FINAL REPORT

Course on Port State Control Procedures

International Maritime Safety Security and Environment

Academy (IMSSEA)
Genoa, Italy
09 June 2015 19 June 2015

By: Nomo Prihasta

Surveyor of Statutory Division
Biro Klasifikasi Indonesia

Table of Contents
I.

INTRODUCTION ........................................................................................................... 3

II.

MODEL COURSE OF PSC ........................................................................................... 3

III.

PORT STATE CONTROL ............................................................................................. 4

A.

Port State Control is .................................................................................................... 4

B.

The purpose of Inspection ........................................................................................... 4

C.

Ships of Non parties .................................................................................................... 4

D.

Responsibilities of Flag State Administration ............................................................. 5

E.

PSC System ................................................................................................................. 5

F.

Targeting systems ......................................................................................................... 6

G.

Inspection refer to International Maritime Convention............................................... 8

H.

Actions of PSC Inspection ........................................................................................ 13

I.

Concentrated Inspection Campaigns (CIC) ............................................................... 20

J.

Reporting on inspection ............................................................................................. 20

K.

Action Taken of deficiency ....................................................................................... 24

L.

RO Responsibility...................................................................................................... 26

M.

New Inspection Regime (NIR) .................................................................................. 27

N.

Ship Risk Profile Inspection Window ....................................................................... 30

IV.

CONCLUSION ............................................................................................................. 31

1.

LESSON LEARNED .................................................................................................... 31

2.

BENEFITS OF COURSE ............................................................................................. 31

FINAL REPORT

Table 1. Model of course

Table 2. Ship risk profile
Table 3. Deficiency ratio and Detention ratio
Table 4. Company performance matrix

Fig. 1. Regional Agreement on Port State Control

Fig. 2. Oil Record Book
Fig. 3. Inspection of Annex II MARPOL
Fig. 4. Labelling of Dangerous Goods
Fig. 5. Sewage Treatment System
Fig. 6. Garbage Record Book
Fig. 7 (a), (b), (c), (d), and (e). Model Form PSC
Fig. 8. Ship Risk Profile Inspection Window

Schema 1. Target Inspection

FINAL REPORT

I.

INTRODUCTION
International Maritime Safety Security Environment Academy (IMSSEA) is part of the
Italian Shipping Academy, a non-profit organization owned by public institutions (The
Province of Genoa and the Liguria Region are the major shareholders), national associations
(Ship Agents, Ship owners, Industry associations and Trade Unions) including the
Governing Board as ex officio members representatives of the Ministry of Transport, the
Ministry of Education and the Italian Coast Guard.
The Academy offers a range of specialized short/medium term courses in the maritime
field designed to be responsive to the needs of public sector departments and to ensure the
effective exercise of flag, port and coastal State jurisdiction. One of the course held by
IMSSEA were Port State Control Procedure on 09 -19 June 2015. It was attended by Nomo
Prihasta (Surveyor) of Statutory Division.

II.

MODEL COURSE OF PSC

The course amplifies the IMO guidelines on the control of foreign ships also taking into
account the most updated PSC procedures as set up by the various regional agreements. The
training consists of three major areas of contents that are delivered in sequence alternating
procedural and practical parts. The first area embraces responsibilities, possibilities and
limitations of Port States exercising the control. The second area deals with the relevant
IMO legal instruments, while the third area incorporates the guidance on what authorized
PSC officers to look for, how to initiate remedial actions and how inspections should be
reported to interested parties. The training is conducted in accordance with the IMO model
of 3.09 with a duration of training course for 58 hours with details of the following:
Table 1
No.

Modules

Duration

1.

Responsibilities of a flag State administration

2.

Non-Convention Ships

3.

SOLAS

10

4.

MARPOL

5.

STCW

6.

Tonnage 69, COLREG, ILCC 66

7.

Regional Agreement on PSC and IMO resolution

FINAL REPORT

III.

8.

Common Practice for PSC Inspection Procedures

9.

Approved Manuals On-board ship

10.

Inspection of Ships and Document Examination

10

11.

Violation, After-Visit Reports

12.

PSC Qualification, Ships of No-Parties

13.

Action of PSC Deficiencies Under IMO Conventions

14.

Record Book

15.

Certificates Required Under IMO Conventions

16.

Case Study

17.

Field Trip

PORT STATE CONTROL

A. Port State Control is
1) The inspection of foreign ships in national ports to verify that the condition of
the ship and its equipment comply with the requirements of international
regulations and that the ship is manned and operated in compliance with these
rules.
2) A system of harmonized inspection-procedures designed to target sub-standard
vessels with the main objective being their eventual elimination of deficiencies.
B. The purpose of Inspection

to target sub-standards ships,

to verify that the condition of the ship and its equipment comply with the
requirements of international regulations,

to verify that the ship is manned and operated in compliance with these rules.

to catch substandard ships,

to back up to Flag State implementation procedures,

to provide assistance to flag State Administrations in securing compliance with

convention provisions.

