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International Convention for the Prevention of Pollution from Ships, 1973 International Convention for the Prevention of Pollution from Ships, 1973 THE PARTIES TO THE CONVENTION, BEING CONSCIOUS of the need to preserve the human environment in general and the marine environment in particular, RECOGNIZING that deliberate, negligent or accidental release of oil and other harmful substances from ships constitutes a serious source of pollution, RECOGNIZING ALSO the importance of the International Convention for the Prevention of Pollution of the Sea by Oil, 1954, as being the first multilateral instrument to be concluded with the prime objective of protecting the environment, and appreciating the significant contribution which that Convention has made in preserving the seas and coastal environment from pollution, DESIRING to achieve the complete elimination of intentional pollution of the marine environment by oil and other harmful substances and the minimization of accidental discharge of such substances, CONSIDERING that this object may best be achieved by establishing rules not limited to oil pollution having a universal purport, HAVE AGREED as follows: Article 1 General obligations under the Convention (1) The Parties to the Convention 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. (2) Unless expressly provided otherwise, a reference to the present Convention constitutes at the same time a reference to its Protocols and to the Annexes. 3 MARPOL 73 Article 2 Definitions For the purposes of the present Convention, unless expressly provided otherwise: (1) Regulation means the regulations contained in the Annexes to the present Convention. (2) Harmful substance means any substance 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. (3) (a) Discharge, in relation to harmful substances or effluents contain- ing such substances, means any release howsoever caused from a ship and includes any escape, disposal, spilling, leaking, pumping, emitting or emptying; (b) Discharge does not include: (i) 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 (ii) release of harmful substances directly arising from the exploration, exploitation and associated offshore proces- sing of sea-bed mineral resources; or (iii) release of harmful substances for purposes of legitimate scientific research into pollution abatement or control. (4) Ship means a vessel of any type whatsoever operating in the marine environment and includes hydrofoil boats, air-cushion vehicles, submersibles, floating craft and fixed or floating platforms. (5) Administration means the Government of the State under whose authority the ship is operating. With respect to a ship entitled to fly a 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 sovereign rights for the purposes of exploration and exploitation of their natural resources, the Administration is the Government of the coastal State concerned. (6) Incident means an event involving the actual or probable discharge into the sea of a harmful substance, or effluents containing such a substance. 4 Articles 2, 3, 4 (7) Organization means the Inter-Governmental Maritime Consultative Organization.* Article 3 Application (1) The present Convention shall apply to: (a) ships entitled to fly the flag of a Party to the Convention; and (b) ships not entitled to fly the flag of a Party but which operate under the authority of a Party. (2) Nothing in the present article shall be construed as derogating from or extending the sovereign rights of the Parties under international law over the sea-bed and subsoil thereof adjacent to their coasts for the purposes of exploration and exploitation of their natural resources. (3) The present Convention shall not apply to any warship, naval auxiliary or other ship owned or operated by a State and used, for the time being, only on government non-commercial service. However, each Party shall ensure by the adoption of appropriate measures not impairing the operations or operational capabilities of such ships owned or operated by it, that such ships act in a manner consistent, so far as is reasonable and practicable, with the present Convention. Article 4 Violation (1) Any violation of the requirements of the present Convention shall be prohibited and sanctions shall be established therefor under the law of the Administration of the ship concerned wherever the violation occurs. If the Administration is informed of such a violation and is satisfied that sufficient evidence is available to enable proceedings to be brought in respect of the alleged violation, it shall cause such proceedings to be taken as soon as possible, in accordance with its law. (2) Any violation of the requirements of the present Convention within the jurisdiction of any Party to the Convention shall be prohibited and sanctions shall be established therefor under the law of that Party. Whenever such a violation occurs, that Party shall either: (a) cause proceedings to be taken in accordance with its law; or * The name of the Organization was changed to ``International Maritime Organization'' by virtue of amendments to the Organization's Convention which entered into force on 22 May 1982. 5 MARPOL 73 (b) furnish to the Administration of the ship such information and evidence as may be in its possession that a violation has occurred. (3) Where information or evidence with respect to any violation of the present Convention by a ship is furnished to the Administration of that ship, the Administration shall promptly inform the Party which has furnished the information or evidence, and the Organization, of the action taken. (4) The penalties specified under the law of a Party pursuant to the present article shall be adequate in severity to discourage violations of the present Convention and shall be equally severe irrespective of where the violations occur. Article 5 Certificates and special rules on inspection of ships (1) Subject to the provisions of paragraph (2) of the present article a certificate issued under the authority of a Party to the Convention in accordance with the provisions of the regulations shall be accepted by the other Parties and regarded for all purposes covered by the present Convention as having the same validity as a certificate issued by them. (2) A ship required to hold a certificate in accordance with the provisions of the regulations is subject, while in the ports or offshore terminals under the jurisdiction of a Party, to inspection by officers duly authorized by that Party. Any such inspection shall be limited to verifying that there is on board a valid certificate, unless there are clear grounds for believing that the condition of the ship or its equipment does not correspond substantially with the particulars of that certificate. In that case, or if the ship does not carry a valid certificate, the Party carrying out the inspection shall take such steps as will ensure that the ship shall not sail until it can proceed to sea without presenting an unreasonable threat of harm to the marine environment. That Party may, however, grant such a ship permission to leave the port or offshore terminal for the purpose of proceeding to the nearest appropriate repair yard available. (3) If a Party denies a foreign ship entry to the ports or offshore terminals under its jurisdiction or takes any action against such a ship for the reason that the ship does not comply with the provisions of the present Convention, the Party shall immediately inform the consul or diplomatic representative of the Party whose flag the ship is entitled to fly, or if this is not possible, the Administration of the ship concerned. Before denying entry or taking such action the Party may request consultation with the Administration of the ship concerned. 6 Articles 5, 6 Information shall also be given to the Administration when a ship does not carry a valid certificate in accordance with the provisions of the regulations. (4) With respect to the ship of non-Parties to the Convention, Parties shall apply the requirements of the present Convention as may be necessary to ensure that no more favourable treatment is given to such ships. Article 6 Detection of violations and enforcement of the Convention (1) Parties to the Convention shall co-operate in the detection of violations and the enforcement of the provisions of the present Convention, using all appropriate and practicable measures of detection and environmental monitoring, adequate procedures for reporting and accumulation of evidence. (2) A ship to which the present Convention applies may, in any port or offshore terminal of a Party, be subject to inspection by officers appointed or authorized by that Party for the purpose of verifying whether the ship has discharged any harmful substances in violation of the provisions of the regulations. If an inspection indicates a violation of the Convention, a report shall be forwarded to the Administration for any appropriate action. (3) Any Party shall furnish to the Administration evidence, if any, that the ship has discharged harmful substances or effluents containing such substances in violation of the provisions of the regulations. If it is practicable to do so, the competent authority of the former Party shall notify the master of the ship of the alleged violation. (4) Upon receiving such evidence, the Administration so informed shall investigate the matter, and may request the other Party to furnish further or better evidence of the alleged contravention. If the Administration is satisfied that sufficient evidence is available to enable proceedings to be brought in respect of the alleged violation, it shall cause such proceedings to be taken in accordance with its law as soon as possible. The Administration shall promptly inform the Party which has reported the alleged violation, as well as the Organization, of the action taken. (5) A Party may also inspect a ship to which the present Convention applies when it enters the ports or offshore terminals under its jurisdiction, if a request for an investigation is received from any Party together with sufficient evidence that the ship has discharged harmful substances or effluents containing such substances in any place. The 7 MARPOL 73 report of such investigation shall be sent to the Party requesting it and to the Administration so that the appropriate action may be taken under the present Convention. Article 7 Undue delay to ships (1) All possible efforts shall be made to avoid a ship being unduly detained or delayed under articles 4, 5 or 6 of the present Convention. (2) When a ship is unduly detained or delayed under articles 4, 5 or 6 of the present Convention, it shall be entitled to compensation for any loss or damage suffered. Article 8 Reports on incidents involving harmful substances (1) A report of an incident shall be made without delay to the fullest extent possible in accordance with the provisions of Protocol I to the present Convention. (2) Each Party to the Convention shall: (a) make all arrangements necessary for an appropriate officer or agency to receive and process all reports on incidents; and (b) notify the Organization with complete details of such arrange- ments for circulation to other Parties and Member States of the Organization. (3) Whenever a Party receives a report under the provisions of the present article, that Party shall relay the report without delay to: (a) the Administration of the ship involved; and (b) any other State which may be affected. (4) Each Party to the Convention undertakes to issue instructions to its maritime inspection vessels and aircraft and to other appropriate services, to report to its authorities any incident referred to in Protocol I to the present Convention. That Party shall, if it considers it appropriate, report accordingly to the Organization and to any other Party concerned. Article 9 Other treaties and interpretation (1) Upon its entry into force, the present Convention supersedes the International Convention for the Prevention of Pollution of the Sea by Oil, 1954, as amended, as between Parties to that Convention. 