1、 2002 Edition Manual on the practical implications of ratifying, implementing and enforcing MARPOL 73/78 INTERNATIONAL MARITIME ORGANIZATION London, 2003 i Pirblislied iri 2003 by the INTERNATIONAL MARITIME ORGANIZATION 4 Albert Enibankinent, London SE1 7SR Printed by the International Maritime Orga
2、nization, London ISUN 92-801-4152-X 2 4 6 8 10 9 7 5 3 I IMOIUBLICATION I Sales number: IA636E Copyright 0 IMO 2003 A 11 rq/tts reserved. No part ofthis pirblicatiori niny be reprodirced, stored iiz n retrieval systerii or transniilted itt any form or by atiy means, electrotiic, electrostatic, riiag
3、riefic tnpe, mechanical, photocopyitis or otkeruke, withotit prior permission in iiritirigjiori the Ititertiatiotinl Maritinie Opniratiori. Preface A publication entitled MARPOL: How to do it was first published by the International Maritime Organization (IMO) in 1993 to provide advice on the proces
4、s of ratification, implementation and enforcement of the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (MARPOL 73/78). This publication is a revised and updated version of the 1993 edition. The text relating to enforce
5、ment in chapters 4, 7 and 19 was prepared by a correspondence group of IMOs Marine Environment Protection Com- mittee (MEPC) and reviewed by MEPC 45 (2-10 October 2000). This edition supersedes the 1993 edition. Although MARPOL 73/78 entered into force on 2 October 1983, there are still many IMO Mem
6、ber States that have not ratified it or all its optional Annexes. Of those countries that have already ratified MARPOL 73/78, there are many which fail to implement all the requirements of the Convention and its related Protocols. This Manual provides useful practical information to Governments, par
7、- ticularly those of developing countries, on the technical, economic and legal implications of ratifying, implementing and enforcing MARPOL 73/78. The aim is to encourage the firther ratification and proper implementation and enforcement of the Convention, but it should be noted that, for legal pur
8、poses, the authentic text of MARPOL 73/78 should always be consulted. It is emphasized that the Annexes to MARPOL 73/78 are living documents that develop over time. This Manual does not attempt to be hlly up to date and the reader is strongly advised to consult recent updates of the instruments thro
9、ugh IMO documents and publications. . 111 Contents 1 INTRODUCTION: h4ARPOL 73/78. . . . . . . . . . PART I: RIGHTS AND OBLIGATIONS5 2 3 4 Structure and components of MARPOL 73/78 . . . . Rights and obligations under MAFWOL 73/78 . . . . Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . .
10、. . . . 5 PART 6 7 PART 8 9 PART 11: PREPARATIONS Means of meeting obligations . . . . . . . . . . . . . . . . . I: LEGAL ASPECTS Integrating MARPOL 73/78 into national law . . . . . Legal aspects of enforcement. . . . . . . . . . . . . . . . . . V: IMPLEMENTING THE REGULATIONS 10 11 12 13 14 15 16
11、17 18 Implementing the regulations of the Annexes . . . . . . Implementing Annex I: Regulations for the prevention of pollution by oil . . . . . . . . . . . . . . . . Implementing Annex 11: Regulations for the control of pollution by noxious liquid substances . . . Implementing Annex 111: Regulation
12、s for the prevention of pollution by harmful substances camed by sea in packaged form . . . . . . . . . . . . . . . Implementing Annex IV: Regulations for the prevention of pollution by sewage fiom ships . . . . . . Implementing Annex V: Regulations for the prevention of pollution by garbage fiom sh
13、ips . . . . . Provision of reception facilities . . . . . . . . . . . . . . . . Implementing Protocol I: Reports on incidents involving had1 substances . . . . . . . . . . . . . . . . . Implementing Protocol 11: Arbitration . . . . . . . . . . Duties of shipowners . . . . . . . . . . . . . . . . . .
14、 . . . . Equipment requirements for updating ships - the options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART V: TECHNICAL ASPECTS OF ENFORCEMENT 19 20 Pollution detection and response . . . . . . . . . . . . . . Strategies for inspection . . . . . . . . . . . . . . . . . . . . Pag
15、e 1 5 10 18 27 33 39 41 42 57 64 66 70 74 81 83 84 85 91 99 V Previous page is blank Contents PART VI: ORGANIZATION 21 22 23 24 Basic marine administration . . . . . . . . . . . . . . . . . . Delegation of duties by the marine administration. . . Training of personnel . . . . . . . . . . . . . . . .
