Revoked by A.1119(30)

 

Resolution A.1052(27)

PROCEDURES FOR PORT STATE CONTROL, 2011

 

Adopted on 30 November 2011

 

THE ASSEMBLY,

 

            RECALLING Article 15(j) of the Convention on the International Maritime Organization regarding the functions of the Assembly in relation to regulations and guidelines concerning maritime safety and the prevention and control of marine pollution from ships,

 

            RECALLING ALSO resolution A.787(19), by which it adopted the Procedures for Port State Control, and resolution A.882(21), by which it adopted amendments thereto,

 

            RECALLING FURTHER that, at its twenty-first session, when adopting resolution A.882(21), it requested the Maritime Safety Committee and the Marine Environment Protection Committee to keep the Procedures, as amended, under review, on the basis of experience gained from their implementation,

 

            RECOGNIZING that efforts by port States have greatly contributed to enhanced maritime safety and security, and prevention of marine pollution,

 

            RECOGNIZING ALSO the need to update the Procedures, as amended, to take account of the amendments to IMO instruments which have entered into force or have become effective since the adoption of resolutions A.787(19) and A.882(21),

 

HAVING CONSIDERED the recommendations made by the Maritime Safety Committee, at its eighty-ninth session, and the Marine Environment Protection Committee, at its sixty-second session,

 

1          ADOPTS the Procedures for Port State Control, 2011, as set out in the Annex to the present resolution;

 

2          INVITES Governments, when exercising port State control, to implement the aforementioned Procedures;

 

3          REQUESTS the Maritime Safety Committee and the Marine Environment Protection Committee to keep the Procedures under review and to amend them as necessary;

 

4          REVOKES resolutions A.787(19) and A.882(21).

 

Annex

 

PROCEDURES FOR PORT STATE CONTROL, 2011

 

Contents

 

CHAPTER 1 - GENERAL

 

1.1       Purpose

1.2       Application

1.3       Introduction

1.4       Provision for port State control

1.5       Ships of non-Parties

1.6       Ships below convention size

1.7       Definitions

1.8       Professional profile of PSCOs

1.9       Qualification and training requirements of PSCOs

 

CHAPTER 2 - PORT STATE INSPECTIONS

 

2.1       General

2.2       Initial Inspections

2.3       General procedural guidelines for PSCOs

2.4       Clear grounds

2.5       More detailed inspections

 

CHAPTER 3 - CONTRAVENTION AND DETENTION

 

3.1       Identification of a substandard ship

3.2       Submission of information concerning deficiencies

3.3       Port State action in response to alleged substandard ships

3.4       Responsibilities of port State to take remedial action

3.5       Guidance for the detention of ships

3.6       Suspension of inspection

3.7       Procedures for rectification of deficiencies and release

 

CHAPTER 4 - REPORTING REQUIREMENTS

 

4.1       Port State reporting

4.2       Flag State reporting

4.3       Reporting of allegations under MARPOL

 

CHAPTER 5 - REVIEW PROCEDURES

 

5.1       Report of comments

 

APPENDICES

 

Appendix 1 Code of Good Practice for port State control officers conducting inspections within the framework of the regional Memoranda of Understanding and Agreement on Port State Control (MSC-MEPC.4/Circ.2)

 

Appendix 2 Guidelines for the detention of ships

 

Appendix 3 Guidelines for investigations and inspections carried out under Annex I of MARPOL

 

Appendix 4 Guidelines for investigations and inspections carried out under Annex II of MARPOL

 

Appendix 5 Guidelines for discharge requirements under Annexes I and II of MARPOL

 

Appendix 6 Guidelines for more detailed inspections of ship structural and equipment requirements

 

Appendix 7 Guidelines for control of operational requirements

 

Appendix 8 Guidelines for port State control related to the ISM Code

 

Appendix 9 Guidelines for port State control related to LRIT

 

Appendix 10 Guidelines for port State control under the 1969 Tonnage Convention

 

Appendix 11 Minimum manning standards and certification

 

Appendix 12 List of certificates and documents

 

Appendix 13 Report of inspection in accordance with IMO port State control procedures

 

Appendix 14 Report of deficiencies not fully rectified or only provisionally repaired

 

Appendix 15 Report of action taken to the notifying authority

 

Appendix 16 Format for the Report of contravention of MARPOL (article 6)

 

Appendix 17 Comments by flag State on detention report

 

Appendix 18 List of instruments relevant to port State control procedures

 

CHAPTER 1 - GENERAL

 

1.1       PURPOSE

 

This document is intended to provide basic guidance on the conduct of port State control inspections and afford consistency in the conduct of these inspections, the recognition of deficiencies of a ship, its equipment, or its crew, and the application of control procedures.

