SCHOOL OF MARITIME STUDIES

DAPARTMENT OF PORTS AND SHIPPING AND LOGISTICS AND TRANSPORT

MANAGEMENT
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MARITIME ADMINISTRATION (MARAD)
COURSE OUTLINE
OBJECTIVE ONE
1. The Regulatory Framework of Maritime Administration
OBJECTIVE TWO
2. The Role of Intergovernmental Organizations
OBJECTIVE THREE
3. The Role of Nongovernmental Organizations
OBJECTIVE FOUR
4. National Maritime Infrastructure
OBJECTIVE FIVE
5. Flag State Control
OBJECTIVE SIX
6. Port State Control
OBJECTIVE SEVEN
7. Ship Registration
OBJECTIVE EIGHT
8. Maritime Administration in Developing Countries

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 BASIC FACTS ABOUT IMO

FOUNDATION AND PURPOSE

The Convention establishing the international Maritime Organization was adopted

on 6 March 1948 by the United Nations Maritime Conference which was convened
in Geneva on 19 February 1948. The Convention, then known as the Convention
on the Inter-Government Maritime Consultative Organization, entered into force
on 17 March 1958. The new Organization in was inaugurated on 6 January 1959
when the Assembly held its first session.

The name of the Organization was changed to the International Maritime

Organization in accordance with an amendment to the Convention which entered
into force on 22 may 1982.

The purposes of the Organization, as summarized by Article 1(a) of the

Convention, are “to provide machinery for co-operation among Governments in
the field of governmental regulation and practices relating to technical matters of
all kinds affecting shipping engaged in international trade; to encourage and
facilitate the general adoption of the highest practicable standards in matters
concerning maritime safety, efficiency of navigation and ships”. The Organization
is also empowered to deal with administrative and legal matters related to these
purposes.

The Organization has 158 Member States and two Associate members. The
membership of the Organization, as at 31 December 1999, is given in Annex 1.

STRUCTURE

The organization consists of an Assembly, a Council and four main Committees:

the Maritime Safety Committee; the Marine Environment; Protection Committee;
the Legal Committee; and the Technical Co-operation Committee. There is also a
Facilitation Committee and a number of Sub-Committees of the main technical
committees.

THE ASSEMBLY

This is the highest Governing Body of the Organization. It consists of all member
states and it meets once every two years in regular sessions, but may also meeting

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1. THE REGULATORY FRAMEWORK OF MARITIME ADMINISTRATION
EVOLUTION OF GLOBAL MARITIME STANDARDS
A regulatory framework is a set of ideas, principles, agreements, or rules that provide the basis or
outline for something intended to be more fully developed at a later stage.
Shipping is an international industry and thus depends on a global regulatory framework for it to
operate efficiently. On the international level, shipping is highly regulated by the International
Maritime Organization (IMO), which is responsible for the safety of life at sea, maritime security
and the protection of the marine environment. The International Labour Organization (ILO) in
addition establishes standards of employment and working conditions for seafarers. It is
important that regulations on such vital matters as construction standards, navigational rules and
crew qualifications are common to all ships in international trade.

NATIONAL MARITIME INFRASTRUCTURE

This basically deals with a county’s maritime industry. It encompasses both physical structures
(assets) and services. It includes shipping; ports/harbours; inland waterways; fishing; maritime
institutions; shipyards and dry-docks; ancillary industries (manufacture of safety equipment, etc).
NATIONAL MARITIME AUTHORITY
National Maritime Authority is a specialized executive arm of a maritime government,
irrespective of whether it is a developed or developing country, charged to implement or enforce
the regulatory (and allied) functions embodied in the national maritime legislation. It is a wing of
government responsible for the administration of all maritime activities. In particular, it must
implement and enforce those functions pertaining to registration of ships, maritime safety,
marine personnel, maritime casualty investigations and protection of the marine environment.
VITAL FUNCTIONS
The most vital functions of a national maritime administration are those intended to ensure:
safety of life at sea; safety to navigation; protection of the marine environment.
GENERAL FUNCTIONS OF MARITIME ADMINISTRATION (MARAD)
1. ADVISORY FUNCTIONS

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The administration must constantly advise the government in the preparation of maritime
policies and on all marine technical matters; policy making, especially, is expected to be a
political function.
2. ADMINISTRATIVE FUNCTION
The administration is expected to: ensure that it follows administrative and financial rules and
procedures just like other government agencies; ensure the implementation of policies by means
of giving administrative support.
3. REGULATORY FUNCTION
The regulatory function is normally carried out by the maritime safety administration. They are
expected to ensure: safety of lives, ships and property; security of lives, ships and property;
protection of the marine environment.
4. DEVELOPMENT AND PROMOTIONAL FUNCTION
Development functions contribute directly to maritime development. Firstly, policies should be
made that push the maritime development agenda. Then implementation of these projects and
constant evaluations should take place.

The policies may include:

 Assessment of the most suitable types and numbers of ships required to meet the scale of
development.
 Development of manpower needs of the shipping industry.
 Development of shipbuilding and repair facilities.
 Development of ancillary industries.
 Assessment of the suitability of national ports for the intended ships.
 Development of employment opportunities for maritime experts (trainees, seafarers etc).]

DEVELOPMENT OF MARITIME SAFETY ADMINISTRATION INFRASTRUCTURE

The maritime safety Administration (MSA) is the specialised executive arm of any maritime
government irrespective of wether it is developed or developing country whose responsibility is
to implement or enforce the regulatory ( and allied) functions embodied in the national maritime

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legislation, especially those pertaining to registration of ships, maritime safety, marine personnel,
maritime casualty investigations and protection of the marine environment.

Functions and Related Activities of an MSA

The most vital functions of an MSA are those intended to ensure the safety of life at sea, the
safety of navigation and the protection of the functions are expected to take the form of;
1. General superintendence and coordination
2. Registration of ships and relatedfunctions
3. Surveys, inspections and certifications of ships along with related activities.
4. Examination and certification of seafarers
5. Manning of ships
6. Conducting inquiries/ investigations of shipping casualties.
7. Dealing with matters pertaining to maritime search and rescue
8. Dealing with matters pertaining to prevention/control/combating of marine pollution.
9. Crew matters in general
10. Ensuring safety of fishing vessels and smaller crafts.
11. Dealing with wrecks in national jurisdiction
12. Advising the government on all technical matters relating to the maritime domain.
In order to enable the aforesaid multi-faceted (multidimensional) and highly specialised
functions to be carried out, there is the essential need for duly qualified and trained surveyors,
examiners and accident investigators to be appointed
1. General superintendence and Cordination
As in any administration, there is the need for a principal official to assume the responsibility
and to exercise the functions of general superintendence and work of MSA as a whole. Given the
primary functions of this administration, the official duly appointed and appropriately
empowered under statutory law. It is the practice of many countries to designate this official as
director general or director. Such an official obviously has to be the best available and, if
necessary he/she needs to be given the opportunities to be highly trained.
2. Registration of Ships and related functions
Registration of a ship is used as a evidence of the right to fly the flag of a state as well as of
ownership and mortgages. Thus the registration of a ship is very important since it accords

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nationality to the ship and serves as proof of title. The process of registration involves the
observance and formalities prescribed under national law resulting in the following:
- The registration being effected through appropriate entities made in the register books
maintain for the purpose.
- A certificate of Registry being issued.
Similarly, there are statutory provisions relating to attendant matters such as mortgages, transfer
of ownership, change of master etc. in order to ensure compliance with the relevant statutory
provisions and to perform the relevant functions registers of ship have to be appointed. Care has
to be taken to ensure that these registers are familiar with the statutory provisions and procedures
involved. See article 91, 92, 93, and 94 of UNCLOS 1982 for relevant discussion on the
registration for ships.
3. Survey Inspections and Certification of ships functions include;
1. Various types of periodical surveys/inspections of ships in accordance with relevant
international rules and regulations and national requirements and the issuance of one or more
certificates to each ship.
a. Passenger ship safety, certificate along with the record of equipment.
b. Cargo ship safety construction certificate
c. Cargo ship safety equipment certificate along with the record of equipment.
d. Cargo ship safety radio along with the record of equipment.
e. Safety certificate for cargo ships along with the record of equipment (this is an optional
substitute for the certificates mentioned in b,c,d above.
f. Load line certificate
g. Tonnage certificate
h. International pollution prevention certificate as per MARPOL.
i. International pollution prevention certificate for the carriage of noxious liquid substances
in bulk
j. Local cargo ship safety certificate for non-convention ships less than 500 grt
k. Exemption certificates where necessary
2. Intermediate surveys of ships so as to verify that the ships and their equipments continue
tobe maintained so as to warrant the continuation holding of appropriate certificates.
3. Inspections pertaining to port state control in relation to foreign ships.

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4. Inspections and detention of unseaworthy/unsafe ships.
5. Approval of various plans of new ships under construction.
6. Ensuring the development and manufacturing of marine equipment indeginously, and
approval of such equipment.
7. Coordinating the work of those classification societies to whom statutory functions have
been delegated as regards surveys of national ships.
8. Maintenance of technical records of national ships.
9. Dealing with request for exemptions from any statutory requirements
4. Examination and Certification of seafarers and manning of ships.
The standards of examinations for various grades of seafarers (officers and ratings) and their
appropriate certifications in any given country are intended to establish and provide proof of the
competence of the respectable seafarers concerned in terms of the levels at which they have to
perform duties or operate on ships. These intern constitute the 1st element which determines the
standards of safety and efficiency at which the ships of the countrys are operated.
While the human factorisawhole dominant in the operation of a ship, the professional
competence of aforesaid management. In view of the great impotance attached to the
examination an certification of seafarers, all progressive maritime countries have accepted some
as a direct responsibility ofthier governments through the MSA.
5. Inquiries and investigations into shipping casualties: the main purpose of an inquiry
/ investigation into a shipping casualty is to
1. ascertain the fact
2. obtain all relevant information
3. determine as precisely as possible the cause/causes of the casualty so as to enable the
government/MSA to take necessary steps to prevent as far as practicable the occurrence of
similar casualties in the future
6. prevention/control/combating of marine pollution
the dual role of MSA in the protection of the environment are;
- prevention of marine pollution from ships which could be operational or accidental.
- Participatory and cordinatory role in combating marine pollution
7. Maritime Search and Rescue:

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in search and rescue as in Marine pollution depending upon national policy and circumstances
obtaining in each country country, the MSA may have eitheracordinatory or participatory role. In
either case, the MSA needs to ensure that, there is necessary national contingency plan and
organisation to respond to maritime distress situations in waters adjacent to the country.
8. Crew matters, discipline, personal safety, health, wages and welfare etc (STCW,
labour, legislation, social welfare issues) etc. the part of national merchant shipping law relating
to employment of seafarers (crew members) has to suit their working environment and this
requires special treatment.
The ILO has provided a number of conventions/recommendations in the field of
Maritilmelabour.
9. Safety of fishing vessels and other small craft: this is often are neglected area in many
developing countries and deserves urgent attention by their respective MSA as it is an essential
part of their function. In thisconnection the necessary regulations have to be promulgated and a
system established for:
- The inspection and certification of at least safety equipment of fishing vessels and other
small craft and
- Competent manning of such vessels or craft.
10. Wrecks : The legal provisions dealing with wrecks in and around the coast of any given
country are quite capable of being interpreted and implemented by the marine officials of the
MSA
11. Advisory functions: this is a very important set of functions of an MSA especially in
developing countries. Therefore the officials concerned needs to be highly competent marine
officials versed with maritime matters.

GHANA’S MARITIME INFRASTRUCTURE

Ghana’s maritime infrastructure includes Tema and Takoradi ports; fishing harbor; fishing boats
and other crafts and vessels; RMU, Institute of Export and Ship Management; Volta Lake,
Ankobra River, etc; PSC Tema Shipyard etc.

