Notes on

INTERNATIONAL CONVENTION FOR THE

PREVENTION OF POLLUTION FROM SHIPS,
1973 / 1978

BY

CAPT. A.K. PRASAD

FOREWORD

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CREATION OF THE CONVENTION

From times immemorial, oil was being transported by ships in barrels/drums from place to place,
but it was never a problem in so far as pollution was concerned because quantity of oil was
small.

In 1885 the forerunner of a modern tanker was launched in U.K. heralding the advent of carriage
of oil in bulk. This idea gathered momentum very fast and within few years the use of barrels
was completely eliminated.

In 1911 the first marine diesel engine powered ship came into existence. Even steam ships
started using oil-fired boilers thus increasing the use of oil as fuel on ships. Gradually, over the
years, coal as fuel found its way out of shipping

Both the above mentioned historical events were no doubt giant steps in marine technological
advancement but they also created a new problem of pollution of sea by oil. Considering that
71% of the Earth’s surface is covered with water, mankind could scarcely believe that dumping
of waste oil in such huge oceans could ever become a problem for them. However, as the years
passed, the increase in number and size of tankers as well as other ships, has multiplied the
problem of oil pollution. This prompted the International marine community to take drastic steps
to curb the menace.

From 1926 onwards various attempts were made to convene International conferences to tackle
this problem but with limited success. Finally in 1954 U.K. convened the conference which
created the Convention on Prevention of Pollution by Oil (OILPOL). It came into force in 1958,
in the same year when IMCO, later on re-named as International Maritime Organisation (IMO),
itself came into existence. This convention did not effectively serve the purpose for which it was
created. In addition it was also realised that besides oil there were other pollutants which were
equally, if not more, hazardous than oil.

Hence IMO convened another conference in 1973 and adopted the Convention on Prevention of
Pollution from Ships (MARPOL), replacing the OILPOL Convention. Due to the extensive
requirements incorporated in it, which had to be implemented both by ships and Administrations,
many States were reluctant to ratify it and so it could not come into force soon enough. In the
mean time it became necessary to amend it by adopting a Protocol to this Convention in 1978.
Finally as a compromise it was decided to bring into force the various Annexes of this
Convention in a phased manner instead of all at one time. It finally entered into force in 1983
along with Annex I dealing with oil. Today practically every maritime State has ratified this
Convention.

EFFECTS OF POLLUTANTS ON ENVIRONMENT

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Damage to the environment by pollutants can have very far-reaching consequences which will
affect the humanity for a long time to come. Such damage can be broadly divided into following
categories :
 Recreational : Sea beaches, rivers, bays and other coastal areas, which are normally
frequented by people for water sports, picnic or relaxation, will hardly be used if these are
polluted.
 Industrial : Hotels located close to the sea, power generation stations using sea water,
desalination plants, harbours, dry-docks, shipyards, fish farms, etc., which primarily depend
on sea for their existence, cannot function effectively if the sea around them is polluted.
 Biological : The complete marine life living close to the coast, consists of the following :
 Fishes, crabs, snails, worms, seals, turtles, reptiles, microorganisms, etc.
 Sea birds like penguins, seagulls, pelicans, etc.
 Eggs, larvae, etc., of the above species.
 Marsh lands, sea plants, rocks, reefs, etc., which are abode of all these marine life.

These cannot survive or sustain life if the water in which they live is polluted. A major
pollution disaster can cause irreparable damage which may wipe out entire species of marine
life for a long time to come.

PROBLEMS OF SHIP OWNERS AND SEAFARERS

 MARPOL Convention has prescribed that port State should impose heavy penalties on the
ship owner if his ship infringes any of its provisions, even if there is no actual pollution. This
means that if the ship’s staff do not comply with the regulations then their employers will end
up paying heavy fines. Ship owner is not going to like it and he could take drastic action
against the person responsible for it.
 In accordance with the Convention on Civil Liability for Oil Pollution Damage (CLC) a ship
owner will be liable to pay heavy compensation to any party which suffers pollution damage
caused by oil escaping from his ship, practically for any reason whatsoever. Obviously the
ship’s staff have to be extra careful in carrying out their duties so that their employer are not
subjected to such claims, otherwise it could mean a black mark against their competency and
efficiency.
 Lately many maritime States have started imposing heavy penalties on ships which discharge
pollutants, other than oil, like garbage and packaged harmful substances. Once again the
ship’s staff have to take appropriate measures to ensure that such incidents do not occur,
otherwise they may end up looking for another job which may be hard to find.

Capt. A.K. Prasad

SUBJECT ADOPTED ENTRY INTO

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 FORCE
Convention 02-11-1973 02-10-1983

Protocol I 02-11-1973 02-10-1983

Protocol II 02-11-1973 02-10-1983

Protocol 1978 17-02-1978 02-10-1983

Protocol 1997 (Annex VI) 26-09-1997 19-05-2005

Protocol I : Reports on incidents involving harmful substances.

Protocol II : Arbitration.

ANNEX COMMODITY ENTRY INTO FORCE

I Oil 02-10-1983
Revision 01-01-2007
II Noxious liquid substances (NLS) 06-04-1987
Revision 01-01-2007
III Harmful substances in packages 01-07-1992

IV Sewage 27-09-2003
Revision 01-08-2005
V Garbage 31-12-1988

VI Air 19-05-2005

AMMENDMENTS BY MEPC RESOLUTIONS

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No. RES. SUBJECT IN FORCE
1 14(20) Control of discharge of oil. 07-01-1986
Retention of oil on board.
Pumping, piping and discharge arrangements of oil tanker.
Subdivision and stability of oil tanker.
2 16(22) Pumping, piping and control requirements under Annex II. 06-04-1987
3 21(22) Revision of Protocol I. 06-04-1987
4 29(25) Designation of Gulf of Aden as special area under Annex I. 01-04-1989
5 34(27) Updating of lists of chemicals carried in bulk under Annex II. 13-10-1990
6 36(28) Designation of North sea as special area under Annex V. 18-02-1991
7 39(29) Harmonised system of survey and certification under Annexes I 03-02-2000
and II.
8 42(30) Designation of Antarctic as special area under Annexes I and V. 17-03-1992
9 47(31) New Reg. 26 (Revised no. 37) - SOPEP, and other amendments. 04-04-1993
10 48(31) Designation of Wider Caribbean as special area under Annex V. 04-04-1993
11 51(32) Discharge criteria of Annex I. 06-07-1993
12 52(32) New Reg. 13F (Revised no. 19) and new Reg. 13G (Revised no. 06-07-1993
20) – Double hull oil tankers.
13 57(33) Designation of Antarctic as special area under Annex II. 01-07-1994
Updating of lists of bulk chemicals.
14 58(33) Revision of Annex III. 28-02-1994
15 Conf. Port State control under Annexes I, II, III and V. 03-03-1996
16 65(37) Reg. 2 – Application under Annex V. 01-07-1997
New Reg. 9 - Placards, garbage management plans and record
keeping.
17 68(38) Article II(1) of Protocol I. 01-01-1998
18 75(40) Designation of North-West European waters as special area 01-02-1999
under Annex I.
19 78(43) Reg. 13G (Revised no. 20) under Annex I. 01-01-2001
Reg. 26 (Revised no. 37) under Annex I.
IOPP certificate.
New Reg. 16 (Revised no. 17) - Shipboard marine pollution
emergency plan under Annex II.
20 84(44) Appendix of Annex III – Deleting a clause relating to tainting of 01-01-2002
seafood.
21 89(45) Reg. 1 – Definitions under Annex V. 01-03-2002
Regs. 3 and 5 - Disposal of garbage.
Reg. 9 - Placards, garbage management plan and record keeping.
22 94(46) Condition Assessment Scheme for Reg. 13G (Revised no. 20). 01-09-2002
23 95(46) Reg. 13G (Revised no. 20). 01-09-2002
Supplement to the IOPP cert.
Condition Assessment Scheme for Reg. 13G. Refer 94(46)
24 99(48) Condition Assessment Scheme under Annex I. 01-03-2004
25 111(50) Reg. 13G (Revised no. 20). 05-04-2005
Supplement to the IOPP certificate.

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 New Reg. 13H (Revised no. 21) – Prevention of pollution from
tankers carrying heavy grade oil as cargo.
26 112(50) Condition Assessment Scheme under Annex I. 05-04-2005
27 115(51) Revision of Annex IV 01-08-2005
28 116(51) Garbage record book. 01-08-2005
29 117(52) Revision of Annex I. 01-01-2007
30 118(52) Revision of Annex II. 01-01-2007
31 132(53) Harmonised system of survey and certification under Annex VI. 22-11-2006
Designation of North Sea as SOx emission control area.
32 141(54) New Reg. 1.28.9 – Definition of ship delivered ≥ 01-08-2010 01-08-2007
under Annex I.
New Reg. 12A – Oil fuel tank protection under Annex I.
Reg. 21 – Prevention of pollution from tankers carrying heavy
grade oil as cargo.
33 143(54) New Reg. 13 – Port State control under Annex IV. 01-08-2007
34 Southern South Africa designated as special area under Annex I 01-03-2008
35 Revision of Annex III 01-01-2010

IMPORTANT ARTICLES

IMPORTANT DEFINITIONS (Article 2)

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Harmful substance : On being introduced into sea, it will cause following problems :
 Create hazards to human health.
 Harm living resources and marine life.
 Damage amenities.
 Interfere with other legitimate uses of the sea.

Discharge : It includes escape, disposal, spilling, leaking, pumping, emitting or emptying

harmful substances, but it does not include the following :
 Dumping of wastes and other matter in accordance with London Dumping convention.
 Release arising from exploration, exploitation and processing of seabed mineral resources.
 Release for purposes of scientific research into pollution abatement or control.

APPLICATION (Article 3)

This convention applies to all ships except warships and other ships owned or operated by the
State and used only on government non-commercial service.

VIOLATION (Article 4)

 Flag State shall establish sanctions against its ship, in accordance with its laws, if the ship
violates the requirements of this convention anywhere.
 If similar violation occurs within jurisdiction of a Port State, it shall take following steps :
 Proceed against the ship in accordance with its laws, or
 Inform the Flag State about it.

 The ship shall not be unduly delayed. If it happens then the ship shall be entitled to
compensation for loss or damage suffered. (Article 7)
 On being informed about any violation by its ship, the Flag State shall take action and inform
IMO and the State which has furnished the information.
 Penalty specified under law of a State shall be adequate in severity to discourage violations.

PORT STATE CONTROL (Articles 5, 6 and 7)

 A certificate issued by a State under this convention shall be accepted by all other States as
having the same validity as a certificate issued by them.
 A ship holding a certificate under this convention shall be subject to inspection by the Port
State. The inspection shall be limited to verifying that the certificate is valid, unless there are
clear grounds for believing that the condition of the ship or its equipment does not
correspond substantially with the particulars of the certificate. In that case the ship shall not
sail until steps are taken to ensure that it will not present unreasonable threat to the
environment, or it may be allowed to sail to the nearest repair yard.
 If a State denies entry to a foreign ship within its jurisdiction or takes action against it for not
complying with this convention, it shall inform the Flag State. It may consult the Flag State
before taking the above steps.

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 No more favourable treatment shall be given to ships of States who are not party to this
convention.
 The ship shall not be unduly delayed. If it happens then it shall be entitled to compensation
for loss or damage suffered.
 Specific provisions of PSC on operational requirements are given in the respective Annexes.

REPORT ON INCIDENTS INVOLVING HARMFUL SUBSTANCES (Article 8)

 In accordance with the Protocol I of this convention and Res. A.851(20) as amended by
MEPC.138(53), the Master, owner, charterer, manager, operator or their agent, shall
immediately report to the nearest coastal State full details about discharge or probable
discharge of oil or NLS in bulk, or harmful substance in packaged form (marine pollutants
under IMDG Code), which occurs due to any of the following reasons :
 Arising from damage to the ship or equipment.
 For safety of the ship.
 For saving life.
 In excess of the discharge criteria, for any reason.

 The report shall contain the following information :

 Identity of the ship.
 Type of incident.
 Time and location of the incident.
 Quantity and type of the substance discharged.
 Assistance and salvage measures taken.

 Supplementary reports shall be made concerning further developments or when requested for
by the affected States.
 Each State shall take the following steps :
 Make arrangements to receive and process all the reports, and notify IMO about it.
 Relay such reports to Flag State of the ship and to the other States which may be affected.
 Issue instructions to its vessels and aircrafts to report such incidents in accordance with
the procedures based on the IMO guidelines.

SETTLEMENT OF DISPUTE (Article 10)

Dispute between the States shall be settled by negotiations or in accordance with the arbitration
procedure prescribed in the Protocol II of this convention.

COMMUNICATION OF INFORMATION (Article 11)

Each State shall communicate the following information to IMO :

 Laws promulgated within the scope of this convention.

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 List of nominated surveyors or recognised organisations authorised to act on its behalf on
matters related to this convention, their specific responsibilities and the conditions of
authority delegated to them. (Article III of Protocol 1978)
 Specimens of the certificates issued by the State.
 Details of the reception facilities provided.
 Official reports showing results of the application of this convention.
 Annual reports of penalties imposed, in a standardised form.

CASUALTY TO SHIP (Article 12)

Each State shall investigate any casualty occurring to its ship if there is a major damage to the
environment, and send the findings to the IMO.

AMENDMENT PROCEDURE (Article 16)

This convention, alongwith the Protocols I and II, and the Protocols of 1978 and 1997 can be
amended by one of the following procedures :

Procedure A :
 An amendment proposed by a State, which is a party to this convention, shall be submitted to
the IMO for circulation to all the member States.
 It shall then be referred to the MEPC for consideration.
 It shall be adopted if 2/3rd of the party States present, vote in its favour.
 It shall then be circulated to all the States for acceptance.
 An amendment to the ---
 Articles of this convention,
 Articles of the protocols 1978 and 1997,
 Protocol II of this Convention, and
 Adoption of a new Annex,
shall be deemed to be accepted on the date when it is accepted by 2/3 rd of the party States,
whose combined merchant fleets are ≥ 50% of the GT of the world’s merchant fleet.

 The above amendment shall enter into force for all the States who have accepted it, 6 months
after the acceptance date.
 An amendment to the ---
 Annexes of this convention,
 Annexes of the protocols 1978 and 1997,
 Appendix to these Annexes, and
 Protocol I of this convention,
shall be deemed to be accepted on the date which is at least 10 months after the date of its
adoption, as decided by the MEPC, provided that within this period, either not less than 1/3 rd
of the party States, or the party States whose combined merchant fleets is ≥ 50% of the GT of
the world’s merchant fleet, do not object to its acceptance.

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 The above amendment shall enter into force for all the party States, who have not objected to
it, 6 months after the acceptance date.

Procedure B :
 If at least 1/3rd of the party States so desire, the IMO shall convene a conference to consider
the proposed amendment.
 Adoption, circulation, acceptance and entry into force shall be same as per Procedure A.

Unless expressly provided otherwise, an amendment relating to the structure of the ship shall
only apply to those ships whose keel is laid on or after amendment enters into force.

