Yacht documentation 1: The basics
By Ian Biles
from an original article for The Triton
One of the increasing requirements in modern society is the need to document nearly everything. There are good reasons for this. One of the most important reasons on a megayacht is to capture evidence for use in defense in the event of a claim.
Another reason is, depending on the size and flag, statutory requirements. And a much-overlooked reason is to provide historical information.
What follows is the first of three columns that summarizes the main areas of a yacht's activity where records and/or documentation are required.
Oil Record Book
The requirement to carry an oil record book is specified under Regulation 20 of Annex 1 of the International Convention for the Prevention of Pollution from Ships 1973 as modified by the Protocol of 1978 relating thereto (MARPOL 73/78) for every ship of 400 gross tons and above. Yachts used solely for private pleasure purposes are not excluded.
The regulations require records to be kept in two parts; only Part 1 Machinery Space Operations will normally apply to a yacht (Part 2 covers cargo ballast operations for tankers). The oil record book is normally maintained by the chief engineer.
Garbage Record
he requirement to keep a garbage record comes from Regulation 9 of Annex V of the International Convention for the Prevention of Pollution from Ships 1973 as modified by the Protocol of 1978 relating thereto (MARPOL 73/78) and applies to all vessels of 400 gross tons and above. Yachts used for private pleasure purposes only are not excluded and need to comply.
The regulations define garbage as all kinds of food and domestic and operational waste excluding fresh fish and parts thereof, generated during the normal operation of the vessel except substances defined or listed in other annexes to MARPOL 73/78 (such as oil, sewage or noxious liquid substances).
Records should show the amount of garbage discharged, estimated in cubic meters, and if possible separated by category. However, this only applies for garbage discharged into the sea. For garbage discharged to a shore reception facility only the total amount discharged needs to be recorded.
The discharge of any garbage, other than food waste, is totally prohibited in areas such as the Mediterranean Sea, the Baltic Sea, the Black Sea, the Red Sea, the "Gulf" areas, the North Sea, the Antarctic area and the wider Caribbean Region which includes the Gulf of Mexico and the Caribbean Sea.
For many yachts the requirement to keep a record of the number of garbage bags landed ashore into a skip on the quayside is rather challenging.
Accident Book
nder United Kingdom Health and Safety legislation, any employer with 10 or more staff is required to have an Accident Book. The exact requirements of the Accident Book are not prescribed but, essentially, it is a separate document that records the date of the incident, nature of the injury, name of the injured, treatment given and other relevant information such as witnesses. Regulations require the recording and reporting of all accidents at work (which is different from the Merchant Shipping Reporting of Dangerous Occurrences Regulations). Clearly, such a requirement for the minor cuts, grazes and splinters of everyday life introduces the question of reasonableness in what is recorded.
Many yachts maintain an accident book as part of the medical locker so that the designated officer in charge of the medical locker is the individual responsible for recording the accident. An alternative would be to use the main yacht's log to record accidents, although whether or not this would be acceptable from the Health and Safety perspective is unclear.
Register of Machinery, Chains and Ropes.
Historically, onboard UK ships a record of all cargo equipment and lifting equipment was kept in the Register of Machinery, Chains and Ropes, commonly called the Chain Register. This record served to record all items of lifting equipment together with their proof test loads and their safe working loads.
Under current international legislation, lifting equipment is governed by the International Labour Organization Convention C134 Prevention of Accidents (Seafarers) Convention 1970 Article 4.3e.
Of particular note is that this Convention defines a seafarer as "anyone employed in any capacity on board a ship, other than a ship of war." The term ship is not defined.
For a yacht, loading and unloading equipment can include cranes and davits, lifting strops and wires, shackles (used for hoisting) and possibly such items as the passerelle and the side accommodation ladder(s). Sub section (i) will include items such as a bosun's chair and the overhead rails used for securing a bosun's chair and/or safety harness for over side work.
The essential requirements of these records are to ensure that all new lifting equipment is properly tested and certified before use, usually by the manufacturer and, once in use, every component of lifting equipment is periodically checked and/or tested to ensure it remains suitable for use.
Specific Chain Register Books are available but it might be more convenient to build the record-keeping into part of the yacht's normal planned maintenance and records system.
Shipboard Marine Pollution Emergency Plans (SOPEP).
egulation 26 of Annex 1 of MARPOL 73/78 requires that all ships of 400 gross tons (GT) or more carry an approved Shipboard Marine Pollution Emergency Plan (SOPEP). Whether a yacht of 400 GT or more is required to have a SOPEP will depend upon whether the yacht's flag state has ratified the Convention. But, applying the argument of highest standards, is it realistic or tenable for a yacht in today's environmentally sensitive society not to address the requirements of these regulations?
Any master of a UK flagged vessel of greater than 200 GT is required to have undergone training covering MARPOL and SOPEPs. (Other flag states have similar requirements, although the precise details may vary.) The requirements for a SOPEP are contained in Annex 1, Chapter IV, Regulation 26 of MARPOL 73/78. Basically, the yacht needs to have a plan (in writing) so that it knows who to contact and how to respond in the event of an oil pollution incident.
Control of Substances Hazardous to Health.
COSHH regulations aim to protect employees and others who may be affected, e.g. the public, from health risks arising from exposure to substances hazardous to health and work. COSHH requires employers to weigh risks to employees' health arising from exposure to hazardous substances and to prevent or adequately control exposure. They are also required to provide suitable and sufficient information, instructions and training and may have to monitor employees' exposure to a hazardous substance and place them under health surveillance.
At their most basic level, COSHH regulations require that personnel likely to come into contact with hazardous substances are provided with appropriate knowledge about the substances and are given the training and equipment necessary to manage the substances properly.
One might think there are few substances onboard to which these regulations apply; this would be a serious misjudgement. Many paints, thinners and cleaning fluids are included within as is dust from sanding down varnish or paint filler.
In terms of actual onboard management, awareness as much as anything else is probably the most important issue. Make certain that the yacht carries the appropriate safety data sheets and that crew members are aware that some of the materials they handle on a day-to-day basis require the application of common sense.
Similar to UK regulations, the United States has regulatory requirements specifically targeted at marine applications. These are known as Marine Safety Data Sheets.
Code of Safe Working Practices for Merchant Seaman.
CoSWP states clearly in the document preface that it is intended primarily for merchant seaman on UK-registered vessels. The code does not differentiate between those who work on yachts as opposed to those who work on merchant ships.
The problem with the code from a yacht's perspective is that it has been written for merchant ships that have different day-to-day operations and procedures. However, this notwithstanding, as a document giving guidance on safe practices to be followed, it cannot be ignored.
The captain needs to have a full appreciation of the contents of the code and needs to understand the objectives behind the advice given. Provided the captain can show that they considered the advice contained in the CoSWP, carried out a proper risk assessment and, based on this, implemented appropriate safety precautions appropriate to the environment, there should generally be no particular problem.
Ian Biles is the founder of Maritime Services International, a marine surveying and consultancy business. He holds a Class I (Unlimited) Master’s certificate and developed a risk management program for large yachts for a London-based underwriter. Contact him at info@maritime.uk.com or +44 (0)2392 524490.
MPI Group of Surrey, England, offers a distance-learning course designed to bridge the gap between master certification and the reality of running a large yacht. The course is sponsored by the Professional Yachtsmen's Association and Middlesex University. Course material was created by Ian Biles and future topics include the legal aspects of yacht management, interior management, chartering, repairs and security. For more information, call +44(0)1252-732-220 or e-mail et@mpigroup.co.uk
