1 Development of the International Convention for the Safe and Environmentally Sound Recycling of...

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Development of the International Convention for the

Safe and Environmentally Sound Recycling of Ships by Dr Nikos Mikelis

International Maritime Organization (IMO)

Promoting sustainable ship recycling through the Global Programme - 13 January 2008, Dhaka, Bangladesh

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Structure of presentation:

1. Background to the development of the new “International Convention for the Safe and Environmentally Sound Recycling of Ships”

2. Interagency co-operation

3. Structure of the new Convention

4. Elements and mechanisms of control and enforcement

5. Timetable for the development of the new Convention

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1. Background to the development of the new international Convention

• MEPC 42 (November 1998) The issue of ship recycling is first brought to the attention of the IMO Marine Environment Protection Committee

• MEPC 47 (March 2002) agrees that IMO should develop recommendatory guidelines to be adopted by an Assembly resolution

• MEPC 49 (July 2003) finalizes the IMO Guidelines on Ship Recycling

• Assembly 23 adopts on 5 December 2003 the IMO Guidelines on Ship Recycling by resolution A.962(23)

• MEPC 53 (July 2005) agrees to develop new mandatory instrument on ship recycling

• Assembly 24 adopts on 1 December 2005 resolution A.981(24) instructing MEPC to develop a “new legally binding instrument on ship recycling”

• Assembly 25 in November 2007 accepts the offer by China to host in Hong Kong the diplomatic conference in April (or May) 2009

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Resolution A.981(24) states that the new instrument will regulate:

1 the design, construction, operation and preparation of ships so as to facilitate safe and environmentally sound recycling, without compromising their safety and operational efficiency;

2 the operation of ship recycling facilities in a safe and environmentally sound manner; and

3 the establishment of an appropriate enforcement mechanism for ship recycling (certification / reporting requirements).

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• MEPC 54 (March 2006) convenes a working group on ship recycling which develops the draft text submitted by Norway;

• a Correspondence Group continues the work intersessionally and reports to MEPC 55;

• MEPC 55 (October 2006) convenes a working group on ship recycling which further develops the draft text and guidelines. MEPC 55 formally requests the IMO Council to allocate a five-day international conference in the 2008-2009 biennium to adopt the new Convention;

• a Correspondence Group continues the work intersessionally and reports to the 2nd ISRWG;

• the 2nd ISRWG (May 2007) continues the work and reports to MEPC 56;

• MEPC 56 (July 2007) convenes a working group and continues the work;

• the 3rd ISRWG is scheduled to be held in Nantes, France to continue the work and to report to MEPC 57 (March/April 2008).

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2. Interagency co-operation

• The International Labour Organization (ILO) is the specialized agency mandated to set standards on occupational safety and health (OSH) for all workers

• ILO has adopted various Conventions and Recommendations, including in March 2004 the ILO Guidelines on Safety and Health in Shipbreaking: Guidelines for Asian countries and Turkey

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2. Interagency co-operation • Basel Convention (on the Control of Transboundary

Movements of Hazardous Wastes and their Disposal) regulates the transboundary movement of hazardous and other wastes

• The Convention has competence and expertise on the environmentally sound management of hazardous and other wastes and their disposal, and has experience relevant to the design and operation of ship recycling facilities.

• Basel Convention developed and approved on 13 December 2002 the: Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships

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2. Interagency co-operation • The three Organizations co-operate through the Joint

ILO/IMO/BC Working Group on Ship Scrapping

• The aim of the JWG is to avoid duplication of work and overlapping of roles responsibilities and competencies, and also to identify any further needs. The JWG is not a forum for a joint development of the Convention on ship recycling.

• The first session of the JWG was held at IMO in February 2005 and the second session was hosted by the Basel Convention in December 2005. ILO will host the third session at the end of October 2008.

• The JWG has compared the technical guidelines of the three organizations; has encouraged collaboration in technical cooperation activities; and has identified activities that could promote implementation of the guidelines.

