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) - Main contents

EN

Official Journal of the European Union

L 131/57

Council Directive 95/21/EC of 19 June 1995 on port State control of shipping (4) has been substantially amended several times. Since further amendments are to be made, it should be recast in the interests of clarity.

The Community is seriously concerned about shipping casualties and pollution of the seas and coastlines of Member States.

The Community is equally concerned about on-board living and working conditions.

Safety, pollution prevention and on-board living and working conditions may be effectively enhanced through a drastic reduction of substandard ships from Community waters, by strictly applying Conventions, international codes and resolutions.

To this end, in accordance with Council Decision 2007/431/EC of 7 June 2007 authorising Member States to ratify, in the interests of the European Community, the Maritime Labour Convention, 2006, of the International Labour Organisation (5), Member States should make efforts to ratify, for the parts falling under Community competence, that Convention as soon as possible, preferably before 31 December 2010.

Responsibility for monitoring the compliance of ships with the international standards for safety, pollution prevention and on-board living and working conditions lies primarily with the flag State. Relying, as appropriate, on recognised organisations, the flag State fully guarantees the completeness and efficiency of the inspections and surveys undertaken to issue the relevant certificates. Responsibility for maintenance of the condition of the ship and its equipment after survey to comply with the requirements of Conventions applicable to the ship lies with the ship company. However, there has been a serious failure on the part of a number of flag States to implement and enforce international standards. Henceforth, as a second line of defence against substandard shipping, the monitoring of compliance with the international standards for safety, pollution prevention and on-board living and working conditions should also be ensured by the port State, while recognising that port State control inspection is not a survey and the relevant inspection forms are not seaworthiness certificates.

A harmonised approach to the effective enforcement of these international standards by Member States in respect of ships sailing in the waters under their jurisdiction and using their ports should avoid distortions of competition.

The shipping industry is vulnerable to acts of terrorism. Transport security measures should be effectively implemented and Member States should vigorously monitor compliance with security rules by carrying out security checks.

Advantage should be taken of the experience gained during the operation of the Paris Memorandum of Understanding on Port State Control (Paris MOU), signed in Paris on 26 January 1982.

The European Maritime Safety Agency (EMSA) established by Regulation (EC) No 1406/2002 of the European Parliament and of the Council (6), should provide the necessary support to ensure the convergent and effective implementation of the port State control system. EMSA should in particular contribute to the development and implementation of the inspection database set up in accordance with this Directive and of a harmonised Community scheme for the training and assessment of competences of port State control inspectors by Member States.

An efficient port State control system should seek to ensure that all ships calling at ports and anchorages within the Community are regularly inspected. Inspection should concentrate on substandard ships, while quality ships, meaning those which have satisfactory inspection records or which fly the flag of a State complying with the Voluntary International Maritime Organisation (IMO) Member State Audit Scheme, should be rewarded by undergoing less frequent inspections. In particular to this effect, Member States should give overall priority to ships due for inspections with a high risk profile.

Such new inspection arrangements should be incorporated into the Community port State control system as soon as its various aspects have been defined and on the basis of an inspection-sharing scheme whereby each Member State contributes fairly to the achievement of the Community objective of a comprehensive inspection scheme and the volume of inspections is shared in an equitable manner among the Member States. This inspection-sharing scheme should be revised taking into account the experience gained with the new port State control system with a view to improving its effectiveness. Moreover, Member States should recruit and retain the requisite number of staff, including qualified inspectors, taking into account the volume and characteristics of shipping traffic at each port.

The inspection system set up by this Directive takes into account the work carried under the Paris MOU. Since any developments arising from the Paris MOU should be agreed at Community level before being made applicable within the EU, close coordination should be established and maintained between the Community and the Paris MOU in order to facilitate as much convergence as possible.

