Implementation of the Polar Code: Functional Requirements Regulating Ship Operations in Polar Waters

• Author: Espen Engtrø, Ove Tobias Gudmestad, Ove Njå
• Position: Faculty of Science and Technology, Department of Safety, Economics and Planning
• Pages: 146-168

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Citation: Espen Engtrø, Ove Tobias Gudmestad & Ove Njå. “Implementation of the Polar Code: Functional Requirements

Regulating Ship Operations in Polar Waters” Arctic Review on Law and Politics, Vol. 11, 2020, pp. 47–69. http://dx.

doi.org/10.23865/arctic.v11.2240

Arctic Review on Law and Politics

Vol. 11, 2020, pp. 47–69

47

*Correspondence to: Espen Engtrø, email: espen.engtro@uis.no

Peer-reviewed article

Implementation of the Polar Code:

Functional Requirements Regulating

Ship Operations in Polar Waters

Espen Engtrø1, Ove Tobias Gudmestad2 and Ove Njå1

1Faculty of Science and Technology, Department of Safety, Economics and Planning,

University of Stavanger, Norway; 2Faculty of Science and Technology, Department of

Mechanical and Structural Engineering and Mater ials Science, University of Stavanger,

Norway

Abstract

In 2017, the The International Code for Ships Operating in Polar Waters (Polar Code) – a set of

function-based regulations applicable to Arctic and Antarctic waters, with the goal of increasing

awareness and improving safety for ship operations in polar waters – entered into force. This arti-

cle examines the Polar Code’s contribution to the establishment of new standards and guidelines,

with the problem under discussion being the extent to which the function-based regulations contribute

to enhancing safety for ship operations in the Arctic, given that maritime activities in these waters are

associated with great risks and uncertainties. The article gives a historical review, elucidating the back-

ground leading to the development of the Polar Code, followed by a review of the structure and

key principles of the regulations. Further, ship trafc in the Arctic region and those subject to the

Polar Code are examined, followed by a summary of ndings and experiences from three survival

exercises (SARex I, II and III), performed in northern areas around Svalbard between 2016 and

2018. The article concludes that safe ship operations depend on those subject to the regulations

conducting thorough operational risk assessments that cover all potential hazards, in order to mit-

igate sufciently. Further, the presence of authorities is found to be crucial, with validation of the

adequacy and the dimensioning of the implemented measures being of the essence.

Keywords: Arctic shipping; risk management; emergency response; regulatory governance

Responsible Editor: Øyvind Ravna, Faculty of Law, UiT The Arctic University of

Norway, Tromsø, Norway

Received: March 2020; Accepted: June 2020; Published: August 2020

Espen Engtrø, Ove Tobias Gudmestad & Ove Njå

48

1 Introduction

The International Code for Ships Operating in Polar Waters (Polar Code) came into force

on 1 January 2017, to increase awareness and improve safety for ship operations in

polar waters, covering both the Arctic and the Antarctic.1 The function-based regu-

lations constitute a continuation of existing regulations, made mandatory under the

International Convention for the Safety of Life at Sea (SOLAS) and the Interna-

tional Convention for the Prevention of Pollution from Ships (MARPOL), applica-

ble to all waters. The goals for implementing the Polar Code are “to provide for safe

ship operation and the protection of the polar environment by addressing risks pres-

ent in polar waters and not adequately mitigated by other instruments of the Organi-

zation”.2 The problem discussed in this article is the extent to which the function-based

regulations contribute to enhancing the safety of ship operations in the Arctic, given that

maritime activities in these waters are associated with great risks and uncertainties. The

Polar Code’s risk-based approach to determining the scope of ship operations and its

holistic approach to reducing identied risks3 implies industry self-regulation as its

main principle. We argue that self-regulation demands strong professional integrity

and high levels of competence, both from those subject to the regulations and the

authorities, and from the recognized classication societies issuing the Polar Ship

Certicate. The topic addressed is risk regulation at the international and governing

levels, with complex issues handled by a variety of industries and involved parties;

our main concern is the capability to handle major emergency situations in cold

climate areas.4

The article examines the processes which led to the Polar Code before evaluating

implementation and enforcement of the regulations. It starts with a historical review

that elucidates the work leading to the Polar Code. A review of the structure and key

principles of the regulations follows. Then ship trafc in the Arctic region and those

subject to the regulations are examined. This is followed by a summary of experi-

ences and lessons learned from three Arctic search and rescue (SAR) exercises.5

Then we discuss new guidelines under development for ship operations in the Arc-

tic Region in the wake of the Polar Code. Finally, a systematic collection of data

on related matters has been carried out, enabling us to evaluate how practices are

evolving.

Theissues raised in this article were rst addressed by the authors in a paperpub-

lished in Norwegian;6 however, the text has been expanded considerablyand updated

with information aboutthe implementation of regulations since 2018.

2 The Polar Code’s historical development

In 1989, the oil tanker, Exxon Valdez, ran aground near the coast of Alaska, becom-

ing one of history’s largest environmental disasters.7 The accident subsequently

raised public awareness, and an international process was initiated, in which several