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NATIONAL MARITIME AUTHORITY
(A CASE STUDY ON GHANA MARITIME AUTHORITY)
STRUCTURE AND ORGANIZATION
The Ghana Maritime Authority (GMA) was established under Act 631 of 2002 and charged with
the responsibility of monitoring, regulating and coordinating activities in the maritime
industry. The GMA is headed by a Director-General with a thirteen-member governing Board
made up of mainly institutional representatives from the key maritime agencies.
The Board shall consist of the following members appointed by the President in consultation
with the Council of State:
i. A Chairperson
ii. The Director-General of the Authority
iii. One representative of the Ministry of Roads and Transport
iv. One representative of the Fisheries Commission
v. One representative of the Ghana Navy
vi. One representative of the Volta River Authority
vii. One representative of the Environmental Protection Agency
viii. One representative of the Ghana Ports and Harbours Authority
ix. One person each from each of the following bodies nominated by the respective
members: 1) Ghana registered shipowners 2) Ghana Institute of Freight Forwarders 3) Ghana
Shippers Council, and
x. Two women with specialized knowledge in the maritime industry nominated by the
Minister.
Note that members of the Board nominated and appointed under paragraph (viii) of (viii) of
section (2) shall not be of a rank below that of a Director.
DIVISIONS OF THE GHANA MARITIME AUTHORITY
1. GENERAL MARITIME SERVICES DIVISION
The General Maritime Services Division coordinates all activities in connection with seafarers’
registration, training, examination, certification and welfare in addition to general maritime
duties. In addition, the division performs the following duties:
 Undertakes registration of Ghanaian seafarers, establishment and maintenance of
seafarers’ data bank.

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 Oversees matters pertaining to the engagement, discharge and welfare of seafarers.
 Plans, monitors and evaluates training programmes of seafarers to ensure conformity with
international maritime conventions.
 Ensures implementation of good occupational, health and safety practices for maritime
workers.
 Assesses the manpower needs of the industry including the training and development
requirements of seafarers.
 Ensures effective implementation of the provisions of the Merchant Shipping (Training,
Certification, Manning and Watch Keeping) Regulations, 2004 L I 1790.
 Supervises the conduct of examinations for Ghanaian seafarers for the issuance of
certificates of competency.
 Keeps seafarers’ examinations records and maintains seafarers’ examination questions
data bank.
 Processes documents for the issuance or endorsement of seafarers’ certificates, identity
documents and discharge books etc.
 Pursues the ratification or accession and implementation of international maritime
Conventions such as IMO and ILO Conventions in collaboration with other stakeholders.
 Regulates the activities of Freight Forwarders, Shipping Acts and similar services
providers.
2.TECHNICAL SERVICES DIVISION
The Technical Services Division is responsible for the effective coordination of the technical
services of surveys and inspections, environment and safety standards, security, search and
rescue, and hydrography and navigation. In addition the division performs the following duties:
 Conducts surveys and inspects ships.
 Prepares reports and recommendations for certification of ships.
 Enforces shipboard safety.
 Fulfills Flag and Port State control responsibilities.
 Enforces Technical and Operational Ship Standards.
 Controls ship-source pollution.
 Investigates accidents and casualties.

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 Collaborates with the General Maritime Services Division in the conduct of oral
examinations for seafarers.
3. INLAND WATERWAYS DIVISION
The creation of the Volta Lake in 1965 resulted in a situation where the inhabitants of the Volta
basin had to depend almost exclusively on lake transportation for their social and economic
activities. Over the year’s accidents on the lake have become rampant.
The Ghana Maritime Authority which been given the mandate to ensure the safety of
transportation on the lake has put in a number of measures to address the increasing incident of
lake accidents. These measures include:
 Naval Task – The Authority in collaboration with the Ministry of Harbours and
Railways and the Ghana Navy has deployed Task Forces of naval personnel in four boat landing
and embarkation stations at Tapa Abotoase; KeteKrachi, Dambai and Yeji. The Task Forces are
empowered to check overloading, improper loading, drunkenness and behavior of boat operators
and to prevent boat sailings in bad weather and after sunset. The Authority has initiated plans to
station similar task force at Dzemini and Kpando-Torkor during next half year. So far the effect
of this measure is yielding good results as more discipline has been restored to boat operations in
these areas and for the first in many years no boat accident had occurred even during the busy
Easter period when these accidents normally occur.
 Boat Inspections and Surveys – The Authority has intensified its programme of boat
surveys and inspections by its marine surveyors. As a result, old and weak structured boats have
been pulled out of operations. Existing and new boats have also been surveyed, marked with new
load lines and assigned maximum passenger and cargo carrying capacities to prevent
overloading.
 Educational Programme – A boat safety educational programme has also been drawn
up and will commence during the quarter. This programme is intended to train boat operators
who will ultimately be licensed by the Authority to operate on the Lake.
 Safety Code – A Lake Safety Code has been prepared by the Authority to provide
information and educating boat operators and users on safety issues. It is worth noting that for
the first time in the history of lake transportation, weather forecasts are now being sent to District
Assemblies through fax for use in boat sailings. This development has been made possible
through an arrangement between the Authority and the Ghana Meteorological Agency. It is also

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worth noting that for the first time in the history of the Lake there have been no reported
accidents since the beginning of the year 2009.
 Removal of Tree Stumps – The removal of tree stumps and charting up the Volta Lake
continue to be a top priority for the Authority. In furtherance of this objective government has
entered into contractual agreement with a foreign firm to remove tree stumps in fairways on the
Lake. Once the tree stumps are removed the Authority will initiate action to have the Lake
charted and the fairways buoyed to ensure safety of navigation. An operational boat has been
imported into the country to conduct feasibility studies for work to begin on the removal of the
tree stumps.
 Lake Safety Regulations – A draft regulation on the Volta Lake has also been prepared
with technical assistance from the IMO and is currently being finalized by the Attorney-
General’s Department for presentation to Parliament for passing.
OTHER PROGRAMMES
PORT STATE CONTROL – The Authority has initiated measures aimed at ensuring maximum
maritime safety and protection of the marine environment from ship source pollution. As a first
step the Authority has recruited six Captains (Master Mariners) to be used as Port State Control
officers and also for the implementation of Flag State measures. The Authority also intends to
implement fully the West and Central African Memorandum of Understanding on Port State
Control (Abuja MOU). The purpose of the MOU is to eradicate the operations of substandard
ships from the West and Central African shipping corridor by establishing a region capacity and
legal regime for the inspection of foreign ships calling at Ghanaian ports to ensure that such
ships are seaworthy and comply with international safety standards.
FLAG STATE IMPLEMENTATION–The Authority is mandated under its Establishment Act
to fulfill Ghana’s Flag State responsibilities. Consequently, a programme has been set up to
ensure that ships flying Ghanaian flags are seaworthy and that they comply with the requisite
international standards on safety. Annual statutory surveys are conducted on all Ghanaian ships
and those found to be seaworthy are appropriately certified in accordance with the provisions of
the Ghana Shipping Act 2003 (Act 645). To this end new surveyors have been recruited by the
Authority for the purpose of surveying these ships on the Ghanaian register and thereby ensure
an effective flag state implementation by the Authority. The Authority in consultations with the
Ghana Association of Marine Surveyors (GAMS) is engaging the services of additional marine

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surveyors so that they can complement the effort of the Authority’s surveyor in ensuring the
seaworthiness of Ghanaian ships.
Currently the Authority has a total of 364 ships on the Ghanaian register comprising the
following: Fishing Vessels – 298; Cargo Ships – 23; Small Crafts – 43.
PROMOTION OF THE GHANAIAN SHIPS REGISTRY – One of the major functions of the
Authority is to promote the Ghanaian ship register with a view to attracting investors to register
their ships under the Ghana flag. To ensure this objective the Authority is embarking upon an
Open Registry policy with a view to expanding the Ghanaian tonnage thereby increasing the
number of Ghana’s fleet. It is envisaged that the Open Registry System will generate substantial
revenue for the country and also provide employment for the numerous Ghanaian seafarers who
are trained at the Regional Maritime University.
MARITIME SECURITY – The safety and security of Ghanaian ships as well as foreign ships
calling at Ghanaian ports continue to be a priority for the Authority. Effective Flag and Port State
security programmes have been put in place by the Authority to ensure the security of Ghanaian
ships and ports. There have also been periodic inspections and visits to the ports by the Maritime
Security Coordinator of the Authority with the view to ensure effective compliance with the
provisions of the Ghana Maritime Security Act, 2004, (Act 675). It is to be noted that as a result
of these measures the security situation at both Tema and Takoradi ports are in a state that could
be described as commendable. As a further maritime security measure the Authority is also
initiating action for the establishment of an Automated Identification System (AIS) as well as
other electronic surveillance system over the Ghanaian coastline to monitor shipping activities
and also check acts of piracy and other illegal acts in the Ghana territorial waters.
SEAFARERS EXAMINATION AND CERTIFICATION – The Authority has responsibility for
conducting seafarers’ examinations and issuance of certificates of competency, authenticating
and validating certificates of competency as well as confirming sea service for prospective
students to be admitted to the Regional Maritime University. To ensure the effective
implementation of this mandate the Authority has restructured its seafarer’s examinations unit
with new or more qualified staff. It is expected that the unit will be further equipped with
communication links to facilitate contacts with other maritime administrations to ensure effective
verification and authenticity of certification of competencies issued to seafarers. Also certificates
of competency for seafarers as well as ships certificates in the various categories are being

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printed with full security features in the name of the Ghana Maritime Authority to ensure
effective implementation of Ghana flag state obligation.

MARITIME ZONES
IMO through UNCLOS 82 has outline the various international maritime zones.

NORMAL BASELINE: 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.
INTERNAL WATERS: Waters on the landward side from the baseline of the territorial sea form
part of the internal waters of a state.
TERRITORIAL SEA: Every state has the right to establish the breadth of its territorial sea up to
a limit not exceeding 12NM measured from the baseline.
The sovereignty of a coastal extends, beyond its land territory and internal waters and, in the case
of an archipelagic state, its archipelagic waters, to an adjacent belt of sea, described as the
territorial sea. This sovereignty extends to the air space over the territorial sea as well as to its
bed and subsoil. The sovereignty over the territorial sea is exercised subject to UNCLOS 1982
and to other rules of international law.
CONTIGUOUS ZONE: The contiguous zone may not extend beyond 24 NM from the baselines
from which the breadth of the territorial sea is measured.
In the contiguous zone, the coastal state may exercise control necessary to: prevent infringement
of its customs, fiscal, immigration or sanitary laws and regulations within its territory or
territorial sea; punish infringement of the above laws and regulations committed within its
territory or territorial sea.
EXCLUSIVE ECONOMIC ZONE: The EEZ shall not extend beyond 200NM from the
baselines from which the breadth of the territorial sea is measured.
DELIMITATION OF THE TERRITORIAL SEA BETWEEN STATES WITH OPPOSITE OR
ADJACENT COASTS
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

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which the breadth of the territorial sea of each of the two states is measured. This provision does
not apply, however, where it is necessary by reason of historic title or other special
circumstances to delimit the territorial seas of the two states in a way which is a variance
therewith.

RIGHTS, DUTIES AND OBLIGATIONS OF STATES WITH REGARDS MARITIME

ZONES
TERRITORIAL SEA
Subject to UNCLOS, ships of all states, whether coastal or landlocked, enjoy the right to
innocent passage through the territorial sea. Passage is innocent so long as it is not prejudicial
to the peace, good order or security of the coastal state. Passage of a foreign ship shall be
considered to be prejudicial to the peace, good order or security of the coastal state if in the
territorial sea it engages in any of the following activities:
1. Any threat or use of force against the sovereignty, territorial integrity or political
independence of the coastal state, or in any other manner in violation of the principles of
international law.
2. Any exercise or practice with weapons of any kind.
3. Any act aimed at collecting information to the prejudice of the defense or security of the
coastal state.
4. Any act of propaganda against the state.
5. The launching, landing and taking on board of any military device.
6. The loading or unloading of any commodity, currency or person contrary to the customs,
fiscal, immigration or sanitary laws and regulations of the coastal state.
7. Any act of willful and serious pollution.
8. Any fishing activities.
9. The carrying out of research and survey activities, etc.
DUTIES OF THE COASTAL STATES
1.The coastal state shall not hamper the innocent passage of foreign ships through the territorial
sea. In particular, they shall not:
 Impose requirements on foreign ships which have the practical effect of denying or
impairing the right of innocent passage.

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 Discriminate against ships of any other state or ships carrying cargoes of a particular
state.
2.The coastal state shall give appropriate publicity to any danger to navigation, of which it has
knowledge, within its territorial sea.
RIGHTS OF THE COASTAL STATE
1. The coastal state may take the necessary steps in its territorial sea to prevent passage
which is not innocent.
2. Where ships proceed to internal waters or call at a port facility outside internal waters, the
coastal state has the right to take necessary steps to prevent the breach of any conditions to which
admission of those ships is subject to.
3. Without discrimination against foreign ships, the coastal state may suspend temporarily
in specified areas of its territorial sea, the innocent passage of foreign ships if the suspension is
essential for the protection of its security.

