1、IB650Ewww.imo.orgIMOIB650EPROCEDURES FOR PORT STATE CONTROL 2011 2012 EDITION Port State control (PSC) involves the inspection of foreign ships in national port areas to verify that the condition and operation of a ship and its equipment comply with the requirements of international regulations. Whi
2、le IMO has always acknowledged that enforcement of global maritime standards is the responsibility of fl ag States, the Organization nevertheless recognizes that exercising the right to carry out PSC makes an important contribution to ensuring those standards are implemented consistently on ships of
3、 different nationalities. The Sub-Committee on Flag State Implementation has developed and maintained a framework to promote the global harmonization and co-ordination of PSC activities resulting in the adoption of resolution A.1052(27) by the Assembly of November 2011. This resolution contains the
4、Procedures for port State control, 2011, and revokes resolutions A.787(19) and A.882(21).PROCEDURES FOR PORT STATE CONTROL 20112012 EDITIONLondon, 2012First published in 2001 by the INTERNATIONAL MARITIME ORGANIZATION 4 Albert Embankment, London SE1 7SR www.imo.orgSecond edition 2012Printed by CPI G
5、roup (UK) Ltd, Croydon, CR0 4YYISBN: 978-92-801-1550-5IMO PUBLICATIONSales number: IB650ECopyright International Maritime Organization 2012All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, without prior permi
6、ssion in writing from the International Maritime Organization.Reproduction and/or translation rights may be available for this title. For further details please contact IMO Publishing at copyrightimo.org.This publication has been prepared from official documents of IMO, and every effort has been mad
7、e to eliminate errors and reproduce the original text(s) faithfully. Readers should be aware that, in case of inconsistency, the official IMO text will prevail.iiiContentsForeword 1Resolution A.1052(27) Procedures for port State control, 2011 3Chapter 1 General . 51.1 Purpose 51.2 Application . 51.3
8、 Introduction . 61.4 Provision for port State control . 61.5 Ships of non-Parties . 71.6 Ships below convention size 71.7 Definitions 81.8 Professional profile of PSCOs 91.9 Qualification and training requirements of PSCOs 9Chapter 2 Port State inspections . 112.1 General 112.2 Initial inspections .
9、 112.3 General procedural guidelines for PSCOs 122.4 Clear grounds . 142.5 More detailed inspections 15Chapter 3 Contravention and detention . 173.1 Identification of a substandard ship . 173.2 Submission of information concerning deficiencies . 173.3 Port State action in response to alleged substan
10、dard ships 18PageProcedures for port State control, 2011iv3.4 Responsibilities of port State to take remedial action 183.5 Guidance for the detention of ships . 193.6 Suspension of inspection . 193.7 Procedures for rectification of deficiencies and release 19Chapter 4 Reporting requirements . 214.1
11、Port State reporting . 214.2 Flag State reporting . 224.3 Reporting of allegations under MARPOL . 22Chapter 5 Review procedures . 255.1 Report of comments 25AppendicesAppendix 1 Code of good practice for port State control officers conducting inspections within the framework of the regional memorand
12、a of understanding and agreement on port State control (MSC-MEPC.4/Circ.2) . 29Appendix 2 Guidelines for the detention of ships 33Appendix 3 Guidelines for investigations and inspections carried out under Annex I of MARPOL 41Appendix 4 Guidelines for investigations and inspections carried out under
13、Annex II of MARPOL 57Appendix 5 Guidelines for discharge requirements under Annexes I and II of MARPOL 71Appendix 6 Guidelines for more detailed inspections of ship structural and equipment requirements 77Appendix 7 Guidelines for control of operational requirements 83Appendix 8 Guidelines for port
14、State control related to the ISM Code 101Appendix 9 Guidelines for port State control related to LRIT 105PageContentsvAppendix 10 Guidelines for port State control under the 1969 Tonnage Convention . 109Appendix 11 Minimum manning standards and certification . 111Appendix 12 List of certificates and
15、 documents 115Appendix 13 Report of inspection in accordance with IMO port State control procedures 121Appendix 14 Report of deficiencies not fully rectified or only provisionally repaired . 125Appendix 15 Report of action taken to the notifying Authority . 127Appendix 16 Format for the report of co
16、ntravention of MARPOL (article 6) . 129Appendix 17 Comments by flag State on detention report . 131Appendix 18 List of instruments relevant to port State control procedures . 133Appendix 19 Port State control regimes: comparative table (extracts from document FSI 20/6/2) . 141Page1ForewordThe Intern
17、ational Maritime Organization (IMO) has always acknowledged that effective implementation and enforcement of the global maritime standards contained in its conventions are primarily the responsibility of flag States.Nevertheless, the Organization has simultaneously recognized that the exercise of th
