Consultation outcome

Consultation document: Implementation of requirements of SOLAS chapter XI-1 - the merchant shipping (special measures to enhance maritime safety) regulations 2024

Updated 29 January 2024

Section 1: Overview of this consultation

Aim

1.1. This consultation seeks your views on four specific measures to enhance the safety of ships. It is proposed that these measures, which are obligations contained in Chapter XI-1 of the International Convention for the Safety of Life at Sea, 1974 (“SOLAS” or “the Convention”), be put into law by way of a new Statutory Instrument, the Merchant Shipping (Special Measures to Enhance Maritime Safety) Regulations 2024 (“the proposed Regulations”).

1.2 The main objective of the proposed Regulations is to enhance the safety standards for the operation of ships. The proposed Regulations will also include an ambulatory reference provision to ensure that future amendments to references to provisions of SOLAS in the proposed Regulations are given direct effect in UK law.

1.3 Further details on all the provisions of Chapter XI-1 being implemented by the proposed Regulations can be found in section 2.2.

Views sought

1.4 Consultees are invited to comment on any aspect of this consultation; however, you are specifically invited to respond to the consultation questions in section 5.1. A more in-depth explanation of the areas for consideration can be found in section 2.

1.5 A full list of consultation questions is contained in Section 5 of this consultation.

Deadline for responses

1.6 Responses are welcomed from 15/09/23 Until 10/11/23.

Section 2: Areas for consideration

Background

2.1 The UK is a signatory to SOLAS, which contains the minimum safety standards for the construction, equipment and operation of merchant ships to ensure safety of lives at sea. The UK, as a party to SOLAS, has an obligation in international law to give effect in the UK to the Convention. The UK is currently behind in its obligation to give effect in UK law to all of Chapter XI–1, which consists of nine provisions. The requirements of Chapter XI-1 that are not currently implemented in UK law are found in regulations 2, 3, 3-1 and 5.

It is acknowledged that the fraudulent registration of ships, proliferation of fraudulent registries and related deceptive shipping practices pose a serious threat to the safety and security of international shipping, including the safety and well-being of the crew, and to the protection of the environment, and can facilitate illicit maritime trafficking and the evasion of sanctions. The IMO Ship Identification Number is unique to the ship and remains with the ship for the whole of its life. Similarly, the IMO unique Company and Registered Owner Identification Number is unique to the company and owner. Therefore, assigning and maintaining these schemes for ships, companies and owners improves the safety and security of the maritime industry.

Maintaining and exchanging information between stakeholders through bilateral and or multilateral mechanisms is very important for ship safety, security, pollution prevention and crew welfare. A unique number for each ship gives a superior framework and capacity to obtain and use ship data, i.e., port State control (PSC) regions can readily identify a ship and company/owner regardless of name, operator, flag, and so on.

The proposed Regulations will ensure that the UK is fully compliant with all the international requirements and that these are enforceable.  This ensures that all ships are maintained to a unified standard, and it will improve the safety, security and pollution prevention capabilities of ships.

Proposed Changes

2.2 It is proposed to implement the following requirements of SOLAS Chapter XI-1 by way of the proposed Regulations.

• Regulation 2 – enhanced survey requirements for oil tankers and bulk carriers
  
  The requirement for (seagoing) bulk carriers of 500 gross tons and above to be surveyed in accordance with the International Code on the Enhanced Programme of Inspections during surveys of Bulk Carriers and Oil Tankers, 2011 (“the ESP Code”) is contained in the Merchant Shipping (Additional Safety Measures for Bulk Carriers) Regulations 2022 (SI 2022/1218). The requirement for oil tankers of the same size (that is, those on international voyages) to be surveyed in accordance with the ESP Code will be implemented by way of amendments to the Merchant Shipping (Survey and Certification) Regulations 2015 (SI 2015/508) and those amendments will be made by the proposed Regulations.
  
  

• Regulation 3 – Ship Identification Number
  
  This regulation requires certain ships to have an IMO number and applies to all passenger ships of 100 gross tons and upwards engaged on international voyages and to all cargo ships of 300 gross tons and upwards engaged on international voyages. Additionally, this requirement applies to the following UK ships engaged on domestic voyages:
  
    -Class A passenger ships;
  
    -Class B passenger ships certified to carry more than 250 passengers; and
  
    -tankers which operate at sea.
  
  In December 2022 there were 492 UK ships on the UK Ship Register that would be in scope.
  
  Regulation 3 requires that the IMO number be permanently marked on the ship. This should be done during the construction of the ship and no separate (external) cost should be incurred.
  
