BIMCO USCG PSC Inspection Guidelines Explanatory Notes November 2006
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Transcript of BIMCO USCG PSC Inspection Guidelines Explanatory Notes November 2006
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Your BIMCO guide toport state control in the USAIn co-operation with the United States Coast
Guard BIMCO has prepared a guide to seafarers
on Port State Control Inspections in the USA. This
article describes the background for the guide.
The guide is available for download on www.
bimco.org and it is hoped that members will make
it available not only to those who receive this bul-
letin, but also to those tasked with preparing ships
for PSC in the USA, namely seafarers.
In 2005, a total of 7,850 ships called at US ports.
Of these, 127 were detained for safety and envi-
ronmental deficiencies. This is down from 176
detentions amongst 7,241 ships in 2004.
In 2005, Flag State performance improved, se-
curity performance improved and the number of
class and ISM related detentions was reduced.
With these facts in mind one might be tempted
to rejoice and relax - evidently the shipping
industry is continuing on the track of consistent
and continuous improvement set out by the ISM
code a decade ago. Quality shipping prospers
while sub-standard shipping is becoming a ghost
of the past.
Why, then, make another guide on port state
control in the USA? Most class societies and
shipowners have made guidelines, checklists,
instructions and courses to ensure that ships are
fit to pass a PSC inspection at any time - and these
initiatives have evidently been effective!
The reason for this guide stems from the inves-
tigation into the criminalisation of seafarers un-
dertaken by BIMCO. This study revealed that the
US PSC focus on MARPOL Annex I compliance
resulted in numerous seafarers and ships being
prosecuted for Oily Water Separator violations.
The data showed that one of the root causes for
this was inadequate crew knowledge about the
particular circumstances in the USA.
Besides the legal implications for seafarers and
responsible corporate officers, the department of
Justice has since 1998 issued criminal fines total-
ling in excess of USD 145,000,000.
BIMCO US PORT INSPECTION GUIDE
YOUR BIMCO GUIDE
TO PREPARE FOR
PORT STATE
CONTROL
INSPECTIONS
IN THE U.S.A.
2
Purpose of the guide
The overarching aim of the guide is to protect
seafarers from unnecessary problems in con-
nection with port state control inspections in the
United States.
Although all port state control regimes around the
world are inspecting ships under the same inter-
national regulations, the different priorities in the
different regimes and the different national legis-
lation contribute to distinct differences between
how the inspections are handled and executed.
In the USA, port state control has been targeted
at two issues. Firstly, security inspections have
been prioritised following the entry into force of
the ISPS code. While a number of inspections in
2004 and 2005 showed shortcomings in relation
to ISPS requirements, the tendency appears to
be that these types of deficiencies are abating, as
both ships and ports become accustomed to the
new security regimes.
The other subject targeted in the US PSC in-
spections is the verification of compliance with
MARPOL Annex I.
BIMCO study on criminalisation of seafarers
In 2006, BIMCO conducted a study of cases
involving the international practice of using
criminal sanctions against seafarers. The study
sought to identify cases in which seafarers were
detained, prosecuted or punished, to identify the
national, regional and international instruments
that apply to such cases and the initiatives that
have been taken at all levels aimed at the protec-
tion of seafarers’ rights.
The first observation is that the majority of cases
identified concerned incidents in the USA. Eight-
een of the cases involved deliberate acts such as
wrong or false entries in oil record books, false
witness statements to US Authorities and circum-
vention of oily water separators. The punishment
for these offences was often severe, including
imprisonment of seafarers and corporate fines of
up to USD 25 million.
BIMCO hopes to increase the awareness that
violating the environmental requirements is a
bad idea - not only from an environmental point
of view, but also from a corporate one, as well as
from a seafarer’s point of view.
BIMCO US PORT INSPECTION GUIDE
This guide has been prepared to protect YOU – the
crew – from unnecessary problems during Port
State Control inspections when calling at US ports.
This guide is not meant to help the bad guys avoid
getting caught, but rather to help you perform
your duties in a way that complies with regulations.
When rules are broken you may face fines and
possibly jail time.
This guide will provide general advice. Detailed
guidelines and instructions are available in the
Safety Management System (SMS) and Ship
Security Plan (SSP).
REMEMBER, ONE MISTAKE
CAN JEOPARDIZE THE FUTURE
FOR YOU AND YOUR COMPANY
Introduction 2
*
3
What is port state control?
It is an obligation of countries that are signato-
ries to SOLAS and MARPOL to carry out PSC
inspections. The aim is to identify and eliminate
sub-standard ships.
International regulations are enforced by being in-
cluded in national legislation. That means that in
addition to the internationally agreed conventions
- most notably SOLAS and MARPOL - ships
must comply with other relevant legislation, not
only that of the flag state, but also the regulations
applicable in the countries visited.
For crews, it can be difficult to remain up to date
on the particular flag state rules and laws appli-
cable in addition to the international conventions.