 

1.2       APPLICATION

 

1.2.1    These Procedures apply to ships falling under the provisions of:

 

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

 

.2        the Protocol of 1988 relating to the International Convention for the Safety of Life at Sea, 1974 (SOLAS Protocol 1988);

 

.3        the International Convention on Load Lines, 1966 (Load Lines);

 

.4        the Protocol of 1988 relating to the International Convention on Load Lines, 1966 (Load Lines Protocol 1988);

 

.5        the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocols of 1978 and 1997 relating thereto, as amended (MARPOL);

 

.6        the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended (STCW);

 

.7        the International Convention on Tonnage Measurement of Ships, 1969 (Tonnage); and

 

.8        the International Convention on the Control of Harmful Anti-Fouling Systems on Ships (AFS), hereafter referred to as the applicable conventions.

 

1.2.2    Ships of non-Parties or below convention size should be given no more favourable treatment (see sections 1.5 and 1.6).

 

1.2.3    In exercising port State control, Parties should only apply those provisions of the conventions which are in force and which they have accepted.

 

1.2.4    If a port State exercises port State control based on International Labour Organization (ILO) Convention No.147, "Merchant Shipping (Minimum Standards) Convention, 1976", guidance on the conduct of such control inspections is given in the ILO publication "Inspection of Labour Conditions on board Ship: Guidelines for Procedure".

 

1.3       INTRODUCTION

 

1.3.1    Under the provisions of the applicable conventions set out in section 1.2 above, the Administration (i.e. the Government of the flag State) is responsible for promulgating laws and regulations and for taking all other steps which may be necessary to give the applicable

 

conventions full and complete effect so as to ensure that, from the point of view of safety of life and pollution prevention, a ship is fit for the service for which it is intended and seafarers are qualified and fit for their duties.

 

1.3.2    In some cases it may be difficult for the Administration to exercise full and continuous control over some ships entitled to fly the flag of its State, for instance those ships which do not regularly call at a port of the flag State. The problem can be, and has been, partly overcome by appointing inspectors at foreign ports and/or authorizing recognized organizations to act on behalf of the flag State Administration.

 

1.3.3    The following control procedures should be regarded as complementary to national measures taken by Administrations of flag States in their countries and abroad and are intended to provide assistance to flag State Administrations in securing compliance with convention provisions in safeguarding the safety of crew, passengers and ships, and ensuring the prevention of pollution.

 

1.4       PROVISION FOR PORT STATE CONTROL

 

Regulation 19 of chapter I, regulation 6.2 of chapter IX, regulation 4 of chapter XI-1 and regulation 9 of chapter XI-2 of SOLAS, as modified by the SOLAS Protocol 1988; article 21 of Load Lines, as modified by the Load Lines Protocol 1988; articles 5 and 6, regulation 11 of Annex I, regulation 16.9 of Annex II, regulation 8 of Annex III, regulation 13 of Annex IV, regulation 8 of Annex V and regulation 10 of Annex VI of MARPOL; article X of STCW; article 12 of Tonnage and article 11 of AFS provide for control procedures to be followed by a Party to a relevant convention with regard to foreign ships visiting their ports. The authorities of port States should make effective use of these provisions for the purposes of identifying deficiencies, if any, in such ships which may render them substandard (see section 3.1), and ensuring that remedial measures are taken.

 

1.5       SHIPS OF NON-PARTIES

 

1.5.1    Article I(3) of the SOLAS Protocol 1988, article 5(4) of MARPOL, article X(5) of STCW and article 3(3) of AFS provide that no more favourable treatment is to be given to the ships of countries which are not Party to the relevant Convention. All Parties should, as a matter of principle, apply these Procedures to ships of non-Parties in order to ensure that equivalent surveys and inspections are conducted and an equivalent level of safety and protection of the marine environment is ensured.

