Regulation 5
Surveys
1 Every ship of 400 gross tonnage and above and every fixed and floating
drilling rig or other platform shall, to ensure compliance with the requirements of
chapter 3 of this Annex, be subject to the surveys specified below:
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.1 An initial survey before the ship is put into service or
before the certificate required under regulation 6 of this Annex is issued
for the first time. This survey shall be such as to ensure that the
equipment, systems, fittings, arrangements and material fully comply with
the applicable requirements of chapter 3 of this Annex;
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.2 A renewal survey at intervals specified by the
Administration, but not exceeding five years, except where regulation 9.2,
9.5, 9.6 or 9.7 of this Annex is applicable. The renewal survey shall be
such as to ensure that the equipment, systems, fittings, arrangements and
material fully comply with applicable requirements of chapter 3 of this
Annex;
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.3 An intermediate survey within three months before or after
the second anniversary date or within three months before or after the third
anniversary date of the certificate which shall take the place of one of the
annual surveys specified in paragraph 1.4 of this regulation. The
intermediate survey shall be such as to ensure that the equipment and
arrangements fully comply with the applicable requirements of chapter 3 of
this Annex and are in good working order. Such intermediate surveys shall be
endorsed on the IAPP Certificate issued under regulation 6 or 7 of this
Annex;
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.4 An annual survey within three months before or after each
anniversary date of the certificate, including a general inspection of the
equipment, systems, fittings, arrangements and material referred to in
paragraph 1.1 of this regulation to ensure that they have been maintained in
accordance with paragraph 5 of this regulation and that they remain
satisfactory for the service for which the ship is intended. Such annual
surveys shall be endorsed on the IAPP Certificate issued under regulation 6
or 7 of this Annex; and
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.5 An additional survey either general or partial, according to
the circumstances, shall be made whenever any important repairs or renewals
are made as prescribed in paragraph 5 of this regulation or after a repair
resulting from investigations prescribed in paragraph 6 of this regulation.
The survey shall be such as to ensure that the necessary repairs or renewals
have been effectively made, that the material and workmanship of such
repairs or renewals are in all respects satisfactory and that the ship
complies in all respects with the requirements of chapter 3 of this Annex.
2 In the case of ships of less than 400 gross tonnage, the Administration
may establish appropriate measures in order to ensure that the applicable provisions
of chapter 3 of this Annex are complied with.
3 Surveys of ships as regards the enforcement of the provisions of this
Annex shall be carried out by officers of the Administration.
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.1 The Administration may, however, entrust the surveys either
to surveyors nominated for the purpose or to organizations recognized by it.
Such organizations shall comply with the guidelines adopted by the
Organization;footnote
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.2 The survey of marine diesel engines and equipment for
compliance with regulation 13 of this Annex shall be conducted in accordance
with the revised NOX Technical Code 2008;
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.3 When a nominated surveyor or recognized organization
determines that the condition of the equipment does not correspond
substantially with the particulars of the certificate, it shall ensure that
corrective action is taken and shall in due course notify the
Administration. If such corrective action is not taken, the certificate
shall be withdrawn by the Administration. If the ship is in a port of
another Party, the appropriate authorities of the port State shall also be
notified immediately. When an officer of the Administration, a nominated
surveyor or recognized organization has notified the appropriate authorities
of the port State, the Government of the port State concerned shall give
such officer, surveyor or organization any necessary assistance to carry out
their obligations under this regulation; and
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.4 In every case, the Administration concerned shall fully
guarantee the completeness and efficiency of the survey and shall undertake
to ensure the necessary arrangements to satisfy this obligation.