ANNEX I

REGULATIONS FOR THE PREVENTION OF POLLUTION BY OIL

IMPORTANT DEFINITIONS (Reg. 1)

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Oil : Petroleum in any form including crude oil, fuel oil, sludge, oil refuse and refined products,
listed in Appendix I, other than those covered by Annex II.
Animal and vegetable oils are NLS and fall under Annex II. (Interpretation 1.1)
Oily rag is treated as garbage under Annex V. (Interpretation 1.2)

Oil tanker : Ship constructed primarily to carry bulk oil cargo, including combination carrier,
NLS tanker (defined in Annex II) and gas carrier (defined in chapter II-1 of SOLAS) when
carrying bulk oil cargo.

Combination carrier : Ship designed to carry either oil or solid cargoes in bulk.

“From the nearest land” : From the baseline established in accordance with International law.
For the North-Eastern coast of Australia the co-ordinates of baseline are stated in this regulation.

Special areas : Mediterranean sea (including gulfs and seas therein), Baltic sea (including Gulfs
of Bothnia and Finland), Black sea, Red sea (including Gulfs of Suez and Aqaba), Gulfs area
(Persian Gulf), Gulf of Aden, Antarctic (South of 60 S), North-West European waters
(including North sea, Irish sea, Celtic sea, English channel and part of North-East Atlantic),
Oman area, and Southern South Africa (wef 01-03-2008).

Clean ballast : It means ballast in an oil tank, which has been so cleaned prior to ballasting that,
if the ballast from that tank is discharged from a stationary tanker, into calm waters, on a clear
day, it will not leave visible traces of oil on the surface of water. If the same ballast is discharged
through the ODMCS and it shows that the oil content ≤ 15 ppm, then the ballast is said to be
clean notwithstanding the presence of visible traces as stated above.

Segregated ballast : It means ballast introduced into a tank which is completely separated from
cargo and fuel systems, and is permanently used only for the carriage of ballast or cargo other
than oil or noxious liquid substances, as defined in this convention.
However, emergency discharge of this ballast may be carried out by providing a connection to a
cargo pump via a portable spool piece. Non-return valves shall be fitted on this line to prevent
passage of oil to the SBT. (Interpretation 3.1)
For a tanker whose keel is laid  01-07-92, sliding type couplings shall not be used for expansion
purposes for cargo or fuel lines passing through the SBT and for segregated ballast lines passing
through cargo or fuel tanks. (Interpretation 3.2)

APPLICATION (Reg. 2)

 It applies to all ships/tankers unless otherwise specified.

 For a ship, other than tanker, having spaces for carrying bulk oil cargo of aggregate capacity
≥ 200 m3, discharge criteria for cargo spaces of tankers, and certain other requirements of
this Annex, shall also apply.

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 If cargo covered by Annex II is carried in an oil tanker then the appropriate provisions of that
Annex shall also apply.
 If a tanker is carrying asphalt or other products, which through their physical properties
inhibit effective product/water separation and monitoring, then the requirements of Reg. 29,
31 and 32 (slop tank, ODMCS and interface detector) shall not apply, and instead the
residues shall be retained on board and discharged to a reception facility. (Interpretation 6)
 The requirement of Reg. 18, whereby crude oil tanker/product carrier of DWT  40000 tons
and delivered  01-06-1982, may be provided with COW/CBT systems respectively, in lieu
of SBT system, shall not apply, subject to certain conditions as stated in this regulation.

EXEMPTIONS (Reg. 3)

 Hydrofoil, air-cushion vehicle, near-surface craft, submarine craft, etc., which cannot comply
fully with this Annex, may be exempted from the appropriate provisions by the Flag State. If
so, then the IOPP certificate shall be endorsed accordingly and the IMO shall be informed so
that all other States can be informed.
 Tanker may be exempted from Reg. 29, 31 and 32 (slop tank, ODMCS and interface
detector) subject to certain conditions as stated in Reg. 3 and interpretations 7, 8 and 9. If so,
an appropriate entry for discharging shall be made in the ORB. Also the IOPP certificate
shall be endorsed with sufficient information for the Port State to determine that the tanker
complies with the conditions for exemption.

SURVEYS (Reg. 6)

 It applies to a tanker of GT ≥ 150 tons, and ship, other than tanker, of GT ≥ 400 tons.
 Following surveys of ship/tanker shall be carried out :
 Initial survey of complete structure, equipment, systems, fittings, arrangements and
material of the ship/tanker, before it is put in service.
 Renewal survey of the above items at intervals of ≤ 5 years.
 Intermediate survey of all equipment, including pumps, piping, ODMCS, COW, and
oily-water separating and oil filtering systems, within  3 months of the 2nd or 3rd
anniversary date of issue of the IOPP certificate. This survey shall be in lieu of the 2 nd or
3rd annual survey stated below.
 Annual survey, consisting of general inspection of all the items prescribed for initial
survey, within  3 months of the anniversary date of issue of the IOPP certificate.
 Additional general or partial survey after important repairs or renewals.

 Surveys shall be carried out by the Flag State surveyors or by nominated surveyors or
recognised organisations (RO), but the State shall guarantee completeness and efficiency of
surveys. Refer Res. A.739(18) and A.789(19)
 The State shall inform the IMO about the specific responsibilities and conditions of authority
delegated to the nominated surveyors or ROs, for circulation to all other States.
 If the nominated surveyor or RO determines that the condition of the ship/tanker or
equipment does not comply with the requirements of this Annex then they shall take

12
 corrective measures and inform the Flag and Port States. The ship/tanker shall not sail till the
deficiencies are rectified.
 After completion of survey no change shall be made in any item without the sanction of the
Flag State, except the direct replacement of equipment and fittings.
 If a defect occurs due to an accident or otherwise, which affects the requirements of this
Annex, then the Master or owner shall inform the Flag State, and the nominated surveyor or
RO who has issued the certificate, who shall investigate and determine the extent of survey
required. The Port State shall also be informed.

CERTIFICATE (Reg. 7, 8, 9 and 10)

 After completion of initial or renewal survey, a tanker of GT ≥ 150 tons a ship, other than
tanker, of GT ≥ 400 tons shall be issued with an International Oil Pollution Prevention
(IOPP) certificate by the Flag State or by the nominated surveyor or RO, but the Flag State
shall assume full responsibility for the certificate.
 Another party State may, at the request of the Flag State, survey and issue the certificate with
an endorsement that the certificate has been issued at the request of the Flag State.
 It shall be in prescribed format and shall contain a translation in English, French or Spanish.
 It shall be supplemented by a record of construction and equipment, which is Form A for a
ship other than tanker, and Form B for a tanker, as prescribed in appendix II to this Annex.
 Designation of tanker shall be mentioned on the certificate as follows (Interpretation 12) :
 Crude oil tanker : if it is allowed to carry only crude oil.
 Product carrier : if it is allowed to carry only product oil.
 Crude oil/product carrier : If it is allowed to carry both crude and product oils.

 It shall be valid for ≤ 5 years.

 If the renewal survey is completed within 3 months before the expiry of the existing
certificate, or at any time after its expiry, then the new certificate issued shall be valid for
maximum 5 years from the date of expiry of the existing certificate.
 If the renewal survey is completed more than 3 months before the expiry of the existing
certificate, then the new certificate issued shall be valid for maximum 5 years from the date
of completion of the renewal survey.
 If the certificate has been issued for less than 5 years then the Flag State may extend it for the
balance period upto maximum 5 years from the original date of issue provided that all the
surveys have been carried out.
 If after completing the renewal survey a new certificate cannot be issued then the RO may
extend the existing certificate for maximum 5 months.
 If the certificate expires in a port where the ship/tanker cannot be surveyed then the Flag
State may extend its validity by maximum 3 months to allow it to reach the port of survey,
and it shall not sail from that port without a new certificate. After completing the renewal
survey at that port the new certificate issued shall be valid for maximum 5 years from the
date of expiry of the existing certificate before it was extended.
 A certificate issued to a ship/tanker engaged on short voyages, which has not been extended
as stated above, may be extended by the Flag State for a grace period of maximum 1 month.

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 After completing the renewal survey the new certificate issued shall be valid for maximum 5
years from the date of expiry of the existing certificate before it was extended.
 In special circumstances as decided by the Flag State, a new certificate issued may be valid
for maximum 5 years from the date of completion of the renewal survey instead of from date
of expiry of the existing certificate, for benefit of the ship/tanker owner.
 If the annual or intermediate survey is completed before the specified period then the expiry
date of the certificate shall be amended to a new date which shall not be more than 3 months
after the date of completion of the said survey. Subsequent surveys shall be carried out within
the specified periods counting from the new expiry date.
 The certificate shall cease to be valid in the following cases :
 If the relevant surveys are not carried out within the specified periods. If the relevant
survey is subsequently carried out, then the validity of the certificate may be restored
without changing the expiry date of the certificate. (Interpretation 14)
 If the annual or intermediate surveys are not endorsed on the certificate.
 If the ship/tanker is transferred to another State.

PORT STATE CONTROL (Reg. 11)

 Ship/Tanker is subject to Port State inspection if there are clear grounds for believing that
Master or crew are not familiar with the essential shipboard procedures relating to pollution
prevention.
 In such a case the ship/tanker shall not sail until it complies with requirements of this Annex.
 Article 5 of this convention and Res. A.787(19) as amended by A.882(21) shall apply.

DISCHARGE CRITERIA

DISCHARGE FROM CARGO AREA OF TANKER (Reg. 34)

 Within a special area only clean or segregated ballast can be discharged into the sea.
 Outside special area, cargo oil can be discharged into the sea only if all the following
conditions are satisfied :
 Distance from the nearest land > 50 miles.
 Tanker is en route.
 Instantaneous rate of discharge of oil ≤ 30 litres / mile.
 Total quantity of oil discharged ≤ 1/30000 for a tanker delivered > 31-12-1979, and
1/15000 for a tanker delivered  31-12-1979, of the total quantity of the particular cargo
of which the residue formed a part.
 The total quantity of cargo means the total cargo which was carried on the previous
voyage, and it does not relate only to the total cargo which was carried in the particular
tanks in which ballast was subsequently loaded. (Interpretation 53)
 Approved ODMCS is operational.
 Approved slop tank arrangement is provided.
 Approved oil/water interface detector is provided.
 The above criteria does not apply to discharge of clean or segregated ballast.

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 For a tanker of GT < 150 tons ODMCS, slop tank arrangement and oil/water interface
detector need not be provided if the oil is retained on board for subsequent discharge to a
reception facility. This also applies to a ship, other than tanker, having spaces for carrying
bulk oil cargo of aggregate capacity ≥ 200 but < 1000 m3. (Reg. 2)
 The above discharge criteria shall also apply to a ship, other than tanker, having spaces for
carrying bulk oil cargo of aggregate capacity ≥ 200 m3. (Reg. 2)
 Machinery oil may be transferred to the slop tank for being discharged as stated above, but
cargo oil in slop tank cannot be transferred to the machinery space bilges. (Interpretation 22)

DISCHARGE FROM MACHINERY SPACE OF SHIP/TANKER (Reg. 15)

 From a ship/tanker of GT ≥ 400 tons oily mixture can be discharged into the sea, only if all
the following conditions are satisfied :
 Ship/tanker is en route.
 Oil content of the effluent ≤ 15 ppm, without dilution.
 Filtering equipment, as specified in Res. A.393(10) and amended by MEPC.24(22), is
provided for processing the oily mixture, and it is fitted with alarm and auto-stop devices.
Refer Res. MEPC.60(33) revised by MEPC.107(49)
 There is no cargo oil.
 For a ship/tanker of GT < 10000 tons, alarm and auto-stop devices shall be fitted to the
filtering equipment only under the following circumstances :
 If the ship/tanker carries large quantity of fuel due to prolonged stay at sea, which
makes it necessary to carry ballast in fuel tanks for stability reasons (Reg. 16.2 and
interpretation 23), or
 If the effluent is to be discharged in a special area.

 For a ship/tanker of GT < 400 tons oily mixture can be discharged into the sea only if all the
following conditions are satisfied :
 Ship/tanker is en route.
 Oil content of the effluent ≤ 15 ppm, without dilution.
 Bilge water is processed through an approved equipment.
 There is no cargo oil.

 Machinery space bilges may be transferred to slop tank but the reverse is not permitted.
(Interpretation 22.1.2)
 If residues cannot be discharged to sea as stated above, then it shall be discharged to a
reception facility through prescribed standard discharge connection.
 Sludge tanks (Reg. 12) of adequate capacity (Interpretation 15) are provided for retaining oil
residues. It shall not have any direct connection overboard, other than through the standard
discharge connection, for discharging to a reception facility.

EXEMPTION FROM FILTERING EQUIPMENT (Reg. 14.5)

 Ship/tanker may be exempted from fitting a filtering equipment under following conditions :
 It is exclusively engaged on voyages within special areas, or

15
  It is a High Speed Craft with a turn-around time  24 hours.

 The above ship/tanker shall also comply with all the following conditions :
 It is fitted with holding tank of sufficient capacity for total retention of oily bilge water,
for subsequent discharge to a reception facility.
 Adequate reception facilities are available at sufficient ports of call.
 The IOPP certificate is endorsed accordingly.
 Appropriate entries for discharging are made in the ORB.

ANTARCTIC AREA (Reg. 15.4 and 38.7)

Sludge, dirty ballast, tank washings, oily residues and mixtures shall not be discharged in the
Antarctic area from any ship/tanker. At the ports where a ship/tanker departs for or arrives from
the Antarctic area, adequate facilities shall be provided to receive all the above items, according
to the needs of the ship/tanker, without causing it undue delay.

EXCEPTIONS (Reg. 4)

Discharge in excess of the above criteria is permitted under the following circumstances :
 For safety of the ship/tanker.
 For saving life.
 Due to damage to ship/tanker or its equipment, provided all reasonable precautions have been
taken after the damage to prevent or minimise discharge, and provided owner or Master did
not cause the damage intentionally, recklessly or knowingly.
 For combating a specific pollution incident, with the approval of the coastal State.

RECEPTION FACILITIES (Reg. 38)

REQUIREMENTS FOR ALL PORTS

 All States shall ensure that facilities for reception of oil residues and mixtures from
ship/tanker are provided at all ports, including repair yards and bulk cargo ports. This is
particularly applicable to ports where crude oil tankers arrive after a ballast passage of ≤ 72
hours or a distance of ≤ 1200 miles, or where oil other than crude oil is loaded at rate > 1000
tons/day.
 The facilities shall be adequate to meet the needs of the different types of ships/tankers
calling at the port, particularly if the ship/tanker is not able to discharge the oil residues and
mixtures in accordance with the discharge criteria.
 Tanker which unloads high density oils e.g. asphalt, has to complete tank cleaning operations
before departure, in accordance with this Annex. The unloading port shall have adequate
facilities to receive all such washings, residues and solvents. (Interpretation 55)
 Facilities shall be adequate so as not to cause undue delay to the ship/tanker. MEPC.83(44)
 Each State shall inform the IMO if the facilities at any port are not adequate.

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 At the ports where ship/tanker departs for or arrives from the Antarctic area, adequate
facilities shall be provided to receive all sludge, dirty ballast, tank washings, oily residues
and mixtures, according to the needs of the ship/tanker, without causing it undue delay.

