GUIDELINES FOR INVESTIGATIONS AND INSPECTIONS CARRIED OUT
UNDER MARPOL ANNEX II
PART 1
INSPECTION OF CERTIFICATE (COF OR NLS CERTIFICATE), SHIP AND EQUIPMENT
1 Ships required to hold a Certificate
1.1 On boarding and after introducing themself to the master or responsible ship’s officer,
the port State control officer (PSCO) should examine the Certificate of Fitness (COF) or NLS
Certificate and Cargo Record Book (CRB). The CRB may be presented in an electronic format.
A declaration from the Administration should be viewed in order to accept this electronic record
book. If a declaration cannot be provided, a hard copy record book will need to be presented
for examination.
1.2 The Certificate includes information on the type of ship, the dates of surveys and a
list of the products which the ship is certified to carry.
1.3 As a preliminary check, the Certificate’s validity should be confirmed by verifying that
the Certificate is properly completed and signed and that required surveys have been
performed. In reviewing the Certificate, particular attention should be given to verifying that
only those noxious liquid substances which are listed on the Certificate are carried and that
these substances are in tanks approved for their carriage.
1.4 The CRB should be inspected to ensure that the records are up to date. The PSCO
should check whether the ship left the previous port(s) with residues of noxious liquid
substances on board which could not be discharged into the sea. The book could also have
relevant entries from the appropriate authorities in the previous ports. If the examination
reveals that the ship was permitted to sail from its last unloading port under certain conditions,
the PSCO should ascertain that such conditions have been or will be adhered to. If the PSCO
discovers an operational violation in this respect, the flag State should be informed by means
of a deficiency report.
1.5 If the Certificate is valid and the PSCO’s general impressions and visual observations
on board confirm a good standard of maintenance, the PSCO should, provided that the CRB
entries do not show any operational violations, confine the inspection to reported deficiencies,
if any.
1.6 If, however, the PSCO’s general impressions or observations on board show clear
grounds for believing that the condition of the ship, its equipment, or its cargo and slops
handling operations do not correspond substantially with the particulars of the Certificate, the
PSCO should proceed to a more detailed inspection:
.1 Initially this requires an examination of the ship’s approved P and A Manual.
.2 The more detailed inspection should include the cargo and pump-room areas
of the ship and should begin with forming a general impression of the layout
of the tanks, the cargoes carried, pumping and stripping conditions and
cargo.
.3 Next, a closer examination of the ship’s equipment as shown in the P and A
Manual may take place. This examination should also confirm that no
unapproved modifications have been made to the ship and its equipment.
.4 Should any doubt arise as to the maintenance or the condition of the ship or
its equipment, further examination and testing may be conducted as may be
necessary. In this respect reference is made to the Survey Guidelines under
the Harmonized System of Survey and Certification (HSSC), 2023
(resolution A.1186(33)), as may be amended.
1.7 The PSCO should bear in mind that a ship may be equipped over and above the
requirements of MARPOL Annex II. If such equipment is malfunctioning, the flag State should
be informed. This alone, however, should not cause a ship to be detained unless the
malfunction presents an unreasonable threat of harm to the marine environment.
2 Ships of non-Parties to the Convention
2.1 As this category of ship is not provided with a COF or NLS Certificate as required by
MARPOL Annex II, the PSCO should be satisfied with regard to the construction and
equipment standards relevant to the ship on the basis of the requirements set out in
MARPOL Annex II and the Standards for Procedures and Arrangements.
2.2 In all other respects, the PSCO should be guided by the procedures for ships referred
to in section 1 above (i.e. ships required to hold a Certificate).
2.3 If the ship has some form of certification other than the required Certificate, the PSCO
may take the form and content of this document into account in the evaluation of that ship.
Such a form of certification, however, is only of value to the PSCO if the ship has been provided
with a P and A Manual.
3 Control
In exercising the control functions, the PSCO should use professional judgement to determine
whether to detain the ship until any noted deficiencies are rectified or to allow it to sail with
certain deficiencies which do not pose an unreasonable threat of harm to the marine
environment. In doing this, the PSCO should be guided by the principle that the requirements
contained in MARPOL Annex II, in respect of construction and equipment and the operation of
ships, are essential for the protection of the marine environment and that departure from these
requirements could constitute an unreasonable threat of harm to the marine environment.