4 Ships to which chapter 4 of this Annex applies shall also be subject to
the surveys specified below, taking into account the guidelines adopted by the
Organization:footnote
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.1 An initial survey carried out before a new ship is put in
service and before the International Energy Efficiency Certificate is
issued. The survey shall verify that the ship’s attained EEDI is in
accordance with the requirements in chapter 4 of this Annex, and that the
SEEMP required by regulation 26 of this Annex is on board;
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.2 A general or partial survey, according to the circumstances,
carried out after a major conversion of a new ship to which this regulation
applies. The survey shall ensure that the attained EEDI is recalculated as
necessary and meets the requirement of regulation 24 of this Annex, with the
reduction factor applicable to the ship type and size of the converted ship
in the phase corresponding to the date of contract or keel laying or
delivery determined for the original ship in accordance with regulation
2.2.18 of this Annex;
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.3 In cases where the major conversion of a new or existing ship
is so extensive that the ship is regarded by the Administration as a newly
constructed ship, the Administration shall determine the necessity of an
initial survey on attained EEDI. Such a survey, if determined necessary,
shall ensure that the attained EEDI is calculated and meets the requirement
of regulation 24 of this Annex, with the reduction factor applicable
corresponding to the ship type and size of the converted ship at the date of
the contract of the conversion, or in the absence of a contract, the
commencement date of the conversion. The survey shall also verify that the
SEEMP required by regulation 26 of this Annex is on board and, for a ship to
which regulation 27 applies, has been revised appropriately to reflect a
major conversion in those cases where the major conversion affects data
collection methodology and/or reporting processes;
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.4 For existing ships, the verification of the requirement to
have a SEEMP on board according to regulation 26 of this Annex shall take
place at the first intermediate or renewal survey identified in paragraph 1
of this regulation, whichever is the first, on or after 1 January 2013;
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.5 The Administration shall ensure that for each ship to which
regulation 27 applies, the SEEMP complies with regulation 26.2 of this
Annex. This shall be done prior to collecting data under regulation 27 of
this Annex in order to ensure the methodology and processes are in place
prior to the beginning of the ship’s first reporting period. Confirmation of
compliance shall be provided to and retained on board the ship;
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.6 The Administration shall ensure that, for each ship to which
regulation 28 applies, the SEEMP complies with regulation 26.3.1 of this
Annex. This shall be done prior to 1 January 2023. Confirmation of
compliance shall be provided to, and retained on board, the ship;
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.7 The verification that the ship's attained EEXI is in
accordance with the requirements in regulations 23 and 25 of this Annex
shall take place at the first annual, intermediate or renewal survey
identified in paragraph 1 of this regulation or the initial survey
identified in paragraphs 4.1 and 4.3 of this regulation, whichever is the
first, on or after 1 January 2023; and
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.8 Notwithstanding paragraph 4.7 of this regulation, a general
or partial survey, according to the circumstances, carried out after a major
conversion of a ship to which regulation 23 of this Annex applies. The
survey shall ensure that the attained EEXI is recalculated as necessary and
meets the requirement of regulation 25 of this Annex.
5 The equipment shall be maintained to conform with the provisions of
this Annex and no changes shall be made in the equipment, systems, fittings,
arrangements or material covered by the survey, without the express approval of the
Administration. The direct replacement of such equipment and fittings with equipment
and fittings that conform with the provisions of this Annex is permitted.
6 Whenever an accident occurs to a ship or a defect is discovered that
substantially affects the efficiency or completeness of its equipment covered by
this Annex, the master or owner of the ship shall report at the earliest opportunity
to the Administration, a nominated surveyor or recognized organization responsible
for issuing the relevant certificate.
Regulation 6
Issue or endorsement of Certificates and Statements of Compliance
related to fuel oil consumption reporting and operational carbon intensity
rating
International Air Pollution Prevention Certificate
1 An International Air Pollution Prevention (IAPP) Certificate shall be
issued, after an initial or renewal survey in accordance with the provisions of
regulation 5 of this Annex, to:
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.1 any ship of 400 gross tonnage and above engaged in voyages to
ports or offshore terminals under the jurisdiction of other Parties; and
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.2 platforms and drilling rigs engaged in voyages to waters
under the sovereignty or jurisdiction of other Parties.
2 A ship constructed before the date this Annex enters into force for
that particular ship’s Administration, shall be issued with an IAPP Certificate in
accordance with paragraph 1 of this regulation no later than the first scheduled
dry-docking after the date of such entry into force, but in no case later than three
years after this date.
3 Such certificate shall be issued or endorsed either by the
Administration or by any person or organization duly authorized by it.footnote In every case, the Administration assumes full
responsibility for the certificate.
International Energy Efficiency Certificate
4 An International Energy Efficiency Certificate for the ship shall be
issued after a survey in accordance with the provisions of regulation 5.4 of this
Annex to any ship of 400 gross tonnage and above before that ship may engage in
voyages to ports or offshore terminals under the jurisdiction of other Parties.
5 The certificate shall be issued or endorsed either by the
Administration or any organization duly authorized by it.footnote In every case, the Administration assumes full
responsibility for the certificate.
