.
Owners will alm ost certainly instruct the average adjuster. Different surveyors
may be instructed by the hull and machinery underwriters, the charterer, the
cargo owners, the average adjuster and the P&I club. (Basically, where anyone
has an insurable interest, the insurer w ill be represented by a surveyor.)
/ \
% .........
The M S (Counting a n d R egistration o f Persons on B oard P assenger Ships)
Regulations 1999. They implement Directive 98/41 /EC and SO LAS regulation
111/27. M SN 1794 explains the requirements o f the Regulations.
A ll UK passenger ships wherever they may be, and all other passenger ships
w hilst in U K waters i f carrying more than 12 passengers.
“Adult” means any person who is not an infant or a child. “Child” means any
person who has reached his/her fourth birthday but has not reached adult age as
defined by the com pany’s booking conditions and advised to the MCA.
“Infant” means any person who has not yet reached his/her fourth birthday.
(1) A ll persons on board passenger ships must be counted prior to departure. In
the case o f Class II and 11(A) ships this must be by individual passenger
boarding cards. (2 ) Immediately before a passenger ship departs from any
landing point the total number o f persons on board must be communicated to
the master and the passenger registrar ashore. (3) I f any person has declared a
need for special care or assistance in em ergency situations for any person on
board, the owner must ensure that this information is properly recorded and
communicated to the master. (4) N o passenger ship may leave a landing point
i f the requirements in (2 ) and (3) have not been com plied with, or the total
number o f persons on board exceeds the total number the ship is permitted to
carry. (5) For voyages o f more than 20 nautical m iles, certain passenger
information (surname, first name, sex, age and special details) must be
collected and communicated to the com pany’s passenger registrar. (6) The
owner must appoint a shore-based passenger registrar to be responsible for
holding the collected information and making it available for SA R purposes.
The ship must have an M CA-approved system capable o f counting all persons
on board (i.e. passengers, crew and others). Boarding cards must be used in
ships o f Class II or 11(A). The system must conform to the requirements o f
M SN 1794.
(1) The master and (2) the passenger registrar ashore, im mediately before the
vessel departs from any landing point.
A shore-based person designated by the com pany/owner for the keeping o f
information on persons w ho have embarked on a voyage on a company
passenger ship to which the Regulations apply. This may be the Designated
Person as required by the ISM Code i f the com pany feels appropriate.
Y es, as described in paragraphs 11 and 12 o f M SN 1794.
Y es, for certain vessels as described in paragraphs 1 3 - 1 5 o f M SN 1794.
THE SHIPMASTER'S BUSINESS SELF-EXAMINER

1294. What typ e o f counting system m ust be
u sed in U K C lass I ships?
1295. What type o f counting system m ust be
u sed in sh ips o f E C C lass A, o r U K C lasses 11
o r 11(A a n d in seagoin g h igh -speed craft?
Practice passenger musters
1296. Is a p a ssen g er m uster requ ired after
passen gers jo in a U K ship?
1297. I f m ore passen gers jo in the ship in the
last question after the p a ssen g er m uster has
been held, m ust another m uster be held?
Emergency information for passengers
1298. Where can the statutory requirem ents
f o r em ergency inform ation f o r passen gers on
U K sh ips o f C lasses I, II a n d 11(A) be foun d?
1299. Where can the statu tory requirem ents
f o r em ergency inform ation f o r passen gers on
U K sh ips o f C lasses III, IV, V, VI a n d VI(A) be
foun d?
1300. What M N otices give guidan ce on
em ergency inform ation f o r p assen gers?
1301. What are the U K statutory
requirem ents f o r givin g pa ssen g er safety
briefings?
Keeping order in passenger ships
1302. D oes the m aster o f a fe r r y have any
p o w e r to ban drunken passen gers fro m
boarding, o r to have them p u t ashore?
1303. U nder the M erchant Shipping A ct 1995,
f o r w hat offences m ay a U K sh ipm aster detain
a pa ssen g er on board?
1304. Drunk fo o tb a ll fa n s returning fro m a
m atch run am ok on b o a rd a U K p a ssen g er
ferry, dam agin g fittin g s an d m olesting crew
members. What action m ay b e taken?
1305. Can a U K sh ipm aster restrain a person
on b o a rd his ship?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
265
A landing card system, as described in paragraphs 1 7 - 2 1 o f M SN 1794.
An individual passenger boarding card system , as described in paragraph 22, or
another system as described in paragraph 24 o f M SN 1794.
See also Passenger musters and participation in drills in Section E
Yes. The MS (Musters, Training a n d D ecision Support System s) Regulations
1999 (SI 1999/2722) (which are explained in M G N 71) provide that on any
ship carrying passengers where the passengers are scheduled to be on board for
more than 24 hours, a muster o f the passengers must take place within 24 hours
o f their embarkation.
I f only a small number o f passengers embark after the muster has been held, it
will be sufficient, instead o f holding another muster, to draw the attention o f
these passengers to the em ergency instructions provided for every person on
board and the illustrations and instructions posted in passenger cabins and
displayed at assem bly or muster stations.
In M .1409. This deals with: (1) signs; (2) passenger em ergency instructions
notices; (3) public address systems; and (4) means o f drawing passengers’
attention to passenger em ergency instructions notices; (5) example em ergency
instructions for passengers; (6) exam ple em ergency instruction broadcast.
In M .1386. This deals with: (1) public address system; (2 ) marking o f exits and
em ergency escapes; (3) passenger em ergency instructions notices; (4)
passenger em ergency instructions announcement; (5) example em ergency
instructions for passengers; (6) example em ergency instruction broadcast.
(1) M .1386 - Emergency Information for Passengers on Passenger Ships o f
C lasses III, IV, V , VI and VI(A); and (2) M .1409 - Emergency Information for
Passengers. M .1409 contains recommendations “primarily intended for
passenger ships o f C lasses I, II and 11(A)” .
W henever passengers embark on any ship, a passenger safety briefing must be
given, either im m ediately before or im m ediately after the ship sails, by w ay o f
an announcement w hich must: (1) be made on the sh ip’s PA system or by other
equivalent means likely to be heard at least by the passengers w ho have not yet
heard the announcement during the voyage; (2) be made in English and any
other appropriate language; and (3) include clear em ergency instructions. The
briefing may be included in the passenger muster i f this ish e ld im m ediately
before or after sailing. Information cards, posters or video programmes may be
used to supplement the briefing but may not be used to replace it.
Y es. Section 102 o f the M erchant Shipping A ct 1995 applies to a ship (whether
a U K ship or not) carrying more than 12 passengers and em ployed in carrying
passengers between places in the Limited European Trading Area, and
provides that the master o f any ship to which that section applies may refuse to
receive on board any person w ho by reason o f drunkenness or otherwise is in
such a state, or m isconducts him self in such a manner, as to cause annoyance
or injury to passengers on board, and i f any such person is on board, may put
him on shore at any convenient place. (A person so refused admittance or put
ashore w ill not be entitled to the return o f any fare he has paid.)
(1) Where a passenger is drunk or disorderly and is refused adm ission, but
persists in attempting to board after his fare is returned; (2) where a passenger
is drunk or disorderly on board, is requested to leave the ship at a convenient
U K port, but refuses to leave; (3) where, after a warning by the master or
officer, a passenger m olests another passenger; (4) where a passenger is
refused adm ission to a ship because it is full, but persists in attempting to enter
the ship; (5) where a passenger on board is requested to leave the ship because
it is full, but refuses, after the return o f his fare; (6) where a passenger refuses
or neglects to leave the ship after his fare-paid trip; (7) where a passenger on
the ship refuses to pay his fare or show a ticket; (8) where a passenger
intentionally obstructs or damages any part o f the sh ip’s machinery or
equipment; (9) where a passenger obstructs, im pedes or m olests crew on duty.
The master or another officer o f the ship, and all persons called to their
assistance, are em powered by section 101(3) o f the M erchant Shipping A ct
1995 to detain the offenders without warrant, i f their names and addresses are
not known to them, and deliver them to the police.
Section 105 o f the M erchant Shipping A ct 1995 provides that the master o f any
U K ship may cause anv person on board the shin to be nut under restraint if
266
CUSTOMS PROCEDURES (DEPARTURE)
Outward clearance
1306. Which vessels must be c le a re d b y H M
Revenue a n d C ustom s to leave a U K p o rt?
1307. What sim plified Custom s clearan ce
arrangem ents are available?
1308. What docum ents m ust be com pleted to
obtain Custom s clearan ce on departure from a
U K p o rt?
1309. What docum ents m ust the m aster o f a
high -speed craft pro d u ce to a U K Custom s
officer fro m whom clearan ce is bein g
dem an ded fo r an international voyage?
Light dues
1310. What are light dues ?
1311. A re light dues p a y a b le a t U K p o rts?
1312. H ow a re ligh t dues actu ally p a id in the
U K a n d Ireland, a n d who collects them?
1313. A t what sta g e o f a voyage a re light dues
p a y a b le in the UK a n d Ireland?
1314. On w hat basis a re light dues p a y a b le a t
U K p o rts?
1315. A re all vessels using p o rts in the U K
a n d Ireland liable f o r light dues?
1316. I f light dues are p a y a b le by a ship, what
docum ent m ust be o b ta in ed before departure?
PREPARATIONS FOR SEA
General preparations
1317. In the fin a l hours before com pletion o f
cargo o r p a ssen g er operations, w hat
prep a ra tio n s sh ou ld a sh ipm aster m ake for
sailing?
and for so long as it appears to him to be necessary and expedient in the
interest o f safety or for the preservation o f good order or discipline on board
the ship._________________________________________________________________
All vessels leaving a UK port for a destination outside the EU or for a free
zone within the EU.
Subject to certain conditions, vessels having a predictable pattern and duration
o f m ovem ent such as dredgers, offshore supply v essels, standby safety vessels
and ferries may be granted an omnibus clearance (w hich covers a fixed time
period and specified voyages), or advance clearance (where details o f the next
voyages are already known). Local Customs offices make these arrangements.
A General Declaration (IM O FAL form 1 - Customs form C 94) in duplicate; a
Crew List (IM O FAL form 5 - Customs form C97S: a Passenger List (IMO
FAL form 6 C 98) i f the vessel is carrying 12 passengers or fewer; and a
Cargo Declaration (IM O FAL form 21. A Ship’s Stores Declaration (IMO FAL
form 3 Customs form C 95) w ill be required if any stores have been loaded in
the UK.
A valid H igh-Speed Craft Safety Certificate and a valid Permit to Operate
(under The M S (H igh-Speed Craft) Regulations).
' ‘ '
A tax, levied in many nations on shipping calling at ports and terminals, for the
use o f coastal lights, buoys and beacons. “Local light dues” are levied by some
port authorities.
Y es, and at ports in the Republic o f Ireland. They are collected under one
system operating in both nations and are shared between the three lighthouse
authorities serving the two nations, i.e. Trinity House, the Northern Lighthouse
Board and Com m issioners o f Irish Lights.
Light dues are charged to a ship’s disbursements account by the port agent
handling the ship. The dues are later collected from the agent by a Collector o f
Light Dues, who remits them to a General Lighthouse Fund administered by
the U K Department for Transport for distribution between the three general
lighthouse authorities in the U K and Ireland. N o cash payment is m ade by the
ship itself, but i f light dues are payable by the ship, the master must obtain a
receipted Light Certificate from the agent to show' that the correct dues have
been paid at the port. The Light Certificate must be available for inspection by
Customs.
Before departure, i f two voyages (the inward voyage and the outward voyage)
are to be paid for, or at the conclusion o f the inward voyage i f it was the
seventh one on which dues are payable for the accounting year, dues are paid
for one voyage.
A t the current rate set by The MS (Light Dues) Regulations 1997 (SI
1997/562), as amended. This is a specified number o f pence per unit o f net
tonnage (as shown on the sh ip’s International Tonnage Certificate (1969)), and
changes periodically. From 1 April 2010, light dues for an ordinary cargo-
carrying merchant ship are payable on nine voyages per year at the rate o f 43
pence per net ton, subject to a minimum charge o f £ 6 0 and a maximum charge
o f £17,200 per voyage.
N o. Several classes o f vessel are exem pt, including ships putting in solely for
bunkers, stores, crew changes, pilots, medical em ergencies or because o f stress
o f weather or damage (as long as they do not earn revenue from the call).
M any small vessels and harbour craft are also exempt. Ships in ballast are no
longer exempt.
A receipted Light Certificate to sh ow that the correct dues have been paid at
the port.
H e should: d ll check the weather forecast; (2) review the vovage plan with the
navigating officer; (3) liaise with the c h ief engineer and c h ief officer about
readiness for sea: (4) liaise with the ship’s agent about com pletion o f cargo
operations, cargo documentation, and outward clearance; (5) notify the agent
and port authority o f departure intentions: (6) retrieve any sh ip ’s certificates
and docum ents taken ashore by the agent; (7) order pilot, linesm en and tug(s) if
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

