This document is an excerpt from the EUR-Lex website
Document 02009L0016-20191221
Directive 2009/16/EC of the European Parliament and of the Council of 23 April 2009 on port State control (Recast) (Text with EEA relevance)Text with EEA relevance
Consolidated text: Directive 2009/16/EC of the European Parliament and of the Council of 23 April 2009 on port State control (Recast) (Text with EEA relevance)Text with EEA relevance
Directive 2009/16/EC of the European Parliament and of the Council of 23 April 2009 on port State control (Recast) (Text with EEA relevance)Text with EEA relevance
02009L0016 — EN — 21.12.2019 — 004.002
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
|
DIRECTIVE 2009/16/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 23 April 2009 on port State control (Recast) (OJ L 131 28.5.2009, p. 57) |
Amended by:
|
|
|
Official Journal |
||
|
No |
page |
date |
||
|
DIRECTIVE 2013/38/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 12 August 2013 |
L 218 |
1 |
14.8.2013 |
|
|
REGULATION (EU) No 1257/2013 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 20 November 2013 |
L 330 |
1 |
10.12.2013 |
|
|
REGULATION (EU) 2015/757 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 29 April 2015 |
L 123 |
55 |
19.5.2015 |
|
|
DIRECTIVE (EU) 2017/2110 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 15 November 2017 |
L 315 |
61 |
30.11.2017 |
|
Corrected by:
DIRECTIVE 2009/16/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 23 April 2009
on port State control
(Recast)
(Text with EEA relevance)
Article 1
Purpose
The purpose of this Directive is to help to drastically reduce substandard shipping in the waters under the jurisdiction of Member States by:
increasing compliance with international and relevant Community legislation on maritime safety, maritime security, protection of the marine environment and on-board living and working conditions of ships of all flags;
establishing common criteria for control of ships by the port State and harmonising procedures on inspection and detention, building upon the expertise and experience under the Paris MOU;
implementing within the Community a port State control system based on the inspections performed within the Community and the Paris MOU region, aiming at the inspection of all ships with a frequency depending on their risk profile, with ships posing a higher risk being subject to a more detailed inspection carried out at more frequent intervals.
Article 2
Definitions
For the purposes of this Directive the following definitions shall apply:
‘Conventions’ means the following Conventions, with the Protocols and amendments thereto, and related codes of mandatory status, in their up-to-date version:
the International Convention on Load Lines, 1966 (LL 66);
the International Convention for the Safety of Life at Sea, 1974 (SOLAS 74);
the International Convention for the Prevention of Pollution from Ships, 1973, and the 1978 Protocol relating thereto (Marpol 73/78);
the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 (STCW 78/95);
the Convention on the International Regulations for Preventing Collisions at Sea, 1972 (Colreg 72);
the International Convention on Tonnage Measurement of Ships, 1969 (ITC 69);
▼M1 —————
the International Convention on Civil Liability for Oil Pollution Damage, 1992 (CLC 92);
the Maritime Labour Convention, 2006 (MLC 2006);
the International Convention on the Control of Harmful Anti-fouling Systems on Ships, 2001 (AFS 2001);
the International Convention on Civil Liability for Bunker Oil Pollution Damage, 2001 (Bunkers Convention, 2001).
‘Paris MOU’ means the Memorandum of Understanding on Port State Control, signed in Paris on 26 January 1982, in its up-to-date version.
‘Framework and procedures for the Voluntary IMO Member State Audit Scheme’ means IMO Assembly Resolution A.974(24).
‘Paris MOU region’ means the geographical area in which the signatories to the Paris MOU conduct inspections in the context of the Paris MOU.
‘Ship’ means any seagoing vessel to which one or more of the Conventions apply, flying a flag other than that of the port State.
‘Ship/port interface’ means the interactions that occur when a ship is directly and immediately affected by actions involving the movement of persons or goods or the provision of port services to or from the ship.
‘Ship at anchorage’ means a ship in a port or another area within the jurisdiction of a port, but not at berth, carrying out a ship/port interface.
‘Inspector’ means a public-sector employee or other person, duly authorised by the competent authority of a Member State to carry out port-State control inspections, and responsible to that competent authority.
‘Competent authority’ means a maritime authority responsible for port State control in accordance with this Directive.
‘Night time’ means any period of not less than seven hours, as defined by national law, and which must include, in any case, the period between midnight and 5.00.
‘Initial inspection’ means a visit on board a ship by an inspector, in order to check compliance with the relevant Conventions and regulations and including at least the checks required by Article 13(1).
‘More detailed inspection’ means an inspection where the ship, its equipment and crew as a whole or, as appropriate, parts thereof are subjected, in the circumstances specified in Article 13(3), to an in-depth examination covering the ship’s construction, equipment, manning, living and working conditions and compliance with on-board operational procedures.
‘Expanded inspection’ means an inspection, which covers at least the items listed in Annex VII. An expanded inspection may include a more detailed inspection whenever there are clear grounds in accordance with Article 13(3).
‘Complaint’ means any information or report submitted by any person or organisation with a legitimate interest in the safety of the ship, including an interest in safety or health hazards to its crew, on-board living and working conditions and the prevention of pollution.
‘Detention’ means the formal prohibition for a ship to proceed to sea due to established deficiencies which, individually or together, make the ship unseaworthy.
‘Refusal of access order’ means a decision issued to the master of a ship, to the company responsible for the ship and to the flag State notifying them that the ship will be refused access to all ports and anchorages of the Community.
‘Stoppage of an operation’ means a formal prohibition for a ship to continue an operation due to established deficiencies which, individually or together, would render the continued operation hazardous.
‘Company’ means the owner of the ship or any other organisation or person such as the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the owner of the ship and who, on assuming such responsibility, has agreed to take over all the duties and responsibilities imposed by the International Safety Management (ISM) Code.
‘Recognised Organisation’ means a classification company or other private body, carrying out statutory tasks on behalf of a flag State administration.
‘Statutory certificate’ means a certificate issued by or on behalf of a flag State in accordance with Conventions.
‘Classification certificate’ means a document confirming compliance with SOLAS 74, Chapter II-1, Part A-1, Regulation 3-1.
‘Inspection database’ means the information system contributing to the implementation of the port State control system within the Community and concerning the data related to inspections carried out in the Community and the Paris MOU region.
‘Maritime labour certificate’ means the certificate referred to in Regulation 5.1.3 of MLC 2006.
‘Declaration of maritime labour compliance’ means the declaration referred to in Regulation 5.1.3 of MLC 2006.
‘ro-ro passenger ship’ means a ship with facilities to enable road or rail vehicles to roll on and roll off the vessel, and carrying more than 12 passengers.
‘high-speed passenger craft’ means a craft as defined in Regulation 1 of Chapter X of SOLAS 74, and carrying more than 12 passengers.
‘regular service’ means a series of ro-ro passenger ship or high-speed passenger craft crossings operated so as to serve traffic between the same two or more ports, or a series of voyages from and to the same port without intermediate calls, either:
according to a published timetable; or
with crossings so regular or frequent that they constitute a recognisable systematic series.
All the references in this Directive to the Conventions, international codes and resolutions, including for certificates and other documents, shall be deemed to be references to those Conventions, international codes and resolutions in their up-to-date versions.
Article 3
Scope
France may decide that the ports and anchorages covered by this paragraph do not include ports and anchorages situated in the overseas departments referred to in Article 299(2) of the Treaty.
If a Member State performs an inspection of a ship in waters within its jurisdiction, other than at a port, it shall be considered as an inspection for the purposes of this Directive.
Nothing in this Article shall affect the rights of intervention available to a Member State under the relevant Conventions.
Member States which do not have seaports and which can verify that of the total number of individual vessels calling annually over a period of the three previous years at their river ports, less than 5 % are ships covered by this Directive, may derogate from the provisions of this Directive.
Member States which do not have seaports shall communicate to the Commission at the latest on the date of transposition of the Directive the total number of vessels and the number of ships calling at their ports during the three-year period referred to above and shall inform the Commission of any subsequent change to the abovementioned figures.
This Directive shall also apply to inspections of ro-ro passenger ships and high-speed passenger craft carried out outside a port or away from an anchorage during a regular service in accordance with Article 14a.
Article 4
Inspection powers
Article 5
Inspection system and annual inspection commitment
In order to comply with its annual inspection commitment, each Member State shall:
inspect all Priority I ships, referred to in Article 12(a), calling at its ports and anchorages; and
carry out annually a total number of inspections of Priority I and Priority II ships, referred to in Article 12(a) and (b), corresponding at least to its share of the total number of inspections to be carried out annually within the Community and the Paris MOU region. The inspection share of each Member State shall be based on the number of individual ships calling at ports of the Member State concerned in relation to the sum of the number of individual ships calling at ports of each State within the Community and the Paris MOU region.
