RESOLUTION A.1184(33)
Adopted on 6 December 2023
(Agenda items 11, 12 and 13)
GUIDELINES ON PLACES OF REFUGE FOR SHIPS IN NEED OF ASSISTANCE
THE ASSEMBLY,
RECALLING Article 15(j) of the Convention on the International
Maritime Organization concerning the functions of the Assembly in relation to
regulations and guidelines concerning maritime safety and the prevention and
control of marine pollution from ships,
CONSCIOUS OF THE POSSIBILITY that ships at sea may find themselves
in need of assistance relating to the safety of life and the protection and
preservation of the marine environment, and that an incident involving a ship
in need of assistance seeking a place of refuge can happen anywhere at sea,
RECOGNIZING the need to balance both the prerogative of a ship in
need of assistance to seek a place of refuge and the prerogative of a coastal
State to protect its coastline,
RECALLING that coastal States are not, under international law,
under any obligation to grant places of refuge, and that the provision of a
common framework to assist coastal States to determine places of refuge for
ships in need of assistance and assess and respond effectively to requests for
such places of refuge is undertaken in a spirit of cooperation and coordination
among relevant parties involved, aiming to enhance maritime safety and the
protection of the marine environment,
RECALLING ALSO that the Assembly, at its twenty-third session in
2003, adopted Guidelines on places of refuge for ships in need of assistance
by resolution A.949(23),
RECALLING FURTHER that resolution A.949(23) requested the Maritime
Safety Committee, the Marine Environment Protection Committee and the Legal
Committee to keep the Guidelines under review and amend them, as appropriate,
RECOGNIZING that various organizational, operational and
technological developments have taken place in a rapidly changing global
maritime domain,
RECOGNIZING ALSO that experiences in handling situations of ships
in need of assistance have increased around the world and that the experience
gained and the resulting operational practice serve to identify improvements
and practices,
RECOGNIZING FURTHER the importance of and need for providing
guidance for coastal States, the masters and/or salvors as well as others
involved with handling ships in need of assistance seeking a place of refuge,
RECOGNIZING THEREFORE that the Guidelines require revision to
ensure they continue to serve as an effective instrument, providing a clear framework
to deal with ships in need of assistance seeking a place of refuge in a
consistent and harmonized manner,
HAVING CONSIDERED the recommendations made by the Maritime Safety
Committee at its 106th session, by the Legal Committee at its 110th session,
and by the Marine Environment Protection Committee at its eightieth session, as
developed by the Sub-Committee on Navigation, Communications and Search and
Rescue at its ninth session,
1 ADOPTS the revised
Guidelines on places of refuge for ships in need of assistance, the text
of which is set out in the annex to the present resolution;
2 INVITES
Governments to take the revised Guidelines into account, as a matter of
priority, when determining and responding to requests for places of refuge from
ships in need of assistance;
3 REQUESTS the
Maritime Safety Committee, the Marine Environment Protection Committee and the
Legal Committee to keep the annexed Guidelines under review and amend them, as
appropriate;
4 REVOKES resolution
A.949(23).
ANNEX
GUIDELINES ON PLACES OF REFUGE FOR SHIPS IN NEED OF ASSISTANCE
SECTION 1 – GENERAL
1.1 Introduction
1.2 Background
1.3 Objective
1.4 Purpose of the
Guidelines
1.5 Definitions
Appendix to section 1 – Applicable international conventions
SECTION 2 – ACTION REQUIRED OF MASTERS AND/OR
SALVORS AND OTHERS INVOLVED WITH SHIPS IN NEED OF ASSISTANCE SEEKING A PLACE OF
REFUGE
2.1 The master
2.2 The salvor
2.3 Requesting a place
of refuge – process
2.4 Response actions
2.5 Other parties
involved
• Flag State
• Classification society
• Emergency response
service
• Insurers
• Port, harbours and
terminals
• The company/operator
Appendix to section 2 – Form A (Formal place of refuge request
form)
SECTION 3 – ACTIONS EXPECTED OF COASTAL STATES
3.1 Competent authority
3.2 Plans for
accommodating ship(s) in need of assistance seeking a place of refuge
3.3 Assessment of
places of refuge
3.4 Event-specific
assessment
3.5 Decision-making
process for granting a place of refuge
Appendix 1 to section 3 – Places of refuge plans
Appendix 2 to section 3 – Risk analysis factors
SECTION 4 – INTERNATIONAL/REGIONAL COOPERATION AND COORDINATION
FOR PLACES OF REFUGE
Appendix to section 4 – International/regional cooperation and
coordination for places of refuge
SECTION 5 – MEDIA AND
INFORMATION MANAGEMENT
5.1 Media and
information management
5.2 Key principles
5.3 Key interest groups
5.4 Key actions for
persons managing the incident
SECTION 6 – LESSONS LEARNED
6.1 National and
regional debriefs
SECTION 1 – GENERAL
1.1 Introduction
1.1.1 The issue of places
of refuge cannot be subject to a purely theoretical or doctrinal debate. On the
contrary, it should be addressed as a practical problem which requires
operational decisions involving both relevant authorities and the industry.
When a ship finds itself in serious difficulty or in need of assistance without
presenting a risk to the safety of life of persons involved, there are two key
questions: Should the ship be brought into shelter near the coast or into a
port, or should it be taken out to sea?
1.1.2 It would be highly
desirable if, taking the Guidelines on places of refuge for ships in need of
assistance (hereafter referred as the Guidelines) into account, coastal
States provided places of refuge for use when confronted with situations
involving ships in need of assistance off their coasts and, accordingly, drew
up relevant emergency plans, instead of being unprepared to face such
situations and, because of that, risking the wrong decision being made by
improvising or, in the heat of the moment, acting under pressure from groups
representing various interests. The Guidelines seek to address and provide
guidance on how to deal with a ship in need of assistance seeking a place of
refuge.