With respect to the laws that are in force in the
countries visited, it is almost impossible to be up
to date on all of them.
On the other hand, it is equally important to be
aware that despite the impression one may get
from the media, it really is the exception that
a ship is detained following a PSC inspection.
This is evidenced by the recent data from the
USCG - only one inspection in a hundred results
in detention in the USA.
The USA represents one coherent “PSC Area”,
while in the rest of the world, PSC inspections
are co-ordinated through a number of Memoranda
Of Understanding - “MOU’s”, which ensure that
inspections within a region are co-ordinated and
aligned. Each MOU may have different proce-
dures, priorities and target factors. The below list
of MOU’s covers most of the maritime world:
Europe and the North Atlantic - Paris MOU
Asia and the Pacific - Tokyo MOU
Latin America - Acuerdo de Viña del Mar
Caribbean - Caribbean MOU
West and Central Africa - Abuja MOU
Black Sea region - Black Sea MOU
Mediterranean - Mediterranean MOU
Indian Ocean - Indian Ocean MOU
Arab States of the Gulf - GCC MOU/Riyadh
MOU.
Port State Control (PSC) is part of an international
effort to identify and eliminate substandard ships.
It is a process by which a country enforces interna-
tional rules relating to safety, security and the
environment over foreign ships in its waters
In addition a country may have its own laws and
regulations for any ship trading in its waters.
Countries have the rights to verify that ships operating
in their waters comply with SOLAS and MARPOL,
and to take action to bring these ships into compli-
ance if they do not.
The US Coast Guard will take action against ships
that do not in comply with laws or regulations.
THE GOAL IS TO IDENTIFY
AND ELIMINATE SUBSTANDARD
SHIPS FROM U.S. WATERS
What is Port
State Control? 3
*
BIMCO US PORT INSPECTION GUIDE
4
The facts
The annual report of the USCG from 2005 shows
that despite the large number of security related
deficiencies noted, safety and environmental
deficiencies still account for the vast majority
of defects.
The large number of security defects is caused
partly by the PSC inspections focusing on this
area, and partly by the code still being relatively
new to the industry in 2005. We expect to see a
sharp decline in this type of defects in the com-
ing years.
Fire Fighting & Safety 36 %
ISPS related 28%
Marine pollution 16%
ISM Related 16%
Crew 10%
Propulsion and Machinery 10%
SOLAS 7%
Hull / Load Lines 6%
Cargo 2%
Radio 1%
Documentation 1%
In 2005, 7,850 ships from 76 different countries
made 62,818 calls at US ports.
USCG conducted 10,430 PSC safety examinations.
127 ships were detained as a result of problems
found.
In other words, 99% of inspections found ships to
be safely operated!
Problems found
The reasons that ships get into trouble vary over
the years as the USCG focuses on current problems.
The Top-Three reasons are usually:
1. Safety
2. Machinery
3. Pollution
THE POLLUTION
OFFENCES MAY GET
CREW IN PRISON
The Facts 4
*
BIMCO US PORT INSPECTION GUIDE
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Consequences
Traditional PSC inspections have been focused
on the hardware rather than on compliance with
regulations and procedures. Most MOUs have
specifically excluded actual audits from the scope
of inspections.
In cases where observations have indicated that
ISM requirements are not complied with, ships
have been required to contact the certifying body
that has certified the Safety Management System
of the ship.
The environmental focus of inspections in the
USA has introduced a very different - and for the
seafarer much more significant - potential conse-
quence of non compliance, namely the criminal
prosecution of individuals.
By focusing on Oil Record Book offences, the
USCG is sending a very powerful signal to the
industry and to seafarers that environmental viola-
tions will not be accepted.
It is important to understand that the offence for
which most seafarers are being prosecuted is that
of lying to an official, which carries a criminal
penalty in the USA.
This lying can either be in the form of presenting
logs or records which are known to be incorrect,
or by lying verbally. The circumvention of the
oily water separator in international waters may
not be a criminal offence in the USA, but failing
to mention it in the Oil Record Book makes the
ORB a falsification.
Falsified records may be in the shape of official
logs, but they may also be checklists, scrap logs,
personal notes or commonly used records, such
as sounding books.
It is hoped that this guide can reduce the instances
where crew get into trouble simply because they
are unaware of the requirements to be meticu-
lously correct and accurate with the entries in
various logs or records.
If serious defects are found during an inspection
an expanded examination will be carried out.
For crew such inspections may result in investiga-
tions of violations of US laws, some of which carry
criminal sanctions for the crew.
Lying to officials, for instance by presenting log
books, Oil Record Books or records with false or
incorrect entries, carries severe criminal penalties
in the USA.
The penalties for safety, security or environmental
violations can be less severe.
LYING TO OFFICIALS
IS A CRIME IN USA
Consequences 5
*
BIMCO US PORT INSPECTION GUIDE
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PSC target - stay clear!