18、e right to carry out port State control (PSC), as provided for in relevant international conventions, also makes an important contribution to ensuring that global maritime standards are being implemented consistently on ships of varying nationalities. PSC involves the inspection of foreign ships in
19、national port areas to verify that the condition and operation of a ship and its equipment comply with the requirements of international regulations.The development and maintenance of a framework to promote the global harmonization and co-ordination of PSC activities are among the terms of reference
20、 of the Sub-Committee on Flag State Implementation of IMO. In this context, the Sub-Committee was instructed by the Maritime Safety Committee and the Marine Environment Protection Committee to update the Procedures for port State control, as annexed to resolution A.787(19), provid-ing a single compr
21、ehensive document to facilitate the work of maritime Administrations in general and PSC inspectors in particular.This resulted in the adoption of resolution A.1052(27) by the IMO Assembly, on 30 November 2011, which contains, as an annex, the Procedures for port State control, 2011, and revokes reso
22、lutions A.787(19) and A.882(21). The Assembly requested the Committees to keep the Procedures under review and to amend them as necessary.The Organization co-operates with PSC regimes within the framework of resolution A.682(17) on Regional co-operation in the control of ships and discharges. Furthe
23、rmore, the United Nations General Assembly invited IMO to strengthen its functions with regard to PSC in relation to safety and pollu-tion standards as well as maritime security regulations and, in collabora-tion with the International Labour Organization, labour standards, so as to promote the impl
24、ementation of globally agreed minimum standards by all States (resolution 58/240).Procedures for port State control, 20112Information on PSC regimes is presented in appendix 19 and contact details relevant to PSC activities can be accessed in the Global Integrated Shipping Information System (GISIS)
25、 at http:/gisis.imo.org/Public/CP/Browse.aspx?List=SICI 2. Invites Governments, when exercising port State control, to imple-ment the aforementioned Procedures; Procedures for port State control, 201143. Requests the Maritime Safety Committee and the Marine Environment Protection Committee to keep t
26、he Procedures under review and to amend them as necessary;4. Revokes resolutions A.787(19) and A.882(21).5Chapter 1 General1.1 PurposeThis document is intended to provide basic guidance on the conduct of port State control inspections and afford consistency in the conduct of these inspections, the r
27、ecognition of deficiencies of a ship, its equipment, or its crew, and the application of control procedures.1.2 Application1.2.1 These Procedures apply to ships falling under the provisions of:.1 the International Convention for the Safety of Life at Sea, 1974, as amended (SOLAS);.2 the Protocol of
28、1988 relating to the International Convention for the Safety of Life at Sea, 1974 (SOLAS Protocol 1988);.3 the International Convention on Load Lines, 1966 (Load Lines);.4 the Protocol of 1988 relating to the International Convention on Load Lines, 1966 (Load Lines Protocol 1988);.5 the Internationa
29、l Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocols of 1978 and 1997 relating thereto, as amended (MARPOL);.6 the International Convention on Standards of Training, Certi-fication and Watchkeeping for Seafarers, 1978, as amended (STCW);.7 the International Con
30、vention on tonnage measurement of ships, 1969 (Tonnage); and .8 the International Convention on the control of harmful anti-fouling systems on ships (AFS),hereafter referred to as the applicable conventions.Procedures for port State control, 201161.2.2 Ships of non-Parties or below convention size s
31、hould be given no more favourable treatment (see sections 1.5 and 1.6).1.2.3 In exercising port State control, Parties should only apply those provisions of the conventions which are in force and which they have accepted.1.2.4 If a port State exercises port State control based on International Labou
32、r Organization (ILO) Convention No. 147, “Merchant Shipping (Minimum Standards) Convention, 1976”, guidance on the conduct of such control inspections is given in the ILO publication “Inspection of Labour Conditions on board Ship: Guidelines for Procedure”.1.3 Introduction1.3.1 Under the provisions
33、of the applicable conventions set out in section 1.2 above, the Administration (i.e., the Government of the flag State) is responsible for promulgating laws and regulations and for taking all other steps which may be necessary to give the applicable conventions full and complete effect so as to ensu