1.2 Background
1.2.1 Situations leading
to a request for a place of refuge often involve only one State and will be
managed by that State, under the rules applicable in its jurisdiction. There
may be cases where a situation may develop to involve neighbouring States or
States in the vicinity of the incident, or a flag State. Therefore, the
Guidelines may also apply, subject to relevant circumstances, to situations
where it is possible that more than one State may be involved.
1.2.2 When a ship has
suffered an incident, the best way of preventing the risk of further damage or
pollution from its progressive deterioration would be to stabilize the
situation, allowing for preventive actions such as lightening its cargo and
bunkers, and to repair damage. Such operations are best carried out in a place
of refuge due to the added protections this offers and the availability of
resources. There are circumstances under which it may be desirable to carry out
a cargo transfer operation or other operations to prevent or minimize damage or
pollution.
1.2.3 In some
circumstances, the longer a damaged ship is forced to remain at the mercy of
the elements in the open sea, the greater the risk of the ship's condition
deteriorating or the sea, weather or environmental situation changing and
thereby becoming a greater potential hazard.
1.2.4 While coastal States
may be reluctant to accept damaged or disabled ships into their area of responsibility
due primarily to the potential for environmental damage, in fact it is rarely
possible to deal effectively with a marine casualty in open sea conditions.
1.2.5 Taking a ship in
need of assistance to a place of refuge has the advantage of limiting the
extent of coastline at risk, but conversely the coastline at the place of
refuge may be at greater risk. Consideration should also be given to the
possibility of taking the affected ship to a port or terminal where the
transfer of cargo or repair work could be done relatively easily. For this
reason, the decision on the choice and use of a place of refuge will have to be
carefully considered case by case and based on risk assessment.
1.2.6 The use of places of
refuge may encounter local opposition and involve difficult decisions. The
coastal States should recognize that an evidence-based comprehensive risk
assessment is indispensable for safe and efficient handling and
decision-making. Regional cooperation agreements could, depending on circumstances,
support the accommodation of a ship in need of assistance seeking a place of
refuge.
1.2.7 Coastal States and
ports that accommodate a ship that has been granted a place of refuge should
receive prompt compensation in respect of liabilities that arise from the
accommodation of a damaged ship, as appropriate. To that end, it is important
that the relevant international conventions, and, if available, risk-sharing
mechanisms, be applied.
1.2.8 At the international
level, the conventions listed in the appendix to section 1, as may be updated,
constitute, inter alia, the legal context within which coastal States (as well
as flag and port States) and ships act in the envisaged circumstances.
1.2.9 Against this
background, it is necessary to lay down provisions for accommodating ships in
need of assistance and seeking a place of refuge in order to ensure the
harmonized and effective implementation of this measure and to make them more
operational in supporting States, ships' masters and other parties involved in
meeting the objectives.
1.3 Objective
1.3.1 The objective is to
provide a uniform, transparent process leading to well-informed, quicker
decision-making. This will benefit States, ships' masters, operators and/or
salvors or other parties where a ship in need of assistance requests a place of
refuge in the interest of the protection of human life, maritime safety,
security and the environment.
1.3.2 The process should
promote cooperation and constructive engagement within and between State
governing bodies, authorities and industry.
1.3.3 Based upon the
services required by the master or any other person in charge of the ship (e.g.
salvors), a State which may be asked to provide assistance should consider
designating a place of refuge. This is particularly important if there is a
risk that a ship will sink or ground resulting in environmental damage or a
navigational hazard.
1.3.4 The objective is
also that national plans for the accommodation of ships in need of assistance
and seeking a place of refuge include procedures for international coordination
and decision-making and, where possible or appropriate, cooperation in drawing
up concerted plans to accommodate such. This may be desirable, or become
necessary, for regional areas or sea basins shared with several littoral
States.
1.3.5 Granting access to a
place of refuge involves a decision which can only be taken on a case-by-case
basis with due consideration given to the balance between the advantage for the
affected ship, its crew and the environment resulting from bringing the ship
into a place of refuge and the risk to the environment resulting from that
ship, if it is not granted a place of refuge, being near the coast or if it is
taken or ordered away from the coast.
1.4 Purpose of the
Guidelines
1.4.1 The purpose of the
Guidelines is to provide the basis of an operational framework for coastal
States, ships' masters, operators and/or salvors as well as other parties
involved to handle and take a decision when a ship is in need of assistance and
seeks a place of refuge.
1.4.2 Such a framework
could involve establishing an authority in a State, depending on the internal
structure of that State, which has relevant expertise and the necessary powers
to take independent decisions as regards the accommodation of a ship in a place
of refuge – hereinafter referred to as a competent authority (CA).
1.4.3 This also includes
guidance for such a CA on how and what should be done to efficiently deal with
a ship in need of assistance requesting a place of refuge. Guidance should also
be provided for the masters to assist them in clearly identifying any services
or facilities they require in a place of refuge situation. Therefore, the
Guidelines should also include guidance for masters on what is expected of
them, including suggested procedures and information flows to be used.
1.4.4 However, cases of a
ship in need of assistance seeking a place of refuge also routinely involve
other parties such as the flag State,1 the salvor, the
classification society and the insurer. The Guidelines also include guidance
for such parties.
________________
1 Flag State duties are
detailed in article 94 of UNCLOS.
