Regulatory Regulatory BodiesBodies

International Regulation

Federal Regulation

Industrial Organizations

International International OrganizationsOrganizations The United Nations

General Assembly Secretariat International Court of Justice Security Council Trusteeship Council Economic & Social Council

Programs & Funds UNICEF, etc.,

Functional Commissions Commission on Human Rights, etc.,

Specialized Agencies World Health Organization (WHO) UNESCO World Bank Group International Maritime Organization (IMO)

IMOIMO International Maritime Organization – a U.N.

agency created to: Provide cooperation among governments in matters

affecting international shipping Encourage & facilitate the adoption of the highest

practicable standards in marine safety, efficiency of navigation, and prevention & control of pollution from shops.

There are 5 IMO Committees Marine Environmental Protection Committee Marine Safety Committee Facilitation Committee

Cannot enforce its regulations, but Depends on member states to codify its conventions &

protocols into their local laws

Legal Committee Techn. Coop. Comm.

IMOIMO The IMO has adopted more than 40 Conventions

Safety of Life at Sea [SOLAS 1974] Regulations for Preventing Collisions at Sea [COLREGS

1972] Standards for Training & Certification of Watchstanding

for Seafarers [STCW 1978/95] Prevention of Pollution from Ships [MARPOL 1973/78] Oil Pollution Prevention, Response & Cooperation

[OPRC 1991]

… and over 100 Codes and Protocols International Safety Management Code [ISM 1993] International Code for Safety of High-speed Craft [1994] Guide for Control & Management of Ship’s Ballast Water

[1991]

SOLAS 1974SOLAS 1974 Adoption: 1 November 1974; Entry into force: 25 May 1980

Chapter I - General Provisions Chapter II-1 - Construction - Subdivision and stability,

machinery and electrical installations Chapter II-2 - Fire protection, fire detection and fire extinction Chapter III - Life-saving appliances and arrangements Chapter IV - Radiocommunications Chapter V - Safety of navigation Chapter VI - Carriage of Cargoes Chapter VII - Carriage of dangerous goods Chapter VIII - Nuclear ships Chapter IX - Management for the Safe Operation of Ships Chapter X - Safety measures for high-speed craft Chapter XI - Special measures to enhance maritime safety Chapter XII - Additional safety measures for bulk carriers

Amended on numerous occasions including …

SOLAS 1974SOLAS 1974 The 1988 (GMDSS) amendments – Adoption: 11

November 1988; Entry into force: 1 February 1992 IMO had begun work on the Global Maritime Distress

and Safety System (GMDSS) in the 1970s and its introduction marked the biggest change to maritime communications since the invention of radio.

The June 1996 amendments -- Adoption: 4 June 1996; Entry into force: 1 July 1998 A completely revised Chapter III on life-saving

appliances and arrangements was adopted. The amendments take into account changes in technology since the Chapter was last re-written in 1983.

MARPOL 1973/1978MARPOL 1973/1978 International Convention for the Prevention of

Pollution from Ships, 1973, as modified by the Protocol of 1978 Annex I: Prevention of pollution by oil Annex II: Control of pollution by noxious liquid

substances Annex III: Prevention of pollution by harmful

substances in packaged form Annex IV: Prevention of pollution by sewage from

ships Annex VI: Prevention of  Air Pollution from Ships

Amended on numerous occasions including …

MARPOL 1973/1978MARPOL 1973/1978 The 1992 amendments – Adoption: 6 March 1992

Entry into force: 6 July 1993 The amendments to Annex I of the convention which deals with

pollution by oil brought in the "double hull" requirements for tankers, applicable to new ships (tankers ordered after 6 July 1993, whose keels were laid on or after 6 January 1994 or which are delivered on or after 6 July 1996) as well as existing ships built before that date, with a phase-in period.

The 1995 amendments – Adoption: 14 September 1995Entry into force: 1 July 1997 The amendments concern Annex V. They are designed to

improve the way the Convention is implemented. Regulation 2 was clarified and a new regulation 9 added dealing with placards, garbage management plans and garbage record keeping.

