Blue print for the future regulatory arrangements under the
National System for
Domestic Commercial Vessel Safety
(Streamlining Review)
Streamlining Concepts
1
2
Contents
Introduction............................................................................................................................................................. 3
1.
Making the regulations simpler...................................................................................................................... 5
2.
Improving alignment with other regulatory regimes...................................................................................... 7
3.
Simplifying what a ‘commercial vessel’ means............................................................................................... 8
4.
Clarifying the ‘C Class’ operational area......................................................................................................... 9
5.
Vessel and operation certificates.................................................................................................................. 10
6.
Safety management...................................................................................................................................... 13
7.
Survey exemptions....................................................................................................................................... 14
8.
Survey limits................................................................................................................................................. 16
9.
Periodic survey requirements....................................................................................................................... 17
10. Minimum crewing......................................................................................................................................... 20
11. Design and construction standards............................................................................................................... 21
12. Certificate of Competency standards under the National System................................................................. 22
13. Recreational use exemption under the National System............................................................................... 22
Annex A Overview of the streamlined National System........................................................................................ 23
3
Introduction
On 1 July 2013, the National System for Domestic Commercial Vessel Safety began. The National System brought eight sets of rules
together into one national scheme and is based on nationally-agreed standards for commercial vessels.
The National System provides a platform from which the effectiveness of marine safety regulation can be improved and the
government’s deregulatory goals can be met. In February 2014, national Transport Ministers agreed that a ‘Streamlining Review’
should commence immediately, to ensure that the National System achieves significant safety and economic returns.
Objectives of the Streamlining Review
The review aims to ensure that:
1.
2.
3.
4.
5.
6.
7.
regulatory interventions are proportionate to risk and justified on a cost-benefit basis;
the National System fosters greater industry ownership of safety;
the regulations are transparent and accessible;
interactions with the National Regulator are straight forward;
a scaled approach is taken to compliance and enforcement;
National Regulator engagement and communication with industry is effective; and
improvements are continuous.
Understanding the risks of the fleet
The review has been informed by a detailed risk analysis of the fleet. Recent local and international incident data suggests that:
•
•
•
•
fatal and serious injuries on passenger carrying vessels are often connected to the health, mobility and knowledge of the
passengers. Oversight is required to ensure that passenger vessels can safely carry a diverse group of passengers and to
prevent an incident occurring that has catastrophic consequences;
fatal and serious injuries on fishing and non-passenger carrying vessels often involve lines, ropes, anchors, fishing
equipment, engines and other vessel workplace hazards;
many hire and drive vessel incidents are connected to the inexperience of the hirer. Some oversight is required to ensure
that hire and drive vessels are safe for novices to operate; and
weather conditions and the sea state play a key role in many fatalities and serious injuries.
Proposed streamlining concepts
Potential streamlining opportunities have been identified in 13 key areas of the National System, including coverage, certification
and survey. This document provides a description of the streamlining concepts, however, they are conceptual only and will be
subject to extensive consultation and risk analysis before being implemented.
Annex A provides an overview of the streamlined regulatory arrangements of the National System, if the concepts outlined in this
paper were implemented.
Next steps
The streamlining ideas set out in this paper are concepts only and we want your input.
•
•
•
•
•
Have you identified inefficiencies in the system that should be reviewed?
Is there anything in the rules that apply to you that you believe does not make sense, particularly in terms of achieving
safety outcomes?
Are there any major safety failings that need to be addressed?
How would you like to see commercial vessel regulation change?
What do you think about the changes proposed in this paper?
If you have answers to any of these questions, or any other input into the review, please tell us at updates@amsa.gov.au.
Once finalised and endorsed by Transport Ministers, the outcomes of the Streamlining Review will be implemented through
amendments to the National Law (where required), Regulations, Marine Orders, national standards and administrative
arrangements.
Together, we can build a system that is safe, effective and efficient.
4
1.
Making the regulations simpler
An intergovernmental agreement governed the establishment of the National System and required nationally agreed standards
to be applied. The resulting National System comprises of many layers of regulatory instruments, as shown in the diagram below.
Further layers are created by the application, through the national standards, of Australian, international, European and American
standards.
AMSA Act 1990
Navigation Act 2012
Enables Regulations and
42 Marine Orders
Creates powers and duties
which support AMSA in its
role as National Regulator
The pollution, tonnage, safety
of navigation and
enforcement provisions apply
to some Domestic
Commercial Vessels
Marine Safety (Domestic Commercial Vessel) National Law Act 2012
Marine Safety (Domestic
Commercial Vessel) National
Law Regulation 2012
Marine Orders 501 - 507
Exemptions 01/2013 –
28/2013
Uniform Shipping Laws Code
National Standard for the
Administration of Marine
Safety
National Standard for
Commercial Vessels
Manuals
Protocols
Figure 1: Current structure of the regulations
The more complicated the regulations, the more difficult it is to achieve national consistency in the interpretation and application
of the requirements.
Streamlining concept
Making the regulations and rules simpler, more accessible and easier to identify and apply, will lead to more consistent application
and interpretation of the requirements.
AMSA Act 1990
Navigation Act 2012
Marine Safety (Domestic Commercial Vessel) National
Law Act 2012
Marine Safety (Domestic
Commercial Vessel) National Law
Regulation 2012
Marine Orders
Specify required outcomes
NSCV
Technical specifications
Compliance is taken to comply with
Marine Order outcomes
Alternative measures,
proposed by industry
Small number of standing
Exemptions
Regulator Guidance
Industry Guidance
Figure 2: Streamlined regulatory structure
Under the streamlined regulatory structure, the Marine Orders would contain all of the outcomes required to be met by industry
in the design, build, survey, certification and operation of commercial vessels. The National Standard for Commercial Vessels
(NSCV) would be streamlined and would contain ‘taken to comply’ technical specifications, which, if met, satisfy the outcomes
required by the Marine Orders. However, industry would be able to apply an alternative method of complying with the Marine
Orders, provided the specified outcomes were achieved.
This performance-based regulatory structure has been effectively utilised in other modern safety regimes. For example, the
Australian and New Zealand Food Standards Code requires businesses in the food industry to meet specified outcomes – such
as maintaining a safety management system (SMS) that effectively controls hazards. A business is ‘taken to comply’ with the
requirement if identified standards are met, however, the business may also propose an alternative means of compliance.
