The Merchant Shipping (Small Workboats and Pilot Boats) Regulations 2023

PART 2 Survey and certification of vessels

Survey requirements

8.—(1) A vessel is required to be surveyed in accordance with this regulation.

(2) A compliance survey must be completed in accordance with section 4.2 (compliance examination) of the Workboat Code Edition 3 before a vessel is put into service or a certificate under these Regulations is first issued in respect of that vessel.

(3) An annual survey must be completed in accordance with section 4.4 (annual examination) of the Workboat Code Edition 3—

(a) within the end of a period of three calendar months beginning with each anniversary date of the vessel’s compliance survey, and

(b) at an interval not exceeding 15 months beginning with the date of the previous survey.

(4) An intermediate survey must be completed in accordance with section 4.5 (intermediate examinations) of the Workboat Code Edition 3 within a period of not more than 36 months beginning with date of the compliance survey or any previous renewal survey.

(5) A renewal survey must be completed in accordance with section 4.6 (renewal examination) of the Workboat Code Edition 3 within a period of five years beginning with the date of the compliance survey or previous renewal survey.

(6) An emergency survey must be completed in accordance with section 4.7 (emergency examinations) of the Workboat Code Edition 3 if it is required by the Certifying Authority under regulation 19(2)(a).

(7) A report of any survey completed by a surveyor under this regulation must include an assessment indicating if the vessel satisfies the applicable requirements of the Workboat Code Edition 3.

Requirement for a certificate

9.  A vessel must not be operated unless—

(a) it has a valid certificate required under the Workboat Code Edition 3 for that vessel,

(b) in the case of a workboat or a pilot boat, a valid certificate is retained on board the vessel or if this is not reasonably practicable, is available for immediate inspection on shore,

(c) in the case of a remotely operated unmanned vessel, a valid certificate is available for immediate inspection at the remote operation centre,

(d) the vessel complies with the requirements of the Workboat Code Edition 3 (including any requirements as to operation, manning and maintenance), and

(e) in the case of a pilot boat, such a vessel has been surveyed and a pilot boat certificate or a workboat certificate with a pilot boat endorsement has been issued in accordance with the Workboat Code Edition 3.

Certifying Authorities

10.—(1) In these Regulations, “ Certifying Authority” means the Secretary of State or any person authorised by the Secretary of State(1).

(2) Authorisation under paragraph (1) may be given conditionally or unconditionally and is subject to paragraph (4).

(3) Without restricting what may be done under paragraph (2), the Secretary of State may in particular impose limitations on any person’s authorisation relating to—

(a) individual vessels,

(b) classes of vessels, and

(c) the extent of any survey to be carried out by that person.

(4) The Secretary of State may direct in relation to an individual case or to a class of cases that a survey or part of a survey for the purposes of these Regulations may only be carried out by the Secretary of State and not by another Certifying Authority.

(5) A Certifying Authority, other than the Secretary of State, is not to be regarded as the servant or agent of the Crown or as enjoying any status, immunity or privilege of the Crown and its property is not to be regarded as property of or held on behalf of the Crown.

(6) An authorisation or a direction given by the Secretary of State under this regulation must be in writing and include the details of any conditions or particulars in relation to the authorisation or direction.

Application for a certificate

11.—(1) The owner or master of a vessel may make an application to a Certifying Authority to issue any certificate that is required under these Regulations.

(2) An application under paragraph (1) must—

(a) be made on a form specified by the Certifying Authority, and

(b) in the case of any application made to the Secretary of State, include the payment of any fee prescribed in relation to it in regulation 3 and Schedule 1 to the Merchant Shipping (Fees) Regulations 2018(2).

Determination of an application for a certificate

12.—(1) On receipt of an application for a certificate, a Certifying Authority must—

(a) inform the owner or master that a surveyor is required to carry out a survey of the vessel of a type specified in regulation 8 (survey requirements) and in accordance with section 4 of the Workboat Code Edition 3, or

(b) decline the application if—

(i) the Certifying Authority does not have the necessary experience or expertise in relation to the type of vessel for which the application is made, or

(ii) the application has not been made in accordance with regulation 11(2).

(2) The Certifying Authority must consider if a certificate may be issued in respect of a vessel if a notification signed by a surveyor and either the owner or master of the vessel is received.

(3) A notification under paragraph (2) must—

(a) confirm that at the date of the notification being given—

(i) a survey required under these Regulations has been completed,

(ii) the vessel meets all the requirements of these Regulations and the Workboat Code Edition 3 in relation to the particular certificate being requested,

(b) include a report documenting the vessel’s compliance with the requirements of these Regulations and the Workboat Code Edition 3, and

(c) where section 12 or 12B of the Workboat Code Edition 3 applies to the vessel, include stability information or a stability information booklet whichever is appropriate .

(4) Where the Workboat Code Edition 3 provides discretion as to which requirements apply to a vessel, a Certifying Authority must make a determination as to which requirements will apply to that vessel to reasonably ensure—

(a) the safety of that vessel, and

(b) the health and safety of any persons on that vessel.

(5) If a Certifying Authority makes a determination under paragraph (4), it must notify the owner or master in writing of the requirements that apply before any certificate is issued under paragraph (6).

