Chapter 1 REGULATORY REQUIREMENTS

REGULATORY REQUIREMENTS

Shipping is perhaps one of the most globalised industries. For such an industry
to work with common standards, legislation is very important. Legislation affects
all aspects of shipping from construction to safe operations. Navigation is no
different.

The International Maritime Organisation (IMO) in consultation with the member

states and using expert help from the relevant sub-committees produces draft
proposals. Once a certain number of member states with a certain percentage
of world tonnage agree to proposals, the Convention is formed. The actual
regulation that a ship has to comply with is the national law of the country (flag
state) where the ship is registered. This Convention is the minimum standard
that a ship has to follow for international trading. Ship also has to meet the port
and coastal state standards where the same are different to or above the IMO
Conventions.

Navigation and related issues are covered under international instruments, like
SOLAS, STCW and Collision Regulations. In addition, the flag states advise
own ships through regulations, codes and notices. The main areas of interest
are:

Safety of navigation (covered under SOLAS Chapter V, National Laws
and Bridge Procedures Guide by ICS)

Carriage of Navigational Equipment and Publications (covered under
SOLAS and National Laws)

Training and Certification (covered under STCW’72 / 95)

Management (covered under ISM Code in SOLAS’74)

Collision Regulations (COLREGS’72)

Significance of the relevant areas is briefly discussed in this chapter. Note is

also made of certain requirements that did not fit other chapters.

1.1 ISM CODE

Analysis of any accident or incident will show an element of human error or
management failure. The so called “equipment failure” or “Act of God” incidents
also have human involvement somewhere. Equipment or machinery may not
have been maintained as required or too much reliance may have been placed
on a single system, or decisions may not have been taken in time. Similarly,
management is an issue as error of judgement or mistake by one individual
should have been spotted in time and timely corrective action should have been
taken. In order to overcome the human error and management issues, general
principles and objectives so as to promote evolution of sound management and
operating practices within the industry as a whole were introduced into shipping
through the ISM Code under SOLAS.

The full title of the ISM Code is: “The international management code for the
safe operation of ships and for pollution prevention”. The objective was to

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ensure safety, to prevent human injury or loss of life, and to avoid damage to
the environment, in particular, the marine environment, and to property.
Navigation safety is an element that can help with achieving the objective, at
least, in part.

1.1.1 SMS

The Code reinforces the responsibility of the owner or company to be

responsible for the proper management of the ship and ship operations. To this
end, the owner or company are required to develop, implement and maintain a
Safety Management System (SMS) for use by the company and the ship in
order to meet the objective. SMS has following relevant functional requirements:

1.1.1.1 NAVIGATION POLICY

The company policy on safety and environment protection: The SMS should
include a clear statement on navigation policy of the company. This may be
brief only highlighting the general aim of the company to be achieved through
safe navigation.

1.1.1.2 PROCEDURES
A full set of instructions and procedures to perform the ship operations safely
and for environment protection, while satisfying applicable international and flag
state requirements: The procedures are likely to be covered in a lengthy
section. The Code requires procedures to be available for all aspects of
operations. This implies that all known aspects of navigation need to be covered
by the procedures. The procedures provide clear instructions – in line with
company policy – to prepare for navigation, execution and monitoring, including
relevant records and review of performance. The procedures will define
applicable safety limits to be maintained in certain circumstances. Maintenance
and upkeep of equipment and associated material will also be covered.

1.1.1.3 AUTHORITY AND COMMUNICATIONS

An organisation structure defining levels of authority and lines of communication
between and amongst company and shipboard personnel: In addition to general
watchkeeping duties, Master may delegate responsibility for certain aspects of
navigation to officer(s).

1.1.1.4 REPORTING PROCEDURES

Procedures for reporting non-conformities with the provisions of ISM Code and
any accidents are covered in full with the operations procedures.

1.1.1.5 EMERGENCY PREPAREDNESS

Procedures for readiness and for responding to emergency situations:
Company supplies the ship with standard contingency plans. The company
organisation for response is also established and communicated to Master.