8 Articles 7, 8, 9, 10, 11 (2) Nothing in the present Convention shall prejudice the codification and development of the law of the sea by the United Nations Conference on the Law of the Sea convened pursuant to resolution 2750 C(XXV) of the General Assembly of the United Nations nor the present or future claims and legal views of any State concerning the law of the sea and the nature and extent of coastal and flag State jurisdiction. (3) The term ``jurisdiction'' in the present Convention shall be construed in the light of international law in force at the time of application or interpretation of the present Convention. Article 10 Settlement of disputes Any dispute between two or more Parties to the Convention concerning the interpretation or application of the present Convention shall, if settlement by negotiation between the Parties involved has not been possible, and if these Parties do not otherwise agree, be submitted upon request of any of them to arbitration as set out in Protocol II to the present Convention. Article 11 Communication of information (1) The Parties to the Convention undertake to communicate to the Organization: (a) the text of laws, orders, decrees and regulations and other instruments which have been promulgated on the various matters within the scope of the present Convention; (b) a list of non-governmental agencies which are authorized to act on their behalf in matters relating to the design, construction and equipment of ships carrying harmful substances in accordance with the provisions of the regulations;* (c) a sufficient number of specimens of their certificates issued under the provisions of the regulations; (d) a list of reception facilities including their location, capacity and available facilities and other characteristics; (e) official reports or summaries of official reports in so far as they show the results of the application of the present Convention; and * The text of this subparagraph is replaced by that contained in article III of the 1978 Protocol. 9 MARPOL 73 (f) an annual statistical report, in a form standardized by the Organization, of penalties actually imposed for infringement of the present Convention. (2) The Organization shall notify Parties of the receipt of any communications under the present article and circulate to all Parties any information communicated to it under subparagraphs (1)(b) to (f) of the present article. Article 12 Casualties to ships (1) Each Administration undertakes to conduct an investigation of any casualty occurring to any of its ships subject to the provisions of the regulations if such casualty has produced a major deleterious effect upon the marine environment. (2) Each Party to the Convention undertakes to supply the Organization with information concerning the findings of such investigation, when it judges that such information may assist in determining what changes in the present Convention might be desirable. Article 13 Signature, ratification, acceptance, approval and accession (1) The present Convention shall remain open for signature at the Headquarters of the Organization from 15 January 1974 until 31 December 1974 and shall thereafter remain open for accession. States may become Parties to the present Convention by: (a) signature without reservation as to ratification, acceptance or approval; or (b) signature subject to ratification, acceptance or approval, followed by ratification, acceptance or approval; or (c) accession. (2) Ratification, acceptance, approval or accession shall be effected by the deposit of an instrument to that effect with the Secretary-General of the Organization. (3) The Secretary-General of the Organization shall inform all States which have signed the present Convention or acceded to it of any signature or of the deposit of any new instrument of ratification, acceptance, approval or accession and the date of its deposit. 10 Articles 12, 13, 14, 15 Article 14 Optional annexes (1) A State may at the time of signing, ratifying, accepting, approving or acceding to the present Convention declare that it does not accept any one or all of Annexes III, IV and V (hereinafter referred to as ``Optional Annexes'') of the present Convention. Subject to the above, Parties to the Convention shall be bound by any Annex in its entirety. (2) A State which has declared that it is not bound by an Optional Annex may at any time accept such Annex by depositing with the Organization an instrument of the kind referred to in article 13(2). (3) A State which makes a declaration under paragraph (1) of the present article in respect of an Optional Annex and which has not subsequently accepted that Annex in accordance with paragraph (2) of the present article shall not be under any obligation nor entitled to claim any privileges under the present Convention in respect of matters related to such Annex and all references to Parties in the present Convention shall not include that State in so far as matters related to such Annex are concerned. (4) The Organization shall inform the States which have signed or acceded to the present Convention of any declaration under the present article as well as the receipt of any instrument deposited in accordance with the provisions of paragraph (2) of the present article. Article 15 Entry in force (1) The present Convention shall enter into force 12 months after the date on which not less than 15 States, the combined merchant fleets of which constitute not less than 50 per cent of the gross tonnage of the world's merchant shipping, have become parties to it in accordance with article 13. (2) An Optional Annex shall enter into force 12 months after the date on which the conditions stipulated in paragraph (1) of the present article have been satisfied in relation to that Annex. (3) The Organization shall inform the States which have signed the present Convention or acceded to it of the date on which it enters into force and of the date on which an Optional Annex enters into force in accordance with paragraph (2) of the present article. (4) For States which have deposited an instrument of ratification, acceptance, approval or accession in respect of the present Convention 11 MARPOL 73 or any Optional Annex after the requirements for entry into force thereof have been met but prior to the date of entry into force, the ratification, acceptance, approval or accession shall take effect on the date of entry into force of the Convention or such Annex or three months after the date of deposit of the instrument whichever is the later date. (5) For States which have deposited an instrument of ratification, acceptance, approval or accession after the date on which the Convention or an Optional Annex entered into force, the Conven- tion or the Optional Annex shall become effective three months after the date of deposit of the instrument. (6) After the date on which all the conditions required under article 16 to bring an amendment to the present Convention or an Optional Annex into force have been fulfilled, any instrument of ratification, acceptance, approval or accession deposited shall apply to the Convention or Annex as amended. Article 16 Amendments (1) The present Convention may be amended by any of the procedures specified in the following paragraphs. (2) Amendments after consideration by the Organization: (a) any amendment proposed by a Party to the Convention shall be submitted to the Organization and circulated by its Secretary- General to all Members of the Organization and all Parties at least six months prior to its consideration; (b) any amendment proposed and circulated as above shall be submitted to an appropriate body by the Organization for consideration; (c) Parties to the Convention, whether or not Members of the Organization, shall be entitled to participate in the proceedings of the appropriate body; (d) amendments shall be adopted by a two-thirds majority of only the Parties to the Convention present and voting; (e) if adopted in accordance with subparagraph (d) above, amend- ments shall be communicated by the Secretary-General of the Organization to all the Parties to the Convention for acceptance; (f) an amendment shall be deemed to have been accepted in the following circumstances: 12 Article 16 (i) an amendment to an article of the Convention shall be deemed to have been accepted on the date on which it is accepted by two thirds of the Parties, the combined merchant fleets of which constitute not less than 50 per cent of the gross tonnage of the world's merchant fleet; (ii) an amendment to an Annex to the Convention shall be deemed to have been accepted in accordance with the procedure specified in subparagraph (f)(iii) unless the appropriate body, at the time of its adoption, determines that the amendment shall be deemed to have been accepted on the date on which it is accepted by two thirds of the Parties, the combined merchant fleets of which constitute not less than 50 per cent of the gross tonnage of the world's merchant fleet. Nevertheless, at any time before the entry into force of an amendment to an Annex to the Convention, a Party may notify the Secretary-General of the