The Merchant Shipping (Special Measures to Enhance Maritime Safety) Regulations 2024

Citation, commencement and extent

1.—(1) These Regulations may be cited as the Merchant Shipping (Special Measures to Enhance Maritime Safety) Regulations 2024 and come into force on 2nd April 2024.

(2) These Regulations extend to England and Wales, Scotland and Northern Ireland.

Amendment of regulations

2.  The amendments listed in the Schedule have effect.

Interpretation

3.—(1) In these Regulations—

“the 2015 Regulations” means the Merchant Shipping (Survey and Certification) Regulations 2015(1);

“cargo ship” means any ship which is not a passenger ship;

“Chapter IX” means Chapter IX in the Annex to the Convention (International Safety Management (ISM) Code)(2);

“Chapter XI-1” means Chapter XI-1 in the Annex to the Convention (special measures to enhance maritime safety)(3);

“Company” means, in relation to a ship, the operator of the ship, who is either—

(a)

the owner; or

(b)

any person who has assumed responsibility for the operation of the ship from the owner;

“Convention” means the International Convention for the Safety of Life at Sea, 1974(4);

“Convention country” means a country or territory which is either a country the Government of which is party to the Convention or a territory to which the Convention extends whether or not it is subject to the amendments to, or reservations in respect of, the Convention;

“flag administration” means the administration of the State whose flag a ship is entitled to fly;

“IMO” means International Maritime Organization;

“international voyage” means a voyage between—

(a)

a port in the United Kingdom and a port outside the United Kingdom; or

(b)

a port in a Convention country other than the United Kingdom and a port in any other country or territory, whether a Convention country or not, which is outside the United Kingdom;

“ISPS Code” means the International Code for the Security of Ships and of Port Facilities and which is defined in regulation 1 of Chapter XI-2 in the Annex to the Convention (special measures to enhance maritime security)(5);

“passenger” means a person other than—

(a)

the master and the members of the crew or other persons employed or engaged in any capacity on board a ship on the business of that ship; or

(b)

a child under one year of age;

“passenger ship” means a ship which carries more than 12 passengers;

“United Kingdom ship” means a United Kingdom ship within the meaning of section 85(2) of the Merchant Shipping Act 1995 and “non-United Kingdom ship” is to be construed accordingly.

(2) For the purposes of these Regulations, in circumstances where the Company is also the owner of a ship, any obligation placed on both the Company and the owner is placed on the Company alone.

Application

4.—(1) Subject to paragraphs (2), (3) and (5) to (7), these Regulations apply to—

(a) United Kingdom ships engaged on international voyages;

(b) United Kingdom Class A passenger ships;

(c) United Kingdom Class B passenger ships which are certified to carry more than 250 passengers;

(d) United Kingdom tankers engaged on non-international voyages which proceed to sea; and

(e) non-United Kingdom ships while they are within United Kingdom waters.

(2) These Regulations do not apply to—

(a) ships of war and naval auxiliary ships;

(b) ships owned or operated by a State and engaged only on governmental non-commercial service;

(c) ships not propelled by mechanical means;

(d) wooden ships of primitive build;

(e) pleasure vessels;

(f) fishing vessels;

(g) ships solely navigating the Great Lakes of North America and the River St Lawrence as far east as a straight line drawn from Cap des Rosiers to West Point, Anticosti Island and, on the north side of Anticosti Island, the 63rd meridian.

(3) A non-United Kingdom ship flying the flag of a State which is not a party to the Convention is not subject to these Regulations if it would not have been in United Kingdom waters but for stress of weather or any other circumstances which the master, owner or charterer could not have prevented.

(4) Where persons are on board a ship as a consequence of—

(a) the circumstances described in paragraph (3); or

(b) an obligation laid upon the master to carry shipwrecked or other persons(6),

those persons are not to be taken into account for the purpose of determining the application to that ship of any provision of these Regulations.

(5) Regulation 7 (ship identification number) does not apply to—

(a) passenger ships of less than 100 gross tonnage; and

(b) cargo ships of less than 300 gross tonnage.

(6) Regulation 8 (company and registered owner identification number) does not apply to cargo ships of less than 500 gross tonnage.