C. Ships of Non parties

SOLAS Article I (3) of the SOLAS Protocol 1988, article 5(4) of MARPOL, article X
(5) of STCW provide that no more favourable treatment is to be given to the ships of
FINAL REPORT

countries which are not Party to the relevant Convention. All Parties should, as a matter
of principle, apply Procedures for PSC inspections to ships of non-Parties in order to
ensure that equivalent surveys and inspections are conducted and an equivalent level of
safety and protection of the marine environment is ensured. PSCO, taking into account
the principles established in the Procedures, should be satisfied that the ship and crew
do not present a danger to those on board or an unreasonable threat of harm to the
marine environment.
D. Responsibilities of Flag State Administration
The responsibilities to ensure that vessels comply with the provisions of the relevant
instruments is upon the Flag states, according to: The United Nations Convention on
the Law of the Sea UNCLOS - Article 94 - Duties of the flag State
Every State shall effectively exercise its jurisdiction and control in
administrative, technical and social matters over ships flying its flag.
In particular every State shall:
a) maintain a register of ships containing the names and particulars of
ships flying its flag, except those which are excluded from generally
accepted international regulations on account of their small size; and
b) Assume jurisdiction under its internal law over each ship flying its flag
and its master, officers and crew in respect of administrative, technical
and social matters concerning the ship.
Every State shall take such measures for ships flying its flag as are necessary to
ensure safety at sea.

E. PSC System

Regional agreements on PSC (see. Fig.1)

Administrative agreements with objectives:

To carry out inspection of ship in accordance with common inspection
procedures
To pool and report the result of these inspections.

FINAL REPORT

Fig. 1. Regional agreement on Port State Control

F. Targeting systems

SHIP:
1. Type
2. History
3. Age

FLAG

COMPANY
PERFORMANCE
(High,M,Low,
VL)

Targeting
Factors

1. Black list
2. Grey list
3. White list

RO
PERFORMANCE
(High,M,Low,
VL)

Schema 1. Target Inspection

FINAL REPORT

Type of inspection by PSC Officer

1) Initial Inspection
Visit on board a ship to check both the validity of the relevant certificates
and other documents and the overall condition of the ship, its equipment
and its crew.
Parts of inspection
First impressions
Certificate and documents
A walk-round general examination of the ship, including engine
room, accommodation & hygienic conditions
Report and discussion
2) More detailed inspection
Inspection conducted when there are clear ground for believing that the
condition of the ship, its equipment or its crew does not correspond
substantially to the particulars of the certificates.
Definition of clear ground
Evidence that the ship, its equipment, or its crew does not correspond
substantially with the requirements of the relevant conventions or that
the master or crew members are not familiar with essential shipboard
procedure relating to the safety of ships or the prevention of pollution
Clear grounds arise when:
Ship, equipment or crew do not appear to correspond substantially
with the relevant regulation
Crew are not familiar with basic shipboard operational procedures
related to safety or pollution prevention,
3) Expanded inspection (certain type and age of ship)
In New Inspection Regime the ship risk profile (SRP) needs to be
calculated. High Risk Ship face the more stringent inspection interval
which is every 6 months. The inspection on a HRS will be an in-depth,
so-called expanded inspection. These expanded inspection include
verification of the specific items in particular risk area listed for each
ship. (Source: website Paris MOU)

FINAL REPORT

G. Inspection refer to International Maritime Convention

1) Marine Pollution Prevention (MARPOL 73/78)
Annex I
MARPOL Annex I contains regulation on the prevention of pollution by oil.
Area/items for inspection may include the following:
Oil Record Book
Loading, unloading and cleaning procedures
of tankers COW, inert gas system, stripping
and ballasting of tanks,
Oil filtering Equipment (OFE) The function
of alarm and automatic stopping device, IOPP
certificate, 15 ppm alarm and shutdown
arrangement
Illegal by-passes related to OFE fitted (magic
pipe)
Incinerator appropriateness for burning of
oil residues, notification in the IOPP certificate.

