Annex - Guidelines for Preparing Plans for Cooperation between Search and Rescue Services and Passenger Ships

(in accordance with SOLAS regulation V/7.3)

1 Introduction

1.1 The purpose of these Guidelines is to provide a uniform basis for the establishment of plans for cooperation between passenger ships and SAR services^footnote in accordance with SOLAS regulation V/7.3. Plans developed in accordance with the Guidelines will meet the requirements of the regulation.

1.2 These Guidelines are applicable to all passenger ships to which SOLAS chapter I applies. They are relevant to the safety management system maintained by passenger ships in accordance with the International Safety Management (ISM) Code and, in particular, to the section of the safety management system dealing with emergency preparedness. They may also be taken into consideration when drawing up SAR plans for cooperation for passenger ships in the domestic trade.

2 Aims and objectives of SAR cooperation planning

2.1 The aim of SAR cooperation planning is to enhance the mutual understanding between a ship, a company^footnote and SAR services so that, in the event of an emergency, all three parties will be able to work together efficiently and effectively. This is best achieved by the prior exchange of information and by conducting joint emergency response exercises.

2.3 The plan for cooperation is of use when a passenger ship suffers an emergency or when it responds as a SAR facility^footnote, particularly when acting as On Scene Coordinator^footnote.

3 The regulation

4 General requirements

4.1 The SAR plan for cooperation does not replace more detailed emergency response plans already in place, whether as part of the company's safety management system or the SAR services' arrangements. But these plans should be linked so that the tripartite response to an emergency involving a passenger ship – i.e., the response on-board, from the company's emergency response organization ashore and from the SAR services – is coordinated effectively and efficiently. The SAR cooperation plan serves as that link.

4.2 The plan for cooperation should contain the basic information which will enable the response to any emergency to commence without delay. This information will include direct contact details for the three parties – ship, company, and SAR services or SAR data provider^footnote as described in section 6.

4.3 Each of the parties to the cooperation plan should have access to an up-to-date controlled copy^footnote of it, so that each then knows what information is already available to the others.

4.4 Guidelines on testing the cooperation arrangements between a ship, a company, and SAR services are in section 9 below.

4.5 SAR service personnel should receive periodic training on accessing plans for cooperation and on the importance of the plans' content for coordinating an effective SAR response.

5 Plan frameworks

5.1 The SAR plan for cooperation should be concise and user-friendly, so as to enable its easy use in emergency conditions. Depending on the type of trade the passenger ship is in, the cooperation plan should be drawn up according to the frameworks set out in appendices 1 or 2 to these Guidelines. The frameworks and the SAR cooperation planning process are described in sections 7 and 8 below and are illustrated by flow diagrams given in appendix 3.

5.2 The use of a common framework enables SAR service personnel to find the information they require rapidly, whatever ship or company they are dealing with. Likewise, ship's crew, or members of the company emergency response team ashore, are able to find the information they require, whatever the SAR region^footnote in which the emergency has occurred.

5.3 The framework is designed to enable modules of information (about different ships or SAR services, for example) to be easily added to the cooperation plan or removed from it if no longer relevant without the need for the whole cooperation plan to be revised.

5.4 It is essential that the SAR plan for cooperation is submitted in accordance with the relevant framework (see sections 7 and 8 and appendices 1 and 2). This enables SAR service personnel to find the information they need without delay. Plans which are not submitted in the correct framework may be returned by the SAR service or SAR data provider for modification.

6 Use by ships trading through many SAR regions

6.1 It will significantly enhance the effectiveness and efficiency of the response to an emergency if passenger ship crews and operators have developed a good mutual understanding with the SAR services available to them. This is as true for passenger ships that routinely transit many SAR regions as for any other passenger ship. Direct cooperation planning between ships, companies and local SAR services is encouraged wherever possible.

6.2 However, there are administrative difficulties in maintaining direct links between a ship transiting many SAR regions, such as some cruise ships, and every SAR service with which it might come into contact. For such ships it is not necessary to hold a copy of the ship's SAR plan for cooperation at each of the Rescue Co-ordination Centres^footnote (RCCs) whose regions it transits, provided that the plan is readily accessible by each RCC.

6.3 These administrative difficulties can be overcome by use of the SAR data provider procedure, which permits the use of a contact point between the global SAR service and cruise ship operators.

6.4 Under this procedure, the SAR data provider holds an electronic copy of the ship's SAR plan for cooperation on behalf of the SAR services. The coordinating RCC contacts the SAR data provider to obtain the plan when it is required.

6.5 The company or the ship should send a copy of its SAR plan for cooperation to the SAR data provider identified in section 8 below. The SAR data provider can only accept plans submitted in pdf format.