(7) Regulation 9 (continuous synopsis record) does not apply to—

(a) ships on non-international voyages; and

(b) cargo ships of less than 500 gross tonnage.

(8) For the purposes of this regulation—

“Class A passenger ship” means a passenger ship engaged solely on non-international voyages in Areas A, B, C and D, as defined in regulation 3A(1) of the Merchant Shipping (Passenger Ships on Domestic Voyages) Regulations 2000(7);

“Class B passenger ship” means a passenger ship engaged solely on non-international voyages in Areas B, C and D, as defined in regulation 3A(1) of the Merchant Shipping (Passenger Ships on Domestic Voyages) Regulations 2000;

“fishing vessel” means a ship used for catching fish, whales, seals, walrus or other living resources of the sea;

“gross tonnage” means gross tonnage determined in accordance with regulation 6 or 12(1) of the Merchant Shipping (Tonnage) Regulations 1997(8);

“pleasure vessel” means—

(a)

any vessel which at the time it is being used is—

(i)

in the case of a vessel wholly owned by—

(aa)

an individual or individuals, used only for the sport or pleasure of the owner or the immediate family or friends of the owner; or

(bb)

a body corporate, used only for sport or pleasure and on which the persons on board are employees or officers of the body corporate, or their immediate family or friends; and

(ii)

on a voyage or excursion which is one for which the owner does not receive money for or in connection with operating the vessel or carrying any person, other than as a contribution to the direct expenses of the operation of the vessel incurred during the voyage or excursion; or

(b)

any vessel wholly owned by or on behalf of a members’ club formed for the purpose of sport or pleasure which, at the time it is being used, is used only for the sport or pleasure of members of that club or their immediate family, and for the use of which any charges levied are paid into club funds and applied for the general use of the club,

where, in the case of any vessel referred to in paragraph (a) or (b), no other payments are made by or on behalf of users of the vessel, other than by the owner; and in this definition “immediate family” means, in relation to an individual, the spouse or civil partner of the individual, and a relative of the individual or the individual’s spouse or civil partner; and “relative” means brother, sister, ancestor or lineal descendant;

“sea”, other than in the definition of “fishing vessel”, includes any estuary or arm of the sea but does not include Category A, B, C or D waters as specified in Merchant Shipping Notice 1837(M) Amendment 2(9) and, for the purposes of this definition, “Merchant Shipping Notice” means a notice described as such and issued by the Maritime and Coastguard Agency (an executive agency of the Department for Transport) and includes a reference to any document amending or replacing that notice which is considered by the Secretary of State to be relevant from time to time and is specified in a Merchant Shipping Notice;

“tanker” means a cargo ship constructed or adapted for the carriage in bulk of liquid cargoes of an inflammable nature.

Ambulatory reference

5.—(1) In these Regulations, any reference to Chapter IX, Chapter XI-1 or Part A of the ISPS Code is to be construed—

(a) as a reference to Chapter IX, Chapter XI-1 or Part A of the ISPS Code as modified from time to time; and

(b) as, if Chapter IX, Chapter XI-1 or Part A of the ISPS Code is replaced, a reference to the replacement.

(2) For the purposes of paragraph (1), Chapter IX, Chapter XI-1 or Part A of the ISPS Code is modified or replaced if the modification or replacement takes effect in accordance with Article VIII of the Convention.

(3) A modification or replacement of Chapter IX, Chapter XI-1 or Part A of the ISPS Code has effect at the time such modification or replacement comes into force in accordance with Article VIII of the Convention.

Exemptions

6.—(1) The Secretary of State may exempt from any provision of these Regulations—

(a) a ship which does not normally engage on international voyages but is, in exceptional circumstances, required to undertake a single international voyage;

(b) a ship or class of ship, in exceptional circumstances, if satisfied that compliance with such provision is either impracticable or unreasonable in the case of that ship or class of ship.

(2) An exemption under paragraph (1) may be granted subject to such safety requirements as the Secretary of State thinks fit to ensure the overall safety of the ship.

(3) An exemption granted under paragraph (1) may, on the giving of reasonable notice, be altered or cancelled.

