Resolution A.1185(33)
Adopted on 6 December 2023
(Agenda items 11 and 13)
PROCEDURES FOR PORT STATE CONTROL, 2023
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.1155(32), by which it adopted the Procedures
for port State control, 2021 (hereafter referred to as the
"Procedures"), following successive revocation of resolutions
A.1138(31), A.1119(30), A.1052(27), A.882(21), A.787(19), A.742(18), A.597(15) and A.466(XII),
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 to take account
of the amendments to IMO instruments which have entered into force or have
become effective since the adoption of resolution A.1155(32),
HAVING CONSIDERED the recommendations made by the Maritime Safety
Committee, at its 106th session, and the Marine Environment Protection
Committee, at its seventy-ninth session,
1 ADOPTS the
Procedures for port State control, 2023, 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 resolution
A.1155(32).
ANNEX
PROCEDURES FOR PORT STATE CONTROL, 2023
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
Appendix 2 Guidelines
for the detention of ships
Appendix 3 Guidelines
for investigations and inspections carried out under MARPOL Annex I
Appendix 4 Guidelines
for investigations and inspections carried out under MARPOL Annex II
Appendix 5 Guidelines
for discharge requirements under MARPOL Annexes I and II
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 officers on the ISM Code
Appendix 9 Guidelines
for port State control related to LRIT
Appendix 10 Guidelines
for port State control under TONNAGE 1969
Appendix 11 Guidelines
for port State control officers on certification of seafarers, manning and
hours of rest
Appendix 12 List of
certificates and documents
Appendix 13 Report of
inspection in accordance with Procedures for port State control
Appendix 14 Report of
deficiencies not fully rectified or only provisionally rectified
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 Guidelines
for port State control under MARPOL Annex VI
Appendix 19 Guidelines
for inspection of the anti-fouling system on ships
Appendix 20 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 in support of the control provisions of
relevant conventions and parts of the IMO Instruments Implementation Code (III
Code) (resolution A.1070(28))
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 1974);
.2 the Protocol of 1988
relating to the International Convention for the Safety of Life at Sea, 1974,
as amended (SOLAS PROT 1988);
.3 the International
Convention on Load Lines, 1966, as amended (LL1966);
.4 the Protocol of 1988
relating to the International Convention on Load Lines, 1966, as amended (LL
PROT 1988);
.5 the International
Convention for the Prevention of Pollution from Ships, 1973, as modified by the
1978 and 1997 Protocols, as amended (MARPOL);
.6 the International Convention
on Standards of Training, Certification and Watchkeeping for Seafarers, 1978,
as amended (STCW 1978);
.7 the International
Convention on Tonnage Measurement of Ships, 1969, as amended (TONNAGE 1969);
.8 the International
Convention on the Control of Harmful Anti-fouling Systems on Ships, 2001 (AFS
2001);
.9 the Convention on
the International Regulations for Preventing Collisions at Sea, 1972, as
amended (COLREG 1972);
.10 the International
Convention on Civil Liability for Oil Pollution Damage, 1969 (CLC 1969);
.11 the Protocol of 1992
to amend the International Convention on Civil Liability for Oil Pollution
Damage, 1969, as amended (CLC PROT 1992);
.12 the International
Convention on Civil Liability for Bunker Oil Pollution Damage, 2001 (BUNKERS
2001);
.13 the International
Convention for the Control and Management of Ships' Ballast Water and
Sediments, 2004, as amended (BWM 2004); and
.14 the Nairobi
International Convention on the Removal of Wrecks, 2007 (NAIROBI WRC 2007),
hereafter referred to as the relevant conventions.
1.2.2 Ships of non-Parties
should be given no more favourable treatment (see section 1.5).
1.2.3 For ships below
convention size, Parties should apply the procedures in section 1.6.
1.2.4 When exercising port
State control, Parties should only apply those provisions of the conventions
which are in force and which they have accepted.
1.2.5 Where the provisions
of the relevant conventions are not specific, the port State control officer
(PSCO) should in principle accept the design arrangement approved by the flag
State and when appropriate consult with the flag Administration.
1.2.6 The PSCO should be
aware that the provisions of relevant conventions permit Administrations to
grant exemptions, allow equivalents1 and approve alternative design
and arrangements (ADA). When an Exemption Certificate is issued in accordance
with the relevant provisions of a convention, provided it includes the correct
reference to the exemption provision and the requirement to which it relates,
or the ship carries the approved ADA documentation (e.g. SOLAS 1974 regulation
II-1/55.4.2), port State authorities should interpret this as meaning that the
ship complies with the provisions of the convention. Port State authorities
should check, whenever possible, with the Administration should there be any
doubt whether an exemption, equivalence or ADA has been granted.
_________________
1 Any Administration which
allows, in substitution, a fitting, material, appliance or apparatus, or type
thereof, or provision, shall communicate to the Organization particulars
thereof together with a report on any trials made and the Organization shall
circulate such particulars to other Contracting Governments for the information
of their officers (e.g. SOLAS 1974, regulation I/5).