Organization that its express approval will be necessary before the amendment enters into force for it. The latter shall bring such notification and the date of its receipt to the notice of Parties; (iii) an amendment to an appendix to an Annex to the Convention shall be deemed to have been accepted at the end of a period to be determined by the appropriate body at the time of its adoption, which period shall be not less than ten months, unless within that period an objection is communicated to the Organization by not less than one third of the Parties or by the Parties the combined merchant fleets of which constitute not less than 50 per cent of the gross tonnage of the world's merchant fleet whichever condition is fulfilled; (iv) an amendment to Protocol I to the Convention shall be subject to the same procedures as for the amendments to the Annexes to the Convention, as provided for in subparagraphs (f)(ii) or (f)(iii) above; (v) an amendment to Protocol II to the Convention shall be subject to the same procedures as for the amendments to an article of the Convention, as provided for in subparagraph (f)(i) above; (g) the amendment shall enter into force under the following conditions: (i) in the case of an amendment to an article of the Convention, to Protocol II, or to Protocol I or to an Annex to the Convention not under the procedure specified in subparagraph (f)(iii), the amendment accepted 13 MARPOL 73 in conformity with the foregoing provisions shall enter into force six months after the date of its acceptance with respect to the Parties which have declared that they have accepted it; (ii) in the case of an amendment to Protocol I, to an appendix to an Annex or to an Annex to the Convention under the procedure specified in subparagraph (f)(iii), the amend- ment deemed to have been accepted in accordance with the foregoing conditions shall enter into force six months after its acceptance for all the Parties with the exception of those which, before that date, have made a declaration that they do not accept it or a declaration under subparagraph (f)(ii), that their express approval is necessary. (3) Amendment by a Conference: (a) Upon the request of a Party, concurred in by at least one third of the Parties, the Organization shall convene a Conference of Parties to the Convention to consider amendments to the present Convention. (b) Every amendment adopted by such a Conference by a two- thirds majority of those present and voting of the Parties shall be communicated by the Secretary-General of the Organization to all Contracting Parties for their acceptance. (c) Unless the Conference decides otherwise, the amendment shall be deemed to have been accepted and to have entered into force in accordance with the procedures specified for that purpose in paragraph (2)(f) and (g) above. (4) (a) In the case of an amendment to an Optional Annex, a reference in the present article to a ``Party to the Convention'' shall be deemed to mean a reference to a Party bound by that Annex. (b) Any Party which has declined to accept an amendment to an Annex shall be treated as a non-Party only for the purpose of application of that amendment. (5) The adoption and entry into force of a new annex shall be subject to the same procedures as for the adoption and entry into force of an amendment to an article of the Convention. (6) Unless expressly provided otherwise, any amendment to the present Convention made under this article, which relates to the structure of a ship, shall apply only to ships for which the building contract is placed, or in the absence of a building contract, the keel of which is laid, on or after the date on which the amendment comes into force. 14 Articles 17, 18 (7) Any amendment to a Protocol or to an Annex shall relate to the substance of that Protocol or Annex and shall be consistent with the articles of the present Convention. (8) The Secretary-General of the Organization shall inform all Parties of any amendments which enter into force under the present article, together with the date on which each such amendment enters into force. (9) Any declaration of acceptance or of objection to an amendment under the present article shall be notified in writing to the Secretary-General of the Organization. The latter shall bring such notification and the date of its receipt to the notice of the Parties to the Convention. Article 17 Promotion of technical co-operation The Parties to the Convention shall promote, in consultation with the Organization and other international bodies, with assistance and co- ordination by the Executive Director of the United Nations Environment Programme, support for those Parties which request technical assistance for: (a) the training of scientific and technical personnel; (b) the supply of necessary equipment and facilities for reception and monitoring; (c) the facilitation of other measures and arrangements to prevent or mitigate pollution of the marine environment by ships; and (d) the encouragement of research; preferably within the countries concerned, so furthering the aims and purposes of the present Convention. Article 18 Denunciation (1) The present Convention or any Optional Annex may be denounced by any Parties to the Convention at any time after the expiry of five years from the date on which the Convention or such Annex enters into force for that Party. (2) Denunciation shall be effected by notification in writing to the Secretary-General of the Organization who shall inform all the other Parties of any such notification received and of the date of its receipt as well as the date on which such denunciation takes effect. (3) A denunciation shall take effect 12 months after receipt of the notification of denunciation by the Secretary-General of the 15 MARPOL 73 Organization or after the expiry of any other longer period which may be indicated in the notification. Article 19 Deposit and registration (1) The present Convention shall be deposited with the Secretary- General of the Organization who shall transmit certified true copies thereof to all States which have signed the present Convention or acceded to it. (2) As soon as the present Convention enters into force, the text shall be transmitted by the Secretary-General of the Organization to the Secretary-General of the United Nations for registration and publication, in accordance with Article 102 of the Charter of the United Nations. Article 20 Languages The present Convention is established in a single copy in the English, French, Russian and Spanish languages, each text being equally authentic. Official translations in the Arabic, German, Italian and Japanese languages shall be prepared and deposited with the signed original. IN WITNESS WHEREOF the undersigned* being duly authorized by their respective Governments for that purpose have signed the present Convention. DONE AT LONDON this second day of November, one thousand nine hundred and seventy-three. * Signatures omitted. 16 Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973 Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973 THE PARTIES TO THE PRESENT PROTOCOL, RECOGNIZING the significant contribution which can be made by the International Convention for the Prevention of Pollution from Ships, 1973, to the protection of the marine environment from pollution from ships, RECOGNIZING ALSO the need to improve further the prevention and control of marine pollution from ships, particularly oil tankers, RECOGNIZING FURTHER the need for implementing the Regulations for the Prevention of Pollution by Oil contained in Annex I of that Convention as early and as widely as possible, ACKNOWLEDGING HOWEVER the need to defer the application of Annex II of that Convention until certain technical problems have been satisfactorily resolved, CONSIDERING that these objectives may best be achieved by the conclusion of a Protocol relating to the International Convention for the Prevention of Pollution from Ships, 1973, HAVE AGREED as follows: Article I General obligations 1 The Parties to the present Protocol undertake to give effect to the provisions of: (a) the present Protocol and the Annex hereto which shall constitute an integral part of the present Protocol; and (b) the International Convention for the Prevention of Pollution from Ships, 1973 (hereinafter referred to as ``the Convention''), subject to the modifications and additions set out in the present Protocol. 2 The provisions of the Convention and the present Protocol shall be read and interpreted together as one single instrument. 19 Protocol of 1978 relating to MARPOL 73 3 Every reference to the present Protocol constitutes at the same time a reference to the Annex hereto. Article II Implementation of Annex II of the Convention 1 Notwithstanding the provisions of article 14(1) of the Convention, the Parties to the present Protocol agree that they shall not be bound by the provisions of Annex II of the Convention for a period of three years from the date of entry into force of the present Protocol or for such longer period as may be decided by a two-thirds majority of the Parties to the present Protocol in the Marine Environment Protection Committee (hereinafter referred to as ``the Committee'') of the Inter- Governmental Maritime Consultative Organization (hereinafter referred to as ``the Organization'').* 2 During the period specified in paragraph 1 of this article, the Parties to the present Protocol shall not be under any obligations nor entitled to claim any privileges under the Convention in respect of matters relating to Annex II of the Convention and all reference to Parties in the Convention shall not include the Parties to the present Protocol in so far as matters relating to that Annex are concerned. Article III Communication of information The text of article 11(1)(b) of the Convention is replaced by the following: ``a list of nominated surveyors or recognized organizations which are authorized to act on their behalf in the administration of matters relating to the design, construction, equipment and operation of ships carrying harmful substances in accordance with the provisions of the regulations for circulation to the Parties for information of their officers. The Administration shall therefore notify the Organization of the specific responsibilities and conditions of the authority delegated to nominated surveyors or recognized organizations.'' * The name of the Organization was changed to ``International Maritime Organization'' by virtue of amendments to the Organization's Convention which entered into force on 22 May 1982. 