Chapter 1

REGULATORY REQUIREMENTS

REGULATORY REQUIREMENTS
Shipping is perhaps one of the most globalised industries. For such an industry to work with common standards, legislation is very important. Legislation affects all aspects of shipping from construction to safe operations. Navigation is no different. The International Maritime Organisation (IMO) in consultation with the member states and using expert help from the relevant sub-committees produces draft proposals. Once a certain number of member states with a certain percentage of world tonnage agree to proposals, the Convention is formed. The actual regulation that a ship has to comply with is the national law of the country (flag state) where the ship is registered. This Convention is the minimum standard that a ship has to follow for international trading. Ship also has to meet the port and coastal state standards where the same are different to or above the IMO Conventions. Navigation and related issues are covered under international instruments, like SOLAS, STCW and Collision Regulations. In addition, the flag states advise own ships through regulations, codes and notices. The main areas of interest are: Safety of navigation (covered under SOLAS Chapter V, National Laws and Bridge Procedures Guide by ICS) Carriage of Navigational Equipment and Publications (covered under SOLAS and National Laws) Training and Certification (covered under STCW72 / 95) Management (covered under ISM Code in SOLAS74) Collision Regulations (COLREGS72) Significance of the relevant areas is briefly discussed in this chapter. Note is also made of certain requirements that did not fit other chapters.

1.1

ISM CODE

Analysis of any accident or incident will show an element of human error or management failure. The so called equipment failure or Act of God incidents also have human involvement somewhere. Equipment or machinery may not have been maintained as required or too much reliance may have been placed on a single system, or decisions may not have been taken in time. Similarly, management is an issue as error of judgement or mistake by one individual should have been spotted in time and timely corrective action should have been taken. In order to overcome the human error and management issues, general principles and objectives so as to promote evolution of sound management and operating practices within the industry as a whole were introduced into shipping through the ISM Code under SOLAS. The full title of the ISM Code is: The international management code for the safe operation of ships and for pollution prevention. The objective was to
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ensure safety, to prevent human injury or loss of life, and to avoid damage to the environment, in particular, the marine environment, and to property. Navigation safety is an element that can help with achieving the objective, at least, in part. 1.1.1 SMS

The Code reinforces the responsibility of the owner or company to be responsible for the proper management of the ship and ship operations. To this end, the owner or company are required to develop, implement and maintain a Safety Management System (SMS) for use by the company and the ship in order to meet the objective. SMS has following relevant functional requirements: 1.1.1.1 NAVIGATION POLICY The company policy on safety and environment protection: The SMS should include a clear statement on navigation policy of the company. This may be brief only highlighting the general aim of the company to be achieved through safe navigation. 1.1.1.2 PROCEDURES A full set of instructions and procedures to perform the ship operations safely and for environment protection, while satisfying applicable international and flag state requirements: The procedures are likely to be covered in a lengthy section. The Code requires procedures to be available for all aspects of operations. This implies that all known aspects of navigation need to be covered by the procedures. The procedures provide clear instructions in line with company policy to prepare for navigation, execution and monitoring, including relevant records and review of performance. The procedures will define applicable safety limits to be maintained in certain circumstances. Maintenance and upkeep of equipment and associated material will also be covered. 1.1.1.3 AUTHORITY AND COMMUNICATIONS An organisation structure defining levels of authority and lines of communication between and amongst company and shipboard personnel: In addition to general watchkeeping duties, Master may delegate responsibility for certain aspects of navigation to officer(s). 1.1.1.4 REPORTING PROCEDURES Procedures for reporting non-conformities with the provisions of ISM Code and any accidents are covered in full with the operations procedures. 1.1.1.5 EMERGENCY PREPAREDNESS Procedures for readiness and for responding to emergency situations: Company supplies the ship with standard contingency plans. The company organisation for response is also established and communicated to Master. 1.1.1.6 AUDITS AND REVIEWS Procedures detailing internal audits and reviews: This sets out how the performance can be judged, determine any deficiencies in procedures and resources, and what lessons can be learnt to improve further.
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1.1.2