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3. Structure of the new Convention

The draft Convention presently includes:

• 21 Articles (explicit amendments’ procedure)

• 26 regulations (tacit amendments), divided in four chapters: general; requirements for ships; requirements for recycling facilities; reporting requirements

• 7 appendices (tacit amendments)

Also 6 voluntary guidelines are being developed providing clarifications, interpretations, and uniform procedures for technical issues arising from the provisions of the Convention.

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DRAFT INTERNATIONAL CONVENTION FOR THE SAFE AND ENVIRONMENTALLY SOUND RECYCLING OF SHIPS

ARTICLES1 General obligations2 Definitions3 Application4 Controls related to ship recycling5 Survey and certification of ships6 Authorization of ship recycling facilities7 Exchange of information8 Inspection of ships9 Detection of violations10 Violations11 Undue delay of ships12 Communication of information13 Technical assistance and co-operation13 bis Implementation14 Dispute settlement15 Relationship with international law and other international agreements16 Signature, ratification, acceptance, approval and accession17 Entry into force18 Amendments19 Denunciation20 Depositary21 Languages

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ANNEX

CHAPTER 1 - GENERAL PROVISIONSReg.1 Definitions2 General Applicability3 Exceptions

CHAPTER 2 - REQUIREMENTS FOR SHIPSPart A – Design, construction, operation and maintenance of ships4 Controls of ships’ hazardous materials5 Inventory of Hazardous Materials6 Procedure for proposing amendments to Appendices 1 and 27 Technical GroupsPart B – Preparation for ship recycling8 General requirements9 Ship Recycling Plan10 Ready for recyclingPart C – Surveys and certification11 Surveys12 Issuance and endorsement of certificates13 Issuance or endorsement of a certificate by another Party14 Form of the certificates15 Duration and validity of the certificates

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ANNEX (continued)

CHAPTER 3 - REQUIREMENTS FOR SHIPS RECYCLING FACILITIES16 Controls on ship recycling facilities17 Authorization of ship recycling facilities18 General Requirements19 Recycling Facility Management Plan20 Prevention of accidents21 Safe and environmentally sound removal and management of hazardous

materials22 Emergency preparedness and response23 Worker safety and training24 Reporting on incidents and chronic effects

CHAPTER 4 - REPORTING REQUIREMENTS25 Initial notification and reporting requirements26 Reporting upon completion

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ANNEX (continued)

APPENDICES

Controls of hazardous materials

1 Controls of hazardous materials

2 Minimum list of items for the Inventory of Hazardous Materials [(for new ships and new installations)]

Forms of relevant Certificates and other documents

3 Form of the International Certificate on Inventory of Hazardous Materials

4 Form of the International Ready for Recycling Certificate

5 Form of the authorization of Recycling Facilities

6 Form of the Statement of Completion of ship recycling

7 Reporting format [to be developed]

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DRAFT LIST OFGUIDELINES FOR THE SHIP RECYCLING CONVENTION

Guidelines for ships

1 Guidelines for the Inventory of Hazardous Materials

2 Guidelines for Survey and Certification

3 Guidelines for Inspection of Ships

Guidelines for ship recycling facilities

4 Guidelines for the Authorization of Ship Recycling Facilities

5 Guidelines for Safe and Environmentally Sound Ship Recycling

6 Guidelines for the Development of the Ship Recycling Plan

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The Convention – Article 3 Application

• applies to ships entitled to fly the flag of a Party

• applies to ship recycling facilities operating under the jurisdiction of a Party

• does not apply to warships etc• does not apply to ships below 500 GT

However, Parties shall adopt measures ensuring that ships act in a manner consistant with the Convention, as far as reasonable and practicable.

• no more favourable treatment of non-Party ships

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Fundamental obligations of a Party &fundamental rights of a Party

• Fundamental obligations:– to ensure compliance for its ships by survey and

certification (Article 5)– to ensure compliance for its ship recycling facilities by

authorization (Article 6)

• Fundamental rights:– to inspect ships in its ports (PSC) (Article 8)– to be informed on the basis for the authorization of

facilities (by other Parties) (Article 7)

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Articles 9 and 10:

• co-operation amongst Parties• investigation and gathering of evidence• initiate proceedings• information to Parties involved• establish sanctions which are adequate in severity

to discourage violations of the Convention

A comprehensive system for detection of violations and follow-up actions

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Article 12 Communication of information

The purpose of this article is to provide dissemination of information which will facilitate the implementation of the Convention.