1.1.1.6 AUDITS AND REVIEWS

Procedures detailing internal audits and reviews: This sets out how the
performance can be judged, determine any deficiencies in procedures and
resources, and what lessons can be learnt to improve further.

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1.1.2 MASTER’S RESPONSIBILITY

1.1.2.1 IMPLEMENTING POLICY

Master must ensure that all officers and crew with navigational duties are fully
aware of company policy on navigation and understand the procedures set by
the company. Master should also make a judgement on the competence of
individuals before allocating responsibilities. Master must also ensure that the
individuals are fit for duties and are adequately rested.

1.1.2.2 MOTIVATING CREW

Training is the best motivator. The personnel with navigation duties should be
fully familiarised with and trained on shipboard equipment to be used for
navigation.

1.1.2.3 ISSUING ORDERS

A full set of standing orders and daily night or bridge orders should be written by
the Master for the watch officers. In addition the use of standard marine
vocabulary for all bridge communications should be standard practice.

1.1.2.4 SPECIAL REQUIREMENTS

Master must be satisfied that all international and flag state requirements are
being complied with. This covers the operational status of mandatory equipment
(AIS, VDR, etc.), relevant records (Radio, etc.), regular reporting (danger
messages, reporting systems, etc.) and receipt of information (MSI, etc.) are
meeting the requirements.

1.1.2.5 REVIEW AND REPORTING

Prior to commencement, during the operational stages and on completion, the
Master should keep under review the navigation of the ship. The process starts
with ensuring that appropriate resources are available and that all personnel are
competent and properly trained. The plans (e.g., passage plan) are completed
in a timely manner and are detailed enough to ensure safe navigation of the
ship on the current passage taking the environment into account. During the
performance stages, the resource allocation should be maintained and a check
should be kept on safe and efficient progress. On completion or where any
problems have been experienced, all the information and records must be
reviewed in order to determine the possible improvements that need to be made
in the future, including where necessary:

additional resources required

additional training

proposed amendments of procedures required

lessons to be learnt and communicated to others

Master has overriding authority in cases involving safety and pollution

prevention. Master may override the procedure to complete the operations
safely but cannot amend it. Amendment will be done by the company.

Similarly, Master may follow advice from external authorities (e.g., routeing
instructions) and may override it as well to ensure safety of vessel and
prevention of damage to environment.

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1.1.3 SIMPLIFIED COMPLIANCE

The knowledge of current international and flag state requirements and

methods of complying with the same are important for complying with the Code.
Whether it involves navigation, collision avoidance, navigation equipment or
radio and communications, few basics apply in all cases.

The equipment must be approved as per requirements.

The equipment must be sufficient in numbers as per requirements.

The personnel must be familiarised with and trained on use of
equipment.

The personnel must have full knowledge of procedures to be followed.

Proper records – automatic or human interface – must be maintained.

Records must be maintained for specified periods.

Checklist should be reviewed regularly – remember a checklist is only as
good as the person who has prepared it.

Valid documents must be available at all times.

Crew should be able to communicate.

Use of risk assessment principles for all identified risks.

Regular assessment or monitoring.

The SMS should not be at variance with the law, though sometimes it
may make the requirements more stringent for compliance by company
ships and personnel for added safety.

Critics of the Code use arguments like “If all procedures are in place, what is the
need for training”? It must be said that the procedures are for guidance only and
are generic. Not all situations are the same. Those responsible for navigation
need to have detailed knowledge and understanding of the tasks and their
duties in order to deal with all types of circumstances and scenarios. This also
applies to instructions from external bodies. A Master, fully competent on the
navigational issues, can make a sound judgement whether or not to follow the
advice or guidance or prepare own plans to meet requirements and to ensure
safety of ship, crew and the environment.

Another debate is about the perceived conflict between the requirements under
the ISM Code to produce a wide range of documents and reports as a part of its
SMS and the consequential production of potentially self incriminating evidence
which could be used against those who produced that evidence. This text is no
place to state the right or wrong answer to the conflicting position. The only
comment by the author is that the compliance with the Code – and hence the
SMS – is a legal requirement and where it demands records to be maintained,
such records cannot be avoided. Secondly, the Code is designed to ensure
safety and prevent accidents or incidents. Where these are still happening, then
something is going wrong somewhere and the authorities should use some
tools to teach appropriate lessons. The issue of use of records for commercial
cases is beyond the scope of this text.

