Diploma in Ship Superintendency: Maritime Conventions, Regulatory Controls and Codes in Shipping

DIPLOMA IN SHIP
SUPERINTENDENCY
MODULE 4
Maritime Conventions, Regulatory

Controls and Codes in Shipping
Marie Caillerie
Master Mariner, Director at NauticaLex
CONTENTS
Learning Outcomes ....................................................................................................................... 5
1. INTER-GOVERNMENTAL REGULATION OF SHIPPING ......................................................... 6
1.1 Introduction ............................................................................................................... 6
1.2 International Regulations ............................................................................................. 6
1.2.1 The International Maritime Organisation (IMO) .................................................... 6
1.2.2 The International Labour Organisation (ILO) ...................................................... 18
1.2.3 United Nations Conference of the Law of the Sea Conference (UNCLOS) ................ 20
1.2.4 The United Nations Conference on Trade and Development (UNCTAD) .................. 26
1.3 Regional, National and Other Regulation ...................................................................... 28
1.3.1 The Role of the Flag State ............................................................................... 28
1.3.2 The Role of the Port State Control (PSC) ........................................................... 33
1.3.3 The Role of Classification Societies ................................................................... 35
1.3.4 Other Groups that Influence the Rule-making Process ......................................... 38
2. SAFER OPERATIONAL STANDARDS ................................................................................. 42
2.1 Introduction ............................................................................................................. 42
2.2 SOLAS Convention .................................................................................................... 42
2.2.1 Structure....................................................................................................... 42
2.2.2 Question of Application ................................................................................... 45
2.2.3 Circulars and Other Documents Referred to in SOLAS ......................................... 46
2.2.4 LSA Code, FSS Code and IMSBC Code............................................................... 47
2.3 Unified Requirements from IACS ................................................................................. 51
2.4 Goal-based Construction Standards for New Ships ......................................................... 52
3. COMPANY OBLIGATIONS WITH REGARD TO SAFETY PROCEDURES ................................. 54
3.1 Introduction ............................................................................................................. 54
3.2 COLREG ................................................................................................................... 54
3.2.1 Structure....................................................................................................... 54
3.2.2 Navigation Equipment and Human Element ....................................................... 54
3.3 Convention on the Standards for Training, Certification and Watchkeeping for Seafarers
(STCW) .................................................................................................................... 55
3.3.1 Structure and main requirements ..................................................................... 55
3.3.2 Company Obligations ...................................................................................... 56
3.4 Minimum Safe Manning Document ............................................................................... 57
3.4.1 Principles ...................................................................................................... 57
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3.4.2 Process ......................................................................................................... 58
3.4.3 Obligations of Companies ................................................................................ 59
3.5 The International Safety Management Code.................................................................. 59
3.5.1 Structure....................................................................................................... 60
3.5.2 Documentary Obligations ................................................................................ 60
3.5.3 Summary of Obligations as Laid Down in the ISM Code ....................................... 61
3.6 International Ship and Port Facility Security Code (ISPS Code) ....................................... 63
3.6.1 Purpose and Structure .................................................................................... 63
3.7 International Maritime Dangerous Goods Code (IMDG Code) .......................................... 65
3.7.1 Origin and Content ......................................................................................... 65
3.7.2 Training Requirements .................................................................................... 65
3.7.3 Documentation .............................................................................................. 66
3.7.4 Stowage........................................................................................................ 66
3.8 The Convention on Load Lines 1966 (ILLC) ................................................................... 66
3.8.1 Purpose and Structure .................................................................................... 66
3.9 International Convention on Tonnage Measurement of Ships (Tonnage Convention, ITC

69) .......................................................................................................................... 68
3.10 Maritime Labour Convention 2006 (MLC 2006) .............................................................. 69
3.10.1 Structure of the MLC 2006............................................................................... 69
3.10.2 Documents Required and Inspections ............................................................... 70
3.10.3 ILO Guidelines to Better Understand the Inspection Process and the Deficiencies ... 73
4. MARPOL CONVENTION (INTERNATIONAL CONVENTION FOR THE PREVENTION OF

POLLUTION FROM SHIPS 78/73) .................................................................................... 74
4.1 Introduction ............................................................................................................. 74
4.2 History and Main Structure ......................................................................................... 74
4.3 Elements Common to All Six Annexes .......................................................................... 75
4.3.1 Violations and Sanctions ................................................................................. 75
4.3.2 Exceptions to the Discharge Requirements ........................................................ 75
4.3.3 Special Areas ................................................................................................. 75
4.3.4 Ship’s Certificates........................................................................................... 75
4.3.5 Port State Control on Operational Requirements ................................................. 75
4.4 Annex I on Oil Pollution Prevention .............................................................................. 77
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4.4.1 Requirements for ALL ships ............................................................................. 77
4.4.2 Requirements for Oil Tankers only .................................................................... 78
4.5 Annex II on the Control of Pollution by Noxious Liquid Substances in Bulk ........................ 79
4.5.1 Relationship Between the IBC Code and MARPOL Annex II .................................. 79
4.5.2 Document Requirements ................................................................................. 80
4.5.3 Summary of Operational Requirements ............................................................. 80
4.6 Annex III for the Prevention of Pollution by Harmful Substances Carried by Sea in
Packaged Form ......................................................................................................... 81
4.7 Annex IV for the Prevention of Pollution by Sewage ....................................................... 81
4.8 Annex V for the Prevention of Pollution by Garbage from Ships ....................................... 81
4.8.1 Documentary Requirements............................................................................. 83
4.9 Annex VI on the Prevention of Air Pollution from Ships ................................................... 83
4.9.1 Summary of Requirements .............................................................................. 84
4.9.2 NOx Emission Control ..................................................................................... 84
4.9.3 SOx Emission Control ..................................................................................... 86
4.9.4 Energy Efficiency Design Index (EEDI) and Energy Efficiency ............................... 87
Reference List ............................................................................................................................ 89
PLEASE NOTE
Directed Learning questions have been provided periodically throughout the module.
These questions are designed to help you with your study. The questions are for your
personal study only. Do not send in your answers to these questions as they will not
be assessed.
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LEARNING OUTCOMES
On successful completion this module, you will be able to:
 discuss how the shipping industry is regulated and how it governs the superintendent’s
role;
 explain key regulations and how a superintendent can access relevant details; and
 identify the surveys and certificates required for a vessel.
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1. INTER-GOVERNMENTAL REGULATION OF SHIPPING
Learning Outcomes:
On successful completion of this chapter, you will be able to:
 describe the different international regulators;
 name the main instruments; and
 distinguish the requirements in terms of surveys and certificates.
1.1 Introduction
As mentioned in previous modules, vessels are required to comply with all sorts of regulations, on
international and national levels. Several regulators draft and update those regulations and it is
important to understand the origins of requirements to have a clear view of the regulatory framework.
The complexity of such frameworks might be frightening, but there is actually a strong and efficient logic
behind the development of regulations. Although it can be seen as a rigid structure, it is the key to an
efficient, uniform and global framework.
To facilitate understanding of the different requirements, it is essential to understand the foundations of

the legal framework, to know how each level operates, how rule makers take decisions and how the
implementation of regulations is achieved. This is the key to a well-informed department, the idea not
being to know by heart the entire set of regulations, but to be able at any time to find the relevant piece
of legislation.
1.2 International Regulations
Superintendents are required to know and understand existing regulations to guarantee compliance of
their fleets, whether such regulations are national or international.
It is often said that the maritime shipping regulations have four pillars, i.e. four essential international
Conventions:
 UNCLOS;
 SOLAS;
 MARPOL; and
 MLC 2006.
In the following sections, the bodies in charge of those instruments are presented and the content of
each Convention will be studied and analysed.
1.2.1 The International Maritime Organisation (IMO)
History
The International Maritime Organisation is the United Nations (UN) specialised agency responsible for the
safety and security of shipping and the prevention of marine pollution by ships.
The IMO preceded the creation of the United Nations. The gathering of nations willing to apply together,
on a global level, the same regulations to a specific industry was actually triggered by a very specific
event, the Titanic tragedy in 1912. The sinking of the Titanic is at the origin of the first International
Convention for the Safety of Life at Sea (SOLAS). Thirteen states attended the conference and produced
the first international regulations applicable to merchant ships. The international nature of the shipping
industry was already acknowledged and it was felt that only international regulations could improve
safety.
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When the UN was created in 1945 after World War II, it was obvious that such an international body
should operate under its auspices. IMO (originally named IMCO) was formally established in 1948
through an international conference held in Geneva and the IMO member states met for the first time in
1959.
IMO describes its goals as being “to promote safe, secure, environmentally sound, efficient and
sustainable shipping through co-operation” and its activities are fully detailed in a comprehensive booklet
“IMO, what it is, what it does, how it works”.
Further Research:
This booklet is available for further reading and summed up below:
 http://www.imo.org/About/Documents/What%20it%20is%20Oct%202013_Web.pdf
Structure
Member States, IGOs and NGOs
170 states and three associate members send their delegates to IMO meetings, but representatives of
non-governmental and international organisations also participate to IMO activities.
Among IGOs working with IMO, the following can be cited:
 the different Memoranda of Understanding on Port State Control (Paris MoU, Black Sea Region MoU
etc);
 the European Commission;
 the Commonwealth Secretariat; and
 the African Union and the OECD.
As far as NGOs are concerned, they are more than 70 today. The full list and their contact details can be
found at the following address:
 http://www.imo.org/About/Membership/Pages/NGOsInConsultativeStatus.aspx
Among the most relevant NGOs from the industry, the following may be mentioned:
 BIMCO;
 CLIA;
 IACS;
 ICS;
 ITF;
 INTERCARGO;
 ImarEst;
 SIGTTO; and
 WWF.
An impressive amount of work is achieved by those NGOs as they act as experts in their own specific
field. IMO and member states rely on their expertise and they are vital to the quality of results achieved
as they represent the “hands-on” people. Because they represent the industry in the largest maritime
forum, they are sometimes seen as lobbying groups. Taking into account the quality and quantity of
work they perform, that wouldn’t be a fair interpretation, although it is true that occasionally, one specific
sector might try to push for a decision in its favour.
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Their contribution is still highly recognised and essential for the credibility of IMO.
Further details on the role of those industry bodies will be given later in this section.
IMO Structure – Flow Chart of Committees and Sub-Committees
ASSEMBLY
MEPC MSC Facilitation Legal Technical

co-operation
PPR SDC SSE (ship NCSR

CCC
(pollution) (ship design) equipment) (nav/SAR)
(cargoes)
III HTW
(flag state) (human element)
Figure 1 – Flowchart of IMO structure and organs
IMO consists of:
 an assembly;
 a council and five main committees (MSC, MEPC, Legal, Technical co-operation and Facilitation); and
 seven sub-committees in charge of technical questions reviewed by MSC and MEPC.
IMO is funded by its member states and the contributions depend directly on the tonnage of the fleet
flagged by each member state. IMO’s budget for 2014 was voted to £31,686,000. The top ten
contributors usually are:
 Panama;
 Liberia;
 Marshall Islands;
 United Kingdom;
 Bahamas;
 Singapore;
 Malta;
 Greece;
 China; and
 Japan.
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The Maritime Safety Committee (MSC), the Marine Environment Protection Committee (MEPC)
and their Sub-Committees
IMO describes the MSC as the organ dealing with:
“any matter concerned with aids to navigation, construction and equipment of vessels, manning, rules for
the prevention of collisions, handling of dangerous cargoes, maritime safety procedures and
requirements, hydrographic information, log-books and navigational records, marine casualty
investigations, salvage and rescue and any other matters directly affecting maritime safety(IMO Website,
December 2014)”. Which is a lot!
The MSC is in charge of adopting amendments to conventions related to its scope of action (i.e. SOLAS,
Ship’s Recycling, AFS).
The MEPC deals with any question related to the prevention and control of pollution from ships.
In order to perform the tasks related to this large array of subjects, MSC and MEPC are assisted by seven
sub-committees.
The distribution of subjects and tasks was modified in 2013:
 Human Element, Training and Watchkeeping (HTW), previously STW;

 Implementation of IMO Instruments (III), previously FSI;
 Navigation, Communications and Search and Rescue (NCSR), previously NAV and COMSAR;
 Pollution Prevention and Response (PPR);
 Ship Design and Construction (SDC), previously SLF;
 Ship Systems and Equipment (SSE), previously FP and DE;
 Carriage of Cargoes and Containers (CCC), previously BLG and DSC.
The Birth of a New Regulation or the Journey of a Proposal in IMO’s World
 So, in practice, how does it work?

 How does a proposition become a new rule?
 How does the legal framework adapt to changes in the industry?
Any good observer of the maritime world has noticed that regulations tend to change as a consequence
of nautical accidents.
Some very important pieces of regulation are directly related to the loss of ships and maritime tragedies,
the list is long but the following can be mentioned:
 The sinking of the ferry Herald of Free Enterprise in Belgium gave the impulse to the creation of the
ISM Code.
 The ISPS Code was implemented as a consequence of the September 11th attacks in the USA.
 Double hulls for tankers were made mandatory after the Exxon Valdez accident in Alaska and the
phasing out of single-hull oil tankers was accelerated following the oil spills due to the loss of tankers
Erika and Prestige in the Bay of Biscay.
 A complete review of ro-ro passenger ships safety and stability, with several amendments to SOLAS,
was triggered following the loss of the ro-ro ferry Estonia in the Baltic Sea.
To understand the mechanisms of the development of regulations, two examples are analysed below.
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Case Study 1 – Drainage of Ro-ro Spaces
The Accident
The ro-ro ferry Al-Salam Boccaccio 98, built in 1970, operated under Panama flag, sank in the Red Sea
on February 2006. A fire had broken out on board and the water used to extinguish it remained trapped
due to blocked drains. The ship lost its stability, sank and over 1,000 passengers and crew died.
Measures Taken and Rules Impacted
The MSC agreed to modify the relevant rules as soon as possible. Some regulations of the SOLAS
Convention (Chapters II-1 and II-2, Regulations II-1/35-1 and II-2/20, on bilge pumping arrangements
and drainage) needed amendments to improve the safety of closed vehicle and ro-ro spaces and to
prevent the accumulation of large quantities of water on ro-ro decks. The idea was to ensure that
sufficient drainage was provided and that drains could not be blocked.
Rule II-2/20 of SOLAS was modified and supplemented by a circular to give the technical details on how
to physically prevent blockage of scuppers.
In essence, scuppers had to be protected with a grating. The text read:
“Scuppers on ro-ro decks shall be provided, over the outlet grate, with removable gratings, to prevent
large objects from blocking the drain.”
Practically
All existing ro-ro vessels had to fit a grating on top of every scupper on their ro-ro decks.
Figure 2 – Picture of the grating added on top of a scupper, on a ro-ro deck

IMO document MSC 83/3/2, 3/07/2007
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Figure 3 – Flow chart of the events
This example shows that even for subjects deemed extremely urgent, four years elapsed between the
accident and the application of the new rule.
IMO is sometimes criticised for its slow pace, but there are several good reasons for this:
 Most of the amendments or new rules translate into “more equipment needed” for ships. It has an
economic impact and can be an administrative burden. Time is needed to accommodate
implementation.
 IMO work is governed by the principle of unanimous agreement and it takes time to achieve such
agreement between 170 members. However, it pays to wait until a text is fully agreed on as it is a
key to a successful implementation. Over the years, IMO procedures have improved and the process
of “tacit acceptance” has greatly simplified and accelerated the adoption of amendments and new
instruments.
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Case Study 2 – Bridge Procedures
This is the most recent example of IMO’s reaction to a maritime catastrophe. Following the Costa
Concordia accident, IMO was quick to react and add an urgent item to the MSC’s agenda, to review
relevant regulations, based on the findings from the Italian investigation of the accident.
The review of SOLAS regulations in still ongoing and the following rules should be impacted: drills for
passengers, structural protection of generators and data recorded in the VDR.
In the meantime, IMO has produced a circular (MSC.1/Circ.1446/rev.2) based on recommendations from
member states and NGOs (mainly CLIA) on operational measures for companies owning and/or operating
passenger ships. It covers lifejackets, access of personnel to the navigating bridge and avoidance of
distractions, passage planning and nationality records of persons on board.
Issuing a circular was the only way for IMO to act promptly. However, its application is only
recommendatory. Only amendments to SOLAS guarantee the full mandatory application of new
requirements.
Further Research:
The following page provides more information on SOLAS amendments as a consequence
to the Concordia accident:
 http://www.imo.org/MediaCentre/HotTopics/passengership/Pages/default.aspx
A Word on Terminology
As explained above, time elapses between the drafting and the entry into force of a regulation.
Between the date of adoption of a new rule and its entry into force, at least six months are granted. To
describe the journey of a new rule, vocabulary is important. A rule is first adopted, then accepted and
finally enters into force. This last date is the important one in terms of practical application.
One last word on the issue of application. A distinction shall be made between application to all ships
and to new ships.
ALL ships covers existing ships and new ships, whereas new ships refer only to ships built after a
specific date.
As a general rule, amendments to “hardware” parts of a ship, i.e. main structure, apply only to new ships
as it wouldn’t be feasible to modify existing ships. Amendments applicable to equipment or “lighter”
infrastructure tend to apply retroactively, i.e. to existing ships.
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Sometimes the date of the next ship survey is chosen as the application date for the new rule. This is
usually the case when transformation of the ship is needed, or if the installation of new equipment
requires dry-docking.
For example, the requirement for carriage of a VDR entered into force on 1 July 2002. The scope of
application was worded as such:
“ro-ro passenger ships constructed before 1 July 2002 not later than the first survey on or after 1 July
2002”.
Existing ships had to comply from the date of the first of their surveys scheduled after the entry into
force of the requirement.
To check the scope of application of a rule in a convention, always read the first paragraph of the section
or the chapter it belongs too. Scope of application should be defined there. If not, refer to the
introduction Articles, where the general scope of application is defined as well.
Where to Find Documents and How to Keep Updated on Regulatory Matters
IMO Conventions and Codes have to be purchased, either in electronic format or in paper copy.
“Public documents” can be accessed freely and meeting documents and circulars can be downloaded from
IMO’s main website:
 http://www.imo.org/OurWork/Circulars/Pages/Home.aspx
Or on its dedicated “IMODOCS” website, as follows:
 http://docs.imo.org/
Access to IMODOCS requires registration and not all documents are available to the public. It also
contains interesting information on IMO news, forthcoming meetings and updates on new publications.
To keep abreast of coming regulations, the best advice would be to read the report of the two main
committees, MSC and MEPC.
They meet twice a year and whenever an amendment is adopted, the full text is reproduced in their
reports. The report is available a few weeks after the end of the meeting.
The amendments are included in a resolution, with a reference code.
For example, Resolution MEPC.248(66) refers to resolution number 248, adopted at the 66th session of
the MEPC. After a page of preamble, the resolution contains the text of the rule. See the example on the
following page.
A search on Google with the reference of the document would be successful as well, as lots of maritime
administrations circulate IMO documents on their websites.
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Figure 4 – IMO document, MEPC 66/21, 04/04/2014
The Assembly also produces resolutions which contain amendments to some IMO conventions.
Why is it Difficult to Keep Abreast of All IMO Regulations?
Let’s take the example of SOLAS. The latest edition is SOLAS 2014 (just published). Between the
previous edition in 2009 and 2014, the MSC met ten times and produced each time amendments to some
parts of SOLAS.
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So when we browse an edition, searching, for example, for regulations on life-jackets, it only shows the
state of the regulations at the date of the edition. If the MSC has amended to text recently to require
new lifejackets for infants, this modification can only be found in a MSC resolution. This is why it is
important to keep updated on resolutions adopted by MSC, MEPC and the Assembly.
Once it is estimated that too many amendments to SOLAS have occurred, a new “consolidated” edition of
SOLAS is prepared and published.
This mechanism has been criticised as it is easy to miss an amendment if not properly informed.
This is why IMO now offers a product called “SOLAS Plus on the Web”. Through an annual subscription,
the user is provided with access to the fully amended and up-to-date text of SOLAS and to the
amendments that have been ratified but are not yet in force.
The IMO Vega Database is another useful tool sold by IMO. It contains not only the totality of IMO
instruments, but also the history of regulations, i.e. superseded regulations (as they might still apply to
“old” ships).
How the Main Instruments are Articulated and Relate to Each Other
In this section, some of the main instruments are briefly presented. Further information on SOLAS, ISMS
and the ISPS Code are provided later in the module.
As a foreword, it should be recalled that not all IMO instruments have the same “legal weight”.
A distinction is made between mandatory instruments (such as Conventions, stating requirements) and
recommendatory instruments (such as guidelines, guidance and some codes). Sometimes, an instrument
starts its life with a recommendatory status and later becomes a mandatory instrument. This was the
case with the IMSBC Code.
IMO makes a strict distinction between shall and should and adheres to this principle in all its texts, and
it reflects the status of the document. Conventions are mandatory. They may refer to specific codes and
guidelines and when such reference is made clearly in the text of the Convention, the said documents are
also mandatory.
Conventions may refer to guidelines in order to specify technical requirements in a separate document.
This allows them to keep a “light” mother instrument, it is also easier and faster to amend guidelines
than a convention.
Below is the list of IMO main instruments in the context of safety and pollution prevention.
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 1974 SOLAS Convention, including 1978 and 1988 Protocols
 MARPOL 73/78
 1966 Load Lines Convention, including the 1988 and 2003 Protocols
 1978 and 1995 STCW Convention and Code
 1972 Collision Regulations
 1969 Tonnage Convention
 2004 Ballast Water Management Convention (not yet in force)
 International Convention on the Control of Harmful Anti-fouling Systems on Ships (AFS) 2008
 Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships 2010
 International Convention for safe containers 1972
Below is a representation of SOLAS and its main related instruments (codes made mandatory under
SOLAS).
 International Safety Management (ISM) Code

