CODE OF CONDUCT FOR THE MERCHANT NAVY Master's Guide to Shipboard Discip i!

ar" #rocedures
$AC%GROUND 1. The disciplinary arrangements which are part of the Code of Conduct for the Merchant Navy were first introduced on UK ships subject to National Maritime oard conditions on 1 !anuary" 1#$# when they replaced the provisions contained in the Merchant Navy %isciplinary &ffences' (egulations 1#$). These latter regulations gave since been repealed. *t 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. ,owever" 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 *C*- Code of .ractice and .rocedures in /mployment published in 1#$$. ). The disciplinary arrangements which bac0ed 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. ,owever" the closure of the Merchant Navy /stablishment *dministration 1MN/*' and termination of National Maritime oard 1NM ' agreements from 23 -eptember" 1##3 meant that the system of shore+based disciplinary committees could no longer continue to operate. 4n particular the termination of the various procedures and benefits inherent in the /stablished -ervice -cheme *greement 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. ,ence so far as shipboard procedures were concerned there was no reason why a modified version of the Code should not continue to apply. 2. *s a result an amended version of the Code was agreed in which all reference to shore+based disciplinary committees was deleted. 4nstead 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. ,owever" the remaining te5t within the Code covering shipboard procedures was virtually unchanged. This amended Code was subse6uently approved by the %epartment of Transport for use on and after 1 &ctober" 1##3. * copy of the revised Code is attached as *nne5 4 to this 7uide. 8. *nother necessary change following the termination of NM agreements was the introduction of a new standard crew agreement form for use on ships formerly operating under National Maritime oard conditions 1form *9C 1 -:'11d''. Clause 15'1g' 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<. 4t 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. =. 4t was a feature of the old shore+based disciplinary committees that they only had jurisdiction to consider cases relating to (egistered and>or Company -ervice Contract seafarers as defined in the /stablished -ervice -cheme *greement. 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 SANCT&ONS $EH&ND THE SYSTEM
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?. 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 1i5'1f' of the standard form of agreement states that ;in relation to an individual seaman this *greement 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<. %ismissal 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. * seafarer who is dismissed will then have a right of appeal against termination.

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THE RO,E OF THE MASTER $. 4n 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 ris0 of a claim for unfair dismissal against the employer" it is essential that the procedures laid down in the Code o) Co!duct a!d a-p i)ied i! this Guide be scrupu ous " )o o.ed at a ti-es a!d i! a circu-sta!ces/ @. :or the system to wor0" it is essential for a ship<s Master toA a' ma0e sure that the ,eads of %epartment and other &fficers and .etty &fficers are entirely familiar with what they will have to do under the proceduresB 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. 1-ee .aragraph # below' c' ensure that all the steps of these procedures and all evidence given 1by means of written statements appended to the log' are accurately and comprehensively recorded in the log boo0. NATURA, 0UST&CE #. The re6uirements of natural justice are that a case must be dealt with fairly in all the circumstances. To be able to show that the re6uirements 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 spea0 on his behalf" and that a decision on the particular case was reached in an unbiased manner. THE %EY #ARAGRA#HS OF THE CODE 13.The following are the 0ey paragraphs of the CodeA #ara'raph 1 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 appropriateB #ara'raph (( lists a number of less serious breaches of the Code which individually would not justify dismissal but some lesser penalty as described in .aragraph 13. ,owever" it should be noted that if these breaches are repeated" this could justify dismissal from the ship. 4t is therefore e6ually important to ensure that the correct procedure is followed in dealing with breaches listed in this paragraphB #ara'raph (+ describes the procedure for dealing with all breaches of the Code. 4t is essential that this procedure is followed on board whenever a breach of the Code is alleged. &NFORMA, D&SC&#,&NARY #ROCEDURE AT #ETTY OFF&CER20UN&OR OFF&CER ,EVE, 11. The sole disciplinary measure available at .etty &fficer>!unior &fficer level is the informal warning" to be used only in the event of minor breaches of .aragraph 11 of the code. 14nformal warnings are also appropriate if a ,ead of %epartment has to deal directly with a minor breach of .aragraph 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 informal in6uiry will be sufficient for the supervisor to establish the facts of the case. y way of
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e5ample" *ble -eaman rown is 13 minutes late turning to. The osun observes this and reprimands rown when he appears. The incident is then closed + although the osun will" no doubt" ma0e a mental note to watch rown<s time+0eeping in the future. 4t follows that an informal warning cannot be ta0en into account when the penalty for a subse6uent breach of discipline is considered" e5cept insofar as the .etty &fficer or junior &fficer himself may consider it relevant to a decision to report a further breach of discipline to the ,ead of %epartment for formal action.

