Mass Rescue Operations: International Agreements and Guidance

By David Jardine-Smith, International Maritime Rescue Foundation (IMRF)

The IMO define rescue as the “operation to retrieve persons in distress, provide for their initial medical or other needs and deliver them to a place of safety,” and a mass rescue operation (MRO) as “characterized by the need for immediate response to large numbers of persons in distress such that the capabilities normally available to the search and rescue [SAR] authorities are inadequate.”

It is important to be clear what we are talking about – and to note that the definition of an MRO does not specify any particular cause for the accident. The main consideration is that there are so many people to rescue that there is a “capability gap” - “the capabilities normally available to the SAR authorities are inadequate”.

The development of international agreements

RMS Titanic was a passenger liner that sank in the North Atlantic Ocean in the early morning of April 15, 1912 after colliding with an iceberg during her maiden voyage from Southampton, U.K., to New York City, U.S. The sinking resulted in the loss of more than 1,500 passengers and crew. The disaster caused worldwide shock and outrage at the huge loss of life and the regulatory and operational failures that had led to it. Public inquiries in Britain and the United States led to major improvements in maritime safety. One of their most important legacies was the establishment in 1914 of the International Convention for the Safety of Life at Sea (SOLAS).

The ro-ro ferry Estonia sank on September 28, 1994. She had 803 passengers and 186 crew aboard – 989 in total. 138 were rescued alive, 137 survived. 34 were rescued by ships (16 by the ferry Isabella using her evacuation slides), 104 by helicopters. The disaster led to major changes in SOLAS and long debate on how to improve ships’ rescue capabilities, and on maritime MROs generally, in which IMRF has been fully involved.

Note that it is very important to learn lessons from those who have been involved in MROs. Esa Mäkelä, formerly the Master of the Baltic ferry Silja Europa and On Scene Coordinator for the Estonia case, was asked to speak for the first time about his experiences at IMRF’s first MRO conference, in June 2010.

The increasing size of passenger ships (rather than a particular accident) led IMO to instigate a very thorough review of the relevant SOLAS regulations in the early 2000s, to ensure that they remained fit for purpose. Some of the current IMO MRO guidance stemmed from that review: IMRF participated in its drafting.

Costa Concordia stranded on Giglio on January 13, 2012. She had 3,229 passengers and 1,023 crew aboard – a total of 4252. 32 died. The resulting discussion at IMO was limited, as the cruise industry was agreed to be generally safe; the ship pre-dated the latest SOLAS amendments; and the accident was primarily the result of bad seamanship. However, it showed that accidents do happen.

Passenger ferries, mostly in developing countries where safety standards are lax and response resources are lacking, are actually a much greater hazard. IMRF strongly support efforts to improve safety standards as well as MRO response capability.

United Nations Convention on the Law of the Sea (UNCLOS, 1982)

UNCLOS is the primary United Nations agreement on maritime SAR. Article 98 says:

“1. Every State shall require the master of a ship flying its flag, in so far as he can do so without serious danger to the ship, the crew or the passengers:

(a) to render assistance to any person found at sea in danger of being lost;

(b) to proceed with all possible speed to the rescue of persons in distress, if informed of their need of assistance, in so far as such action may reasonably be expected of him;

(c) after a collision, to render assistance to the other ship, its crew and its passengers and, where possible, to inform the other ship of the name of his own ship, its port of registry and the nearest port at which it will call.

“2. Every coastal State shall promote the establishment, operation and maintenance of an adequate and effective search and rescue service regarding safety on and over the sea and, where circumstances so require, by way of mutual regional arrangements cooperate with neighboring States for this purpose.”

International Convention for the Safety of Life at Sea (SOLAS, 1974, as amended)

The SOLAS Convention in its successive forms is generally regarded as the most important of all international treaties concerning the safety of merchant ships. It applies to most ships trading internationally – but not to domestic ferries (see the Manila Statement, below). It ensures that ships flagged by signatory States comply with minimum safety standards in construction, equipment and operation.

Extracts relevant to SAR include:

Chapter V, Regulation 7 - Search and rescue services:

“1 Each Contracting Government undertakes to ensure that necessary arrangements are made for distress communication and coordination in their area of responsibility and for the rescue of persons in distress at sea around its coasts. These arrangements shall include the establishment, operation and maintenance of such search and rescue facilities as are deemed practicable and necessary, having regard to the density of the seagoing traffic and the navigational dangers, and shall, so far as possible, provide adequate means of locating and rescuing such persons.

“2 Each Contracting Government undertakes to make available information to the Organization concerning its existing search and rescue facilities and the plans for changes therein, if any.”