 International Ship and Port Facility Security (ISPS) Code
 International Code of Safety for High-Speed Craft (HSC) 1994 and 2000
 International Maritime Solid Bulk Cargoes Code (IMSBC Code)
 International Code on Intact Stability, 2008
 International Code for Fire Safety Systems (FSS Code)
 International Life-Saving Appliance (LSA) Code 2009
The following Codes shall also be mentioned:
 International Bulk Chemical (IBC) Code

 International Gas Carrier Code (IGC) Code
 Casualty Investigation Code
 International Grain Code
 Code of Safe Practice for Cargo Stowage and Securing
 Code of Safe Practice for Ships Carrying Timber Deck Cargoes
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 2009 Code for the Construction and Equipment of Mobile Offshore Drilling (MODU Code)
 International Code of Signals
 International Maritime Dangerous Goods (IMDG) Code
 International Code for Application of Fire Test Procedures (FTP Code)
 Code for ships operating in polar waters – not yet in force
 IAMSAR Manual: Volumes I, II and III
Since IMO maintains over 200 titles, it would be tedious to go through an exhaustive list here. However,
it should also be noted that several Guidelines may be interesting in our context such as:
 Guidelines for the transport and handling of limited amounts of hazardous and noxious substances in
bulk on OSV.
 Guidelines for the design and construction of OSV.
 Guidelines on fatigue etc.
Directed Learning on Application Dates Principles
Note: now that SOLAS 2014 has been published, the following regulations have been
integrated into the Consolidated Edition.
The carriage of infant lifejackets on passenger vessels was made mandatory at MSC 81,
which took place in June 2006.
(1) Find the MSC resolution which contains the amendments.

(2) Specifically, which rule of SOLAS was amended?
(3) Read the preamble of the resolution and give the precise following dates: adoption of
the Resolution, acceptation of the amendments, entry into force of the amendment.
(4) Explain the scope of application of this amendment. Which ships are required to
carry infant lifejackets?
(5) Is it a retroactive amendment?
(6) What about a ro-ro ferry built in 1995 (there’s a trick here!)?
Implementation Process
IMO is not responsible for the implementation of the regulations as such.
Once adopted by member states, regulations must be integrated into national law. States are required to
operate a mechanism to verify it is being enforced. This is what we call “flag state implementation”.
Most IMO conventions, and sometimes its relevant codes, require the certification of the ship to prove its
compliance. The process of ship surveys and certification and the role of classification societies will be
detailed in the other sections of the module. Ship certificates are the final and practical result of this
large amount of IMO instruments and the focus of attention for all shipowners or operators and their
superintendents.
IMO is, however, taking part in one stringent control mechanism, the port state control regime. This
regime of inspections is operated on an international level, by means of regional Memoranda of
Understanding (MoU). Further details on PSC inspections are given later in this section.
It is not easy to keep abreast of all new developments as IMO’s agenda is extremely wide and covers
virtually any subject related to shipping. However, other agencies are also regulating specific aspects of
the industry and the most relevant are reviewed below.
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1.2.2 The International Labour Organisation (ILO)
History, Structure and Tasks
The ILO is a specialised agency of the United Nations but it was created long before the idea of the UN
emerged. ILO was formed in 1919, just after the end of World War I, and supported by countries willing
to secure peace by giving more importance to social justice and to enhancing working conditions.
Nearly a century ago, ILO defined the main areas requiring improvements and it is striking to note that
they remain highly relevant today and are still under review:
 regulation of the hours of work;

 protection of the worker against sickness and injury;
 protection of children;
 recognition of the principle of freedom of association etc.
The distinctive feature of ILO is its tripartite structure: workers, employers and governments are equally
represented to ensure that the views of the social partners are closely reflected in labour standards.
185 states are members of ILO.
Workers’ organisations (trade unions) and employers’ organisation are the two other constituents of ILO’s
tripartite structure.
ILO’s Work
The variety of topics under the responsibility of ILO is considerable, ranging from rural development,
gender equality to labour inspection and administration. Each topic is considered in detail according to
industry sectors, such as construction, chemical industries, agriculture etc.
Shipping is one sector of its own and encompasses four sub-sectors – shipping, fishing, ports and inland
waterways.
In our context, it would possible to sum up ILO actions by drawing a list of Conventions, guidelines and
codes of practice related to seafarers’ labour issues.
In the context of this module, the following instruments should be noted:
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ILO has recently adopted the Maritime Labour Convention, 2006. According to ILO, the objectives are to:
“cover most aspects of the maritime labour sector and to establish an effective enforcement and
compliance system with, for the first time, shipboard certification. It states minimum working and living
standards for all seafarers. What’s more, it is also an essential step toward ensuring fair competition and
a level-playing field for quality owners of ships flying the flags of ratifying countries.”
This Convention is considered to be very innovative and its entry into force was a major event in the
maritime community. The innovative feature is mainly the new “enforcement process” as the Convention
introduces a regime of certification for ships.
Similarly to IMO instruments, enforcement of the MLC is mandatory for ratifying states but also for
countries that haven’t ratified the Convention but whose ships, flying their flags, visit the ports of a
ratifying country (port state control).
It is also innovative in the sense that seafarers also have their role in terms of enforcement, as a
complaint system allows them to report on cases of non-compliance. The detailed requirements of the
MLC 2006 are presented later in this module
Other ILO Instruments Related to Shipping
Two important conventions deal with the safety of dockers and port operations and have a direct impact
on ships. Inspections and certificates are required under those instruments, for lifting appliances and
loose cargo gear on board ships.
 ILO Convention 152 “Occupational Safety and Health in Dock Work 1979”
It requires the testing, examination, inspection and certification of lifting appliances, of loose gear,
including chains and ropes, and of slings and other lifting devices which form an integral part of the
load.
A “Register of Lifting Appliances” and items of loose gear shall be kept on board, under the format
required by ILO. Practically, there are usually two registers required on board a ship fitted with such
equipment:
 a Register of Lifting Appliances; and

 a Register of Cargo Gears.
The inspections and certifications required are usually performed by classification societies acting as
recognised organisations.
 ILO Convention 032 “Protection Against Accidents of Workers Employed in Loading or

Unloading Ships” 1932, revised
Requires an examination every four years and a yearly inspection of:
 derricks;
 goose necks;
 mast bands;
 derrick bands;
 eyebolts;
 spans; and
 any other fixed gear the dismantling of which is especially difficult.
19
Yearly examination of all hoisting machines (e.g. cranes, winches), blocks, shackles and all other
accessory gear.
The records of such inspections shall be maintained on board and are subject to inspection by PSC.
1.2.3 United Nations Conference of the Law of the Sea Conference (UNCLOS)
For centuries, the concept of “freedom of the seas” prevailed in maritime transport and for the use of
maritime resources. Apart from seas surrounding coastlines, it was well established that the rest of the
oceans was a free zone, which could be used by anyone and belonged to no one.
This statement was true until the adoption of the UN Convention on the Law of the Sea (UNCLOS) in
1982. A succession of accidents and deep concerns on the use of oceans supported the need to
reconsider such a long-established principle.
Origins
During the first part of the 20th century, several events highlighted the necessity of clearly defining the
rights and obligations of countries and industries in the context of the marine environment.
The use of resources by coastal states and access by others became problematic and several countries
started to claim sovereignty over parts of the oceans and unilaterally extended their jurisdiction to
specific areas. The doctrines of the freedom on the high seas and the “territorial limit” traditionally set to
3 nm were suddenly challenged.
In parallel, there were growing concerns about the possible extent of pollution from ships, as the
development of super tankers and the increased sizes of other vessels suddenly gave a new potential
dimension to oil spills.
It was time to act and in the 1970 the UN decided to go ahead and regulate the oceans.
The Third United Nations Conference on the Law of the Sea was convened in 1973 in order to draft a
treaty for the oceans. 160 states took part in this attempt to cover the main aspects of the resources of
the sea and uses of the ocean and it took nine years to agree on the text.
The UNCLOS was adopted in 1982 in Montego Bay, Jamaica (and is also referred to as the “Montego Bay
Convention”).
Structure and Key Provisions
The UNCLOS works along three different axes:
 first, a legal framework designed to protect the ocean seabed;

 second, a legal framework to describe and organise rights and duties on the oceans, based on
obligations shared between countries and ocean users, and depending on the various maritime zones;
and
 the international authorities established to ensure implementation of the instrument.
The UNCLOS is a 200 pages document, it contains over 300 articles and only the most relevant will be
detailed below. The full text of the UNCLOS can be found at:
 http://www.un.org/depts/los/convention_agreements/texts/unclos/closindx.htm
The main subjects covered by the UNCLOS could be first summed up as follows:
20
 Definition of Maritime Zones
Territorial sea, contiguous zone, Exclusive Economic Zone (EEZ), continental shelf and high seas.
 Rights in Terms of Navigation

Innocent passage and transit, rules applicable to merchant ships within all maritime zones.
 Specific Case of the High Seas

Freedom of the seas doctrine maintained, but the role of flag states and duties of shipowners are
detailed.
 Principles Applied to the Seabed and Ocean Floor

Accommodation of activities, systems of exploration and exploitation. Explains the legal status of
resources on the seabed beyond the limits of national jurisdiction and establishes the International
Seabed Authority.
 The International Tribunal for the Law of the Sea

For the settlement of disputes related to seabed or disputes between states’ parties (parties have the
obligation to settle disputes by peaceful means and to exchange views).
 Protection and preservation of the marine environment

Measures to prevent, reduce and control pollution of the marine environment; co-operation and
contingency plans against pollution.
 Marine scientific research

Right to conduct research, promotion and transfer of research.
Maritime Zones and Related Jurisdictions
Each zone is characterised by its “breadth”, a distance in nautical miles counted from the shoreline.
The maritime zones can be represented by the following diagram:
Figure 5 – Illustration of UNCLOS maritime zones, distances in nm

Cèdre website, December 2008
21
Rights and Obligations Associated to the Maritime Zones
For the sake of clarity, the main rights and duties can be summed up in a table, based on the maritime
zones.
Main item
Maritime
covered by the Details Comments
Zone
Article
Territorial Sovereignty extends beyond the internal

Sovereignty of
Sea waters, to the territorial sea, but also to
coastal state –
the air space over and to the bed and
(12 nm) Article 2
subsoil.
Limits of the
How to measure the breath
territorial sea
Ships of all states enjoy the right of

Innocent
innocent passage through the territorial
passage
sea.
Passage is defined as navigation through

the territorial sea for traversing or
proceeding to or from internal waters
(port). Passage shall be continuous and
expeditious.
Passage is innocent so long as it is not

Passage is considered
prejudicial to the peace, good order or
prejudicial in several
security of the coastal state. Such passage
cases, including fishing
shall take place in conformity with this
activities, research and
Convention and with other rules of
survey activities.
international law.
A coastal state may

Coastal state The coastal state may adopt laws related to apply its national law in
legislation – safety, protection of navigational aids, of the context of marine
the environment. Foreign ships shall protection (e.g. Ballast
Article 21 comply with all such laws. Water restrictions in
USA).
Criminal and civil Local criminal

jurisdictions on jurisdiction would apply
The criminal jurisdiction of the coastal state
board a foreign only if the crime
should not be exercised on board a foreign
ship – Articles 27 committed has
ship passing through the territorial sea. It
and 28 consequences on the
can be exercised only in specific cases.
local state, or in the
context of drug traffic.
The contiguous zone may not extend

An extension of the
Contiguous beyond 24 nm. The coastal state may
territorial jurisdiction,
zone exercise their control only for these
Article 33 but only for specific
matters: to prevent or punish infringement
(24 nm) purposes. No
of its customs, fiscal, immigration or
sovereignty as such.
sanitary laws.
Legal status of
Straits used
straits for
for Specific case of straits, right of “transit Applies for the Strait of
international
international passage” for ships and aircraft. Gibraltar, Dover Strait
navigation –
navigation
Article 34
22
Main item
Maritime
Zone
Article
Measurement of
Archipelagic A specific measurement system is defined
the maritime
states for the case of archipelagic states.
zones
The coastal state has sovereign rights for

the purpose of exploration of natural
Specific legal resources and for activities such as Key element of the
Exclusive
regime of the production of energy from water, currents UNCLOS, allows
Economic
EEZ – Articles 55 and winds. extension of some
Zone (EEZ)
and 56 rights of the coastal
It also has jurisdiction for the creation
200 nm states.
and use of artificial islands; marine
scientific research; and the protection and
preservation of the marine environment.
Basis for the

There are numerous examples of conflicts related to the EEZ, mainly
resolution of
based on fisheries issues (France and Canada through St Pierre et
conflicts
Miquelon, Norway and Russia, UK and Iceland in the context of “Cod
regarding the
Wars”).
EEZ – Article 59
It comprises the seabed beyond the

Continental Definition – territorial sea, up to the continental margin
shelf Article 76 – or to 200 nm if the continental margin is
less.
Rights of the Sovereign rights for the purpose of

coastal state – exploration and exploitation of its natural
Article 77 resources.
Drilling on the Exclusive right of the coastal state to

continental shelf authorise and regulate drilling, for all
– Article 81 purposes.
Freedom of: navigation.

Freedom of the Overflight.
High seas
high seas – Laying of cables and pipelines.
(beyond 200 Article 87 Construction of artificial islands.
nm) Fishing.
Scientific research.
Every state shall fix the conditions for the

Nationality of grant of its nationality to ships, for their Key definition in the
ships – Article 91 registration and for the right to fly its flag. context of open
registers vs national
There must exist a genuine link between registers
the state and the ship.
Ships shall sail under the flag of one state

only and are subject to its exclusive
Status of ships – jurisdiction on the high seas.
Article 92
A ship may not change its flag during a
voyage or while in a port of call, save in
the case of a real transfer of ownership or
change of registry.
Duties of the flag

Further details on this specific article are given in the section below.
state – Article 94
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Main item
Maritime
Zone
Article
The state which has issued a master’s The flag state only has
Penal jurisdiction certificate shall alone be competent to jurisdiction over the
in case of pronounce the withdrawal certificates, even captain of the ship.
collision or any if the holder is not a national of the state This article has
other incident of which issued them. sometimes been
navigation – breached, when coastal
No arrest or detention of the ship, even as states jailed captains
Article 97
a measure of investigation, shall be after pollution
ordered by any authorities other than those accidents (Erika,
of the flag state. Prestige, Virgo)
Duty to render Key article to support a

assistance – The master is required to render assistance traditional maritime
Article 98 to any person in danger and to proceed to doctrine. Applies to
the rescue of persons in distress. individuals (“the
master”).
Other articles to be mentioned:
Any illegal acts of violence or

Definition of piracy – detention or any act of depredation,
According to the
Article 101 committed by the crew or the
Piracy definition, piracy exists
passengers of a private ship, and
only on the high seas.
directed on the high seas, against
another ship.
Ships/aircraft entitled
to seize – A seizure may be carried out only by
warships or military units.
Article 107
Hot pursuit must be commenced

when the foreign ship is within the An article which proved
Right of hot pursuit –
internal waters or territorial sea or to be too stringent in
Hot pursuit Article 111
the contiguous zone. the specific context of
Hot pursuit ceases as soon as the piracy.
ship enters a territorial sea.
Protection Measures to prevent, Measures taken to deal with all

and reduce and control sources of pollution of the marine
preservation pollution of the environment: from vessels or
of the marine marine environment – installations and devices used in
environment Article 194 exploration.
International
rules and
national MARPOL provides those
States shall establish international
legislation rules.
Pollution from vessels rules and standards to prevent,
to prevent, – Article 211 reduce and control pollution of the Flag states are liable
reduce and marine environment from vessels. for the legal framework
control applicable to their
pollution of ships.
the marine
environment
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If a vessel in a port is in violation of
Measures relating to international rules relating to
seaworthiness of seaworthiness of vessels and Detention of ship on
Enforcement vessels to avoid threatens damage to the marine the ground of
pollution – Article 219 environment, a state shall take unseaworthiness.
administrative measures to prevent
the vessel from sailing.
Inspection limited to examination of

Investigation of certificates, records or documents.
foreign vessels – Further inspection undertaken only
Article 226 when there are clear grounds for
believing that the condition of the
vessel or its equipment does not
correspond with the documents.
Flag State Duties
If only one article of UNCLOS should be detailed in the context of safety at sea and operation of shipping
companies, it would be article 94, laying down flag state duties and highlighting areas of compliance.
The article is reproduced below and comments are added to convey the broader meaning or the practical
interpretation.
“Article 94 – Duties of the Flag State
1. Every state shall effectively exercise its jurisdiction and control in administrative, technical and social
matters over ships flying its flag.
2. In particular, every state shall:

(a) maintain a register of ships containing the names and particulars of ships flying its flag, except
those which are excluded from generally accepted international regulations on account of their
small size; and
(b) assume jurisdiction under its internal law over each ship flying its flag and its master, officers
and crew in respect of administrative, technical and social matters concerning the ship.
 A flag state is responsible for ships flying its flag and is required to control its fleet. To do
so, a national legal framework shall be put in place and cover all mentioned areas.
Practically, states will introduce as a minimum in their national legislation the content of
international rules, as drafted and agreed by IMO.
3. Every state shall take such measures for ships flying its flag as are necessary to ensure safety at sea
with regard, inter alia, to:
(a) the construction, equipment and seaworthiness of ships;
(b) the manning of ships, labour conditions and the training of crews, taking into account the
applicable international instruments;
(c) the use of signals, the maintenance of communications and the prevention of collisions.
 The flag state is also required to guarantee the efficient application of its national
regulations, from the construction stage to the operation of the ship.
Practically, states rely on a system of inspections or surveys of ships, performed by its
administration or by recognised organisations.
4. Such measures shall include those necessary to ensure:

(a) that each ship…is surveyed by a qualified surveyor of ships, and has on board such charts,
nautical publications and navigational equipment and instruments as are appropriate for the
safe navigation of the ship;
25
 Refers to the work performed by classification societies acting as recognised organisations on
behalf of flag states.
(b) that each ship is in the charge of a master and officers who possess appropriate
qualifications…and that the crew is appropriate in qualification and numbers for the type, size,
machinery and equipment of the ship;
 Standards on trainings are required, for officers and crew. It is also an obligation to
guarantee that the level of crewing is sufficient, i.e. that the ship is sufficiently manned.
(c) that the master, officers and, to the extent appropriate, the crew are fully conversant with and
required to observe the applicable international regulations concerning the safety of life at sea,
the prevention of collisions, the prevention, reduction and control of marine pollution, and the
maintenance of communications by radio.
 A flag state is responsible for the level of knowledge, i.e. the good training received by the
crew manning ships under its flag.
5. In taking the measures called for in paragraphs 3 and 4, each state is required to conform to
generally accepted international regulations, procedures and practices and to take any steps which
may be necessary to secure their observance.
 The “generally accepted international regulations” are the IMO rules and standards…
7. Each state shall cause an inquiry to be held…into every marine casualty or incident of navigation on
the high seas involving a ship flying its flag and causing loss of life or serious injury to nationals of
another state or serious damage to ships or installations of another state or to the marine
environment…
 Flag states are responsible for leading investigations after an accident or a pollution event.”
The UNCLOS is seen as a general framework, laying down the basis of flag states duties and leaving
enough flexibility for each state to complete the framework with its national legislation. This flexibility
was sometimes considered as a weakness of the text, as the implementation actually relies fully on
national legislation and some nations might not have a strong network or proper resources to do so.
Although the role of the IMO had been established and accepted for decades before the entry into force
of the UNCLOS, it reinforces that IMO is the competent international body for the shipping industry.
Consequently, flag states have the duty to refer to IMO instruments in order to draft their legislation.
1.2.4 The United Nations Conference on Trade and Development (UNCTAD)
The UNCTAD is another agency of the United Nations, focusing on development through international
trade. As its slogan sums it up “prosperity for all”, UNCTAD promotes the implementation of policies
aiming to reduce economic inequalities and to enhance sustainable development. To reach this target,
UNCTAD produces a large variety of analyses, recommendations and statistics designed to be used by
policy-makers.
History and Structure
In the 1960s, the developing countries raised the issue of their unfavourable position in international
trade and requested the convening of an international conference to initiate a debate and develop
international measures. The first United Nations Conference on Trade and Development was held in 1964
in Geneva. 194 states are now members of the UNCTAD, while 155 states are members of the Trade and
Development Board.
As the economical world is constantly changing, UNCTAD focused on different areas throughout the
years. Before the 1980s north-south dialogue, the identification of Least Developed Countries (LDC) and
the aid offered by developed countries were the main subjects. Later, UNCTAD focused on the promotion
of south-south co-operation or macroeconomic management. Finally, UNCTAD participated to the
General Agreement on Trade in Services (GATS) and the creation of the World Trade Organisation (WTO)
in 1995.
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UNCTAD and the Shipping Industry
The Code of Conduct for Liner Conferences
In the 1970s, UNCTAD focused on the possibilities for ameliorating the gains from trade and produced a
Code of Conduct for Liner Conferences aimed at supporting the merchant fleets of developing countries
(the Liner Code).
The idea was to challenge the domination of the shipping industry by developed countries by regulating
Liner conferences. A Liner conference consists of a group of shipping companies (solid cargo) gathering
to determine freight rates and to co-ordinate the navigation programmes of their fleets.
The UN Liner Code was seen as an international legal framework designed to protect the interests of non-
developed nations, by supporting the development of their own fleet and implementing protectionist
measures. Adopted in 1974, it came into force in 1983.
The Code established measures aiming at opening membership to Liner Conferences for any national
shipping lines. It established as a principle that parts of national cargo had to be shipped by national
fleets. This is the “allocation principle”, better known as the 40/40/20 formula:
 40% of the cargo to be carried by shipping companies of the sending and receiving countries; and
 20% to be carried by third country companies.
However, in the late 1990s, the liberalisation of maritime transport was well underway and the new
global economy ideology based on competition signalled the practical end of the UNCTAD Liner Code.
Forty years later after its entry into force, many analysts concluded that it was not a successful treaty,
given the lack of sustainable national fleets created by developing countries. Although some countries,
such as the USA and Europe, had created a special regime of exemption for Liner conferences, free
competition is now the rule for maritime transport services.
Today, UNCTAD is a reliable source of data used for analyses supporting the drafting of policies, but
UNCTAD itself is not giving any impulse on seaborne trade policies.
Other Activities Related to the Shipping Industry
UNCTAD produces more than 150 indicators to support analysis on economic trends, foreign investments,
labour forces etc. Based on such data, UNCTAD can draw both a general picture of international trade
and a detailed analysis by sector. In 2013, UNCTAD summed up its reviews as such:
“World merchandise exports grew by 2% in 2013, while trade in services recorded a 5% global increase.”
UNCTAD maintains databases and statistics specifically related to the seaborne trade, compiled in a
document named “The UNCTAD Review of Maritime Transport”.
It contains:
“analysis on seaborne trade, the world fleet, freight rates, port traffic, and the latest trends in the legal
and regulatory environment for international maritime transport”.
The Review of Maritime Transport for 2014 can be found at the following page:
 http://unctad.org/en/pages/PublicationWebflyer.aspx?publicationid=1068
27
Further Research:
Further detailed information can be found in the UNCTAD “data centre” (http://unctad
stat.unctad.org/wds/ReportFolders/reportFolders.aspx), which compiles indicators on:
 World merchant fleet: Merchant Fleet by flag of registration and by type of ship,
annually.
 Maritime transport indicators: Liner shipping connectivity index.
 World seaborne trade, by types of cargo and country groups.
1.3 Regional, National and Other Regulation
As explained above, IMO is the body adopting international regulations but the implementation relies on
flag states. To achieve efficient implementation and control, flag states are supported by classification
societies and the port state control regime. For a shipping company, the global legal framework can then
be seen as a combination of layers, piling requirements from different origins and integrating different
actors:
The sections below detail the role of each of those key players in the field of maritime regulations.
1.3.1 The Role of the Flag State
Flag states are responsible for the enforcement of regulations. They bear responsibility for ships flying
their flag and this requirement is established on an international level through the relevant Articles of the
UNCLOS. Flag states also have the sole jurisdiction on their ships on the high seas.
Duties of Flag States
First of all, flag states shall establish national laws to allow implementation of the IMO legal framework.
Once the minimal requirements are integrated into national law, this “IMO package” may be
complemented with any piece of regulation deemed necessary for their fleet. National regulations usually
cover different categories of ships or trades separately such as:
 cargo ships;
 passenger ships;
28
 fishing vessels; and
 leisure crafts.
To guarantee the enforcement of regulation, IMO has designed a survey and certification regime. Flag
states assume full responsibility for the mandatory certificates delivered to their ships (even when this
function is delegated).
The survey and certification tasks are performed by dedicated maritime administrations but states usually
delegate some of the tasks to classification societies, which are then acting as “Recognised
Organisations” on behalf of flag states. Further details are given in the section on classification societies.
Certificates establish that ships are designed, constructed, maintained and managed in compliance with
the requirements of IMO conventions, codes and other instruments. There are two main types of
“statutory” surveys performed in this context:
 initial surveys for new constructions are carried out before the ship is put in service; and
 “general” surveys are carried out at regular intervals once the ship is operating.
The scope of surveys is established by the HSSC Directives, contained in an IMO Assembly resolution.
HSSC Guidelines – Survey Guidelines under the Harmonised System on Survey and Certification (HSSC),
2011 (Resolution A.1053(27), as amended by A.1076(28), 20 December 2011).
Figure 6 – IMO diagrammatic arrangement of the survey intervals

HSSC Guidelines, IMO Assembly Resolution A.1053(27), Appendix 2, 11 December 2011
29
This is a key document that plays a pivot role in the enforcement mechanism. It translates the IMO
requirements into practical items to be surveyed. The system of survey and certification became
“harmonised” in 1988 as it was recognised that the survey schedules of ships had become far too
complicated and contained redundancies.
Under the HSSC, the standard interval between the different surveys is set to one year and a three-
month flexibility is allowed, together with a possible three-month extension of certificate. The survey
system is organised as shown in Figure 6 on the previous page.
IMO describes the surveys as:
 Initial Survey
A complete inspection of all the items relating to the particular certificate before the ship is put into
service to ensure they are in a satisfactory condition and fit for the service for which the ship is
intended. This is probably the survey with the largest scope.
 Periodical Survey
Inspection of specific items to ensure their satisfactory condition and fitness for the service for which
the ship is intended.
 Intermediate Survey
Inspection of specified items, similar to periodical.
 Renewal Survey
As per periodical survey but leads to the issue of a new certificate. It is actually a comprehensive
survey with an extended scope.
 Annual Survey
General inspection of the items to ensure that they have been maintained and remain satisfactory for
the service for which the ship is intended.
 Additional Survey
Inspection, either general or partial according to the circumstances, to be made after a repair
resulting from casualty investigations or whenever any important repairs or renewals are made.
Confusion can exist between the terms “periodical” and “intermediate” surveys. It should simply be
noted that depending on the certificate they relate to, those surveys can be named either periodical or
intermediate, their content and purpose is similar.
For passenger ships, since the certificate validity is one year, the surveys are always “renewal surveys”.
Note: before the entry into force of SOLAS Protocol 1988, cargo ships were carrying three related
certificates with a five-year validity:
 Cargo Ship Safety Equipment Certificate;

 CS Safety Construction Certificate; and
 CS Safety Radio Certificate.
Those three certificates can now be replaced by one unique document, the Cargo Ship Safety Certificate
(similarly to passenger ships, only one SOLAS certificate is provided, valid for one year).
The following certificates are required on board ships, in the context of the HSSC:
 Passenger Ship Safety Certificate, including Record of Equipment.

 Cargo Ship Safety Construction Certificate.
30
 Cargo Ship Safety Equipment Certificate, including Record of Equipment.
 Cargo Ship Safety Radio Certificate, including Record of Equipment.
 Cargo Ship Safety Certificate, including Record of Equipment.
 International Load Lines Certificate.
 International Pollution Prevention Certificates for Oil, NLS, Sewage and Air Pollution.
For tankers:
 International Pollution Prevention Certificate for the Carriage of NLS in Bulk.

 International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk.
 International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk.
 Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk.
The HSSC Guidelines are updated every two years, but consolidated every four years only. It is a
complicated document, not user-friendly at all, but very important.
It gives a highly specific list of items to be inspected for each type of survey, for each type of certificate.
It is updated whenever the main IMO instruments are amended, in order to add the new requirements.
Terms are important, as “review”, “examine”, “confirm” and “check” do not mean the same in terms of
actions taken by the surveyor.
An example is given below:
 (PI) is the code for Initial Survey for Passenger Safety Certificate.
 The number 5.1.2.110 is just the reference of the item.
 Underlined text shows the additions, and strikethrough shows the deletions.
This item was modified as SOLAS Regulation V/23 on pilot transfer arrangements and was amended in
2012 (i.e. mechanical pilot hoists prohibited).
This 170-page document is essential as it describes the scope of mandatory surveys and it is used as a
basis for all parties involved in surveys, on the implementation and the control levels. The work of flag
states, classification societies and PSC is based on this document.
IMO also publishes, as a circular, the list of certificates and documents required to be carried on board,
updated whenever needed. Below is the link to the most recent one:
 http://www.imo.org/OurWork/Facilitation/docs/FAL%20related%20nonmandatory%20instruments/FA
L.2-Circ.127.pdf
National Regulations
Flag states are free to add further requirements to IMO minimum standards. Sometimes this leads to
other certificates or documents being mandatory for ships.
The details of national requirements can usually be found on maritime administrations’ websites and are
circulated as “Marine Notices” or Circulars.
31
Two examples are given below, for the Panama flag and the Danish flag:
 Panama Flag – Panama Maritime Authority, Segumar

Panama introduced a special procedure for monitoring PSC of Panama flag vessels. Operators or
owners are required to send copies of PSC reports whenever a deficiency is noted and detained
Panamanian vessels may be subject to a flag state control inspection previously or on arrival at a port
member of Paris and Tokyo MoU, or any port of the USA.
 Danish Flag – Danish Maritime Authority

Carriage of immersion suits and lifejackets. Denmark has integrated in its law the relevant
regulations of SOLAS, Chapter III, on immersion suits and lifejackets. As SOLAS only requires that
they “must be so placed as to be readily accessible”, the DMA has added a specific requirement for
lifejackets and immersion suits to be stowed close to the muster station.
It can be a cumbersome task to keep updated on flag requirements. It is recommended to subscribe to

updates and newsletters published by flag administrations, as they usually provide such a service to
ensure that their fleets receive appropriate information, in due time.
Exemptions
IMO instruments contain provisions on exemption or equivalent arrangements. Flag state administrations
are responsible for the issuance of such exemptions, but they may delegate this task to their ROs.
Conditions of issuance are specific to the exemption requested; a review of documents might be enough
or a special inspection might be necessary.
Below are some examples of common exemptions:
Opening of Watertight Doors for the Prevention and Control of Water Ingress (SOLAS II-
1/22.4)
“Certain watertight doors may be permitted to remain open during navigation only if considered
absolutely necessary… Such determination shall be made by the administration only after careful
consideration of the impact on ship operations and survivability, as determined by the administration.”
The administration may perform further stability calculations to determine which doors can remain open.
An official document will be issued to the ship.
Inclining Test to Obtain Intact Stability Information (SOLAS II-1/5)
“The administration may allow the inclining test of an individual cargo ship to be dispensed with, provided
basic stability data are available from the inclining test of a sister ship.”
Throughout IMO instruments, this sentence can be read “at the discretion of the administration”. Flag
states are required to provide further details on what their intentions are when their “discretion” is
applied.
For example, SOLAS Regulation II-2/15 on Fire Control Plans reads:
“General arrangement plans shall be permanently exhibited…showing details of the control stations, the
fire sections… Alternatively, at the discretion of the administration, the aforementioned details may be set
out in a booklet… Description…shall be in the language or languages required by the administration.”
32
The flag is then required to specify which languages are accepted and if booklets can be used instead of
plans.
Although flag states are responsible for enforcement of regulations, which includes carrying out surveys
and issuing certificates to ships, they don’t operate a specific regime of sanction, other than the
withdrawal of certificates.
The control and sanction mechanisms for ships in operation rely a lot on the port state control regime
established in the 1980s.
1.3.2 The Role of the Port State Control (PSC)
As defined by IMO, port state control is:
“the inspection of foreign ships in national ports to verify that the condition of the ship and its equipment
comply with the requirements of international regulations and that the ship is manned and operated in
compliance with these rules… The primary responsibility for ships’ standards rests with the flag state –
but port state control provides a ‘safety net’ to catch substandard ships”.
The PSC regime is relatively young, as it was only in the late 1970s that European countries first agreed
on a memorandum to inspect ships in the context of labour conditions. However, it soon became obvious
that safety and prevention of pollution should also be covered.
The Paris Memorandum of Understanding (MoU) was created in 1982, soon to be followed by other MoU
for different geographical zones. It was needed as a tool to supplement flag state implementation, as
some flags were clearly not complying fully or satisfactorily with their obligations, hence allowing the
operation of substandard ships.
Today, the entire world is covered by the following MoUs:
 Paris MoU (Europe and the North Atlantic);

 Tokyo MoU (Asia and the Pacific);
 Acuerdo de Viña del Mar (Latin America);
 Caribbean MoU;
 Abuja MoU West and Central Africa;
 Black Sea MoU;
 Mediterranean MoU;
 Indian Ocean MoU; and
 Riyadh MoU.
Although the establishment of PSC regional regimes is encouraged by IMO, MoUs work as independent
units but they communicate their reports, analyses and practical recommendations to IMO.
They are the last link in the “enforcement chain” but they are the first ones to notice areas of recurrent
non-compliance.
MoUs sometimes launch “Concentrated Inspection Campaigns (CIC)” to target specific subjects. For
example, Paris and Tokyo MoU launched a CIC on STCW hours of rest in July 2014. During this
campaign, the deck and engine room watch keepers’ hours of rest were verified in detail and a list of 10
items to be inspected was circulated beforehand (example of items: is a watch schedule posted in an
easily accessible area?).
33
Modus Operandi and Types of Deficiencies
MoU PSC inspections can have different scopes. The ship priority for inspection is related to its type and
risk profile.
The detailed explanation of the different risk profiles and the content of each type of inspection, in the
context of the Paris MoU, can be found at this address:
 https://www.parismou.org/system/files/Annex%209Inspection%20Type%20and%20Clear%20Ground
s.pdf
After the inspection, the PSCO will issue a “clean” inspection report if the ship is deemed compliant. In
case of deficiencies, the report includes a list and the follow-up actions to be taken.
Usually, the following time frames for rectification apply:
 Deficiencies to be rectified within three months or within 14 days for minor infractions.
 Deficiencies to be rectified when the ship arrives at the next port.
 Deficiencies must be rectified before the ship can depart the port for major non-conformity.
 Detention of the ship.
 Finally, a ship can be “black listed” or banned after a certain repetition of detentions.
Lists and Statistics

Paris, Tokyo and USCG establish lists of flag performance, known as the White, Grey and Black Lists.
Below is the Paris MoU annual report for 2013. It shows 46 flags on the White List and only 10 flags on
the Black List. In 2007, the Black List counted 19 flags:
 https://www.parismou.org/publications/69
According to the PSC statistics, the majority of deficiencies are related to safety equipment and pollution
prevention equipment, some critical areas being:
 Equipment deficient or parts missing.