Steering gear test and drill requirements
1318. What a re the U K sta tu to iy
requirem ents relatin g to testing o f steerin g g e a r
p rio r to departure?
1319. D oes SO LAS regulation V /26 contain
any sp e c ia l provision s on steerin g g e a r tests f o r
sh ips on sh ort voyages?
1320. What does SO LAS regulation V/26
require regardin g em ergency steerin g g e a r
drills?
1321. Where can the M C A ’s guidan ce on
steerin g g e a r tests a n d checks be found?
Load line law requirements
1322. U nder U K load line law, what
requirem ents m ust be m et before a U K ship
p ro c e e d s to sea?
1323. What m ight be the consequences o f a
UK sh ip n ot com plyin g with h er C onditions o f
Assignm ent in som e w ay?
1324. A UK ship has already com pleted
loading an under-deck bulk cargo o f cement,
d rill water, etc. before com pleting the
discharge o f a back-loaded deck cargo, a n d
consequently appears to be overloaded. Is this
perm itted, sin ce she is in po rt?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
267
required: (81 oblain outward custom s clearance: (9) obtain cargo documents
w h en /if available; (10) check that all crew are on board; (11) test the gear; (12)
make a stow aw ay search i f necessarv (depending on the riskl: (131 i f carrvinp
passengers, have a count m ade in accordance with The MS (P assenger
Counting a n d R egistration) R egulations, ensuring he is informed o f any
persons declaring a need for special care or assistance in em ergencies; (14)
record the names and gender o f all persons on board and communicate all
details to the com pany’s passenger registrar ashore: (151 either hold a
passenger muster or com ply with The M S (Em ergencv Inform ation f o r
P assengers) Regulations, as appropriate for the ve sse l’s class and voyage.
The MS (Safety o f N avigation) Regulations 2002 require com pliance with
SO LAS regulation V /26, which provides that within 12 hours before departure,
the ship’s steering gear shall be checked and tested by the ship’s crew. The test
procedure shall include, where applicable, the operation o f the follow ing: (1)
the main steering gear; (2) the auxiliary steering gear; (3) the remote steering
gear control systems; (4) the steering positions located on the navigation
bridge; (5) the em ergency power supply; (6 ) the rudder angle indicators in
relation to the actual position o f the rudder; (7) the remote steering gear control
system pow er failure alarms; (8) the steering gear pow er unit failure alarms;
and (9) automatic isolating arrangements and other automatic equipment. The
checks and tests shall include: (1) the foil m ovement o f the rudder according to
the required capabilities o f the steering gear; (2) a visual inspection o f the
steering gear and its connecting linkage; and (3) the operation o f the means o f
communication between the navigation bridge and the steering gear
compartment. The date on which the checks and tests are carried out must be
recorded. (In a U K ship an entry must be made on a special page o f the O fficial
Log B ook and signed by the master, or an authorised person on his behalf, and
an officer.)
Y es. The flag State Administration may w aive the steering gear test
requirements for ships which regularly engage on voyages o f short duration,
but such ships must carry out these checks and tests at least once every week.
In addition to the routine (pre-departure) checks and tests, em ergency steering
drills shall take place at least once e v e r / three months in order to practice
em ergency steering procedures. These drills shall include: (1) direct control
within the steering gear compartment; (2) the com m unications procedure with
the navigation bridge; and (3) where applicable, the operation o f alternative
power supplies. The date on which the test is earned out must be recorded. (In
a UK ship an entry must be made on a special page o f the Official Log Book.)
In Annex 18 to the M CA's SO LAS V —2002 P ublication, which is in the
Legislation and Guidance pages o f the M C A ’s website.
U nless exempted, no U K ship may proceed or attempt to proceed to sea unless:
(1) she has been surveyed in accordance with The MS (L oadL in e) Regulations', :
(2) she is marked with a deck line and load lines in accordance with the rules;
(3) she com plies with the Conditions o f Assignment; and (4) she is provided
with information regarding stability, loading and ballasting for the m aster's
guidance. U nless exempted, no U K ship may proceed or attempt to proceed to
sea unless the appropriate Load Line Certificate is in force for the ship. The
master must produce a valid Load Line Certificate to the Customs officer from
whom clearance is demanded. Clearance w ill not be granted and the ship may
be detained until the Certificate is produced.
She may be deem ed dangerously unsafe by the M CA or a port State
Administration, in which case she would alm ost certainly be detained and the
owner or master prosecuted. Her International Load Line Certificate and other
statutory certificates may be suspended or withdrawn by the M CA, her class
may be suspended by her classification society, and she may lose her P&I and
hull and machinery insurance cover.
N o. A U K ship marked with load lines m ust not be so loaded that: (1) i f she is
in salt water and has no list, the appropriate load line on each side is
submerged; or (2) in any other case, the appropriate load line on each side
w ou ld b e submerged i f she were in salt water and had no list, (e.g. as in the
question, where she is in dock water). The fact that the vessel is not intending
to proceed to sea is immaterial: a ship must never be overloaded by more than
her dock water allow ance plus an allowance for down-river consumption o f
bunkers, water a nd other consum ables on her w ay to sea.
268
1325. What is the a llow an ce f o r dow n-river
consum ption referred to in the p reviou s
question?
1326. What fin e s m ay he im posed b y a court
w here a ship is fo u n d o v erlo a d ed in a U K p o rt?
1327. What fu rth er fin e m ay be im p o sed fo r
taking a ship to se a when overloaded?
1328. M ay an o verlo a d e d ship b e detained?
1329. What p en a lty w o u ld the m aster be
liable f o r where the MCA fo u n d a ship
dangerou sly unsafe due to overloading?
1330. D oes a m aster have any defence to a
charge o f overloading in p o rt?
1331. Before a U K sh ip 's departure fro m
port, what notice m ust b e d isp la ye d in
accordance w ith the L o a d Line Regulations,
a n d what m ust be e n tered on it?
Dangerous or polluting goods (“hoziti at”) notifications
1332. Which regulations contain the U K
requirem ents fo r m aking "hazmat
notifications "?
1333. To which inform ation m anagem ent
system are "hazmat ” notifications sent?
1334. Which sh ips m ust m ake "hazmat
n o tification s” under the Vessel Traffic
M onitoring R egulations?
1335. Which ships do the Vessel Traffic
M onitoring R egulations not apply to?
1336. What a re “dangerous g o o d s "f o r the
pu rp o ses o f the Vessel Traffic M onitoring
Regulations?
1337. What a re “p o llu tin g g o o d s" fo r the
pu rpo ses o f the Vessel Traffic M onitoring
R egulations?
1338. A ship carrying dangerous o r pollu tin g
g o o d s is departin g fro m a U K port. What are
the requirem ents o f the Vessel Traffic
M onitoring Regulations?
1339. A U K sh ip ca rryin g dangerous or
pollu tin g g o o d s is departin g fro m a p o r t in an
EEA State other than the UK. What a re the
requirem ents o f the Vessel Traffic M onitoring
Regulations?
1340. A U K sh ip carryin g dangerous or
p o llu tin g g o o d s is com ing fro m a non-EEA
State p o r t a n d is bound f o r a p o rt o r anchorage
in the territorial w aters o f an EEA State other
than the UK. What are the requirem ents o f the
V essel Traffic M onitoring Regulations?
When a vessel is to proceed down-river to sea she may submerge her marks
(beyond the allowance for dock water) to allow for the consumption o f bunker
fuel, water and stores on the river passage.
The owner and the master w ill be liable on conviction on indictment, to a fine,
and on summary conviction, to a fine not exceeding the statutory maximum
(£5000) and to such additional fine as the court thinks fit to im pose, having
regard to the extent to which the earning capacity o f the ship was increased by
reason o f the contravention, but subject to a maximum amount o f £ 1 000 for
each com plete centimetre o f overloading, i.e. £ 5000 plus £ 1000 per centimetre.
Without prejudice to any fine for overloading, the master w ill be liable on
conviction on indictment, to an unlimited fine, and on summary conviction, to
a fine not exceeding the statutory maximum (£5000).
Yes.
On summary conviction, a fine o f up to £50,000, or on conviction on
indictment, tw o years’ imprisonment plus an unlimited fine.
Yes, i f he can prove that the overloading was due solely to deviation or delay
caused solely by stress o f weather or other circumstances which neither the
owner, the charterer (if any) or he could have prevented or forestalled.
A Draught o f Water and Freeboard N otice (M CA form M SF 2004, formerly
FRE 13). The master must enter on it the ship’s assigned freeboards and the
particulars o f loading, including: date and place o f loading; actual draughts
(forward, aft and mean); mean freeboards (actual and corrected); signatures o f
the master and an officer.
The M S (V essel Traffic M onitoring a n d R eporting Requirem ents) Regulations
2 004 (SI 2004/2110), as amended. The Regulations give effect in the U K to
Directive 2002/59/E C (the “V essel Traffic M onitoring Directive” or “VTM
Directive”), '[’heir requirements are explained in M SN 1817. Regulations 10
and 11 relate to “notifications o f dangerous or polluting goods”, also called
“hazmat notifications”.
CERS - The Consolidated European Reporting System. (F or a question on
CERS see P re-a rriva l notification (PAN)) in Section H.)
Ships, regardless o f size, carrying dangerous or polluting goods.
Ships o f less than 300 GT, unless otherwise stated; warships, naval auxiliaries
and other ships owned or operated by the Government o f an EEA State which
are used for non-commercial public service; fishing vessels o f less than 45
metres length; traditional ships o f less than 45 metres length; and recreational
craft o f less than 45 metres length.
(1) G oods classified as dangerous in the IMDG Code; (2) dangerous liquid
substances listed in Chapter 17 o f the IBC Code; (3) liquefied gases listed in
Chapter 19 o f the IGC Code; (4) solids referred to in Appendix B o f the BC
Code; and (5) goods in respect o f w hose carriage appropriate preconditions
have been im posed in accordance with paragraph 1.1.3 o f the IBC Code or
paragraph 1.1 .6 o f the IGC code.
(1) O il, oily mixture, oil fuel or crude oil (as defined in MARPOL Annex I);
(2) noxious liquid substances (as defined in M ARPOL Annex II); (3) harmful
substances (as defined in M ARPOL Annex III) and; (4) any marine pollutant
identified in the IM DG Code.
A shin, carrying dangerous or polluting goods, leaving a U K port and bound
for anv other port, including another UK port, must notifv the departure Dort
authority o f the information in the Annex to M SN 1817 before departure.
(M SN 1817, para. 4.2)
A U K shin, carrying daneerous or pollutina goods, leaving a port in an EEA
State must notify the com petent authority o f that State o f the information in the
Annex to M SN 1817 before departure. (MSN 1817, para. 4.4)
A U K shiD. carrying danaerous or polluting goods, arriving at a port in the
EEA must notifv the com petent authority o f the arrival port State o f the
information iri the Annex to M SN 1817 on departure from the loading port, or,
i f the EEA destination port is not then known, as soon as it is known. (MSN
1817, p ara. 4.5)
THE SHIPMASTER’S BUSINESS SELF-EXAMINER

1341. .A ship carryin g dangerous o r pollu tin g
g o o d s.is com ing fro m a non-EEA S tate p o r t an d
is bound f o r a U K p o r t o r anchorage in U K
waters. What a re the requirem ents o f the Vessel
Traffic M onitoring Regulations?
1342. What is in the Annex to M SN 1817?
1343. What information, liste d in the Annex to
MSN 1817, m ust be notified in a “hazm at
notification ”?
1344. What notification m ust a ship make
before leaving a U K p o r t a n d boun d f o r any
other po rt?
1345. What notification m ust a ship make
when leaving a p o r t outside the EEA area a n d
boun d f o r a U K p o rt o r anchorage?
1346. What notification must a U K ship make
before leaving a p o r t in the EEA area
1347. What notification must a U K ship make
on departure fro m the loading p o r t when bound
f o r a p o r t in the EEA area?
1348. Where sh o u ld a list o f EEA area
com petent auth orities f o r hazm at reporting
p u rposes be foun d?
1349. What is the procedu re w hen there is a
change to any n otified inform ation in
com pliance w ith the Annex to M SN 1817?
1350. U nder w hat conditions are exem ptions
g ra n te d fro m the requirem ent to g ive “hazm at
notifications" under the Vessel Traffic
M onitoring Regulations?
1351. What are the exem ption arrangem ents
in M SN 1817 applyin g to ships carryin g hazm at
cargoes on U K dom estic voyages?
Measures to be taken in event o f exceptionaily bad weather or sea conditions in UK waters
1352. What a re the obligations o f the MCA
under The MS (V essel Traffic M onitoring a n d
R eporting Requirem ents) Regulations 2004
relating to m easures to be taken in the event o f
exception ally b a d w eath er o r se a conditions?
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
269
A ship leaving a nort outside the EEA and bound for a U K port or an
anchorage in U K territorial waters must notify the arri val Dort authority o f the
information in the Annex to M SN 1817 on departure from the loading port or,
i f the UK destination is not then known, as soon as it is known. (M SN 1817,
para. 4.3)
Information to be notified in accordance with Regulation 10 o f The M S (V essel
Traffic M onitoring a n d R eportin g Requirem ents) Regulations (Notification by
ships, regardless o f size, carrying dangerous or polluting goods'!
A: General information as follow s: t i l Ship’s name, call sign. IMO number or
M M SI number; (2) port o f destination; (3) for a ship leaving a port in the EU:
the ETD from port o f departure or pilot station, as required by port authority or
pilot station, and ETA at destination port; (4) for a ship com ing from a port
outside the EU and bound for an EU port: ETA at destination port or pilot
station, as required by com petent authority; and (5) total number o f persons on
board. B: Cargo information as follow s: (1) correct technical names o f the
dangerous or polluting goods, the U N numbers where they exist, IMO hazard
classes in accordance with IM DG, IBC and IGC Codes and, where appropriate,
the class o f ship as defined by the INF Code, the quantities o f such goods and
their location on board and, i f they are being carried in cargo transport units
other than tanks, the identification numbers thereof; (2) confirmation that a list
or m anifest or appropriate loading plan givin g details o f the dangerous or
polluting goods carried and o f their location on the ship is on board; (3)
address from which detailed information on the cargo may be obtained. (M SN
1817, Annex)
A shin leaving a U K Dort and bound for anv other port, including another I JK
port, must notify the departure port authority o f the information in the Annex
to M SN 1817 before departure. (M SN 1817, para. 4.2)
A ship leaving a port outside the EEA area and bound for a UK nort or an
anchorage in U K territorial waters must notify the U K destination port
authority o f the information in the Annex to M SN 1817 on departure from the
loading nort or. if the UK port o f destination is not then known, as soon as it is
known. (M SN 1817, para. 4.3)
A U K shin leaving an EEA State nort must n otify the com petent authority o f
the port State o f the information in the Annex to M SN 1817 before departure.
(M SN 1817, para. 4.4)
A U K ship arriving at (i.e. bound for) an EEA State port must notify the
competent authority o f the EEA arrival port State o f the information in the
Annex to M SN 1817 on departure from the loading port. or. i f the EEA port o f
destination is not then known, as soon as it is known. (M SN 1817, para. 4.5)
A list o f com petent authorities for each M ember State, to whom the
information in the Annex to M SN 1817 should be sent, w ill be published by
European Maritime Safety A gency (EM SA) and is expected to be made
available on their w ebsite at w w w .em sa.eu.org (Note: At 1 Decem ber 2010 this
list could not be found on the EM SA w ebsite.)
Where information has been notified in com pliance with the Annex to M SN
1817, the ship must im m ediately notify the person to whom it was notified o f
any changes to it. (M SN 1817, para. 4.6)
The M CA may grant an exem ption in respect o f a scheduled service between
UK ports so that regulation 10(2) shall not applv to the owner, agent or master
o f a ship engaged on that scheduled service provided that the person who
operates the scheduled service (a) maintains, and keeps up to date, a list o f the
ships engaged on that scheduled service, sends that list, and details o f all
updates, to the M CA, and ensures that, in respect o f each voyage made by a
ship whilst engaged on the scheduled service, the information in the Annex to
M SN 1817 is kept so that it can be provided at any time by electronic means to
the M CA im m ediately upon request.
Ships carrying dangerous and polluting goods on U K dom estic vovapes. mav
apply to the M C A N avigation Safety Branch, at the address given in M SN
1817, for an exem ption from the requirement to make notifications. Operators
o f exem pted ships must maintain a list o f ships concerned and immediately
update the M CA o f any changes. Exempted ships must make the information in
the Annex to M SN 1817 available electronically to the M CA im mediately on
request for each voyage made. (M SN 1817, para. 4.8)
W henever, in the event o f exceptionally bad weather or sea conditions, the
M CA are o f the opinion, based on information provided by the M et O ffice, that
there is (1) a serious threat o f pollution in U K waters or the territorial sea o f
any other EEA State; or (2) a risk to human life, the M C A w ill provide,
whenever possible, the master o f a ship intending to leave a port affected by
270
1353. What recom m endation m ay the MCA
g iv e to the m aster o f a sh ip in, o r a bou t to
enter, an area in U K w aters f o r which
exception ally b a d w eath er o r se a conditions are
fo re c a st?
1354. What a re the obligations under The MS
(V essel Traffic M onitoring a n d Reporting
Requirem ents) Regulations 2004 o f the MCA
a n d o f shipm asters relatin g to bunkering during
exception al w eath er a n d se a conditions in U K
w aters?
J355. Who m ust a sh ipm aster inform when the
MCA have given th eir recom m endation about
entering o r leaving p o r t o r bunkering during
exception al w eath er a n d se a conditions?
1356. What m ust a sh ipm aster do where, in
his profession al judgem ent, he decides not to
a c t in accordance with an MCA
recom m endation about entering o r leaving p o r t
o r bunkering during exceptional w eath er a n d
se a conditions?
the conditions with full details of: (a) the weather conditions and sea state; and
(b) the danger the weather conditions and sea state may cause to the ship or any
people or cargo on board.
A recommendation that the ship: (1) should enter or leave a port in a relevant
area; (2) should not enter or leave a port in a relevant area; (3) should not be
bunkered; or (4) should only be bunkered subject to certain conditions, until
the M CA are o f the opinion that there is no longer a serious threat o f pollution
or a risk to human life.
If the M CA are o f the opinion that a ship in an area in U K waters for which
exceptionally bad weather or sea conditions are forecast should not be
bunkered or should only be bunkered subject to certain conditions, they must
inform the master o f that opinion. A ny such recommendation or opinion o f the
M CA must be given by the quickest means available and i f not in writing, must
be confirmed in writing as soon as is practicably possible. If a shipmaster is
informed by the M CA o f such an opinion, the master must ensure that his ship
is not bunkered or that the conditions subject to which the ship should be
bunkered are com plied with, as the case may be.
Where, under The M S (V essel Traffic M onitoring an d Reporting Requirements)
R egulations, the M CA give a shipmaster a recommendation about entering or
leaving port or bunkering, or an opinion about bunkering, the master must
inform the shipowner o f that recommendation or opinion as soon as is
practicably possible and by the quickest means available.
He must inform the M CA o f the reasons for his decision.
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
Appendix

