CODE OF CONDUCT FOR THE MERCHANT NAVY

Master's Guide to
Shipboard Disciplinary Procedures

BACKGROUND

1. The disciplinary arrangements which are part of the Code of Conduct for the
Merchant Navy were first introduced on UK ships subject to National Maritime
Board conditions on 1 January, 1979 when they replaced the provisions contained
in the Merchant Navy Disciplinary Offences) Regulations 1972. These latter
regulations gave since been repealed. At the time when the Code was introduced
move away from a system of shipboard fines to a system based on warnings,
dismissal and referral to a shore-based disciplinary committee represented a radical
departure from established practice within the a shipping industry. However, it
brought shipboard disciplinary procedures more into line with accepted disciplinary
procedures ashore the Code of Conduct was based on the principles outlined in the
ACAS Code of Practice and Procedures in Employment published in 1977.

2. The disciplinary arrangements which backed up the code were based on a

two-tier system - after preliminary shipboard hearings the most serious cases were
referred to shore-based committees comprised of union and employer
representatives. However, the closure of the Merchant Navy Establishment
Administration (MNEA) and termination of National Maritime Board (NMB)
agreements from 30 September, 1990 meant that the system of shore-based
disciplinary committees could no longer continue to operate. In particular the
termination of the various procedures and benefits inherent in the Established
Service Scheme Agreement meant that effective disciplinary sanctions on an
industry-wide basis were no longer available. Nevertheless there was agreement
between representatives of both employers and the maritime unions that the Code
of Conduct for the Merchant Navy was widely accepted and respected within the
shipping industry. Hence so far as shipboard procedures were concerned there was
no reason why a modified version of the Code should not continue to apply.

3. As a result an amended version of the Code was agreed in which all reference to
shore-based disciplinary committees was deleted. Instead it was recognised that the
ultimate sanction under the Code must be dismissal from the company. New
paragraphs were included to emphasise the importance of company review and
appeal procedures ashore. However, the remaining text within the Code covering
shipboard procedures was virtually unchanged. This amended Code was

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subsequently approved by the Department of Transport for use on and after 1
October, 1990. A copy of the revised Code is attached as Annex I to this Guide.

4. Another necessary change following the termination of NMB agreements was

the introduction of a new standard crew agreement form for use on ships formerly
operating under National Maritime Board conditions (form ALC (BSF)1(d)).
Clause (x)(g) of the new agreement specifies that `each seaman agrees to comply
with the Code of Conduct for the Merchant Navy for the time being in force'. It
follows that whenever an individual seafarer signs either the standard agreement,
or a company form which has had a similar clause included, the Code of Conduct
procedures form part of his or her contract of employment.

5. It was a feature of the old shore-based disciplinary committees that they only
had jurisdiction to consider cases relating to Registered and/or Company Service
Contract seafarers as defined in the Established Service Scheme Agreement. The
dismantling of this system meant that the Code of Conduct could be used on any
ship and in respect of any seafarer, provided that an appropriate clause to that
effect was included on the crew agreement form.

THE SANCTIONS BEHIND THE SYSTEM

6. The ultimate sanction on board the ship for a breach of the Code of Conduct is
dismissal from the ship, either at the first convenient port or at the end of the
voyage. Clause (ix)(f) of the standard form of agreement states that `in relation to
an individual seaman this Agreement may be terminated if the Master is satisfied
that an appropriate breach of the Code of Conduct for the Merchant Navy for the
time being in force has occurred'. Dismissal from the ship will lead to considera-
tion by the seafarer's employer whether dismissal should be confirmed, or in the
case of a permanent employee, whether the contract of employment should be
terminated. A seafarer who is dismissed will then have a right of appeal against
termination.

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THE ROLE OF THE MASTER

7. In order to ensure that any seafarer who is subject to disciplinary procedures

whilst signed on a crew agreement is afforded his full contractual right to a fair
disciplinary procedure, and to minimise the risk of a claim for unfair dismissal
against the employer, it is essential that the procedures laid down in the Code of
Conduct and amplified in this Guide be scrupulously followed at all times and
in all circumstances.

8. For the system to work, it is essential for a ship's Master to:

a) make sure that the Heads of Department and other Officers and Petty Officers
are entirely familiar with what they will have to do under the procedures;
b) where a case is referred to him for consideration, ensure that the disciplinary
hearing is properly conducted in accordance with the procedure contained in the
Code of Conduct and with the principles of natural justice. (See Paragraph 9
below)
c) ensure that all the steps of these procedures and all evidence given (by means of
written statements appended to the log) are accurately and comprehensively
recorded in the log book.

NATURAL JUSTICE

9. The requirements of natural justice are that a case must be dealt with fairly in all
the circumstances. To be able to show that the requirements of natural justice have
been met in a particular case it should be possible to show that, during disciplinary
proceedings, the seafarer was clearly informed of the offence which he was alleged
to have committed, that he was given the right to put forward his version of events,
that he was advised of his right to be accompanied by a friend who might advise
him or speak on his behalf, and that a decision on the particular case was reached in
an unbiased manner.