Technical co-operation may play an important role in fulfilling the purpose of the Convention

Article 13 Technical assistance and co-operation

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• Option 1Not to include a specific clause on implementation, but just to benefit from Resolutions A.973(24) and A.974(24) as appropriate and as may be amended in the future.

• Option 2 (preferred for the moment)To include an article addressing the implementation of the Convention.

Article 13bis Implementation• Text alternative 1 (specific)• Text alternative 2 (generic)

Increased transparancy

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Article 17 Entry into force

• Articles: explicit acceptance procedure• regulations: tacit acceptance procedure• Appendices: tacit acceptance procedure

Article 18 Amendments

To be decided at the diplomatic conference

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Part A – Design, Construction and maintenance of ships

• regulation 4 - Controls of ships’ hazardous materialsProhibition and/or restriction on ships and at ports and yards (in accordance with appendix 1)

• regulation 5 - Inventory of Hazardous MaterialsInventory of Hazardous Materials (Part I) verified by the Administration. Difference between new and existing ships.

The regulations

Chapter 2 – Requirements for Ships

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Part B - Preparation for ship recycling

• regulation 8 - General requirements

– choose a facility authorized to recycle your ship

– provide the facility with the relevant information, complete the inventory and acquire the Ready for Recycling Certificate

– [Option: Parties may through bilateral agreements also allow ships to use (compliant) facilities under the jurisdicton of non-Parties]

• regulation 9 - Recycling Plan

– to be developed by the ship recycling facility in consultation with the shipowner;

– in the language accepted by the Party of the facility and if its not English, French or Spanish, the plan shall be translated into one of these languages.

Chapter 2 - Requirements for Ships

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Part B – Surveys and certification

regulation 11 - Surveys

– initial survey; for new ships: before the ship enters into service, for existing ships: before the inventory is issued;

– [periodical surveys, on the basis of a five yearly cycle, verifying continuing compliance with the Convention and ensuring that any relevant alterations are reflected on the inventory;

– additional surveys, which the shipowner may request to take place at his option after alterations to the structure, machinery or equipment of the ship;] and

– a final survey prior to the ship being taken out of service, so that all three Parts of the inventory are completed and checked, the Recycling Plan is examined and checked against the inventory, and the Ready for Recycling Certificate is issued.

Surveys may be conducted by officers of the flag Administration, or by surveyors nominated by the Administration, or by surveyors of a Recognized Organization.


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Part B – Surveys and certification

regulation 12 – Issuance and endorsement of certificates

– International Certificate for a ship Inventory of Hazardous Materials; for new ships: before the ship enters into service for the first time;

for existing ships: shall be issued following the survey of an initial and final survey which are conducted at the same time.

– International Ready for recycling Certificate, shall be issued after the final survey.


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• regulation 16 - Controls on ship recycling facilitiesAddresses the system a Party has to establish for controls on ship recycling facilities, e.g. legislation, mechanism for authorizing facilities, contact points

• regulation 17 - Authorization of ship recycling facilitiesAddresses the system for authorization of ship recycling facilities. Verification of documentation and site inspection. Includes a possibility for delegation to an RO, and addresses the period of validity of the authorization.

• regulation 18 - General RequirementsThe facility shall only recycle ships it is authorized for; shall have the documentation available and shall issue a statement of completion when the ship is dismantled.

Chapter 3 – Requirements for ship recycling facilities (1)

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• regulation 19 - Recycling Facility Management PlanRequirements for a management plan which i.a. includes:• identification of roles and responsibilities• a programme for training of workers• an emergency preparedness and response plan• monitoring and record keeping

• regulation 20 - Prevention of accidentsAddresses i.a. establishing procedures for ensuring ”gas-free-for-hot-work” conditions.

