MASS UK Industry Conduct Principles and Code of Practice Version 4
1
BEING A
RESPONSIBLE
INDUSTRY
Maritime Autonomous
Ship Systems (MASS)
UK Industry Conduct
Principles and
Code of Practice
A Voluntary Code
Version 4
November 2020
MARITIME UK is the umbrella body for the maritime sector, bringing together the shipping, ports,
services, engineering, science, and leisure marine industries. Our purpose is to champion and enable
a thriving maritime sector.
Supporting over 1 million jobs and adding £46.1bn to our economy, maritime is responsible for
facilitating 95% of UK global trade, worth over £500bn per year. The UK maritime workforce is 42%
more productive than the average UK worker.
Maritime makes a greater contribution to the UK economy than both rail and air combined.
The sector is the fundamental enabler of British global trade and exports its own innovative products
and services. With cutting-edge technology, high-quality design & manufacturing, unparalleled
expertise in services and major investment opportunities, the UK is the natural home for global
maritime business.
Maritime is a vital part of our island nation's heritage and of our modern economy – supporting
jobs, driving innovation and enabling trade. The sector also enables millions of people to enjoy the
recreational benefits of the UK's coastal and inland waterways.
Our members are: Belfast Maritime Consortium, British Marine, British Ports Association, CLIA UK
& Ireland, Institute of Chartered Shipbrokers, London International Shipping Week, Maritime London,
Maritime UK South West, Mersey Maritime, Nautilus International, Seafarers UK, Society of Maritime
Industries, Solent LEP, The Baltic Exchange, Trinity House, UK Chamber of Shipping and the UK
Major Ports Group.
Contents
FOREWORD
1 Background 4
2 Environmental Considerations 6
3 Health and Safety Regulations 6
4 Authorisation of ROs 6
5 Contributing Organisations 7
PART 1
–
MASS INDUSTRY CONDUCT PRINCIPLES
1 Scope 9
2 Application 9
3 Industry Manager’s Responsibilities 10
4 Health and Safety 10
5 Environment 11
6 Product Safety Design and Construction 11
7 Customer Information 12
8 Assurance Certification and Authorisation for use 13
9 Trade Restrictions Aand Export Controls 13
10 Operational Responsibilities 14
11 Regulatory and Legislative Compliance 15
12 Training and Development 15
PART 2
–
UK CODE OF PRACTICE
1 Terms and Terminology 17
2 Application 22
3 Operations 25
4 Cyber Security Considerations for MASS (Autonomous and Remotely Controlled) 32
5 Safety Management 50
6 Automation on Inland Waterways 61
7 Ship Design and Manufacturing Standards for MASS 64
8 Navigation Lights, Shapes and Sound Signals 69
9 Situational Awareness and Control 72
10 Communications Systems 81
11 Remote Control Centre – Operation 84
12 System Integrity Certification and Test Procedures 93
13 Operator Standards of Training, Qualifications, Competence and Watchkeeping 96
14 Identification, Registration, Certification, Examination, Maintenance and Record-keeping 107
15 Security 111
16 Prevention of Pollution 116
17 Carriage and Transfer of Cargo (including Dangerous Goods) 118
18 Rendering of Assistance to Persons in Distress at Sea 124
19 Salvage and Towage 126
20 Glossary 128
MASS UK Industry Conduct Principles and Code of Practice Version 4
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MASS UK Industry Conduct Principles and Code of Practice Version 4
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Foreword
1 BACKGROUND
1.1 The development of Maritime Autonomous Ship Systems (MASS) has continued at a very significant pace over
the last few years with more MASS entering operation all the time. They come in a variety of sizes and have a
very diverse set of operational capabilities which all place their own unique demands on those who own and
operate them and the remainder of the Maritime Community. MASS are an element of the development of
Robotics and Artificial Intelligence (RAI) systems across the various transport sectors.
1.2 The term MASS (Maritime Autonomous Surface Ship) has also been adopted by the Maritime Safety Committee
(MSC) of the International Maritime Organization (IMO) for their scoping exercise which was accepted at MSC
98 on the 13th June 2017. The MSC Working and Correspondence Groups started their work in May 2018; there
was an intersessional working group meeting in September 2019 and work continues although progress has
been delayed by the impact of the pandemic. Other scoping exercises are being undertaken by the Legal (LEG)
and the Facilitation of International Maritime Traffic (FAL) committees. Information concerning their work is
available through IMODOCS.
1.3 Version 4 of this Code of Practice (“Code”) has been prepared by the UK Maritime Autonomous Systems
Regulatory Working Group (MASRWG) and has been published by Maritime UK through the Society of Maritime
Industries. It has been prepared in two parts. Part 1 is a set of Industry Conduct Principles, which supercedes
the previous Code of Conduct published in 2016, and Part 2 is the Code of Practice.