EXCLUSIVE ECONOMIC ZONE

1. The coastal state has the right to explore and exploit, conserve and manage the natural
resources of the waters superjacent to the seabed, and the seabed and its sub-soil, and with regard
to other activities for economic exploration and exploitation of the zone, such as the production
of energy from the water.
2. The coastal state has jurisdiction with regards to:
a. Establishment and use of artificial islands, installations and structures
b. Marine scientific research
c. Protection and preservation of the marine environment.
MEANING OF INNOCENT PASSAGE
Innocent passage is that which is not prejudicial to the peace, good order or security of the
coastal state. Such passage shall take place in conformity with UNCLOS and with other rules of
international law.
INNOCENT PASSAGE IN THE TERRITORIAL SEA
Subject to UNCLOS 82, ships of all states, whether coastal or land-locked, enjoy the right of
innocent passage through the territorial sea. Passage means navigation through the territorial sea

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for the purpose of: traversing that sea without entering internal waters or calling at 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.

5. PORT STATE CONTROL

It is known that the responsibility for ensuring that ships comply with the provisions of the
relevant instruments rests upon the owners, masters and the flag States. Some flag States fail to
fulfill their commitments contained in agreed international legal instruments and subsequently
some ships are sailing in an unsafe condition, threatening lives as well as the marine
environment.
Port State Control is a system of harmonized inspection procedures designed to target
substandard ships with the main objective being their eventual elimination. Port State Control
(PSC) is the inspection of foreign ships in national ports for the purpose of verifying that the
condition of the ship and its equipment comply with the requirements of international
Conventions and that the ship is manned and operated in compliance with applicable
international laws.
The authority for exercising Port State Control is the national law based on relevant
Conventions. It is therefore necessary for a port state to be party to those Conventions and to
have promulgated the necessary legislation before exercising Port State Control. In accordance
with the provisions of the applicable Conventions, parties may conduct inspections on foreign
ships in their ports through Port State Control Officers (PSCOs).
COOPERATION BETWEEN FLAG STATE AND PORT STATE
Having recognized that the main responsibility lies with the flag State on the one hand and the
inability for a variety of reasons of some of flag States to meet, entirely, their obligations under
the Conventions resulting in the existence of substandard ships it is imperative to develop close
cooperation between flag States and port States.
It is a fact that the most important largest Registries have become so due to the attraction of ships
whose beneficial ownership belongs to traditional maritime countries which again, for a variety
of reasons have chosen a particular port of regulation as oppose to others. It is in the best interest
of all to develop effective flag State/port State interfaces for the sake of safe shipping.

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FEATURES OF PORT STATE CONTROL (PSC)
1. The prime responsibility for compliance with the requirements laid down in the
international maritime Conventions lies with the shipowner/operator; responsibility for ensuring
such compliance remains with the flag State.
2. The member countries in each MOU agree to inspect a percentage of the estimated
number of individual foreign merchant ships, which enter their ports.
3. IMO and ILO Conventions provide the basis for inspections under the MOUs.
4. In general ships will not be inspected within six months of a previous inspection in a
MOU port, unless there are clear grounds for inspection.
5. All possible efforts are made to avoid unduly detaining or delaying a ship.
6. Inspections are generally unannounced.
SELECTION OF SHIPS FOR INSPECTION
Everyday a number of ships will be selected for a port State control inspection throughout the
region. To facilitate such selection, the MOU’s central computer database, is consulted by
PSCOs for data on ships’ particulars and for the reports of previous inspections carried out
within the region. If a ship has been inspected within the MOU’s region during the previous six
months and, on that occasion, was found to comply, the ship will in principle be exempted from
further inspection, unless there are clear grounds to warrant further investigation.
In selecting ships for inspection the MOU Authorities will give priority to:
 Ships visiting a port of a State, the Authority of which is a signatory to the Memorandum,
for the first time or after an absence of twelve (12) months or more. In the absence of appropriate
data for this purpose, the Authorities will rely upon the available data in the information system
and inspect those ships which have not been registered in that information;
 Ships flying the flag of a State appearing in the three-year rolling average table of above-
average detentions and delays published in the annual report of the MOUs;
 Ships which have been permitted to leave the port of a State, the Authority of which is a
signatory to the Memorandum, on the condition that the deficiencies noted must be rectified
within a specified period, upon expiry of such period; ships which have been reported by pilots
or port authorities as having deficiencies which may prejudice their safe navigation;

18
 Ships whose statutory certificates on the ship’s construction and equipment, issued in
accordance with the relevant instruments and the classification certificates, have been issued by
an authorization which is not recognized by the Authority;
 Ships carrying dangerous or polluting goods, which have failed to report all relevant
information concerning the ship’s particulars, the ship’s movements and concerning the
dangerous or polluting goods being carried to the competent authority of the port and coastal
State;
 Ships which are in a category for which expanded inspection has been decided;
 Ships which have been suspended from their class for safety reasons in the course of the
preceding six months.
WHO BOARDS A SHIP TO CARRY OUT PORT STATE CONTROL?
Port State Control is carried out by a Port State Control Officer (PSCO). The Port State Control
Officer is a properly qualified person, authorized to carry out port State control inspections in
accordance with the MOU’s and relevant instruments, by the maritime authority of the port State
and acts under its responsibility. All Port State Control Officers carry an identity card, issued by
their maritime authorities. Training seminars for PSCOs are organized to ensure effective and
harmonized inspection procedures, which are followed throughout the MOU’s regions. These
seminars keep PSCOs informed of new technical developments and amendments to the MOUs.

PORT STATE CONTROL INSPECTION PROCEDURES

A port State control visit on board a ship will normally start with, as a minimum and to the extent
applicable, examination of the following documents:
1. International Tonnage Certificate (1969);
2. Passenger Ship Safety Certificate;
3. Cargo Ship Safety Construction Certificate;
4. Cargo Ship Safety Equipment Certificate;
5. Cargo Ship Safety Radio Certificate;
6. Exemption Certificate;
7. Cargo Ship Safety Certificate;
8. Document of Compliance (SOLAS 74, regulation II-2/54);
9. Dangerous Goods Special List or Manifest, or Detailed Stowage Plan;

19
10. International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk, or the
Certificate of Fitness for the Carriage of Liquefied Gases in Bulk, whichever is appropriate;
11. International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk, or
the Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk, whichever is
appropriate;
12. International Oil Pollution Prevention Certificate;
13. International Pollution Prevention Certificate for the Carriage of Noxious Liquid
Substances in Bulk;
14. International Load Line Certificate (1966);
15. International Load Line Exemption Certificate;
16. Oil Record Book, parts I and II;
17. Shipboard Oil Pollution Emergency Plan;
18. Cargo Record Book;
19. Minimum Safe Manning Document;
20. Certificates of Competency;
21. Medical Certificates (See ILO Convention No. 73);
22. Stability Information;
23. Safety Management Certificate & copy of Document of Compliance(SOLAS Chapter IX)
24. Certificates as to the ship’s hull strength and machinery installations issued by the
classification society in question (only to be required if the ship maintains its class with a
classification society);
25. Survey Report Files (in case of bulk carriers or oil tankers in accordance with resolution
A.744 (18));
26. For Ro-Ro passenger ships, information on the A/A max ratio;
27. Document of Authorization for the Carriage of Grain;
28. Special Purpose Ship Safety Certificate;
29. High-Speed Craft Safety Certificate and Permit to Operate High-Speed Craft;
30. Mobile Offshore Drilling Unit Safety Certificate;
31. For Oil Tankers, the record of Oil Discharge Monitoring and Control System for the last
ballast voyage;
32. The Muster List, Fire Control Plan and Damage Control Plan;

20
33. Ship’s Log Book with respect to the records of tests and drills and the log for records of
inspection and maintenance of life-saving appliances and arrangements;
34. Procedures and Arrangements Manual (chemical tankers);
35. Cargo Securing Manual;
36. Certificate of Registry or other document of nationality;
37. Garbage Management Plan;
38. Garbage Record Book;
39. Bulk Carrier Booklet (SOLAS Chapter VI regulation 7); and
40. Reports of previous port State control inspection.
In addition, the Port State Control Officer (PSCO) conducts a general inspection of several areas
on board to verify that the overall condition of the ship (including the engine room and
accommodation, and including hygienic conditions) complies with that required by the various
certificates. If valid certificates or documents are not on board, or if there are ‘clear grounds’ to
believe that the condition of a ship, its equipment or its crew does not substantially meet the
requirements of a relevant Convention, a more detailed inspection will be carried out. If the ship
is found to comply, the PSCO will issue a ‘clean’ inspection report to the master of the ship.
Next, the data of the respective ship and the inspection result will be recorded on the MOU’s
central computer database.
GROUNDS FOR A MORE DETAILED INSPECTION
Clear grounds for a more detailed inspection are, amongst others:
1. A report or notification by another authority;
2. A report or complaint by the master, a crew member, or any person or organization with a
legitimate interest in the safe operation of the ship, unless this complaint is clearly deemed to be
unfounded;
3. Other indications of serious deficiencies.
In addition, there are requirements for expanded inspections for bulk carriers and tankers above a
certain age and for passenger ships. With regards to complaint received from masters or crew
members, the port State control authority receiving such complaint has the obligation not to
disclose the source of information. In other words, masters or crew members will not face risk of
reprisal.

21
DEFICIENCIES, DETECTION AND RECTIFICATION
When deficiencies are found during the inspection, the nature of the deficiencies and the
corresponding action taken are filled in on the inspection report. Some examples of actions taken
are: ‘master instructed to rectify deficiency before departure’, ‘ship detained’, ‘flag State
informed’, etc. In principle, all deficiencies must be rectified before departure of the ship. It is up
to the professional judgment of the PSCO to decide that he has to board the ship on a second
occasion to check personally if all deficiencies have indeed been rectified.

MAIN CRITERIA FOR THE DETENTION OF A SHIP

1. A ship which is unsafe to proceed to sea will be detained upon the first inspection,
irrespective of the time the ship is scheduled to stay in port.
2. The deficiencies on a ship are so serious that they will have to be rectified before the ship
sails.
3. In case deficiencies are clearly hazardous to safety, health or the environment, the
maritime authorities will ensure that the hazard is rectified before the ship is allowed to proceed
to sea and for this purpose they will either detain the vessel or issue a formal prohibition of a
ship to continue an operation. The flag State will be notified as soon as possible.
4. If deficiencies cannot be remedied in the port of inspection, the maritime authority may
allow the ship to proceed to another port, subject to any appropriate conditions determined by the
maritime authority of the port of departure, with a view to ensuring that the ship can so proceed
without unreasonable danger to safety, health or the environment. In this case a follow-up
inspection will normally be carried out in this respective port.
5. In the event of a detention of a ship, the PSCO will note information on the owner or
operator of the vessel at the time of the detention.
6. The master will be asked to sign to confirm this information.
7. When a ship has been detained all costs accrued by the port State to inspect the ship will
be charged to the owner or the operator of the ship or to his representative in the port State.
8. The detention shall not be lifted until full payment has been made or a sufficient
guarantee has been given for the reimbursement of the costs.

22
9. The owner or the operator of a ship has a right of appeal against a detention decision
taken by the port State authority. An appeal will not however result in the detention being
immediately lifted.
10. On the conclusion of an inspection, the master of the ship will be provided with a
document, which will indicate the results of the inspection and details of any action required to
be taken.
INFORMATION EXCHANGE
Whether or not deficiencies are found, all details from each inspection report are entered in an
advanced MOU’s central computer database. This database can be accessed by all ports in the
MOU’s region to consult inspection files, to insert new inspection reports or to use the electronic
mail facility.