COLREGS 1972COLREGS 1972 The International Rules of the Road – Adoption:

20 October 1972; Entry into force: 15 July 1977 Part A - General (Rules 1-3) Part B - Steering and Sailing (Rules 4-19)

Section 1 - Conduct of vessels in any condition of visibility (Rules 4-10) Rule 6 - safe speed Rule 10 - vessels in or near traffic separation schemes

Section II - Conduct of vessels in sight of one another (Rules 11-18) Rule 13 - overtaking Rule 14 - head-on situations

Section III - conduct of vessels in restricted visibility (Rule 19)

Part C - Lights and Shapes (Rules 20-31) Part D - Sound and Light Signals (Rules 32-37) Part E - Exemptions (Rule 38)

COLREGS 1972COLREGS 1972Some examples …

Rule 13 covers overtaking - the overtaking vessel should keep out of the way of the vessel being overtaken.

Rule 14 deals with head-on situations. Crossing situations are covered by Rule 15 and action to be taken by

the give-way vessel is laid down in Rule 16.

Amended on numerous occasions including … The 2001 amendments – Adoption: 29 November 2001

Entry into force: 29 November 2003 The amendments include new rules relating to Wing-in Ground (WIG)

craft. The following are amended: General Definitions (Rule 3) - to provide the definition of wing-in-

ground (WIG) craft; Action to avoid collision (Rule 8 (a)) - to make it clear that any

action to avoid collision should be taken in accordance with the relevant rules in the COLREGs and to link Rule 8 with the other steering and sailing rules;

Responsibilities between vessels (Rule 18) - to include a requirement that a WIG craft operating on the water surface shall comply with the Rules as for a power-driven vessel

WIG ? – advanced technology WIG ? – advanced technology seaplaneseaplane

STCW 1978/95STCW 1978/95Standards for Certification & Watchkeeping for Seafarers Adopted: 7 July 1978; Entered into force: 28 April 1984 1991 Amendments added GMDSS requirements 1994 amendments addressed additional requirements for tanker

crews 1995 amendments completely revised the Convention entered into

force 1 February, 1997 Chapter I: General provisions Chapter II: Master-deck department Chapter III: Engine department Chapter IV: Radio department Chapter V: Special training requirements for personnel on

certain types of ships Chapter VI: Emergency, occupational safety, medical care and

survival functions Chapter VII: Alternative certification Chapter VIII: Watchkeeping

STCW 1978/95STCW 1978/95The STCW Code

The regulations contained in the Convention are supported by sections in the STCW Code. Generally speaking, the Convention contains basic

requirements which are then enlarged upon and explained in the Code.

Part A of the Code is mandatory. The minimum standards of competence required for seagoing personnel are given in detail in a series of tables. Chapter II of the Code, for example, deals with standards

regarding the master and deck department. Part B of the Code contains recommended guidance which

is intended to help Parties implement the Convention. The measures suggested are not mandatory and the

examples given are only intended to illustrate how certain Convention requirements may be complied with.

The STCW Code, Part A , Part A (examples)(examples) CHAPTER II – Standards Regarding the Master and Deck Department 

Standard of competence1 Every candidate for certification shall:.1 be required to demonstrate the competence to undertake at operational level, the

tasks, duties and responsibilities listed in column 1 of table A-II/1;.2 at least hold an appropriate certificate for performing VHF radiocommunications in

accordance with the requirements of the Radio Regulations; and … (etc.)