1.4.5 The Guidelines
address situations where only one CA is involved, as well as when more than one
jurisdiction is or may become involved. Hence, it is recommended throughout the
Guidelines that coastal States, subject to relevant circumstances, consider
establishing regional cooperation and coordination mechanisms in order to
develop common frameworks for assessing ships that need assistance and are
seeking a place of refuge, including, where appropriate, putting concerted
actions and plans into practice.
1.4.6 In any given
situation, Member Governments, shipmasters, companies,2 salvors and
any other parties involved, should respond effectively and in such a way that
efforts are complementary, ensuring that if one CA is not in a position to
manage the situation or grant a request for a place of refuge, another CA
should be informed and prepared to take over the decision-making for that
request.
________________
2 As defined in the ISM
Code, part A, paragraph 1.1.2.
1.4.7 Where a ship is in
need of assistance and is requesting a place of refuge, but safety of life is
not involved, the Guidelines should be followed. The Guidelines do not address
the issue of operations for the rescue of persons at sea.
1.4.8 If, however, in an
evolving situation, the persons on board find themselves in distress, the rules
applicable to rescue operations under the International Convention on Maritime
Search and Rescue, 1979 (SAR Convention), the International Aeronautical and
Maritime Search and Rescue (IAMSAR) Manual and documents arising therefrom have
priority over the Guidelines (and procedures arising therefrom).
1.4.9 Even where a
situation does not entail a rescue operation, as defined in the SAR Convention,
the safety of persons has to be constantly borne in mind in the application of
the Guidelines.
1.4.10 In any case, the
competent maritime assistance service (MAS) / maritime rescue coordination
centre (MRCC) should be informed about any situation which may develop into an
SAR incident. Resolution A.950(23)
recommends that coastal States establish a MAS. This service could "be
discharged by an existing organization, preferably an MRCC", but
resolution A.950(23) also recognizes that "the establishment of a MAS
should not necessarily entail the setting up of a new organization", thereby
giving consideration to coastal States' internal arrangements.
1.4.11 The Guidelines do not
address the issue of liability and compensation for damage resulting from a
decision to grant or deny a ship a place of refuge.
1.5 Definitions
1.5.1 Ship in need of
assistance means a ship in a situation, apart from one requiring rescue of
persons on board, that could give rise to loss of the ship or to an
environmental or navigational hazard.
1.5.2 Parties involved
means, for the purposes of the Guidelines, those mentioned in section 2,
paragraphs 1 (master), 2 (salvor) and 5 (other – flag State, classification
society, insurers, port, harbours and terminals, company/operator) and section
3 (coastal States) involved in resolving a situation when a ship in need of
assistance seeks a place of refuge.
1.5.3 Place of refuge
means a place where a ship in need of assistance can take action to enable it
to stabilize its condition and reduce the risks to navigation, and to protect
human life and the environment.
1.5.4 MAS means a
maritime assistance service, as described in resolution A.950(23), responsible
for receiving reports in the event of incidents and serving as the point of
contact between the shipmaster and the authorities of the coastal State in the
event of an incident.
1.5.5 MRCC means a
maritime rescue coordination centre as described in the SAR Convention.3
3 The SAR Convention uses
the term "rescue coordination centre" (RCC). Not all States may have
established a maritime rescue coordination centre (MRCC) or a maritime
assistance service (MAS), and it is important that the master address either
depending on the internal arrangements in the coastal State in question. They
may therefore be used interchangeably throughout this document.
1.5.6 Competent
authority (CA) means an authority in a State, depending on the internal
structure of that State, having the required expertise and the power to take
independent decisions as regards the accommodation of a ship in a place of
refuge.
1.5.7 Emergency
response service (ERS) means the service provided by an entity, including
many classification societies, able to perform technical assessments on damage
stability and residual strength, etc. and provide the results of their
assessment to the ship's crew, salvors or the CA.
Appendix to section 1
APPLICABLE INTERNATIONAL CONVENTIONS
At the international level, the following conventions and
protocols are in force and constitute, inter alia, the legal context within which
coastal States, flag States and ships act in the envisaged circumstances:4
________________
4 It is noted that there
is at present no international requirement for a State to provide a place of
refuge for ships in need of assistance.
- United Nations
Convention on the Law of the Sea (UNCLOS), in particular, part V, and article
2215 thereof
________________
5 "1. Nothing in this
Part shall prejudice the right of States, pursuant to international law, both
customary and conventional, to take and enforce measures beyond the territorial
sea proportionate to the actual or threatened damage to protect their coastline
or related interests, including fishing, from pollution or threat of pollution
following upon a maritime casualty or acts relating to such a casualty, which
may reasonably be expected to result in major harmful consequences. 2. For the
purposes of this article, "maritime casualty" means a collision of
vessels, stranding or other incident of navigation, or other occurrence on
board a vessel or external to it resulting in material damage or imminent
threat of material damage to a vessel or cargo".
- International
Convention Relating to Intervention on the High Seas in Cases of Oil Pollution
Casualties, 1969 (Intervention Convention 1969)
- Protocol Relating to
Intervention on the High Seas in Cases of Pollution by Substances Other than
Oil, 1973 (1973 Intervention Protocol)
- International
Convention for the Safety of Life at Sea, 1974 (SOLAS Convention) in particular
chapter V thereof
- International
Convention on Salvage, 19896
________________
6 Parties to the
International Convention on Salvage, 1989 (Salvage 1989) are obliged under
article 11 of the Convention when considering a request for a place of refuge
to take into account the need for cooperation between salvors, other interested
parties and public authorities to ensure the efficient and successful
performance of salvage operations. Article 11 of the Salvage Convention states,
"A State Party shall, whenever regulating or deciding upon matters
relating to salvage operations such as admittance to ports of vessels in
distress or the provision of facilities to salvors, take into account the need
for co-operation between salvors, other interested parties and public
authorities in order to ensure the efficient and successful performance of
salvage operations for the purpose of saving life or property in danger as well
as preventing damage to the environment in general".