ADDITIONAL REQUIREMENTS FOR PORTS IN SPECIAL AREAS

 Facilities shall be provided to receive dirty ballast and tank washings from a tanker.
 For ports within Red sea, Gulfs area, Gulf of Aden, Oman area and Southern South Africa,
following conditions shall apply :
 Each State shall inform IMO when adequate facilities have been provided at its ports.
 After IMO has received sufficient notifications for a given area, it shall fix a date from
when that area shall be treated as a special area, and inform all States at least 12 months
before the date so fixed.
 Till that date all ships/tankers in that area shall comply with the discharge criteria for
non-special areas.
 After that date all tankers calling at ports within that area, where such facilities are not
yet available, shall also comply with the discharge criteria for special areas.

BALLASTING ARRANGEMENTS (REG. 18)

The requirements given below do not apply to a tanker used for storage of dirty ballast received
from other tankers. (Interpretation 25)

SEGREGATED BALLAST

Crude oil tanker of DWT ≥ 20000 tons and product carrier of DWT ≥ 30000 tons delivered > 01-
06-1982, and all tankers of DWT  70000 tons delivered > 31-12-1979, shall be provided with
SBT whose total capacity shall be such that tanker operating in lightweight condition plus
segregated ballast only, shall satisfy all the following requirements :
 Tanker can operate safely without taking ballast in cargo tanks.
 Moulded draft amidships ≥ 2.0 + 0.02L.
L --- Length of the tanker as defined, approximately LBP.
Deformation of the tanker shall not be taken into account.
 Trim by the stern ≤ 0.015L.
 Propellers shall be fully immersed.
 Tanker of length < 150m. may comply with the guidelines given in Appendix 1 to the
interpretations in lieu of the above requirements, as decided by the Flag State.

ADDITIONAL BALLAST

 Additional ballast may be carried in the cargo tanks under the following circumstances
(Interpretation 26) :
 For safety of the tanker in severe weather conditions.
 If a combination carrier has to operate beneath a low loading or unloading gantry.
 If a tanker has to pass under a low bridge.

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  If local regulations require specific drafts for safe navigation.
 If loading and unloading arrangements require the tanker to be at a specific draft.

 If additional ballast is carried then the tanker shall comply with the following conditions :
 Such ballast is discharged according to the discharge criteria.
 Appropriate entry is made in the ORB when the ballast is discharged.
 In crude oil tanker the cargo tanks to be ballasted are crude oil washed as prescribed,
before departure from an unloading port.

PROTECTIVE LOCATION OF SBTs

 The SBTs of all tankers as stated above, which are located along the cargo tank length, shall
provide a measure of protection against outflow of oil in the event of grounding or collision,
by complying with the following formula :

PAC + PAS ≥ J[LT(B + 2D)]

PAC Side shell area of each SBT which extends for full depth of the tanker or upto the
top of the DB tank, as the case may be, and whose width ≥ 2m.
PAS Bottom shell area of each SBT whose depth ≥ B/15 or 2m. whichever is less.
J Varies from 0.3 to 0.45 depending on DWT of tanker, as given in this Annex.
LT Total length of the cargo tanks.
B Maximum breadth of the tanker amidships as defined.
D Moulded depth of the tanker amidships as defined.

 PAC and PAS shall be calculated in accordance with appendix 2 to the interpretations.

ALTERNATE SYSTEMS IN LIEU OF SBT

 Tanker delivered  01-06-1982 may have special ballast arrangements subject to certain
conditions as stated in Reg. 18.10. If so, then the IOPP certificate shall be suitably endorsed
and IMO shall be informed for circulation to all States.
 Tanker of DWT ≥ 40000 tons delivered  01-06-1982 may be provided with alternate system
in lieu of SBT system as follows :
 COW system for crude oil tanker unless crude oil is not suitable for crude oil washing.
 CBT system for product carrier as prescribed in Res. A.495(12).
 COW and CBT systems for tanker designated as “crude oil/product carrier”, which shall
operate in accordance with procedures established by the Flag State. (Interpretation 28)
 The above alternate systems shall not be required if all the following conditions are
complied with (Reg. 2) :
 Tanker is engaged in trade within the ports of a Party State, or the voyage is within a
special area, or within limits designated by IMO.
 Adequate reception facilities are available at cargo loading ports for all ballast,
including clean ballast, and tank washing residues.
 All Port States in the area agree to the above arrangement.

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  Appropriate entry is made in the ORB and endorsed by Port State. (Appendix III)
 IOPP certificate is endorsed accordingly.

CARRIAGE OF BALLAST IN FUEL TANK AND

OIL IN FOREPEAK TANK (Reg. 16)

 The following ships/tankers shall not carry ballast in any fuel tank :
 Tanker of GT ≥ 150 tons, delivered > 31-12-1979.
 Ship, other than tanker, of GT ≥ 4000 tons, delivered > 31-12-1979.
 Ship, other than tanker, having spaces for carrying bulk oil cargo of aggregate capacity 
200 m3. (Reg. 2)

 If there is need to carry large quantities of fuel due to extended stay at sea, which makes it
necessary to carry ballast in the fuel tanks for stability and safe navigation, then such dirty
ballast shall be discharged as per the specified criteria. (Interpretation 23)
 Ship/tanker of GT  400 tons whose keel is laid > 01-07-1982, and ship, other than tanker,
having spaces for carrying bulk oil cargo of aggregate capacity  200 m3 (Reg. 2), shall not
carry any oil in any tank forward of collision bulkhead.

OIL FUEL TANK PROTECTION (Reg. 12A)

 This applies to ships with oil fuel capacity of  600 m3, delivered  01-08-2010.
 Location of fuel tanks does not govern over the requirements of Double hull.
 Individual fuel tank capacity  2500 m3.
 Detailed requirements for the location of these tanks, and the assumed outflow due to
accidental damage, is given in this regulation.

DOUBLE HULL REQUIREMENTS

TANKER DELIVERED  06-07-1996 (Reg. 19)

 This applies to a tanker of DWT ≥ 600 tons, except a tanker used for storage of dirty ballast
received from other tankers. (Interpretation 25).
 The entire length of the cargo tanks shall be protected by locating SBTs along the shipside
for the full depth, and along the bottom for the full breadth, as stated below.
 Tanker of DWT ≥ 5000 tons shall comply with the following :
 Width of wing SBT ≥ {0.5 + (DWT / 20000)} or 2.0m., whichever is less, mini. 1.0m.
 Depth of D.B. SBT ≥ B/15 or 2.0m., whichever is less, minimum 1.0m.
 Aggregate capacity of wing, D.B., forepeak and after peak ballast tanks shall satisfy the
minimum requirement of SBT.
 Suction well in the cargo tank may protrude into the D.B. ballast tank under it, such that
residual depth of D.B. tank below the well shall be ≥ half the total depth of D.B. tank.

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  Piping for ballast, sounding, ventilation, etc., to the ballast tanks, shall not pass through
cargo tanks, and vice-versa. Exemption may be granted for short lengths of such piping.
 In lieu of the D.B. ballast tank, a deck may be constructed in the cargo tanks to create
upper and lower cargo tanks as follows :
 Height of the deck above bottom ≥ B/6 or 6.0m., whichever is less, and
 Height of the deck above bottom ≤ 0.6D.
 Cargo and vapour pressure on bottom plating ≤ External water pressure, as calculated
by the following formula :

(F  HC  PC  G) + P ≤ (DN  PS  G)

B Maximum breadth of the tanker amidships as defined.

D Moulded depth of the tanker amidships as defined.
F 1.1 (safety factor)
HC Height of the cargo in the bottom tank.
PC Maximum cargo density (kg/m3)
G 9.81 m/s2
P Maximum set pressure of P/V valve above atmospheric pressure (pascals).
DN Minimum operating draft under any expected loading condition.
PS 1.025 t/m3

 Other methods of design and construction as an alternative to the above requirements

may be accepted in accordance with the guidelines given in Res. MEPC.110(49).

 Tanker of DWT < 5000 tons shall comply with the above requirements OR as follows :
 Width of wing SBT ≥ [0.4 + {(2.4  DWT) / 20000}], minimum 0.76m.
OR each cargo tank ≤ 700 m3.
 Depth of D.B. SBT ≥ B/15, minimum 0.76m.
 Oil shall not be carried in any tank forward of collision bulkhead.

TANKER DELIVERED < 06-07-1996 (Reg. 20)

 This applies to tankers of DWT ≥ 5000 tons, which do not comply with the requirements of
Double hull as stated above, except the following tankers :
 Tanker used for storage of dirty ballast received from other tankers. (Interpretation 25)
 Tanker complying with the Double hull requirements stated above, but not fully
complying with the requirement of minimum distances between the cargo tank
boundaries and the shipside and bottom plating, provided that the side protection distance
complies with the IBC Code for Type 2 cargo tank location, and the bottom protection
distance is  B/15 or 2m., whichever is less. B is breadth of the tanker.

 These tankers are divided into the following categories :

 Category 1 : Tanker without SBT, of DWT ≥ 20000 tons carrying crude, fuel, heavy
diesel or lubricating oils as cargo, and of DWT ≥ 30000 tons carrying other oils.

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  Category 2 : Tanker having protectively located SBT, of DWT as stated for category 1.
(Interpretation 36)
 Category 3 : All tankers of DWT ≥ 5000 tons but less than DWT for categories 1 or 2.

 Tanker of any category shall comply with the requirements of Double hull as stated above,
not later than the anniversary date of its delivery which falls in the year specified in the table
in this Annex. The compliance year depends on the category of the tanker and its date of
delivery. Final compliance year is as follows :
Category 1 : 2005 ; Categories 2 and 3 : 2010, for tanker delivered in 1984 or later.
 Flag State may allow a tanker of category 2 or 3, to operate beyond the date specified above,
but upto 25 years after its date of delivery, subject to the following conditions :
 It is fitted with wing and/or DB spaces which extend for the entire cargo tank length but
whose width and depth respectively may be less than the specifications for Double hull
tanker stated above.
 Oil is not carried in these spaces.
 It was in service on 01-07-2001.

 Tanker of category 2 or 3 of 15 years and over after the date of its delivery shall comply with
the Condition Assessment Scheme (CAS) as given in MEPC.94(46) as amended. If in the
opinion of the Flag State the results of the CAS shows that the tanker is fit to continue
operating beyond the compliance year as stated in the table in this Annex, then the Flag State
may allow it to so operate upto the anniversary date of its delivery in 2015 or upto 25 years
after its date of delivery, whichever is earlier.
By implication it means that only a tanker delivered after 1984 may be permitted to operate
beyond 2010, upto 2015 or upto 25 years after its date of delivery, whichever is earlier. A
tanker delivered before 1984 would complete 25 years before 2010, hence there is no
question of granting any extension to it beyond 2010.
 Flag State shall communicate to IMO any extension granted for circulation to other States.
 A Port State may deny entry to a tanker which has been granted extension, in which case it
shall inform IMO.

PUMP-ROOM BOTOM PROTECTION (Reg. 22)

On a tanker of DWT  5000 tons, delivered  01-01-2007, D.B. shall be provided below the
cargo pump-room of height B/15 or 2m., whichever is less, minimum 1m., except under the
following circumstances :
 Bottom of the pump-room is located above the ship’s baseline by the minimum distance
stated above.
 Flooding of the pump-room would not render the ballast or cargo pumping system
inoperative.

CONDITION ASSESSMENT SCHEME

MEPC.94(46)

GENERAL REQUIREMENTS

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 It applies to tankers of categories 2 and 3 of 15 years and over after the date of its delivery.
 It has been developed on the basis of Annex B of the Guidelines on the Enhanced
Programme of Inspections, which are carried out in accordance with Chapter XI-1 of the
SOLAS convention and IMO Res. A.744(18) as amended by Res. 2 of the 1997 SOLAS
conference, by MSC.49(66) and by MSC.105(73).
 It shall be updated as and when enhanced programme of inspections is amended.
 It is meant to verify that structural condition of a single-hull tanker is acceptable and will
continue to be acceptable during the subsequent period of operation of the tanker.
 It applies to surveys of the hull structure in way of cargo tanks, pump rooms, cofferdams,
pipe tunnels, void spaces within the cargo tanks, and all ballast tanks.
 The first CAS survey shall be carried out alongwith the enhanced programme of inspections,
concurrent with the intermediate or renewal survey after 05-04-2005 or when the ship
reaches 15 years of age, whichever occurs later. Thereafter it shall be carried out at intervals
of  5 ½ years.
 It shall be carried out by the Flag State or by RO.

PROCEDURE OF SURVEY

 Ship owner shall notify the Flag State and RO of its intention to proceed with the CAS.
 RO shall issue a Survey Planning Questionnaire to the owner in the prescribed format.
 The owner shall complete the questionnaire and send it to the RO and the Flag State.
 Owner shall prepare a Survey Plan for the CAS, in co-operation with the RO and the Flag
State, and submit it to both of them.
 The plan shall be developed using the Model Survey Plan set out in the appendix to this
Scheme, after taking into account the overall status of the tanker and various survey
documents, as stated in this Scheme.
 Extent of the survey shall be in accordance with this Scheme and the enhanced programme of
inspections, including close-up surveys and thickness measurements.
 The survey shall be conducted safely in accordance with the mandatory requirements stated
in the appendix to this Scheme.
 At least 2 qualified exclusive surveyors of the RO, who have been trained and are
experienced in carrying out intermediate or renewal surveys, shall carry out this survey. They
shall also supervise the taking of the thickness measurement.
 To ensure safe and efficient execution of the survey, a meeting shall be held between the
surveyors, owner’s representative, thickness measurement firm operator and Master.
 All recommendations and conditions of class shall be rectified to the satisfaction of the RO.
 Surveyor/s shall prepare the CAS Survey Report, as stated in this Scheme, and forward it to
RO headquarters for review, alongwith photographs, sketches, scantlings, etc.
 After review, the RO shall prepare the CAS Final Report, as stated in this Scheme, and
submit it to the Flag State.
 The RO shall issue an Interim Statement of Compliance to the tanker in the prescribed
format, valid for  5 months or till the Statement of compliance is issued by the Flag State,
whichever is earlier.
 The Flag State shall review the final report and prepare a Review Record.

22
 Each of the above actions shall be completed within the prescribed time frame, prior to the
anniversary date of the delivery of the tanker in the appropriate compliance year, as
prescribed in the table in this Annex.
 On satisfactory completion of the above actions, the Flag State shall issue a Statement of
Compliance to the tanker in the prescribed format, valid for  5 ½ years, alongwith the final
report of the RO and the review record of the State. On issue of this statement, the interim
statement issued by the RO shall expire.
 The Statement shall be in the official language of the Flag State, with a translation in English,
French or Spanish. It shall be a supplement to the IOPP certificate.
 A copy of the Statement and the review record of the State shall also be given to RO.
 Till the Statement is issued, the tanker shall remain out of service after the appropriate
compliance date prescribed in the table in the Annex.
 The Flag State may declare the Statement as valid even if the tanker is subsequently
transferred to another RO or another owner, provided that the period of validity and other
conditions for issue of the Statement remains the same.
 If the owner fails to obtain the Statement, and changes the flag of his tanker, then the new
Flag State shall obtain the complete CAS documentation from the previous Flag State, and
ensure that the earlier grounds of rejection are adequately dealt with before issuing the
Statement to the tanker.
 If the owner changes the flag of his tanker after obtaining the Statement, then the new Flag
State shall obtain the complete CAS documentation from the previous Flag State, and may
issue a new Statement to the tanker.
 The Flag State shall send to IMO the particulars of the Statement issued and also the
particulars of the tanker to which it has declined to issue the Statement.