PART 2
CONTRAVENTION OF DISCHARGE PROVISIONS
1 With illegal discharges, past experience has shown that information furnished to the
flag State is often inadequate to enable the flag State to cause proceedings to be brought in
respect of the alleged violation of the discharge requirements. This appendix is intended to
identify information which will be needed by a flag State for the prosecution of violations of the
discharge provisions under MARPOL Annex II.
2 It is recommended that in preparing a port State report on deficiencies, where
contravention of the discharge requirements is involved, the authorities of a coastal or port
State should be guided by the itemized list of possible evidence as shown in part 3 of this
appendix. It should be borne in mind in this connection that:
.1 the report aims to provide the optimal collation of obtainable data; however,
even if all the information cannot be provided, as much information as
possible should be submitted;
.2 it is important for all the information included in the report to be supported by
facts which, when considered as a whole, would lead the port or coastal State
to believe a contravention has occurred; and
.3 the discharge may have been oil, in which case part 2 to appendix 3 of this
resolution applies (Guidelines for investigation and inspections carried out
under MARPOL Annex I).
3 In addition to the port State report on deficiencies, a report should be completed by a
port or coastal State, on the basis of the itemized list of possible evidence. It is important that
these reports are supplemented by documents such as:
.1 a statement by the observer of the pollution; in addition to the information
required under section 1 of part 3 of this appendix, the statement should
include considerations which have led the observer to conclude that none of
any other possible pollution sources is in fact the source;
.2 statements concerning the sampling procedures both of the slick and on
board; these include location where and time when samples were taken,
identity of person(s) taking the samples and receipts identifying the persons
having custody and receiving transfer of the samples;
.3 reports of analyses of samples taken of the slick and on board; the reports
should include the results of the analyses, a description of the method
employed, reference to or copies of scientific documentation attesting to the
accuracy and validity of the method employed and names of persons
performing the analyses and their experience;
.4 a statement by the PSCO on board together with the PSCO’s rank and
organization;
.5 statements by persons being questioned;
.6 statements by witnesses;
.7 photographs of the slick; and
.8 copies or printouts of relevant pages of the CRB, logbooks, discharge
recordings, etc.
4 All observations, photographs and documentation should be supported by a signed
verification of their authenticity. All certifications, authentications or verifications shall be
executed in accordance with the laws of the State which prepares them. All statements should
be signed and dated by the person making the statement and, if possible, by a witness to the
signing. The names of the persons signing statements should be printed in legible script above
or below the signature.
5 The report referred to in paragraphs 2 and 3 should be sent to the flag State. If the
coastal State observing the pollution and the port State carrying out the investigation on board
are not the same, the State carrying out the latter investigation should also send a copy of its
findings to the State observing the pollution and requesting the investigation.
PART 3
ITEMIZED LIST OF POSSIBLE EVIDENCE ON ALLEGED CONTRAVENTION
OF THE MARPOL ANNEX II DISCHARGE PROVISIONS
1 Action on sighting pollution
1.1 Particulars of ship or ships suspected of contravention
.1 Name of ship and IMO number
.2 Reasons for suspecting the ship
.3 Date and time (UTC) of observation or identification
.4 Position of ship
.5 Flag and port of registry
.6 Type, size (estimated tonnage) and other descriptive data
(e.g. superstructure colour and funnel mark)
.7 Draught condition (loaded or in ballast)
.8 Approximate course and speed
.9 Position of slick in relation to ship (e.g. astern, port, starboard)
.10 Part of the ship from which discharge was seen emanating
.11 Whether discharge ceased when ship was observed or contacted by radio
1.2 Particulars of slick
.1 Date and time (UTC) of observation if different from item 1.1.3
.2 Position of slick in longitude and latitude if different from item 1.1.4
.3 Approximate distance in nautical miles from the nearest land
.4 Depth of water according to sea chart
.5 Approximate overall dimension of slick (length, width and percentage thereof
covered)
.6 Physical description of slick (direction and form, e.g. continuous, in patches
or in windrows)
.7 Colour of slick
.8 Sky conditions (bright sunshine, overcast, etc.), lightfall and visibility
(kilometres) at the time of observation
.9 Sea state
.10 Direction and speed of surface wind
.11 Direction and speed of current
1.3 Identification of the observer(s)
.1 Name of observer
.2 Organization with which observer is affiliated (if any)
.3 Observer’s status within the organization
.4 Observation made from aircraft, ship, shore or otherwise
.5 Name or identity of ship or aircraft from which observation was made
.6 Specific location of ship, aircraft, place on shore or otherwise from which
observation was made
.7 Activity engaged in by observer when observation was made, e.g. patrol,
voyage, flight (enroute from … to …)
1.4 Method of observation and documentation
.1 Visual
.2 Conventional photographs
.3 Remote sensing records and/or remote sensing photographs
.4 Samples taken from slick
.5 Any other form of observation (specify)
Note: A photograph of the discharge should preferably be in colour. The best
results may be obtained with the following three photographs:
– details of the slick taken almost vertically down from an altitude of less
than 300 metres with the sun behind the photographer;
– an overall view of the ship and slick showing a substance emanating
from the particular ship; and
– details of the ship for the purposes of identification.