6.7 The SAR data provider should only release copies of the plans to those parties named in the plans' controlled distribution lists and to coordinating RCCs on request, in the event of emergency or for contingency planning purposes.

6.8 The SAR data provider must have a means of authenticating the requesting SAR service, RCC, or company to ensure that data is not released to unauthorized persons.

6.9 A passenger ship such as a ferry, which trades on fixed routes, should not use the SAR data provider procedure, but should compile a plan for cooperation incorporating details of all the SAR services along its route, in accordance with appendix 1 of these Guidelines. Other passenger ships transiting many different SAR regions, perhaps on a seasonal basis, such as some cruise ships, may choose to use the SAR data provider procedure. Such ships are not required to include in the plan for cooperation information beyond that set out in appendix 2 to these Guidelines.

6.10 Flow diagrams summarizing the SAR cooperation planning process in both cases are given at appendix 3.

6.11 Regardless of which procedure ships use, they are still encouraged to liaise as best they can with relevant SAR services. Direct communications, where practicable, will always be better than indirect.

7 Administrative requirements for ships not using the SAR data provider procedure

7.1 The procedure described in this paragraph is for ships not using the SAR data provider procedure – that is, passenger ships on fixed routes, such as ferries. These ships and/or their companies will work with the relevant SAR services to complete and maintain a SAR plan for cooperation plan drawn up in accordance with the framework set out in appendix 1 of these Guidelines. The first flow diagram in appendix 3 illustrates this process. The procedure for ships which are using the SAR data provider procedure is described in section 8 below.

7.2 In order to compile a SAR plan for cooperation in accordance with appendix 1 of these Guidelines, the ship or the company should contact one of the SAR services responsible for the area in which the ship operates.

7.3 The ship or company and the SAR services each complete their own sections of the framework. The ship or company is responsible for providing the information in module 1 "The company" and module 2 "The ship(s)". The SAR services are responsible for providing the introductory paragraphs, module 3 "The RCCs" and module 4 "SAR facilities". It is recommended that neighbouring SAR services should each hold copies of the others' modules of information, so that the ship or company need only contact one SAR service in order to complete the whole plan.

7.4 Module 5 "Media relations" and module 6 "Periodic exercises" should be considered jointly. Module 5 is intended to contain brief details of how the company and the SAR services will coordinate their response to news media interest in any emergency and should include contact details for their respective public relations officers. The requirements of module 6, appendix 1, are considered in more detail in section 9 below.

7.5 Copies of the completed cooperation plan should be distributed to each of the three parties to emergency response – the ship, the company and the relevant SAR services. A controlled distribution system should be used to ensure that all parties maintain an up-to-date copy.

The aim is that all those likely to need to refer to the plan should have a copy readily available in a language in which they are fluent.

7.7 SAR plans for cooperation, once they have been agreed, should be recognized by the SAR services of all Administrations.

7.8 The originator of each module of the cooperation plan (the ship, company or SAR service, as appropriate) is responsible for keeping it up-to-date and ensuring that all those holding controlled copies of the module are advised of changes. Each holder of a controlled copy of the cooperation plan is responsible for making and recording notified changes.

7.9 All parties should know where the controlled copies of the SAR cooperation plan are held. Each SAR cooperation plan should therefore contain a controlled distribution list; and each party to it should ensure that all relevant staff are aware of its existence, where it is stored and how it may be used.

8 Administrative requirements for ships using the SAR data provider procedure

8.1 The procedure described in this section is for passenger ships that transit many SAR regions and choose to use the SAR data provider procedure. These ships and/or their companies complete and maintain a SAR cooperation plan drawn up in accordance with the framework set out in appendix 2 of these Guidelines and send a copy of the plan and updates to it in pdf format to the SAR data provider identified below. The second flow diagram in appendix 3 illustrates this process. The procedure for ships not using the SAR data provider procedure is described in section 7 above.

8.2 If the SAR data provider procedure is being used, the ship or company completes all sections of the framework in appendix 2. Module 4 "Media relations" is intended to contain brief details of how the company will coordinate with the SAR services their response to news media interest in any emergency, and should include contact details of the company's public relations officers. The requirements of module 5 "Periodic exercises" are considered in more detail at section 9 below.

8.3 Controlled copies of the completed plan for cooperation should be distributed by the company and be held by the ship, the company and the SAR data provider. A controlled distribution system should be used to ensure that all parties maintain an up-to-date copy.

8.4 All parties should know where SAR data is held. Each copy of the plan should therefore contain a controlled distribution list, and each party to it should ensure that all relevant staff are aware of its existence, where it is stored and how it may be used.

8.5 It is not essential that every RCC through whose SAR region the ship trades should hold a copy of the plan for cooperation, only that each RCC should be able to obtain an up-to-date copy from the SAR data provider without delay. The SAR data provider holds the plan for onward distribution to the coordinating RCC on request, in the event of an emergency or for contingency planning purposes.

