Guidance

United Kingdom National Maritime Strategy for the IMO Instruments Implementation Code

Published 8 September 2021

Forward

As an IMO Member State and IMO Council Member, the United Kingdom of Great Britain and Northern Ireland (UK) is committed to enhancing maritime safety and protecting the maritime environment through effective implementation and enforcement of the IMO Conventions. In 2018, the UK Government set out its Maritime 2050 strategy and high-level vision for the maritime sector. This strategy is fundamentally underpinnned by the UK’s commitment to the IMO Conventions and the IMO Instruments Implementation (III) Code.

The Maritime 2050 strategy provides a framework for stakeholders across the breadth of UK maritime activity. The UK National Maritime Strategy for the III Code is a focused element of the Maritime 2050 wider strategy, as are the individual business plans of each entity within the UK Maritime Steering Committee (UK-MSC) for the III Code.

The UK’s aim is to be the best performing flag, port and coastal State in the world. The III Code sets the criteria by which the UK continually measures its effectiveness in delivery of maritime safety and environmental protection across all stakeholders. The National Maritime Strategy for the III Code has been developed to facilitate our objectives, enable compliance, and maintain vigilance to ensure that we meet our national and international responsibilities and obligations.

Brian Johnson

Chief Executive Officer & UK-MSC Chair Maritime & Coastguard Agency

1. The UK Maritime Administration

1.1 Department for Transport

1.1.1 The Department for Transport (DfT) is the responsible Ministerial department within UK Government (UKG) responsible for maritime, on behalf of the Secretary of State for Transport. The Maritime & Coastguard Agency (MCA) within DfT has the responsibility for the implementation of maritime legislation and guidance; and to maintain oversight via the UK Maritime Steering Committee (UK_MSC) in relation to the IMO Instruments Implementation Code (III Code) with stakeholders across the United Kingdom and Red Ensign Group (REG).

1.2 Maritime & Coastguard Agency

1.2.1 The Maritime & Coastguard Agency (MCA), as an Executive Agency of DfT, supports in development and implementation of the UK and REG maritime safety and environmental protection strategy across Britain’s global maritime estate. The responsibilities and obligations within the III Code are fulfilled directly by entities or delegated by the MCA by formal agreement with stakeholders.

1.2.2 Current legal powers are provided by the Merchant Shipping Act 1995 and associated secondary legislation. These legal powers are controlled by the Secretary of State and exercised by Civil Servants on their behalf.

1.3 UK Maritime Steering Committee

1.3.1 The UK Maritime Steering Committee (UK-MSC) is the focal point formed by the MCA with major stakeholders to maintain oversight of UK III Code implementation. As a collective, collaborating to meet international obligations and responsibilities, review and improve national maritime strategy, policy development as defined in the UK-MSC Terms of Reference (TOR), at Annex A.

1.3.2 Permanent UK-MSC members from each organisation are depicted in Annex A to the UK-MSC TORS: UK-MSC Committee Members.

1.4 UK Maritime Administration

1.4.1 The UK Maritime Administration reaches across UKG ministerial departments and their executive agencies, the Non-Departmental Public Bodies (NDPBs), sponsored bodies, Other Government Departments (OGDs), the Devolved Administrations, designated volunteer organisations and wider maritime stakeholders in the UK Maritime Administration. The UK member organisations specific to III Code implementation are depicted in the organigram of the UK Maritime Administration at Annex B.

1.4.2 The UK Maritime Administration is governed by the overarching act and implementation occurs using various secondary legislation, not limited to, Instruments (SI), Orders in Council, Statutory Rules and Royal Ascent. This is communicated publicly ^{[footnote 1]} and formally to the IMO.

1.4.3 Legislation underpins the UK implementation for all maritime affairs. It enables entities to carry out statutory functions, enforce contraventions and further enhance safety and protection of the marine environment.

