Port State Control Second Edition Özçayir
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PORT STATE CONTROL
SECOND EDITION
PORT STATE CONTROL
SECOND EDITION
BY
DR Z. OYA ÖZÇAYIR
Maritime Law Consultant
Member of IMO Roster of Experts and Consultants
FOREWORD
BY
MR E. E. MITROPOULOS
Secretary-General
International Maritime Organization
First edition published 2001 by Informa Professional
a division of Informa Publishing Group Ltd
Second edition 2004
Published 2015
by Informa Law from Routledge
2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN
and by Informa Law from Routledge
711 Third Avenue, New York, NY, 10017, USA
Informa Law is an imprint of the Taylor & Francis Group, an informa business
All rights reserved. No part of this book may be reprinted or reproduced or utilised in
any form or by any electronic, mechanical, or other means, now known or hereafter
invented, including photocopying and recording, or in any information storage or retrieval
system, without permission in writing from the publishers.
Whilst every effort has been made to ensure that the information contained in this work is
correct, neither the authors nor Informa Law from Routledge can accept any responsibility
for any errors or omissions or for any consequences arising therefrom.
Product or corporate names may be trademarks or registered trademarks and are used only
for identification and explanation without intent to infringe.
British Library Cataloguing in Publication Data
A catalogue record for this book is available from the British Library
ISBN-13: 978-1- 843-11328-7 (hbk)
Text set in 10/12pt Plantin
by MFK Mendip, Frome, Somerset
Dedication
To my family
vii
Foreword
Shipping is perhaps the most international of industries and is unique in that its prime
assets, the ships themselves, move between countries and continents and, therefore,
between different legal jurisdictions: hence the need for an internationally agreed
regulatory framework to establish universally acceptable standards for maritime safety,
security and environmental protection.
It is through IMO that those standards are developed and adopted and, over the years,
the work of the Organization in this respect has helped bring about measurable advances
in all of the areas they cover. But, even though every new standard adopted represents a
step forward, it is virtually worthless without proper implementation. While the prime
responsibility for implementation of agreed standards rests with flag States and shipping
companies owning ships engaged in international trade, the maritime world has, for
many years, recognized the importance and the value of port State control as a means of
supporting and providing back-up to the role of flag States.
Many of IMO’s most important technical conventions contain provisions for ships to
be inspected when they visit foreign ports to ensure that they meet the requirements of
the conventions the flag State is party to, and IMO has encouraged the establishment of
regional port State control organizations and agreements as a means of ensuring
compliance and, if necessary, tightening the net around sub-standard shipping and
reducing the trading opportunities for sub-standard operators.
This book is a comprehensive publication dealing with the full implications and
regulations of port State control. It provides a detailed analysis of the legal framework
relating to port State control, including the most recent developments in this area. It
covers not only the regional agreements on port State control and the EU legislation on
this subject but also the background of the port State control process, its implications in
practice and its effect on the ISM Code and the classification societies.
Since the first edition of the volume was published in 2001, the regulatory, practical
and political backgrounds against which port State control operates have changed
considerably and a great deal of work has gone into ensuring that this latest edition
accurately reflects the shipping world as it is today.
Among the new topics covered in this edition are amendments to the various regional
port State control agreements; the addition of an appeal procedure in Paris MOU
Member States; amendments to the EU Directive on port State control; measures taken
following the Prestige incident; the implications of the new IMO security measures,
including the ISPS Code; an update to the Equasis system and an evaluation of progress
with the Qualship regime under the US port State control system. In addition to
covering all these major changes, the book also includes updated appendices and tables
on all relevant legislation.
FOREWORD
viii
Given the speed and implications of recent developments, all in the maritime
community need to be aware of what port State control is and how it can effect their
operations. This book’s thorough coverage of these issues ensures that it will provide a
valuable source of reference.
July 2004 Mr E. E. Mitropoulos
Secretary-General
International Maritime
Organization
ix
Preface
The writing of the first edition of this book started some time before the Erika incident
which greatly affected the writing process. While the maritime community was trying to
prevent similar incidents, yet another oil pollution incident, the Prestige, took place in
European waters.
The preparation for the second edition started in the light of these incidents and, more
importantly, of a major tragic event, September 11, which affected all aspects of
commercial life including the maritime world. This incident caused a big legislative
overhaul in maritime safety and security. In November 2002, the US passed a domestic
legislation entitled the Maritime Security Transportation Act of 2002 (MTSA) and in
December 2002, the International Ship and Port Facility Security Code was adopted by
IMO.
The proposed changes following the Erika incident started to take place even more
swiftly after the Prestige and September 11. The most comprehensive amendments to
Port State Control Directive 95/21/EC were made following the Erika incident. In 2002,
new amendments were adopted to bring the Paris MOU in line with the latest changes of
the EC Directive on port State control.
The aim of the second edition of Port State Control is to provide a detailed cover of the
changes that took place since the first edition. The main framework of the first edition of
the book has been kept and the necessary amendments and changes have been made in
the relevant chapters.
