Appendix B: The Rules, Annotated
This section is the terms register applied to the live text: each Rule in numerical order, with every load-bearing word and comparison surfaced so the reader can see the rule and the significance of its wording side by side. The verbatim text of each Rule is left as a blank block for you to paste in from MISCPUB 0127 (the December 2013 edition); the scaffold under each heading lists the sub-paragraphs so you know what goes where. The annotation quotes only the short operative phrases it explains. Cross-references point to the chapter or rule that treats a point at length.
Part A: General (Rules 1 to 3)
Part A sets the reach of the instrument, the duty that survives all of it, and the vocabulary the rest of the Rules are built from. None of it tells you how to avoid a collision; it tells you who is bound, what is never excused, and what the words mean (Chapter 5).
Rule 1: Application
THE RULE · MISCPUB 0127
(a) These Rules shall apply to all vessels upon the high seas and in all waters connected therewith navigable by seagoing vessels.
(b) Nothing in these Rules shall interfere with the operation of special rules made by an appropriate authority for roadsteads, harbours, rivers, lakes or inland waterways connected with the high seas and navigable by sea-going vessels. Such special rules shall conform as closely as possible to these Rules.
(c) Nothing in these Rules shall interfere with the operation of any special rule made by the Government of any State with respect to additional station or signal lights, shapes or whistle signals for ships of war and vessels proceeding under convoy, or with respect to additional station or signal lights or shapes for fishing vessels engaged in fishing as a fleet. These additional station or signal lights, shapes or whistle signals shall, so far as possible, be such that they cannot be mistaken for any light, shape or signal authorized elsewhere under these Rules.
(d) Traffic separation schemes may be adopted by the Organisation for the purpose of these Rules.
(e) Whenever the Government concerned shall have determined that a vessel of special construction or purpose cannot comply fully with the provisions of any of these Rules with respect to the number, position, range or arc of visibility of lights or shapes, as well as to the disposition and characteristics of sound-signalling appliances, such vessel shall comply with such other provisions in regard to the number, position, range or arc of visibility of lights or shapes, as well as to the disposition and characteristics of sound-signalling appliances, as her Government shall have determined to be the closest possible compliance with these Rules in respect of that vessel.
ANNOTATION
(a) The reach of the Rules. The scope is deliberately broad: the Rules apply to “all vessels” on the high seas and in “all waters connected therewith navigable by seagoing vessels.” The phrase reaching into connected waters is what carries them off the open sea and up into estuaries and approaches, so far as those waters are navigable by seagoing vessels. The breadth of “vessel” is set separately at Rule 3(a). See Chapter 3.
(b) Local rules. This paragraph preserves the right of an “appropriate authority” to make special rules for inshore waters: “roadsteads, harbours, rivers, lakes or inland waterways” connected with the high seas. The governing limit is that such local rules “shall conform as closely as possible to these Rules,” so a port’s own regulations refine the international Rules rather than displacing them. “Roadstead” is an open offshore anchorage (Cockcroft & Lameijer, 7th ed, comment on Rule 1). See Chapter 3; roadstead in the Glossary.
(c) Additional naval and convoy signals. The Rules allow a government to make special rules for “additional station or signal lights, shapes or whistle signals” for ships of war, vessels in convoy, and vessels engaged in fishing as a fleet. The key word is additional: these signals add to the prescribed lights and signals, they do not contradict them, which is the textual root of how a warship can carry extra signals and still comply. See Chapter 4.
(d) Traffic separation schemes. A short paragraph noting that traffic separation schemes “may be adopted by the Organisation,” that is, the IMO. It is the provision that gives Rule 10 its authority. See Rule 10.
(e) Vessels of special construction. The exemption-in-principle for a vessel of “special construction or purpose” that “cannot comply fully” with the lights, shapes or sound-signal requirements: she complies with whatever her Government determines to be “the closest possible compliance with these Rules.” The same as-close-as-possible logic governs the seaplane at Rule 31. See Rule 31; Rule 3(e).
Rule 2: Responsibility
THE RULE · MISCPUB 0127
(a) Nothing in these Rules shall exonerate any vessel, or the owner, master or crew thereof, from the consequences of any neglect to comply with these Rules or of the neglect of any precaution which may be required by the ordinary practice of seamen, or by the special circumstances of the case.
(b) In construing and complying with these Rules due regard shall be had to all dangers of navigation and collision and to any special circumstances, including the limitations of the vessels involved, which may make a departure from these Rules necessary to avoid immediate danger.