1.5 The Red Ensign Group

1.5.1 The Red Ensign Group (REG), is part of the wider UK flag State. The UK’s 1995 Merchant Shipping Act, Section 18 of Part II, allows by Order in Council, British possessions Crown Dependencies (CDs - Jersey, Guernsey and the Isle of Man) and Overseas Territories (OTs - Anguilla, Bermuda, British Virgin Islands, Cayman Islands, Gibraltar, Montserrat, St Helena and Turks & Caicos) to establish different categories of register with restrictions on vessels according to the tonnage, size and type. These registers are collectively known as the REG, and are divided into the following categories:

• 1.5.1.1 Category 1: administrations operate international registers and may register ships of unlimited tonnage, type and length; and
• 1.5.1.2 Category 2: administrations cater mainly for domestic vessels and can register commercial ships and yachts of up to 150 gross tons (this limit can be extended to 400GT with an agreement in place with the UK) and pleasure vessels, that is, those not operated commercially of up to 400 gross tons.

1.5.2 Each REG Maritime Administration has established their own III Code steering committee and strategy to implementation the conventions extended (as appropriate) and adopted, to fulfil their international obligations and responsibilities as a flag, port and coastal State.

1.5.3 The UK as signatory to all international conventions maintains general superintendence of the REG. The REG are not subject to this national maritime strategy. Their implementation is monitored, supported and evaluated – individually – by the MCA separate to the UK National Maritime Strategy under formal arrangement. Members of the UK-MSC also capacity build and support the REG where possible also under formal arrangement.

1.6 International Maritime Organization

1.6.1 The International Maritime Organization (IMO) is the United Nations (UN) specialised agency and the global standard-setting authority for the safety and environmental performance of international shipping. Its main role is to create a regulatory framework for the shipping industry that is fair and effective and universally adopted, implemented and evaluated.

1.6.2 The UK and wider flag States recognise they can only operate effectively if the regulations and standards are themselves as agreed, adopted and implemented are evaluated by the IMO under the framework of the III Code. The IMO Member State Audit Scheme (IMSAS) is the mechanism used to complete this evaluation every 7 years ^{[footnote 2]}.

1.6.3 The III Code framework enables the UK as a MS to demonstrate how we fulfil and give effective provision to all the conventions within the scope, including amendments. The IMO Instruments within scope are:

• 1.6.3.1 International Convention for the Safety of life at Sea (SOLAS 1974 and its 1978 & 1988 Protocols, as amended);
• 1.6.3.2 International Convention for the Prevention of Pollution from Ships (MARPOL 1973 and Protocols 1978 and 1997, as amended);
• 1.6.3.3 International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW 1978, as amended);
• 1.6.3.4 International Conventions on Load Lines (LL 66 and its 1988 Protocol);
• 1.6.3.5 International Convention on Tonnage Measurement of Ships (Tonnage 1969); and
• 1.6.3.6 Convention on the International Regulations for Preventing Collisions at Sea (COLREG 1972).

1.6.4 The IMO use IMSAS to further enhance global maritime safety and protection of the environment at IMO Council, its sub committees and working groups. As an established member, of all, and host nation to the IMO, the UK strives to continue to lead and improve under the methodology and mechanisms of the UK National Maritime Strategy.

2. Strategy Purpose

2.1 Vision

2.1.1 To maintain influence and continually enhance global maritime safety and protection of the environment in partnership with the national and international maritime community.

2.2 Mission

2.2.1 The UK Maritime Administration, collectively, commits to giving full effect to her flag, port and coastal State responsibilities and obligations, to advance maritime safety and environmental protection for our seafarers, our local communities, our economy and our international peers.

2.3 Aims

2.3.1 The UK National Maritime Strategy aims to support and facilitate the UK Maritime Administration’s implementation and enforcement of the III Code, and UKG Maritime 2050 by:

• 2.3.1.1 Enacting and maintaining UK legislation;
• 2.3.1.2 Enforcing all Instruments;
• 2.3.1.3 Review and Improve performance; and
• 2.3.1.4 Collaborate to grow capability and capacity;

2.3.2 These aims will enable the UK Maritime Administration to continually improve the adequacy of measures to give effect to the international instruments.

