MARPOL - How to do it

2002 Edition

MARPOL MARPOL MARPOL MARPOL MARPOL MARPOL MARPOL

 GVD^I^IPOIL, - How to do it
2002 Edition

Manual on the practical implications of ratifying,

implementing and enforcing MARPOL 73/78

INTERNATIONAL MARITIME ORGANIZATION London, 2003

 Published in 2003
bv ле INTERNATIONAL MARITIME ORG ANIZATION
ЬУ
4 Albert Embankment, London SE1 7SR

the United Kingdom by MPG-

printed in
Books Ltd, Bodmin

ISBN 978-92-801-4152-8 468 10 9753

IMO PUBLICATION

Sales number: IA636E

Copyright © IMO 2003

All rights reserved.

part of this publication may be reproduced,
stored in a retrieval system or transmitted in any form
or у any means without prior permission in writing
from the International Maritime Organization.
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 process 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 enforcement in chapters 4, 7 and 19 was prepared by a correspondence group of
IMO’s Marine Environment Protection Committee (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 Member 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 usefill practical: information to Governments, particularly those
of developing countries, on the technical, economic and legal impfications of
ratifying, implementing and enforcing MARPOL 73/78. The aim is to encourage the
further ratification and proper implementation and enforcement of the Convention, but
it should be noted that, for legal purposes, 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 fully up to date and the reader
is strongly advised to consult recent updates of the instruments through IMO
documents and publications.
 Contents
Page
1 INTRODUCTION: MARPOL 73/78.................................................. 1
PART I: RIGHTS AND OBLIGATIONS5
2 Structure and components of MARPOL 73/78 .... 5
3 Rights and obligations under MARPOL 73/78 .... 10
4 Jurisdiction..................■............................................................. 18
PART II: PREPARATIONS
5 Means of meeting obligations..................................................... 27
PART III: LEGAL ASPECTS
6 Integrating MARPOL 73/78 into national law....................... 33
7 Legal aspects of enforcement............................-........................ 39
PART .IV: IMPLEMENTING THE REGULATIONS
8 Implementing the regulations of the Annexes..................
9 Implementing Annex I: Regulations for the prevention of 41
pollution by oil ................................................................
10 Implementing Annex П: Regulations for the control of 42
pollution by noxious liquid substances . . .
11 Implementing Annex III: Regulations for the prevention of 57
pollution by harmful substances carried by sea in packaged
form..................................................................................
12 Implementing Annex IV: Regulations for the prevention of 64
pollution by sewage from ships........................................
13 Implementing Annex V: Regulations for the prevention of 66
pollution by garbage from ships.......................................
14 Provision of reception facilities........................................ 70
15 Implementing Protocol I: Reports on incidents involving 74
harmful substances...........................................................
16 Implementing Protocol II: Arbitration ............................
81
17 Duties of shipowners .......................................................
83
18 Equipment requirements for updating ships — the options
84

85
PART V: TECHNICAL ASPECTS OF ENFORCEMENT
19 Pollution detection and response .....................................
20 Strategies for inspection ...............................................
Contents

PART VI
. ORGANIZATION
107
21 • Basic marine admimstnnon _...........
115
Delegation of duties by the marine administration. . . Training
120
of personnel............................................... ....................
24 123
Р Ы,
Guidte “ “
relevant to MARPOL 73/78 .....................................................
of a document of accession...................• • 127
APPENDICES
• 1 Example 2..........................................Example of enabling legislation 128
3...........................................................Example of an Order
129
4 Example of regulations for the prevention of pollution by oil............... 130
5 ' Example of regulations for the control
of pollution by noxious Equid substances in bulk .... 131
6 Example of regulations for the prevention of pollution by harmful
substances carried in packaged form ..................................................... 132
7 Example 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 of regulations for the provision of reception 133
facihties . . . ... .
10 Example of regulations for the reporting of pollution incidents 134
GuideEnes for delegating survey work recognized organizations
12 Extract from the 2002 edition of the IMDG Code . . . 135
,he 2002
137
°fthe IMDG^CQJ^ °f the 2002 edition
П CCrtificates and
140
Investi relevant documents . . . .
«Й& »» 142
nar
ge provisions list of Поссікі ’J
17
°f the M ARP от -7а/ІоЄУ1^епсе °f contravention 146
Precisions. Annex I discharge

15 147
1 INTRODUCTION: MARPOL 73/78
1.1 The Torrey Canyon accident in 1968 prompted a new discussion on ship
safety and the environment and led to a decision 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
MARPOL 73. After the Amoco Cadiz 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 Protocol, 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 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. • * 9

