Transcript Regulatory Bodies - Port Fest Baltimore

Regulatory Bodies
International Regulation
Federal Regulation
Industrial Organizations
International Organizations

The United Nations






General Assembly
Secretariat
International Court of Justice
Security Council
Trusteeship Council
Economic & Social Council

Programs & Funds


Functional Commissions


UNICEF, etc.,
Commission on Human Rights, etc.,
Specialized Agencies




World Health Organization (WHO)
UNESCO
World Bank Group
International Maritime Organization (IMO)
IMO

International Maritime Organization – a U.N.
agency created to:



There are 5 IMO Committees




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.
Marine Environmental Protection Committee
 Legal Committee
Marine Safety Committee
 Techn. Coop. Comm.
Facilitation Committee
Cannot enforce its regulations, but

Depends on member states to codify its conventions &
protocols into their local laws
IMO

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 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 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 1973/1978

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 1973/1978

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 1995
Entry 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 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)



Section II - Conduct of vessels in sight of one another
(Rules 11-18)






Rule 6 - safe speed
Rule 10 - vessels in or near traffic separation schemes
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 1972
Some 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-inground (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 seaplane
STCW 1978/95
Standards 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 1978/95
The STCW Code

The regulations contained in the Convention are
supported by sections in the STCW 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.


Generally speaking, the Convention contains basic
requirements which are then enlarged upon and explained in
the Code.
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 (examples)

CHAPTER II – Standards Regarding the Master and Deck Department
 Standard of competence
1 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:
COMPETENCE
Plan and
conduct a
passage and
determine
position
KNOWLEDGE,
UNDERSTANDING AND
PROFICIENCY
METHODS FOR
DEMONSTRATING
COMPETENCE
CRITERIA FOR EVALUATING
COMPETENCE
Celestial Navigation
Ability to use celestial bodies to
determine the ship's position
Examination and assessment of
evidence obtained from one or more
of the following:
The information obtained from
navigational charts and publications is
relevant, interpreted correctly
Terrestrial and Coastal Navigation
Ability 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
. 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 primary method of fixing the
ship's position is the most appropriate
to the prevailing circumstances and
conditions
Thorough knowledge of and ability to
use navigational charts and
publications, …
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 (examples)

CHAPTER III – Standards Regarding the Engine Department
 Standard of competence
Every 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:
COMPETENCE
Maintain a
safe
engineering
watch
KNOWLEDGE,
UNDERSTANDING AND
PROFICIENCY
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
METHODS FOR
DEMONSTRATING
COMPETENCE
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
CRITERIA FOR EVALUATING
COMPETENCE
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 manufacturers' 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 (examples)

CHAPTER VI – Mandatory minimum requirements for familiarization
and basic safety training and instruction for all seafarers


Familiarization
Basic Safety Training
1 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 AVI/1-4.
COMPETENCE
(table A-VI/1)
Survive at
sea in the
event of ship
abandonment
KNOWLEDGE,
UNDERSTANDING AND
PROFICIENCY
METHODS FOR
DEMONSTRATING
COMPETENCE
Types of emergency situations which
may occur, such as collision, fire,
foundering
Types of life-saving appliances
normally carried on ships
Equipment in survival craft
Location of personal life-saving
appliances
Principles 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
CRITERIA FOR EVALUATING
COMPETENCE
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 the
prevailing circumstance and
conditions
and minimize potential dangers and
threats to survival
Federal Regulatory Bodies
United States Coast Guard (DHS) – its missions:

Maritime Safety









Aids to Navigation
Icebreaking Services
Vessel Traffic / Waterways
Management
Rules of the Road






Drug Interdiction
Alien Migrant Interdiction
Law / Treaty Enforcement
General Defense Duties
Homeland Security
Port and Waterways Security
Polar Icebreaking
Protection of Natural
Resources

Maritime Security

General Maritime Law
Enforcement
National Defense

Maritime Mobility


Search and Rescue
Marine Safety
Recreational Boating Safety
International Ice Patrol



Marine Pollution Education,
Prevention, Response &
Enforcement
Foreign Vessel Inspections
Living Marine Resources
Protection
USCG – Marine Safety Office

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 Office
Marine 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 Office
Marine Licensing

Merchant Mariners Document


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



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).
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 Regulations

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 Regulations
Of 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 Regulations

Title 46—Shipping

Chapt I—Coast Guard (subchapters with indexes)







Parts 1-40: Subchapt B (Merch Mar Officers &
Seamen): Subchapt C (Uninspected Vessels; Subchapt 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 Regulations

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 Bodies


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 Bodies

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 Organizations

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.
Classification Societies
Bureau Veritas
(BV)--France
Registro Italiano
Navale (RINA)
China Classification
Society (CCS)
(GL)--Germany
Det Norske Veritas
(DNV)--Norway
Indian Register of
Shipping (IRS)
Lloyd’s Register
(LR)--UK
Nippon Kaiji Kyokai
(NK)--Japan
Industry Organizations








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 …