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FORMA, D&SC&#,&NARY #ROCEDURE AT HEAD OF DE#ARTMENT ,EVE, a5 Heari!' #rocedure 1). More serious breaches of .aragraph 11 of the Code call for more formal action to be ta0en and should be reported to the ,ead of %epartment. Chen such a breach is reported to him" a ,ead of %epartment should establish the full facts of the case. 4f necessary" he should hold an in6uiry at which the seafarer" his immediate superior" and any relevant witnesses are interviewed. *lthough a formal procedure is not necessary the following points should be observedA i' the seafarer has the right to be accompanied by a friend" who may spea0 on his behalfB ii' he may call any witnesses he choosesB 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 .aragraph 11 of the CodeB iv' although the ,ead of %epartment may well wish to ma0e preliminary en6uiries 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. 12. *t the conclusion of the investigation" the ,ead of %epartment will decide whether or not to refer the case to the Master. 4t is envisaged that" e5cept in ships with very small crews" the vast majority of minor breaches will be dealt with by the ,ead of %epartment unless an individual<s pattern of repeated breaches of the Code ma0es it necessary to deal with him more severely. More serious and repeated breaches of .aragraph 11" and all breaches of .aragraph # of the Code" should be referred to the Master. 18. 4f the ,ead of %epartment 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 heard6 it is more li0ely than not that the seafarer had been in breach of the Code. 4f he is not so satisfied he must dismiss the case. 1=. 4f the ,ead of %epartment finds the case proven" he shouldA+ i) advise the seafarer orally of the precise breach of the Code which it has been found that he has committedB ii) as0 the seafarer whether he has anything further to sayB iii) administer a written warning and record itB iv) give the seafarer a copy of the record of the formal warningB and obtain his receipt. b5 For-a 7ar!i!'s 1?. 4t is suggested that formal warnings should be recorded in the following formA M.V. 'BRITANNIC' RECORD OF FORMAL WARNING BY HEAD OF DEPARTMENT Department DECK NO. 00 Name. .A. Br!"n Ran#$Rat%n& AB D%'. B!!# N! (K )*++,- "a' t!.a/ a.0%'e. t1at 1e 1a. 2een 3!4n. t! 2e %n 2rea51 !3 para&rap1 2 !3 t1e C!.e !3 C!n.45t 3!r t1e Mer51ant Na0/6 %n t1at at 0.,0am !n , n. 7an4ar/ --8 1e re34'e. an !r.er 3r!m B!'4n P G W1%te t! ret4rn t! "!r#. He "a' 3!rma99/ "arne. a' t! 1%' 34t4re 5!n.45t. P. Green :Hea. !3 Department; P.G . W1%te :<4per0%'!r; I a5#n!"9e.&e re5e%pt !3 t1%' 3!rma9 "arn%n&
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7.A Br!"n :<%&ne.;

Date ,n. 7an4ar/ --8

&ne copy should be handed to the seafarer" another retained on %isciplinary :ile" and a third sent to the employing company. 1$. *lthough the formal warning is the severest penalty for minor breaches of the Code dealt with by the ,ead of %epartment" repeated minor breaches evidenced by written warnings can still lead to dismissal with all the conse6uences that will normally follow that sanction. 4t is therefore important that each %epartment 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 ,ead of %epartment finding the breach proved" and a note of any relevant remar0s made by the seafarer. D&SC&#,&NARY #ROCEDURE AT MASTER ,EVE, a5 Ge!era 1@. Dirtually every case that is considered by the Master will have been referred to him by a ,ead of %epartment. The ,ead of %epartment will normally briefly report the facts to enable the Master to instigate a full investigation. 1#. *s soon as a report of an alleged breach of the Code is received by the Master" he should record this in the official log boo0" as followsA 0-00 , 7an4ar/6 --86 at 'ea. C1%e3 O33%5er P. Green rep!rte. t1at 7.A. Br!"n6 AB6 1a. appeare. t! 1a0e 5!mm%tte. a 2rea51 !3 Para&rap1 - !3 t1e C!.e !3 C!n.45t %n t1at at 0),0 1e 1a. 'tr45# B!'4n P. G. W1%te an. 1a. 2een re3erre. t! t1e Ma'ter 3!r t1%' a99e&at%!n t! 2e %n0e't%&ate.. b5 Ti-i!' o) Heari!' )3. 4t is strongly recommended that the Master should endeavour at least to interview the seafarer within )8 hours of such an allegation being brought to his notice" unless navigational or operational factors ma0e this impracticable. 4n such a case the seafarer should be informed that en6uiries will be made into his conduct and that he will be interviewed again as soon as practicable. 4n complicated cases where dismissal is contemplated it may not prove possible to give the case ade6uate consideration in one hearing. Nevertheless" the Master should arrive at a decision as soon as possible" and preferably within a )8 hour period. c5 Heari!' #rocedure )1. Chen the seafarer who is alleged to have breached the Code is interviewed by the Master" he should be told immediately thatA+
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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 NavyB the hearing is intended to investigate that report and if it is proved to be well+founded" an appropriate penalty will be imposedB and he may be accompanied by a friend" if he so wishes" who may advise him or spea0 on his behalf.

