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10.12.2013 Official
Journal
of
the
European
Union
L
330/1
I
(Legislative acts)
REGULATIONS
REGULATION (EU) No 1257/2013 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 20 November 2013
on ship recycling and amending Regulation (EC) No 1013/2006 and Directive 2009/16/EC
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
for Economic Cooperation and Development (OECD).
EUROPEAN UNION,
Such ships are generally classified as hazardous waste
and prohibited from being exported from the Union
for recycling in facilities in countries that are not
Having regard to the Treaty on the Functioning of the European
members of the OECD.
Union, and in particular Article 192(1) thereof,
Having regard to the proposal from the European Commission,
(2) The
mechanisms
for
monitoring
the
application
of,
and
enforcing the current Union and international law are
not adapted to the specificities of ships and international
After transmission of the draft legislative act to the national
shipping. Efforts involving inter-agency cooperation
parliaments,
between the International Labour Organisation (ILO),
the International Maritime Organisation (IMO) and the
Having regard to the opinion of the European Economic and
Secretariat of the Basel Convention have been successful
Social Committee (
in reaching agreement on the introduction of mandatory

1 ),
requirements, at global level, aimed at ensuring an
efficient and effective solution to unsafe and unsound
After consulting the Committee of the Regions,
ship recycling practices in the form of the Hong Kong
International Convention for the Safe and Environ
mentally Sound Recycling of Ships (‘the Hong Kong
Acting in accordance with the ordinary legislative procedure ( 2 ),
Convention’).
Whereas:
(3) Current
ship
recycling
capacity
in
OECD
countries
which
is legally accessible to ships flying the flag of a Member
(1)
Ships which constitute waste and which are subject to a
State is insufficient. Current safe and environmentally
transboundary movement for recycling are regulated by
sound ship recycling capacity in countries which are
the Basel Convention of 22 March 1989 on the Control
not members of the OECD is sufficient to treat all
of the Transboundary Movements of Hazardous Wastes
ships flying the flag of a Member State and is expected
and their Disposal (‘the Basel Convention’) and Regu
to expand further by 2015 as the results of actions taken
lation (EC) No 1013/2006 of the European Parliament
by recycling countries to meet the requirements of the
and of the Council ( 3 ). Regulation (EC) No 1013/2006
Hong Kong Convention.
implements the Basel Convention as well as an amend
ment ( 4 ) to that Convention adopted in 1995, which has
not yet entered into force at international level, and
which establishes a ban on exports of hazardous waste
(4) The
Hong
Kong
Convention
was
adopted
on
15
May
to countries that are not members of the Organisation
2009 under the auspices of the International Maritime
Organization. The Hong Kong Convention will enter into
( 1 ) OJ C 299, 4.10.2012, p. 158.
force only 24 months after the date of ratification by at
( 2 ) Position of the European Parliament of 22 October 2013 (not yet
least 15 states representing a combined merchant fleet of
published in the Official Journal) and decision of the Council of
at least 40 per cent of the gross tonnage of the world’s
15 November 2013.
merchant shipping and whose combined maximum
( 3 ) Regulation (EC) No 1013/2006 of the European Parliament and of
annual ship recycling volume during the preceding 10
the Council of 14 June 2006 on shipments of waste (OJ L 190,
years constitutes not less than three per cent of the
12.7.2006, p. 1).
