Guidance

MCA enforcement policy statement

Updated 23 April 2025

1. Background

The Maritime and Coastguard Agency (MCA) is an Executive Agency of the Department of Transport. It is the statutory authority responsible for enforcing Merchant Shipping and associated legislation and has wide ranging powers to take enforcement action and impose sanctions which reflect the seriousness of the legislative breach across the United Kingdom.

Whilst enforcement action typically follows breaches of the Merchant Shipping Act 1995, there are a number of laws and regulations that the MCA enforces.

The MCA has the power to take enforcement action against a variety of potential defendants, including ship / vessel / watercraft owners (whether they be individuals or corporate entities), masters, seamen, officers and in some circumstances, ship / vessel / watercraft managers and charterers. In certain circumstances, enforcement action may also be taken against the officers of corporate entities, for example, directors.

The MCA has dedicated Departmental Inspectors who are individuals appointed by the Secretary of State under s.256(1) of the Merchant Shipping Act 1995.

The purpose of this policy statement is to outline the MCA’s approach to enforcement. Understandably, some criminal offences will fall outside of the MCA’s remit and may be investigated by other enforcing agencies, such as the Police or other Government departments. The MCA is committed to assisting other enforcement agencies and is a signatory to the Convention between Prosecuting Authorities and the Work-Related Deaths Protocol.

Whilst prosecution remains the most serious enforcement action that the MCA can take, the MCA has a range of administrative sanctions available that may be considered before a prosecution is initiated. Please note that once criminal proceedings in the Court are commenced, control over the sanction-imposed rests with the Court.

2. The Regulatory Compliance Investigations Team and Operational Procedures

The MCA’s Regulatory Compliance Investigations Team (RCIT) are responsible for investigating suspected breaches of maritime legislation that may impact on the safety and security of individuals, vessels, and the environment.

The RCIT also investigates instances of persistent non-compliance with statutory requirements and incidents considered to be in the public interest to investigate. A ‘significant breach’ will prompt a criminal investigation that may result in criminal proceedings.

The MCA considers a ‘significant breach’ to be a:

• contravention of legislation appertaining to ships, watercraft, seafarers, or other water users, which has, or has the potential to cause, loss of life, serious injury, significant pollution or damage to property or the environment.

• an act which prevents an officer of the MCA from carrying out their statutory functions.

The MCA takes a risk-based approach to regulatory activity, with all potential breaches reported subject to a THRIVE risk assessment, to assess Threat, Harm, Risk, Investigation, Vulnerability and Engagement. This process is to ensure the investigation of breaches that pose the greatest risk are appropriately prioritised. Incidents that do not meet the criteria of a significant breach, may still be investigated where appropriate. RCIT consider all cases reported and actively monitor open-source social media to ensure that investigative time and resources are allocated effectively.

Upon completion of an investigation, evidence is analysed by the MCA Departmental Inspector and a recommendation is made. This can include a recommendation that the MCA ought to prosecute the offender.

To ensure a fair decision-making process, the decision to prosecute is taken independently of the investigator (“Phillips Principle”). It allows for a careful, impartial assessment of the Departmental Inspector’s recommendation, which ensures that a justified and appropriate course of action can be taken.

The final decision to initiate criminal proceedings is with MCA’s Chief Executive Officer or an Executive Director with the appropriate delegation.

Although not subject to the Attorney General’s direct managerial control, MCA prosecution activity is subject to the Attorney’s General’s oversight.

The MCA will seek to recover reasonable costs incurred in investigation and enforcement proceedings from those who have breached the law. The MCA will also utilise its powers under the Proceeds of Crime Act 2002 where possible.

3. Principles when investigating

In applying these principles, the MCA aims to achieve a fair investigative process, which results in justified and proportionate enforcement action.

When investigating, the following basic principles are applied:

• every case is assessed on its own merits

• MCA’s Departmental Inspectors take on each case with a fair and balanced approach

• every reasonable effort is made to gather all the available evidence and all reasonable lines of enquiry are followed to prove or disprove any persons suspected involvement in criminal activity

• MCA’s Departmental Inspectors and those assisting adhere to rules governing the conduct of investigations, including in respect of human rights

• where appropriate, suspects are invited to give their own account of an incident in a PACE interview (or Scottish equivalent) with the right to legal representation

• all recommendations are evidenced based, with consideration of any mitigating factors

• no case shall proceed to prosecution without the knowledge and approval of senior individuals within the RCIT / MCA

4. Offences

Typically, offences can be broadly sub-divided into the following categories:

• pollution
• collision regulations (IRPCS)
• unsafe operations – owners, operators, and users
• conduct endangering – masters and crew
• carriage of dangerous goods
• fraud – seafarer documentation

5. The principles of enforcement

The MCA applies the following principles when conducting enforcement activity:

• Transparency – MCA will make clear to those we regulate the requirements to remain compliant and our approach to enforcement of those regulations as detailed within this policy.