Fig.2

Sludge tanks appropriateness of pipeline to standard discharge connection to

port reception facility pipes, illegal direct connections overboard
Evidence on sludge and /or bilge water has been discharged into port reception
facilities
Evidence that sludge was burned in the incinerator or the auxiliary boiler (if not
discharged in the port facility)
Sludge and/or bilge water tank capacity sufficiency for the intended voyage

FINAL REPORT

Annex II
MARPOL Annex II contains regulation on the prevention of pollution by noxious
liquid substances. Area/items for inspection may include the following:
P&A manual
Loading, unloading and cleaning procedures
stripping, prewash, discharge cleaning and
ballasting of tank
Cargo Record Book
Cargo not categorized and cargo transportation
procedures
Discharge procedures and equipment

Fig. 3

Annex III
MARPOL Annex III contains regulation on the
prevention of pollution by harmful substances in
packaged form. Inspections related existence of
clear grounds that master and crew are not familiar
with essential shipboard procedures relating to the
prevention of pollution by harmful substances.
The PSCO may determine whether dangerous goods
have been properly stowed on board, using the
dangerous goods manifest or the stowage plan. The
ship's crew are familiar with the relevant provisions
of the Medical First Aid Guide and Emergency
Procedures for Ships Carrying Dangerous Goods.
Fig. 4

FINAL REPORT

Annex IV
MARPOL Annex IV contains regulation on the prevention of pollution by sewage
from ships. Area/items for inspection may include the following:
Operational

requirement

of

Annex IV
Sewage treatment system
Comminuting and disinfecting
system or holding tank
Ships

crew

and

their

familiarization with the correct

operation of the sewage treatment system

Fig.5

Annex V
MARPOL Annex V contains regulation on the prevention of pollution by garbage
from ships. Area/items for inspection may include the following:
Garbage management plan
Garbage record book
Ships crew familiarization with
disposal/discharge requirements
of garbage management plan,
collecting, storing, processing
and disposing of garbage
Ships crew familiarization with
special areas

Fig. 6

Annex VI
MARPOL Annex VI contains regulation on the prevention of pollution by Air
Pollution from ships. Area/items for inspection may include the following:
IAPP certificate and where relevant EIAPP Certificate and technical files
The Sulphur content of any fuel oil used on board ships exceeds required limits
Requirements for an incinerator installed on board the ship in accordance with
the Annex VI and specifications for shipboard incinerator developed by the
Organization
FINAL REPORT

10

 Ships crew familiarization with essential procedures regarding the operation of

air pollution prevention equipment.
Requirements related to energy efficiency on ships
STCW
Area which may be inspected by PCS Officer:
Appropriateness of seafarers certificates and endorsement
Navigational or engineering watch arrangements
Seafarers qualification in order to operate equipment essential to safe
Navigation, safety radio-communications or the prevention of marine pollution.
Seafarers ability to provide for the first watch at the commencement of a voyage
and for subsequent relieving watches persons who are sufficiently rested and
otherwise fit for duty
Professional proficiency for the duties assigned to seafarers for the safety of the
ship and the prevention of pollution
Crew's ability to conduct an operational drill, the mandatory minimum
requirements for familiarization and basic safety training for seafarers
Maintaining record of individual seafarers rest hours
Complying with the applicable safe manning requirements of the
Administration
Navigational or engineering watch arrangements requirements specified for the
ship by the Administration
(Refer to Guidelines for Port State Control of the manning of a foreign ship (IMO
Res. A. 1052(27), 2011)
International Load Line Convention (ILLC)
Area which may be inspected by PSC Officer
Areas of damage or corrosion, or pitting of plating and associated stiffening in
decks and hull affecting seaworthiness or strength to take local loads
Stability and case of insufficient,
Information which enables the master to arrange for the loading and ballasting
of the ship in such a way that a safe margin of stability is maintained at all stages
Deterioration or defective closing devices, hatch closing arrangements and
watertight/weathertight doors.
FINAL REPORT

11

 Overloading,
Draught marks and/or Load Line marks.

TONNAGE CONVENTION
Area which may be inspected by PSC Officer accordance to article 12 that to verify
whether:
There is on board a valid International TONNAGE Certificate
The main characteristics of the ship correspond to the data given in the
certificate.
(Refer to Guidelines for Port State Control under the 1969 TONNAGE Convention
Appendix 10 of IMO Res. A. 1052(27), 2011)
MLC 2006
Every ship calling may be the subject of inspection for the purpose of reviewing
compliance with the requirements of the MLC Convention (including seafarers
rights) relating to working and living conditions of seafarers on the ship. Area
which may be inspected by PSC Officer:
Minimum age
Medical examination
Food and catering
Accommodation and recreational facilities
Seafarers employment agreement
Recruitment and placement
Wages
Health and safety protection and accident prevention.
(Refer to Guidelines for Port State Control officer carrying out inspections under
the Maritime Labour Convention 2006, International Labour Organization 2009)