Statement of Compliance related to fuel oil consumption reporting and
operational carbon intensity rating
6 Upon receipt of reported data pursuant to regulation 27.3 of this
Annex and attained annual operational CII pursuant to regulation 28.2 of this Annex,
the Administration or any organization duly authorized by it shall:
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.1 determine whether the data has been reported in accordance
with regulation 27 of this Annex;
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.2 verify that the attained annual operational CII reported is
based on the data submitted in accordance with regulation 27 of this Annex;
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.3 based on the verified attained annual operational CII,
determine the operational carbon intensity rating of the ship in accordance
with regulation 28.6 of this Annex; and
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.4 issue a Statement of Compliance related to fuel oil
consumption reporting and operational carbon intensity rating to the ship no
later than five months from the beginning of the calendar year, upon
determination and verification pursuant to regulations 6.6.1 to 6.6.3 of
this Annex. In every case, the Administration assumes full responsibility
for this Statement of Compliance.
7 Upon receipt of reported data pursuant to regulations 27.4, 27.5 or
27.6 of this Annex, the Administration or any organization duly authorized by
itfootnote shall promptly determine whether the data has been
reported in accordance with regulation 27 and, if so, issue a Statement of
Compliance to the ship. In every case, the Administration assumes full
responsibility for this Statement of Compliance.
8 Notwithstanding paragraph 6 of this regulation, a ship rated as D for
three consecutive years or rated as E in accordance with regulation 28 of this Annex
shall not be issued a Statement of Compliance unless a plan of corrective actions is
duly developed and reflected in the SEEMP and verified by the Administration or any
organization duly authorized by it in accordance with regulations 28.7 and 28.8 of
this Annex.
Regulation 7
Issue of a Certificate by another Party
1 A Party may, at the request of the Administration, cause a ship to be
surveyed and, if satisfied that the provisions of this Annex are complied with,
shall issue or authorize the issue of an IAPP Certificate or an International Energy
Efficiency Certificate to the ship, and where appropriate, endorse or authorize the
endorsement of such certificates on the ship, in accordance with this Annex.
2 A copy of the certificate and a copy of the survey report shall be
transmitted as soon as possible to the requesting Administration.
3 A certificate so issued shall contain a statement to the effect that
it has been issued at the request of the Administration and it shall have the same
force and receive the same recognition as a certificate issued under regulation 6 of
this Annex.
4 No IAPP Certificate, International Energy Efficiency Certificate or
UNSP Exemption Certificate shall be issued to a ship which is entitled to fly the
flag of a State which is not a Party.
Regulation 8
Form of Certificates and Statements of Compliance related to fuel oil
consumption reporting and operational carbon intensity rating
International Air Pollution Prevention Certificate
1 The IAPP Certificate shall be drawn up in a form corresponding to the
model given in appendix I to this Annex and shall be at least in English, French or
Spanish. If an official language of the issuing country is also used, this shall
prevail in case of a dispute or discrepancy.
International Energy Efficiency Certificate
2 The International Energy Efficiency Certificate shall be drawn up in a
form corresponding to the model given in appendix VIII to this Annex and shall be at
least in English, French or Spanish. If an official language of the issuing Party is
also used, this shall prevail in case of a dispute or discrepancy.
Statement of Compliance related to fuel oil consumption reporting and
operational carbon intensity rating
3 The Statement of Compliance pursuant to regulations 6.6 and 6.7 of
this Annex shall be drawn up in a form corresponding to the model given in appendix
X to this Annex and shall be at least in English, French or Spanish. If an official
language of the issuing Party is also used, this shall prevail in case of a dispute
or discrepancy.
International Air Pollution Prevention Exemption Certificate for
Unmanned Non-self-propelled Barges
4 In accordance with regulation 3.4 of this Annex, the International Air
Pollution Prevention Exemption Certificate for Unmanned Non-self-propelled Barges
shall be drawn up in the form corresponding to the model given in appendix XI to
this Annex and shall be at least in English, French or Spanish. If an official
language of the issuing country is also used, this shall prevail in the event of a
dispute or discrepancy.
Regulation 9
Duration and validity of Certificates and Statements of Compliance
related to fuel oil consumption reporting and operational carbon intensity
rating
International Air Pollution Prevention Certificate
1 An IAPP Certificate shall be issued for a period specified by the
Administration, which shall not exceed five years.
