Parts E and F: Exemptions and Verification (Rules 38 to 41)
The tail of the instrument is administrative. An OOW should know what these Rules are mainly so as to know they are not part of the live decision on the bridge: the working content of the Rules ends with Part D (Chapter 5). The annotation is brief by design.
Rule 38: Exemptions
THE RULE · MISCPUB 0127
Any vessel (or class of vessels) provided that she complies with the requirements of the International Regulations for Preventing Collisions at Sea, 1960, the keel of which is laid or which is at a corresponding stage of construction before the entry into force of these Regulations may be exempted from compliance therewith as follows:
(a) The installation of lights with ranges prescribed in Rule 22, until four years after the date of entry into force of these Regulations.
(b) The installation of lights with colour specifications as prescribed in Section 7 of Annex I to these Regulations, until four years after the date of entry into force of these Regulations.
(c) The repositioning of lights as a result of conversion from Imperial to metric units and rounding off measurements figures, permanent exemption.
(d)
(i) The repositioning of masthead lights on vessels of less than 150 metres in length, resulting from the prescriptions of Section 3(a) of Annex I to these Regulations, permanent exemption.
(ii) The repositioning of masthead lights on vessels of 150 metres or more in length, resulting from the prescriptions of Section 3(a) of Annex I to these Regulations, until nine years after the date of entry into force of these Regulations.
(e) The repositioning of masthead lights resulting from the prescriptions of Section 2(b) of Annex I to these Regulations, until nine years after the date of entry into force of these Regulations.
(f) The repositioning of sidelights resulting from the prescriptions of Sections 2(g) and 3(b) of Annex I to these Regulations, until nine years after the date of entry into force of these Regulations.
(g) The requirements for sound signal appliances prescribed in Annex III to these Regulations, until nine years after the date of entry into force of these Regulations.
(h) The repositioning of all-round lights resulting from the prescription of Section 9(b) of Annex I to these Regulations, permanent exemption.
ANNOTATION
Part E is a single Rule. It grants relief to a vessel “the keel of which is laid” (or which is at a corresponding stage of construction) before these Regulations entered into force, provided she complied with the 1960 Regulations, from certain light, shape and sound-equipment requirements, each on a stated timescale (“permanent exemption” for some items, “until four years after” or “until nine years after the date of entry into force” for others). It is the concern of shipowners and builders, not watchkeepers, and most of its exemptions have long since run out. It is the partner provision to the special-construction allowance at Rule 1(e). See Rule 1(e); Chapter 3.
Part F: Verification of Compliance with the Provisions of the Convention
Part F was added by the 2013 amendments and is the reason the modern instrument runs to 41 Rules rather than the 38 of the earlier text (Chapter 5). The whole Part is machinery for administrations; none of it touches a bridge.
Rule 39: Definitions
THE RULE · MISCPUB 0127
(a) Audit means a systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled.
(b) Audit Scheme means the IMO Member State Audit Scheme established by the Organization and taking into account the guidelines developed by the Organization*.
(c) Code for Implementation means the IMO Instruments Implementation Code (III Code) adopted by the Organization by resolution A.1070(28).
(d) Audit Standard means the Code for Implementation.
ANNOTATION
Defines the terms the verification regime uses, including “the Convention,” “audit,” and “Audit Scheme.” Reference material for flag-state administrations. See Chapter 2 (the 2013 amendments and the addition of Part F).
Rule 40: Application
THE RULE · MISCPUB 0127
Contracting Parties shall use the provisions of the Code for Implementation in the execution of their obligations and responsibilities contained in the present Convention.
ANNOTATION
Applies the Part F verification provisions to “Contracting Parties,” that is, to flag states. It places no duty on a vessel or her OOW. See Chapter 3 (flag-state implementation).
Rule 41: Verification of Compliance
THE RULE · MISCPUB 0127
(a) Every Contracting Party shall be subject to periodic audits by the Organization in accordance with the audit standard to verify compliance with and implementation of the present Convention.
(b) The Secretary-General of the Organization shall have responsibility for administering the Audit Scheme, based on the guidelines developed by the Organization*.
(c) Every Contracting Party shall have responsibility for facilitating the conduct of the audit and implementation of a programme of actions to address the findings, based on the guidelines developed by the Organization*.