Introductory chapters deal with the background of port State control; the role of IMO,
port State jurisdiction and IMO guidelines on port State control. The Paris MOU, still
being the main framework for the other regional agreements, has been discussed in detail
with new amendments, including the review and appeal procedure. Other regional
agreements have been explained briefly.
UK port State control has been examined as an example with changes made in line
with the EC Directive on port State control. US port State control regime has been
discussed in detail with the major amendments made following September 11.
The EC Directive on port State control covers the ErikaI and II measures taken
following the Prestige incident. The effects of the Erika incident have been examined with
the effects of a later incident, the Prestige.
The International Safety Management (ISM) Code and the classification societies
have been studied in relation to port State control including the relevant changes.
The last chapter looks at the practical effects of the port State control system.
July 2004 Z. Oya Özçayır
xi
Acknowledgements
I would like to say thank you to all those who provided valuable information during the
first edition of this book.
I would also like to thank:
IMO public information office staff Lee Adamson and Natasha Brown for answering all
my queries;
Carien Droppers, Assistant Secretary, Paris MOU on port State control for patiently
answering all my questions on the appeal and review procedure of Paris MOU;
Louis Baumard, External Communications Officer, European Maritime Safety Agency
(EMSA) for providing detailed information about the application of EU legislation
in port State control.
My thanks to Victoria Ophield, my editor, for giving me enough time to go through the
great number of changes that took place in the port State control area since the first
edition.
I would like to thank Lee Adamson, my proofreader, for his meticulous reading of the
manuscript of the book.
My thanks to Professor Robert Merkin whose support has always been encouraging.
My special thanks to Dr Faramarz Amiri for his never-ending helpfulness.
xiii
Table of Contents
Page
Foreword vii
Preface ix
Acknowledgements xi
Bibliography xxix
Table of Abbreviations xxxvii
Table of Cases xli
Table of EC Legislation xlv
Table of National Legislation xlvii
Table of International Conventions li
Para.
INTRODUCTION A.1
1 FLAG STATE CONTROL: BACKGROUND 1.1
1A Introduction 1.1
1B The concept of vessel nationality 1.2
1C Registration 1.6
1D The concept of “genuine link” 1.9
1E The United Nations Convention on Conditions for Registration of Ships
(1986 UN Convention) 1.23
1F Maritime flag 1.28
1G Flag State control 1.31
1H Flags of convenience 1.35
1I The creation of open registries 1.38
1J Problems arising from flags of convenience 1.41
1K Labour 1.44
1L Economic considerations 1.45
1M Has the flags of convenience problem been solved? 1.46
2 THE INTERNATIONAL MARITIME ORGANIZATION (IMO) 2.1
2A Introduction 2.1
2B Establishment of the IMO 2.4
2C Structure of the IMO 2.10
2C.1 The Assembly 2.11
2C.1(i) Conferences approved 2.13
2C.2 The Council 2.14
2C.3 Maritime Safety Committee (MSC) 2.15
2C.4 Legal Committee 2.16
TABLE OF CONTENTS
xiv
2C.5 Marine Environment and Protection Committee (MEPC) 2.17
2C.6 Technical Co-operation Committee 2.18
2C.7 Facilitation Committee 2.19
2C.8 Secretariat 2.20
2D Functions of the IMO 2.21
2E Tacit acceptance 2.24
2F The role of the IMO 2.28
2F.1 Adoption of Conventions 2.30
2F.2 Entry into force 2.32
2F.3 Implementation 2.35
2G The work of the subcommittee on flag State implementation 2.40
2G.1 Code for implementation of IMO instruments 2.47
3 PORT STATE JURISDICTION 3.1
3A Jurisdiction in general terms 3.1
3B Flag State jurisdiction 3.6
3C Coastal State jurisdiction 3.11
3C.1 Internal waters 3.12
3C.2 Territorial sea 3.16
3C.3 The contiguous zone 3.18
3C.4 Exclusive economic zone 3.20
3C.5 High seas 3.21
3D Port State jurisdiction 3.22
3E Foreign vessels’ access to ports and conditions of entry 3.27
3F General terms 3.30
3G The UNCLOS provisions in connection with port State jurisdiction 3.32
3H “Applicable international rules and standards” 3.38