2 Notwithstanding the requirements of paragraph 1 of this regulation:
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.1 when the renewal survey is completed within three months
before the expiry date of the existing certificate, the new certificate
shall be valid from the date of completion of the renewal survey to a date
not exceeding five years from the date of expiry of the existing
certificate;
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.2 when the renewal survey is completed after the expiry date of
the existing certificate, the new certificate shall be valid from the date
of completion of the renewal survey to a date not exceeding five years from
the date of expiry of the existing certificate; and
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.3 when the renewal survey is completed more than three months
before the expiry date of the existing certificate, the new certificate
shall be valid from the date of completion of the renewal survey to a date
not exceeding five years from the date of completion of the renewal survey.
3 If a certificate is issued for a period of less than five years, the
Administration may extend the validity of the certificate beyond the expiry date to
the maximum period specified in paragraph 1 of this regulation, provided that the
surveys referred to in regulations 5.1.3 and 5.1.4 of this Annex applicable when a
certificate is issued for a period of five years are carried out as appropriate.
4 If a renewal survey has been completed and a new certificate cannot be
issued or placed on board the ship before the expiry date of the existing
certificate, the person or organization authorized by the Administration may endorse
the existing certificate and such a certificate shall be accepted as valid for a
further period that shall not exceed five months from the expiry date.
5 If a ship, at the time when a certificate expires, is not in a port in
which it is to be surveyed, the Administration may extend the period of validity of
the certificate, but this extension shall be granted only for the purpose of
allowing the ship to complete its voyage to the port in which it is to be surveyed,
and then only in cases where it appears proper and reasonable to do so. No
certificate shall be extended for a period longer than three months, and a ship to
which an extension is granted shall not, on its arrival in the port in which it is
to be surveyed, be entitled by virtue of such extension to leave that port without
having a new certificate. When the renewal survey is completed, the new certificate
shall be valid to a date not exceeding five years from the date of expiry of the
existing certificate before the extension was granted.
6 A certificate issued to a ship engaged on short voyages that has not
been extended under the foregoing provisions of this regulation may be extended by
the Administration for a period of grace of up to one month from the date of expiry
stated on it. When the renewal survey is completed, the new certificate shall be
valid to a date not exceeding five years from the date of expiry of the existing
certificate before the extension was granted.
7 In special circumstances, as determined by the Administration, a new
certificate need not be dated from the date of expiry of the existing certificate as
required by paragraph 2.1, 5 or 6 of this regulation. In these special
circumstances, the new certificate shall be valid to a date not exceeding five years
from the date of completion of the renewal survey.
8 If an annual or intermediate survey is completed before the period
specified in regulation 5 of this Annex, then:
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.1 the anniversary date shown on the certificate shall be
amended by endorsement to a date that shall not be more than three months
later than the date on which the survey was completed;
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.2 the subsequent annual or intermediate survey required by
regulation 5 of this Annex shall be completed at the intervals prescribed by
that regulation using the new anniversary date; and
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.3 the expiry date may remain unchanged, provided one or more
annual or intermediate surveys, as appropriate, are carried out so that the
maximum intervals between the surveys prescribed by regulation 5 of this
Annex are not exceeded.
9 A certificate issued under regulation 6 or 7 of this Annex shall cease
to be valid in any of the following cases:
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.1 if the relevant surveys are not completed within the periods
specified under regulation 5.1 of this Annex;
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.2 if the certificate is not endorsed in accordance with
regulation 5.1.3 or 5.1.4 of this Annex; and
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.3 upon transfer of the ship to the flag of another State. A new
certificate shall only be issued when the Government issuing the new
certificate is fully satisfied that the ship is in compliance with the
requirements of regulation 5.4 of this Annex. In the case of a transfer
between Parties, if requested within three months after the transfer has
taken place, the Government of the Party whose flag the ship was formerly
entitled to fly shall, as soon as possible, transmit to the Administration
copies of the certificate carried by the ship before the transfer and, if
available, copies of the relevant survey reports.
International Energy Efficiency Certificate
10 The International Energy Efficiency Certificate shall be valid
throughout the life of the ship subject to the provisions of paragraph 11 below.
