INTERNATIONAL MARITIME ORGANIZATION
INTERNATIONAL CONFERENCE ON THE SAFE AND ENVIRONMENTALLY SOUND RECYCLING OF SHIPS
Agenda item 8
19 May 2009
ADOPTION OF THE FINAL ACT AND ANY INSTRUMENTS, RECOMMENDATIONS
AND RESOLUTIONS RESULTING FROM THE WORK OF THE CONFERENCE
HONG KONG INTERNATIONAL CONVENTION FOR THE SAFE AND
ENVIRONMENTALLY SOUND RECYCLING OF SHIPS, 2009
Text adopted by the Conference
1 As a result of its deliberations, as recorded in the Record of Decisions of the Plenary
(SR/CONF/RD/2) and the Final Act of the Conference (SR/CONF/46), the Conference adopted
the Hong Kong International Convention for the Safe and Environmentally Sound Recycling of
2 The above-mentioned Convention, as adopted by the Conference, is annexed hereto.
HONG KONG INTERNATIONAL CONVENTION FOR THE SAFE AND
ENVIRONMENTALLY SOUND RECYCLING OF SHIPS, 2009
THE PARTIES TO THIS CONVENTION,
NOTING the growing concerns about safety, health, the environment and welfare
matters in the ship recycling industry,
RECOGNIZING that recycling of ships contributes to sustainable development and, as
such, is the best option for ships that have reached the end of their operating life,
RECALLING resolution A.962(23), adopted by the Assembly of the International
Maritime Organization (Guidelines on Ship Recycling); amendments to the Guidelines adopted
by resolution A.980(24); Decision VI/24 of the Sixth Meeting of the Conference of the Parties to
the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and
their Disposal, which adopted Technical Guidelines for the Environmentally Sound Management
of the Full and Partial Dismantling of Ships; and the Guidelines approved by the 289th session of
the Governing Body of the International Labour Office (Safety and Health in Shipbreaking:
Guidelines for Asian countries and Turkey),
RECALLING ALSO resolution A.981(24), by which the Assembly of the International
Maritime Organization requested the Organization’s Marine Environment Protection Committee
to develop a legally-binding instrument on ship recycling,
NOTING ALSO the role of the International Labour Organization in protecting the
occupational safety and health of workers involved in ship recycling,
NOTING FURTHER the role of the Basel Convention on the Control of Transboundary
Movements of Hazardous Wastes and their Disposal in protecting human health and the
environment against the adverse effects which may result from such wastes,
MINDFUL of the precautionary approach set out in Principle 15 of the Rio Declaration
on Environment and Development and referred to in resolution MEPC.67(37), adopted by the
Organization’s Marine Environment Protection Committee on 15 September 1995,
MINDFUL ALSO of the need to promote the substitution of hazardous materials in the
construction and maintenance of ships by less hazardous, or preferably, non-hazardous materials,
without compromising the ships’ safety, the safety and health of seafarers and the ships’
RESOLVED to effectively address, in a legally-binding instrument, the environmental,
occupational health and safety risks related to ship recycling, taking into account the particular
characteristics of maritime transport and the need to secure the smooth withdrawal of ships that
have reached the end of their operating lives,
CONSIDERING that these objectives may best be achieved by the conclusion of an
International Convention for the Safe and Environmentally Sound Recycling of Ships,
HAVE AGREED as follows:
1 Each Party to this Convention undertakes to give full and complete effect to its provisions
in order to prevent, reduce, minimize and, to the extent practicable, eliminate accidents, injuries and
other adverse effects on human health and the environment caused by Ship Recycling, and enhance
ship safety, protection of human health and the environment throughout a ship’s operating life.
2 No provision of this Convention shall be interpreted as preventing a Party from taking,
individually or jointly, more stringent measures consistent with international law, with respect to
the safe and environmentally sound recycling of ships, in order to prevent, reduce or minimize
any adverse effects on human health and the environment.
3 Parties shall endeavour to co-operate for the purpose of effective implementation of,
compliance with and enforcement of this Convention.
4 The Parties undertake to encourage the continued development of technologies and
practices which contribute to safe and environmentally sound Ship Recycling.
5 The Annex to this Convention forms an integral part of it. Unless expressly provided for
otherwise, a reference to this Convention constitutes at the same time a reference to its Annex.