ii)

iii)

)). 4t may be possible to specify a particular breach of the Code that is under investigation e.g. Ea breach of .aragraph # 1i' in that he assaulted osun ..7. ChiteE. *lternatively" it may be necessary to investigate the facts before a particular breach of the Code can be specified. 4n the former case" it will clearly be
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appropriate to as0 the seafarer if he admits the offence. 4f he does admit it" and claims no mitigating circumstances" it may be possible to decide a penalty and record it in the log boo0 without further ado. )2. 4f the seafarer denies his alleged misconduct" or claims that there were mitigating circumstances" witnesses will need to be 6uestioned in his presence so that he or his friend may 6uestion them. The seafarer must be allowed to ma0e a statement and may also call witnesses to give evidence on his behalf" who may be 6uestioned by the Master as well. )8. *t 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. 4f 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<B whether on the evidence available" it was more li0ely than not that the seafarer was guilty of an offence under the Code of Conduct. )=. 4f he finds the case proven" the Master should consider whether there are any mitigating circumstances and ta0e account of the seafarer<s previous record in the ship. ,e should then decide whetherA+
i) ii) iii) iv)

to ta0e no disciplinary actionB or to issue either a formal warning or a written reprimand and record this in the log boo0B or to discharge the seafarer either at the earliest possible moment or at the end of the voyageB and 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 1see paragraphs 83+82 below'.

)?. Chatever decision is reached" the Master should inform the seafarer eitherA+ i) that no breach has been proven and that the case is dismissedB 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. 4n the latter event he should also inform the seafarer of his decisions as to penalty. The seafarer should then be as0ed whether he has anything further to say. d5 ,o' $oo: E!tries )$. * record of each disciplinary hearing" including salient points of evidence and the Master<s decision" must be made in the official log boo0. Comprehensive entries accurately recording a fair hearing and a reasonable decision will therefore be re6uired. These must comply with the re6uirements of the Merchant -hipping 1&fficial 9og oo0s' (egulations" 1#@1 as amended 1-ee *nne5 ii'. )@. The evidence given by witnesses need not normally be recorded in full detail" but where it is apparent thatA+
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the alleged breach" if proven" would be li0ely to lead to dismissalB and there is a substantial conflict of evidenceB