16、 . . . . . . Guidelines, codes and other IMO publications relevant to MARPOL 73/78 . . . . . . . . . . . . . . . . . APPENDICES 1 2 3 4 5 6 Example of a document of accession . . . . . . . . . . . . . Example of enabling legislation . . . . . . . . . . . . . . . . . Example of an “Order” . . . . . .
17、 . . . . . . . . . . . . . . . . Example of regulations for the prevention of pollution by oil . . . . . . . . . . . . . . . . . . . . . . . . . . Example of regulations for the control of pollution by noxious liquid substances in bulk . . . . Example of regulations for the prevention of pollution b
18、y harnhl substances carried in packaged form . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Exaniple of regulations for the prevention of pollution by sewage from ships . . . . . . . . . . . . . . . 8 Example of regulations for the prevention of pollution by garbage from ships 9 Example o
19、f regulations for the provision of reception facilities . . . . . . . . . . . . . . . . . . . . . . . . 10 Example of regulations for the reporting of pollution incidents 11 Guidelines for delegating survey work to recognized organizations . . . . . . . . . . . . . . . . . . . 12 Extract from the 20
20、02 edition of the IMDG Codc . . . 13 Extract from Class 9 of the 2002 edition of the IMDG Code . . . . . . . . . . . . . . . . . . . . . . . . . 14 Extract from Class 9 of the 2002 edition of the IMDG Code . . . . . . . . . . . . . . . . . . . . . . . . . 15 Inspection of certificates and relevant d
21、ocumcnts . . . . 16 Investigations into contravention 17 Itemized list of possible evidence of contravention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . of discharge provisions . . . . . . . . . . . . . . . . . . . . . . . of the MARPOL 73/78 Annex I discharge provision
22、s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 07 3 15 120 123 127 128 129 130 131 132 133 134 135 137 140 142 146 147 148 153 155 vi 1 INTRODUCTION: MARPOL 73/78 1.1 The Towey Canyon accident in 1968 prompted a new discussion on ship safety and the environment and led to a deci
23、sion to develop a comprehensive instrument regarding pollution from ships. The instrument referred to as the “International Convention for the Prevention of Pollution from Ships” was signed at a diplomatic conference in 1973. The shortened name of that Convention was MAKPOL 73. After the Arnoco Cudi
24、z accident off the coast of Brittany in 1977, it was felt that certain shortcomings in MARPOL 73 should be rectified and a Protocol to the Convention was agreed by the International Conference on Tanker Safety and Pollution Prevention in February 1978. The 1973 Convention, as modified by the 1978 Pr
25、otocol, is known as MARPOL 73/78. 1.2 The obligations agreed by the Parties to MARPOL 73/78 in the articles and regulations relating to different types of ship-generated pollution are contained in six Annexes regarding: oil pollution, pollution from chemicals carried in bulk, pollution from packaged
26、 goods, pollution from sewage, pollution from garbage and air pollution from ships. These Annexes are explained in more detail in subsequent chapters of this Manual. MARPOL Annex MARPOL Annex 1/11 MAIWOL Anncx Ill MAKPOL Anncx IV MAILPOL Annex V MAlLPOL Protocol 1997 (Anncx VI) Status of ratificatio
27、n and implementation of MARPOL 73/78 1.3 The Convention entered into force on 2 October 1983, and the compulsory Annexes I (Oil) and I1 (Noxious Liquid Substances in Bulk) took effect on 6 April 1987. Optional Annexes 111 (Harmful Substances in Packaged Forms) and V (Garbage) entered into force on 1
28、 July 1992 and 31 Dccember 1988, respectively, leaving only Annexes IV (Sewage) and VI (Air Pollution from Shps) not yet in force. As of 31 March 2002, the status of ratification of MARPOL 73/78 was as follows: Entry into force Number of Fleet (%) 2 October 1983 120 95.9 1 July 1992 101 81.46 - 85 4
29、6.34 31 December 1988 106 87.88 - 5 15.80 ratifications Status of MARPOL 73/78 as of 31 March 2002 1 I 1 - Introduction: MARPOL 73/78 1.4 Although those countries which have ratified the Convention are required to implement, in respect of their own-flag ships and all other-flag ships in their waters
30、 and ports, the requirements of the Convention, which include compulsory Annexes I and I1 and the optional Annexes they have ratified, many fail to do so. The intention of this Manual is to assist countries and personnel involved in the planning of ratification, imple- mentation and enforcement of M
31、ARPOL 73/78. 1.5 The political desire of a State to accede to or ratifjr MARPOL 73/78 is fundamental. Governments may wish to become Parties as a result of: .1 marine environmental concerns for waters under their junsdic- tion; .2 benefits to their shipowners (worldwide acceptance of ships); .3 bene
32、fits to their ports (means to control pollution); or .4 concern for worldwide environment. Advice to Governments may come from the public, their own marine 1.6 or environmental administration bodies and their marine industry. 1.7 It should be recognized that whereas Parties to MARPOL 73/78 have obli
