Guidance

MCA Enforcement Policy Statement

Updated 16 November 2021

1. Background

  • The MCA is an Executive Agency of the Department of Transport. It is the statutory authority for enforcing Merchant Shipping legislation. The Enforcement action that can be taken is varied and the sanctions imposed can and must reflect the seriousness of the legislative breach.
  • The Merchant Shipping Act and the Regulations prescribe many varied offences and always prescribe the potential defendants.
  • The potential defendants are ship owners (which may be companies or individuals), Master, Officers and others, in limited circumstances ship managers and charterers, and in exceptional circumstances Company Officers who are personally culpable.
  • Where serious criminal offences are committed outside of Merchant Shipping legislation these will always be a matter for the police and possibly other Government agencies. 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.
  • Prosecution is the ultimate sanction and the MCA has available a range of administrative sanctions that must be considered before prosecution is initiated. It must be recognized that as soon as criminal proceedings are commenced the control over the sanction imposed has been presented to the Court.

2. The Regulatory Compliance Investigations Team and Operational Procedures

  • The MCA has established a dedicated Regulatory Compliance Investigations Team (RCIT), which operates under a set criterion for enforcement actions. A “Significant Breach” is defined as: -

The RCIT will look to investigate breaches of maritime legislation that may impact on the safety and security of individuals, vessels or the environment; instances of flagrant or persistent noncompliance with statutory requirements and incidents considered to be in the public interest to investigate. A significant breach will instigate a criminal investigation that may result in criminal proceedings.

A significant breach is defined as:

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; or is an act which prevents an officer of the MCA from carrying out their statutory functions.

  • To comply with the requirements of the Criminal Justice System strict and comprehensive procedures have been adopted to control the enforcement activities of the MCA. All evidence is collected in accordance with the relevant statutory provisions and legal requirements.
  • The reporting and investigation of possible breaches, as defined above, provides a filtering mechanism to ensure only the more serious breaches are reported to the Regulatory Compliance Investigations Team.
  • The Regulatory Compliance Investigations Team only investigates an incident provided it meets the criteria as defined above. The RCIT actively monitors open source Social Media websites to detect and prevent crime.
  • On completion of the investigation the evidence is analysed by the investigating officer and recommendations made, which may include prosecution action. In such cases the evidence is further reviewed by the head of the RCIT. If it is determined that prosecution is appropriate the case is subject to a third review by the Director of Finance and Audit who on behalf of the Secretary of State decides whether criminal proceedings should be commenced.
  • At all stages, the requirements and test contained in the Code for Crown Prosecutors are considered. Only if these requirements are met is authority to prosecute sought from the Director of Finance and Audit.
  • The MCA prosecution activity, although not subject to direct managerial control by the Attorney General is subject to his oversight and as such the MCA make regular reports to him.
  • Policy on prosecution of individuals. It is the MCA’s policy to primarily prosecute owners and managers of vessels and only to prosecute individuals as seafarers or employees where they are personally culpable.

3. Offences

Typical offences can be broadly sub-divided:

  • Pollution
  • Collision regulations
  • Unsafe operations – Owners
  • Conduct endangering – Master and Crew
  • Carriage of Dangerous Goods
  • Fraud – Seafarer documentation

4. Administrative Sanctions

Where a prosecution is not appropriate, certain administrative sanctions may be appropriate.

The administrative sanctions available are: -

5. Ships (Owners/Companies/Managers)

  • Inspection and follow up
  • Prohibition Notice
  • Improvement Notice
  • Detention
  • Notification of Concern
  • Simple Caution

6. Individuals

  • Notification of Concern
  • Simple Caution
  • Inquiry into fitness to hold a Certificate of Competency