Port state control inspections are mandated in the
SOLAS Convention Chapter I/19. This regulation
states inter alia:
“(a)Every ship … is subject to control by officers
duly authorized (by the government) in so far as
this control is directed towards verifying that the
certificates issued… are valid.
(b) Such certificates, if valid, shall be accepted
unless there are clear grounds for believing that
the condition of the ship… .”
Therefore, port state control inspections start with
a review of the ship’s certificates, followed by a
walk-through inspection of the ship. During the
walk-through inspection, it will be determined
whether, in the opinion of the inspector, there are
“clear grounds” for a more detailed inspection.
The PSC authorities set priorities for the inspec-
tions. PSC inspectors may investigate these
priority areas in greater depth. Often the priority
areas are newly introduced regulations, as is the
case with security-focused inspections, or they
are areas known to create problems, such as the
situation with the oily water cases in the USA.
The USCG has prepared very detailed checklists
for different ship-types to help and guide the
boarding officers. These checklists do not intend
to limit the inspection to the listed areas. However,
they are good reference material for those wishing
to prepare for an inspection.
Many operators have developed their own pre-ar-
rival guidelines to help ships prepare for calling at
US ports, in particular with regard to the special
requirements contained in the Code of Federal
Regulations (CFR), which are not applicable
elsewhere.
The overall aim is to ensure that a simple omission
or procedural lapse does not result in the boarding
officer concluding that clear grounds for a more
detailed inspection exists.
A typical PSC Inspection sequence could include:
1. Inspecting the ship’s certificates
2. Looking at the ship’s condition, equipment and
the crew at work
3. Looking at any target areas that the PSC
Officers prioritise, such as security or pollution.
IF SOMETHING LOOKS
WRONG – EXPECT TO
BE INVESTIGATED!
What are they looking for? 6
*
BIMCO US PORT INSPECTION GUIDE
7
First impressions
The first impression of people is determined
within the first seconds or minutes of an encoun-
ter. It can be very difficult to change such an
impression subsequently.
The first impression that a visitor will get of a
ship is the visual appearance of the vessel while
approaching it. The second impression is that of
the crew - and hence the management - when
visitors are being greeted at the gangway.
It is a strong possibility that these first impressions
will bias the visitor to a ship to be particularly
focused on observations that confirm this first
impression.
If that first impression is of a dirty gangway and a
sloppy watchman, then the ship will have an uphill
struggle to convince the PSC boarding officer that
the ship is of well managed.
As mentioned before, the aim of this guide is to
assist high-quality operators in trouble free PSC
inspections. The fact that first impressions matter
is nothing new, and many company checklists
cover issues regarding the appearance of the
ship to visitors. It is, however, recommended
that the company procedures explicitly state that
the first impression is important and should be
prioritised.
Imagine a PSC Officer being met at the ship by:
• a dirty or oily gangway
• a daydreaming watchman
• sloppy ISPS procedures
• a messy deck and accommodation
• crew in doubt of their assigned duties
an unnecessary bad start on what could otherwise
have been a trouble free PSC!
FIRST IMPRESSIONS
HAVE AN IMPACT!
Good work wasted! 7
*
BIMCO US PORT INSPECTION GUIDE
8
Inspecting certificatesand documentsThe central part of a PSC inspection is the review
of the certificates. Although the certificate review
is often followed by a walk-through inspection,
the PSC provisions of SOLAS and MARPOL
require clear grounds to carry out inspections
beyond verifying that the certificates are valid.
The boarding officers may also have very wide in-
terpretations of what constitutes clear grounds.
The certificate review may well be extended to
include a detailed perusal of the “forms” attached
to some certificates. These forms include details
of the equipment on board that has been inspected
to ensure compliance with the certificate. As the
USCG focuses on verifying that environmental
regulations are complied with, it is natural that
the IOPP certificate and Form A or B, for tank-
ers and non-tankers respectively, is perused with
interest.
Recent experience indicates that it is not infre-
quent that there are inconsistencies between the
equipment listed in IOPP Form A or B, and what
is actually found on board. There can be many
reasons for these discrepancies, such as equip-
ment being replaced or the use of certain tanks
being changed, but in any event, such discrepan-
cies may constitute clear grounds and be a cause
of suspicion.
Discrepancies may exist between the capacities
of equipment listed on Form A or B as appropri-
ate and the capacity listed in the user manual for
the equipment.
Repetitive entries in an oil record book may in-
dicate that the entries are made when convenient
rather than when the action is actually carried out.
Although this is not in itself a discrepancy, it will
raise a warning flag with the inspectors.
Masters are well advised to review the docu-
mentation available on board and as a minimum,
ensure that they are aware of any discrepancies.
It is also recommended that the Master rigidly
enforces the rule that all relevant entries are made
in the Oil Record Book immediately when the
operations are carried out - also if that signifi-
cantly increases the number of required entries
in the ORB.
Once on board, PSC Officers start by checking the
ship’s certificates.
They will want to make sure that the ship has the
required certificates, and that they are valid.
Some certificates, such as the IOPP attachments
will tell the PSC Officer what equipment is on
board, and what related procedures are required.