( 4 ) Amendment to the Basel Convention (‘Ban amendment’) adopted by
gross tonnage of the combined merchant shipping of
Decision III/1 of the Parties to the Basel Convention.
the same states. That Convention covers the design, the

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Official Journal of the European Union
10.12.2013
construction, the operation and the preparation of ships
recycling facilities approved in accordance with this
with a view to facilitating safe and environmentally
Regulation should meet the necessary requirements to
sound recycling without compromising ship safety and
ensure protection of the environment, the health and
operational efficiency. It also covers the operation of ship
safety of workers and the environmentally sound
recycling facilities in a safe and environmentally sound
management of the waste recovered from recycled
manner, and the establishment of an appropriate
ships. For ship recycling facilities located in a third
enforcement mechanism for ship recycling.
country, the requirements should achieve a high level
of protection of human health and the environment
that is broadly equivalent to that in the Union. Ship
recycling facilities which do not meet those minimum
(5) This
Regulation
is
aimed
at
facilitating
early
ratification
of the Hong Kong Convention both within the Union
requirements should therefore not be included in the
and in third countries by applying proportionate controls
European List.
to ships and ship recycling facilities on the basis of that
Convention.
(8) The
principle
of
equality
in
Union
law
should
be
applied
and its application monitored, in particular when estab
(6) The
Hong
Kong
Convention
provides
explicitly
for
its
lishing and updating the European List in respect of ship
Parties to take more stringent measures consistent with
recycling facilities located in a Member State and ship
international law, with respect to the safe and environ
recycling facilities located in a third country fulfilling
mentally sound recycling of ships, in order to prevent,
the requirements set out in this Regulation.
reduce or minimise any adverse effects on human health
and the environment. Taking that into account, this
Regulation should provide protection from the possible
adverse effects of hazardous materials on board all ships
(9) Member
States
are
encouraged
to
adopt
appropriate
measures to ensure that ships excluded from the scope
calling at a port or anchorage of a Member State while
of this Regulation act in a manner that is consistent with
ensuring compliance with the provisions applicable to
this Regulation, in so far as is reasonable and practicable.
those materials under international law. In order to

ensure the monitoring of compliance with the
requirements relating to hazardous materials under this
Regulation, Member States should apply national
(10) In order to avoid duplication, it is necessary to exclude
provisions to implement Directive 2009/16/EC of the
ships flying the flag of a Member State falling under the
European Parliament and of the Council ( 1 ). Currently,
scope of this Regulation from the scope of application of
port State control inspectors are tasked with the
Regulation (EC) No 1013/2006 and of Directive
inspection of certification and with active testing for
2008/98/EC of the European Parliament and of the
hazardous materials, including asbestos, under the Inter
Council ( 2 ) respectively. Regulation (EC) No 1013/2006
national Convention for the Safety of Life at Sea
applies to shipments of waste from the Union, subject to
(‘SOLAS’). The Paris Memorandum of Understanding on
exclusions for certain categories of waste where an alter
Port State Control provides a harmonised approach for
native regime applies. This Regulation subjects ships
those activities.
within its scope to controls throughout their life-cycle
and aims to secure recycling of those ships in an envi
ronmentally sound manner. It is therefore appropriate to
(7) The
purpose
of
this
Regulation
is
also
to
reduce
specify that a ship subject to the alternative control
disparities between operators in the Union, in OECD
regime throughout its life-cycle under this Regulation
countries and in relevant third countries in terms of
should not be subject to Regulation (EC) No 1013/2006.
health and safety at the workplace and environmental
Ships neither covered by the scope of the Hong Kong
standards and to direct ships flying the flag of a
Convention nor by this Regulation, and any waste on
Member State to ship recycling facilities that practice
board of a ship other than operationally generated
safe and environmentally sound methods of dismantling
waste, should continue to be subject to Regulation (EC)
ships instead of directing them to substandard sites as is
No 1013/2006 and to Directives 2008/98/EC and
currently the practice. The competitiveness of safe and
2008/99/EC of the European Parliament and of the
environmentally sound recycling and treatment of ships
Council ( 3 ), respectively.
in ship recycling facilities located in a Member State
would thereby also be increased. The establishment of
a European List of ship recycling facilities (‘the
European List’) fulfilling the requirements set out in
(11) It
is
also
acknowledged
that
ships
continue
to
be
subject
to other international conventions to ensure their safe
this Regulation would contribute to those objectives as
operation at sea during the operational part of their
well as to better enforcement by facilitating the control
life-cycle and, although they can exercise certain navi
of ships going for recycling by the Member State whose
gational rights and freedoms, ships are required to
flag the ship is flying. Those requirements for ship
recycling facilities should be based on the requirements
of the Hong Kong Convention. In this regard, ship
( 2 ) Directive 2008/98/EC of the European Parliament and of the
Council of 19 November 2008 on waste and repealing certain
Directives (OJ L 312, 22.11.2008, p. 3).