Websites listed in the text

AM VER ww w.am ver.com

Baltic Exchange w w w .balticexchanee.com
BIMCO w w w.bim co.dk
Chamber o f Shipping www.british-shipDine.ore
Confidential Hazardous Incident Reporting Programme (CHIRP) ww w.chirp.co.uk
Department for Transport (DfT) w w w .dft.gov.uk
Equasis ww w .equasis.org
EU Community legislation http://eur-lex.europa.eu
Health and Safety Executive (H SE) w w w .hse.eov.uk
Health and Safety Executive for Northern Ireland (HSENI) w w w .hseni.gov.uk
HM Revenue and Customs (HMRC) www.hm rc.gov.uk
IHS Fairplay w w w .ihsfairplav.com
Institute o f Chartered Shipbrokers w w w .ics.ore.uk
Intercargo w w w .intercareo.org
Intermanager www.intermanaeer.ore
International A ssociation o f Classification Societies (IA CS) w w w .iacs.ore.uk
International Chamber o f Shipping www.m arisec.org
International Labour Organization (ILO) ww w .ilo.org
International Maritime Bureau (IM B) Piracy Reporting Centre w w w .icc-ccs.org
International Maritime Organization (IM O) w w w .im o.org
International Salvage Union (JSU) w w w .m arine-salvaee.com
International Shipping Federation ww w.m arisec.org
International Telecom m unication Union (ITU) www.itu.int
International Transport Workers’ Federation w w w .itfglobal.org
Intertanko www.intertanko.com
legislation.gov.uk (to replace OPSI and Statute Law Database) w w w .leeislation.eov.uk
Marine Accident Investigation Branch (M AIB) ww w .m aib.gov.uk
Marine M anagem ent Organisation (M M O) ww w.m arinem anaeem ent.ore.uk
Maritime and Coastguard A gency (M CA) w w w .m cea.eov.uk
O fcom Licensing Centre w w w .ofcom .ore.uk/licensine
O ffice o f Public Sector Information (O PS!) w w w .opsi.gov.uk
Paris M OU on Port State Control ww w.parismou.ora
Red Ensign Group w w w .redensip ieiou p.org
Statute Law Database w w w.statutelaw. gov. uk
UK Border A gency (U K B A ) ww w .ukba.hom eoffice.eov.uk
World Health Organization w w w .w ho.int

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Index
Anchor watch kept by rating, 209
Anchors and cables, 53, 54
Underlined number indicates principal page.
Anchors and chain cables certificates, 99
Ancillary training, 110
Annexes to Official Log Book, 97, 106
Annual leave, 148
A/Amax, 92, 93 Annual Summary o f Admiralty Notices to Mariners, 52, 205, 206,
AB Certificate, 120
209,210,234
Abandon ship drills, 143, 144
Annual survey in the Harmonized System o f Survey and
Access refusal (banning) in Paris MoU region, 255
Certification, 64
Accession, 2
Antarctic area (under Sewage and Garbage Regulations), Restrictions
Accident record, Safety officer’s, 150
on UK ships entering, 215
Accident Reporting and Investigation Regulations, 106, 151
Antarctica, Restrictions on ships entering, 204
Accident reporting and investigation, 151
Anti-fouling system documentation, 91, 92
Accident reports, 152
Anti-Fouling Systems Convention, 54,91
Accidents and incidents at sea, Reporting of, 222
Anti-fouling systems, 54
Accidents to shore-based workers and accidents in UK shipyards,
Arbitration Clause, 166, 179
Reports of, 153 Arbitration, 166
Accidents. 151. 152, 153
Archipelagic sea lanes, 206
Accidents, Official Log Book entries relating to, 153
Archipelagic States, 7
Accidents, On-board investigation of, 153
Archipelagic waters, 204, 206. 207
Accidents, Preservation o f evidence following, 106, 153
Armed robbery, 204
Accommodation, Inspection of crew, 130
Arrest of ships, 25. 26
Act o f God, 165, 182
Arrival preparations, General, 234
Act o f Parliament, 11
Arrival preparations, Ship and port security, 235
Action code, Paris MoU, 255
Arrival, Documents to have ready for, 235
Action dates, IMO, 7
Arrived ship, 169
Actual total loss, 195, 196
Artificial Optical Radiation Regulations, 130,141
Additional clause (in Crew Agreement), 124. 127, 155
Asbestos Regulations, 130, 141
Additional Freeboard Sheet (AFS), 93
Assistance to which British ship is entitled, Types of, 41
Additional Safety Measures for Bulk Carriers Regulations, 61, 95, 96
Athens Convention, 8, 9
Additional survey in the Harmonized System o f Survey and
Audit of shoreside SMS, Annual, 33
Certification, 65
Automatic identification system (AIS), 49, 50, 51, 201, 202, 241
Admiralty claim, 24
Average adjuster, 196, 199, 200, 228,230, 249, 261, 263, 264
Admiralty Court, 11, 24, 25, 26
Average bond, 263, 264
Admiralty law, 11
Average guarantee, 263
Admiralty Lists o f Lights, 52
Average, Definition of, 196
Admiralty Lists o f Radio Signals, 52, 208
Admiralty Sailing Directions (“pilot books”), 52, 210,234
Advanced Fire Fighting training, 110, 113 B
AFS Convention, 54, 91 Bailee, The master as, 107, 164
Agency o f necessity, Power of, 224 Ballast water exchange methods, 239
Agency, Definition of, 22 Ballast Water Exchange Standard, D -1, 239
Agent of necessity. The master as, 23, 107, 224 Ballast Water Management Certificate, 105
Agent, Definition of, 22 Ballast Water Management Convention, 104, 238
Agent, Preparations for, 238 Ballast water management documentation, 105. 106
Agent, Primary duties o f ship’s, 246 Ballast Water Management Plan, 105, 239, 240
Agent, Principal of ship’s, 246 Ballast water management, 238
Agent, Ship’s, 164, 246, 266 Ballast water management, Guidance on, 239
Agent’s authority, 23 Ballast Water Performance Standard, D-2, 104. 239
Agents and agency, 22, 23 Ballast Water Record Book, 105. 106, 239
Agents under time charters, 173 Ballast water treatment equipment, 104. 105
Agents under voyage charters, 167 Baltic Exchange, 163
Air pollutants: legislation, Emissions of, 216 Banks, Involvement in carriage o f goods by sea of, 161
Air pollution prevention in port, 258 Banning (access refusal) in Paris MoU region, 255
AIS at sea, Use of, 201, 202 Bareboat charter registration, 40, 4 1
AIS operation in port, 241 Bareboat charter, 176
AIS, 49, 50, 51, 201, 202, 241 Barratry, 166, 195, 209
ALC 1(a), 123, 124, 125, 126, 127, 128, 157 Baselines and internal waters, 205
ALC 1(b), 121,123, 124, 125, 126, 127, 128 Basic Tanker training, 110
ALC 1(c), 123, 125, 127, 138 Basic training, 110.113, 114, 120
ALC 1(d), J23, 124, 127 BC Code, 185, 189
ALC 1,123 BCH Code, 2, 64, 82, 100, 185
A LC6,123, 124, 126, 127, 128 BCSN, 190
Alcohol and drugs, 156 Beaching, 219. 220
Alcohol limits, 156 Berth charter party, 169
All seasons load line, 87 Berth List, 68, 92, 93
Allision, 219, 244 Berth, Safe, 168, 169
Alternative Compliance Scheme (ACS), 62 Berthing, 244
Amending or cancelling Official Log Book entries, 97 Bill of lading as a document of title, Use o f 177
AMERC, 116 Bill of lading , 176
AMVER. 210.211 Bill of lading, Contents of, 178

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274

Bill of lading, Endorsements and other details on, 179 Cargo operations, Preparations for, 238
Bill of lading, Functions of, 176 Cargo Record Book (MARPOL Annex II), 100
Bill of lading, Generation of, 177 Cargo records, 98
Bill of lading, Negotiability of, 179 Cargo residues, 212,214. 215
Bill of lading, Types of, 178 Cargo Securing Manual, 186
BIMCO, 36, 262 Cargo ship (non-passenger ship) classes, UK, 56
Biological Agents Regulations, 140 Cargo Ship Safety Certificate (CSSC), 79
Black, White and Grey Lists, Paris MoU, 252. 255 Cargo Ship Safety Construction Certificate (SCC), 77
BLU Code, 188 Cargo Ship Safety Equipment Certificate (SEC), 78
Blue card, 89 Cargo Ship Safety Radio Certificate (SRC), 79
Boarding cards, Passenger, 264, 265 Cargo ships for SOLAS purposes. Ships deemed, 58
Bonded stores, 237,245 Cargo, Stowage and securing of, 186
Border control officials, Preparations for, 238 Cargo-related problems, 191
Border control, UK., 238, 246 Cargoworthiness, 165
Bottomry, 26 Carriage o f Cargoes Regulations, 185. 186
Breach of contract, Remedies for, 22 Carriage of Goods by Sea Act 1971 (COGSA 71), 183
Breach of warranty in marine insurance policies, 193 Carriage of Goods by Sea Act 1992 (COGSA 92), 180
Breaches of Code o f Conduct, Procedure for dealing with, 155 Carriage o f goods by sea rules, 8, 180
Bridge Navigational Watch Alarm System (BNWAS), 53 Carriage on board o f STCW certificates, 118
Bridge order book, 208 Carrier, 163
Bridge Procedures Guide, 208. 219 Carrier, Common, 163
British consul, 17, 205, 248, 249, 250 Carrier, Private, 163
British consulates, 17 Carrier’s lien, 166
British ships and UK ships, 39 Carving and Marking Note, 39
BSF clauses, 122 CAS Final Report, 63
Builder’s Certificate, 39,40 CAS Statement o f Compliance, 63
Bulk Cargo Shipping Name (BCSN), 190 CAS survey, 63
Bulk cargoes other than grain, Special provisions for, 187 CAS, 63
Bulk cargoes, Loading, unloading and stowage of, 187 Case law, 11
Bulk carrier notations, 44 Categorisation o f Waters Regulations, 56
Bulk carrier triangle mark, 95 Categorised waters, 56
Bulk Carriers Regulations, Additional Safety Measures for, 95 Category I and 2 British registers, 39
Bulk carriers. Additional safety measures for, 95 Category X, Y and Z noxious liquid substances, Discharges of, 2 13
Bulk carriers, Loading and unloading of, 188 CERS, 222, 232
Bunker Clause, 174 Certificate o f British Registry as a Bareboat Charter ship, 41
Bunker CLC Certificate, 58, 89, 198 Certificate o f British Registry, 39,40, 4 1, 62, 67, 68, 94, 106
Bunker declaration, 235 Certificate o f British Registry, Contents of, 40
Bunker Delivery Note, 102,257.258 Certificate o f British Registry, Loss, destruction or defacement of, 41
Bunker fiiel oil quality, 256 Certificate o f British Registry, Period of validity of, 40
Bunker fiiel oil samples, 102,256, 257 Certificate o f British Registry, Renewal of, 4!
Bunker Oil Pollution Insurance Certificate (Bunker CLC), 58, 89, Certificate o f British Registry, Use of, 41
198 Certificate o f Class, 43, 45, 46,48, 57, 61, 64, 74, 94, 247
Bunker oil pollution insurance, 193 Certificate o f Class, Interim, 46, 57, 247
Bunkering in exceptional weather and sea conditions in UK waters, Certificate o f Discharge, 127, 128
270 Certificate of Entry (P&I), 198
Bunkering, 256 Certificate o f Equivalent Competency (CEC), 109, 118. 126, 247
Bunkering, Precautions when, 256 Certificate o f Equivalent Competency (CEC), Temporary, 118
Bunkers Convention insurance requirements, 198 Certificate o f Financial Responsibility (Water Pollution), US, 58, 90,
Burial at sea, 217.218 199
Buyer (importer), 161 Certificate o f Financial Responsibility, California, 90
BWM Convention, 104 Certificate o f Fitness for the Carriage o f Dangerous Chemicals in
Byelaws, 11 Bulk, 81

c mmmmmc.
Call sign, 39,40, 77, 79, 80, 86, 94
Certificate o f Fitness for the Carriage o f Dangerous Chemicals in
Bulk, International, 81
Certificate o f Fitness for the Carriage of Liquefied Gases in Bulk, 81
Certificate of Fitness for the Carriage of Liquefied Gases in Bulk,
Cancelling Clause , 169, 174
International, 81
Cancelling date, 169
Certificate o f Insurance or Other Financial Security in respect o f
CAP Certificate, 47
Civil Liability for Oil Pollution Damage (CLC Certificate or
CAP rating, 47
OP1C), 89
CAP survey, 47
Certificate of Insurance or Other Financial Security in respect of
Capital costs, 27
Civil Liability for Bunker Oil Pollution Damage (Bunker CLC
Carcinogens and Mutagens Regulations, 140
Certificate), 89
Cargo at sea, Care of, 2 11
Certificate o f Proficiency as a Ship Security Officer, 114, 119
Cargo care information, 2 1 1
Certificate o f Provisional British Registry, 40
Cargo care, Evidence of, 211
Certificate o f Survey, 39,40
Cargo Declaration, 235, 237, 245. 266
Certificates of Competency, Deck department, 115
Cargo documentation, Carriage on board of, 186
Certificates o f Competency, Engine department, 115
Cargo Information for Solid Bulk Cargoes, Form for, 190
Certificates of Equivalent Competency, UK, 118
Cargo information, 186, 190
Certificates of Fitness for gas carriers and chemical tankers, 8 1
Cargo insurance, 199
Certificates required by ship types, 67
Cargo insurers, 162
Certification of Ship Security Officers, 114, U 9
Cargo Loading Manual, 95, 187
Certification of ships’ cooks, 118
Cargo manifest, 245
Cesser and Lien Clause, 171

