The Polar Code Rear Admiral Steven D. Poulin United States Coast Guard Completion of the Polar Code is a major accomplishment, culminating in over a decade of hard work at IMO. The Code enhances safety and environmental standards on commercial ships operating within polar waters and was developed taking into account the unique risk factors associated with operating in Polar waters. The Polar Code specifies mandatory safety and environmental protection requirements for ship design, equipment, operations, and mariner training including ice-strengthening, risk assessments, operational plans, equipment, and certificates for ships that operate in polar waters. Rear Admiral Steven D. Poulin United States Coast Guard Judge Advocate General & Chief Counsel

Background Polar Code provides added regulations for ships in Arctic & Antarctic waters as amendments to the International Convention for the Safety of Life at Sea (SOLAS), the International Convention for the Prevention of Pollution from Ships (MARPOL) and the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW) Two parts – Safety and Environment Safety Part – applies to cargo ships over 500 gross tons and passenger ships (more than 12 passengers) on international voyages in polar waters Environment Part – applies to all ships in polar waters. Mandatory inspection & certification for larger ships (ships over 400 GT and tankers over 150 GT) Risk based code to address various factors, more stringent standards are applied as level of risk increases for anticipated operations Ice/Low Temperature High Latitude Remoteness from Response Resources Limited Charting Pristine Environment The code was adopted in, essentially, two parts: The safety-related provisions of the Polar Code and the associated SOLAS amendments were adopted by the IMO Maritime Safety Committee at its 94th session, November 17 – 21, 2014. The environment-related provisions of the Polar Code and the associated MARPOL amendments were adopted by the Marine Environment Protection Committee at its 68th session, May 11 – 15, 2015. Amendments to the STCW Convention were approved by the Maritime Safety Committee at its 95th session, June 3 – 12, 2015 and are expected to be adopted at its 96th session scheduled for May 2016 (starting next week). The Polar Code SOLAS and MARPOL amendments enter into force on January 1, 2017. We expect the related STCW amendments will enter into force on January 1, 2018, pending adoption at the next Maritime Safety Committee meeting. While there is a gap between the entry into force date of the Polar Code and the related STCW amendments, we do not expect this to affect implementation of the code. To account for this gap, in June 2015 the IMO approved interim guidance for this transitional period related to certification and training of watchstanders operating in polar waters. The U.S. Coast Guard, likewise, released the CG-OES Policy Letter No. 01-16 providing guidance for the training of personnel on ships subject to the Code.

Polar Code Application In general, the Polar Code provisions apply to the same ships to which the “Parent Convention” (SOLAS or MARPOL) applies. The safety provisions of the Polar Code apply to ships to which SOLAS Chapter I applies when those ships operate in polar waters. Generally, under Chapter I, if a vessel is on an international voyage and meets the criteria for a cargo ship greater than 500 gross tons (International Tonnage Convention System), or a passenger ship carrying more than 12 passengers, then the vessel is required to comply with SOLAS requirements, including the Polar amendments. The applicability of the Polar Code environmental provisions is based on the applicability of each individual MARPOL annex as each annex has a separate applicability clause. The requirements of MARPOL Annex I pertain to prevention of pollution by oil and generally apply to all ships. The requirements of MARPOL Annex II pertain to prevention of pollution by noxious liquid substances; similar to Annex I, these requirements generally apply to all ships carrying noxious liquid substances. Within MARPOL Annex I and II individual provisions apply to certain ships based on fuel tank capacity and cargo tank capacity; this methodology was also used to develop the additional provisions contained in the Polar Code. MARPOL Annex IV, prevention of pollution by sewage, applies to all ships operating on international voyages. And MARPOL Annex V pertains to prevention of pollution by garbage and applies to all ships. At this time there are no Polar Code amendments to either MARPOL Annex VI, which contains requirements related to prevention of air pollution from ships or MARPOL Annex III, which contains requirements related to the prevention of pollution by harmful substances in packaged form. Certification requirements likewise align with each parent annex; in general, MARPOL certificates are required for ships greater than 400 gross tons or tank ships greater than 150 gross tons. Training: The STCW provisions regarding training and competency will apply to those vessels subject to SOLAS applicability.

Implementation Utilization of Existing Flag State and Port State Regimes in Implementing the Polar Code. The Polar Code is built on top of existing SOLAS and MARPOL provisions. The Coast Guard will use the same Flag State implementation and Port State Control enforcement procedures that apply to existing SOLAS and MARPOL provisions. No U.S. regulations will be needed to enforce the Polar Code provisions on foreign flag vessels calling on U.S. Arctic ports. We are still evaluating how best to implement the IMO requirements on U.S. flag vessels to which the Code applies. This evaluation includes potential domestic regulatory requirements and supporting policies.

Potential Challenges… Enforcement Potential Challenges… Enforcement of the Polar Code may still be a challenge. The Port State Control regime is envisioned as a vital tool to ensure compliance with SOLAS and MARPOL but there are limited assets and infrastructure in the Polar Regions to carry out this function. Importantly, Polar requirements only apply when a vessel goes to Polar waters and it may not be clear where a particular vessel is bound or where it has come from. With capabilities severely limited in the Arctic due to infrastructure and remoteness, it will be vital to continue working with IMO, AWO, and other organizations in effecting a force multiplier for safety and security in the region.

Looking Forward GAPS? OPPORTUNITIES! CHALLENGES? Looking forward, there may be gaps. There may be challenges. But that just means there are opportunities. During the development of the Polar Code there was an inherent tension between interests who would like to facilitate shipping in Polar Regions (the Arctic in particular) and interests who wish to protect the environment, no matter the cost. One criticism of the Code is that it doesn’t go far enough on environmental issues because it doesn’t address: banning use/carriage of heavy fuel oil (HFO) in the Arctic, standards for Ballast Water treatment, standards to minimize the impact of Black Carbon emissions, or Grey Water discharges in Polar Waters. There is significant resistance internationally to banning the carriage/use of HFO in the Arctic. With regard to the other issues, IMO has existing work efforts underway to address these concerns and it would be premature to come out with an Arctic specific standard before the global standard has been developed and entered into force. Consistent with the existing Conventions, the Polar Code is a ship-focused code with specific provisions for design of the ship, on-board equipment, ship operations, and mariner training. The mandatory provisions of the Polar Code are generally limited to the applicability and scope of the parent Conventions, and as such, the Polar Code does not address items not currently regulated by the existing conventions, including traffic schemes, geographic access requirements, pollution categories not already regulated under MARPOL, and shore-side support (e.g., search and rescue, pollution response, salvage, towing services, or icebreaking services). Further, certain U.S. ships currently operating in the Arctic, including towing, recreational, and fishing vessels, which operate solely on domestic routes, are outside the scope of relevant requirements under the SOLAS Convention and the Polar Code safety provisions. However, depending on their operation, these ships may be required to comply with some or all of the additional environmental provisions of the Polar Code, based on the applicability of each individual MARPOL Annex. CHALLENGES?

Other Opportunities? Uniform ice strengthening standards? Increasing Infrastructure? Weather forecasting? Bettering Charts and Creating Traffic Schemes? Preserving Environment & Indigenous Culture? Other opportunities include but are not limited to: Uniform ice strengthening standards – development of consistent ice conditions for different ice class rules Remoteness & High Latitude – working to increase MDA and Communications Rapidly Changing & Severe Weather – better our Sensors & Forecasting Ice & Low Temperatures – review of Ice Management & Forecasting Limited Charting – get Hydrographic Surveys & implement Traffic Schemes Environment & Indigenous Culture – Working together with Arctic Council, Arctic Waterways Safety Committee, Port Access Route Study

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