( 1 ) Directive 2009/16/EC of the European Parliament and of the
( 3 ) Directive 2008/99/EC of the European Parliament and of the
Council of 23 April 2009 on port State control (OJ L 131,
Council of 19 November 2008 on the protection of the
28.5.2009, p. 57).
environment through criminal law (OJ L 328, 6.12.2008, p. 28).

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provide prior notice of entry into ports. Member States
circumvention of ship recycling rules. The penalties,
should be able to choose to apply further controls in
which may be of a civil or administrative nature,
accordance with other international treaties. Additional
should be effective, proportionate and dissuasive.
transit controls are therefore not considered necessary
under this Regulation.
(18) In accordance with the case-law of the Court of Justice,
(12) When
interpreting
the
requirements
of
this
Regulation,
the courts of the Member States are required to interpret,
consideration should be given to the guidelines
to the fullest extent possible, the procedural rules relating
developed by the IMO (‘IMO guidelines’) to support the
to the conditions to be met in order to bring adminis
Hong Kong Convention.
trative or judicial proceedings in accordance with the
objectives of Article 9(3) of the Aarhus Convention.
(13) For
the
purposes
of
this
Regulation,
the
term
‘recycling’
should not have the same meaning as defined in
Directive 2008/98/EC. This Regulation should therefore
(19) In
the interest of protecting
human health
and the
introduce a specific definition for the term ‘ship recyc
environment and having regard to the ‘polluter pays’
ling’.
principle, the Commission should assess the feasibility
of establishing a financial mechanism applicable to all
ships calling at a port or anchorage of a Member State,
(14) Regulation (EC) No 1272/2008 of the European
irrespective of the flag they are flying, to generate
Parliament and of the Council ( 1 ) implements at Union
resources that would facilitate the environmentally
level the Globally Harmonised System for the classifi
sound recycling and treatment of ships without
cation and labelling of chemicals. That Regulation,
creating an incentive to out-flag.
together with Council Directive 67/548/EEC ( 2 ) and
Directive 1999/45/EC of the European Parliament and
of the Council ( 3 ), provides useful guidance in deter
(20) In
order
to
take
into
account
developments
regarding
the
mining what constitutes a hazardous material.
Hong Kong Convention, the power to adopt acts in
accordance with Article 290 of the Treaty on the Func
(15) Keeping
an
inventory
of
hazardous
materials
on
board
a
tioning of the European Union should be delegated to
ship throughout its life-cycle is a key requirement laid
the Commission in respect of the updating of Annexes I
down in the Hong Kong Convention and in this Regu
and II to this Regulation. It is of particular importance
lation. In accordance with Regulation 8(2) of the Hong
that the Commission carry out appropriate consultations
Kong Convention, a ship destined to be recycled should
during its preparatory work, including at expert level.
minimise the amounts of operationally generated waste
The Commission, when preparing and drawing up
in the period prior to entering the ship recycling facility.
delegated acts, should ensure a simultaneous, timely
If the operationally generated waste is intended for
and appropriate transmission of relevant documents to
delivery with the ship to a ship recycling facility, the
the European Parliament and to the Council.
approximate quantities and locations of that waste
should be listed in Part II of the inventory.