  IMO Resolution A.1117(30) states that the Administration should provide an identification number under the IMO number scheme to new and existing ships under its flag engaged in international voyages. An Administration may also assign IMO numbers to ships engaged solely on domestic voyages. The assigned number must be inserted in the ship’s certificates. The proposed Regulations make it a requirement on the owner and operator of a ship, as well as on the master, to ensure that an IMO number is obtained for a ship, as well as to ensure that the number is inserted in the ship’s certificates (see regulation 7(1)).
  
  

• Regulation 3-1 Company and Registered Owner Identification Number
  
  Regulation 3-1 requires companies and registered owners of certain ships to have an identification number. The requirement applies to companies operating, and registered owners of, all passenger ships engaged on international voyages and to all cargo ships of 500 gross tons and above engaged on international voyages. Additionally, this requirement applies to the following UK ships engaged on domestic voyages:
  
    - Class A passenger ships;
  
    - Class B passenger ships certified to carry more than 250 passengers; and
  
    - tankers (of 500 gross tons or more) which operate at sea.
  
  The IMO Unique Company and Registered Owner Identification Number Scheme was adopted by Resolution MSC.160(78) in 2004 to improve ship safety, security, environmental protection, and fraud prevention. Its purpose is to assign each company and/or registered owner a permanent identifying number. The Scheme also contemplates that Administrations may also wish to assign IMO numbers to companies and registered owners of ships engaged solely in domestic trade. The proposed Regulations make it a requirement on the Company and owner of a ship to obtain this number, as well as to ensure that the number is inserted in the ship’s certificates (see regulation 8(1)).
  
  

• Regulation 5 – Continuous Synopsis Record
  
  Regulation 5 applies to all passenger ships engaged on international voyages and to all cargo ships of 500 gross tons and above engaged on international voyages. Regulation 9 of the 2024 Regulations incorporates this international requirement into UK law.
  
  The Continuous Synopsis Record (CSR) is a form of logbook that stays with the ship for its whole life and records all changes of owner, flag, name, Class, ISM details etc. The Company, owner and master of a ship must ensure that a copy of the whole CSR is kept on board the ship, even when it transfers to another flag State, is sold to another owner, is taken over by another bareboat charter, or another company assumes the responsibility of the ship operation. The CSR helps to prevent fraud and enhances safety by way of a complete ship record.
  
  Further guidance on the CSR will be available in guidance note MSF 5623A, which is included in this consultation as Annex C in Gov.UK.

2.3 The proposed Regulations will contain an ambulatory reference provision to allow all references to SOLAS in the Regulations to be read as the most up to date requirements. This means that any future updates made to the Convention will be given direct effect in the UK. The ambulatory reference provision will transpose future international requirements without gold plating or adding any additional obligations, making the process of implementing future amendments to the Convention into UK law a more efficient and cost-effective process for the UK Government, taxpayer and businesses.

For example, regulation 9(3) of the proposed Regulations provides that in the case of a United Kingdom ship, changes to the information referred to in paragraphs 3.4 to 3.12 in regulation 5 of Chapter XI-1, together with the history of the changes, must be provided to the Secretary of State for the purpose of amending the ship’s continuous synopsis record. Therefore, if the list of information in paragraphs 3.4 to 3.12 is added to, that additional information will automatically become a requirement without the need to amend the proposed Regulations. Notice of the change will always be provided.

2.4 The importance of implementing Chapter XI-1 into UK law is illustrated by the fact that the UK would be unable to take enforcement action against ships which are non-compliant with Chapter XI-1. It should also be noted that UK ships that do not comply with the requirements of SOLAS Chapter XI–1 are liable to be detained in an overseas port; such a situation should not arise where UK owners and operators already comply with these requirements.

It is recognised that, although all the requirements of Chapter XI-1 are not yet transposed into UK domestic law, the MCA is aware that UK ship owners and operators already comply with these requirements, including the ESP Code. As a result, the proposed Regulations are expected to have little or no impact on UK businesses and should not disproportionately burden any businesses, specifically small or micro businesses, leaving competition unaffected.

Summary of Options and Recommendations

2.5 As the proposed costs are below the £5m threshold per annum cost or benefit to business and the changes are non-controversial, an impact assessment is not required. However, the effect of the changes has been considered, as detailed below.

2.6 The following options were considered:

• Option 0 - “Do nothing”

This option is not seen as viable because:

1. there is a lack of legal certainty for operators due to differing international and domestic requirements; and
2. this does not provide a level playing field for UK operators.

• Option 1- Make legislation to give force in UK law to the unimplemented provisions of SOLAS Chapter XI-1, but not include an ambulatory reference provision.

This scenario involves making regulations to incorporate the currently unimplemented requirements of SOLAS Chapter XI-1. This would correct the current regulatory gap, but by not including an ambulatory reference provision, there is a risk of the UK falling behind in its implementation of certain future updates.