- International
Convention on Oil Pollution Preparedness, Response and Cooperation, 1990 (OPRC
Convention)
- Protocol on
Preparedness, Response and Cooperation to Pollution Incidents by Hazardous and
Noxious Substances, 2000 (OPRC-HNS Protocol)
- International
Convention for the Prevention of Pollution from Ships, 1973, as modified by the
Protocol of 1978 (MARPOL 73/78)
- Protocol of 1997 to
amend the International Convention for the Prevention of Pollution from Ships,
1973, as modified by the Protocol of 1978 relating thereto (1997 MARPOL
Protocol)
- International
Convention on Maritime Search and Rescue, 1979 (SAR Convention)
- Convention on the
Prevention of Marine Pollution by Dumping of Wastes and Other Matter, 1972
(London Convention 1972)
- 1996 Protocol to the
Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other
Matter, 1972 (London Protocol)
- Convention Relating
to Civil Liability in the Field of Maritime Carriage of Nuclear Material, 1971
(Maritime Carriage of Nuclear Substances)
- Convention on
Limitation of Liability for Maritime Claims, 1976 (1976 LLMC Convention)
- Protocol of 1996 to
amend the Convention on Limitation of Liability for Maritime Claims, 1976 (1996
LLMC Protocol)
- International
Convention on Civil Liability for Oil Pollution Damage, 1969 (1969 Civil
Liability Convention)
- Protocol of 1992 to
amend the International Convention on Civil Liability for Oil Pollution Damage,
1969 (1992 Civil Liability Protocol)
- International
Convention on the Establishment of an International Fund for Compensation for
Oil Pollution Damage, 1992 (1992 Fund Convention)
- Protocol of 2003 to
the International Convention on the Establishment of an International Fund for
Compensation for Oil Pollution Damage, 1992 (Supplementary Fund Protocol)
- International
Convention on Civil Liability for Bunker Oil Pollution Damage, 2001 (2001
Bunkers Convention)
- Nairobi
International Convention on the Removal of Wrecks, 2007 (2007 Nairobi Wreck
Removal Convention).
SECTION 2 – ACTION REQUIRED OF MASTERS AND/OR SALVORS AND OTHERS
INVOLVED WITH SHIPS IN NEED OF ASSISTANCE SEEKING A PLACE OF REFUGE
2.1 The master
2.1.1 In the event of any
maritime incident, the ship's master and/or the salvor are responsible for
contacting the appropriate MAS, as designated in each State, to report the
incident and initiate the necessary follow-up actions. Lists of MAS and MRCCs
can be found in the Global Integrated Shipping Information System (GISIS),
under the MAS section of the Contact
Points module and the RCC section of the Global SAR
Plan module, respectively.
2.1.2 The master of a ship
to which the provisions of the International Safety Management (ISM) Code are
applicable should, in accordance with that Code, inform the company of any
incident or accident which occurs at sea. As soon as it has been informed of
such a situation, the company should contact the competent coastal station and
place itself at its disposal as necessary.
2.1.3 The master has the
command of the ship and remains in command of the ship even when a salvage
operation is under way. The master may decide to relinquish command, after
which command is assumed by the salvor.
2.1.4 The master is
responsible for:
________________
7 UNCLOS articles 94, 194
and 198 prompt notification procedures to the flag State. UNCLOS articles 92
and 94 further detail that the master is acting on behalf of the flag State to
which the ship is registered.
.1 informing the CAs (of the nearest coastal
State(s)) as well as the flag State, as soon as possible, issuing an incident
report with at least the following details:
.1 ship's identity;
.2 ship's position;
.3 port of departure;
.4 port of destination;
.5 information about the onboard cargo;
.6 address from which additional information may
be obtained on any oil (fuel, cargo or otherwise) and dangerous cargo on board
(i.e. copy of cargo manifest) to the extent known;
.7 quantity, location and type of bunkers on
board;
.8 number of persons on board; and
.9 details of the incident;
.2 cooperating fully with the CAs; and
.3 communicating all
requested or pertinent information to CAs.
2.1.5 The master is
further responsible for (with the assistance of the company and/or the salvor
where necessary):
.1 assessing the situation and identifying
the reasons why the ship needs assistance;
.2 carrying out an analysis of the risks,
threats, and hazards identified (to the best of the master's ability or
knowledge at the time of the situation) considering, inter alia, the following:
.1 fire;
.2 explosion;
.3 damage to the ship, including mechanical
and/or structural failure;
.4 collision;
.5 pollution;
.6 impaired ship stability; and
.7 grounding;
The risk analysis factors as
presented in appendix 2 to section 3, where applicable, are to be considered
during this process;
.3 estimating the consequences of the
incident, if the ship were to:
.1 remain in the same position;
.2 continue on its voyage;
.3 reach a place of refuge; or
.4 be taken out to sea;
.4 identifying the assistance required from
the coastal State in order to overcome the inherent danger of the situation
(refer to appendix to section 2, part 3 and appendix 2 to section 3, paragraph
3);
.5 informing the CA if the ship has access to
ERS and make relevant contact details, activation status and details of the
contracting party available to the CA; and
.6 undertaking any
relevant response actions to minimize the consequences of the casualty.