Status of ratification and implementation of MARPOL 73/78

1.3 The Convention entered into force on 2 October 1983, and the compulsory
Annexes I (Oil) and II (Noxious Liquid Substances in Bulk) took effect on 6 April
1987. Optional Annexes III (Harmful Substances in Packaged Forms) and V
(Garbage) entered into force on 1 July 1992 and 31 December 1988, respectively,
leaving only Annexes IV (Sewage) and VI (Air Pollution from Ships) not yet in
force. As of 31 March 2002, the status of ratification of MARPOL 73/78 was as
follows:

Status of MARPOL 73/78 as of 31 March 2002

Number of
MARPOL Annex Entry into force Fleet (%)
ratifications
MARPOL Annex І/П 2 October 1983 120 95.9
MARPOL Annex III 1 July 1992 101 81.46
MARPOL Annex IV 85 ~~ 4634
MARPOL Annex V 31 December 1988 106 87.88
MARPOL Protocol 1997 ■M 5
(Annex VI) 15.80
 1 - Introductiorv MARPOL 73/7 8
1 4 Although those countries which have ratified the Convention ate required to
implement, in respect of their own-flag ships and all other-fl ag ships in their waters
and ports the requirements of the Convention, which include compulsory Annexes I
and II and the optional Annexes they have ratified, many fail to do so. The intention
о this Manual is to assist countries and personnel involved in the planning of
ratification, imple- menXTnd enforcement of MARPOL 73/78.
1 - introduction: MARPOL 73/78
Part I
RIGHTS AND OBLIGATIONS

2 STRUCTURE AND COMPONENTS OF MARPOL 73/78

MARPOL 73/78 is a legal instrument composed of various documents which must be
considered as forming a single whole. These documents are described briefly below as
they are referred to in this Manual and relate to the situation as at 2002 (full text in
MARPOL 73/78, Consolidated Edition, 2002).
• I * •

- • (• • •*•
і•.t.

2.1 International Convention for the Prevention of Pollution from Ships,

1973 %

Article 1 — General obligations under the Convention

Article 2 — Definitions
Article 3 — Application • • Article 4 - Violation
Article 5 — Certificates and special rules on inspection of ships
Article 6 - Detection of violations and enforcement of the Convention
Article 7 — Undue delay to ships
Article 8 - Reports on incidents involving harmful substances *
Article 9 - Other treaties and interpretation
Article 10 - Settlement of disputes
Article 11 — Communication of information [article ll(l)(b) was modified by article
III of the Protocol of 1978]
Article 12 - Casualties to ships
Article 13 - Signature, ratification, acceptance, approval and accession
Article 14 - Optional Annexes
Article 15 — Entry into force
Article 16 - Amendments
Part I: RIGHTS AND OBLIGATIONS
2 - Structure and components of MARPOL 73/78
2 - Structure and components of MARPOL 73/78
Part I: RIGHTS AND OBLIGATIONS
з - Rights and obligations under MARPOL 73/78
Part 1: RIGHTS AND OBLIGATIONS
obligations under MARPQL
7З/78
Part I: RIGHTS AND OBLIGAHONS
Part. 1: RIGHTS AND
OBLIGATIONS
Part I: RIGHTS AND OBLIGATIONS
Part II: PREPARATIONS
 - — 5 Means of meeting obligations
flag State. For example, a flag State may have a large fleet of chemical tankers and
consequential responsibilities under Annex II but little concern as a port State because it
does not import or export chemicals in bulk (see farther comments under chapters 9 to
13 of this Manual).

5.9 Obligations
All sectors involved with MARPOL 73/78 need to consider and meet their obligations
with respect to:
- preparation of legislation, including regulations
- survey
- inspection ** - construction requirements
5.10 Developing a cemplismce strategy for the Convention
5.10.1 Why compliance?
Article 1(1) of MARPOL 73/78 requires all States Parties to “undertake to give effect to
the provisions of the present Convention and those Annexes thereto by which they are
bound, in order to prevent the pollution of the marine environment by the discharge of
harmful substances or effluents containing such substances in contravention of the
Convention”. In accordance with this obligation, a State Party to MARPOL will need to
implement a range of monitoring, compliance and enforcement mechanisms to give
force and effect to the Convention. Compliance with the Convention should primarily
focus on “preventing” pollution, and not simply on apprehending and punishing
violators. The extent to which education, incentives, monitoring and policing
programmes are used by a State to ensure compliance with МАРТ О L 73/78 depends
upon the type of jurisdiction that the State enjoys over a ship (see chapter 3).
5.10.2 Strategies for ensuring compliance
- compliance monitoring through routine inspections, surveys and/ or
examinations (see chapter 20);
- detection and policing “patrols” (see chapters 19 and 20);
■ - reporting procedures and incentives, including inren.; , reporting (see
ntlves
paragraph 19.5); for self.
- adequate investigations of violations reporter) , detected (see chapter 19);
otherwise
- a system of adequate sanctions in respect of violations (see chapt
- education jtnd public awareness programmes (see paragraph
 Part II:
PREPARATIONS
- co-operation and co-ordination with other States Parties ( paragraph 5.10.4).
^see
A compliance programme should be adaptable enough to allow compliance priorities to
respond to prevailing circumstances. One or more of its elements may be more salient
for a State Party, depending on key variables including the state of the national fleet, the
type of vessels calling at ports of the State Party, the emergence of new Convention
standards for equipment/ procedures, the availability of human and technological
resources within the maritime administration, and the familiarity of relevant
stakeholders with the Convention.
In setting priorities for a compliance strategy 7, the maritime administration will need an
idea of which ships have the highest potential for being in violation, or where a violation
would be most significant (see also chapter 20). ;•*ч