Article 6
Modalities of compliance with the inspection commitment
A Member State which fails to carry out the inspections required in Article 5(2)(a), complies with its commitment in accordance with that provision if such missed inspections do not exceed:
5 % of the total number of Priority I ships with a high risk profile calling at its ports and anchorages;
10 % of the total number of Priority I ships other than those with a high risk profile calling at its ports and anchorages.
Notwithstanding the percentages in (a) and (b), Member States shall prioritise inspection of ships, which, according to the information provided by the inspection database, call at ports within the Community infrequently.
Notwithstanding the percentages in (a) and (b), for Priority I ships calling at anchorages, Member States shall prioritise inspection of ships with a high risk profile, which, according to the information provided by the inspection database, call at ports within the Community infrequently.
Article 7
Modalities allowing a balanced inspection share within the Community
Article 8
Postponement of inspections and exceptional circumstances
A Member State may decide to postpone the inspection of a Priority I ship in the following circumstances:
if the inspection may be carried out at the next call of the ship in the same Member State, provided that the ship does not call at any other port in the Community or the Paris MOU region in between and the postponement is not more than 15 days; or
if the inspection may be carried out in another port of call within the Community or the Paris MOU region within 15 days, provided the State in which such port of call is located has agreed in advance to perform the inspection.
If an inspection is postponed in accordance with point (a) or (b) and recorded in the inspection database, a missed inspection shall not be counted as a missed inspection against the Member States which postponed the inspection.
Nevertheless, where an inspection of a Priority I ship is not performed, the relevant ship shall not be exempted from being inspected at the next port of call within the Community in accordance with this Directive.
Where an inspection is not performed on Priority I ships for operational reasons, it shall not be counted as a missed inspection, provided that the reason for missing the inspection is recorded in the inspection database and the following exceptional circumstances occur:
in the judgement of the competent authority the conduct of the inspection would create a risk to the safety of inspectors, the ship, its crew or to the port, or to the marine environment; or
the ship call takes place only during night time. In this case Member States shall take the measures necessary to ensure that ships which call regularly during night time are inspected as appropriate.
If an inspection is not performed on a ship at anchorage, it shall not be counted as a missed inspection if:
the ship is inspected in another port or anchorage within the Community or the Paris MOU region in accordance with Annex I within 15 days; or
the ship call takes place only during night time or its duration is too short for the inspection to be carried out satisfactorily, and the reason for missing the inspection is recorded in the inspection database; or
in the judgement of the competent authority the conduct of the inspection would create a risk to the safety of inspectors, the ship, its crew or to the port, or to the marine environment, and the reason for missing the inspection is recorded in the inspection database.
▼M1 —————
Article 9
Notification of arrival of ships
Article 10
Ship risk profile
The risk profile of a ship shall be determined by a combination of generic and historical risk parameters as follows:
Generic parameters
Generic parameters shall be based on the type, age, flag, recognised organisations involved and company performance in accordance with Annex I, Part I.1 and Annex II.
Historical parameters
Historical parameters shall be based on the number of deficiencies and detentions during a given period in accordance with Annex I, Part I.2 and Annex II.
Article 11
Frequency of inspections
Ships calling at ports or anchorages within the Community shall be subject to periodic inspections or to additional inspections as follows:
Ships shall be subject to periodic inspections at predetermined intervals depending on their risk profile in accordance with Annex I, Part I. The interval between periodic inspections of ships shall increase as the risk decreases. For high risk ships, this interval shall not exceed six months.
Ships shall be subject to additional inspections regardless of the period since their last periodic inspection as follows:
Article 12
Selection of ships for inspection
The competent authority shall ensure that ships are selected for inspection on the basis of their risk profile as described in Annex I, Part I, and when overriding or unexpected factors arise in accordance with Annex I, Part II 2A and 2B.
With a view to the inspection of ships, the competent authority:
shall select ships which are due for a mandatory inspection, referred to as ‘Priority I’ ships, in accordance with the selection scheme described in Annex I, Part II 3A;
may select ships which are eligible for inspection, referred to as ‘Priority II’ ships, in accordance with Annex I, Part II 3B.
Article 13
Initial and more detailed inspections
Member States shall ensure that ships which are selected for inspection in accordance with Article 12 or Article 14a are subject to an initial inspection or a more detailed inspection as follows:
On each initial inspection of a ship, the competent authority shall ensure that the inspector, as a minimum:
checks the certificates and documents listed in Annex IV required to be kept on board in accordance with Community maritime legislation and Conventions relating to safety and security;
verifies, where appropriate, whether outstanding deficiencies found during the previous inspection carried out by a Member State or by a State signatory to the Paris MOU have been rectified;
satisfies himself of the overall condition of the ship, including the hygiene of the ship, including engine room and accommodation.
When, after an inspection referred to in point 1, deficiencies to be rectified at the next port of call have been recorded in the inspection database, the competent authority of such next port may decide not to carry out the verifications referred to in point 1(a) and (c).
A more detailed inspection shall be carried out, including further checking of compliance with on-board operational requirements, whenever there are clear grounds for believing, after the inspection referred to in point 1, that the condition of a ship or of its equipment or crew does not substantially meet the relevant requirements of a Convention.
‘Clear grounds’ shall exist when the inspector finds evidence which in his professional judgement warrants a more detailed inspection of the ship, its equipment or its crew.
Examples of ‘clear grounds’ are set out in Annex V.
Article 14
Expanded inspections
The following categories of ships are eligible to an expanded inspection in accordance with Annex I, Part II 3A and 3B:
Without prejudice to control measures required for security purposes, the ship shall remain in the port until the inspection is completed.
Article 14a
Inspection of ro-ro passenger ships and high speed passenger craft in regular service
Article 15
Safety and security guidelines and procedures
▼M4 —————
Article 16
Access refusal measures concerning certain ships
A Member State shall refuse access to its ports and anchorages to any ship which:
The first subparagraph shall not apply to the situations described in Article 21(6).
The refusal of access shall be applicable as soon as the ship leaves the port or anchorage where it has been the subject of a third detention and where a refusal of access order has been issued.
If the ship is subject to a second refusal of access, the period shall be 12 months.
Any subsequent detention in a port or anchorage within the Community shall result in the ship being refused access to any port and anchorage within the Community. This third refusal of access order may be lifted after a period of 24 months has passed from the issue of the order and only if:
Any ship not meeting the criteria specified in this paragraph, after a period of 24 months has passed from the issue of the order, shall be permanently refused access to any port and anchorage within the Community.
Article 17
Report of inspection to the master
On completion of an inspection, a more detailed inspection or an expanded inspection, the inspector shall draw up a report in accordance with Annex IX. The ship’s master shall be provided with a copy of the inspection report.
Where, following a more detailed inspection, the living and working conditions on the ship are found not to conform to the requirements of MLC 2006, the inspector shall forthwith bring the deficiencies to the attention of the master of the ship, with required deadlines for their rectification.
In the event that the inspector considers such deficiencies to be significant, or if they relate to a possible complaint under point 19 of Part A of Annex V, the inspector shall also bring the deficiencies to the attention of the appropriate seafarers’ and shipowners’ organisations in the Member State in which the inspection is carried out, and may:
notify a representative of the flag State;
provide the competent authorities of the next port of call with the relevant information.
In respect of matters concerning MLC 2006, the Member State in which the inspection is carried out shall have the right to transmit a copy of the inspector’s report, to be accompanied by any reply received from the competent authorities of the flag State within the prescribed deadline, to the Director-General of the International Labour Office with a view to such action as may be considered appropriate and expedient in order to ensure that a record is kept of such information and that it is brought to the attention of parties who might be interested in availing themselves of relevant recourse procedures.
Article 18
Complaints
All complaints shall be subject to a rapid initial assessment by the competent authority. This assessment shall make it possible to determine whether a complaint is justified.
Should that be the case, the competent authority shall take the necessary action on the complaint, in particular, ensuring that anyone directly concerned by that complaint can make their views known.
Where the competent authority deems the complaint to be manifestly unfounded, it shall inform the complainant of its decision and of the reasons therefor.
The identity of the complainant shall not be revealed to the master or the shipowner of the ship concerned. The inspector shall take appropriate steps to safeguard the confidentiality of complaints made by seafarers, including ensuring confidentiality during any interviews of seafarers.
Member States shall inform the flag State administration, with a copy to the International Labour Organisation (ILO) if appropriate, of complaints not manifestly unfounded and of follow-up actions taken.