THE KEY PARAGRAPHS OF THE CODE

10. The following are the key paragraphs of the Code:

Paragraph 9 sets out a number of acts of indiscipline any of which, if proved

to the reasonable satisfaction of the Master, could normally be regarded as gross
misconduct i.e. such a serious breach of the Code that dismissal from the ship
would be appropriate;
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 Paragraph 11 lists a number of less serious breaches of the Code which
individually would not justify dismissal but some lesser penalty as described in
Paragraph 10. However, it should be noted that if these breaches are repeated,
this could justify dismissal from the ship. It is therefore equally important to
ensure that the correct procedure is followed in dealing with breaches listed in
this paragraph;

Paragraph 12 describes the procedure for dealing with all breaches of the
Code. It is essential that this procedure is followed on board whenever a breach
of the Code is alleged.

INFORMAL DISCIPLINARY PROCEDURE AT PETTY OFFICER/JUNIOR

OFFICER LEVEL

11. The sole disciplinary measure available at Petty Officer/Junior Officer level is
the informal warning, to be used only in the event of minor breaches of Paragraph
11 of the code. (Informal warnings are also appropriate if a Head of Department
has to deal directly with a minor breach of Paragraph 11.) The essence of an
informal warning is that it is almost always an instantaneous, and always an
unrecorded, penalty for a minor breach of discipline. Normally only the most infor-
mal inquiry will be sufficient for the supervisor to establish the facts of the case. By
way of example, Able Seaman Brown is 10 minutes late turning to. The Bosun
observes this and reprimands Brown when he appears. The incident is then closed -
although the Bosun will, no doubt, make a mental note to watch Brown's
time-keeping in the future. It follows that an informal warning cannot be taken into
account when the penalty for a subsequent breach of discipline is considered,
except insofar as the Petty Officer or junior Officer himself may consider it
relevant to a decision to report a further breach of discipline to the Head of
Department for formal action.

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FORMAL DISCIPLINARY PROCEDURE AT HEAD OF DEPARTMENT
LEVEL

a) Hearing Procedure

12. More serious breaches of Paragraph 11 of the Code call for more formal action
to be taken and should be reported to the Head of Department. When such a breach
is reported to him, a Head of Department should establish the full facts of the case.
If necessary, he should hold an inquiry at which the seafarer, his immediate
superior, and any relevant witnesses are interviewed. Although a formal procedure
is not necessary the following points should be observed:
i) the seafarer has the right to be accompanied by a friend, who may speak on his
behalf;
ii) he may call any witnesses he chooses;
iii) natural justice demands that he should be told from the outset that the purpose
of the interview is to establish whether he has committed a breach of Paragraph
11 of the Code;
iv) although the Head of Department may well wish to make preliminary enquiries
in private, all witnesses - including the seafarer's immediate superior - should be
interviewed in the seafarer's presence, and he should be given the opportunity to
challenge their statements.

13. At the conclusion of the investigation, the Head of Department will decide
whether or not to refer the case to the Master. It is envisaged that, except in ships
with very small crews, the vast majority of minor breaches will be dealt with by the
Head of Department unless an individual's pattern of repeated breaches of the Code
makes it necessary to deal with him more severely. More serious and repeated
breaches of Paragraph 11, and all breaches of Paragraph 9 of the Code, should be
referred to the Master.

14. If the Head of Department decides to deal with the case himself, he must first
decide, having regard to all the evidence which he has heard and nothing else,
whether or not it has been proven on the balance of probabilities that the seafarer
has committed a breach of the Code of Conduct. The test is whether, on the basis of
the evidence that he has heard, it is more likely than not that the seafarer had been
in breach of the Code. If he is not so satisfied he must dismiss the case.

15. If the Head of Department finds the case proven, he should:-

i) advise the seafarer orally of the precise breach of the Code which it has been
found that he has
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 committed;
ii) ask the seafarer whether he has anything further to say;
iii) administer a written warning and record it;
iv) give the seafarer a copy of the record of the formal warning; and obtain his
receipt.

b) Formal Warnings
16. It is suggested that formal warnings should be recorded in the following form:

M.V. 'BRITANNIC'
RECORD OF FORMAL WARNING BY HEAD OF DEPARTMENT
Department DECK NO. 001
Name. .A. Brown Rank/Rating AB Dis. Book No UK 867729 was today
advised that he had been found to be in breach of paragraph 11 b of
the Code of Conduct for the Merchant Navy, in that at 10.20am on 2 nd
January 1993 he refused an order from Bosun P G White to return to
work.
He was formally warned as to his future conduct.
P. Green (Head of Department)
P.G . White (Supervisor)
I acknowledge receipt of this formal warning
J.A Brown (Signed)
Date 2nd January 1993

One copy should be handed to the seafarer, another retained on Disciplinary File,
and a third sent to the employing company.