(21) In
order
to
ensure
uniform
conditions
for
the
implemen
(16) Member
States
should
take
measures
to
prevent
circum
tation of this Regulation, implementing powers should be
vention of ship recycling rules and to enhance trans
conferred on the Commission. Those powers should be
parency of ship recycling. As provided for in the Hong
exercised in accordance with Regulation (EU) No
Kong Convention, Member States should report
182/2011 of the European Parliament and of the Coun
information concerning ships to which an inventory
cil ( 4 ).
certificate has been issued, ships for which a statement
of completion has been received and information
regarding illegal ship recycling and follow-up actions
(22) Since
the
objective
of
this
Regulation,
namely
to
prevent,
that they have undertaken.
reduce or eliminate adverse effects on human health and
the environment caused by the recycling, operation and
(17) Member States should lay down rules on penalties
maintenance of ships flying the flag of a Member State,
applicable to infringements of this Regulation and
cannot be sufficiently achieved by the Member States due
ensure that those penalties are applied so as to prevent
to the international character of shipping and ship
recycling, but can rather by reason of its scale and
effects, be better achieved at Union level, the Union
( 1 ) Regulation (EC) No 1272/2008 of the European Parliament and of
may adopt measures, in accordance with the principle
the Council of 16 December 2008 on classification, labelling and
of subsidiarity as set out in Article 5 of the Treaty on
packaging of substances and mixtures, amending and repealing
Directives 67/548/EEC and 1999/45/EC, and amending Regulation
European Union. In accordance with the principle of
(EC) No 1907/2006 (OJ L 353, 31.12.2008, p. 1).
proportionality, as set out in that Article, this Regulation
( 2 ) Council Directive 67/548/EEC of 27 June 1967 on the approxi
does not go beyond what is necessary in order to achieve
mation of laws, regulations and administrative provisions relating
that objective,
to the classification, packaging and labelling of dangerous substances
(OJ 196, 16.8.1967, p. 1).
( 3 ) Directive 1999/45/EC of the European Parliament and of the
( 4 ) Regulation (EU) No 182/2011 of the European Parliament and of
Council of 31 May 1999 concerning the approximation of the
the Council of 16 February 2011 laying down the rules and general
laws, regulations and administrative provisions of the Member
principles concerning mechanisms for control by the Member States
States relating to the classification, packaging and labelling of
of the Commission’s exercise of implementing powers (OJ L 55,
dangerous preparations (OJ L 200, 30.7.1999, p. 1).
28.2.2011, p. 13).

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HAVE ADOPTED THIS REGULATION:
(1) ‘ship’ means a vessel of any type whatsoever operating or
having operated in the marine environment, and includes
submersibles, floating craft, floating platforms, self-
elevating platforms, Floating Storage Units (FSUs), and
TITLE I
Floating Production Storage and Offloading Units
SUBJECT-MATTER, SCOPE AND DEFINITIONS
(FPSOs), as well as a vessel stripped of equipment or
being towed;
Article 1
Subject matter and purpose
The purpose of this Regulation is to prevent, reduce, minimise
(2) ‘new ship’ means a ship for which either:
and, to the extent practicable, eliminate accidents, injuries and
other adverse effects on human health and the environment
caused by ship recycling. The purpose of this Regulation is to
(a) the building contract is placed on or after the date of
enhance safety, the protection of human health and of the
application of this Regulation;
Union marine environment throughout a ship′s life-cycle, in
particular to ensure that hazardous waste from such ship
recycling is subject to environmentally sound management.
(b) in the absence of a building contract, the keel is laid or
the ship is at a similar stage of construction six
months after the date of application of this Regulation
This Regulation also lays down rules to ensure the proper
or thereafter; or
management of hazardous materials on ships.
(c) the delivery takes place thirty months after the date of
This Regulation also aims to facilitate the ratification of the
application of this Regulation or thereafter;
Hong Kong International Convention for the Safe and Environ
mentally Sound Recycling of Ships, 2009 (‘the Hong Kong
Convention’).