• Accountability – MCA takes responsibility for the enforcement action that it takes and will explain the decisions taken where appropriate.

• Proportionality – MCA will ensure that enforcement action is proportionate to the risks posed by the non-compliance and the seriousness of the breach.

• Consistency – MCA aims to be consistent in the advice it provides and enforcement action taken.

• Intelligence led Enforcement – MCA utilises a risk-based approach, with resources prioritised to take efficient and effective action in the cases that pose the greatest risks.

6. Administrative sanctions

The administrative sanctions available to the MCA include:

• Inspection and Follow Up – where there has been a fatality, serious injury, serious damage to a vessel, major mechanical breakdown or sinking, the MCA will endeavour to either conduct an inspection of the vessel or follow up on the incident. The extent of the inspection / follow up will depend on the nature of the incident. Inspection will take priority over routine survey and inspection work. The purpose of an inspection is to ensure that the vessel complies with the relevant standards and to ensure that working practices relevant to the circumstances of the accident were adequate and were consistent with existing rules. An assessment shall be made as to whether the vessel can return to use or be allowed to sail to a suitable repair port as necessary.

• Prohibition / Improvement Notices – such notices compel the person responsible for an activity to either take steps to make an activity safe (improvement) or in more extreme circumstances, stop the activity from taking place (prohibition). Breaking the terms of a notice is an offence under the Merchant Shipping act.

• Detention – the MCA has the power to detain vessels in certain circumstances. Typically, detention may be considered for pollution offences or for safety reasons, for example, to make repairs regarding seaworthiness, or to remedy deficiencies in the equipment or manning of a ship.

• Notification of Concern (NOC) – in certain circumstances, MCA Departmental Inspectors may suspect that someone is or has been operating in breach of Merchant Shipping legislation, but there may be insufficient evidence to warrant a prosecution or caution. Where a ‘no further action’ recommendation is not warranted, the MCA may write a letter to the individual or company outlining their concerns. A NOC does not carry legal status but serves as a warning that the operation in question has been brought to the attention of the MCA and investigated.

• Simple Caution – whilst simple cautions are available for any offence, they are primarily intended for low-level, mainly first time, offending. The more serious an offence, the less likely it is that a simple caution will be appropriate. A caution will only be considered in circumstances where the MCA could bring a prosecution and the offender admits the offence and consents to the caution. A record of the caution will be retained by the MCA and produced in Court should the offender later be found guilty of a further offence. A previous caution may also influence the MCA’s decision to prosecute in the future.

• Inquiry into Fitness to hold a Certificate of Competency (CoC) – As an alternative to, or because of, a prosecution, the MCA may conduct an inquiry into the fitness of an officer to discharge their duties by reason of incompetence, misconduct, or negligence. The consequences for the officer of any withdrawal of certification, even temporarily, can be very serious. The MCA also has powers to conduct a similar inquiry concerning the fitness or conduct of other seafarers.

7. The decision to prosecute

Before initiating a prosecution, the MCA will consider whether the case meets the Full Code Test set out in the Code for Crown Prosecutors (the “Code”). The MCA must be satisfied that there is a realistic prospect of conviction and that the evidence is reliable and credible.

The Full Code Test consists of two stages (the evidential test, followed by the public interest stage) and will be applied once all outstanding reasonable lines of inquiry have been pursued, or once the MCA is satisfied that any further evidence or material is unlikely to affect the application of the test, whether in favour of or against a prosecution.

The evidential stage

The MCA must be satisfied that there is sufficient evidence to provide a realistic prospect of conviction against each suspect on each charge. This is based on an objective assessment of the evidence and will require the MCA to consider the admissibility, reliability, and credibility of the evidence. The MCA will also consider whether there is other material that might affect the sufficiency of the evidence

The public interest stage

If there is sufficient evidence to provide a realistic prospect of conviction, the MCA will consider whether a prosecution is required in the public interest. In reaching its decision, the MCA will consider the questions set out within the Code, namely:

• how serious was the offence?
• what was the level of culpability of the suspect?
• what were the circumstances of, and the harm caused to the victim?
• what was the suspect’s age and maturity at the time of the offence?
• what was the impact on the community?
• is prosecution a proportionate response?
• do sources of information require protecting?

MCA endeavours to ensure a consistent and proportionate approach, with each case assessed on its individual merits. To that end, before an MCA Departmental Inspector recommends prosecution as a proportionate enforcement response, they must have carefully considered the evidence and any mitigating circumstances.

MCA will, where permitted, publish details of concluded prosecutions in its online annual report.

8. Review

The MCA’s enforcement policy may be updated as required to reflect any changes and is subject to an annual review by MCA’s Executive team.