33、gations, thcy also have privileges. Parties accept the obligation not to discharge wastes into the sea, in return for which they have the privilege of not being polluted by other Parties. (If they are, and the pollution occurs within their territorial waters, they can prosecute.) A non-Party does no
34、t accept the obligation to place restrictions upon its ships and, therefore, its ships cannot be prosecuted for failing to comply (except in the territorial waters of a Party, if apprehended). It has to accept, however, that failure to accept such obligations means that when its own shoreline is pol
35、luted it does not have the privilege under MALWOL 73/78 to insist upon the prosecution of the ship concerned. 1.8 The provisions and the full text of MARPOL 73/78 are so complex that it is dificult, without extensive study, to appreciate their implications directly or to evaluate their impact on the
36、 maritime interests or activities of the administration and the industries of a country. 1.9 The objective of this Manual is, therefore, to provide practical information, in an easily understandable form, on the technical, economic and legal implications which may be encountered by Governments and t
37、he shipping industry when ratifying and implementing MARPOL 73/78. The information provided includes the obligations that are agreed to when ratifying the Convention, the means of meeting these obligations, the basic marine administration necessary, the legal requirements, the requirements of each A
38、nnex of MAKPOL 73/78 and possible delegation of certain duties by an administration to othcr organizations. 2 1 - Introduction: MARPOL 73/78 1.10 The overall aim is to encourage countries to ratify MARPOL 73/78 and, in particular, to implement and enforce all the requirements, having first appreciat
39、ed their obligations, what they need to do and where problems may exist. 1.11 The obligations under the Convention and the requirements of the Protocols and Annexes are not reproduced in detail in this Manual. An attempt is made to present these obligations and requirements in a straightforward “wha
40、t needs to be done” manner, along with explanations of the general requirements, malung references to MARPOL 73/78, IMO resolutions, guidelines and circulars, etc., where the detailed and authoritative texts exist. Furthermore, whilst the Convention itself has been amended a few times, the Annexes a
41、re amended often. In this respect, the latest consolidated edition of MARPOL 73/78 provides an excellent reference to the current requirements. In order for a country to consider ratifying or acceding to MARPOL 73/78 it is essential that its specialists study and analyze this publication. It is also
42、 necessary for the maritime authority, shipowners, inspectors and ships officers and crew to be hlly aware of the provisions of MARPOL 73/78. This Manual sets out these provisions in the following chapters in a practical manner, stating which particular part of the maritime sector needs to take acti
43、on and on which provision. 1.12 Convention, its Protocols and its Annexes (see chapter 2). 1.13 Terms used in this Manual have, in general, the same meaning as those used in MAlWOL 73/78 (article 2 of the Convention). The following definitions are important for the purpose of this Manual and are inc
44、luded here in fill Convention wording (articlc 2). Thercfore, unless expressly provided otherwise: Any reference in this Manual to MARPOL 73/78 means the -1 .2 .3 Regulations means the regulations contained in the Annexes to the present Convention MARPOL 73/78. Harmful substance means any substance
45、which, if introduced into the sea, is liable to create hazards to human health, to harm living resources and marine life, to damage amenities or to interfere with other legitimate uses of the sea, and includes any substance subject to control by the present Convention. Discharge, in relation to harn
46、ifbl substances or effluents containing such substances, means any release howsoever caused from a ship and includes any escape, disposal, spilling, lealung, pumping, enlltting or emptying. Note: Most texts referred to in this publication may be obtained from IMO. For full information, contact the I
47、MO Publishing Service or consult the IMO website (www.imo.org). 3 1 - Introduction: MARPOL 73/78 -4 Discharge does not include: .l dumping within the meaning of the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter, done at London on 13 November 1972; or release
48、of harmful substances directly arising from the exploration, exploitation and associated offshore processing of sea-bed mineral resources; or .3 release of harmful substances for purposes of legitimate scientific research into pollution abatement or control. Ship means a vessel of any type whatsoeve
49、r operating in the marine environment and includes hydrofoil boats, air-cushion vehicles, submersibles, floating craft and fixed or floating platforms. .6 Administration means the Government of the State under whose flag the ship is operating. With respect to a ship entitled to fly the flag of any State, the Administration is the Government of that State. With respect to fixed or floating platforms engaged in exploration and exploitation of the sea-bed and subsoil thereof adjacent to the coast over which the coastal State exercises sovere