1.5 Other information if radio contact can be established
.1 Master informed of pollution
.2 Explanation of master
.3 Ship’s last port of call
.4 Ship’s next port of call
.5 Name of ship’s master and owner
.6 Ship’s call sign
2 Investigation on board
2.1 Inspection of the Certificate (COF or NLS Certificate)
.1 Name of ship and IMO number
.2 Distinctive number or letters
.3 Port of registry
.4 Type of ship
.5 Date and place of issue
.6 Date and place of endorsement
.7 List of Annex II substances the ship is certified to carry
.8 Limitation as to tanks in which these substances may be carried
2.2 Inspection of P and A Manual
.1 Ship equipped with an efficient stripping system
.2 Residue quantities established at survey
2.3 Inspection of CRB
Copy or print out sufficient pages of the CRB to cover a full
loading/unloading/ballasting and tank cleaning cycle of the ship. Also copy the tank
diagram.
2.4 Inspection of logbook
.1 Last port, date of departure, draught forward and aft
.2 Current port, date of arrival, draught forward and aft
.3 Ship’s position at or near the time the incident was reported
.4 Spot check if times entered in the CRB in respect of discharges correspond
with sufficient distance from the nearest land, the required ship’s speed and
with sufficient water depth
2.5 Inspection of other documentation on board
Other documentation relevant for evidence (if necessary, make copies) such as:
– cargo documents of cargo presently or recently carried, together with relevant
information on required unloading temperature, viscosity and/or melting point;
– records of temperature of substances during unloading; and
– records of monitoring equipment if fitted.
2.6 Inspection of ship
.1 Ship’s equipment in accordance with the P and A Manual
.2 Samples taken; state location on board
.3 Sources of considerable leakage
.4 Cargo residues on surface of segregated or dedicated clean ballast
.5 Condition of pump-room bilges
.6 Condition of monitoring system
.7 Slop tank contents (estimate quantity of water and residues)
2.7 Statements of persons concerned (if the CRB has not been properly completed,
information on the following questions may be pertinent)
.1 Was there a discharge (accidental or intentional) at the time indicated on the
incident report?
.2 Which tanks are going to be loaded in the port?
.3 Which tanks needed cleaning at sea? Had the tanks been prewashed?
.4 When and where were these cleaned?
.5 Residues of which substances were involved?
.6 What was done with the tank washing slops?
.7 Was the slop tank, or cargo tank used as a slop tank, discharged at sea?
.8 When and where was the discharge effected?
.9 What are the contents of the slop tank or cargo tank used as slop tank?
.10 Which tanks contained the dirty ballast during the ballast voyage (if ship
arrived in ballast)?
.11 Which tanks contained the clean ballast during the ballast voyage (if ship
arrived in ballast)?
.12 Details of the present voyage of the ship (previous ports, next ports, trade)
.13 Difficulties experienced with discharge to shore reception facilities
.14 Difficulties experienced with efficient stripping operations
.15 Which tanks are clean or dirty on arrival?