The inspector will focus on such equipment and
procedures during his inspections.
SMS procedures may also be checked.
Have all documents ready before the PSC Officer
arrives!
MAKE SURE THAT
PROCEDURES ARE
BEING FOLLOWED!
In the Master’s Office 8
*
BIMCO US PORT INSPECTION GUIDE
9
Evidence of compliance
Port state control is about ascertaining that ships
comply with the international regulations. The
first step in this process is the verification that
the flag state has inspected the ship and issued
certificates verifying compliance. If a ship carries
valid certificates, the PSC inspector must limit
the inspection to the certificates, unless there are
clear grounds for believing that the ship does not
comply with the provisions of the certificates.
If PSC inspectors start investigating documents
in more detail, they will look for consistency in
the documentation trail. Unfortunately, there are
indications that the documentation in respect of
pollution prevention in particular is inconsistent.
The IOPP certificate will have either a Form
A or B appended. This form contains details
regarding the pollution prevention installations
on board, including information on the capacity
of the oil filtering equipment and the incinerator,
and description of holding tanks used for bilge
water and sludge.
The oil record book has information on the daily
operation of equipment, the maintenance work
carried out and the collection and disposal of oil
residues, including information on the quantities
handled. The PSC inspectors will be looking
for consistency in the documentation, the docu-
mented procedures and actual observations on
board. Investigations will be made to see whether
the actual equipment carried on board is reflected
in the IOPP certificate.
Investigations will also be made to see whether
the actual actions taken on board are properly
reflected in the oil record book(s), and whether
the recorded actions are probable. A common
habit amongst the officers responsible for filling
in the oil record book is to complete the entries
whenever convenient, rather than when the ac-
tions are taken. This often leads to ORBs with
repetitive entries, which in addition to arousing
suspicion, often contain incorrect information
about what has actually taken place.
Cases have been found where the ORB entries
indicate quantities far in excess of the Oily Water
Separator’s capacity. Obviously there are also the
cases where there are inexplicable differences
between the amount of oil recorded on board, and
the amount of oil actually sounded in the tanks.
In respect of oily water and sludge, it will be
investigated whether the quantities reportedly
produced are in accordance with what is observed
on board, the length of the preceding voyage and
the amounts that, based on empirical data, are to
be expected for any given engine or vessel size.
The information on the supplement to the IOPP
certificate relates to;
• SOPEP,
• the Safety Management System, and
• machinery spaces.
If there are differences between the information
on these documents and what is found on board
you should inform the PSC Officer and not wait for
him to find out himself!
Prepare documentation to show that procedures are
being followed. Unofficial logs and records, such as
sounding books, are treated as official documents.
• records of drills and exercises
• Oil Record Book (ORB), including
• waste delivery receipts
REMEMBER -
CONSISTENCY COUNTS!
Evidence of Compliance 9
*
BIMCO US PORT INSPECTION GUIDE
10
On the bridge
The preparation of a bridge for PSC inspections is
described in the Safety Management System.
The US CFR requires that any malfunctioning
equipment is reported to the USCG prior to entry,
and in reality, it is the exception that well run ships
run into problems with respect to the operation
of equipment.
The human factor may, however, also give rise to
problems on the bridge.
Missing or incorrect hart corrections, outdated
publications (for whatever reason) and missing
posters are common observations made during
PSC inspections.
There are certain requirements which are unique
to the USA. These include the pre-arrival steer-
ing gear tests. While IMO prescribes such tests
to be carried out prior to departure, the CFR also
requires these tests to be carried out within 24
hours of calling at a US port.
The CFR also requires that an entry in the deck
log is made when this test is made.
Although not specifically targeted by the USCG
as yet, ship’s officers are well advised to ensure
that these log entries are in fact correct and made
when the test is actually done.
It may be hard to explain that the deck log entry
states that a rudder hard over test was made at
12.00 hours, if the course recorder shows the
rudders being put hard over at 13.00 hours.
Likewise, if the full astern test of the engines is
only made when the pilot is on board, then the
log entry to that effect can not indicate it done at
a different time.
Ship’s officers are well advised to remember that
any falsified log presented to an officer of the US
Authorities may constitute a criminal offence.
Bridge inspections usually focus on:
• Operational equipment
• Nautical publications, charts and posted
information
• English speaking operator of the
radio equipment
• Officers familiar with the equipment and
publications, procedures and requirements
in respect of log and record keeping
Equipment can break down or need servicing. Tell
the PSC Officer!
Ensure that the logs do not contain incorrect
entries.
IT IS A CRIME TO PRESENT A
FALSIFIED LOG IN THE USA!
On the Bridge 10
*
BIMCO US PORT INSPECTION GUIDE
11
On deck
The actual inspections that are part of all PSC
inspections will take the inspector around the
ship. The USCG make use of a guiding checklist,
and most company safety management systems
will have specific instructions on how to prepare
for and deal with PSC inspections. In addition
to this, the major class societies have all made
specific checklists, which give recommendations
on items that may be overlooked in daily opera-
tion, but which may alert PSC officers to expand
the inspections.