FINAL REPORT

12

H. Actions of PSC Inspection

Deficiency
Deficiency is a condition found not to be in compliance with the requirements of the
relevant convention
If PSC Officer are found some deficiencies that PSCO must
Decide on the appropriate action to be taken
Be satisfied that they will be rectified
Decide if it is a ground for detention
In principle all deficiencies should be rectified before the departure of the ship. This
does not mean that every deficiency must be checked as rectified by PSCO.
When deciding whether the deficiencies found in a ship are sufficiently serious to merit
detention the PSCO will assess whether:
1) The ship has relevant, valid documentation
2) The ship has the crew required in the Minimum Safe Manning Document or
equivalent
3) Navigate safely throughout the forthcoming voyage;
4) Safely handle, carry and monitor the condition of the cargo throughout the
forthcoming voyage;
5) Operate the engine room safely throughout the forthcoming voyage;
6) Maintain proper propulsion and steering throughout the forthcoming voyage;
7) Fight fires effectively in any part of the ship if necessary during the forthcoming
voyage;
8) Abandon ship speedily and safely and effect rescue if necessary during the
forthcoming voyage;
9) Prevent pollution of the environment throughout the forthcoming voyage;
10) Maintain adequate stability throughout the forthcoming voyage;
11) Maintain adequate watertight integrity throughout the forthcoming voyage;
12) Communicate in distress situations if necessary during the forthcoming voyage;
13) Provide safe and healthy conditions on board throughout the forthcoming
voyage;
14) Provide the maximum of information in case of accident (as provided by the
voyage data recorder).

FINAL REPORT

13

If the result of any of these assessments is negative, taking into account all deficiencies
found, the ship will be strongly considered for detention. A combination of deficiencies
of a less serious nature may also warrant the detention of the ship.
Detention
Intervention action taken by the port State when the condition of the ship or its crew
does not correspond substantially with the applicable conventions to ensure that the
ship will not sail until it can proceed to sea without presenting a danger to the ship or
persons on board, or without presenting an unreasonable threat of harm to the marine
environment, whether or not such action will affect the normal schedule of the departure
of the ship.
Detainable deficiencies
There are follows a list of deficiencies, grouped under relevant Conventions and/or
Codes, which are considered of such a serious nature that they may warrant the
detention of the ship involved. This list is not considered exhaustive but is intended to
give an exemplification of relevant items.
i.

General
The lack of valid certificates and documents as required by the relevant
instruments. However, ships flying the flag of States not a party to a Convention
(relevant instrument) or not having implemented another relevant instrument,
are not entitled to carry the certificates provided for by the Convention or other
relevant instrument. Therefore, absence of the required certificates will not by
itself constitute reason to detain these ships, however, in applying the 'no more
favourable treatment' clause, substantial compliance with the provisions must
be required before the ship sails.

ii.

Areas under SOLAS

1. failure of proper operation of propulsion and other essential machinery, as
well as electrical installations;
2. insufficient cleanliness of engine room, excess amount of oily-water
mixtures in bilges, insulation of piping including exhaust pipes in engine
room contaminated by oil, improper operation of bilge pumping
arrangements;
3. failure of the proper operation of emergency generator, lighting, batteries
and switches;

FINAL REPORT

14

4. failure of the proper operation of the main and auxiliary steering gear;
5. absence, insufficient capacity or serious deterioration of personal lifesaving
appliances, survival craft and launching arrangements;
6. absence, non-compliance or substantial deterioration to the extent that it
cannot comply with its intended use of fire detection system, fire alarms,
firefighting equipment, fixed fire extinguishing installation, ventilation
valves, fire dampers, quick closing devices;
7. absence, substantial deterioration or failure of proper operation of the cargo
deck area fire protection on tankers;
8. absence, non-compliance or serious deterioration of lights, shapes or sound
signals;
9. absence or failure of the proper operation of the radio equipment for distress
and safety communication;
10. absence or failure of the proper operation of navigation equipment, taking
the provisions of SOLAS into account;
11. absence of corrected navigational charts, and/or all other relevant nautical
publications necessary for the intended voyage, taking into account that
type-approved electronic chart display and information system (ECDIS)
operating on official data may be used as a substitute for the charts;
12. absence of non-sparking exhaust ventilation for cargo pump rooms;
13. Serious deficiencies in the operational requirements.
iii.

Areas under the IBC Code

1. transport of a substance not mentioned in the Certificate of Fitness or
missing cargo information;
2. missing or damaged high-pressure safety devices;
3. electrical installations not intrinsically safe or corresponding to code
requirements;
4. sources of ignition in hazardous locations;
5. contraventions of special requirements;
6. exceeding of maximum allowable cargo quantity per tank;
7. Insufficient heat protection for sensitive products.

FINAL REPORT

15

iv.

Areas under the IGC Code

1. transport of a substance not mentioned in the Certificate of Fitness or
missing cargo information;
2. missing closing devices for accommodations or service spaces;
3. bulkhead not gastight;
4. defective air locks;
5. missing or defective quick closing valves;
6. missing or defective safety valves;
7. electrical installations not intrinsically safe or not corresponding to code
requirements;
8. ventilators in cargo area not operable;
9. pressure alarms for cargo tanks not operable;
10. gas detection plant and/or toxic gas detection plant defective;
11. Transport of substances to be inhibited without valid inhibitor certificate.

v.