8.6 Likewise it is not essential for the ship to carry details of each and every SAR region's resources, if the SAR data provider procedure is being used. However, the ship should always be able to obtain such details. Administrations are encouraged to ensure that information on their SAR services in the Global SAR Plan module on GISIS is kept up-to-date.

8.7 It is recommended that the ship carry on board details of the SAR services in regions in which it spends the majority of its time, and that the relevant RCCs should therefore be included in the distribution list. Consideration should be given to using the framework set out in appendix 1 in such cases. But, as a minimum, the ship should carry contact details for the SAR data provider, as set out in the framework in appendix 2.

8.9 The SAR data provider must maintain a copy of the plan in at least the English language and should be able to transmit it immediately to the coordinating RCC on request, in the event of an emergency or for contingency planning purposes. Required capabilities of the SAR data provider in this context are set out in section 6.

8.10 SAR plans for cooperation, once they have been agreed, should be recognized by the SAR services of all Administrations.

8.11 The originator of the cooperation plan is responsible for keeping it up-to-date and ensuring that all those holding controlled copies are advised of changes. Each holder of a controlled copy of the cooperation plan is responsible for making and recording notified changes. Complete copies of the plan, including when updates are made, should be sent to the SAR data provider in pdf format.

8.12 The SAR data provider for ships using this procedure (i.e., ships trading through many SAR Regions) is:

8.13 The International SAR Cooperation Plans Index is maintained by Her Majesty's Coastguard, United Kingdom – see contact details above. It enables users to look up ships using the SAR data provider procedure. The information is listed by ship's name, IMO number, MMSI, and call sign. Information in the Index is deliberately limited: the cooperation plans themselves are the prime documents.

8.14 The International SAR Cooperation Plans Index may be found at https://www.gov.uk/government/publications/international-sar-cooperation-plans-index. Instructions on use of the Index are included on the site.

9 Periodic exercises

9.1 The regulation requires that the SAR plan for cooperation include provisions for periodic exercises to be undertaken to test its effectiveness.

9.2 Both frequency and type of exercise will depend on the circumstances in which the ship operates, availability of SAR service resources, etc.

9.3 While it is very important that SAR plan for cooperation arrangements be tested from time to time – by, for example, requesting local SAR service involvement in exercises already being run in accordance with the ISM Code and each ship's safety management system requirements – it is also important that the benefits of such exercises are not diluted by over-exercising or by always exercising in particular ways or with particular authorities. Therefore, the ship should not be required to exercise its plan for cooperation more than once in any twelve month period.

9.4 The aim should be to test all parts of the emergency response network realistically, over time. A wide variety of scenarios should be employed; different SAR services should be involved if appropriate; and exercises should be so arranged as to allow all relevant staff (including relief staff) to participate over time.

9.5 Various types of exercise are acceptable: "full-scale" or "live", "coordination", and/or "communications" exercises¹ may all be appropriate, so long as the fundamental principle of cooperation between the ship, the company and SAR services is exercised. "Tabletop" exercises; SAR seminars and liaison exchanges involving ship's personnel, shore-based company emergency response personnel and SAR service personnel can also be beneficial.

9.6 Exercises should be coordinated to ensure efficient use of available resources. The principle of reciprocity applies. If a ship has conducted a SAR plan for cooperation exercise within the last twelve months, it should be accepted by all parties that the ship has fulfilled the requirements of the regulation: the "SAR service" should be considered a global entity in this context. Likewise, SAR services should cooperate to ensure that passenger ships' exercise requirements are distributed in a way appropriate to available resources.

9.7 Exercises conducted under this regulation should occasionally include the passenger ship taking on the role of a SAR facility – in particular, the role of On Scene Coordinator.

9.8 Ships which have participated in actual SAR incidents may be considered to have fulfilled the exercise requirements of this regulation.

9.9 Exercises conducted under this regulation should be formally recorded by all the main participants (ship, company and SAR service). The record should include at least the date, location and type of exercise and a list of the main participants. A copy of the record should be available aboard the ship for inspection.

10 Keeping the cooperation plan up-to-date

10.1 The information contained in each SAR cooperation plan should be kept up-to-date. Review, updating, and auditing of the SAR cooperation plan should be conducted as part of the safety management system required by the ISM Code.

10.2 SAR service and SAR data provider information contained in each SAR plan for cooperation should be reviewed, updated, and audited in a similar way.

10.3 The International SAR Cooperation Plans Index should also be kept fully up-to-date. It is the SAR data provider's responsibility to ensure that this is done. To ensure consistency for Port State Control purposes, the Index should record the plan's latest date of revision, not the date it was entered into the Index.