detailed notes of evidence given should be ta0en" and ultimately formed into written statements to be signed by the witnesses and certified by the Master. These should be anne5ed to the log boo0 with an appropriate entry referring to them. -uch
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detailed statements will also be re6uired if the seafarer is thought to have committed an act for which prosecution in the criminal courts may be appropriate. )#. *ny comments by the seafarer on the Master<s decision should be recorded verbatim" particularly if they are abusive or threatening. *ny threatening or violent actions should be described in detail. 23. The Master may see0 such assistance as seems appropriate to him in preparing these notes + e.g. by a member of the ship<s company ta0ing notes. ,e is responsible for the efficient conduct of disciplinary procedures in his ship and need not obtain the consent of the accused. ,owever" all witnesses should be advised that a note is being made" and any assistant should be instructed to treat his duties as strictly confidential. 21. *n e5ample of a suitable entry in a case where dismissal from the ship might be appropriate is as followsA ,00 , 7an4ar/6 --86 at 'ea. A .%'5%p9%nar/ 1ear%n& "a' 1e9. %nt! t1e a99e&at%!n rep!rte. 2/ C1%e3 O33%5er P. Green t1at 7.A. Br!"n6 AB6 D%' B!!# N!. (K )*++,- 1a. 5!mm%tte. a 2rea51 !3 Para&rap1 -:%; !3 t1e C!.e !3 C!n.45t %n t1at at 0),0 t1at .a/ 1e 1a. 'tr45# B!'4n P. G. W1%te. T1%' a99e&at%!n "a' rea. 2/ me t! Br!"n6 an. 1e "a' a.0%'e. !3 1%' r%&1t t! 2e a55!mpan%e. 2/ a 3r%en. "1! m%&1t a.0%'e 1%m an. 'pea# !n 1%' 2e1a936 "1%51 1e .e59%ne. t! e=er5%'e. He a.m%tte. 'tr%#%n& t1e B!'4n 24t 59a%me. t1at t1e 9atter 1a. 2een 1ara''%n& 1%m 4n3a%r9/. :<ee "r%tten 'tatement anne=e. t! 9!& 2!!#.; C1%e3 O33%5er P. Green rep!rte. t1at at 0),> t1e B!'4n 1a. '1!"n 1%m a 54t 9%p an. a99e&e. t1at Br!"n 1a. 1%t 1%m. On %nter0%e"%n& Br!"n %mme.%ate9/ t1erea3ter 1e 1a. a.m%tte. 1%tt%n& t1e B!'4n 24t 1a. 'a%. t1at ?1e 1a. 2een &ett%n& at me a&a%n an. I 5!49.n't ta#e an/ m!re !3 %t?. :Wr%tten 'tatement anne=e. t! 9!& 2!!#.; B!'4n P. G. W1%te 'a%. t1at at 0),0 1e 1a. 3!4n. t1at Br!"n 't%99 1a. n!t 'tarte. "!r#. (p!n 2e%n& !r.ere. t! .! '! Br!"n 1a. 'tr45# 1%m %n t1e m!4t1. It "a' tr4e t1at 1e 1a. 1a. 5a4'e t! "arn Br!"n !n a n4m2er !3 !55a'%!n' 24t 1e 1a. per'%'tent9/ 2een 9ate 'tart%n& "!r# an. "a' re945tant t! !2e/ !r.er'. :Wr%tten 'tatement anne=e. t! 9!& 2!!#.; Br!"n "a' a.0%'e. t1at 1e 1a. 2een 3!4n. t! 2e %n 2rea51 !3 Para&rap1 -:%; !3 t1e C!.e !3 C!n.45t 3!r t1e Mer51ant Na0/ %n t1at 1e 1a. a''a49te. B!'4n W1%te at 0),0 !n , 7an4ar/6 --8. C1%e3 O33%5er P. Green rep!rte. t1at Br!"n 1a. pre0%!4'9/ 2een &%0en 3!rma9 "arn%n& a' t! 1%' 5!n.45t !n , 7an4ar/6 --8. Br!"n "a' a55!r.%n&9/@@@@@@. :an. 1ere t1e pena9t/ "!49. 2e re5!r.e. A 'ee Para&rap1' 886 8> an. 8+;. The log boo0 entry should be signed by the Master and witnessed by an officer who was present at the hearing. * copy should be given to the seafarer" who should ac0nowledge its receipt. e5 For-a 7ar!i!'s 2). 4t 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 anne5ed to the log boo0A M.V. 'BRITANNIC' RECORD OF FORMAL WARNING BY MA<TER N!. 00 Name 7.A. Br!"n Ran#$Rat%n& AB D%'. B!!# N!. (K )*++,- "a' t!.a/ a.0%'e. t1at 1e 1a. 2een 3!4n. t! 2e %n 2rea51 !3 Para&rap1 -:%; !3 t1e C!.e !3 C!n.45t 3!r t1e Mer51ant Na0/6 %n t1at at 0),0 !n , 7an4ar/6 --8 1e 1a. a''a49te. B!'4n P.G. W1%te.
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He "a' 3!rma99/ "arne. t1at %3 1%' 34t4re 2e1a0%!4r .%. n!t 5!mp9/ "%t1 t1e C!. !3 C!n.45t 3!r t1e Mer51ant Na0/ 1e "!49. 2e 9%a29e t! 2e .%'m%''e.. W .G. G!9. :Ma'ter; P. Green :Hea. !3 Department; I a5#n!"9e.&e re5e%pt !3 t1%' 3!rma9 "arn%n&. 7.A. Br!"n :<%&ne.; Date , 7an4ar/6 .--8 22. 4t is recommended that the following form of wording be used for recording a formal warning in the log boo0A Br!"n "a' 3!rma99/ "arne. a' t! 1%' 34t4re 5!n.45t an. n!t%3%e. t1at 1%' "arn%n& "!49. 2e re5!r.e. %n t1e !33%5%a9 9!& 2!!# :'ee Re5!r. !3 F!rma9 Warn%n& 2/ Ma'ter N!. 00 anne=e.;. In rep9/ t! t1%' 1e ma.e n! 5!mment. He "a' &%0en a 5!p/ !3 t1e 9!& 2!!# entr%e' an. !3 Re5!r. !3 F!rma9 Warn%n& 2/ Ma'ter N!. 00 an. a5#n!"9e.&e. t1e%r re5e%pt. )5 7ritte! Repri-a!ds 28. * written reprimand is intended to be the ultimate sanction short of discharge. 4t is not necessary for earlier formal or informal warnings to have been given nor for a written reprimand to be a prere6uisite to discharge. * written reprimand should ta0e the following form" copies of which should be attached to the logboo0A M. V. 'BRITANNIC WRITTEN REPRIMAND N0.' 00, Name 7. A. Br!"n Ran#$Rat%n& AB D%'. B!!# N!. (K)*++,- "a' t!.a/ a.0%'e. t1at 1e 1a. 2een 3!4n. t! 2e %n 2rea51 !3 Para&rap1 -:%; !3 t1e C!.e !3 C!n.45t 3!r t1e Mer51ant Na0/6 %n t1at at ,800 1!4r' !n > 7an4ar/6 --8 1e 1a. a''a49te. C1%e3 C!!# T. G. B9a5#. He %' 1ere2/ repr%man.e. %n "r%t%n& an. 3!rma99/ "arne. t1at an/ 34rt1er 2rea51 !3 t1e C!.e !3 C!n.45t 3!r t1e Mer51ant Na0/ "%99 9ea. t! 1%' .%'m%''a9. W G. G!9. :Ma'ter; P. Green :Hea. !3 Department; I a5#n!"9e.&e re5e%pt !3 t1%' repr%man.. 7. A. Br!"n :'%&ne.; DateB * 7an4ar/6 --8 2=. The entry in the logboo0 should ta0e the following formA Br!"n "a' &%0en a "r%tten repr%man. an. 'e0ere9/ "arne. a' t! 1%' 34t4re 5!n.45t. On 2e%n& n!t%3%e. t1at t1%' "r%tten repr%man. :'ee Wr%tten Repr%man. N!. 00, anne=e.; "!49. 2e re5!r.e. %n t1e !33%5%a9 9!&2!!#6 1e 'a%. ?%t'' a99 a 3rame 4p?an. re34'e. t! '%&n a5#n!"9e.&%n& %t' re5e%pt !r a55ept a 5!p/ !3 t1e 9!& 2!!# entr%e'.