6. FLAG STATE CONTROL

In international customary maritime law, it is incumbent upon any State which allows the
registration of vessels under its flag to effectively exercise its jurisdiction and control in
administrative, technical and social matters over ships flying its flag [UNCLOS Art 94].
The flag State is required to take such measures for ships flying its flag as are necessary to
ensure safety at sea with regard to (inter alia) construction, maintenance and seaworthiness,
manning, labour conditions and crew training, prevention of collisions. Specifically, in relation
to the monitoring of condition of vessels on the flag, such measures shall include those necessary
to ensure that each ship is appropriately surveyed as to condition, equipment and manning.
Art 94.5 then imposes a duty on flag States to take any steps which may be necessary to secure
observance with generally accepted international regulations, procedures and practices. The
obligation is repeated in relation to oil pollution in Art. 217. This is achieved in the main by the
flag State issuing the vessel’s safety certificates indicating compliance with the main
international Conventions, without which it is all but impossible to trade the ship world-wide.
And it is these certificates which are the key to the port State control inspection system.
ROLE OF THE FLAG STATE
INFRASTRUCTURE
A flag State should clearly have infrastructure, in terms of qualified and competent staff, offices
and equipment, to meet its obligations under international treaties. Different flags have different

23
approaches, e.g. staffing may depend on the extent to which flags delegate certain functions to
bodies such as classification societies. But if a flag State does not appear to have separate
inspection or crewing departments, for example, it is possible that the flag’s only effective
function may be the collection of registration fees.

INTERNATIONAL MARITIME TREATIES

All flag States should endeavor to ratify the principal international maritime treaties, including
those adopted by IMO and ILO. As a minimum, flag States should be expected to have ratified
the following core international maritime Conventions:
1. International Convention for the Safety of Life at Sea, 1974 as amended, including the
1988 Protocol, the international Safety Management (ISM) Code and the International Ship and
Port Facility Security (ISPS) Code (SOLAS 74).
2. International Convention for the Prevention of Pollution from Ships, 1973 as modified by
the Protocol of 1978, including Annexes I – VI (oil, bulk chemicals, dangerous packaged goods,
sewage, garbage and atmospheric pollution) (MARPOL 73/78).
3. International Convention on Load Lines, 1966, including the 1988 Protocol (LL66).
4. International Convention on Standards of Training, Certification and Watchkeeping for
Seafarers, 1978 as amended, including the 1995 amendments (STCW 78).
5. International Labour Organization Merchant Shipping (Minimum Standards) Convention
1976, including the 1996 Protocol (ILO 147), until superseded by the Maritime Labour
Convention, 2006.
6. International Convention on Civil Liability for Oil Pollution Damage, 1992, and the
International Convention on the Establishment of an International Fund for Compensation for Oil
Pollution Damage, 1992 (CLC/Fund 92).
In addition to the core maritime Conventions mentioned above, and the United Nations
Convention on the Law of the Sea (UNCLOS), flag States are particularly encouraged to ratify
and implement the following more specific IMO Conventions:
1. Control and Management of Ships’ Ballast (BWM)
2. Anti-fouling Systems (AFS)
3. Limitation of Liability for Maritime Claims (LLMC) and its 1996 Protocol

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4. Liability and Compensation for Damage in Connection with the Carriage of Hazardous
and Noxious Substances by Sea (HNS), and
5. Civil Liability for Bunker Oil Pollution Damage (Bunkers).
IMPLEMENTATION AND ENFORCEMENT
As a minimum, it is reasonable to expect flag States to have implemented the detailed
requirements of the international maritime treaties listed above, and to have established effective
mechanisms for their enforcement. For example, SOLAS, amongst other Conventions, provides
for regular ship surveys and the issue of certificates of compliance by the flag State, while
STCW requires certification of crew competence.
A simple means of assessing the extent to which international regulations are being properly
enforced is through an examination of externally published data concerning the performance of
ships registered with particular flags, and port State control data.
SUPERVISION OF SURVEYS
In accordance with IMO Resolution A.739, flag States should establish appropriate controls over
organizations, such as classification societies, nominated to conduct statutory surveys of ships on
their behalf. Such controls should include determining that the organization has adequate
resources for the tasks assigned, and entering into a formal written agreement covering the issues
specified in A.739. Flag States should specify instructions detailing actions to be followed in the
event that a ship is not found fit to proceed to sea, and provide information concerning national
regulations that give effect to international maritime Conventions. Verification and monitoring
system should also be established to ensure the adequacy of work performed by organizations
acting on a flag State’s behalf.
The delegation of statutory survey work should be restricted to ‘Recognized Organizations’ that
comply with IMO Resolution A.739. In practice this will usually mean internationally
recognized bodies, such as members of the International Association of Classification
Societies (IACS).

SAFE MANNING AND SEAFARERS’ WORKING HOURS

Flag States should approve safe manning levels for ships flying their flag and issue safe manning
documents, in accordance with the provisions of IMO Resolution A.8902. Flag States should
strictly enforce minimum seafarers’ rest hours that comply with the ILO Maritime Labour

25
Convention (MLC 2006) in addition to the IMO STCW Convention. Flag States should require
work/rest hours to be recorded in accordance with joint IMO/ILO Guidance.
CASUALTY INVESTIGATIONS
In accordance with IMO Resolution A.849, and taking into account the provisions of SOLAS
and MARPOL, a flag State should carry out investigations of any ‘serious’ and ‘very serious’
casualty occurring to its ships, as soon as possible after the casualty. Flag States should also
cooperate with other nations investigating casualties in which ships flying its flag may be
involved. The relevant findings of such investigations should be forwarded promptly to IMO,
and should be made available to the industry and other interested parties.
PARTICIPATION AT IMO AND ILO MEETINGS
In order to keep appraised of the latest international maritime regulatory developments (and
contribute to the decisions made by IMO), flag States should be expected to attend all meetings
of the following IMO committees: Maritime Safety Committee (MSC), Marine Environment
Protection Committee (MEPC), Legal Committee (LEG), and Biennial meetings of the IMO
Assembly.
If possible, flag states should also participate in IMO Diplomatic Conferences and relevant
technical sub-committees of IMO, including the sub-committee on Flag State Implementation, as
well as major maritime meetings of the ILO. All flag States, particularly those from developing
countries which might benefit from technical assistance programmes, should also be encouraged
to attend meetings of the IMO Technical Cooperation Committee.

7. SHIP REGISTRATION
International law lays down a number of rules providing a framework for the exercise of the
freedom of the seas. It looks to individual States to ensure compliance with those rules. A
cardinal principle is that jurisdiction over the vessel on the high seas resides solely with the State
to which the vessel belongs. A second principle is that all vessels using the high seas must
possess a national character. The term generally used to describe the attribution of national
character to a vessel is registration, meaning the entry of the vessel in the public records of the
State. Every State maintains registers in which particulars of the merchant vessels possessing its
nationality are entered into. Individual States fix conditions for registration which is a
precondition for the flying of the national flag and the issue to the vessel of a wide range of

26
documents evidencing both its nationality and its right to operate. The expressions “nationality”,
“flag” and “registration” are often used as if they were much the same. However, they each have
a distinct and essential meaning in so far as they all relate to the identification and exercise of
jurisdiction over ships.
DEFINITIONS
Nationality: A vessel may be considered as possessing the nationality of a State even if it is
unregistered and has no documents evidencing that nationality. Thus, the United Kingdom
Merchant Act 1894, prior to its amendment by the Merchant Shipping Act 1988, defined a
British ship purely in terms of ownership, whether or not it has been registered as the Act
required. The effect was to make compulsory the registration of British-owned ships in the
Register of British Ships, provided that the shipping company had its principal place of business
in Mainland Britain or one of the British crown dependent territories. Following the amendment
of the 1894 Act in 1988, for ships to obtain British nationality can only be assumed by
registration.
Registration means an entry into the public records.It is the key element both because of the
legal consequences and because, historically, registration has attracted important advantages in
terms of tax treatment and laid down the degree of flexibility or otherwise permitted to the
individual shipowner and operator. It has both private and public law functions.
Public law concerns the framework of government, the actions of public officials and relations
between individuals and the State. It sees the ship in a dynamic sense carrying with it the
sovereignty of the State whose flag it flies. It is with these functions that the majority of
international Conventions of the sea are concerned.
The public law functions of registration are to:
1. Allocate a vessel to a specific State and make it subject to a single jurisdiction for the
purposes, for instance, of safety and environmental regulation, crewing discipline onboard, etc.
2. Confer the right to fly the national flag.
3. Give rights to diplomatic protection and consular assistance by the flag State.
4. Give other rights, for example, in regard to access to cargoes or other business activities
(for example, exploration of fishing within the State’s territorial waters or coastal trading).

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On the other hand, private law deals with the relations and interests of, and the settlement of
disputes between individuals. It sees the ship as an item of moveable property over which one or
more persons may have rights which the law considers worthy of protection.
The private law functions of registration are:
1. Protect the title of the registered owner.
2. Protect the title of, and preserve the priorities between persons holding security interests
over the vessel such as mortgages.
Flag: The flying of the national flag is visible evidence and a symbol of the ship’s nationality
and registration. In the words of the 1958 Convention: “ships have the nationality of the State
whose flag they are entitled to fly”. The national flag of the vessel should be flown from the
stern whenever the identification of the ship’s national character may be required. This would
certainly be the case when sailing through national waters of a foreign State, in ports, roadsteads
or through busy waterways and in circumstances where the national laws of the ship require that
the flag be flown. However, outside these cases where the hoisting of the flag is necessary or
useful to aid identification, there seems to be no obligation in international law for the vessel’s
national flag to be flown at all times on the high seas. Flag is also used as shorthand for the
allocation of nationality to a vessel and for the assumption of exclusive jurisdiction and control
by the State over the vessel.
FLAGS OF CONVENIENCE OR OPEN REGISTERS
A ship is said to be flying a flag of convenience if it is registered in a foreign country “for
purposes of reducing operating costs or avoiding government regulations”. The term has been
used since the 1950s and refers to the flag a ship flies to indicate its country of registration. The
country of registration determines the laws under which the ship is required to operate and that
are to be applied in relevant admiralty cases.
BACKGROUND
Today, more than half of the world’s merchant ships (measured by tonnage) are registered under
so-called flags of convenience, formally referred to as “Open Registries”. The reasons for
choosing an open register are varied and include protection from taxes, the avoidance of national
regulations, labour wage scales or political boycotts. For example, the avoidance of the 50% duty
the U.S. government charges on repairs performed on American-flagged ships in foreign ports.

28
Again, in South Africa under apartheid, local shipowners utilized open registers to avoid
shipping boycotts.
Globalization has significantly influenced the mechanics of world trade and has affected the
owning and operating structures of merchant ships. Long gone are the days when most shipping
companies had a single national shareholding and operating base and operated under a single
flag. Ships are now more commonly owned by multinational corporations though extensive
private family-controlled shipping ventures still feature strongly. For all types of shipping it is
common for different aspects of ship operation – for example, technical or crew management,
chartering, marketing – to be located in different countries. Opponents argue that flags of
convenience “do not enforce safety standards, minimum social standards or trade union rights for
seafarers”.
HISTORY
Although the concept of flags of convenience has a long history, for example, American
shipowners from both sides in the American Civil War used the British flag, the modern concept
began in 1919 when the Belen Quezada became the first foreign-owned vessel to register with
the Panamanian registry. Several US ships followed suit in 1922. The registry slowly grew over
the next 15 years, mostly due to transfers from European flags. In the late 1940s several factors
led US shipowners to become unhappy with the registry, and there became a demand for a new
registry that could compete with Panama.
The Liberian registry was formed in 1948 with the help of American businessman. Stavros
Niarchos, a Greek shipowner, registered the first ship (the World Peace) with Liberia in 1949.
More shipowners followed suit, and the registry slowly grew and provided the competition that
shipowners were looking for.
As of 2010 the three largest ship registries are Panama, Liberia and the Bahamas, all open
registers. Of these, Liberia and Bahamas are judged by international safety organizations as
“white-listed” flags indicating above-average safety performance. There is nowadays no
consistent correlation between open register and ship safety while most of the flags with
consistently poor safety records are open registers, other registers categorized as open by the ITF
have better records than most conventional national registers. In 2008, the Paris MOU on Port
State Control showed Bermuda at the top of their “white-list”.