 Oily water separator, equipment itself or oil record book entries related to it.
 Missing manuals/instructions or wrong display.
Although PSC regimes aim to carry out inspections in the most harmonised way, the potential
interpretations of regulations may introduce confusion and distortion from one port to another.
This is why IMO and other stakeholders, like IACS, keep a close eye on the wording of regulations, to
ensure the enforcement can be global and uniform.
Example and Directed Learning on PSC Deficiencies
The inspections of ships under the port state control regimes, as detailed later in the module, pay regular
and particular attention to the fire safety equipment on board.
Directed Learning:
Read the following documents on the special campaigns launched by the Paris, Tokyo and
Riyadh MoU at different periods:
(1) Read the Checklist of items scrutinised during PSC inspections in 2012, to familiarise
yourself with the items under review:
 http://www.tokyo-mou.org/doc/Joint_press_release_CIC_on_FSS.pdf
34
(2) Read the analysis of the campaign by Paris MoU and name the three most frequent
deficiencies.
(3) If you have a copy of SOLAS with you, try to establish and name which rule covers
the following items from the checklist:
 Does the fire control plan meet the requirements?
 Do the fire fighters’ outfits, including personal equipment, comply with the
requirements?
 Are the portable extinguishers ready for use in locations as per the fire plan?
 Does the activation of any detector or manually operated call point initiate a visual
and audible fire signal at the control panel on the bridge or control station?
Further Research:
For further information on essential items covered by PSC, reference is made to the
“Pocket List” from Lloyd’s Register and UK P&I, available from:
 http://www.ukPandI.com/fileadmin/uploads/uk-
pi/Photos/On%20board%20advice/UKClub-PSCcheck4.pdf
1.3.3 The Role of Classification Societies
Classification societies are among the oldest stakeholders in the maritime community.
It all started in London, when underwriters realised that to insure a ship, an assessment of its quality was
necessary. The Lloyd’s Register was created in 1760 and published a register of ships, giving a
classification of ships based on the condition of the hull and the equipment.
Less than a century later, the Bureau Veritas was founded, followed shortly by the Det Norske Veritas.
The first set of rules on ship construction was then established.
Today, there are over 50 classification societies. However, only 13 are members of the International
Association of Classification Societies (IACS) and together they cover more than 90% of the world’s cargo
carrying tonnage.
The Dual Role of a Classification Society
Classification societies have a special place in the flow chart of shipping relationships. They work both for
the shipowner and the flag state, but under a different status depending on the task performed.
Internally, their operating structure makes a clear distinction between each “hat” although their
surveyors may be assigned to carry out either class or statutory surveys.
Work as a Classification Society for the Purpose of Class Surveys
The classification of a ship is a reference to the ship safety and standards of construction. The ship
receives a class as a succession of symbols and letters referring to specific elements of the ship,
documented by class certificates.
It shows that the ship complies with the relevant standards of the classification rules of the society at the
time of the survey.
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There are several class notations and since they differ from one society to another, it is quite complicated
to make comparisons.
The main categories of notations are related to the type of ship, its service and other specific criteria
requested by the owner. They could be listed as such:
 Main class symbol;

 Construction marks;
 Notations:
 service notations;
 navigation notations; and
 additional class notations.
Below is a table showing some of the class symbols and their correspondence. Data contained in the
picture are of an informative nature only.
Figure 7 – Correspondence of class symbols, marks and notations between

Bureau Veritas and Other IACS members – as published by Reza Babri in January 2009
A distinction can be drawn between the rules for construction of ships and other rules applying to ships in
operation.
In order to retain their class, ships in service are subject to a “through-life survey regime” including
different surveys, such as: class renewal, intermediate survey, annual survey, and bottom/docking
surveys of the hull.
36
Surveys are also planned for machinery equipment, such as boiler survey, machinery survey, electrical
equipment survey etc.
If the survey is not satisfactory, class may be either suspended, withdrawn or modified to a different
notation.
Although there used to be differences among societies, the IACS members recently aimed at harmonising
their rules and since 2006 they apply the common structural rules for tankers and bulk carriers.
Classification societies make it very clear that a class certificate is NOT a warranty of safety, fitness for
purpose or seaworthiness of the ship but should only be seen as an attestation of the ship’s compliance,
at the specific time of the survey.
This is based on the understanding that the ship is operated in conditions over which the class society
has no control. The shipowner is liable for maintaining the “condition of classification” between surveys.
Classification of ships is clearly required under SOLAS Regulation II-1/3-1:
“In addition to the requirements contained elsewhere in the present regulations, ships shall be designed,
constructed and maintained in compliance with the structural, mechanical and electrical requirements of
a classification society which is recognised by the administration…”
For this reason, and also to carry out other statutory surveys on their behalf, flag states recognise certain
classification societies.
Work as a Recognised Organisation (RO) for the Purpose of Statutory Surveys
As seen in the previous section, there is actually a shift of liabilities or a delegation of powers, from
UNCLOS all the way down to classification societies.
Flag states authorise classification societies to perform statutory surveys on their behalf. An agreement
is established, with the specific scope of the delegation.
37
A state may wish to delegate only the surveys related to MARPOL certification, for example, or may wish
to delegate the conduct of surveys but, however, retain the issuance of certificates as a state
prerogative.
The degree of delegation is actually related to the resources, experience and manpower of the maritime
administration.
Every maritime administration publishes a list of its Recognised Organisations (ROs) and the scope of
delegation should be detailed as well.
Statutory surveys are usually performed by the society which is already in charge of the vessel class,
although this principle does not apply for the ISM and ISPS inspections.
When a ship changes flag, it is also subject to a specific survey named “change of flag” survey.
Further Research:
Further details on this specific survey can be found on IACS website, at the address
below:
 http://www.iacs.org.uk/document/public/Publications/Procedural_requirements/
PDF/PR_28_pdf113.pdf
When a class society performs statutory surveys, the content of the survey is strictly based on the HSSC
Guidelines mentioned earlier in this module.
The scope of the surveys is updated only if the guidelines are amended.
The RO is then accountable to the flag administration for the work performed on its behalf, but it does
not exempt the flag state from its responsibilities as an “enforcement organ”.
1.3.4 Other Groups that Influence the Rule-making Process
Among other regulatory bodies having a global impact on the shipping regulations, the following can be
mentioned.
European Union and its Dedicated Agency (EMSA)
In the late 1980s, the European Union started to show signs of slight discontentment with the pace of
IMO work and felt it was necessary to provide for its own regulations, protecting the European waters.
With the accident of the Erika and the Prestige in the early 2000s, the European Union found a good
reason to potentially depart from IMO decisions and calendars and require more stringent regulations on
specific aspects. Those accidents also triggered the creation of the European Maritime Safety Agency
(EMSA).
The EMSA mandate is very large and covers maritime safety, pollution prevention, seafarer’s training,
monitoring of ROs, accident investigations etc. However, its activities are meant to assist the EU and it
does not produce regulations.
The European Union produces Directives related to the shipping industry, most of them are for
integrating IMO requirements, while others may regulate differently a specific area of the shipping
industry.
38
One directive is worth mentioning as it covers most of the equipment on board ships:
 The Marine Equipment Directive, EU Council Directive 96/98/EC, with its latest amended by
Commission Directive 2012/32/EU.
Under this directive, marine equipment can only be installed on board EU-flagged ships (plus Norway or
Iceland) if it is marked with the MED Mark of Conformity (the “wheel mark”).
LSA, marine pollution prevention equipment, fire protection equipment, navigation and
radiocommunications and COLREG equipment are covered by the wheel mark.
Figure 8 – EU MED wheelmark as marked on ship equipment
The complete list of EU directives can be found at this address:
 http://europa.eu/eu-law/legislation/index_en.htm
Further Research:
For information purposes only, an example of political, and consequently policy,
discrepancies between IMO and EU can be found in the context of CO2 regulations for
ships, and the article below provides further details on the subject:
 http://www.ics-shipping.org/news/press-releases/2014/11/27/eu-regulation-on-co2-
reporting-by-ships-may-complicate-global-agreement-says-ics
Regional Coast Guards, such as USCG Agency
In some countries, national coast guards are not only a naval or SAR force but also a maritime
administration fulfilling the obligations of states, whether they act as flag or coastal states. Thanks to
their expertise, they have a robust presence in a forum related to maritime legislation.
The following countries operate a coast guard service implicated in maritime policies and acting as a law-
enforcement agency:
 USA;
 Italy; and
 Malaysia.
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The Case of the USCG Agency
The USCG is the “voice of America at the IMO”. As such, it participates in decisions taken on an
international level, but is also policy-maker for the US. The USCG Agency has produced several unilateral
regulations, applied to any vessel calling at US ports or in US waters. For example, the USCG operates a
Ballast Water Management Programme for ships calling at US ports or entering its waters.
Specific ballast water discharge standards were implemented, ahead of the IMO BWM Convention’s entry
into force. It also requires ballast water systems to be US type-approved.
As another example of local national legislation, the Oil Pollution Act 1991 may also be mentioned,
although it originates from US EPA. Under this Act, ships are required to design their own Pollution
Response Plan and obtain proper insurance cover in this context.
The Role of the Maritime Industry
The maritime industry is represented by several professional bodies dedicated to specific fields of the
industry. For example:
 the International Chamber of Shipping (ICS) represents shipowners and operators in all sectors and
trades;
 cruise ship operators are represented by the Cruise Lines International Association;
 the Society of International Gas Tanker and Terminal Operators (SIGTTO) is an association for gas
tankers (or terminals) operators; and
 INTERTANKO is the association for independent tanker owners and operators of oil and chemical
tankers.
Those associations are actively involved in the policy-making process as their operational experience
gives them the status of experts. They also produce technical publications, guidelines or even operating
procedures. Such guidelines are applied by some companies as internal mandatory requirements.
Below are some examples of documents seen as industry standards or best practices:
 INTERTANKO
Tanker Officer Training Standards (TOTS) provide the tanker industry with a standard that ensures
officer competence, based on ship and shore trainings.
 CLIA
Regularly produces industry policies, to be applied by its member. For example, in the wake of the
Costa Concordia accident, a policy on Bridge Access was adopted in March 2012:
“To minimise unnecessary disruptions and distractions to bridge team members in accomplishing
their direct and indirect duties during any period of restricted manoeuvring, or while manoeuvring in
conditions…requiring increased vigilance, CLIA’s members have adopted a policy that bridge access
is to be limited to those with operationally related functions during these periods… Deviation from
this policy requires prior approval of senior management ashore.”
 ICS with OCIMF

International Safety Guide for Oil Tankers and Terminals (ISGOTT). This document combines best
practices and industry standards. It contains operational advice to assist personnel involved in tanker
and terminal operations. Although it is accepted as an industry recommendation, it might be required
(by company policies or charterers) to keep a copy of ISGOTT on board tankers.
40
Throughout the first part of this module, it has been seen that the maritime legal framework is complex
as it is based on several sources, all converging to implement operational requirements applicable to
ships.
The following chapters will highlight some of the main operational standards in the context of safety.
41
2. SAFER OPERATIONAL STANDARDS
Learning Outcomes:
On successful completion this chapter, you will be able to:
 distinguish the essential requirements under the SOLAS Convention;
 explain the purpose and function of the IACS Unified Requirements; and
 explain the main developments in the context of maritime safety.
2.1 Introduction
Safety standards are set by the SOLAS Convention and its related instruments. SOLAS is supplemented
by all sorts of documents emanating either from IMO or from IACS. A brief description is given below,
followed by recent developments in terms of policy-making, i.e. the goal based standards approach.
2.2 SOLAS Convention
It would be illusory to think anyone could know SOLAS by heart as it contains more than 400 pages!
However, it is important to understand its structure and to know where to find specific items. Only its
structure and the main regulations are detailed below.
Background
After several versions of SOLAS (1929, 1948 and 1960), it was found that the amendment procedure was
too slow and a brand new Convention was adopted in 1974. It entered into force in 1980 and is the
version currently in force.
After that date, SOLAS was modified in depth by the 1978 Protocol, which was then abrogated by the
1988 Protocol (introduction of the HSSC system). Any other amendments after that were adopted by
means of resolutions (from MSC or from the Assembly).
2.2.1 Structure
The current SOLAS Convention (edition 2014) includes introductory Articles setting out general
obligations, followed by 12 Chapters. The appendix contains the list of certificates (and their models)
and documents to be carried on board ships. The following table is an attempt to sum up the content of
SOLAS. Highlighted in red are some of the new additions to the SOLAS 2014 edition.
Chapter Name and parts Content Comment Reference to Code
General provisions
Description of the
I Part B – Surveys + survey regime.
Certificates
Damage stability:
Watertight
compartments are
used for the sub-
Construction – Sub- division of ships, it IBC Code for
division and stability, allows the ship to chemical carriers.
II-1 machinery and remain afloat after
electrical damage – the IGC Code for gas
installations degree of sub- carriers.
division varies,
criteria are more
stringent for pax
vessels.
42
Ships are required to be

built according to class
society rules.
Coating of tanks.
Part A-1 Structure of Code on noise levels
Asbestos.
ships on board ships.
Emergency towing
arrangements.
Protection against noise
GBS Standards.
Part B Sub-division and Code for Special

Stability Probabilistic principles Purpose Ships.
for damage stability,
based on required sub-
Part B-1 Stability Code on Intact
division index R and
Part B-2 Sub-division, Stability for All Types
attained index A.
watertight and of Ships.
Double bottom
weathertight integrity
requirements.
Part B-3 Sub-division
Openings in bulkheads,
load line assignment for
decks and platings.
passenger ships
Damage control.
Part B-4 Stability
management
Machinery.
Part C Machinery Steering gear.
Installations Bilge pumping
arrangements. In order to
maintain essential
Main and emergency services under
sources of electrical emergency
Part D Electrical power. conditions.
installations Supplementary
emergency lighting for
ro–ro passenger ships.
Part E Additional
requirements for Alarm system Specific requirements for UMS engine-
periodically unattended Communications. rooms.
machinery spaces
Part F – Alternative Provides a methodology Allow a deviation from

design and arrangement for alternative designs. requirements.
Fire protection, fire

Fire Safety
detection and fire
Systems Code.
extinction
Division of the ship in
Definition of A class zones by thermal and
structural boundaries; Fire Test
Part A General division, from A-0 to A-
accommodation spaces Procedures Code.
60.
separated; restricted
use of combustible
Arrangements for oil
materials; detection of
Part B Prevention of fire fuel, lubrication oil and
fire; containment and
II-2 and explosion other flammable oils,
extinction; protection
ventilation systems.
of the means of
escape; availability of
Detection and alarm fire-extinguishing
systems. appliances; minimising
Protection of machinery ignition sources.
spaces.
Part C Suppression of Containment of fire = All systems and
fire sub-division into spaces, equipment have to
depending of the fire risk comply with FSS Code.
of the spaces. 14
categories of spaces
Extinguishing systems.
43
Part D Escape Means of escape.
To maintain and monitor

the effectiveness of the
Part E Operational fire safety measures the
requirements ship is provided with =
test, drills and
maintenance.
Part F Alternative design

and arrangements
Helicopter facilities.
Part G Special
Requirements Carriage of dangerous
goods.
Requirements for life

boats, rescue boats, life
jackets according to the Life-saving
type of ship. Training appliances and International Life-
Life-saving appliances and drills. Muster List
III arrangements shall Saving Appliance
and arrangements and emergency comply with LSA (LSA) Code.
instruction. Code.
Alternative design
arrangements.
GMDSS System. Radio

equipment required
IV Radiocommunications depending on sea Areas
Carriage requirements
on EPIRB, SART etc.
Navigational and
meteorological warnings
Obligation for
SAR services.
masters to proceed International Code of
V Safety of navigation Ships’ routeing, VTS
to the assistance of Signals.
VDR, AIS.
those in distress.
Pilot ladders.
Charts and publications.
Cargo information.
Oxygen and gas
International Grain Code mandatory for
detection equipment.
ships carrying grains; Code of Safe Practice
MSDS.
VI Carriage of cargoes for Cargo Stowage; and Securing Code of
Bulk cargoes.
Practice for the Safe Loading and Unloading
Grain.
of Bulk Carriers (BLU Code).
IMSBC Code made
mandatory.
Carriage of dangerous
goods
Part A – DG in packaged form.
VII Part A-1 Carriage of DG in solid form in bulk.
Part B Construction and equipment of ships carrying

dangerous liquid chemicals in bulk. IMDG Code covers this and is made
mandatory under this chapter.
Part C Construction and equipment of ships carrying
liquefied gases in bulk.
Part D Carriage of packaged irradiated nuclear fuel

and waste.
44
Nuclear ships
VIII
Management for the

IX safe operation of ISM Code.
ships
Safety measures for High-Speed Craft Code 1994 or HSC Code

X
high-speed craft 2000 depending on construction date.
Authorisation of RO.
Enhanced surveys for
Bulk carriers and oil
Special measures to tankers. For ships constructed before 1/7/2004, the
XI-1 enhance maritime CSR shall at least, provide history of the
safety Ship identification ship as from 1/7/2004.
number.
Continuous Synopsis
Record.
Special measures to
Ship security alert
XI-2 enhance maritime ISPS Code.
system (SSAS).
security
Damage stability.
Structural strength.
Additional safety This chapter was added following a tragic
XII measures for bulk Loading instrument. series of bulk carriers sinking in the late
carriers (›150m) 1990s.
Hold, ballast and dry
space water ingress
alarms.
Appendix Certificates
2.2.2 Question of Application
SOLAS operational requirements are, in general, applicable to all ships, while requirements for ship
construction and equipment apply to ships constructed on or after the dates specified in the different
regulations.
For ships constructed before 2014, the previous versions of the SOLAS should be consulted. This is why
it is very wise and valuable to keep a collection of all SOLAS editions!
It can be complex to determine the scope of application of a chapter or a regulation as it is not always
clear. For example, this is Chapter II-1 on Structure of Ships. It starts like this:
“Regulation 1
Application
1.1 Unless expressly provided otherwise, this chapter shall apply to ships the keels of which are laid or
which are at a similar stage of construction on or after 1 January 2009.”
Any ship built before that date should refer to previous editions of SOLAS, UNLESS the term “all ships” is
used in the wording of the rule.
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“.2 the expression all ships means ships constructed before, on or after 1 January 2009;”
As is the case in Regulation II-1/3-5 on installation of material containing asbestos:
“2. For all ships, new installation of materials which contain asbestos shall be prohibited except for;
.1 vanes used in rotary vane compressors and rotary vane vacuum pumps…”
Warning: when the chapter starts with “unless expressly provided otherwise”, some regulations later in
the chapter have a different scope of application. See below Regulation 3-8 which is part of Chapter II-1
but applies to ships built from 2007:
“Regulation 3-8
Towing and Mooring Equipment
1. This regulation applies to ships constructed on or after 1 January 2007, but does not apply to
emergency towing arrangements provided in accordance with Regulation 3-4.”
Needless to say it is can be a real headache to understand clearly which ships are covered by which
regulations!
2.2.3 Circulars and Other Documents Referred to in SOLAS
Regulations frequently include footnotes to refer to other IMO documents, such as standards, guidelines,
guidance, explanatory notes, usually published by means of a circular. The application status of
documents referred to is a bit of a grey area. Are they mandatory or can they be treated as
recommendations only? IMO gave the following clarification on the subject in Assembly Resolution
A22/res.911 in 2001:
“Standards and specifications referred to in the footnotes of IMO Conventions are not regarded as
mandatory instruments for treaty purposes since they don’t appear the authentic text of the parent
convention… Nevertheless, Governments are obliged to establish national standards not inferior or at
least equivalent to those developed by the organisation.”
So, they are not mandatory in theory, but in practice they are!
Guidelines and guidance have a recommendatory status, unless otherwise stated in the text.
On the other hand, when a Code or an organisation standard (like ISO, IEC or IACS) is referred to
expressly in the main text of the convention, it shall be treated as mandatory.
IACS produces frequent “Unified Interpretations” (UI) on questions arising from the application of IMO
instruments. Their aim is to clarify vague wording, to give more details on items left “to the satisfaction
of the administration” or to provide an interpretation. IMO may circulate those UI by means of a circular
when deemed necessary.
The following section will detail another type of standard developed by IACS and applicable to its member
societies.
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2.2.4 LSA Code, FSS Code and IMSBC Code
Code on Life-Saving Appliances (LSA Code)
The LSA Code, made mandatory under SOLAS Chapter III, covers the wide range of apparatus dedicated
to life-saving, from lifeboats, rescue boats, lifejackets, to pyrotechnics and general alarm systems.
Changes made to LSA requirements are based on the development of new technologies, and the
occurrence of accidents revealing weak links in the regulations.
Accidents during drills and exercises are still happening and crew are regularly injured, some accidents
being fatal. IMO, together with the industry, is still searching for the right solution to this problem,
bearing in mind that it is paramount to organise drills on board ships, since a “theoretical training” only
would not guarantee the proper level of familiarisation for the crew.
Although it was never the plan to ban fully the abandon-ship drills, regulations have been reviewed
several times since 2008, in order to limit the frequency of drills and the number of crew required on
board.
A specific circular was also produced, giving further details on inspection and testing (Measures to
prevent accidents with lifeboats (MSC.1/Circ.1206/Rev.1)). The code is not, as such, an “operational
instrument”, since it contains mainly requirements on the construction, the testing and the approval of
the equipment, which are logically implemented by manufacturers and inspection bodies.
The latest edition (2010) includes new requirements for fast rescue boats, updates on carrying capacities
of lifeboats (the average weight of persons was increased), new requirements on lifejackets (introduction
of infant lifejackets).
Lifeboats, life rafts, rescue boats and davits are “type approved”, with a certificate of approval, showing
that they were built and tested according to the LSA Code. Records of testing and inspections must be
kept on board. Testing and maintenance is usually performed by manufacturers or service-providers
approved by manufacturers. Classification societies are usually witnesses to those tests. As far as
company and crew responsibilities are concerned, reference should actually be made to Chapter III of
SOLAS, some of the areas covered are summed up below:
47
The latest amendment to SOLAS Chapter III entered into force in July 2014, to add a requirement on
recovery of persons at sea. All ships are now required to have plans and procedures to recover persons
from the water. The rules are:
“aimed at ensuring all ships have the capability to effectively serve as a rescue asset and have the right
equipment to be able to rescue persons from the water and from survival craft, in the event of an
incident.” (IMO Press Briefing, 1 July 2014).
The SOLAS Certificate of Safety contains a Record of Equipment, showing the list and details of LSA
required to be compliant.
Directed Learning on PSC Related to LSA