Under the streamlined regulatory structure, the National Standard for the Administration of Marine Safety (NSAMS) would be
rationalised and its key requirements (such as the NSAMS Section 4 survey schedules) incorporated into Marine Orders and
guidance materials. NSAMS was developed in the context of eight independent marine safety regulators and, in its current form,
is not consistent with the National System.
Importantly, the number of Exemptions would be significantly reduced by moving the arrangements into the Marine Orders
or Regulations. This would reduce the need for multiple instruments to be read together in order for the requirements to be
identified.
5
Current instrument Future instrument
National Law Act National Law Act
National Law Regulations National Law Regulations
Marine Orders Marine Orders
Exemptions Some standing Exemptions will remain, being those which allow vessels and persons to operate without
certification for a prescribed period (such as operating beyond survey time).
Exemptions that implement the risk-based arrangements of the National System will be incorporated into
the Marine Orders and Regulations
USL Code Will no longer apply (except for grandfathering purposes)
NSCV NSCV (streamlined)
NSAMS Marine Orders and Guidance Materials
Protocols Guidance Materials
Table 1: Streamlined regulations
The intention is to create a regulatory structure that is accessible to industry, which would make the regulations easier to identify,
understand and apply, and which would ultimately lead to more consistent interpretation and application of the requirements
nationally. The changes would be implemented over time as the Marine Orders and standards are reviewed.
6
2.
Alignment with other regulatory regimes
Other regulatory regimes also impact on the design, construction and operation of commercial vessels.
Workplace health and safety (WHS) laws require commercial vessel operators who are employers to create a safe work environment
by providing safe premises, safe machinery and materials, safe systems of work, information, instruction, training and supervision
and suitable work environments and facilities. WHS inspections and audits are carried out on high risk work spaces, including
commercial vessels.
The National System applies alongside State, Territory and/or Commonwealth WHS law. In order to create consistency between
the two safety regimes, the National Law duties are aligned with WHS law duties as far as is possible. When the national model
WHS Act is implemented in all jurisdictions, the offences and penalty provisions of the National Law duties will be amended to
align directly with those of the national model WHS Act.
The administration of WHS laws in relation to commercial vessels currently varies between jurisdictions. In some jurisdictions,
marine safety regulators conduct WHS inspections on behalf of the worksafe authority. In other jurisdictions, the inspection
processes are independent.
Fisheries management laws aim to manage Australian fisheries in a manner that is ecologically sustainable. Regulatory interventions
include design and construction standards and licensing for fishing vessels. Currently, fisheries management regulatory
interventions operate independently of marine safety, except in relation to on-water inspectors, who may be authorised under
both fisheries and marine safety law.
Streamlining concept
Work is underway to consider opportunities to remove conflicts and improve alignment between marine safety and WHS and/or
fisheries management regulations. For example, there may be conflicts in first aid kit obligations or vessel design requirements.
Opportunities to leverage upon the other regimes will also be considered. However, it is acknowledged that each regulatory
regime serves a specific purpose and may operate more effectively independently.
Question for Stakeholders
Can you provide examples of where marine safety requirements or
inspections could be aligned with other systems, such as workplace
health and safety or fisheries management?
7
Simplifying what a ‘commercial vessel’ means
3.
In the development of the National System, stakeholders were advised that the following vessels would not be captured by the
National Law:
•
recreational vessels used as volunteer research vessels;
•
recreational vessels used to support research activities on an ad-hoc basis;
•
yacht race committee vessels owned and operated by volunteers; and
•
privately owned recreational vessels that are used incidentally as a volunteer search and rescue vessel.
However, there remains some confusion regarding the extent to which ‘incidental commercial use’ will cause a vessel to be a
commercial vessel. As a result, exemptions have been issued to reduce the impact of the National Law on small vessels used
incidentally for commercial activities, such as bait gathering or recording sporting and recreational events.
Streamlining concept
Clarifying the scope of the National System would remove uncertainty and prevent requirements from being applied to vessels
which are outside of the law.
Under the streamlined approach, vessels which are:
•
registered as recreational vessels;
•
not primarily used in connection with a commercial, governmental or research activity; and
•
owned by the person operating the vessel,
would not be commercial vessels and would not be subject to the National Law, even where the operator is paid a nominal fee to
cover the costs of an activity.
This would include privately owned vessels which could otherwise be commercial vessels because they are used:
•
for bait gathering;
•
to record sporting or recreational activities;
•
to support research activities on an ad-hoc basis;
•
as yacht race committee vessels; and
•
incidentally as a volunteer search and rescue vessel.
It would be important to ensure that a loophole is not recreated which allows large private vessels engaged in commercial activities
to fall outside the National System because they have recreational registration. Options for achieving this include ‘not-for-profit’
tests and ‘maximum time per week spent undertaking the activity’ cut-offs.
8
Clarifying the ‘C Class’ operational area
4.
Operational area definitions impact significantly on the construction and operational requirements applied to vessels.
The current operational area category definitions are set out in Table 2 below.1
Seagoing
Unlimited domestic
operations
A
All domestic operations greater than 200nm to seaward of the coast
Offshore operations
B
Operations within a limit of 200nm to seaward of the coast or within such lesser limits as may be specified
Restricted offshore
operations
C
Operations within 30nm from the seaward limit of a safe haven, including designated smooth or partially
smooth waters (i.e. sheltered waters), or within such lesser limits as may be specified, or waters designated
by the Authority as ‘restricted offshore’.
A ‘safe haven’ is a place that can reduce the risk to a vessel and those persons on board the vessel by
providing shelter from the sea and weather. A safe haven includes a port, harbour, designated sheltered water
area and an inlet or river mouth that offers a good anchorage. Whether a place is a safe haven is a question
of the characteristics of the locality together with the risks encountered in leaving or reaching a safe haven,
which include the current weather wave condition and the characteristics of the vessel.1
Sheltered waters
Partially smooth
water operations
D
Operations within specified geographical limits in waters where the significant wave height does not exceed
1.5 m from trough to crest for at least 90 per cent of the time
Smooth water
operations
E
Operations within specified geographical limits in waters where the significant wave height does not exceed
0.5 m from trough to crest for at least 90 per cent of the time
Table 2: Current operational area categories
The reliance on the concept of a ‘safe haven’ in the definition of the ‘C’ operational area has led to uncertainty and inconsistency
in the ‘C’ operational area around Australia.