These checklists can be very helpful for the crew
when preparing for inspections. This guide does
not aim to add to the multiple checklists that are
available for this purpose.
The drawback of checklists is that they tend to
limit the responsibility for the item checked to
the person completing the checklist. Other crew
may be tempted to ignore obvious defects in
the belief that they will be acted upon by others
when the check is completed. This may well be
the case; however, the cornerstone of a safe ship
is a safety culture, which requires that all take
responsibility for safety.
By highlighting the overall objectives of the in-
spection, namely the presence of the equipment,
the condition of the equipment and the proficiency
of the crew, the guide aim to contribute to this
objective.
It may be argued that the structural condition of
the ship is a very important issue for PSC inspec-
tions, and that this has been left out of the guide.
The reason behind this omission is that this guide
is aimed at assisting high quality owners in avoid-
ing PSC problems, and that structural issues are
covered better elsewhere.
The final - but not least important - message on
this page of the guide is a caution to the crew
completing the checklists. If such checklists are
requested presented by the USCG officer, they’d
better be correctly and truthfully completed. If
the list has been ticked off without the checks
actually being conducted, the checklist may be
interpreted as lying to an official, with the severe
consequences mentioned elsewhere.
In 2005, 25% of deficiencies involved problems with
Fire Fighting equipment and Life Saving Appliances.
Other problems related to security arrangements –
improper access controls was a frequent issue.
What is the PSC Officer looking for?
The presence of required equipment
The condition of the required equipment
The knowledge of the crew in respect of the
maintenance and operation of safety equipment
and their own duties.
Evidence that effective safety management systems
and security procedures are in place on board.
Checklists can be found in the ship’s Safety
Management System – USE THEM, and remember
that it is a crime to present a falsified checklist
to an official.
IT IS THE CHECKS – NOT
THE TICKS THAT COUNT
On Deck 11
*
BIMCO US PORT INSPECTION GUIDE
12
Accommodation
Not many ships are detained in Port State Control
inspections due to the condition of the accommo-
dation. Nor are there many deficiencies reported
under this headline in the reports of the US and
other port state control regimes.
Despite these circumstances, the accommodation
is highlighted in the PSC guide for three reasons.
Firstly, the condition of the accommodation is
a very powerful indicator for the quality of the
management on board.
It is frequently reported that human error accounts
for a significant part of the accidents that hap-
pen at sea. A management system that takes this
into account must reflect an attitude to Human
Resource (HR) management. The level of HR
focus of a management system is very difficult
to determine during a PSC inspection. However,
the quality of the living quarters are, as previously
mentioned, a strong indicator of the company’s
commitment.
Secondly, with the expected coming into force
of the new ILO Maritime Labour Convention
2006, it can be expected that in future, much
PSC attention will be directed towards the living
and working conditions on board ships. Seafarer
fatigue is a matter that receives a great deal of
attention from legislators, and one contributory
factor is the condition of the living quarters.
Thirdly, poor living conditions are a serious de-
motivator for seafarers. Motivated and committed
seafarers are a prerequisite for safe, secure and
efficient ships to be operated in an environmen-
tally-conscious manner.
The accommodation, including the galley, may not
be important from a safety and environmental
protection point of view, but the appearance of
the accommodation and galley is important, as it is
often considered representative for the condition
of the ship and the quality of the management on
board.
Make sure that fire doors are not forced open by
unauthorized means – not even temporarily.
HOUSEKEEPING COUNTS!
MAKE A GOOD IMPRESSION!
Accommodation 12
*
BIMCO US PORT INSPECTION GUIDE
13
Machinery spaces
The walk-through inspection in the machinery
spaces are part of most PSC inspections. In the
USA, this part of the inspection is often coupled
to the environmental compliance inspection.
However, the two types of inspections are fun-
damentally different.
The inspection of the machinery spaces is, like
the inspection of the remainder of the ship, an
inspection where the officers are looking for
obvious defects. In the absence of defects, the
ship is deemed satisfactory.
Environmental compliance inspections are differ-
ent in that the inspector is looking for evidence
of compliance. If that evidence cannot be found,
then the ship may very well be in trouble.
The machinery space inspections are basically
not very different from deck inspections, and the
comments made in relation to deck inspections
also apply to engine room inspections.
However, there may be more focus on testing
equipment and verifying the crew familiarity
with safety management system duties, in par-
ticular tests of emergency steering, operation of
various emergency equipment and confirmation
of pre-arrival check procedures as prescribed by
the CFR.
The key issues when inspecting machinery spaces
are confirmation that they are safe working areas,
that safety procedures are adhered to and that es-
sential equipment is operational and operable by
the designated crew.
The inspection of machinery spaces concentrates
on identifying fire, personal injury, electrical and
environmental hazards.