For the purposes of this Convention, unless expressly provided otherwise:
1 “Convention” means the Hong Kong International Convention for the Safe and
Environmentally Sound Recycling of Ships, 2009.
2 “Administration” means the Government of the State whose flag the ship is entitled to fly,
or under whose authority it is operating.
3 “Competent Authority(ies)” means a governmental authority or authorities designated by
a Party as responsible, within specified geographical area(s) or area(s) of expertise, for duties
related to Ship Recycling Facilities operating within the jurisdiction of that Party as specified in
4 “Organization” means the International Maritime Organization.
5 “Secretary-General” means the Secretary-General of the Organization.
6 “Committee” means the Marine Environment Protection Committee of the Organization.
7 “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), including a vessel stripped of equipment or being towed.
8 “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.
9 “Hazardous Material” means any material or substance which is liable to create hazards
to human health and/or the environment.
10 “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 and re-use,
whilst taking care 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.
11 “Ship Recycling Facility” means a defined area that is a site, yard or facility used for the
recycling of ships.
12 “Recycling Company” means the owner of the Ship Recycling Facility or any other
organization or person who has assumed the responsibility for operation of the Ship Recycling
activity from the owner of the Ship Recycling Facility and who on assuming such responsibility
has agreed to take over all duties and responsibilities imposed by this Convention.
1 Unless expressly provided otherwise in this Convention, this Convention shall apply to:
.1 ships entitled to fly the flag of a Party or operating under its authority;
.2 Ship Recycling Facilities operating under the jurisdiction of a Party.
2 This Convention shall not apply to any warships, naval auxiliary, or other ships owned or
operated by a Party and used, for the time being, only on government non-commercial service.
However, each Party shall ensure, by the adoption of appropriate measures not impairing
operations or operational capabilities of such ships owned or operated by it, that such ships act in
a manner consistent with this Convention, so far as is reasonable and practicable.
3 This Convention shall not apply to ships of less than 500 GT or to ships operating
throughout their life only in waters subject to the sovereignty or jurisdiction of the State whose
flag the ship is entitled to fly. However, each Party shall ensure, by the adoption of appropriate
measures, that such ships act in a manner consistent with this Convention, so far as is reasonable
4 With respect to ships entitled to fly the flag of non-Parties to this Convention, Parties
shall apply the requirements of this Convention as may be necessary to ensure that no more
favourable treatment is given to such ships.
Controls related to Ship Recycling
1 Each Party shall require that ships entitled to fly its flag or operating under its authority
comply with the requirements set forth in this Convention and shall take effective measures to
ensure such compliance.
2 Each Party shall require that Ship Recycling Facilities under its jurisdiction comply with
the requirements set forth in this Convention and shall take effective measures to ensure such
Survey and certification of ships
Each Party shall ensure that ships flying its flag or operating under its authority and subject to
survey and certification are surveyed and certified in accordance with the regulations in the
Authorization of Ship Recycling Facilities
Each Party shall ensure that Ship Recycling Facilities that operate under its jurisdiction and that
recycle ships to which this Convention applies, or ships treated similarly pursuant to Article 3.4
of this Convention, are authorized in accordance with the regulations in the Annex.
Exchange of information
For the Ship Recycling Facilities authorized by a Party, such Party shall provide to the
Organization, if requested, and to those Parties which request it, relevant information, in regard
to this Convention, on which its decision for authorization was based. The information shall be
exchanged in a swift and timely manner.
Inspection of ships
1 A ship to which this Convention applies may, in any port or offshore terminal of another
Party, be subject to inspection by officers duly authorized by that Party for the purpose of
determining whether the ship is in compliance with this Convention. Except as provided in
paragraph 2, any such inspection is limited to verifying that there is on board either an
International Certificate on Inventory of Hazardous Materials or an International Ready for
Recycling Certificate, which, if valid, shall be accepted.
2 Where a ship does not carry a valid certificate or there are clear grounds for
.1 the condition of the ship or its equipment does not correspond substantially with
the particulars of the certificate, and/or Part I of the Inventory of Hazardous
.2 there is no procedure implemented on board the ship for the maintenance of Part I
of the Inventory of Hazardous Materials;
a detailed inspection may be carried out taking into account guidelines developed by the
Detection of violations
1 Parties shall co-operate in the detection of violations and the enforcement of the
provisions of this Convention.