17. Although the formal warning is the severest penalty for minor breaches of the
Code dealt with by the Head of Department, repeated minor breaches evidenced by
written warnings can still lead to dismissal with all the consequences that will
normally follow that sanction. It is therefore important that each Department should
either maintain a departmental file or have access to a ship's file where written
warnings are recorded, together with a brief synopsis of the evidence which led to
the Head of Department finding the breach proved, and a note of any relevant
remarks made by the seafarer.
DISCIPLINARY PROCEDURE AT MASTER LEVEL

a) General

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18. Virtually every case that is considered by the Master will have been referred to
him by a Head of Department. The Head of Department will normally briefly report
the facts to enable the Master to instigate a full investigation.

19. As soon as a report of an alleged breach of the Code is received by the Master,
he should record this in the official log book, as follows:

0900 12 January, 1993, at sea. Chief Officer P. Green reported that J.A.
Brown, AB, had appeared to have committed a breach of Paragraph 9 of the
Code of Conduct in that at 0820 he had struck Bosun P. G. White and had
been referred to the Master for this allegation to be investigated.

b) Timing of Hearing

20. It is strongly recommended that the Master should endeavour at least to

interview the seafarer within 24 hours of such an allegation being brought to his
notice, unless navigational or operational factors make this impracticable. In such a
case the seafarer should be informed that enquiries will be made into his conduct
and that he will be interviewed again as soon as practicable. In complicated cases
where dismissal is contemplated it may not prove possible to give the case adequate
consideration in one hearing. Nevertheless, the Master should arrive at a decision as
soon as possible, and preferably within a 24 hour period.
c) Hearing Procedure

21. When the seafarer who is alleged to have breached the Code is interviewed by
the Master, he should be told immediately that:-

i) a report has been made alleging that his conduct in respect of a specific act or
omission may amount to a breach of the Code of Conduct for the Merchant
Navy;

ii) the hearing is intended to investigate that report and if it is proved to be

well-founded, an appropriate penalty will be imposed; and

iii) he may be accompanied by a friend, if he so wishes, who may advise him or

speak on his behalf.

22. It may be possible to specify a particular breach of the Code that is under
investigation e.g. "a breach of Paragraph 9 (i) in that he assaulted Bosun P.G.
White". Alternatively, it may be necessary to investigate the facts before a
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particular breach of the Code can be specified. In the former case, it will clearly be
appropriate to ask the seafarer if he admits the offence. If he does admit it, and
claims no mitigating circumstances, it may be possible to decide a penalty and
record it in the log book without further ado.

23. If the seafarer denies his alleged misconduct, or claims that there were
mitigating circumstances, witnesses will need to be questioned in his presence so
that he or his friend may question them. The seafarer must be allowed to make a
statement and may also call witnesses to give evidence on his behalf, who may be
questioned by the Master as well.

24. At the conclusion of the investigation, the Master must decide, having regard to
all the evidence which he has heard and nothing else, whether or not it has been
proved to his reasonable satisfaction that the seafarer has committed a breach of the
Code. If he is not satisfied, he must dismiss that case. The Master does not have to
be satisfied of the guilt of the seafarer `beyond all reasonable doubt'. The test is the
less stringent one of the `balance of probabilities'; whether on the evidence
available, it was more likely than not that the seafarer was guilty of an offence
under the Code of Conduct.

25. If he finds the case proven, the Master should consider whether there are any
mitigating circumstances and take account of the seafarer's previous record in the
ship. He should then decide whether:-

i) to take no disciplinary action; or

ii) to issue either a formal warning or a written reprimand and record this in the
log book; or
iii) to discharge the seafarer either at the earliest possible moment or at the end of
the voyage; and
iv) in addition, in the most serious cases, to advise his company that
consideration should be given to the prosecution of the seafarer in the
criminal courts (see paragraphs 40-43 below).

26. Whatever decision is reached, the Master should inform the seafarer either:-
i) that no breach has been proven and that the case is dismissed; or
ii) that he has found that a specific sub-paragraph of the Code of Conduct was
breached due to a specific act or omission on the seafarer's part.

In the latter event he should also inform the seafarer of his decisions as to penalty.
The seafarer should then be asked whether he has anything further to say.
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d) Log Book Entries

27. A record of each disciplinary hearing, including salient points of evidence and
the Master's decision, must be made in the official log book. Comprehensive entries
accurately recording a fair hearing and a reasonable decision will therefore be
required. These must comply with the requirements of the Merchant Shipping
(Official Log Books) Regulations, 1981 as amended (See Annex ii).

28. The evidence given by witnesses need not normally be recorded in full detail,
but where it is apparent that:-

i) the alleged breach, if proven, would be likely to lead to dismissal; and

ii) there is a substantial conflict of evidence;

detailed notes of evidence given should be taken, and ultimately formed into
written statements to be signed by the witnesses and certified by the Master. These
should be annexed to the log book with an appropriate entry referring to them. Such
detailed statements will also be required if the seafarer is thought to have
committed an act for which prosecution in the criminal courts may be appropriate.

