11.1 SOLAS Chapter V Regulations & The 4 Stages of Passage Planning

11.1 SOLAS Chapter V Regulations & The 4 Stages of Passage Planning

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Statutory Foundations: IMO SOLAS Chapter V & Small Craft

Historically, the International Convention for the Safety of Life at Sea (SOLAS) applied almost exclusively to commercial merchant vessels exceeding 500 gross tonnage on international voyages. However, following comprehensive amendments adopted by the International Maritime Organization (IMO) that entered into force on 1 July 2002, Chapter V: Safety of Navigation established a universal regulatory scope.

Chapter V includes duties applying to small pleasure craft as well as commercial ships. Individual regulations have their own application and exemptions; voyage planning under Regulation34 applies to all vessels proceeding to sea.

Regulation 34: Safe Navigation & Avoidance of Dangerous Situations

SOLAS Chapter V, Regulation 34 explicitly dictates:

1. Prior to proceeding to sea, the master (skipper) shall ensure that the intended voyage has been planned using the appropriate nautical charts and nautical publications for the area concerned, taking into account the guidelines and recommendations developed by the Organization.
2. The voyage plan shall identify a route which:
   • Takes into account any relevant ships' routeing systems;
   • Ensures sufficient sea room for the safe passage of the ship throughout the voyage;
   • Anticipates all known navigational hazards and adverse weather conditions; and
   • Takes into account the marine environmental protection measures that apply, and avoids actions and activities which could cause damage to the environment.

National Enforcement & Legal Liability

In the United Kingdom, the Merchant Shipping (Safety of Navigation) Regulations2020 (SI2020/673), as amended including SI2025/134, implement SOLAS ChapterV. MCA MGN610 Amendment1 explains the requirements. Regulation34 requires a properly prepared voyage plan, with the detail for small pleasure craft depending on vessel size, crew and voyage.

Record the route, hazards, tidal constraints and contingencies in a form usable during the passage. A written plan and contemporaneous log help the skipper monitor decisions and progress. However, vessels below150GT are exempt from the general Regulation28 navigation-record requirement. Absence of a deck log is not an automatic finding of gross negligence or automatic cancellation of insurance.

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The Four Stages of Voyage Planning (IMO Res. A.893(21))

IMO Resolution A.893(21), Guidelines for Voyage Planning, formalizes the navigation process into four distinct, chronological stages: Appraisal, Planning, Execution, and Monitoring (commonly remembered by the acronym APEM).

     ┌────────────────────────────────────────────────────────┐
     │                 1. APPRAISAL                           │
     │  Gather charts, tide tables, pilots, weather, vessel & │
     │  crew data. Identify all constraints.                  │
     └──────────────────────────┬─────────────────────────────┘
                                │
                                ▼
     ┌────────────────────────────────────────────────────────┐
     │                 2. PLANNING                            │
     │  Construct berth-to-berth route: courses, tidal gates, │
     │  no-go areas, safe margins, fuel, and abort havens.    │
     └──────────────────────────┬─────────────────────────────┘
                                │
                                ▼
     ┌────────────────────────────────────────────────────────┐
     │                 3. EXECUTION                           │
     │  Brief crew, conduct vessel pre-departure checks, slip │
     │  lines, and navigate dynamically to meet schedule.     │
     └──────────────────────────┬─────────────────────────────┘
                                │
                                ▼
     ┌────────────────────────────────────────────────────────┐
     │                 4. MONITORING                          │
     │  Continuous redundant position fixing (visual, radar,  │
     │  depth, GNSS). Maintain logbook. Update plan.          │
     └──────────────────────────┬─────────────────────────────┘
                                │ (Dynamic Feedback Loop)
                                └───────────────► [Re-evaluate]

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Stage 1: Appraisal (Information Gathering)

Appraisal is the systematic collection, verification, and assessment of all relevant information regarding the proposed passage, vessel capabilities, and crew stamina. A plan cannot be safer than the quality of the data upon which it is built.

Key appraisal elements include:

1. Nautical Charts: Standard navigational charts of suitable scale (large-scale charts for port approaches and pilotage waters; medium-scale for coastal transit; small-scale for overall passage strategy). All charts must be fully corrected up to the latest published Admiralty Notices to Mariners (NtMs).
2. Nautical Publications:
   • Admiralty Sailing Directions (Pilots): Local topographic landmarks, currents, prevailing winds, harbour regulations, and pilot boarding stations.
   • Admiralty Tide Tables (ATT) and Tidal Stream Atlases (NP series): High and low water times/heights, tidal curves, and hourly stream vectors relative to reference ports.
   • Admiralty List of Lights and Fog Signals: Precise light characteristics, elevations, nominal ranges, and sectors.
   • Admiralty List of Radio Signals (ALRS): Vessel Traffic Service (VTS) frequencies, Coastguard Maritime Safety Information (MSI) broadcast schedules, Navtex stations, and port VHF channels.
3. Meteorological Forecasts: Synoptic weather charts (surface pressure analysis and prognosis), inshore waters forecasts, coastal shipping forecasts, and high-resolution wind/wave models.
4. Vessel Seaworthiness & Readiness: Engine reliability, fuel and freshwater capacities, battery bank state of charge, bilge pumping systems, draft, air draft (mast height clearance), and safety equipment appropriate to the passage and any applicable carriage requirements (including lifesaving, distress-signalling and firefighting equipment).
5. Crew Assessment: Watch-keeping competence, experience in night navigation and heavy weather, physical stamina, seasickness vulnerability, and medical constraints.