 

1.5.2    As ships of non-Parties are not provided with SOLAS, Load Lines or MARPOL certificates, as applicable, or the crew members may not hold STCW certificates, the Port State Control Officer (PSCO), taking into account the principles established in these Procedures, should be satisfied that the ship and crew do not present a danger to those on board or an unreasonable threat of harm to the marine environment. If the ship or crew has some form of certification other than that required by a convention, the PSCO may take the form and content of this documentation into account in the evaluation of that ship. The conditions of and on such a ship and its equipment and the certification of the crew and the flag State's minimum manning standard should be compatible with the aims of the provisions of the conventions; otherwise, the ship should be subject to such restrictions as are necessary to obtain a comparable level of safety and protection of the marine environment.

 

1.6       SHIPS BELOW CONVENTION SIZE

 

1.6.1    In the exercise of their functions, the PSCOs should be guided by any certificates and other documents issued by or on behalf of the flag State Administration. In such cases, the PSCOs should limit the scope of inspection to the verification of compliance with those certificates and documents.

 

1.6.2    To the extent a relevant instrument is not applicable to a ship below convention size, the PSCO's task should be to assess whether the ship is of an acceptable standard in regard to safety and the environment. In making that assessment, the PSCO should take due account of such factors as the length and nature of the intended voyage or service, the size and type of the ship, the equipment provided and the nature of the cargo.

 

1.7       DEFINITIONS

 

1.7.1    Bulk carrier: whilst noting the definitions in SOLAS regulations IX/1.6 and XII/1.1 and resolution MSC.277(85), for the purposes of port State control, PSCOs should be guided by the ship's type indicated in the ship's certificates in determining whether a ship is a bulk carrier and recognize that a ship which is not designated as a bulk carrier as the ship type on the ship certificate may carry certain bulk cargo as provided for in the above instruments.

 

1.7.2    Clear grounds: Evidence that the ship, its equipment, or its crew does not correspond substantially with the requirements of the relevant conventions or that the master or crew members are not familiar with essential shipboard procedures relating to the safety of ships or the prevention of pollution. Examples of clear grounds are included in section 2.4.

 

1.7.3    Deficiency: A condition found not to be in compliance with the requirements of the relevant convention.

 

1.7.4    Detention: Intervention action taken by the port State when the condition of the ship or its crew does not correspond substantially with the applicable conventions to ensure that the ship will not sail until it can proceed to sea without presenting a danger to the ship or persons on board, or without presenting an unreasonable threat of harm to the marine environment, whether or not such action will affect the normal schedule of the departure of the ship.

 

1.7.5    Inspection: A visit on board a ship to check both the validity of the relevant certificates and other documents, and the overall condition of the ship, its equipment and its crew.

 

1.7.6    More detailed inspection: An inspection conducted when there are clear grounds for believing that the condition of the ship, its equipment or its crew does not correspond substantially to the particulars of the certificates.

 

1.7.7    Port State Control Officer (PSCO): A person duly authorized by the competent authority of a Party to a relevant convention to carry out port State control inspections, and responsible exclusively to that Party.

 

1.7.8    Recognized organization: An organization which meets the relevant conditions set forth by resolution A.739(18), as amended by resolution MSC.208(81), and resolution A.789(19), and has been authorized by the flag State Administration to provide the necessary statutory services and certification to ships entitled to fly its flag.

 

1.7.9    Stoppage of an operation: Formal prohibition against a ship to continue an operation due to an identified deficiency(ies) which, singly or together, render the continuation of such operation hazardous.

 

1.7.10  Substandard ship: A ship whose hull, machinery, equipment or operational safety is substantially below the standards required by the relevant convention or whose crew is not in conformance with the safe manning document.

 

1.7.11  Valid certificates: A certificate that has been issued directly by a Party to a relevant convention or on its behalf by a recognized organization and contains accurate and effective dates meets the provisions of the relevant convention and to which the particulars of the ship, its crew and its equipment correspond.

 

1.8       PROFESSIONAL PROFILE OF PSCOs

 

1.8.1    Port State control should be carried out only by qualified PSCOs who fulfil the qualifications and training specified in section 1.9.

 

1.8.2    When the required professional expertise cannot be provided by the PSCO, the PSCO may be assisted by any person with the required expertise, as acceptable to the port State.

 

1.8.3    The PSCOs and the persons assisting them should have no commercial interest, either in the port of inspection, or in the ships inspected, nor should PSCOs be employed by, or undertake work on behalf of, recognized organizations.

 

1.8.4    A PSCO should carry a personal document in the form of an identity card issued by the port State and indicating that the PSCO is authorized to carry out the control.