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'5 Dischar'e 2?. Chere the Master has decided that the appropriate penalty would be discharge" the log e5tract 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 ne5t convenient port of call or at the end of the voyage. 4t should also record that he had been told that the case would be reported to the employing company. 2$. 4n the event of discharge the entry in the logboo0 should ta0e the following formA Br!"n "a' a.0%'e. t1at 1e "!49. 2e .%'51ar&e. 3r!m t1e '1%p :%mme.%ate9/$at t1e ne=t 5!n0en%ent p!rt !3 5a99$at t1e en. !3 t1e 0!/a&e;C an. t1at t1e 5a'e "!49. 2e rep!rte. t! t1e emp9!/%n& 5!mpan/ 3!r appr!pr%ate a5t%!n t! 2e ta#en %n a55!r.an5e "%t1 t1e C!.e !3 C!n.45t an. re5!r.e. %n t1e !33%5%a9 9!& 2!!#. He ma.e n! 5!mment. He "a' &%0en a 5!p/ !3 t1e 9!& 2!!# entr%e' re9at%n& t! t1%' %n5%.ent an. a5#n!"9e.&e. re5e%pt !3 t1em. 2@. Upon the discharge of the seafarer" the Master should forward to his employing companyA a) copies of all relevant log boo0 e5tracts" including log e5tracts recording formal warnings or written reprimands relating to earlier breaches" each endorsed with the following statementA ;Ce certify this to be a true copy of the entry in the official log boo0<" signed by the Master and another senior officerB b) copies of any written statements ta0en as advised in paragraph )@ above" similarly endorsedB c) copies of any earlier written warnings on the departmental or ship<s file 1see paragraph 1$' similarly endorsed. h5 Repatriatio! Costs < Deductio!s )ro- 7a'es 2#. Clause 15'1h' of Crew *greement form *9C 1 -:' 11d' provides that the seafarer agrees" in the event of his *greement being terminated outside the UK 9imited /uropean Trading *rea for a breach of the Code" to the deduction from his wages of an amount being the actual e5penses of his repatriation. This deduction must not e5ceed one wee0<s pay at the ;begin at rate< or base rate as specified 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 boo0. i5 #rosecutio! 83. 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 -ections )$ or 23 of the Merchant -hipping *ct" 1#$3" as amended by the Merchant -hipping *cts 1#$8 and 1#@@" it is possible to refer a seafarer for prosecution ashore. 81. The decision to prosecute for an offence under the Merchant -hipping *ct will normally lie with the %epartment of Transport or the employing company. .rosecution for other criminal offences will be a matter for the employing company or the police. 4t is suggested that the Master should bear in mind that prosecution may be appropriate in cases of serious assault 1certainly where death or serious injury results'B substantial theft of cargo" ship<s stores or crew possessionsB possession and>or distribution of restricted drugsB and deliberate" negligent or drun0en acts or omissions that cause the loss" destruction or serious damage to the ship or the death or serious injury of any person on board. 4n these cases he should ta0e the necessary steps to enable a prosecution to be underta0en successfully.
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>Note? -eafarers can be prosecuted in the Courts even if the breach of the Code which constitutes the alleged offence has been dealt with under the Code of Conduct and>or company disciplinary procedures.' 8). To ma0e it possible for a seafarer to be prosecuted the Master shouldA+ i) warn the seafarer accordinglyB ii) add to any relevant log boo0 entry recording the outcome of shipboard disciplinary proceedingsA Br!"n "a' 34rt1er "arne. t1at t1e 5!mpan/ m%&1t e%t1er 2r%n& t1e .eta%9' !3 t1%' %n5%.ent t! t1e attent%!n !3 t1e :Department !3 Tran'p!rt;$ :p!9%5e; "%t1 a 0%e" t! pr!'e54t%!n6 !r %n%t%ate a pr!'e54t%!n 4p!n 1%' ret4rn t! t1e (n%te. K%n&.!m. 9og boo0 e5tracts should be detailed" and should record any admissions by the seafarerB iii) ensure that detailed written statements from all witnesses are prepared" certified and forwarded with the other documentation indicated in paragraph 2@B 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. 82. 4t will fall to the company to decide whether to refer the matter to the police or to ta0e any other appropriate action. The %epartment of Transport will also consider the matter" and will ta0e into account any action already ta0en by the company or the police.