CARRIAGE OF HEAVY GRADE OIL CARGO (Reg. 21)

 Heavy grade oil cargo means as follows :

 Crude oil of density > 900 kg/m3 at 15C.
 Oil, other than crude oil, of density > 900 kg/m 3 at 15C or kinematic viscosity > 180
mm2/s at 50C.
 Bitumen, tar and their emulsions.

 Tanker of DWT  600 tons carrying heavy grade oil cargo, regardless of the date of delivery,
shall comply with the Double hull requirements stated above, by following dates :
 DWT  5000 tons --- not later than 05-04-2005.
 DWT  600 tons < 5000 tons --- not later than the anniversary date of delivery of the
tanker in the year 2008.

 This does not apply to a tanker complying with the Double hull requirements stated above,
even if it does not fully comply with the requirement of minimum distances between the
cargo tank boundaries and the shipside and bottom plating, provided that the side protection
distance complies with the IBC Code for Type 2 cargo tank location, and the bottom
protection distance is  B/15 or 2m., whichever is less. B is breadth of the tanker.

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 The Flag State may grant certain exemptions, subject to certain conditions, as stated in the
Annex, in which case it shall inform the IMO about it for circulation to the other States.
 The Port State may deny entry to a tanker which has been granted any exemption, except
when it is necessary for safety of a ship or for saving life. In such cases it shall inform IMO.

DISCHARGE ARRANGEMENTS FOR TANKER (Reg. 30)

 Manifold for connection to reception facilities shall be provided on open deck on both sides.
 Discharge of ballast or oily water into the sea from the cargo tank areas of a tanker of GT 
150 tons, as permitted by the discharge criteria, shall be from above the waterline in the
deepest ballast condition, except that the following discharges are permitted from below the
waterline (Interpretation 49) :
 Segregated or clean ballast, subject to both the following conditions :
 Discharge is in port, or at sea by gravity, or at sea by pumps if ballast water exchange is
performed in accordance with the Ballast Water Management Convention.
 Surface of the water in the tank is examined before discharge to ensure that it is not
contaminated with oil.

 Segregated ballast from a tanker delivered  31-12-1979, subject to all the following
conditions :
 Discharge is at sea.
 Tanker is not capable of discharging it from above the waterline.
 Surface of water is examined before discharge to ensure that it is not contaminated with
oil.

 Ballast from CBTs of a tanker delivered  01-06-1982, subject to both the following
conditions :
 Tanker is not capable of discharging it from above the waterline.
 Discharge is monitored by an oil content meter.

 Dirty ballast or oily water from the cargo tanks, other than from the slop tanks, subject to
all the following conditions :
 Discharge is at sea by gravity.
 Sufficient time has elapsed to allow oil/water separation.
 Interface detector is used to ensure that the height of the interface is such that the
discharge does not involve any risk to the environment.

 Dirty ballast or oily water from the cargo tank areas of a tanker delivered  31-12-1979,
subject to all the following conditions :
 Discharge is at sea.
 Part of the discharge is led by permanent piping to the upper deck where it can be
visually observed.
 Part flow arrangements comply with the requirements of the Flag State, in accordance
with the specifications given in appendix 4 to the interpretations.

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 In a tanker of GT  150 tons, delivered > 31-12-1979, means for stopping the discharge of
ballast or oily water from the cargo tank areas into the sea shall be provided at a location on
the upper deck such that the manifold and the discharge may be visually observed from that
location. This is not required under the following conditions :
 If the discharge is permitted from below the waterline, as stated above.
 If a communication system is provided between the observation position and the
discharge control position.

 After discharging the cargo from a tanker having SBT or COW system, the pipeline and
pumps shall be drained, by using stripping pump if necessary, either ashore or to a cargo or
slop tank. Draining ashore shall be carried out via a special small diameter pipeline,
connected outboard of the manifold valves on both sides, of maximum cross-sectional area as
stated in interpretation 50.
 On a tanker of GT  150 tons, delivered  01-01-2010, having a sea chest permanently
connected to the cargo pipeline system, shall have a sea chest valve and an inboard isolating
valve. Arrangement shall be made as decided by the Flag State and as stated in interpretation
52, to prevent the section of the pipeline between the two valves from filling with cargo
during loading, transportation and discharging operations.
 The above requirements shall also apply to a ship, other than tanker, having cargo spaces for
carrying bulk oil of aggregate capacity ≥ 200 m3.

SYSTEMS, ARRANGEMENTS AND EQUIPMENT

DEDICATED CLEAN BALLAST TANK SYSTEM (Reg. 18.8)

 It may be provided for product carrier of DWT ≥ 40000 tons, delivered  01-06-1982, in lieu
of SBT system, as prescribed in Res. A.495(12).
 CBT capacity, dedicated solely for carrying clean ballast, shall be adequate to meet the
requirements of a SBT tanker delivered > 01-06-1982.
 All the SBTs, cofferdams and peak tanks may be included in calculating the CBT capacity,
provided that these are exclusively used for ballast and are permanently connected to the
ballast pumps. (Interpretation 29)
 Tanker shall operate in accordance with an approved CBT manual as specified in Res.
A.495(12).
 Tanker designated as crude oil/product carrier shall be provided with COW system in
addition to CBT system. If so, then approved changeover procedures shall be provided, but
carriage of crude oil in CBT mode is not permitted. (Interpretation 28)
 Approved oil content meter shall be provided as specified in Res. A.393(10) or A.586(14) or
MEPC.108(49). It need not have a recording and an auto-stop device. (Interpretation 30)

CRUDE OIL WASHING SYSTEM (Reg. 33 and 35)

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 It is required for crude oil tankers of DWT ≥ 20000 tons delivered > 01-06-1982, unless the
tanker carries oil which is not suitable for COW operation.
 It shall be provided within one year of the operation of the tanker or by the end of the third
voyage carrying crude oil, whichever occurs later.
 Crude oil tanker of DWT  40000 tons delivered  01-06-1982, may operate with the COW
system in lieu of the SBT system. (Reg. 18.7)
 The COW installation and equipment shall be approved in accordance with the specifications
given in Res. A.446(11) as amended by A.497(12) and A.897(21).
 Cargo tanks may have to be ballasted during the voyage due to severe weather conditions.
Hence, depending on the trade of the ship, sufficient number cargo tanks shall be crude oil
washed prior to departure.
 An approved COW manual shall be prepared in accordance with specifications given in Res.
MEPC.3(12) as amended by MEPC.81(43).
 The above requirements do not apply to a tanker used for storage of dirty ballast received
from other tankers. (Interpretation 25)

SLOP TANK ARRANGEMENT (Reg. 29)

 Approved arrangement for transferring dirty ballast residues and tank washings to slop tanks
shall be provided for a tanker of GT ≥ 150 tons and for a ship, other than tanker, having
spaces for carrying bulk oil cargo of aggregate capacity ≥ 1000 m3. (Reg. 2)
 It is not required if the tanker is carrying asphalt, etc., which cannot be effectively separated
and monitored. (Reg. 2)
 In a tanker delivered  31-12-1979, any cargo tank may be designated as slop tank.
 The total capacity of all the slop tanks shall be calculated as follows :
 ≥ 3% of the capacity of all the cargo tanks.
 ≥ 2% of the capacity of all the cargo tanks, if the tanker is provided with SBT, CBT or
COW system.
 ≥ 1% of the capacity of all the cargo tanks of a combination carrier, if the tanks have
smooth or vertically corrugated walls. (Interpretation 48)
 The values stated above may be reduced to 2%, 1.5% and 0.8% respectively if, once the
slop tanks are charged with washing water, it shall be sufficient for tank washing and
operating eductors, without introducing more water into the system.

 Tanker of DWT ≥ 70000 tons delivered > 31-12-1979, shall be provided with at least 2 slop
tanks.
 Slop tanks shall be designed so as to avoid excessive turbulence, entrainment of oil or
emulsion with water.
 Tanker may be exempted from slop tank subject to certain conditions as stated in Reg. 3 and
interpretations 7, 8 and 9.

SLUDGE TANK ARRANGEMENT (Reg. 12)

 It is required for all ships/tankers of GT ≥ 400 tons to collect oil residues resulting from
purification of fuel and lubricating oils, and leakages in the machinery space.

26
 Capacity of these tanks shall be determined in accordance with interpretation 15.
 Oil residues may be incinerated (Appendix III - Form of ORB), or discharged to the
reception facility only via the standard discharge connection. If there is any other overboard
connection then it shall be blanked. (Interpretation 16)
 Tanks of ship/tanker delivered > 31-12-1979 shall be designed and constructed so as to
facilitate their cleaning and discharge of residues to a reception facility.
 Tanks of ship/tanker whose keel was laid  31-12-1990 should comply with the following
(Interpretation 17) :
 Sufficient man-holes should be provided to reach all parts of the tank for cleaning.
 Heating arrangement should be provided to facilitate pumping out of the contents.
 A suitable pump should be designated for discharging the contents to reception facility.
 There should be no connection between the sludge and bilge tanks piping system, except
the common connection to the standard discharge connection.
 Settled water in the tank may be manually drained.

OIL DISCHARGING MONITORING AND CONTROL SYSTEM (Reg. 31)

 It is required for all tankers of GT ≥ 150 tons and for other ships having spaces for carrying
bulk oil cargo of aggregate capacity ≥ 1000 m3. (Reg. 2)
 It is not required if the tanker is carrying asphalt, etc., which cannot be effectively separated
and monitored. (Reg. 2)
 The ODMCS, and the oil content meter incorporated in it, shall be approved in accordance
with the specifications in Res. A.393(10) or A.496(12) or A.586(14) or MEPC.108(49).
 It shall come into operation when there is any discharge of effluent.
 The discharge shall be automatically stopped if the instantaneous rate of discharge exceeds
the prescribed value, or if the ODMCS fails.
 If it fails then a manually operated alternative method may be used.
 It shall be fitted with a device for continuous recording of the following :
 Discharge of oil in litres / mile and the total quantity discharged, or
 Oil content (ppm) of the mixture discharged and the rate of discharge, and
 Date and time of discharge.

 The record shall be kept for at least 3 years.

 An approved ODMCS manual shall be provided.
 Tanker may be exempted from ODMCS subject to certain conditions as stated in Reg. 3 and
interpretations 7, 8 and 9. If so, an appropriate entry for discharging shall be made in the
ORB. Also the IOPP certificate shall be endorsed with sufficient information for the Port
State to determine that the tanker complies with the conditions.

FILTERING EQUIPMENT (Reg. 14)

 It is required for a ship/tanker of GT ≥ 400 tons.

 Certain special purpose ships mentioned in this regulation need not be fitted with this
equipment. If so, all oily bilge water shall be totally retained in holdings tanks on board, and
subsequently discharged to a reception facility.

27
 It shall be designed and approved in accordance with the specifications given in Res.
A.393(10) or MEPC.60(33) or MEPC.107(49).
 It shall ensure that the oily mixture discharged into the sea has an oil content of  15 ppm.
 Ship/tanker of GT < 400 tons, if not fitted with this equipment, shall retain all oily mixtures
on board.
 For ship/tanker of GT ≥ 10000 tons, this equipment shall be fitted with alarm and auto-stop
device, in accordance with the above IMO resolutions, which shall stop the discharge if the
oil content in the oily mixture > 15 ppm.
 For ship/tanker of GT < 10000 tons, this equipment shall be fitted with alarm and auto-stop
device only under the following circumstances :
 If the ship/tanker carries large quantities of fuel due to prolonged stay at sea, which
makes it necessary to carry ballast in fuel tanks for stability reasons, and this ballast has
to be discharged into the sea (Reg. 16 and interpretation 23), or
 If the effluent is to be discharged in a special area, even if the oil content < 15 ppm.
(Interpretation 18)

 Flag State may grant exemption from this equipment provided all the following conditions
are complied with :
 Ship/tanker is exclusively engaged in special areas, or a High-Speed craft is engaged on a
service  24 hours.
 Oily mixture is totally retained in holdings tanks on board, and is subsequently
discharged to a reception facility.
 Adequate reception facilities are available at the ports.
 IOPP certificate is endorsed accordingly.
 Appropriate entries are made in the ORB.

OIL CONTENT METER

It is required for CBT tanker when discharging ballast from CBTs. It is part of ODMCS for other
tankers. Res. A.393(10), A.586(14) and MEPC. 108(49)

OIL/WATER INTERFACE DETECTOR (Reg. 32)

 It is required for tanker of GT ≥ 150 tons, and for ship, other than tanker, having spaces for
carrying bulk oil cargo of aggregate capacity ≥ 1000 m3. (Reg. 2)
 It is not required if the tanker is carrying asphalt, etc., which cannot be effectively separated
and monitored. (Reg. 2)
 It shall be approved in accordance with the IMO specifications in Res. MEPC.5(13).

STANDARD DISCHARGE CONNECTION (Reg. 13)

 It is required for all ships/tankers.

 It shall be constructed in accordance with the specifications given in this regulation.
 It shall be fitted to the pipelines of a ship/tanker and a reception facility, for discharging oil
residues from machinery bilges and sludge tanks.

28
 DOCUMENTS

OIL RECORD BOOK (Reg. 17 and 36)

 It shall be provided as follows :

 Tanker of GT ≥ 150 tons --- Parts I and II.
 Ship, other than tanker, of GT ≥ 400 tons --- Part I.
 Ship, other than tanker, having spaces for carrying bulk oil cargo of aggregate capacity ≥
200m3 --- Part II. (Reg. 2)

 It shall be in the form specified in this Annex.

 Following machinery space operations shall be recorded in Part I of this book :
 Ballasting or cleaning of fuel tanks.
 Discharge of dirty ballast or cleaning water from fuel tanks.
 Collection and disposal of sludge, bilge water and other oil residues.
 Automatic or non-automatic disposal of bilge water.
 Accidental or exceptional discharge of oil.
 Bunkering.
 Failure of filtering equipment, including alarm and auto-stop device. (Appendix III)

 Following cargo/ballast operations of a tanker shall be recorded in Part II of this book :

 Loading/unloading of cargo.
 Internal transfer of cargo during the voyage.
 COW operation.
 Ballasting of cargo tanks and CBTs.
 Cleaning of cargo tanks.
 Discharge of ballast, except from SBTs.
 Discharge of water from slop tanks.
 Disposal of residues and oily mixtures.
 Failure of ODMCS.
 Accidental or exceptional discharge of oil.
 Loading/re-allocation of ballast in a tanker engaged in specific trades. (Appendix III)

 All entries shall be made without delay in the official language of the Flag State, and also in
English, French or Spanish.
 Each operation shall be signed by the officer in charge, and each completed page shall be
signed by the Master.
 If tank washings, dirty ballast, residues or oily mixtures are transferred to a reception facility,
then a receipt should be obtained from them detailing the quantity, time and date of transfer.
It should be attached with ORB as a proof that such a transfer was carried out. (Appendix III)
 Tanker of DWT  40000 tons delivered  01-06-1982, need not comply with the
requirements of SBT/COW/CBT systems if it complies with certain conditions stated in Reg.
2.5. If so, then the appropriate entry in the ORB shall be endorsed by the Port State.

29
 It shall be readily available for inspection and shall be retained on board for 3 years after the
last entry.
 Competent authority of a Party State may obtain a copy of any entry duly certified by the
Master, without unduly delaying the ship/tanker.