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Stage 2: Planning (Berth-to-Berth Route Construction)

Planning transforms appraisal data into a detailed, actionable navigational trajectory from berth to berth. A compliant plan must never start at a harbor entrance sea buoy—it must account for unmooring, harbor channels, coastal waters, open sea, and final berthing.

Key planning components:

• True and Magnetic Tracks: Plotting true ground tracks, converting to magnetic headings using charted variation, and calculating Courses to Steer (CTS) incorporating tidal stream vectors and estimated wind leeway.
• No-Go Areas: Shade drying banks and reefs unsafe at the planned tide, plus areas closed by current restrictions or firing activity. Check each conservation site’s navigation and anchoring rules before marking a no-go boundary.
• Margins of Safety: Establishing minimum stand-off distances from lee shores, headlands, and shallow soundings (e.g., maintaining at least 1.0 NM offshore from drying reefs or keeping outside the 10-metre depth contour).
• Tidal Gates: Identifying geographic pinch-points where tidal streams run at extreme velocity or create dangerous overfalls (e.g., Portland Bill, Alderney Race). Departure times must be timed backwards from these gates.
• Fuel Budgeting: Calculating expected engine fuel burn at cruising RPM plus a reserve selected for expected delays, adverse conditions, harbour manoeuvring and diversion, checked against usable fuel.
• Contingency Strategy: Designating primary and secondary ports of refuge (safe havens) and setting Abort Points where conditions for continuing are reviewed while the planned safe alternative remains available.
• Communication & Passage Notification: Leave the route and expected return time with a reliable shore contact. Agree when they should raise the alarm with the Coastguard if you are overdue.

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Stage 3: Execution (Tactical Departure & Passage Making)

Execution encompasses the transition from plan to reality. It begins with comprehensive preparation before slipping lines:

1. Crew Briefing: Reviewing the route, anticipated sea state, watch rotation schedule (e.g., three-watch or four-watch system), the skipper’s deck safety and tethering policy for the expected conditions, and emergency assignments.
2. Pre-Departure Vessel Checks: Engine oil level, coolant level, raw water sea-strainer, alternator belt tension, fuel tank levels and primary fuel filter bowls (checking for water or bacterial sludge), steering gear inspection, seacocks, and electronics operational tests.
3. Taking Departure: Noting exact log reading, time, and compass heading as the vessel passes the departure datum or harbor breakwater.
4. Tactical Flexibility: Adjusting engine RPM or sail configuration to compensate for unexpected headwinds or sea states, ensuring the vessel hits planned tidal gates precisely on schedule.

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Stage 4: Monitoring (Continuous Independent Verification)

Monitoring is the continuous, vigilant surveillance of the vessel's actual progress relative to the planned track. A passage plan is not self-executing; it requires constant verification.

Core monitoring doctrines:

• Multi-Source Position Fixing: Never rely solely on a single navigation aid (such as a GPS/GNSS electronic chart plotter). Cross-check satellite fixes using independent traditional methods: three-bearing visual fixes on charted landmarks, radar ranges, and echo-sounder checks against charted contours after allowing for instrument offset and height of tide.
• Cross-Track Error (XTE): Monitoring lateral drift off the planned track line caused by unpredicted tidal set or excessive wind leeway.
• The Deck Logbook: A contemporaneous written record maintained in ink. Record position, course, speed, log and engine readings, weather and significant decisions at intervals suited to the hazards and pace of the passage; increase the frequency in pilotage waters.

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Customs and Border Formalities

Before an international passage, check the current departure and arrival requirements of both countries. Carry the required travel and vessel documents, and account for people, stores and goods on board.

For UK pleasure-craft reporting, the current online sPCR service requires a voyage report between 24 and 2 hours before departure. Supply vessel/skipper details, everyone’s travel-document details and the planned departure/arrival times; keep the reference. Amend changed plans or cancel an abandoned voyage promptly. If online reporting is unavailable, follow HMRC’s published fallback procedure; its timing and arrival-contact instructions differ from online reporting. Reporting a voyage does not replace any customs or immigration clearance required by the authorities.

Use the current HMRC/Border Force reporting instructions and destination authority guidance during appraisal; do not assume a previous trip’s arrangements still apply.

Protecting the Marine Environment

Make pollution prevention part of the passage and anchorage plan:

• Prevent fuel spills: maintain lines, avoid overfilling and use absorbent material to catch drips. Check for oil before pumping bilges. Take waste oil and contaminated materials to suitable shore facilities.
• Use shore toilets and sewage pump-out facilities where available. Avoid discharging sewage in bathing waters, harbours or other poorly flushed areas, and comply with local restrictions.
• Locate sensitive seabed habitats before anchoring; use suitable moorings or anchor clear of seagrass and avoid dragging/scouring. Keep speed, wash and noise low near wildlife.
• Retain rubbish for shore disposal and secure it against blowing overboard.

Example: Stop an accidental refuelling spill at its source if safe, contain it with absorbent pads and notify harbour staff. Do not disperse it with detergent.

Sources: RYA Green Blue oil/fuel guidance, sustainable boating, anchoring with care.

Master Passage Planning Checklist