2 When there is sufficient evidence that a ship is operating, has operated or is about to
operate in violation of any provision in this Convention, a Party holding the evidence may
request an investigation of this ship when it enters the ports or offshore terminals under the
jurisdiction of another Party. The report of such an investigation shall be sent to the Party
requesting it, to the Administration of the ship concerned and to the Organization, so that action
may be taken as appropriate.
3 If the ship is detected to be in violation of this Convention, the Party carrying out the
inspection may take steps to warn, detain, dismiss, or exclude the ship from its ports. A Party
taking such action shall immediately inform the Administration of the ship concerned and the
4 If a request for an investigation is received from any Party, together with sufficient
evidence that a Ship Recycling Facility is operating, has operated or is about to operate in
violation of any provision of this Convention, a Party should investigate this Ship Recycling
Facility operating under its jurisdiction and make a report. The report of any such investigation
shall be sent to the Party requesting it, including information on action taken or to be taken, if
any, and to the Organization for appropriate action.
1 Any violation of the requirements of this Convention shall be prohibited by national laws
.1 in the case of a ship, sanctions shall be established under the law of the
Administration, wherever the violation occurs. If the Administration is informed
of such a violation by a Party, it shall investigate the matter and may request the
reporting Party to furnish additional evidence of the alleged violation. 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 as soon as possible, in accordance with its law.
The Administration shall promptly inform the Party that reported the alleged
violation, as well as the Organization, of any action taken. If the Administration
has not taken any action within one year after receiving the information, it shall
inform the Party which reported the alleged violation, and the Organization, of the
reasons why no action has been taken;
.2 in the case of a Ship Recycling Facility, sanctions shall be established under the
law of the Party having jurisdiction over the Ship Recycling Facility.
If the Party is informed of such a violation by another Party, it shall investigate the
matter and may request the reporting Party to furnish additional evidence of the
alleged violation. If the Party is satisfied that sufficient evidence is available to
enable proceedings to be brought in respect of the alleged violation, it shall cause
such proceedings to be taken as soon as possible, in accordance with its law. The
Party shall promptly inform the Party that reported the alleged violation, as well as
the Organization, of any action taken. If the Party has not taken any action within
one year after receiving the information, it shall inform the Party which reported
the alleged violation, and the Organization, of the reasons why no action has been
2 Any violation of the requirements of this Convention within the jurisdiction of any Party
shall be prohibited and sanctions shall be established under the law of that Party. Whenever such
a violation occurs, that Party shall either:
.1 cause proceedings to be taken in accordance with its law; or
.2 furnish to the Administration of the ship such information and evidence as may be
in its possession that a violation has occurred.
3 The sanctions provided for by the laws of a Party pursuant to this Article shall be
adequate in severity to discourage violations of this Convention wherever they occur.
Undue delay or detention of ships
1 All possible efforts shall be made to avoid a ship being unduly detained or delayed under
Article 8, 9 or 10 of this Convention.
2 When a ship is unduly detained or delayed under Article 8, 9 or 10 of this Convention, it
shall be entitled to compensation for any loss or damage suffered.
Communication of information
Each Party shall report to the Organization and the Organization shall disseminate, as
appropriate, the following information:
.1 a list of Ship Recycling Facilities authorized in accordance with this Convention
and operating under the jurisdiction of that Party;
.2 contact details for the Competent Authority(ies), including a single contact point,
for that Party;
.3 a list of the recognized organizations and nominated surveyors which are
authorized to act on behalf of that Party in the administration of matters relating to
the control of Ship Recycling in accordance with this Convention, and the specific
responsibilities and conditions of the authority delegated to the recognized
organizations or nominated surveyors;
.4 an annual list of ships flying the flag of that Party to which an International Ready
for Recycling Certificate has been issued, including the name of the Recycling
Company and location of the Ship Recycling Facility as shown on the certificate;
.5 an annual list of ships recycled within the jurisdiction of that Party;
.6 information concerning violations of this Convention; and
.7 actions taken towards ships and Ship Recycling Facilities under the jurisdiction of
Technical assistance and co-operation
1 Parties undertake, directly or through the Organization and other international bodies, as
appropriate, in respect of the safe and environmentally sound recycling of ships, to provide
support for those Parties which request technical assistance:
.1 to train personnel;
.2 to ensure the availability of relevant technology, equipment and facilities;
.3 to initiate joint research and development programmes; and
.4 to undertake other actions aimed at the effective implementation of this
Convention and of guidelines developed by the Organization related thereto.
