Rules 1-3

COLREGS Rules 1-3: The Foundation

Explained for Gen Z Merchant Seafarers

Part 1: Rule 1 – Application (2 minutes)

The Rule in Plain English:

Rule 1 applies to ALL vessels on the high seas and ANY waters connected to the high seas that seagoing ships can navigate.

Think of it like this: Once you leave the harbour, COLREGS are your law.

What This Actually Means:

A bulk carrier entering the Thames Estuary to London Port? Still must follow COLREGS.

A container ship in Singapore Strait? COLREGS applies.

A tanker on a major river connected to the sea? COLREGS applies.

A small yacht anywhere it can physically go on seawater? COLREGS applies.

The keyword: “Seagoing vessels” = any ship that CAN go to sea, regardless of size. This includes your friend’s sailboat if it ventures beyond the harbour entrance.

The Exceptions (Rule 1b & 1c):

BUT — local authorities can make special rules for:

Harbours and ports

Rivers and inland waterways

Lakes connected to the sea

Important: These special rules MUST NOT contradict COLREGS. Local rules complement (add on) COLREGS; they don’t replace them.

Real-World Example for Merchant Ships:

Scenario: Your bulk carrier is moving from the open ocean into Singapore Strait during the monsoon season.

Situation

Outside Singapore Strait (high seas)

Entering Singapore Strait (Traffic Separation Scheme)

What Applies

Full COLREGS apply

COLREGS + TSS rules apply (Rule 10)

Situation

Singapore Port approach

What Applies

COLREGS + Singapore Port Authority local rules apply

Part 2: Rule 2 – Responsibility (2 minutes)

The Golden Rule:

Rule 2 states: “Nothing shall excuse ANY vessel, owner, master, or crew from the consequences of NOT following these rules.”

What This Means in Simple Terms:

Nobody can hide behind excuses. This is the “no free pass” rule.

Rule 2(a) – Absolute Responsibility

Translation: You can’t say “I didn’t know” or “I forgot” or “the radar was broken.”

Who is responsible?

The vessel itself (officially)

The owner (company responsibility)

The master (Captain’s responsibility)

The crew (Your responsibility)

Practical example: If your OOW (Officer of the Watch) fails to follow COLREGS during a watch:

The OOW is responsible

The master is responsible (for not supervising)

The shipping company is responsible (for not training)

The vessel is accountable

Rule 2(b) – The “Emergency Exit” Clause

BUT WAIT! Rule 2(b) allows you to break the rules ONLY if:

There is immediate danger (not “maybe later” danger)
After considering the vessel’s limitations
Breaking the rules is the best way to avoid that immediate danger
CRITICALLY: You must return to COLREGS compliance as soon as the immediate danger passes

What this is NOT:

A permanent exemption

An excuse to ignore rules “just in case”

Permission to break rules multiple times for multiple vessels

Common Student Misunderstandings ⚠

❌ WRONG: “Our ship is big, so other ships should give way.”

✅ RIGHT: Every vessel must follow the same COLREGS, regardless of size.

❌ WRONG: “We can ignore Rule 2 if we’re in local waters.”

✅ RIGHT: Rule 2 applies EVERYWHERE the COLREGS apply.

❌ WRONG: “If both OOWs agree to something different on the radio, we can ignore COLREGS.”

✅ RIGHT: Verbal agreements and friendly arrangements NEVER override COLREGS.

Real Merchant Ship Collision Example:

The Case of the Happy Falcon & Scot Explorer (2023):

Two cargo ships were proceeding southwest off Denmark. Happy Falcon (gas carrier) broke down and came to a stop, but did NOT display “vessel not under command” signals. The ship’s navigational status was not updated on AIS, and no safety warning was broadcast.

Scot Explorer (general cargo ship) maintained course and speed, unaware Happy Falcon was stationary.

What happened:

Scot Explorer’s master was busy with other duties and wasn’t monitoring traffic

By the time collision was noticed (200 meters away), it was too late

Collision occurred; hull damage to both vessels

Rule 2 responsibility applied to:

Happy Falcon’s master: Failed to signal vessel not under command (Rule 2 violation)

Scot Explorer’s master: Failed to maintain proper lookout (Rule 2 violation)

Both shipping companies: Responsible for the accidents

Lesson: Rule 2 means you’re 100% responsible. No escaping it.

Part 3: Rule 3 – Definitions (2 minutes)

Why This Matters:

You cannot follow rules if you don’t know what the words mean. Rule 3 is the “dictionary” that prevents confusion.

The Key Definitions:

Vessel (Rule 3a)

ANY watercraft used for transportation on water

Includes: container ships, bulk carriers, tankers, fishing vessels, pleasure yachts, sailboats, seaplanes

Does NOT include: jet skis, kayaks (not really “transportation vessels”)

Power-Driven Vessel (Rule 3b)

Any vessel propelled by machinery/engine

A sailing vessel with an engine running = power-driven vessel

A power vessel with its engine off but still drifting = power-driven vessel

Tricky part: A sailing ship with an engine RUNNING for electricity or heating = still a sailing vessel IF the propeller isn’t engaged. The propeller is the key.

