Second Mates

Competence No. 17: Monitor compliance with

legislative requirements
17.1      To demonstrate basic working knowledge of the
relevant IMO convention concerning SOLAS, MARPOL, Load
Line, ISM Code, ISPS Code and STCW-95 with regards to
contents, objectives, application, amendments.

17.2      Code of Safe working practices for Merchant Seamen

17.3      Indian Merchant Shipping Act and Rules: Statutory

surveys and certificates and preparations for the same.

17.4      Classification Society surveys and certificates -

Preparations for the same.
IMO convention concerning SOLAS, MARPOL, Load Line, ISM Code, ISPS Code and
STCW-95 with regards to contents, objectives, application, amendments.

The maritime industry’s most important concerns are the safety of personnel and
prevention of marine pollution for smooth cargo transportation and marine operation at
high seas. To achieve this, the International Maritime Organization (IMO) relies on its two
very strong pillars: SOLAS & MARPOL – The International Conventions for safeguarding
human life and marine environment from all kinds of pollutions and accidents.

What is SOLAS Convention?

The word SOLAS is an abbreviation and SOLAS full form is “Safety Of Life At Sea”, an
international maritime treaty, also known as SOLAS Convention or International
Convention for the Safety of Life at Sea (SOLAS), which establishes the least safety
measures in the construction, equipment and operation of merchant ships.
Chapter I – General Provisions: Surveys and certification of all the safety items etc are included.

Chapter II-1 – Construction – Subdivision and stability, machinery and electrical installations: Deals with
watertight integrity of the ship, especially for passenger vessel.

Chapter II-2 – Fire protection, fire detection and fire extinction: This chapter elaborates the means and
measures for fire protection in accommodation, cargo spaces and engine room for the passenger, cargo and
tanker ship.

Chapter III – Life-saving appliances and arrangements: All the life-saving appliances and their use in
different situations is described.

Chapter IV – Radio communications: Includes requirements of GMDSS, SART, EPIRB etc for cargo and
passenger vessel.

Chapter V – Safety of navigation: This chapter deals with all the seagoing vessels of all sizes, from boats to
VLCCs, and includes passage planning, navigation, distress signal etc.

Chapter VI – Carriage of Cargoes: This chapter defines the storage and securing of different types of cargo
and containers, but does not include oil and gas cargo.
Chapter VII – Carriage of dangerous goods: Defines the International Maritime Goods Code for storage and
transportation of dangerous goods.

Chapter VIII – Nuclear ships: The code of safety for a nuclear-propelled ship is stated in this chapter.

Chapter IX – Management for the Safe Operation of Ships: The International Safety Management Code for ship
owners and operators is described clearly.

Chapter X – Safety measures for high-speed craft: safety code for the high-speed craft is explained.

Chapter XI-1 & 2– Special measures to enhance maritime safety: Special and enhanced survey for safe operation,
other operational requirements and ISPS code is briefed in this chapter.

Chapter XII – Additional safety measures for bulk carriers: Includes safety requirement for above 150 meters length
bulk carrier.

Chapter XIII – Verification of Compliance

Chapter XIV -Safety Measures for Ships Operating in Polar Waters

SOLAS Amendments

The current version of SOLAS is the 1974 version, known as SOLAS 1974, which came into force on 25 May 1980. As of
November 2018, SOLAS 1974 had 164 contracting states, which flag about 99% of merchant ships around the world in
terms of gross tonnage.

SOLAS in its successive forms is generally regarded as the most important of all international treaties concerning the
safety of merchant ships.

Below is a list of recent SOLAS amendments:

1981 Amendments (steering gear) (MSC.2(XLV)) 1 September 1984

1988 (GMDSS Amendments) (Conference resolution) 1 February 1992
Protocol of 1988 relating to the International Convention for the Safety of Life at Sea, 1974 (SOLAS PROT (HSSC) 1988) 3
February 2000
2000 (appendix to the Annex) Amendments (MSC.92(72)) 1 January 2002
2000 (appendix to the Annex) Amendments (MSC.100(73)) 1 July 2002
2002 Amendments (MSC.124(75)) Modifications and additions to the appendix to the annex to SOLAS, 1974 1 January
2004
2004 Amendments (MSC.154(78)) Modifications and additions to the appendix to the annex to SOLAS, 1974 [1 July 2006]
2004 Amendments (MSC.171(79)) Modifications and additions to the appendix to the annex to SOLAS, 1974 [1 July 2006]
2005 Amendments: Modifications and additions to chapter II- 1 (Parts A, B and B-1) [1 January 2007]
2006 Amendments (LRIT): A new regulation on LRIT in SOLAS, 1974, chapter V on Safety of Navigation [1
January 2008]
2006 Amendments: Modifications and additions to SOLAS, 1974, chapters II-2, III, IV, V [1 July 2010]
2006 Amendments: Modifications and additions to the International Code for Fire Safety Systems (FSS
Code) [1 July 2010]
2006 Amendments: Modifications and additions to the International Life-Saving Appliance Code (LSA
Code) [1 July 2010]
2006 Amendments: Modifications and additions to Guidelines for the authorizations acting on behalf of
the Administration (Resolution A.739(18)) [1 July 2010]
2007 Amendments: Modifications and additions to SOLAS, 1974, chapters IV, VI and to the annex to the
1988 SOLAS Protocol [1 July 2009]
2008 Amendments: Modifications and additions to SOLAS, 1974, chapters II, VI, XI [1 January 2010]
2008 Amendments: Amendments to the SOLAS Convention and to the 1988 Load Lines Protocol to make
mandatory the International Code on Intact Stability 2008 (IS Code) [1 July 2010]
2009 Amendments: Amendments to the SOLAS, 1974 regulation V/19 [1 January 2011]

NEXT SLIDE – RECENT AMENDMENTS

A set of important amendments to the International Convention for the Safety of Life at Sea (SOLAS) and
various codes mandatory under the Convention enter into force on 1 January 2020.