 

1.9       QUALIFICATION AND TRAINING REQUIREMENTS OF PSCOs

 

1.9.1    The PSCO should be an experienced officer qualified as flag State surveyor.

 

1.9.2    The PSCO should be able to communicate in English with the key crew.

 

1.9.3    Training should be provided for PSCOs to give the necessary knowledge of the provisions of the applicable conventions which are relevant to the conduct of port State control, taking into account the latest IMO Model Courses for port State control.

 

1.9.4    In specifying the qualifications and training requirements for PSCOs, the Administration should take into account, as appropriate, which of the internationally agreed instruments are relevant for the control by the port State and the variety of types of ships which may enter its ports.

 

1.9.5    PSCOs carrying out inspections of operational requirements should be qualified as a master or chief engineer and have appropriate seagoing experience, or have qualifications from an institution recognized by the Administration in a maritime related field and have specialized training to ensure adequate competence and skill, or be a qualified officer of the Administration with an equivalent level of experience and training, for performing inspections of the relevant operational requirements.

 

1.9.6    Periodic seminars for PSCOs should be held in order to update their knowledge with respect to instruments related to port State control.

 

CHAPTER 2 - PORT STATE INSPECTIONS

 

2.1       GENERAL

 

2.1.1    In accordance with the provisions of the applicable conventions, Parties may conduct inspections by PSCOs of foreign ships in their ports.

 

2.1.2    Such inspections may be undertaken on the basis of:

 

.1        the initiative of the Party;

 

.2        the request of, or on the basis of, information regarding a ship provided by another Party; or

 

.3        information regarding a ship provided by a member of the crew, a professional body, an association, a trade union or any other individual with an interest in the safety of the ship, its crew and passengers, or the protection of the marine environment.

 

2.1.3    Whereas Parties may entrust surveys and inspections of ships entitled to fly their own flag either to inspectors nominated for this purpose or to recognized organizations, they should be aware that, under the applicable conventions, foreign ships are subject to port State control, including boarding, inspection, remedial action and possible detention, only by officers duly authorized by the port State. This authorization of PSCOs may be a general grant of authority or may be specific on a case-by-case basis.

 

2.1.4    All possible efforts should be made to avoid a ship being unduly detained or delayed. If a ship is unduly detained or delayed, it should be entitled to compensation for any loss or damage suffered.

 

2.2       INITIAL INSPECTIONS

 

2.2.1    In the pursuance of control procedures under the applicable conventions, which, for instance, may arise from information given to a port State regarding a ship, a PSCO may proceed to the ship and, before boarding, gain, from its appearance in the water, an impression of its standard of maintenance from such items as the condition of its paintwork, corrosion or pitting or unrepaired damage.

 

2.2.2    At the earliest possible opportunity, the PSCO should ascertain the type of ship, year of build and size of the ship for the purpose of determining which provisions of the conventions are applicable.

 

2.2.3    On boarding and introduction to the master or the responsible ship's officer, the PSCO should examine the ship's relevant certificates and documents, as listed in appendix 12. When examining 1969 International Tonnage Certificates, the PSCO should be guided by appendix 10.

 

2.2.4    If the certificates are valid and the PSCO's general impression and visual observations on board confirm a good standard of maintenance, the PSCO should generally confine the inspection to reported or observed deficiencies, if any.

 

2.2.5    In conducting an initial inspection, the PSCO should check both the validity of the relevant certificates and other documents and the overall condition of the ship, including its equipment, navigational bridge, decks including forecastle, cargo holds/areas, engine-room and pilot transfer arrangements.

 

2.2.6    In pursuance of control procedures under chapter IX of SOLAS in relation to the International Management Code for the Safe Operation of Ships and for Pollution Prevention (ISM Code), the PSCO should utilize the guidelines in appendix 8.

 

2.2.7    If, however, the PSCO from general impression or observations on board has clear grounds for believing that the ship, its equipment or its crew do not substantially meet the requirements, the PSCO should proceed to a more detailed inspection, taking into consideration sections 2.4 and 2.5           In forming such an impression, the PSCO should utilize the guidelines in relevant appendices.

 

2.3       GENERAL PROCEDURAL GUIDELINES FOR PSCOs

 

2.3.1    The PSCO should observe the Code of Good Practice for port State control officers (MSC-MEPC.4/Circ.2), as shown in appendix 1, use professional judgement in carrying out all duties and consider consulting others as deemed appropriate.