Article 18a
Onshore MLC 2006 complaint-handling procedures
Such submissions are provided in order that, on the basis of such action as may be considered appropriate and expedient, a record is kept of such information and brought to the attention of parties, including seafarers’ and shipowners’ organisations, which might be interested in availing themselves of relevant recourse procedures.
Article 19
Rectification and detention
The detention order or stoppage of an operation shall not be lifted until those deficiencies have been rectified or if the competent authority has accepted a plan of action to rectify those deficiencies and it is satisfied that the plan will be implemented in an expeditious manner. Prior to accepting a plan of action, the inspector may consult the flag State.
If such deficiency cannot be readily rectified in the port of detention, the competent authority may either allow the ship to proceed to the appropriate repair yard nearest to the port of detention where it may be readily rectified or require the deficiency to be rectified within a maximum period of 30 days, as provided for in the guidelines developed by the Paris MOU. For these purposes, the procedures laid down in Article 21 shall apply.
Port authorities or bodies shall cooperate with the competent authority with a view to facilitating the accommodation of detained ships.
Article 20
Right of appeal
When, as a result of an appeal or of a request made by the owner or the operator of a ship or his representative, a detention order or a refusal of access order is revoked or amended:
Member States shall ensure that the inspection database is amended accordingly without delay;
the Member State where the detention order or refusal of access order is issued shall, within 24 hours of such a decision, ensure that the information published in accordance with Article 26 is rectified.
Article 21
Follow-up to inspections and detentions
The competent authority of a Member State receiving such notification shall inform the notifying authority of the action taken.
Member States shall take measures to ensure that access to any port or anchorage within the Community is refused to ships referred to in paragraph 1 which proceed to sea:
without complying with the conditions determined by the competent authority of any Member State in the port of inspection; or
which refuse to comply with the applicable requirements of the Conventions by not calling into the indicated repair yard.
Such refusal shall be maintained until the owner or operator provides evidence to the satisfaction of the competent authority of the Member State where the ship was found defective, demonstrating that the ship fully complies with all applicable requirements of the Conventions.
In the circumstances referred to in paragraph 4(b), the competent authority of the Member State in which the repair yard lies shall immediately alert the competent authorities of all the other Member States.
Before denying entry, the Member State may request consultations with the flag administration of the ship concerned.
Article 22
Professional profile of inspectors
Article 23
Reports from pilots and port authorities
Member States shall require pilots and port authorities or bodies to report at least the following information, in electronic format whenever possible:
Article 24
Inspection database
The inspection database shall contain all the information required for the implementation of the inspection system set up under this Directive and shall include the functionalities set out in Annex XII.
Within 72 hours, Member States shall ensure that the information transferred to the inspection database is validated for publication purposes.
Member States shall have access to all the information recorded in the inspection database which is relevant for implementing the inspection procedures of this Directive.
Member States and third signatories to the Paris MOU shall be granted access to any data they have recorded in the inspection database and to data on ships flying their flag.
Article 25
Exchange of information and cooperation
Each Member State shall ensure that its port authorities or bodies and other relevant authorities or bodies provide the competent port State control authority with the following types of information in their possession:
Article 26
Publication of information
The Commission shall make available and maintain on a public website the information on inspections, detentions and refusals of access in accordance with Annex XIII, building upon the expertise and experience under the Paris MOU.
Article 27
Publication of a list of companies with a low and very low performance
The Commission shall establish and publish regularly on a public website information relating to companies whose performance, in view of determining the ship risk profile referred to in Annex I Part I, has been considered as low and very low for a period of three months or more.
Implementing powers shall be conferred on the Commission to establish the detailed arrangements for publication of the information referred to in the first paragraph, the criteria for aggregating the relevant data and the frequency of updates. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 31(3).
Article 28
Reimbursement of costs
Article 29
Data to monitor implementation
Member States shall provide the Commission with the information listed in Annex XIV at the intervals stated in that Annex.
Article 30
Monitoring of compliance and performance of Member States
In order to ensure the effective implementation of this Directive and to monitor the overall functioning of the Community’s port State control regime in accordance with Article 2(b)(i) of Regulation (EC) No 1406/2002, the Commission shall collect the necessary information and carry out visits to Member States.
Article 30a
Delegated acts
The Commission shall be empowered to adopt delegated acts in accordance with Article 30b, concerning amendments to Annex VI, in order to add to the list set out in that Annex further instructions relating to port State control adopted by the Paris MOU Organisation.
Article 30b
Exercise of the delegation
Article 31
Committee
Where the committee delivers no opinion on a draft implementing act to be adopted pursuant to Articles 10(3), 23(5) and the second paragraph of Article 27 respectively, the Commission shall not adopt the draft implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.
▼M1 —————
Article 33
Implementing rules
When establishing the implementing rules referred to in Articles 10(3), 14(4), 15(4), 18a(7), 23(5) and 27 in accordance with the procedures referred to in Article 31(3), the Commission shall take specific care that those rules take into account the expertise and experience gained with the inspection system in the Union and build upon the expertise of the Paris MOU.
Article 34
Penalties
Member States shall lay down a system of penalties for the breach of national provisions adopted pursuant to this Directive and shall take all the measures necessary to ensure that those penalties are applied. The penalties provided for shall be effective, proportionate and dissuasive.
Article 35
Review
The Commission shall review the implementation of this Directive no later than 30 June 2012. The review will examine, inter alia, the fulfilment of the overall Community inspection commitment laid down in Article 5, the number of port State control inspectors in each Member State, the number of inspections carried out, and the compliance with the annual inspection commitment by each Member State and the implementation of Articles 6, 7 and 8.
The Commission shall communicate the findings of the review to the European Parliament and the Council and shall determine on the basis of the review whether it is necessary to propose an amending Directive or further legislation in this area.
Article 36
Implementation and notification
They shall apply those provisions from 1 January 2011.
Article 37
Repeal
Directive 95/21/EC, as amended by the Directives listed in Annex XV, Part A, is hereby repealed, with effect from 1 January 2011, without prejudice to the obligations of Member States relating to the time limits for transposition into national law of the Directives set out in Annex XV, Part B.
References to the repealed Directive shall be construed as references to this Directive and shall be read in accordance with the correlation table set out in Annex XVI to this Directive.
Article 38
Entry into force
This Directive shall enter into force on the 20th day following its publication in the Official Journal of the European Union.
Article 39
Addressees
This Directive is addressed to the Member States.
ANNEX I
ELEMENTS OF THE COMMUNITY PORT STATE INSPECTION SYSTEM
(referred to in Article 5)
The following elements shall be included in the Community Port State Inspection System:
I. Ship risk profile
The risk profile of a ship shall be determined by a combination of the following generic and historical parameters:
1. Generic parameters
Type of ship
Passenger ships, oil and chemical tankers, gas carriers and bulk carriers shall be considered as posing a higher risk.
Age of ship
Ships of more than 12 years old shall be considered as posing a higher risk.
Flag State performance
Ships flying the flag of a State with a high detention rate within the Community and the Paris MOU region shall be considered as posing a higher risk.
Ships flying the flag of a State with a low detention rate within the Community and the Paris MOU region shall be considered as posing a lower risk.
Ships flying the flag of a State for which an audit has been completed and, where relevant, a corrective action plan submitted, both in accordance with the Framework and procedures for the Voluntary IMO Member State Audit Scheme shall be considered as posing a lower risk. As soon as the measures referred to in Article 10(3) are adopted, the flag State of such a ship shall demonstrate compliance with the Code for the implementation of mandatory IMO instruments.
Recognised organisations
Ships which have been delivered certificates from recognised organisations having a low or very low performance level in relation with their detention rates within the Community and the Paris MOU region shall be considered as posing a higher risk.
Ships which have been delivered certificates from recognised organisations having a high performance level in relation with their detention rates within the Community and the Paris MOU region shall be considered as posing a lower risk.
Ships with certificates issued by organisations recognised under the terms of Regulation (EC) No 391/2009.
Company performance
Ships of a company with a low or very low performance as determined by its ships' deficiency and detention rates within the Community and the Paris MOU region shall be considered as posing a higher risk.
Ships of a company with a high performance as determined by its ships' deficiency and detention rates within the Community and the Paris MOU region shall be considered as posing a lower risk.
2. Historical parameters
Ships which have been detained more than once shall be considered as posing a higher risk.
Ships which, during inspection(s) carried out within the period referred to in Annex II have had less than the number of deficiencies referred to in Annex II, shall be considered as posing a lower risk.
Ships which have not been detained during the period referred to in Annex II, shall be considered as posing a lower risk.
The risk parameters shall be combined by using a weighting which reflects the relative influence of each parameter on the overall risk of the ship in order to determine the following ship risk profiles:
In determining these risk profiles greater emphasis shall be given to the parameters for type of ship, flag State performance, recognised organisations and company performance.