5.10.3 Public participation

Any compliance strategy should take into consideration that resources spent on
education and prevention will save resources that might have been spent on prosecution.
Education and prevention strategies are necessary to sensitize all potential “observers”
and “witnesses” about how they can assist m protecting the environment. In this way,
they may prove cost-efiective or tates Parties with limited financial or policing
resources. Pub c awareness and participation can also greatly facilitate reporting of
violations an may also prevent violations that would never have been detected or
7^/7«CU-tCi ^ne, means °f encouraging reporting of potential MARP incident ° by the
general public has proven successful, particularly or
bounties5 b V1iLgіОІ1 or that are easily observable in the water,
bounties P S ° к сЄ noted that some States’ domestic laws do not P ern objectives H Ot ЄГ $tates’
bounties are inconsistent with their enforcerne which utiiiy6» CRV'eVe^’ those that wish to
consider such incentives, ta ^^“nofMA^Pofviolation^111 “ ""
to
directed
a
at site-™01 tar ets
be most effective when the programmes are
r
t their respective А S ’ f° example marinas and fishing docks, respective
administrations and users. Public education can also
Part III
LEGAL ASPECTS

6 INTEGRATING MARPOL 73/7Я

INTO NATIONAL LAW
6.1 General
It is assumed that every State’s Administration will have a legal department or lawyers
attached to its marine administration or to a larger admiSve epartment such as, for
example, a Department of Transport. It is further assumed for the purposes of this
Manual that these legal administrators (or lawyers) will have primary responsibility for
the legislation that is necessary to implement MARPOL 73/78. Whatever the form of
the administration, it must be considered desirable for a single body to be given the
overall responsibility for ratification, legislation and implementation. The legal system
will vary? from State to State but the principal legal actions necessary for integrating
MARPOL 73/78 into national law and implementation are likely to be as outlined in
figure 2 and in the following paragraphs.

6.2 Instrument of accession

As MARPOL 73/78 is now in force, the only method of ratification is by accession. In
acceding, Governments indicate their acceptance and approval of MARPOL 73/78 and
their readiness to implement its requirements. An “instrument of accession”, a
document which may only be signed by the head of state, head of government or
minister for foreign affairs, should be deposited with the Secretary-General of IMO
(articles 13(2) and IV(2)). An example, or model,
document is given in axx accession may contain a ppendix 1. An instrument of
clause excluding acceptance of one or more о e
optional Annexes (Annexes III, IV and V).

6.3 Enabling legislation

It is necessary to consider whether existing ^^national legal
,* . , о ті time lee islation^such as a Mercantile Marine
system. This may exist in maritime egis erislation. A decision is then Act, Merchant
Shipping ct ”h existing maritime legislation needs necessary on whether any such e
g. for ose of
amending or whether new legis squired. It is advisable to look at how implementing
MARPOL 73/78, is requirea.
Part III: LEGAL
ASPECTS

Political decision to ratify MARPOL 73/78 Instruments

of accession

Enabling legislation

(Order)