3I Application of UNCLOS provisions in port State jurisdiction cases 3.40
3I.1William Rodman Sellers v. Maritime Safety Inspector 3.40
3I.2 The New Zealand Maritime Transport Act 1994 and international
law 3.47
4 INTRODUCTION TO PORT STATE CONTROL AND IMO
GUIDELINES 4.1
4A The safety net 4.1
4B Control provisions in IMO Conventions 4.4
4C Relevant IMO Conventions and ILO instruments 4.6
4C.1 International Convention for the Safety of Life at Sea 1974 (SOLAS 74)
4.7
4C.1(i) The ISPS Code 4.9
Requirements for companies and ships 4.10
Port facility 4.11
Information to be made available from port facilities to
ships and companies 4.12
Requirements for ships entering a port of another
contracting government (port State control inspections) 4.13
Control of ships in port 4.14
Ships intending to enter a port of another contracting
government 4.15
Additional provisions 4.17
“Clear grounds” 4.18
TABLE OF CONTENTS
xv
4C.2 International Convention on Load Lines 1966 (LL 66) 4.19
4C.3 International Convention for the Prevention of Pollution from
Ships, as modified by the Protocol of 1978 relating thereto
(MARPOL 73/78) 4.20
4C.4 International Convention on Standards of Training, Certification
and Watchkeeping for Seafarers 1978 (STCW 1978) 4.21
4C.5 International Convention on Tonnage Measurement of Ships 1969
(Tonnage 69) 4.22
4D ILO instruments 4.23
4D.1 ILO Convention No.147 4.23
4E Procedures for port State control (IMO Guidelines) 4.24
4E.1 Provision for port State control 4.25
4E.2 Definitions 4.26
4E.3 Port State inspections 4.27
4E.3(i) General 4.27
4E.3(ii) Inspections 4.28
4E.3(iii) List of certificates and documents that, where relevant,
should be checked during the inspection 4.29
4E.3(iv) Clear grounds 4.30
4E.4 More detailed inspection 4.31
4E.4(i) General 4.31
4E.4(ii) Clear grounds 4.32
4E.5 Port State Control Officers (PSCOs) 4.33
4E.5(i) Professional profile 4.33
4E.5(ii) Qualification and training requirements 4.34
4E.5(iii) General procedural guidelines for PSCOs 4.35
4E.5(iv) Identification of substandard ship 4.38
4E.5(v) Suspension of inspection 4.39
4E.5(vi) Guidelines for the detention of ships 4.40
4F Developments in port State control 4.42
4F.1 Measures to improve port State control procedures 4.42
4F.2 Guidelines for ISPS Code 4.43
4F.3 Marking of IMO number on ship’s hull 4.44
4F.4 Unique IDs for shipowning and ship management companies 4.45
4F.5 Reporting procedures on port State control detentions and analysis
and evaluation of reports 4.46
4F.6 Review/appeal procedure 4.48
4F.7 Guidelines for inspection of ships’ anti-fouling systems under the
2001 AFS Convention 4.49
4F.8 PSC officer training for bulk carriers 4.50
4F.9 Ship recycling—related matters 4.51
4F.10 Work programme and agenda for FSI 12 4.52
5 REGIONAL PORT STATE CONTROL AGREEMENTS 5.1
5A The Paris Memorandum of Understanding on Port State Control 1982 (Paris
MOU) 5.1
5A.1 Introduction 5.1
5A.2 Observer status 5.4
5A.3 Basic principles 5.5
5A.4 Amendments to Paris MOU 5.6
5A.4(i) Harmonized action on ship security to start on
January 1 2004 5.7
TABLE OF CONTENTS
xvi
5A.5 Target rate 5.8
5A.6 Structure 5.9
5A.7 Relevant instruments 5.12
5A.7(i) ILO Convention No.147 and ILO Protocol 1996 5.13
5A.8 Port State Control Officer (PSCO) 5.14
5A.9 Port State control procedures 5.15
5A.9(i) General information 5.15
5A.9(ii) No more favourable treatment principle 5.16
5A.9(iii) Ships below Convention size 5.17
5A.9(iv) Minimum manning standards and certification 5.18
5A.9(v) Operational violations 5.19
5A.9(vi) Priority inspections 5.20
5A.9(vii) Targeting factors for priority inspections 5.21
5A.9(viii) Inspections 5.26
Initial inspection 5.26
Grounds for more detailed inspection 5.29
Mandatory inspection 5.30
Mandatory expanded inspections 5.31
Suspension of an inspection 5.38
5A.10 Detention 5.39
5A.10(i) Detainable deficiencies 5.43
Areas under SOLAS 74 5.44
Areas under the IBC Code 5.45
Areas under the IGC Code 5.46
Areas under LL 66 5.47
Areas under Annex to MARPOL 73/78 5.48
Areas under Annex II to MARPOL 73/78 5.49
Areas under Annex V to MARPOL 73/78 5.50
Areas under STCW 78 5.51
Areas under ILO Conventions 5.52
Areas which may not warrant a detention, but where
e.g. cargo operations have to be suspended 5.53