Areas under LOADLINES

1. significant areas of damage or corrosion, or pitting of plating and associated
stiffening in decks and hull effecting seaworthiness or strength to take local
loads, unless proper temporary repairs for a voyage to a port for permanent
repairs have been carried out;
2. a recognized case of insufficient stability;
3. absence of sufficient and reliable information, in an approved form, which
by rapid and simple means enables the master to arrange for the loading and
ballasting of his ship in such a way that a safe margin of stability is
maintained at all stages and at varying conditions of the voyage, and that
the creation of any unacceptable stresses in the ship's structure are avoided;
4. absence, substantial deterioration or defective closing devices, hatch
closing arrangements and water tight doors;
5. overloading;
6. Absence of or impossibility to read draught mark.

vi.

Areas under Annex I to MARPOL

1. absence, serious deterioration or failure of proper operation of the oilywater filtering equipment, the oil discharge monitoring and control system
or the 15 ppm alarm arrangements;

FINAL REPORT

16

2. remaining capacity of slop and/or sludge tank insufficient for the intended
voyage;
3. oil record book not available;
4. unauthorized discharge bypass fitted;
5. Survey report file missing or not in conformity with the double hull and
double bottom requirements.
vii.

Areas under Annex II to MARPOL

1. absence of the P&A Manual;
2. cargo is not categorized;
3. no cargo record book available;
4. transport of oil-like substances without satisfying the requirements;
5. Unauthorized discharge by-pass fitted.

viii.

Areas under Annex III to MARPOL

1. absence of a valid Document of Compliance for carriage of dangerous
goods (if required);
2. absence of a Dangerous Cargo manifest or detailed stowage plan before
departure of the ship;
3. stowage and segregation provisions of the IMDG Code Chapter 7.1 and 7.2
are not met;
4. ship is carrying dangerous goods not in compliance with the Document of
Compliance for carriage of dangerous goods of the ship;
5. ship is carrying damaged or leaking dangerous goods packages;
6. Ships personnel assigned to specific duties related to the cargo are not
familiar with those duties, any dangers posed by the cargo and with the
measures to be taken in such a context.

ix.

Areas under Annex IV to MARPOL

1. absence of a Sewage treatment system
2. not functioning Sewage comminuting and disinfecting system
3. absence of a Sewage discharge connection

x.

Areas under Annex V to MARPOL

1. absence of the garbage management plan;
2. no garbage record book available;

FINAL REPORT

17

3. Ships personnel not familiar with disposal/discharge requirements of

garbage management plan.
xi.

Areas under Annex VI to MARPOL

1. Per Guidelines for port State control inspections for compliance with Annex
VI of MARPOL regulations for the prevention of air pollutions from ships.

xii.

Areas under STCW

1. failure of navigational or engineering watch arrangements to conform to the
requirements specified for the ship by the flag State Administration;
2. absence in a watch of a person qualified to operate equipment essential to
safe navigation, safety radio communications or the prevention of marine
pollution;
3. Inability to provide for the first watch at the commencement of a voyage
and for subsequent relieving watches persons who are sufficiently rested
and otherwise fit for duty.

xiii.

Areas under ILO Conventions

Under ILO147:
1. insufficient food for voyage to next port;
2. insufficient potable water for voyage to next port;
3. excessively unsanitary conditions on board;
4. no heating in accommodation of a ship operating in areas where
temperatures may be excessively low;
5. excessive garbage, blockage by equipment or cargo or otherwise unsafe
conditions in passageways/accommodations;
6. Per Guideline for the Port State Control Officer on the inspection of hours
of work/rest and fitness for duty and Guidance for inspection on working
and living conditions.
Under MLC, 2006:
1. Per Guidance for inspection on Maritime Labour Convention, 2006 and
Guideline for the Port State Control Officer on the inspection of hours of
work/rest and fitness for duty

xiv.

Areas under AFS Convention

1. Per Guidelines for port State control officers on control of Anti-Fouling
Systems (AFS) on ships.

FINAL REPORT

18

xv.

Areas which may not warrant a detention, but where e.g. cargo operations
have to be stopped
1. Failure of the proper operation (or maintenance) of inert gas system, cargo
related gear or machinery will be considered sufficient ground to stop cargo
operation.