(d) Audit of all Contracting Parties shall be:
(i) based on an overall schedule developed by the Secretary-General of the Organization, taking into account the guidelines developed by the Organization*; and
(ii) conducted at periodic intervals, taking into account the guidelines developed by the Organization*.
* Refer to the Framework and Procedures for the IMO Member State Audit Scheme adopted by the Organization by resolution A.1067(28).
ANNOTATION
The survey-and-audit mechanism by which a flag state demonstrates it is giving effect to the Convention, administered through the Organisation (the IMO) and its audit scheme. A matter for administrations that will never be applied at sea; its only practical interest to a watchkeeper is that it explains the shape of the modern instrument. See Chapter 2 (the amendment history); Chapter 5 (the six-Part structure).
End of The Rules, Annotated. Once the verbatim text is pasted into each block, the annotation reads directly off it. The full reference list follows in the Reading List.
The Annexes
The four Annexes carry the technical detail deliberately moved out of the Rules so it could be updated without amending treaty text (Chapter 5). They are reproduced here verbatim for reference, without annotation. For the OOW, Annex II and Annex IV are the two to know well, Annex IV read together with Rule 37.
Annex I: Positioning and Technical Details of Lights and Shapes
ANNEX I · POSITIONING AND TECHNICAL DETAILS OF LIGHTS AND SHAPES · MISCPUB 0127
1. Definition. The term “height above the hull” means height above the uppermost continuous deck. This height shall be measured from the position vertically beneath the location of the light.
2. Vertical positioning and spacing of lights
(a) On a power-driven vessel of 20 metres or more in length the masthead lights shall be placed as follows:
(i) the forward masthead light, or if only one masthead light is carried, then that light, at a height above the hull of not less than 6 metres, and, if the breadth of the vessel exceeds 6 metres, then at a height above the hull not less than such breadth, so however that the light need not be placed at a greater height above the hull than 12 metres;
(ii) when two masthead lights are carried the after one shall be at least 4.5 metres vertically higher than the forward one.
(b) The vertical separation of masthead lights of power-driven vessels shall be such that in all normal conditions of trim the after light will be seen over and separate from the forward light at a distance of 1000 metres from the stem when viewed from sea level.
(c) The masthead light of a power-driven vessel of 12 metres but less than 20 metres in length shall be placed at a height above the gunwale of not less than 2.5 metres.
(d) A power-driven vessel of less than 12 metres in length may carry the uppermost light at a height of less than 2.5 metres above the gunwale. When however a masthead light is carried in addition to sidelights and a sternlight or the all-round light prescribed in Rule 23(c)(i) is carried in addition to sidelights, then such masthead light or all-round light shall be carried at least 1 metre higher than the sidelights.
(e) One of the two or three masthead lights prescribed for a power-driven vessel when engaged in towing or pushing another vessel shall be placed in the same position as either the forward masthead light or the after masthead light; provided that, if carried on the aftermast, the lowest after masthead light shall be at least 4.5 metres vertically higher than the forward masthead light.
(f)
(i) The masthead light or lights prescribed in Rule 23(a) shall be so placed as to be above and clear of all other lights and obstructions except as described in sub-paragraph (ii).
(ii) When it is impracticable to carry the all-round lights prescribed by Rule 27(b)(i) or Rule 28 below the masthead lights, they may be carried above the after masthead light(s) or vertically in between the forward masthead light(s) and after masthead light(s), provided that in the latter case the requirement of Section 3(c) of this Annex shall be complied with.
(g) The sidelights of a power-driven vessel shall be placed at a height above the hull not greater than three quarters of that of the forward masthead light. They shall not be so low as to be interfered with by deck lights.
(h) The sidelights, if in a combined lantern and carried on a power-driven vessel of less than 20 metres in length, shall be placed not less than 1 metre below the masthead light.
(i) When the Rules prescribe two or three lights to be carried in a vertical line, they shall be spaced as follows:
(i) on a vessel of 20 metres in length or more such lights shall be spaced not less than 2 metres apart, and the lowest of these lights shall, except where a towing light is required, be placed at a height not less than 4 metres above the hull;
(ii) on a vessel of less than 20 metres in length such lights shall be spaced not less than 1 metre apart and the lowest of these lights shall, except where a towing light is required, be placed at a height not less than 2 metres above the gunwale;
(iii) when three lights are carried they shall be equally spaced.