Excerpt from Table A-II/1:

COMPETENCEKNOWLEDGE,

UNDERSTANDING AND PROFICIENCY

METHODS FOR DEMONSTRATING

COMPETENCE

CRITERIA FOR EVALUATING COMPETENCE

Plan and conduct a

passage and determine position

Celestial Navigation Ability to use celestial bodies to determine the ship's position

Terrestrial and Coastal NavigationAbility to determine the ship's position by use of: .1 landmarks .2 aids to navigation, including lighthouses, beacons and buoys .3 dead reckoning, taking into account winds, tides, currents and estimated speed

Thorough knowledge of and ability to use navigational charts and publications, …

Examination and assessment of evidence obtained from one or more of the following:

. 1 approved in-service experience

. 2 approved training ship experience

. 3 approved simulator training, where appropriate .4 approved laboratory equipment training using: chart catalogues, charts, navigational publications, radio navigational warnings, sextant, azimuth mirror, electronic navigation equipment, echo sounding equipment, compass

The information obtained from navigational charts and publications is relevant, interpreted correctly

The primary method of fixing the ship's position is the most appropriate to the prevailing circumstances and conditions

The position is determined within the limits of acceptable instrument/system errors

The reliability of the information obtained from the primary method of position …

The STCW Code, Part A , Part A (examples)(examples) CHAPTER III – Standards Regarding the Engine Department 

Standard of competenceEvery candidate for certification as officer in charge of an engineering

watch in a manned engine-room or as designated duty engineer in a periodically unmanned engine-room on a seagoing ship powered by main propulsion machinery of 750 kW propulsion power or more shall be required to demonstrate ability to undertake at the operational level, the tasks, duties and responsibilities listed in column 1 of table A-III/1.

Excerpt from Table A-III/1:

COMPETENCEKNOWLEDGE,

UNDERSTANDING AND PROFICIENCY

METHODS FOR DEMONSTRATING

COMPETENCE

CRITERIA FOR EVALUATING COMPETENCE

Maintain a safe

engineering watch

Thorough knowledge of basic principles to be observed in keeping an engineering watch including: .1 duties associated with taking over and accepting a watch .2 routine duties undertaken during a watch .3 maintenance of the machinery space log book and the significance of the readings taken .4 duties associated with handing over a watch

Assessment of evidence obtained from one or more of the following:

.1 approved in-service experience .2 approved training ship experience 3 approved simulator training, where appropriate 4 approved laboratory equipment training

The conduct, handover and relief of the watch conforms with accepted principles and procedures The frequency and extent of monitoring of engineering equipment and systems conforms to manufact-urers' recommendations and accepted principles and procedures including basic principles to be observed in keeping an engineering watch A proper record is maintained of the movements and activities relating to the ship's engineering systems

The STCW Code, Part A , Part A (examples)(examples) CHAPTER VI – Mandatory minimum requirements for familiarization

and basic safety training and instruction for all seafarers 

Familiarization Basic Safety Training1 receive appropriate approved basic training or instruction in:.1.1 personal survival techniques as set out in table A-VI/1-1,.1.2 fire prevention and fire-fighting as set out in table A-VI/1-2,.1.3 elementary first-aid as set out in table A-VI/1-3, and.1.4 personal safety and social responsibilities as set out in table

A-VI/1-4.

COMPETENCE(table A-VI/1)

KNOWLEDGE, UNDERSTANDING AND

PROFICIENCY

METHODS FOR DEMONSTRATING

COMPETENCE

CRITERIA FOR EVALUATING COMPETENCE

Survive at sea in the

event of ship abandon-

ment

Types of emergency situations which may occur, such as collision, fire, foundering Types of life-saving appliances normally carried on shipsEquipment in survival craftLocation of personal life-saving appliancesPrinciples concerning survival

Assessment of evidence obtained from approved instruction or during attendance at an approved course or approved in-service experience and examination, including practical demonstration of competence to: .1 don a life-jacket .2 don and use an immersion suit.3 safely jump from a height into the water.4 right an inverted liferaft while wearing a life-jacket

Action taken on identifying muster signals is appropriate to the indicated emergency and complies with established procedures

The timing and sequence of individual actions are appropriate to theprevailing circumstance and conditionsand minimize potential dangers andthreats to survival