1.2 SOLAS CHAPTER V

Chapter V identifies certain navigation safety services which should be provided
by Contracting Governments and sets forth provisions of an operational nature

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applicable in general to all ships on all voyages. It should be noted that SOLAS
Convention applies to certain classes of ships engaged on international
voyages, in contrast to Chapter V which applies to all ships.

The subjects covered include a general obligation for masters to proceed to the
assistance of those in distress, the maintenance of meteorological services for
ships, the ice patrol service, routeing of ships, and the maintenance of search
and rescue services.

This Chapter requires Contracting Governments to ensure that all ships shall be
sufficiently and efficiently manned from a safety point of view. The chapter
makes mandatory the carriage of voyage data recorders (VDR) and automatic
ship identification systems (AIS) for certain ships.

1.2.1 REPORTS BY MASTER

The Master of every ship which meets with any of the following shall make a
report by all available means to the nearest coast radio station or signal station
in English. These messages shall be sent on DSC, R/T, Inmarsat. These
messages shall be preceded by SECURITE (or PAN PAN as appropriate).

Tropical storms

Winds of force 10 and above of which there has been no warning.

Air temperatures below freezing, associated with gale force wind causing
severe icing.

Dangerous ice

Dangerous derelict
The contents of the reports have been included in appropriate chapters where
the messages are relevant.

1.3 BRIDGE PROCEDURES GUIDE

This publication is produced by the International Chamber of Shipping designed
to make mariners aware of good operating practice and efficient bridge
organisation. It ensures that similar actions are taken on the bridge of all ships.

1.3.1 CONTENTS
1.3.1.1 PART – A
Covers guidance to Masters and navigating officers on the following:

Bridge resource and bridge team management

Notes on passage planning in ocean waters, in restricted waters,
pilotage, ship’s routeing and ship’s reporting systems and vessel traffic
services.

Duties of the OOW with regards to watch-keeping, navigation,
communication, pollution prevention and emergency situations.

Operation and maintenance of bridge equipment.

Annexes containing various formats used for Pilotage, distress
frequencies, guidance on steering gear test routines.

1.3.1.2 PART – B
Includes bridge checklists for routine bridge procedures for the following:

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Familiarisation with bridge equipment

Preparation for sea

Preparation for arrival in port

Pilotage

Passage plan appraisal

Navigation in coastal waters

Navigation in ocean waters

Anchoring and anchor watch

Navigation in restricted visibility

Navigation in heavy weather or in tropical storm areas

Navigation in ice

Changing over watch

Calling the master

1.3.1.3 PART – C
Includes checklists for use during emergency:

Main engine or steering failure

Collision

Stranding or grounding

Man overboard

Fire

Flooding

Search and rescue

Abandoning ship

1.4 BUOYAGE
IALA (The International Association of Marine Aids to Navigation Lighthouse
Authorities) has set the design and standard of buoys to be used for
navigational purposes.

The world is divided into two regions – A and B for the purpose of Lateral
Marks. B includes all of Americas, Japan, Philippines and S. Korea. The
cardinal marks are uniform throughout the world.

1.4.1 DIRECTION OF BUOYAGE AND DISTANCE

Direction of buoyage can be found from the navigational charts or the sailing
directions. Locally, it is the direction taken by the mariner from the seaward
when approaching a harbour, river, estuary or other waterway. Generally, it is
determined by buoyage authorities, and is mainly clockwise around continental
landmasses.

There is no specified minimum distance at which a buoy should be passed. The

observation of the chart, proximity to hazards, draught of the ship and the
amount of searoom can help decide the safe distance to be maintained from the
buoys. In congested waters this distance is not expected to be large.

When following the lateral marks, the vessels should remain as near to the
mark on the starboard hand side of the ship as appropriate. While proceeding

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with the direction of buoyage it will be the starboard hand marks and while
going against the direction of buoyage it would be the port hand marks.