Streamlining concept
The removal of the ‘safe haven’ concept would improve clarity regarding the limits of ‘C Class’ operations.
Under the streamlined approach, ‘restricted offshore operations’ or the ‘C’ operational area would include:
Operations within 30 nautical miles of:
-
the mainland baseline; and
-
specified islands,
unless:
-
the operational areas are designate as D or E; or
-
a greater or lesser distance than 30 nautical miles is specified in a particular area.
‘C’ waters do not extend beyond the EEZ.
Provision would be made to:
•
ensure existing areas accessible as ‘C’ waters are preserved. In particular, due to the weather and sea conditions, the
‘C’ operational area in Queensland currently extends to 50 nautical miles from the mainland coast and also includes the
Great Barrier Reef Region and the Torres Strait zone. These arrangements would be maintained; and
•
designate a specified distance (eg 30 nautical miles) of a parent vessel as ‘C’ operations (conditions may be imposed, such
as carriage of adequate communications equipment).
The following islands would be ‘specified islands’ for the purposes of the definition:
•
Island of Barrow (WA);
•
all Islands off the Northern Territory coast;
•
King Island (TAS);
•
Three Hummock Island (TAS);
•
Hunter Island (TAS);
•
Robins Island (TAS);
•
Furneaux Group (TAS);
2
1
National Standard for Commercial Vessels, Part B, clause 3.4
The current definition of ‘safe haven’ is contained in the National Standard for Commercial Vessels, Part B, Clause 1.8
9
•
Kent Group (TAS);
•
Maatsuyker Islands Group (TAS);
•
Bruny Island (TAS);
•
Maria Island (TAS);
•
Schouten Island (TAS);
•
Tasman Island (TAS);
•
Waterhouse Island (TAS);
•
Lord Howe Island (NSW);
•
Kangaroo Island (SA);
•
Flinders Island (SA);
•
North Neptune Island (SA); and
•
South Neptune Island (SA).
Vessel and operation certificates
5.
As shown in the following diagram, the current vessel and operation certification arrangements of the National System include:
•
Certificates of Operation;
•
Certificates of Survey; and
•
Unique Identifiers.
All vessels
Unique identifier
Vessels in survey
Certificate of Operation
Design, construction
and operating standards
Certificate of Survey
SMS / SMP
Figure 3: Current certification arrangements
The Certificate of Operation provides permission to operate one or more vessels relating to a marine business. It identifies the
activities of the vessel, area of operation and operational safety considerations (such as minimum crewing requirements). More
than one vessel may appear on a Certificate of Operation. By 2016 all vessels – including all vessels that were in operation before
1 July 2013 – subject to the National System must be listed on a Certificate of Operation in order to operate (there is a specific
exemption for bait gathering vessels). The Certificate of Operation must be displayed on the vessel, unless impracticable due to
the size or use of the vessel.
The Certificate of Survey provides evidence that a vessel has been surveyed and meets specified standards for construction and
safety equipment. Vessels ‘not in survey’ (Scheme NS), and vessels that were in operation prior to 1 July 2013 and which were
not in survey before that date, are exempt from the requirement to obtain a Certificate of Survey. It is estimated that at least
50% of the fleet is currently exempt from the Certificate of Survey requirements.
The Unique Identifier uniquely identifies a vessel and stays with the vessel over its life, even if it changes ownership. All new
vessels must obtain and display a Unique Identifier. For smaller vessels for which it is not practical to meet the standard display
requirements, approval can be obtained for an alternative way of displaying the Unique Identifier.
Tender vessels are subject to different Unique Identifier obligations to ensure that they are clearly identified as a subsidiary
vessel. Vessels registered under and marked in accordance with the Shipping Registration Act 1981 are exempt from the display
requirements.
Most vessels do not need to apply separately for the Unique Identifier, as it forms part of the process of obtaining a Certificate of
Survey or a Certificate of Operation.
An overview of the application of the current certificates is provided in the following table.
10
Certificate Application
Vessel identification All vessels
Where it is impractical to meet the display requirements, alternative display arrangements will be approved
Certificate of Operation All vessels must appear on a Certificate of Operation
Certificate of Survey Vessels in survey
Table 3: Current certification arrangements
Streamlining concept
Reduce the certification requirements so that vessels and operations are issued one certificate only, and a large number of low
risk vessels are not required to be on any certificate.
Non-passenger class 2 and 3 vessels in
sheltered waters, <7.5m and not high risk
Unique identifier
(Exemption from display
requirement for all human powered
vessels and sail vessels <4m)
SMS / SMP
Design,
construction
and operating
standards
Hire and drive vessels, vessels with passengers,
vessels ≥7.5m, vessels in offshore waters, high risk vessels
Certificate of Operation
Survey report(s)
(where required)
Unique identifier
(Exemption from display
requirement for all human powered
vessels and sail vessels <4m)
SMS / SMP
Design,
construction
and operating
standards
Figure 4: Streamlined certification arrangements
Under the streamlined approach, a Certificate of Survey would be issued on request only. Commercial operators may elect
to continue to obtain Certificates of Survey for commercial reasons, such as for insurance or contractual purposes. However,
for other operators, a survey report would be required for compliance purposes but no Certificate of Survey is necessary. The
Certificate of Survey, when issued, would be issued for five years and remain valid provided survey reports were obtained (as
required).
The Certificate of Operation would continue to provide permission to operate one or more vessels (in survey) relating to a
marine business. However, the Certificate of Operation would be issued once only, and would remain valid provided:
•
fees are paid;
•
(if required) survey reports are received in accordance with the periodic survey schedule applying to the vessel; and/or
•
(if required) SMS inspection reports are received in accordance with any required periodic inspections of the
operation’s SMS.
When circumstances change (such as the sale or purchase of vessels), the Certificate of Operation would need to be amended,
and may need to be reissued, depending on the extent of the change.