29. Any comments by the seafarer on the Master's decision should be recorded
verbatim, particularly if they are abusive or threatening. Any threatening or violent
actions should be described in detail.

30. The Master may seek such assistance as seems appropriate to him in preparing
these notes - e.g. by a member of the ship's company taking notes. He is
responsible for the efficient conduct of disciplinary procedures in his ship and need
not obtain the consent of the accused.
However, all witnesses should be advised that a note is being made, and any
assistant should be instructed to treat his duties as strictly confidential.

31. An example of a suitable entry in a case where dismissal from the ship might be
appropriate is as follows:

1200 12 January, 1993, at sea.

A disciplinary hearing was held into the allegation reported by Chief Officer
P. Green that J.A. Brown, AB, Dis Book No. UK 867729 had committed a
breach of Paragraph 9(i) of the Code of Conduct in that at 0820 that day he
had struck Bosun P. G. White.
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 This allegation was read by me to Brown, and he was advised of his right to
be accompanied by a friend who might advise him and speak on his behalf,
which he declined to exercise. He admitted striking the Bosun but claimed that
the latter had been harassing him unfairly. (See written statement annexed to
log book.)
Chief Officer P. Green reported that at 0825 the Bosun had shown him a cut
lip and alleged that Brown had hit him. On interviewing Brown immediately
thereafter he had admitted hitting the Bosun but had said that "he had been
getting at me again and I couldn't take any more of it". (Written statement
annexed to log book.)
Bosun P. G. White said that at 0820 he had found that Brown still had not
started work. Upon being ordered to do so Brown had struck him in the
mouth. It was true that he had had cause to warn Brown on a number of
occasions but he had persistently been late starting work and was reluctant to
obey orders. (Written statement annexed to log book.)
Brown was advised that he had been found to be in breach of Paragraph 9(i)
of the Code of Conduct for the Merchant Navy in that he had assaulted Bosun
White at 0820 on 12 January, 1993.
Chief Officer P. Green reported that Brown had previously been given formal
warning as to his conduct on 2 January, 1993.
Brown was accordingly………………. (and here the penalty would be
recorded - see Paragraphs 33, 35 and 37).

The log book entry should be signed by the Master and witnessed by an officer
who was present at the hearing. A copy should be given to the seafarer, who should
acknowledge its receipt.

e) Formal Warnings

32. It is suggested that the following format be used for recording a formal warning
issued by the Master, one copy going to the seafarer, one copy to the employing
company and the third annexed to the log book:

M.V. 'BRITANNIC' RECORD OF FORMAL WARNING BY

MASTER No. 001
Name J.A. Brown Rank/Rating AB Dis. Book No. UK 867729 was today
advised that he had been found to be in breach of Paragraph 9(i) of the Code
of Conduct for the Merchant Navy, in that at 0820 on 12 January, 1993 he
had assaulted Bosun P.G. White.

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 He was formally warned that if his future behaviour did not comply with the
Cod of Conduct for the Merchant Navy he would be liable to be dismissed.
W .G. Gold (Master)
P. Green (Head of Department)
I acknowledge receipt of this formal warning.
J.A. Brown (Signed)
Date 12 January, 1.993

33. It is recommended that the following form of wording be used for recording a
formal warning in the log book:

Brown was formally warned as to his future conduct and notified that his
warning would be recorded in the official log book (see Record of Formal
Warning by Master No. 001 annexed). In reply to this he made no comment.
He was given a copy of the log book entries and of Record of Formal Warning
by Master No. 001 and acknowledged their receipt.

f) Written Reprimands

34. A written reprimand is intended to be the ultimate sanction short of discharge. It

is not necessary for earlier formal or informal warnings to have been given nor for a
written reprimand to be a prerequisite to discharge. A written reprimand should
take the following form, copies of which should be attached to the logbook:

M. V. 'BRITANNIC
WRITTEN REPRIMAND N0.' 002
Name J. A. Brown Rank/Rating AB Dis. Book No. UK867729 was today
advised that he had been found to be in breach of Paragraph 9(i) of the Code
of Conduct for the Merchant Navy, in that at 2300 hours on 15 January, 1993
he had assaulted Chief Cook T. G. Black.
He is hereby reprimanded in writing and formally warned that any further
breach of the Code of Conduct for the Merchant Navy will lead to his
dismissal.
W G. Gold (Master)
P. Green (Head of Department)
I acknowledge receipt of this reprimand.
J. A. Brown (signed)
Date: 16 January, 1993
35. The entry in the logbook should take the following form:
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Brown was given a written reprimand and severely warned as to his future
conduct. On being notified that this written reprimand (see Written
Reprimand No. 002 annexed) would be recorded in the official logbook, he
said "it's all a frame up"and refused to sign acknowledging its receipt or
accept a copy of the log book entries.