The Commission should manage and update the inspection database, in close collaboration with the Paris MOU. The inspection database should incorporate inspection data of Member States and all signatories to the Paris MOU. Until the Community maritime information system, SafeSeaNet, is fully operational and allows for an automatic record of the data concerning ships’ calls in the inspection database, Member States should provide the Commission with the information needed to ensure a proper monitoring of the application of this Directive, in particular concerning the movements of ships. On the basis of the inspection data provided by Member States, the Commission should retrieve from the inspection database data on the risk profile of ships, on ships due for inspections and on the movement of ships and should calculate the inspection commitments for each Member State. The inspection database should also be capable of interfacing with other Community maritime safety databases.

Member States should endeavour to review the method of drawing the white, grey and black list of flag States in the framework of the Paris MOU, in order to ensure its fairness, in particular with respect to the way it treats flag States with small fleets.

The rules and procedures for port State control inspections, including criteria for the detention of ships, should be harmonised to ensure consistent effectiveness in all ports, which would also drastically reduce the selective use of certain ports of destination to avoid the net of proper control.

Periodic and additional inspections should include an examination of pre-identified areas for each ship, which will vary according to the type of ship, the type of inspection and the findings of previous port State control inspections. The inspection database should indicate the elements to identify the risk areas to be checked at each inspection.

Certain categories of ships present a major accident or pollution hazard when they reach a certain age and should therefore be subject to an expanded inspection. The details of such expanded inspection should be laid down.

Under the inspection system set up by this Directive, the intervals between periodic inspections on ships depend on their risk profile that is determined by certain generic and historical parameters. For high risk ships this interval should not exceed six months.

In order to provide the competent port State control authorities with information on ships in ports or anchorages, port authorities or bodies or the authorities or bodies designated for that purpose should forward notifications on arrivals of ships, on receipt to the extent possible.

Some ships pose a manifest risk to maritime safety and the marine environment because of their poor condition, flag performance and history. It is therefore legitimate for the Community to dissuade those ships from entering the ports and anchorages of Member States. The refusal of access should be proportionate and could result in a permanent refusal of access, if the operator of the ship persistently fails to take corrective action in spite of several refusals of access and detentions in ports and anchorages within the Community. Any third refusal of access can only be lifted if a number of conditions designed to ensure that the ship concerned can be operated safely in Community waters, in particular relating to the flag State of the ship and the managing company, are fulfilled. Otherwise, the ship should be permanently refused access to ports and anchorages of the Member States. In any case, any subsequent detention of the ship concerned should lead to a permanent refusal of access to ports and anchorages of the Member States. In the interests of transparency, the list of ships refused access to ports and anchorages within the Community should be made public.

With a view to reducing the burden placed on certain administrations and companies by repetitive inspections, surveys under Council Directive 1999/35/EC of 29 April 1999 on a system of mandatory surveys for the safe operation of regular ro-ro ferry and high-speed passenger craft services (7), carried out on ro-ro ferries or high-speed passenger craft by a host State which is not the flag State of the vessel, and which include at least all the items of an expanded inspection, should be taken into account when calculating the risk profile of a ship, the intervals between inspections and the fulfilment of the inspection commitment of each Member State. In addition, the Commission should examine whether it is appropriate that Directive 1999/35/EC be amended in the future with a view of enhancing the level of safety required for the operation of ro-ro ferries and high-speed passenger craft to and from ports of Member States.

Non-compliance with the provisions of the relevant Conventions should be rectified. Ships which need to be the subject of corrective action should, where the observed deficiencies are clearly hazardous to safety, health or the environment, be detained until the shortcomings are rectified.

A right of appeal against detention orders by the competent authorities should be made available, in order to prevent unreasonable decisions which may cause undue detention and delay. Member States should cooperate in order to ensure that appeals are dealt with in a reasonable time in accordance with their national legislation.

Authorities and inspectors involved in port State control activities should have no conflict of interests with the port of inspection or with the ships inspected, or of related interests. Inspectors should be adequately qualified and receive appropriate training to maintain and improve their competence in the conduct of inspections. Member States should cooperate in developing and promoting a harmonised Community scheme for the training and assessment of competences of inspectors.

Pilots and port authorities or bodies should be enabled to provide useful information on apparent anomalies found on board ships.

Complaints from persons with a legitimate interest regarding on-board living and working conditions should be investigated. Any person lodging a complaint should be informed of the follow-up action taken with regard to that complaint.