Regulations

Ships Shore
I

Regulations requiring reception facilities in

ports for meeting obligations of Annexes I,
II, IV and V
і

International Domestic Small

1 Regulations covering ship construction,

equipment and procedures, required by
Annexes I, II, IV and V

2 Regulations implementing Protocol I:

Reporting of Incidents

* Please note the comments under 6.3

Part III: LEGAL
ASPECTS
^^te^ati^MARPOL 73/78 into national law
Part ПІ: LEGAL ASPECTS ••
6 - Integrating MARPOL 73/78 into national law
 Part III: LEGAL
ASPECTS
•t ••

reception of a wide variety of credible evidence, including circumstantial htions

of MARPOL 73/78. Some States require
part VI
ORGANIZATION

21 BASIC MARINE ADMINISTRATION

Before ratifying MARPOL 73/78, a country must be in a position to meet the
requirements included in the articles and regulations. Almost all maritime
States have accepted and implemented a number of existing international
marine safety conventions (e.g., SOLAS, Load Lincs, COLREG) and, in order
to implement these, a marine administration in some form should exist. It is die
existing marine administration that should first be examined when considering
the undertakings and duties involved in ratifying MARPOL 73/78. The duties
of a marine administration arc shown in outline in figure 16 and are applicable
to a number of marine conventions. It is advisable to examine these duties in
order to identify those required under MARPOL 7.V7K and decide how they
will be covered. It will be seen that these u-tic* have been divided into those of
the "flag State”, "port State” and олн іі Stale” for clarity, but there is inevitably
a degree of overlap in thc^ dunrv. сп$ч-сілПу with MARPOL 73/78.

21.1 A comprehensive marine administration

Many maritime States have large, well-organized and technically competent
marine administrations. Such an organization is shown in figure 17. This is not
intended to portray any particular marine administration and there will be
differences of organization between States. The basic organization is, however,
similar to many and may be readily adapted to illustrate any other existing
comprehensive organization. The important features are;
~ the link between a government minister and a permanent administrative
organization;
the likely link with other transport systems;
the link between shipping, ports and die organization that deals with
marine emergencies (coast guard);
the inescapable link between safety and the prevention and control of
pollution;
the professional and technical nature of the organization,
the link with legal administrators; and
the relationship between the headquarters (administration)
of the organization and the outport (surveys an inspec branches.
 MARPOL
Department 73/78 (SOLAS, LL,
Surveyors
of Transport COLREG, etc.)
Surveyors SURVEY
Surveyors
AND(Engineer)
INSPECTION DUTIES (see fig. 5)
(Nautical)
(Ship) Minister

Minister’s Office

Permanent Secretary

Aviation Roads Marine Railways

Legal Shipping Ports Coast Guard

Marine emergencies,
Director-General marine pollution
control

I Deputy D-G Deputy D-G Deputy D-G

Pollution Safety Safety Safety Port State Outports,

prevention control surveys
and control abroad
Engineering, navigation,
ship construction, etc.
(SOLAS, LL, COLREG, etc.)
Chief Surveyor -
I Chief Surveyor

.1
—I-------------------1------ Port 1 Port 2 Port 3 etc. —
Principal Principal Principal Surveyor Admin/
Surveyor Surveyor (Engineer) (Ship) clerical Chief Chief Chief
(Nautical) Surveyor Surveyor Surveyor
MARPOL 73/78
t
HEADQUARTERS Admin/ Principal Principal Principal
DUTIES (see fig. 5) clerical Surveyor Surveyor Surveyor
(Engineer) (Ship) (Nautical)
 MARPOL 73/78 Issue of certificates - IOPP
MARPOL 73/78
HEADQUARTERS DUTIES -NLS ~
SURVEY AND INSPECTION DUTIES
etc.

Design approval
Classification
Survey reportsF *
societies
Equipment approval

Design approval
'MO representation ' Ship survey
4
.egislation \ Survey reports
'egulations - formulate - \ Inspections
implement / Investigation
structions to surveyors / Prosecution
legation to classification
ieties
;ords
iorts Classification
;ecutions societies
'taring - adequacy of
reception
facilities
Ca
Pabii
ad
mini
safety г
ability c
Oliver
 Chief Surveyor

principal Surveyor Principal Surveyor Principal Surveyor Admin/ (Engineer)

(Ship) (Nautical) clerical

MARPOL 73/78
 Marine Department
(Administration)

, survey and inspection duties 4

IMO representation? Ship particulars :

Legislation? and records Design approval 1
Regulations? Ship surveys ____________
Instructions? Survey reports _______ Classification
Delegation to classification Issue certificates 1 societies
societies Inspections?
Prosecutions Investigations
Records Prosecutions
Reports ’ * 1
• ■- 1 • • . ; • *
Monitoring - adequacy of •*.t » •: • ''•