They include:

Addressing lifeboat maintenance - preventing accidents with lifeboats

Amendments to SOLAS regulations III/3 and III/20 make mandatory the Requirements for maintenance, thorough
examination, operational testing, overhaul and repair of lifeboats and rescue boats, launching appliances and
release gear.

This package of provisions aims to prevent accidents with survival craft and addresses longstanding issues such
as the need for a uniform, safe and documented standard related to the servicing of these appliances, as well as
the authorization, qualification and certification requirements to ensure that a reliable service is provided.

The intention is to ensure that seafarers are confident that they can fully rely on the survival craft at their
disposal, which should comply with applicable SOLAS requirements.
Subdivision and damage stability

A set of amendments to SOLAS chapter II-1 relating to subdivision and stability enter into force, amending, among
other things, the regulations on the required subdivision of passenger ships to increase their safety, as well as
regulations related to the stability information to be provided to a ship's master.

The amendments were developed following a substantive review of SOLAS chapter II-1, focusing in particular on new
passenger ships. The review took into account recommendations arising from the investigation into the 2012 Costa
Concordia casualty.

Planning for evacuation on cruise ships

Requirements for all new passenger ships carrying more than 36 passengers to be built with evacuation analysis early in
the design process come into force.

The amendments to SOLAS regulation II-2/13 extend the requirements for evacuation analysis to all passenger ships,
not just ro-ro passenger ships. The analysis should be used to identify and eliminate, as far as practicable, congestion
which may develop during an abandonment due to normal movement of passengers and crew along escape routes,
including the possibility that crew may need to move along these routes in a direction opposite to the movement of
passengers. In addition, the analysis should be used to demonstrate that escape arrangements are sufficiently flexible
to provide for the possibility that certain escape routes, assembly stations, embarkation stations or survival craft may
not be available as a result of a casualty.
Expanding maritime satellite communications equipment providers

Amendments to chapter IV of SOLAS and some codes provide for a "recognized

mobile satellite service" to be installed for maritime distress and safety
communications. Previously, the regulations specified an Inmarsat device.

NEXT SLIDE – Class (DNV) update

A. SOLAS UPDATES
Subdivision and stability
The most significant 2020 changes raise the damage stability requirements for new passenger ships in the event of
flooding caused by collision or grounding.

Other parts of SOLAS Ch. II-1 have been updated to better capture the probabilistic damage stability approach
introduced by SOLAS 2009 for cargo and passenger ships, and to include lessons from the 2012 Costa Concordia
accident. Main updates to passenger ships include:

Improved survivability – Increased capability for new passenger ships to remain stable and afloat in case of flooding after
collision or grounding. Stricter requirements for Ro-Ro passenger ships to withstand flooding of large open vehicle
spaces.
Emergency information – Updated stability information to be available to the master after flooding, also for passenger
ships built before 2014, either by on-board stability computers or shore-based support.
Damage control drills – Damage control drills shall take place every three months on all passenger ships.
Highlights for both cargo and passenger ships include removal of flag Administrations' possibility to accept permanent
open watertight doors on a case-by-case basis. The 2020 requirements further allow more flexible handling of stability
limits with respect to trim.

Fire safety
The 2020 updates to SOLAS Ch. II-2 require helicopter landing areas on cargo and passenger ships to be provided with
foam firefighting appliances, as for dedicated helicopter decks.
Fire safety requirements for “regular” cargo spaces (non-vehicle spaces) used to transport vehicles with fuel in
their tanks for their own propulsion are further clarified and harmonized with the requirements for the carriage
of dangerous goods.

The fire integrity of windows facing survival craft, embarkation and assembly stations on passenger ships are
clarified, in effect relaxing the requirement to A-0 for ships carrying not more than 36 passengers.

Life-saving appliances
The 2020 updates to SOLAS Ch. III require the thorough examination, operational testing, repair and overhaul of
lifeboats, rescue boats, launching appliances and release gear to be carried out by authorized service providers.
The purpose is to prevent injury to crew participating in lifeboat and rescue boat drills and inspections, and to
ensure the quality level of the servicing.

Radio communication
SOLAS Ch. IV has been amended to refer to generic mobile satellite system instead of “Inmarsat” to allow for
future new providers of such services.
MARPOL 73/78 is one of the most important international marine environmental conventions
the International Convention for the Prevention of Pollution from Ships, and is the internation
treaty regulating disposal of waste generated by the normal operation of vessels.  The original
MARPOL Convention was signed on February 17, 1973, but did not come into force.

The current Convention is a combination of the 1973 Convention and the 1978 Protocol.  Ther
the convention was formed a result of the combination of two treaties adopted in 1973 and 19
respectively and thus the name MARPOL 73/78. (“MARPOL” is short for marine pollution and “7
is short for the years 1973 and 1978.) MARPOL 73/78 became effective on October 2, 1983.

MARPOL 73/78 aims to minimize pollution of the seas, including dumping, oil and exhaust pollution. Its stat
object is “to preserve the marine environment through the complete elimination of pollution by oil and othe
harmful substances and the minimization of accidental discharge of such substances.”

All countries that are signatories to MARPOL 73/78 are bound to follow its requirements, regardless of wher
ships sail, and they are also responsible for vessels registered under their respective nationalities.