20 Articles II, III, IV, V, VI Article IV Signature, ratification, acceptance, approval and accession 1 The present Protocol shall be open for signature at the Headquarters of the Organization from 1 June 1978 to 31 May 1979 and shall thereafter remain open for accession. States may become Parties to the present Protocol by: (a) signature without reservation as to ratification, acceptance or approval; or (b) signature, subject to ratification, acceptance or approval, followed by ratification, acceptance or approval; or (c) accession. 2 Ratification, acceptance, approval or accession shall be effected by the deposit of an instrument to that effect with the Secretary-General of the Organization. Article V Entry into force 1 The present Protocol shall enter into force 12 months after the date on which not less than 15 States, the combined merchant fleets of which constitute not less than 50 per cent of the gross tonnage of the world's merchant shipping, have become Parties to it in accordance with article IV of the present Protocol. 2 Any instrument of ratification, acceptance, approval or accession deposited after the date on which the present Protocol enters into force shall take effect three months after the date of deposit. 3 After the date on which an amendment to the present Protocol is deemed to have been accepted in accordance with article 16 of the Convention, any instrument of ratification, acceptance, approval or accession deposited shall apply to the present Protocol as amended. Article VI Amendments The procedures set out in article 16 of the Convention in respect of amendments to the articles, an Annex and an appendix to an Annex of the Convention shall apply respectively to amendments to the articles, the Annex and an appendix to the Annex of the present Protocol. 21 Protocol of 1978 relating to MARPOL 73 Article VII Denunciation 1 The present Protocol may be denounced by any Party to the present Protocol at any time after the expiry of five years from the date on which the Protocol enters into force for that Party. 2 Denunciation shall be effected by the deposit of an instrument of denunciation with the Secretary-General of the Organization. 3 A denunciation shall take effect 12 months after receipt of the notification by the Secretary-General of the Organization or after the expiry of any other longer period which may be indicated in the notification. Article VIII Depositary 1 The present Protocol shall be deposited with the Secretary-General of the Organization (hereinafter referred to as ``the Depositary''). 2 The Depositary shall: (a) inform all States which have signed the present Protocol or acceded thereto of: (i) each new signature or deposit of an instrument of ratification, acceptance, approval or accession, together with the date thereof; (ii) the date of entry into force of the present Protocol; (iii) the deposit of any instrument of denunciation of the present Protocol together with the date on which it was received and the date on which the denunciation takes effect; (iv) any decision made in accordance with article II(1) of the present Protocol; (b) transmit certified true copies of the present Protocol to all States which have signed the present Protocol or acceded thereto. 3 As soon as the present Protocol enters into force, a certified true copy thereof shall be transmitted by the Depositary to the Secretariat of the United Nations for registration and publication in accordance with Article 102 of the Charter of the United Nations. 22 Articles VII, VIII, IX Article IX Languages The present Protocol is established in a single original in the English, French, Russian and Spanish languages, each text being equally authentic. Official translations in the Arabic, German, Italian and Japanese languages shall be prepared and deposited with the signed original. IN WITNESS WHEREOF the undersigned* being duly authorized by their respective Governments for that purpose have signed the present Protocol. DONE AT LONDON this seventeenth day of February one thousand nine hundred and seventy-eight. * Signatures omitted. 23 Protocol I Provisions concerning Reports on Incidents Involving Harmful Substances Protocol I Provisions concerning Reports on Incidents Involving Harmful Substances (in accordance with article 8 of the Convention) Article I Duty to report (1) The master or other person having charge of any ship involved in an incident referred to in article II of this Protocol shall report the particulars of such incident without delay and to the fullest extent possible in accordance with the provisions of this Protocol. (2) In the event of the ship referred to in paragraph (1) of this article being abandoned, or in the event of a report from such a ship being incomplete or unobtainable, the owner, charterer, manager or operator of the ship, or their agent shall, to the fullest extent possible, assume the obligations placed upon the master under the provisions of this Protocol. Article II When to make reports (1) The report shall be made when an incident involves: (a) a discharge above the permitted level or probable discharge of oil or of noxious liquid substances for whatever reason including those for the purpose of securing the safety of the ship or for saving life at sea; or (b) a discharge or probable discharge of harmful substances in packaged form, including those in freight containers, portable tanks, road and rail vehicles and shipborne barges; or 27 Protocol I: Reports on Incidents Involving Harmful Substances (c) damage, failure or breakdown of a ship of 15 metres in length or above which: (i) affects the safety of the ship; including but not limited to collision, grounding, fire, explosion, structural failure, flooding and cargo shifting; or (ii) results in impairment of the safety of navigation; including but not limited to, failure or breakdown of steering gear, propulsion plant, electrical generating system, and essen- tial shipborne navigational aids; or (d) a discharge during the operation of the ship of oil or noxious liquid substances in excess of the quantity or instantaneous rate permitted under the present Convention. (2) For the purposes of this Protocol: (a) Oil referred to in subparagraph 1(a) of this article means oil as defined in regulation 1(1) of Annex I of the Convention. (b) Noxious liquid substances referred to in subparagraph 1(a) of this article means noxious liquid substances as defined in regulation 1(6) of Annex II of the Convention. (c) Harmful substances in packaged form referred to in subparagraph 1(b) of this article means substances which are identified as marine pollutants in the International Maritime Dangerous Goods Code (IMDG Code). Article III Contents of report Reports shall in any case include: (a) identity of ships involved; (b) time, type and location of incident; (c) quantity and type of harmful substance involved; (d) assistance and salvage measures. Article IV Supplementary report Any person who is obliged under the provisions of this Protocol to send a report shall, when possible: (a) supplement the initial report, as necessary, and provide information concerning further developments; and (b) comply as fully as possible with requests from affected States for additional information. 28 Articles III, IV, V Article V Reporting procedures (1) Reports shall be made by the fastest telecommunications channels available with the highest possible priority to the nearest coastal State. (2) In order to implement the provisions of this Protocol, Parties to the present Convention shall issue, or cause to be issued, regulations or instructions on the procedures to be followed in reporting incidents involving harmful substances, based on guidelines developed by the Organization.* * Refer to the General Principles for Ship Reporting Systems and Ship Reporting Requirements, including Guidelines for Reporting Incidents Involving Dangerous Goods, Harmful Substances and/or Marine Pollutants adopted by the Organization by resolution A.851(20); see IMO sales publication IMO-516E. 29 Protocol II Arbitration Protocol II Arbitration (in accordance with article 10 of the Convention) Article I Arbitration procedure, unless the Parties to the dispute decide otherwise, shall be in accordance with the rules set out in this Protocol. Article II (1) An Arbitration Tribunal shall be established upon the request of one Party to the Convention addressed to another in application of article 10 of the present Convention. The request for arbitration shall consist of a statement of the case together with any supporting documents. (2) The requesting Party shall inform the Secretary-General of the Organization of the fact that it has applied for the establishment of a Tribunal, of the names of the Parties to the dispute, and of the articles of the Convention or Regulations over which there is in its opinion disagreement concerning their interpretation or application. The Secretary-General shall transmit this information to all Parties. Article III The Tribunal shall consist of three members: one Arbitrator nominated by each Party to the dispute and a third Arbitrator who shall be nominated by agreement between the two first named, and shall act as its Chairman. Article IV (1) If, at the end of a period of 60 days from the nomination of the second Arbitrator, the Chairman of the Tribunal shall not have been nominated, the Secretary-General of the Organization upon request of either Party shall within a further period of 60 days proceed to such nomination, selecting him from a list of qualified persons previously drawn up by the Council of the Organization. (2) If, within a period of 60 days from the date of the receipt of the request, one of the Parties shall not have nominated the member of 33 Protocol II: Arbitration the Tribunal for whose designation it is responsible, the other Party may directly inform the Secretary-General of the Organization who shall nominate the Chairman of the Tribunal within a period of 60 days, selecting him from the list prescribed in paragraph (1) of the present article. (3) The Chairman of the Tribunal shall, upon nomination, request the Party which has not provided an Arbitrator, to do so in the same manner and under the same conditions. If the Party does not make the required nomination, the Chairman of the Tribunal shall request the Secretary-General of the Organization to make the nomination in the form and conditions prescribed in the preceding paragraph. (4) The Chairman of the Tribunal, if nominated under the provisions of the present article, shall not be or have been a national of one of the Parties concerned, except with the consent of the other Party. (5) In the case of the decease