1
1
♦
*

reception facilities? . • к
Part VI: ORGANIZATION

State” and “coastal State” have been outlined in figure 16, and the all of available
resources between these duties may cause problems А^°П coastline with a large number
of ports and, consequently, a large numh ge ship visits may mean the provision of a
large force of inspectors on non ? ° f control duties - even for a country with a small
fleet. Other countries have large fleets but small coastlines, with few ports requiring
іШау surveyor force for flag State duties. A balance should be achieved an7?e general
surveyors may be employed as inspectors. As described farther chapter 23, delegation
of certain duties is certain to be necessary. Щ
21.6 Qualifications of staff
It is difficult to indicate a standard of qualification for all of the staff of a marine
administration. The fundamental requirement is that each grade should be capable of
doing the job completely at the level of the appointment. Given the international nature
of shipping, this must involve comparison with similar appointments in the
individual’s own and other countries. With these points in mind it may be useful to
consider qualification requirements for professional administration, legal and survey
staff.
.1 Administration staff. These are required at all levels in a marine
administration; the levels may be recognized by examination of figure 17.
The staff should be qualified to a similar level as their counterparts in
similar administrative organizations in their country and to a level
appropriate to the other professional staff with which they will work in the
marine administration.
.2 Legal staff. There will be comparatively few of these, but they will, of
necessity, be well qualified to meet the job requirements. This is likely to
mean qualification in their own national law and in maritime law to
master’s degree standard, together with qualifications in international law
and considerable working experience.
.3 Surveyors and inspectors. These should be qualified to standard in
marine engineering, naval architecture or naU°. sciences. This should be coupled
with service on ships at sea or shipyards to gain several years’ practical
experience, of surveyors should have considerable experience in the e survey or
s
inspection and well-proven ability. In this area it be recognized that the STCW
Convention, which enterea orce in 1984, is an attempt to establish minimum g t
standards for seafarers (which all countries are ^^ді or exceed). Many surveyors
and inspectors are likely to e
om such qualified seafarers and, as they will be inspec ,. aVC surveying the
work of seafarers, they should be qualified < rarer$ experience equal to or
above the level of the most senior s t ey will meet in the course of their
 duties.
22 ~ Delegation of duties by^ the marine administration

,2 DELEGATION OF DUTIES BY
THE MARINE ADMINISTRATION
In the previous chapter it was stated that no Government has a marine administration
extensive enough to perform all of its obligations under the international marine safety and
poUution conventions. Delegation of duties is permissible under these conventions, but it
should be recognized that this delegation does not relieve an administration of its
responsibilities.

22.1 Responsibilities of delegation

In respect of MARPOL 73/78, the responsibilities of delegation are clearly defined in the
regulations and articles. Annex I (Oil), Annex II (Chemicals) and Annex IV (Sewage) all
require survey and certification of the ship, and each of these Annexes states the
responsibilities of delegation in a similar form, as follows, under the headings of:
Surveys and inspections:
“Surveys of ships as regards the enforcement of the provisions of this Annex shall be
carried out by officers of the administration. The administration may, however, entrust
the surveys either to surveyors nominated for the purpose or to organizations
recognized by it”;
“In every case, the administration concerned shall fully guarantee the completeness
and efficiency of the survey and inspection and shall undertake to ensure the necessary
arrangements to satisfy this obligation”;
and (under Annexes I and II):
“An administration nominating surveyors or recognizing organizations to conduct
surveys and inspections ... shall as a minimum empower any nominated surveyor or
recognized organization to require repairs to a ship and carry out surveys and
inspections if requested by the appropriate authorities of a port State .
Certification:
Such certificate shall be issued either by the administration or by any persons or
organization duly authorized by it. In every „case e administration assumes full
responsibility for the certificate.
,the «tides of the Convention (see paragraph 3.11) the administration “ndertakes to
r niZed
provide IMO with a list of such nominated s^veyon ® re?$g organizations, together with
notification о t e P to PTSlbilities and conditions of the authority delegated, for circulation
°* er Parties for the information of their officers.
 be see
« that the basic responsibility is for an
^7 out the survey and certification of its own-flag ships. I m y,
fnr nrammatic reasons, delegate these functions, subject to conditions Tv JeqS number
of bctors to be considered:
_ what an administration can or should do with its own res0Urre
what is to be delegated;
_ who, or which organizations, should be entrusted with delegated duties;
- what powers they should be given;
_ how the completeness and efficiency of the delegated duties may be ensured;
_ how arrangements may be made to provide IMO with the necessary relevant
information,
- how the assumption of full responsibility for certificates issued by
others may be justified.

These factors are considered in paragraphs 22.2 to 22.11.

Note: In order to avoid confusion, in this chapter, “surveys” refers to surveys for
certification purposes under MARPOL 73/78 and “inspections” refers to port State
inspections of foreign ships and general inspections of the State administration’s
own-flag ships.