The PSC Officer will focus on the awareness of and
compliance with the SMS procedures, and the
familiarity of the crew with the operation of
equipment such as Oily Water Separator (OWS),
emergency fire pump and emergency steering.
Emergency exits must be unobstructed and well
marked and lit – and they must not be locked, e.g.
for security purposes, if that prevents their use.
ENSURE THE ENGINE ROOM
IS A SAFE AREA
Machinery spaces 13
*
BIMCO US PORT INSPECTION GUIDE
14
Focus area -environmental complianceIn the background notes to the guidelines for
the enforcement of MARPOL Annex I during
port state control inspections to the USCG PSC
inspectors, it is stated that “Recent MARPOL An-
nex I violation investigations have demonstrated
that related ship owners and crews conceal acci-
dental or deliberate discharges of oily waste and
sludge, usually caused by malfunctioning equip-
ment, poorly managed maintenance programs or
as an effort to reduce operational costs.”
With this assumption in mind and considering
that ships generate oily waste, it can be said that
the part of PSC inspections that focuses on envi-
ronmental compliance is looking for confirmation
of compliance, whereas the other parts of a PSC
inspection - safety and equipment - are looking
for actual defects.
The effect is that in respect to defects to the ship
and equipment, the PSC inspector must find and
prove the existence of these defects. In respect to
environmental compliance, the ship must prove
that it has complied with the requirements, and
that wastes have been properly disposed of.
From a practical point of view, a difference in
preparing for environmental inspections as op-
posed to safety and condition focused inspections
is that the ship’s crew must be proactive in imple-
menting and documenting sound environmental
practises.
The BIMCO PSC guide points to some issues
where sloppy procedures and record keeping
may have severe consequences. These are first
of all to ensure that the ORB entries are genuine
as opposed to routine repetitive entries which do
not reflect the actual events, and which cannot
be supported by statements from the crew. There
must be consistency between what is recorded,
how it is recorded and what is done.
Inspections are focused on identifying the inten-
tional discharges of oil, and on checking if the
crew try to hide violations.
When inspecting ships for environmental compliance
the PSC Officer often looks for:
Genuine entries in the logs and Oil Record Book.
Entries in the ORB in line with statements from the
crew regarding actual procedures followed
Records of operations, maintenance works and
malfunctions of the pollution prevention equip-
ment
The crew are familiar with their duties in respect of
operation of pollution prevention equipment
under the SMS
Signs of tampering with the piping or the electrical
controls on the OWS
YOU MUST
PROVE THAT
YOU COMPLY!
PSC Focus on
Environmental
compliance14
*
BIMCO US PORT INSPECTION GUIDE
15
Tests of environmentalprotection equipmentGuidelines for USCG PSC officers on operational
tests are included in the general guidance docu-
ment on the enforcement of MARPOL Annex I
during PSC inspections (G-PCV Policy Letter
06-01). We quote below from this guidance on
operational tests of the oily water separator:
“(i) The PSCO should identify crewmembers
responsible for the operation of the OWS based
on the safety management system or by asking
the chief engineer. During the operational test, the
PSCO should observe and determine the crew’s
competency with the equipment and associated
piping. Crewmember inability to successfully
operate pollution prevention may indicate that the
equipment is not routinely used. If the equipment
is not functioning correctly, examine the ORB for
entries that indicate when the system failed.”
Furthermore, the USCG guide has the following
regarding the availability of spares on board:
“Note: If the OWS equipment uses consumable
filter elements coalescing media, recording paper,
etc., verify that reasonable quantities of these
consumables are onboard. In addition, the OWS
manufacturer’s recommended spare parts should
also be on board.”
Similar detailed guidance is given for the op-
erational tests or inspections of sludge tanks,
incinerator and the standard discharge connection
used for discharges to reception facilities.
PSC Officer may ask for an operational test of the
Oily Water Separator.
The tests will seek to confirm the performance of
both the OWS and the engineers operating the OWS.
All engineers assigned with operation of the OWS
should be prepared to conduct such tests.
Close inspection of Oil Content Monitors should be
expected. NEVER tamper with this equipment as the
PSC Officer will be looking for signs of tampering.
Equipment performance may also be tested.
Tank levels may be checked to confirm that they
are in accordance with ORB entries.
PSC Officers may also check incinerators and the
standard discharge connection to verify regular use.
Any connections, hoses and fittings that can be
used to discharge directly overboard will give rise
to suspicion.
PROVE THAT YOU
USE THE EQUIPMENT –
THE RIGHT WAY!
Environmental
equipment tests 15
*
BIMCO US PORT INSPECTION GUIDE
16
Preparing for inspections
Preparing for a PSC inspection should not be nec-
essary for the well operated ship, just as it should
not be required to prepare for an audit of a man-
agement system. The reality is that all systems
need to be looked after. The frequency of reviews
is one important factor in ensuring compliance
with the requirements and procedures.
Preparing for a PSC inspection is as good a reason
as any for reviewing the relevant parts of systems
and procedures.