29
OPPOSITION
By Labour Groups: The International Transport Workers’ Federation (ITF) website says that
“FOCs provide a means of avoiding labour regulation in the country of ownership, and become a
vehicle for paying low wages and forcing long hours of work and unsafe working conditions.
Since FOC ships have no real nationality, they are beyond the reach of any single national
seafarers’ trade union”. They also accused such ships of having low safety standards and no
construction requirements.
By Environmental Groups: Several environmental groups have also campaigned against Flags
of Convenience in regard to their use by illegal fishing operations. Opponents argue that many of
the countries that allow foreign-owned vessels to fly their flag lack the resources or the will to
properly monitor and control those vessels. The Environmental Justice Foundation (EJF)
contends that illegal, unreported and unregulated (IUU) fishing vessels use Flags of Convenience
to avoid fisheries regulations and controls. Flags of Convenience help reduce the operating costs
associated with legal fishing methods, and help illegal operators avoid prosecution and hide
beneficial ownership. As a result, Flags of Convenience perpetuate IUU fishing which has
extensive environmental, social and economic impacts, particularly in developing countries. The
EJF is campaigning to end the grant of Flags of Convenience to fishing vessels as an effective
measure to combat IUU fishing.
SUPPORT
Supporters of Flags of Convenience argue that where a vessel is engaged in international trade it
should be free to register in the jurisdiction which best suits its commercial model. Proponents
argue that the choice of flags allows companies to take advantage of another country’s
infrastructure and the efficiencies of effective and non-bureaucratic maritime administrations
typically offered by the prominent open registers.
Another open registry allows a Norwegian owner access to US public finance, Japanese
shipbuilding expertise with Scottish and Hong Kong ship managers, while employing skillful
crew from Philippines, India or China. Before the open registry system, national flags required
national ownership, national construction and national crew. Flags of Convenience enable both
lower costs of registration and maintenance. This in turn reduces overall transportation costs.
Many nations, categorized either as open or national registries, effectively implement and
enforce the international treaties of the IMO such as the International Convention for the Safety

30
of Life at Sea (SOLAS), International Convention for the Prevention of Pollution from Ships
(MARPOL), Standards of Training, Certification and Watchkeeping (STCW), and the
International Ship and Port Facility Security Code (ISPS), all of which require minimum
standards for vessels trading internationally. Further, several open registers including Liberia
have ratified the ILO’s Consolidated Maritime Convention of 2006, which specifically protects
the interest and rights of seafarers. National registries have yet to ratify this international treaty.
SHIP REGISTRATION CONVENTION, 1986
In addition to pressures on open register countries in terms of standards, during the late 1970s
concern grew among other developing countries that the existence of Flags of Convenience or
open registers in some way denied them the opportunity to expand their shipping fleets and
obtain shipping cargoes. These political pressures gave rise to two studies by the UNCTAD
secretariat, authorized by its shipping committee the 5th UNTAD Conference in Manila in 1979.
The first was on the “repercussions of phasing out open registry fleets” and the second was on
the “mechanisms for regulating the operations of open registry fleets”. The UNCTAD secretariat
was perceived at the time, to be in favour of phasing out flags of convenience. There followed a
protracted and difficult series of UNCTAD meetings and conference sessions; in all, 23 weeks of
meetings spread over 8 years in which the future of the open registry was put on trial. This led to
the adoption of the “International Convention on Conditions for Registration of Ships, 1986”.
The original objective was to phase out flags of convenience but it finally fell away in favour of
a formal agreement on a number of “conditions under which a ship should be accepted for
registration by a flag State”.
The most contentious issues in the Ship Registration Convention are:
Ownership or manning criteria: There were long debates on the degree to which a ship
registered should either be owned or crewed in the flag State. The countries that were hostile to
open register operations sought tight nationality requirements with regard to both. Those wishing
to maintain the option of registering away from the country of ownership argued for greater
flexibility and for total discretion to remain with the flag State. Under the Convention, each
contracting party has to decide to apply either an ownership or crew-nationality criterion. States
may of course apply both. Thus, appropriate provisions must be made for participation by flag
State interests in the ownership of registered ships; these must include the level of that
participation and be sufficient to enable the flag State to exercise jurisdiction and control.

31
Alternatively, a flag State must observe the principles with regard to manning, in that, a
satisfactory part of the complement consisting of officers and crew of its registered ships should
be national or residents. The Convention explicitly allows persons of other nationalities to serve
on board their registered ships and calls for training of flag State nationals to be promoted.
Management: The Convention requires the flag State to ensurethat the company which owns or
operates the registered ship is either established in its territory or at least has a representative
person or company there, which can be held accountable legally for the owner’s responsibilities,
including any financial obligations.
REGISTER OF SHIPS (ARTICLE II)
According to Article II of the above-mentioned Convention, a State of registrations shall
establish a Register of Ships flying its flag, and shall be maintained in a manner determined by
the State and by the provisions of the Convention. Ships entitled to fly the flag of a State must be
entered into the Register in the name of the owner or owners, or where national laws provide, the
bareboat charterer.
The Register shall record the following:
1. The name of the ship and the previous name and registry, if any.
2. The place or port of registration or home port, and the official number or mark of
identification of the ship.
3. The international call sign of the ship, if assigned.
4. The name of the builders, place of build and year of building of the ship.
5. The description of the main technical characteristics of the ship.
6. The name, address and nationality of the owner or of each of the owners.
7. The date of deletion or suspension of the previous registration of the ship, if applicable.
8. The name, address and nationality of the bareboat charterer.
9. The particulars of any mortgages or other similar charges upon the ship.
10. If there is more than one owner, the proportion of the ship owned by each.
11. The name, address and nationality of the operator, when the operator is not the owner or
the bareboat charterer.
8. MARITIME ADMINISTRATION IN DEVELOPING COUNTRIES
FUNCTIONS OF MARITIME ADMINISTRATION
-Enforcement of policies,

32
-Port state control,
-Ship registration
-Advisory
-Administrative
-Regulatory
-Developmental
-Promotional.
CHARACTERISTICS OF A DEVELOPED COUNTRY
High standard of living, Facilities, High per capita income, Advanced technology.
CHARACTERISTICS OF MARAD IN DEVELOPING COUNTRIES
1. Under-resourced: technology, infrastructure, funding, training facilities, human resource.
2. Bureaucracy: red tape
3. Corruption: bribery, nepotism
4. Poor enforcement of regulations
5. Low accountability
6. Political interference: change of government
7. Lack of pertinent policies
8. Lack of professionalism (attitude towards work)

DEVELOPMENT OF MARITIME SAFETY ADMINISTRATION INFRASTRUCTURE

OBJECTIVES, CRITERIA AND FUNCTIONS
The Maritime Safety Administration is the specialized executive arm of a maritime government,
irrespective of whether it is a developed country or a developing country, to implement or
enforce the regulatory (and allied) functions embodied in the national maritime legislation,
especially those pertaining to registration of ships, maritime safety, marine personnel, maritime
casualty investigations and protection of the marine environment.
It can be argued that (a) the expression “Maritime Safety Administration” is also a generic
expression, and (b) while it is to deal directly with paramount matters relating to maritime safety,
it also additional important roles and functions beyond maritime safety. While it may be possible
for international maritime community to coin an improved expression in due course, the author is
convinced for the present that the expression “Maritime Safety Administration” has begun to be

33
appropriately understood in a number of developing countries, and hopes that this manual would
also go a long way in securing such understanding of developing maritime countries.
Accordingly, it is proposed to use this expression further on in this manual and commence
examining the infrastructure needed for a national Maritime Safety Administration in a
developing maritime country.
Prior to arriving at conclusions regarding the required Maritime Safety Administration
infrastructure in developing maritime countries, it is necessary to examine: (a) the nature, extent,
purposes and implications of the important functions that need to be carried out, and
consequently (b) the types of officials required.
OPEN REGISTRY (FLAG OF CONVENIENCE)
Apparent Advantages
i) Encouragement to shipowners to register their ships in that country, thereby increasing
the quantum of ships registered
ii) Increase in the quantum of registration and related fees realized
iii) More employment opportunities for local seafarers
Apparent Disadvantages
i) Alleged absence of “genuine link” between the ship and the Flag State
ii) Apparent inability of Flag State to exercise proper and direct “control” over its ships,
particularly those which do not regularly call at ports of the Flag State. On the other hand, “Port
State Control” exercised by other countries over such ships, may prove to be very embarrassing
to the Flag State and may also be more expensive to the shipowners concerned in the long run,
resulting even in change of country of registry of the ships. In this connection, it may also be
borne in mind that there is a marked tendency to treat ships of Flags of Convenience as “suspect”
as regards maritime safety standards.
iii) Likely difficulty in realizing the anticipated fees since the real principals (beneficial
owners) are not in the Flag State.
iv) Apparent lack of credibility as a responsible maritime nation.
v) Alleged inability to ratify and implement international maritime conventions
expeditiously.
vi) Likely to attract criticisms in international fora.
vii) Likely to be liable for trade union action by International Trade Union Organizations.

34
The aim of the United Nations Convention on Conditions for Registration of Ships, 1986,
appears to be to phase out such ships of “Open Registry”. It may be noted that the Registration
Rules (Model in Volume III) provide adequate and appropriate details regards the formalities to
be observed/ensured, the documents needed and the procedures to be followed for the
registration of a ship and subsequent transactions, changes, etc. Accordingly the said rules shall
enable the officials concerned to carry out the necessary functions properly.
3. SURVEYS, INSPECTIONS AND CERTIFICATION OF SHIPS
Such functions would have to cover:
i) Various types of periodical surveys/inspections of ships in accordance with relevant
rules/regulations conforming to international standards (Conventions) and national requirements,
and the issuance of one or more of the following certificates to each ship:
a) “Passenger Ship Safety Certificate”, along with the “Record of Equipment”.
b) “Cargo Ship Safety Construction Certificate”
c) “Cargo Ship Safety Equipment Certificate”, along with the “Record of Equipment”
d) “Cargo Ship Safety Radio Certificate”, along with the “Record of Equipment”
e) “Safety Certificate for Cargo Ships”, along with the “Record of Equipment”. (This is an
optional substitute for the certificates mentioned in (b), (c) and (d) above).
f) “Load Line Certificate”
g) “Tonnage Certificate”
h) “International Oil Pollution Prevention Certificate”
i) “International Pollution Prevention Certificate for the Carriage of Noxious Liquid
Substances in Bulk”
j) “Local Cargo Ship Safety Certificate” (for Non-Convention ships under 500 GRT)
k) “Exemption Certificate”, where necessary.
ii) Intermediate surveys/inspections of ships so as to verify that the ships and their
equipment continue to be so maintained as to warrant the continued holding of the appropriate
certificate(s).
iii) Inspections pertaining to Port State Control of foreign ships
iv) Inspections and detention of unseaworthy/unsafe ships
v) Approval of various plans of new ships under construction

35
vi) Encouraging the development and manufacture of marine equipment indigenously, and
approval of such equipment
vii) Coordinating the work of those Classification Societies to whom statutory functions have
been delegated as regards surveys of national ships
viii) Maintenance of technical records of national ships
ix) Dealing with request for “exemptions” from any statutory requirements.
As regards the basic guidelines for such officials of the Maritime Safety Administrations, as to
the extent, particulars, and frequency of surveys and inspections of ships having due regard to
their construction, machinery, equipment and age, IMO has developed a set of such guidelines.
While the aforesaid form the basic guidelines and relate to the various IMO Conventions
specified to be complied with/ensured for the different surveys/inspections, the detailed
requirements are contained in the relevant rules/regulations.
In its initial stage of development, a developing maritime country may also usefully delegate its
responsibilities regarding surveys/inspections of its ships, either in full or in part, to
Classification Societies of international repute. Nevertheless, the Maritime Safety Administration
of the country would have to:
i) remain responsible for the completeness and efficiency of the surveys/inspections, and
ii) provide the Classification Society/Societies concerned with the aforesaid national
rules/regulations
4. EXAMINATION AND CERTIFICATION OF SEAFARERS
The standards of examinations for various grades of seafarers (officers and key ratings) and their
appropriate certification in a country are intended to establish and provide proof of the
competence of the respective seafarers concerned for the levels at which they have to perform
duties/operate on ships. These in turn constitute the first element which determines the standards
of safety and efficiency at which the ships of the country are operated.
While the human factor as a whole is dominant in the operation of a ship, the professional
competence of the aforesaid management/supervisory personnel would be predominant. In view
of the great importance attached to such examinations and the certification of seafarers, all
progressive maritime countries have accepted same as a direct responsibility of their
Governments, through their Maritime Safety Administrations. It is also the healthy practice to
decide upon the standards and the systems in consultation with the shipping industry, the