As far as PSC is concerned, reference is made again to the Pocket List developed by
Lloyd’s Register with UK P&I, available at the following address:
pi/Photos/On%20board%20advice/UKclub-PSCcheck3.pdf
Based on the Pocket Guide on PSC, try to answer the following questions:
(1) Give three examples of the most common PSC deficiencies.

(2) What are the main documents checked by PSC, in the context of LSA?
(3) Inflatable liferafts are connected to the ship by a very special link, named the
Hydrostatic Release Unit, designed to break and release the liferaft automatically in
case the ship sinks. What is the common deficiency/mistake related to this
equipment?
Code on Fire Safety Systems (FSS Code)
Needless to say, fire on a ship is probably the worst enemy, and the limitation of risk starts with efficient
fire prevention. Consequently, the regulations are based on protection, detection and finally, extinction
of fire. All measures are taken so that fire extinction remains the ultimate solution, and fire prevention is
the focus of ship design, especially passenger ships.
Again, changes to regulations followed maritime accidents and among the recent amendments, we can
mention:
 a full revision of Chapter II-2, and mandatory application of FSS Code, was implemented in 2002;
 mandatory carriage of emergency escape breathing devices (EEBD) introduced in 2002;
 fire regulations for cabin balconies since 2008;
 fixed CO2 extinguishing systems (for machinery spaces and cargo rooms) shall have two separate
controls to release CO2, since 2010.
Based on the same principle as the LSA Code, the FSS Code is the technical instrument containing all
requirements for the design and approval of firefighting systems, which is made mandatory under
Chapter II-2 of SOLAS. Similarly, the operational requirements are to be found in SOLAS itself, and the
Code requirements are mostly relevant to manufacturers and parties in charge of testing and approval of
systems. A second code, the Fire Test Procedures Code, deals specifically with laboratory testing, test
procedures and approval standards.
48
SOLAS Chapter II-2 on Fire Protection, fire detection and fire extinction is structured as follows:
The FSS Code contains the engineering specifications and the type approval procedures for the following
equipment:
Chapter 2 International shore connections
Chapter 3 Personnel protection
Chapter 4 Fire extinguishers
Chapter 5 Fixed gas fire-extinguishing systems
Chapter 6 Fixed foam fire-extinguishing systems
Chapter 7 Fixed pressure water-spraying and water-mist fire-extinguishing systems
Chapter 8 Automatic sprinkler, fire detection and fire alarm systems
Chapter 9 Fixed fire detection and fire alarm systems
Chapter 10 Sample extraction smoke detection systems
Chapter 11 Low-location lighting systems
Chapter 12 Fixed emergency fire pumps
Chapter 13 Arrangement of means of escape
Chapter 14 Fixed deck foam systems
Chapter 15 Inert gas systems
49
Some of the items shall be specifically type-approved (i.e. nozzles, fire extinguishers).
Transport of Solid Cargoes in Bulk, the IMSBC Code
Solid bulk cargoes are transported on bulk carriers and their stowage and shipment present specific risks,
not covered elsewhere. A first Code on safe practices for bulk cargoes was adopted as early as 1965 and
the latest version, the IMSBC Code, only became mandatory in 2011. The materials are listed in the
Code based on four categories of risks defined.
One specific hazard of cargoes carried in bulk is liquefaction. Cargoes which may liquefy are a great
concern, as they may produce free-surface effects and lead to sudden capsizing of the ship, a situation
against which the crew is left unarmed.
Iron ore fines and nickel ore are famous cargoes involved in serious damages and accidents. Such
cargoes belong to IMSBC “Group A”, cargoes which may liquefy if shipped at an excessive Transportable
Moisture Limit (TML). “Group B” are cargoes which possess a chemical hazard which could give rise to a
dangerous situation on a ship. Fishscrap, ammonium nitrate, pitch prill come under this category.
“Group C” are cargoes neither liable to liquefy (Group A) nor to possess chemical hazards (Group B).
Ferromanganese, fertilisers (without nitrates), soda ashes or quartz belong to Group C.
Finally, the classification involves another category, specific to the IMSBC Code: “Materials Hazardous
only in Bulk” (MHB), as cargoes which possess chemical hazards not categorised elsewhere (i.e. IMDG
Code) and present a risk due to their shipment in bulk. Cargoes of this category are charcoal, direct
reduced iron, wood pellets. The Code contains individual schedules for each cargo, with the following
information:
50
When a cargo classified as a dangerous good under the IMDG Code is carried on board a bulk-carrier,
there might be a requirement for the cargo spaces to be protected by a fixed gas fire-extinguishing
system (as per SOLAS Regulation II-2/10.7.2).
However, for some cargoes, the fire extinguishing system can be exempted, as is the case for coal and
ore. For some other cargoes, such a system would simply be ineffective. The circular MSC/Circ.1395
gives the list of cargoes covered by this exemption.
The IMSBC Code does not require specific certificates or surveys for the ship. However, since 2011,
compliance with the requirements and precautions listed is mandatory.
A certificate on the moisture content of the cargo and its TML is required for Group A cargoes.
Further Research:
For further reading on liquefaction of cargoes, shipper’s responsibilities, trimming of such
cargoes and case studies, please follow the link below to a P&I club document:
 http://www.standard-club.com/media/23989/StandardCargoLiquefactionFeb2011.pdf
2.3 Unified Requirements from IACS
IACS has developed unified requirements for its member societies. They are not “statutory”
requirements. They cover matters related to specific rule requirements and shall be incorporated in class
rules.
They are classified as UR plus a letter and cover the following subjects:
UR A Mooring and Anchoring
UR D MODU
UR E Electricity
UR F Fire protection
UR G Gas tanker
UR I Polar class
UR K Propellers
UR L Sub-division, stability and load line
UR M Machinery
UR N Navigation
UR P Pipes and pressure vessels
UR S Strength of ships
UR W Materials and welding
UR Z Survey and certification
51
They supplement the existing standards defined by IMO and frequently refer to other types of standards
to cover specific matters (for example, IEC for electrical equipment, ISO standards for various types of
equipment).
They are meant to cover subjects that IACS deemed insufficiently treated elsewhere. For example, under
its UR-Navigation, it sets requirements for the very specific case of “One Man Bridge Operated (OMBO)
ships” as it is not treated in any other instrument.
The full list of IACS UR can be found on their website, they are free to access:
 http://www.iacs.org.uk/publications/publications.aspx?pageid=4&sectionid=3
2.4 Goal-based Construction Standards for New Ships
The “goal-based” approach is totally new to IMO working habits and was slowly but surely introduced in
the mid-2000s.
It is new in the sense that GBS are applicable to shipbuilding, an area that was traditionally covered by
class rules (remember SOLAS Regulation II-1/3.1 stating that ships shall be built according to class
society rules).
The proposition to develop IMO rules on ship construction came as a surprise and might have been
perceived as an intrusion on IACS prerogatives. Many member states believed that IMO should be more
present in the context of construction standards. IACS quickly agreed to participate in this very large
and burdensome task and its successful achievement relies a lot on its participation.
In a word, a GBS is a non-prescriptive standard.
Simply put, instead of stating “the side plating thickness shall not be less than 2.00 cm”, the standard
would state “the thickness of the side plating shall be such that the ship can resist external forces,
without wear and for its expected lifetime.”
Some IMO regulations are already based on the principle of a “functional requirement”, departing from
the usual prescriptive form.
Presently, GBS only cover construction of oil tankers and bulk carriers of 150m length and above, for
which the building contract is placed on or after 1 July 2016.
It was introduced as new Rule 3-10 in SOLAS Chapter II-1. Under this Rule:
“new ships shall be designed and constructed for a specified design life and to be safe and
environmentally friendly, so that, if properly operated and maintained under specified operating and
environmental conditions, they can remain safe throughout their service life”.
In reality, it did not mean that new construction rules were established, but the class existing rules were
audited to verify compliance with GBS.
IACS Common Structural Rules (CSR) are currently being reviewed by GBS audit teams and should be
accepted as “GBS compliant” in 2015.
The evaluation process of rules could be detailed as follows:
52
Figure 9 – Evaluation of compliance to GBS
Documents Required
Ship Construction File (SCF)
As a practical result, a “Ship Construction File (SCF)” is now required to be kept on board.
The SCF should include documents on specific items, be stored on ships and also be available to the
classification society and flag state throughout the ship’s life.
The list of information to be included is detailed in the Guidelines circulated in IMO circular
MSC.1/Circ.1343.
IMO GBS on ship construction were the first step towards a new type of standard. It should be noted
that IMO, under the impulsion of some member states, is now planning to also develop GBS for life-
saving appliances.
The work has already started on development of a new framework of requirements for safety objectives
applied to LSA. It denotes a major shift in policy-making approach and it is likely to be applied to other
types of equipment, such as fire protection material.
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3. COMPANY OBLIGATIONS WITH REGARD TO SAFETY PROCEDURES
Learning Outcomes:
On successful completion this chapter, you will be able to:
 give examples of the main company obligations under COLREG, STCW Convention,
ISM and ISPS Codes, IMDG Code, Tonnage and ILLC Conventions and Safe Manning
requirements.
3.1 Introduction
The responsibilities of companies are mentioned specifically in the STCW Convention, the ISM Code, the
ISPS Code and the MLC 2006, or in SOLAS and MARPOL. They are also frequently implied by other
articles or rules in those instruments.
A company is defined as such by IMO:
“Company means the owner of the ship or any other organisation or person such as the manager, or the
bare boat charterer, who has assumed the responsibility for operation of the ship from the shipowner and
who, on assuming such responsibility, has agreed to take over all the duties and responsibilities imposed
on the company by these regulations”.
The sections below details obligations in the context of specific IMO instruments.
3.2 COLREG
The Collision Regulations (COLREG) emanate from a convention first adopted in 1972 and amended
several times afterwards. They are commonly called the “rules of the road” for ships and are applicable
throughout the world. The responsibility of the shipowner in the context of COLREGS is specifically
mentioned in Rule 2, together, of course, with the responsibilities of the master and crew.
3.2.1 Structure
Part B of the COLREG sets the rules of navigation (“steering and sailing rules”) in different conditions and
based on types of ship and their operating condition (large draft, vessel in fishing operations etc). Their
aim is to prevent collisions. Parts C and D deal with the lights and shapes to be carried by a ship and
Part D with the signals (light and sound) used to communicate between ships.
Practically, a lack of compliance to COLREG is likely to result in a navigational incident. Since human
error has long been recognised as the main cause of such accidents, it could be said that the company
responsibility in the context of COLREG or, in other words, of navigational safety, is related to the
management of the human element.
It should be noted that a failure to comply with COLREG can be considered as an offence of a criminal
nature. A collision is considered as a maritime tort in law.
3.2.2 Navigation Equipment and Human Element
Rule 5 – Look-out
There is a requirement to provide and maintain the equipment necessary for a safe and efficient
navigation, based on a “proper look-out to be maintained by all available means”. It covers radars with
their ARPA functions.
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Navigation lights and all other tools for signalling purposes (projector, whistle, horn) are required to be in
good working order.
Human Element
To avoid collisions, COLREG rules must be strictly and efficiently applied by officers of the watch. Crew
members shall also be able to use the navigational equipment. This implies that officers and ratings
must be properly trained and it highlights the issue of competency and manning.
It creates an obligation on the adequate level of competency of the crew, on the recognition of their
certification and on the possible training needs. Furthermore, the manning of the ship is seen as
impacting the navigational performance and the ability to maintain a good look-out.
Inappropriate manning could create working conditions leading to severe fatigue, which is a source of
human error. The obligations related to safe manning are detailed below.
As far as training, certification and watchkeeping are concerned, the reference document is the STCW
Convention, setting the international standards for those three areas.
3.3 Convention on the Standards for Training, Certification and Watchkeeping for
Seafarers (STCW)
The STCW 1978/1995 underwent a major refurbishment in 2010, when the “Manila Amendments” were
adopted. Such amendments were needed to reflect the development of the industry and add certification
requirements for “new” categories of crew members. The structure remained the same, with a
convention supplemented by a code.
3.3.1 Structure and main requirements
The Convention and the Code
 The convention contains the standards.

 The code contains the “technical details” with a Part A – Mandatory Standards; and a Part B –
Recommended Guidance for the Application of the Convention.
The table below is a summary of the main elements.
Chapter Convention Code, Part A Part B
Certificates.
I General provisions.
Simulator.
Master and deck department: from

II
master to A/B seaman.
Standards of
Engine department: from chief engineer competence required
III
to ratings. for the certificate for
seven functions How to assess skills
Radiocommunication and radio personnel. (navigation, cargo and abilities; subjects
handling, marine to be included in
Certificates of Competency (CoC) for engineering etc), at training.
seafarers. ONLY administrations can support, operational
IV issue certificates. and management
For working on oil and chemical tankers, levels.
certificates of proficiency are required
and issued after specialist training.
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Chapter Convention Code, Part A Part B
Special training requirements for

Details on board
V personnel on certain types of ships
training programmes.
(tankers and passenger ships).
Emergency, occupational safety, medical Standards of

care and survival functions. competence for each
specific training.
Standards applicable to “other” training Details the theoretical
VI
such as safety familiarisation, proficiency training.
in survival craft, advanced firefighting,
medical first aid.
VII Alternative certification.
Watchkeeping.
Fitness for duty: administration’s
obligations in terms of rest periods and A minimum of 10
arrangement of watch systems. hours of rest in any
24-hour period and Prevention of fatigue
Regulation VIII/2 on watchkeeping 77 hours in any 7- and alcohol and drug
arrangements and principles to be day period. abuse.
VIII
observed: administrations are required to
direct the attention of companies to the Watchkeeping Guidance on keeping
STCW standards “to ensure that a safe principles a watch.
continuous watch appropriate to the (navigational/
prevailing circumstances and conditions engineering/radio).
are maintained on all seagoing ships at
all times”.
Some of the changes introduced by the Manila Amendments should be mentioned:
 New measures to prevent fraudulent practices related to certificates.

 Revised requirements on hours of work and rest.
 New certification requirements for able seafarers and for ETO.
 New training requirements for modern technology (i.e. ECDIS).
 New requirements for security training.
 Mention of modern training methods (distance learning and web-based learning).
3.3.2 Company Obligations
Regulation I/14 states specifically the responsibilities of companies and requires that every company
ensures the following:
 That each seafarer hold an appropriate certificate.