11 An International Energy Efficiency Certificate issued under this
Annex shall cease to be valid in any of the following cases:
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.1 if the ship is withdrawn from service or if a new certificate
is issued following major conversion of the ship; or
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.2 upon transfer of the ship to the flag of another State. A new
certificate shall only be issued when the Government issuing the new
certificate is fully satisfied that the ship is in compliance with the
requirements of chapter 4 of this Annex. In the case of a transfer between
Parties, if requested within three months after the transfer has taken
place, the Government of the Party whose flag the ship was formerly entitled
to fly shall, as soon as possible, transmit to the Administration copies of
the certificate carried by the ship before the transfer and, if available,
copies of the relevant survey reports; or
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.3 if the ship's equipment, systems, fittings, arrangements, or
material covered by the survey were changed without the express approval of
the Administration, as provided for in regulation 5.5 of this Annex, unless
regulation 3 of this Annex applies.
Statement of Compliance related to fuel oil consumption reporting and
operational carbon intensity rating
12 The Statement of Compliance issued pursuant to regulation 6.6 of this
Annex shall be valid for the calendar year in which it is issued and for the first
five months of the following calendar year. The Statement of Compliance issued
pursuant to regulation 6.7 of this Annex shall be valid for the calendar year in
which it is issued, for the following calendar year, and for the first five months
of the subsequent calendar year. All Statements of Compliance shall be kept on board
for at least five years.
Regulation 10
Port State control on operational requirements
1 A ship, when in a port or an offshore terminal under the jurisdiction
of another Party, is subject to inspection by officers duly authorized by such Party
concerning operational requirements under this Annex,footnote where there are clear grounds for believing that the
master or crew are not familiar with essential shipboard procedures relating to the
prevention of air pollution from ships.
2 In the circumstances given in paragraph 1 of this regulation, the
Party shall take steps to ensure that the ship shall not sail until the situation
has been brought to order in accordance with the requirements of this Annex.
3 Procedures relating to the port State control prescribed in article 5
of the present Convention shall apply to this regulation.
4 Nothing in this regulation shall be construed to limit the rights and
obligations of a Party carrying out control over operational requirements
specifically provided for in the present Convention.
5 In relation to chapter 4 of this Annex, any port State inspection may
verify, when appropriate, that there is a valid Statement of Compliance related to
fuel oil consumption reporting and operational carbon intensity rating, an
International Energy Efficiency Certificate and a Ship Energy Efficiency Management
Plan on board, in accordance with article 5 of the present Convention.
6 Notwithstanding the requirements in paragraph 5 of this regulation,
any port State inspection may inspect whether the Ship Energy Efficiency Management
Plan is duly implemented by the ship in accordance with regulation 28 of this Annex.
Regulation 11
Detection of violations and enforcement
1 Parties shall cooperate in the detection of violations and the
enforcement of the provisions of this Annex, using all appropriate and practicable
measures of detection and environmental monitoring, and adequate procedures for
reporting and accumulation of evidence.
2 A ship to which this Annex applies may, in any port or offshore
terminal of a Party, be subject to inspection by officers appointed or authorized by
that Party for the purpose of verifying whether the ship has emitted any of the
substances covered by this Annex in violation of the provision of this Annex. If an
inspection indicates a violation of this Annex, a report shall be forwarded to the
Administration for any appropriate action.
3 Any Party shall furnish to the Administration evidence, if any, that
the ship has emitted any of the substances covered by this Annex in violation of the
provisions of this Annex. If it is practicable to do so, the competent authority of
the former Party shall notify the master of the ship of the alleged violation.
4 Upon receiving such evidence, the Administration shall investigate the
matter and may request the other Party to furnish further or better evidence of the
alleged contravention. If the Administration is satisfied that sufficient evidence
is available to enable proceedings to be brought in respect of the alleged
violation, it shall cause such proceedings to be taken in accordance with its law as
soon as possible. The Administration shall promptly inform the Party that has
reported the alleged violation, as well as the Organization, of the action taken.
5 A Party may also inspect a ship to which this Annex applies when it
enters the ports or offshore terminals under its jurisdiction, if a request for an
investigation is received from any Party together with sufficient evidence that the
ship has emitted any of the substances covered by the Annex in any place in
violation of this Annex. The report of such investigation shall be sent to the Party
requesting it and to the Administration so that the appropriate action may be taken
under the present Convention.
6 The international law concerning the prevention, reduction and control
of pollution of the marine environment from ships, including that law relating to
enforcement and safeguards, in force at the time of application or interpretation of
this Annex, applies, mutatis mutandis, to the rules and standards set forth in this
Annex.