22.2 What the administration should do

A marine administration should, in general, have sufficient resources to carry out
surveys of its own-flag ships and inspections of foreign ships in its ports by its own
officers within its own State. However, where the marine administration does not have
sufficient qualified surveyors or inspectors, or surveys of its own-flag ships have to be
made outside the State, surveys, as well as the issuing of certificates, should be
delegated, but only under e stnct conditions permitted by MARPOL 73/78. Two other
factors shoui be considered in deciding what should be done by the marine adminis-
tration s own resources:
the marine administration should have or acquire su®^r to саггУ out the
responsibilities accepte n ^/78. This means surveyors and
inspectors, or -n
s a , who are qualified and experienced in survey and in$P up J*!es an<i are actively
engaged in their work in order to ' ate’to Maintain standards, to investigate
incidents an t
__ Ot er duties mentioned in chapter 21; . of
forei^fl6 insP?ctions of foreign ships and general impеС^цпі5* tration\ ag S^S are
norma Wn lns ecto
lly performed by a marine a j]y u'ed ?or ? P ^ Classification societies
 are not norm ed for aspection purposes.
_____----------------ЬУ the marine administration
22.3 What to delegate
After assessment, delegation
uts
as follows may be found advisable:
- surveys o ide the State (where distance, cost, staff resources etc., make this
necessary); ources,
_ work which is well established and for which other organizations
b
have the necessary
expertise;
- duties beyond the capability of the marine administration.

22.4 Which organizations or persons should be entrusted?

The following are permitted under MARPOL 73/78 but need to be assessed as outlined in
paragraphs 22.6 and 22.8 to 22.10:
— surveyors nominated this means individual persons who may or may not be
members of an organization;
- “organizations recognized” - this, for all practical purposes, means the classification
societies.

22.5 What powers should be given

• I•

Nominated surveyors and recognized organizations should have backup from the marine
administration in order for them to carry out the duties required by MARPOL 73/78. In
particular, power should be given to require repairs to a ship and to carry out surveys and
inspections even though these may not be agreed or requested by the shipowner. The
practical way is for individual surveyors to be formally given the powers of the relevant
marine administration surveyor or for the recognized organizations to be given the requisite
power by national regulations or other formal authority acceptable under national
legislation.
*

22.6 Ensurance of completeness and efficiency of duties

This can be done by knowledge of the individual nominated surveyor or recognized
organization. This may be backed up by requiring reports Monitoring their work during
inspections and by auditing the organizations.

22.7 Provision of information to IMO

is a duty of the marine administration to provide a list of
surveyors and recognized organizations (classification societies)
 tsee
the specific responsibilities and conditions of the authonty delegated Paragraphs
3.11 and 22.1).
Part VI: ORGANIZATION____________________________

22.8 Assuming full responsibility for certificates

A marine administration should be satisfied that it can fully justify assuming this
responsibility. Justification may be by similar means to those mentioned in paragraphs
22.6 and 22.9 to 22.11.

22.9 Appointment of nominated surveyors

In practice this may be done on the basis of a satisfactory assessment of each individual
person with respect to his or her qualifications, experience and capability to conduct
surveys to the required standard and to the current MARPOL 73/78 requirements. This is
not an easy assessment to make nor for individuals to meet. It will require careful
consideration by the administration, and some internal organization will be necessary to
keep individual surveyors informed of changes to current requirements and to ensure that
they are carrying out their duties completely and efficiently (see paragraph 22.6).