The Convention includes regulations aimed at preventing and minimizing pollution from ships – both accide
pollution and that from routine operations. MARPOL contains 20 Articles and 6 annexes. The areas covered
Annex is as follows
The MARPOL Convention annexes

MARPOL residues/waste are classified by five annexes:

MARPOL ANNEX I: Prevents the pollution by hydrocarbons. It refers to ballast water polluted with crude oil, ballast water
polluted with oily products, and oily mixtures from the bilge in the engine room or from the fuel and oil purifying
equipment.
MARPOL ANNEX II: Regulations for the control of pollution by noxious liquid substances in bulk. It refers to ballast water,
liquid substances from tank cleaning and mixtures that contain dangerous substances.
MARPOL ANNEX III: Regulations for the prevention of pollution by harmful substances carried by sea in packaged form.
This includes freight containers, portable tanks or road and rail tank wagons or other forms of containment. Any rest of the
load that remains on board once the unloading and cleaning procedures are finished, including the residues and spilling
originated during the loading and unloading operations.
MARPOL ANNEX IV: Regulations for the prevention of pollution by sewage from ships: drainage and other wastes from any
form of toilets, urinals, and WC scuppers; drainage from medical premises (dispensary, sick bay, etc.) via wash basins, wash
tubs and scuppers located in such premises; drainage from spaces containing living animals; or other waste waters when
mixed with the drainages defined above.
MARPOL ANNEX V: Regulations for the prevention of pollution by garbage from ships. Garbage includes all kinds of food,
domestic and operational waste, all plastics, cargo residues, incinerator ashes, cooking oil, fishing gear, and animal
carcasses generated during the normal operation of the ship and liable to be disposed of continuously or periodically.
Garbage does not include fresh fish. The greatest danger comes from plastic, which can float for years. Fish and marine
mammals can in some cases mistake plastics for food and they can also become trapped in plastic ropes, nets, bags… Ships
might have onboard incinerators to eliminate garbage and other shipboard waste.
MARPOL ANNEX VI: Prevention of air pollution from ships.
LOAD LINE

WHAT ARE THE PRINCIPLES OF THE LOAD LINE CONVENTION?

The four principles of the International Convention on Load Lines, 1966 as modified by the Protocol of 1988 relating thereto,
(hereafter: LL66/88) can be summarised as:

1. Adequate structural strength

2. Protection of safe means of access for the crew
3. Watertight integrity of ship's hull below freeboard deck
4. Preserve reserve buoyancy by establishing minimum permissible freeboards

-----------------------------------------------------------

Merchant ships have a marking on their hull know as the Plimsoll line or the Plimsoll mark, which indicates the limit until
which ships can be loaded with enough cargo, internationally, the Plimsoll line on a ship is officially referred to as the
international load line. Every type of ship has a different level of floating and the Plimsoll line on a ship generally varies from
one vessel to another.
All vessels of 24 meters and more are required to have this Load line marking at the centre position of the length of summer
load water line.
There are two types of Load line markings:-
Standard Load Line marking – This is applicable to all types of vessels.
Timber Load Line Markings – This is applicable to vessels carrying timber cargo.
These marks shall be punched on the surface of the hull making it visible even if the ship side paint fades out. The marks shall
again be painted with white or yellow colour on a dark background/black on a light background.
1.The complete Load line markings consist of 3 vital parts: 
Deck Line – It is a horizontal line measuring 300mm by 25mm. It passes through the upper surface of the freeboard.
2.Load Line Disc-It is 300mm diameter and 25mm thick round shaped disc. It is intersected by a horizontal line. The
upper edge of the horizontal line marks the ‘Summer saltwater line’ also known as ‘Plimsol Line’.
3.Load Lines – Load lines are horizontal lines extending forward and aft from a vertical line placed at a distance of
540mm from the centre of the disc. They measure 230mm by 23mm. The upper surfaces of the load lines indicate the
maximum depths to which the ships maybe submerged in different seasons and circumstances.
S – Summer:- It is the basic freeboard line at the same level as the Plimsol Line. Other load lines are marked based on
this Summer freeboard line.
T – Tropical:- It is 1/48th of summer draft marked above the Summer load line.
W – Winter:- It is 1/48th of summer draft marked below the Summer load line.
WNA – Winter North Atlantic:- It is marked 50mm below the Winter load line. It applies to voyages in North Atlantic
( above 36 degrees of latitude) during winter months.
F – Fresh Water:- It is the summer fresh water load line. The distance between S and F is the Fresh Water Allowance
(FWA).
TF – Tropical Fresh Water:- It is the fresh water load line in Tropical. It is marked above the T at an amount equal to
FWA.
Certification:
Every ship that has been surveyed and marked in accordance with the present Load line convention are issued by the
authorized administrator, an International Load Line Certificate. The certificate will have a validity of not more than 5
years and will contain all vital information that includes the assigned freeboard and fresh water allowance.
It is to be noted that, after completion of a load line survey and issuance of the certificate; no changes shall be made to the
superstructure, markings, equipment or arrangements that have been covered under the survey. If such changes need to be
made, the authorized authority conducting the survey shall be contacted.

Under what circumstances can the International Load Line Certificate cease to be valid? VALID?
The ILLC can become invalidated when any of the following conditions arise:

Material alterations have been made to the hull or to the superstructure that would necessitate a reassignment of the
freeboard.
Fittings and appliances mentioned in the Conditions of Assignment are not maintained in an effective condition.
The certificate is not endorsed to attest that the ship has been correctly surveyed in accordance with the required survey
schedule.
The structural strength of the ship is depleted to such an extent that the ship is unsafe.
The fundamental purpose of a Load Line is to allow a maximum legal limit upto which a ship can be loaded. By
prescribing such limits, the risk of having the vessel sailing with inadequate freeboard and buoyancy can be limited.
A vessel should be having sufficient freeboard at all times, any exceptions made will result in insufficient stability
and excessive stress on the ship’s hull. This is where load lines play an important role, as it makes the task of
detecting whether the vessel is overloaded and it’s freeboard tremendously easy and effortless.
However, since the buoyancy and immersion of the vessel largely depend on the type of water and it’s density, it is
not practical to define a standard freeboard limit for the ship at all times. For this reason, the convention has put
regulations which divides the world into different geographical zones each having different prescribed load line.
For example, A vessel sailing in Winter on North Atlantic Ocean will have a greater freeboard than on a voyage in
Tropical Zones and Freshwaters.