D&SC&#,&NARY #ROCEDURES 7HEN THE SEAFARER &S A$SENT a5 Fai ure to @oi! or Re@oi! 88. :ailure to join or rejoin the ship is a breach of clause 51a' of the crew agreement" not a breach of .aragraph # of the Code of Conduct. 1Under e5isting (egulations a deduction from wages of up to F)33 can be made in respect of any e5penses incurred through this default.' ,owever" if a seafarer is absent without leave and fails to join or rejoin his ship he is covered by Code of Conduct procedures" e5cept where he has not signed the crew agreement. The reasons for his absence from the ship should be investigated" as far as possible following the se6uence laid down in paragraphs )3 to )?. Critten statements should be ta0en from all material witnesses and appropriate entries made in the official log boo0. The case should then be reported to the company in accordance with paragraph 2@. Copies of the report and supporting documentation should be sent by post to the seafarer<s home address. -hould the absent seafarer subse6uently rejoin the ship at a later port of call the company should be notified accordingly. 8=. Chere a seafarer fails to join or rejoin when off the crew agreement an appropriate entry should be made in the official logboo0" and the seafarer reported to the company. b5 AdAa!ced Dischar'e 8?. Chen a seafarer" against whom disciplinary procedures on board his ship for an alleged breach of .aragraph # of the Code of Conduct are ending" frustrates these procedures before a full investigation can ta0e place e.g. by failure to join or rejoin or by invo0ing a notice clause in the crew agreement" or by any other means" the case should be investigated in his absence and a report made. The procedure to be followed is that described in paragraph 88 above.
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*nne5 i REV&SED CODE EFFECT&VE FROM +( OCTO$ER (114 CODE OF CONDUCT FOR THE MERCHANT NAVY /ach 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" *viation and -hipping Transport &fficers 1NUM*-T'" the National Union of (ail" Maritime and Transport Cor0ers 1(MT' and the Chamber of -hipping 1Co-'" and approved by the %epartment of Transport. The Code is printed in this leaflet. .lease read it carefully. *ny 6uestions 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. -eafaring is a civilian occupation which places upon those who go to sea demands not found in industry ashore. -eafarers are called upon to spend not only their wor0ing hours but their leisure hours too in the confined environment of a ship and with the same individuals for company. 4t might be said that they are more susceptible to the stresses and strains of everyday life than their fellows ashore. 4n this environment" the need for discipline and behaviour assumes a particular importance. ,owever" 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. ). 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. :ailures of self+discipline which occur will have to be dealt with by reference to an imposed framewor0 of discipline or Code of Conduct. This document sets out such a Code" containing the basic rules of reasonable behaviour e5pected of all &fficers and (atings. 4t has been drawn up by the organisations representing the seafarers and the employers and approved by the -ecretary of -tate for Transport. &bservance of it will ma0e seafaring a better and more rewarding job for all those involved and will help to secure the safety of everybody aboard. (ules drawn up by shipping companies" and Masters< -tanding &rders relating to conduct aboard ship" should not conflict with this Code. 2. &rders 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 re6uest for an e5planation of the necessity for the order is acceded to. *t the same time wilful or repeated refusal to comply with reasonable orders or other anti+social behaviour must be e5pected to have certain conse6uences. 8. *n 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. 4f all concerned are 0ept as fully informed as possible about the company<s policies and objectives and can be made to feel that they have a personal sta0e in Ahe 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. Co!duct i! E-er'e!cies
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=. 4n 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 sta0e the Master" &fficers and .etty &fficers are entitled to loo0 for immediate and un6uestioning obedience of orders. There can be no e5ception to this rule. :ailure 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 1at the first opportunity' and his Company. 4t may also warrant prosecution under the provisions of the Merchant -hipping *cts. Co!duct i! Situatio!s other tha! E-er'e!cies ?. /mergencies are fortunately rare and this document is primarily concerned with the day+to+day situation on board. 4t should be borne in mind" however" that certain acts of misconduct 1e.g. absence from place of duty or heavy drin0ing' could have the effect of causing a state of emergency. The following paragraph sets out some broad general rules for everyday conduct. $. a' #UNCTUA,&TY is very important both for the efficient operation of the ship and to avoid putting e5tra wor0 on shipmates. This is true of joining the vessel at the time appointed" returning from shore leave" reporting for watch+0eeping duty and all other wor0. *bsence 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. 4t should be borne in mind that" in some countries" certain drugs offences carry a sentence of capital punishment. c' DR&N%&NG/ There should be ship<s rules about bringing into5icating li6uor on board and they should be understood and strictly observed. Chere facilities for drin0ing on board are provided" they should not be abused. ar rules should be strictly adhered to. d' $R&NG&NG UNAUTHOR&SED #ERSONS ON $OARD. The ship<s rules or port authority<s restrictions on bringing unauthorised persons on board must be strictly observed. e' OFFENS&VE 7EA#ONS. These must not be brought on board. f' SMO%&NG &N #ROH&$&TED AREAS is dangerous on any ship but particularly on tan0ers" li6uid gas carriers and vessels carrying e5plosive or inflammable materials. The ship<s rules controlling smo0ing and the use of na0ed lights or unapproved electric torches must be scrupulously obeyed. g' DUT&ES. /very member of the crew should carry out his duties efficiently to the best of his ability. ,e is entitled to be informed clearly what his duties are and to whom he is responsible for carrying them out. 4f he is in doubt he should as0. Cithin the scope of his duties" reasonable commands and instructions must be obeyed. h' TREATMENT OF ACCOMMODAT&ON/ :or the duration of the voyage the ship is not only the seafarer<s place of wor0 but also his home. *ccommodation and other facilities" whether provided for his personal use or to be shared with others" should therefore be treated with respect.