II. Inspection of ships
1. Periodic inspections
Periodic inspections shall be carried out at predetermined intervals. Their frequency shall be determined by the ship risk profile. The interval between periodic inspections of high risk ships shall not exceed six months. The interval between periodic inspections of ships of other risk profiles shall increase as the risk decreases.
Member States shall carry out a periodic inspection on:
2. Additional inspections
Ships, to which the following overriding or unexpected factors apply, are subject to an inspection regardless of the period since their last periodic inspection. However, the need to undertake an additional inspection on the basis of unexpected factors is left to the professional judgement of the inspector.
2A. Overriding factors
Ships to which the following overriding factors apply shall be inspected regardless of the period since their last periodic inspection:
2B. Unexpected factors
Ships to which the following unexpected factors apply may be subject to inspection regardless of the period since their last periodic inspection. The decision to undertake such an additional inspection is left to the professional judgement of the competent authority:
3. Selection scheme
3A. Priority I ships shall be inspected as follows:
An expanded inspection shall be carried out on:
An initial or a more detailed inspection, as appropriate, shall be carried out on:
In case of an overriding factor:
3B. Where the competent authority decides to inspect a Priority II ship, the following shall apply:
An expanded inspection shall be carried out on:
An initial or a more detailed inspection, as appropriate, shall be carried out on:
In case of an unexpected factor:
ANNEX II
DESIGN OF SHIP RISK PROFILE
(referred to in Article 10(2))
|
|
Profile |
||||||
|
High Risk Ship (HRS) |
Standard Risk Ship (SRS) |
Low Risk Ship (LRS) |
|||||
|
Generic parameters |
Criteria |
Weighting points |
Criteria |
Criteria |
|||
|
1 |
Type of ship |
Chemical tankship Gas carrier Oil tankship Bulk carrier Passenger ship |
2 |
neither a high risk nor a low risk ship |
All types |
||
|
2 |
Age of ship |
all types > 12 y |
1 |
All ages |
|||
|
3a |
Flag |
BGW-list |
Black – VHR, HR, M to HR |
2 |
White |
||
|
Black – MR |
1 |
||||||
|
3b |
IMO-Audit |
- |
- |
Yes |
|||
|
4a |
Recognised organisation |
Performance |
H |
- |
- |
High |
|
|
M |
- |
- |
- |
||||
|
L |
Low |
1 |
- |
||||
|
VL |
Very Low |
- |
|||||
|
4b |
EU recognised |
- |
- |
Yes |
|||
|
5 |
Company |
Performance |
H |
- |
- |
High |
|
|
M |
- |
- |
- |
||||
|
L |
Low |
2 |
- |
||||
|
VL |
Very low |
- |
|||||
|
Historical parameters |
|
|
|||||
|
6 |
Number of deficiencies recorded in each insp. within previous 36 months |
Deficiencies |
Not eligible |
- |
≤ 5 (and at least one inspection carried out in previous 36 months) |
||
|
7 |
Number of detentions within previous 36 months |
Detentions |
≥ 2 detentions |
1 |
No detention |
||
|
HRS are ships which meet criteria to a total value of 5 or more weighting points. LRS are ships which meet all the criteria of the Low Risk Parameters. SRS are ships which are neither HRS nor LRS. |
|||||||
ANNEX III
NOTIFICATION
(referred to in Article 9(1))
Information to be provided in accordance with Article 9(1):
The information listed below shall be submitted to the port authority or body or to the authority or body designated for that purpose at least three days before the expected time of arrival in the port or anchorage or before leaving the previous port or anchorage if the voyage is expected to take fewer than three days:
ship identification (name, call sign, IMO identification number or MMSI number);
planned duration of the call;
for tankers:
configuration: single hull, single hull with SBT, double hull;
condition of the cargo and ballast tanks: full, empty, inerted;
volume and nature of the cargo;
planned operations at the port or anchorage of destination (loading, unloading, other);
planned statutory survey inspections and substantial maintenance and repair work to be carried out whilst in the port of destination;
date of last expanded inspection in the Paris MOU region.
ANNEX IV
LIST OF CERTIFICATES AND DOCUMENTS
(referred to in Article 13(1))
International Tonnage Certificate (1969).
International Ship Security Certificate (ISSC).
Continuous Synopsis Record.
International Certificate of Fitness for Carriage of Liquefied Gases in Bulk;
International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk;
International Oil Pollution Prevention Certificate.
International Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in Bulk.
International Load Line Certificate (1966);
Oil record book, parts I and II.
Cargo record book.
Minimum Safe Manning Document.
Certificates or any other documents required in accordance with the provisions of the STCW 78/95.
Medical certificates (see MLC 2006).
Table of shipboard working arrangements (see MLC 2006 and STCW 78/95).
Records of hours of work and rest of seafarers (see MLC 2006).
Stability information.
Copy of the Document of Compliance and the Safety Management Certificate issued, in accordance with the International Management Code for the Safe Operation of Ships and for Pollution Prevention (SOLAS 74, Chapter IX).
Certificates as to the ship’s hull strength and machinery installations issued by the recognised organisation in question (only to be required if the ship maintains its class with a recognised organisation).
Document of compliance with the special requirements for ships carrying dangerous goods.
High speed craft safety certificate and permit to operate high speed craft.
Dangerous goods special list or manifest, or detailed stowage plan.
Ship’s log book with respect to the records of tests and drills, including security drills, and the log for records of inspection and maintenance of lifesaving appliances and arrangements and of fire fighting appliances and arrangements.
Special purpose ship safety certificate.
Mobile offshore drilling unit safety certificate.
For oil tankers, the record of oil discharge monitoring and control system for the last ballast voyage.
The muster list, fire control plan, and for passenger ships, a damage control plan.
Shipboard oil pollution emergency plan.
Survey report files (in case of bulk carriers and oil tankers).
Reports of previous port State control inspections.
For ro ro passenger ships, information on the A/A maximum ratio.
Document of authorisation for the carriage of grain.
Cargo securing manual.
Garbage management plan and garbage record book.
Decision support system for masters of passenger ships.
SAR cooperation plan for passenger ships trading on fixed routes.
List of operational limitations for passenger ships.
Bulk carrier booklet.
Loading and unloading plan for bulk carriers.
Certificate of insurance or any other financial security in respect of civil liability for oil pollution damage (International Convention on Civil Liability for Oil Pollution Damage, 1992).
Certificates required under Directive 2009/20/EC of the European Parliament and of the Council of 23 April 2009 on the insurance of shipowners for maritime claims ( 7 ).
Certificate required under Regulation (EC) No 392/2009 of the European Parliament and of the Council of 23 April 2009 on the liability of carriers of passengers by sea in the event of accidents ( 8 ).
International Air Pollution Prevention Certificate.
International Sewage Pollution Prevention Certificate.
Maritime labour certificate.
Declaration of maritime labour compliance, parts I and II.
International Anti-Fouling System Certificate.
Certificate of insurance or other financial security in respect of civil liability for bunker oil pollution damage.
A certificate on the inventory of hazardous materials or a statement of compliance as applicable pursuant to Regulation (EU) No 1257/2013 of the European Parliament and of the Council ( 9 ).
Document of Compliance issued under Regulation (EU) 2015/757 of the European Parliament and of the Council of 29 April 2015 on the monitoring, reporting and verification of carbon dioxide emissions from maritime transport, and amending Directive 2009/16/EC ( 10 ).
ANNEX V
EXAMPLES OF ‘CLEAR GROUNDS’
(referred to in Article 13(3))
A. Examples of clear grounds for a more detailed inspection
1. Ships identified in Annex I, Part II 2A and 2B.
2. The oil record book has not been properly kept.
3. During examination of the certificates and other documentation, inaccuracies have been revealed.
4. Indications that the crew members are unable to comply with the requirements related to on-board communication set out in Article 18 of Directive 2008/106/EC of the European Parliament and of the Council of 19 November 2008 on the minimum level of training of seafarers ( 11 ).
5. A certificate has been fraudulently obtained or the holder of a certificate is not the person to whom that certificate was originally issued.
6. The ship has a master, officer or rating holding a certificate issued by a country which has not ratified the STCW 78/95.
7. Evidence of cargo and other operations not being conducted safely, or in accordance with IMO guidelines, e.g. the content of oxygen in the inert-gas main supply to the cargo tanks is above the prescribed maximum level.
8. Failure of the master on an oil tanker to produce the record of the oil discharge monitoring and control system for the last ballast voyage.
9. Absence of an up-to-date muster list, or crew members not aware of their duties in the event of fire or an order to abandon the ship.