Technically, no ship is able to absolutely float above, as it travels across the waters. A certain portion of the ship is
always immersed in the sea water and the level of submerging decided by the gross weight of the respective ship.
Even the type of water in which the ship is floating influences the application of the load line. Sometimes even the
oceanic regions and changing seasons affect the Plimsoll mark, as well. Researchers have found out that the
temperature and salinity of the water also plays a key role in deciding the height until which the ship can be loaded.
Importance of Load Line Ship:
They indicate the density of seawater, which determines how
much lift force the water can apply to the ship. So, basically, the
lines show how much cargo a ship can hold in different water
bodies.
What is ISM ? Purpose and implementation of ISM code on board cargo ships

ISM is the short form of International Safety Management , initiated by IMO. ISM code means International Safety
management code for safe operation ships & for pollution prevention. Solas chapter 9 outlined ISM procedures.Majority of
accidents and injury are caused by human error & poor management. ISM is organized mainly to reduce this error. ISM is
meant for standard of safety & operation of ships and for pollution prevention. Become mandatory for all vessels after 1 JULY
2002. ISM Consists of 13 clauses:-

i) General objective, application, functional requirement

ii) Safety & environmental policy & SMS

iii) Company responsibility

iv) Designated person

v) Masters responsibility

vi) Resources & personnel

vii) Developments of plans for shipboard operation

viii) Emergency preparedness

ix) Report & analysis on non conformities, accidents & hazardous occurrence

x) Maintenance of ship equipment

xi) Documentation

xii) Company verification, review & evaluation

xiii) Certification, verification & control

What are the benefits gained from ISM ?

Safety consciousness

Safety culture

Greater confidence

Favourable insurance premium

Cost saving
Purpose Of ISM code & international
requirements

To provide an international standard for the safe

management and operation of ships and for
prevention of pollution. Main objectives are to
ensure safety at sea, prevention of human injury
or loss of life, and avoidance of damage to the
environment.
The Document Of Compliance (DOC)

i) will be issued to the company following a successful audit of the shore side aspects of the Safety
Management System

ii) evidence required that the system as been in operation on at least one type of ship in the
companies fleet for a period of three months.

iii) Specific to ship types at time of audit

iv) valid for 5 years

v) subject to annual verification ( within 3 months of anniversary date)

The Safety Management Certificate (SMC)

i) issued to each ship following audit

ii) evidence that SMS has been in operation for 3 months prior to audit

iii) valid DOC required

iv) valid for 5 years

Subject to one verification between the second an third anniversaries with a provison for more
frequent audits if necessary. This is more likely in the early days of ISM Code implementation.
Temporary certification- A 12month valid DOC may be issued to a newly formed company or a
company acquiring a new type of vessel as long as they have a SMS meeting the minimum
requirements of the ISM code and can demonstrate plan for full compliance.

A six month valid SMC may be issued to a new building or when a company takes of the
responsibilities for the running of a vessel.
Safety Management System

Safety Management objectives of the company:

1. provide for safe working practices and a safe working environment

2. establish safeguards against possible risks

3. continuously improve safety management skills of personnel ashore and aboard ships,

A Safety Management system (SMS) meeting the requirements of the ISM code requires a company
to document its management procedures and record its actions to ensure that conditions, activities
and tasks that affect safety and the environment are properly planned, organised, executed and
checked. A SMS is developed and implemented by people and clearly defines responsibilities,
authorities and lines of communication. A SMS allows a company to measure its performance against
set criteria hence identifying areas that can be improved. The increase in Safety Management skills
improves morale and can lead to a reduction in costs due to an increase in efficiency and a reduction
in claims
The safety management system should ensure;

i) compliance with mandatory rules and

regulations

ii) applicable codes and guidelines both statutory

and organisational are taken into account.

iii) Promulgation and understanding of company

and statutory regulations and guidelines. (It is the
task of a visiting surveyor to test the general
knowledge of company and statutory regulations
and instructions)
The functional requirements for a safety management system;

1. a safety and environmental policy

2. instructions and procedures to ensure that safe operation of the vessel in compliance with relevant
international and flag state legislation

3. defined levels of authority and communication between shore and ship personnel

4. procedures for reporting accidents and non-conformities with the code

5. procedures for responding to emergency situations (drills etc)

6. procedures for internal audits and management reviews

7. A system is in place for the on board generation of plans and instructions for key shipboard
operations. These tasks may be divided into two categories :

a) Special operations-those where errors only become apparent after a hazardous situation or accident
has occurred. E.g. ensuring water tight integrity, navigational safety(chart corrections, passage
planning), maintenance operations, bunker operations

b) Critical shipboard operations- where an error will immediately cause an accident or a situation that
could threaten personnel, environment or vessel. e.g. navigation in confined waters, operation in
Objective of ISM

1. Safety at sea.
2. Prevention of human injury or loss of life.
3. Avoidance of damage to the environment & to the property.

Certificate under ISM:

1) Document of compliance (DOC).

2) Safety management certificate (SMC).

DOC : Issued to company which comply with the requirement of ISM.

SMC : Issued to the ship. Which company ship board management operate in accordance
with the SMS.

Issuing authority of DOC & SMC:

Flag state administration or authorized classification societies on their behalf.

SMS - Safety management system enabling the company personal to effectively implement
company safety & environment protection policy.

DPA means Designated Person Ashore. A person who is provides a link between the
Documentation

1. The company should establish and maintain procedures for the control of all documentation
relevant to the SMS. This should include;

1. valid documents are available at all relevant locations

2. changes to documents are reviewed and approved to authorised personnel

3. obsolete documents are promptly removed

All documents, carried in a company approved relevant form, should be present on board

Company verification, review and evaluation

1. The company should carry out periodic audits to verify that safety and pollution prevention's
are complying with SMS. The audits and corrective actions should be carried out as per laid down
procedures.

2. Personnel carrying out the audits should be independent of the areas that they are carrying
out the audit unless size of the company is such that this is impractical.

3. Deficiencies or defects found should be brought to the attention of the personnel in that
ISPS Code Implementation

The sea is a very vulnerable place with easy access to terrorist and pirate attacks, as there are not any
boarders or limits to the activities taking place at the ocean and open seas, thus mariners face a big threat
even if they operate at ports or onboard vessels. As an act to defeat one of the most challenging dangers of
nowadays, IMO, under SOLAS Convention Chapter XI-2, developed the International Ship and Port Facility
Code – the ISPS Code, a comprehensive set of measures to enhance the security of ships and port facilities.
The Code was adopted on 12 December 2002 and came into force on 1 July 2004; it is applicable to all
vessels over 500 GRT operating on international trades, as well as the ports that service them.
ISPS Code: Key elements

ISPS Code is divided into two sections: Part A, which is a mandatory section, includes the maritime and port
security-related requirements which should be followed respectfully by the governments, port authorities and
shipping companies, while Part B provides guidelines on how to meet these requirements.