SHIPBOARD OIL POLLUTION EMERGENCY PLAN (Reg. 37)

 It is required for tanker of GT ≥ 150 tons and for ship, other than tanker, of GT ≥ 400 tons.
 An approved SOPEP manual shall be prepared in accordance with specifications given in
Res. MEPC.54(32) as amended by MEPC.86(44).
 It shall be in the working language of the Master and officers.
 It shall contain the following information :
 Procedure for sending pollution incident reports in accordance with Res. A.851(20).
 List of authorities or persons to be contacted.
 Details of immediate action to be taken to reduce or control the discharge of oil.
 Procedure for co-ordinating with the local authorities to combat pollution.
 This plan may be combined with the plan for noxious liquid substances under Annex II if it is
applicable for the tanker. It shall be called “Shipboard marine pollution emergency plan”.
 Tanker of DWT  5000 tons shall have prompt access to computerised shore-based stability
and residual structural strength calculation programmes.

HYPOTHETICAL OUTFLOW OF OIL FROM TANKER DUE TO DAMAGE

ASSUMED DAMAGE (Reg. 24)

Side damage

Longitudina 1/3L2/3 or 14.5m., whichever is

l less.
Transverse B/5 or 11.5m., whichever is less.
Vertical Unlimited

Bottom damage

Within 0.3L from FP Any other part

(Interpretation 42)
Longitudina L/10 L/10 or 5m., whichever is less.
l
Transverse B/6 or 10m., whichever is less, mini. 5m.
5m.
Vertical B/15 or 6m., whichever is less. B/15 or 6m., whichever is less.

CALCULATION OF HYPOTHETICAL OUTFLOW OF OIL (Reg. 25)

 Due to assumed side damage --- OC =  WI +  KI CI

30
 Due to assumed bottom damage --- OS = 1/3 (  ZI WI +  ZI CI )

L LBP as defined.
B Maximum breadth amidships as defined.
OC Hypothetical outflow of oil due to side damage (m3).
OS Hypothetical outflow of oil due to bottom damage (m3).
WI Volume of each wing tank breached. (Zero for SBT)
CI Volume of each centre tank breached. (Zero for SBT)
KI 1 - (BI / TC) ; (If BI ≥ TC , then KI = 0)
ZI 1 - (HI / VS) ; (If HI ≥ VS , then ZI = 0)
BI Minimum width of each wing tank. (Interpretation 44)
HI Minimum depth of each DB tank. (If there is no DB tank then HI = 0)
TC Transverse extent of the side damage.
VS Vertical extent of the bottom damage.

 Certain exceptions are permitted in this regulation.

SIZE AND ARRANGEMENT OF CARGO TANKS (Reg. 26)

 This applies to a tanker of GT  150 tons as follows :

 Delivered > 01-01-1977.
 Delivered  01-01-1977, provided its building contract was placed > 01-01-1974, or in
absence of the contract, its keel was laid > 30-06-1974.

 This does not apply to a tanker delivered  01-01-2010.

 Size of the cargo tanks shall be such that O C or OS ≤ 30000 m3 or 400(DW)1/3, whichever is
greater, maximum 40000 m3.
DW --- Deadweight as defined.
 Volume of any one wing cargo tank ≤ 75% of OC or OS.
 Volume of any one centre cargo tank ≤ 50000 m3. (Certain exceptions are permitted as given
in this regulation)
 Length of each cargo tank shall be restricted as prescribed in this regulation. This also applies
to a ship, other than tanker, having spaces for carrying bulk oil cargo of aggregate capacity ≥
200 m3. (Reg. 2)
 Pipelines interconnecting the cargo tanks shall be provided with valves to separate them.
 Pipelines running through the cargo tanks, close to the shipside or the bottom, within the
limits of the assumed side and bottom damage, shall be provided with valves at the point
where they open into the tank.
 All the above valves shall be kept closed at sea.

ACCIDENTAL OIL OUTFLOW PERFORMANCE (Reg. 23)

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For a tanker delivered  01-01-2010 adequate protection against oil pollution due to collision or
stranding shall be provided by complying with the mean oil outflow parameter prescribed in this
regulation, which is based on various factors and assumptions as follows : Refer MEPC.122(52)
 DWT
 Total volume of cargo oil.
 Number of cargo tanks and length of each.
 Length and breadth of the tanker.
 Breadth of the wing cargo tanks.
 Number of longitudinal bulkheads.
 Location of the damage on the side or bottom.
 Tidal condition.
 Cargo block length extends between the forward and aft extremities of all cargo and slop
tanks, including fuel tanks if these are located within this length.
 Tanker is loaded upto the load line draft without trim or heel.
 All cargo tanks are loaded upto 98% of their capacity with oil of ---
Density = { 1000  DWT ÷ (Total volume of cargo) } kg./m3
 Permeability of all spaces within the cargo block length is 0.99.
 Pipelines running through the cargo tanks in a position less than 0.3B from the shipside or
less than 0.3D from the tanker’s bottom, are fitted with valves at the point where these enter
the tank. The valves shall be kept closed at sea whenever the tanks contain oil, except when
required for essential cargo transfer. (B and D are tanker’s moulded breadth and depth)

SUBDIVISION AND DAMAGE STABILITY (Reg. 28)

 This applies to tanker of GT  150 tons delivered > 31-12-1979.

 Approved damage stability data shall be supplied to the Master.

ASSUMED DAMAGE

Side damage

Longitudinal 1/3L2/3or 14.5m., whichever is less.

Transverse B/5 or 11.5m., whichever is less.
Vertical Unlimited

Bottom damage

Within 0.3L from FP Any other part

Longitudinal 1/3L2/3or 14.5m., whichever is less. 1/3L2/3or 5m., whichever is less.
Transverse B/6 or 10m., whichever is less. B/6 or 5m., whichever is less.
Vertical B/15 or 6m., whichever is less. B/15 or 6m., whichever is less.

Bottom raking damage for tanker of DWT  20000 tons delivered  06-07-1996

Longitudinal 0.6L from FP for tanker of DWT  75000 tons.

32
 0.4L from FP for tanker of DWT < 75000 tons.
Transverse B/3 anywhere in the bottom.
Vertical Breach of outer hull.

LOCATION OF DAMAGE

 Damage shall be assumed to be located, depending on the length of the tanker, as follows :

L > 225m. Anywhere in the tanker’s length.

225 ≥ L > 150 m. Anywhere in the tanker’s length, without involving the
forward and aft bulkheads of the machinery space, which is
treated as a single floodable compartment.
L ≤ 150m. Anywhere in the tanker’s length, without involving any
transverse bulkhead, and excluding the machinery space.

 The above requirements do not apply if the tanker is in ballast condition without any oil
cargo, other than oil residues.
 Transverse bulkheads shall be spaced at a distance at least equal to longitudinal extent of side
damage. Any bulkhead within this distance shall be assumed to be non-existent.
 If pipes, ducts and tunnels are situated within the assumed extent of damage, then
arrangements shall be made to prevent progressive flooding of the intact compartments.
 Permeability of the flooded space shall be assumed to be 0.6 to 0.95, depending on its utility,
as given in this regulation.

STABILITY CRITERIA AFTER DAMAGE

 Final waterline shall be below any opening through which progressive flooding can take
place and which can be closed by weathertight cover.
 Heel after flooding ≤ 25, or 30 if the deck edge is not submerged.
 Residual range of stability after flooding ≥ 20.
 After flooding, if the tanker further heels within the residual range, then the unprotected
openings shall not submerge but weathertight openings may submerge.
 Maximum residual GZ ≥ 0.1m.
 Residual area under the curve ≥ 0.0175 mR.

INTACT STABILITY (Reg. 27)

APPLICATION

 This applies to a tanker of DWT ≥ 5000 tons delivered  01-02-2002.

 The tanker shall comply with the stability criteria for any operating drafts under the worst
possible conditions of cargo and ballast loading, consistent with good operational practice,
including intermediate stages of liquid transfer operations.
 Under all conditions the ballast tanks shall be assumed to be slack.

33
STABILITY CRITERIA

 Initial GM(F)  0.15m.

 At sea the following additional criteria shall apply :
 Area under GZ curve upto 30 shall be  0.055 mR.
 Area under GZ curve upto 40 or angle of flooding, whichever is less, shall be  0.09
mR.
 Area under GZ curve from 30 to 40 or angle of flooding, whichever is less, shall be 
0.03 mR.
 Angle of flooding means the angle at which any openings on deck, which cannot be made
weathertight, immerse.
 GZ  0.2m. at angle of heel  30.
 Maximum GZ shall occur at angle of heel  25, preferably > 30.

 For combination carriers, supplementary operational procedures may be allowed which shall
satisfy the following :
 Simple, written in stability book and computer software, readily understandable and
approved.
 Indicate the cargo and ballast tanks which may be slack under specific conditions, but
still meet with the above criteria.
 Provide planned sequences of cargo/ballast transfer operations.
 Provide stability performance criteria in graphical or tabular form;
 Extensive mathematical calculations are not required.
 Provide corrective actions to be taken in emergency.

34
 ANNEX II

REGULATIONS FOR THE CONTROL OF POLLUTION

BY NOXIOUS LIQUID SUBSTANCES IN BULK

IMPORTANT DEFINITIONS (Reg. 1)

Clean ballast : Water carried in a tank which, after it was used to carry a category X, Y or Z
substance, has been thoroughly cleaned, and residues have been discharged, and the tank has
been emptied, in accordance with this Annex.

Segregated ballast : Water introduced into a tank which is completely separated from cargo and
fuel systems, and is permanently used for the carriage of ballast or cargo other than oil or NLS,
as variously defined in the Annexes of this Convention.

En route : Ship is underway at sea on courses, including deviation from the shortest direct route,
which, as far as practicable for navigational purposes, will cause any discharge to be spread over
as great an area as is reasonable and practicable.

Liquid substances : Those having a vapour pressure  0.28 MPa absolute at a temperature of
37.8C.

“From the nearest land” : From the baseline established in accordance with International law.
For North-Eastern coast of Australia the co-ordinates of baseline are specified in this regulation.

NLS : Substance indicated in chapters 17 and 18 of the IBC Code or provisionally assessed
under Reg. 6.3 as falling in category X, Y or Z.

Chemical tanker : Ship constructed to carry any liquid product in bulk listed in chapter 17 of
the IBC Code.

35
NLS tanker : Ship constructed to carry NLS cargo in bulk, including combination carrier and oil
tanker as defined in Annex I when certified to carry bulk NLS cargo.

APPLICATION

 It applies to all ships carrying NLS in bulk. (Reg. 2)

 If oil cargo under Annex I is carried in a NLS tanker then Annex I shall also apply. (Reg. 2)
 It shall not apply to discharge of any substance which falls outside category X, Y or Z. (Reg.
6.1.4)
 It shall not apply to the discharge of clean or segregated ballast. (Reg. 13.7.2.3)

SURVEYS (Reg. 8)

 Initial survey of complete structure, equipment, systems, fittings, arrangements and material
of the ship shall be carried out before it is put in service.
 Renewal survey of the above items shall be carried out at intervals of ≤ 5 years.
 Intermediate survey of all equipment, including pumps and piping, shall be carried out
within  3 months of the 2nd or 3rd anniversary date of issue of the certificate. This survey
shall be in lieu of the 2nd or 3rd annual survey stated below.
 Annual survey, consisting of general inspection of all the items prescribed for initial survey,
shall be carried out every year within  3 months of anniversary date of issue of certificate.
 Additional general or partial survey shall be made after carrying out repairs and renewals
resulting from an investigation into an accident, or otherwise.
 Surveys shall be carried out by the Flag State or by nominated surveyors or ROs, but State
shall guarantee completeness and efficiency of surveys. Refer A.739(18) and A.789(19)
 The Flag State shall inform the IMO about the specific responsibilities and conditions of
authority delegated to the ROs, for circulation to all other States.
 If the RO determines that the condition of the ship or equipment does not comply with the
requirements of this Annex then he shall take corrective measures and inform the Flag and
Port States. The ship shall not sail till the deficiencies are rectified.
 After completion of survey no change shall be made in any item without the sanction of the
Flag State, except the direct replacement of equipment and fittings.
 If a defect occurs due to an accident or otherwise, which affects the requirements of this
Annex, then the Master or owner shall inform the Flag State and the RO who has issued the
certificate, who shall investigate and determine the extent of survey required. Port State shall
also be informed.

CERTIFICATE (Reg. 9 and 10)

 After completion of initial or renewal survey, an International Pollution Prevention certificate

for the Carriage of NLS in Bulk shall be issued by the Flag State or by the nominated
surveyor or RO, but the State shall assume full responsibility for the certificate.

36
 Another State may, at the request of the Flag State, survey and issue the certificate with an
endorsement that the certificate has been issued at the request of the Flag State.
 It shall be in prescribed format and shall contain a translation in English, French or Spanish.
 It shall be valid for ≤ 5 years.
 If the renewal survey is completed within 3 months before the expiry of the existing
certificate, or at any time after its expiry, then the new certificate issued shall be valid for  5
years from the date of expiry of the existing certificate.
 If the renewal survey is completed more than 3 months before the expiry of the existing
certificate, then the new certificate issued shall be valid for  5 years from the date of
completion of the renewal survey.
 If the certificate has been issued for < 5 years then the Flag State may extend it for the
balance period upto  5 years from the original date of issue provided the appropriate surveys
have been carried out.
 If after completing the renewal survey a new certificate cannot be issued then the RO may
extend the existing certificate for 5 months.
 If the certificate expires in a port where the ship cannot be surveyed then the Flag State may
extend its validity by  3 months to allow it to reach the port of survey, and it shall not sail
from that port by virtue of the extension granted, without a new certificate. After completing
the renewal survey at that port the new certificate issued shall be valid for  5 years from the
date of expiry of the existing certificate before it was extended.
 A certificate issued to a ship engaged on short voyages, which has not been extended as
stated above, may be extended by the Flag State for a grace period of  1 month. After
completing the renewal survey the new certificate issued shall be valid for  5 years from the
date of expiry of the existing certificate before it was extended.
 In special circumstances as decided by the Flag State, a new certificate issued may be valid
for  5 years from the date of completion of the renewal survey instead of from the date of
expiry of the existing certificate.
 If the annual or intermediate survey is completed before the specified period then the expiry
date of the certificate shall be amended to a new date which shall be  3 months after the date
of completion of the said survey. Subsequent surveys shall be carried out within the specified
periods counting from the new expiry date.
 The certificate shall cease to be valid in the following cases :
 If the relevant surveys are not carried out within the specified periods.
 If the annual or intermediate surveys are not endorsed on the certificate.
 If the ship is transferred to another State.

 If a chemical tanker has been surveyed and certified in accordance with the IBC or the BCH
Code, then the certificate issued under that code shall have the same force and recognition as
a certificate issued under this Annex (Reg. 7).

PORT STATE CONTROL (Reg. 16.9)

 Ship is subject to Port State inspection if there are clear grounds for believing that the Master
or crew are not familiar with essential shipboard procedures relating to pollution prevention.
 In such a case the ship shall not sail until it complies with the requirements of this Annex.