However, the following vessels would not be required to be on a Certificate of Operation:
•
all Class 2 and Class 3 vessels that are <7.5m, operate only in sheltered (D and E) and which:
-
do not carry passengers;
-
do not carry goods listed in the International Maritime Dangerous Goods Code;
-
are not used to operate a pile frame;
-
are not equipped with plant or machinery with lifting or slewing potential (criteria to be determined);
-
are not used as a landing barge;
-
are not primarily used for towage;
-
are not used as support vessels in the offshore oil industry;
-
are not used as trawler fishing vessels;
-
do not have inboard petrol engines; and
-
are not fast craft (a vessel capable of maximum speed equal to or exceeding 25 knots);
•
human powered vessels; and
•
vessels involved in sporting/recreational activities and affiliated with a recognised body that has systems in place to
manage risk (eg Yachting Australia, Surf Lifesaving, Waterski Federation).
11
Operators of these vessels may elect to have the vessel(s) listed on a Certificate of Operation, and all hire and drive operations
would be required to have a Certificate of Operation, even if they operate only human powered vessels.
All vessels would also continue to be required to have a unique identifier and the operator would be required to maintain a SMS
(as currently required under the general safety duties in the National Law).
Finally, all human powered vessels and all sail vessels <4m would be exempted from the requirement to display the unique
identifier.
An overview of the proposed streamlined approach to vessel and operation certification is shown in the following table.
Certificate Application
Vessel identification All vessels, however does not need to be displayed on human powered vessels and sail vessels <4m
Certificate of All vessels must appear on a Certificate of Operation, except:
Operation
• Class 2 and Class 3 vessels <7.5m, which operate only in sheltered (D and E) waters and which:
-
do not carry passengers;
-
do not carry goods listed in the International Maritime Dangerous Goods Code;
-
are not used to operate a pile frame;
-
are not equipped with plant or machinery with lifting or slewing potential (criteria to be
determined);
-
are not used as a landing barge;
-
are not primarily used for towage;
-
are not used as support vessels in the offshore oil industry;
-
are not used as trawler fishing vessels;
-
do not have inboard petrol engines; and
-
are not fast craft (a vessel capable of maximum speed equal to or exceeding 25 knots),
•
human powered vessels; and
•
vessels involved in sporting/recreational activities and affiliated with a recognised body that has systems
in place to manage risk (eg Yachting Australia, Surf Lifesaving, Waterski Federation).
All hire and drive operations must have a Certificate of Operation.
Certificate of Survey On request only
Table 4: Streamlined certification arrangements
12
Safety management
6.
The Marine Safety (Domestic Commercial Vessel) National Law Act 2012 requires the person in control of a domestic commercial
vessel operation to implement and maintain a safety management system which ensures that the vessel and the operations of the
vessel are safe.
In addition, all new vessels must comply with Part E of the NSCV (Safe Operations), which includes SMS requirements. Existing
vessels must also meet the SMS requirements of the NSCV by 2015 (for passenger and hire and drive) and 2016 (for all other
vessels).
Streamlining concept
Remove the requirement for operators to complete a risk assessment under Part E of the NSCV, where they have undertaken a risk
assessment and addressed the risks through another process.
Under the streamlined approach, the requirement for an operator to maintain a SMS would be met where the operator complies
with:
•
Part E of the NSCV; or
•
an internationally recognised Code (eg IMO); or
•
an internationally recognised marine safety system relevant to the operation (eg the RYA Blue Book),
provided the SMS also addresses adequate crewing in accordance with Part E of the NSCV.
In addition, where the requirements of State/NT WHS laws have been assessed as equivalent to Part E of the NSCV, an SMS
prepared in accordance with WHS laws would also meet the National System SMS requirements. The National Regulator would
determine whether a SMS developed for WHS is equivalent.
13
Survey exemptions
7.
The current survey exemptions are shown in the following table.
In survey
All Class 1 vessels
Exempt from survey (‘non-survey’ vessels)
Vessels which are:
All passenger carrying vessels
•
<7.5m;
All vessels in A, B or C operational areas
•
in sheltered waters only;
All vessels ≥7.5m
•
non-passenger;
All high risk vessels
•
not high risk; and
All overnight hire and drive
•
not overnight hire and drive.
Class 4 personal watercraft (PWC)
Recreational training vessels <24m in inshore waters
Table 5: Current survey exemption arrangements
High risk vessels are:
•
a powered barge that is:
-
used to carry passengers;
-
used to carry dangerous goods, including bulk petroleum or gas products;
-
used for living or entertainment;
-
used to operate a pile frame;
-
equipped with a crane or davit exceeding 3 tonne capacity;
-
equipped with dredging machinery having a total brake power of 500kW;
-
a landing barge;
-
primarily used for towage;
•
a dredge with a total brake power of >500kW or that is >24 m measured length;
•
a vessel primarily used for towage;
•
a vessel used for carrying dangerous goods, including bulk petroleum or gas products;
•
a vessel with a crane or davit exceeding 3 tonne capacity;
•
a support vessel in the offshore oil industry; and
•
a vessel operating more than 5 nautical miles off the mainland.
New non-survey vessels must comply with the General Safety Requirements (GSR) Standard (Part G of the NSCV). All non-survey
vessels must comply with Part E (Operations) of the NSCV or with the operating requirements of Part F (Special Vessels) of the
NSCV.
Streamlining concept
Expand the non-survey category to include more low risk vessels. This would reduce compliance costs both as result of the removal
of the survey obligation and because new non-survey vessels are required to comply with the GSR Standard, a simpler design and
construction standard.
Changes to the current arrangements are in bold in the following table
14
In survey
All Class 1 vessels
Exempt from survey (‘non-survey’ vessels)
Vessels <12m, in sheltered (D or E) waters, which:
All passenger carrying vessels
•
do not carry any passengers;
All vessels in A, B or C operational areas
•
do not carry goods listed in the International Maritime
Dangerous Goods Code;
•
are not support vessels in the offshore oil industry;
•
do not have an inboard petrol engine;
•
are not equipped with plant or machinery with lifting or
slewing potential (criteria to be determined); and
•
are not fast craft (a vessel capable of maximum speed equal
to or exceeding 25 knots),
All vessels ≥12m
All overnight hire and drive
Class 4 personal watercraft
All Class 2 and 3 vessels that are:
•
used to carry dangerous goods, including bulk
petroleum or gas products;
•
used for living or entertainment;
Recreational training vessels <24m in inshore waters
•
used to operate a pile frame;
•
equipped with a crane or davit exceeding 3 tonne
capacity;
Personal watercraft (PWC) (regardless of operational area or type of
operation)
•
equipped with dredging machinery having a total brake
power of 500kW;
Human powered vessels (regardless of operational area or type of
operation)
•
a landing barge;
•
primarily used for towage;
Vessels involved in sporting/recreational activities and affiliated
with a recognised body that has systems in place to manage risk (eg
Yachting Australia, Surf Lifesaving, Waterski Federation)
•
equipped with a crane or davit exceeding 3 tonne
capacity;
•
support vessels in the offshore oil industry;
•
operating more than 5nm off the mainland;
•
have an inboard petrol engine;
•
equipped with plant or machinery with lifting or slewing
potential (criteria to be determined); and
•
fast craft.