The target of eliminating sub-standard ships
through port state control has proved to be effec-
tive, as is documented in the statistics. The recent
USCG targeting of environmental compliance
has, however, resulted in a number of ships not
normally associated with sub-standard operations
being found in violation of regulations.
Despite internal and external ISM audits suppos-
edly having looked at procedures and the docu-
ment trails on board ships, there are indications
that a high number of discrepancies exist among
compliance procedures as well as in respect of
consistency of documentation.
Ensuring that the requirements for operations
and record keeping in respect of environmentally
mandated regulations are complied with will not
only reduce the risk of ships being detained or
delayed but also result in an increased awareness
from the crew on the necessity of complying with
the MARPOL regulations.
It is recommended that in on board training pro-
grammes on the safety management system, the
aspects of possible incrimination are included.
Few seafarers are aware that by falsifying an entry
in a log book or on a checklist, they not only cheat
their employer or superiors, they risk committing
a criminal offence!
Ensure that all are familiar with their environmental
SMS duties.
Make sure repairs, adjustments and maintenance
can not be read as “tampering” - and record it in
the ORB immediately.
If dismantling of equipment is required to carry
out tests, then label it accordingly. That will reduce
the risk of being suspected of tampering.
If ship’s equipment such as a hose is used for discharge
to reception facilities then record it – do not hide it.
Keep the spare parts inventory up to date. Do not
cause unnecessary suspicion by being unable to
locate the spare parts.
COOPERATE WITH
THE PSC OFFICER –
DO NOT HIDE FACTS
Preparing for inspections: 16
*
BIMCO US PORT INSPECTION GUIDE
17
When things go wrong…
If the PSC Officer finds clear grounds for a
more detailed inspection - in the USA the term
Expanded Exam is used - of an area of the ship,
such an inspection may be detailed, time consum-
ing, and involve close scrutiny of procedures and
equipment.
Clear grounds are defined by the IMO. These
are when the ship, the equipment or the crew do
not correspond substantially with the convention
requirements, or when crew are not familiar with
shipboard procedures.
When defects are suspected, areas relating to the
defect will be inspected. If, for instance, a piece
of equipment is defective, other equipment or the
maintenance procedures including e.g. checklists
may be scrutinised.
If a lack of environmental regulation compliance
is suspected, the Expanded Exam may include the
opening up of equipment. A very close review
and comparison between Safety Management
System, equipment manuals, piping diagrams,
maintenance etc. should also be expected.
Detailed and isolated interviews with selected
crew members may be conducted to verify com-
pliance with the procedures as described in the
safety management system.
If crew are interviewed, it is important to be aware
that almost anything that may have been done
by a crewmember in the course of work and the
execution of his or her duties will be less severely
punished than lying to an official. Likewise,
encouraging others to lie to officials is a severe
criminal offence in the USA.
Depending on what is observed during an Ex-
panded Exam, the scope of the inspection may
widen even further. It may also widen in relation
to which of the US agencies become involved
in the investigation. If that is the case, then the
scope of the investigation will often have ceased
to be primarily focused on compliance with
international maritime conventions. It may be
primarily focused on possible or suspected viola-
tions of US Law.
In such cases it may be advisable to seek profes-
sional assistance.
If the PSC Officer finds a problem on your ship, you
should expect that he will take a closer look at
everything.
As a result, he may decide to:
Order that repairs are made to correct the problem
(sometimes before the ship will be allowed to sail).
If the crew can repair or correct the problem quickly,
then the risk of delays and possible fines may be
reduced.
For severe problems, if the PSC Officer thinks that US
laws have been broken, a criminal investigation could
be started. A criminal investigation could aim at both
the Company and the crew on board.
LYING TO INVESTIGATORS IN
A CRIMINAL INVESTIGATION
RESULTS WITH PUNISHMENT FAR
WORSE THAN THE PUNISHMENT
FOR VIOLATIONS OF SAFETY
AND SECURITY REGULATIONS
When things go wrong… 17
*
BIMCO US PORT INSPECTION GUIDE
18
Conclusions
PSC inspectors traditionally focused on ships with
concrete, tangible defects. The environmental
compliance cases have, however, added a dif-
ferent group of ships to the focus. These are the
apparently quality ships, where operational and
procedural deficiencies have been identified.
In respect of the oily water separator cases, there
are indications that some individuals hold the
belief that it is in the interest of the company or
themselves to solve problems associated with the
creation, storage and handling of waste contrary
to the provisions of the management systems in
force on board.
The root cause of such discrepant views on the
management system may vary. Although there
may be tangible evidence that the provisions of
a management system are adhered to throughout
the company, it may well be that the spirit - or
values - of the company behind the system, are
not realised by everybody.
The traditional mantra of Safety Management
Systems “Say what you do, do what you say and
record it” worked well for ensuring compliance in
a world that focused on tangible defects in relation
to a set of minimum requirements.