37
 Procedures for Port State control shall be as prescribed in Article 5 of this Convention. Refer
A.787(19) as amended by A.882(21)

APPLICATION OF CODES (Reg. 11)

 To minimise uncontrolled discharge of NLS into the sea, the design, construction, equipment
and operation of a ship certified to carry NLS in bulk shall be in compliance with the
following provisions:
 Chemical tanker constructed  01-07-1986 shall comply with the IBC Code.
 Chemical tankers constructed < 01-07-1986 shall comply with the Bulk Chemical (BCH)
Code as follows :
 A ship engaged on international voyages shall comply with para 1.7.2 of the code if
its building contract is placed  02-11-1973 but constructed < 01-07-1986, and with
para 1.7.3 of the code if its building contract is placed < 02-11-1973.
 A ship engaged on voyages within the jurisdiction of the Flag State shall comply with
para 1.7.2 of the code if it is constructed  01-07-1983 but < 01-07-1986, and with
para 1.7.3 of the code if it is constructed < 01-07-1983.

 For ships other than chemical tankers and liquefied gas carriers, Flag State shall establish
appropriate measures based on the IMO guidelines A.673(16) and MEPC.148(54).

CATEGORISATION OF NLS (Reg. 6)

Guidelines for categorisation of NLS are given in Appendix 1, as revised by MEPC.1/Circ.512.

Category X : If this NLS is discharged into the sea it would present a major hazard to marine
resources or human health, and therefore justifies prohibition of its discharge.
Category Y : If this NLS is discharged into the sea it would present a hazard to marine resources
or human health or cause harm to amenities or other legitimate uses of the sea, and therefore
justifies a limitation on the quality and quantity of its discharge.
Category Z : If this NLS is discharged into the sea it would present a minor hazard to marine
resources or human health, and therefore justifies less stringent restrictions on the quality and
quantity of its discharge.
Other substance : This is indicated in chapter 18 of the IBC Code and falls outside the category
X, Y or Z. At present it is considered that, if it is discharged into the sea, it would present no
harm to marine resources, human health, amenities or other legitimate uses of the sea. Discharge
of bilge or ballast water or other residues or mixtures containing only this substance shall not be
subject to any requirements of this Annex.
Uncategorised substance : If a liquid substance, which has not been categorized, is to be
carried, then it shall be provisionally assessed by the States involved in the operation, on the
basis of the guidelines given in Appendix 1. Within 30 days of all the involved States reaching
an agreement on the provisional assessment, the producing or shipping State shall send full
details to IMO for circulation to all States.

UNLOADING ARRANGEMENTS (Reg. 12)

38
 Every ship shall be provided with arrangements such that each tank and its associated piping
shall not retain residues in excess of the quantities stated below :
 For substances of category X or Y :
 300 lt./tank for a ship constructed < 01-07-1986.
 100 lt./tank for a ship constructed  01-07-1986 but < 01-01-2007.
 75 lt./tank for a ship constructed  01-01-2007.

 For substances of category Z :

 900 lt./tank for a ship constructed < 01-07-1986.
 300 lt./tank for a ship constructed  01-07-1986 but < 01-01-2007.
 75 lt./tank for a ship constructed  01-01-2007.
 If a ship other than chemical tanker, constructed < 01-01-2007, cannot meet the above
requirements, then the compliance shall be deemed to be reached if the tank is
emptied to the most practicable extent.

 The above arrangements shall be subject to approved performance test in accordance with
appendix 5 using water as the test medium.
 Underwater discharge outlets for a ship carrying category X, Y and Z substances, but not for
a ship constructed < 01-01-2007 carrying category Z substances, shall be provided as
follows:
 Outlets shall be located within the cargo area near the turn of the bilge, such that the
residues shall not re-enter through the ship’s sea water intakes.
 Diameter of the outlet shall be = Qd ÷ (5  Ld)
Qd --- Maximum rate (m3/h) selected at which the discharge will not pass through the
ship’s boundary layer, and measured perpendicular to the ship’s plating.
Ld --- Distance (m) from the forward perpendicular to the outlet.

 Dedicated slop tanks are not required but if it is needed for certain washing procedures then a
cargo tank may be used.

DISCHARGE CRITERIA AND CONTROL PROCEDURES (Reg. 13)

GENERAL REQUIREMENTS

 Any substance which has not been categorized or provisionally assessed or evaluated, or
ballast water, tank washings or mixtures containing such residues, shall not be carried and/or
discharged into the sea.
 NLS shall not be discharged in the Antarctic area south of latitude 60 S.
 Before any prewash or discharge is carried out, the tank shall be emptied to the maximum
extent in accordance with the approved P & A manual.
 Residues may be removed by approved ventilation procedures in accordance with appendix
7. Any water subsequently introduced into the tank shall be regarded as clean, and shall not
be subject to the discharge requirements.

39
 If a tank is washed by a medium other than water, then its discharge shall be governed by
Annex I or II whichever would apply if that medium was carried as cargo. Such washing
procedures shall be set out in the approved P & A manual.
 If small amounts of cleaning additives (detergents) are added to water to facilitate washing,
then these shall not contain category X components, unless their total concentration is < 10%
of the additive, and these are readily biodegradable.
 Appropriate entries shall be made in the CRB (Reg. 15) and endorsed by the Port State
surveyor (Reg. 16).

DISCHARGE STANDARDS

The standards for discharging into the sea of residues of category X, Y or Z substances, or of
ballast water, tank washings or mixtures containing such residues, shall be as follows :
 Ship is en route at speed  7 knots if it is self-propelled, and  4 knots if it is not self-
propelled.
 Discharge is made below the waterline at rate  design rate of the outlet. This is not
mandatory for discharge of category Z substance from a ship constructed < 01-01-2007.
Refer Reg. 12.4
 Distance from nearest land  12 miles. Flag State may waive this requirement if the ship is
engaged on voyages within its territory or within the territory of another State, provided an
agreement is established between the two States, and provided no other State is affected.
 Depth of water  25m.

DISCHARGE OF CATEGORY X SUBSTANCES

 After unloading, the tank shall be washed before departure, and residues shall be discharged
to a reception facility until the concentration of this substance in the effluent is  0.1% by
weight, as determined by analyses of the samples taken by the Port State surveyor. Thereafter
it shall continue to be discharged to the reception facility till the tank is empty.
 Any water subsequently added to the tank may be discharged into the sea in accordance with
the discharge standards stated above.
 If it is impracticable to measure the concentration without unduly delaying the ship, then the
Port State may accept an alternative approved prewash procedure in accordance with
appendix 6.
 In the above cases the Port State surveyor shall endorse the entries made in the CRB, and
shall certify that the tank, its piping and pumps have all been emptied to a reception facility.
(Reg. 16.5)

DISCHARGE OF CATEGORY Y OR Z SUBSTANCES

 Residues shall be discharged in accordance with the discharge standards.

 If unloading is not carried out in accordance with the P & A manual, prewash shall be carried
out before the ship leaves the port, unless alternative measures are taken to the satisfaction of
the Port State surveyor to remove the residues to quantities specified in Reg. 12.

40
 The resulting washings shall be discharged to the reception facility at the unloading port or at
another port.
 Following shall apply to high-viscosity or solidifying substance in category Y, as defined in
Reg. 1 :
 Prewash shall be applied as specified in appendix 6.
 Residue after prewash shall be discharged to a reception facility until the tank is empty.
 Any water subsequently introduced into the tank may be discharged into the sea in
accordance with the discharge standards stated above.

BALLASTING

 After unloading, and, if required, after a prewash, the cargo tank may be ballasted, which
shall be discharged according to the standards stated above.
 If the tank has been prewashed as specified in appendix 6, to such an extent that the ballast
introduced subsequently contains < 1 ppm of the substance, then only the standards relating
to distance from land and depth of water stated above shall apply.

EXCEPTIONS

 Above discharge criteria shall not apply in the following circumstances (Reg. 3):
 For safety of the ship.
 For saving life at sea.
 Due to damage to the ship or its equipment, provided all reasonable precautions have
been taken after the damage to prevent or minimise discharge, and provided the owner or
Master did not cause the damage intentionally, recklessly or knowingly.
 For combating a specific pollution incident, with the approval of the Flag State and
coastal State.

 On request of the Master, the Port State may exempt a ship from prewash, if any one of the
following conditions is satisfied (Reg. 13.4) :
 The unloaded tank is to be reloaded with the same or another compatible substance
without washing or ballasting, or
 The unloaded tank is neither washed nor ballasted at sea, and the required prewash shall
be carried out at another port only if it has adequate reception facility, or
 The residues after unloading will be removed by approved ventilation procedures in
accordance with appendix 7.

RECEPTION FACILITIES (Reg. 18)

 All States shall ensure that facilities are provided at all ports, including repair port, according
to the needs of the ships, for reception of residues and mixtures.
 Facilities shall be adequate so as not to cause undue delay to the ship.
 Each Port State shall determine the facilities available and notify IMO.

41
 States in any given special area shall collectively agree on the date by which the above
requirement of reception facilities shall be fulfilled and notify IMO at least 6 months prior to
that date, who shall notify all States.
 The cargo unloading terminals shall provide arrangements for stripping of the tanks of the
ship, and the cargo in the hoses shall not be drained back into the ship.
 Each State shall inform the IMO if the facilities at any port are not adequate.

DOCUMENTS

CARGO RECORD BOOK (Reg. 15)

 It shall be provided on every ship in the format prescribed in appendix 2.

 Following operations shall be recorded : (Appendix 2)
 Loading, internal transfer and unloading of cargo.
 Mandatory prewash and transfer of slops to reception facility.
 Cleaning and ventilation of tanks, except mandatory prewash, and transfer of washings to
reception facility.
 Discharge of tank washings into the sea.
 Ballasting and de-ballasting of cargo tanks.
 Accidental or exceptional discharge.
 Control measures, including exemptions granted, by Port State surveyor.
 Discharge into the sea for safety of the ship or for saving life or due to damage to the ship
or its equipment, or to combat specific pollution incident with the approval of the coastal
State. (Reg. 3)

 On completion of any operation it shall be promptly recorded and signed by the officer in
charge. Each page shall be signed by the Master.
 Entries shall be in the official language of the Flag State and in English, French or Spanish.
 Following entries shall be endorsed by the Port State surveyor (Reg. 16) :
 If the surveyor has verified that an operation has been carried out in accordance with the
P & A manual.
 If, at the request of the Master, the Port State has granted an exemption from prewash,
subject to certain conditions stated in regulation 13.4.
 Prewashing of tanks after unloading category X substance, and discharging to a reception
facility in accordance with regulation 13.6.1.1.
 If the Port State has granted an exemption from prewash after unloading category X
substance, because it cannot measure its concentration in the effluent without causing
undue delay to the ship, and an alternative procedure has been accepted in accordance
with regulation 13.6.3.

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  If unloading is not carried out in accordance with the conditions approved by the Flag
State, and alternative measures have been taken to reduce the residues in the tanks to the
quantities specified in regulation 12.

 It shall be readily available for inspection by the Port State officer who may obtain a certified
copy of any entry from the Master without unduly delaying the ship.
 It shall be retained on board for 3 years after the last entry.

SHIPBOARD MARINE POLLUTION EMERGENCY PLAN (Reg. 17)

 This is required for all ships of GT ≥ 150 tons, certified to carry NLS in bulk.
 It shall be prepared in accordance with the IMO guidelines given in Res. MEPC.85(44)
amended by MEPC.137(53).
 It shall be in the working language of the Master and officers.
 It shall be approved by the Flag State.
 It may be combined with the SOPEP under Annex I if it is also applicable to the ship.
 It shall contain the following information :
 Procedure for sending pollution incident reports in accordance with Article 8 of Protocol
I of this Convention, and the IMO guidelines given in Res. A.851(20) amended by
MEPC.138(53).
 List of authorities or persons to be contacted.
 Detailed description of action to be taken to reduce or control the discharge of NLS.
 Procedure for co-ordinating with the local authorities to combat pollution.

PROCEDURES AND ARRANGEMENTS MANUAL (Reg. 14)

 This is required for every ship carrying category X, Y or Z substances.

 It shall comply with the format prescribed in appendix 4.
 For a ship engaged in international voyages it shall include a translation in English, French or
Spanish.
 It shall be approved by the Flag State.

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 ANNEX III

REGULATIONS FOR THE PREVENTION OF POLLUTION

BY HARMFUL SUBSTANCES
CARRIED BY SEA IN PACKAGED FORM

APPLICATION (Reg. 1)

 It applies to all ships carrying harmful substances in packaged form, including empty
packagings which have been previously used for the carriage of such substances.
 It does not apply to ship’s stores and equipment.
 Harmful substances are identified as marine pollutants in the IMDG Code and also in
accordance with the guidelines given in the Appendix.
 “Packaged form” is a type of containment specified in the IMDG Code.
 Each State shall issue detailed requirements for packing, marking, labelling, documentation,
stowage, limitations of quantity and exceptions.

PACKING (Reg. 2)

Packages shall be adequate to minimise the hazard to the marine environment.

MARKING AND LABELLING (Reg. 3)

 Packages shall be marked and labelled with the following :

 Correct technical name of the substance.
 An indication that it is a marine pollutant.
 United Nations number.

44
 Markings and labels shall be identifiable on packages which survive at least 3 months
immersion in sea.
 Packages containing small quantities of such substances may be exempted from the above
requirements as stated in the IMDG Code.

DOCUMENTS (Reg. 4)

 All documents shall use the correct technical name of the substance alongwith the words
“Marine Pollutant”.
 Shipper’s document shall include a certificate stating that the shipment offered is properly
packaged, marked and labelled/placarded as appropriate, and in proper condition for carriage.
 The ship shall prepare a special list, manifest or detailed stowage plan stating the location of
the harmful substances on board. A copy of this document shall be retained by the owner till
the substances are unloaded, and another copy shall be given to the Port State authority
before departure. This shall be done even at intermediate ports where partial loading or
unloading of such substances is carried out. (Interpretation 1)
 The above document may be combined with the document for dangerous goods required by
the SOLAS convention. If this is done then a clear distinction shall be made between the
dangerous goods and harmful substances.

STOWAGE (Reg. 5)

These substances shall be properly stowed and secured to minimise the hazard to the
environment without impairing safety of the ship and persons.

QUANTITY LIMITATIONS (Reg. 6)

Certain substances may be prohibited, or the quantity may be limited, for carriage on board any
ship, depending on the following considerations :
 Scientific and technical data.
 Size, construction and equipment of the ship.
 Packaging and inherent nature of the substances.

DISCHARGE OVERBOARD (Reg. 7)

 Jettisoning of such substances is prohibited except for safety of the ship or saving life.
 Washing of leakages overboard shall be regulated, without impairing the safety of the ship
and persons, depending on the physical, chemical and biological properties of the substances.

PORT STATE CONTROL (Reg. 8)

 Ship is subject to Port State inspection if there are clear grounds for believing that the Master
or crew are not familiar with essential shipboard procedures relating to pollution prevention.
 In such a case the ship shall not sail until it complies with requirements of this Annex.
 Port State control procedures prescribed in Article 5 of this Convention and Res. A.787(19)
as amended by A.882(21) shall apply.

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 ANNEX IV

REGULATIONS FOR THE PREVENTION OF POLLUTION

BY SEWAGE FROM SHIPS

IMPORTANT DEFINITIONS (Reg. 1)

New ship : A ship for which the building contract is placed, or in absence of the contract, the
keel is laid, on or after the date of entry into force of this Annex (01-08-2005), or the delivery of
which is 3 years or more after this date.