22.10 Recognized organization

In practice the term recognized organization may be taken to mean a classification
society, and therefore the term society is used in this paragraph. This does not preclude the
use of other organizations, and the contents of this paragraph would be relevant were any
to be considered.
An administration should decide which societies it will entrust with the authority to act
on its behalf for MARPOL 73/78 purposes. These are likely to be the same as those
authorized to act under other conventions, but they may be reduced or added to as found
necessary. Much will depend on the size of the flag fleet, the presence or otherwise of a
national society which can meet its needs and the classification societies normally used by
ships coming onto the State’s register. It may not wish to limit its shipowners to one
society, but the choice between a monopoly and competition, wi possi e reduction in
standards of survey and enforcement, should Q consi ere . It is essential that societies are
clearly aware of the extent о adHtinistration should give guidance in a
1 W StatCS socie
reauirem t- c^A ties are to survey to the
ЫпТТ °k MARPOL 73/78. Clear instructions should be issu ’ comnliancT? ?Z? Cti°n tO taken
in the event of temporary no issuing of Tv ^Є- re^ations> on the interpretation of regulations,
on ad^^stration'T^^T18 (where this is left to the discretion of the tration, on the\? n aPProval of
s not
equipment on behalf of the information to thTTl !^P . Massed and on the ready provisi
 w len
in mind, an administrat’ t0 consider ^ requested. With
v these P°! j$
prepared and able to orn -T* the service a soci vv provide.
_____________________by the marine administration
22.11Criteria that societies should meet
The general criteria to be met by societies acting on behalf of a marine administration should
include the following: Dianne
_ the society must have the capability of setting and maintaining acknowledged
g
technical standards;
- the society must have sufficient experience and skill r in performing technical
surveys; * Ь
- the society needs to be represented worldwide, which requires a minimum number
4
of personnel;
- the society should have published rules; and
- the society should be able to fulfil a continuing quality-assurance programme.
Such criteria are met by a number of the 50 or more classification societies which exist
today. Eleven leading classification societies are members of the International Association of
Classification Societies (IACS), whose stated main purposes are:
- to promote improvement of standards of safety at sea and prevention of pollution
of the marine environment;
- to consult and co-operate with relevant international and maritime organizations;
- to maintain close co-operation with the world’s maritime industries.
The IACS has been granted consultative status with IMO and in this capacity it has submitted
a proposal containing principles to be included in new guidelines for delegating survey work
to recognized organizations — currently under development by IMO. These principles are
reproduced in appendix 11 to assist in the decision on which societies (or organizations)
should be entrusted with the authority to act on behalf of a marine administration. This
appendix also includes points made in paragraph 22. for the marine administration to consider
when delegating its au onty.
22.12Summary of considerations and actions on delegation
The marine administration should:
ponsibilities of delegation of surveys and certifica-
recognize res
tion;
decide what duties should be delegated,
decide on which persons to non^f 73/^uties on
recognize and authorize to carry out
its behalf; . authorization in national legisla-
issue appointments or include auth
tion;
inform IMO of action taken.
23 TRAINING OF PERSONNEL

23.1 Consideration of training requirements for personnel

The need for training of personnel for the purpose of implementing MARPOL 73/78 will
depend on several factors and will need to be assessed by each State. This is a matter for
the marine administration of a State and its shipping industry to explore. The following
points should be considered’
- are the marine administration’s own staff sufficiently conversant with MARPOL
73/78?
- are the staff of the marine administration technically competent to fulfill their
obligations (see chapter 22)?
- do more appropriately qualified staff need to be recruited and trained?
- are the shipowners conversant with MARPOL 73/78?
- what training do ships’ masters and crew need?

23.2 Training possibilities

Having considered the above, the following possibilities for training might be considered:
- marine administration staff may visit other experienced marine administrations, as
•.«
envisaged under article 17 of MARPOL (see paragraph 3.17);
— the technical competence of marine administration staff should be brought up to
an adequate standard by training or recruitment or both;
“ national seminars or courses (see paragraph 23.4) should b organized for surveyors,
inspectors, administrators, lawye shipowners, masters and crew;
regional training schemes might be arranged through IMO, attendance at the
World Maritime University, especially for th capable of benefiting and
subsequently returning to resp positions in the marine administration and
shipping industry, the marine administration may include MARPOL 73/78
curriculum for seafarers’ courses and examinations for certi * !^ ers sk°uld ensure
that shipmasters are aware lre practical onboard procedures and that they are
 23 - Training о/personnel
23.3 Pollution prevention and associated safety requirements
As indicate before,«.is not possible to repute pollution prevention and safety.
Certain MARPOL 7a/78 requirements are governed by SOLAS requirements -
tor example» crude oil washing systems, inert gas systems and chemical tanker
operations. These all require specific trainin" and certification of personnel. °

23,4 National seminars and courses

The following points might be considered by those responsible for setting up

local training for marine administration personnel and ships' officers:

23.4.1 Administmtion personnel

A training programme is necessary to make administrative and inspection

personnel knowledgeable about the requirements of MARPOL 73/78 and also to
make surveyors competent in surveying ships for technical compliance with
MARPOL 73/78. Inspection personnel must also be made knowledgeable about
crude oil washing and the port inspection aspects of such activities.

It is probably necessity that most of this information be conveyed in the national

language. It seems appropriate however, to provide adequate information to local
instractors in the first instance; some kind of combined training activity, in which
experienced instructors initially work in parallel with local instructors, teaching
courses for administrative and inspection personnel, would appear to be
desirable. Such training should concentrate both on die content of MARPOL
73/78 in total and on practical surveying procedures.
The tuning for such training must be adjusted to suit fee planned comiity into
force of the requirements in the ratifying State, so feat sufficient nine is given for
thorough introduction to fee practical requirements. but also so that die content of
the instructions is not forgotten xx i c t “upleinentation is still being prepared.
When fee schedule for die ratification and application .. jAf
requirements has been decided on. such training . oux ' utsjje necessary wife initial
IMO assistance. It seems In
instructors to cover ffistructors to cover bodi theoretical and practic. asjx
dteniatiiv*
Of the need for a mixed instruction ^“meL к mw courses for administrative,
inspection and \ j^od of txvo co three Pessary to provide such training assistance
over a penod of two to curve months, possibly divided into several periods.
Part VI: ORGANIZATION