(j) The lower of the two all-round lights prescribed for a vessel when engaged in fishing shall be at a height above the sidelights not less than twice the distance between the two vertical lights.
(k) The forward anchor light prescribed in Rule 30(a)(i), when two are carried, shall not be less than 4.5 metres above the after one. On a vessel of 50 metres or more in length this forward anchor light shall be placed at a height of not less than 6 metres above the hull.
3. Horizontal positioning and spacing of lights
(a) When two masthead lights are prescribed for a power-driven vessel, the horizontal distance between them shall not be less than one half of the length of the vessel but need not be more than 100 metres. The forward light shall be placed not more than one quarter of the length of the vessel from the stem.
(b) On a power-driven vessel of 20 metres or more in length the sidelights shall not be placed in front of the forward masthead lights. They shall be placed at or near the side of the vessel.
(c) When the lights prescribed in Rule 27(b)(i) or Rule 28 are placed vertically between the forward masthead light(s) and the after masthead light(s) these all-round lights shall be placed at a horizontal distance of not less than 2 metres from the fore and aft centreline of the vessel in the athwartship direction.
(d) When only one masthead light is prescribed for a power-driven vessel, this light shall be exhibited forward of amidships; except that a vessel of less than 20 metres in length need not exhibit this light forward of amidships but shall exhibit it as far forward as is practicable.
4. Details of location of direction-indicating lights for fishing vessels, dredgers and vessels engaged in underwater operations
(a) The light indicating the direction of the outlying gear from a vessel engaged in fishing as prescribed in Rule 26(c)(ii) shall be placed at a horizontal distance of not less than 2 metres and not more than 6 metres away from the two all-round red and white lights. The light shall be placed not higher than the all-round white light prescribed in Rule 26(c)(i) and not lower than the sidelights.
(b) The lights and shapes on a vessel engaged in dredging or underwater operations to indicate the obstructed side and/or the side on which it is safe to pass, as prescribed in Rule 27(d)(i) and (ii), shall be placed at the maximum practical horizontal distance, but in no case less than 2 metres, from the lights or shapes prescribed in Rule 27(b)(i) and (ii). In no case shall the upper of these lights or shapes be at a greater height than the lower of the three lights or shapes prescribed in Rule 27(b)(i) and (ii).
5. Screens for sidelights. The sidelights of vessels of 20 metres or more in length shall be fitted with inboard screens painted matt black, and meeting the requirements of Section 9 of this Annex. With a combined lantern, using a single vertical filament and a very narrow division between the green and red sections, external screens need not be fitted. On vessels of less than 20 metres in length the sidelights, if necessary to meet the requirements of Section 9 of this Annex, shall be fitted with inboard matt black screens.
6. Shapes
(a) Shapes shall be black and the following sizes:
(i) a ball shall have a diameter of not less than 0.6 metre;
(ii) a cone shall have a base diameter of not less than 0.6 metre and a height equal to its diameter;
(iii) a cylinder shall have a diameter of at least 0.6 metre and a height of twice its diameter;
(iv) a diamond shape shall consist of two cones as defined in (ii) above having a common base.
(b) The vertical distance between shapes shall be at least 1.5 metres.
(c) In a vessel of less than 20 metres in length shapes of lesser dimensions but commensurate with the size of the vessel may be used and the distance apart may be correspondingly reduced.
7. Colour specification of lights. The chromaticity of all navigation lights shall conform to the following standards, which lie within the boundaries of the area of the diagram specified for each colour by the International Commission on Illumination (CIE). The boundaries of the area for each colour are given by indicating the corner co-ordinates, which are as follows:
(i) White: x 0.525, 0.525, 0.452, 0.310, 0.310, 0.443; y 0.382, 0.440, 0.440, 0.348, 0.283, 0.382
(ii) Green: x 0.028, 0.009, 0.300, 0.203; y 0.385, 0.723, 0.511, 0.356
(iii) Red: x 0.680, 0.660, 0.735, 0.721; y 0.320, 0.320, 0.265, 0.259
(iv) Yellow: x 0.612, 0.618, 0.575, 0.575; y 0.382, 0.382, 0.425, 0.406
8. Intensity of lights
(a) The minimum luminous intensity of lights shall be calculated by using the formula: I = 3.43 × 106 × T × D2 × K−D, where I is luminous intensity in candelas under service condition, T is threshold factor 2 × 10−7 lux, D is range of visibility (luminous range) of the light in nautical miles, and K is atmospheric transmissivity. For prescribed lights the value of K shall be 0.8, corresponding to a meteorological visibility of approximately 13 nautical miles.