ANNOTATION
(a) The savings clause: nothing excuses neglect. This is the most important sentence in the instrument and the one most often skated over. Its force is in “nothing in these Rules shall exonerate”: no part of the Rules clears a vessel, or her “owner, master or crew,” from the consequences of “any neglect to comply with these Rules” or of neglecting “any precaution which may be required by the ordinary practice of seamen, or by the special circumstances of the case.” Two things are preserved at once. First, you cannot hide behind compliance: doing exactly what a Rule says does not exonerate you if good seamanship demanded more. Second, the “ordinary practice of seamen” is pulled in as a binding standard the Rules themselves never write down. “Exonerate” means to clear of blame. See Chapter 6; Chapter 10; good seamanship in the Glossary.
(b) The general prudential rule and the gate to departure. The second half does the opposite work: it lets a vessel depart from the Rules, but only through a narrow gate. “Due regard shall be had” to all dangers of navigation and collision and to “any special circumstances, including the limitations of the vessels involved.” Those circumstances may “make a departure from these Rules necessary to avoid immediate danger.” Read the conditions as cumulative: there must be special circumstances, and the departure must be necessary, and the danger it avoids must be immediate. This is not a general licence to disregard the Rules when they seem inconvenient; it is the controlled, narrow exception examined in Chapter 10. “Due regard” is a duty to weigh and take into account. See Chapter 10; special circumstances and immediate danger in the Glossary.
Reading 2(a) against 2(b). The two paragraphs pull in opposite directions and are meant to. 2(a) says compliance is never a complete defence; 2(b) says non-compliance is sometimes required. Together they place judgement above the letter of the text in both directions, which is the theme of the whole guide.
Rule 3: General Definitions
THE RULE · MISCPUB 0127
For the purpose of these Rules, except where the context otherwise requires:
(a) The word “vessel” includes every description of water craft, including non-displacement craft, WIG craft and seaplanes, used or capable of being used as a means of transportation on water.
(b) The term “power-driven vessel” means any vessel propelled by machinery.
(c) The term “sailing vessel” means any vessel under sail provided that propelling machinery, if fitted, is not being used.
(d) The term “vessel engaged in fishing” means any vessel fishing with nets, lines, trawls or other fishing apparatus which restrict manoeuvrability, but does not include a vessel fishing with trolling lines or other fishing apparatus which do not restrict manoeuvrability.
(e) The word “seaplane” includes any aircraft designed to manoeuvre on the water.
(f) The term “vessel not under command” means a vessel which through some exceptional circumstance is unable to manoeuvre as required by these Rules and is therefore unable to keep out of the way of another vessel.
(g) The term “vessel restricted in her ability to manoeuvre” means a vessel which from the nature of her work is restricted in her ability to manoeuvre as required by these Rules and is therefore unable to keep out of the way of another vessel. The term “vessels restricted in their ability to manoeuvre” shall include but not be limited to:
(i) a vessel engaged in laying, servicing or picking up a navigation mark, submarine cable or pipeline; (ii) a vessel engaged in dredging, surveying or underwater operations; (iii) a vessel engaged in replenishment or transferring persons, provisions or cargo while underway; (iv) a vessel engaged in the launching or recovery of aircraft; (v) a vessel engaged in mineclearance operations; (vi) a vessel engaged in a towing operation such as severely restricts the towing vessel and her tow in their ability to deviate from their course.
(h) The term “vessel constrained by her draught” means a power-driven vessel which, because of her draught in relation to the available depth and width of navigable water, is severely restricted in her ability to deviate from the course she is following.
(i) The word “underway” means that a vessel is not at anchor, or made fast to the shore, or aground.
(j) The words “length” and “breadth” of a vessel mean her length overall and greatest breadth.
(k) Vessels shall be deemed to be in sight of one another only when one can be observed visually from the other.
(l) The term “restricted visibility” means any condition in which visibility is restricted by fog, mist, falling snow, heavy rainstorms, sandstorms or any other similar causes.
(m) The term “Wing-In-Ground (WIG) craft” means a multimodal craft which, in its main operational mode, flies in close proximity to the surface by utilizing surface-effect action.
ANNOTATION
Rule 3 is the dictionary the rest of the Rules quietly rely on. The annotation below surfaces each defined term and, more importantly, the consequence a first-time reader misses (the trap), since the definitions are plain on the page but their implications are not. See Chapter 7, which works these at length.
(a) Vessel. Drawn as wide as possible: “every description of water craft,” expressly including “non-displacement craft, WIG craft and seaplanes,” used or capable of being used as a means of transportation on water. The width is deliberate: the Rules reach craft that are not ordinary ships. See Chapter 3.
(b) Power-driven vessel. “Any vessel propelled by machinery.” This is the default class. A vessel is power-driven unless one of the other states in Rule 3 applies, and several states that feel privileged are power-driven vessels underneath, notably the vessel constrained by her draught at 3(h) and the motor-sailer at 3(c). See Chapter 7.