Cooperation between the competent authorities of Member States and other authorities or organisations is necessary to ensure an effective follow-up with regard to ships with deficiencies, which have been permitted to proceed, and for the exchange of information about ships in port.

Since the inspection database is an essential part of port State control, Member States should ensure that it is updated in the light of Community requirements.

Publication of information concerning ships and their operators or companies which do not comply with international standards on safety, health and protection of the marine environment, taking account of the companies’ fleet size, may be an effective deterrent discouraging shippers from using such ships and an incentive to their owners to take corrective action. With regard to the information to be made available, the Commission should establish a close collaboration with the Paris MOU and take account of any information published in order to avoid unnecessary duplication. Member States should have to provide the relevant information only once.

All costs of inspecting, which warrant detention of ships, and those incurred in lifting a refusal of access, should be borne by the owner or the operator.

The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (8).

In particular, the Commission should be empowered to amend this Directive in order to apply subsequent amendments to Conventions, international codes and resolutions related thereto and to establish the rules of implementation for the provisions of Articles 8 and 10. Since those measures are of general scope and are designed to amend non-essential elements of this Directive, inter alia, by supplementing it with new non-essential elements, they must be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC.

Since the objectives of this Directive, namely to reduce substandard shipping in waters under Member States’ jurisdiction through improvement of the Community’s inspection system for seagoing ships and the development of the means of taking preventive action in the field of pollution of the seas, cannot be sufficiently achieved by the Member States and can, therefore, by reason of its scale and effects, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve those objectives.

The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive change as compared with Directive 95/21/EC. The obligation to transpose the provisions which are unchanged arises under that Directive.

This Directive should be 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.

The port State control system established in accordance with this Directive should be implemented on the same date in all Member States. In this context, the Commission should ensure that appropriate preparatory measures are taken, including the testing of the inspection database and the provision of training to inspectors.

In accordance with point 34 of the Interinstitutional Agreement on better law-making (9), Member States are encouraged to draw up, for themselves and in the interests of the Community, their own tables illustrating, as far as possible, the correlation between this Directive and the transposition measures, and to make them public.

In order not to impose a disproportionate administrative burden on landlocked Member States, a de minimis rule should allow such Member States to derogate from the provisions of this Directive, which means that such Member States, as long as they meet certain criteria, are not obliged to transpose this Directive.

In order to take into account the fact that the French overseas departments belong to a different geographical area, are to a large extent Parties to regional port State control memoranda other than the Paris MOU and have very limited traffic flows with mainland Europe, the Member State concerned should be allowed to exclude those ports from the port State control system applied within the Community,

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.

‘Conventions’ means the following Conventions, with the Protocols and amendments thereto, and related codes of mandatory status, in their up-to-date version:

‘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.

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.

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.

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.

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.

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.

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.

the flag State criteria;

the company performance criteria;

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:

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.

On each initial inspection of a ship, the competent authority shall ensure that the inspector, as a minimum:

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.

ships with a high risk profile,

passenger ships, oil tankers, gas or chemical tankers or bulk carriers, older than 12 years of age,

ships with a high risk profile or passenger ships, oil tankers, gas or chemical tankers or bulk carriers, older than 12 years of age, in cases of overriding or unexpected factors,

ships subject to a re-inspection following a refusal of access order issued in accordance with Article 16.

flies the flag of a State whose detention rate falls into the black list, adopted in accordance with the Paris MOU on the basis of information recorded in the inspection database and as published annually by the Commission, and has been detained or has been issued with a prevention of operation order under Directive 1999/35/EC more than twice in the course of the preceding 36 months in a port or anchorage of a Member State or of a State signatory of the Paris MOU, or

flies the flag of a State whose detention rate falls into the grey list, adopted in accordance with the Paris MOU on basis of information recorded in the inspection database and as published annually by the Commission, and has been detained or has been issued with a prevention of operation order under Directive 1999/35/EC more than twice in the course of the preceding 24 months in a port or anchorage of a Member State or of a State signatory of the Paris MOU,

the ship flies the flag of a State whose detention rate falls neither into the black list nor the grey list referred to in paragraph 1,

the statutory and classification certificates of the ship are issued by an organisation or organisations recognised under Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations (recast) (12),

the ship is managed by a company with a high performance according to Annex I, Part I.1, and

the conditions in paragraphs 3 to 9 of Annex VIII are met.