2 Parties undertake to co-operate actively, subject to their national laws, regulations and
policies, in the transfer of management systems and technology in respect of the safe and
environmentally sound recycling of ships.
Parties shall settle any dispute between them concerning the interpretation or application of this
Convention by negotiation or any other peaceful means agreed upon by them, which may include
enquiry, mediation, conciliation, arbitration, judicial settlement, or resort to regional agencies or
Relationship with international law and other international agreements
1 Nothing in this Convention shall prejudice the rights and obligations of any State under
the United Nations Convention on the Law of the Sea, 1982, and under the customary
international law of the sea.
2 Nothing in this Convention shall prejudice the rights and obligations of Parties under
other relevant and applicable international agreements.
Signature, ratification, acceptance, approval and accession
1 This Convention shall be open for signature by any State at the Headquarters of the
Organization from 1 September 2009 to 31 August 2010 and shall thereafter remain open for
accession by any State.
2 States may become Parties to this Convention by:
.1 signature not subject to ratification, acceptance, or approval; or
.2 signature subject to ratification, acceptance, or approval, followed by ratification,
acceptance or approval; or
3 Ratification, acceptance, approval or accession shall be effected by the deposit of an
instrument to that effect with the Secretary-General.
4 If a State comprises two or more territorial units in which different systems of law are
applicable in relation to matters dealt with in this Convention, it may at the time of signature,
ratification, acceptance, approval, or accession declare that this Convention shall extend to all its
territorial units or only to one or more of them and may modify this declaration by submitting
another declaration at any time.
5 A declaration under paragraph 4 shall be notified to the Secretary-General in writing and
shall state expressly the territorial unit or units to which this Convention applies.
6 A State at the time it expresses its consent to be bound by this Convention shall declare
whether it requires explicit or tacit approval of the Ship Recycling Plan before a ship may be
recycled in its authorized Ship Recycling Facility(ies). This declaration may be revised thereafter
by notification to the Secretary-General. Such revision shall specify the effective date of the
Entry into force
1 This Convention shall enter into force 24 months after the date on which the following
conditions are met:
.1 not less than 15 States have either signed it without reservation as to ratification,
acceptance or approval, or have deposited the requisite instrument of ratification,
acceptance, approval or accession in accordance with Article 16;
.2 the combined merchant fleets of the States mentioned in paragraph 1.1 constitute
not less than 40 per cent of the gross tonnage of the world’s merchant shipping;
.3 the combined maximum annual ship recycling volume of the States mentioned in
paragraph 1.1 during the preceding 10 years constitutes not less than 3 per cent of
the gross tonnage of the combined merchant shipping of the same States.
2 For States which have deposited an instrument of ratification, acceptance, approval or
accession in respect of this Convention after the requirements for entry into force thereof have
been met, but prior to the date of entry into force, the ratification, acceptance, approval or
accession shall take effect on the date of entry into force of this Convention, or three months after
the date of deposit of the instrument, whichever is the later date.
3 Any instrument of ratification, acceptance, approval or accession deposited after the date
on which this Convention enters into force shall take effect three months after the date of deposit.
4 After the date on which an amendment to this Convention is deemed to have been
accepted under Article 18, any instrument of ratification, acceptance, approval or accession
deposited shall apply to the Convention, as amended.
1 This Convention may be amended by either of the procedures specified in the
2 Amendments after consideration within the Organization:
.1 Any Party may propose an amendment to this Convention. A proposed
amendment shall be submitted to the Secretary-General, who shall then circulate it
to the Parties and Members of the Organization at least six months prior to its
.2 An amendment proposed and circulated as above shall be referred to the
Committee for consideration. Parties, whether or not Members of the
Organization, shall be entitled to participate in the proceedings of the Committee
for consideration and adoption of the amendment.