1.4.2 SPECIAL MARKS

Special marks are used for marking (remember CROFTS Ch):

Cables or pipelines

Recreational areas

Ocean data acquisition systems

Firing or military exercise zones

Termination points of Traffic Separation Scheme, where required

Spoil ground

Channel within a channel

1.4.3 NEW DANGERS

New dangers are marked by one or more cardinal or lateral marks as per IALA
system. Lights if fitted are quick or very quick.

Where the danger is especially grave, at least one of the marks would be
duplicated by an identical mark as soon as practicable, until the danger has
been well promulgated. A RACON with Morse code D, showing a signal length
of one nautical mile on a radar display may be used on the duplicate mark.

1.5 ISPS
The provisions of International Ship and Port Facility Security Code (ISPS) may
have a bearing on navigation. At the planning stage, areas with heightened
security threats should be avoided, passed at increased distance or transits
completed allowing for added precautions.

The ships officers should be aware of evasive manoeuvres as per security plan
of the ship. Similarly, depending upon the security level of a port, ship should be
able to stay clear of port where required or the ship should be ready to leave
port at very short notice where the conditions dictate. Contingency plans for all
eventualities should, at least, be available in tabular format for transfer to
navigational charts where required.

1.6 STCW
The International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers (STCW), 1978, was adapted by the International
Conference on Training and Certification of Seafarers on 7 July 1978. The 1978
STCW Convention entered into force on 28 April 1984. Since then three
amendments to it were adapted in 1991, 1994 and 1995.

The 1991 amendments relate to Global Maritime Distress and Safety System
(GMDSS) and entered into force on 1 December 1992. The 1994 amendments
relate to special training requirements for personnel on tankers and entered into
force on 1 January 1996.

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In the 1995 amendments, complete revision of the annex to the 1978 STCW
Convention took place in order to clarify the standards of competence required,
qualification requirements for trainers and assessors, provide effective
mechanisms for enforcement of its provisions and allow greater flexibility in the
assignment of functions on board ship and thus broaden the career
opportunities of seafarers. The minimum global standards of knowledge,
understanding, experience and professional competence desired by the States,
which are Parties to it, the maritime industry and the general public are given
full and complete effect by the Convention. The STCW 1995 came fully into
force on 1 February 2002.

The STCW Code stipulates the minimum training and certification requirements
for Masters, Chief Mates, OOW’s and Ratings. These are governed by STCW
Regulations and take ship’s gross tonnage and near/non-near coastal voyages
as criteria. It is also a factor in deciding safe manning levels of ships.

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

1.8 GUIDANCE FROM FLAG STATE

The IMO Conventions may be adapted by a flag state to form its own law or the
flag state may produce legislation covering requirements of the relevant IMO
Convention and above it. In addition the flag state may provide guidance in the
form of codes of practice related to specific areas. From time to time, when new
legislation is introduced, or the enquiry of any accident has highlighted poor
practice, or issues involving safety and pollution prevention come to fore, or
when industry has to be informed in general, the flag state administration may
issue notices. MCA issues these in three series:

1.8.1 MERCHANT SHIPPING NOTICES (MSN):

These are related to the UK legislation and contain information to comply
with the same.

Contain technical details related to statutory instruments and regulations.

Are numbered in sequence with a prefix MSN.

The examples are related to COSWP, LSA regulations, SOLAS.

1.8.2 MARINE GUIDANCE NOTES (MGN):

These provide guidance and advice to improve safety of shipping for
issues related to safety of life at sea and pollution prevention.

They are sequentially numbered with a prefix numbered MGN.

Examples are navigation in Dover Strait, Navigation in fog, STCW,
MARPOL, etc.

1.8.3 MARINE INFORMATION NOTICES (MIN):

These are for limited readership.

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These are valid for a limited period of time.

These provide information regarding training establishments, equipment
manufacturers, results of research, etc.