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.

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.

ship information (name, IMO identification number, call sign and flag),

sailing information (last port of call, port of destination),

description of apparent anomalies found on board.

information notified in accordance with Article 9 and Annex III,

information concerning ships which have failed to notify any information according to the requirements of this Directive, and to Directive 2000/59/EC of the European Parliament and of the Council of 27 November 2000 on port reception facilities for ship-generated waste and cargo residues (14) and Directive 2002/59/EC, as well as, if appropriate, with Regulation (EC) No 725/2004,

information concerning ships which have proceeded to sea without having complied with Articles 7 or 10 of Directive 2000/59/EC,

information concerning ships which have been denied entry or expelled from port on security grounds,

information on apparent anomalies in accordance with Article 23.

adapt the Annexes, except Annex I, in order to take into account amendments to Community legislation on maritime safety and security which have entered into force, and the Conventions, international codes and resolutions of relevant international organisations and developments in the Paris MOU;

amend the definitions referring to Conventions, international codes and resolutions and Community legislation which are relevant for the purposes of this Directive.

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

Recognised organisations

Company performance

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.

high risk,

standard risk,

low risk.

Any ship with a high risk profile which has not been inspected in a port or anchorage within the Community or of the Paris MOU region during the last six months. High risk ships become eligible for inspection as from the fifth month.

Any ship with a standard risk profile which has not been inspected in a port or anchorage within the Community or of the Paris MOU region during the last 12 months. Standard risk ships become eligible for inspection as from the 10th month.

Any ship with a low risk profile which has not been inspected in a port or anchorage within the Community or of the Paris MOU region during the last 36 months. Low risk ships become eligible for inspection as from the 24th month.

Ships which have been suspended or withdrawn from their class for safety reasons since the last inspection in the Community or in the Paris MOU region.

Ships which have been the subject of a report or notification by another Member State.

Ships which cannot be identified in the inspection database.

Ships which:

Ships which have not complied with the applicable version of IMO Recommendation on navigation through the entrances to the Baltic Sea.

Ships carrying certificates issued by a formerly recognised organisation whose recognition has been withdrawn since the last inspection in the Community or in the Paris MOU region.

Ships which have been reported by pilots or port authorities or bodies as having apparent anomalies which may prejudice their safe navigation or pose a threat of harm to the environment in accordance with Article 23 of this Directive.

Ships which have failed to comply with the relevant notification requirements referred to in Article 9 of this Directive, in Directive 2000/59/EC, Directive 2002/59/EC and if appropriate in Regulation (EC) No 725/2004.

Ships which have been the subject of a report or complaint by the master, a crew member, or any person or organisation with a legitimate interest in the safe operation of the ship, on-board living and working conditions or the prevention of pollution, unless the Member State concerned deems the report or complaint to be manifestly unfounded.

Ships which have been previously detained more than three months ago.

Ships which have been reported with outstanding deficiencies, except those for which deficiencies had to be rectified within 14 days after departure, and for deficiencies which had to be rectified before departure.

Ships which have been reported with problems concerning their cargo, in particular noxious and dangerous cargoes.

Ships which have been operated in a manner posing a danger to persons, property or the environment.

Ships where information from a reliable source became known, to the effect that their risk parameters differ from those recorded and the risk level is thereby increased.

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:

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:

ship identification (name, call sign, IMO identification number or MMSI number);

planned duration of the call;

for tankers:

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.

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 ILO Convention No 73 concerning Medical Examination of Seafarers).

Table of shipboard working arrangements (ILO Convention No 180 and STCW 78/95).

Records of hours of work and rest of seafarers (ILO Convention No 180).

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 (1).

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 (2).

International Air Pollution Prevention Certificate.