(4) An exemption granted under paragraph (1), or an alteration or cancellation under paragraph (3), must—

(a) be in writing;

(b) specify the date on which it takes effect; and

(c) specify the terms, if any, on which it is given.

(5) The requirement that an exemption granted under paragraph (1), or an alteration or cancellation under paragraph (3), be in writing is satisfied where the text of the exemption, alteration or cancellation is—

(a) transmitted by electronic means;

(b) received in legible form; and

(c) capable of being used for subsequent reference.

(6) Where an exemption is granted subject to safety requirements under paragraph (2), the exemption ceases to have effect if those requirements are not complied with.

Ship identification number

7.—(1) A Company, owner and master must each ensure that a ship to which this regulation applies is not operated unless—

(a) an identification number which conforms to the IMO ship identification number scheme adopted in IMO Resolution A.1117(30)(10) has been obtained for the ship; and

(b) that number has been inserted on the applicable certificates referred to in paragraph (2) and on any certified copies of such certificates.

(2) The certificates referred to in sub-paragraph (b) of paragraph (1) are—

(a) in the case of a United Kingdom ship, a certificate issued under—

(i) regulation 13 (issue of certificates to United Kingdom ships engaged on international or short international voyages); or

(ii) regulation 14 (issue of certificates to United Kingdom ships not engaged on international voyages),

of the 2015 Regulations; or

(b) in the case of a non-United Kingdom ship, a certificate issued by—

(i) the Secretary of State under regulation 19(2) of the 2015 Regulations (requests made by other SOLAS governments); or

(ii) the ship’s flag administration in accordance with regulation 12 or 13 of Chapter I(11) of the Annex to the Convention (issue or endorsement of certificates).

(3) In the case of a United Kingdom ship, the Secretary of State must include the identification number in any exemption granted under regulation 5(3) of the 2015 Regulations (exemptions).

(4) Subject to paragraph (5), a Company, owner and master must each ensure that the identification number for a ship to which this regulation applies is permanently marked on the ship in accordance with regulations 3.4 and 3.5.1 to 3.5.3 of Chapter XI-1 (marking of ship’s identification number).

(5) On United Kingdom ships constructed of material other than steel or metal, the method of marking the identification number on the ship must be approved by the Secretary of State before such marking is undertaken.

(6) An approval given under paragraph (5) may, on the giving of reasonable notice, be continued, altered or cancelled.

(7) Any approval given under paragraph (5), or a continuation, alteration or cancellation under paragraph (6), must—

(a) be in writing;

(b) specify the date on which it takes effect; and

(c) specify the terms, if any, on which it is given.

(8) The requirement that the approval referred to in paragraph (5), or a continuation, alteration or cancellation under paragraph (6), be in writing is satisfied where the text of the approval, continuation, alteration or cancellation is—

(a) transmitted by electronic means;

(b) received in legible form; and

(c) capable of being used for subsequent reference.

Company and registered owner identification number

8.—(1) A Company and owner must each ensure that a ship to which this regulation applies is not operated unless—

(a) an identification number which conforms to the IMO Unique Company and Registered Owner Identification Number Scheme(12) has been obtained; and

(b) that number has been inserted on the applicable certificates referred to in paragraph (2) and on any certified copies of such certificates.

(2) The certificates referred to in sub-paragraph (b) of paragraph (1) are—

(a) in the case of a United Kingdom ship—

(i) (aa) the Document of Compliance and Safety Management Certificate issued under regulation 9 of the Merchant Shipping (International Safety Management (ISM) Code) Regulations 2014(13) (issue and endorsement of documents by certifying authority); or

(bb) the Domestic Ship Safety Management Certificate issued under regulation 6 of the Merchant Shipping (Domestic Passenger Ships) (Safety Management Code) Regulations 2001(14) (issue of Domestic Ship Safety Management Certificate); and

(ii) certificates issued in accordance with section A/19.2 (issue or endorsement of certificate) or A/19.4 (interim certification) of Part A of the ISPS Code; or

(b) in the case of a non-United Kingdom ship—

(i) the Document of Compliance and Safety Management Certificate issued in accordance with regulation 4 of Chapter IX (certification for the purposes of the International Safety Management Code); and

(ii) certificates issued in accordance with section A/19.2 (issue or endorsement of certificate) or A/19.4 (interim certification) of Part A of the ISPS Code.