 Ships are manned in compliance with the minimum safe manning requirements of the administration
as set out in the ship’s Minimum Safe Manning Document.
 Prevention of fatigue by providing sufficient hours of rest.
 Refresher and updating training is delivered to seafarers.
 All documentation relevant to seafarers is maintained and readily accessible (documentation and data
on their experience, training, medical fitness and competency).
 Shipboard familiarisation is provided.
 The crew shall be able to effectively co-ordinate their activities in an emergency situation and other
function related to safety, security and to the prevention or mitigation of pollution.
 Effective oral communication shall be possible at all times on board the ship.
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Although administrations are responsible for the training and issuance of certificates, when it comes to
employment, companies are fully responsible for guaranteeing that all crew members meet the minimum
standards of competency.
Company responsibilities derive from STCW standards in terms of:
 Safety Familiarisation, Training and Instructions for all Seafarers (Rule VI/1)
Companies shall operate a system of training covering safety, emergency procedures, pollution
prevention duties for crew members joining any ship of their fleet.
 Mandatory Minimum Requirements for Security‐related Training and Instructions for all
Seafarers (Rule VI/6)
Similarly, familiarisation training relating to security matters shall be implemented on board ships.
 Fitness for Duty (Rule VIII/1), Referring to Prevention of Fatigue

Although the minimum standards for rest periods are established and enforced by the administrations,
in the end the company and masters are responsible for compliance on board their ships. It involves
record keeping of the actual hours of work performed.
 Watchkeeping Arrangements (Rule VIII/2)

The master’s responsibility is clearly stated in the rule, when it comes to follow watchkeeping
arrangements adequate for maintaining a safe watch.
The role of the master is essential in this context. Not only that he or she acknowledges company
policies, instructions or procedures but he or she is also responsible for keeping his or her crew aware
and updated of the relevant information, regulations and ensuring that they understand the control
mechanism and consequences of non-compliance.
3.4 Minimum Safe Manning Document
SOLAS Regulation V/13 requires the issuance of an appropriate safe manning document as an evidence
of minimum safe manning of ships.
The principles of safe manning and guidelines for their application are given in IMO Assembly Resolution
A.890(21). It was amended by Resolution A.955(23) to integrate reference to security and the ISPS
Code requirements.
From a very practical point of view, those are principles ensuring that there will always be enough people
on board to carry out essential tasks, such as operating the LSA, forming an efficient firefighting team,
maintaining a good lookout during watches, or mooring the ship safely.
3.4.1 Principles
Safe manning is described as:
“a function of the number of qualified and experienced seafarers necessary for the safety of the ship,
crew, passengers, cargo and property and for the protection of the marine environment”.
Administrations determine the safe manning of ships according to the principles stated. PSC regimes are
required to verify compliance with the safe manning documents.
The determination of the minimum safe manning is based on the capability to perform a list of operations
and the ability to operate and maintain equipment.
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3.4.2 Process
Administrations may adapt the requirements to special types of ships and trades. The company submits
a proposal to the administration for the minimum safe manning level of a ship, supported by a series of
evaluations and assessments.
The link below shows an example of the form to be filled for the Bahamas flag:
 http://www.bahamasmaritime.com/downloads/Registration/R106.pdf
Once all those theoretical principles, assessments, reviews and calculation are performed, the result is a
minimum figure for the number of crew members, for each department.
The administration evaluates and approves the proposal, or requires amendments if necessary.
Consequently, there is a discussion phase or a possible negotiation between ship operators and the
administration. Once the figure is set and agreed on, the administration issues the MSMD.
The administration may withdraw the MSMD if the company fails to submit a new proposal when changes
take place in trading area, construction, machinery, equipment or operation and maintenance of the ship.
It can be noted that the Danish maritime administration uses specific software developed as a safe
manning simulation tool, where all those elements are compiled to optimise shipboard organisation and
to comply with hours of rest standards.
However, there are instances where it might be felt that there is a discrepancy between those principles
and the reality.
Directed Learning on Manning

Read the discussion paper “The Manning Problem” published by Seamanship
International, available at this address and consider the situation you may be aware of on
some ships:
 http://www.marinetechpublishing.com/images/pdf/short/manningproblem-
seamanshipinternational-0807.pdf
58
Give examples of specific situations where a minimum number of crew is physically
required and try to estimate this number (i.e. mooring operations, safety drills etc).
Possible Answer
The author mentioned a 3,000 GT multi-purpose ship manned with a safe manning certificate that
requires one master, two deck officers, three seamen, two engineers and one cook. The author
explained how mooring is performed, with the officer having to join the crew in the handling of ropes,
hence taking away his supervising capacity and endangering the ship.
Finally, it should be noted that flag state administrations usually have procedures of exemption or
dispense when the manning level cannot be met in exceptional circumstances (illness, repatriation etc) to
allow the ship to sail until the problem is fixed.
In case of a ship being laid up, it may as well be authorised to reduce the manning level.
3.4.3 Obligations of Companies
Obligations could be summed up this way:
 Elaborate a safe manning level proposal and amend it if required by the administration. MSMD must
be reviewed if changes affect a ship.
 Ensure that the master, officers and ratings do not work more than required when they perform their
duties and the safety of the ship: ensure compliance with STCW and MLC 2006 standards (as
integrated, and possibly strengthened, in the national regulations). The master is then liable for the
prevention of fatigue of his or her crew.
3.5 The International Safety Management Code
As explained in the foreword to the Code, its:
“origins go back to the late 1980s, when there was mounting concern about poor management standards
in shipping. Investigations into accidents revealed major errors on the part of management”.
In 1987, IMO adopted a first version of guidelines for the safe operation of ro–ro passenger ferries.
Those later became the ISM Code, applicable to all ships, and made mandatory under SOLAS Chapter IX
in 1998.
The entry into force of the ISM Code is a landmark in maritime history. It marked the end of a safety
culture possibly based on reliance and trust, replaced by the introduction of a management system to
monitor the proper application of regulations.
As the aim was to enhance a safety culture throughout the shipping industry itself, it required the
creation of a specific link between the company and the ships, i.e. the designated person ashore.
Because it represented such a shift in the daily operations of ships, the ISM Code also had its downsides.
In its early days, it was criticised for creating a large administrative burden. After conducting an
assessment of the impact and effectiveness of the Code in 2002, the IMO indeed recommended that “a
reduction in paperwork should be encouraged” but also noted that “positive attitudes to ISM Code could
yield tangible operational, financial and safety benefits”.
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3.5.1 Structure
The code is supplemented by a series of guidelines:
Figure 10 – ISM Code and related documents
The intricacies with other instruments are complex, as it acts as a global management system covering
any item related to:
 safety;
 security; and
 pollution prevention.
This section specifically focuses on company obligations in the context of the ISM Code.
3.5.2 Documentary Obligations
Two certificates are required under the ISM Code:
 The document of compliance, issued to the company and

 The safety management certificate, issued to every ship.
The company has the duty to maintain the validity of such certificates, which means a structure and
calendar shall be in place for the carrying out audits in due time.
Flag state administrations or their ROs are in charge of the ISM audits and certification.
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3.5.3 Summary of Obligations as Laid Down in the ISM Code
Ref Title Content Comment
 Safe practices in ship operation and a

safe working environment.
 Assess all identified risks to ships, The standards are worded in
Objectives of the personnel and the environment and broad terms in order to
1.2
Company establish appropriate safeguards. provide flexibility for the end
user.
 Improve safety management skills of
personnel and prepare for
emergencies.
The SMS should include:

.1 a safety and environmental-protection policy;
.2 instructions and procedures to ensure safe operation of ships and
Functional protection of the environment;
1.4 requirements for .3 defined levels of authority and lines of communication between
the SMS shore and shipboard personnel;
.4 reporting procedures for accidents and non-conformities (NC)
.5 procedures to prepare/respond to emergency; and
.6 procedures for internal audits and management reviews.
Describe how the objectives will be Policies shall be written and

Safety and achieved. communicated efficiently so
2 environmental To be implemented and maintained at all that everyone is well aware
protection policy levels of the organisation, both ship- and and complies with such
shore-based. policies.
Define and document the responsibility,

authority and interrelation of all Duty to hire suitable
Company personnel who’s work is related to safety persons, on ships and in the
3 responsibilities and and pollution prevention. offices. Roles shall be
authority
Adequate resources and shore-based clearly defined.
support are provided to the DP.
To ensure the safe operation of each ship

and to provide a link between the
company and those on board.
One or more person(s),
Shall have direct access to the highest based in the company office,
Designated
4 level of management. is designated to monitor any
person(s)
safety matters related to the
Monitor the safety and pollution
ship.
prevention aspects and ensure that
adequate resources and shore-based
support are applied.
Define clearly how to: implement

company policies; motivate the crew;
Master’s The performance of the
issue orders/instructions clearly and
5 responsibility and system lies on the captain’s
simply; verify compliance to
authority shoulders!
requirements; periodically review SMS
and report deficiencies.
Guarantee that the master and crew are Reference to STCW. The
appropriately qualified and fully aware of company shall ensure that
the SMS. everyone knows and
Familiarisation and instructions to be understands clearly what
provided before sailing. their duties are. Knowledge
of SMS is also required (i.e.
Identification of training needs. crew should know name and
Communication of information. details of the DPA).
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Ref Title Content Comment
A very short paragraph to

The company should establish cover a very extended task!
Shipboard procedures, plans and instructions, Each and every activity shall
7
operations including checklists as appropriate, for be covered. Principle of
key shipboard operations. “plan what you do – do what
you plan”.
Programmes for drills and exercises.

Emergency Measures to respond at any time to ERP, MCP and SOPEP/SMPEP
8
preparedness hazards, accidents and emergency plans.
situations.
Reports and
Procedures ensuring that NC, accidents
analysis of NC,
and hazardous situations are reported to
9 accidents and
the company, investigated and analysed
hazardous
plus implementation of corrective actions.
occurrences
Procedures covering inspections at List of critical equipment to

appropriate intervals, report of NC and be established and
Maintenance of the records of activities. measures taken to promote
10
ship and equipment Identify equipment and technical systems liability (regular testing of
the sudden operational failure of which stand-by equipment not in
may result in hazardous situations. continuous use).
Procedures to ensure that valid

documents are available at all relevant
A solid documentary control
11 Documentation locations; changes to documents are
shall be implemented.
reviewed and approved; obsolete
documents are removed promptly.
Company Internal audits on board and ashore,

12 verification, review yearly basis. Evaluation of effectiveness. “Management review”.
and evaluation Corrective actions for deficiencies found.
This is the theory of ISM and it is actually explained in less than 20 pages. In reality, for shipping
companies, it is supported by a very large amount of policies, procedures and other checklists. As for the
DP, his or her duties are explained in one short paragraph in the code:
“To ensure the safe operation of each ship and to provide a link between the company and those on
board, every company, as appropriate, should designate a person or persons ashore having direct access
to the highest level of management. The responsibility and authority of the DPA should include
monitoring the safety and pollution-prevention aspects of the operation of each ship and ensuring that
adequate resources and shore-based support are applied.”
In reality, the job description of a DPA in any shipping company would certainly not fit in half a page!
Very broadly, it could be said that the DPA has two essential functions:
 Connection Task
Between the top management level in the company and the captain and his or her crew. Although a
link between ship and shore already exists as the ship is liaising with the relevant department
(technical superintendent, catering department etc), this ship/DPA/shore link is another means of
communication accessible to everyone, which should be efficient in case of the malfunction of other
traditional links.
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 Monitoring Task
Supported by the internal audit framework, by the review and follow-up of ships’ records and reports
related to safety. In reality, the monitoring task covers most of the activities related to the ships, like
maintenance, repairs, store requests, as it comes under the requirement to “provide adequate support
and resources” to the ship and captain.
As a conclusion, a very useful and practical tool to scan quickly the main items covered by PSC
inspections has been published by UK P&I and the Lloyd’s Register, as a Pocket Guide to PSC inspection.
It can be downloaded at this address:
pi/LP%20Documents/ISM%20and%20ISPS%20Checklist.pdf
3.6 International Ship and Port Facility Security Code (ISPS Code)
Parallels are sometimes drawn between the ISM and the ISPS Codes, as they have common features,
such as the designation of responsible persons or documentary requirements.
However, the ISPS Code has a totally different purpose, as its development was triggered by the
September 11, 2001 attacks in New York City.
It aims to:
“establish an international framework involving co-operation between Governments, Government

agencies, administrations and the shipping and port industries, to detect/assess security threats and take
preventive measures…”
The ISPS Code entered into force in 2004, together with a new Chapter XI of SOLAS on security. It was
the first time in IMO history that a Code and amendments to SOLAS were adopted so quickly (three
years). It is applicable to ships on international voyages and to MODUs as well.
3.6.1 Purpose and Structure
The code mainly requires the establishment of prevention and reaction measures in order to enhance
security.
It is based on the definition of three “security levels”, representing the level of risk at a specific time, in a
specific region.
Ships, as well as facilities, are required to have “adequate and proportionate maritime security measures
in place” in order to respond to such risks.
The code contains:
 a mandatory Part A – requirements for governments, port authorities and shipping companies; and
 a non-mandatory Part B – a series of guidelines to facilitate the implementation of Part A.
In order to achieve the ISPS objectives, appropriate officers/personnel are designated on each ship and
in each shipping company. Functional requirements are also specified as a basis to support the
achievement of the global objectives.
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The obligations of the company are clearly stated in Section 6, Part A of the Code, as such:
“6.1 The company shall ensure that the ship security plan contains a clear statement emphasising the
master’s authority. The company shall establish in the ship security plan that the master has the
overriding authority and responsibility to make decisions with respect to the safety and security of the
ship and to request the assistance of the company or of any contracting government as may be
necessary.
6.2 The company shall ensure that the Company Security Officer (CSO), the master and the Ship
Security Officer (SSO) are given the necessary support to fulfil their duties and responsibilities in
accordance with Chapter XI-2 and this Part of the Code.”
Documents
The International Ship Security Certificate (ISSC) is valid for five years, with an intermediate verification
at mid-term.
The verification is performed by the administration or it may be delegated to a Recognised Security

Organisation (RSO). Contrary to ROs, RSOs are not necessarily classification societies, they could be
agencies specialised in the field of security.
The verification covers the security system and associated security equipment of the ship.
The Ship Security Plan (SSP) is approved by the administration or its RSO. The RSO also prepares the
SSP on behalf of the CSO.
It is established after a Ship Security Assessment (SSA), which is a risk analysis of a ship’s operations
aimed at highlighting the vulnerable areas of a ship.
SSA may also be carried out by an RSO.
The SSP contains details on various areas, such as:
 Measures to prevent weapons from being taken on board.

 Measures for the prevention of unauthorised access.
 Procedures for evacuation in case of security threats.
 Inspection and testing of security related equipment etc.
Together with the SSP, security records of activities are also required to be kept on board (security drills
and trainings, breaches of security, DoS, audits and reviews performed).
The Declaration of Security (DoS)
The DoS is a documented agreement between a port and a ship (or between two ships). It confirms the
responsibilities of both parties in terms of security and details measures to be taken.
A single DoS can be used for multiple visits, or a continuous DoS can be issued for a specified time or
until circumstances change.
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Ship Security Alert System (SSAS)
All ships shall carry a SSAS, designed to transmit a covert alarm to authorities.
Designation of Responsible Persons
A Company Security Officer (CSO) is designated by the company for ensuring that a ship security
assessment is carried out; he or she is responsible for the SSP and for liaison with the PFSO and the
SSO.
The CSO is directly responsible for security matters. CSOs have to attend a specific training course in
order to demonstrate their competency. A company may designate several CSOs.
A Ship Security Officer (SSO) is the person on board the ship designated by the company as responsible
for the security of the ship, including implementation and maintenance of the SSP and for liaison with the
CSO and PFSO. A SSO shall hold a certificate of proficiency, as required by STCW 95.
Shipboard personnel with designated security duties: Since January 2014, they are also required to hold
a certificate of competency under STCW 95.
As a conclusion, mention could be made of the IMO Guide to Maritime Security and the ISPS Code.
It provides practical details for implementing the ISPS Code and its Section 4 (70 pages) is fully
dedicated to the security responsibilities of ship operators. It can be purchased for approximately £50.
3.7 International Maritime Dangerous Goods Code (IMDG Code)
The IMDG Code was developed as a uniform international code for the transport of dangerous goods by
sea and it covers packing, labelling, stowage and segregation of incompatible substances.
3.7.1 Origin and Content
The first version of the IMDG Code dates back to the 1960s and although it has been used for more than
40 years, the Code only became mandatory in 2004, under SOLAS Chapter VII. It lists in detail the
requirements applicable to substances, material or article classified as dangerous, based on the class
assigned. There are nine classes of dangerous goods, plus one for marine pollutants.
The IMDG Code is essential in the context of stowage, as the stowage plan must comply with the
restrictions in terms of segregation of goods.
Some goods are incompatible and must be separated, otherwise they may create hazards.
IMDG Code, Chapter 7, contains the segregation table, based on the nine classes and on the following
distance requirements:
“away from”/“separated from”/“separated by a complete compartment or hold from”/“separated

longitudinally by an intervening complete compartment or hold from’’
Although the ship operator/master is liable for proper stowage, he or she relies on the data provided by
the shipper, as the classification of goods is made by the shipper/consignor.
3.7.2 Training Requirements
Regulation 8 “PSC on operational requirements” states that:
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“where there are clear grounds to believe that the master and the crew are not familiar with shipboard
procedures relating to the prevention of pollution by harmful substances”.
Detention by PSC is possible.
This implies that the company shall ensure that the master and the crew are well aware of DG carriage
procedures, which might require training sessions, on board or ashore.
Chapter 1.3 of the Code provides details on the content of training dedicated to shore-side personnel.
3.7.3 Documentation
Regulation 4 states that:
“each ship carrying harmful substances shall have a special list, manifest, or stowage plan setting the
harmful substances on board and their location. A copy shall be made available to the port state
authority”.
This is a basic and essential requirement of DG carriage, the relevant documentation must be available
on board the ship. DG cannot be carried without the relevant documentation.
DG manifests or stowage plans are now computed and produced by software integrating the segregation
requirements.
Minimum information required on the transport documents is:
 UN number;
 shipping name;
 class and subsidiary hazard;
 packing group;
 total quantity of DG; and finally
 the signature of the shipper.
Incorrect transport documents should not be accepted.
3.7.4 Stowage
Regulation 5 requires that harmful substances are properly stowed and secured to minimise hazards.
Nowadays, and especially in the case of container ships, the stowage plans are hardly ever established by
the ship’s master, but the final liability for proper stowage lies with the company and the master,
although the correctness of the stowage plan is fully based on the correctness of information given by the
shippers.
3.8 The Convention on Load Lines 1966 (ILLC)
3.8.1 Purpose and Structure
The concept of load lines and limits on cargo loading was developed as early as 1835, when the Lloyd’s
Register recommended assigning free board depending on the hold’s height.
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After several ships were lost due to overloading, the “Plimsoll” mark on load lines was introduced, and it
is still valid under the ILLC.
The current text of the Convention was adopted in 1966 and modified by a protocol in 1988 (introducing
the HSSC regime for load lines surveys).
The freeboard and its related load lines are designed to ensure proper stability and avoid overloading.
Load lines are assigned based on a calculation, also taking into account the potential hazards for different
zones and different seasons.
The ILLC is not only about assigning a freeboard, it also details the “conditions of assignment” which are
further safety measures applicable to ship design. Their aim is to ensure the watertight integrity of the
ship and it covers all sorts of openings such as doors, freeing ports, hatchways, vents etc.
The ILLC has three annexes. Annex I contains four chapters, with Chapter II – Conditions of Assignment
of Freeboard and Chapter III – Freeboards being the essential ones.
Ship Design and Equipment
The structural requirements are implemented at the design and construction stage. For example, it is
required that doors open outwards to provide security against the impact of seas, that the hatchway
coamings have a minimum heights depending on their location, that scuppers and discharges shall be
arranged at specific height etc.
The structure, equipment and material of the ship related to its integrity and covered by the ILLC are
under the “maintenance of condition” requirement, so the company is liable for proper maintenance.
PSC inspections often check the condition of different openings and may detain vessels for non-
compliance to ILLC structural requirements.
Figure 11 – Defective self-closing arrangements

AMSA PSC website
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Documents
 Certificates
An International Certificate on Load Lines is issued after an initial survey, for a five-year period, with
annual surveys to be carried out.
Again, the survey and certification tasks may be performed by the maritime administration or by its
RO.
Traditionally, tasks related to the ILLC have been delegated to classification societies acting as ROs,
since they are already fully implicated in the design and construction stages.
 Stability Information
The ILLC regulation 10 requires that the master be given stability and loading information, in order to
assess and perform loading and ballasting without excessive stress for the ship structure.
It actually covers intact stability information contained in the “Stability Information Booklet”.
This booklet lists important data, such as the hydrostatic particulars of the ship, tables of capacities
with centres of gravity of each space and tank, the KN curves (cross curves of stability) and the
deadweight scale.
It is usually prepared by the shipyard and then approved by the classification society.
Loading of the Ship
Needless to say, a ship shall never submerge its applicable load lines!
This is an essential requirement and a very easy item checked by any port officer walking along the
berth. The master remains, of course, liable for the proper loading of his or her ship.
3.9 International Convention on Tonnage Measurement of Ships (Tonnage