Sailing Vessel (Rule 3c)

Propelled by sails, provided machinery is NOT being used for propulsion

If you turn the engine on to move the ship forward = now it’s power-driven (not sailing)

Vessel Engaged in Fishing (Rule 3d)

Using nets, lines, trawls, or gear that restricts manoeuvrability

Key word: RESTRICTS (meaning limits their ability to turn or change course quickly)

Does NOT include: fishing with trolling lines (which don’t restrict movement)

Merchant ship note: If you see a fishing vessel, it has RIGHT OF WAY over most other vessels.

Vessel NOT Under Command (Rule 3f)

Through exceptional circumstances, unable to manoeuvre as required

Unable to keep out of the way of another vessel

Examples: Main engine failure, shaft damage, fire on bridge, loss of steering

Display signals: Two red balls in vertical line (or red lights at night)

Vessel Restricted in Ability to Maneuver (Rule 3g)

From the nature of its work, restricted in ability to maneuver

Unable to keep out of the way

Examples:

Dredging operations

Laying submarine cables

Towing operation (severely restricting movement)

Replenishing stores at sea

Mine clearance

Vessel Constrained by Draft (Rule 3h) — INTERNATIONAL WATERS ONLY

Power-driven vessel

Because of its draft (how deep it sits in water) and the water depth available

Severely restricted in its ability to deviate from its course

Example: A deep-drafted tanker in a shallow-draft river has limited options

Note: This does NOT apply in inland/US waters because it can be abused.

Underway (Rule 3i) — CRITICAL DEFINITION

A vessel is NOT:

At anchor

Made fast to shore

Aground

If it’s NONE of the above = it’s UNDERWAY

This is important because COLREGS apply differently to underway vs. anchored vessels.

Common Student Confusion Chart

Term

Power-driven vessel

Fishing vessel

Not under command

Underway

Vessel constrained by draft

Often Confused With

Sailing vessel

Vessel restricted to manoeuvre

Restricted in ability to manoeuvre

Anchored

Restricted in ability to maneuver

Key Difference

Power-driven USES ENGINE for propulsion; Sailing uses SAILS

Fishing = actively fishing with restricting gear; Restricted = can’t manoeuvre due to work (dredging, towing, etc.)

NUC = emergency (engine failure); Restricted = normal work operations

Underway = free-floating; Anchored = deliberately stopped

Constrained = navigation difficulty due to depth; Restricted = work operations limiting movement

Real Merchant Ship Examples:

Scenario 1: Your bulk carrier enters a port with a submarine cable being laid

The cable-laying vessel has a blue-white-blue ball day shape (vessel restricted in its ability to manoeuvre). Your bulk carrier must give way and avoid it. This is NOT just a suggestion—it’s COLREGS Rule 3.

Scenario 2: You’re in a busy sea lane and see signals ahead

Two red vertical lights = Vessel not under command. This could be a container ship with engine failure. You must treat it as an obstacle and change course to avoid it.

Scenario 3: A trawler shows signs of restriction

If a fishing vessel is actively trawling (nets restricting movement), it has right of way over your power-driven merchant ship. But if it’s just motoring with nets stowed? It’s just a regular power-driven vessel.

Part 4: Common Exam Traps & Misunderstandings

Trap 1: Rule 1 – Local Waters Exception

❌ WRONG: “In our port, different rules apply because it’s local waters.”

✅ RIGHT: Local rules can ONLY supplement COLREGS, never replace them. COLREGS always apply.

Trap 2: Rule 2 – The Emergency Escape Myth

❌ WRONG: “We were in restricted visibility, so Rule 2 doesn’t apply.”

✅ RIGHT: Rule 2 ALWAYS applies. Restricted visibility doesn’t excuse breaking rules; it requires MORE caution.

Trap 3: Rule 3 – Power-Driven with Sails

❌ WRONG: “A sailing ship with an engine idle is a sailing vessel.”

✅ RIGHT: If the engine can be used for propulsion (even if not running), and the propeller is engaged, it’s power-driven for collision avoidance purposes.

Trap 4: Rule 3 – Fishing Vessel Definition

❌ WRONG: “Any boat fishing is a fishing vessel under COLREGS Rule 3.”

✅ RIGHT: ONLY vessels with gear that RESTRICTS maneuverability count. Trolling vessels don’t count.

Trap 5: Rule 3 – Underway Confusion

❌ WRONG: “Our ship is underway if the engine is running.”

✅ RIGHT: Underway means NOT at anchor, NOT made fast, NOT aground. The engine state doesn’t matter.

Quick Reference: The 5-Minute Takeaway

Rule 1: COLREGS apply to all seagoing vessels on high seas and connected waters (with local rule exceptions).

Rule 2: Nobody has excuses for breaking the rules. Everyone—vessel, owner, master, crew—is responsible. You CAN break rules ONLY to avoid immediate danger, then must return to compliance.

Rule 3: Know your definitions. Power-driven, sailing, fishing, not under command, restricted to manoeuvre, constrained by draft, underway—these words have precise meanings and different right-of-way rules.

Golden Lesson: COLREGS aren’t suggestions. They’re your contract with every other vessel at sea. Break them = collision risk = serious consequences for everyone onboard and ashore.