Water-powered jetpacks (jetlevs and similar)
Table 6: Proposed survey exemption arrangements
New non-survey vessels would continue to be subject to the GSR Standard, and all non-survey vessels must comply with Part
E (Operations) of the NSCV or with the operating requirements of Part F (Special Vessels) of the NSCV. At issue 11 below it is
proposed that the GSR Standard be reviewed.
An alternative option is to require vessels 7.5 - <12m in the proposed expanded non-survey category to undergo an initial inspection
to confirm compliance to the GSR Standard. This would not apply to recreational training vessels <24m operating inshore.
The current arrangements for tender and auxiliary vessels would continue. (These require, for example, tender vessels to be
inspected when the parent vessel is surveyed).
In order to manage the risks of some types of operations, if an operator intended to use a non-survey vessel for any of the following
activities, they would be required have the use listed on the Certificate of Operation (with appropriate conditions applied):
•
operate a pile frame;
•
use as a landing barge;
•
towage; and
•
trawler fishing.
These arrangements would apply to new vessels, however existing vessels could opt in to the new arrangements. Vessels which
operated before 1 July 2013 would be able to elect to continue under their 30 June 2013 grandfathered arrangements.
Existing vessels in survey, of a type that could move out of survey under the streamlined arrangements, would be required to meet
the GSR Standard (or an equivalent standard) in order to move out of survey.
Additional compliance monitoring activities would take place to manage the risks of expanding the non-survey category. An
increased number of risk-based inspections and audits would apply to non-survey vessels. If a vessel or operation performed
poorly during compliance monitoring activities, a formalised periodic inspection regime would be applied to the vessel.
15
Question for Stakeholders
• Are there any vessels or operations in the expanded ‘non-survey’
category that should remain in survey?
• Are there any vessels in survey which should be exempt from survey
due to the low risk nature of their operations?
• Are any operations included in the ‘high risk’ category which should
not be considered to be high risk?
8.
Survey limits
Currently, for new vessels ≥35m, and existing vessels ≥35m constructed to the NSCV, the deemed to satisfy solution under Part
C (Design and Construction) of the NSCV is design, construction and maintenance in accordance with the rules of a Classification
Society.
This means that vessels ≥35m must be in Class, unless an equivalent solution or grandfathering arrangement applies.
Streamlining concept
Vessels <45m would be permitted to be in survey under the National Law and would not be required to be in Class. However, an
operator could elect to have their vessel built to Class standards and surveyed by a Class society.
To support this arrangement, the NSCV would include design and construction standards for vessels <45m. This would significantly
reduce costs for vessels 35m - <45m.
16
Periodic survey requirements
9.
The current periodic survey schedule for new vessels is shown in the table below.
Category
Vessels
Survey requirements
Initial (Year 0)
Full initial
and periodic
survey
All Class 1 vessels
All high risk vessels
Year 1
Year 2
Year 3
Year 4
Year 5
Plan approval, initial survey and
commissioning
In water
survey
In water
survey
In and out
of water
survey
In water
survey
In and out
of water
survey
Plan approval, initial survey and
commissioning
None
None
In and out
of water
survey
None
In and out
of water
survey
None
None
None
None
None
2A
2B
2C ≥7.5m
3A
3B
3C ≥7.5m
Initial survey
and partial
periodic
2C <7.5m with passengers
2D with passengers
2E with passengers
All overnight Class 4
Note: Part F allows for EU
conformity assessment for Class
4 vessels
4C
Initial survey
only
2C <7.5m no passengers and
not high risk
Plan approval, initial survey and
commissioning
2D ≥7.5m no passengers and
not high risk
Note: Part F allows for EU
conformity assessment for Class
4 vessels
2E ≥7.5m no passengers and
not high risk
3C <7.5m not high risk
3D ≥7.5m not high risk
3E ≥7.5m not high risk
4D ≥7.5m not overnight
4E ≥7.5m not overnight
Table 7: Current periodic survey schedule
High risk vessels are:
•
•
•
•
•
•
•
a powered barge that is:
- used to carry passengers;
- used to carry dangerous goods, including bulk petroleum or gas products;
- used for living or entertainment;
- used to operate a pile frame;
- equipped with a crane or davit exceeding 3 tonne capacity;
- equipped with dredging machinery having a total brake power of 500kW;
- a landing barge;
- primarily used for towage;
a dredge with a total brake power of >500kW or that is >24 m measured length;
a vessel primarily used for towage;
a vessel used for carrying dangerous goods, including bulk petroleum or gas products;
a vessel with a crane or davit exceeding 3 tonne capacity;
a support vessel in the offshore oil industry; or
a vessel operating more than 5 nautical miles off the mainland.
The periodic survey arrangements have not been determined for the following ‘other vessels’ (Scheme O):
•
•
•
•
•
•
•
volunteer marine rescue vessels;
waterski/wakeboard towing vessels with inboard engines;
permanently moored vessels;
ferries in chains;
unpowered barges;
submersibles and WIG craft; and
novel vessels where the NSCV does not include an appropriate technical solution.
17
Streamlining concept
Align periodic survey requirements more closely with the risks of the individual vessel and operator and create incentives for
improved maintenance and safety management outcomes.
The proposed base periodic survey regime is shown in the table below. Note that the ‘formal surveys’ would be either an ‘inwater’ survey or an ‘in-and-out of water survey’ - this would be determined through a detailed review of the NSAMS Section 4
survey schedules (which identify what areas of the vessel are considered at each survey).