.16 Repairs carried out or envisaged in cargo tanks
Miscellaneous information
.17 Comments in respect of condition of ship’s equipment
.18 Comments in respect of pollution report
.19 Other comments
3 Investigation ashore
3.1 Analyses of samples
Indicate method and results of the samples’ analyses.
3.2 Further information
Additional information on the ship, obtained from terminal staff, tank cleaning contractors or shore reception facilities, may be pertinent.
Note: Any information under this heading is, if practicable, to be corroborated by
documentation such as signed statements, invoices, receipts.
3.3 Information from previous unloading port terminal
.1 Confirmation that the ship was unloaded, stripped or prewashed in
accordance with its P and A Manual
.2 The nature of difficulties, if any
.3 Restrictions by authorities under which the ship was permitted to sail
.4 Restrictions in respect of shore reception facilities
4 Information not covered by the foregoing
5 Conclusion
.1 Summing up of the investigator’s conclusions
.2 Indication of applicable provisions of MARPOL Annex II which the ship is
suspected of having contravened
.3 Did the results of the investigation warrant the filing of a deficiency report?
PART 4
PROCEDURES FOR INSPECTION OF UNLOADING, STRIPPING AND PREWASHING
OPERATIONS (MAINLY IN UNLOADING PORTS)
1 Introduction
The PSCO or the surveyor authorized by the Administration exercising control in accordance
with regulation 16 of MARPOL Annex II should be thoroughly acquainted with MARPOL
Annex II and the custom of the port as of relevance to cargo handling, tank washing, cleaning
berths, prohibition of lighters alongside, etc.
2 Documentation
The documentation required for the inspection referred to in this appendix consists of:
.1 COF or NLS Certificate;
.2 cargo plan and shipping document;
.3 P and A Manual; and
.4 CRB.
3 Information by ship’s staff
3.1 Of relevance to the PSCO or the surveyor appointed or authorized by the Administration is the following:
.1 the intended loading and unloading programme of the ship;
.2 whether unloading and stripping operations can be effected in accordance
with the P and A Manual and if not the reason why it cannot be done;
.3 the constraints, if any, under which the efficient stripping system operates
(i.e. back pressure, ambient air temperature, malfunctioning, etc.); and
.4 whether the ship requests an exemption from the prewashing and the
discharge of residues in the unloading port.
3.2 When tank washing is required without the use of water the PSCO or the surveyor
appointed or authorized by the Administration is to be informed about the tank washing
procedure and disposal of residues.
3.3 When the CRB is not up to date, any information on prewash and residue disposal
operations outstanding should be supplied.
4 Information from terminal staff
Terminal staff should supply information on limitations imposed upon the ship in respect of
back pressure and/or reception facilities.
5 Control
5.1 On boarding and introduction to the master or responsible ship officers, the PSCO or
the surveyor appointed or authorized by the Administration should examine the necessary
documentation.
5.2 The documentation may be used to establish the following:
.1 noxious liquid substances to be unloaded, their categories and stowage
(cargo plan, P and A Manual);
.2 details of efficient stripping system, if fitted (P and A Manual);
.3 tanks which require prewashing with disposal of tank washings to reception
facilities (shipping document and cargo temperature);
.4 tanks which require prewashing with disposal of tank washings either to
reception facilities or into the sea (P and A Manual, shipping document and
cargo temperature);
.5 prewash operations and/or residue disposal operations outstanding (CRB);
and
.6 tanks which may not be washed with water owing to the nature of substances
involved (P and A Manual).
5.3 In respect of the prewash operations referred to under paragraph 5.2, the following
information is of relevance (P and A Manual):
.1 pressure required for tank washing machines;
.2 duration of one cycle of the tank washing machine and quantity of water
used;
.3 washing programmes for the substances involved;
.4 required temperature of washing water; and
.5 special procedures.
5.4 The PSCO or the surveyor authorized by the Administration, in accordance with
regulation 16 of MARPOL Annex II, should ascertain that unloading, stripping and/or prewash
operations are carried out in conformity with the information obtained in accordance with
paragraph 2 (Documentation) of this part. If this cannot be achieved, alternative measures
should be taken to ensure that the ship does not proceed to sea with more than the quantities
of residue specified in regulation 12 of MARPOL Annex II, as applicable. If the residue
quantities cannot be reduced by alternative measures the PSCO or the surveyor appointed or
authorized by the Administration should inform the port State Administration.