Convention, ITC 69)
This is one of the oldest IMO conventions, left without much modification since its creation in 1969 (entry
into force in 1982).
The tonnage of ships is used in different contexts as a reference value, to calculate port fees, registration
fees and other types of taxes. It is also used as an application criteria for most of the international
instruments.
This is why it was paramount to operate a uniform mechanism to calculate the tonnage of ships and
avoid possible “by-passing” of regulations or reduction of fees by assigning lower tonnage figures.
Note that the ITC 69 is applicable to ships over 24m in length, otherwise national regulations apply.
The Tonnage Convention introduced the “Gross Tonnage (GT)” and the “Net Tonnage (NT)” to replace the
traditional Gross Register Tonnes (grt) and Net Register Tonnes (nrt).
Although it is a physical volume, no units are associated with the tonnage figure. However, the “UMS”
abbreviation for Universal Measurement System is sometimes used.
Panama tonnage and Suez tonnage measurement systems are still in force and were not affected by the
introduction of the Tonnage Convention.
The gross tonnage is related to the volume of all enclosed spaces of the ship, it can be seen as the total
and global volume of the ship.
The net tonnage is related to the volume of all cargo spaces of the ship. It can be seen as the
commercial volume of the ship, whether the ship carries passengers or cargo.
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Tonnage certificates are issued during the design stage, usually the classification society performs the
calculation and the survey and issues the certificate, when acting as a RO.
In some countries, the tonnage calculation is performed by a dedicated service of the tax office.
Certificate do not expire, consequently there are no intermediate surveys.
Reissuance of the certificate is required in some cases:
 any alterations or conversions carried out, related to the arrangement, construction, capacity, use of
spaces, total number of passengers, assigned load line; or
 transfer of flag with the new flag state requiring reissuance.
In terms of PSC inspection, the main characteristics of the ship may be controlled to check that they do
not differ from those entered on the certificate. If not, it is only required that the flag state should be
informed without delay.
The company has the obligation to provide all relevant information to the authority who issued the
certificate when a modification is made, with an impact on the tonnage figure.
3.10 Maritime Labour Convention 2006 (MLC 2006)
The Maritime Labour Convention 2006 (MLC 2006) is one of the four essential pillars of the international
maritime regulatory regime.
Although it is a “new” instrument, it actually compiles, consolidates and updates 36 existing conventions.
It was adopted in 2006, but entered into force seven years later, in 2013. Today, 63 countries have
ratified the MLC, covering 80% of the world fleet. ILO estimates that the world fleet employs 1.5 million
seafarers.
The MLC defines minimum standards for the health and the welfare of seafarers, by focusing on specific
areas such as conditions of employment, accommodation, medical care and welfare. The text was meant
to be flexible so as to allow for possible differences between flag states, through their national legislation.
The MLC 2006 applies to ships over 500 GT, on international voyages. It introduced two mandatory
documents for ships:
 the Maritime Labour Certificate (MLC); and

 the Declaration of Maritime Labour Compliance (DMLC).
Consequently, a new regime of surveys and inspections was implemented and any ship entering the port
of a ratifying country may be subject to PSC inspection.
The full text of the Convention can be found at this address:
 http://www.ilo.org/global/standards/maritime-labour-convention/lang--en/index.htm
3.10.1 Structure of the MLC 2006
The overall structure of the Convention is based on five Titles, representing the main areas to be
considered:
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Title 1 Minimum requirements for seafarers to work on a ship
Title 2 Conditions of employment
Title 3 Accommodation, recreational facilities, food and catering
Title 4 Health protection, medical care, welfare and social security protection
Title 5 Compliance and enforcement
For each Title, the Convention is articulated in three different parts:
 the Articles;
 the Regulations; and
 the Code.
The Articles and Regulations prescribe the fundamental rights and principles and the duties of states.
The Code details the implementation process; it is split into mandatory Part A (Standards) and non-
mandatory Part B (Guidelines).
3.10.2 Documents Required and Inspections
Note: Ships below 500GT are inspected but certification is not required.
The documentary process is quite specific and unusual, it could be summed up as follows:
Inspection is performed and MLC Certificate is issued
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Declaration of Maritime Labour Compliance (DMLC)
 Part I (DMLC-I)
Is established by the administration, to identify the requirements and items to be inspected. In
practice, it means that each flag state has its own Part I, since it is a compilation of national law
references, including specific allowances or exemptions.
 Part II (DMLC-II)
Is established by the shipowner. It is a list of measures taken to guarantee compliance with Part I,
i.e. the national requirements.
The DMLC-II shall contain the list of procedures, existing or created on purpose, applied to cover the five
general areas of MLC 2006. For example, the MLC 2006 requires that measures are taken to minimise
disturbance of rest periods or compensate rest. The DMLC-II shall then make reference to specific
company procedures, for example, safety drills should not be scheduled on Sunday afternoons. Once the
DMLC-II is approved by the authority, the MLC certificate can be issued after an inspection. The
competent authority may be the flag state administration or its ROs.
Maritime Labour Certificate (MLC) and Inspections
The certificate is valid for five years, with an intermediate inspection at mid-term. Most of the flag states
have delegated their powers to their ROs, so they are usually carrying out those inspections. A full
inspection with certification will cover 14 items:
 Minimum age.
 Medical certification.
 Qualifications of seafarers.
 Employment agreements.
 Use of licensed or certified or regulates private recruitment and placement service.
 Hours of work or rest.
 Manning levels.
 Accommodation.
 Recreational facilities.
 Health and safety, accident prevention.
 Medical care.
 Complaint procedures.
 Payment of wages.
The following specific items may also be inspected:
 Entitlement to leave.
 Repatriation.
 Shipowner liability.
 Social security.
 Flag state responsibilities in general.
Two items are detailed below to give a practical idea of the inspection process:
Regulation 2.2 Wages (Standard A2.2, Guideline B2.2)
Basic requirements Seafarers must be paid at no greater than monthly intervals and in full. Seafarers
are entitled to an account each month indicating their monthly wage.
How to check The ship documentation such as payroll records will be checked to confirm that
the payment intervals are not exceeding one month. Interviewing of seafarers is
possible as well.
Possible deficiencies Seafarers did not receive a pay slip.
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Regulation 4.1 – Medical Care On Board Ship and Ashore (Standard A4.1, Guideline B4.1)
Basic requirements Seafarers must be covered by adequate measures for the protection of their
health and have access to prompt and adequate medical care.
How to check Documents (such as the SEA) are checked to confirm that seafarers are given the
right to visit a doctor or dentist, without delay, when calling at a port, where
practicable.
Possible deficiencies A seafarer is denied, without justification, shore leave for medical or dental care.
Note: this would probably be checked during an interview, or if a complaint is
logged by the crew.
An example of a crew complaint log, as recommended by the Cyprus authorities, is shown below.
Figure 12 – Model of on board complaint log as recommended by Cyprus flag

Model Form EN05F205 as available on website
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3.10.3 ILO Guidelines to Better Understand the Inspection Process and the
Deficiencies
ILO has published a series of guidelines where useful information can be found:
 Guidelines for flag state inspections under the MLC, 2006 and Guidelines for PSC inspections: for
practical advice on how to carry out ship inspections and certifications. It also shows the basic
requirements to comply with, together with a list of possible deficiencies for each essential item and
deficiencies that could lead to a detention (see http://www.ilo.org/global/standards/maritime-labour-
convention/monitoring-implementation-tools/WCMS_101788/lang--en/index.htm).
 Guidelines on the training of ships’ cooks.
 Guidelines on the medical examinations of seafarers.
It should be noted that non-compliance with MLC 2006 did result in the detention of ships, as detailed in
the Paris MoU press briefing below:
 https://www.parismou.org/system/files/Press%20release%20first%20results%20MLC%202006%20%
28adjusted%29.pdf
Further Research:
The following Pocket Book, published by UK P&I Club and Lloyd’s Register, provides full
detailed information on PSC on MLC 2006:
pi/LP%20Documents/Checklists/ILO%20MLC%20pocket%20checklist_September%
2012.pdf
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4. MARPOL CONVENTION (INTERNATIONAL CONVENTION FOR THE
PREVENTION OF POLLUTION FROM SHIPS 78/73)
Learning Outcomes:
On successful completion of this chapter, you will be able to:
 describe the MARPOL Convention, the categories of pollution covered by each annex,
the ship’s certificates required; and
 explain what the main requirements for each annex are.
4.1 Introduction
The MARPOL Convention is the “fourth pillar” of the regulatory framework for international shipping. It
covers the different sources of possible pollution originating from ships and establishes the operational
measures for pollution prevention.
4.2 History and Main Structure
Before the formal creation of the IMO, several countries had already recognised the need for a protection
regime dedicated to the marine environment and its possible polluters, ships. Oil was considered the
main pollution source and the first ever treaty on ship pollution adopted in 1954 (OILPOL) only covered
oil pollution, by focusing on tanker construction. Unfortunately, it didn’t prevent one of the largest oil
spills ever, with the Torrey Canyon accident in the English Channel in 1967. It then became very clear
that a larger and stronger instrument was needed.
An international conference was convened by IMO in 1973 and the first version of MARPOL was adopted.
The new instrument aimed at covering accidental pollution and also preventing the effects of operational
oil pollution. At that time, operational pollution (i.e. discharge of oily waste water) might have had a
greater impact than accidental pollution.
The first version of MARPOL included only five annexes and was modified in 1978 to introduce stringent
measures on tanker design and operation. MARPOL 73/78 entered into force in 1983. The Convention
has been amended regularly since then, mainly by means of MEPC Resolutions, and today it contains the
following six annexes:
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Each annex of MARPOL “lives its own life” and when the Convention was first adopted, it was agreed that
a state could be party to Annex I only and refuse to ratify any of the other annexes. For example, Annex
VI on air pollution, the most recent annex, has “only” over 70 contracting party states, but they
represent nearly 90% of the world’s tonnage. In comparison, Annex I on oil pollution, the oldest annex,
has over 150 contracting states.
4.3 Elements Common to All Six Annexes
Each annex has its own scope of application and covers its own subject; the main application and
operational requirements are detailed further below. However, some principles and requirements are
common to the six annexes, as follows.
4.3.1 Violations and Sanctions
This is a feature very specific to MARPOL, as a sanction regime was clearly required to allow an efficient
implementation. Other IMO instruments do not contain such a clearly stated requirement.
Under Article 4, any violation of MARPOL is prohibited and sanctions shall be established by the parties at
a level deemed “adequate in severity to discourage violations”. Consequently, states have implemented
national regimes of sanctions, which vary from one country to another but range from fines to jail
sentences.
4.3.2 Exceptions to the Discharge Requirements
The discharge criteria, for all types of discharges, cease to apply when the discharge is “necessary for the
purpose of securing the safety of the ship or saving life at sea…or as a result from damage to a ship and
its equipment”, provided all precautions have been taken before and after the occurrence to minimise
pollution. In specific cases (i.e. discharge required to combat chemical or oil pollution), an approval from
the administration and the local government is required beforehand.
4.3.3 Special Areas
They are defined separately for each annex (except Annex III). Stringent discharge requirements are in
force in those areas, as their ecological conditions or particular character require a higher level of
protection. Note: Special Areas are regulated and specified by MARPOL and should not to be mistaken
with Particularly Sensitive Sea Areas (PSSA) which are not covered by MARPOL but approved by the
MEPC.
In PSSAs, local authorities implement specific regulations as protective measures, such as mandatory
pilotage, special reporting system, areas to be avoided etc. There are currently 14 PSSAs, including the
Florida Keys, Canary Islands or Paracas National Reserve in Peru.
4.3.4 Ship’s Certificates
The ship’s compliance with each annex (except Annex III and Annex V – garbage) is documented by an
international certificate on pollution prevention. It is issued after the relevant surveys are carried out by
the administration or its RO. The validity is usually set to five years, with intermediate surveys.
4.3.5 Port State Control on Operational Requirements
The requirement is that:
“Where there are clear grounds for believing that the master or crew are not familiar with essential
shipboard procedures relating to the prevention of pollution, the ship shall not sail until the situation has
been brought to order.”
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The company’s obligation in terms of training and awareness of the crew is clearly stated here. This is an
item checked during PSC inspections, which could lead to detention in case of non-compliance.
IMO has published a practical guide “MARPOL – How to do it (2013 edition)”, which provides details on
implementation and enforcement.
Its Chapter 18 covers Duties of Shipowners and is partially reproduced below. Chapter 19 provides a
useful list of “Equipment Requirements, the Options” for each Annex of MARPOL.
“18. Duties of Shipowners
18.1 Most of the shipowners of states that are parties to MARPOL will be conversant with and fully
understand the requirements of the convention and its Annexes. Many others, especially those
whose flag state is not yet a party to MARPOL and owners of ships in domestic trade may not be
fully acquainted with the requirements.
18.2 When the government of a state decides to ratify MARPOL, its shipowners should be advised; it is
then in their interest to study the convention and its implications for their ships…the requirements
of the convention, its annexes and protocols should be reproduced as national regulations, and it is
with the technical and operational requirements a ship should comply. Certificates issued to ships
trading internationally will, however, indicate compliance with the regulations of the appropriate
Annex of MARPOL…
18.3 Shipowners should ensure that:
.1 their ships are designed, constructed (or modified) and equipped to the requirements;
.2 their ships are surveyed by their marine administration (or by those with delegated authority
and the surveys are kept up to date;
.3 their ships are maintained in satisfactory condition and not modified without approval and with
respect to the relevant MARPOL requirements; and
.4 their ships’ masters and crews are instructed and trained to comply with the relevant MARPOL
procedures and that all operational requirements receive the correct treatment.”
Shipowner’s or operator’s duties are summed up below for the sake of clarity.
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4.4 Annex I on Oil Pollution Prevention
Two different aspects are actually covered by MARPOL Annex I:
 Prevention of Pollution by Oil

Based on construction and equipment requirements, for all ships since oil is always carried on board
for propulsion purposes. Further stringent requirements are stated for oil-tankers, since they carry oil
both as cargo and fuel.
 Control of Operational Discharge of Oil

For all ships, as machinery spaces produce bilge (oily) water that needs to be treated and discharged
(if not stored on board). Specific requirements are stated for oil-tankers.
4.4.1 Requirements for ALL ships
The famous oily water separator (Figure 13 on the following page) with its 15 ppm monitor, and the oil
record book entries are the two common sources of PSC findings.
The deficiencies usually relate to faulty equipment, wrong operation, lack of operating instructions nearby
etc.
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Figure 13 – Alfa Laval PureBilge BlueBox, combining the
OWS + o/b valve control + data recorder
It is recognised that filling of the oil record book can be tricky. Some organisations provide training,
training material or guides on the subject and the IMO has published some guidance on how to record
operations in the ORB. It was circulated under MEPC.1/Circ.736 and can be found at the following link:
 http://www.imo.org/blast/blastDataHelper.asp?data_id=30062&filename=736.pdf
INTERTANKO also published a “Guide for Correct Entries in the Oil Record Book (Part I and Part II)”,
mostly relevant for oil-tankers.
4.4.2 Requirements for Oil Tankers only
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Note: several uniform interpretations are included at the end of Annex I. They provide further technical
details on regulations, interpretations of some terms or technical clarifications. Most of them originate
from IACS.
4.5 Annex II on the Control of Pollution by Noxious Liquid Substances in Bulk
4.5.1 Relationship Between the IBC Code and MARPOL Annex II
Under MARPOL II Regulation 11, the design, construction and operation of chemical tankers shall be
compliant with the International Bulk Chemical Code (IBC Code, previously BCH Code for ships built
before 1986).
Tankers carrying NLS shall hold the IPPC certificate required under MARPOL Annex II. On the other
hand, chemical tankers are also issued a “certificate of fitness for the carriage of dangerous chemicals in
bulk” required under the IBC Code.
To make things easier for chemical tankers and avoid duplication, MARPOL II Regulation 7 states that a
fitness certificate has the same force as the MARPOL IPPC certificate.
Practically, a “product tanker” carrying liquids for the food industry (apart from vegetable oils) would only
require an IPPC Certificate (MARPOL), whereas any chemical tanker shall hold a Certificate of Fitness (IBC
Code).
MARPOL Annex II refers to “noxious liquid substances” and IBC Code to “dangerous chemicals”:
 Noxious Liquid Substance

These are substance referred to in the IBC Code (Chapters 17 or 18) or in the MEPC.2/Circular.20 as
amended. They fall into categories X, Y or Z of MARPOL Annex II.
 Dangerous Chemicals
These are liquid chemicals presenting a safety hazard, based on the criteria for assigning products of
IBC Code Chapter 17.
Over 250 substances have been evaluated and it is an ongoing task for IMO’s GESAMP group.
For the purpose of residue discharges, the NLS are now classified in four categories (there were five
categories before 2007):
 Category X
NLS associated with a major hazard to either marine resources or human health, i.e. discharge at sea
is prohibited.
 Category Y
Hazard or possible harm to amenities, i.e. a limitation on the quality and quantity of the discharge.
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 Category Z
Minor hazard, i.e. less stringent restrictions on discharge criteria.
 Other Substances (OS)

No harm.
Liquids covered by MARPOL Annex II are not necessarily highly toxic materials, for example, fruit juices,
molasses or glucose solution belong to Category OS, and most vegetable oils belong to category Y.
Although the broad principle is to forbid discharges at sea and allow only discharge to reception facilities
in port, it is still possible to discharge residues, at certain concentrations and conditions specific to each
of the four categories.
In any case, discharge of NLS residues is not permitted within 12 nm of the nearest land.
4.5.2 Document Requirements
 Procedures and Arrangements Manual

To provide guidance to the ship’s officers on all operational procedures. It shall be approved by the
administration or the RO.
 Cargo Record Book

An official log-book to log any cargo operation, and subject to PSC inspections.
 Shipboard Marine Pollution Emergency Plan for NLS (SMPEP)

Required for every ship over 150 GT certified to carry NLS in bulk. Similar to the SOPEP, it is also
approved by the administration or the RO.
4.5.3 Summary of Operational Requirements
Figure 14 – Discharge requirements for Marpol Annex II,

Table from Tim Wilkins, INTERTANKO
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4.6 Annex III for the Prevention of Pollution by Harmful Substances Carried by
Sea in Packaged Form
MARPOL Annex III is a four-page annex, which is actually referring to the IMDG Code. It contains
general requirements on packing, marking, labelling, documentation, stowage etc. Since the IMDG is
now fully mandatory, Annex III could be seen as obsolete from an operational point of view. No
certificates are required under this annex, and no special areas are designated.
4.7 Annex IV for the Prevention of Pollution by Sewage
Compared to other types of pollution, it took some time to recognise that untreated sewage is equally
harmful to the environment. This type of pollution is less obvious visually and the impact of sewage on
the ecosystem comes from the oxygen depletion phenomena due to the absorption of sewage by the
oceans. The issue becomes really problematic in areas where traffic is dense, especially traffic from
passenger or cruise ships.
MARPOL Annex IV requires treatment equipment:
 an approved sewage treatment plant; or

 an approved sewage comminuting and disinfecting system; or
 a sewage holding tank.
Discharge into the sea is allowed:
 anywhere if the ship has an approved sewage treatment plant; or

 at more than 3 nm of the land if the ship discharges comminuted and disinfected sewage; or
 at more than 12 nm if sewage is not comminuted or disinfected (a maximum rate of discharge is set).
A standard discharge connection is also required on board. The standards for sewage treatment plants,
sewage comminuting and disinfecting performance are established under this Annex. They have been
recently reviewed and improved to take into account, on one hand, recent technology developments and,
on the other hand, the need to apply more stringent criteria in sensitive areas.
In 2013, the first special area for sewage discharge was established for the Baltic Sea. To discharge
sewage in the special area, passenger ships will need a new type of approved treatment plant, as
described in resolution MEPC.227(64), from 2016 for new ships and 2018 for other ships. Practically,
treatment plants based on membrane technology will comply with those new standards.
4.8 Annex V for the Prevention of Pollution by Garbage from Ships
If today the idea of throwing a plastic bag overboard would not cross anyone’s mind, it might not have
been the same 30 years ago.
The main and original aim of MARPOL Annex IV was to prohibit discharge of plastic items in the oceans.
Education, supported by vigorous enforcement of this Annex, succeeded in implementing good habits on
board ships.
81
Annex V covers various types of garbage. It was fully updated in 2013 and the term “garbage” was
redefined as follows:
“All kinds of food, domestic and operational waste, plastics, cargo residues, incinerator ashes, cooking oil,
fishing gear, animal carcasses for livestock ships (all those items being generated during the normal
operation of ships)”.
12 nm is usually the limit for permitted discharges. Under the new annex, glass, metallic items, wooden
items such as pallets, and incinerator ash cannot be discharged at sea anymore. Recycling is also
recommended. The discharge limits are summed up in the following table.
Figure 15 – Summary of garbage discharge at sea