.3 Amendments shall be adopted by a two-thirds majority of the Parties present and
voting in the Committee, on condition that at least one-third of the Parties shall be
present at the time of voting.
.4 Amendments adopted in accordance with subparagraph 3 shall be communicated
by the Secretary-General to the Parties for acceptance.
.5 An amendment shall be deemed to have been accepted in the following
.5.1 An amendment to an article of this Convention shall be deemed to have
been accepted on the date on which two-thirds of the Parties have notified
the Secretary-General of their acceptance of it.
.5.2 An amendment to the Annex shall be deemed to have been accepted at the
end of a period to be determined by the Committee at the time of its
adoption, which period shall not be less than ten months after the date of
adoption. However, if by that date more than one-third of the Parties
notify the Secretary-General that they object to the amendment, it shall be
deemed not to have been accepted.
.6 An amendment shall enter into force under the following conditions:
.6.1 An amendment to an article of this Convention shall enter into force, for
those Parties that have declared that they have accepted it, six months after
the date on which it is deemed to have been accepted in accordance with
.6.2 An amendment to the Annex shall enter into force with respect to all
Parties six months after the date on which it is deemed to have been
accepted, except for any Party that has:
.6.2.1 notified its objection to the amendment in accordance with
subparagraph .5.2 and that has not withdrawn such objection; or
.6.2.2 notified the Secretary-General, prior to the entry into force of such
amendment, that the amendment shall enter into force for it only
after a subsequent notification of its acceptance.
.6.3 A Party that has notified an objection under subparagraph .6.2.1 may
subsequently notify the Secretary-General that it accepts the amendment.
Such amendment shall enter into force for such Party six months after the
date of its notification of acceptance, or the date on which the amendment
enters into force, whichever is the later date.
.6.4 If a Party that has made a notification referred to in subparagraph .6.2.2
notifies the Secretary-General of its acceptance with respect to an
amendment, such amendment shall enter into force for such Party
six months after the date of its notification of acceptance, or the date on
which the amendment enters into force, whichever is the later date.
3 Amendment by a Conference:
.1 Upon the request of a Party concurred in by at least one-third of the Parties, the
Organization shall convene a Conference of Parties to consider amendments to
.2 An amendment adopted by such a Conference by a two-thirds majority of the
Parties present and voting shall be communicated by the Secretary-General to all
Parties for acceptance.
.3 Unless the Conference decides otherwise, the amendment shall be deemed to have
been accepted and shall enter into force in accordance with the procedures
specified in paragraphs 2.5 and 2.6 respectively.
4 Any Party that has declined to accept an amendment to the Annex shall be treated as a
non-Party only for the purpose of application of that amendment.
5 Any notification under this Article shall be made in writing to the Secretary-General.
6 The Secretary-General shall inform the Parties and Members of the Organization of:
.1 any amendment that enters into force and the date of its entry into force generally
and for each Party; and
.2 any notification made under this Article.
1 This Convention may be denounced by any Party at any time after the expiry of two years
from the date on which this Convention enters into force for that Party.
2 Denunciation shall be effected by written notification to the Secretary-General, to take
effect one year after receipt or such longer period as may be specified in that notification.
1 This Convention shall be deposited with the Secretary-General, who shall transmit
certified copies of this Convention to all States which have signed this Convention or acceded
2 In addition to the functions specified elsewhere in this Convention, the Secretary-General
.1 inform all States that have signed this Convention, or acceded thereto, of:
.1.1 each new signature or deposit of an instrument of ratification, acceptance,
approval or accession, together with the date thereof;
.1.2 the date of entry into force of this Convention;
.1.3 the deposit of any instrument of denunciation from this Convention,
together with the date on which it was received and the date on which the
denunciation takes effect; and
.1.4 other declarations and notifications received pursuant to this Convention;
.2 as soon as this Convention enters into force, transmit the text thereof to the
Secretariat of the United Nations, for registration and publication in accordance
with Article 102 of the Charter of the United Nations.
This Convention is established in a single original in the Arabic, Chinese, English, French,
Russian and Spanish languages, each text being equally authentic.
DONE AT HONG KONG, CHINA, this fifteenth day of May, two thousand and nine.
IN WITNESS WHEREOF the undersigned, being duly authorized by their respective
Governments for that purpose, have signed this Convention.