MASTERS RESPONSIBILITY

1.1.2.1 IMPLEMENTING POLICY Master must ensure that all officers and crew with navigational duties are fully aware of company policy on navigation and understand the procedures set by the company. Master should also make a judgement on the competence of individuals before allocating responsibilities. Master must also ensure that the individuals are fit for duties and are adequately rested. 1.1.2.2 MOTIVATING CREW Training is the best motivator. The personnel with navigation duties should be fully familiarised with and trained on shipboard equipment to be used for navigation. 1.1.2.3 ISSUING ORDERS A full set of standing orders and daily night or bridge orders should be written by the Master for the watch officers. In addition the use of standard marine vocabulary for all bridge communications should be standard practice. 1.1.2.4 SPECIAL REQUIREMENTS Master must be satisfied that all international and flag state requirements are being complied with. This covers the operational status of mandatory equipment (AIS, VDR, etc.), relevant records (Radio, etc.), regular reporting (danger messages, reporting systems, etc.) and receipt of information (MSI, etc.) are meeting the requirements. 1.1.2.5 REVIEW AND REPORTING Prior to commencement, during the operational stages and on completion, the Master should keep under review the navigation of the ship. The process starts with ensuring that appropriate resources are available and that all personnel are competent and properly trained. The plans (e.g., passage plan) are completed in a timely manner and are detailed enough to ensure safe navigation of the ship on the current passage taking the environment into account. During the performance stages, the resource allocation should be maintained and a check should be kept on safe and efficient progress. On completion or where any problems have been experienced, all the information and records must be reviewed in order to determine the possible improvements that need to be made in the future, including where necessary: additional resources required additional training proposed amendments of procedures required lessons to be learnt and communicated to others Master has overriding authority in cases involving safety and pollution prevention. Master may override the procedure to complete the operations safely but cannot amend it. Amendment will be done by the company. Similarly, Master may follow advice from external authorities (e.g., routeing instructions) and may override it as well to ensure safety of vessel and prevention of damage to environment.
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1.1.3

SIMPLIFIED COMPLIANCE

The knowledge of current international and flag state requirements and methods of complying with the same are important for complying with the Code. Whether it involves navigation, collision avoidance, navigation equipment or radio and communications, few basics apply in all cases. The equipment must be approved as per requirements. The equipment must be sufficient in numbers as per requirements. The personnel must be familiarised with and trained on use of equipment. The personnel must have full knowledge of procedures to be followed. Proper records automatic or human interface must be maintained. Records must be maintained for specified periods. Checklist should be reviewed regularly remember a checklist is only as good as the person who has prepared it. Valid documents must be available at all times. Crew should be able to communicate. Use of risk assessment principles for all identified risks. Regular assessment or monitoring. The SMS should not be at variance with the law, though sometimes it may make the requirements more stringent for compliance by company ships and personnel for added safety. Critics of the Code use arguments like If all procedures are in place, what is the need for training? It must be said that the procedures are for guidance only and are generic. Not all situations are the same. Those responsible for navigation need to have detailed knowledge and understanding of the tasks and their duties in order to deal with all types of circumstances and scenarios. This also applies to instructions from external bodies. A Master, fully competent on the navigational issues, can make a sound judgement whether or not to follow the advice or guidance or prepare own plans to meet requirements and to ensure safety of ship, crew and the environment. Another debate is about the perceived conflict between the requirements under the ISM Code to produce a wide range of documents and reports as a part of its SMS and the consequential production of potentially self incriminating evidence which could be used against those who produced that evidence. This text is no place to state the right or wrong answer to the conflicting position. The only comment by the author is that the compliance with the Code and hence the SMS is a legal requirement and where it demands records to be maintained, such records cannot be avoided. Secondly, the Code is designed to ensure safety and prevent accidents or incidents. Where these are still happening, then something is going wrong somewhere and the authorities should use some tools to teach appropriate lessons. The issue of use of records for commercial cases is beyond the scope of this text.