Companies may, however, need to consider to
what extent they have formulated and committed
to core values that pay regard to safety and the
environment - and to what extent such views are
shared throughout the organisation.
That may require that the scope of the manage-
ment systems - afloat and ashore - are expanded
to prioritise issues such as shared corporate values
and visions.
Today, the safety management system mantra
could be:
“State your intent,
Say what you do,
Do what you say and
Record it.”
Important things to remember:
ALWAYS!!!
• Tell the truth
• Tell others to tell the truth
• Make sure all log entries are
complete and accurate
• Know your safety, security
and environmental compliance
duties – and do them!
• Fix or report defects as soon as possible
• Share relevant information with
the authorities
More information is available on:
www.uscg.mil/hq/g-m/psc/psc.htm
AVOID PROBLEMS – RUN A
SAFE AND SECURE SHIP AND
BE HONEST WITH PORT STATE
CONTROL OFFICERS
Conclusions 18
*
BIMCO US PORT INSPECTION GUIDE
19
The role of BIMCO
Fair Treatment of Seafarers
At the beginning of 2006, BIMCO conducted a
study of recent cases involving the international
practice of using criminal sanctions towards sea-
farers. The study sought to identify cases in which
seafarers were detained, prosecuted or punished,
to identify the national, regional and international
instruments that apply to such cases, and the ini-
tiatives that have been taken at all levels aimed
at the protection of seafarers’ rights.
The study represents BIMCO’s initial attempt to
gather sufficient information upon which conclu-
sions regarding the extent of related problems
could be drawn. It is realised that not all such
cases have been included. Therefore, this study
will be enhanced to include additional related
cases as they are identified and as new cases
occur, as well as updates on related regulations
and initiatives.
The study revealed that the oily water separator
cases in the USA accounted for the majority of
the cases where seafarers were prosecuted. It
also became evident that the laws and regulations
applied were different from those international
conventions that seafarers were accustomed to
be held accountable towards.
It became evident that an educational deficit ex-
isted in this respect, both in relation to shore based
management as well as in relation to seafarers.
While various steps have been taken to increase
the awareness amongst shore-based managers,
BIMCO seeks through this guide to also increase
the awareness of seafarers. This is a direct exten-
sion of our work to ensure and contribute to the
fair treatment of seafarers.
More information regarding the BIMCO study
into the criminalisation of seafarers is available
on www.bimco.org
BIMCO, established in 1905, is the world's
largest international shipping association
with approximately 2,400 members situated
in 123 countries. The owner-members of
BIMCO control a fleet of about 550 million
deadweight tonnes, thereby representing
65% of the world's merchant fleet.
BIMCO seeks to protect the fair treatment
and welfare of seafarers at all times.
“Use of this guide will raise awareness
amongst seafarers regarding compliance
with Port State Control measures imple-
mented on board ships.”
C. E. Bone
Rear Admiral, U.S. Coast Guard
BIMCO
Bagsvaerdvej 161
2880 Bagsvaerd
Denmark
www.bimco.org
BIMCO – Reflecting
your interests 19
BIMCO US PORT INSPECTION GUIDE
20
Port state control checklists
The last page of the BIMCO Guide to Port
State Control Inspections in the USA shows a
checklist.
The items listed are the general items that will be
inspected during a normal PSC inspection. The
list is intended to serve as a memory aid when
preparing for inspections.
The list also serves as a reminder that well-pre-
pared and thought out checklists are an integral
part of PSC preparations, as a vast number of
individual items must be checked frequently or
even continuously to ensure that all safety related
equipment is in satisfactory condition. These
checklists are found in most safety management
systems, and they are available from external
sources, such as class societies.
Checklists are also important for regulators as
well as for companies as they can be strong
signals to the crews regarding what is prioritised
by a ship manager. Checklists can be effective in
communicating the goals and values of a company
to the crew, and to link these values to the daily
operations and situations.
Most of the checklists used on board a ship are
not directly related to preparing for PSC inspec-
tions. However, the completion of the checks is
often crucial to the compliance with the applicable
regulations and essential for a satisfactory execu-
tion of a PSC inspection.
This may, in the eyes of officials, make check-
lists official documents, and accordingly the
same provisions and requirements with respect
to truthfulness that apply to log-books may be
applied to checklists.
Ship’s crew are advised to be truthful - also when
completing checklists.
The guide can be downloaded, printed and copied
from the BIMCO website. The box on the back
page is intended for the use of companies wishing
to integrate the guide into their formal systems so
that they can print their name, logo or manage-
ment system codes as appropriate.
The US PSC
Checks include:
• Certificates
• Emergency Generator and Lighting
• Main and Emergency Fire Pump
• Fixed Deck Foam FF System
• Fire Detection System
• Fire and Boat Drills
• Steering Gear
• Oily Water Separator and Bilge Monitor
• Safety Management System
• Navigation Safety Checks
• Conduct a Deck Walk - Structure
and Watertight Integrity
• ILO – Crew living Conditions
20
BIMCO US PORT INSPECTION GUIDE