10. The emission of false distress alerts not followed by proper cancellation procedures.
11. The absence of principal equipment or arrangements required by the Conventions.
12. Excessively unsanitary conditions on board the ship.
13. Evidence from the inspector’s general impression and observations that serious hull or structural deterioration or deficiencies exist that may place at risk the structural, watertight or weathertight integrity of the ship.
14. Information or evidence that the master or crew is not familiar with essential shipboard operations relating to the safety of ships or the prevention of pollution, or that such operations have not been carried out.
15. The absence of a table of shipboard working arrangements or of records of hours of work or rest of seafarers.
16. The documents required under MLC 2006 are not produced or maintained or are falsely maintained or the documents produced do not contain the information required by MLC 2006 or are otherwise invalid.
17. The living and working conditions on the ship do not conform to the requirements of MLC 2006.
18. There are reasonable grounds to believe that the ship has changed flag for the purpose of avoiding compliance with MLC 2006.
19. There is a complaint alleging that specific living and working conditions on the ship do not conform to the requirements of MLC 2006.
B. Examples of clear grounds for the control of ships on security aspects
1. The inspector may establish clear grounds for further control measures on security during the initial PSC inspection as follows:
ISSC is not valid or it has expired.
The ship is at a lower security level than the port.
Drills related to the security of the ship have not been carried out.
Records for the last 10 ship/port or ship/ship interfaces are incomplete.
Evidence or observation that key members of the ship’s personnel cannot communicate with each other.
Evidence from observations that serious deficiencies exist in security arrangements.
Information from third parties such as a report or a complaint concerning security-related information.
The ship holds a subsequent, consecutively issued Interim International Ship Security Certificate (ISSC) and in the professional judgement of the inspector one of the purposes of the ship or company in requesting such a certificate is to avoid full compliance with SOLAS 74 Chapter XI-2 and Part A of the ISPS Code, beyond the period of the initial Interim Certificate. ISPS Code Part A specify the circumstances when an Interim Certificate may be issued.
2. If clear grounds as described above are established, the inspector shall immediately inform the competent security authority (unless the inspector is also an Officer Duly Authorised for Security). The competent security authority shall then decide on what further control measures are necessary taking into account the security level in accordance with Regulation 9 of SOLAS 74, Chapter XI.
3. Clear grounds other than those above are a matter for the Officer Duly Authorised for Security.
ANNEX VI
PROCEDURES FOR THE CONTROL OF SHIPS
(referred to in Article 15(1))
Annex I, ‘Port State Control Procedures’, to the Paris MOU and the following instructions from the Paris MOU, in their up-to-date version:
ANNEX VII
EXPANDED INSPECTIONS OF SHIPS
(referred to in Article 14)
An expanded inspection concerns in particular the overall condition of the following risk areas:
In addition, subject to their practical feasibility or any constraints relating to the safety of persons, the ship or the port, an expanded inspection shall include the verification of specific items of risk areas depending on the type of vessel inspected, as established in accordance with Article 14(3).
ANNEX VIII
PROVISIONS CONCERNING REFUSAL OF ACCESS TO PORTS AND ANCHORAGES WITHIN THE COMMUNITY
(referred to in Article 16)
1. If the conditions described in Article 16(1) are met, the competent authority of the port in which the ship is detained for the third time shall inform the master of the ship in writing that a refusal of access order will be issued which will become applicable immediately after the ship has left the port. The refusal of access order shall become applicable immediately after the ship has left the port after the deficiencies leading to the detention have been remedied.
2. The competent authority shall send a copy of the refusal of access order to the flag State administration, the recognised organisation concerned, the other Member States, and the other signatories to the Paris MOU, the Commission and the Paris MOU Secretariat. The competent authority shall also update the inspection database with information on the refusal of access without delay.
3. In order to have the refusal of access order lifted, the owner or the operator must address a formal request to the competent authority of the Member State that imposed the refusal of access order. This request must be accompanied by a document from the flag State administration issued following an on-board visit by a surveyor duly authorised by the flag State administration, showing that the ship fully conforms to the applicable provisions of the Conventions. The flag State administration shall provide evidence to the competent authority that a visit on board has taken place.
4. The request for the lifting of the refusal of access order must also be accompanied, where appropriate, by a document from the classification society which has the ship in class following an on-board visit by a surveyor from the classification society, showing that the ship conforms to the class standards stipulated by that society. The classification society shall provide evidence to the competent authority that a visit on board has taken place.
5. The refusal of access order may be lifted only after the period referred to Article 16 of this Directive has elapsed and following a re-inspection of the ship at an agreed port.
If the agreed port is located in a Member State, the competent authority of that State may, at the request of the competent authority which issued the refusal of access order, authorise the ship to enter the agreed port in order to carry out the re-inspection. In such cases, no cargo operations shall take place at the port until the refusal of access order has been lifted.
6. If the detention which led to the issue of a refusal of access order included deficiencies in the ship’s structure, the competent authority which issued the refusal of access order may require that certain spaces, including cargo spaces and tanks, are made available for examination during the re-inspection.
7. The re-inspection shall be carried out by the competent authority of the Member State that imposed the refusal of access order, or by the competent authority of the port of destination with the agreement of the competent authority of the Member State that imposed the refusal of access order. The competent authority may require up to 14 days’ notice for the re-inspection. Evidence shall be provided to the satisfaction of this Member State that the ship fully complies with the applicable requirements of the Conventions.
8. The re-inspection shall consist of an expanded inspection that must cover at least the relevant items of Annex VII.
9. All costs of this expanded inspection will be borne by the owner or the operator.
10. If the results of the expanded inspection satisfy the Member State in accordance with Annex VII, the refusal of access order must be lifted and the company of the ship informed thereof in writing.
11. The competent authority shall also notify its decision in writing to the flag State administration, the classification society concerned, the other Member States, the other signatories to the Paris MOU, the Commission and the Paris MOU Secretariat. The competent authority must also update the inspection database with information on the removal of the access without delay.
12. Information relating to ships that have been refused access to ports within the Community must be made available in the inspection database and published in conformity with the provisions of Article 26 and of Annex XIII.
ANNEX IX
INSPECTION REPORT
(referred to in Article 17)
The inspection report must contain at least the following items.
I. General
1. Competent authority that wrote the report
2. Date and place of inspection
3. Name of the ship inspected
4. Flag
5. Type of ship (as indicated in the Safety Management Certificate)
6. IMO identification number
7. Call sign
8. Tonnage (gt)
9. Deadweight tonnage (where relevant)
10. Year of construction as determined on the basis of the date indicated in the ship’s safety certificates
11. The classification society or classification societies as well as any other organisation, where relevant, which has/have issued to this ship the classification certificates, if any
12. The recognised organisation or recognised organisations and/or any other party which has/have issued to this ship certificates in accordance with the applicable Conventions on behalf of the flag State
13. Name and address of the ship’s company or the operator
14. Name and address of the charterer responsible for the selection of the ship and type of charter in the case of ships carrying liquid or solid cargoes in bulk
15. Final date of writing the inspection report
16. Indication that detailed information on an inspection or a detention may be subject to publication.
II. Information relating to inspection
1. Certificates issued in application of the relevant Conventions, authority or organisation that issued the certificate(s) in question, including the date of issue and expiry
2. Parts or elements of the ship that were inspected (in the case of more detailed or expanded inspection)
3. Port and date of the last intermediate or annual or renewal survey and the name of the organisation which carried out the survey
4. Type of inspection (inspection, more detailed inspection, expanded inspection)
5. Nature of the deficiencies
6. Measures taken.
III. Additional information in the event of detention
1. Date of detention order
2. Date of lifting the detention order
3. Nature of the deficiencies warranting the detention order (references to Conventions, if relevant)
4. Indication, where relevant, of whether the recognised organisation or any other private body that carried out the survey has a responsibility in relation to the deficiencies which, alone or in combination, led to detention
5. Measures taken.
ANNEX X
CRITERIA FOR DETENTION OF A SHIP
(referred to in Article 19(3))
INTRODUCTION
Before determining whether deficiencies found during an inspection warrant detention of the ship involved, the inspector must apply the criteria mentioned below in points 1 and 2.
Point 3 includes examples of deficiencies that may for themselves warrant detention of the ship involved (see Article 19(3)).
Where the ground for detention is the result of accidental damage suffered on the ship’s voyage to a port, no detention order shall be issued, provided that:
due account has been given to the requirements contained in Regulation I/11(c) of SOLAS 74 regarding notification to the flag State administration, the nominated surveyor or the recognised organisation responsible for issuing the relevant certificate;
prior to entering a port, the master or shipowner has submitted to the port State control authority details on the circumstances of the accident and the damage suffered and information about the required notification of the flag State administration;
appropriate remedial action, to the satisfaction of the Authority, is being taken by the ship; and
the authority has ensured, having been notified of the completion of the remedial action, that deficiencies which were clearly hazardous to safety, health or the environment have been rectified.