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 275

Cesser Clause, 171 Code of Safe Working Pract ices, Legal status of, 134
Chain Register (Register o f Lifting Appliances and Cargo Handling COFR, 58, 90, 199
Gear), 98, 137,238 COGSA 71 provisions relating to live animals and deck cargo, 183
Chamber of Shipping, 35 COGSA 71, 183
Chamber o f Shipping, International, 35 COGSA 92, 180
Change o f ship’s name, 41 Collision liability, 3/4ths, 193
Channel Navigation Information Service (CNIS), 17 Collision Regulations, 208, 209. 210
Charter by demise, 179 Collision, 218
Charter parties, 165 Collision, Master’s non-statulory duties following, 219
Charter party terms, Types of, 165 Collision, Master’s statutory duties following, 218
Charter party, Definition of, 165 COLREG Convention, 5
Charter, Bareboat, 176 Command, Taking over and handing over, 247
Charter, Time, 172 Common carrier, 163
Charter, Voyage, 167 Common carriers, Exceptions from liability of, 165
Charterers, 163 Common law legal systems, 21
Charterers’ obligations under voyage charter party, 167 Common law obligations of carriers, 163
Charts and nautical publications, 52 Common law salvage, 224,228
Chemical Agents Regulations, 140 Common law, 11
Chemical tanker Certificate o f Fitness, 81 Company security officer, 34, 35, 54, 72, 128, 129, 203, 221,259
Chemical tanker codes, 2 Company under SOLAS chapter Xl-2, Specific responsibility of, 34
Chief Engineer’s Statement o f Examination o f Surveyable Company’s ISPS Code obligation regarding designation o f Company
Machinery Items, 45 security officer, 35
CHIRP, 154 Company’s ISPS Code obligation regarding support for master and
CIF sale terms, 161, 199 ship security officer, 34
Civil courts in England and Wales, Ranking of, 12 Company’s ISPS Code obligations regarding master’s authority, 34
Civil law legal systems, 21 Company’s obligations imposed by ISPS Code, 34
Civil law, 11 Compass adjuster, 53
Civil Liability Convention insurance requirements, 198 Compass deviations, Record of, 53
Claim in rem, 25, 247 Compasses, 53
Class A, B, C and D passenger ships, 56 Competent authority (for ship security alert system), 54, 203
Class III, IV or V passenger ship certificates, 67 Competent person (safety official), 149
Class Memoranda, 46 Complaints about provisions or water, 159
Class notation, 43, 44, 45,47, 48, 61, 74 Complaints by crew members, 159
Class rules, 43 Complete Surveys o f Machinery (CSM), 45
Class status of ships under tow, 47 Concentrated inspection campaign (CIC), Port State control, 252
Class surveyor is unobtainable, Action when damage sustained but, Condition (in contract), 22
46 Condition Assessment Programme (CAP), 47
Class surveys, 44, 45 Condition Assessment Scheme (CAS), 47, 62, 63
Class VII cargo ship certificates, 67 Condition o f Class, 46, 54, 247
Class VII cargo ship certificates, 67 Conditions o f Assignment, 85, 267
Class VII offshore supply vessel certificates, 68 Conditions of Assignment, Consequences o f breach of, 267
Class VII(T) chemical tanker certificates, 67 Conditions of Assignment, Record of, 85, 86
Class VII(T) tanker certificates, 67 Conduct and discipline, 154
Class, Certificate of, 43, 45, 46, 48, 57, 61, 64, 74, 94 Conduct for the Merchant Navy, Code of, 154
Class, Interim Certificate of, 41 Confirmation o f Receipt of Application - Certificate of Equivalent
Classes, UK statutory ship, 55 Competency (CRA), 118, 126, 247
Classification societies authorised by MCA as Recognised Conning plan, 235
Organisations, 37, 44, 59 Consignee, 162
Classification society, Definition of, 43 Consolidated European Reporting System (CERS), 222, 232.
Classification, Ship, 43 Constant weight, 89
Clause Paramount, 168, 178, 192 Construction and equipment for UK ships, Approved standards of, 37
CLC Certificate, 58, 198 Construction and maintenance standards, International and EU law
Clean Bill of lading, 178 on, 37
Clearance, Inward, 244. 245 Construction regulations applicable to classes of UK passenger ship,
Clearance, Outward, 266 55
Closing a Crew Agreement and List o f Crew, 12.8 Constructive total loss, 196
Closing out of non-conformities, 69, 70 Consul, British, 17, 248, 249
CNIS, 17 Consular business and protests, 248
COA (Contract o f affreightment), 166. 167 Container or Vehicle Packing Certificate, 185
Coastal State jurisdiction, Zones of, 204 Contiguous zone, 7, 204, 205, 206. 207
Coastguard, HM, 16 Continental shelf, 7, 204, 206, 207, 245
Code o f Conduct for the Merchant Navy, 154 Continuous Survey o f Hull, 46
Code o f Conduct, Procedure for dealing with breaches of, 155 Continuous Survey o f Machinery, 46
Code of Practice for Noise Levels in Ships, 139 Continuous Synopsis Record, 42, 106
Code of Practicc for the Safe Loading and Unloading o f Bulk Contract o f affreightment (COA), 166, 167
Carriers (BLU Code), 188 Contract, Contents o f a, 21
Code o f Safe Practice for Cargo Stowage and Securing, 186 Contract, English law of, 21
Code of Safe Practice for Ships Carrying Timber Deck Cargoes, 186 Contract, Factors that vitiate a, 22
Code o f Safe Practice for the Carriage o f Cargoes and Persons by Contract, Formation of, 21
Offshore Supply Vessels (OSV Code), 185 Contracts of carriage by sea, 164
Code of Safe Working Practices for Merchant Seamen, 113, 114, Contracts, Discharge of, 22
129, 131, 132,133, 134, 135, 136, 137, 138, 139, 140, 141, 149, Contractual lien, 25
150, 151 Contractual provisions in Crew Agreement, 121
Code of Safe Working Practices Regulations, 133 Contractual salvage, 223, 224

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276
Contributions to general average, 249, 263
Control of Noise at Work Regulations, 139
Control of Vibration at Work Regulations, 139
Controlled waters, UK 222,223
Conventions, ILO, 7
Conventions, IMO, 1
Conviction on indictment, 12
Conviction, Summary, 12
Cooks, Carriage o f ship’s, 120
Cooks, Certification o f ships’, 118
Coroners’ Inquest, 21
Correspondent, P&l club, 157, 197
COSHH Regulations, 17,139
Costs, Ship, 27
Counter Pollution and Response Branch, MCA, 15
Counter-piracy plan, 203
Counting of passengers, 264
Court hierarchy, UK, 12
Court procedures. UK. 12
Courtesy ensign, 234
CRA, 118, 126, 247
Crew accommodation, Master’s weekly inspection of, 129
Crew Agreement and List of Crew, 106, 123, 125, 128, 248
Crew Agreement and List o f Crew, Closing a, 128
Crew Agreement documents, Preparation of, 123
Crew Agreement, Persons exempted from requirement to sign a, 121
Crew Agreements, 120
Crew documents, Checking, 126
Crew drunkenness, Dealing with, 157
Crew List (IMO FAL Form 5), 125, 127, 234, 235, 237, 245, 266
Crew participation and frequency o f drills, 143
Crew’s Effects Declaration (IMO FAL Form 4), 235, 237,245
Crew’s knowledge of English, 126
Criminal courts in England and Wales, Ranking of, 12
Criminal law, 11,12
Criminalisation o f shipmaster, 107
Crisis Management and Human Behaviour training, 111, 112
Crowd Management training, 111, 112, 114
Crown Dependencies, 39
Cruise ship certificates, Class 1, 67
CSR Document, 42, 23
CSR Forms 1,2 and 3,42, 43
CSS Code, 2, 3, 186
Customs clearance on arrival at UK ports, 244
Customs clearance, Preparations for, 237
Customs procedures before departure from UK port, 266
Customs, health and immigration procedures (arrival), 244
“Dismissal” breaches of Merchant Navy Code o f Conduct, “Serious”
or, 154
D -1 Ballast Water Exchange Standard, 239
D-2 Ballast Water Performance Standard, 104, 239
Daily reporting, Statutory requirement for, 222
Daily reports, 222
Damages for detention, 171
Danger messages, 218
Dangerous Goods and Marine Pollutants Regulations, 183
Dangerous goods and marine pollutants, 183
Dangerous goods by offshore supply vessels. Carriage of, 185
Dangerous goods classes, 184
Dangerous Goods Document o f Compliance, 102, 103, 185
Dangerous goods documentation required by ship, 184
Dangerous goods legislation, UK, 183
Dangerous Goods Note, 176
Dangerous goods, Definition of, 184
Dangerous goods/marine pollutants declaration, 184
Dangerous goods/marine pollutants list, manifest or stowage plan,
185
Dangerous Goods/Marine Pollutants Note, 185
Dangerous or polluting goods (“hazmat”) notification (under VTM
Regulations), 232, 268
Dangerous space drills, 136
THE NAUTICAL INSTITUTE
Dangerously unsafe ship, 268
Davit-launched liferaft on-board training, 144
Deadfreight, 168
Deadweight, 89
Death, Master’s action following seaman’s, 157
Deaths, 157
Deaths, UK inquiries following, 158
Deceased seaman’s property and wages, 158
Decision Support System, 146. 220
Deck cargo and general average, 263, 264
Deck cargo endorsement on Bill of lading, 182
Deck cargo, Hague-Visby Rules restrictions on cover of, 182
Deck department certificates of competency, 115
Declaration o f Eligibility, 39
Declaration o f General Average, 263
Declaration of Security, 221, 222, 235. 236, 237
Declaration on Anti-Fouling System, 91, 92
Deductible in H&M policy, 27, 195
Deductible in P&l club policy, 27, 197, 257
Deductions from wages for breaches o f Crew Agreement, 157
Deep sea pilotage, 208
Delegated UK legislation, 11
Delegation of MCA surveys to classification societies, 14
Delivery and redelivery of time-chartered vessel, 174
Delivery Certificate, 174
Delivery o f cargo, 171
Delivery on time charter, 174
Demise Clause, 178
Demurrage Clause, 170, 171
Demurrage, 166, 167,170, 171, 192
Department for Transport (DfT), 12, 13, 14, 19
Design, construction and maintenance standards. International and
EU law on, 37
Designated person (DP or DPA), 27,28, 29, 30
Despatch or despatch money, 171
Detention and arrest, Difference between, 15
Detention Notice, 15, 18
Detention o f arriving ship for health reasons, 246
Detention o f overloaded ship, 267
Detention of passenger on board by master, 265
Deviation Clause, 168
Deviation Clause, P&l, 168
Deviations on a voyage charter, Justifiable and unjustifiable,, 209
Directions under section 3A, Merchant Shipping Act 1995, 229
Discharge Book, 119, 127, 128, 159
Discharge criteria for machinery space oil, 212
Discharge criteria, Noxious liquid substances, 213
Discharge criteria, Oil tanker cargo area, 2 12
Discharge criteria, Sewage, 214
Discharge o f crew members, 127
Discharge o f dirty ballast from oil fuel tanks, 212
Discharges in MARPOL Annex I special areas, 212
Discharges o f noxious liquid substances (NO,): legislation, 213
Discharges of oil, exceptional, 212
Discharges o f oil: legislation, 211
Discharges o f sewage: legislation, 214
Discharges outside MARPOL Annex I special areas, 212
Disciplinary procedure, Importance o f correct, 155
Discipline where Merchant Navy Code o f Conduct does not apply,
154
Disponent owners, 172,250
Disposal o f garbage: legislation, 214
Disposal of plastics and expired pyrotechnics, 215. 216
Disposal o f waste in port, 258. 259
Distress alert, Statutory duties on receiving a, 220
Distress incidents, 220
Distress signals, Misuse of, 221
Distress signals, Permitted, 220
Distress, Rescue and treatment of persons in 221
Docking survey for class, 45
Doctor, Carriage o f ship’s, 120
Document o f authorisation for the carriage of grain, 188
Document o f Compliance (ISM), 28, 33, 70
Document o f Compliance (ISM), Issue of, 28
 277