* * *
REGULATIONS FOR SAFE AND ENVIRONMENTALLY SOUND
RECYCLING OF SHIPS
CHAPTER 1 – GENERAL PROVISIONS
Regulation 1 – Definitions
For the purposes of this Annex:
1 “Competent person” means a person with suitable qualifications, training, and sufficient
knowledge, experience and skill, for the performance of the specific work. Specifically,
a Competent person may be a trained worker or a managerial employee capable of recognizing
and evaluating occupational hazards, risks, and employee exposure to potentially Hazardous
Materials or unsafe conditions in a Ship Recycling Facility, and who is capable of specifying the
necessary protection and precautions to be taken to eliminate or reduce those hazards, risks, or
exposures. The Competent Authority may define appropriate criteria for the designation of such
persons and may determine the duties to be assigned to them.
2 “Employer” means a natural or legal person that employs one or more workers engaged in
3 “Existing ship” means a ship which is not a new ship.
4 “New ship” means a ship:
.1 for which the building contract is placed on or after the entry into force of this
.2 in the absence of a building contract, the keel of which is laid or which is at a
similar stage of construction on or after six months after the entry into force of
this Convention; or
.3 the delivery of which is on or after 30 months after the entry into force of this
5 “New installation” means the installation of systems, equipment, insulation, or other
material on a ship after the date on which this Convention enters into force.
6 “Safe-for-entry” means a space that meets the following criteria:
.1 the oxygen content of the atmosphere and the concentration of flammable vapours
are within safe limits;
.2 any toxic materials in the atmosphere are within permissible concentrations; and
.3 any residues or materials associated with the work authorized 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.
7 Safe-for-hot work means a space that meets the following criteria:
.1 a safe, non-explosive condition, including gas-free status, exists 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;
.2 Safe-for-entry requirements of regulation 1.6 are met;
.3 existing atmospheric conditions will not change as a result of the hot work; and
.4 all adjacent spaces have been cleaned, or inerted, or treated sufficiently to prevent
the start or spread of fire.
8 “Shipowner” means the person or persons or company registered as the owner of the ship
or, in the absence of registration, the person or persons or company owning the ship or any other
organization 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. However, in the case of a ship
owned by a State and operated by a company which in that State is registered as the ship’s
operator, “owner” shall mean such company. This term also includes those who have ownership
of the ship for a limited period pending its sale or handing over to a Ship Recycling Facility.
9 “Site inspection” means an inspection of the Ship Recycling Facility confirming the
condition described by the verified documentation.
10 “Statement of Completion” means a confirmatory statement issued by the Ship Recycling
Facility that the Ship Recycling has been completed in accordance with this Convention.
11 “Tanker” means an oil tanker as defined in MARPOL Annex I or an NLS tanker as
defined in MARPOL Annex II.
12 “Worker” means any person who performs work, either regularly or temporarily, in the
context of an employment relationship including contractor personnel.
Regulation 2 – General applicability
Unless expressly provided otherwise, the design, construction, survey, certification, operation
and recycling of ships shall be conducted in accordance with the provisions of this Annex.
Regulation 3 – Relationship with other standards, recommendations and guidance
Parties shall take measures to implement the requirements of the regulations of this Annex,
taking into account relevant and applicable standards, recommendations and guidance developed
by the International Labour Organization and the relevant and applicable technical standards,
recommendations and guidance developed under the Basel Convention on the Control of
Transboundary Movements of Hazardous Wastes and their Disposal.
CHAPTER 2 – REQUIREMENTS FOR SHIPS
Part A – Design, construction, operation and maintenance of ships
Regulation 4 – Controls of ships’ Hazardous Materials
In accordance with the requirements specified in Appendix 1 to this Convention each Party:
.1 shall prohibit and/or restrict the installation or use of Hazardous Materials listed in
Appendix 1 on ships entitled to fly its flag or operating under its authority; and
.2 shall prohibit and/or restrict the installation or use of such materials on ships,
whilst in its ports, shipyards, ship repair yards, or offshore terminals,
and shall take effective measures to ensure that such ships comply with those requirements.