1. Main criteria
When exercising his professional judgement as to whether or not a ship should be detained the inspector must apply the following criteria:
Ships which are unsafe to proceed to sea must be detained upon the first inspection irrespective of how much time the ship will stay in port.
The ship is detained if its deficiencies are sufficiently serious to merit an inspector returning to satisfy himself that they have been rectified before the ship sails.
The need for the inspector to return to the ship is a measure of the seriousness of the deficiencies. However, it does not impose such an obligation for every case. It implies that the authority must verify one way or another, preferably by a further visit, that the deficiencies have been rectified before departure.
2. Application of main criteria
When deciding whether the deficiencies found in a ship are sufficiently serious to merit detention the inspector must assess whether:
the ship has relevant, valid documentation;
the ship has the crew required in the Minimum Safe Manning Document.
During inspection the inspector must further assess whether the ship and/or crew is able to:
navigate safely throughout the forthcoming voyage;
safely handle, carry and monitor the condition of the cargo throughout the forthcoming voyage;
operate the engine room safely throughout the forthcoming voyage;
maintain proper propulsion and steering throughout the forthcoming voyage;
fight fires effectively in any part of the ship if necessary during the forthcoming voyage;
abandon ship speedily and safely and effect rescue if necessary during the forthcoming voyage;
prevent pollution of the environment throughout the forthcoming voyage;
maintain adequate stability throughout the forthcoming voyage;
maintain adequate watertight integrity throughout the forthcoming voyage;
communicate in distress situations if necessary during the forthcoming voyage;
provide safe and healthy conditions on board throughout the forthcoming voyage;
provide the maximum of information in case of accident.
If the answer to any of these assessments is negative, taking into account all deficiencies found, the ship must be strongly considered for detention. A combination of deficiencies of a less serious nature may also warrant the detention of the ship.
|
3. |
To assist the inspector in the use of these guidelines, there follows a list of deficiencies, grouped under relevant Conventions and/or codes, which are considered of such a serious nature that they may warrant the detention of the ship involved. This list is not intended to be exhaustive. 3.1. General The lack of valid certificates and documents as required by the relevant instruments. However, ships flying the flag of States not party to a relevant Convention or not having implemented another relevant instrument, are not entitled to carry the certificates provided for by the Convention or other relevant instrument. Therefore, absence of the required certificates should not by itself constitute reason to detain these ships; however, in applying the ‘no more favourable treatment’ clause, substantial compliance with the provisions is required before the ship sails. 3.2. Areas under SOLAS 74 1. Failure of the proper operation of propulsion and other essential machinery, as well as electrical installations. 2. Insufficient cleanliness of engine room, excessive amount of oily-water mixtures in bilges, insulation of piping, including exhaust pipes in engine room contaminated by oil, improper operation of bilge pumping arrangements. 3. Failure of the proper operation of emergency generator, lighting, batteries and switches. 4. Failure of the proper operation of the main and auxiliary steering gear. 5. Absence, insufficient capacity or serious deterioration of personal life-saving appliances, survival craft and launching arrangements. 6. Absence, non-compliance or substantial deterioration of fire detection system, fire alarms, firefighting equipment, fixed fire-extinguishing installation, ventilation valves, fire dampers, quick-closing devices to the extent that they cannot comply with their intended use. 7. Absence, substantial deterioration or failure of proper operation of the cargo deck area fire protection on tankers. 8. Absence, non-compliance or serious deterioration of lights, shapes or sound signals. 9. Absence or failure of the proper operation of the radio equipment for distress and safety communication. 10. Absence or failure of the proper operation of navigation equipment, taking the provisions of SOLAS 74, Regulation V/16.2 into account. 11. Absence of corrected navigational charts, and/or all other relevant nautical publications necessary for the intended voyage, taking into account that a type approved electronic chart display and information system (ECDIS) operating on official data may be used as a substitute for the charts. 12. Absence of non-sparking exhaust ventilation for cargo pump rooms. 13. Serious deficiency in the operational requirements, as described in Section 5.5 of Annex 1 to the Paris MOU. 14. Number, composition or certification of crew not corresponding with the safe manning document. 15. Failure to carry out the enhanced survey programme in accordance with SOLAS 74, Chapter XI, Regulation 2. 3.3. Areas under the IBC Code 1. Transport of a substance not mentioned in the Certificate of Fitness or missing cargo information. 2. Missing or damaged high-pressure safety devices. 3. Electrical installations not intrinsically safe or not corresponding to code requirements. 4. Sources of ignition in hazardous locations. 5. Contraventions of special requirements. 6. Exceeding of maximum allowable cargo quantity per tank. 7. Insufficient heat protection for sensitive products. 3.4. Areas under the IGC Code 1. Transport of a substance not mentioned in the Certificate of Fitness or missing cargo information. 2. Missing closing devices for accommodation or service spaces. 3. Bulkhead not gastight. 4. Defective air locks. 5. Missing or defective quick-closing valves. 6. Missing or defective safety valves. 7. Electrical installations not intrinsically safe or not corresponding to code requirements. 8. Ventilators in cargo area not operable. 9. Pressure alarms for cargo tanks not operable. 10. Gas detection plant and/or toxic gas detection plant defective. 11. Transport of substances to be inhibited without valid inhibitor certificate. 3.5. Areas under LL 66 1. Significant areas of damage or corrosion, or pitting of plating and associated stiffening in decks and hull affecting seaworthiness or strength to take local loads, unless proper temporary repairs for a voyage to a port for permanent repairs have been carried out. 2. A recognised case of insufficient stability. 3. The absence of sufficient and reliable information, in an approved form, which by rapid and simple means, enables the master to arrange for the loading and ballasting of his ship in such a way that a safe margin of stability is maintained at all stages and at varying conditions of the voyage, and that the creation of any unacceptable stresses in the ship’s structure are avoided. 4. Absence, substantial deterioration or defective closing devices, hatch closing arrangements and watertight doors. 5. Overloading. 6. Absence of draft mark or draft mark impossible to read. 3.6. Areas under MARPOL 73/78, Annex I 1. Absence, serious deterioration or failure of proper operation of the oily-water filtering equipment, the oil discharge monitoring and control system or the 15 ppm alarm arrangements. 2. Remaining capacity of slop and/or sludge tank insufficient for the intended voyage. 3. Oil Record Book not available. 4. Unauthorised discharge bypass fitted. 5. Survey report file missing or not in conformity with Regulation 13G(3)(b) of MARPOL 73/78. 3.7. Areas under MARPOL 73/78, Annex II 1. Absence of the P&A Manual. 2. Cargo is not categorised. 3. No cargo record book available. 4. Transport of oil-like substances without satisfying the requirements or without an appropriately amended certificate. 5. Unauthorised discharge bypass fitted. 3.8. Areas under MARPOL 73/78, Annex V 1. Absence of the garbage management plan. 2. No garbage record book available. 3. Ship’s personnel not familiar with disposal/discharge requirements of garbage management plan. 3.9. Areas under the STCW 78/95 and Directive 2008/106/EC. 1. Failure of seafarers to hold a certificate, to have an appropriate certificate, to have a valid dispensation or to provide documentary proof that an application for an endorsement has been submitted to the flag State administration. 2. Evidence that a certificate has been fraudulently obtained or the holder of a certificate is not the person to whom that certificate was originally issued. 3. Failure to comply with the applicable safe manning requirements of the flag State administration. 4. Failure of navigational or engineering watch arrangements to conform to the requirements specified for the ship by the flag State administration. 5. Absence in a watch of a person qualified to operate equipment essential to safe navigation, safety radio communications or the prevention of marine pollution. 6. Failure to provide proof of professional proficiency for the duties assigned to seafarers for the safety of the ship and the prevention of pollution. 7. Inability to provide for the first watch at the commencement of a voyage and for subsequent relieving watches persons who are sufficiently rested and otherwise fit for duty. 3.10. ►M1 Areas under MLC 2006 ◄ 1. Insufficient food for voyage to next port. 2. Insufficient potable water for voyage to next port. 3. Excessively unsanitary conditions on board. 4. No heating in accommodation of a ship operating in areas where temperatures may be excessively low. 5. Insufficient ventilation in accommodation of a ship. 6. Excessive garbage, blockage by equipment or cargo or otherwise unsafe conditions in passageways/accommodations. 7. Clear evidence that watchkeeping and other duty personnel for the first watch or subsequent relieving watches are impaired by fatigue. 8. The conditions on board are clearly hazardous to the safety, health or security of seafarers. 9. The non-conformity constitutes a serious or repeated breach of the requirements of MLC 2006 (including seafarer’s rights) relating to the living and working conditions of seafarers on the ship, as stipulated in the ship’s maritime labour certificate and declaration of maritime labour compliance. 3.11. Areas which may not warrant a detention, but where, e.g. cargo operations have to be suspended. Failure of the proper operation (or maintenance) of inert gas system, cargo-related gear or machinery are considered sufficient grounds for stopping cargo operation. |
ANNEX XI
MINIMUM CRITERIA FOR INSPECTORS
(referred to in Article 22(1) and (5))
1. Inspectors must have appropriate theoretical knowledge and practical experience of ships and their operation. They must be competent in the enforcement of the requirements of Conventions and of the relevant port State control procedures. This knowledge and competence in enforcing international and Community requirements must be acquired through documented training programmes.