• Option 2 - Update legislation to give force in UK law to the unimplemented provisions of SOLAS Chapter XI-1, and include an ambulatory reference provision to enable amendments to Chapter XI-1 (and other references to SOLAS) to come into force at the same time as they take effect internationally.

This scenario would have the same outcome as Option 1; however, it will help to reduce the possibility of regulatory gaps occurring in the future.

Preferred option

2.7 Our preferred option is Option 2, as it corrects the outlined problems, with ambulatory reference being an efficient and effective way of keeping UK law in line with international law to the extent that there are convention references in the proposed Regulations and will assist in keeping the UK compliant in the future, mitigating against future backlogs.

Supporting Information

2.8 Marine Notices

It is intended to publish a Marine Guidance Note (MGN 660 (M)) to provide information on the IMO identification numbers and how to obtain them (included as Annex B to this consultation), as well as the separate guidance on the requirement for a continuous synopsis record (Annex C).

2.9 Sanctions: offences/penalties and detention

The Maritime and Coastguard Agency (MCA), as the UK’s maritime regulatory and enforcement authority, has responsibility for both delivering and enforcing the Government’s maritime policy relating to ships, seafarers and the seas around the UK. The MCA’s approach to breaches of maritime legislation relies on a range of civil and criminal remedies which, like in many other regulatory regimes in the UK, sit alongside each other to enable the MCA to take the most proportionate action in relation to a particular breach. The decision on what is the most proportionate approach is determined by matters such as the importance of the requirement being breached, the gravity of the contravention, the effect of the contravention on third parties etc.

2.10 The general policy approach, in line with the MCA’s published enforcement policy, is to use the civil sanctions available under the Merchant Shipping Act 1995 (such as improvement and prohibition notices) whenever possible before using criminal sanctions. The proposed Regulations contain a power to detain a ship (and therefore prevent it from being able to leave a UK port) in the event of a contravention of the requirements of the Regulations and pending rectification. It is expected that this power will provide a highly effective means of enforcing the requirements of the proposed Regulations, as well as a highly effective deterrent.

2.11 Maritime regulatory requirements govern both safety and pollution prevention. As such, their purpose includes the prevention of loss of life or injury to persons and the protection of the marine environment and adjoining coastlines. These very compelling objectives necessitate the availability of criminal sanctions in the more serious cases, and also provide a vital deterrent. For these reasons, criminal offences are included in the proposed Regulations. The offences are detailed in the table below.

The Merchant Shipping (Special Measures to Enhance Maritime Safety) Regulations 2024: offences and penalties

Provision in regulations/offence	Liability	Penalty
regulation 10(1)(a) – contravention of regulation 7(1) Ensuring that an identification number is obtained for the ship which conforms to the IMO ship identification number scheme and is inserted on the ship’s certificates	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(1)(a) – contravention of regulation 7(4) Ensuring that the ship’s identification number is permanently marked on the ship in accordance with regulations 3.4 and 3.5.1 to 3.5.3 of Chapter XI-1	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(2) – contravention of regulation 8(1) Obligation to obtain an identification number which conforms to the IMO unique Company and registered owner identification scheme and to ensure that it is inserted on the ship’s certificates	Company and owner	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(1)(b) – contravention of regulation 9(1) Obligation to ensure that a ship holds a Continuous Synopsis Record (CSR) which— (a) contains the information prescribed by paragraph 3 in regulation 5 of Chapter XI-1; (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)	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(1)(b) – contravention of regulation 9(2) Obligation (in relation to ships constructed before 1st July 2004) for the CSR to provide the history of the ship from 1st July 2004	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(1)(b) – contravention of regulation 9(3) Obligation to provide changes to the CSR information to the Secretary of State	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(3) - contravention of regulation 9(4)	Company and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(1)(b) – contravention of regulation 9(5) Obligation to maintain the CSR and not to modify, delete, erase or deface	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(4) – contravention of regulation 9(6) Obligation to notify the Secretary of State of a ship’s proposed new flag State regulation 10(1)(b) – contravention of regulation 9(7) Obligation to leave CSR on board when UK ship is transferred to another flag or ownership changes	Company	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(1)(b) – contravention of regulation 9(7) Obligation to leave CSR on board when UK ship is transferred to another flag or ownership changes	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(1)(b) – contravention of regulation 9(10)(a) Obligation to hold CSR on board the ship	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(1)(b) – contravention of regulation 9(11) Obligation to apply immediately for a replacement CSR where CSR lost	Company, owner and master	On summary conviction, a fine (up to statutory maximum in Scotland and NI) or on conviction on indictment, two years imprisonment or a fine or both
regulation 10(6) – contravention of regulation 9(10)(b) Obligation to have CSR readily available for examination at all times	Company, owner and master	On summary conviction— in England and Wales by a fine or in Scotland or NI by a fine not exceeding the statutory maximum; or on conviction on indictment by imprisonment for a term not exceeding six months, or a fine, or both.