Banning
Means a decision issued to the master of a ship, to the company responsible for the ship
and to the flag State notifying them that the ship will be refused access to all ports and
anchorages of the Community/ PMOU region. Refusal of access of ships following:
Multiple detentions
Ship jump detention
Ship fail to call at the indicated shipyard
Banning or refusal access applicable for any ship which:
Flies the flag of State whose detention rate falls into the black list and has been
detained more than twice in the course of preceding 36 months in a port or
anchorage of a Member State or of a State signatory of the Paris MOU, or
Flies the flag of a State whose detention rate falls into the grey list and has been
detained more than twice in the course of the preceding 24 months in a port or
anchorage of a Member State or of a State signatory of the Paris MOU.
Refusal of access shall become applicable as soon as the ship leaves the port or
anchorage where it has been the subject of a third detention and where a refusal of
access order has been issued. The refusal of access order shall be lifted only after a
period of three months has passed from the date of issue of the order and when the
conditions of Directive (annex VIII) are met.
If the ship is subject to a second refusal of access, the period shall be 12 months.
The third refusal of access order may be lifted after a period of 24 months has passed
from the issue of the order that are
The ship flies the flag of a State whose detention rate falls neither into the black
list nor the grey list.
The statutory and classification certificates of the ship are issued by an
organization recognized under EU (*Paris MOU)
The ship is managed by a company with a high performance
FINAL REPORT

19

 The conditions in Annex VIII of the Directive are met.

I. Concentrated Inspection Campaigns (CIC)
These campaigns focus on a particular area of compliance with international regulations
with the aim of gathering information and enforcing the level of compliance. Each
campaign is prepared by experts and identifies a number of specific items for
inspection. Several Concentrated Inspection Campaigns have been held in the Paris
MOU and Tokyo MOU.
J. Reporting on inspection
I.

Report must be issued after inspection consist of 2 (two) form:

1) Form A
Ships Particular
Inspection particular
Validity of certificates
Date of last surveys
2) Form B
List of deficiencies: PSC Code and description
Applicable convention regulation
Action taken/ follow up
*Inspections report must be kept on board for 2 years

II.

The inspection report must contain at least the following items

1. General
a) Competent authority that wrote the report
b) Date and place of inspection
c) Name of the ship inspected
d) Flag
e) Type of ship (as indicated in the Safety Management Certificate)
f) IMO identification number
g) Call sign
h) Tonnage (gt)
i) Deadweight tonnage (where relevant)
j) Year of construction as determined on the basis of the date indicated in
the ships safety certificates

FINAL REPORT

20

k) The classification society or classification societies as well as any other

organisation, where relevant, which has/have issued to this ship the
classification certificates, if any
l) The recognised organisation or recognised organisations and/or any
other party which has/have issued to this ship certificates in accordance
with the applicable Conventions on behalf of the flag State
m) Name and address of the ships company or the operator
n) Name and address of the charterer responsible for the selection of the
ship and type of charter in the case of ships carrying liquid or solid
cargoes in bulk
o) Final date of writing the inspection report
p) Indication that detailed information on an inspection or a detention may
be subject to publication
2. Information relating to inspection
a) Certificates issued in application of the relevant Conventions, authority
or organisation that issued the certificate in question, including the date
of issue and expiry
b) Parts or elements of the ship that were inspected (in the case of more
detailed or expanded inspection)
c) Port and date of the last intermediate or annual or renewal survey and
the name of the organisation which carried out the survey
d) Type of inspection (inspection, more detailed inspection, expanded
inspection)
e) Nature of the deficiencies
f) Measures taken.
3. Additional information in the event of detention
a) Date of detention order
b) Date of lifting the detention order
c) Nature of the deficiencies warranting the detention order (references to
Conventions, if relevant)
d) Indication, where relevant, of whether the recognised organisation or any
other private body that carried out the survey has a responsibility in

FINAL REPORT

21

relation to the deficiencies which, alone or in combination, led to

detention
e) Measures taken.

III.

Model Form PSC (by Paris MOU) (fig. 7)

(a)

(b)

FINAL REPORT

22

(c)

(d) and (e)

FINAL REPORT

23

K. Action Taken of deficiency

Rectified (code 10)

Use for a deficiency which has been rectified and verified by a PSCO

To be rectified at next port (code 15)

Use for a deficiency which cannot be rectified before departure but which the
PSCO requires the rectification at the next port. The PSCO should think
particularly carefully about using this code keeping in mind that the code will
trigger an unexpected factor. If a ship with a deficiency to be rectified at the next
port is inspected, the PSCO in that next port may use professional judgement to
decide whether to carry out a more detailed inspection or an expanded inspection
as appropriate. This action requires that the deficiency is rectified at the next port.
It is possible that the repair work or delivery of equipment may take place during
the ships stay in that port. It is therefore prudent, before going to the ship, to check
with the ship or its agent when the deficiency will be rectified.

To be rectified within 14 days (code 16)

Use for a deficiency which, in the PSCOs professional judgement, is not serious
enough to require urgent rectification or verification by a PSCO before departure.
This action taken should also be used when the deficiency could be rectified at, or
enroute , to the next port but the deficiency is not serious enough for the next port
to be requested to carry out an additional inspection. This action taken sets a
maximum limit of 14 days but it is left to the masters responsibility to rectify the
deficiency as soon as necessary and reasonable within that period.