36
maritime education authorities and the representatives of the seafarers concerned. Nevertheless,
the standards and systems have varied considerably among the countries and there were no
international standards established until the year 1978. This was indeed an anomalous situation
since:
a) shipping is the most international of industries, and
b) the world maritime community had progressed quite far in establishing international
safety standards for ships and their equipment.
However, efforts had commenced by IMO in the year 1960 to rectify the aforesaid unsatisfactory
situation and it is to the credit of the World Maritime Community and the IMO that in the year
1978 they adopted through an IMO Conference the “International Convention on Standards of
Training, Certification and Watchkeeping for Seafarers, 1978”. It was the first successful attempt
to establish global minimum professional standards for seafarers. The Convention prescribes
minimum standards which countries are obliged to meet or exceed.
In the majority of established maritime countries, standards are higher than those stipulated in
that Convention. In many developing countries however, the standards need to be raised to meet
the requirements. Since the aforesaid Convention, which is popularly known as the STCW
Convention, is the first ever International Maritime Convention of its kind and, in view of its
great importance and implications to developing countries, the salient features of the technical
content of the same (Annexes) are described below briefly. (The author had the high privilege of
being Chairman of the Committee – Master and Deck Department – at this historic Conference).
THE ANNEX
This contains the technical provisions of the Conventions. It is divided into six (6) Chapters
which deal with the following subjects:
I. General Provisions
II. Master-Deck Department
III. Engine Department
IV. Radio Department
V. Special Requirements for Tankers
VI. Proficiency in Survival Craft
CHAPTER I: General Provisions

37
This starts with a list of definitions of terms used in the Annex. Regulation ½ deals with the
content of the certificate and the form of an endorsement, as required to be placed on the
certificate by Article VI. All certificates must include a translation into English, if that is not the
official language of the issuing country.
In some parts of the Annex, relaxations in the requirements are provided for seafarers on ships
engaged on near-coastal voyages; that is to say, “voyages in the vicinity of a Party as defined by
that Party”. Principles governing near-coastal voyages are set out in Regulation 1/3.
Regulation ¼ deals with control procedures and elaborates on Article X. Control is limited to
checking the certificates of personnel and assessing the ability of seafarers to maintain
convention standards in certain eventualities, such as the ship’s involvement in a collision or
grounding, the discharge of an illegal substance or erratic or unsafe maneuvering. Failure of
seafarers, required by the Convention to hold a certificate, to have an appropriate valid certificate
or valid dispensation would, if not corrected, result in the Part carrying out the control having to
take steps to ensure that the ship will not sail unless and until these requirements are met to the
extent that the danger has been removed.

CHAPTER II: Master-Deck Department

The Chapter establishes the basic principles to be observed in keeping a navigational watch,
covering such matters as watch arrangements, fitness for duty, navigation, navigational
equipment, navigational duties and responsibilities, the duties of the lookout, navigation with a
pilot on board (“…his presence on board does not relieve the master or officer in charge of the
watch from their duties…”), and protection of the marine environment.
Regulation II/2 establishes mandatory minimum requirements for certificating masters and chief
mates of ships of 200 gross tons to 1,600 gross tons and for ships of 1,600 and more. For this
matter, candidates must meet the requirements for certification as an officer in charge of
navigational watch on ships of 200 gross tons or more and have approved sea-going service in
that capacity. Candidates must also have passed appropriate examination covering not only
navigational aspects and ship-handling but ship stability, construction and damage control,
power plants; cargo handling and stowage; fire prevention; medical care; Maritime Law
(including SOLAS and other IMO Conventions); personnel management and training;

38
communications; life-saving; search and rescue; and methods for demonstrating proficiency. The
examination may be varied for officers and masters of ships engaged on near-coastal voyages.
Regulation II/3 sets out mandatory minimum requirements for certification of officers in charge
of navigational watch and masters of the ships of less than 200 gross tons. For ships of less than
200 gross tons which are not engaged on near-coastal voyages appropriate certificates for ships
of 200 gross tons to 1,600 gross tons must be held (in the case of masters) and above 200 gross
tons in the case of officers. For ships of less than 200 gross tons engaged on near-coastal
voyages, master must hold an appropriate certificate; be not less than 20 years of age; have
approved sea-going service of not less than 12 months as officer in charge of a navigational
watch; and satisfy the Administration that they possess adequate knowledge, including
knowledge of the subjects listed in an Appendix to the Regulation. Officers must have an
appropriate certificate; be not less than 18 years old; be medically fit; have undergone special
training; have completed three years service in the deck department; and possess adequate
knowledge, including knowledge of the subjects listed in the appendix.
The mandatory minimum requirements for certification of officers in charge of a navigational
watch on ships of 200 gross tons or more are contained in Regulation II/4. The age limit is 18
years and the three years’ sea-going service must include “at least six (6) months of bridge
watchkeeping duties under the supervision of a qualified officer”. Candidates must also pass an
examination based upon the subjects listed in an Appendix which includes many of the subjects
appended to Regulation II/2. Among the additional requirements is one for an “adequate
knowledge of the English Language”, including ability to use the IMO Standard Marine
Navigational Vocabulary. In an era when technology and other factors are changing rapidly it is
necessary that masters and officers keep up-to-date. This aspect is covered in Regulation II/5.
Officers and masters shall be required at regular intervals and not exceeding five years to satisfy
their Administration as to their fitness and professional competence.
To ensure that this can be done, Administrations are required to formulate a structure of refresher
courses, especially for re-entrance to sea-going service. They must also ensure that all ships
under their jurisdiction are provided with texts of changes in International Regulations
concerning safety at sea and Marine Environment Protection. Requirements for Deck Ratings
forming part of a navigational watch, form the subject matter of Regulation II/6. Ratings who
comply with this Regulation must be not less than 16 years old. They should have completed at

39
least six (6) months sea-going service or undergone special training in a prescribed number of
subjects. Service of at least one year during the five years prior to entry into force of the
Convention for their Administration may be regarded as equivalent.
The last two Regulations in this Chapter deal with basic principles to be observed in keeping
watch in port and mandatory minimum requirement for a watch in port on ships carrying
hazardous cargo. In both cases, note or account must be taken of the provisions of the two
recommendations adopted by the 1978 Conference. These are the Recommendation on principles
and operational guidance for deck officers in charge of a watch in port and Recommendation on
principles and operational guidance for engineer officers in charge of an engineering watch in
port.
CHAPTER III: Engine Department
This follows a similar format to Chapter II and begins with a Regulation which outlines basic
principles to be observed in keeping an engineering watch. While requirements for deck officers
vary according to the tonnage of the ship, for engineer officers the determining factor is the
power of the engine.
Regulation III/2, for example, deals with mandatory minimum requirements for certification of
chief engineer officers and second engineer officers of ships powered by main propulsion
machinery of 3,000 KW propulsion power or more. Candidates for certification as second
engineers must have not less than 12 months sea-going experience as engineer officers or
assistants. Candidates as chief engineers must have at least 36 months sea-going experience,
including at least 12 months as an engineer officer in a position of responsibility while qualified
to serve as second engineer officer. They must have attended an approved fire-fighting course
and have passed an examination covering subjects listed in an appendix.
Regulation III/3 contains similar requirements for ships with main propulsion machinery
between 750 KW and 3,000 KW. The chief difference between this and the previous Regulation
is that the requirement for previous service for candidates as chief engineers is reduced from 36
months to 24 months. Officers qualified to serve as second engineers on ships of 3,000 KW or
more may serve as chief engineers of ships of lesser power, provided that not less than 12
months approved sea-going service shall have been served as an engineer officer in a position of
responsibility.

40
Regulation III/4 contains mandatory minimum requirements for certification of engineer officers
in charge of a watch in a traditionally manned engine room or designated duty officers in a
periodically unmanned engine room. The minimum age requirement is 18 years and candidates
must also have not less than three (3) years approved training or education and have completed
an adequate period of sea-going service. Candidates must have knowledge of the operation and
maintenance of marine machinery, together with knowledge of watch-keeping routines: main and
auxiliary machines; pumping systems; generating plant safety and emergency procedures; anti-
pollution procedures; and First Aid.
The next Regulation includes requirements to ensure the continued proficiency and updating of
knowledge for engineer officers. The final Regulation in the Chapter (III/6) contains mandatory
minimum requirements for ratings forming part of an engine room watch. The minimum age
permitted is 16 years.
CHAPTER IV: Radio Department
Radio Watch-Keeping and Maintenance
An explanatory note points out that mandatory provisions relating to watch-keeping are set forth
in the Radio Regulations, and safety radio watch-keeping and maintenance provisions are
included in the Radio Regulations and in SOLAS.
Regulation IV/1 (mandatory minimum requirements for Certification of Radio Officers) states
that Radio Officers must hold a certificate issued under the provisions of the Radio Regulations
and have adequate qualifying service. Radio Officers must also be over 18 years and have passed
an examination which shall take into account subjects listed in an Appendix, particularly
concerned with safety and emergencies.
The next Regulation contains provisions which are designed to ensure the continued proficiency
and updating of knowledge of Radio Officers and the final Regulations establishes minimum
requirements for certification of Radiotelephone Operators. This latter Regulation is also linked
with the provisions of the Radio Regulations and candidates are additionally required to pass an
examination and to meet requirements listed in an Appendix.
CHAPTER V: Special Requirements for Tankers
The importance of tankers in world shipping today is recognized by the inclusion of this Chapter.
The intention of the Chapter is to ensure that officers and ratings that are to have specific duties
related to the cargo and cargo equipment of tankers shall have completed an appropriate period

41
of shipboard service or an approved familiarization course. Requirements are more stringent for
masters and senior officers. Attention is paid not only to safety aspects but also to pollution
prevention. This Chapter contains three Regulations dealing with Oil Tankers, Chemical Tankers
and Liquefied Gas Tankers, respectively.
CHAPTER VI: Proficiency in Survival Craft
This Chapter establishes requirements governing the issuing of certificates of Proficiency in
survival craft. These include approved sea-going service of not less than 12 months, or 9 months
if the candidate has attended an approved training course. There is provision for testing “by
examination or continuous assessment during an approved training course”. An Appendix lists
the minimum knowledge required for the issue of certificates of proficiency.
Resolutions Adopted by the Conference
In some Regulations of the Convention the language is fairly general, with more detail being
incorporated in Resolutions adopted by the Conference. Resolution 1 for example, is related to
Regulation II/1 (basic principles to be observed in keeping a navigational watch).
Having described above the salient features of the technical content of the STCW Convention,
we come now to the question of how developing countries need to gear themselves to meet the
requirements and be able to ratify the Convention. In this connection they need to attend to the
following:
i) Prepare appropriate Rules/Regulations and detailed syllabuses for the conduct of the
various Examinations and Certification of Seafarers. (Draft Rules/Regulations with syllabuses,
for the purposes are also provided separately).
ii) Ensure the necessary infrastructure for the conduct of the examinations, as part of (or
linked to) their Maritime Safety Administrations.
iii) Ensure the availability of duly qualified and trained examiners of the appropriate
disciplines. (This is one of the aims of the World Maritime University).
iv) Ensure the availability of adequate and appropriate maritime training facilities for their
seafarers.
v) Ensure the availability of duly qualified and trained maritime teachers/educators. (This is
a further aim of the World Maritime University).
5. MANNING OF SHIPS

42
The second element that influences the safe and efficient operation of a ship is its manning
structure. This in turn is divisible into two parts, i.e.:
(i) Certificated manning, and
(ii) Manning by other members of crew, who need not hold certificates of competency.
CERTIFICATED MANNING
This relates to the minimum categories and number of certificated officers required to operate a
ship safely and efficiently. The minimum standards of competence to be attained by the
certificated officers have been spelled out in the STCW Convention and are further amplified by
the national Rules/Regulations concerned.
However, the STCW Convention does not directly spell out the certificated manning structure,
even though there are obvious certificated manning implications in the implementing the
requirements of that Convention. Therefore, in order to enable developing countries to evolve a
suitable minimum certificated manning structure, which would both conform to the requirements
of the STCW Convention and suit their national requirements, the following suggestions are
made in the form of two sections that may be incorporated in their Merchant Shipping Acts. (See
relevant section of the framework provided earlier):
(1) The following classes of ships and vessels (in this part referred to as “ships”) must, when
going to sea, be provided with officers duly certificated in accordance with this Act, or
Regulations made there under, namely: -
(a) a (*) foreign-going ship
(b) a (*) home-trade ship
(c) a foreign ship carrying passengers to or from (*) that is not provided with certificated
officers in accordance with national laws of the country of registry.