Chapter III Regulation 17-1: “All ships shall have ship-specific plans and procedures for recovery of persons from the water, taking into account the guidelines developed by the Organization…”

Chapter V Regulation 7-3: “Passenger ships to which chapter I applies shall have on board a plan for cooperation with appropriate search and rescue services in the event of an emergency…”

Chapter V Regulation 33-1: “The master of a ship at sea which is in a position to be able to provide assistance, on receiving information from any source that persons are in distress at sea, is bound to proceed with all speed to their assistance…”

Chapter V Regulation 33-1-1: “Contracting Governments shall coordinate and cooperate to ensure that masters of ships providing assistance by embarking persons in distress at sea are released from their obligations with minimum further deviation from the ships' intended voyage…”

The Manila Statement, 2015

The Manila Statement on Enhancement of the Safety of Ships Carrying Passengers on Non-International Voyages was agreed at a conference hosted by the Philippines Government in April 2015. The Statement urges States to work with other stakeholders on domestic ferry issues, with the “long-term objective” of aligning national requirements with those of the relevant IMO Conventions.

The Manila Statement also recommends the use of guidelines finalized by the conference and asks for feedback; and the IMO has now endorsed this approach.

SAR Convention, 1979, as amended

The International Convention on Maritime Search and Rescue (2006 edition) defines “rescue,” “search and rescue service,” “distress phase,” etc. Chapter 2.1.1 states that “Parties shall, as they are able to do so individually or in cooperation with other States and, as appropriate, with the [IMO], participate in the development of search and rescue services to ensure that assistance is rendered to any person in distress at sea…”

The SAR Convention covers organization and coordination of SAR services; cooperation between States; operating procedures; and ship reporting systems – but does not mention mass rescue operations.

The IAMSAR Manual

In 1979, when the SAR Convention was agreed, there were two international manuals on search and rescue: MERSAR & IMCOSAR (later IMOSAR). The conference which agreed the Convention resolved (SAR Convention, Resolution 4) “to urge States to use the guidelines provided in the manuals and to bring them to the attention of all concerned”. A footnote to the amended SAR Convention notes that MERSAR & IMOSAR have been superseded by the International Aeronautical & Maritime Search and Rescue (IAMSAR) Manual.

IAMSAR now contains the main international guidance on SAR. It is co-owned and administered by the International Civil Aviation Organization (ICAO) and the International Maritime Organization (IMO), and comprises three volumes:

Volume I: Organization and Management

Volume II: Mission Coordination

Volume III: Mobile Facilities

The Manual is updated every three years: the next edition will be published in 2016. Detailed work on the Manual is done by an ICAO / IMO Joint Working Group on SAR, which meets annually and which the IMRF participates in.

Unlike the Conventions, Volumes I & II of the IAMSAR Manual define and provide some guidance on mass rescue operations. Volume III, carried by “mobile facilities”, does not mention MROs.

Volume I provides guidance on the SAR Coordinator’s strategic planning role in general and outline MRO guidance at Chapter 6.6. It also provides guidance on risk analysis (Appendix L); use of regional resources (Chapter 1); and training, exercises & drills (Chapter 3).

Volume II provides detailed guidance on mission coordination and communications, and specific guidance on mass rescue operations in Chapter 6.15 & Appendix C. It also provides guidance on public relations (Chapter 1.10.5-6 & 6.15.48-64); survival factors (Chapter 3.8.6); medical assistance & triage (Chapters 1.4 and 6.6, and Appendix R); supporting survivors during rescue (Chapters 1.4, 6.6, 6.16, 6.17, 6.18 & Appendix R); places of safety (Chapter 6.15.67-71, 6.16, 6.17 & 6.18); identifying additional resources (Chapter 1.3 & Appendix G); and training, exercises and drills (Chapter 1.2.2, & 1.8).

Volumes II & III of the 2016 edition of IAMSAR will contain significant new text on multiple aircraft SAR operations, including aircraft coordination. The MRO guidance in Volume II Chapter 6.15 will be slightly amended and clarified, and the guidance on survival factors in Volume II, Chapter 3.8.6, will also be amended.

Other international guidance on MROs

The following IMO Circulars, which are freely available, deal with aspects of MROs:

• COMSAR/Circ.31: Guidance for Mass Rescue Operations
• MSC.1/Circ.1186: Guidelines on the training of SAR service personnel working in major incidents
• MSC.1/Circ.1183: Guidelines on the provision of external support as an aid to incident containment
• MSC.1/Circ.1184: Enhanced contingency planning guidance for passenger ships operating in areas remote from SAR facilities
• MSC.1/Circ.1182/Rev.1: Guide to recovery techniques
• MSC.1/Circ.1447: Guidelines for the development of plans and procedures for recovery of persons from the water
• MSC.1/Circ.1079: Guidelines for preparing plans for cooperation between SAR services and passenger ships – note that this Circular is currently under review.

The reader is also referred to:

• The International Chamber of Shipping (ICS)’s Large Scale Rescue Operations at Sea, 2015
• ICS’s Recovery of Persons from the Water: guidelines for the development of plans and procedures, 2014
• IMO, UNHCR & ICS’s, Rescue at Sea: a guide to principles and practice as applied to refugees and migrants, 2015.

See also http://www.uscg.mil/pvs/ for material made freely available by the United States Coast Guard, and https://www.international-maritime-rescue.org/homemropublic for the IMRF’s reference library and MRO guidance.

Mass rescue operations are low probability / high consequence events. They are rare, but when they happen they can be overwhelming if unprepared for. We must plan to fill the capability gap.