Category
Vessels
Survey requirements
Initial
Survey ‘A’
All Class 1
2A* passenger carrying
2B passenger carrying
2C ≥7.5m passenger carrying
Submersible and WIG craft
Novel Vessels
Plan approval,
initial survey and
commissioning
2A* no passengers
Higher risk 2A high risk
trading,
2B no passengers
fishing
2B high risk
and hire
2C ≥7.5m no passengers
and drive
2C <7.5m passenger carrying
vessels
2C high risk
2D passenger carrying
2D high risk
2E passenger carrying
2E high risk
3A*
3B
3C ≥7.5m
3C high risk
3D high risk
3E high risk
4C ≥7.5m
Plan approval,
initial survey and
commissioning
Survey ‘C’
2C <7.5m no passengers and not high risk
2D ≥12m no passengers and not high risk
2E ≥12m no passengers and not high risk
3C <7.5m not high risk
3D ≥12m not high risk
3E ≥12m not high risk
4C <7.5m
4D ≥12m
4E ≥12m
Plan approval,
initial survey and
commissioning
Survey ‘D’
Volunteer marine rescue vessels
Other
vessels
Ferries in Chains
Plan approval,
initial survey and
commissioning
High risk
passenger
carrying
vessels
Survey ‘B’
Lower risk
trading,
fishing
hire and
drive
vessels
Permanently moored vessels
Heritage vessels
Unpowered barges
For hire and drive:
Plan approval and
initial survey in
accordance with
NSCV F2
For hire and drive:
Plan approval and
initial survey in
accordance with
NSCV F2
Periodic survey – 5 year period
Four periodic surveys
Two SMS inspections
Flexibility to reduce formal survey requirements based on
vessel and operator performance
Two periodic surveys
Two SMS inspections
Flexibility to change formal survey requirements based on
vessel and operator performance
Annual self inspection
Flexibility to change formal survey requirements based on
vessel and operator performance
Annual self-inspection
Renewal survey at Year 5
Two SMS inspections
Flexibility to change formal survey requirements based on
vessel and operator performance
Table 8: Streamlined periodic survey schedule
*Class A vessels include only those vessels which operated prior to 1 July 2013 and which have been declared under section 19 of the Navigation
Act 2012. All other vessels operating beyond Australia’s Exclusive Economic Zone (approximately 200nm from shore) are subject to the Navigation
Act 2012.
18
High risk vessels would be those which:
•
•
•
•
•
carry goods listed in the International Maritime Dangerous Goods Code;
operate as support vessels in the offshore oil industry;
have an inboard petrol engine;
are equipped with plant or machinery with lifting or slewing potential (criteria to be determined); or
are fast craft (a vessel capable of maximum speed equal to or exceeding 25 knots).
Importantly, these would be ‘base’ survey and SMS inspection levels only and would be adjusted based on surveyor
recommendations, the outcomes of SMS inspections and compliance monitoring activities. Clear guidelines would be developed
for making adjustments to a vessel’s survey schedule, building on Annex G of NSAMS Section 4. These guidelines would:
•
•
•
•
determine the vessel’s compliance risk status based on the level and impact of non-conformities identified during surveys,
audits and other compliance and enforcement activities;
factor in the age, length of time in survey, type of operation, and other attributes of the vessel that impact on its level of
risk;
provide clear rules on when and how the base survey and inspection schedule should be varied for an individual vessel;
and
cover issues such as the impact of the sale of a vessel on that vessel’s survey schedule.
The streamlined periodic survey schedule proposed would reduce formal survey requirements (and therefore costs) for most
categories of vessels in survey. Key changes include:
•
•
•
•
•
•
the removal of one formal survey in a five year cycle for all Class 1 vessels, with the option of reducing survey requirements
further where vessels perform well at surveys;
a reduction from annual surveys to two surveys in five years for most Class 2 and Class 3 vessels. Formal survey
requirements can be increased where vessels perform poorly at surveys;
a reduction from annual or biennial formal survey to initial survey only for most hire and drive vessels in survey. Formal
survey requirements can be increased where vessels perform poorly during compliance and monitoring activities, such
as random inspections;
the flexibility to increase or decrease survey requirements based on individual vessel and operator performance during
surveys (surveyor recommendations), SMS inspections and other compliance monitoring activities;
for low risk vessels, in low risk operations and operational areas, annual self inspection obligations; and
a survey schedule for all ‘Scheme O’ vessels, most of which fall into survey category ‘D’ (initial and renewal (5 yearly)
survey).
The streamlined periodic survey schedule proposed also includes the inspection of SMS. As shown in the table above, these
inspections would be carried out on a periodic basis, which would be adjusted based on the performance of the vessel and
operator. However, an alternative option is to undertake random SMS inspections on a risk basis, focussing on the less safe
operators.
SMS inspections support a shift in focus to the operational aspects of safety, facilitate an overall reduction in survey requirements
and support the adjustment of the survey schedule based on individual operator and vessel risk.
These survey and inspection arrangements would apply to new vessels and to existing vessels which opt in to the new arrangements.
Vessels which operated before 1 July 2013 would be able to elect to continue under their 30 June 2013 grandfathered arrangements.
Surveys would be carried out by a surveyor accredited under the National System, and audits conducted by an accredited auditor.
The survey schedules contained in NSAMS Section 4 (which identify what areas of the vessel are considered at each survey) would
be reviewed to align with the new survey regime and to improve the efficiency and effectiveness of the surveys. This would include
considering the nature of shaft surveys (allowing ultrasonic propeller shaft inspection).
Finally, the survey process contained in Part F, Section 2 (Leisure Craft) of the NSCV, which is currently available to leisure craft
only, would be expanded to the remainder of the fleet. This allows for conformity assessment where there are quality assurance
or quality management processes in place, which reduces the requirement for all vessels to be surveyed during construction.
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10.
Minimum crewing
The crewing requirements of Part E of the NSCV (Safe Operations) currently apply to all new vessels. Under Part E, operators
determine the ‘appropriate crew’, which must not be less than the ‘core complement’ specified in Part E. This requires, at minimum,
the vessel to be operated by a person holding a commercial vessel qualification.