(2) Certificated officers shall be provided for ships in accordance with the following scale:
(a) In every case, a duly certificated master,
(b) If the ship is over 200 GRT but not over 1,600 GRT and is engaged on: -
(i) home trade voyages, at least one deck officer in addition to the master and holding a
certificate not lower than mate; or
(ii) foreign-going voyages, at least two deck officers in addition to the master, one holding a
certificate not lower than second mate and the other holding certificate not lower than third mate.

43
(c) If the ship is over 1,600 GRT and is engaged on: -
(i) home-trade voyages, at least two deck officers, in addition to the master, each holding a
certificate not lower than mate or watch-keeping officer, or
(ii) foreign-going voyages, at least three deck officers, in addition to the master, namely a
first mate, a second mate, and a third mate, all of whom must be duly certificated,
(d) If any deck officer is carried in addition to those required by paragraphs (b), (c) or (d) for
the purpose of keeping a watch at sea, he must hold a certificate not lower than: -
(i) mate or watch-keeping officer in the case of a home-trade ship
(ii) third mate in the case of a foreign-going ship
(e) If a ship is over 1,000 horse power (or 750 KW shaft power) but over 4,000 horse power
(or 3,000 KW shaft power) and is engaged on:-
(i) home-trade voyages, at least two engineers, one a holding certificate not lower than
second class engineer and the other holding a certificate not lower than third class engineer, or
(ii) foreign-going voyages, at least three engineers, one a second class engineer, and two
third class engineers, all duly certificated,
(f) If the ship is over 4,000 horse power (or 3,000 KW shaft power) and is engaged on:-
(i) home-trade voyages, at least one first class engineer, one second class engineer and one
third class engineer
(ii) foreign-going voyages, at least one first class engineer, one second class engineer and
two third class engineers
(g) If, in addition to those required by paragraph (e) or (f), any engineers are carried for the
purpose of keeping a watch in the engine room at sea, they must hold a certificate not lower than
third class engineer
(3) (i) The Minister may make regulations with respect to the manning of ships that are:-
(a) under 200 GRT or
(b) under 750 KW or
(c) engaged in near-coastal voyages
(ii) In making regulations under sub-section (i) the Minister shall have due regard to any
International Convention governing the manning of ships mentioned in that sub-
section.

44
NOTE: -
1. The aforesaid suggested sections retain the concept of “home-trade as obtaining in many
countries. However, the sections can be modified as necessary.
2. As an alternative to the aforesaid, statutory provisions may also be made through
Subsidiary Legislation, if so desired.
3. Provisions may also be made in the aforesaid Section for the certificated manning of
mechanically propelled fishing vessels of over 24 metres in length, etc.
Further to above suggested provisions in the Merchant Shipping Act, detailed Regulations
(subsidiary legislation) will have to be promulgated. Such regulations should include the
following matters in their coverage: -
1. The ships to which the regulations apply. (In accordance with the STCW Convention, the
regulations will not apply to ships of war, fishing vessels or pleasure craft).
2. The categories of certificates which the Administration intends to issue and which will be
required for service in the ships of the Flag State concerned.
3. The certificates issued by other Administrations and any other alternative qualifications
which are to be regarded as equivalent to the certificates mentioned in (2) above. Even if there is
no immediate intention to recognize other certificates, the power to do so is useful.
4. If certificates of service are to be issued to uncertificated or under-certificated seafarers
the condition to be met for their issue will need to be precisely stated. The issue of certificate of
service is an emotive matter and needs to be carefully controlled with absolute fairness and
impartiality.
5. The conditions to be satisfied for the re-validation of certificates.
6. The number of certificated officers to be carried by various sizes of ships and their
operating areas (limited to near-coastal voyages or not) and the level of their certificates. The
larger sizes of ships and those unrestricted as to operating area will require the higher classes of
certificates, although all must meet the requirements of the Convention.
7. The requirement for certificated officers to act in the capacity for which certificated. To
provide effectively for safety at sea a ship must do more than simply “carry” certificated officers.
8. Any “near-coastal voyage” in which lower standards of certification are to apply as
authorized by the Convention must be specified in terms of geographical locations.

45
9. The authority to issue dispensations in accordance with Article VIII of the STCW
Convention.
10. The arrangements for the cancellation, suspension and surrender of certificates.
11. The manner in which records of certificates issued are to be kept and the procedure in the
case of lost certificates.
NOTE:
The respective (draft) rules for the examinations (provided in Volume III) give details of the
certificate structure and requirements to be complied with for each certificate.

MANNING BY OTHER MEMBERS OF CREW (RATINGS)

This element is important to most developing countries not only because of its importance to safe
and efficient operation of ships, but also since it involves the vital matter of “employment” for
their nationals. While on the one hand there is the need for trained seamen (ratings), on the other
hand the manning pattern deserves to be such as to provide employment for the maximum
possible number of such ratings. Therefore, as regards the national ships of developing countries,
technology related to automation and such labour saving operations needs to be chosen with
caution and manpower resources should be utilized to the maximum extent.
It is for this reason that a number of developing countries tend to promote the carriage of a larger
number of ratings in their national ships, as compared to the number of ratings in similar ships of
developed countries. Thus, while the “quality” of the ratings needs to be ensured through proper
training of the ratings, the “size” of the crew on a ship of a developing country would have to be
influenced by its national policy regarding the scale of employment required for its seamen
(ratings). In this context it has to be appreciated that in the operation of its merchant fleet, a
Government (particularly that of a developing country) has responsibilities and interests beyond
“safety” and “protection” of the marine environment. Such responsibilities and interests are
further enhanced when the developing country concerned is also a supplier of seamen for foreign
flag ships. Hence the following approaches adopted by a few of the successful developing
maritime countries deserve favorable consideration by the other developing maritime countries: -
(i) Registration of seamen and regulation of their employment. (This subject has been
covered earlier).

46
(ii) While enabling powers are assumed under the Merchant Shipping Act concerned (see
relevant section of the framework indicated earlier) for the classification of seamen (other than
officers) into different categories and for the prescription of the minimum manning scale of
seamen for different classes of ships, these matters are left for bipartite agreements between the
employers (shipowners/agents) and employees (seamen – usually through their Trade Union).
However, the indirect influence of the government’s political, social and economic philosophies
is brought to bear during the process of such agreements, even though the nature, extent and
method of exerting such influence may vary from country to country. Nevertheless, the point that
has to be noted is that the government of a developing maritime country would have such a role
and its Maritime Administration in turn would be expected to act as necessary.
(iii) While promoting the cause of increased manning, every endeavour is made to ensure
that:
(a) the crew wages are realistic and relate to the cost of living and expected standards of
living of seamen concerned in the home country, and
(b) the total crew costs per ship are such as to make the operation of the ship viable and be
able to withstand international competition.
In this endeavour, it is natural that external pressures are experienced and have to be dealt with
on the basis of international interest and reasonable international views. (In this connection
attention is also invited to Chapter VII – Maritime Training).

6. CONDUCTING INQUIRIES AND INVESTIGATIONS INTO SHIPPING

CASUALTIES
The main purposes of an inquiry/investigation into a shipping casualty are to:
(i) ascertain the facts
(ii) obtain all relevant information, and
(iii) determine as precisely as possible the cause/causes of the casualty, so as to enable the
government (Maritime Safety Administration) to take necessary steps to prevent, as far as
practicable, the occurrence of similar casualties in the future.
In this connection it is desirable to adopt a system of inquiry/investigation in two stages, as is
done in most maritime countries. (Part IX of the framework of the Merchant Shipping Act given
earlier, reflects this approach).

47
The aforesaid two stages are described below: -
PRIMARY INQUIRY
This inquiry, which can be said to be quasi-judicial in nature, is usually conducted by a
responsible official (with the necessary expertise) of the Maritime Safety Administration, duly
notified as the proper officer for the purpose under the Merchant Shipping Act. Such an officer
needs to be highly experienced professional officer, duly trained for the purpose, who needs to
appreciate fully that he is undertaking a solemn duty, during which he would have to:
(i) show great patience and understanding in examining witnesses, since they are likely to
have been through a traumatic experience
(ii) remember to place himself “in the shoes” of the witness when recording his statement, so
as to be able to understand the relevant circumstances properly
(iii) appreciate the fact that his conclusions/recommendations may have far-reaching
consequences affecting the career(s) of the seafarer(s) concerned, and, perhaps, the ship-owners
themselves
(iv) distinguish clearly between “error of judgment” and “negligence” as regards his
conclusion regarding an act of omission or commission on the part of any seafarer concerned
(v) give the benefit of doubt to the seafarer concerned, remembering the difficulties of
seafaring
(vi) remember the purpose and objectives of the inquiry, and
(vii) ensure that the proceedings and the report of the inquiry are such as to be capable of
forming a proper basis for the decision of his government as regards further follow-up action(s),
even though it shall remain the prerogative of his superiors to differ with any or all of his
conclusions/recommendations, etc.
The duties of the officer conducting a preliminary inquiry can be classified broadly as follows:
1) to inform the government (Ministry concerned) of the shipping casualty having occurred
within its jurisdiction,

2) to hold a preliminary inquiry, when considered necessary into the shipping casualty, and
for this purpose if necessary: -

48
(i) to go on board, the ship and inspect the same or any part thereof, or any of the machinery,
boats, equipment or articles on board thereof, not unnecessarily detaining or delaying her from
proceeding on any voyage
(ii) to enter and inspect any premises the entry or inspection of which appears to be requisite
for the purpose of the report he is directed to make
(iii) to summon under his hand, require the attendance of all persons as he thinks fit to call
before him and examine for such purpose, and require answers or returns as deemed necessary
for the purpose
(iv) to require and enforce the production all books, papers or documents which he considers
important for the purpose
(v) to administer oath, or in lieu thereof, require any person to be examined by him to make
and subscribe a declaration of the truth of the statement made by him in his examination
3) to submit the proceedings and report of the preliminary inquiry to the government
(relevant Ministry)
4) to make an application to a Court (or Commissioner) empowered under the Merchant
Shipping Act, for a Formal Investigation * into the shipping casualty, if he considers same
necessary, and, in any case, if the government directs him to do so. (* Formal Investigation is
dealt with in some detail further on).
NOTE
1. Since many such inquiry officers may not have any legal training or any judicial
experience, and since the witnesses themselves may not understand the implications of making
statements under “oath”, the power to administer oaths needs to be controlled by the Maritime
Safety Administration through Executive Orders/Instructions.
2. The power to “summon” witnesses needs to be exercised only if the attendance of any
witness cannot be ensured through normal forms of communication. This aspect also needs to be
made clear through executive orders/instructions issued by the Maritime Safety Administration.
3. Further, in view of the great importance of the duties to be performed by such officers in
connection with the preliminary inquiries and formal investigations, they have to be given
detailed written “instructions” by the Maritime Safety Administration. In order to assist the
Maritime Safety Administrations of developing countries, a draft set of such “instructions” has
been provided separately.