Continuous Synopsis Record

9.—(1) A Company, owner and master must each ensure that a ship to which this regulation applies is not operated unless the ship has been issued with a Continuous Synopsis Record which—

(a) contains the information referred to in regulation 5.3 of Chapter XI-1 (continuous synopsis record);

(b) is in the English, French or Spanish language; and

(c) is in the format contained in the Appendix to IMO Resolution A.959(23)(15).

(2) For ships constructed before 1st July 2004, the Continuous Synopsis Record must provide the history of the ship as from 1st July 2004.

(3) In the case of a United Kingdom ship, changes to the information referred to in regulation 5.3.4 to 5.3.12 of Chapter XI-1, together with the history of the changes, must be provided to the Secretary of State(16) for the purpose of amending the Continuous Synopsis Record.

(4) Pending the issue of an updated version of the Continuous Synopsis Record for a United Kingdom ship—

(a) the Company and the master must each ensure that the changes referred to in paragraph (3), together with the history of the changes, are recorded in the Continuous Synopsis Record; and

(b) the Company must notify the Secretary of State immediately of the amendments made.

(5) The Continuous Synopsis Record must—

(a) be maintained in accordance with guidelines developed by the IMO(17); and

(b) in the case of any existing entries or changes notified to the Secretary of State under paragraph (4)(b), not be modified, deleted, erased or defaced.

(6) If a United Kingdom ship is to be transferred to the flag of another State, the Company must notify the Secretary of State of the name of the State whose flag the ship is to be transferred to.

(7) If a United Kingdom ship is transferred to the flag of another State or is subjected to a change of owner, demise charterer or Company, the Continuous Synopsis Record must be left on board the ship.

(8) If a United Kingdom ship is transferred to the flag of a Convention country, the Secretary of State must, as soon as possible after the transfer takes place, provide to that Convention country—

(a) a copy of the Continuous Synopsis Record relating to the period that the ship was under the flag of the United Kingdom; and

(b) any Continuous Synopsis Records previously issued to the ship by other Convention countries.

(9) If a ship is transferred to the flag of the United Kingdom, the Secretary of State must append the ship’s previous Continuous Synopsis Records to the Continuous Synopsis Record issued to the ship by the Secretary of State.

(10) The Continuous Synopsis Record is subject to each of the following requirements—

(a) it must be kept on board the ship;

(b) it must be readily available for examination at all times.

(11) Where a Continuous Synopsis Record which relates to a United Kingdom ship has been lost, the Company, owner and master must make an application immediately to the Secretary of State for a replacement.

(12) Where an application is made to the Secretary of State under paragraph (11), subject to payment of the prescribed fee, the Secretary of State must issue a replacement Continuous Synopsis Record.

(13) For the purposes of this regulation—

“Continuous Synopsis Record” means the document described as such in regulation 5 of Chapter XI-1 (continuous synopsis record) and issued by the State of a ship’s flag administration(18);

“prescribed fee” means the fee prescribed by the Secretary of State under section 302 of the Merchant Shipping Act 1995(19).

Offences and penalties

10.—(1) Any contravention of regulation 7(1) or (4) (ship identification number) or regulation 9(1), (2), (3), (5), (7), (10)(a) or (11) (continuous synopsis record) is an offence by—

(a) the Company;

(b) the owner; and

(c) the master,

in each case of non-compliance.

(2) Any contravention of regulation 8(1) (company and registered owner identification number) is an offence by—

(a) the Company; and

(b) the owner.

(3) Any contravention of regulation 9(4)(a) (amendment of continuous synopsis record) is an offence by the Company and master.

(4) Any contravention of regulation 9(4)(b) or (6) (requirement to notify amendments to continuous synopsis record and change of flag) is an offence by the Company.