5A.10(ii) Accidental damage 5.54
5A.10(iii) Remedy in the nearest appropriate port 5.55
5A.11 Appeals process 5.56
5A.11(i) Appeal procedures 5.57
Belgium 5.58
Canada 5.59
Croatia 5.60
Denmark 5.61
Finland 5.62
France 5.63
Germany 5.64
Greece 5.65
Iceland 5.66
Ireland 5.67
Italy 5.68
The Netherlands 5.69
Norway 5.70
Poland 5.71
Portugal 5.72
TABLE OF CONTENTS
xvii
Russian Federation 5.73
Slovenia 5.74
Spain 5.75
Sweden 5.76
United Kingdom 5.77
5A.11(ii) Appeals in practice 5.80
5A.12 The Paris MOU review panel 5.81
5A.13 Banned ships 5.84
5A.13(i) ISM Certificates 5.85
5A.13(ii) Refusal of access notices 5.86
Lifting a refusal of access order 5.87
5A.13(iii) Other reasons 5.88
5A.14 The International Safety Management (ISM) Code 5.90
5A.14(i) Concentrated inspection campaigns 5.93
5A.15 STCW 5.99
5A.16 Codes for actions taken 5.100
5A.17 Detention information 5.101
5A.18 Examples of detention cases under the Paris MOU 5.105
5A.18(i) The Binar 4 5.105
5A.18(ii) The Sammarina 5 5.106
5A.18(iii) The Laila Queen 5.107
5A.18(iv) The Ramaz 5.108
5A.18(v) The Isparta 5.109
5A.18(vi) The Shiva 5.110
5A.18(vii) The Nunki 5.111
5A.18(viii) The Viidu 5.112
5A.18(ix) The Seerose 5.113
5A.18(x) The Estela 5.114
5A.18(xi) The M Trans I 5.115
5A.19 Paris MOU on the internet 5.116
5B The Acuerdo de Viña del Mar Agreement on Port State Control 1992 (Latin
American Agreement) 5.117
5B.1 Introduction 5.117
5B.2 Member States 5.118
5B.3 Basic principles 5.119
5B.4 Structure 5.120
5B.5 Relevant instruments 5.121
5B.6 Target rate 5.122
5B.7 Ship selection criteria 5.123
5B.8 Inspection 5.125
5B.9 Grounds for a more detailed inspection 5.126
5B.10 No more favourable treatment 5.127
5B.11 Ships below Convention size 5.128
5B.12 Minimum manning and certification requirements 5.129
5B.13 Detention 5.130
5B.14 Right of appeal 5.132
5B.15 Codes for action taken 5.133
5B.16 Detention information 5.134
5C The Memorandum of Understanding on Port State Control in the
Asia–Pacific Region 1993 (Tokyo MOU) 5.135
TABLE OF CONTENTS
xviii
5C.1 Introduction 5.135
5C.2 Member States 5.136
5C.3 Basic principles 5.137
5C.4 Structure 5.138
5C.5 Relevant instruments 5.139
5C.6 Target rate 5.140
5C.7 Ship selection criteria 5.141
5C.8 Inspection 5.142
5C.9 First inspection criteria 5.143
5C.10 Grounds for a more detailed inspection 5.144
5C.11 No more favourable treatment 5.145
5C.12 Detention 5.146
5C.13 Right of appeal 5.147
5C.14 Codes for action taken 5.148
5C.15 Detention information 5.149
5C.16 Concentrated inspection campaigns 5.151
5C.17 Examples of PSC inspection cases in different maritime
authorities of the Tokyo MOU 5.152
5C.17(i) Australia 5.152
5C.17(ii) Hong Kong 5.153
5D The Memorandum of Understanding on Port State Control in the
Caribbean Region 1996 (Caribbean MOU) 5.154
5D.1 Member States 5.154
5D.2 Basic principles 5.155
5D.3 Structure 5.156
5D.4 Code of safety for cargo ships operating in the Caribbean 5.157
5D.5 Relevant instruments 5.158
5D.6 Target rate for inspection 5.159
5D.7 No more favourable treatment 5.160
5D.8 Ships for inspection 5.161
5D.9 First inspections 5.162
5D.10 Clear grounds 5.163
5D.11 Detention 5.164
5D.12 Detention information 5.165
5D.13 Codes for actions taken 5.166
5E The Memorandum of Understanding on Port State Control in the
Mediterranean Region 1997 (Mediterranean MOU) 5.167
5E.1 Member States 5.167
5E.2 Basic principles 5.168
5E.3 Relevant instruments 5.169
5E.4 Target rate for inspection 5.170
5E.5 Ship selection criteria 5.171
5E.6 Grounds for a more detailed inspection 5.172
5E.7 No more favourable treatment 5.173
5E.8 Ships below Convention size 5.174
5E.9 Operational violations 5.175
5E.10 Detention 5.176
5E.11 Accidental damage 5.177
5E.12 Right of appeal 5.178
5E.13 Codes for action taken 5.179
5E.14 Detention information 5.180
TABLE OF CONTENTS
xix
5F The Memorandum of Understanding on Port State Control for the
Indian Ocean Region 1998 (Indian Ocean MOU) 5.181
5F.1 Introduction 5.181
5F.2 Member States 5.182
5F.3 Basic principles 5.183
5F.4 Relevant instruments 5.184
5F.5 Target rate 5.185
5F.6 Inspection criteria 5.186
5F.7 Grounds for a more detailed inspection 5.187
5F.8 No more favourable treatment 5.188
5F.9 Ships below Convention size 5.189