or default of an Arbitrator for whose nomination one of the Parties is responsible, the said Party shall nominate a replacement within a period of 60 days from the date of decease or default. Should the said Party not make the nomination, the arbitration shall proceed under the remaining Arbitrators. In case of the decease or default of the Chairman of the Tribunal, a replacement shall be nominated in accordance with the provisions of article III above, or in the absence of agreement between the members of the Tribunal within a period of 60 days of the decease or default, according to the provisions of the present article. Article V The Tribunal may hear and determine counter-claims arising directly out of the subject matter of the dispute. Article VI Each Party shall be responsible for the remuneration of its Arbitrator and connected costs and for the costs entailed by the preparation of its own case. The remuneration of the Chairman of the Tribunal and of all general expenses incurred by the Arbitration shall be borne equally by the Parties. The Tribunal shall keep a record of all its expenses and shall furnish a final statement thereof. Article VII Any Party to the Convention which has an interest of a legal nature and which may be affected by the decision in the case may, after giving written 34 Articles V, VI, VII, VIII, IX, X notice to the Parties which have originally initiated the procedure, join in the arbitration procedure with the consent of the Tribunal. Article VIII Any Arbitration Tribunal established under the provisions of the present Protocol shall decide its own rules of procedure. Article IX (1) Decisions of the Tribunal both as to its procedure and its place of meeting and as to any question laid before it, shall be taken by majority votes of its members; the absence or abstention of one of the members of the Tribunal for whose nomination the Parties were responsible, shall not constitute an impediment to the Tribunal reaching a decision. In cases of equal voting, the vote of the Chairman shall be decisive. (2) The Parties shall facilitate the work of the Tribunal and in particular, in accordance with their legislation, and using all means at their disposal: (a) provide the Tribunal with the necessary documents and information; (b) enable the Tribunal to enter their territory, to hear witnesses or experts, and to visit the scene. (3) Absence or default of one Party shall not constitute an impediment to the procedure. Article X (1) The Tribunal shall render its award within a period of five months from the time it is established unless it decides, in the case of necessity, to extend the time limit for a further period not exceeding three months. The award of the Tribunal shall be accompanied by a statement of reasons. It shall be final and without appeal and shall be communicated to the Secretary-General of the Organization. The Parties shall immediately comply with the award. (2) Any controversy which may arise between the Parties as regards interpretation or execution of the award may be submitted by either Party for judgment to the Tribunal which made the award, or, if it is not available to another Tribunal constituted for this purpose, in the same manner as the original Tribunal. 35 Protocol of 1997 to amend the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto Protocol of 1997 to amend the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto THE PARTIES TO THE PRESENT PROTOCOL, BEING Parties to the Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973, RECOGNIZING the need to prevent and control air pollution from ships, RECALLING Principle 15 of the Rio Declaration on Environment and Development which calls for the application of a precautionary approach, CONSIDERING that this objective could best be achieved by the conclusion of a Protocol of 1997 to amend the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto, HAVE AGREED as follows: Article 1 Instrument to be amended The instrument which the present Protocol amends is the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (hereinafter referred to as the ``Convention''). Article 2 Addition of Annex VI to the Convention Annex VI entitled Regulations for the Prevention of Air Pollution from Ships, the text of which is set out in the annex to the present Protocol, is added. 39 Protocol of 1997 to amend MARPOL 73/78 Article 3 General obligations 1 The Convention and the present Protocol shall, as between the Parties to the present Protocol, be read and interpreted together as one single instrument. 2 Every reference to the present Protocol constitutes at the same time a reference to the annex hereto. Article 4 Amendment procedure In applying article 16 of the Convention to an amendment to Annex VI and its appendices, the reference to ``a Party to the Convention'' shall be deemed to mean the reference to a Party bound by that Annex. FINAL CLAUSES Article 5 Signature, ratification, acceptance, approval and accession 1 The present Protocol shall be open for signature at the Headquarters of the International Maritime Organization (hereinafter referred to as the ``Organization'') from 1 January 1998 until 31 December 1998 and shall thereafter remain open for accession. Only Contracting States to the Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973 (hereinafter referred to as the ``1978 Protocol'') may become Parties to the present Protocol by: (a) signature without reservation as to ratification, acceptance or approval; or (b) signature, subject to ratification, acceptance or approval, followed by ratification, acceptance or approval; or (c) accession. 2 Ratification, acceptance, approval or accession shall be effected by the deposit of an instrument to that effect with the Secretary-General of the Organization (hereinafter referred to as the ``Secretary-General''). 40 Articles 3, 4, 5, 6, 7, 8 Article 6 Entry into force 1 The present Protocol shall enter into force twelve months after the date on which not less than fifteen States, the combined merchant fleets of which constitute not less than 50 per cent of the gross tonnage of the world's merchant shipping, have become Parties to it in accordance with article 5 of the present Protocol. 2 Any instrument of ratification, acceptance, approval or accession deposited after the date on which the present Protocol enters into force shall take effect three months after the date of deposit. 3 After the date on which an amendment to the present Protocol is deemed to have been accepted in accordance with article 16 of the Convention, any instrument of ratification, acceptance, approval or accession deposited shall apply to the present Protocol as amended. Article 7 Denunciation 1 The present Protocol may be denounced by any Party to the present Protocol at any time after the expiry of five years from the date on which the Protocol enters into force for that Party. 2 Denunciation shall be effected by the deposit of an instrument of denunciation with the Secretary-General. 3 A denunciation shall take effect twelve months after receipt of the notification by the Secretary-General or after the expiry of any other longer period which may be indicated in the notification. 4 A denunciation of the 1978 Protocol in accordance with article VII thereof shall be deemed to include a denunciation of the present Protocol in accordance with this article. Such denunciation shall take effect on the date on which denunciation of the 1978 Protocol takes effect in accordance with article VII of that Protocol. Article 8 Depositary 1 The present Protocol shall be deposited with the Secretary-General (hereinafter referred to as the ``Depositary''). 41 Protocol of 1997 to amend MARPOL 73/78 2 The Depositary shall: (a) inform all States which have signed the present Protocol or acceded thereto of: (i) each new signature or deposit of an instrument of ratification, acceptance, approval or accession, together with the date thereof; (ii) the date of entry into force of the present Protocol; and (iii) the deposit of any instrument of denunciation of the present Protocol, together with the date on which it was received and the date on which the denunciation takes effect; and (b) transmit certified true copies of the present Protocol to all States which have signed the present Protocol or acceded thereto. 3 As soon as the present Protocol enters into force, a certified true copy thereof shall be transmitted by the Depositary to the Secretariat of the United Nations for registration and publication in accordance with Article 102 of the Charter of the United Nations. Article 9 Languages The present Protocol is established in a single copy in the Arabic, Chinese, English, French, Russian and Spanish languages, each text being equally authentic. IN WITNESS WHEREOF the undersigned, being duly authorized by their respective Governments for that purpose, have signed* the present Protocol. DONE AT LONDON this twenty-sixth day of September, one thousand nine hundred and ninety-seven. * Signatures omitted. 42 Annex I of MARPOL 73/78 (including amendments) Regulations for the Prevention of Pollution by Oil Annex I of MARPOL 73/78 (including amendments*) Regulations for the Prevention of Pollution by Oil Chapter I ± General Regulation 1 Definitions For the purposes of this Annex: (1) Oil means petroleum in any form including crude oil, fuel oil, sludge, oil refuse and refined products (other than petrochemicals which are subject to the provisions of Annex II of the present Convention) and, without limiting the generality of the foregoing, includes the substances listed in appendix I to this Annex. SEE INTERPRETATION 1A.0 (2) Oily mixture means a mixture with any oil content. (3) Oil fuel means any oil used as fuel in connection with the propulsion and auxiliary machinery of the ship in which such oil is carried. (4) Oil tanker means a ship constructed or adapted primarily to carry oil in bulk in its cargo spaces and includes combination carriers and any ``chemical tanker'' as defined in Annex II of the present Convention when it is carrying a cargo or part cargo of oil in bulk. SEE INTERPRETATIONS 1.0 AND 6.1 (5) Combination carrier means a ship designed to carry either oil or solid cargoes in bulk. * As of the publication of this Consolidated Edition, the 1990 Amendments on the harmonized system of surveys and certification had not entered into force. For information purposes only, refer to resolution MEPC.39(29) on the introduction of the harmonized system of survey and certification to Annexes I and II of MARPOL 73/78 adopted on 16 March 1990 by the Marine Environment Protection Committee, as set out in the Additional Information section of the present publication. 