To be rectified before departure (code 17)

Use for a deficiency which: should be rectified before the ship sails but is not
serious enough to warrant detention, or/and can reasonably be rectified before the
ship sails. If the ship is not detained it is left to the masters responsibility to rectify
the deficiency before departure. No verification by a PSCO is required (at that port
call). If a deficiency which is to be rectified before departure is verified by a PSCO
as rectified before the ship departs it should be recorded as rectified.

As in the agreed class condition (code 47)

FINAL REPORT

24

Use for a deficiency which is not fully rectified but which the PSCO has accepted
a condition of class on the outstanding deficiency issued by the classification
society for the ship. This action can only relate to an item covered by the
classification certificate e.g. hull and machinery. It is not the same as a condition
issued by the flag State (see code 48).

As in the agreed flag State condition (code 48)

Use only for a deficiency found during the PSC inspection which cannot be fully
rectified before departure for which the PSCO has accepted a document with a
condition on the outstanding deficiency issued by the flag State of the ship or
delegated RO on behalf of the flag State of the ship. The PSCO should accept this
document with a condition issued by the flag State if in his /her professional
judgment the document with a condition has been issued with due regard to safety,
pollution prevention or proper living and working conditions. Guidance on flag
State exemptions, flag State conditions and acceptance of a flag State condition can
be found in the PSC Committe Instruction Accepting Flag State Exemptions and
Flag State Conditions.

Flag State Administration consulted (code 55)

Use when the flag State is consulted over a deficiency.

Temporary substitution (code 80)

Use when a deficiency has been rectified by a temporary substitution of equipment
or by putting in place a temporary arrangement e.g. the engine room is manned
while a deficiency in the fire detection is not yet repaired.

Temporary repair carried out (code 81)

Use for a deficiency which is only temporarily repaired before departure after the
PSCO agrees to a proposal from the ship, R.O. or flag. The PSCO should also
require that the deficiency is fully rectified in a specified time, for example at the
next port, at an agreed repair port, in 14 days or as mentioned in the agreed flag
State condition.

Master instructed to ... (code 99)

Use only when an instruction to the master is considered appropriate and it is not
covered by the standard actions taken. Further it is necessary to indicate in clear
text as to what the master is instructed to do and the time allowable for completing
the action requested.

FINAL REPORT

25

Internal safety audit and corrective action is required within 3 months (code
18)
Guidance on identifying and reporting ISM related deficiencies can be found in the
PSC Committee Instruction on the ISM Code. The PSCO should use professional
judgement in deciding whether technical or operational related deficiencies,
individually or collectively do not warrant a detention of the ship but indicate a
failure, or lack of effectiveness, of the implementation of the ISM Code.
If the PSCO does establish a link between technical or operational related
deficiencies found and the implementation of the ISM Code, an ISM related
deficiency should be recorded with the action taken code Internal safety audit and
corrective action is required within 3 months.
After 3 month this will create an unexpected factor and makes the ship eligible for
an additional inspection.
The internal safety audit should be carried out according to the ISM Code Section
12.1 Part A.

L. RO Responsibility
Criteria for attribution of RO responsibility
Definition of RO means a Recognized Organization or other private body carrying out
surveys and issuing or endorsing Statutory Certificate of ships on behalf of a flag State.
The RO responsibility is assessed only relating to detainable deficiencies that are:
a) Covered by a statutory certificate that has been issued or endorsed by the RO
with a date of survey; and
b) The RO has carried out the last survey or verification audit for the relevant
certificate(s).
A detainable deficiency is associated with the RO if it is:
a) a serious structural deficiency including corrosion, wastage, cracking and
buckling unless it is clear that the deficiency has occurred since the last survey
conducted by the RO; or
b) a serious deficiency in equipment or non-structural fittings (such as fire main,
air pipes, cargo hatches, rails, masts, ventilation trunks/ducts, accommodation
and recreational facilities etc.) and it is less than 90 days since the last survey
conducted by the RO, unless it is clear that the deficiency has occurred since
the last survey conducted by the RO; or
FINAL REPORT