Document o f Compliance (ISM), Withdrawal of, 33 EU ban on single-hull tankers carrying heavy grades o f oil, 240
Document o f Compliance, Dangerous Goods, 102. 103, 185 European Community (EC) law, 11
Document o f title, Use o f bill of lading as a, 177 European Union (EU) member States, 235
Documents to be checked by master joining ship being reactivated Evidence following accidents, Preservation of, 106, 153
after lay-up, 261 Evidence of Ship Compliance (A/Amax Compliance Certificate), 91,
Documents to be checked by new master when joining ship, 247 92
Documents to have ready for arrival, 235 Exception and exemption (from convention requirements), 1
Documents, Carriage of seafarer, 6, 126 Exception clause (in contract), 22
Documents, Checking crew, 126 Exceptional discharges of oil, 2 12
Domestic Ship Safety Management Certificate, 33, 71 Exceptionally bad weather or sea conditions in UK waters. Measures
Draught o f Water and Freeboard Notice (MSF 2004), 268 to be taken in event of, 240, 270
Drills and hours o f rest, 148 Exceptions from liability o f common carriers, 165
Drills in closing o f doors, side scuttles and other openings, 143 Exceptions from liability o f private carriers, 165, 166
Drills, Abandon ship, 143. 144 Exclusion clause (in contract), 22
Drills, Crew participation and frequency of, 143 Exclusive Economic Zone (EEZ), 7, 204, 205, 206, 207. 222
Drills, Dangerous space, 136 Exemption Certificate, 58. 60
Drills, Fire, 143 Exemption clause (in contract), 22
Drills, Rescue boat and emergency boat, 144 Expanded inspection, Paris MoU, 254
Drug and Alcohol Policy, 124, 127, 156 Express term, 21
Drunkenness, Dealing with crew, 157 Extending protest, 249, 264
Drydock and Repair Specification, 261 Extension o f certificate validity, 66, 248
Drydocking, 261
DSM Code audits and certification, 33, 71
DSMCode, 33, 71,233
F
Familiarisation training, !09, 110, 113, 114, 120, 145, 247
Duties of company and master concerning work o f safety officials,
Familiarisation training, Company’s ISM Code obligations
151
regarding, 31
Duty of Assured (Sue and Labour) Clause, 196
Familiarisation, STCW requirements re- shipboard, 6
Fast Rescue Boat training, 113
Fatal Accident and Sudden Death Inquiry, 21
Early Departure Procedure, 191 FCL shipment, 162,
EC Directives, 11 Female workers, 132
EC Notified Body, 49 Fine, 12, 13, 60, 89, 90, 107, 126, 150, 157, 197, 204, 209, 210, 214,
EC Regulations, 11 217, 218, 230, 235, 243, 257, 267, 268
ECDIS navigation. Transition from paper chart to, 53 Fines, £25,000, 13
ECDIS, 52, 53 Fines, £250,000, 13
EEA, 126 Fines, £50,000, 13
Efficient Deck Hand (EDH), 110 Finnish-Swedish Ice Class Designations, 47
Electronic Chart Display and Information System (ECDIS), 52, 53 FIO terms, 167, 168
Elementary First Aid Training, 110, 113, 114 Fire control plans, 99
Emergency information for passengers, 265 Fire drills, 143
Emergency instructions, 142 Fire Prevention and Fire Fighting training, 109
Emergency shipboard situations, Company’s ISM Code obligations Fire training manual, 99
regarding potential, 32 Fire wallet, 99
Emergency signals, 143 Firearm Certificate, 93
Emergency steering gear drills, 267 Firearms, Declaration to UK Customs of, 245
Emergency Towing Vessel contract, MCA, 15, 16 Fixture, 164
Emission Control Area, Definition of, 5 Flag o f convenience (FOC) registration, 38
Emission Control Areas designated by MARPOL Annex VI, 5, 216 Flag State Administration, 13, 250
Emissions o f air pollutants: legislation, 216 Flag State control, 250
Emissions o f air pollutants: nitrogen oxides (NO*), 216 Flag State duties, 13
Emissions of air pollutants: ozone-depleting substances, 216 Flag State recognition o f certificates issued by other STCW parties,
Emissions o f air pollutants: shipboard incineration, 217 118
Emissions of air pollutants: sulphur oxides (SO,), and particulate Flag State, Definition of, 250
matter, 216. 217 Flotsam, 248
Employer’s liability insurance, 193 FOB sale terms, 161
Employment o f Young Persons Regulations, 138. 147 Food Safety legislation, UK, 130
EmS and MFAG, 185 Form E, 78
Enforcement Unit, MCA, 15 Form for Cargo Information for Solid Bulk Cargoes, 190
ENG I Medical Fitness Certificate, 117. 126, 247 Form P, 75
Engagement o f crew members, 126 Form R, 79
Engine department certificates of competency, 115 Formal investigations, 20
Engine International Air Pollution Prevention Certificate, 84 Formal Safety Assessment, 2, 3
Engine Watch Rating Certificate, 116, 117 Formal warning by Head of Department under Merchant Navy Code
English language in bridge communications, Use of, 126 o f Conduct, 155
English, Crew’s knowledge of, 126 Formal warning by master under Merchant N aw Code o f Conduct,
Enhanced Survey Programme, 45, 61, 62, 95 155
Enhanced survey report file, 247 Fraud of the owner or consignor o f goods, 165
Enhanced surveys, 61, 62, 63 FRE 13 (MSF 2004), Form, 268
Entry into Dangerous Spaces Regulations, 136 Free in and out (FIO) terms, 167, 168
Equasis, 256 Free pratique, 245
Equipment Number, 54 Freeboard Sheet, 93
Equivalency, Letter of, 54, 55 Freeboard, Greater than minimum, 87
Equivalents, 54 Freeboard, Types of, 86, 87

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Freight forwarder. 162. 176, 177, 178, 191 Harbour towage preparations, 235
Freight, 168 Harbour towage, 243
Freight, Demurrage and Defence cover, 197 Harmonized System of Survey and Certification (HSSC), 63
Fresh Water Safety Plan, 129 Hazardous incidents, Reporting of, 153
Full term and short term statutory certificates, 57 Hazmat notification (under VTM Regulations), 232, 268, 269
Fumigation in port, 246 Heading and/or track control systems, 201
Health and Safety at Work Regulations, 130
G Health and Safety Executive (HSE), 17, 153, 189
Health and Safety Executive for Northern Ireland (HSEN1), 17
Garbage disposal placards, 101
Health and safety legislation, 130
Garbage disposal records, 101. 215
Health and safety policy, 131
Garbage in MARPOL Annex V special areas, Disposal of, 215
Health and safety training and instruction, 132
Garbage in MARPOL Annex V special areas, Disposal of, 215
Health clearance at UK ports, 237, 238, 245
Garbage Management Plan, 101
Health clearance on arrival, Preparations for, 237.238
Garbage outside MARPOL Annex V special areas, Disposal of, 215
Health surveillance, 132
Garbage reception facilities, Action when encountering inadequate,
Health, safety and welfare, 129
258. 259
High seas, 7, 12.207
Garbage Record Book, 101. 106,
High Speed Craft Safety Certificate, UK, 93
Garbage, Disposal in port of, 258
High-speed craft (HSC) certification, 68, 93
Garbage: definitions, 214. 215
High-Speed Craft Code, 3, 112
Gas and chemical tanker codes, 2
High-speed craft personnel, Training of, 112
Gas carrier Certificate o f Fitness, 81
High-Speed Craft Safety Certificate, 93, 94, 266
Gas carrier codes, 2
Hill Harmony ruling, 172
GC Code, 2, 81, 185
Himalaya (tort) ruling, 24
General average act, Elements necessary to qualify as a, 261
Hire or charterhire, 173
General average and marine insurance, Relationship between, 199
Hire, Suspension of, 173
General average contributions, 249,263
HM Coastguard, 16,223
General Average Deposit Receipt, 263
HM Revenue and Customs, 15, 244, 245, 266
General average deposit, 263
Hot pursuit, 207
General average loss, 261
Hours o f rest and seafarers on call, 148
General average security, 200, 231, 263. 264
Hours o f rest in emergencies, Suspension o f scheduled, 148
General average, Deck cargo and, 263, 264
Hours o f rest records, 148
General average, Declaration of, 263
Hours of rest requirements and Safe Manning Document, 149
General average, Purpose and principle of, 261
Hours o f rest schedule (table o f duties), 148
General average, Rules for adjustment of, 261
Hours of rest, Drills and, 148
General Declaration (IMO FAL Form 1), 235, 237, 245, 266
Hours o f rest, Minimum, 138, 147
General duties o f employer under Health and Safety at Work
Hours of work and rest, Table o f scheduled, 148
Regulations, 131
Hours of Work and Watchkeeping Regulations, Safe Manning, 73,
General duties of workers under Health and Safety at Work
119, 126, 130,259,260
Regulations, 132
Hours of Work Regulations, 146
General inspection by MCA, 60
Hours of Work Regulations, Duties under, 147
General lien, 25
Hours of Work Regulations, Personnel not covered by, 147
General Lighthouse Fund, 266
Hours o f work, 146
Global Maritime Distress and Safety System (GMDSS), 3, 4
HSC Code, 49, 61, 92, 93, 94, 112
Global sulphur cap, 216, 256
HSE and MCA, Division of enforcement responsibilities between, 17
GMDSS operator carriage requirement, 116
HSE, 17, 153, 189
GMDSS operators’ certificates, 116
Hull and machinery insurance, 46, 172, 193, 194, 195. 196
GMDSS Radio Log, 97, 106, 220
Hull insurance market practice, London, 194
GMDSS Sea Areas, 4
GMDSS, 3
Goal-based safety standards for passenger ships, 37 I
GP ratings, 118, 120 IACS Common Rules for Oil Tankers and Bulk Carriers, 44
Grain loading documentation, 188 IACS Unified Requirements, 44
Grain loading manual, 187 IACS, 44
Grain, Requirements for ships carrying, 187 1AMSAR Manual, 52
Greater than minimum freeboard, 86 IBC Code, 2, 64, 82, 100, 184, 185, 232
Gross tonnage, 88 Ice Certificate (for Russian ports), 48
Grounding, 2 19 Ice Class Certificate (formerly required for Finnish ports), 48
Groupage or consolidation, 162 Ice classes, 47
Guarding o f Machinery Regulations, Revocation by PUWER of, 135 Identity o f Carrier Clause, 178
Guidance o f Surveyors, MCA, 61 Identity o f carrier in bill of lading terms, 178
Identity o f carrier under time charter, 175
lG C C ode,2, 63, 81, 184, 185
IHS Fairplay, 28
Hague Rules, 180, 192, 209
Illness, 146
Hague-Visby Rules restrictions on cover of live animals and deck
Illness, Master’s statutory duties in event o f crew, 146
cargo, 182
ILO 147, Convention, 8
Hague-Visby Rules, 180. 192, 209
1LO 152, Convention, 98
Hague-Visby Rules, Application of, 180
ILO 178 inspection, 59, 70,130, 138, 148
Hague-Visby Rules, Carrier’s obligations under, 181
ILO 178, Convention, 7
Hague-Visby Rules, Carrier’s rights and immunities under, 181
ILO 180, Convention, 7
Hague-Visby Rules, Carrier’s rights re- dangerous goods shipped
ILO, 7
under, 182
IMDG Code, J83, 184, 215, 232
Hamburg Rules, 180
Immigration officer, 245
Handing over command, Taking over and, 247

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IMO action dates, 7 International Convention on Civil Liability for Oil Pollution Damage
IMO codes dealing with dangerous goods, 183 1992, 89
IMO codes, 2 International Convention on Salvage 1989, 224
IMO Company Identification Number, 28 International Court o f Justice, 7
IMO conventions, I International Grain Code, 186
IMO guidelines, 2 International Health Regulations, 8, 237
IMO protocols, 2 International Hull Clauses (01/11/03), 194
IMO recommendations, 2 International Labour Organization (ILO), 7
IMO resolutions, 2 International Load Line Certificate (1966), 57, 58, 59, 64, 65, 67, 68,
IMO Ship Identification Number, 41,42 84, 85, 94
IMO Unique Company and Registered Owner Identification International Load Line Certificate, 58, 84
Number, 27, 28 International Maritime Bureau (IMB) Piracy Reporting Centre, 203
IMO White List, 6 International Maritime Dangerous Goods (IMDG) Code, 183, 184,
IMO, 1 215,232
Implementation of Ship Source Pollution Directive Regulations, 213 International Maritime Organization (IMO), 1
Implied term, 21, 22 International Maritime Solid Bulk Cargoes (IMSBC) Code, 2, 3, 186,
Improvement Notice, 17 189. 190
IMSBC Code, 2, 3, 186,189, 190 International Noxious Liquid Substances Certificate (INLSC), 82
Incident Report Form (1RF), 150, 153 International Oil Pollution Prevention Certificate (IOPPC), 58, 59,
Incident reporting schemes, 154 80,81,82, 83, 100, 104
Incinerators and shipboard incineration, 50 International Pollution Prevention Certificate for the Carriage o f
INCOTERMS®, 161 Noxious Liquid Substances in Bulk (IN LS Certificate), 82
Indefinite Agreement, 122, 127 International Radio Regulations, 8
Indemnity, Meaning of, 194 International Safety Management (ISM) Code, 2, 3, 14, 28, 29, 30,
Indictment, Conviction on, 12 31,33, 59,61 ,6 7 ,6 8 , 6 9 ,7 0 ,7 1 ,7 2 , 108, 111, 112, 116, 117,208,
Infectious disease, Report of, 237 202, 260,261,264
Informal warning under Merchant Navy Code o f Conduct, 155, 157 International Salvage Convention 1989, 164, 224, 226,227, 229
Inherent vice, 165 International Salvage Union (ISU), 36
Initial survey in the Harmonized System of Survey and Certification, International Sewage Pollution Prevention Certificate (ISPPC), 83
64 International Ship and Port Facility Security Code, 2, 3, 34, 203, 221,
Injuries, Reporting o f serious, 153 235, 236, 237, 259
Innocent passage. 7, 205 International Ship Security Certificate, 42, 59, 62, 67, 71, 72, 73
Inquiries and investigations, UK, 20 International Shipping Federation (1SF), 36
Inspection of crew accommodation, Master’s weekly, 129 International Telecommunication Union (ITU), 7
Inspection o f provisions and water, Master’s weekly, 129 International Tonnage Certificate (1969), 88, 266
Inspection o f seafarers’ working and living conditions, MCA, 129 International Transport Workers’ Federation (ITF), 174
Inspection o f ships’ documents, MCA surveyors’ powers of, 15 International Underwriting Association (IUA), 194
Inspection o f the outside o f the ship’s bottom, 59, 63, 64, 65, 75, 77 Intertanko, 36
Inspection report, Paris MoU, 255 Intervention powers o f other States, 230
Inspection, ILO 178, 59, 70, J30, 138, 148 Intervention powers, UK government, 229
Institute Cargo Clauses, 199 Investigation of accidents. On-board, 153
Institute Time Clauses - Hulls ( I /I 0/83), 193, 195 Inward clearance, 244.245
Institute Warranty Limits, 174, 193, 195, 204 In-water surveys, 45, 59, 62, 68
Instructions for the Guidance o f Surveyors, MCA, 6 1 IOPP Certificate, 58, 59, 80, 8 1, 82, 83, 100, 104
Insurable interest, 194 IRF, Form, 150
Insurance broker, 193, 195 IS Code, 2008, 6
Insurance claims, 196 ISM Code 2010, 29
Insurance law and principles, 193 ISM Code and other management schemes, Comparison of, 30
Insurance policies, 193 ISM Code audits, 68
Insurance warranties, 193 ISM Code certification o f laid-up ships, 71, 260
Insurance when under tow, 196 ISM Code certification, 70
Insurance, Cargo, 199 ISM Code, 2, 3, 14. 28, 29, 30, 31, 33, 59, 61, 67,68, 69, 70, 71, 72,
Insurance, Hull and machinery, 46, 172, 193, 194, 195. 196 108, I I I , 112, 116, 117, 208,202,260, 261,264
Insurance, Marine, 193 ISM Code, Application of, 28
Insurance, Principles of, 194 ISM Code, Contents of, 28
Insurance, Shipowners’, 193 ISM Code, IMO Guidelines on the Implementation o f the, 29
Insurance-related organisations, 199 ISM Code, MCA guidance on, 28
Intercargo, 36 ISM Code, Obligations imposed by, 30
Interim Certificate o f Class, 46, 57, 247 ISM Code, Purpose of, 29
Interim Document o f Compliance, 32,67, 70 ISO 9002, Comparison between ISM Code and, 30
Interim Safety Management Certificate, 33, 70 ISPS Code in UK, Implementation of, 34
Intermanager, 36 ISPS Code obligation regarding participation in security exercises,
Intermediate survey in the Harmonized System o f Survey and 35
Certification, 64 ISPS Code obligation regarding training of Company Security
Internal audit (ISM), 30, 33, 68, 69 Officer and others, 35
Internal ship security audit, 73, 129 ISPS Code obligations regarding Ship Security Assessment, 35
Internal waters, 205 ISPS Code requirements affecting ship, 71
Internal waters, UK, 12 ISPS Code, 2, 3, 34,203, 2 2 1, 235, 236, 237, 259
International Air Pollution Prevention Certificate (1APPC), 83, 101 ISPS Code, Company’s obligations imposed by, 34
International Anti-Fouling System Certificate, 91 ISPS Code, Functional requirements of, 34
International Association of Classification Societies (IACS), 44 ISPS Code, Objectives of, 34
International Chamber o f Shipping (ICS), 35 ITF, 174
International Code o f Signals, 52 ITU Radio Regulations, 8,218
International Code on Intact Stability, 2008 (IS Code), 6