The main objectives of the ISPS Code include:

enables the detection and deterrence of security threats within an international framework
establishes roles and responsibilities
enables collection and exchange of security information
provides a methodology for assessing security
ensures that adequate security measures in place
Scope of ISPS Code is to ensure that adequate security measures are followed on board ships and in ports as well.

Except for the non-mandatory Part B, ISPS Code is framed by a variety of related IMO resolutions, circulars and
letters, which actually are guides to be used by port facility personnel, company personnel or on-board personnel
with security duties, assisting their activities.
Key personnel

Responsible for the implementation of ISPS requirements is the designated personnel established by the
Code. The personnel assigned with these duties is in charge to assess, prepare and implement the effective
security plans in order to prevent or manage accordingly security threats.

The Port Facility Security Officer (PFSO) is an authorized officer at port who is responsible for the
development, implementation and maintenance of port facility security plan. PFSO is also responsible for
liaison with the SSO and CSO.
The Ship Security Officer (SSO) is an authorized person on board the ship, designated by the company and
is responsible to implement and maintain the ship security plan and the overall security of the ship. Also, is
responsible to contact with other designated persons, PFSO and CSO.
The Company Security Officer (CSO) is a person designated by the company and is charged with the duty to
ensure that ship security assessment is carried out properly. Moreover, is responsible to develop the ship
security plan, submit it for approval and ensure that it is implemented as appropriate. Last but not least,
CSO is responsible to communicate with the SSO and PFSO.
There are three levels in ISPS:

LEVEL-1 :Background level of threat that is normal operating condition .Maintaining minimum appropriate protective
security measure at all time.

LEVEL-2 :Heightened threat but no defined target. Maintain additional protective security measure for period of time.

LEVEL-3 :High level of threat against a specific target. Further high level of security measure maintained for a limited
period of time.

SECURITY MEASURE:

Level -1

1) Adequate deck & over side lighting.

2) Crew member should be issued photo identification.
3) Access on & off the vessel should be control & all person identify.
4) Access to certain area of the vessel to be limited with key control.
5) Unused room or space should be kept locked.
6) Periodic inspection/patrol should be made a regular interval.
Level -2

In addition to level -1

1) Occasional search should be made at random interval.

2) Access of all visitors to the vessel should strictly control.
3) Close security to be paid on deliveries and stores.
4) Baggage should not be unattended.
5) Check should make on seal on container & other cargo.
6) No person other than crew member should be allowed on bridge or E/R.
7) Maintain close liaison with shore concerned.
8) All crew members should be reminded of bomb alert security of the vessel.

Level-3
In addition to level 1 & 2 :
1) Limiting access to a single & controlled access.
2) Granting access only to those responding to the security incident.
3) Carry out full or partial search of the ship.
4) Suspending cargo handling operation.
5) Tighten security patrol of the vessel.
6) Crew member should be briefed on seriousness of the situation.
RESTRICTED AREA:

1) Navigation room
2) Radio room
3) Engine room
4) Steering room
5) Emergency generator area
6) Bow thruster
7) Fire control room
8) Crew accommodation area
9) Ventilation, air conditioning equipment room,
10) Similar key area which is essential to safe operation of ship.
ISPS Code: Challenging areas

By the time it officially adopted in 2004, ISPS Code has arisen some questions concerning its implementation.

A very common issue related to ISPS Code has mostly to do with the relationship between it and the ISM Code about
which is more important – safety or security? In shipping, both safety and security are equally needed. However, the
implementation of both Codes means additional costs for operators and sometimes this leads to a dilemma on what is
more important to be maintained.

In general, an operator could have a secure ship that is not safe, which in turn could lead to the ship being lost, no
matter how secure it is. On the other hand, if the ship is not secure, it can be lost due to acts of piracy and other related
matters. If in the professional judgement of the Master, a conflict between any safety and security requirements
applicable to the ship arises during its operations, the Master shall give effect to those requirements necessary to
maintain the safety of the ship. In case of conflicts between safety and security “SAFETY” prevails to security as per ISPS
code.
Another challenge related to the security of the fleet is the actual absence of an official monitoring procedure
regarding security issues, as there are not Office audits conducted from internal or external, like ISM audits.
This also happens with PSC inspections. Except for USCG ports where PSC officers focus on security items,
inspections at other ports worldwide seem to pass by security issues. This handling of security parameters
results in the neglect of the security practices by vessels’ crew and even by the operating company.

There should also be noted that because of the numerous confidential information included in Ship Security
Plan, sometimes maintenance, amendments and revision are difficult to take place.

Furthermore, since ISPS code is based on 9/11 outcome and the early piracy activity in the area of Somalia, no
amendments or revisions have been made to the code and new types of security threats have not been
identified and incorporated (i.e. attacks on Tankers in the area of Persian gulf, Hormuz straight etc).
What does STCW Convention really stand for?

STCW Convention stands for Standards of Training, Certification, and Watchkeeping. The reason for them is, among other
things, to keep you, a seafarer, safe while at sea.

The standards were first adopted in 1978; to come into force they had to be ratified by 25 nations, with the condition
that these nations had at least 25% of the gross world tonnage of ships 100 gross tons or more. The standards came into
effect in April 1984 when the condition was met. Amendments were made in 1995 that came into force in February
1997. Further amendments were adopted in 2010 and came into force in January 2012. As of 2018, 164 nations,
representing 99.2 percent of world shipping tonnage, have ratified the STCW.