2.4 Objectives

2.4.1 In order to meet the aims, set out above, the UK Maritime Administration will use the following objectives within the various entities established mechanisms and/or methodologies to:

2.4.2 Regarding Legislation:

• 2.4.2.1 Consider IMO treaties for adoption to improve maritime safety and environmental protection;
• 2.4.2.2 Incorporate all amendments as necessary in to UK law;
• 2.4.2.3 As necessary, review and amend existing legislation to facilitate and enhance improvement;
• 2.4.2.4 Publish all applicable legislation and communicate it to the IMO;

2.4.3 Regarding Enforcement:

• 2.4.3.1 Maintain processes to enforce contraventions to Instruments;
• 2.4.3.2 Ensure impartiality is upheld throughout all investigations;
• 2.4.3.3 Ensure reports of contravention are investigated and a measured approach is applied;

2.4.4 Regarding Performance Review & Improvement:

• 2.4.4.1 Continually improve overall performance and capability as a flag, port, and coastal State using routine monitoring, audits, drill & exercises as appropriate;
• 2.4.4.2 Identifying areas of best practice, lessons learned, non-conformance and potential non-conformance to improve;
• 2.4.4.3 Review policy, procedure and guidance as necessary, clear policy and guidance for partners and users across the maritime estate;
• 2.4.4.4 Maintain a quality and/or safety management system(s) as applicable to control and coordinate the Administrations activities;
• 2.4.4.5 Use feedback where appropriate to improve.

2.4.5 Regarding Collaboration:

• 2.4.5.1 Communicate policy and guidance across stakeholders as appropriate;
• 2.4.5.2 Ensure training programmes and continuous development for personnel across the UK Maritime Administration is in place;
• 2.4.5.3 Enhance awareness and cooperation across the UK Maritime Administration, inclusive of the REG, develop a collaborative to demonstrate compliance;
• 2.4.5.4 Create opportunities to attract and grow the UK fleet, concurrently sustaining relationships with mariners and ship owners with established incentives;
• 2.4.5.5 Reward meritorious service and performance by seafarers and those responsible for improving safety and pollution prevention.

to effectively demonstrate III Code compliance to achieve our mission across flag, port and coastal State. It is key to note, due to the complex structure and size of the UK Administration the methodologies and mechanisms used may be specific to an entity in most cases. When collaborating, entities meet these objectives in various ways, for example: Terms of Reference, Memorandums of Cooperation, Working Groups and meetings.

3. Annexes

3.1 Annex A: UK- Maritime Steering Committee Terms of Reference

3.1.1 The UK-MSC Terms of Reference (TORs), set out the purpose, structure, aims, objectives and the working arrangements for the committee.

3.1.2 The committee members are named at Annex A to the UK-MSC TORs. Personnel changes to this Annex will be updated for UK-MSC meetings throughout the year, and an up-to-date copy is available by email from uk.iiic.spc@mcga.gov.uk.

3.2 Annex B: UK Maritime Administration Organigram

3.2.1 The UK Maritime Administration organigram depicts the organisational structure from UK Government Ministerial Departmental level down to the UK-MSC for the III Code.

3.3 Annex C: Strategy Glossary

3.3.1 The abbreviations used through this document are listed with definitions where applicable.

4. Annex A to the National Maritime Strategy

4.1 UK- Maritime Steering Committee Terms of Reference

United Kingdom of Great Britain and Northern Ireland UK Maritime Steering Committee Terms of Reference

1. Introduction

1. The United Kingdom of Great Britain and Northern Ireland (UK) is one of the International Maritime Organization’s (IMO) Member States; and a signatory, to international conventions that constitute the Implementation of IMO Instruments Code (IIIC).The UK does so, also, on behalf of the Red Ensign Group (REG) shipping registers . These Terms of Reference (TORs) are specific to the UK as Flag State in relation to the IIIC.

2. The Government of the UK, on behalf of the Crown, is responsible for the obligations and liabilities in the IIIC which it enters into on behalf of itself and members of the REG. The UK recognises the need to comply with its international obligations, including the responsibilities under the IIIC and conventions extended to it - at its own request. The Maritime and Coastguard Agency (MCA), an executive agency of the Department for Transport (DfT), is responsible for the implementation and coordination of the IIIC, for the UK, on behalf of the UK Secretary of State.

3. In recognition of the need to ensure that obligations arising out of international conventions and the IIIC are met, and that the responsibility for meeting those obligations lies with a number of independent entities in addition, and separate, to the MCA, the MCA has formed a coordinating body, including representation from the independent entities, to be called the UK Maritime Steering Committee (UK-MSC), to maintain oversight of the UK IIIC implementation strategy. The MCA is also designated responsible for ensuring that all other REG Administrations and their independent entities accomplish the same in accordance with their obligations under the relevant international conventions and the IIIC conventions, as extended, as they are inclusive of the UK flag. However, the REG Administrations are not subject to these TORs or the UK-MSC direction and guidance, and instead they have their own steering and oversight bodies in accordance with constitutional arrangements.