5F.10 Operational violations 5.191
5F.11 Detention 5.191
5F.12 Accidental damage 5.192
5F.13 Right of appeal 5.193
5F.14 Detention information 5.194
5F.15 Codes for actions taken 5.195
5G The Memorandum of Understanding on port State control for the West
and Central Africa Region 1999 (Abuja MOU) 5.121
5G.1 Member States 5.196
5G.2 Relevant instruments 5.197
5G.3 Target rate 5.198
5G.4 Ship selection criteria 5.199
5H The Memorandum of Understanding on Port State Control in the
Black Sea Region 2000 (Black Sea MOU) 5.200
5H.1 Member States 5.201
5H.2 Relevant instruments 5.202
5H.3 Target rate 5.203
5H.4 Ship selection criteria 5.203
5I Regional Agreement Under Development 5.204
6 PORT STATE CONTROL IN THE UK 6.1
6A Introduction 6.1
6B UK port State control legislation 6.4
6B.1 Background 6.4
6B.2 The Merchant Shipping (Port State Control) Regulations 1995
(S.I. 1995 No. 3128), as amended 6.6
6B.2(i) Application 6.6
6B.2(ii) Competent authority 6.7
6B.2(iii) The Maritime and Coastguard Agency (MCA) 6.8
6B.2(iv) Conventions 6.9
6B.2(v) Publication of detentions 6.10
6B.2(vi) Reports from pilots and port authorities 6.11
6B.2(vii) Inspections 6.12
Ships to be considered for priority inspection 6.13
6B.2(viii) Inspection procedure 6.16
6B.2(ix) Mandatory expanded inspection of certain ships 6.18
6B.2(x) Inspection report 6.19
6B.2(xi) Detention 6.20
TABLE OF CONTENTS
xx
Voyage data recorder (VDR) 6.21
Access refusal notices 6.25
6B.2(xii) Procedure applicable in the absence of ISM certificates 6.26
International Ship and Port Facility Security (ISPS)
Code 6.27
6B.2(xiii) Costs 6.28
6B.2(xiv) Appeal procedures 6.29
6B.2(xv) Compensation 6.33
Complaints procedure 6.34
6B.3 Examples of detention cases under UK port State control 6.35
7 THE EU DIRECTIVE ON PORT STATE CONTROL 7.1
7A Introduction 7.1
7B Port State control in the EU 7.4
7C Main points of Directive 95/21/EC 7.8
7C.1 Purpose 7.8
7C.2 Scope 7.9
7C.3 Obligations 7.10
7C.4 Targets of the Directive 7.11
7C.5 Inspection body 7.12
7C.6 Inspection procedure 7.13
7C.7 Detention 7.14
7C.8 Right of appeal 7.15
7C.9 Publication of detentions 7.16
7C.10 Amendment procedure 7.17
7D Amendments to port State control Directive 7.18
7D.1 Commission Directive 98/25/EC of April 27 1998 7.18
7D.1(i) Procedure applicable in the absence of ISM certificates 7.19
7D.2 Council Directive 98/42/EC of June 19 1998 7.20
7D.3 Commission Directive 99/97/EC of December 13 1999 7.27
7D.4 Directive 2001/06/EC of December 19 2001 7.28
7D.4(i) Banning manifestly substandard ships from European
waters 7.29
First list of ships definitely banned from EU ports 7.31
Indicative list of vessels which may be banned from EU
ports if they are detained one more time 7.32
7D.4(ii) Obligation to inspect ships posing a high risk to
maritime safety and the marine environment 7.33
7D.4(iii) Follow-up on the result of inspections 7.35
7D.4(iv) Informing the flag State and the classification societies 7.36
7D.4(v) Verification of the financial guarantee covering pollution
risk 7.37
7D.4(vi) Transparency of information on the ships inspected or
detained in accordance with the Directive 7.38
7D.4(vii) Monitoring application of the Directive and assessing
the performance of member States 7.40
7D.4(viii) International and community requirements concerning
VDR systems 7.41
7D.4(ix) Inspection body 7.42
7D.5 Directive 2002/84/EC of November 5 2002 7.43
TABLE OF CONTENTS
xxi
8 EQUASIS 8.1
8A Introduction 8.1
8B Organization 8.3
8C Content 8.4
8D List of Data Displayed on Equasis 8.5
8D.1 Charterer data 8.6
8D.2 Class-related information 8.7
8D.3 Port State control data 8.8
8D.4 Publication of information related to detentions and inspections in
ports of member States as referred to in Art. 15 8.9
9 THE ERIKA, THE PRESTIGE AND EFFECTS ON
INTERNATIONAL LEGISLATION 9.1
9A Introduction 9.1
9B The Erika, December 1999 9.3
9C History of the Erika 9.4
9C.1 Background 9.4
9C.2 Names, registrations and classification societies of the Erika 9.9
9C.3 Inspections 9.10
9C.3(i) Port State control inspections 9.11
9C.4 Sisterships 9.12
9D The Prestige, November 2002 9.13
9D.1 Ship’s history 9.14
9D.2 Class survey history 9.15
9D.2(i) Special Survey No.5: conducted in Guangzhou,