1.8.4 CARRIAGE REQUIREMENTS FOR PUBLICATIONS

Flag states also make mandatory requirements for the carriage of bridge
publications. Following are required as per UK law.
1. Full set of navigational charts, fully corrected and latest edition; including
chart catalogue. These could be approved electronic charts.
2. Notices to mariners
3. Annual summary of notices to mariners
4. International Code of Signals
5. Mariners handbook
6. Sailing directions
7. List of radio signals
8. List of lights
9. Tide tables
10. Tidal stream atlases
11. MSN (Merchant Shipping Notices), MIN (Marine Information Notices),
MGN (Marine Guidance Notices)
12. Nautical Almanac
13. Operating and maintenance instructions for ship’s navigational
equipment.

1.9 VOYAGE DATA RECORDER

Ships are required to maintain extensive records for operational as well as legal
reasons. The records serve the purpose of analysing performance and
informing concerned authorities of the compliance with legislation. There have
been two main problems with traditional methods of record keeping:
1. Possibility of manipulation and falsification of records by unscrupulous
individuals.
2. Loss of entire evidence and records in case of ship loss or major fire.

Considering the experience of aviation industry with the “Black-Box”, IMO has
made it mandatory for ships to be fitted with “Voyage Data Recorder” (VDR).
The main purpose of VDR is to have the data available to investigators after an
incident in order to gain a better understanding of the events that led to an
incident, particularly where the ship is lost without trace, or all records have
been lost, or the crew have perished during the accident.

The requirement is part of SOLAS under Chapter V. The following ships are
required to be fitted with VDR:

passenger ships built on or after 1st July 2002;

ro-ro passenger ships built before 1st July 2002 not later than the first
survey on or after 1st July 2002;

passenger ships other than ro-ro passenger ships built before 1st July
2002 not later than 1st January 2004; and

ships, other than passenger ships, of 3,000 GT and upwards built on or
after 1st July 2002.

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VDRs are required to meet the minimum performance standards specified by

IMO. It consists of a main unit which can be connected to a download device,
protective capsule which as minimum must house the device with records of
previous 12 hours data, external cables, reserve power source and an acoustic
beacon.

The VDR automatically maintains records of a number of parameters on the

ship for a period of the last 12 hours. These are:
Data Source
Date and Time Using a source external to the ship (GPS)
Ship’s Position Electronic positioning system
Speed (water or ground) Ship’s speed log or designated equipment
Heading Ship’s compass (Gyro)
Bridge Audio 8 microphones
Communications audio VHF and other R/T units
Radar (post display) Screen dump every 12 seconds
Water depth Echo sounder
Main alarms All mandatory alarms on the bridge
Rudder order and response Steering gear and autopilot
Engine order and response Telegraphs, controls, thrusters
Hull opening status All mandatory status information displayed on the
bridge
Watertight and fire door status All mandatory status information displayed on the
bridge
Acceleration and hull stresses Hull stress and response monitoring equipment where
fitted
Wind speed and direction Anemometer where fitted
Last 12 hour data Analysis report of data

The equipment should be approved before installation. VDR system and all
sensors shall be tested annually throughout the life of the ship. The test should
be conducted in conjunction with the relevant statutory survey, i.e., for
Passenger Ship Safety Certificate (PC), Cargo Ship Safety Certificate (CSC) or
Cargo Ship Safety Equipment Certificate (SEC). The survey must be within the
period permitted by the Harmonised System of Survey and Certification, which
is 3 months before the due date for PC, and +/- 3 months of due date for CSC
and SEC surveys. On successful completion of test and satisfactory
performance, the administration will issue a performance test certificate to the
ship which must be kept on board.

The test shall include verification of the accuracy, duration and recoverability of
the recorded data. In addition, tests and inspections shall be conducted to
determine the serviceability of all protective enclosures and devices fitted to aid
location. It is important to turn off the VDR shortly after arrival into a port where
test is to be performed to prevent any over-writing of data.

During an emergency, it is important for the master to download data,

particularly very early on into the emergency to prevent any over-writing. This is
important for investigation and evidence purposes. If the emergency situation
continues for a significant period, subsequent downloads should be performed
within 12 hours of the previous download. Some companies have procedures
for VDR data to be downloaded within periods of 12 hours in order to have
access to entire voyage data for analysis and investigation where required.

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