Federal Regulatory Federal Regulatory BodiesBodies Maritime Safety

Search and Rescue Marine Safety Recreational Boating Safety International Ice Patrol

Maritime Mobility Aids to Navigation Icebreaking Services Vessel Traffic / Waterways

Management Rules of the Road

Maritime Security Drug Interdiction Alien Migrant Interdiction Law / Treaty Enforcement

General Maritime Law Enforcement

National Defense General Defense Duties Homeland Security Port and Waterways Security Polar Icebreaking

Protection of Natural Resources Marine Pollution Education,

Prevention, Response & Enforcement

Foreign Vessel Inspections Living Marine Resources

Protection

United States Coast Guard (DHS) – its missions:

USCG – Marine Safety USCG – Marine Safety OfficeOffice IMO standards codified in US Law under the

jurisdiction of the USCG Marine Safety Office (MSO): Marine Inspection (MI) Marine Licensing (ML) Port Safety and Security (PSS) Marine Environmental Response (MER) Waterways Management (WWM) Recreational Boating Safety (RBS) Bridge Administration (BA).

Standards become Law when incorporated into the Code of Federal Regulations (CFR).

USCG – Marine Safety USCG – Marine Safety OfficeOfficeMarine Inspection

Certificate of Inspection describes the vessel, the route(s) that it may

travel, the minimum manning requirements, the survival and rescue craft carried, the minimum fire extinguishing equipment and lifejackets required to be carried, the maximum number of passengers and total persons that may be carried, the name of the owner and managing operator, any equivalencies accepted or authorized

Inspected Vessels include:

Large & Small passenger ships Container & General Cargo ships Tank ships Tank barges Freight barges (>15 GT) Oil spill recovery vessels Training ships Oceanographic research vessels Submersibles

Inspections include: Tailshaft Examinations Installation tests / inspections Material Inspections

(Hull, Machinery, Electrical, Lifesaving, Fire protection, Pressure vessels and boilers, Steering systems, Sanitary inspection, etc.) SOLAS compliance

USCG – Marine Safety USCG – Marine Safety OfficeOfficeMarine Licensing Merchant Mariners Document

All mariners employed aboard U.S. merchant vessels greater than 100 gt, except operators of uninspected passenger vessels, are required to have a valid U.S. Merchant Mariner’s Document (MMD).

Ratings (unlicensed) Unqualified (Entry Level) Ratings;

Ordinary Seaman, Wiper, Steward’s Dept. Qualified Ratings: AB, Lifeboatman,

QMED require minimum sea experience & a written exam

Deck Licenses Master, Chief Mate, 2nd Mate, 3rd Mate Tonnage and location (inland, near coastal, any ocean) limitations

Engine Licenses Chief Engineer, 1st Asst Engr, 2nd Asst Engr, 3rd Asst Engr, DDE Horsepower (1000 hp, 4000 hp, unlimited hp) limitations

Code of Federal Code of Federal RegulationsRegulations Organization – The CFR is divided into Titles, each

with numerous Parts. Collections of these Parts comprise the various Chapters and Sub-chapters of the Title.

Some examples: Title 3—The President Title 14—Aeronautics and Space

Chapt I—(parts 1-199) Federal Aviation Admin. Chapt V—(parts 1200-1299) NASA

Title 26—Internal Revenue Title 50—Wildlife and Fisheries

Chapt V—(parts 500-599) Marine Mammal Commission

Code of Federal Code of Federal RegulationsRegulationsOf particular interest to the Maritime Industry Title 33—Navigation & Navigable Waters

Chapt I—Coast Guard Subchapt C—(parts 60-76) Aids to Navigation Subchapt D—(parts 80-82) International Navigation

Rules (adoption of COLREGS 72) Subchapt E—(parts 84-90) Inland Navigation Rules Subchapt M—(parts 130-138) Marine Pollution

Financial Responsibility & Compensation Subchapt O—(parts 151-159) Pollution

Chapt II—Corps of Engineers Chapt III—St Lawrence Seaway Dev. Corp.