International Sewage Pollution Prevention Certificate.

Ships identified in Annex I, Part II 2A and 2B.

The oil record book has not been properly kept.

During examination of the certificates and other documentation, inaccuracies have been revealed.

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 (1).

A certificate has been fraudulently obtained or the holder of a certificate is not the person to whom that certificate was originally issued.

The ship has a master, officer or rating holding a certificate issued by a country which has not ratified the STCW 78/95.

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.

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.

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.

The emission of false distress alerts not followed by proper cancellation procedures.

The absence of principal equipment or arrangements required by the Conventions.

Excessively unsanitary conditions on board the ship.

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.

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.

The absence of a table of shipboard working arrangements or of records of hours of work or rest of seafarers.

The inspector may establish clear grounds for further control measures on security during the initial PSC inspection as follows:

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.

Clear grounds other than those above are a matter for the Officer Duly Authorised for Security.

Instruction 33/2000/02: Operational Control on Ferries and Passenger Ships,

Instruction 35/2002/02: Guidelines for PSCOs on Electronic Charts,

Instruction 36/2003/08: Guidance for Inspection on Working and Living Conditions,

Instruction 37/2004/02: Guidelines in Compliance with STCW 78/95 Convention as Amended,

Instruction 37/2004/05: Guidelines on the Inspection of Hours of Work/Rest,

Instruction 37/2004/10: Guidelines for Port State Control Officers on Security Aspects,

Instruction 38/2005/02: Guidelines for PSCO’s Checking a Voyage Data Recorder (VDR),

Instruction 38/2005/05: Guidelines on MARPOL 73/78 Annex I,

Instruction 38/2005/07: Guidelines on Control of the Condition Assessment Scheme (CAS) of Single Hull Oil Tankers,

Instruction 39/2006/01: Guidelines for the Port State Control Officer on the ISM-Code,

Instruction 39/2006/02: Guidelines for Port State Control Officers on Control of GMDSS,

Instruction 39/2006/03: Optimisation of Banning and Notification Checklist,

Instruction 39/2006/10: Guidelines for PSCOs for the Examination of Ballast Tanks and Main Power Failure Simulation (black-out test),

Instruction 39/2006/11: Guidance for Checking the Structure of Bulk Carriers,

Instruction 39/2006/12: Code of Good Practice for Port State Control Officers,

Instruction 40/2007/04: Criteria for Responsibility Assessment of Recognised Organisations (R/O),

Instruction 40/2007/09: Guidelines for Port State Control Inspections for Compliance with Annex VI of MARPOL 73/78.

Documentation.

Structural condition.

Weathertight condition.

Emergency systems.

Radio communication.

Cargo operations.

Fire safety.

Alarms.

Living and working conditions.

Navigation equipment.

Life saving appliances.

Dangerous goods.

Propulsion and auxiliary machinery.

Pollution prevention.

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.

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.

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.

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.

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.

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.

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.

The re-inspection shall consist of an expanded inspection that must cover at least the relevant items of Annex VII.

All costs of this expanded inspection will be borne by the owner or the operator.

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.

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.

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.

Competent authority that wrote the report

Date and place of inspection

Name of the ship inspected

Flag

Type of ship (as indicated in the Safety Management Certificate)

IMO identification number

Call sign

Tonnage (gt)

Deadweight tonnage (where relevant)

Year of construction as determined on the basis of the date indicated in the ship’s safety certificates

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

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

Name and address of the ship’s company or the operator

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

Final date of writing the inspection report

Indication that detailed information on an inspection or a detention may be subject to publication.

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

Parts or elements of the ship that were inspected (in the case of more detailed or expanded inspection)

Port and date of the last intermediate or annual or renewal survey and the name of the organisation which carried out the survey

Type of inspection (inspection, more detailed inspection, expanded inspection)

Nature of the deficiencies

Measures taken.

Date of detention order

Date of lifting the detention order

Nature of the deficiencies warranting the detention order (references to Conventions, if relevant)

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

Measures taken.

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.

the ship has relevant, valid documentation;

the ship has the crew required in the Minimum Safe Manning Document.