Specific crewing exemptions allow the following vessels to be operated by persons who do not hold a commercial vessel
qualification, however National Regulator approval is required for all except the first two operations:
•
specified fishing vessels <15m, and tenders operating as fishing vessels, in Queensland;
•
vessels licensed as traditional inhabitant fishing vessels in specified operations;
•
vessels <12m, <100kW inboard or unlimited outboard engine power, operated at <10 knots, in a wildlife or other
sightseeing operation;
•
vessels <7.5m with only outboard propulsion power, operated by Sea Rangers in specified operations in the Northern
Territory;
•
vessels <7.5m, operated by a scientific research or educational organisation for research or educational activities;
•
sailing vessels where crew hold Royal Yachting Association qualifications;
•
workboats ≤7.5m with ≤38kW outboard power, in smooth and inland waters and within 100m of shore or of a structure
attached to the shore, non-passenger and connected with infrastructure building or maintenance operations;
•
ferries-in-chains;
•
emergency services vessels;
•
vessels ≤7.5m, operating in Moreton Bay Marine Park or other sheltered waters and used for bait gathering; and
•
vessels <7.5m which are commercial vessels only because the vessel is being used to record sporting or recreational
activities, and which were in operation in 2013.
The grandfathering arrangements of the National System also allow vessels that were in operation before 1 July 2013 to continue
to comply with the crewing arrangements that applied to the vessel on 30 June 2013.
Streamlining concept
Formalise the current exemption arrangements by allowing:
•
vessels involved in sporting/recreational activities and affiliated with a recognised body that has systems in place to
manage risk (eg Yachting Australia, Surf Lifesaving, Waterski Federation); and
•
research vessels <7.5m in sheltered (D and E) waters (and potentially C waters),
to be operated by a person who holds a recreational qualification.
This would remove the need for the operators to apply for crewing exemptions.
20
11.
Design and construction standards
Currently, Parts C and F of the NSCV apply to all new vessels in survey, while Part G of the NSCV (the GSR standard) applies to all
new vessels not in survey.
Grandfathering arrangements allow vessels that were in operation prior to 1 July 2013 to continue to comply with the standard
that applied on 30 June 2013. Transitional equipment requirements (contained in either Part C Section 7A of the NSCV or in the
GSR standard, depending on the vessel and operation) apply.
Streamlining concept
Strengthen the NSCV and allow for more importation and exportation of commercial vessels.
Under the streamlined approach, the requirements of the GSR Standard (Part G of the NSCV) would be reviewed with a view to:
•
ensuring that it contains appropriate arrangements for all non-survey vessels;
•
allowing equivalent solutions to the level flotation requirements (including those permitted by Section C7A of the
NSCV), which can be difficult to comply with; and
•
making it easier to apply and to confirm compliance.
Part F, Section 2 (Leisure Craft) of the NSCV would also be reviewed in order to improve its alignment with international standards
and facilitate the importation and exportation of recreational use vessels.
The NSCV requirements for fire safety would be reviewed to ensure that they are aligned to the level of risk of a vessel and
operation. The NSCV would also include appropriate requirements for dumb barges and pontoons, where these are captured by
the National Law.
As outlined above at issue 1 above, the NSCV would also be streamlined so that the technical requirements of the National System
are more accessible and easier to identify.
21
12.
Certificate of Competency standards under the National System
Part D (Crew Competency) of the NSCV contains the standards for issuing Certificates of Competency under the National System
and identifies the activities that can be carried out by certificate holders. The following certificates are issued under Part D:
•
General Purpose Hand Near Coastal (NC);
•
Coxswain Grade 2 NC;
•
Coxswain Grade 1 NC;
•
Master <24m NC;
•
Master (Inland waters);
•
Master <35m NC;
•
Mate <80m NC;
•
Master <80m NC;
•
Marine Engine Driver Grade 3 NC;
•
Marine Engine Driver Grade 2 NC;
•
Marine Engine Driver Grade 1 NC; and
•
Engineer Class 3.
Streamlining concept
Reduce the length gap between Master <35m NC and Master <80m NC, and align crewing requirements with the proposed
National System survey cut-offs.
Under the streamlined approach, the Master <35m NC would be changed to a Master <45m NC certificate. The pre-requisites to
issuing the certificate would remain the same. The duties the certificate holder may perform would also remain the same, except
that the holder could command a commercial vessel <45 m long in the EEZ.
An alternative option is to issue endorsements allowing Master <35 to operate an <45m vessel provided they have sufficient
training and experience.
13.
Recreational use exemption under the National System
Domestic commercial vessels can be used recreationally, provided the use has been approved by the National Regulator. In some
cases, operators have been required to apply to the National Regulator each time the vessel is used recreationally.
Streamlining concept
Remove unnecessary paperwork for industry and the National Regulator by ensuring that operators apply for the recreational use
exemption as part of the Certificate of Operation (rather than separately – halving the paperwork). The recreational use allowance
(and any conditions) would then be noted on the Certificate of Operation.
Importantly, operators would not have to advise the National Regulator each time the vessel was used recreationally, nor apply
for voyage-specific exemptions, unless required by the Certificate of Operation and provided they operate within the conditions
identified on the Certificate of Operation.
For vessels that are not required to be on a Certificate of Operation, the exemption would permit recreational use of the vessel,
with conditions. Operators of these vessels would not be required to apply for the recreational use exemption.
An alternative option is to allow specified vessels – such as vessels <24m – to operate recreationally without applying for approval.
Other vessels would need approval to operate recreationally, which would be issued through the Certificate of Operation.