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i' $EHAV&OUR TO7ARDS OTHERS. *nti+social behaviour can cause a seafarer to become a nuisance to others on board and in e5treme circumstances can haGard the ship and the crew. This can include not only e5cessive drin0ing but also such behaviour as causing e5cessive noise" abusive language" se5ual harassment" aggressive attitudes and offensive personal habits. The fact that some need to sleep whilst others are awa0e should also be borne in mind. Dea i!' .ith $reaches o) the Code 2. 4t is necessary to have a procedure for dealing with breaches of this Code of Conduct bac0ed by appropriate sanctions. These may range" according to the seriousness of the breach" from informal warnings for the most minor breaches" through various grades of formal warning including reprimands" to dismissal from the ship. -eafarers are subject to the general law of the United Kingdom and for certain offences" prejudicial to the safety of the ship or those on board" there remains a liability to prosecution in the Courts under the relevant sections of the Merchant -hipping *cts. There are" at present" -ections )$ and 23 of the Merchant -hipping *ct" 1#$3" as amended by the Merchant -hipping *cts" 1#$8 and 1#@@. #. 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 forA

i) ii) iii) iv) v) vi) vii) viii)

assaultB wilful damage to ship or any property on boardB theft or possession of stolen propertyB possession of offensive weaponsB persistent or wilful failure to perform dutyB unlawful possession or distribution of drugsB conduct endangering the ship or persons on boardB combination with others at sea to impede the progress of the voyage or navigation of the shipB ix) disobedience of orders relating to safety of the ship or any person on boardB 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 boardB xi) incapacity through the influence of drin0 or drugs to carry out duty to the prejudice of the safety of the ship or of any person on boardB xii) to smo0e" use a na0ed light or an unapproved electric torch in any part of a ship carrying dangerous cargo or stores where smo0ing or the use of na0ed lights or unapproved torches is prohibitedB xiii) intimidation" coercion and>or interference with the wor0 of other employeesB xiv) behaviour which seriously detracts from the safe and>or efficient wor0ing of the shipB xv) conduct of a se5ual nature" or other conduct based on se5 affecting the dignity of women and men at wor0 which is unwanted" unreasonable and offensive to the recipientB xvi) behaviour which seriously detracts from the social well+being of any other person on boardB xvii) causing or permitting unauthorised persons to be on board the ship whilst it is at seaB xviii) repeated commission of breaches of a lesser degree listed in .aragraph 11 after warnings have been given in accordance with the procedures in .aragraph 13. 13. reaches of a lesser degree of seriousness may be dealt with byA
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a) b) c) d)

informal warning administered at an appropriate level lower than that of the MasterB formal warning by the ,ead of %epartment which will be suitably recordedB formal warnings by the Master recorded in the ship<s official logboo0B written reprimands administered by the Master and recorded in the ship<s official logboo0.