2. Inspectors must, as a minimum, have either:
appropriate qualifications from a marine or nautical institution and relevant seagoing experience as a certificated ship officer holding or having held a valid STCW II/2 or III/2 certificate of competency not limited as regards the operating area or propulsion power or tonnage; or
passed an examination recognised by the competent Authority as a naval architect, mechanical engineer or an engineer related to the maritime fields and worked in that capacity for at least five years; or
a relevant university degree or equivalent and have properly trained and qualified as ship safety inspectors.
3. The inspector must have:
4. The inspectors mentioned under 2(a) must have gained a maritime experience of at least 5 years, including periods served at sea as officers in the deck- or engine-department respectively, or as a flag State inspector or as an assistant port State control inspector. Such experience shall include a period of at least two years at sea as a deck or engine officer.
5. The inspectors must have the ability to communicate orally and in writing with seafarers in the language most commonly spoken at sea.
6. Inspectors not fulfilling the above criteria are also accepted if they are employed by the competent authority of a Member State for port State control at the date of adoption of this Directive.
7. Where in a Member State inspections referred to in Article 15(1) and (2) are performed by port State control inspectors; those inspectors shall have appropriate qualifications, which shall include sufficient theoretical and practical experience in maritime security. This shall normally include:
a good understanding of maritime security and how it is applied to the operations being examined;
a good working knowledge of security technologies and techniques;
a knowledge of inspection principles, procedures and techniques;
a working knowledge of the operations being examined.
ANNEX XII
FUNCTIONALITIES OF THE INSPECTION DATABASE
(referred to in Article 24(1))
1. The inspection database shall include at least the following functionalities:
2. The inspection database shall have the capability to adapt to future developments and to interface with other Community maritime safety databases, including SafeSeaNet, which shall provide data on ships’ actual calls to ports of Member States and, where appropriate, to relevant national information systems.
3. A deep hyperlink shall be provided from the inspection database to the Equasis information system. Member States shall encourage that the public and private databases relating to ship inspection accessible through Equasis are consulted by the inspectors.
ANNEX XIII
PUBLICATION OF INFORMATION RELATED TO INSPECTIONS, DETENTIONS AND REFUSALS OF ACCESS IN PORTS AND ANCHORAGES OF MEMBER STATES
(referred to in Article 26)
1. Information published in accordance with Article 26 must include the following:
name of the ship;
IMO identification number;
type of ship;
tonnage (gt);
year of construction as determined on the basis of the date indicated in the ship’s safety certificates;
name and address of the company of the ship;
in the case of ships carrying liquid or solid cargoes in bulk, the name and address of the charterer responsible for the selection of the ship and the type of charter;
flag State;
classification and statutory certificates issued in accordance with the relevant Conventions, and the authority or organisation that issued each one of the certificates in question, including the date of issue and expiry;
port and date of the last intermediate or annual survey for the certificates in point (i) above and the name of the authority or organisation which carried out the survey;
date, country, port of detention.
2. For ships which have been detained, information published in accordance with Article 26 must also include:
number of detentions during the previous 36 months;
date when the detention was lifted;
duration of detention, in days;
the reasons for detention, in clear and explicit terms;
indication, where relevant, of whether the recognised organisation that carried out the survey has a responsibility in relation to the deficiencies which, alone or in combination, led to detention;
description of the measures taken in the case of a ship which has been allowed to proceed to the nearest appropriate repair yard;
if the ship has been refused access to any port or anchorage within the Community, the reasons for the measure in clear and explicit terms.
ANNEX XIV
DATA PROVIDED IN THE CONTEXT OF MONITORING IMPLEMENTATION
(referred to in Article 29)
1. Every year Member States must provide the Commission with the following data for the preceding year by 1 April at the latest.
1.1. Number of inspectors acting on their behalf in the framework of port State control
This information must be communicated to the Commission using the following model table ( 12 ) ( 13 ).
|
Port/area |
Number of full-time inspectors (A) |
Number of part-time inspectors (B) |
Conversion of (B) to full-time (C) |
Total (A+C) |
|
Port X/or Area X … |
|
|
|
|
|
Port Y/or Area Y … |
|
|
|
|
|
TOTAL |
|
|
|
|
1.2. Total number of individual ships that entered their ports at national level. The figure shall be the number of ships covered by this Directive that entered their ports at national level counted only once.
2. Member States must:
provide the Commission every six months with a list of calls at port of individual ships, other than regular passenger and freight ferry services, that entered their ports or which have notified to a port authority or body their arrival in an anchorage, containing for each movement of the ship its IMO identification number, its date of arrival and the port. The list shall be provided in the form of a spreadsheet programme enabling an automatic retrieval and processing of the abovementioned information. The list shall be provided within 4 months from the end of the period to which data pertained;
and
provide the Commission with separate lists of regular passenger ferry services and regular freight ferry services referred to in point (a), not later than six months following the implementation of this Directive, and thereafter each time changes take place in such services. The list shall contain for each ship its IMO identification number, its name and the route covered by the ship. The list shall be provided in the form of a spreadsheet programme enabling an automatic retrieval and processing of the abovementioned information.
ANNEX XV
PART A
Repealed Directive with its successive amendments
(referred to in Article 37)
|
Council Directive 95/21/EC (OJ L 157, 7.7.1995, p. 1) |
|
|
Council Directive 98/25/EC (OJ L 133, 7.5.1998, p. 19) |
|
|
Commission Directive 98/42/EC (OJ L 184, 27.6.1998, p. 40) |
|
|
Commission Directive 1999/97/EC (OJ L 331, 23.12.1999, p. 67) |
|
|
Directive 2001/106/EC of the European Parliament and of the Council (OJ L 19, 22.1.2002, p. 17) |
|
|
Directive 2002/84/EC of the European Parliament and of the Council (OJ L 324, 29.11.2002, p. 53) |
Only Article 4 |
PART B
List of time limits for transposition into national law
(referred to in Article 37)
|
Directive |
Time limit for transposition |
|
Directive 95/21/EC |
30 June 1996 |
|
Directive 98/25/EC |
30 June 1998 |
|
Directive 98/42/EC |
30 September 1998 |
|
Directive 1999/97/EC |
13 December 2000 |
|
Directive 2001/106/EC |
22 July 2003 |
|
Directive 2002/84/EC |
23 November 2003 |
ANNEX XVI
Correlation table
(referred to in Article 37)
|
Directive 95/21/EC |
This Directive |
|
Article 1, introductory wording |
Article 1, introductory wording |
|
Article 1, first indent |
Article 1(a) |
|
Article 1, second indent |
Article 1(b) |
|
– |
Article 1(c) |
|
Article 2, introductory wording |
Article 2, introductory wording |
|
Article 2(1), introductory wording |
Article 2(1), introductory wording |
|
Article 2(1), first indent |
Article 2(1)(a) |
|
Article 2(1), second indent |
Article 2(1)(b) |
|
Article 2(1), third indent |
Article 2(1)(c) |
|
Article 2(1), fourth indent |
Article 2(1)(d) |
|
Article 2(1), fifth indent |
Article 2(1)(e) |
|
Article 2(1), sixth indent |