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g) Discharge

36. Where the Master has decided that the appropriate penalty would be discharge,
the log extract should state either that the seafarer was discharged from the ship for
this breach or that he was advised that he would be discharged for that reason at the
next convenient port of call or at the end of the voyage. It should also record that
he had been told that the case would be reported to the employing company.

37. In the event of discharge the entry in the logbook should take the following
form:

Brown was advised that he would be discharged from the ship

(immediately/at the next convenient port of call/at the end of the voyage);
and that the case would be reported to the employing company for
appropriate action to be taken in accordance with the Code of Conduct and
recorded in the official log book. He made no comment. He was given a
copy of the log book entries relating to this incident and acknowledged
receipt of them.

38. Upon the discharge of the seafarer, the Master should forward to his employing
company:
a) copies of all relevant log book extracts, including log extracts recording formal
warnings or written reprimands relating to earlier breaches, each endorsed with
the following statement: `We certify this to be a true copy of the entry in the
official log book', signed by the Master and another senior officer;
b) copies of any written statements taken as advised in paragraph 28 above,
similarly endorsed;
c) copies of any earlier written warnings on the departmental or ship's file (see
paragraph 17) similarly endorsed.

h) Repatriation Costs - Deductions from Wages

39. Clause (x)(h) of Crew Agreement form ALC (BSF) 1(d) provides that the
seafarer agrees, in the event of his Agreement being terminated outside the UK
Limited European Trading Area for a breach of the Code, to the deduction from his
wages of an amount being the actual expenses of his repatriation. This deduction
must not exceed one week's pay at the `begin at rate' or base rate as specified

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against the seafarer's name in the crew agreement. The Master should give the
seafarer a notice of deduction and record the deduction in the official log book.

i) Prosecution

40. Masters should bear in mind that, when a breach of the Code also appears to
amount prima facie to an offence under either the general criminal law or Sections
27 or 30 of the Merchant Shipping Act, 1970, as amended by the Merchant
Shipping Acts 1974 and 1988, it is possible to refer a seafarer for prosecution
ashore.

41. The decision to prosecute for an offence under the Merchant Shipping Act will
normally lie with the Department of Transport or the employing company.
Prosecution for other criminal offences will be a matter for the employing company
or the police. It is suggested that the Master should bear in mind that prosecution
may be appropriate in cases of serious assault (certainly where death or serious
injury results); substantial theft of cargo, ship's stores or crew possessions;
possession and/or distribution of restricted drugs; and deliberate, negligent or
drunken acts or omissions that cause the loss, destruction or serious damage to the
ship or the death or serious injury of any person on board. In these cases he should
take the necessary steps to enable a prosecution to be undertaken successfully.

(Note: Seafarers can be prosecuted in the Courts even if the breach of the Code
which constitutes the alleged offence has been dealt with under the Code of
Conduct and/or company disciplinary procedures.)

42. To make it possible for a seafarer to be prosecuted the Master should:-

i) warn the seafarer accordingly;
ii) add to any relevant log book entry recording the outcome of shipboard
disciplinary proceedings:
Brown was further warned that the company might either bring the
details of this incident to the attention of the (Department of
Transport)/(police) with a view to prosecution, or initiate a prosecution
upon his return to the United Kingdom.
Log book extracts should be detailed, and should record any admissions by the
seafarer;
iii) ensure that detailed written statements from all witnesses are prepared,
certified and forwarded with the other documentation indicated in paragraph
38;

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iv) advise the company of the possibility of prosecution, as far as possible with
full supporting documentation, sufficiently far in advance of repatriation for
appropriate reception arrangements to be made.

43. It will fall to the company to decide whether to refer the matter to the police or
to take any other appropriate action. The Department of Transport will also
consider the matter, and will take into account any action already taken by the
company or the police.

DISCIPLINARY PROCEDURES WHEN THE SEAFARER IS ABSENT

a) Failure to join or Rejoin

44. Failure to join or rejoin the ship is a breach of clause x(a) of the crew
agreement, not a breach of Paragraph 9 of the Code of Conduct. (Under existing
Regulations a deduction from wages of up to £200 can be made in respect of any
expenses incurred through this default.) However, if a seafarer is absent without
leave and fails to join or rejoin his ship he is covered by Code of Conduct
procedures, except where he has not signed the crew agreement. The reasons for his
absence from the ship should be investigated, as far as possible following the
sequence laid down in paragraphs 20 to 26. Written statements should be taken
from all material witnesses and appropriate entries made in the official log book.
The case should then be reported to the company in accordance with paragraph 38.
Copies of the report and supporting documentation should be sent by post to the
seafarer's home address. Should the absent seafarer subsequently rejoin the ship at a
later port of call the company should be notified accordingly.

45. Where a seafarer fails to join or rejoin when off the crew agreement an
appropriate entry should be made in the official logbook, and the seafarer reported
to the company.

b) Advanced Discharge

46. When a seafarer, against whom disciplinary procedures on board his ship for an
alleged breach of Paragraph 9 of the Code of Conduct are ending, frustrates these
procedures before a full investigation can take place e.g. by failure to join or rejoin
or by invoking a notice clause in the crew agreement, or by any other means, the

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case should be investigated in his absence and a report made. The procedure to be
followed is that described in paragraph 44 above.

