Regulation (EU) No 1257/2013 of the European Parliament and of the Council of 20 November 2013 on ship recycling and amending Regulation (EC) No 1013/2006 and Directive 2009/16/EC Text with EEA relevance

TITLE I

SUBJECT-MATTER, SCOPE AND DEFINITIONS

Article 1

Subject matter and purpose

The purpose of this Regulation is to prevent, reduce, minimise and, to the extent practicable, eliminate accidents, injuries and other adverse effects on human health and the environment caused by ship recycling. The purpose of this Regulation is to enhance safety, the protection of human health and of the Union marine environment throughout a ship′s life-cycle, in particular to ensure that hazardous waste from such ship recycling is subject to environmentally sound management.

This Regulation also lays down rules to ensure the proper management of hazardous materials on ships.

This Regulation also aims to facilitate the ratification of the Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships, 2009 (‘the Hong Kong Convention’).

Article 2

Scope

Article 12 shall apply to ships flying the flag of a third country calling at a port or anchorage of a Member State.

This Regulation shall not apply to:

(a) any warships, naval auxiliary, or other ships owned or operated by a state and used, for the time being, only on government non-commercial service;

(b) ships of less than 500 gross tonnage (GT);

(c) ships operating throughout their life only in waters subject to the sovereignty or jurisdiction of the Member State whose flag the ship is flying.

Article 3

Definitions

For the purposes of this Regulation, the following definitions apply:

(1) ‘ship’ means a vessel of any type whatsoever operating or having operated in the marine environment, and includes submersibles, floating craft, floating platforms, self-elevating platforms, Floating Storage Units (FSUs), and Floating Production Storage and Offloading Units (FPSOs), as well as a vessel stripped of equipment or being towed;

(2) ‘new ship’ means a ship for which either: (a) the building contract is placed on or after the date of application of this Regulation; (b) in the absence of a building contract, the keel is laid or the ship is at a similar stage of construction six months after the date of application of this Regulation or thereafter; or (c) the delivery takes place thirty months after the date of application of this Regulation or thereafter;

(3) ‘tanker’ means an oil tanker as defined in Annex I to the Convention for the Prevention of Pollution from Ships (‘MARPOL Convention’) or a Noxious Liquid Substances (NLS) tanker as defined in Annex II to that Convention;

(4) ‘hazardous material’ means any material or substance which is liable to create hazards to human health and/or the environment;

(5) ‘operationally generated waste’ means waste water and residues generated by the normal operation of ships subject to the requirements of the MARPOL Convention;

(6) ‘ship recycling’ means the activity of complete or partial dismantling of a ship at a ship recycling facility in order to recover components and materials for reprocessing, for preparation for re-use or for re-use, whilst ensuring the management of hazardous and other materials, and includes associated operations such as storage and treatment of components and materials on site, but not their further processing or disposal in separate facilities;

(7) ‘ship recycling facility’ means a defined area that is a yard or facility located in a Member State or in a third country and used for the recycling of ships;

(8) ‘ship recycling company’ means, the owner of the ship recycling facility or any other organisation or person who has assumed the responsibility for the operation of the ship recycling activity from the owner of the ship recycling facility;

(9) ‘administration’ means a governmental authority designated by a Member State as being responsible for duties related to ships flying its flag or to ships operating under its authority;

(10) ‘recognised organisation’ means an organisation recognised in accordance with Regulation (EC) No 391/2009 of the European Parliament and of the Council (¹);

(11) ‘competent authority’ means a governmental authority or authorities designated by a Member State or a third country as responsible for ship recycling facilities, within a specified geographical area or an area of expertise, relating to all operations within the jurisdiction of that state;

(12) ‘gross tonnage’ means the gross tonnage (GT) calculated in accordance with the tonnage measurement regulations contained in Annex I to the International Convention on Tonnage Measurement of Ships, 1969, or any successor convention;

(13) ‘competent person’ means a person with suitable qualifications, training, and sufficient knowledge, experience and skill, for the performance of the specific work;

(14) ‘ship owner’ means the natural or legal person registered as the owner of the ship, including the natural or legal person owning the ship for a limited period pending its sale or handover to a ship recycling facility, or, in the absence of registration, the natural or legal person owning the ship or any other organisation or person, such as the manager or the bareboat charterer, who has assumed the responsibility for operation of the ship from the owner of the ship, and the legal person operating a state-owned ship;

(15) ‘new installation’ means the installation of systems, equipment, insulation or other material on a ship after the date of application of this Regulation;

(16) ‘ship recycling plan’ means a plan developed by the operator of the ship recycling facility for each specific ship to be recycled under its responsibility taking into account the relevant IMO guidelines and resolutions;

