Regulatory Bodies

1
Regulatory Bodies

• International Regulation
• Federal Regulation
• Industrial Organizations

2
International Organizations

• 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)

3
IMO

• 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

• Legal Committee
• Techn. Coop. Comm.

• Cannot enforce its regulations, but
• Depends on member states to codify its
  conventions protocols into their local laws

4
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 Ships Ballast
  Water 1991

5
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

6
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.

7
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

8
MARPOL 1973/1978

• The 1992 amendments Adoption 6 March
  1992Entry 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.

9
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)
• 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)

10
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
  2001Entry 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

11
WIG ? advanced technology seaplane
12
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

13
STCW 1978/95

• The 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.

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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 KNOWLEDGE, 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 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 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
15
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 KNOWLEDGE, 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
16
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 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 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 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
17
Federal Regulatory Bodies
United States Coast Guard (DHS) its missions

• 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

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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).

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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 (gt15 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

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USCG Marine Safety Office

• Marine 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 Mariners Document
  (MMD).
• Ratings (unlicensed)
• Unqualified (Entry Level) Ratings Ordinary
  Seaman, Wiper, Stewards 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

21
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 3The President
• Title 14Aeronautics and Space
• Chapt I(parts 1-199) Federal Aviation Admin.
• Chapt V(parts 1200-1299) NASA
• Title 26Internal Revenue
• Title 50Wildlife and Fisheries
• Chapt V(parts 500-599) Marine Mammal Commission

22
Code of Federal Regulations

• Of particular interest to the Maritime Industry
• Title 33Navigation Navigable Waters
• Chapt ICoast 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 IICorps of Engineers
• Chapt IIISt Lawrence Seaway Dev. Corp.

23
Code of Federal Regulations

• Title 46Shipping
• Chapt ICoast 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)

24
Code of Federal Regulations

• Title 46Shipping (cont)
• Chapt IIMaritime Administration (MARAD)
• Part 298Vessel Financing Assistance (subchapter
  D)
• Part 307Vessel Reporting System (subchapter F)
• Part 310Merchant Marine Training (subchapter H)
• Chapt IIICoast Guard (Great Lakes Pilotage)
• Chapt IVFederal Maritime Commission
• Additional Coast Guard Regulations found in Chapt
  IV of Title 49Transportation along with The
  National Safety Transportation Board (Chapt VII)
  and the Interstate Commerce Commission (Chapt X)

25
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

26
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

27
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.

28
Classification Societies
Registro Italiano Navale (RINA)

• Bureau Veritas (BV)--France

China Classification Society (CCS)
(GL)--Germany
Indian Register of Shipping (IRS)
Det Norske Veritas (DNV)--Norway
Lloyds Register (LR)--UK
Nippon Kaiji Kyokai (NK)--Japan
29
Industry Organizations

• 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

• 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