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 Annex i
REVISED CODE EFFECTIVE FROM 21 OCTOBER 1994

CODE OF CONDUCT FOR THE MERCHANT NAVY

Each time you sign a new crew agreement you are agreeing to observe the Code of
Conduct for the Merchant Navy. This Code has been agreed between the National
Union of Marine, Aviation and Shipping Transport Officers (NUMAST), the
National Union of Rail, Maritime and Transport Workers (RMT) and the Chamber
of Shipping (CoS), and approved by the Department of Transport.

The Code is printed in this leaflet. Please read it carefully. Any questions you may
have should be referred to your supervisor or head of department, or to an official of
your union.

CODE OF CONDUCT FOR THE MERCHANT NAVY

1. Seafaring is a civilian occupation which places upon those who go to sea
demands not found in industry ashore. Seafarers are called upon to spend not only
their working hours but their leisure hours too in the confined environment of a ship
and with the same individuals for company. It might be said that they are more
susceptible to the stresses and strains of everyday life than their fellows ashore. In
this environment, the need for discipline and behaviour assumes a particular
importance. However, disciplinary procedures should not be viewed primarily as a
means of imposing sanctions. They are also designed to emphasise and encourage
improvements in individual conduct.

2. The most effective form of discipline is self-discipline, which in turn springs

from a responsible attitude to the job, whatever it may be, and concern for the
efficient operation of the ship and for the comfort and convenience of fellow crew
members. Failures of self-discipline which occur will have to be dealt with by
reference to an imposed framework of discipline or Code of Conduct. This
document sets out such a Code, containing the basic rules of reasonable behaviour
expected of all Officers and Ratings. It has been drawn up by the organisations
representing the seafarers and the employers and approved by the Secretary of State
for Transport. Observance of it will make seafaring a better and more rewarding job
for all those involved and will help to secure the safety of everybody aboard. Rules
drawn up by shipping companies, and Masters' Standing Orders relating to conduct
aboard ship, should not conflict with this Code.

Page 17 of 25
 3. Orders must be given and obeyed if a ship is to operate safely and efficiently. Co-
operation cannot be imposed but will normally be readily forthcoming if it is
immediately apparent to the recipient of an girder that the order is a reasonable one
or, if it is not so apparent, if a reasonable request for an explanation of the necessity
for the order is acceded to. At the same time wilful or repeated refusal to comply
with reasonable orders or other anti-social behaviour must be expected to have
certain consequences.

4. An important factor in securing co-operation, which cannot be too strongly

stressed, is good communications. This applies both to communications between a
company's shore-based administration and the ship and to communications within
the ship itself. If all concerned are kept as fully informed as possible about the
company's policies and objectives and can be made to feel that they have a personal
stake in :he successful outcome of the voyage upon which they are engaged,
co-operation and harmony will be much more readily assured than by a theirs is not
to reason why' attitude.

Conduct in Emergencies

5. In any emergency or other situation in which the safety of the ship or of any
person on board her, whether crew or passengers, is at stake the Master, Officers
and Petty Officers are entitled to look for immediate and unquestioning obedience
of orders. There can be no exception to this rule. Failure to comply will be treated
as among the most serious of breaches of this Code and will be liable to lead to the
offender's dismissal from the ship (at the first opportunity) and his Company. It may
also warrant prosecution under the provisions of the Merchant Shipping Acts.

Conduct in Situations other than Emergencies

6. Emergencies are fortunately rare and this document is primarily concerned with
the day-to-day situation on board. It should be borne in mind, however, that certain
acts of misconduct (e.g. absence from place of duty or heavy drinking) could have
the effect of causing a state of emergency. The following paragraph sets out some
broad general rules for everyday conduct.
7.

a) PUNCTUALITY is very important both for the efficient operation of the ship
and to avoid putting extra work on shipmates. This is true of joining the vessel at
the time appointed, returning from shore leave, reporting for watch-keeping duty

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 and all other work. Absence at the time of sailing, in particular, may seriously
delay the ship or even prevent her sailing until a replacement is found.

b) DRUGS. The unlawful possession or distribution of drugs by any person on

board ship renders him liable to dismissal as well as possible legal proceedings
either in the UK or over-seas. It should be borne in mind that, in some countries,
certain drugs offences carry a sentence of capital punishment.

c) DRINKING. There should be ship's rules about bringing intoxicating liquor on

board and they should be understood and strictly observed. Where facilities for
drinking on board are provided, they should not be abused. Bar rules should be
strictly adhered to.

d) BRINGING UNAUTHORISED PERSONS ON BOARD. The ship's rules or

port authority's restrictions on bringing unauthorised persons on board must be
strictly observed.

e) OFFENSIVE WEAPONS. These must not be brought on board.