22
23
Non-survey
vessels
Certificate
exempt
operations
do not carry goods listed in the International
Maritime Dangerous Goods Code;
are not used to operate a pile frame;
are not equipped with plant or machinery
with lifting or slewing potential (criteria to be
determined);
are not used as a landing barge;
are not primarily used for towage;
are not used as support vessels in the offshore oil
industry;
are not used as trawler fishing vessels;
do not have inboard petrol engines; and
are not fast craft (a vessel capable of maximum
speed equal to or exceeding 25 knots)
•
•
•
•
•
•
•
•
•
are not fast craft (a vessel capable of maximum
speed equal to or exceeding 25 knots);
Water-powered jetpacks (jetlevs and similar)
PWC
Recreational training vessels <24m in inshore operations
•
•
•
Unique Identifier (for
each vessel)
Certificate of
Operation, issued
initially only
(Note: human
powered vessels and
sail vessels <4m are
not required to display
unique identifier)
All hire and drive
operations must
have a Certificate of
Operation
Unique identifier (for
each vessel)
Certification
are not support vessels in the offshore oil industry; (Note: human
powered vessels and
do not have inboard petrol engines;
sail vessels <4m not
required to display
are not equipped with plant or machinery
unique identifier)
with lifting or slewing potential (criteria to be
determined); and
do not carry goods listed in the International
Maritime Dangerous Goods Code;
•
•
do not carry any passengers; and
•
Vessels <12m, which operate only in sheltered (D and E)
waters and which:
Vessels involved in sporting/ recreational activities and
affiliated with a recognised body that has systems in
place to manage risk (eg YA, Surf Lifesaving, Waterski
Federation)
Human powered vessels
do not carry any passengers;
•
Class 2 and class 3 vessels <7.5m, which operate only in
sheltered (D and E) waters and which:
Which vessels?
Overview of the streamlined National System
Annex A
NSCV Part E (or Part F)
(Streamlined)
(Streamlined)
and sporting/
recreational vessels
in this category: none
specified (general safety
duties apply)
(Streamlined)
NSCV Part E (or Part F)
For sporting/
recreational and
research vessels in this
category: recreational
qualification
Minimum crewing
For Class 2 and 3 vessels For Class 2 and
in this category: Part E
3 vessels in this
of the NSCV
category: Part E of the
NSCV
For human powered
Operating standard
GSR Standard
For human powered and
sporting/ recreational
vessels in this category:
none specified (general
safety duties apply)
For new Class 2 and 3
vessels in this category:
the GSR Standard
Construction standard
Flexibility to introduce
periodic inspection
requirements based on
operator performance
during compliance
monitoring activities
Alternative option: vessels
7.5 - <12m must undergo an
initial inspection to confirm
compliance to the GSR
None – random inspections
and audits only
None
Survey regime
24
Survey ‘A’:
All Class 1
2A passenger carrying
2B passenger carrying
2C ≥7.5m passenger carrying
Submersible and WIG craft
Novel Vessels
Survey ‘B’:
2A no passengers
2A high risk
2B no passengers
2B high risk
2C ≥7.5m no passengers
2C <7.5m passenger carrying
2C high risk
2D passenger carrying
2D high risk
2E passenger carrying
2E high risk
3A
3B
3C ≥7.5m
3C high risk
3D high risk
3E high risk
4C ≥7.5m
High risk vessels are those which:
• carry goods listed in the International Maritime
Dangerous Goods Code;
• operate as support vessels in the offshore oil
industry;
• are equipped with plant or machinery with lifting
or slewing potential (criteria to be determined);
• have inboard petrol engines; and
• are fast craft (a vessel capable of maximum speed
equal to or exceeding 25 knots).
Vessels in
survey
Vessels in
survey
Which vessels?
Certificate of
Operation, issued
initially only
Underpinned by
Survey Reports
(for each vessel as
required)
Unique Identifier (for
each vessel)
(Note: Certificates of
Survey will be issued
on request)
Certificate of
Operation, issued
initially only
Underpinned by
Survey Reports
(for each vessel as
required)
Unique Identifier (for
each vessel)
(Note: Certificates of
Survey will be issued
on request)
Certification
NSCV
(Streamlined)
NSCV
(Streamlined)
Construction standard
NSCV Part E (or Part F)
(Streamlined)
NSCV Part E
(Streamlined)
Operating standard
NSCV Part E (or Part F)
(Streamlined)
NSCV Part E
(Streamlined)
Minimum crewing
Initial survey, including plan
approval and initial survey.
For Class 4, initial survey is
in accordance with NSCV F2
2 surveys in a 5 year period
2 SMS inspections in a 5
year period. Alternative
option: random risk-based
SMS inspections
Flexibility to change formal
survey requirements based
on operator performance
Initial survey, including plan
approval, initial survey and
commissioning
4 surveys in a 5 year period
2 SMS inspections in a 5
year period. Alternative
option: random risk-based
SMS inspections
Flexibility to reduce formal
survey requirements based
on operator performance
Survey regime
25
Survey ‘C’:
2C <7.5m no passengers and not high risk
2D ≥12m no passengers and not high risk
2E ≥12m no passengers and not high risk
3C <7.5m not high risk
3D ≥12m not high risk
3E ≥12m not high risk
4C <7.5m
4D ≥12m
4E ≥12m
Survey ‘D’:
Volunteer marine rescue vessels
Ferries in Chains
Permanently moored vessels
Heritage vessels
Unpowered barges
Vessels in
survey
Vessels in
survey
Which vessels?
Certificate of
Operation, issued
initially only
Underpinned by
Survey Reports
(for each vessel as
required)
Unique Identifier (for
each vessel)
(Note: Certificates of
Survey will be issued
on request)
Certificate of
Operation, issued
initially only
Underpinned by
Survey Reports
(for each vessel as
required)
Unique Identifier (for
each vessel)
(Note: human
powered vessels and
sail vessels <4m not
required to display
unique identifier)
(Note: Certificates of
Survey will be issued
on request)
Certification
NSCV Part E (or Part F)
(Streamlined)
Operating standard
NSCV
NSCV Part E
(Streamlined)
(Streamlined)
Alternative requirements
may apply to heritage
vessels
NSCV
(Streamlined)
Construction standard
NSCV Part E
(Streamlined)
NSCV Part E (or Part F)
(Streamlined)
Minimum crewing
Initial survey, including plan
approval, initial survey and
commissioning
Formal survey at Year 5
2 SMS inspections in a 5
year period. Alternative
option: random risk-based
SMS inspections
Annual self-inspection as
part of SMS (Year 1, 2, 3
and 4)
Flexibility to change formal
survey requirements based
on operator performance
Initial survey, including
plan approval, initial survey
and commissioning. For
Class 4, initial survey is in
accordance with NSCV F2
Annual self-inspection as
part of SMS
Flexibility to change formal
survey requirements based
on operator performance
Survey regime
Australian Maritime Safety Authority
updates@amsa.gov.au
www.amsa.gov.au/domestic
AMSA1117 (5/14)
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