China, May 2001 9.15
9D.2(ii) Annual survey: conducted in Dubai, UAE 9.17
9D.3 The cargo 9.19
9E Other incidents 9.20
9E.1 The Castor, December 2000 9.20
9E.2 The Tasman Spirit, July 2004 9.21
9F The compensation system 9.22
9F.1 In general 9.22
9F.2 Payments for the Erika and the Prestige 9.23
9F.2(i) The Erika 9.23
9F.2(ii) The Prestige 9.24
9G Reactions 9.26
9G.1 General 9.26
9G.2 Post-Prestige response in Spain 9.27
9G.2(i) Royal decrees 9.27
Ban on single hull tankers 9.27
Royal Decree 995/2003 9.28
Royal Decree 210/2004 9.29
Royal Decree 253/2004 9.35
9G.2(ii) Other measures taken 9.36
Pollution fines 9.36
New resolution on navigation within ports 9.37
9G.3 Classification societies 9.38
9G.3(i) RINA (Registro Italiano Navale Group) 9.38
9G.3(ii) ABS (American Bureau of Shipping) 9.40
Actions taken following the Prestige incident 9.41
9G.3(iii) BV (Bureau Veritas) 9.42
9G.4 IACS 9.43
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9G.5 INTERTANKO (International Association of Independent
Tanker Owners) 9.47
9G.6 ITF (The International Transport Workers Federation) 9.48
9G.7 Malta registry 9.49
9G.8 IMO 9.51
9G.8(i) Raised compensation limits for oil pollution disasters 9.52
CLC compensation limits 9.54
9G.8(ii) Mandatory ship reporting system, traffic separation and
routeing systems 9.56
9G.8(iii) Agreement on single hull tanker phase-out 9.65
Measures aimed at enhancing safety and minimizing
the risk of oil pollution 9.69
Accelerated phase-out for single hull tankers 9.72
9G.8(iv) Carriage of heavy grade oil 9.73
9G.8(v) Ports of refuge 9.74
In general 9.74
Previous cases 9.75
International action on places of refuge 9.76
9G.8(vi) The ISPS Code 9.82
9G.9 European Union 9.83
9G.9(i) Measures already taken 9.83
The Erika Ipackage 9.84
The Erika II package 9.85
9G.9(ii) Measures proposed after the Prestige incident 9.86
General measures taken on December 3 2002 9.86
Measures concerning single hull ships proposed on
December 20 2002 9.87
Amendment to MARPOL 9.88
Action to combat polluting discharges 9.89
Voluntary agreements with the oil industry 9.92
Expected conduct of member States 9.93
Defence and representation of EU’s vital interests at
international level 9.94
Full membership of IMO 9.95
9G.9(iii) Community monitoring, control and information
system for maritime traffic 9.96
9G.9(iv) Measures concerning single hull tankers 9.105
Before the Erika incident 9.105
After the Erika incident (measures adopted between
March 2000 and February 2002) 9.107
Following the Prestige incident (December 2002) 9.108
9G.9(v) The European Maritime Safety Agency (EMSA) 9.112
10 PORT STATE CONTROL IN THE US 10.1
10A Introduction 10.1
10A.1 Summary of changes 10.5
10A.1(i) Two-step risk-based screening tool 10.6
10A.1(ii) Boarding procedures 10.7
10A.1(iii) Control procedures 10.8
10A.1(iv) Reporting and communication 10.9
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xxiii
10A.1(v) Training 10.10
10B Applicable domestic statutes and regulations 10.11
10B.1 Applicable international Conventions 10.11
10B.2 Applicable US provisions/authorities 10.12
10C Definitions and terms of reference 10.13
10D Coast guard port State control targeting and boarding policy for vessel
security and safety 10.23
10D.1 Guidance on vessel security and safety, port State control
targeting and boarding policy; Navigation and Vessel Inspection
Circular 06-03 10.23
10D.2 Risk-based targeting for all vessels 10.24
10D.2(i) Advance NOAs 10.25
Time limit 10.26
Methods for submitting an NOA 10.27
Changes to a submitted NOA 10.28
Submission of the cargo declaration
(Customs Form 1302) 10.29
NOA for hazardous conditions and certain dangerous
cargo 10.30
10D.3 Targeting philosophy for ISPS/MTSA security compliance and
safety and environmental protection compliance 10.31
10D.3(i) Using the matrices 10.32
ISPS/MTSA security compliance 10.33
Safety and environmental protection compliance 10.34
Compliance targeting matrix instructions (Step I and
Step II) 10.35
10D.4 Targeting factor criteria 10.47
10D.4(i) 1) ISPS/MTSA Security compliance targeting criteria
(effective July 1 2004) 10.48
A. Targeted ship management 10.49
B. Targeted flag administration 10.50
C. Targeted RSO 10.51