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4. A preliminary inquiry is for departmental purposes and the report of this inquiry is not
usually made public. In fact, “privilege” has to be claimed as regards production of same, even
before Courts of Law. However, the circumstances under which copies of depositions and other
relevant documents can be given to interested parties, are covered under the aforesaid
“instructions”.
FORMAL INVESTIGATION
A formal investigation is a public (judicial) inquiry, to be held in addition to or instead of a
preliminary inquiry, as may be decided by the government. It is held by a Court (or
Commissioner) empowered under the Merchant Shipping Act, assisted by assessors of the
appropriate expertise, drawn by the Court (or Commissioner) from a panel maintained for the
purpose either by the Maritime Safety Administration or by an appropriate Court.
Usually a formal investigation is ordered by a government (or the official in charge of the
Maritime Safety Administration duly empowered) in any of the following circumstances: -
(i) If the preliminary inquiry is not considered sufficient
(ii) If it appears that the shipping casualty has occurred through an avoidable cause
(iii) If it appears likely to lead to the prevention of similar casualties in the future
(iv) If the said casualty was accompanied by loss of life or property or involved serious
damage
(v) If the casualty has given rise to a substantial amount of public attention or to a
disturbance of public confidence
(vi) If there has been any alleged default or negligence on the part of the master or any officer
(vii) If a certificate of competence of an officer (including a master) is likely to dealt with
The power of the Court (Commissioner) conducting a formal investigation, the rules/procedures,
etc and the provision for re-hearing, appeals, etc are those that flow from the national legislation
concerned.
While it is naturally not the purpose of this paper to delve into the functions of the aforesaid
Court (Commissioner), it is necessary to point out that the role of the Maritime Safety
Administration is to assist the Court (Commissioner) in every possible manner. Such assistance
would have to cover the following: -
i) Appointment of Counsel to represent Government, and thus provide assistance through
him

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ii) Ensuring production of the Panel of Assessors
iii) Presentation of facts/evidence as possible. (The proceedings of the preliminary inquiry
can be invaluable for this purpose)
iv) Presentation of the list of witnesses
v) Arrangements for the attendance of witnesses
vi) Arrangements for the attendance of any expert witness that may be necessary
vii) Arrangements for the Court (Commissioner) and Assessors to make any visit to any ship
or place that is relevant
viii) Any other form of assistance needed by the Court (Commissioner).
NOTES
1. Even though the Counsel for the Government is appointed, he will have to be briefed by
the nominated official(s) of the Maritime Safety Administration and the latter should be present
right through the formal investigation.
2. When the report and proceedings of the formal investigation is received, the Maritime
Safety Administration needs to examine same and advise the Government as regards further
action and/or follow-up action required.

7. PREVENTION/CONTROL/COMBAT OF MARINE POLLUTION

The dual roles of the Maritime Safety Administration in the protection of the marine
environment are:
a) The primary role of prevention of marine pollution from ships, and
b) The participating and/or co-coordinating role of combating marine pollution when it
occurs.
(a) above has already been covered under the relevant surveys, inspections and certifications of
ships. It is the role under (b) above which is likely to pose major problems to Maritime Safety
Administrations of developing countries. Depending upon policy and circumstances obtaining in
each developing country, the Maritime Safety Administration may have either a coordinating
role or a participating role (when another national government agency has the coordinating role).
In either case, the Maritime Safety Administration needs to ensure that there is the necessary
“Contingency Plan” to deal with marine pollution when it occurs in and around the waters of a
developing country so as to be able to readily harness all available national resources for the

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purpose. Further, even for a sub-regional or regional co-operation in the combat of marine
pollution, the existence of a national contingency plan in each of the countries concerned would
have to be a condition precedent. It has to be borne in mind that such cooperation has to result in
actual physical cooperation and pooling of resources, through the identification and commitment
of all available national resources in each of the countries concerned, through the national
contingency plan of each country. While goodwill and the necessary agreements in the sub-
region/region are no doubt important, they form the “intent” and contingency planning in the
physical “means”. In this context it is hardly necessary to point out that, as a follow-up to
national contingency planning, sub-regional/regional cooperation in the combat of marine
pollution has to be the logical aim of each of the developing countries in the sub-region/region,
since”
a) it ensures pooling of resources and skills
b) it harmonizes the actions/activities of all the countries concerned through pre-concerted
planning
c) it identifies the nature and extent of actions to be taken by each country in a given
situation
d) it is most cost effective
e) it permits concentration of attention on vulnerable areas identified in advance, and
f) the pollutants are not concerned with national boundaries.
In order to assist developing countries in such national contingency planning and to promote sub-
regional/regional cooperation, IMO has prepared “manuals” (in four sections) and guidelines
which can be readily obtained and used to great advantage. In addition technical assistance can
also be provided for the purpose by IMO.
To sum up, the vital need for such a national contingency plan (however modest), followed up by
sub-regional/regional plan and arrangements, are those that are being stressed here. In addition to
above, the Maritime Safety Administration needs to ascertain from the national port authorities
that adequate “reception facilities” are provided to receive from ships oily residues and chemical
cargo residues.
8. MARITIME SEARCH AND RESCUE
In this vital area also, depending upon national policy and circumstances obtaining in each
developing country, the Maritime Safety Administration may have either a coordinating role or a

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participating role (when another national government agency has the coordinating role). In either
case, the Maritime Safety Administration needs to ensure that there is the necessary national
“contingency plan” and organization to respond to maritime distress situations in waters adjacent
to the country. In this connection and in connection with enabling ships at sea and countries to
cooperate and to provide mutual assistance, the following provide the basis under International
Law and the necessary guidelines, respectively: -
(i) Regulations 10 and 15 of Chapter V of the International Convention on Safety of Life at
Sea, 1974
(ii) The International Convention on Maritime Search and Rescue, 1979
(iii) The Merchant Ship Search and Rescue Manual (MERSAR) created by IMO
(iv) The IMO Search and Rescue Manual (IMOSAR)
In view of the great importance of the aforesaid documents, the following explanations are
considered justified.
THE INTERNATIONAL CONVENTION ON MARITIME SEARCH AND RESCUE,
1979
The International Convention on Maritime Search and Rescue was adopted on 27 April 1979,
and entered into force on 22 June 1985. Its main purpose is to facilitate cooperation between
states and those participating in the search and rescue (SAR) operations at sea by establishing an
international search and rescue plan. The desirability of cooperation of this type has been
recognized in various Conventions dating right back to the Convention for the Unification of
Certain Rules of Law Relating to Assistance and Salvage at Sea, adopted in Brussels in 1910.
In addition, Regulation 15 (titled “Search and Rescue”) of Chapter V (on Safety of Navigation)
of the Safety of Life at Sea Convention provides that each Contracting Government should
undertake “to ensure that any necessary arrangements are made for coast watching and for the
rescue of persons in distress at sea around its coast. These arrangements should include the
establishment, operation and maintenance of such maritime safety facilities as are deemed
practicable and necessary”. It was upon such lines that IMO undertook, at an early stage during
the 70s, to prepare the draft text of a Convention which was finally adopted in 1979. The
technical provisions of the Convention are contained in an Annex consisting of six Chapters.
The first of these is concerned with terms and definitions. The second deals with organization,
including arrangements for the provision and coordination of SAR services and facilities, the

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establishment of rescue coordination centres and rescue sub-centres, and the designation of
rescue units and their facilities and equipment.
Chapter III covers cooperation between States and coordination with aeronautical services.
Chapter IV is concerned with preparatory measures. These include requirements for information,
operating plans or instruction plans or instructions and the preparedness of rescue units.
The most detailed Chapter is Chapter V which outlines operational procedures. The subjects
covered in this Chapter include procedures during emergencies, coordination when two or more
Parties are involved, and the termination and suspension of operations. It also covers on-scene
procedures, including the designation of the on-scene commander and the coordinator surface
search and goes on to describe initial action, search areas and search patterns.
Chapter VI deals with the ship reporting systems, the objectives of which are to provide up-to-
date information on the movement of vessels in areas covered by the systems in order to permit
the rapid determination of vessels able to provide assistance and the delineation of the search
area. It gives details of operational requirements and types of reports. The Conference adopted
eight (8) Resolutions in addition to the Convention itself.
Resolution I urges States to coordinate their Search and Rescue (SAR) services and to forward
details of their services to IMO. It invites IMO to:
 continue to work closely with the International Civil Aviation Organization (ICAO) in
order to harmonize aeronautical and maritime search and rescue plans and procedures
 publish all available information concerning agreements on maritime search and rescue
regions or arrangements for equivalent overall coordination of maritime SAR services, and
 advise and assists States in the establishment of their search and rescue services.
Resolution II recommends that States arrange that participation in ship reporting systems be free
of message cost to the ships concerned.
Resolution III invites IMO to develop an internationally agreed format for ship reporting systems
and to ensure that all reporting systems, established for purposes other than search and rescue,
are, as far as possible, compatible in reporting format and procedures with those to be developed
for the purpose of search and rescue.
Resolution IV urges the use of two Manuals, both developed by IMO. The first is the Merchant
Ship Search and Rescue Manual (MERSAR) and the second the IMO Search and Rescue Manual
(IMOSAR).

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THE MERCHANT SHIP SEARCH AND RESCUE MANUAL (MERSAR)
Under Regulation 10 (titled “Distress Messages – Obligations and Procedure”), Chapter V of the
SOLAS Convention “The master of a ship at sea, on receiving a signal from any source that a
ship or aircraft or survival craft thereof is in distress, is bound to proceed with all speed to the
assistance of the persons in distress..” (Similar provision appears in the Law relating to
Assistance and Salvage at Sea, signed at Brussels in 1910).

The above provisions constituted the basis for the adoption of IMO’s Merchant Ship Search and
Rescue Manual (MERSAR), although it is generally accepted as the normal practice as well as a
moral obligation of seamen to render every assistance within their power in cases where a person
or persons are in distress at sea.
The purpose of MERSAR is to provide guidance for those who during emergencies at sea may
require assistance from other or who may be able to render such assistance themselves. In
particular, it is designed to aid the master of any vessel who might be called upon to conduct
search and rescue operations at sea for persons in distress.
THE IMO SEARCH AND RESCUE MANNUAL (IMOSAR)
The IMOSAR Manual provides guidelines for a common maritime search and rescue policy,
encouraging all coastal States to develop their organizations on similar line and enabling
adjacent States to cooperate and provide mutual assistance. Because of the complementary
nature of maritime and aeronautical search and rescue organizations the IMOSAR has been
aligned as closely as possible with the Search and Rescue Manual produced by the International
Civil Aviation, to ensure a common policy and to facilitate consultation of the two manuals.
IMOSAR has been divided into two sections:
Part 1 Deals with the Search and Rescue Organization itself and includes matters relating to
the organization of existing services and facilities and the establishment of additional services
and facilities which are necessary to provide practical and economical SAR coverage.
Part 2 Deals with search and rescue procedures, and contains material designed to assist all
personnel participating.
The information contained in the manual had been chiefly derived from information provided by
States which have had considerable experience in the field of SAR.

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9. CREW MATTERS IN GENERAL (DISCIPLINE, PERSONNEL SAFETY, HEALTH,
WAGES AND WELFARE, ETC OF SEAMEN)
The part of national Merchant Shipping Law relating to employment of seamen (crew members)
has to be such as to suit their working environment, calling for special treatment. (This essential
feature has been kept in mind in indicating earlier the suggested approach to the preparation of
the national Merchant Shipping Act). Several factors call for the aforesaid special treatment.
Seamen’s engagements are often for voyages to distant parts, in the course of which they are
exposed to special hazards. When sick they must, of course, not be abandoned. Besides, seamen
from many developing countries are employed in foreign ships. Thus seamen’s Service
Agreements need to contain welfare terms, not required in purely domestic surroundings.
Further, in view of the seamen’s confinement on board the ship both when on duty and off duty,
and the perils of the sea to which ships are exposed, there is the need for strict provisions relating
to discipline. However, as regards seamen’s wages, conditions of service and related terms, such
legislation needs only to provide an essential framework within which shipowners and seafarers
can negotiate at bilateral level.
In this context it is considered important to point out that there are also a number of ILO
(International Labour Organization) Conventions/Recommendations in the field of maritime
labour.
A list of these Conventions/Recommendations is given below:-
GENERAL
1. Seafarers’ Engagement (Foreign Vessels) Recommendation, 1958 (No. 107)
2. Social Conditions and Safety (Seafarers) Recommendation, 1958 (No. 108)
3. Employment of Seafarers (Technical Developments) Recommendation, 1970 (No. 139)
4. Continuity of Employment (Seafarers) Convention, 1976 (No. 145)
5. Continuity of Employment (Seafarers) Recommendation, 1976 (No. 154)
6. Merchant Shipping (Minimum Standards) Convention, 1976 (No. 147)
7. Merchant Shipping (Improvement of Standards) Recommendation, 1976 (No. 155)
TRAINING AND ENTRY INTO EMPLOYMENT
1. Placing of Seamen Convention, 1920 (No. 9)
2. Seamen’s Articles of Agreement Convention, 1926 (No. 22)
3. Seafarers’ Identity Documents Convention, 1958 (No. 108)

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4. Vocational Training (Seafarers) Recommendations, 1970 (No. 137)
CONDITIONS FOR ADMISSION TO EMPLOYMENT
1. Minimum Age (Sea) Convention, 1920 (No. 7)
2. Minimum Age (Trimmers and Stokers) Convention, 1921 (No. 15)
3. Minimum Age (Sea) Convention (Revised), 1936 (No. 58)

MARITIME
ADMINISTRATION
ENDS

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