2.2 The salvor8
________________
8 The duties of the salvor
are set out in article 8 of the International Convention on Salvage, 1989,
which is incorporated into Lloyd's Open Form, and will apply when no contract
is in place. If a contract other than Lloyd's Open Form is in place,
responsibilities will be different and will be specific to each casualty.
2.2.1 In a situation where
the master has relinquished command, the salvor, in addition to those in
paragraph 2.1, is responsible for:
.1 keeping the CA fully informed about the
condition of the ship and the progress of the salvage operation;
.2 cooperating fully with the CA in ensuring
the safety of the ship and of persons, and ensuring the protection of the
marine environment, by taking all appropriate measures;
.3 submitting an outline salvage plan showing
immediate intentions, and following up with a detailed plan at the appropriate
juncture, to the CA for approval before operations commence; and
.4 initiating direct
contact with the ERS (if there is an ERS in place and active for the incident)
to provide them with updates on the condition of the ship.
2.3 Requesting a place
of refuge – process
2.3.1 When a decision has
been taken by the party in charge of the ship to make a formal place of refuge
request, without prejudice to the CA's right to take the decision, the
following process should be followed.
2.3.2 The formal request
should be made in writing via electronic transmission and should include Form A
(appendix to section 2). Any other information that the CA might require, for
example to ensure compliance with local legislation, such as cargo manifests,
stowage plans and the salvor's outline salvage plan, should also be forwarded
with Form A.
2.3.3 The formal request
for a place of refuge should be transmitted by the master, using the fastest
means available, to the CA or MAS, as applicable (see paragraph 2.1.1).
2.3.4 A formal request for
a place of refuge may also be made by:
.1 a ship operator / company designated
person ashore / contracted salvor; and
.2 any other person who
is in charge of the ship at the time and is recognized by national law.
2.3.5 Unless in extremis,
formal requests should be made to one CA only, through the national point of
contact (MAS), and should not be forwarded directly to ports or harbours,
unless agreed with the MAS and CA. The CA should always be informed if a third
party was involved.
2.3.6 Simultaneous
requests to other CAs or MAS should be avoided.
2.4 Response actions
2.4.1 Subject, where
necessary, to the coastal State's prior consent, the ship's master and the
shipping company concerned should take any necessary response actions, such as
signing a salvage or towage agreement or the provision of any other service for
the purpose of dealing with the ship's situation. When granting access, the
coastal State may establish additional or different measures to be complied
with by the master and/or salvor.
2.4.2 The master, the
company and, where applicable, the salvor of the ship should comply with the
practical requirements resulting from the coastal State's decision-making
process referred to in paragraph 3.5.
2.5 Other parties
involved
2.5.1 Flag State
The flag State, apart from complying with its obligation under
international law, should be asked to cooperate with the CA if there is a need
for specific information on the ship's certificates and any other relevant
documentation (i.e. safety and pollution prevention). The flag State itself or,
if requested, the recognized organization or organizations that issue the
ship's certificates on its behalf, should provide all relevant information,
certification and documentation regarding the ship to the CA. The flag State
should also facilitate for any ERS information to be made available. The CA
should keep the flag State aware of developments.
2.5.2 Classification
society
When a ship is in need of assistance and seeking a place of
refuge, the ship's classification society can contribute to a safe course of
action to protect the ship, crew, cargo and the marine environment. A ship's
crew and management need rapid precise technical information on the behaviour
of the ship after the incident as well as information on the consequences of
any proposed remedial actions.
It is strongly recommended that the classification society be
involved in the information gathering and risk assessment with respect to
preserving the hull strength and stability of the ship and mitigating
environmental pollution, and in particular when a formal request for a place of
refuge has been made, and to provide any relevant information.
2.5.3 Emergency
response service
.1 Many shipowners
and/or classification societies have set up ERSs. The aim of an ERS is to
provide rapid technical assistance9 to masters/the contracting party
and their representatives or other authorities in a casualty situation by, for
example, assessing the damage stability and residual longitudinal strength of
the ship.
_______________
9 The International
Association of Classification Societies (IACS) recommends that ERSs provide
rapid technical assistance to the master and to other authorities. IACS
Recommendation N.145 (May 2016): https://iacs.org.uk/resolutions/recommendations/141-160
.2 Where the ship has been enrolled in a
shore-based ERS service, the service should be activated as soon as possible to
assess the vessel damage condition. The availability of ERS as a resource
should be communicated without delay to the CA by the master or operator.
.3 The CA should have
access to all information that it deems necessary, i.e. ERS reports and/or
support information, where provided, cargo manifests, etc. Such information
should be made available to the CA by the shipowner, the contracting party or,
where authorized by it, the ERS without delay.
2.5.4 Insurers
.1 Protection and Indemnity ("P &
I") Insurance covers a wide range of liabilities including personal injury
to crew, passengers and others on board, cargo loss and damage, oil pollution,
wreck removal and dock damage. Generally, P & I Clubs also provide a wide
range of services to their members on claims, legal issues and loss prevention,
and often play a leading role in the management of casualties. Hence,
establishing communication with the P & I Club as early as possible during
an incident is important as they can be instrumental in obtaining relevant
information from the ship operator.
.2 In an incident, they may be asked to
provide financial guarantees, which may include guarantees for damages or
losses to ports during the accommodation of a ship in need of assistance
seeking a place of refuge.
.3 Hull and machinery ("H &
M") insurance covers damage to the ship's hull, machinery and equipment.
This is often covered by two or more underwriters. It is sufficient to obtain
the contact details of the lead hull insurer, who is authorized to act on
behalf of all followers and often plays a leading role during a salvage
situation.
.4 Cargo insurance
covers damages to the cargo on board the ship, including cargo contributions to
the general average.