10D.4(ii) 2) Safety and environmental protection compliance
targeting criteria 10.52
A. Targeted ship management 10.53
B. Targeted flag administration 10.54
C. Targeted classification society 10.55
10E Reporting and notification procedures 10.56
10E.1 A. Security and safety-related detentions: unit responsibilities 10.57
10E.1(i) 1. Flag State notification 10.58
10E.1(ii) 2. Headquarters/area/district notification 10.59
10E.1(iii) 3. Classification society/RO/RSO 10.60
10E.1(iv) 4. Ship management notification 10.61
10E.2 B. Security and safety-related detentions: USCG headquarters
responsibilities 10.62
10E.2(i) 1. Owner notification 10.62
10E.2(ii) 2. IMO notification 10.63
10E.3 C. MISLE Documentation 10.64
10E.3(i) 1. Detentions, expulsions, denial of entry 10.64
10E.3(ii) 2. Deficiencies compliance dates 10.65
10E.3(iii) Deficiency format 10.66
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10E.3(iv) Port State control report of inspection 10.67
10F Boarding procedures 10.68
10F.1 Types of boarding examinations 10.68
10F.1(i) The ISPS/MTSA Security Compliance Examination 10.69
10F.1(ii) The PSC Safety and Environmental Protection
Compliance Examination 10.70
10F.1(iii) Non-Convention Vessel Security Compliance
Examination 10.71
10F.2 Authority 10.72
10F.3 Boarding decision/location reference table for vessels arriving or in
a US port 10.73
10F.4 Security boarding procedures 10.75
10G Port State enforcement and control procedures 10.80
10G.1 Security compliance examination procedures: ISPS/MTSA
Security Compliance Examination and Non-Convention Vessel
Security Compliance Examination 10.80
10G.1(i) 1. Purpose 10.80
10G.1(ii) 2. Applicability 10.81
10G.1(iii) 3. Definitions 10.82
10G.1(iv) 4. General 10.83
10G.1(v) 5. ISPS/MTSA Security Compliance Examination 10.84
10G.2 Safety compliance examination procedures: PSC Safety and
Environmental Protection Compliance Examination 10.86
10G.2(i) 1. Purpose 10.86
10G.2(ii) 2. Authority 10.87
10G.2(iii) 3. General examination 10.88
10G.3 Clear grounds 10.111
10G.3(i) Security deficiencies 10.112
10G.3(ii) Safety deficiencies 10.113
10G.4 Vessel control procedures for security and safety 10.114
10G.5 Administrative enforcement measures applying to both security and
safety violations 10.125
10G.6 Examples of detainable deficiencies for security
and safety 10.128
10G.6(i) A. Documentation discrepancies 10.128
10G.6(ii) B. ISPS Code 10.129
10G.6(iii) C. SOLAS 10.130
10G.6(iv) D. ICLL 66 10.131
10G.6(v) E. MARPOL 73/78 10.132
10G.6(vi) F. STCW 10.133
10G.6(vii) G. ILO 147 10.134
10G.6(viii) H. IBC Code 10.135
10G.6(ix) I. IGC Code 10.136
10G.6(x) J. ISM Code 10.137
10G.7 International Port Security Program and actions taken against
vessels arriving from non-compliant countries 10.138
10G.7(i) Introduction 10.138
10G.7(ii) International Port Security Program implementation
processes 10.139
10G.7(iii) Recommended actions for vessels calling at a non-
compliance port facility 10.143
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10G.7(iv) Recommended actions for compliant port facilities
in non-compliant countries 10.145
10G.7(v) Recommended actions for countries not signatory to
SOLAS that wish to trade with the US 10.149
10H ISM Code and US Port State Control 10.150
10H.1 ISM Code in action 10.151
10H.2 Notification 10.153
10H.3 Inspections 10.154
10H.4 ISM Code compliance tools 10.162
10I Rights of appeal 10.163
10J Penalty for vessels detained under US Port State Control Program 10.175
10K US Port State control and state practice 10.177
10L Coast Guard database 10.182
10L.1 Examples of detention cases under US Port State Control
Program 10.183
10M Qualship 21 10.184
10M.1 Which vessels are eligible? 10.185
10M.2 Specific Qualship 21 eligibility criteria 10.186
10M.3 Incentives received by Qualship 21 vessels 10.187
10M.4 Port fees for Qualship 21 vessels 10.188
10M.5 Changes in documents issued by the captain of the port
(COTP) to foreign vessels 10.189
10M.6 Criteria for revoking Qualship 21 eligibility 10.190
10M.7 Renewal of eligibility 10.191
10M.8 Flag States eligible in 2004 10.192
10N Large Fleet Program 10.193
11 THE INTERNATIONAL SAFETY MANAGEMENT (ISM)
CODE 11.1
11A General 11.1
11B Main points of the ISM Code 11.2
11C Certificates 11.5