Article 2(1)(f) |
|
Article 2(1), seventh indent |
Article 2(1)(g) |
|
Article 2(1), eighth indent |
Article 2(1)(h) |
|
Article 2(2) |
Article 2(2) |
|
– |
Article 2(3) |
|
– |
Article 2(4) |
|
Article 2(3) |
Article 2(5) |
|
Article 2(4) |
– |
|
– |
Article 2(6) |
|
– |
Article 2(7) |
|
Article 2(5) |
Article 2(8) |
|
– |
Article 2(9) |
|
– |
Article 2(10) |
|
Article 2(6) |
Article 2(11) |
|
Article 2(7) |
Article 2(12) |
|
Article 2(8) |
Article 2(13) |
|
– |
Article 2(14) |
|
Article 2(9) |
Article 2(15) |
|
– |
Article 2(16) |
|
Article 2(10) |
Article 2(17) |
|
– |
Article 2(18) |
|
– |
Article 2(19) |
|
– |
Article 2(20) |
|
– |
Article 2(21) |
|
– |
Article 2(22) |
|
Article 3(1), first subparagraph |
Article 3(1), first subparagraph |
|
– |
Article 3(1), second subparagraph |
|
– |
Article 3(1), third subparagraph |
|
Article 3(1), second subparagraph |
Article 3(1), fourth subparagraph |
|
– |
Article 3(1), fifth subparagraph |
|
– |
Article 3(1), sixth subparagraph |
|
Article 3(2) to (4) |
Article 3(2) to (4) |
|
– |
Article 4(1) |
|
Article 4 |
Article 4(2) |
|
Article 5 |
– |
|
– |
Article 5 |
|
– |
Article 6 |
|
– |
Article 7 |
|
– |
Article 8 |
|
– |
Article 9 |
|
– |
Article 10 |
|
– |
Article 11 |
|
– |
Article 12 |
|
Article 6(1), introductory wording |
– |
|
– |
Article 13(1), introductory wording |
|
Article 6(1)(a) |
Article 13(1)(a) |
|
– |
Article 13(1)(b) |
|
Article 6(1)(b) |
Article 13(1)(c) |
|
Article 6(2) |
– |
|
– |
Article 13(2) |
|
Article 6(3) |
Article 13(3) |
|
Article 6(4) |
– |
|
Article 7 |
– |
|
Article 7a |
– |
|
Article 7b |
– |
|
– |
Article 14 |
|
– |
Article 15 |
|
– |
Article 16 |
|
Article 8 |
Article 17 |
|
– |
Article 18 |
|
Article 9(1) and (2) |
Article 19(1) and (2) |
|
Article 9(3), first sentence |
Article 19(3) |
|
Article 9(3), sentences 2 to 4 |
Article 19(4) |
|
Article 9(4) to (7) |
Article 19(5) to (8) |
|
– |
Article 19(9) and (10) |
|
Article 9a |
– |
|
Article 10(1) to (3) |
Article 20(1) to (3) |
|
– |
Article 20(4) |
|
Article 11(1) |
Article 21(1) |
|
– |
Article 21(2) |
|
Article 11(2) |
Article 21(3), first subparagraph |
|
Article 11(3), first subparagraph |
– |
|
Article 11(3), second subparagraph |
Article 21(3), second subparagraph |
|
Article 11(4) to (6) |
Article 21(4) to (6) |
|
Article 12(1) to (3) |
Article 22(1) to (3) |
|
Article 12(4) |
Article 22(4) |
|
– |
Article 22(5) to (7) |
|
Article 13(1) to (2) |
Article 23(1) and (2) |
|
– |
Article 23(3) to (5) |
|
Article 14 |
– |
|
Article 15 |
– |
|
– |
Article 24 |
|
– |
Article 25 |
|
– |
Article 26 |
|
– |
Article 27 |
|
Article 16(1) and (2) |
Article 28(1) and (2) |
|
Article 16(2a) |
Article 28(3) |
|
Article 16(3) |
Article 28(4) |
|
Article 17 |
Article 29 |
|
– |
Article 30 |
|
Article 18 |
Article 31 |
|
Article 19 |
Article 32 |
|
– |
Article 33 |
|
Article 19a |
Article 34 |
|
– |
Article 35 |
|
Article 20 |
Article 36 |
|
– |
Article 37 |
|
Article 21 |
Article 38 |
|
Article 22 |
Article 39 |
|
Annex I |
– |
|
– |
Annex I |
|
– |
Annex II |
|
– |
Annex III |
|
Annex II |
Annex IV |
|
Annex III |
Annex V |
|
Annex IV |
Annex VI |
|
Annex V |
Annex VII |
|
Annex VI |
Annex X |
|
Annex VII |
Annex XI |
|
– |
Annex XII |
|
Annex VIII |
Annex XIII |
|
Annex IX |
Annex IX |
|
Annex X |
Annex XIV |
|
Annex XI |
Annex VIII |
|
Annex XII |
– |
|
– |
Annex XV |
|
– |
Annex XVI |
ANNEX XVII
Inspection of ro-ro passenger ships and high-speed passenger craft on a regular service
1.1. Before a ro-ro passenger ship or high-speed passenger craft starts to operate on a regular service covered by this Directive, Member States shall carry out an inspection, in accordance with Article 3(1) of Directive (EU) 2017/2110 ( 14 ), to ensure that that ro-ro passenger ship or high-speed passenger craft fulfills the necessary requirements for the safe operation of a regular service.
1.2. When a ro-ro passenger ship or high-speed passenger craft is to be engaged on a regular service, the Member State concerned may take into account inspections carried out within the last 8 months by another Member State in respect of that ro-ro passenger ship or high-speed passenger craft for operations on another regular service covered by this Directive, provided that the Member State is satisfied in every case that those previous inspections are relevant to the new operational conditions and that during those inspections the necessary requirements for the safe operation of a regular service were fulfilled. The inspections provided for in point 1.1 do not need to be applied before the ro-ro passenger ship or high-speed passenger craft starts operating on the new regular service.
1.3. Where, due to unforeseen circumstances, there is an urgent need for the rapid introduction of a replacement ro-ro passenger ship or high-speed passenger craft to ensure continuity of service, and point 1.2 is not applicable, the Member State may allow the passenger ship or craft to start operating provided that the following conditions are met:
a visual inspection and document check raises no concerns that the ro-ro passenger ship or high-speed passenger craft does not fulfill the necessary requirements for safe operation; and
the Member State completes the inspection provided for in Article 3(1) of Directive (EU) 2017/2110 within 1 month.
2. Member States shall, once per year, but not before 4 months and not later than 8 months following the previous inspection, carry out:
an inspection, including the requirements of Annex II to Directive (EU) 2017/2110 and of Commission Regulation (EU) No 428/2010 ( 15 ) as applicable; and
an inspection during a regular service. This inspection shall cover the items listed in Annex III to Directive (EU) 2017/2110 and what, in the professional judgment of the inspector, constitutes a sufficient number of the items listed in Annexes I and II to Directive (EU) 2017/2110, to ensure that the ro-ro passenger ship or high-speed passenger craft continues to fulfill all the necessary requirements for safe operation.
3. Where a ro-ro passenger ship or high-speed passenger craft has not been inspected in accordance with point 2, the ro-ro passenger ship or high-speed passenger craft shall be considered to be Priority I.
4. An inspection in accordance with point 1.1 shall be considered to be an inspection for the purposes of point 2(a) of this Annex.
( 1 ) OJ L 208, 5.8.2002, p. 10.
( 2 ) OJ L 129, 29.4.2004, p. 6.
( 3 ) See page 11 of this Official Journal.
( 4 ) OJ L 196, 7.8.1996, p. 8.
( 5 ) OJ L 332, 28.12.2000, p. 81.
( 6 ) OJ L 324, 29.11.2002, p. 1.
( 7 ) See page 128 of this Official Journal.
( 8 ) See page 24 of this Official Journal.
( 9 ) Regulation (EU) No 1257/2013 of the European Parliament and of the Council of 20 November 2013 on ship recycling and amending Regulation (EC) No 1013/2006 and Directive 2009/16/EC (OJ L 330, 10.12.2013, p. 1).
( 10 ) OJ L 123, 19.5.2015, p. 55.
( 11 ) OJ L 323, 3.12.2008, p. 33.
( 12 ) Where the inspections carried out in the context of port State control represent only part of the inspectors' work, the total number of inspectors must be converted to a number equivalent to full-time inspectors. Where the same inspector works in more than one port or geographical area the applicable part-time equivalent must be counted in each port.
( 13 ) This information must be provided at national level and for each port of the Member State concerned. For the purposes of this Annex, a port is taken to mean an individual port or the geographical area covered by an inspector or team of inspectors, comprising several individual ports where appropriate.
( 14 ) Directive (EU) 2017/2110 of the European Parliament and of the Council of 15 November 2017 on a system of inspections for the safe operation of ro-ro passenger ships and high-speed passenger craft in regular service and amending Directive 2009/16/EC and repealing Council Directive 1999/35/EC (OJ L 315, 30.11.2017, p. 61).
( 15 ) Commission Regulation (EU) No 428/2010 of 20 May 2010 implementing Article 14 of Directive 2009/16/EC of the European Parliament and of the Council as regards expanded inspections of ships (OJ L 125, 21.5.2010, p. 2).