2.5.5 Ports,
harbours and terminals
.1 Depending on circumstances and following
the risk assessment, a port or harbour or a specific terminal may be identified
as a potential place of refuge.
.2 If a port or harbour is identified as a
potential place of refuge for a ship in need of assistance, the following
issues, inter alia, will need to be considered:
.1 the availability of a suitable berth,
designated emergency reception berth or otherwise, to accommodate the ship;
.2 the risk to safety and/or human health,
particularly if the port or harbour is in close proximity to populated areas;
and
.3 technical
considerations of the port's operations (e.g. assessment of the potential risk
of lengthy disruption, the ship blocking or restricting access through
navigation channels, damage to infrastructure).
2.5.6 The
company/operator
The company/operator should:
.1 provide a point of contact for any
information required by the CA/MAS if the master is unable to do so (for
whatever reason) or to reduce the requests for information to the master,
allowing the master to manage the situation on board;
.2 support the CA/MAS if requested during and
post the situation; and
.3 coordinate the
provision of ERS information between the CA and the ERS provider.
Appendix to section 2
FORM A – FORMAL PLACE OF REFUGE REQUEST FORM
Note: For Places of Refuge requests following SAR action, it is likely
that much of the ship/cargo/bunker information will already be held by the MRCC
or MAS.
|
|
Request for Place of Refuge |
|
Date: |
…………
|
|
|
|
|
From |
Master:
MV/ …………… ……….
Salvage PLC |
|
To |
Competent
authority (or via MAS/MRCC) ………….. |
|
|
For
the attention of: Competent authority |
|
Part 1 |
Appraisal
of the situation (refer to paragraph 2.1.5.1) The
master should, where necessary with the assistance of the company and/or the
salvor, identify the reasons for their ship's need of assistance. |
|
Part 2 |
Identification
of hazards and assessment of associated risks (refer to paragraphs 2.1.5.2
and 2.1.5.3) Having
made the appraisal above, the master, where necessary with the assistance of
the company and/or the salvor, should estimate the consequences of the
potential casualty, in the following hypothetical situations, taking into
account both the casualty assessment factors in their possession and also the
cargo and bunkers on board: - if the ship remains in
the same position; - if the ship continues
on its voyage; - if the ship reaches a
place of refuge; or - if the ship is taken
out to sea. |
|
Part 3 |
Identification
of the required actions (refer to paragraph 2.1.5.4) The
master and/or the salvor should identify the assistance they require from the
coastal State in order to overcome the inherent danger of the situation. (appendix
2 to section 3, paragraph 3 refers). |
|
Part 4 |
Supporting
documentation |
|
Part 5 |
Any
other coastal States/ports contacted to date |
|
Part 6 |
Information
from the MAS/port contacted (At the end of its
assessment process) The
recipient CA should inform the requestor of its action. |
SECTION 3 – ACTIONS EXPECTED OF COASTAL STATES
When a ship in need of assistance is seeking a place of refuge, a
decision has to be taken as regards the accommodation of that ship in a place
of refuge. Each coastal State should therefore examine its ability to provide a
place of refuge.
This is particularly important in the event of an incident that
could give rise to an environmental or navigational hazard or the loss of a
ship.
3.1 Competent authority
3.1.1 When a ship in need
of assistance is seeking a place of refuge, it is necessary to be able to call
on an authority in that coastal State, depending on the internal structure of
that State, with the required expertise and power to take independent decisions
as regards the accommodation of a ship in a place of refuge.
3.1.2 Therefore, coastal
States should designate a CA. The CA should have the required expertise and
authority to take independent decisions on their own initiative concerning the
accommodation of ships in need of assistance seeking a place of refuge. It is
desirable that the CA be permanent in nature.
3.1.3 Coastal States are
advised to establish and maintain a MAS and/or, as appropriate, make the
necessary arrangements for a joint service with neighbouring States.
3.1.4 Coastal States
should make the name and contact details of the competent authorities for MAS
and MRCC available to the public in the Contact
Points and
the Global SAR Plan modules of GISIS,
respectively.
3.2 Plans for
accommodating ship(s) in need of assistance seeking a place of refuge
3.2.1 Under international
law, a coastal State has the right to require the ship's master or company to
take appropriate action within a prescribed time limit with a view to
mitigating a risk or danger. In cases of failure or urgency, the coastal State
can exercise its authority in taking responsive action appropriate to the
threat.
3.2.2 It is therefore
important that coastal States establish plans with clear procedures to address
these issues, even if no established damage and/or pollution has occurred.
3.2.3 It is recommended
that coastal States establish plans and procedures consistent with the
Guidelines for the accommodation of ship(s) in order to respond to risks
presented by ships in need of assistance seeking a place of refuge in the
waters under their jurisdiction. The CA should participate in drawing up and
carrying out those plans.
3.2.4 The plans should
describe precisely the decision-making chain with regard to alerting and
dealing with the situation in question. The authorities concerned and their
specific role/competence should be clearly described, as should the means of
communication between the parties involved. The applicable procedures should
ensure that an appropriate decision can be taken quickly on the basis of
specific maritime expertise and best possible information available to the CA.
3.2.5 When drawing up the
plans, coastal States should gather the information on potential places of
refuge to allow the CA to identify clearly and quickly the most suitable place
for accommodating a ship in need of assistance seeking a place of refuge. It
can be a sheltered area, a port or any other suitable place; it may be any
appropriate place, depending on the situation, along the entire coast of a
State.
3.2.6 Information about
potential places should include a description of certain characteristics of the
sites as well as any equipment and installations available to accommodate a
ship in need of assistance.