2. Strategy: Aims and Objectives

1. The strategic aim of the UK-MSC is to advise and assist the Government of the UK in achieving full compliance with the IIIC conventions which became mandatory on 1st January 2016.

2. The aims of the UK-MSC shall be to:

   1. Oversee the development of a UK specific IIIC strategy, which aligns with the requirements of the IIIC, for the Government of the UK;
   2. Establish a mechanism to monitor international maritime standards and obligations and provide guidance and/or recommendations on their appropriateness to the Government of the UK;
   3. Ensure maritime compliance requirements and strategies are appropriately communicated within government and externally where appropriate by the MCA as UK Secretariat;
   4. Ensure domestic legislative arrangements are in place and/or being incorporated as required by ratification or amendment of the instruments;
   5. Ensure and enhance awareness and cooperation between the Government of the UK and respective Independent entities within the UK to develop a collaborative approach to demonstrate compliance;
   6. Assist relevant stakeholders in achieving and maintaining an effective ability to implement and enforce relevant international instruments;
   7. Achieve, maintain and improve overall performance and capability as a flag, port, and coastal State by continuous monitoring, review and evaluation; and
   8. Seek to eliminate causes of actual and potential noncompliance by monitoring and providing recommendations to the relevant stakeholders.

3. The objectives of the UK-MSC shall be to be satisfied that the UK has verifiable arrangements in place to:

   1. Effectively demonstrate how compliance is achieved in accordance with the requirements of the IIIC;
   2. Implement and enforce policies through promulgation of legislation, procedures and guidance, and ensure they are kept current;
   3. Ensure that responsibilities, authorities, qualifications and continuous training of personnel who manage and perform work relating to and affecting safety and pollution prevention are defined and documented;
   4. Recommend resources and processes capable of administering a system of safety and environmental protection to the relevant service areas;
   5. Ensure the UK Registry of British Ships monitors the agreements with Recognized Organizations (ROs) to act on behalf of the Flag State administration;
   6. Promote the requirements of the IIIC and collect feedback from the relevant stakeholders on how international obligations are being achieved or otherwise;
   7. Provide recommendations and support on methods of achievement and enforcement through promulgation;
   8. Ensure oversight of the UK monitoring programme to continuously check the adequacy of the measures being taken to give effect to relevant international conventions by all stakeholders;
   9. Review trends for the UK areas of noncompliance, potential noncompliance, and/or improvement from the UK Administration and its Independent Entities in relation to IIIC; and
   10. Create and/or take part in opportunities to maintain and develop relationships with all relevant stakeholders within the UK, Overseas Territories (OTs) and Crown Dependencies (CDs), to continue a collaborative working approach.

3. Participants

1. 1. Membership of the UK-MSC shall comprise of the following UK government departments, Non-Departmental Public Bodies and Sponsored Bodies:
   1. i. Chief Executive of the Maritime and Coastguard Agency (MCA) – UK-MSC Chair
   2. ii. Director DfT
   3. iii. UK III Code IMO Single Point of Contact
   4. iv. Chief Executive of the United Kingdom Hydrographic Office (UKHO)
   5. v. Chief Executive representing the General Lighthouse Authorities (GLA)
   6. vi. Chief Inspector of Marine Accident Investigation Branch (MAIB)
   7. vii. Director OFCOM
   8. viii. Chief Executive of Meteorological Office (METOFFICE)
   9. ix. Chief Executive representing port authorities

The current representative is named in Annex A to these TORs, and each member reserves the right to appoint a representative to attend on their behalf, should they be unable to attend.

1. On occasion, representatives from other governmental and non-governmental departments, sponsored bodies and individuals may participate as required as an individual attendee.