f) SMOKING IN PROHIBITED AREAS is dangerous on any ship but

particularly on tankers, liquid gas carriers and vessels carrying explosive or
inflammable materials. The ship's rules controlling smoking and the use of naked
lights or unapproved electric torches must be scrupulously obeyed.

g) DUTIES. Every member of the crew should carry out his duties efficiently to
the best of his ability. He is entitled to be informed clearly what his duties are and
to whom he is responsible for carrying them out. If he is in doubt he should ask.
Within the scope of his duties, reasonable commands and instructions must be
obeyed.

h) TREATMENT OF ACCOMMODATION. For the duration of the voyage the

ship is not only the seafarer's place of work but also his home. Accommodation
and other facilities, whether provided for his personal use or to be shared with
others, should therefore be treated with respect.

i) BEHAVIOUR TOWARDS OTHERS. Anti-social behaviour can cause a

seafarer to become a nuisance to others on board and in extreme circumstances
can hazard the ship and the crew. This can include not only excessive drinking but
also such behaviour as causing excessive noise, abusive language, sexual

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 harassment, aggressive attitudes and offensive personal habits. The fact that some
need to sleep whilst others are awake should also be borne in mind.

Dealing with Breaches of the Code

3. It is necessary to have a procedure for dealing with breaches of this Code of

Conduct backed by appropriate sanctions. These may range, according to the
seriousness of the breach, from informal warnings for the most minor breaches,
through various grades of formal warning including reprimands, to dismissal from
the ship. Seafarers are subject to the general law of the United Kingdom and for
certain offences, prejudicial to the safety of the ship or those on board, there
remains a liability to prosecution in the Courts under the relevant sections of the
Merchant Shipping Acts. There are, at present, Sections 27 and 30 of the Merchant
Shipping Act, 1970, as amended by the Merchant Shipping Acts, 1974 and 1988.

9. The following acts of misconduct, if proved to the reasonable satisfaction of the

Master to have been committed, are those for which dismissal from the ship either
immediately or at the end of the voyage will, according to the circumstances of the
case, be considered appropriate apart from any legal action which may be called for:

i) assault;
ii) wilful damage to ship or any property on board;
iii) theft or possession of stolen property;
iv) possession of offensive weapons;
v) persistent or wilful failure to perform duty;
vi) unlawful possession or distribution of drugs;
vii) conduct endangering the ship or persons on board;
viii) combination with others at sea to impede the progress of the voyage or
navigation of the ship;
ix) disobedience of orders relating to safety of the ship or any person on board;
x) to be asleep on duty or fail to remain on duty, if such conduct would prejudice
the safety of the ship or any person on board;
xi) incapacity through the influence of drink or drugs to carry out duty to the
prejudice of the safety of the ship or of any person on board;
xii) to smoke, use a naked light or an unapproved electric torch in any part of a
ship carrying dangerous cargo or stores where smoking or the use of naked
lights or unapproved torches is prohibited;
xiii) intimidation, coercion and/or interference with the work of other employees;
xiv) behaviour which seriously detracts from the safe and/or efficient working of
the ship;
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xv) conduct of a sexual nature, or other conduct based on sex affecting the dignity
of women and men at work which is unwanted, unreasonable and offensive to
the recipient;
xvi) behaviour which seriously detracts from the social well-being of any other
person on board;
xvii) causing or permitting unauthorised persons to be on board the ship whilst it is
at sea;
xviii) repeated commission of breaches of a lesser degree listed in Paragraph 11 after
warnings have been given in accordance with the procedures in Paragraph 10.

10. Breaches of a lesser degree of seriousness may be dealt with by:

a) informal warning administered at an appropriate level lower than that of the

Master;
b) formal warning by the Head of Department which will be suitably recorded;
c) formal warnings by the Master recorded in the ship's official logbook;
d) written reprimands administered by the Master and recorded in the ship's official
logbook.

When a formal warning is given the seafarer should be advised of the likely
consequences of further breaches of the Code.

11. Breaches of the Code, if proved to the reasonable satisfaction of the Master,
Officer, or Petty Officer to have been committed, for which the procedure in
Paragraph 10 is considered appropriate, are:

a) offences of the kind described at Paragraph 9, which are not considered to justify
dismissal in the particular circumstances of the case;
b) minor acts of negligence, neglect of duty, disobedience and assault;
c) unsatisfactory work performance;
d) poor time keeping;
e) stopping work before the authorised time;
f) failure to report to work without satisfactory reason;
g) absence from place of duty or from the ship without leave;
h) offensive or disorderly behaviour.
N OTE: Whilst Paragraph 11 has been made as comprehensive as possible, it is
recognised that some companies may wish to propose additions related to their
particular trading patterns. Proposals for such additions should be submitted,
after agreement with the organisations representing the seafarers concerned, to
the Department of Transport for approval.
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 Procedures for dealing with breaches of the Code

12.