3.2.7 The coastal State
should also include procedures or agreements for international/regional
coordination and decision-making, in line with the Guidelines for the handling
of requests for assistance and authorizing, where appropriate, the use of a
suitable place of refuge. They may therefore include availability of
information on plans for other neighbouring States and all parties involved in
a response operation.
3.2.8 Appendix 1 to section
3 contains a non-exclusive list of what such plans may include.
3.3 Assessment of
places of refuge
The CA, and where necessary, in consultation with the port
authorities and, as appropriate, terminal operators, should, for each request
for a place of refuge, make an objective analysis of the advantages and
disadvantages of allowing a ship in need of assistance to proceed to a place of
refuge under their jurisdiction or via the waters for which they are
responsible, taking into consideration the risk analysis factors listed in
appendix 2 to section 3.
3.4 Event-specific
assessment
Expert analysis/inspection
3.4.1 The analysis or
inspection should include a comparison between the risks involved if the ship
remains at sea and the risks that it would pose to the place of refuge and its
environment. Such comparison should cover each of the following points:
.1 safeguarding of human life at sea;
.2 safety of persons at the place of refuge
and its industrial and urban environment (risk of fire or explosion, toxic
risk, etc.);
.3 risk of pollution (particularly in
designated areas of environmental sensitivity);
.4 if the place of refuge is a port, risk of
disruption to the port's operation (channels, docks, equipment, terminals, other
installations);
.5 if the place of refuge is an anchorage,
accessibility for lightering operation should be considered and the tidal
situation must be monitored at all times;
.6 evaluation of the consequences if a
request for place of refuge is refused, including the possible effect on
neighbouring States; and
.7 due regard should be
given, when drawing the analysis, to the preservation of the hull, machinery
and cargo of the ship in need of assistance, as well as possible risks to
navigation.
Analysis factors
3.4.2 The event-specific
analysis should include the following analysis factors:
.1 seaworthiness of the ship concerned, in
particular buoyancy, stability, availability of means of propulsion and power
generation, and docking ability;
.2 nature and condition of cargo, stores,
bunkers, in particular hazardous goods;
.3 distance and estimated transit time to a
place of refuge;
.4 whether the master (or representative of
the master, e.g. chief mate) is still on board;
.5 the number of other crew and/or salvors
and other persons on board and an assessment of human factors, including
fatigue;
.6 the legal authority of the country
concerned to require action of the ship in need of assistance;
.7 agreement by the master and company of the
ship to the proposals of the coastal State/salvor to proceed or be brought to a
place of refuge;
.8 provision on financial security, if
required;
.9 commercial salvage contracts already
concluded by the master or company of the ship;
.10 information on the intention of the master
and/or salvor;
.11 designation of a representative of the
company at the coastal State concerned;
.12 risk analysis factors identified in the
formal place of refuge request form (appendix to section 2); and
.13 any measures already
taken.
Expert inspection
3.4.3 Where it is deemed
safe to do so and where time permits, an assessment team designated by the CA
should board the ship requesting a place of refuge, for the purpose of
gathering evaluation data to support the decision-making process (cf. risk
analysis factors).
3.4.4 A team composed of
persons with expertise appropriate to the situation should be established.
Where one or more coastal States may be involved with the incident, and where
other parties may be potentially involved, then the formation of a
multinational or "regional" inspection team should be considered. The
coastal State CA receiving the request for a place of refuge will retain
responsibility for selecting the appropriate team members and inviting
participation from other States/competent authorities. Due care should be
exercised to ensure that the formation of a multinational/regional team does
not delay the deployment of the inspection team.
3.5 Decision-making
process for granting a place of refuge
3.5.1 The CA should decide
on the acceptance of a ship in a place of refuge following a prior assessment
of the situation carried out on the basis of the plans referred to in 3.2 and
any expert assessment as per paragraphs 3.3 and 3.4. The CA should grant a
place of refuge to a ship if they consider such an accommodation the best
course of action for the purpose of the protection of human life, the
environment or the ship or its cargo. When permission to access a place of
refuge is requested, there is no obligation for the CA to grant it, but before
taking any decision, the necessary risk assessments and/or expert onboard
assessments should always be completed, unless deemed unsafe. The CA should
weigh all the factors and risks in a balanced manner and give shelter whenever
reasonably possible.
3.5.2 The CA may verify
whether the ship is covered by insurance or some other effective form of
financial security permitting appropriate compensation for costs and damages
associated with its accommodation in a place of refuge. Operational response to
the incident should not be delayed while verification of insurance cover takes
place. The absence of insurance or financial security should not in itself be a
reason to refuse to assess the request for a place of refuge as there might be
a risk to the marine environment and to decide on the acceptance of the ship in
a place of refuge.
3.5.3 The decision by the
CA as a representative of a State to grant a place of refuge on their territory
should be immediately communicated to all parties involved and should include
any practical requirements set as a condition of entry.
3.5.4 While each State
should remain independent in making their decision, if a CA is unable to accept
a request for a place of refuge it should immediately communicate to the
shipowner/operator the information on the basis of which its decision has been
made and including any assessment relating to:
.1 the safety of persons on board and risks
to public safety onshore;
.2 environmental sensitivities;
.3 lack of availability of suitable resources
at desired place of refuge and concern over structural stability and ability
for ship to make successful safe transit to the same;
.4 prevailing and forecast weather conditions,
i.e. lack of sheltered area for proposed works;
.5 physical limitations and constraints
including bathymetry, navigational characteristics;
.6 escalation of foreseeable consequences,
i.e. pollution, fire, toxic and explosion risk; and
.7 any other applicable
reason.