11C.1 Documents of Compliance 11.6
11C.2 Safety Management Certificate 11.7
11C.3 Interim DOC and SMC 11.8
11D Insurance 11.9
11E Liability under the Code 11.15
11E.1 Seaworthiness 11.16
11E.1(i) The vessel’s equipment 11.20
11E.1(ii) The competency of the master 11.21
11E.1(iii) Court’s comments relating to the documentation
supplied to the vessel 11.22
11E.2 Due diligence 11.25
11E.3 Limitation of liability 11.26
11E.4 Criminal liability 11.29
11F Liability under UK law 11.30
11F.1 Liability under Merchant Shipping Regulations 1988 11.30
11F.1(i) Regulation 19(1) 11.30
11F.1(ii) Regulation 19(2) 11.31
11F.1(iii) Regulation 19(3) 11.32
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xxvi
11F.1(iv) Regulation 19(4) 11.33
11F.1(v) Regulation 19(5) 11.34
11F.1(vi) Regulation 19(6) 11.35
11G Dangerously unsafe ship or the unsafe operation of a ship 11.36
11H Port State control and the ISM Code 11.40
11H.1 Major non-conformities 11.45
11I Inspection campaigns 11.47
12 CLASSIFICATION SOCIETIES 12.1
12A The origin of classification societies 12.1
12A.1 Lloyd’s Register of Shipping 12.2
12A.2 Bureau Veritas 12.3
12A.3 American Bureau of Shipping 12.4
12A.4 Det Norske Veritas 12.5
12B Present-day role of classification societies 12.6
12C The International Association of Classification Societies (IACS) 12.9
12D The relationship between the IACS and the IMO 12.12
12E Liability of classification societies 12.14
12E.1 Contractual liability 12.15
12E.2 Tort liability 12.19
12E.3 Legislative immunity 12.30
12E.4 Exemption clauses 12.31
12E.5 Criminal liability 12.34
12F Review of the classification society’s liability 12.35
12G Council Directive 94/57/EC on Ship Inspection and Survey Organizations 12.40
12G.1 Granting of recognition 12.43
12G.2 Suspension of recognition 12.44
12G.3 Withdrawal of recognition 12.45
12G.4 Simplification and enhancement of procedure for monitoring
recognized organizations 12.46
12G.4(i) Obligations of member States as port States 12.47
12G.5 Liability of classification societies 12.48
12G.6 More stringent requirements to be met by recognized organizations
12.49
13 PRACTICAL IMPLICATIONS OF PORT STATE CONTROL 13.1
13A Inspection 13.1
13B Detention 13.2
13C Additional powers 13.4
13D The legal powers of a Port State Control Officer 13.5
13E The contractual effect of port State control detentions 13.6
13E.1 Sale and purchase contracts 13.7
13E.1(i) Condition on delivery 13.9
13E.1(ii) Encumbrances 13.10
13E.2 Frustration 13.20
13E.3 Off-hire 13.22
13E.3(i) NYPE Clause 15 13.23
13E.3(ii) Baltime 1939 13.30
13E.3(iii) Shelltime 4 (1984) Clause 21 13.31
13E.4 Indemnity claims 13.32
13E.5 Notice of readiness 13.36
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13E.6 Unseaworthiness 13.41
13E.7 Set-off 13.42
13E.8 Loan agreements 13.43
Page
APPENDICES
A The IMO
A1 Status of Conventions 537
A2 Summary of status of Conventions 541
B Regional agreements
B1 Paris MOU 543
B2 Banned ships 597
B3 Port State control agreements: comparative table 599
C Port State Control in the UK
C1 Merchant Shipping (Port State Control) Regulations 1995
(S.I. 1995 No. 3128) 607
C2 Merchant Shipping (Port State Control) (Amendment)
Regulations 1998 (S.I. 1998 No. 1433) 617
C3 Merchant Shipping (Port State Control) (Amendment No.2)
Regulations 1998 (S.I. 1998 No. 2198) 619
C4 Merchant Shipping (Port State Control) (Amendment)
Regulations 2001 (S.I. 2001 No. 2349) 621
C5 Merchant Shipping (Port State Control) (Amendment)
Regulations 2003 (S.I. 2003 No. 1636) 623
C6 Merchant Shipping Notice (Port State Control) (Amendment)
Regulations 2003 (MSN 1775 (M)) 631
D EC Directive on port State control and amendments
D1 Council Directive 95/21/EC of June 19 1994 655
D2 Council Directive 98/25/EC of April 27 1998 673
D3 Council Directive 98/42/EC of June 19 1998 677
D4 Commission Directive 99/97/EC of December 13 1999 683
D5 Council Directive 2001/06/EC of December 19 2001 689
D6 Council Directive 2002/84/EC of November 5 2002 705
E Port State control in the US
E1 US Coast Guard Annual flag list 713
E2 US Coast Guard 2003 List of targeted and non-targeted
classification societies 715
E3 ISM denials of entry 719
INDEX 721
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