(17) ‘ship recycling facility plan’ means a plan prepared by the operator of the ship recycling facility and adopted by the board or the appropriate governing body of the ship recycling company that describes the operational processes and procedures involved in ship recycling at the ship recycling facility and that covers in particular workers’ safety and training, protection of human health and the environment, roles and responsibilities of personnel, emergency preparedness and response, and systems for monitoring, reporting and record-keeping, taking into account the relevant IMO guidelines and resolutions;

(18) ‘safe-for-entry’ means a space that meets all of the following criteria: (a) the oxygen content of the atmosphere and the concentration of flammable vapours are within safe limits; (b) any toxic materials in the atmosphere are within permissible concentrations; (c) any residues or materials associated with the work authorised by the competent person will not produce uncontrolled release of toxic materials or an unsafe concentration of flammable vapours under existing atmospheric conditions while maintained as directed;

(19) ‘safe-for-hot work’ means a space in which all of the following criteria are met: (a) safe, non-explosive conditions, including gas-free status, exist for the use of electric arc or gas welding equipment, cutting or burning equipment or other forms of naked flame, as well as heating, grinding, or spark-generating operations; (b) the safe-for-entry criteria set out in point 18 are met; (c) existing atmospheric conditions do not change as a result of the hot work; (d) all adjacent spaces have been cleaned, rendered inert or treated sufficiently to prevent the start or spread of fire;

(20) ‘statement of completion’ means a confirmatory statement issued by the operator of the ship recycling facility that the ship recycling has been completed in accordance with this Regulation;

(21) ‘inventory certificate’ means a ship-specific certificate that is issued to ships flying the flag of a Member State in accordance with Article 9 and that is supplemented by an inventory of hazardous materials in accordance with Article 5;

(22) ‘ready for recycling certificate’ means a ship-specific certificate that is issued to ships flying the flag of a Member State in accordance with Article 9(9) and that is supplemented by an inventory of hazardous materials in accordance with Article 5(7) and the approved ship recycling plan in accordance with Article 7;

(23) ‘statement of compliance’ means a ship-specific certificate that is issued to ships flying the flag of a third country and that is supplemented by an inventory of hazardous materials in accordance with Article 12;

(24) ‘light displacement tonnes (LDT)’ means the weight of a ship in tonnes without cargo, fuel, lubricating oil in storage tanks, ballast water, fresh water, feedwater, consumable stores, passengers and crew and their effects and it is the sum of the weight of the hull, structure, machinery, equipment and fittings of the ship.

For the purposes of Article 6(2)(a), Article 7(2)(d) and Articles 13, 15 and 16,

(a) ‘waste’, ‘hazardous waste’, ‘treatment’ and ‘waste management’ have the same meaning as in Article 3 of Directive 2008/98/EC;

(b) ‘site inspection’ means an inspection of the ship recycling facility assessing whether the conditions on site are consistent with those described in any relevant documentation provided;

(c) ‘worker’ means any person who performs work, either regularly or temporarily, in the context of an employment relationship, including the personnel working for contractors and subcontractors;

(d) ‘environmentally sound management’ means taking all practicable steps to ensure that waste and hazardous materials are managed in a manner which protects human health and the environment against the adverse effects which may result from such materials and waste.

Without prejudice to Directive 2005/36/EC of the European Parliament and of the Council (²), the competent authority may define appropriate criteria for the designation of such persons and may determine the duties to be assigned to them.

TITLE II

SHIPS

Article 4

Control of hazardous materials

The installation or use of hazardous materials referred to in Annex I on ships shall be prohibited or restricted as specified in Annex I, without prejudice to other requirements of relevant Union law which may require further measures.

Article 5

Inventory of hazardous materials

In the case of ships going for recycling, they shall comply, as far as practicable, with paragraph 1 of this Article from the date of the publication of the European List of ship recycling facilities (‘the European List’) as set out in Article 16(2).

Subject to point (b) of Article 32(2), when the inventory of hazardous materials is developed it shall identify, at least, the hazardous materials listed in Annex I.

The inventory of hazardous materials shall:

(a) be specific to each ship;

(b) provide evidence that the ship complies with the prohibition or restrictions on installing or using hazardous materials in accordance with Article 4;

(c) be compiled taking into account the relevant IMO guidelines;

(d) be verified either by the administration or a recognised organisation authorised by it.

The inventory of hazardous materials shall consist of three parts:

(a) a list of hazardous materials referred to in Annexes I and II, in accordance with the provisions of paragraphs 1 and 2 of this Article, and contained in the structure or equipment of the ship, with an indication of their location and approximate quantities (Part I);

(b) a list of the operationally generated waste present on board the ship (Part II);

(c) a list of the stores present on board the ship (Part III).

The Commission shall adopt a separate delegated act in respect of each substance to be added or deleted from Annexes I or II.