3.5.5 In situations where
regional agreements are in place, the same information should be communicated
to the other parties involved. Copies of the risk assessment and/or inspection
report(s) should also be made available, as appropriate, through such regional
agreements.
3.5.6 The action of the
coastal State, via its CA, does not prevent the company or its representative
from being called upon to take steps, within the framework of international
law, that are necessary to avert, lessen or remove a serious and imminent risk
to its coastline or related interests, the safety of other ships and their
crews and passengers or of persons onshore or to protect the marine
environment. That CA may, inter alia:
.1 restrict the movement of the ship or
direct it to follow a specific course. This requirement does not affect the
master's responsibility for the safe handling of his or her ship;
.2 give official notice to the master of the
ship to put an end to the threat to the environment or maritime safety; and
.3 instruct the master
to put in at a place of refuge in the event of imminent peril or cause the ship
to be piloted or towed.
In the case of a ship that is towed under a towage or salvage
agreement, the measures taken by the CA of a State under paragraphs 3.5.6.1 and
3.5.6.3 may also be addressed to the assistance, salvage and towage companies
involved.
Appendix 1 to section 3
PLACES OF REFUGE PLANS
The plans referred to in paragraph 3.2 should be prepared after
consultation of the parties concerned, where necessary, and contain at least
the following items:
.1 the identity of the authority or
authorities responsible for receiving and handling alerts;
.2 the identity of the CA for assessing the
situation and taking a decision on acceptance or refusal of a ship in need of
assistance seeking a place of refuge;
.3 information on the coastline of the State
and all elements facilitating a prior assessment and rapid decision regarding
the place of refuge for a ship, including a description of environmental,
economic and social factors and natural conditions;
.4 the assessment procedures for acceptance
or refusal of a ship in need of assistance in a place of refuge;
.5 the resources and installations suitable
for assistance, rescue and combating pollution;
.6 procedures for international coordination
and decision-making, taking into account characteristic regional features (see
section 4); and
.7 the financial
guarantee and liability procedures in place for ships accommodated in a place
of refuge.
Appendix 2 to section 3
RISK ANALYSIS FACTORS
When conducting the risk analysis as described in paragraphs 2.1.5
and 3.3, the following should be considered:
1 Environmental and
social factors, such as:
- Safety of those on
board
- Risk to public
safety
What
is the nearest distance to populated areas?
- Pollution caused by
the ship
- Designated
environmental areas
Are
the place of refuge and its approaches located in sensitive areas such as areas
of high ecological value which might be affected by possible pollution?
Is
there, on environmental grounds, a better choice of place of refuge close by?
- Sensitive habitats
and species
- Fisheries
Are
there any offshore and fishing or shellfishing activities in the transit area
or in the approaches to the place of refuge or vicinity which can be endangered
by the incoming ship in need of assistance?
- Economic/industrial
facilities
What
is the distance to the nearest industrial areas?
- Amenity resources
and tourism areas
- Facilities available
Are
there any specialist ships and aircraft and other necessary means for carrying
out the required operations or for providing necessary assistance?
Are
there transfer facilities, such as pumps, hoses, barges, pontoons?
Are
there reception facilities for harmful and dangerous cargoes?
Are
there repair facilities, such as dockyards, workshops, cranes?
2 Natural
conditions, such as:
- Prevailing winds in
the area
Is
the place of refuge safely guarded against heavy winds and rough seas?
- Tides and tidal
currents
- Weather and sea
conditions
- Local meteorological
statistics and number of days of inoperability or inaccessibility of the place
of refuge
- Bathymetry
Minimum
and maximum water depths in the place of refuge and its approaches? The maximum
draught of the ship to be admitted?
Information
on the condition of the bottom, i.e. hard, soft, sandy, regarding the
possibility to ground a problem ship in the haven or its approaches?
- Seasonal effects
including ice
- Navigational
characteristics
In
the case of a non-sheltered place of refuge, can salvage and lightering
operations be safely conducted?
Is
there sufficient space to manoeuvre the ship, even without propulsion?
What
are the dimensional restrictions of the ship, such as length, width and
draught?
- Risk of stranding
the ship, which may obstruct channels, approaches or ship navigation
- Description of
anchorage and mooring facilities, in the place of refuge?
- Operational
conditions, particularly in the case of a port Is pilotage compulsory and are
pilots available?
Are
tugs available? State their number and bollard pull.
Are
there any restrictions? If so, whether the ship will be allowed in the place of
refuge, e.g. escape of poisonous gases, danger of explosion.
Is a
bank guarantee or other financial security needed and if so, acceptable to the
coastal State before admission is granted into the place of refuge?
3 Contingency
planning, such as:
- Competent MAS
- Roles and
responsibilities of authorities and responders
Fire-fighting
capability
- Response equipment
needs and availability
- Response techniques
Is
there a possibility of containing any pollution within a compact area?
- International/regional
cooperation and coordination (reference to section 4)
- Evacuation
facilities
4 Foreseeable
consequences of the different scenarios envisaged with regard to safety of
persons and pollution, fire, toxic and explosion risks.
SECTION 4 – INTERNATIONAL/REGIONAL COOPERATION AND COORDINATION
FOR PLACES OF REFUGE
4.1 Many times,
situations leading to a request for a place of refuge involve only one State
and will be handled by the same State, under its jurisdiction. There may however
be cases where a purely national situation may turn into a situation involving
neighbouring Member States or Member States in the vicinity of the incident. As
a complement in national place of refuge plans (see section 3.2.7 and appendix
1 to section 3, point 6), procedures for international/regional coordination
and decision-making should be included and apply to situations where it is
likely that more than one State may become involved.