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J Lloyd’s Register, 37, 43,44, 45,47, 48, 49, 59, 87

Jetsam, 248 Lloyd’s underwriters, 194
Jettison or other proper general average sacrifice (as a common law Load line annual survey, 85
exception to liability), 165 Load Line Certificate, International, 57, 58, 59, 64, 65, 67, 68, 84,
Jurisdiction over UK and non-UK ships and seafarers, 12 85,94
Load Line Convention certificates, 58
Load Line Exemption Certificate, 68, 85, 86, 87
L Load line law requirements before proceeding to sea, 267
“Lesser” or “non-dismissal” (Paragraph 11) breaches o f MN Code o f Load line legislation, 84
Conduct 154. 155 Load line marks, 87
Lagan, 248 Load Line Regulations, 86, 267
Landing card, 246 Load line, AH seasons, 87
Language in bridge communications, English, 126 Load lines, Multiple, 87
Language, Common working, 114 leading and discharging cargo, 185
Law o f the Sea Tribunal, 7 Loading and Stability Manual, 81, 82
Laycan period, 169 Loading and unloading of bulk carriers, 188
Laydays and cancelling date, 169 Loading, unloading and stowage o f bulk cargoes, 187
Laydays, 169 LOADLINE Convention, 5
Laytime Clause, 165, 169, 170 LOF 2000, 225, 226, 227, 228
Laytime exceptions, 170 LOLER, 98, 130, 135, 136. 137
Laytime interruptions, 170 London hull and machinery insurance market, 194
Laytime Statement, 171 Long international voyage, 55, 56, 57, 75
Laytime, 169 Long-Range Identification and Tracking (LRIT), 51
Laytime, Conditions for commencement of, 169 Low sulphur fuel oils, Records relating to, 102
Lay-up, 71, 260 LRIT, 51
Lay-up, Effect on ISM documentation of, 71, 260 LSA Code, 3
Lay-up, Effect on ISPS certification of, 260 LSA for all personnel, Insufficient, 260
LCL shipment, 162 LSA training manual, 99, 145
Leave, Annual, 148 LSA, Testing of, 145
Leaving a seaman behind abroad, 158 LSA, Weekly and monthly inspections of, 145
Lesser (Paragraph 11 or “non-dismissal”) breaches o f Merchant
Navy Code o f Conduct, 154
Letter o f credit. 161. 180 "I
Letter o f Equivalency, 54, 55 M Notices, 19
letter o f indemnity (no bill o f lading produced), 179, 192 Machinery surveys for class, 45
Letter o f indemnity in return for “clean” Bills o f Lading, 179, 192 MAIB investigations, 20
Letter of protest, 170, 191, 192.244. 250 MAIB, 19
Letter o f undertaking, P&l club, 197 MAIB, Reports to, 152, 153
Letters o f indemnity connected with Bills o f Lading, 179 Major injury, 152
Lien Clause, 171 Major non-conformity, 69
Lien for wages, Seaman’s, 108 Management level, 115
Lien, Agent’s maritime, 247 Management reviews, Company’s ISM Code obligations regarding,
Lien, Carrier’s, 166 32
Lien, Maritime, 25, 26 Mandatory Surveys for Ro-Ro Ferry and High Speed Passenger Craft
Lien, Master’s, 108 Regulations, 66
Lien, Possessory, 25, 264 Mandatory surveys o f ro-ro feiTy and high speed passenger craft on
Lien, Salvor’s maritime, 228 EU services, 66
Liens, 25 Manifest, Cargo, 245
Lifeboats and liferafts, Designated personnel in, 142 Manifest, Dangerous goods, 184. 185. 190
Lifting Appliances, Register of, 98, 137, 238 Manila Amendments to STCW, 114
Lifting equipment, Maintenance of, 137 Manning, 119
Lifting equipment, Records of, 137 Manning, Company’s ISM Code obligations regarding, 31
Lifting equipment, Training in the use of, 137 Manoeuvring booklet, 242
Lifting Operations and Lifting Equipment Regulations (LOLER), 98, Manual Handling Operations Regulations, 138
130, 135, 136. 137 Marine Accident Investigation Branch (MAIB), 14, 19.
Light Certificate, 266 Marine adventure, 193
Light dues, 266 Marine Equipment Regulations, 48, 49
Lightweight, 89 Marine Evacuation Systems (MES) training, 114
Liner agent, 164 Marine Guidance Notes (MGNs), 19
Liner services, 164 Marine Information Notes (MINs), 19
Liner terms, 164 Marine Insurance Act 1906, 193
List o f Crew for Exempted Seamen, 121, 123. 125, 127 Marine insurance and insurance providers, Types of, 193
List o f Crew, 109, 121, 123, 124, 125, 127, 128, 157, 159,247,248 Marine insurance legislation, UK, 193
List o f Young Persons. 123. 125, 127 Marine Offices, MCA, 14
List, manifest or stowage plan for packaged dangerous goods, 184, Marine pollutant, Definition of, 184
185 Marine warranty survey, 200
Lists o f Crew, 125 Marine warranty surveyors, 200
Live animals and deck cargo, COGSA 7 1 provisions relating to, 183 Mariner’s Handbook, 52, 210
Live animals, Hague-Visby Rules restrictions on cover of, 182 Maritime and Coastguard Agency (MCA), 14
Lloyd’s (insurance market), 193, 194, 195, 196, 199 Maritime Assistance Service, 230
Lloyd’s Agents, 199 Maritime claim, 24, 247
Lloyd’s and Companies hull policies, Cover under, 195 Maritime Declaration of Health, 90, 221, 235, 237, 238
Lloyd’s brokers, 194 Maritime Labour Convention, 2006, 8
Lloyd’s Open Form (LOF), 224,226, 227, 228, 229 Maritime lien, 25, 26

THE NAUTICAL INSTITUTE

 281

MARPOL and other pollution-related certificates, 58 MSNs, 19

MARPOL Annex I special areas, 211 Multi-flagged fleet, Audit o f and issue o f DOC to Company
MARPOL Annex I special areas, Discharges in, 212 operating a, 33
MARPOL Annex I special areas, Discharges outside, 212 Multiple load lines, 87
MARPOL Annex I, New chapter 8 of, 217 Multiple Ship Agreement, 123
MARPOL Annex V special areas, 2 15 Muster List Approval Document, 142
MARPOL Annex V special areas. Disposal o f garbage in, 215 Muster list, Information to be included in, 142
MARPOL Annex V special areas, Disposal of garbage outside, 215 Muster lists and emergency instructions, Master’s statutory
MARPOL Annexes, 4 responsibilities in relation to, 142
MARPOL Convention, 4 Muster lists, 141
MARPOL surveyors, 15 Muster o f passengers, 265, 266
MARS report, 154 Musters, Training and Decision Support Systems Regulations, 141
Master as agent o f necessity, 23, 107, 224
Master as agent, 107
Master as bailee, 107. 164
N
“No more favourable treatment” rule, 251
Master, Company’s ISM Code obligations regarding the, 31
NAABSA berths and ports, 169
Master/pilot information exchange, 242
National claims to maritime jurisdiction, 204
Master/pilot relationship, 242, 243
National flag registration, 38
Master’s authority, Company’s ISPS Code obligations regarding, 34,
National maritime administration, 13
35
Nationality restrictions on masters o f UK ships, 125
Master’s discretion for safety o f life at sea and protection o f the
Nautical Almanac, 52
marine environment, 108. 202
Nautical publications to be carried by UK ship, 52
Master’s discretion for ship safety and security, 108, 202. 259
Navigational activities. Records of, 98
Master’s general average procedure at port o f refuge, 264
Navigational equipment and systems, 49
Master’s hand-over report, 247
Navigational equipment and systems. Use of, 201
Master’s liabilities, 107
Navigational warnings, 218
Master’s lien, 108
Navigational Watch Rating Certificate, 116
Master’s power o f restraint, 265
Near-coastal area, UK, 74, 115, 124, 125
Master’s power to exclude drunken passengers, 265
Near-coastal in STCW 95, Meaning of, 115
Master’s responsibilities in common law, 107
Near-coastal on a UK certificate o f competency. Meaning of. 1! 5
Master’s responsibilities under ISM Code, 108
Negligence o f the consignor, 165
Master's responsibility and authority. Company’s ISM Code
Negligence, 24
obligation to define and document, 31
Negotiability of bill o f lading, 179
Master’s role and legal status in engagement and discharge
Negotiable document o f title, 179
procedures, 126
Net tonnage, 88, 266
Master’s safe, 247
New Inspection Regime, Paris MoU, 252
Master’s standing orders, 208
NFD clauses, 123
Master’s statutory duties in event of crew illness, 146
Night, Working at, 148
Master’s weekly inspections, 129
NLS Certificate, 58
Mate’s receipt (M/R), 176
Noise Levels in Ships, Code o f Practice for, 139
MCA Emergency Towing Contract, 15, 16
Non-conformity, 69, 223
MCA Enforcement Unit, 15
Non-passenger ship classes, UK, 56
MCA superintendents, 14
Non-permanent ship’s personnel, Application o f hours of rest
MCA surveyors, 14
requirements to, 148
MCA website, 16
Non-statutory ship certificates, 57
MCA, 14
Notary public, 249
MCA’s 2002 SOLAS V Publication, 19, 49, 51, 52, 53, 61, 79, 98,
Note protest, When to, 249
210, 241
Notice Clause (in Crew Agreement), 122, 123, 124
MCA’s functions with respect to statutory surveys, 14
Notice o f readiness, 169. 170
Means o f Access Regulations, 134
Notice o f readiness, Invalid, 170
Measurement survey. 39,40,41
Notices to Mariners, Annual Summary of Admiralty, 52, 205, 206,
Medical Care Certificate, Proficiency in, 114
209,210, 234
Medical care training, 110, 113
Notices to Mariners, Weekly, 52,209
Medical Examination Regulations, 117
Notification, Dangerous or polluting goods (“hazmat”), 231
Medical First Aid Certificate, 114
Notification, Pre-arrival, 231
Medical First Aid training, 113
Notification, Ship’s waste, 231
Medical Fitness Certificate, 117. 126, 247
Notifications prior to arrival at UK ports and terminals: overview,
Medical log, 146
Statutory, 231
Memorandum to Owners, 46
Notifications, Paris MoU, 255
Merchant Shipping Act 1995, t,9 , 11, 12, 13, 14, 15, 16, 17, 18,20,
Notify party, 162
25,27, 37,38,97, 108, 119, 121, 123, 125, 126, 138, 157, 158,
Noting protest, 249
204,213,224,229,248, 265
NO, Technical Code, 5, 84
Merchant Shipping Notices, 19
NO, Technical File, 84
MES training, 114
Noxious liquid substance: definition, 213
MGNs, 19
Noxious liquid substances discharge criteria, 213
MHB, 190
Noxious liquid substances: legislation, Discharges of, 213
Minimum Safe Manning Document, SOLAS requirement for a, 73
NVOC, 163
Minimum Standards Convention, 8
MINs, 19
Mixed and other legal systems, 21 o
MMS1, 19,39 Obligations of shipowners and time charterers, Basic, 172
MODU Code, 68 Obligations o f shipowners and voyage charterers, Basic, 167
More detailed inspection, Paris MoU, 254 Observation, 69
Mortgages, 38, 39 ODMCS, 49, 50