Sewage : Drainage and other wastes from the following spaces :

 Toilets and urinals.
 Dispensary, sickbay, etc.
 Spaces containing living animals.
 Other wastes when mixed with the above drainages.

“From the nearest land” : From the baseline established in accordance with International law.
For North-Eastern coast of Australia the co-ordinates of baseline are specified in this regulation.

APPLICATION (Reg. 2)

It applies to ship of GT ≥ 400 tons, and ship of GT < 400 tons certified to carry > 15 persons,
engaged on International voyages.

SURVEYS (Reg. 4)

 Initial survey of complete structure, equipment, systems, fittings, arrangements and material
of the ship shall be carried out before it is put in service.
 Renewal survey of the above items shall be carried out at intervals of ≤ 5 years.

46
 Additional general or partial survey shall be made after carrying out repairs and renewals
resulting from an investigation into an accident, or otherwise.
 Surveys shall be carried out by the Flag State or by nominated surveyors or ROs. In every
case the Flag State shall guarantee the completeness and efficiency of the surveys. Refer
A.739(18) and A.789(19)
 The State shall inform IMO about the specific responsibilities and conditions of authority
delegated to the nominated surveyors or ROs for circulation to all States.
 If the nominated surveyor or recognised organisation determines that the condition of the
ship or equipment does not comply with the requirements of this Annex then they shall take
corrective measures and inform the Flag and Port States. The ship shall not sail till the
deficiencies are rectified.
 After completion of survey no change shall be made in any item without the sanction of the
Flag State, except the direct replacement of equipment and fittings.
 If a defect occurs due to an accident or otherwise which affects the requirements of this
Annex, then the Master or owner shall inform the Flag and Port States. The Flag State shall
investigate and determine the extent of survey required.

CERTIFICATE (Reg. 5, 6, 7 and 8)

 After completion of initial or renewal survey an International Sewage Pollution Prevention

(ISPP) certificate shall be issued by the Flag State or by the nominated surveyor or RO, but
Flag State shall assume full responsibility for the certificate. Refer A.739(18) and A.789(19)
 Another State may, at the request of the Flag State, survey and issue the certificate with an
endorsement that it has been issued at the request of Flag State.
 Format of the certificate shall be as prescribed in the appendix. It shall contain a translation
in English, French or Spanish.
 It shall be valid for ≤ 5 years.
 If the renewal survey is completed within 3 months before the expiry of the existing
certificate, or any time after its expiry, then the new certificate issued shall be valid for
maximum 5 years from the date of expiry of the existing certificate.
 If the renewal survey is completed more than 3 months before the expiry of the existing
certificate, then the new certificate issued shall be valid for maximum 5 years from the date
of completion of the renewal survey.
 If the certificate has been issued for less than 5 years then the Flag State may extend it for the
balance period upto maximum 5 years from the original date of issue.
 If after completing the renewal survey a new certificate cannot be issued then the authorised
organisation may extend the existing certificate for maximum 5 months.
 If the certificate expires in a port where the ship cannot be surveyed then the Flag State may
extend its validity by maximum 3 months to allow the ship to reach the port of survey, and it
shall not sail from that port without a new certificate. After completing the renewal survey at
that port the new certificate issued shall be valid for maximum 5 years from the date of
expiry of existing certificate before it was extended.
 A certificate issued to a ship engaged on short voyages, which has not been extended as
stated above, may be extended by the Flag State for a grace period of 1 month. After

47
 completing the renewal survey the new certificate issued shall be valid for maximum 5 years
from date of expiry of the existing certificate before it was extended.
 In special circumstances as decided by the Flag State, a new certificate issued may be valid
for maximum 5 years from the date of completion of the renewal survey instead of from the
date of expiry of the existing certificate.
 The certificate shall cease to be valid in the following cases :
 If the relevant surveys are not carried out within the specified periods.
 If the ship is transferred to another State.

EQUIPMENT

 Every ship shall be provided with one of the following approved sewage systems : (Reg. 9)
 Sewage Treatment Plant, approved in accordance with Res MEPC.2(6).
 Approved Comminuting and Disinfecting System, with facility for temporary storage of
sewage when the ship is less than 3 miles from the nearest land.
 Holding tank of sufficient capacity, as decided by the Flag State, with means to visually
indicate the amount of contents.

 Standard Discharge Connection shall be constructed in accordance with the specifications

given in this regulation and it shall be fitted to the pipelines of the ship and the pipelines of
reception facility. (Reg. 10)

DISCHARGE CRITERIA (Reg. 11)

 Discharge of sewage shall be carried out by one of the following methods :

 If an approved sewage treatment plant is in operation then the sewage can be discharged
without restrictions provided that it shall not create visible floating solids and shall not
discolour surrounding water. Test results of plant shall be laid down in ISPP certificate.
 Comminuted and disinfected sewage shall be discharged > 3 miles from nearest land.
 Other sewage shall be discharged > 12 miles from the nearest land provided that, if the
sewage was stored in holding tank, then it shall be discharged at moderate rate approved
by the Flag State, based on IMO standards, when ship is en route at speed ≥ 4 knots.

 Less stringent requirements may be prescribed by a State for discharging sewage within its
jurisdiction.
 If the sewage is mixed with wastes covered by other Annexes, then the requirements of all
the appropriate Annexes, including this Annex, shall be complied with.
 Discharge criteria shall not apply in the following cases (Reg. 3) :
 For safety of the ship and those on board.
 For saving life at sea.
 Due to damage to the ship or its equipment, if all reasonable precautions have been taken
before and after the damage for preventing or minimising the discharge

RECEPTION FACILITY (Reg. 12)

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 The State, which is party to the convention, shall provide reception facility at its ports, which
shall be adequate to meet the needs of the ships without delaying them.
 Each State shall inform IMO if the facility provided at any port is alleged to be inadequate.
IMO shall inform concerned State about it.

PORT STATE CONTROL (Reg. 13)

 Ship is subject to Port State inspection if there are clear grounds for believing that the Master
or crew are not familiar with essential shipboard procedures relating to pollution prevention.
 In such a case the ship shall not sail until it complies with requirements of this Annex.
 Port State control procedures prescribed in Article 5 of this Convention and Res. A.787(19)
as amended by A.882(21) shall apply.
ANNEX V

REGULATIONS FOR THE PREVENTION OF POLLUTION

BY GARBAGE FROM SHIPS

IMPORTANT DEFINITIONS (Reg. 1)

Garbage : All kinds of victual, domestic and operational waste excluding fresh fish and parts
thereof, generated during the normal operation of the ship and liable to be disposed of
continuously or periodically, except those substances which are covered by other Annexes. It
includes oily rag as per interpretation 1.2 of Annex I.

“From the nearest land” : From the baseline established in accordance with International law.
For North-Eastern coast of Australia the co-ordinates of baseline are specified in this regulation.

APPLICATION (Reg. 2)

It applies to all ships.

SPECIAL AREAS (Reg. 5)

Mediterranean sea, Baltic sea (including Gulfs of Bothnia and Finland), Black sea, Red sea
(including Gulfs of Suez and Aqaba), Gulfs area (Persian Gulf), North sea including English
channel, Antarctic area (South of 60 S), Wider Caribbean region (Gulf of Mexico, Caribbean
sea and part of Atlantic ocean).

RECEPTION FACILITIES (REG. 7)

 Each State shall provide reception facilities at its ports, without unduly delaying the ships.
 For special areas following requirements shall apply (Reg. 5.4) :
 Each State having its coastline bordering a special area shall ensure that as soon as
possible all its ports within the special area have adequate reception facilities, and notify
the IMO about it.

49
  After receipt of sufficient notifications as stated above, IMO shall establish a date from
when the discharge criteria for this area shall apply, and inform all States about it at least
12 months in advance of the date.
 After the said date, all ships in this area when calling also at ports where such facilities
are not yet available, shall fully comply with the discharge criteria.

 Each State shall inform the IMO if the facilities provided are alleged to be inadequate. This
information shall be sent to the States concerned.

PORT STATE CONTROL (Reg. 8)

 Ship is subject to Port State inspection if there are clear grounds for believing that the Master
or crew are not familiar with essential shipboard procedures relating to pollution prevention.
 In such a case the ship shall not sail until it complies with requirements of this Annex.
 Port State control procedures as prescribed in Article 5 of this Convention and Res.
A.787(19) as amended by A.882(21) shall apply.

DOCUMENTS

PLACARD (Reg. 9.1)

Every ship of length overall ≥ 12m. shall display placards to notify the crew and passengers
about the discharge criteria. These shall be in the working language of the ship’s personnel, and
if the ship is engaged on International voyages, then also in English, French or Spanish.

GARBAGE MANAGEMENT PLAN (Reg. 9.2)

 Every ship of GT ≥ 400 tons, and every ship certified to carry ≥ 15 persons, shall carry this
plan which shall be prepared in accordance with Res. MEPC.71(38) and MEPC/Circ.317.
 It shall be written in the working language of the crew.
 It shall contain the following details :
 Procedures for collecting, storing, processing and disposing garbage.
 Use of the equipment on board.
 Name of the designated person in charge of carrying out the plan.

GARBAGE RECORD BOOK (Reg. 9.3)

 Every ship of GT ≥ 400 tons, and every ship certified to carry ≥ 15 persons, when engaged
on international voyages, and every fixed and floating platform, shall be provided with a
GRB in accordance with format prescribed in the appendix.
 Each discharge or incineration operation shall be recorded in it and signed by the officer in
charge. Each completed page shall be signed by the Master.
 Entries shall be in the official language of Flag State and also in English, French or Spanish.
 Entry shall include the following items : (Refer appendix)

50
 Date and time.
 Position of the ship. (Start and stop positions when discharging cargo residues)
 Description of the garbage.
 Amount (m3) incinerated, discharged at sea, to reception facility or to other ships.
 Name of the port, facility or ship to which the garbage was discharged.
 Amount escaped or accidentally lost and the reasons for the same.

 Master should obtain a receipt from the reception facility or ship receiving the garbage.
 GRB and the receipt shall be preserved on board for 2 years after the last entry.
 Flag State may exempt the following from having the GRB :
 Ship certified to carry ≥ 15 persons and engaged on voyages of duration ≤ 1 hour.
 Fixed or floating platform.

 Competent authority of any State may inspect the GRB and obtain a certified copy of it from
the Master, without unduly delaying the ship.

DISCHARGE CRITERIA (Reg. 3, 4 , 5 and 6)

Type of garbage Outside In special Platforms

special areas areas
Plastics, including synthetic ropes and fishing nets, Prohibited Prohibited Prohibited
bags and incinerator ashes from plastic products
Floating dunnage, lining and packing materials ≥ 25 miles Prohibited Prohibited
All others, except food waste, including cargo ≥ 12 miles Prohibited Prohibited
residues, lpaper products, rags, glass, metal, bottles,
crockery, etc.
All others, except food waste, including paper ≥ 3 miles Prohibited Prohibited
products, rags, glass, metal, bottles, crockery, etc.,
when comminuted
Food waste ≥ 12 miles ≥ 12 miles Prohibited
Food waste when comminuted ≥ 3 miles ≥ 12 miles > 12 miles

Notes :

 In Antarctic area all garbage shall be retained on board and discharged to reception facility
before entering or after leaving it. (Reg. 5.5)
 Platform may be fixed or floating, engaged in exploration, exploitation and offshore
processing of sea-bed mineral resources. Ships within 500m. of the platform shall also
comply with this criteria. (Reg. 4)
 All distances are measured from the nearest land.
 Comminuted garbage shall be able pass through a screen with openings ≤ 25 mm. (Reg.
3.1.c)
 Mixed garbage shall be discharged by applying the more stringent requirements. (Reg. 3.2)
 Discharge of communited food in Wider Caribbean region shall be ≥ 3 miles. (Reg. 5.2.c)

51
Exceptions (Reg. 6)

The above criteria shall not apply in the following cases :

 If it is necessary for the safety of the ship and those on board and for saving life.
 If it is due to damage to the ship or equipment, provided all reasonable precautions have been
taken before and after the damage for preventing or minimising the discharge.
 Accidental loss of fishing nets, provided all reasonable precautions have been taken to
prevent such a loss.
ANNEX VI

REGULATIONS FOR THE PREVENTION OF

AIR POLLUTION FROM SHIPS

APPLICATION (Reg. 1 and 3)

This Annex applies to all ships except under the following circumstances :
 If any emission was necessary for the safety of the ship or life.
 If any emission resulted due to damage to the ship or its equipment, provided that all
reasonable precautions were taken after the damage to prevent or minimise emission, unless
the owner or Master acted recklessly or knowingly with intent to cause damage.
 If it is otherwise stated in this Annex.

SURVEYS (Reg. 5)

 It applies to ships of GT ≥ 400 tons. It may also apply to other ships as decided by Flag State.
 Initial survey of equipment, systems, fittings, arrangements and material shall be carried out
before the ship is put into service.
 Intermediate survey of equipment and arrangements shall be carried out within  3 months
of the 2nd or 3rd anniversary date of issue of the IAPP certificate. This survey shall be in lieu
of the 2nd or 3rd annual survey stated below.
 Annual survey, consisting of general inspection of all the items prescribed for initial survey,
shall be carried out every year within  3 months of the anniversary date of issue of the IAPP
certificate.
 Renewal survey of all items, as for initial survey, shall be carried out at intervals of ≤ 5
years.
 Additional general or partial survey shall be made after important repairs or renewals.
 Surveys shall be carried out by the Flag State or by nominated surveyors or ROs, but Flag
State shall guarantee completeness and efficiency of surveys. Refer A.739(18) and A.789(19)
 Survey of engines and equipment to ensure compliance with the emission of NO x shall be
carried out in accordance with the NOx Technical Code.
 If the nominated surveyor or RO determines that the condition of the equipment does not
comply with the requirements of the Annex then they shall take corrective measures and
inform the Flag and Port States. The ship shall not sail till the deficiencies are rectified.

52
 No changes shall be made in any of the above items without the express approval of the Flag
State, except the direct replacement of equipment and fittings.
 If an accident occurs or a defect is discovered which substantially affects the efficiency of the
equipment, then the Master or owner shall immediately report to the Flag State or nominated
surveyor or RO.

CERTIFICATE (Reg. 6, 7, 8 and 9)

 After completion of initial or renewal survey of any ship of GT  400 tons engaged on
international voyages, an International Air Pollution Prevention certificate shall be issued by
the Flag State or by the nominated surveyor or RO, but the Flag State shall assume full
responsibility for the certificate.
 The certificate shall be valid for ≤ 5 years from the date of issue.
 Another State may, at the request of the Flag State, survey and issue the certificate with an
endorsement that the certificate has been issued at the request of the Flag State.
 Format of the certificate shall be as prescribed in the appendix. It shall contain a translation
in English, French or Spanish.
 If the ship is constructed before this Annex enters into force then it shall be issued with this
certificate no later than its first dry docking, in any case maximum 3 years, after this Annex
enters into force.
 If the renewal survey is completed within 3 months before the expiry of the existing
certificate, or at any time after its expiry, then the new certificate issued shall be valid for
maximum 5 years from the date of expiry of the existing certificate.
 If the renewal survey is completed more than 3 months before the expiry of the existing
certificate, then the new certificate issued shall be valid for maximum 5 years from the date
of completion of the renewal survey.
 If the certificate has been issued for less than 5 years then the Flag State may extend it for the
balance period upto maximum 5 years from the original date of issue.
 If after completing the renewal survey a new certificate cannot be issued then the authorised
organisation may extend the existing certificate for maximum 5 months.
 If the certificate expires in a port where the ship cannot be surveyed then the Flag State may
extend its validity by maximum 3 months to allow it to reach the port of survey, and it shall
not sail from that port without a new certificate. After completing the renewal survey at that
port the new certificate issued shall be valid for maximum 5 years from the date of expiry of
the existing certificate before it was extended.
 A certificate issued to a ship engaged on short voyages, which has not been extended as
stated above, may be extended by the Flag State for a grace period of maximum 1 month.
After completing the renewal survey the new certificate issued shall be valid for maximum 5
years from the date of expiry of the existing certificate before it was extended.
 The certificate shall become invalid under following circumstances :
 If surveys are not carried out as per schedule.
 If the annual or intermediate surveys are not endorsed on the certificate.