1.4 The primary aim of this Code is to establish practical guidance, standards, and best practice for those who design,
build, manufacture (including testing and commissioning), own, operate and control autonomous and semi-
autonomous MASS primarily less than 24m. It will also establish some principles and guidance which will be
applicable for those operating larger MASS while the more detailed regulatory framework for MASS is developed
under the Merchant Shipping Act 1995.
1.5 The Code focusses on surface ships, seagoing vessels and watercraft (per SOLAS Chapter V – Safety of
Navigation) but does include some references to other Maritime Autonomous Systems (MAS), such as
Autonomous Underwater Vehicles (AUV), Remotely Operated Vehicles (ROV) and Uncrewed Air Systems (UAS).
It is stressed that these systems have their own operating guidelines which are not replicated in this Code but
may be deployed from MASS. The Code will be updated as required when guidance from the IMO Regulatory
Scoping Exercise is published, and as the MCA develops policies to meet the needs of forthcoming technological,
commercial and regulatory developments.
1.6 The Code deals with the important subject of Remote Control Centres and their HR and technical requirements.
1.7 The intent is to ensure equivalence with the provisions of IMO’s current legal instruments (COLREGS, SOLAS,
MARPOL, and STCW) and to provide links to related documentation (e.g. ISPS, IMDG, ISM, Fire Safety Code
and the Load Line Convention).
1.8 The Code also aligns with other relevant documents, for example the Lloyds Register Crewless Marine Systems
Code and the European Defence Agency-sponsored SARUMS Best Practice Guide for Crewless Maritime
Systems.
1.9 The Code provides guidance for MASS which are to be registered in the United Kingdom, including those less
than 24 metres in length, and to other similar MASS operating within United Kingdom Waters (i.e. UK Territorial
and Inland Waters per UNCLOS, 1982).
1.10 It is considered that it can also be applied effectively to MASS operating in other parts of the world under similar
environmental and operating conditions to those of the UK, provided bilateral consents from appropriate national
maritime administrations/authorities are in place and are fully documented.
1.11 United Kingdom registered MASS, to which this Code applies, when operating outside of United Kingdom Waters,
may however be subject to additional requirements of overseas administrations. Owners/Operators should contact
the relevant administration controlling those waters regarding the acceptability of the Code and any other
requirements to which they may have to adhere. This includes the MCA when in UK waters.
1.12 Compliance with the Code in no way obviates the need for MASS operations to comply with relevant bylaws
made by either the local/navigation authority or the port/harbour authority for the area in which the MASS operates.
Local authorities may, for instance, have powers to require MASS to have third-party insurance cover, and to set
the level of that cover.
1.13 Additionally, recognising that some MASS operate both at sea and on inland waterways, attention is drawn to the
common approach to ship safety adopted by the major UK inland navigation authorities. Owners/operators of
such ships should also comply with any applicable requirements of any relevant authority for the area of operation.
It should be noted that local authorities may also have powers over the use of the foreshore and landing places,
and to issue licenses for their use.
1.14 Designers and builders of MASS will need to pay special regard to the intended area of operation and the working
conditions in which a MASS will be subjected when selecting the standards for the design and specification of
the craft, and the materials, products or components to be used in its construction. The builder, repairer or Owners/
Operators of a MASS, as appropriate, should take all reasonable measures to ensure that a product, material or
component fitted, or used in accordance with the measures in the Code, is suitable for the purpose intended,
having regard to its location onboard the MASS, the area of operation and the weather conditions which may be
encountered.
1.15 When new standards are developed and finalised by the British Standards Institution (BSI), European Committee
for Standardization (CEN), International Maritime Organization (IMO), International Organization for Standardisation
(ISO), International Association of Lighthouse Authorities (IALA), International Electro-technical Commission (IEC)
or any other international bodies, which impact upon the requirements of the Code, amendment of the Code may
be considered immediately.
1.16 In accordance with the EU Directive 1998/34/EC, as amended by 98/48/EC, laying down a procedure for the
provision of information in the field of technical standards and regulations, any requirement for goods or materials
to comply with a specified standard should be satisfied by compliance with:
n a relevant standard or Code of practice of a national standards body or equivalent body of any EEA State; or
n any relevant international standard recognised for use in any EEA State; or
n any relevant technical regulation with mandatory or de facto mandatory application for marketing or use in
any EEA State in so far as the standard, Code of practice, technical regulation or process in question enables
the requirements for safety and fitness for purpose of this Code to be met in an equivalent manner. This
should include consideration and acceptance of sub-contracted materials.
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