a) A seafarer who is alleged to have breached the Code will be seen in the first
instance by a Petty Officer or Officer designated by the Master. If the Petty
Officer or Officer is satisfied that no further action is called for or that the breach,
although proved, calls for no more than an informal warning of the kind referred
to at Paragraph 10(a) above, he will proceed accordingly and the matter will there
after be regarded as closed.
b) If the offence is of a more serious nature or is a repetition of a similar minor
offence, a formal warning will be given and the fact suitably recorded.
Alternatively, the case may be referred to the Master; any offence falling under
Paragraph 9 must be referred to him.

c) The Master will deal with cases referred to him with the minimum of delay. He
will inform the seafarer of the alleged breach giving him the opportunity to say
whether he admits it, to call any witnesses and to question them on their evidence
and to make any statement he wishes in answer to the alleged breach including
any comments on the evidence produced against him.
d) After a careful and thorough investigation and having considered all the evidence
the Master will orally inform the seafarer whether or not he finds that the seafarer
committed the alleged breach.
e) If he finds that the seafarer did commit the alleged breach, he will impose a
penalty which he considers to be reasonable in all the circumstances, taking into
account the seafarer's record on the ship and any other relevant factors. He may
announce:
i) that he is giving a warning; or
ii) that he is giving a written reprimand; and/or
iii) that the seafarer will be dismissed from the ship. If the Master decides that
the continued presence of the offender on board would be detrimental to the
efficient and safe running of the ship or to the maintenance of harmonious
personal relations on board, he may arrange for dismissal to take place at
the next port of call for repatriation to the United Kingdom.
f) The Master will enter details of the breach and the action taken in the official
log.
g) The seafarer shall be given a copy of all entries made in the logbook relating to
his breach of this Code and shall acknowledge receipt.

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h) The seafarer shall be given a copy of any report made to the company which
directly relates to the incident for which the seafarer is subject to disciplinary
action.
i) A seafarer shall have the right to be accompanied by a friend, who may advise
him and speak on his behalf, whenever an alleged breach of this Code is being
considered against him.

Dismissals
13. In the event of dismissal from the ship, the shipping company or employer of
the seafarer will convene a hearing ashore to review the circumstances of the
seafarer's dismissal and decide whether dismissal should be confirmed or, in the
case of a permanent employee, to decide whether the contract of employment
should be terminated. If so requested by the seafarer an official of the appropriate
seafarers' union or a fellow employee will be invited to be present at the hearing
which should normally take place within 5 working days of dismissal from the ship
in the UK, or within 5 working days of arrival in the UK if dismissed abroad.
14. The seafarer will be advised in writing of the outcome of the hearing. Where
dismissal is confirmed or the seafarer's contract is terminated he will be advised of
the time-limits within which any appeal against the dismissal should be lodged.
(Normally within 14 days). Any such appeal will normally be to a higher level of
authority within
the company.
15. The procedures outlined in paragraphs 13 and 14 may be amended in
accordance with local circumstances should this be agreed to be the company and
the relevant seafarer's union.
16. Nothing in this Code of Conduct shall be read as negating any seafarer's right to
bring an unfair dismissal claim before an Industrial Tribunal as provided in the
Employment Protection (Consolidation) Act, 1978.

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 Annex ii

THE MERCHANT SHIPPING (OFFICIAL LOG BOOKS)

REGULATIONS 1981 AS AMENDED BY THE
MERCHANT
SHIPPING (OFFICIAL LOG BOOKS)
(AMENDMENT) REGULATIONS 1991

The Schedule

Entries Required to be made in the Official Log Books kept in Ships

Registered in the United Kingdom not exempted from the
Requirements of section 68 of the Merchant Shipping Act 1970 by
Regulation 2

Paragraph 30

Column 1 : Particulars of Entry

When a seamen is alleged to have committed a breach of a code of conduct

promulgated by the employer and that breach is such that the penalties include the
option of dismissal from the ship, a record of such of the following particulars as
are relevant

a) the nature of the allegation;

b) the name of the person against whom the allegation is made;
c) that the master has read the allegation to the seaman;
d) that the master has advised the seaman of his right to be accompanied by a
friend who may advise him and speak on his behalf;
e) i) if the seaman admits the allegation, a statement that he admits it;
ii) in any other case, a statement that he does not admit the allegation;
f) i)any statement made by the seaman, or by his friend on behalf of the seaman, in
answer to the allegation;
ii)that he declines to make a statement in answer to the allegation:
g) that the master has given a formal warning to the seaman;
h) that the master has given a written reprimand to the seaman;
i) that the master has informed the seaman that he will be dismissed from the ship
either at the first opportunity or at the end of the voyage and that the matter will
be referred to a shore-based disciplinary committee

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j) that the seaman has been given, and has acknowledged receipt of, a copy of all
entries made in the official log book relating to his breach of the Code, together
with a copy of any report made to a shore-based disciplinary committee.

Column 2 : Signatory
The Master

Column 3 : Witness
A member of the crew other than the seaman named in an entry under
sub-paragraph (b) of this paragraph.

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