Chen a formal warning is given the seafarer should be advised of the li0ely conse6uences of further breaches of the Code. 11. reaches of the Code" if proved to the reasonable satisfaction of the Master" &fficer" or .etty &fficer to have been committed" for which the procedure in .aragraph 13 is considered appropriate" areA

a) offences of the 0ind described at .aragraph #" which are not considered to justify b) c) d) e) f) g) h)
N

dismissal in the particular circumstances of the caseB minor acts of negligence" neglect of duty" disobedience and assaultB unsatisfactory wor0 performanceB poor time 0eepingB stopping wor0 before the authorised timeB failure to report to wor0 without satisfactory reasonB absence from place of duty or from the ship without leaveB offensive or disorderly behaviour. &T/A Chilst .aragraph 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. .roposals for such additions should be submitted" after agreement with the organisations representing the seafarers concerned" to the %epartment of Transport for approval.

#rocedures )or dea i!' .ith breaches o) the Code 1).

a) * seafarer who is alleged to have breached the Code will be seen in the first
instance by a .etty &fficer or &fficer designated by the Master. 4f the .etty &fficer or &fficer 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 0ind referred to at .aragraph 131a' above" he will proceed accordingly and the matter will there after be regarded as closed. b) 4f 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. *lternatively" the case may be referred to the MasterB any offence falling under .aragraph # must be referred to him.

c) The Master will deal with cases referred to him with the minimum of delay. ,e will
inform the seafarer of the alleged breach giving him the opportunity to say whether he admits it" to call any witnesses and to 6uestion them on their evidence and to ma0e any statement he wishes in answer to the alleged breach including any comments on the evidence produced against him. d) *fter 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) 4f 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" ta0ing into
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f) g) h) i)

account the seafarer<s record on the ship and any other relevant factors. ,e may announceA i) that he is giving a warningB or ii) that he is giving a written reprimandB and>or iii) that the seafarer will be dismissed from the ship. 4f 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 ta0e place at the ne5t port of call for repatriation to the United Kingdom. The Master will enter details of the breach and the action ta0en in the official log. The seafarer shall be given a copy of all entries made in the logboo0 relating to his breach of this Code and shall ac0nowledge receipt. 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. * seafarer shall have the right to be accompanied by a friend" who may advise him and spea0 on his behalf" whenever an alleged breach of this Code is being considered against him.

Dis-issa s 12. 4n 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. 4f so re6uested 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 ta0e place within = wor0ing days of dismissal from the ship in the UK" or within = wor0ing days of arrival in the UK if dismissed abroad. 18. The seafarer will be advised in writing of the outcome of the hearing. Chere 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. 1Normally within 18 days'. *ny such appeal will normally be to a higher level of authority within the company. 1=. The procedures outlined in paragraphs 12 and 18 may be amended in accordance with local circumstances should this be agreed to be the company and the relevant seafarer<s union. 1?. Nothing in this Code of Conduct shall be read as negating any seafarer<s right to bring an unfair dismissal claim before an 4ndustrial Tribunal as provided in the /mployment .rotection 1Consolidation' *ct" 1#$@.

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*nne5 ii THE MERCHANT SH&##&NG >OFF&C&A, ,OG $OO%S5 REGU,AT&ONS (1;( AS AMENDED $Y THE MERCHANT SH&##&NG >OFF&C&A, ,OG $OO%S5 >AMENDMENT5 REGU,AT&ONS (11( The Schedu e E!tries ReBuired to be -ade i! the O))icia ,o' $oo:s :ept i! Ships Re'istered i! the U!ited %i!'do- !ot eCe-pted )ro- the ReBuire-e!ts o) sectio! 9; o) the Mercha!t Shippi!' Act (1*= b" Re'u atio! + #ara'raph 3= Co u-! ( A #articu ars o) E!tr" Chen 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' b' c' d' e' the nature of the allegationB the name of the person against whom the allegation is madeB that the master has read the allegation to the seamanB that the master has advised the seaman of his right to be accompanied by a friend who may advise him and spea0 on his behalfB i' if the seaman admits the allegation" a statement that he admits itB ii' in any other case" a statement that he does not admit the allegationB i'any statement made by the seaman" or by his friend on behalf of the seaman" in answer to the allegationB ii'that he declines to ma0e a statement in answer to the allegationA that the master has given a formal warning to the seamanB that the master has given a written reprimand to the seamanB 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 that the seaman has been given" and has ac0nowledged receipt of" a copy of all entries made in the official log boo0 relating to his breach of the Code" together with a copy of any report made to a shore+based disciplinary committee.

f) g) h) i) j)

Co u-! + ? Si'!ator" The Master Co u-! 3 ? 7it!ess * member of the crew other than the seaman named in an entry under sub+paragraph 1b' of this paragraph.

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