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282

Ofcom, 19, 39, 98, 99 Passenger muster, Practice, 265, 266

Offences and penalties, 12, 13 Passenger musters and passenger participation in drills, 144
Offences, £25,000, 13 Passenger registrar, 264, 266
Offences, £250,000, 13 Passenger safety briefing, 265
Offences, £50,000, 13 Passenger ship (for SOLAS certification purposes), Definition of, 58
Off-hire survey, 174, 175 Passenger ship classes, UK, 55
Officer Nationality Regulations, 125 Passenger Ship Construction Regulations, 55
Official Log Book (OLB), 96, 106, 123, 124, 130, 145, 150, 151, Passenger ship regulations in force 1 July 2010, New, 37
153, 155, 156, 157, 158, 159,202,209, 220,223,241,247,248, Passenger Ship Safety Certificate, 75
267 Passenger ships for SOLAS purposes, Which ships are, 58
Official Log Book (Part II - Passenger ships only) (LOG 2), 97 Passenger Ships on Domestic Voyages Regulations, 55, 56
Official Log Book entries relating to accidents, 153 Passenger ships other than ro-ro ships, Training o f personnel in, 111
Official Log Book entries relating to watertight doors, 97 Passenger ships, Keeping order in, 265
Official Log Book entries, Amending incorrect, 96 Passenger tenders, Certification of, 77
Official Log Book entries, to be made by master in person, 96 Passenger, SOLAS definition of, 57
Official Log Book sections, 96 Passengers, Counting of, 264
Official Log Book, Annexes to, 97 Passengers, Emergency information for, 265
Official Log Book, Disposal of, 97 Passengers, Master’s power to exclude drunken, 265
Official Log Book, Entries required in, 96 Passengers, Practice musters of, 265, 266
Official Log Books Regulations, 96 Pathways to certification, 117
Official Number, 39, 40,42, 76, 86, 94, 96, 106 PC/UMS Documentation o f Total Volume, 88
Offshore renewable energy installations (OREIs), 204 PC/UMS Net Tonnage Certificate, 88
Offshore safety zones, 204, 209 Peril, Actions when in, 224
Offshore supply vessels, Carriage o f dangerous goods by, 185 Perils insured against under Institute Time Clauses - Hulls (1/10/83),
Oil Pollution Insurance Certificate (OP1C or CLC), 198 195
Oil pollution insurance requirements, US, 199 Perils o f the sea, 202
Oil pollution prevention equipment, 49 Period time charter, 172
Oil Record Book (Part I) (machinery space operations), Entries in, 99 Periodical survey in the Harmonized System o f Survey and
Oil Record Book (Part II) (cargo/ballast operations) (oil tankers). Certification, 65
Entries in, 100 Permit to Operate High-Speed Craft, 93, 94, 266
Oil Record Book, 99, 100, 106, 212, 259 Permits-to-work, 141
Oil tanker cargo area discharge criteria, 212 Personal Protective Equipment Regulations, 137
Oily water separator and ODMCS, Difference between, 49 Personal Safety and Social Responsibility training, 110
On-board instruction, training and training manuals, 145 Personal Survival Techniques training, 109, 110, 113, 114, 120
On-hire survey, 174 Persons in distress, Rescue and treatment o f 221
Open cover, 199 Pesticides, Use of, 187
Operational level, 115 Pilot access control, 241
Operational Limitations Document, 77, 247 Pilot boarding preparations, 235
OPIC, 198 Pilot card, 235, 242
OSV Code, 185 Pilot identity document, 241
Outward clearance, 266 Pilot transfer arrangements, 241
Overloading, 267, 268 Pilot’s duty to report ship’s deficiencies, UK, 243
Owners’ obligations under voyage charter party, 167 Pilot’s legal status, 242
Oxygen analysis and gas detection equipment, 186 Pilotage Act 1987,242
Ozone Depleting Substances Record Book, 102 Pilotage Direction, 243
Ozone depleting substances, 101. 102, 216 Pilotage Exemption Certificate, 243
Pilotage in Panama Canal, 242, 243
Pilotage information, 242
Pilotage law, 242
P&l Bunker Deviation Clause, 168, 209
Pilotage, 241
P&l call, 197
Pilotage, Deep-sea, 208
P&l club correspondent, 157, 197, 259, 264
Piracy incidents, Reports of, 203
P&l clubs and salvage, 197
Piracy, Legal definition of, 203
P&l clubs, 197
Piracy, Legal definition of, 203. 204
P&l cover, 193. 197
Placards, Garbage disposal, 101
P&I documents carried on board ship, 198
Place o f refiige, 230
Packaged goods, 103, 184, 185
Place of safety, 226
Packing Certificate, 185
Plans for shipboard operations, Company’s ISM Code obligation
Panama Canal Tonnage documentation, 88
regarding developing, 3 1
Paragraph 11 (“lesser” or “non-dismissal”) breaches of MN Code of
Plastics and expired pyrotechnics, Disposal of, 2 15.216
Conduct, 154
Plying limits for UK passenger ships of Classes IV, V and VI, 55
Paragraph 9 (“dismissal”) breaches o f MN Code o f Conduct, 154
Plying limits, Effect of breaching MCA-imposed, 204
Paris MoU notifications, 255
Polar Class, 48
Paris MoU, 15.251
Pollution Control Zone, UK, 12, 222, 223
Particular average, 196
Pollution liability certificates, 58, 89
Particular lien, 25
Pollution liability insurance, 198
Particularly Sensitive Sea Area , Definition of), 5
Port arrival preparations, 2 3 1
Passenger boarding cards, 264, 265
Port charter party, 169
Passenger Certificate, 75
Port facility security officer, 128, 129, 235, 237
Passenger count, 266
Port of choice, 39,40, 41,96, 106
Passenger Counting and Registration Regulations, 264, 267
Port of refuge decisions and general average expenditure, 230
Passenger counting system, 265
Port of refuge, 230, 263
Passenger for SOLAS purposes, Definition of, 58
Port of refuge, Master’s general average procedure at, 264
Passenger List (IMO FAL Form 6), 237, 245,246, 266
Port State Administration, Definition of, 251

THE NAUTICAL INSTITUTE


Port State control agreements, Regional, 251
Port State control authority. Definition of, 251
Port State Control Directive, 231
Port State Control Directive, 252
Port State control inspection types and procedure, Paris MoU, 253.
254
Port State Control Officer, 251,255
Port State control pre-arrival notifications, Paris MoU region, 232,
234
Port State Control Regulations, 252
Port State control, 250
Port State control. Definition of, 251
Port State control, MCA’s functions with respect to, 15
Port State, Definition of, 251
Port Waste Reception Facilities Directive, 231, 233
Port Waste Reception Facilities Regulations, 231, 233, 258
Possessory lien, 25, 264
Post-dismissal procedure ashore, 156
Pre-arrival notification (PAN) (under VTM Regulations), 232
Pre-arrival notifications, Other, 234
Precedent, 11
Preliminary voyage under voyage charter party, 167
Preparations for sea, 267
Prevention of Oil Pollution Regulations, 58, 61,81
Prevention o f Operation Notice, 66, 67
Prevention o f Pollution by Sewage and Garbage Regulations, 214,
215
Primary UK legislation, 11
Principles o f insurance, 194
Principles of Safe Manning, 73
Private carrier, 163
Private carriers, Exceptions from liability of, 165
Proceeding to sea without appropriate documentation, 60
Proficiency in Medical Care Certificate, 114
Proficiency in Survival Craft and Rescue Boats (PSCRB) training,
110,113
Prohibited or restricted sea areas, 204
Prohibition Notice, 17, 18
Proper officer, 17, 61
Property and wages o f deceased seaman, 158
Property and wages of seaman left behind abroad, 159
Prosecutions in UK, 15
Protection and indemnity association, 197
Protest (or “sea protest”), 249
Protest, Extending, 249
Protest, Letter of, 170, 191, 192,244,250
Protest, Noting, 249
Protocols, IMO, 2
Provision and Use o f Work Equipment Regulations (PU WER), 135
Provisional British registration, 40
Provisional British Registry, Certificate of, 40
Provisions and Water Regulations, 129
Provisions and water, Inspections of, 130
Provisions and water, Supply of. 129
Provisions or water, Complaints about, 157, 159
Proximate cause, Doctrine of, 194
Public Health (Ships) Regulations, 237, 245
Publications to consult before first entering a port, 235
Putting-by, 220
PUWER, 135
Pyrotechnics, Disposal of expired, 215, 216
Q Rotterdam Rules, 8, 180, 183
Qualified persons for purposes of owning a registered UK ship, 39
Quarterly listing, 44
Queen’s enemies, 165
Radar and ARPA Simulator training - Management Level, 110
Radar and ARPA Simulator Training - Operational Level, 110
Radio equipment, Monthly and weekly tests and checks of, 97
Radio Installations Regulations, 97
Radio Licence, Ship, 98,99
THE SHIPMASTER’S BUSINESS SELF-EXAMINER
283
Radio Log, GMDSS, 97, 106, 220, 248
Radio Navigational Warnings, 52
Radio operator certificates, 116
Radio personnel, Carriage of, 116
Radio personnel, Certification of, 116
Radio Regulations, International (ITU), 7, 8
Radio surveys o f UK ships, 79
Railways and Transport Safety Act 2003, 156
Ratification, 2
Rating categories, 119
Ratings, Training of, 114
RBD form (MSF 4605), 157, 158, 248
Reactivation following lay-up, 71, 260, 261
Receipts from waste oil reception facilities, 259
Receiver o f Wreck, 16, 228, 248
Receiver, 162.
Recognised organisations (ROs) approved by UK, 37
Recognized security organization (RSO), Definition of, 35
Recognized security organizations, UK policy regarding, 35
Recommendations, IMO, 2
Record Book o f Engine Parameters, 84
Record o f Anti-Fouling Systems, 91
Record o f Conditions o f Assignment, 85
Record of Construction and Equipment, 80, 83, 103
Record o f Inspection (Form MSF 1102), 78
Records of appointment of safety officials, 149
Records o f musters, drills, training and on-board instruction, 145
Records o f navigational activities, 98
Records, Hours o f rest, 148
Red Ensign Group, 39
Redelivery Certificate, 175
Redelivery of time chartered ship, 174, 175
Register o f Lifting Appliances and Cargo Handling Gear, 98, 137,
238
Registration and Certificate of British Registry, Ship, 37
Registration procedure, UK, 39
Registration purposes and benefits, 37
Registration requirements, UK, 38
Registry o f Shipping and Seamen (RSS), 19, 39, 40, 41,42, 43, 97
Relief, maintenance and repatriation of seamen, 158. 248
Remedies for breach of contract, 22
Renewable energy zone (REZ), 207
Renewal survey in the Harmonized System o f Survey and
Certification, 57, 61, 63,64, 65, 66
Repatriation o f seamen, 122, 155, 157. 158
Report to UK Customs, 244
Reporting o f accidents and incidents at sea, 222
Rescue and treatment o f persons in distress, 221
Rescue boat and emergency boat drills, 144
Resolutions, IMO, 2
Respondentia, 26
Responsibilities o f owner and master under Survey and Certification
Regulations, 59
Rest period of young persons, 138
Rest period, 138, 147, 148
Restraint, Master’s power of, 265
Restrictions on inspection o f ship security documentation by foreign
governments, 255
Return of Death form (MSF 4605), 157, 158, 248
Risk assessment, 131
Ro-ro/passenger personnel, Training of, 111
Ro-ro/passenger ship certificates. Class 11(A), 67
Ro-ro/passenger ship certificates, Class II, 67
Royal Yachting Association (RYA), 116
RSS, 19, 39, 4 0 ,4 1 ,4 2 ,4 3 , 97
Rules and regulations, Company’s ISM Code obligation to ensure
personnel have a knowledge o f applicable, 31
Run Agreement, 122
Running Agreement, 121, J22, 123, 124, 125, 128
Running costs, 27, 167, 172
284

S Security level, Setting of, 72, 203

Security levels 1, 2 and 3, Meanings of, 72
“Serious” or “dismissal” (Paragraph 9) breaches of Code of Conduct,
154 Security provisions concerning Company, 33
Security, General average, 200, 231, 263, 264
Safe berth, 168. 169
Security, Salvage, 200,228, 231
Safe Loading and Unloading o f Bulk Carriers Regulations, 188
Seller (exporter), 161
Safe Manning Document, 73, 112, 119, 120, 147, 149, 157,247
Serious injuries, 152, 153
Safe Manning Document, Obtaining a, 73
Serious injuries, Reporting of, 153
Safe Manning Document, Withdrawal by MCA of, 74
Sewage discharge criteria, 214
Safe Manning, Hours of Work and Watchkeeping Regulations, 73,
Sewage pollution prevention equipment, 50
119, 126, 130,259,260
Sewage, Definition of, 214
Safe Manning, Principles of, 73
Sewage: legislation, Discharges of, 214
Safe manning, UK requirements for, 119
Shares in a registered British ship, 39
Safe Movement on Board Ship Regulations, 136
Ship and Port Facility (Security) Regulations, 235
Safe port, 168
Ship and port security arrival preparations, 235
SafeSeaNet, 232, 234, 255
Ship Captain’s Medical Guide, 146, 157
Safety committee, 151
Ship classes, UK statutory, 55
Safety communications, 218
Ship classification, 43
Safety culture, 29
Ship Identification Number, IMO, 41, 42
Safety equipment in excess o f statutory requirements, 55
Ship Radio Licence (SRL), 98
Safety management audit, 68
Ship register, Types of, 37
Safety Management Certificate, 70
Ship registration, 37
Safety Management Code for Domestic Passenger Ships, 33
Ship risk profile, 252
Safety management provisions concerning Company, 28
Ship safety and security requirements, Conflicts between, 108,202
Safety management system (SMS), 14, 29, 30, 32, 68, 71, 104, 108,
Ship safety officers, Training of, 114
109, 111, 112, 132, 139, 148,208,219,223,224,238,247,257,
Ship sanitation certification, 90, 246
260, 261
Ship Sanitation Control Certificate, 90, 9 1, 246
Safety management system (SMS), Definition of, 30
Ship Sanitation Control Exemption Certificate, 90, 91. 246
Safety management system (SMS), Functional requirements of, 30
Ship security alert system, 54, 72, 203
Safety message prefixes, 218
Ship security assessment, 35, 71, 72, 73, 221,
Safety o f Navigation - Implementing SOLAS Chapter V, 2002, 49,
Ship security assessment, ISPS Code obligations regarding, 35
52, 53, 201
Ship security at sea, 203
Safety o f Navigation Regulations, 55, 77, 98, 102,210, 221, 222,
Ship Security Certificate, International, 42, 59, 62, 67, 71, 72, 73
241,267
Ship security documentation by foreign governments, Restrictions on
Safety officer, 149,247
inspection of, 255
Safety officer’s report, 150, 157
Ship security documentation, 72
Safety officials legislation, 149
Ship security drills and exercises, 129
Safety officials, 149
Ship security internal audits, 129
Safety officials, Duties of company and master concerning work of,
Ship security officer, Definition of, 128
151
Ship security officer. Designation of, 128
Safety representatives, 150
Ship security officer, Duties of, 128, 247
Safety zones, Offshore, 204, 209
Ship security officer, Certification of, 114, 119
Salvage incidents, Record-keeping in, 228
Ship security officer, Training of, 114
Salvage law, International, 224
Ship Security Plan, 7 1,72,73,247,255
Salvage reward, Assessment of, 228
Ship Security Plan, Restricted parts of, 255
Salvage security, 200, 228, 2 3 1
Ship security records, 73
Salvage services, Completion of, 227
Ship security verification, 73
Salvage services, Considerations before accepting, 225
Ship Source Pollution Directive Regulations, Implementation of, 2 13
Salvage services, Considerations before offering, 225
Ship Source Pollution Directive, 2 13
Salvage, 224
Ship to Ship Transfer Guide (Liquefied Gases), 2 17
Salvage, Types of, 224
Ship to Ship Transfer Guide (Petroleum), 217
Salvor’s maritime lien, 228
Ship’s agent, 164, 246, 266
SCOPIC Clause, 197, 227, 228
Ship’s cooks, Carriage of, 120
SCOPIC security, 228
Ship’s employment, 161
Sea protest, 249
Ship’s Routeing (IMO publication), 210
Sea waybill (W/B), 162, 164, 180
Ship’s Stores Declaration (IMO FAL Form 3), 235,237, 245, 266
Seafarer certification, 115
Ship’s waste notification, 233
Seafar er documents, Carriage of, 6, 126
Shipboard incinerators, 50
Seafarer training, 109
Shipboard Marine Pollution Emergency Plan for Noxious Liquid
Seaman’s lien for wages, 108
Substances (SMPEP (NLS)), 104
Search and Rescue Co-operation Plan, 102, 220
Shipboard Oil Pollution Emergency Plan (SOPEP), 104
Seaworthiness in carriage o f goods law, 165
Shipbrokers, 162, 163, 164
Seaworthiness in crew employment contracts, Statutory obligation of
Ship-generated waste, 233
owner as to 27
Shipmaster as agent of necessity, 164
Seaworthiness, 202
Shipmaster as bailee, 164
SECA sulphur cap, 256
Shipmaster, Definition of, 107
Second registers, 38
Shipmaster’s legal position in relation to time charterers, 175
Secondary UK legislation, 11
Shipowner, Statutory obligations of, 27
Section 271 inquiries, 21
Shipowners’ and ship managers’ organisations, 35, 36
Section 61 inquiries, 20
Shipper, 162
Section 63 inquiries, 2 1
Shipper’s declaration for dangerous goods/marine pollutants, 184
Security exercises, ISPS Code obligation regarding participation in,
Shipper’s declaration for solid bulk cargo, 190
35
Shipping Note (S/N), 176
Security incidents at sea, 221, 222
Shipping Note, Standard (SSN), 176