5.5 Care should be taken to ensure that cargo hoses and piping systems of the terminal
are not drained back to the ship.
5.6 If a ship is exempted from certain pumping efficiency requirements under
regulation 4.4 of MARPOL Annex II or requests an exemption from certain stripping or
prewashing procedures under regulation 13.4 of MARPOL Annex II, the conditions for such
exemption set out in the said regulations should be observed. These concern:
.1 regulations 4.2 and 4.3: the ship is constructed before 1 July 1986 and is
exempted from the requirement for reducing its residue quantities to
specified limits of regulation 12 (i.e. category X or Y substances 300 litres
and category Z substances 900 litres); this is subject to the conditions of
regulation 4.3 that whenever a cargo tank is to be washed or ballasted, a
prewash is required with disposal of prewash slops to shore reception
facilities; the COF or NLS Certificate should have been endorsed to the effect
that the ship is solely engaged in restricted voyages;
.2 regulation 4.4: the ship is never required to ballast its cargo tanks and tank
washing is only required for repair or dry-docking; the COF or NLS Certificate
should indicate the particulars of the exemption; each cargo tank should be
certified for the carriage of only one named substance;
.3 regulation 13.4.1: cargo tanks will not be washed or ballasted prior to the
next loading;
.4 regulation 13.4.2: cargo tanks will be washed and prewash slops will be
discharged to reception facilities in another port; it should be confirmed in
writing that an adequate reception facility is available at that port for such
purpose; and
.5 regulation 13.4.3: the cargo residues can be removed by ventilation.
5.7 The PSCO or the surveyor appointed or authorized by the Administration must
endorse the CRB under section J whenever an exemption under regulation 13.4 referred to in
paragraph 5.6 above has been granted, or whenever a tank having unloaded category X
substances has been prewashed in accordance with the P and A Manual.
5.8 Alternatively, for category X substances, regulation 13.6.1.1 of MARPOL Annex II,
residual concentration should be measured by the procedures which each port State
authorizes. In this case the PSCO or the surveyor authorized by the Administration must
endorse in the CRB under section K whenever the required residual concentration has been
achieved.
5.9 In addition to paragraph 5.7 above, the PSCO or the surveyor authorized by the
Administration shall endorse the CRB whenever the unloading, stripping or prewash of
category Y and Z substances, in accordance with the P and A Manual, has actually been
witnessed.
5.10 With reference to endorsements 5.7, 8, 9 if the ship has implemented an electronic
record book, the shipowner may request these endorsements using a stand-alone form or
request of a copy of the surveyor’s report to accompany the electronic record book entry.
EXAMPLE FORM OF A CARGO RECORD BOOK ENDORSEMENT
Cargo Record Book Endorsement
(Official Seal) (State)
Issued under the authority of the Government of:
_______________________
(full designation of the country)
by ______________________________
(Organization, company, government agency authorized)
| Name of Ship: | Distinctive Number or Letters: | Port of Registry: |
| Gross Tonnage: | IMO Number:1 | |
| Port: | ||
| Tank(s): | Substance(s): | Category(ies): |
| Yes | No | |
| Tank(s), pump(s) and piping system(s) emptied? | ||
| Prewash carried out in accordance with the PA Manual? | ||
| Tank washings resulting from prewash been discharged ashore and is the tank empty? | ||
| Exemption granted from mandatory prewash? | ||
| Reasons for exemption: _______________________________________________________ |
||
THIS IS TO ENDORSE:
That, in accordance with regulation 16 of MARPOL Annex II, the entries into the Cargo Record
Book according to regulation 13.6 of MARPOL Annex II have been made and operations have
been carried out in accordance with the Procedures and Arrangements Manual.
_________________ _________________________________________________
(Date) (Name and Signature of authorized surveyor)
(Seal or stamp of the issuing authority, as appropriate)
1 Refer to IMO ship identification number scheme (resolution A.1117(30)).