1.2

SOLAS CHAPTER V

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Chapter V identifies certain navigation safety services which should be provided by Contracting Governments and sets forth provisions of an operational nature applicable in general to all ships on all voyages. It should be noted that SOLAS Convention applies to certain classes of ships engaged on international voyages, in contrast to Chapter V which applies to all ships. The subjects covered include a general obligation for masters to proceed to the assistance of those in distress, the maintenance of meteorological services for ships, the ice patrol service, routeing of ships, and the maintenance of search and rescue services. This Chapter requires Contracting Governments to ensure that all ships shall be sufficiently and efficiently manned from a safety point of view. The chapter makes mandatory the carriage of voyage data recorders (VDR) and automatic ship identification systems (AIS) for certain ships. 1.2.1 REPORTS BY MASTER

The Master of every ship which meets with any of the following shall make a report by all available means to the nearest coast radio station or signal station in English. These messages shall be sent on DSC, R/T, Inmarsat. These messages shall be preceded by SECURITE (or PAN PAN as appropriate). Tropical storms Winds of force 10 and above of which there has been no warning. Air temperatures below freezing, associated with gale force wind causing severe icing. Dangerous ice Dangerous derelict The contents of the reports have been included in appropriate chapters where the messages are relevant.

1.3

BRIDGE PROCEDURES GUIDE

This publication is produced by the International Chamber of Shipping designed to make mariners aware of good operating practice and efficient bridge organisation. It ensures that similar actions are taken on the bridge of all ships. 1.3.1 CONTENTS 1.3.1.1 PART A Covers guidance to Masters and navigating officers on the following: Bridge resource and bridge team management Notes on passage planning in ocean waters, in restricted waters, pilotage, ships routeing and ships reporting systems and vessel traffic services. Duties of the OOW with regards to watch-keeping, navigation, communication, pollution prevention and emergency situations. Operation and maintenance of bridge equipment. Annexes containing various formats used for Pilotage, distress frequencies, guidance on steering gear test routines.
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1.3.1.2 PART B Includes bridge checklists for routine bridge procedures for the following: Familiarisation with bridge equipment Preparation for sea Preparation for arrival in port Pilotage Passage plan appraisal Navigation in coastal waters Navigation in ocean waters Anchoring and anchor watch Navigation in restricted visibility Navigation in heavy weather or in tropical storm areas Navigation in ice Changing over watch Calling the master 1.3.1.3 PART C Includes checklists for use during emergency: Main engine or steering failure Collision Stranding or grounding Man overboard Fire Flooding Search and rescue Abandoning ship

1.4

BUOYAGE

IALA (The International Association of Marine Aids to Navigation Lighthouse Authorities) has set the design and standard of buoys to be used for navigational purposes. The world is divided into two regions A and B for the purpose of Lateral Marks. B includes all of Americas, Japan, Philippines and S. Korea. The cardinal marks are uniform throughout the world. 1.4.1 DIRECTION OF BUOYAGE AND DISTANCE

Direction of buoyage can be found from the navigational charts or the sailing directions. Locally, it is the direction taken by the mariner from the seaward when approaching a harbour, river, estuary or other waterway. Generally, it is determined by buoyage authorities, and is mainly clockwise around continental landmasses. There is no specified minimum distance at which a buoy should be passed. The observation of the chart, proximity to hazards, draught of the ship and the
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amount of searoom can help decide the safe distance to be maintained from the buoys. In congested waters this distance is not expected to be large. When following the lateral marks, the vessels should remain as near to the mark on the starboard hand side of the ship as appropriate. While proceeding with the direction of buoyage it will be the starboard hand marks and while going against the direction of buoyage it would be the port hand marks. 1.4.2 SPECIAL MARKS

Special marks are used for marking (remember CROFTS Ch): Cables or pipelines Recreational areas Ocean data acquisition systems Firing or military exercise zones Termination points of Traffic Separation Scheme, where required Spoil ground Channel within a channel 1.4.3 NEW DANGERS

New dangers are marked by one or more cardinal or lateral marks as per IALA system. Lights if fitted are quick or very quick. Where the danger is especially grave, at least one of the marks would be duplicated by an identical mark as soon as practicable, until the danger has been well promulgated. A RACON with Morse code D, showing a signal length of one nautical mile on a radar display may be used on the duplicate mark.