26

c) a serious deficiency in equipment or non-structural fittings which clearly would

have existed at the time of the last survey; or
d) a serious deficiency associated with out-of-date equipment which was out-ofdate at the time of the last survey; or
e) a missing approval or endorsement of Plans and Manuals if required to comply
with the provisions for issuance of statutory certificates which clearly would
have existed at the time of the last survey; or
f) a major non-conformity where there is clear evidence of a lack of effective and
systematic implementation of a requirement of the ISM Code and there is clear
evidence that it existed at the last audit conducted by the RO provided that the
audit took place within the last 90 days. It may also include operational drills
and operational control and there is clear supporting evidence of failure;
g) A detainable MLC-deficiency where there is clear evidence of a lack of
implementation of a requirement of the MLC Code with respect to the
accommodation and recreation facilities detailed in Regulation 3.1 in Title 3
and that it existed at the last inspection conducted by the RO.
A detainable deficiency is not associated with the RO if it is the result of accidental or
voyage damage;
a) Missing equipment that is likely to have been stolen except when it is a large
quantity and the PSC inspection is taking place within 90 days since the last
survey conducted by the RO; or
b) An expired certificate unless the certificate was improperly issued by the RO
following a survey conducted on behalf of the flag State.
M. New Inspection Regime (NIR)
1. The purpose of NIR implementation
Less number of inspection but to be better inspection process
Less burden to ships because of if ship is categorized as good ships, then
relatively long period between inspections.
To improve control process.
2. Targeting System
Calculation of Ship Risk Profile

FINAL REPORT

27

Table 2
PROFILE
HRS
PARAMETER

Age of ship

Oil, chemical, Gas

Bulk, Passenger
> 12 year
Black-VHR, HR, M

Flag

BGW list

VIMSAS

LRS

Criteria

Criteria

Weighting point
Criteria

Type of ship

SRS

to HR

Paris

Tokyo

MOU

MOU

All types

All ages

White

Yes

Black - MR

EU recognized
RO

/RO of Tokyo
MOU
Performance

Company performance

Low
Very low
Low
Very low

LRS nor
1

Number of

Deficiencies

Yes
Neither

HRS

No. of

def. recorded

How many insp.

in each insp.

were there which

within pre. 36

recorded over 5 def.

Not
eligible

insp which
recorded
over 5 def.

months
Num. of det.
Detention

within pre. 36
months

2 or more detentions

3 or more detentions

High

High

All insp. have 5 or

less def. (at least
one insp. within
pre 36 months)

No detention

There are different calculation of Ship Risk Profile between Paris MOU and Tokyo
MOU (Table. 1). In Paris MOU determine that categorize of High Risk Profile if the
ships have a value of weight point 5 or more and categorize of High Risk Profile in
Tokyo MOU if the ships have a value of weight point 4 or more.
FLAG STATE PERFORMANCE
The white, Grey and Black list present the full spectrum, from the quality flags to flags
with a poor performance that are considered high or very high risk. It is based on the
total number of inspection and detention over a 3 years rolling period for flags with at
least 30 inspections in the period. The formula for statistical calculations in which
FINAL REPORT

28

certain values have been fixed in accordance with agreement of the Port State Control
Committee. Two limits have been included in the systems, the black to grey and the
grey to white limit, each with its own specific formula:
= . + 0.5 + . (1 )
= . 0.5 . (1 )

RO PERFORMANCE
To calculate the performance of the Recognized Organization, the same formula to
calculate the excess factor of the flags is used. A minimum number of 60 inspections
per RO are needed before the performance is taken into account for the list.
COMPANY PERFORMANCE
To determine whether a company have good performance in based on the deficiency
index and the detention index.

Deficiency ratio =

. 5 + . 1
.

.
.

Detention ratio =

Table 3. Deficiency and detention ratio

Deficiency Index

Deficiency points per inspection

Above average

> 1 above Tokyo MOU average*

average

Tokyo MOU average +/- 1*

Below average

> 1 below Tokyo MOU average*

Detention Index

Detention rate

Above average

> 1% above Tokyo MOU average*

average

Tokyo MOU average +/- 1%*

Below average

> 1% below Tokyo MOU average*

Note: *in case Tokyo MOU, Deficiency ratio: 3.81 and Detention ratio: 4.37 %( eff. until 30 June 2016)

FINAL REPORT

29

Table 4. Company Performance Matrix

Detention Index

Deficiency Index

Above average

Above average

Above average

Average

Above average

Below average

Average

Above average

Below average

Above average

Average

Average

Average

Below average

Below average

Average

Below average

Below average

Company Performance
Very Low

Low

Medium

High

N. Ship Risk Profile Inspection Window

Fig. 8

FINAL REPORT

30

Priority I
Priority II

: Ships must be inspected because the time window has closed

: Ships may be inspected because they are within the time window of
inspection

Overriding factors are Priority I:

Accident collision, grounding
Reports by other MOU member
Illegal discharge
Unsafe maneuvering
Class suspended or withdrawn
Ship not in database
Unexpected factors are Priority II:
Not complying with reporting obligations
Report by pilots, VTS, master, crew member, others
Outstanding deficiencies
Previously detained ships (after 3 months)
Cargo problems
RO recognition withdrawn

IV.

CONCLUSION

FINAL REPORT

31