45 Annex I: Regulations for the Prevention of Pollution by Oil (6) New ship means a ship: (a) for which the building contract is placed after 31 December 1975; or (b) in the absence of a building contract, the keel of which is laid or which is at a similar stage of construction after 30 June 1976; or (c) the delivery of which is after 31 December 1979; or (d) which has undergone a major conversion: (i) for which the contract is placed after 31 December 1975; or (ii) in the absence of a contract, the construction work of which is begun after 30 June 1976; or (iii) which is completed after 31 December 1979. SEE INTERPRETATIONS 1.1 AND 1.2 (7) Existing ship means a ship which is not a new ship. (8) (a) Major conversion means a conversion of an existing ship: (i) which substantially alters the dimensions or carrying capacity of the ship; or (ii) which changes the type of the ship; or (iii) the intent of which in the opinion of the Administration is substantially to prolong its life; or (iv) which otherwise so alters the ship that, if it were a new ship, it would become subject to relevant provisions of the present Convention not applicable to it as an existing ship. SEE INTERPRETATION 1.3 (b) Notwithstanding the provisions of subparagraph (a) of this paragraph, conversion of an existing oil tanker of 20,000 tons deadweight and above to meet the requirements of regulation 13 of this Annex shall not be deemed to constitute a major conversion for the purposes of this Annex. (c) Notwithstanding the provisions of subparagraph (a) of this paragraph, conversion of an existing oil tanker to meet the requirements of regulation 13F or 13G of this Annex shall not be deemed to constitute a major conversion for the purpose of this Annex. (9) Nearest land. The term ``from the nearest land'' means from the baseline from which the territorial sea of the territory in question is established in accordance with international law, except that, for the purposes of the present Convention ``from the nearest land'' off the 46 Regulation 1 north-eastern coast of Australia shall mean from a line drawn from a point on the coast of Australia in latitude 11800' S, longitude 142808' E to a point in latitude 10835' S, longitude 141855' E, thence to a point latitude 10800' S, longitude 142800' E, thence to a point latitude 9810' S, longitude 143852' E, thence to a point latitude 9800' S, longitude 144830' E, thence to a point latitude 13800' S, longitude 144800' E, thence to a point latitude 15800' S, longitude 146800' E, thence to a point latitude 18800' S, longitude 147800' E, thence to a point latitude 21800' S, longitude 153800' E, thence to a point on the coast of Australia in latitude 24842' S, longitude 153815' E. (10) Special area means a sea area where for recognized technical reasons in relation to its oceanographical and ecological condition and to the particular character of its traffic the adoption of special mandatory methods for the prevention of sea pollution by oil is required. Special areas shall include those listed in regulation 10 of this Annex. (11) Instantaneous rate of discharge of oil content means the rate of discharge of oil in litres per hour at any instant divided by the speed of the ship in knots at the same instant. (12) Tank means an enclosed space which is formed by the permanent structure of a ship and which is designed for the carriage of liquid in bulk. (13) Wing tank means any tank adjacent to the side shell plating. (14) Centre tank means any tank inboard of a longitudinal bulkhead. (15) Slop tank means a tank specifically designated for the collection of tank drainings, tank washings and other oily mixtures. (16) Clean ballast means the ballast in a tank which since oil was last carried therein, has been so cleaned that effluent therefrom if it were discharged from a ship which is stationary into clean calm water on a clear day would not produce visible traces of oil on the surface of the water or on adjoining shorelines or cause a sludge or emulsion to be deposited beneath the surface of the water or upon adjoining shorelines. If the ballast is discharged through an oil discharge monitoring and control system approved by the Administration, evidence based on such a system to the effect that the oil content of the effluent did not exceed 15 parts per million shall be determinative that the ballast was clean, notwithstanding the presence of visible traces. (17) Segregated ballast means the ballast water introduced into a tank which is completely separated from the cargo oil and oil fuel system and which is permanently allocated to the carriage of ballast or to the 47 Annex I: Regulations for the Prevention of Pollution by Oil carriage of ballast or cargoes other than oil or noxious substances as variously defined in the Annexes of the present Convention. SEE INTERPRETATION 1.4 (18) Length (L) means 96% of the total length on a waterline at 85% of the least moulded depth measured from the top of the keel, or the length from the foreside of the stem to the axis of the rudder stock on that waterline, if that be greater. In ships designed with a rake of keel the waterline on which this length is measured shall be parallel to the designed waterline. The length (L) shall be measured in metres. (19) Forward and after perpendiculars shall be taken at the forward and after ends of the length (L). The forward perpendicular shall coincide with the foreside of the stem on the waterline on which the length is measured. (20) Amidships is at the middle of the length (L). (21) Breadth (B) means the maximum breadth of the ship, measured amidships to the moulded line of the frame in a ship with a metal shell and to the outer surface of the hull in a ship with a shell of any other material. The breadth (B) shall be measured in metres. (22) Deadweight (DW) means the difference in metric tons between the displacement of a ship in water of a specify gravity of 1.025 at the load waterline corresponding to the assigned summer freeboard and the lightweight of the ship. (23) Lightweight means the displacement of a ship in metric tons without cargo, fuel, lubricating oil, ballast water, fresh water and feed water in tanks, consumable stores, and passengers and crew and their effects. (24) Permeability of a space means the ratio of the volume within that space which is assumed to be occupied by water to the total volume of that space. (25) Volumes and areas in a ship shall be calculated in all cases to moulded lines. (26) Notwithstanding the provisions of paragraph (6) of this regulation, for the purposes of regulations 13, 13B, 13E and 18(4) of this Annex, new oil tanker means an oil tanker: (a) for which the building contract is placed after 1 June 1979; or (b) in the absence of a building contract, the keel of which is laid or which is at a similar stage of construction after 1 January 1980; or (c) the delivery of which is after 1 June 1982; or 48 Regulation 2 (d) which has undergone a major conversion: (i) for which the contract is placed after 1 June 1979; or (ii) in the absence of a contract, the construction work of which is begun after 1 January 1980; or (iii) which is completed after 1 June 1982; except that, for oil tankers of 70,000 tons deadweight and above, the definition in paragraph (6) of this regulation shall apply for the purposes of regulation 13(1) of this Annex. SEE INTERPRETATIONS 1.1 AND 1.2 (27) Notwithstanding the provisions of paragraph (7) of this regulation, for the purposes of regulations 13, 13A, 13B, 13C, 13D, 18(5) and 18(6)(c) of this Annex, existing oil tanker means an oil tanker which is not a new oil tanker as defined in paragraph (26) of this regulation. (28) Crude oil means any liquid hydrocarbon mixture occurring naturally in the earth whether or not treated to render it suitable for transportation and includes: (a) crude oil from which certain distillate fractions may have been removed; and (b) crude oil to which certain distillate fractions may have been added. (29) Crude oil tanker means an oil tanker engaged in the trade of carrying crude oil. (30) Product carrier means an oil tanker engaged in the trade of carrying oil other than crude oil. Regulation 2 Application (1) Unless expressly provided otherwise, the provisions of this Annex shall apply to all ships. (2) In ships other than oil tankers fitted with cargo spaces which are constructed and utilized to carry oil in bulk of an aggregate capacity of 200 cubic metres or more, the requirements of regulations 9, 10, 14, 15(1), (2) and (3), 18, 20 and 24(4) of this Annex for oil tankers shall also apply to the construction and operation of those spaces, except that where such aggregate capacity is less than 1,000 cubic metres the requirements of regulation 15(4) of this Annex may apply in lieu of regulation 15(1), (2) and (3). (3) Where a cargo subject to the provisions of Annex II of the present Convention is carried in a cargo space of an oil tanker, the appropriate requirements of Annex II of the present Convention shall also apply. 