Article 6

General requirements for ship owners

When preparing to send a ship for recycling, ship owners shall:

(a) provide the operator of the ship recycling facility with all ship-relevant information, necessary for the development of the ship recycling plan set out in Article 7;

(b) notify in writing the relevant administration, within a timeframe to be determined by that administration, of the intention to recycle the ship in a specified ship recycling facility or facilities. The notification shall include at least: (i) the inventory of hazardous materials; and (ii) all ship-relevant information provided under point (a).

Ship owners shall ensure that ships destined to be recycled:

(a) are only recycled at ship recycling facilities that are included in the European List and, in the case of ships which are considered as hazardous waste, are located in an area under the national jurisdiction of a Member State and are exported from the Union, only at those facilities included in the European List which are located in countries listed in Annex VII to the Basel Convention;

(b) conduct operations in the period prior to entering the ship recycling facility in such a way as to minimise the amount of cargo residues, remaining fuel oil, and ship generated waste remaining on board;

(c) hold a ready for recycling certificate issued by the administration or a recognised organisation authorised by it prior to any recycling of the ship and after the receipt of the ship recycling plan approved in accordance with Article 7(3).

Article 7

Ship recycling plan

The ship recycling plan shall:

(a) be developed by the operator of the ship recycling facility in accordance with the relevant provisions of the Hong Kong Convention and taking into account the relevant IMO guidelines and the ship-relevant information provided by the ship owner in accordance with Article 6(1)(a) so that its contents are consistent with the information contained in the inventory of hazardous materials;

(b) clarify whether and to what extent any preparatory work, such as pre-treatment, identification of potential hazards and removal of stores, is to take place at a location other than the ship recycling facility identified in the ship recycling plan. The ship recycling plan should include the location where the ship will be placed during recycling operations and a concise plan for the arrival and safe placement of the specific ship to be recycled;

(c) include information concerning the establishment, maintenance and monitoring of the safe-for-entry and safe-for-hot work conditions for the specific ship, taking into account features such as its structure, configuration and previous cargo, and other necessary information on how the ship recycling plan is to be implemented;

(d) include information on the type and amount of hazardous materials and of waste to be generated by the recycling of the specific ship, including the materials and the waste identified in the inventory of hazardous materials, and on how they will be managed and stored in the ship recycling facility as well as in subsequent facilities; and

(e) be prepared separately, in principle, for each ship recycling facility involved where more than one ship recycling facility is to be used, and identify the order of use and the authorised activities that will occur at those facilities.

Explicit approval shall be given when the competent authority sends a written notification of its decision on the ship recycling plan to the operator of the ship recycling facility, the ship owner and the administration.

Tacit approval shall be deemed given, if no written objection to the ship recycling plan is communicated by the competent authority to the operator of the ship recycling facility, the ship owner and the administration within a review period laid down in accordance with the requirements of the state where the ship recycling facility is located, where applicable, and notified in accordance with Article 15(2)(b).

Member States may require their administration to send to the competent authority of the state where the ship recycling facility is located the information provided by the ship owner pursuant to Article 6(1)(b) and the following details:

(i) the date on which the ship was registered within the State whose flag it flies;

(ii) the ship’s identification number (IMO number);

(iii) the hull number on new-building delivery;

(iv) the name and type of the ship;

(v) the port at which the ship is registered;

(vi) the name and address of the ship owner as well as the IMO registered owner identification number;

(vii) the name and address of the company;

(viii) the name of any classification societies with which the ship is classed;

(ix) the ship’s main particulars (Length overall (LOA), Breadth (Moulded), Depth (Moulded), LDT, Gross and Net tonnage, and engine type and rating).

Article 8

Surveys

Where the administration uses recognised organisations to conduct surveys, as described in paragraph 1, it shall, as a minimum, empower such recognised organisations to:

— require a ship that they survey to comply with this Regulation; and

— carry out surveys if requested by the appropriate authorities of a Member State.

Ships shall be subject to the following surveys:

(a) an initial survey;

(b) a renewal survey;

(c) an additional survey;

(d) a final survey.

That survey shall verify that:

(a) the inventory of hazardous materials complies with the requirements of Article 5;

(b) the ship recycling plan properly reflects the information contained in the inventory of hazardous materials and complies with the requirements of Article 7;

(c) the ship recycling facility where the ship is to be recycled is included in the European List.

Article 9

Issuance and endorsement of certificates

Where the initial survey and the final survey are conducted at the same time as provided for in Article 8(8), only the ready for recycling certificate referred to in paragraph 9 of this Article shall be issued.

The Commission shall adopt implementing acts to establish the format of the inventory certificate to ensure it is consistent with Appendix 3 to the Hong Kong Convention. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 25 of this Regulation.

Subject to paragraph 4, the administration or recognised organisation authorised by it shall issue or endorse, as appropriate, an inventory certificate, where the renewal survey is successfully completed:

(a) in the three month period before the expiry date of the existing inventory certificate, and 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 one;

(b) after the expiry date of the existing inventory certificate, and 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 one;

(c) more than three months before the expiry date of the existing inventory certificate, and 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.