Regulation 5 – Inventory of Hazardous Materials
1 Each new ship shall have on board an Inventory of Hazardous Materials. The Inventory
shall be verified either by the Administration or by any person or organization authorized by it
taking into account guidelines, including any threshold values and exemptions contained in those
guidelines, developed by the Organization. The Inventory of Hazardous Materials shall be
specific to each ship and shall at least:
.1 identify as Part I, Hazardous Materials listed in Appendices 1 and 2 to this
Convention and contained in ship’s structure or equipment, their location and
approximate quantities; and
.2 clarify that the ship complies with regulation 4.
2 Existing ships shall comply as far as practicable with paragraph 1 not later than 5 years
after the entry into force of this Convention, or before going for recycling if this is earlier, taking
into account the guidelines developed by the Organization and the Organization’s Harmonized
System of Survey and Certification. The Hazardous Materials listed in Appendix 1, at least, shall
be identified when the Inventory is developed. For existing ships a plan shall be prepared
describing the visual/sampling check by which the Inventory of Hazardous Materials is
developed, taking into account the guidelines developed by the Organization.
3 Part I of the Inventory of Hazardous Materials shall be properly maintained and updated
throughout the operational life of the ship, reflecting new installations containing Hazardous
Materials listed in Appendix 2 and relevant changes in ship structure and equipment, taking into
account the guidelines developed by the Organization.
4 Prior to recycling the Inventory shall, in addition to the properly maintained and updated
Part I, incorporate Part II for operationally generated wastes and Part III for stores, and be
verified either by the Administration or by any person or organization authorized by it, taking
into account the guidelines developed by the Organization.
Regulation 6 – Procedure for proposing amendments to Appendices 1 and 2
1 Any Party may propose an amendment to Appendix 1 and/or Appendix 2 in accordance
with this regulation. The proposed amendment shall be considered within the Organization under
Article 18 paragraph 2 and this regulation.
2 When the Organization receives a proposal, it shall also bring the proposal to the attention
of the United Nations and its Specialized Agencies, intergovernmental organizations having
agreements with the Organization and non-governmental organizations in consultative status with
the Organization and shall make it available to them.
3 The Committee shall establish a technical group in accordance with regulation 7 to
review proposals submitted in accordance with paragraph 1 of this regulation.
4 The technical group shall review the proposal along with any additional data, including
decisions adopted by other international bodies regarding their lists of materials or hazardous
substances, submitted by any interested entity, and shall evaluate and report to the Committee
whether the Hazardous Material in question is likely, in the context of this Convention, to lead to
significant adverse effects on human health or the environment such that the amendment of
Appendix 1 or Appendix 2 is warranted. In this regard:
.1 The technical group’s review shall include:
.1.1 an evaluation of the association between the Hazardous Material in question
and the likelihood, in the context of this Convention, that it will lead to
significant adverse effects on human health or the environment based on
the submitted data or other relevant data brought to the attention of the
.1.2 an evaluation of the potential risk reduction attributable to the proposed
control measures and any other control measures that may be considered
by the technical group;
.1.3 consideration of available information on the technical feasibility of
.1.4 consideration of available information on other effects arising from the
introduction of such control measures relating to:
– the environment;
– human health and safety including that of seafarers and workers; and
– the cost to international shipping and other relevant sectors.
.1.5 consideration of the availability of suitable alternatives to the Hazardous
Material to be controlled, including a consideration of the potential risks of
.1.6 consideration of the risks posed by the Hazardous Material during the
recycling process; and
.1.7 consideration of suitable threshold values and any useful or necessary
.2 If the technical group finds that the Hazardous Material in question is likely, in the
context of this Convention, to lead to significant adverse effects on human health
or the environment, lack of full scientific certainty shall not be used as a reason to
prevent the group from proceeding with an evaluation of the proposal.
.3 The technical group’s report shall be in writing and shall take into account each of
the evaluations and considerations referred to in subparagraph .1, except that the
technical group may decide not to proceed with the evaluations and considerations
described in subparagraphs .1.2 to .1.7 if it determines after the evaluation in
subparagraph .1.1 that the proposal does not warrant further consideration.
.4 The technical group’s report shall include, inter alia, a recommendation on
whether international controls pursuant to this Convention are warranted on the
Hazardous Material in question, on the suitability of the specific control measures
suggested in the comprehensive proposal, or on other control measures which it
believes to be more suitable.
5 The Committee shall decide whether to appr