(b) A selection of figures derived from the formula is given in the following table:
| Range of visibility (luminous range) of light in nautical miles, D | Luminous intensity of light in candelas for K = 0.8, I |
|---|---|
| 1 | 0.9 |
| 2 | 4.3 |
| 3 | 12 |
| 4 | 27 |
| 5 | 52 |
| 6 | 94 |
Note: the maximum luminous intensity of navigation lights should be limited to avoid undue glare. This shall not be achieved by a variable control of the luminous intensity.
9. Horizontal sectors
(a)
(i) In the forward direction, sidelights as fitted on the vessel shall show the minimum required intensities. The intensities must decrease to reach practical cut-off between 1 degree and 3 degrees outside the prescribed sectors.
(ii) For sternlights and masthead lights and at 22.5 degrees abaft the beam for sidelights, the minimum required intensities shall be maintained over the arc of the horizon up to 5 degrees within the limits of the sectors prescribed in Rule 21. From 5 degrees within the prescribed sectors the intensity may decrease by 50 per cent up to the prescribed limits; it shall decrease steadily to reach practical cut-off at not more than 5 degrees outside the prescribed sectors.
(b)
(i) All-round lights shall be so located as not to be obscured by masts, topmasts or structures within angular sectors of more than 6 degrees, except anchor lights prescribed in Rule 30, which need not be placed at an impracticable height above the hull.
(ii) If it is impracticable to comply with paragraph (b)(i) of this section by exhibiting only one all-round light, two all-round lights shall be used suitably positioned or screened so that they appear, as far as practicable, as one light at a distance of one mile.
10. Vertical sectors
(a) The vertical sectors of electric lights as fitted, with the exception of lights on sailing vessels underway, shall ensure that:
(i) at least the required minimum intensity is maintained at all angles from 5 degrees above to 5 degrees below the horizontal;
(ii) at least 60 per cent of the required minimum intensity is maintained from 7.5 degrees above to 7.5 degrees below the horizontal.
(b) In the case of sailing vessels underway the vertical sectors of electric lights as fitted shall ensure that:
(i) at least the required minimum intensity is maintained at all angles from 5 degrees above to 5 degrees below the horizontal;
(ii) at least 50 per cent of the required minimum intensity is maintained from 25 degrees above to 25 degrees below the horizontal.
(c) In the case of lights other than electric these specifications shall be met as closely as possible.
11. Intensity of non-electric lights. Non-electric lights shall so far as practicable comply with the minimum intensities, as specified in the Table given in Section 8 of this Annex.
12. Manoeuvring light. Notwithstanding the provisions of paragraph 2(f) of this Annex the manoeuvring light described in Rule 34(b) shall be placed in the same fore and aft vertical plane as the masthead light or lights and, where practicable, at a minimum height of 2 metres vertically above the forward masthead light, provided that it shall be carried not less than 2 metres vertically above or below the after masthead light. On a vessel where only one masthead light is carried the manoeuvring light, if fitted, shall be carried where it can best be seen, not less than 2 metres vertically apart from the masthead light.
13. High speed craft
(a) The masthead light of high-speed craft may be placed at a height related to the breadth of the craft lower than that prescribed in paragraph 2(a)(i) of this Annex, provided that the base angle of the isosceles triangles formed by the sidelights and masthead light, when seen in end elevation, is not less than 27 degrees.
(b) On high-speed craft of 50 metres or more in length, the vertical separation between foremast and mainmast light of 4.5 metres required by paragraph 2(a)(ii) of this Annex may be modified provided that such distance shall not be less than the value determined by the following formula: y = (a + 17ψ)C/1000 + 2, where y is the height of the mainmast light above the foremast light in metres; a is the height of the foremast light above the water surface in service condition in metres; ψ is the trim in service condition in degrees; and C is the horizontal separation of masthead lights in metres.