The standards are enforced by the International Maritime Organization (IMO), which was created in 1948 and came into
force in 1958. In addition to enforcing the STCW, the IMO has created and/or oversees numerous international
agreements concerning the seas, including the International Convention for the Prevention of Pollution from Ships
(MARPOL), the International Convention for the Safety of Life at Sea (SOLAS), the International Mobile Satellite
Organization (IMSO), and the Convention for the Suppression of Unlawful Acts (SUA) Against the Safety of Maritime
Navigation.
Why was the STCW Convention created?
Prior to 1978, standards for training of seafarers, certification standards, watchkeeping standards, and other
standards for seafarers were put in place by the various states that had merchant fleets. Consequently, standards
differed significantly even though the merchant fleets operated in the same waters and ports. Further, ships are
often crewed by seafarers who are not nationals of the country in which the ships are registered, and of course, the
seafarers are commonly not nationals of the numerous countries in which port calls are made by any one ship. As a
result, there were occasional issues with ships being delayed in ports and disputes between nations regarding
enforcement of standards, not to mention safety issues. By 1978, with shipping tonnage growing, it was time to
deal with these issues.

The 1995 amendments were mostly administrative in nature, especially with respect to nations better
communicating with the International Maritime Organization (IMO) to allow it to better oversee and enforce the
standards.

The 2010 amendments were aimed primarily at keeping seafarers current with new technology and also added
security training in light of increased problems with the hijacking of ships by pirates. The list of changes included:
Measures designed to reduce fraud regarding certifications and greater monitoring of compliance with
the convention;
New standards with respect to work and rest hours, medical fitness requirements, and prevention of
alcohol and drug abuse;
New training and certification requirements for able seafarers and electro-technical officers, and for all
crew in marine environment awareness, leadership and teamwork, and security including what to do
during a pirate attack;
New recommended training for crew operating Dynamic Positioning Systems, for the crew onboard
vessels steaming in polar waters, and related to new technologies such as electronic charts and
information systems (ECDIS);
Updated competence requirement for all crew serving on all types of tankers.
Thus, safety as sea through better oversight by the IMO was the main goal of the 1995 amendments,
safety by way of improved standards and training for the crew were the main goals of the 2010
amendments.
Code of Safe working practices for Merchant Seamen

Objectives:
· Enumerate and define the four sections of the Code of Safe Working Practices.
· Give in summary the 33 Chapters under these sections.
Introduction:
This research paper aims to summarize the Code of Safe Working Practices for Merchant Seamen. In order to avoid
accident, knowledge of different aspects in the ship is needed in order to acquire safe navigation with accordance to
the regulations imposed by the international, national and local ordinance.
The term seaworthiness of the ship, as defined as the ability of the ship to standout in adverse weather,
could be attained through information laid by the Code of Safe Working Practices for Merchant Seamen.

SECTIONS

Section 1 is largely concerned with safety management and the statutory duties underlying the advice in the
remainder of the Code. All working on board should be aware of these duties and of the principles governing the
guidance on safe practice which they are required to follow.
Section 2 begins with a chapter setting out the areas that should be covered in introducing a new recruit to the
safety procedures on board. It goes on to explain what individuals can do to improve their personal health and
safety.
Section 3 is concerned with various working practices common to all ships.
Section 4 covers safety for specialist ship operations.
Classification societies – what, why and how?

The purpose of a Classification Society is to provide classification and statutory services and assistance to
the maritime industry and regulatory bodies as regards maritime safety and pollution prevention, based on the
accumulation of maritime knowledge and technology.

The objective of ship classification is to verify the structural strength and integrity of essential parts of
the ship’s hull and its appendages, and the reliability and function of the propulsion and steering systems,
power generation and those other features and auxiliary systems which have been built into the ship in order
to maintain essential services on board. Classification Societies aim to achieve this objective through the
development and application of their own Rules and by verifying compliance with international and/or national
statutory regulations on behalf of flag Administrations.

Classification Rules are developed to establish standards for the structural strength of the ship’s hull and its
appendages, and the suitability of the propulsion and steering systems, power generation and those other
features and auxiliary systems which have been built into the ship to assist in its operation.
Requirements and Purpose of a Classification Society
The requirement of a Classification Society is to provide
classification, statutory certification and services as a
Recognised Organisation acting on behalf of a flag
Administration, and assistance to the maritime industry and
regulatory bodies as regards maritime safety and pollution
prevention, based on the accumulation of maritime knowledge
and technology..

Its purposes are

To publish its own classification rules in relation to the design

construction and survey of ships;
To apply, maintain and update these rules and regulations;
To verify compliance with these rules during construction and
periodically during a classed ship’s life;
To publish a register of classed ships;
Classification societies carry out inspections and surveys of the ship at all stages of its building, development and
operation to ensure that the design of the ship, the components/parts/material used and all the machinery installed on
the ship meets the standards..

A Classification Certificate is issued by the Classification Society for the inspections and surveys done and this certificate
is required to be present on board the ship for any inspections by Port State Controls or other authorities from time to
time..

An example of a Classification Certificate can be seen at next slide

What is a Safety Committee on Ships?

In order to ensure that the ship and its crew follows all safety procedures while doing
work and maintains a safe working environment, a safety committee is formed on ships
under the chairmanship of the master.

The safety committee comprises of the safety officer and the safety representative along
with other competent persons. More crew members can be included in the committee if
the need arise.

The safety committee works with the sole goal of enhancing the safety standard on
board ships by ensuring that all safety procedures and practices are followed by the
ship’s crew members.