1.2.7 Notwithstanding
paragraph 1.2.4, in relation to voluntary early implementation of amendments to
SOLAS 1974 and related mandatory instruments, Parties should take into account
the Guidelines on the voluntary early implementation of amendments to the
1974 SOLAS Convention and related mandatory instruments (MSC.1/Circ.1565).
1.2.8 If a port State
exercises control based on:
.1 the International
Labour Organization (ILO) Maritime Labour Convention, 2006, as amended (MLC
2006), guidance on the conduct of such inspections is given in the ILO
publication ʺGuidelines for port State control officers carrying out
inspections under the Maritime Labour Convention, 2006, as amendedʺ; or
.2 the ILO Convention
No.147, Merchant Shipping (Minimum Standards) Convention, 1976, or the Protocol
of 1996 to the Merchant Shipping (Minimum Standards) Convention, 1976, guidance
on the conduct of such inspections is given in the ILO publication
ʺInspection of labour conditions on board ship: Guidelines for
procedureʺ.
1.3 INTRODUCTION
1.3.1 Under the provisions
of the relevant 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 relevant 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 The nature of
international shipping means that ships may not frequently call at ports in
their flag State. It is therefore common to find that such flag States appoint
the nominated surveyors at foreign ports and authorize recognized organizations
(ROs) in accordance with the provisions of various conventions.
1.3.3 The following
control procedures should be regarded as complementary to national measures
taken by flag State Administrations in their countries and abroad and are
intended to provide a common and consistent approach to the performance of port
State control inspections and control measures taken as a consequence of the detection
of serious deficiencies. These Procedures are also 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
SOLAS 1974 regulations I/19, IX/6.2, XI-1/4 and XI-2/9, as
modified by SOLAS PROT 1988; article 21 of LL 1966, as modified by LL PROT
1988; articles 5 and 6, regulation 11 of Annex I, regulation 16.9 of Annex II,
regulation 9 of Annex III, regulation 14 of Annex IV, regulation 9 of Annex V
and regulation 10 of Annex VI of MARPOL; article X of STCW 1978; article 12 of
TONNAGE 1969; article 11 of AFS 2001; and article 9 of BWM 2004 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
SOLAS PROT 1988, article I(3) of LL PROT 1988, article 5(4) of MARPOL, article
X(5) of STCW 1978, article 3(3) of AFS 2001 and article 3(3) of BWM 2004
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, MARPOL, AFS or BWM
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, 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:
While noting the definitions in SOLAS 1974, 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 do 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 relevant 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 Initial
inspection: A visit on board a ship to check the validity of the relevant
certificates and other documents, the overall condition of the ship, its
equipment and its crew (see also section 2.2).
1.7.6 More detailed
inspection: An inspection conducted when there are "clear
grounds", as defined under paragraph 1.7.2.
1.7.7 Nearest
appropriate and available repair yard: A port where follow-up action can be
taken, and it is in, or closest to, the port of detention or the port where the
ship is authorized to proceed taking into account the cargo on board.
1.7.8 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.
1.7.9 Recognized
organization (RO): An organization which meets the relevant conditions set
forth in the Code for Recognized Organizations (RO Code) (MSC.349(92) and MEPC.237(65))
and has been assessed and authorized by the flag State Administration in
accordance with provisions of the RO Code to provide the necessary statutory
services and certification to ships entitled to fly its flag.
1.7.10 Stoppage of an
operation: Formal prohibition against a ship to continue an operation due
to an identified deficiency or deficiencies which, singly or together, render
the continuation of such operation hazardous.
1.7.11 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
conformity with the safe manning document.
1.7.12 Valid certificates:
A certificate that has been issued, electronically or on paper, directly by a
Party to a relevant convention or on its behalf by an RO, 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 PSCOs and persons
assisting them should be free from any commercial, financial and other
pressures and have no commercial interest in the port of inspection, the ships
inspected, ship repair facilities or any support services in the port or
elsewhere, nor should PSCOs be employed by or undertake work on behalf of ROs
or classification societies.
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
relevant 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 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 relevant conventions, Parties may conduct inspections by
PSCOs of foreign ships in their ports.
2.1.2 Such inspections may
be undertaken:
.1 on the initiative of
the Party;
.2 at the request of,
or on the basis of information regarding a ship provided by, another Party; or
.3 on the basis of
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 ROs, they should be aware that,
under the relevant 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 relevant 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 required by the relevant
conventions, as listed in appendix 12, part A. PSCOs should note the following:
.1 certificates may be
in hard copy or electronic form;
.2 where the ship
relies upon electronic certificates:
.1 the certificates and
website used to access them should conform with the Guidelines for the use
of electronic certificates (FAL.5/Circ.39/Rev.2 and Corr.1);
.2 specific
verification instructions are to be available on the ship; and
.3 viewing such
certificates on a computer is considered as meeting the requirement that
certificates be "on board";
.3 when examining
International Tonnage Certificates, the PSCO should be guided by appendix 10;
and
.4 when examining
certificates or documentary evidence of seafarers issued in accordance with
STCW 1978, the PSCO should be guided by appendix 11; the list of certificates
or documentary evidence required under STCW 1978 is also found in table B-I/2
of the STCW Code.
2.2.4 After the
certificate and document check, the PSCO should check the overall condition of
the ship, including its equipment, navigational bridge, forecastle, cargo
holds/areas, engine-room and pilot transfer arrangements and verify that any
outstanding deficiency from the previous PSC inspection has been rectified.
2.2.5 If the certificates
required by the relevant conventions 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.
2.2.6 In pursuance of
control procedures under chapter IX of SOLAS 1974 in relation to the
International Safety Management Code (ISM Code), the PSCO should utilize the
guidelines in appendix 8.
2.2.7 If, however, the
PSCO from general impressions or observations on board has clear grounds for
believing that the ship, its equipment or its crew do not substantially meet
the requirements, taking into account paragraph 1.2.6, 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 RO responsible
for issuing the certificate and invite their