14. Approval. The construction of lights and shapes and the installation of lights on board the vessel shall be to the satisfaction of the appropriate authority of the State whose flag the vessel is entitled to fly.
Annex II: Additional Signals for Fishing Vessels Fishing in Close Proximity
ANNEX II · ADDITIONAL SIGNALS FOR FISHING VESSELS FISHING IN CLOSE PROXIMITY · MISCPUB 0127
1. General. The lights mentioned herein shall, if exhibited in pursuance of Rule 26(d), be placed where they can best be seen. They shall be at least 0.9 metre apart but at a lower level than lights prescribed in Rule 26(b)(i) and (c)(i). The lights shall be visible all round the horizon at a distance of at least 1 mile but at a lesser distance than the lights prescribed by these Rules for fishing vessels.
2. Signals for trawlers
(a) Vessels of 20 metres or more in length when engaged in trawling, whether using demersal or pelagic gear, shall exhibit:
(i) when shooting their nets: two white lights in a vertical line;
(ii) when hauling their nets: one white light over one red light in a vertical line;
(iii) when the net has come fast upon an obstruction: two red lights in a vertical line.
(b) Each vessel of 20 metres or more in length engaged in pair trawling shall exhibit:
(i) by night, a searchlight directed forward and in the direction of the other vessel of the pair;
(ii) when shooting or hauling their nets or when their nets have come fast upon an obstruction, the lights prescribed in 2(a) above.
(c) A vessel of less than 20 metres in length engaged in trawling, whether using demersal or pelagic gear or engaged in pair trawling, may exhibit the lights prescribed in paragraphs (a) or (b) of this section, as appropriate.
3. Signals for purse seiners. Vessels engaged in fishing with purse seine gear may exhibit two yellow lights in a vertical line. These lights shall flash alternately every second and with equal light and occultation duration. These lights may be exhibited only when the vessel is hampered by its fishing gear.
Annex III: Technical Details of Sound Signal Appliances
ANNEX III · TECHNICAL DETAILS OF SOUND SIGNAL APPLIANCES · MISCPUB 0127
1. Whistles
(a) Frequencies and range of audibility. The fundamental frequency of the signal shall lie within the range 70–700 Hz. The range of audibility of the signal from a whistle shall be determined by those frequencies, which may include the fundamental and/or one or more higher frequencies, which lie within the range of 180–700 Hz (±1%) for a vessel of 20 metres or more in length, or 180–2100 Hz (±1%) for a vessel of less than 20 metres in length, and which provide the sound pressure levels specified in paragraph 1(c) below.
(b) Limits of fundamental frequencies. To ensure a wide variety of whistle characteristics, the fundamental frequency of a whistle shall be between the following limits:
(i) 70–200 Hz, for a vessel 200 metres or more in length;
(ii) 130–350 Hz, for a vessel 75 metres but less than 200 metres in length;
(iii) 250–700 Hz, for a vessel less than 75 metres in length.
(c) Sound signal intensity and range of audibility. A whistle fitted in a vessel shall provide, in the direction of maximum intensity of the whistle and at a distance of 1 metre from it, a sound pressure level in at least one 1/3rd-octave band within the range of frequencies 180–700 Hz (±1%) for a vessel of 20 metres or more in length, or 180–2100 Hz (±1%) for a vessel of less than 20 metres in length, of not less than the appropriate figure given in the table below:
| Length of vessel in metres | 1/3rd-octave band level at 1 metre in dB referred to 2 × 10−5 N/m2 | Audibility range in nautical miles |
|---|---|---|
| 200 or more | 143 | 2 |
| 75 but less than 200 | 138 | 1.5 |
| 20 but less than 75 | 130 | 1 |
| Less than 20 | 120*1 / 115*2 / 111*3 | 0.5 |
*1 When the measured frequencies lie within the range 180–450 Hz. *2 When the measured frequencies lie within the range 450–800 Hz. *3 When the measured frequencies lie within the range 800–2100 Hz.