(5) An offence under paragraph (1), (2), (3) or (4) is punishable—

(a) on summary conviction—

(i) in England and Wales by a fine; or

(ii) in Scotland or Northern Ireland by a fine not exceeding the statutory maximum; or

(b) on conviction on indictment by imprisonment for a term not exceeding two years, or a fine, or both.

(6) Any contravention of regulation 9(10)(b) (requirement to have continuous synopsis record readily available) is an offence by—

(a) the Company;

(b) the owner; and

(c) the master.

(7) An offence under paragraph (6) is punishable—

(a) on summary conviction—

(i) in England and Wales by a fine; or

(ii) in Scotland or Northern Ireland by a fine not exceeding the statutory maximum; or

(b) on conviction on indictment by imprisonment for a term not exceeding six months, or a fine, or both.

(8) It is a defence for the person charged with an offence under this regulation to prove that the person charged took all reasonable steps to avoid the commission of the offence.

Detention

11.—(1) For the purposes of this regulation, any reference to “ the Act” is a reference to the Merchant Shipping Act 1995.

(2) Where there is any contravention of the requirements of these Regulations in relation to a ship, the ship may be detained in the United Kingdom.

(3) Section 284 of the Act(20) (enforcing detention of ship) applies where a ship is liable to be detained under this regulation as if—

(a) references to detention of a ship under the Act were references to detention of the ship in question under this regulation; and

(b) subsection (7) were omitted.

(4) Where a ship is liable to be detained under this regulation, the person detaining the ship must serve on the master a detention notice which—

(a) states the grounds for the detention; and

(b) requires the terms of the notice to be complied with until the ship is released by any person mentioned in section 284(1) of the Act.

(5) Subject to paragraph (6), section 96 (references of detention notices to arbitration)(21) and section 97 (compensation in connection with invalid detention of a ship) of the Act apply in relation to a detention notice issued pursuant to this regulation as they apply in relation to detention notices issued pursuant to section 95 (power to detain dangerously unsafe ship)(22).

(6) For the purposes of paragraph (5)—

(a) section 96 of the Act applies as if—

(i) subsection (3) were omitted;

(ii) the words “as a dangerously unsafe ship” in subsection (5) were omitted;

(iii) subsection (11) were omitted; and

(b) sections 96 and 97 of the Act apply as if “the relevant inspector” means a person issuing the detention notice pursuant to this regulation.

(7) Subject to paragraph (8), where a non-United Kingdom ship is detained, the Secretary of State must immediately inform the ship’s flag administration in writing.

(8) If it is not possible to inform the ship’s flag administration in accordance with paragraph (7), the Secretary of State must inform the Consul of the State of the flag administration, or in the absence of a Consul, the nearest diplomatic representative of the State of the flag administration.

Review of the Regulations

12.—(1) The Secretary of State must from time to time—

(a) carry out a review of the regulatory provision contained in these Regulations; and

(b) publish a report setting out the conclusions of the review.

(2) The first report must be published before the end of the period of five years beginning with the date on which these Regulations come into force.

(3) Subsequent reports must be published at intervals not exceeding five years.

(4) Section 30(3) of the Small Business, Enterprise and Employment Act 2015 requires that a review carried out under this regulation must, so far as is reasonable, have regard to how the obligations under the Convention are implemented in other countries which are subject to the obligations.

(5) Section 30(4) of the Small Business, Enterprise and Employment Act 2015(23) requires that a report published under this regulation must, in particular—

(a) set out the objectives intended to be achieved by the regulatory provision referred to in paragraph (1)(a);

(b) assess the extent to which those objectives are achieved;

(c) assess whether those objectives remain appropriate; and

(d) if those objectives remain appropriate, assess the extent to which they could be achieved in another way which involves less onerous regulatory provision.

(6) In this regulation, “regulatory provision” has the same meaning as in sections 28 to 32 of the Small Business, Enterprise and Employment Act 2015 (see section 32 of that Act).

Signed by authority of the Secretary of State for Transport

Davies of Gower

Parliamentary Under Secretary of State

Department for Transport

11th March 2024

We consent to the making of these Regulations

Amanda Solloway

Mike Wood

Two of the Lord’s Commissioners of His Majesty’s Treasury

7th March 2024