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.

Failure of the proper operation of propulsion and other essential machinery, as well as electrical installations.

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.

Failure of the proper operation of emergency generator, lighting, batteries and switches.

Failure of the proper operation of the main and auxiliary steering gear.

Absence, insufficient capacity or serious deterioration of personal life-saving appliances, survival craft and launching arrangements.

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.

Absence, substantial deterioration or failure of proper operation of the cargo deck area fire protection on tankers.

Absence, non-compliance or serious deterioration of lights, shapes or sound signals.

Absence or failure of the proper operation of the radio equipment for distress and safety communication.

Absence or failure of the proper operation of navigation equipment, taking the provisions of SOLAS 74, Regulation V/16.2 into account.

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.

Absence of non-sparking exhaust ventilation for cargo pump rooms.

Serious deficiency in the operational requirements, as described in Section 5.5 of Annex 1 to the Paris MOU.

Number, composition or certification of crew not corresponding with the safe manning document.

Failure to carry out the enhanced survey programme in accordance with SOLAS 74, Chapter XI, Regulation 2.

Transport of a substance not mentioned in the Certificate of Fitness or missing cargo information.

Missing or damaged high-pressure safety devices.

Electrical installations not intrinsically safe or not corresponding to code requirements.

Sources of ignition in hazardous locations.

Contraventions of special requirements.

Exceeding of maximum allowable cargo quantity per tank.

Insufficient heat protection for sensitive products.

Transport of a substance not mentioned in the Certificate of Fitness or missing cargo information.

Missing closing devices for accommodation or service spaces.

Bulkhead not gastight.

Defective air locks.

Missing or defective quick-closing valves.

Missing or defective safety valves.

Electrical installations not intrinsically safe or not corresponding to code requirements.

Ventilators in cargo area not operable.

Pressure alarms for cargo tanks not operable.

Gas detection plant and/or toxic gas detection plant defective.

Transport of substances to be inhibited without valid inhibitor certificate.

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.

A recognised case of insufficient stability.

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.

Absence, substantial deterioration or defective closing devices, hatch closing arrangements and watertight doors.

Overloading.

Absence of draft mark or draft mark impossible to read.

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.

Remaining capacity of slop and/or sludge tank insufficient for the intended voyage.

Oil Record Book not available.

Unauthorised discharge bypass fitted.

Survey report file missing or not in conformity with Regulation 13G(3)(b) of MARPOL 73/78.

Absence of the P&A Manual.

Cargo is not categorised.

No cargo record book available.

Transport of oil-like substances without satisfying the requirements or without an appropriately amended certificate.

Unauthorised discharge bypass fitted.

Absence of the garbage management plan.

No garbage record book available.

Ship’s personnel not familiar with disposal/discharge requirements of garbage management plan.

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.

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.

Failure to comply with the applicable safe manning requirements of the flag State administration.

Failure of navigational or engineering watch arrangements to conform to the requirements specified for the ship by the flag State administration.

Absence in a watch of a person qualified to operate equipment essential to safe navigation, safety radio communications or the prevention of marine pollution.

Failure to provide proof of professional proficiency for the duties assigned to seafarers for the safety of the ship and the prevention of pollution.

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.

Insufficient food for voyage to next port.

Insufficient potable water for voyage to next port.

Excessively unsanitary conditions on board.

No heating in accommodation of a ship operating in areas where temperatures may be excessively low.

Insufficient ventilation in accommodation of a ship.

Excessive garbage, blockage by equipment or cargo or otherwise unsafe conditions in passageways/accommodations.

Clear evidence that watchkeeping and other duty personnel for the first watch or subsequent relieving watches are impaired by fatigue.

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.

Inspectors must, as a minimum, have either:

The inspector must have:

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.

The inspectors must have the ability to communicate orally and in writing with seafarers in the language most commonly spoken at sea.

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.

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:

The inspection database shall include at least the following functionalities:

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.

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.

Information published in accordance with Article 26 must include the following:

For ships which have been detained, information published in accordance with Article 26 must also include:

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.