Main tasks of the safety committee are:

To ensure that safe working practices and standards are followed on the ship and are
not compromised at any cost

To improve the standards of safety by enhancing safety-first attitude among crew

members
To make recommendations regarding enhancement of occupational health and safety measures on ships
To act as the representative of the crew to address concerns and queries to the ship management
Inspect safety officer’s records
To take appropriate actions pertaining to occupational health and safety policies

To keep a record of safety meetings, suggestions, progress, and actions taken

To ensure that necessary safety tools and equipment are available to the crew members, along with safety
publications

To look into the accuracy of accident reports

To make sure that safety meetings are held every 4 to 6 weeks or whenever need arise

All the records of the committee are properly noted down in official log book

Safety committee is an important body on board ships. It has the same powers under the regulations as those
possessed by safety representatives.
Safety Officer Onboard – Definition, Duties and Powers

Definition of Safety Officer

Safety Officer onboard the vessel is an appointed safety adviser who promotes safety onboard by carrying out
inspections, identifying hazards and potential hazards to health, safety and the environment with subject to the
agreement of the Master. The safety officer should be familiar with the principles and practice of risk assessment
and should be available to advise those preparing and reviewing risk assessments. It is recognised that where the
safety officer also has other responsibilities (e.g. chief officer) they may well conduct risk assessments themselves.
However, the general principle is that the safety officer takes an independent view of safety on behalf of the
Company.

The safety officer must undergo sufficient training, have experience or knowledge and other qualities to enable him
or her properly to undertake the duty.

Duties of a Safety Officer

The safety officer’s role should be a positive one, seeking to initiate or develop safety measures before an incident
occurs rather than afterwards.

The safety officer should do the following:

Improve the standard of safety consciousness among the crew and ensure that the provisions of the Code of Safe
Working Practices and safety instructions, rules and guidance for the ship relating to health and safety are complied
with.
Be on the lookout for any potential hazards and the means of preventing incidents.
Where the unsafe practice is observed, approach the individual or responsible officer concerned to suggest
improvements in the method of working or use the safety committee to discuss examples of dangerous or unsafe
practices in a particular area. If this brings no improvement, the safety officer should consider approaching the head
of the department or, as a last resort, the master to use their influence.

Investigate all potential hazards to health and safety;

Monitor and carry out the onboard safety training of seafarers.
Investigate all reasonable complaints by workers about health and safety and make recommendations to the master
to prevent their recurrence or to remove any hazard, provided that the duty to investigate will not extend to
accidents arising from a casualty to the ship.
Ensure that health and safety inspection of the ship is carried out at least every 3 months and more frequently if
there are substantial changes in the conditions of work;
Try to develop and sustain a high level of safety consciousness among seafarers so that individuals work and react
instinctively in a safe manner.
Investigate so far as possible every accident involving death, major or serious injury and every dangerous
occurrence.
Make representation and where appropriate recommendations to the master about any deficiencies in respect of
health, security, safety and following
Maintain a record of all accidents involving death, major or serious injury and every dangerous occurrence and make it
available to any elected Safety Representative, to the master and to any investigating government officials.
Stop any work in progress, which he believes with reasonable certainty may cause an accident and report the matter
immediately to the master or his deputy.
The safety officer is not to carry out above duties in the case when emergency action to safeguard life or the ship is
being taken.
The safety officer should not be in charge of medical treatment.
Indian Merchant Shipping Act 1958

Contents, Objectives, and important points

The Merchant Shipping Act, 1958 is a comprehensive legislation dealing with

merchant shipping in India.
The act is to foster the development and ensure the efficient maintenance of an
Indian mercantile marine ecosystem in a manner best suited to serve the
national interests. Presently, the Act contains 560 provisions, as a result of
various amendments made to the law, from time to time. Some of these
amendments were made to enact the International Maritime Organization
conventions ratified by India.
Indian Ministry of Ports, Shipping, and Waterways plans to repeal and replace the
“Merchant Shipping Act, 1958”, as it has recently issued a draft of the Merchant
Shipping Bill, 2020 for public consultation.

In fact, the bill will replace the Merchant Shipping Act, 1958 (Act No. 44 of 1958) and
the Coasting Vessels Act, 1838 (Act No. 19 of 1838).

As explained, the Merchant Shipping Bill, 2020 has been drafted, with the primary aim
of promoting the growth of the Indian shipping industry by incorporating the best
practices adopted by other advanced countries like the U.S., Japan, U.K., Singapore,
and Australia.

As Government of India stated, the main goals of the Merchant Shipping Bill, 2020 are
the following: NEXT SLIDE
• Promote ease of doing business- The Bill does away with the requirement of general trading license for Indian
vessels.

• Embrace digital technology- It enables electronic means of registration, and grants statutory recognition to
electronic agreements, records, and logbooks, in addition to electronic licenses, certificates, and payments.
• Increase tonnage and Vessel as a Tradable Asset-The Bill seeks to increase India’s tonnage by widening the
eligibility criteria for ownership of vessels and providing for the registration of bareboat charter cum demise,
thereby increasing opportunities for international trade.
• Introduce for the first-time a statutory framework for regulating maritime emergency response against maritime
incidents. The provisions seek to provide for the time-effective implementation of response mechanisms in
order to ensure that the same is prevented from becoming a wreck or other catastrophic event.

• The welfare of Indian seafarers on abandoned vessels and safety of abandoned vessels: Provisions for
repatriation of abandoned seafarers have been enhanced, in line with the MLC regulations.
• Strengthen adjudication and predictability of claims: In order to strengthen the investigation and adjudication of
claims arising out of the collision of vessels, assessors may be tasked by the High Courts to present their findings
on the degrees of the fault of each vessel.
• Take action against vessels that are unsafe, and pose a threat to the safety of life at sea and environment, while
include a procedure for appeal from detention orders.
• Encourage active enforcement of pollution prevention standards, as the Central Government has been granted
the power to mandate compulsory insurance or other financial security, for pollution damage.
In light of the above-mentioned facts, the Bill aims to offer increased opportunities for investment and
provide greater impetus to a self-reliant domestic investment climate in the maritime industry.

Among others, the provisions regulating the maritime education, training, certification and the
recruitment and placement of seafarers, and ease of registration of ships under the Indian flag will give an
impetus to the quality and quantity of Indian seafarers.

A detailed study material will be sent to students by email attachment.

The United Nations Convention on the Law of the Sea (UNCLOS) is an international treaty which was adopted and
signed in 1982. It replaced the four Geneva Conventions of April, 1958, which respectively concerned the territorial
sea and the contiguous zone, the continental shelf, the high seas, fishing and conservation of living resources on the
high seas.