49 Annex I: Regulations for the Prevention of Pollution by Oil (4) (a) Any hydrofoil, air-cushion vehicle and other new type of vessel (near-surface craft, submarine craft, etc.) whose constructional features are such as to render the application of any of the provisions of chapters II and III of this Annex relating to construction and equipment unreasonable or impracticable may be exempted by the Administration from such provisions, provided that the construction and equipment of that ship provides equivalent protection against pollution by oil, having regard to the service for which it is intended. (b) Particulars of any such exemption granted by the Administra- tion shall be indicated in the Certificate referred to in regulation 5 of this Annex. (c) The Administration which allows any such exemption shall, as soon as possible, but not more than 90 days thereafter, communicate to the Organization particulars of same and the reasons therefor, which the Organization shall circulate to the Parties to the Convention for their information and appropriate action, if any. Regulation 3 Equivalents SEE INTERPRETATION 1.5 (1) The Administration may allow any fitting, material, appliance or apparatus to be fitted in a ship as an alternative to that required by this Annex if such fitting, material, appliance or apparatus is at least as effective as that required by this Annex. This authority of the Administration shall not extend to substitution of operational methods to effect the control of discharge of oil as equivalent to those design and construction features which are prescribed by regulations in this Annex. (2) The Administration which allows a fitting, material, appliance or apparatus, as an alternative to that required by this Annex shall communicate to the Organization for circulation to the Parties to the Convention particulars thereof, for their information and appropriate action, if any. Regulation 4 Surveys and inspections (1) Every oil tanker of 150 tons gross tonnage and above, and every other ship of 400 tons gross tonnage and above shall be subject to the surveys specified below: 50 Regulations 3, 4 (a) An initial survey before the ship is put in service or before the Certificate required under regulation 5 of this Annex is issued for the first time, which shall include a complete survey of its structure, equipment, systems, fittings, arrangements and material in so far as the ship is covered by this Annex. This survey shall be such as to ensure that the structure, equipment, systems, fittings, arrangements and material fully comply with the applicable requirements of this Annex. (b) Periodical surveys at intervals specified by the Administration but not exceeding five years, which shall be such as to ensure that the structure, equipment, systems, fittings, arrangements and material fully comply with the requirements of this Annex. (c) A minimum of one intermediate survey during the period of validity of the Certificate which shall be such as to ensure that the equipment and associated pump and piping systems, including oil discharge monitoring and control systems, crude oil washing systems, oily-water separating equipment and oil filtering systems, fully comply with the applicable requirements of this Annex and are in good working order. In cases where only one such intermediate survey is carried out in any one Certificate validity period, it shall be held not before six months prior to, nor later than six months after the half-way date of the Certificate's period of validity. Such intermediate surveys shall be endorsed on the Certificate issued under regulation 5 of this Annex. SEE INTERPRETATION 1A.1 (2) The Administration shall establish appropriate measures for ships which are not subject to the provisions of paragraph (1) of this regulation in order to ensure that the applicable provisions of this Annex are complied with. (3) (a) 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. (b) The Administration shall institute arrangements for unsched- uled inspections to be carried out during the period of validity of the Certificate. Such inspections shall ensure that the ship and its equipment remain in all respects satisfactory for the service for which the ship is intended. These inspections may be carried out by their own inspection services, or by nominated surveyors or by recognized organizations, or by other Parties upon request of the Administration. Where the Administration, under the 51 Annex I: Regulations for the Prevention of Pollution by Oil provisions of paragraph (1) of this regulation, establishes mandatory annual surveys, the above unscheduled inspections shall not be obligatory. SEE INTERPRETATION 1A.1 (c) An Administration nominating surveyors or recognizing orga- nizations to conduct surveys and inspections as set forth in subparagraphs (a) and (b) of this paragraph, shall as a minimum empower any nominated surveyor or recognized organization to: (i) require repairs to a ship; and (ii) carry out surveys and inspections if requested by the appropriate authorities of a port State. The Administration shall notify the Organization of the specific responsibilities and conditions of the authority delegated to the nominated surveyors or recognized organizations, for circula- tion to Parties to the present Protocol for the information of their officers. (d) When a nominated surveyor or recognized organization determines that the condition of the ship or its equipment does not correspond substantially with the particulars of the Certificate or is such that the ship is not fit to proceed to sea without presenting an unreasonable threat of harm to the marine environment, such surveyor or organization shall immediately ensure that corrective action is taken and shall in due course notify the Administration. If such corrective action is not taken the Certificate should be withdrawn and the Administration shall be notified immediately; and if the ship is in a port of another Party, the appropriate authorities of the port State shall also be notified immediately. When an officer of the Admin- istration, a nominated surveyor or recognized organization has notified the appropriate authorities of the port State, the Government of the port State concerned shall give such officer, surveyor or organization any necessary assistance to carry out their obligations under this regulation. When applicable, the Government of the port State concerned shall take such steps as will ensure that the ship shall not sail until it can proceed to sea or leave the port for the purpose of proceeding to the nearest appropriate repair yard available without presenting an un- reasonable threat of harm to the marine environment. (e) 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. 52 Regulation 5 (4) (a) The condition of the ship and its equipment shall be maintained to conform with the provisions of the present Convention to ensure that the ship in all respects will remain fit to proceed to sea without presenting an unreasonable threat of harm to the marine environment. (b) After any survey of the ship under paragraph (1) of this regulation has been completed, no change shall be made in the structure, equipment, systems, fittings, arrangements or material covered by the survey, without the sanction of the Adminis- tration, except the direct replacement of such equipment and fittings. (c) Whenever an accident occurs to a ship or a defect is discovered which substantially affects the integrity of the ship or the efficiency or completeness of its equipment covered by this Annex the master or owner of the ship shall report at the earliest opportunity to the Administration, the recognized organization or the nominated surveyor responsible for issuing the relevant certificate, who shall cause investigations to be initiated to determine whether a survey as required by paragraph (1) of this regulation is necessary. If the ship is in a port of another Party, the master or owner shall also report immediately to the appropriate authorities of the port State and the nominated surveyor or recognized organization shall ascertain that such report has been made. Regulation 5 Issue of certificate SEE INTERPRETATIONS 2.0 and 2.1 (1) An International Oil Pollution Prevention Certificate shall be issued, after survey in accordance with the provisions of regulation 4 of this Annex, to any oil tanker of 150 tons gross tonnage and above and any other ships of 400 tons gross tonnage and above which are engaged in voyages to ports or offshore terminals under the jurisdiction of other Parties to the Convention. In the case of existing ships this requirement shall apply 12 months after the date of entry into force of the present Convention. SEE INTERPRETATIONS 2.2, 2.3, 2.4 (2) Such certificate shall be issued either by the Administration or by any persons or organization duly authorized by it. In every case the Administration assumes full responsibility for the certificate. 53 Annex I: Regulations for the Prevention of Pollution by Oil Regulation 6 Issue of a certificate by another Government (1) The Government of a Party to the Convention may, at the request of the Administration, cause a ship to be surveyed and, if satisfied that the provisions of this Annex are complied with, shall issue or authorize the issue of an International Oil Pollution Prevention Certificate to the ship in accordance with this Annex. (2) A copy of the certificate and a copy of the survey report shall be transmitted as soon as possible to the requesting Administration. (3) A certificate so issued shall contain a statement to the effect that it has been issued at the request of the Administration and it shall have the same force and receive the same recognition as the certificate issued under regulation 5 of this Annex. (4) No International Oil Pollution Prevention Certificate shall be issued to a ship which is entitled to fly the flag of a State which is not a Party. Regulation 7 Form of certificate SEE INTERPRETATION 2.4A The International Oil Pollution Prevention Certificate shall be drawn up in an official language of the issuing country in the form corresponding to the model given in appendix II to this Annex. If the language used is neither English nor French, the text shall include a translation into one of these languages. Regulation 8 Duration of certificate SEE INTERPRETATION 2.5 (1) An International Oil Pollution Prevention Certificate shall be issued for a period specified by the Administration, which shall not exceed five years from the date of issue, provided that in the case of an oil tanker operating with dedicated clean ballast tanks for a limited period specified in regulation 13(9) of this Annex, the period of validity of the certificate shall not exceed such specified period. (2) A certificate shall cease to be valid if significant alterations have taken place in the construction, equipment, systems, fittings, arrangements or material required without the sanction of the Administration, 54 Regulations 6, 7, 8, 8A except the direct replacement of such equipment or fittings, or if intermediate surveys as specified by the Administration under regulation 4(1)(c) of this Annex are not carried out. (3) A certificate issued to a ship shall also cease to be valid upon transfer of the ship to the flag of another State. A new certificate shall only be issued when the Government issuing the new certificate is fully satisfied that the ship is in full compliance with the requirements of regulation 4(4)(a) and (b) of this Annex. In the case of a transfer between Parties, if requested within three months after the transfer has taken place, the Government of the Party whose flag the ship was formerly entitled to fly shall transmit as soon as possible to the Administration a copy of the certificate carried by the ship before the transfer and, if available, a copy of the relevant survey report. Regulation 8A Port State control on operational requirements* (1) A ship when in a port or an offshore terminal of another Party is subject to inspection by officers duly authorized by such Party concerning operational requirements under this Annex, where there are clear grounds for believing