(d) Directional properties. The sound pressure level of a directional whistle shall be not more than 4 dB below the prescribed sound pressure level on the axis at any direction in the horizontal plane within ±45 degrees of the axis. The sound pressure level at any other direction in the horizontal plane shall be not more than 10 dB below the prescribed sound pressure level on the axis, so that the range in any direction will be at least half the range on the forward axis. The sound pressure level shall be measured in that 1/3rd-octave band which determines the audibility range.
(e) Positioning of whistles. When a directional whistle is to be used as the only whistle on a vessel, it shall be installed with its maximum intensity directed straight ahead. A whistle shall be placed as high as practicable on a vessel, in order to reduce interception of the emitted sound by obstructions and also to minimise hearing damage risk to personnel. The sound pressure level of the vessel’s own signal at listening posts shall not exceed 110 dB (A) and so far as practicable should not exceed 100 dB (A).
(f) Fitting of more than one whistle. If whistles are fitted at a distance apart of more than 100 metres, it shall be so arranged that they are not sounded simultaneously.
(g) Combined whistle systems. If due to the presence of obstructions the sound field of a single whistle or of one of the whistles referred to in paragraph 1(f) above is likely to have a zone of greatly reduced signal level, it is recommended that a combined whistle system be fitted so as to overcome this reduction. For the purposes of the Rules a combined whistle system is to be regarded as a single whistle. The whistles of a combined system shall be located at a distance apart of not more than 100 metres and arranged to be sounded simultaneously. The frequency of any one whistle shall differ from those of the others by at least 10 Hz.
2. Bell or gong
(a) Intensity of signal. A bell or gong, or other device having similar sound characteristics, shall produce a sound pressure level of not less than 110 dB at a distance of 1 metre from it.
(b) Construction. Bells and gongs shall be made of corrosion-resistant material and designed to give a clear tone. The diameter of the mouth of the bell shall be not less than 300 mm for vessels of 20 metres or more in length. Where practicable, a power-driven bell striker is recommended to ensure constant force but manual operation shall be possible. The mass of the striker shall be not less than 3 per cent of the mass of the bell.
3. Approval. The construction of sound signal appliances, their performance and their installation on board the vessel shall be to the satisfaction of the appropriate authority of the State whose flag the vessel is entitled to fly.
Annex IV: Distress Signals
ANNEX IV · DISTRESS SIGNALS · MISCPUB 0127
1. The following signals, used or exhibited either together or separately, indicate distress and need of assistance:
(a) a gun or other explosive signal fired at intervals of about a minute;
(b) a continuous sounding with any fog-signalling apparatus;
(c) rockets or shells, throwing red stars fired one at a time at short intervals;
(d) a signal made by any signalling method consisting of the group ··· ––– ··· (SOS) in the Morse Code;
(e) a signal sent by radiotelephony consisting of the spoken word “MAYDAY”;
(f) the International Code Signal of distress indicated by N.C.;
(g) a signal consisting of a square flag having above or below it a ball or anything resembling a ball;
(h) flames on the vessel (as from a burning tar barrel, oil barrel, etc.);
(i) a rocket parachute flare or a hand-flare showing a red light;
(j) a smoke signal giving off orange-coloured smoke;
(k) slowly and repeatedly raising and lowering arms outstretched to each side;
(l) a distress alert by means of digital selective calling (DSC) transmitted on:
(i) VHF channel 70, or
(ii) MF/HF on the frequencies 2187.5 kHz, 8414.5 kHz, 4207.5 kHz, 6312 kHz, 12577 kHz or 16804.5 kHz;
(m) a ship-to-shore distress alert transmitted by the ship’s Inmarsat or other mobile satellite service provider ship earth station;
(n) signals transmitted by emergency position-indicating radio beacons;
(o) approved signals transmitted by radiocommunications systems, including survival craft radar transponders.
2. The use or exhibition of any of the foregoing signals, except for the purpose of indicating distress and need of assistance, and the use of other signals which may be confused with any of the above signals, is prohibited.
3. Attention is drawn to the relevant sections of the International Code of Signals, the International Aeronautical and Maritime Search and Rescue Manual, Volume III, and the following signals:
(a) a piece of orange-coloured canvas with either a black square and circle or other appropriate symbol (for identification from the air);
(b) a dye marker.