Section 3: Responding to this consultation

3.1. There are specific questions highlighted in section 5 of this document and information on how to respond to this consultation document.

Consultees

3.2. Anyone may respond to this consultation and consideration will be given to all responses. We will be particularly interested to hear from:

• Shipping Companies, owners and operators
• Port Authorities

Duration

3.3. This consultation is open for eight weeks from 15 September 2023, the deadline for responses is 10 November 2023.

Submitting your response

3.4. The preference is for consultation responses to be emailed to HQ_maritimesecurity@mcga.gov.uk. Any questions should also be sent to this email address. You can also send in your response by post.

3.5. When responding, representative groups are asked to give a summary of the people and organisations they represent, and where relevant who else they have consulted in reaching their conclusions.

Freedom of Information

3.6. Information provided in response to this consultation, including personal information, may be subject to publication or disclosure in accordance with the Freedom of Information Act 2000 (FOIA) or the Environmental Information Regulations 2004.

3.7. If you want the information that you provide to be treated as confidential, please be aware that, under the FOIA, there is a statutory Code of Practice with which public authorities must comply and which deals, amongst other things, with obligations of confidence.

3.8. In view of this it would be helpful if you could explain to us why you regard the information you have provided as confidential. If we receive a request for disclosure of the information, we will take full account of your explanation, but we cannot give an assurance that confidentiality can be maintained in all circumstances. An automatic confidentiality disclaimer generated by your IT system will not, of itself, be regarded as binding on the Department/MCA.

3.9. The MCA will process your personal data in accordance with the data protection framework and, in the majority of circumstances, this will mean that your personal data will not be disclosed to third parties.

Data Protection

3.10. The MCA is carrying out this consultation to gather evidence to inform the development and implementation of policy and legislation under the enabling provisions of the Merchant Shipping Act 1995. This consultation and the processing of personal data that it entails is necessary for the exercise of our functions as a government department. If your answers contain information that allows you to be identified, under data protection law, the MCA, as an Executive Agency of the Department for Transport, will be the Controller for this information.

3.11. The MCA will use your contact details to send you information about the consultation, for example if we need to ask follow-up questions. You do not have to give us this personal information but if you do choose to provide it, it will not be used for any other purpose without your permission.

3.12. Details about how the MCA looks after personal data, your rights, how to complain, and how to contact our Data Protection Manager can be found on gov.uk at:

https://www.gov.uk/government/organisations/maritime-and-coastguard-agency/about/personal-information-charter

3.13. Your information will be kept securely on the MCA’s IT system and any written responses will be held in a secure file and cabinet and kept for up to five years, until a post-implementation review has been completed.

3.14. If you do not wish to remain on this list, please let us know at HQ_maritimesecurity@mcga.gov.uk

Section 4: Outline of plans beyond this consultation

4.1. Once this consultation closes, we will review all responses. In considering the responses we will apply appropriate weight to those from organisations and individuals with specialist knowledge of the subject area.

4.2. We will be analysing the responses during December 23 to February 24. Our aim is to publish an overview of the responses and the MCA’s comments by February 24, which will be available on www.gov.uk along with the consultation.

4.3. Where appropriate the draft Regulations/Guidance, accompanying guidance and impact assessment will be revised to take into consideration the consultation responses.

4.4. Our aim is for the Regulations to come into force in February 2024. The Regulations will be published on www.legislation.gov.uk

4.5. Every effort will be made to publish the revised accompanying guidance on gov.uk in advance of the Regulations coming into force.

4.6. An overview timetable is below for reference:

Section 5: Response form

The response form can be found here.

Section 6: Conduct of this consultation

6.1. This consultation has been conducted in accordance with the Cabinet Office Consultation Principles.

Consultation principles

6.2. The Cabinet Office Consultation Principles can be found at Consultation Principles 2018

Feedback on conduct of consultation

6.3. If you have any comments regarding the conduct of this consultation, please contact the Consultation Co-ordinator at consultation.coordinator@mcga.gov.uk.

6.4. We are continually trying to improve the way in which we conduct consultations and appreciate your views. We would be grateful if you could complete and return the attached feedback form. These should be submitted to the Consultation Co-ordinator and are not affected by the deadline for this consultation.

6.5 If you require this consultation in an alternative format, please contact either the Consultation Co-ordinator or the named official conducting this consultation.

The feedback form can be found here.