(c) Sailing vessel. “Any vessel under sail provided that propelling machinery, if fitted, is not being used.” The whole entry turns on the proviso: the instant the engine is engaged, a sailing vessel becomes a power-driven vessel, loses sailing-vessel priority, and must show power-driven lights and a cone by day (Rule 25(e)). See Chapter 7; Rule 12; Rule 25.
(d) Vessel engaged in fishing. Fishing “with nets, lines, trawls or other fishing apparatus which restrict manoeuvrability,” and the Rule expressly “does not include a vessel fishing with trolling lines or other fishing apparatus which do not restrict manoeuvrability.” The qualifying idea is restriction of manoeuvrability, not the act of fishing: a vessel trolling is not engaged in fishing for the Rules and keeps her ordinary status. See Chapter 7; trolling lines in the Glossary.
(e) Seaplane. “Any aircraft designed to manoeuvre on the water.” She is a vessel for the purposes of the Rules, in general keeps well clear of all vessels (Rule 18(e)), and shows her lights as close as practicable to those prescribed (Rule 31, echoing the 1(e) logic). See Rule 18; Rule 31.
(f) Vessel not under command (NUC). A vessel which “through some exceptional circumstance is unable to manoeuvre as required by these Rules and is therefore unable to keep out of the way.” The key word is exceptional, and the status is involuntary: it is the breakdown, steering failure or similar, not the work she is doing. Contrast restricted in her ability to manoeuvre at 3(g), which flows from work. See Rule 18; Rule 27.
(g) Vessel restricted in her ability to manoeuvre (RAM). A vessel which “from the nature of her work” is restricted in her ability to manoeuvre as required by the Rules. The operative phrase is from the nature of her work: the status flows from the activity, so it comes and goes through the day. The list at (g)(i) to (vi) is illustrative, covering work on a navigation mark, cable or pipeline; dredging, surveying or underwater operations; replenishment or transferring persons, provisions or cargo while underway; launching or recovery of aircraft; mine clearance; and a towing operation that severely restricts the towing vessel and her tow in their ability to deviate. A tug is RAM only while the tow severely restricts her, not in ordinary transit (BR45 Vol 4, para 1014c). See Chapter 7; Rule 18; Rule 27.
(h) Vessel constrained by her draught (CBD). “A power-driven vessel which, because of her draught in relation to the available depth and width of navigable water, is severely restricted in her ability to deviate from the course she is following.” The first three words are the trap: she is a power-driven vessel, not a privileged class in the Rule 18 order. She gets only “do not impede her safe passage” (Rule 18(d)) and her Rule 28 signal, and an ordinary crossing or head-on can still develop with her. The term was chosen precisely to avoid extending NUC or RAM status to large ships (Cockcroft & Lameijer, 7th ed, comment on Rule 3). See Chapter 7; Rule 18(d); Rule 28.
(i) Underway. A vessel is underway when she is “not at anchor, or made fast to the shore, or aground.” The point first-time readers miss is that underway does not mean moving: a vessel stopped and drifting is still underway, still bound by the Rules, and cannot rely on others to keep clear. A vessel underway and also moving through the water is making way, a separate idea that several sound signals turn on (Rule 35). See Chapter 7; making way in the Glossary.
(j) Length and breadth. “Length overall and greatest breadth.” Plain on its face, but important because so many requirements in Parts C and D switch at length thresholds, commonly 7, 12, 20, 50 and 100 metres. See Parts C and D.
(k) Vessels in sight of one another. Vessels are in sight “only when one can be observed visually from the other.” The word doing the work is visually. A radar contact in fog is not in sight, so Section II (the give-way and stand-on Rules) does not apply and Rule 19 governs instead. This single definition is what divides the two halves of the conduct Rules. See Chapter 5; Chapter 9; Rule 19.
(l) Restricted visibility. “Any condition in which visibility is restricted by fog, mist, falling snow, heavy rainstorms, sandstorms or any other similar causes.” The closing words keep the list open. Paired with 3(k): in restricted visibility, vessels not in sight of one another are governed by Rule 19. See Chapter 5; Rule 19.
(m) WIG craft. “A multimodal craft which, in its main operational mode, flies in close proximity to the surface by utilising surface-effect action.” Added with the 2013 amendments. When taking off, landing or in flight near the surface she keeps well clear of all vessels; when operating on the water surface she complies as a power-driven vessel (Rule 18(f)). See Rule 18.
Why Rule 3 carries so much weight. Every later Rule speaks in these terms, so a misread here carries through everything after it. The three that catch people most often are underway (3(i): not the same as moving), constrained by her draught (3(h): still a power-driven vessel), and in sight (3(k): visually, not on radar). Get those three right and most of the structure falls into place.
Part B (Rules 4 to 19), Part C (Rules 20 to 31), Part D (Rules 32 to 37) and Parts E and F (Rules 38 to 41) follow, each built the same way.