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  If the ship is transferred to another State.

PORT STATE CONTROL (Reg. 10 and 11)

 Ship shall be subject to inspection by Port State, concerning the operational requirements
under this Annex, when there are clear grounds for believing that the Master or crew are not
familiar with the essential shipboard procedures relating to prevention of pollution.
 Ship shall not be allowed to sail till the situation is brought to order.
 Procedures of PSC shall be in accordance with the Article 5 of this Convention.
 If a Port State detects that a ship has emitted any substance in violation of this Annex, then it
shall inform the Flag State and also the Master of the ship. Flag State shall investigate the
matter and institute proceedings according to its law, and inform reporting State and IMO.
 A Port State may inspect a ship if a request is received from another State with evidence that
the ship has emitted any substance in violation of this Annex. The report shall be sent to the
reporting State and the Flag State for taking appropriate action

EMISSION OF OZONE-DEPLETING SUBSTANCES (Reg. 12)

 These substances are listed in the Montreal Protocol on Substances that Deplete the Ozone
Layer, 1987.
 Such substances, which may be found on board ship, are as follows (Reg. 2.6) :
 Halon 1211 Bromochlorodifluoromethane
 Halon 1301 Bromotrifluoromethane
 Halon 2402 1,2-Dibromo-1,1,2,2-tetrafluoroethane (also known
as Halon 114B)
 CFC-11 Trichlorofluoromethane
 CFC-12 Dichlorodifluoromethane
 CFC-113 1,1,2-Trichloro-1,2,2-trifluoroethane
 CFC-114 1,2-Dichloro-1,1,2,2-tetrafluoroethane
 CFC-115 Chloropentafluoroethane

 Deliberate emission of these substances during maintenance, servicing, repairing or disposing

of systems or equipment, is prohibited.
 New installations made on a ship after this Annex enters into force, and having such
substances, shall be prohibited, except that Hydrochlorofluorocarbons (HCFCs) are permitted
until 01-01-2020.
 All substances removed from ship shall be delivered to appropriate reception facility.

EMISSION OF NITROGEN OXIDES (NOx) (Reg. 13)

 It applies to diesel engines having power output ≥ 130 kW, which are installed or undergo
major conversion on or after 01-01-2000.
 It does not apply to emergency diesel engines, lifeboat engines and other devices used solely
in emergency. It also does not apply if the ship is engaged only within the jurisdiction of the
Flag State provided the State has established an alternative NOx control measure.

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 The engine shall emit NOx only within the following limits, as calculated in accordance with
the NOx Technical Code :
 17.0 g/kWh for engine with n  130 rpm.
 45.0  n(-0.2) g/kWh for engine with 130 ≤ n  2000 rpm.
 9.8 g/kWh for engine with n ≥ 2000 rpm.
“n” is rated engine speed (crankshaft rpm).

 The above limits may be achieved by fitting an exhaust gas cleaning system to the engine,
which is approved by the Flag State in accordance with the Code, or other approved
equivalent method.

EMISSION OF SULPHUR OXIDES (SOx) (Reg. 14)

 Sulphur content of any fuel used on board ships shall be ≤ 4.5% m/m. Refer MEPC.82(43)
 SOx Emission control area shall be as follows :
 Baltic sea, including Gulfs of Bothnia and Finland, as defined in Annex I.
 North sea, including English channel, as defined in Annex V,
 Any other area designated by IMO in accordance with appendix III.

 In the above areas following conditions shall apply :

 Sulphur content of fuel shall be ≤ 1.5% m/m.
OR
Total emission of SO x from the main and auxiliary propulsion system, after fitting an
approved exhaust gas cleaning system in accordance with Res. MEPC.130(53), or any
other approved equivalent method, shall be ≤ 6.0 g/kWh. Waste streams from the use of
these equipment shall not be discharged into ports, harbours and estuaries.
 If the ship uses different fuels for different areas then, before entering the SO x emission
control area, sufficient time shall be allowed to fully flush the fuel system so as to
remove all fuels having sulphur content  1.5% m/m. The volume of low sulphur content
fuel in each tank, and the date, time and position of the ship when the fuel changeover
took place, shall be recorded in the prescribed log-book.
 The above conditions for the SOx emission control area shall apply 1 year after this
Annex enters into force.

EMISSION OF VOLATILE ORGANIC COMPOUNDS (VOCs) (Reg. 15)

 Emissions of VOCs from tankers shall be regulated by Administrations of the ports.

 Approved vapour emission control system in accordance with Res. MSC/Circ.585, shall be
installed at designated ports and it shall be operated safely without unduly delaying the ship.
 At least six months prior to implementing this regulation, the port Administration shall
submit the following information to IMO :
 Designated ports where this regulation shall be applied.
 Size of tankers to be controlled.
 Cargoes which shall require vapour emission control system.
 Effective date of implementation.

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 Tanker carrying cargoes which require vapour emission control, shall be fitted with an
approved vapour collection system which shall be used when loading such cargoes.
However, for a period of 3 years from the effective date stated above, existing tankers
without such a system may be accepted by the port where vapour emission control system
has been installed.
 List of the designated ports shall be circulated by IMO.
 This regulation shall apply to gas carriers only if non-methane VOCs can be safely retained
on board.

SHIPBOARD INCINERATION (Reg. 16)

 Incinerator shall be approved in accordance with the specifications given in appendix IV and
MEPC.76(40) as amended by MEPC.93(45).
 Incineration of the following shall be prohibited :
 Annex I, II and III cargo residues and contaminated packing material.
 Polychlorinated biphenyls (PCBs).
 Garbage under Annex V containing heavy metals.
 Refined petroleum products containing halogen compounds.

 Sewage sludge and sludge oil generated on board may also be incinerated in main or
auxiliary power plant or boiler, provided that it is done outside ports, harbours and estuaries.
 Polyvinyl chlorides (PVCs) shall be incinerated only in specially approved incinerators.
 Manufacturer’s operating manual shall be placed on board.
 Responsible personnel shall be trained to operate incinerator in accordance with the manual.
 For continuous-feed incinerator, the waste matter shall not be fed into it if the combustion
flue gas outlet temperature  850C, which is minimum allowed for operation of incinerator.
 For batch-fed incinerator, the temperature in the combustion chamber shall reach 600C
within 5 min. of start-up.

RECPTION FACILITIES (Reg. 17)

Adequate facilities shall be provided at the appropriate ports to receive the following without
unduly delaying the ship :
 Ozone-depleting substances and equipment which are removed from the ship.
 Residues from exhaust gas cleaning system.

QUALITY OF FUEL (Reg. 18)

 Fuel shall be blends of hydrocarbons derived from petroleum refining, may be with some
additives incorporated to improve its performance.
 It shall be free from inorganic acid.
 It shall be free from substances which could jeopardise the safety of the ship, machinery or
life, or increase air pollution.
 Sulphur content shall be as stated above.

56
 NOx emissions from the engine shall be within the prescribed limits.
 This regulation is not applicable to coal or nuclear fuel.

BUNKER DELIVERY NOTE (Reg. 18.3)

 Information given in this note shall be as follows (Appendix V) :

 Name and IMO number of the ship receiving bunkers.
 Name of the port.
 Date of delivery.
 Name, address and telephone number of the supplier.
 Name/s of the products.
 Quantity (tons).
 Density at 15C (kg/m2).
 Sulphur content (% m/m).
 Declaration signed by supplier stating that fuel supplied conforms with this Annex.

 It shall be retained on board ship, and a copy thereof shall be retained by supplier, for 3
years.
 It shall be available for inspection by the Port State and for obtaining copies thereof certified
by the Master, without unduly delaying the ship. Refer A.787(19) as amended by A.882(21)

SAMPLES (Reg. 18.6)

Samples of fuel shall be sealed and signed by the supplier and by the Master or officer in charge,
and kept on board ship until the oil is substantially consumed, minimum 1 year.

FUNCTIONS OF STATES (Reg. 18.7)

All States shall carryout the following functions :

 Maintain register of local suppliers of fuel.
 Take action against a supplier who has delivered fuel not complying with his delivery note.
 Inform IMO, the Flag State of the ship receiving fuel which is found to be non-compliant,
and the State where the delivery note was issued.
 Take remedial action to bring the non-compliant fuel into compliance.

57
 RELEVANT MEPC RESOLUTIONS

NO. SUBJECT
2(6) International effluent standards and guidelines for performance tests for
sewage treatment plants.
3(12) Standard format for the COW operations and equipment manual. Amdt. 81(43)
4(13) Acceptance of oil content meters in oil tankers.
5(13) Specifications for oil/water interface detectors.
6(14) Discharge of oil in the Baltic sea.
7(15) Entries in oil record book.
9(17) Discharge of garbage in the Baltic sea.
10(18) Application scheme for ODMCS.
11(18) Guidelines for surveys under Annex I.
12(18) Regional arrangements for combating major incidents of marine pollution.
13(19) Guidelines for plan approval, installation survey and environmental testing of
ODMCS.
15(21) Installation of ODMCS in existing tankers.
18(22) Standards for procedures and arrangements for the discharge of NLS. Amdt.
62(35)
19(22) Adoption of IBC Code.
20(22) Adoption of BCH Code.
22(22) Guidelines for reporting incidents involving harmful substances. Amdt. 30(25).
Refer A.447(11)
23(22) Discharge of NLS in the Baltic sea.
25(23) Guidelines for surveys under Annex II.
26(23) Control of ships and discharges under Annex II.
27(23) Categorisation of liquid substances.
31(26) Establishment of date of application of Annex V to the Baltic sea.
37(28) Establishment of date of application of Annex V to the North sea.
38(29) Discharge of sewage in the Baltic sea.
43(30) Prevention of pollution by garbage in the Mediterranean.
44(30) Identification of the Great barrier reef region as a particularly sensitive area.
Refer A.927(22). Extended to Torres strait by Amdt. 133(53)
45(30) Protection of the Great barrier reef region.
53(32) Development of the capacity of ship scrapping for the smooth implementation
of the amendments to Annex I. Refer 113(50)
54(32) Guidelines for development of SOPEP. Amdt. 85(44), 86(44)
59(33) Revised guidelines for the implementation of Annex V. Amdt. 92(45)
60(33) Specifications for pollution prevention equipment for machinery space bilges.
Revision 107(49)

58
61(34) Visibility limits of oil discharges of Annex I.
63(36) Oil tanker stability, operational safety and protection of marine environment.
64(36) Guidelines for approval of alternative structural or operational arrangements
under Reg. 13G(7) (New no. 20.7) of Annex I.
66(37) Guidelines for approval of alternative methods of design and construction of
oil tankers under Reg. 13F(5) (New no. 19.5) of Annex I. Amdt. 110(49)
67(37) Guidelines on application of the precautionary approach.
71(38) Development of garbage management plans. Refer MEPC/Circ.317
74(40) Identification of Archipelago of Sabana-Camaguey as particularly sensitive
area. Refer A.927(22)
76(40) Specification for shipboard incinerators. Amdt. 93(45)
77(41) Establishment of date on which the amendment to Reg. 10 (New no. 1.11.8) of
Annex I in respect of North-West European waters shall take effect.
82(43) Guidelines for monitoring the worldwide average sulphur content of residual
fuel oils supplied for use on board ships.
83(44) Guidelines for ensuring the adequacy of port waste reception facilities.
85(44) Guidelines for development of shipboard marine pollution emergency plans for
oil and/or NLS. Amdt. 137(53)
94(46) Condition assessment scheme. Amdt. 99(48), 112(50), 131(53)
96(47) Guidelines for the sampling of fuel oil for determination of compliance with
Annex VI.
97(47) Identification of Malpelo island as a particularly sensitive area.
98(47) Identification of Florida Keys as a particularly sensitive area.
101(48) Identification of Wadden sea as a particularly sensitive area.
103(49) Guidelines for on-board NOx verification procedure – direct measurement and
monitoring method.
106(49) Identification of Paracas national reserve as a particularly sensitive area.
121(52) Identification of Western Europe as a particularly sensitive area.
122(52) Explanatory notes on accidental oil outflow performance under New Reg. 23
of Annex I. Amdt. 146(54)
128(53) Amendment to revised survey guidelines under harmonised system of surveys
and certification under Annex VI. A.948(23)
129(53) Guidelines for PSC under Annex VI.
130(53) Guidelines for on-board exhaust gas – SOx cleaning system.
134(53) Identification of Canary islands as a particularly sensitive area.
135(53) Identification of Galapagos Archipelago as a particularly sensitive area.
136(53) Identification of Baltic sea as a particularly sensitive area.
148(54) Guidelines for carrying NLS in bulk in ships other than chemical tankers and
liquefied gas carriers. Refer A.673(16)

59
 RELEVANT IMO ASSEMBLY RESOLUTIONS

NO. SUBJECT
393(10) Performance and test specifications for oily-water separating equipment and oil
content meters. Amdt. 586(14), MEPC.24(22). Refer 444(11), 496(12)
444(11) Installation of oily-water separating equipment. Refer 393(10)
446(11) Specifications for the design, operation and control of COW system. Amdt.
497(12), 897(21)
447(11) Reporting incidents involving harmful substances. Refer MEPC.22(22), 30(25)
495(12) Specifications for oil tankers with dedicated clean ballast tanks.
496(12) Specifications for ODMCS for oil tankers. Amdt. 586(14), MEPC.24(22) and
108(49). Refer 393(10), MEPC.13(19)
544(13) Standards for procedures and arrangements called for by Annex II.
673(16) Guidelines for carrying NLS in bulk in ships other than chemical tankers and
liquefied gas carriers. Refer MEPC.148(54)
739(18) Authorisation of organisations acting on behalf of the Administration.
744(18) Enhanced programme of inspections during surveys of bulk carriers and oil
tanker (Annex B). Refer 798(19); MSC/Circ.655; MSC/Circ.686; Chapter XI-1
of SOLAS
787(19) Procedures for port State control. Amdt. 882(21)
789(19) Survey and certification functions of recognised organisations acting on behalf
of the Administration.
798(19) Selection, application and maintenance of corrosion preventing system of
dedicated sea water ballast tanks. Refer 744(18)
851(20) General principles for ship reporting systems and ship reporting requirements
including guidelines for reporting incidents involving dangerous goods,
harmful substances and/or marine pollutants. Amdt. MEPC.138(53)
868(20) Control and management of ships’ ballast water to minimise the transfer of
harmful aquatic organisms and pathogens.
927(22) Designation of special areas, and identification and designation of particularly
sensitive sea areas. Refer MEPC.44(30), 74(40)

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