UNCLOS is an acronym for the United Nations Convention for the Law of the Sea. The convention is also sometimes
referred to as the Law of the Sea Convention or the Law of the Sea treaty.

UNCLOS as the currently prevailing law of the sea is binding completely.

Even as the name of the nautical law suggests a United Nations’ involvement, the UN does not have any major
functional role in the working of UNCLOS

There are 17 parts, 320 articles and nine annexes to UNCLOS

The IMO plays a vital role in the operation of UNCLOS. Along with the IMO, organisations like the International
Whaling Commission and the International Seabed Authority are vital parties in the functional areas of the nautical
law
UNCLOS replaces the older 'freedom of the seas' concept, dating from the 17th century.
According to this concept, national rights were limited to a specified belt of water
extending from a nation's coastlines, usually 3 nautical miles (5.6 km; 3.5 mi) (three-mile
limit), according to the 'cannon shot' rule.

In 1956, the United Nations held its first Conference on the Law of the Sea (UNCLOS I) at
Geneva, Switzerland.

In 1960, the United Nations held the second Conference on the Law of the Sea ("UNCLOS
II"); however, the six-week Geneva conference did not result in any new agreements.[14]
Generally speaking, developing nations and third world countries participated only as
clients, allies, or dependents of the United States or the Soviet Union, with no significant
voice of their own.

With more than 160 nations participating, the conference lasted until 1982. The resulting
convention came into force on 16 November 1994, one year after the 60th state, Guyana,
ratified the treaty. This UNCLOS III.
Objectives of the UNCLOS
To promote the peaceful use of the seas and oceans;
To facilitate International Communications;
To enable equitable and efficient utilisation of ocean resources;
To protect and preserve the marine environment;
To promote Maritime safety.
Baseline
As otherwise provided in the UNCLOS convention, the normal baseline for measuring the breadth of the territorial sea is the
low-water line along the coast as marked on large-scale charts officially recognized by the coastal State.

The Territorial Sea

Every state has the right to establish the breadth of its territorial sea up to a limit not exceeding 12 nautical miles measured
from the baseline determined in accordance with this convention.

The outer limit of the territorial sea is the line every point of which is at a distance from the baseline equal to the breadth of
the territorial sea.

Where the coasts of two States are opposite or adjacent to each other, neither of the two States is entitled, failing agreement
between them to the contrary, to extend its territorial sea beyond the median line every point of which is equidistant from
the nearest points on the baselines from which the breadth of the territorial seas of each of the two States is measured.

Features of Territorial Sea

The foreign flag would have a right to innocent passage through the territorial waters.
An innocent passage can be suspended temporarily in specified areas for the coastal States security or to conduct a weapon
exercise.
Criminal jurisdiction can be exercised by the coastal state on foreign flag vessels in a territorial sea.
Civil jurisdiction can only be exercised if the vessel is passing through the territorial sea after leaving the internal waters.
Transit passage is allowed for Ship through the state.
States may enact legislation concerning the safety of navigation, pollution prevention, uncontrolled fishing activities, customs,
immigration, health and sanitary arrangements.
Contiguous zone
Contiguous zone generally extends 12 nautical miles beyond the territorial sea limit. It consists of a combination of
Revenue and Public health or Quarantine jurisdiction.

The coastal state can prejudice a foreign flag vessel beyond the territorial see if there are reasonable grounds for
assuming they are about to violate Customs or Public Health Regulations

The exclusive economic zone shall not extend beyond 200 nautical miles from the baselines from which the breadth of
the territorial sea is measured.

In an Exclusive Economic Zone, the coastal state has the following rights:

Sovereign rights for the purpose of exploring and exploiting, conserving and managing the natural resources, whether
living or non-living, of the waters superjacent to the seabed and of the seabed and its subsoil, and with regard to other
activities for the economic exploitation and exploration of the zone, such as the production of energy from the water,
currents and winds.
Can enact regulations on pollution and environmental protection.
Has exclusive right to construct artificial islands and security zones.
Has exclusive right to fishing and development of fish farms.
Can conduct scientific research and marine exploration.
The obligation of vessels in an exclusive economic zone:

Freedom of navigation as in high seas.

Lay submarine cable/pipeline that is passing through EEZ.
Observe Pollution regulations as per the coastal state regulations.
Fishing gear if carried must be stored/secured condition. No fishing allowed.
Respect and comply with the security zones of the offshore installations, artificial islands of the coastal state.

Continental shelf
The Continental shelf of a coastal state comprises of the seabed and subsoil of the submarine areas that extend
beyond its territorial sea throughout the natural prolongation of its land territory to the outer edge of the continental
margin or to a distance 200nm from the baseline. Almost everywhere the shelves represent simply a continuation of
the continental landmass beneath the ocean margins.
High seas
High Seas represents all that sea area which is not capable of forming part of any sovereign state and are not included in the
Exclusive Economic Zone, the territorial waters or internal waters of a coastal state or the archipelagic waters o the Archipelagic
state.
The High Seas are open to all states whether coastal or landlocked.
Freedom on the high seas is exercised under the conditions laid down by the convention and by other rules.
Under high Seas for both coastal and landlocked States:

Freedom of navigation.
Freedom of overflight.
Freedom of laying submarine cables and pipelines.
Freedom to construct artificial islands and other installations permitted under international law.
Freedom of fishing, subject to the conditions.
Freedom of scientific research.
The high seas shall be reserved for peaceful purposes.
Right to Innocent Passage
Ships of all states whether coastal or landlocked enjoy the right of innocent passage through the
territorial waters.

Passage means navigation through the territorial sea for the purpose of:

traversing that sea without entering internal waters or calling at a roadstead or port facility outside
internal waters; or
proceeding to or from internal waters or a call at such roadstead or port facility.
Passage shall be continuous and expeditious. However, passage includes stopping and anchoring, but
only in so far as the same are incidental to ordinary navigation or are rendered necessary by force
majeure or distress or for the purpose of rendering assistance to persons, ships or aircraft in danger or
distress.