34、re that, from the point of view of safety of life and pollution prevention, a ship is fit for the service for which it is intended and seafarers are qualified and fit for their duties.1.3.2 In some cases it may be difficult for the Administration to exercise full and continuous control over some shi
35、ps entitled to fly the flag of its State, for instance those ships which do not regularly call at a port of the flag State. The problem can be, and has been, partly overcome by appointing inspectors at foreign ports and/or authorizing recognized organizations to act on behalf of the flag State Admin
36、istration.1.3.3 The following control procedures should be regarded as comple-mentary to national measures taken by Administrations of flag States in their countries and abroad and are intended to provide assistance to flag State Administrations in securing compliance with convention provisions in s
37、afeguarding the safety of crew, passengers and ships, and ensuring the prevention of pollution.1.4 Provision for port State controlRegulation 19 of chapter I, regulation 6.2 of chapter IX, regulation 4 of chapter XI-1 and regulation 9 of chapter XI-2 of SOLAS, as modified by the SOLAS Protocol 1988;
38、 article 21 of Load Lines, as modified by the Load Lines Protocol 1988; articles 5 and 6, regulation 11 of Annex I, regulation 16.9 of Chapter 1 General7Annex II, regulation 8 of Annex III, regulation 13 of Annex IV, regulation 8 of Annex V and regulation 10 of Annex VI of MARPOL; article X of STCW;
39、 article 12 of Tonnage and article 11 of AFS provide for control procedures to be followed by a Party to a relevant convention with regard to foreign ships visiting their ports. The authorities of port States should make effective use of these provisions for the purposes of identifying deficiencies,
40、 if any, in such ships which may render them substandard (see section 3.1), and ensuring that remedial measures are taken.1.5 Ships of non-Parties1.5.1 Article I(3) of the SOLAS Protocol 1988, article 5(4) of MARPOL, article X(5) of STCW and article 3(3) of AFS provide that no more favourable treatm
41、ent is to be given to the ships of countries which are not Party to the relevant Convention. All Parties should, as a matter of principle, apply these Procedures to ships of non-Parties in order to ensure that equivalent surveys and inspections are conducted and an equivalent level of safety and pro
42、tection of the marine environment is ensured.1.5.2 As ships of non-Parties are not provided with SOLAS, Load Lines or MARPOL certificates, as applicable, or the crew members may not hold STCW certificates, the Port State Control Officer (PSCO), taking into account the principles established in these
43、 Procedures, should be satisfied that the ship and crew do not present a danger to those on board or an unreasonable threat of harm to the marine environment. If the ship or crew has some form of certification other than that required by a convention, the PSCO may take the form and content of this d
44、ocumentation into account in the evaluation of that ship. The conditions of and on such a ship and its equipment and the certification of the crew and the flag States minimum manning standard should be compatible with the aims of the provisions of the conventions; otherwise, the ship should be subje
45、ct to such restrictions as are necessary to obtain a comparable level of safety and protection of the marine environment.1.6 Ships below convention size1.6.1 In the exercise of their functions, the PSCOs should be guided by any certificates and other documents issued by or on behalf of the flag Stat
46、e Administration. In such cases, the PSCOs should limit the scope of inspec-tion to the verification of compliance with those certificates and documents. 1.6.2 To the extent a relevant instrument is not applicable to a ship below convention size, the PSCOs task should be to assess whether the ship i
47、s of Procedures for port State control, 20118an acceptable standard in regard to safety and the environment. In making that assessment, the PSCO should take due account of such factors as the length and nature of the intended voyage or service, the size and type of the ship, the equipment provided a
48、nd the nature of the cargo.1.7 Definitions1.7.1 Bulk carrier: whilst noting the definitions in SOLAS regula-tions IX/1.6 and XII/1.1 and resolution MSC.277(85), for the purposes of port State control, PSCOs should be guided by the ships type indicated in the ships certificates in determining whether
49、 a ship is a bulk carrier and recognize that a ship which is not designated as a bulk carrier as the ship type on the ship certificate may carry certain bulk cargo as provided for in the above instruments.1.7.2 Clear grounds: evidence that the ship, its equipment, or its crew does not correspond substantially with the requirements of the relevant conventions or that the master or crew members are not familiar with essen-tial shipboard procedures relating to the safety of ships or the prevention of pollution. Examples of clear grounds are included in section 2.4.1.7