1.5

ISPS

The provisions of International Ship and Port Facility Security Code (ISPS) may have a bearing on navigation. At the planning stage, areas with heightened security threats should be avoided, passed at increased distance or transits completed allowing for added precautions. The ships officers should be aware of evasive manoeuvres as per security plan of the ship. Similarly, depending upon the security level of a port, ship should be able to stay clear of port where required or the ship should be ready to leave port at very short notice where the conditions dictate. Contingency plans for all eventualities should, at least, be available in tabular format for transfer to navigational charts where required.

1.6

STCW

The International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW), 1978, was adapted by the International Conference on Training and Certification of Seafarers on 7 July 1978. The 1978

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STCW Convention entered into force on 28 April 1984. Since then three amendments to it were adapted in 1991, 1994 and 1995. The 1991 amendments relate to Global Maritime Distress and Safety System (GMDSS) and entered into force on 1 December 1992. The 1994 amendments relate to special training requirements for personnel on tankers and entered into force on 1 January 1996. In the 1995 amendments, complete revision of the annex to the 1978 STCW Convention took place in order to clarify the standards of competence required, qualification requirements for trainers and assessors, provide effective mechanisms for enforcement of its provisions and allow greater flexibility in the assignment of functions on board ship and thus broaden the career opportunities of seafarers. The minimum global standards of knowledge, understanding, experience and professional competence desired by the States, which are Parties to it, the maritime industry and the general public are given full and complete effect by the Convention. The STCW 1995 came fully into force on 1 February 2002. The STCW Code stipulates the minimum training and certification requirements for Masters, Chief Mates, OOWs and Ratings. These are governed by STCW Regulations and take ships gross tonnage and near/non-near coastal voyages as criteria. It is also a factor in deciding safe manning levels of ships.

1.7

POLLUTION

The concern for the navigator is to advise the relevant departments about the distances from the nearest land, depth of water (for chemical tankers) and the presence of ship within relevant special areas. Specific authority from bridge should be obtained before any MARPOL controlled discharges from the ship.

1.8

GUIDANCE FROM FLAG STATE

The IMO Conventions may be adapted by a flag state to form its own law or the flag state may produce legislation covering requirements of the relevant IMO Convention and above it. In addition the flag state may provide guidance in the form of codes of practice related to specific areas. From time to time, when new legislation is introduced, or the enquiry of any accident has highlighted poor practice, or issues involving safety and pollution prevention come to fore, or when industry has to be informed in general, the flag state administration may issue notices. MCA issues these in three series: 1.8.1 MERCHANT SHIPPING NOTICES (MSN): These are related to the UK legislation and contain information to comply with the same. Contain technical details related to statutory instruments and regulations. Are numbered in sequence with a prefix MSN. The examples are related to COSWP, LSA regulations, SOLAS. 1.8.2 MARINE GUIDANCE NOTES (MGN):
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These provide guidance and advice to improve safety of shipping for issues related to safety of life at sea and pollution prevention. They are sequentially numbered with a prefix numbered MGN. Examples are navigation in Dover Strait, Navigation in fog, STCW, MARPOL, etc.