4. Working arrangements of the UK-MSC

1. The UK-MSC shall meet tri-annually or more frequently if required.
2. The UK-MSC shall be chaired by the Chief Executive of the MCA.
3. Prior to a meeting of the UK-MSC members will be invited by the UK Secretariat to highlight items they would like to be included within the agenda.
4. Papers for the UK-MSC be circulated 1 week prior to the meeting. This is so that members have sufficient time to bring their comments/policy line to the meeting.
5. Before the close of the meeting, actions, responsibilities and completion dates will be agreed by the members. Where the members agree that one or more members complete an action, it should, as far as possible, be completed within the time specified.
6. The UK Secretariat will produce a set of draft minutes within 2 weeks from the end of the meeting and all members will be provided with an opportunity to comment on the contents before agreeing a final version, typically within an additional 4 weeks of the draft being produced.
7. Where recommendations/actions are required to be escalated to the relevant service areas to obtain approval or a decision, the UK Secretariat will coordinate appropriate briefing papers and supporting documentation.

5. Working arrangements for ad hoc Correspondence Groups

1. The UK-MSC may be supported by ad hoc correspondence groups established by the group to discuss specific issues.
2. The UK-MSC members may participate in any such correspondence group relevant to their area of interest. The Chair of each correspondence group will be determined by its members.
3. The progress and/or outcome(s) of discussions of a correspondence group will be fed back by the Chair of the correspondence group for information / agreement at the UK-MSC.
4. Specific outcomes or targets will be provided to the correspondence group by the meeting of UK-MSC that establishes the group.

6. Relationship of the UK-MSC with the Government of the UK

1. The work of the UK-MSC is carried out on behalf of the Government of the UK and the Chair of the UK-MSC is responsible for ensuring that the Government of the UK, DfT, is kept informed of the UK’s compliance with its international obligations.

ANNEX A to UK-MSC TORs

UK-MSC COMMITTEE Members

Named Members of the United Kingdom of Great Britain and Northern Island (UK) Maritime Steering Committee (UK-MSC) at August 2021:

UKG Representatives:

• Rt Hon Grant Shapps MP– UKG Secretary of State for Transport
• Gareth Davies - Director General – Aviation, Maritime, International and Security. Department for Transport.
• Brian Johnson – CEO Maritime and Coastguard Agency (UK-MSC Chair, representing, and with the delegated authority of, the Secretary of State for Transport and the Director General)

UK-MSC Committee Members

• Petra Wilkinson, Director, Department for Transport. A ministerial department in the UK Government supported by 24 agencies and public bodies.
• Richard Pellew, UK SPC, MCA. The Maritime and Coastguard Agency (MCA) work to prevent the loss of life at sea, produce legislation and guidance on maritime matters and provide certification to seafarers. It is an executive agency sponsored by the DfT.
• Rear Admiral Peter Sparkes, CEO, UKHO. The UK Hydrographic Office (UKHO) is a world leading centre for hydrography, specialising in marine geospatial data that helps others to unlock a deeper understanding of the world’s oceans. Executive Agency sponsored by the UK Ministry of Defence.
• Yvonne Shields O’Connor, CEO, GLA. Trinity House, Northern Lighthouse Board and Irish Lights are dedicated to safeguarding shipping with a statutory duty as General Lighthouse Authorities to deliver reliable, efficient and cost-effective aids to navigation services for the benefit and safety of all mariners.
• Robin Mortimer, CEO, PLA. The Port of London Authority operations cover 95 miles of the River Thames. They work to keep commercial and leisure users safe, protect and enhance the environment and promote the use of the river for trade and travel.
• Philip Marnick, Spectrum Group Director, Ofcom. Ofcom is the regulator for the communications services.
• Nick Ashton – Met Area 1 Coordinator, Met Office. The Met Office is the national meteorological service for the UK. It provides critical weather services and world-leading climate science, helping people make better decisions to stay safe and thrive.
• Mike McCartain OBE, Group Director, ABP. ABP is the UK’s leading and best-connected port owner and operator. Their network of 21 ports around Britain offer unparalleled marine, road and rail access to domestic and international markets. ABP also owns the UKs busiest rail freight terminal at Hams Hall, located in the heart of the country.
• Capt. Andrew Moll, Chief Inspector, MAIB – Marine Accident Investigation Branch. The MAIB is the responsible UK entity for investigating marine accidents involving UK vessels worldwide and all vessels in UK territorial waters.
• Plus Any Invited Attendee: Occasional representatives from other governmental / non-governmental departments, sponsored bodies and / or individuals.