(6) The Certifying Authority must issue the certificate in accordance with section 4.3 or 4.13 of the Workboat Code Edition 3 if having considered—

(a) the notification referred to in paragraph (2), and

(b) any requirement it determines will apply under paragraph (4),

the Certifying Authority is satisfied that the vessel meets all the relevant requirements of the Workboat Code Edition 3 for a vessel of its type.

(7) A certificate issued under this regulation must contain the information specified in the sample certificates set out in Appendix 10 of the Workboat Code Edition 3 depending on the type of certificate being issued.

(8) If after considering the notification referred to in paragraph (2), a Certifying Authority determines that the vessel does not meet all of the requirements of these Regulations and the Workboat Code Edition 3 for a vessel of its type, the Certifying Authority must advise—

(a) the surveyor who carried out the survey, and

(b) the owner or master of that vessel,

of the corrective action which, in the opinion of the Certifying Authority, is required before a certificate may be issued.

(9) Where corrective action is not taken within such reasonable period as a Certifying Authority may specify, the Certifying Authority must refuse the application for a certificate and notify the surveyor and the owner or master of the vessel of the refusal and the reasons for such refusal.

Duration of a certificate

13.—(1) A certificate issued under these Regulations is valid until the end of the date specified on that certificate.

(2) The date specified under paragraph (1) must be—

(a) in the case of a certificate issued following a compliance survey, a date not exceeding five years beginning with the date on which that survey is completed;

(b) in the case of a certificate issued following a renewal survey—

(i) where the renewal survey is completed more than three months before expiry of the existing certificate, a date not not more than five years beginning with the date of the renewal survey;

(ii) where the renewal survey is completed within a period of three months before expiry of the existing certificate, a date not more than five years beginning with the expiration date of the existing certificate;

(iii) where the renewal survey is completed after expiry of the existing certificate, a date not more than five years beginning with the date on which that existing certificate expired.

Extension of a certificate

14.—(1) Where the conditions set out in paragraph (2) are met, a Certifying Authority that has issued a certificate may extend the period of validity of that certificate for a period not exceeding three calendar months.

(2) The conditions are that—

(a) in accordance with regulation 12 (determination of an application for a certificate), the Certifying Authority has been notified by a surveyor that a renewal survey has been carried out, and

(b) the Certifying Authority is unable to issue a new certificate prior to the expiry of the existing certificate.

Validity of a certificate

15.—(1) A certificate issued under these Regulations ceases to be valid if—

(a) the vessel is sold or there is a change of ownership,

(b) a survey is not completed within the period specified for it in regulation 8 (survey requirements),

(c) the vessel does not meet all the requirements of these Regulations and the Workboat Code Edition 3 for a vessel of its type,

(d) the vessel does not meet all of the conditions or requirements under which the certificate was granted,

(e) a material change has been made to the vessel or its equipment,

(f) that certificate is replaced by a new certificate,

(g) that certificate has expired,

(h) the vessel suffers an incident of a type referred in regulation 19(3) which is not reported as required under regulation 19 (incident reporting), or

(i) the vessel, its equipment or machinery has sustained damage or is otherwise deficient since the completion of any survey required under these Regulations and the damage or deficiency is a material change,

and for the purposes of sub-paragraphs (a) to (e), (g) and (i), the Certifying Authority has not given its written approval under regulation 18(3)(a) (change of circumstances requiring approval).

(2) For the purposes of paragraph (1)(e) and (i), a change is material if it affects, or is likely to affect—

(a) the safety of the vessel,

(b) the health and safety of any persons on the vessel, or

(c) compliance with the requirements in the Workboat Code Edition 3 in relation to the vessel.

Cancellation of a certificate

16.—(1) The Secretary of State may give notice that a certificate issued under these Regulations is cancelled where there is reason to believe that—

(a) the certificate was issued on the basis of false or erroneous information;

(b) since any survey required by these Regulations, the structure, equipment or machinery has sustained damage or is otherwise deficient.

(2) The Secretary of State may require a certificate issued under these Regulations which has expired, or has been cancelled, to be surrendered.

(3) The Secretary of State must give notice in writing of any cancellation to—

(a) the owner or master of the vessel,

(b) the surveyor of the vessel,

(c) the competent harbour authority in the case of a pilot boat or workboat with a pilot boat endorsement, and

(d) the Certifying Authority where the Certifying Authority is not the Secretary of State.

Prohibited acts in relation to certificates

17.  A person must not—

(a) intentionally alter a certificate issued under these Regulations,

(b) intentionally make a false certificate for the purposes of these Regulations,

(c) knowingly or recklessly furnish false documents or information for the purpose of obtaining for any vessel a certificate required under these Regulations,

(d) with intent to deceive, use, lend, or allow to be used by another, a certificate issued under these Regulations, or

(e) fail to surrender a certificate required to be surrendered under regulation 16(2).

(1)

A list of Certifying Authorities, authorised by the Secretary of State is published in Marine Information Note 538. Amendment 5(M) is available at the following address: https://www.gov.uk/government/publications/min-538-amendment-5-m-codes-of-practice-authorisation-of-certifying-authorities/min-538-amendment-5-m-codes-of-practice-authorisation-of-certifying-authorities#list-of-certifying-authorities.

(2)

S.I. 2018/1104, to which there are amendments not relevant to these Regulations.