1.8.3 MARINE INFORMATION NOTICES (MIN): These are for limited readership. These are valid for a limited period of time. These provide information regarding training establishments, equipment manufacturers, results of research, etc. 1.8.4 CARRIAGE REQUIREMENTS FOR PUBLICATIONS Flag states also make mandatory requirements for the carriage of bridge publications. Following are required as per UK law. 1. Full set of navigational charts, fully corrected and latest edition; including chart catalogue. These could be approved electronic charts. 2. Notices to mariners 3. Annual summary of notices to mariners 4. International Code of Signals 5. Mariners handbook 6. Sailing directions 7. List of radio signals 8. List of lights 9. Tide tables 10. Tidal stream atlases 11. MSN (Merchant Shipping Notices), MIN (Marine Information Notices), MGN (Marine Guidance Notices) 12. Nautical Almanac 13. Operating and maintenance instructions for ships navigational equipment.

1.9

VOYAGE DATA RECORDER

Ships are required to maintain extensive records for operational as well as legal reasons. The records serve the purpose of analysing performance and informing concerned authorities of the compliance with legislation. There have been two main problems with traditional methods of record keeping: 1. Possibility of manipulation and falsification of records by unscrupulous individuals. 2. Loss of entire evidence and records in case of ship loss or major fire. Considering the experience of aviation industry with the Black-Box, IMO has made it mandatory for ships to be fitted with Voyage Data Recorder (VDR). The main purpose of VDR is to have the data available to investigators after an incident in order to gain a better understanding of the events that led to an incident, particularly where the ship is lost without trace, or all records have been lost, or the crew have perished during the accident.

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The requirement is part of SOLAS under Chapter V. The following ships are required to be fitted with VDR: passenger ships built on or after 1st July 2002; ro-ro passenger ships built before 1 st July 2002 not later than the first survey on or after 1st July 2002; passenger ships other than ro-ro passenger ships built before 1 st July 2002 not later than 1st January 2004; and ships, other than passenger ships, of 3,000 GT and upwards built on or after 1st July 2002. VDRs are required to meet the minimum performance standards specified by IMO. It consists of a main unit which can be connected to a download device, protective capsule which as minimum must house the device with records of previous 12 hours data, external cables, reserve power source and an acoustic beacon. The VDR automatically maintains records of a number of parameters on the ship for a period of the last 12 hours. These are:
Data Date and Time Ships Position Speed (water or ground) Heading Bridge Audio Communications audio Radar (post display) Water depth Main alarms Rudder order and response Engine order and response Hull opening status Watertight and fire door status Acceleration and hull stresses Wind speed and direction Last 12 hour data Source Using a source external to the ship (GPS) Electronic positioning system Ships speed log or designated equipment Ships compass (Gyro) 8 microphones VHF and other R/T units Screen dump every 12 seconds Echo sounder All mandatory alarms on the bridge Steering gear and autopilot Telegraphs, controls, thrusters All mandatory status information displayed on the bridge All mandatory status information displayed on the bridge Hull stress and response monitoring equipment where fitted Anemometer where fitted Analysis report of data

The equipment should be approved before installation. VDR system and all sensors shall be tested annually throughout the life of the ship. The test should be conducted in conjunction with the relevant statutory survey, i.e., for Passenger Ship Safety Certificate (PC), Cargo Ship Safety Certificate (CSC) or Cargo Ship Safety Equipment Certificate (SEC). The survey must be within the period permitted by the Harmonised System of Survey and Certification, which is 3 months before the due date for PC, and +/- 3 months of due date for CSC and SEC surveys. On successful completion of test and satisfactory performance, the administration will issue a performance test certificate to the ship which must be kept on board. The test shall include verification of the accuracy, duration and recoverability of the recorded data. In addition, tests and inspections shall be conducted to determine the serviceability of all protective enclosures and devices fitted to aid
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location. It is important to turn off the VDR shortly after arrival into a port where test is to be performed to prevent any over-writing of data. During an emergency, it is important for the master to download data, particularly very early on into the emergency to prevent any over-writing. This is important for investigation and evidence purposes. If the emergency situation continues for a significant period, subsequent downloads should be performed within 12 hours of the previous download. Some companies have procedures for VDR data to be downloaded within periods of 12 hours in order to have access to entire voyage data for analysis and investigation where required.

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