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Ships’ cooks, Certification of, 118 Stowaways, 246, 260

Ships’ Doctors Regulations, 120 Straits transit passage, 7,206
Ship-to-Ship Transfers Regulations, 2 17 Stranding, 2 19
Ship-to-ship transfers, 217 Strategic ship, 126
Short international voyage, 55, 57, 60, 75 Strict liability, 24
Short-handed, Sailing, 119 Subdivision load lines, 75
Simplified VDR, 51 Subletting Clause, 172
Single-hull tankers carrying heavy grades o f oil, EU ban on, 240 Sue and labour charges, 196
SLU Code, 188 Sue and Labour Clause, Duty o f Assured, 196
SLU Regulations, 188 Suez Canal Special Tonnage Certificate, 88
SMPEP(NLS), 104 Sulphur at berth in EU ports, 258
SMPEP, 104 Summary conviction, 12
SMS language. Company’s ISM Code obligation regarding, 31 Supercargo, 164
SMS-related on-board communication, Company’s ISM Code Superintendent, MCA, 14
obligation regarding, 31 Supernumeraries, 109, 113, 123, 125, 127
SOLAS certificates, 57, 58 Support level, 115
SOLAS chapter IX, 28 Survey and Certification Regulations, 59
SOLAS chapter XI-2, 33 Survey and inspection, Difference between, 60
SOLAS chapters, 3 Survey o f UK ship, Application for, 60
SOLAS Convention, 3 Surveys delegated by MCA to Recognised Organisations, 59
SOLAS-related Codes, 3 Surveys not delegated by MCA to Recognised Organisations, 59
Solid bulk cargo declaration. Shipper’s, 190 Survival craft musters and drills, and lowering o f lifeboats in drills,
Solid bulk cargo density declaration, 185, 188, 189 143
SOPEP, 104 Suspension o f Hire Clause, 175
SOSREP, 18. 230 Suspension o f scheduled hours o f rest in emergencies, 148
SO* Emission Control Areas, 5, 256 S-VDR, 49,51
Spare official documents, 104
Special area, Definition of, 4
Special areas, MARPOL Annex 1, 211
Table o f scheduled hours o f work and rest, 148
Special areas, MARPOL Annex V, 215
Tacit acceptance procedure, I
Special charges, 263
Tanker Endorsement, 111
Special compensation, Article 14, 197, 227
Tanker familiarisation training, 110
Special personnel, 94, 95
Tanker training, Basic, 110
Special Purpose Ship Safety Certificate, 68, 95
Tanker training, Specialised, 110, 111
Special Purpose Ships (SPS) Code, 68, 94, 95
Tankers engaged in specific trades, 100
Special purpose ships, 68, 94. 95
Temporary CEC, 118
Special survey, 4 3 ,4 4 ,4 5 ,4 6 , 61, 63, 64, 66
Temporary exclusion zone (TEZ), 204
Specialised Tanker training, 110, 111
Territorial sea, 7, 205
Specific surveys, 66
Territorial 1 sea, UK, 2
Stability Manual, Loading and, 81, 82
Testimonials required by applicants for certificates o f competency,
Standard Reporting Requirements, 223
117
Standard Scale o f Fines, 12
Testing and inspections o f fire-fighting equipment, 145
Standard Shipping Note, 185
Testing o f LSA, 145
Standard Towage Conditions, UK, 235, 243
THETIS targeting and information system, 15, 255
Statement of Compliance, 57, 247
Three-fourths collision liability, 193
Statement of facts, 171
Tier I, Tier 11 and Tier III standards, 216
Statute law, 11
Timber Deck Cargoes Code, 2, 3, 186
Statutory certificates not issued by Recognised Organisations, 59
Timber load lines and timber freeboards, 87
Statutory certificates, 57
Time charter clauses, Miscellaneous, 175
Statutory duty o f owner or operate ship in a safe manner, 27
Time charter. Definition of, 172
Statutory instruments (Sis), 11
Time charterers’ responsibility for purchasing bunker fuel, 256
Statutory maximum. Fine of the, 12
Time charterers’ rights, 175
Statutory obligation o f owner as to seaworthiness in crew
Time policy, 193
employment contracts, 27
Time-chartered vessel, 173
Statutory ship classes, UK, 55
Tonnage Certificate (1969), International, 88
Statutory survey functions o f classification societies, 44
Tonnage definitions, 89
Statutory surveys, 58
Tonnage measurement (measurement survey), 39, 40, 41
STCW 95, 6
Tonnage tax, 106
STCW certificates. Carriage on board of, 118
Tort, Definition of, 23
STCW Code, 6, 259
Tort, English law of, 23
STCW Convention, 6
Total losses, 196
STCW watchkeeping requirements, 208
Towage and salvage, Difference between, 225, 243
STCW, Manila Amendments to, 114
Towage o f classed ships, 47
Steering at sea, Testing of manual, 201
Towage preparations, Harbour, 235
Steering gear at sea, Use of, 201
Towage services when disabled, 224
Steering gear drills, Emergency, 267
Towage, Harbour, 243
Steering gear test and drill requirements, 267
Trading restrictions in marine insurance policies, 204
Steering gear, Operation of, 201
Trading restrictions under time charter, 173
Stockholm Agreement, 91,92 Traffic separation schemes and routeing systems, 210
Stores Declaration (IMO FAL Form 3), Ship’s, 235, 237, 245, 266
Training and certification guidance, MCA, 109
Stowage and securing of cargo, 186 Training and Certification Regulations, 109
Stowage plan for packaged dangerous goods, List, manifest or, 184,
Training and training manuals, On-board instruction, 145
185
Stowaway search, 260, 266

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Training for emergency, occupational safety, medical care and Vicarious liability, 24
survival junctions, 113 Visitors to ship, 259
Training in the use o f emergency escape breathing devices (EEBDs), VOC Management Plan, 102
110 Volatile organic compounds (VOCs), 258
Training o f high-speed craft personnel, 112 Voyage Agreement. 121. 122, 123, 124, 125
Training o f personnel in passenger ships other than ro-ro ships, 111 Voyage and Notice Clause, 123, 124
Training o f ratings, 114 Voyage and passage planning, 201
Training o f ro-ro passenger ship personnel, 111 Voyage and passage, Difference between, 201
Training o f Ship Safety Officers, 114 Voyage charter, Definition of, 167
Training o f Ship Security Officers, 114 Voyage Clause (in Crew Agreement), 124
Training o f tanker personnel, 110 Voyage clauses in fixed-term crew agreements, Limitation on use of,
Training Record Book, MNTB-approved, 110 124
Training, Basic, 110. 113. 114, 120 Voyage costs, 27, 167
Training, Company’s ISM Code obligation regarding, 31 Voyage data recorder (VDR), 49, 51, 106
Training, Familiarisation, 109, 11 0 ,113. 114, 120, 145 Voyage expenses, 27
Training, Seafarer, 109 Voyage plan, 201, 247, 266
TRANSEC, 14, 34, 72, 203, 236 Voyage policy, 193
Transfer o f ship to or from UK Register, 106 VTS in UK ports, Use of, 231
Trip time charter, 172
Tugs, Master’s authority to hire, 235
w
Type approval, 49
Wages and Accounts Regulations, Seamen’s, 127, 157, 158
Type Rating Certificate, 112
War zone, 204
Warranties, Insurance, 193
U Warranty (in contract), 22
UK Air Pollution Prevention Certificate (UKAPPC), 84 Warranty Certificate (or Certificate o f Approval), 200
UK Border Agency (UKBA), 246 Warranty surveyors, 185
UK Cargo Ship Safety Construction Certificate, 60, 78 Waste in port, Disposal of, 258
UK Certificates o f Equivalent Competency, 118 Waste notification form, 231, 233
UK Continental Shelf, 204, 245 Waste notification, Ship’s, 232
UK controlled waters, 222, 223 Waste reception facilities, Action when encountering inadequate, 259
UK court procedures, offences and penalties, 12 Watch Rating Certificates, 116, 247
UK High-Speed Craft Safety Certificate, 93 Watchkeeping in port, 259
U K inquiries and investigations, 20 Watchkeeping requirements, STCW, 208
UK law, Types of, 11 Watertight door drills, 143
UK legislation, 11 Watertight door inspections, 143
UK Load Line Certificate, 87 Watertight doors, Official Log Book entries relating to, 97
UK Load Line Exemption Certificate, 84, 85 Waybill (W/B), Sea, 162, 164,180
UK Near-coastal area, 74, 115, 124, 125 Weekly and monthly inspections o f LSA, 145
UK Nominated Body, 49 Weekly Notices to Mariners, 52, 209
UK Oil Pollution Prevention Certificate (UKOPPC), 58, 81 Wheelhouse poster, 242
UK Overseas Territories, 14, 17, 39 Whether in port or not, Whether in berth or not, Whether in free
UK Pollution Control Zone, 12, 222,223 pratique or not, Whether customs cleared or not, 169
UK Register, Transfer o f ship to or from, 106 Work at Height Regulations, 141
UK registry, change o f ship’s name, etc., Procedure for, 41 Working at night, 148
UK Search and Rescue Region, 16 Working language of crew, 66, 101, 102, 105, 114, 146, 148
UK ships, British ships and, 39 Working language on bridge for safety communications, 126
UK Standard Towage Conditions, 235, 243 World Health Organization (WHO), 7, 8
UK statutory certificates not normally issued by Recognised Wreck by Receiver, Disposal of, 248
Organisations, 59 Wreck in UK waters, Procedure on finding, 248
UK waters, 204 Wreck removal costs, 197
UNCLOS, 7, 13, 203, 204, 205, 206, 207, 221, 222, 229, 251 Wreck, Definition of, 248
Underwriters, 193, 195 Wreck, Receiver of, 248
Unified Requirements, IACS, 44 Wreck, Reporting, 248
United Nations agencies which make shipping regulations, 7 Written reprimand under Merchant Navy Code o f Conduct, 155
US certificates o f financial responsibility, 90
US oil pollution legislation, Compliance with, 217
US pollution insurance requirements, 199
Utmost good faith, 194
m v
York-Antwerp Rules, 8,262,263
mat sm s

Young Persons Regulations, Employment of, 138

Young persons working at night, 148
m easK Young Persons, List of, 123, 125, 127
Vapour collection system, 50, 258 Young persons, Procedure for engagement of, 125
Vapour emission control system, 258 Young persons, Rest periods of, 138
VDR, 49,51, 106
Vessel operating expenses, 27, 167
Vessel Response Plans, Federal and State, 104
z ■
'
Zone (EEZ), Exclusive Economic, 7, 204, 205, 206, 207, 222
Vessel Traffic Monitoring and Reporting Requirements Regulations,
Zone (TEZ), Temporary exclusion, 204
Statutory notification duties under, 231, 232, 240,268,269
Zone, Contiguous, 7,204, 205, 206,207
Vessel Traffic Monitoring and Reporting Requirements Regulations,
Zone, UK Pollution Control, 12, 222, 223
Statutory reporting duties under, 219, 222
Zones o f coastal State jurisdiction and the High Seas, UNCLOS
Vessel Traffic Monitoring Directive, 231
provisions relating to, 204
Vessel Traffic Services in UK ports, Use of, 231

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Index of M Notices
MGN 7 109 MGN 397 129
MGN 8 109 MGN 400 258
MGN 9 109, 116 MGN 402 89
MGN 20 130,131 MGN 403 89
MGN 36 103 MGN 408 140
MGN 40 28 MGN 409 140
MGN 69 109, 116 MGN 410 141
MGN 70 221,260 MGN 419 215
MGN 71 141, 143, 145,146 MGN 420 203
MGN 79 54 MGN 428 141
MGN 81 239 MGN 429 141
MGN 86 246
MGN 88 138 MIN 160 76
MGN 90 138 MIN 283 239
MGN 91 109, 117, 118 MIN 290 201
MGN 92 109, 115, 118 MIN 303 116,117
MGN 93 109, 115 MIN 340 118,126
MGN 95 109, 110, 111, 112, 145 MIN 363 140
MGN 96 109, 113 MIN 379 119
MGN 97 109, 113, 114, 116, 117, 120 MIN 380 252
MGN 116 109 MIN 402 133
MGN 120 109
MGN 121 109 M.1290 209
MGN 123 128 M.1386 265
MGN 136 157 M.1409 265
MGN 142 5 M.1415 139
MGN 144 95 M.1482 119
MGN 148 121, 122 M. 1577 24
MGN 156 109 M. 1627 120
MGN 158 33 MSN 1672 37
MGN 164 109 MSN 1676 99
MGN 171 66, 67 MSN 1677 20
MGN 209 109 MSN 1698 76
MGN 214 109, 116 MSN 1703 13
MGN 217 59, 62, 68 MSN 1718 187, 246
MGN 220 109 MSN 1722 144
MGN 221 109, 118 MSN 1731 137
MGN 242 222, 223 MSN 1734 48, 49, 50
MGN 263 109 MSN 1735 49
MGN 270 109 MSN 1740 112
MGN 278 109 MSN 1751 59, 65,76
MGN 279 53 MSN 1752 5, 86, 87
MGN 282 185 MSN 1754 33
MGN 289 19, 151,223 MSN 1767 73, 74,75, 119, 147, 148, 149
MGN 301 242 MSN 1769 130
MGN 321 201 MSN 1776 56
MGN 324 50,201 MSN 1781 6, 201
MGN 331 135, 136, 137 MSN 1781A 220
MGN 332 135, 137 MSN 1782 106
MGN 345 62 MSN 1783 102, 220
MGN 352 139 MSN 1790 92
MGN 353 139 MSN 1794 264, 265
MGN 356 140 MSN 1795 50, 202, 241
MGN 358 234 MSN 1802 109
MGN 363 239 MSN 1803 141, 144
MGN 372 204 MSN 1807 101
MGN 377 139, 258 MSN 1815 117, 126, 247
MGN 378 135 MSN 1817 232,268, 269
MGN 379 49, 201 MSN 1821 117
MGN 387 233, 234,258, 259 MSN 1822 117
MGN 392 79 MSN 1826 28
MGN 395 97

THE SHIPMASTER’S BUSINESS SELF-EXAMINER