Code of Federal Code of Federal RegulationsRegulations Title 46—Shipping

Chapt I—Coast Guard (subchapters with indexes) Parts 1-40: Subchapt B (Merch Mar Officers &

Seamen): Subchapt C (Uninspected Vessels; Sub-chapt D (Tank Vessels)

Parts 41-69: Subchapt F (Marine Engineering) Parts 70-89: Subchapt H (Passenger Vessels) Parts 90-139: Subchapt I (Cargo & Misc Vessels);

Subchapt IA (Offshore Drilling Units); Subchapt J (Electrical Engineering)

Parts 140-155: Parts 156-165: Parts 166-199: Subchapt S (Subdivision & Stability);

Subchapt T (Small Passenger Vessels)

Code of Federal Code of Federal RegulationsRegulations Title 46—Shipping (cont’)

Chapt II—Maritime Administration (MARAD) Part 298—Vessel Financing Assistance (subchapter D) Part 307—Vessel Reporting System (subchapter F) Part 310—Merchant Marine Training (subchapter H)

Chapt III—Coast Guard (Great Lakes Pilotage) Chapt IV—Federal Maritime Commission

Additional Coast Guard Regulations found in Chapt IV of Title 49—Transportation along with: The National Safety Transportation Board (Chapt VII) and the Interstate Commerce Commission (Chapt X)

Federal Regulatory Federal Regulatory BodiesBodies U.S. Coast Guard

Maritime Administration (MARAD) Administers programs to aid in the development, promotion & operation of the U.S. Merchant Marine Manages the Reserve Fleet Overseas maritime training & training ships Administers subsidy programs

Federal Maritime Commission (FMC) An independent agency responsible for ensuring that U.S. international water transportation business is conducted in a fair and equitable manner. All common carrier tariffs, convention tariffs & activities, terminal

tariffs, and service contracts are filed with the FMC. Disputes are investigated and binding decisions rendered by the

FMC

Federal Regulatory Federal Regulatory BodiesBodies Surface Transportation Board (STB) Responsible for the economic regulation of the U.S. domestic fleet (formerly the responsibility of the Interstate Commerce Commission)

National Transportation Safety Board (NSTB) investigates accidents

Federal Communications Commission (FCC) Regulates interstate and international radio & satellite communications Ensures that U.S. Regulations conform to all international

radiocommunication conventions Licenses all marine radio stations Conducts annual radio station inspections Licenses vessel radio operators

Industry Industry OrganizationsOrganizations Classification Societies

Private, not-for-profit organizations establishing construction and equipment standards for ships

Insurance policies are generally not available to ships not registered “in class” with one of the societies

American Bureau of Shipping (ABS) Declared by the Merchant Marine Act of

1920 as the official classification society for U.S. flag vessels

Issues Hull Certificates & Machinery Certificates as evidence of compliance via inspections by surveyors similar to USCG inspections.

Nippon Kaiji Kyokai (NK)--Japan

Det Norske Veritas (DNV)--Norway

(GL)--Germany

Classification SocietiesBureau Veritas

(BV)--France

Lloyd’s Register (LR)--UK

China Classification Society (CCS)

Indian Register of Shipping (IRS)

Registro Italiano Navale (RINA)

Industry Industry OrganizationsOrganizations International Assoc. of

Independent Tanker Owners INTERTANKO

Oil Companies International Marine Forum (OCIMF)

Chemical Carriers' Association (CCA)

Hazardous Material Advisory Council (HMAC)

Shibuilders Council of America

The Society of Naval Architects and Marine Engineers (SNAME)

National Cargo Bureau American Association of

Port Authorities

The American Association of Exporters and Importers (AAEI)

The Association of Ship Brokers and Agents (U.S.A.), Inc

World Trade Organization Federation of

International Trade Associations

International Federation of Customs Brokers Associations

International Association of Classification Societies (IACS)

Hundreds more …