• regulation 21- Safe and environmentally sound removal and management of hazardous materialsIncludes the general requirement and specific provisions for specific materials. The requirements do not go beyond the facility (the site).


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• regulation 22 - Emergency preparedness and responseA plan and specific requirements related to equipment, information and procedures.

• regulation 23 - Worker safety and trainingTraining programme (workers need to be trained prior to performing any ship recycling operation) and specific requirements for personal protective equipment.

• regulation 24 - Reporting on incidents and chronic effectsReporting on incidents to the competent authority and information on response action taken.


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The purpose of reporting is to support the enforcement system of the Convention.Reporting ensures that the draft Convention has a very high level of Control.

1. Notification • Shipowner notifies the Administration of the intent to recycle• Facility notifies the competent authority of the intent to recycle

2. Reporting

When the ship has the Ready for Recycling Certificate, the facility reports to the competent authority on the planned start of the recycling.

3. Statement of Completion• Upon completion of recycling the facility issues a statement of completion and

reports to the competent authority• Copy of SOC to the flag Administration

Chapter 4 - Reporting requirements

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4. Elements and mechanisms of control and enforcementThe following elements are introduced by the Convention:

• Inventory of hazardous materials, and associated “International Certificate for a Ship Inventory of Hazardous Materials”;

• surveying regime, presently envisaging an initial survey, surveys during the life of the ship, and a final survey prior to recycling;

• “Ship Recycling Plan”, developed by the recycling yard to specify the manner a ship will be recycled, depending on its inventory;

• “International Ready for Recycling Certificate”, issued to the ship following its final survey;

• Authorization of recycling facilities by the competent authorities in their States, in accordance with the requirements of the Convention; and

• “Statement of Completion of Ship Recycling”, issued by the recycling facility reporting completion of recycling of a ship to the recycling State authorities and to the flag Administration.

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The following mechanisms are created by the draft Convention using the elements of control:

• Flag State obligations: control and enforcement system based on a survey and certification regime, ensuring that a Party to the Convention takes effective measures for ships flying its flag to comply with the requirements of the Convention;

• Port State control rights: a port State control regime ensuring that ships of other Parties and ships of non-Parties comply with the Convention during their operating life;

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• A Party and its recycling facilities: Parties required to take effective measures to ensure recycling facilities under their jurisdiction comply with the Convention. An authorization regime for ship recycling facilities is established;

• Communication and exchange of information: to ensure implementation of the Convention, it is a right of a Party to request information of another Party on the basis on which it has provided authorisation of a recycling facility. Parties are also required to submit to IMO, for dissemination to other Parties, lists of authorized recycling facilities and other information which may assist enforcement and monitoring of implementation of the Convention;

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• Reporting at the end of life: a proposed reporting system ensures that Parties (either as flag States or as recycling States) can control and intervene in the relevant phases prior to recycling.

• Detection of violations: the draft Convention establishes provisions for the detection and the investigation of alleged violations, and on how Parties shall cooperate. Requirements are also set for the establishment of sanctions under the national law of Parties; and

• Auditing implementation: a system for auditing the implementation of the Convention is included in the draft Convention.

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5. Timetable for the development of the new Convention

3rd ISRWG 21-25 January 2008

Further develop the Convention.

MEPC 57 WG

31 March – 4 April 2008

Article by Article and regulation by regulation review of the convention;Recommendation on date for diplomatic conference

Council C100 16 - 20 June 2008

Endorse date for the diplomatic conference.

MEPC 58[DG]

6 - 10 October 2008

Finalize the draft Convention;Circulate the draft Convention for the diplomatic conference.

DiplomaticConference

[April or May 2009]

Adoption of the International Convention for the Safe and Environmentally Sound Recycling of Ships.

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Development of the International Convention for the Safe and Environmentally Sound

Recycling of Ships

Thank you for your attentionPromoting sustainable ship recycling through the Global Programme - 13 January 2008, Dhaka, Bangladesh

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