that the master or crew are not familiar with essential shipboard procedures relating to the prevention of pollution by oil. (2) In the circumstances given in paragraph (1) of this regulation, the Party shall take such steps as will ensure that the ship shall not sail until the situation has been brought to order in accordance with the requirements of this Annex. (3) Procedures relating to the port State control prescribed in article 5 of the present Convention shall apply to this regulation. (4) Nothing in this regulation shall be construed to limit the rights and obligations of a Party carrying out control over operational require- ments specifically provided for in the present Convention. * Refer to the procedures for port State control adopted by the Organization by resolution A.787(19); see IMO sales publication IMO-650E. 55 Annex I: Regulations for the Prevention of Pollution by Oil Chapter II ± Requirements for control of operational pollution Regulation 9 Control of discharge of oil (1) Subject to the provisions of regulations 10 and 11 of this Annex and paragraph (2) of this regulation, any discharge into the sea of oil or oily mixtures from ships to which this Annex applies shall be prohibited except when all the following conditions are satisfied: (a) for an oil tanker, except as provided for in subparagraph (b) of this paragraph: (i) the tanker is not within a special area; (ii) the tanker is more than 50 nautical miles from the nearest land; (iii) the tanker is proceeding en route; (iv) the instantaneous rate of discharge of oil content does not exceed 30 litres per nautical mile; (v) the total quantity of oil discharged into the sea does not exceed for existing tankers 1/15,000 of the total quantity of the particular cargo of which the residue formed a part, and for new tankers 1/30,000 of the total quantity of the particular cargo of which the residue formed a part; and SEE INTERPRETATION 3.2 (vi) the tanker has in operation an oil discharge monitoring and control system and a slop tank arrangement as required by regulation 15 of this Annex. (b) from a ship of 400 tons gross tonnage and above other than an oil tanker and from machinery space bilges excluding cargo pump-room bilges of an oil tanker unless mixed with oil cargo residue: (i) the ship is not within a special area; (ii) the ship is proceeding en route; (iii) the oil content of the effluent without dilution does not exceed 15 parts per million; and (iv) the ship has in operation equipment as required by regulation 16 of this Annex. SEE INTERPRETATION 3.1 56 Regulation 9 (2) In the case of a ship of less than 400 tons gross tonnage other than an oil tanker whilst outside the special area, the Administration shall ensure that it is equipped as far as practicable and reasonable with installations to ensure the storage of oil residues on board and their discharge to reception facilities or into the sea in compliance with the requirements of paragraph (1)(b) of this regulation. (3) Whenever visible traces of oil are observed on or below the surface of the water in the immediate vicinity of a ship or its wake, Governments of Parties to the Convention should, to the extent they are reasonably able to do so, promptly investigate the facts bearing on the issue of whether there has been a violation of the provisions of this regulation or regulation 10 of this Annex. The investigation should include, in particular, the wind and sea conditions, the track and speed of the ship, other possible sources of the visible traces in the vicinity, and any relevant oil discharge records. (4) The provisions of paragraph (1) of this regulation shall not apply to the discharge of clean or segregated ballast or unprocessed oily mixtures which without dilution have an oil content not exceeding 15 parts per million and which do not originate from cargo pump-room bilges and are not mixed with oil cargo residues. (5) No discharge into the sea shall contain chemicals or other substances in quantities or concentrations which are hazardous to the marine environment or chemicals or other substances introduced for the purpose of circumventing the conditions of discharge specified in this regulation. (6) The oil residues which cannot be discharged into the sea in compliance with paragraphs (1), (2) and (4) of this regulation shall be retained on board or discharged to reception facilities. (7) In the case of a ship, referred to in regulation 16(6) of this Annex, not fitted with equipment as required by regulation 16(1) or 16(2) of this Annex, the provisions of paragraph (1)(b) of this regulation will not apply until 6 July 1998 or the date on which the ship is fitted with such equipment, whichever is the earlier. Until this date any discharge from machinery space bilges into the sea of oil or oily mixtures from such a ship shall be prohibited except when all the following conditions are satisfied: (a) the oily mixture does not originate from the cargo pump-room bilges; (b) the oily mixture is not mixed with oil cargo residues; (c) the ship is not within a special area; (d) the ship is more than 12 nautical miles from the nearest land; (e) the ship is proceeding en route; 57 Annex I: Regulations for the Prevention of Pollution by Oil (f) the oil content of the effluent is less than 100 parts per million; and (g) the ship has in operation oily-water separating equipment of a design approved by the Administration, taking into account the specification recommended by the Organization.* Regulation 10 Methods for the prevention of oil pollution from ships while operating in special areas (1) For the purpose of this Annex, the special areas are the Mediterranean Sea area, the Baltic Sea area, the Black Sea area, the Red Sea area, the ``Gulfs area'', the Gulf of Aden area, the Antarctic area and the North- West European waters, which are defined as follows: (a) The Mediterranean Sea area means the Mediterranean Sea proper including the gulfs and seas therein with the boundary between the Mediterranean and the Black Sea constituted by the 418N parallel and bounded to the west by the Straits of Gibraltar at the meridian of 5836' W. (b) The Baltic Sea area means the Baltic Sea proper with the Gulf of Bothnia, the Gulf of Finland and the entrance to the Baltic Sea bounded by the parallel of the Skaw in the Skagerrak at 57844.8' N. (c) The Black Sea area means the Black Sea proper with the boundary between the Mediterranean and the Black Sea constituted by the parallel 418N. (d) The Red Sea area means the Red Sea proper including the Gulfs of Suez and Aqaba bounded at the south by the rhumb line between Ras si Ane (12828.5' N, 43819.6' E) and Husn Murad (12840.4' N, 43830.2' E). (e) The Gulfs area means the sea area located north-west of the rhumb line between Ras al Hadd (22830' N, 59848' E) and Ras al Fasteh (25804' N, 61825' E). (f) The Gulf of Aden area means that part of the Gulf of Aden between the Red Sea and the Arabian Sea bounded to the west by the rhumb line between Ras si Ane (12828.5' N, 43819.6' E) and Husn Murad (12840.4' N, 43830.2' E) and to the east by the rhumb line between Ras Asir (11850' N, 51816.9' E) and Ras Fartak (15835' N, 52813.8' E). * Refer to the Guidelines and specifications for pollution prevention equipment for machinery space bilges of ships adopted by the Marine Environment Protection Committee of the Organization by resolution MEPC.60(33); see IMO sales publication IMO-646E. 58 Regulation 10 (g) The Antarctic area means the sea area south of latitude 608 S. (h) The North-West European waters include the North Sea and its approaches, the Irish Sea and its approaches, the Celtic Sea, the English Channel and its approaches and part of the North-East Atlantic immediately to the west of Ireland. The area is bounded by lines joining the following points: (i) 48827' N on the French coast; (ii) 48827' N, 6825' W; (iii) 49852' N, 7844' W; (iv) 50830' N, 128 W; (v) 56830' N, 128 W; (vi) 628 N, 38 W; (vii) 628 N on the Norwegian coast; (viii) 57844.8' N on the Danish and Swedish coasts. (2) Subject to the provisions of regulation 11 of this Annex: (a) Any discharge into the sea of oil or oily mixture from any oil tanker and any ship of 400 tons gross tonnage and above other than an oil tanker shall be prohibited while in a special area. In respect of the Antarctic area, any discharge into the sea of oil or oily mixture from any ship shall be prohibited. (b) Except as provided for in respect of the Antarctic area under subparagraph 2(a) of this regulation, any discharge into the sea of oil or oily mixture from a ship of less than 400 tons gross tonnage, other than an oil tanker, shall be prohibited while in a special area, except when the oil content of the effluent without dilution does not exceed 15 parts per million. (3) (a) The provisions of paragraph (2) of this regulation shall not apply to the discharge of clean or segregated ballast. (b) The provisions of subparagraph (2)(a) of this regulation shall not apply to the discharge of processed bilge water from machinery spaces, provided that all of the following conditions are satisfied: (i) the bilge water does not originate from cargo pump-room bilges; (ii) the bilge water is not mixed with oil cargo residues; (iii) the ship is proceeding en route; (iv) the oil content of the effluent without dilution does not exceed 15 parts per million; (v) the ship has in operation oil filtering equipment comply- ing with regulation 16(5) of this Annex; and 59 Annex I: Regulations for the Prevention of Pollution by Oil (vi) the filtering system is equipped with a stopping device which will ensure that the discharge is automatically stopped when the oil content of the effluent exceeds 15 parts per million. SEE INTERPRETATION 3.4 (4) (a) No discharge into the sea shall contain chemicals or other substances in quantities or concentrations which are hazardous to the marine environment or chemicals or other substances introduced for the purpose of circumventing the conditions of discharge specified in this regulation. (b) The oil residues which cannot be discharged into the sea in compliance with paragraph (2) or (3) of this regulation shall be retained on board or discharged to reception facilities. (5) Nothing in this regulation shall prohibit a ship on a voyage only part of which is in a special area from discharging outside the special area in accordance with regulation 9 of this Annex. (6) Whenever visible traces of oil are observed on or below the surface of the water in the immediate vicinity of a ship or its wake, the Governments of Parties to the Con

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