 

2.3.2    When boarding a ship, the PSCO should present to the master or to the representative of the owner, if requested to do so, the PSCO identity card. This card should be accepted as documented evidence that the PSCO in question is duly authorized by the Administration to carry out port State control inspections.

 

2.3.3    If the PSCO has clear grounds for carrying out a more detailed inspection, the master should be immediately informed of these grounds and advised that, if so desired, the master may contact the Administration or, as appropriate, the recognized organization responsible for issuing the certificate and invite their presence on board.

 

2.3.4    In the case that an inspection is initiated based on a report or complaint, especially if it is from a crew member, the source of the information should not be disclosed.

 

2.3.5    When exercising control, all possible efforts should be made to avoid a ship being unduly detained or delayed. It should be borne in mind that the main purpose of port State control is to prevent a ship proceeding to sea if it is unsafe or presents an unreasonable threat of harm to the marine environment. The PSCO should exercise professional judgement to determine whether to detain a ship until the deficiencies are corrected or to allow it to sail with certain deficiencies, having regard to the particular circumstances of the intended voyage.

 

2.3.6    It should be recognized that all equipment is subject to failure and spares or replacement parts may not be readily available. In such cases, undue delay should not be caused if, in the opinion of the PSCO, safe alternative arrangements have been made.

 

2.3.7    Where the grounds for detention are the result of accidental damage suffered on the ship's voyage to a port, no detention order should be issued, provided that:

 

.1        due account has been given to the convention requirements regarding notification to the flag State Administration, the nominated surveyor or the recognized organization responsible for issuing the relevant certificate;

 

.2        prior to entering a port, the master or company has submitted to the port State Authority details of the circumstances of the accident and the damage suffered and information about the required notification of the flag State Administration;

 

.3        appropriate remedial action, to the satisfaction of the port State Authority, is being taken by the ship; and

 

.4        the port State Authority has ensured, having been notified of the completion of the remedial action, that deficiencies which were clearly hazardous to safety, health or environment have been rectified.

 

2.3.8    Since detention of a ship is a serious matter involving many issues, it may be in the best interest of the PSCO to act together with other interested parties (see paragraph 4.1.3). For example, the officer may request the owner's representatives to provide proposals for correcting the situation. The PSCO should also consider cooperating with the flag State Administration's representatives or the recognized organization responsible for issuing the relevant certificates, and consulting them regarding their acceptance of the owner's proposals and their possible additional requirements. Without limiting the PSCO's discretion in any way, the involvement of other parties could result in a safer ship, avoid subsequent arguments relating to the circumstances of the detention and prove advantageous in the case of litigation involving "undue delay".

 

2.3.9    Where deficiencies cannot be remedied at the port of inspection, the PSCO may allow the ship to proceed to another port, subject to any appropriate conditions determined. In such circumstances, the PSCO should ensure that the competent authority of the next port of call and the flag State are notified.

 

2.3.10  Detention reports to the flag State should be in sufficient detail for an assessment to be made of the severity of the deficiencies giving rise to the detention.

 

2.3.11  The company or its representative have a right of appeal against a detention taken by the Authority of a port State. The appeal should not cause the detention to be suspended. The PSCO should properly inform the master of the right of appeal.

 

2.3.12  To ensure consistent enforcement of port State control requirements, PSCOs should carry an extract of section 2.3 (General procedural guidelines for PSCOs) for ready reference when carrying out any port State control inspections.

 

2.3.13  PSCOs should also be familiar with the detailed guidelines given in the appendices to these Procedures.

 

2.4       CLEAR GROUNDS

 

2.4.1    When a PSCO inspects a foreign ship which is required to hold a convention certificate, and which is in a port or an offshore terminal under the jurisdiction of the port State, any such inspection should be limited to verifying that there are on board valid certificates and other relevant documentation and the PSCO forming an impression of the overall condition of the ship, its equipment and its crew, unless there are "clear grounds" for believing that the condition of the ship or its equipment does not correspond substantially with the particulars of the certificates.

 

2.4.2    "Clear grounds" to conduct a more detailed inspection include:

 

.1        the absence of principal equipment or arrangements required by the applicable conventions;

 

.2        evidence from a review of the ship's certificates that a certificate or certificates are clearly invalid;

 

.3        evidence that documentation required by the applicable conventions and listed in appendix 12 is not on board, incomplete, not maintained or falsely maintained;