5. Annex B to UK National Maritime Strategy: UK Maritime Administration:

Ministerial Departments of UKG:

HM Government. UK Government comprises 23 Ministerial Departments and many other agencies and public bodies, known collectively as UKG. The departments involved in maritime are:

UK-Maritime Steering Committee (UK-MSC):

Agencies & Public Bodies of UKG:

• Department for Transport (DfT). Within this department the III Code delivery entities are the Maritime and Coastguard Agency (MCA) and the Marine Accident Investigation Branch (MAIB).
• Department for Digital, Culture, Media and Sport (DCMS). Within this department the III Code delivery entity is OfCom as an independent regulator.
• Foreign, Commonwealth and Development Office (FCDO). The department that supports and works with the UK’s international partners.
• Department for Business, Energy and Industrial Strategy (BEIS). Within this department the III Code delivery entity is the Met Office.
• Ministry of Defence (MOD). Within this department the III Code delivery entity is the UK Hydrographic Office (UKHO).
• Ministry of Justice (MoJ). The judicial department that and advances the principals of justice.

The Non–Ministerial Stakeholders of the UK-MSC:

• The General Lighthouse Authorities (GLA): Trinity House, Northern Lighthouse Board and Commissioners of Irish Lights (IL). Current representative IL
• UK Ports and Harbours: Port of London Authority and Associated British Ports (ABP) current representatives.
• Recognised Organisations (ROs): Lloyds Register, RINA, ABS, Bureau Veritas, ClassNK and DNV, as invited.
• Volunteer Organisations: include: RNLI, National Coastwatch Institution, Coastwatch Scotland.

6. Annex C: Strategy Glossary

6.1 Abbreviations & Definitions

Abbreviation	Definition
ABP	Associated British Ports
ABS	American Bureau of Shipping, RO
BEIS	Department for Business, Energy & Industrial Strategy, ministerial department within UKG
BV	Bureau Veritas, RO
CDs	Crown Dependencies
ClassNK	Class NK, RO
COLREG	Regulations for preventing collisions at sea (COLREG 1972), convention
DCMS	Department for Digital Culture, Media & Sport, ministerial department in UKG
DfT	Department for Transport, ministerial department within UKG
DNV	DNV, RO
FCDO	Foreign & Commonwealth Development Office, ministerial department in UKG
GLAs	General Lighthouse Authorities
III Code	IMO Instruments Implementation Code
IMO	International maritime Organization
IMSAS	IMO Member State Audit Scheme
LL66	Load Line Convention
LR	Lloyds Register, RO
MAIB	Marine Accident Investigation Branch, partner within DfT
MARPOL	Prevention of pollution from ships
MCA	Maritime and Coastguard Agency, executive agency within DfT
METOFFICE	Meteorological Office, executive agency sponsored by BEIS
MOD	Ministry of Defence, ministerial department in UKG
MoJ	Ministry of Justice, ministerial department in UKG
NDPBs	Non-Departmental Public Bodies
OFCOM	Ofcom is the regulator for the communications service in the UK
OGDs	Other Government Departments
OTs	Overseas Territories, withing the REG
PLA	Ports of London Authority
REG	Red Ensign Group
RINA	RINA, RO
RNLI	Royal National Lifeboat Institution
SI	Statutory Instrument
SOLAS	Safety of Life at Sea, convention
SoS	Secretary of State, head of a major department in UKG
STCW	Standards of Training, Certification and Watchkeeping for Seafarers, convention
TONNAGE	Tonnage measurement of ships (Tonnage 1969), convention
TORs	Terms of Reference
UK	United Kingdom of Great Britain and Northern Ireland
UKG	United Kingdom Government
UKHO	UK Hydrographic Office, executive agency sponsored by MOD
UK-MSC	United Kingdom – Maritime Steering Committee, oversight body for the UK’s IIIC implementation
UNCLOS	UN Convention on the Law of the Sea

1. UK Legislation is published on the UKG website https://www.legislation.gov.uk/ ↩

2. IMO formerly adopted the III Code in 2013, the UK audit in 2020 was postponed due to the global COVID-19 pandemic. ↩