IMO website
82
Discharges of solid bulk cargo residue are a bit more complex and gave rise to long discussions when the
Annex was revised at IMO MEPC meetings.
As a new rule, discharge at sea of cargo residues containing harmful substances to the marine
environment is prohibited. It implies that the shipper should declare whether the cargo is classified as
such or not.
The discharge provisions for cargo residues are summed up in the following table.
Figure 16 – Summary of cargo residues discharge at sea

IMO website
4.8.1 Documentary Requirements
 Placards
Every ship over 12 m in length shall display placards to notify the crew and the passengers of the
disposal requirements.
 Garbage Management Plans

For ships over 100 GT or with over 15 passengers.
The plan contains procedures for minimising, collecting, storing, processing and disposing of garbage.
A person on board should be designated responsible for the plan.
 Garbage Record Book

Required for ships over 400 GT or with over 15 passengers.
This document is likely to be checked during PSC inspections, as it is the only proof of shipboard daily
management of garbage and compliance to discharge criteria.
Inspectors may perform calculations to estimate the amount of garbage produced by a ship and
compare with the data logged in the book. Old GRBs shall be archived for two years.
Further information can also be found in IMO publications:
 Guidelines for the Development of Garbage Management Plans (in Resolution MEPC.220(63)).
 Guidelines for the Implementation of MARPOL Annex V (in Resolution MEPC.219(63)).
4.9 Annex VI on the Prevention of Air Pollution from Ships
This is the most recent annex. Adopted in 1997, it entered into force in 2005 and since then it has been
daily in maritime news headlines, as it covers very complex issues.
Different types of emissions from ships are regulated:
83
 Sulphur Oxides (SOx);
 Nitrogen Oxides (NOx);
 Particulate Matter (PM);
 Ozone Depleting Substances (ODS); and
 Volatile Organic Compounds (VOC).
CO2 is covered as well, in terms of the energy efficiency of ships.
Due to the extended content of technical requirements related to NOx emissions, Annex VI is
supplemented by a technical code on NOx, dealing mostly with engines and treatment technologies.
4.9.1 Summary of Requirements
4.9.2 NOx Emission Control
NOx (actually covers NO and NO2 and the less common NO3) are produced by combustion and burning
processes. It has health effects, mainly respiratory, and participates in the formation of acid rain.
Since NOx emissions are related to the design of diesel engines, the introduction of new limits could only
be progressive to avoid a massive retrofitting of the global fleet. Similarly, the EIAPP certificate is only
required for ships built after 1990.
84
For large diesel engines (over 5,000 kW) installed on ships built between 1990 and 2000, an alternative
compliance method has been established. An “approved method”, designed by engine manufacturers,
has to be approved by administration and then fitted on such engines. IMO maintains a list of all
approved methods designed by engine manufacturers (latest being MEPC.1/Circ.770).
Three tiers of application were defined for NOx limits:
For engines installed

Tier
on or after
Calculation of the limits based on the
engine’s rated speed. Three speed
I 1 January 2000 categories, corresponding to low speed,
medium speed and high speed diesel
engines.
II 1 January 2011
Covers only engines ≥ 130kW
III only for ECA 1 January 2021
Note: the application date for Tier III was originally set to 2016, but MEPC agreed in April 2014 to
postpone it to 2021.
Figure 17 – Progressive decrease of NOx limits

Infineum Insight website
Engines are certified by administrations or their ROs and receive an EIAPP certificate.
The manufacturers usually arrange for the certification based on an individual, engine family or engine
group basis. The performance standards and test cycles are given in the NOx Technical Code.
The engine receives as well an approved technical file, which must be kept on board.
It should finally be noted that other compliance methods are approved, such as selective catalytic
reduction used to remove NOx in the exhaust gas.
85
4.9.3 SOx Emission Control
The sulphur content applicable worldwide was initially reduced in 2012 from 4.50 to 3.50%. It should be
lowered again in 2020 to reach 0.5%.
In the ECA zone, the limit was reduced to 1.00% in July 2010 and will drop to 0.10 %, in January 2015.
The application schedule is shown in Figure 18.
Figure 18 – SOx limits, application schedule

Edmund Hughes, Air Pollution and Climate Change Division, IMO
Practically, for the reduction of SOx in exhaust gas, several options are possible. The principle is to act
before the engine (low sulphur fuels) or if not possible, to clean after (treatment of gas).
Directed Learning:
Read the article published in the Lloyd’s Register in 2011 and answer the following
question:
 http://www.imo.org/OurWork/Environment/PollutionPrevention/AirPollution/Document
s/Air%20pollution/Article%20by%20Edmund%20-More%20environmental%20
challenges%20to%20come-1.pdf
Shipowners might have several options to comply with SOx limits. What are they?
As explained briefly in this article, IMO is currently facing a challenge as the demand for low sulphur fuels
will rise and the supply is not deemed sufficient. Two solutions are currently under review:
 postpone the application date to 2025 for the global 0.5%, based on the current review on fuel
supply; or
86
 expand the supply possibilities by allowing ships to use fuels with a flashpoint of 55 degrees instead of
60 as currently required under SOLAS.
This means the shipping industry will access MGO supplied to other users, i.e. road transport.
4.9.4 Energy Efficiency Design Index (EEDI) and Energy Efficiency
In order to tackle climate change from all angles, it was decided to add measures for the reduction of CO2
emissions from ships. Although IMO recognised that shipping transport accounts for “only” 2.7% of
global emissions (as estimated in 2007), a new chapter on ship efficiency was added to MARPOL Annex
VI in 2011.
Energy Efficient Design Index (EEDI)
This is an energy efficiency level set per tonne mile, based on the type of ship and the service delivered.
Since January 2013, new ship designs shall meet the reference level for their ship type. As the years go
by, this reference level will be tightened every five years, the purpose being the stimulation of innovation
and technical development in naval architecture and ship design. The reduction level is currently set to
10%.
Since the EEDI is non-prescriptive (i.e. performance-based), the text is flexible and technologies to reach
the standards are not specified. BIMCO has also created an EEDI calculator, freely downloadable from
the following page:
 https://www.bimco.org/Products/EEDI.aspx
Ship Energy Efficiency Management Plan (SEEMP)
Apply to existing and new ships. The SEEMP lists the best practices for fuel efficient ship operations.
Owners are offered the use of the Energy Efficiency Operational Indicator (EEOI – non-mandatory as yet)
as a performance monitoring tool designed to measure efficiency in operation. It is based on monitoring
of practical elements such as trading patterns, ship speed, use of energy recovery systems, propeller
cleaning etc.
IMO has also produced a set of guidelines on the subject, such as the Guidelines for the development of a
Ship Energy Efficiency Management Plan (SEEMP) (in Resolution MEPC.213(63)).
Further Research:
Further details and a comprehensive review of amendments (past and future) can be
found on the IMO website – check the right-hand-side table for details on each
substance covered by Annex VI:
 http://www.imo.org/OurWork/Environment/PollutionPrevention/AirPollution/Pages/A
ir-Pollution.aspx
The purpose of this module was not only to describe the main international regulations applicable to the
shipping industry, but also to focus on the internal mechanisms of the legal framework.
The different sources of regulations, and their operating structure, have been detailed. A review of the
main instruments and codes was also performed, supplemented by information on where and how to find
relevant information. Being able to find a regulatory reference quickly is essential, and the best way to
manoeuvre through maritime regulation is to know not only its structure but also its pitfalls. It is a
crucial factor when it comes to efficient application of requirements and continuous compliance.
87
The ship surveys and certification regime was described, as statutory surveys and certificates could be
seen as the “essence of compliance”. Certificates are the last link in the regulatory chain and they are
the one and only documents certifying a ship’s compliance, both in terms of safety and pollution
prevention.
Consequently, ships’ certificates and documents are an essential foundation to support the control
regime. As was seen further in the module, this control mechanism is mainly brought into action thanks
to the port state control regime, as operated by regional MoU. Several practical examples of PSC
deficiencies were also given, as an attempt to illustrate the theoretical principles of regulation.
The scope of the module was broad enough to ensure a good understanding of the keys principles,
elements and stakeholders related to international maritime regulations. Students should now feel more
comfortable with this field, which may at first, and legitimately, appear to be a scary maze. Once the
basics are acquired, it is then advisable to keep up-to-date with the latest regulatory developments, so
that students establish and maintain a sound knowledge of maritime regulations for the rest of their
career.
88
REFERENCE LIST
IMO Knowledge Centre, January 2010, “Information Resources on the Al Salaam Boccacio 98”, available
from (accessed December 2014):
 http://www.imo.org/KnowledgeCentre/InformationResourcesOnCurrentTopics/InformationResourcesO
nCurrentTopicsArchives/Documents/AL%20SALAM%20BOCCACCIO%2098%20_January%202010.pdf
ILO Website, Labour standards, Maritime Labour Convention 2006, available from (accessed December
2014):
 http://www.ilo.org/global/standards/maritime-labour-convention/lang–en/index.htm
ILO Website, 2 December 2011, “Joint IMO/ILO Activities on Seafarers”, available from (accessed
December 2014):
 http://www.ilo.org/global/industries-and-sectors/shipping-ports-fisheries-inland-waterways/lang–
en/index.htm
Cèdre (Centre of Documentation, Research and Experimentation on Accidental Water Pollution),

“Surveillance Zones and Protected Areas”, December 2008, available from (accessed December 2014):
 http://www.cedre.fr/en/discharge/ill_disch/zones.php
Maniola E Motsi, 3 June 3 2014, “The Beginning and the End of the UNCTAD Code of Conduct
(40/40/20)”, available from (accessed December 2014):
 http://www.maritimelogistics.co/the-beginning-and-the-end-of-the-unctad-code-of-conduct-liner-
shipping/
Panama Maritime Authority, General Directorate of Merchant Marine, Segumar, list of circulars available
from (accessed December 2014):
 http://www.segumar.com/circulars/
Danish Maritime Authority, List of Circulars, available from (accessed December 2014):
 http://www.sofart.dk/Skibe/Sider/Cirkul%C3%A6rerfraS%C3%B8fartsstyrelsen.aspx
IMO website on Port State Control, available from (accessed December 2014):
 http://www.imo.org/OurWork/Safety/Implementation/Pages/PortStateControl.aspx
Paris Memorandum of Understanding, Organisation of Paris MoU PSC, available from (accessed December
2014):
 https://www.parismou.org/about-us/organisation
Reza Babri, 16 January, 2009, “Correspondence of Class Symbols, Marks and Notations Between Bureau
Veritas and Other IACS Members (ABS, DNV, GL, KR, LR, NK, RINA, RS, CCS)”, available from (accessed
December 2014):
 http://fr.scribd.com/doc/10555902/Correspondence-of-Class-Symbols#force_seo
CLIA, Cruise industry Policies, Bridge access, March 2012, available from (accessed December 2014):
 http://www.cruising.org/regulatory/policies/bridge-access
89
IMO Media Centre, “SOLAS rules for ships to be able to recover from the water enter into force”, 1 July
2014, available from (accessed December 2014):
 http://www.imo.org/MediaCentre/PressBriefings/Pages/24-SOLASamends.aspx#.VI2jvSslqSo
IMO Media Centre, “GBS Verification Process is Underway”, 2 January 2014, available from (accessed
December 2014):
 http://www.imo.org/MediaCentre/PressBriefings/Pages/02–GBS.aspx#.VI2k5yslqSp
Captain Bertrand Apperry, Afcan, “The ISM Designated Person Ashore, What a Job!”, January 2014,
available from (accessed December 2014):
 http://www.afcan.org/dossier_ism1.html
Antigua and Barbuda Flag Administration, Circular STCW 1998-001 on “Responsibilities of Companies”,
updated January 2013, available from (accessed December 2014):
 http://abregistry.ag/wp-content/uploads/2013/01/STCW-Circ-1998-001-Company-Responsibilities.pdf
Australian Maritime Safety Authority (AMSA) on Port State Control, available from (accessed December
2014):
 http://www.amsa.gov.au/vessels/ship-safety/port-state-control/
Cyprus Department of Merchant Shipping, Seafarer’s Training and Certification, Model of On Board
Complaint Log, available from (accessed December 2014):
 http://www.mcw.gov.cy/mcw/dms/dms.nsf/9508b55aca631444c22572af0035a516/792a16a3e47110
ddc2257a0c0040e82c?OpenDocument
Professor Proshanto K. Mukherjee, “Liability Issues pertaining to Maritime Safety”, World Maritime
University, available from (accessed December 2014):
 http://qr.jur.lu.se/Quickplace/jasn05/Main.nsf/0/E76E5962C462642BC12578EE0046975F/$file/Plymo
uth%20keynote%20address%20ppt.pdf
INTERTANKO, Tim Wilkins, “Marpol Annex II, An Introduction to the Carriage of Chemicals at Sea”,
 www.intertanko.com/upload/isbamarpolannexii.ppt
IMO website, “Simplified Overview of the Discharge Provisions of the Revised MARPOL Annex V”,
 http://www.imo.org/OurWork/Environment/PollutionPrevention/Garbage/Documents/Annex%20V%20
discharge%20requirements%2001-2013.pdf
IMO website, “Simplified Overview of the Discharge Provisions Regarding Cargo Residues of the Revised
MARPOL Annex V”, available from (accessed December 2014):
 http://www.imo.org/OurWork/Environment/PollutionPrevention/Garbage/Documents/2014%20revisio
n/Annex%20V%20discharge%20requirements%20cargo%20residues%2003%202014.pdf
Infineum Insight website, 1 September 2013, “Tough NOx Limits for Ships Delayed”, available from
(accessed December 2014):
 https://www.infineuminsight.com/insight/sep-2013/tough-nox-limits-for-ships-delayed
90
Marine Environment Division, IMO, Edmund Hughes, 14 June 2012, “An Overview of Current International
Regulatory Regime for the Prevention of Air Pollution from Shipping”, available from (accessed December
2014):
 http://cnss.no/wp-content/uploads/2012/07/Hughes_CNSS-14_June_2012_v2.pdf
91

Diploma in Ship Superintendency: Maritime Conventions, Regulatory Controls and Codes in Shipping

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Diploma in Ship Superintendency: Maritime Conventions, Regulatory Controls and Codes in Shipping

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DIPLOMA IN SHIP

Maritime Conventions, Regulatory

Learning Outcomes ....................................................................................................................... 5

1. INTER-GOVERNMENTAL REGULATION OF SHIPPING ......................................................... 6

1.1 Introduction ............................................................................................................... 6

1.2 International Regulations ............................................................................................. 6

1.2.1 The International Maritime Organisation (IMO) .................................................... 6

1.2.2 The International Labour Organisation (ILO) ...................................................... 18

1.3 Regional, National and Other Regulation ...................................................................... 28

1.3.1 The Role of the Flag State ............................................................................... 28

1.3.2 The Role of the Port State Control (PSC) ........................................................... 33

1.3.3 The Role of Classification Societies ................................................................... 35

1.3.4 Other Groups that Influence the Rule-making Process ......................................... 38

2. SAFER OPERATIONAL STANDARDS ................................................................................. 42

2.1 Introduction ............................................................................................................. 42

2.2 SOLAS Convention .................................................................................................... 42

2.2.2 Question of Application ................................................................................... 45

2.2.3 Circulars and Other Documents Referred to in SOLAS ......................................... 46

2.2.4 LSA Code, FSS Code and IMSBC Code............................................................... 47

2.3 Unified Requirements from IACS ................................................................................. 51

2.4 Goal-based Construction Standards for New Ships ......................................................... 52

3. COMPANY OBLIGATIONS WITH REGARD TO SAFETY PROCEDURES ................................. 54

3.1 Introduction ............................................................................................................. 54

3.2 COLREG ................................................................................................................... 54

3.2.2 Navigation Equipment and Human Element ....................................................... 54

3.3.1 Structure and main requirements ..................................................................... 55

3.3.2 Company Obligations ...................................................................................... 56

3.4 Minimum Safe Manning Document ............................................................................... 57

3.4.1 Principles ...................................................................................................... 57

3.4.3 Obligations of Companies ................................................................................ 59

3.5 The International Safety Management Code.................................................................. 59

3.5.2 Documentary Obligations ................................................................................ 60

3.5.3 Summary of Obligations as Laid Down in the ISM Code ....................................... 61

3.6.1 Purpose and Structure .................................................................................... 63

3.6.2 Company Obligations ...................................................................................... 64

3.7 International Maritime Dangerous Goods Code (IMDG Code) .......................................... 65

3.7.1 Origin and Content ......................................................................................... 65

3.7.2 Training Requirements .................................................................................... 65

3.7.3 Documentation .............................................................................................. 66

3.8 The Convention on Load Lines 1966 (ILLC) ................................................................... 66

3.8.1 Purpose and Structure .................................................................................... 66

3.8.2 Company Obligations ...................................................................................... 67

3.9 International Convention on Tonnage Measurement of Ships (Tonnage Convention, ITC

3.9.1 Company Obligations ...................................................................................... 69

3.10 Maritime Labour Convention 2006 (MLC 2006) .............................................................. 69

3.10.1 Structure of the MLC 2006............................................................................... 69

3.10.2 Documents Required and Inspections ............................................................... 70

4. MARPOL CONVENTION (INTERNATIONAL CONVENTION FOR THE PREVENTION OF

4.1 Introduction ............................................................................................................. 74

4.2 History and Main Structure ......................................................................................... 74

4.3 Elements Common to All Six Annexes .......................................................................... 75

4.3.1 Violations and Sanctions ................................................................................. 75

4.3.2 Exceptions to the Discharge Requirements ........................................................ 75

4.3.3 Special Areas ................................................................................................. 75

4.3.4 Ship’s Certificates........................................................................................... 75

4.3.5 Port State Control on Operational Requirements ................................................. 75

4.4 Annex I on Oil Pollution Prevention .............................................................................. 77

4.4.2 Requirements for Oil Tankers only .................................................................... 78

4.5.2 Document Requirements ................................................................................. 80

4.5.3 Summary of Operational Requirements ............................................................. 80

4.7 Annex IV for the Prevention of Pollution by Sewage ....................................................... 81

4.8.1 Documentary Requirements............................................................................. 83

4.9 Annex VI on the Prevention of Air Pollution from Ships ................................................... 83