23.4.2 Ships’ officers

Ships’ officers need instructions about the requirements and regulations
MARPOL 73/78 as a whole, and instructions regarding the handling a н operation
of the categories of pollution-prevention equipment bein installed in ships in
particular. For experienced officers this additio 1 information could be given in
very short courses of two to three dav ’ duration. The training of instructors for
this activity should be arranged і combination with the instructions mentioned in
paragraph 17.3. ё 1П Should large tankers be brought under the flag of a ratifying
State, it will be necessary to give the responsible officers the necessary training
and for them to gain competence in the handling of crude oil washing, inert gas
and related systems. This involves also the accumulation of the stipulated on-
board experience in operations of large tankers. The responsibility for the
appropriate arrangements for such training must rest with the shipowner going
into that business. The necessary competence can be obtained by a combination
of using officers who have collected adequate experience elsewhere or foreign
officers who have served for some time in the State’s flag vessels and, where
necessary, participating in the special courses on crude oil washing and inert gas
systems that are being arranged by some nautical training institutes in developed
countries.
. • г ■ ’ 1'
______------------------------^Guidelines^odes and other IMO publications

24 GUIDELINES, CODES AND OTHER IMO

PUBLICATIONS RELEVANT TO MARPOL 73/78
A number of the regulations contained in the Annexes of MARPOL 73/78
require procedures, equipment, construction, etc., to be based on guidelines
developed by IMO or to comply with IMO codes. Some of these Sidelines have
been reproduced and included in the consolidated edition of MARPOL 73/78.
These are listed in chapter 2 and are not mentioned again here. Other guidelines
and codes exist as separate documents or publications or are being produced.
These are listed below. A complete and up-to-date listing of IMO publications
may be found on IMO’s website (www.imo.org).

24.1 Annex I
Oily-Water Separators and Monitoring Equipment (1987 edition);
Dedicated Clean Ballast Tanks (1982 edition);
Crude Oil Washing Systems (2000 edition);
Inert Gas Systems (1990 edition);
Guidelines for approval of alternative methods of design and
construction of oil tankers as called for in regulation 13F(5) (in
preparation);
Guidelines on the enhanced programme of surveys called for in
regulation 13G(3) (in preparation);
Guidelines for alternative tanker design under regulation 13G(7) (in
preparation);
Guidelines for the Development of Shipboard Oil Pollution
Emergency Plans (2001 edition);
Guidelines for Surveys under Annex I of MARPOL 73/78 ( edition).
24 2
’ паї Code for the Construction and
Dangerous Chemicals in Bulk (IBC Code
- Code for the Construction and Eimpment try
Chemicals in Bulk (BCH Code) ( WIRPOL 73/78 (1987
- Guidelines for Surveys under Annex 11 of MA edition); rr iriuids
Transported in Bulk
- Guidelines for the Provisional Assessment f q
(1997 edition). conjunction with the
These guidelines interpretation of regulation 3(4) of
 extension of the unified і Ф
Part VI: ORGANIZATION

Annex II of MARPOL 73/78, which nude it possible f0 administrations

to authorize manufacturers to carry out p rov/ sional assessments. The
guidelines also provide step-by-sten procedures for ascertaining the
carriage requirements of all liquids offered for bulk carriage.

243 Annex Ш
- International Maritime Dangerous Goods Code (1MDG Code) (most
recent edition).

24.4 Annex IV
- Recommendation on International Effluent Standards and Guidelines for
Performance Tests for Sewage Treatment Plants (1977 edition).

24.5 Reception facilities

- Comprehensive Manual on Port Reception Facilities (1999 edition);
— Guidelines for Ensuring the Adequacy of Port Waste Reception
Facilities
(2000 edition).

24.6 Control of ships and discharges

— Procedures for the Control of Ships and Discharges (1986 edition).

24.7 Protocol I
— Provisions Concerning the Reporting of Incidents Involving Harmfid
Substances under MARPOL 73/78 (1999 edition).

First published in 1986, this revised edition contains: ~ article 8 of

MARPOL 73/78;
~ resolution MEPC.21(22);
amendments to Protocol I of MARPOL 73/78;
resolution A.851(20) - General principles for ship rePor°,"?
systems and ship reporting requirements, including .
nes for reporting incidents involving dangerous g° armful
substances and/or marine pollutants;
a list of agencies or officials of Administrations responsible №
receiving and processing such reports.
publicatio
ns