(3) ‘tanker’ means an oil tanker as defined in Annex I to the
Convention for the Prevention of Pollution from Ships
(‘MARPOL Convention’) or a Noxious Liquid Substances
Article 2
(NLS) tanker as defined in Annex II to that Convention;
Scope
1. This
Regulation,
with
the
exception
of
Article
12,
shall
(4) ‘hazardous material’ means any material or substance
apply to ships flying the flag of a Member State.
which is liable to create hazards to human health and/or
the environment;
Article 12 shall apply to ships flying the flag of a third country
calling at a port or anchorage of a Member State.
(5) ‘operationally generated waste’ means waste water and
residues generated by the normal operation of ships
subject to the requirements of the MARPOL Convention;
2. This
Regulation
shall
not
apply
to:
(6) ‘ship recycling’ means the activity of complete or partial
(a) any warships, naval auxiliary, or other ships owned or
dismantling of a ship at a ship recycling facility in order to
operated by a state and used, for the time being, only on
recover components and materials for reprocessing, for
government non-commercial service;
preparation for re-use or for re-use, whilst ensuring the
management of hazardous and other materials, and
includes associated operations such as storage and
treatment of components and materials on site, but not
(b) ships of less than 500 gross tonnage (GT);
their further processing or disposal in separate facilities;
(c) ships operating throughout their life only in waters subject
(7) ‘ship recycling facility’ means a defined area that is a yard
to the sovereignty or jurisdiction of the Member State
or facility located in a Member State or in a third country
whose flag the ship is flying.
and used for the recycling of ships;
Article 3
(8) ‘ship recycling company’ means, the owner of the ship
Definitions
recycling facility or any other organisation or person
who has assumed the responsibility for the operation of
1. For the purposes of this Regulation, the following defi
the ship recycling activity from the owner of the ship
nitions apply:
recycling facility;

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(9) ‘administration’ means a governmental authority
personnel, emergency preparedness and response, and
designated by a Member State as being responsible for
systems for monitoring, reporting and record-keeping,
duties related to ships flying its flag or to ships
taking into account the relevant IMO guidelines and resol
operating under its authority;
utions;
(10) ‘recognised organisation’ means an organisation recognised
(18) ‘safe-for-entry’ means a space that meets all of the
in accordance with Regulation (EC) No 391/2009 of the
following criteria:
European Parliament and of the Council ( 1 );
(a) the oxygen content of the atmosphere and the concen
(11) ‘competent authority’ means a governmental authority or
tration of flammable vapours are within safe limits;
authorities designated by a Member State or a third
country as responsible for ship recycling facilities, within
a specified geographical area or an area of expertise,
(b) any toxic materials in the atmosphere are within
relating to all operations within the jurisdiction of that
permissible concentrations;
state;
(c) any residues or materials associated with the work
(12) ‘gross tonnage’ means the gross tonnage (GT) calculated in
authorised by the competent person will not produce
accordance with the tonnage measurement regulations
uncontrolled release of toxic materials or an unsafe
contained in Annex I to the International Convention on
concentration of flammable vapours under existing
Tonnage Measurement of Ships, 1969, or any successor
atmospheric conditions while maintained as directed;
convention;
(19) ‘safe-for-hot work’ means a space in which all of the
(13) ‘competent person’ means a person with suitable qualifi
following criteria are met:
cations, training, and sufficient knowledge, experience and
skill, for the performance of the specific work;
(a) safe, non-explosive conditions, including gas-free
status, exist for the use of electric arc or gas welding
(14) ‘ship owner’ means the natural or legal person registered
equipment, cutting or burning equipment or other
as the owner of the ship, including the natural or legal
forms of naked flame, as well as heating, grinding,
person owning the ship for a limited period pending its
or spark-generating operations;
sale or handover to a ship recycling facility, or, in the
absence of registration, the natural or legal person
owning the ship or any other organisation or person,
(b) the safe-for-entry criteria set out in point 18 are met;
such as the manager or the bareboat charterer, who has
assumed the responsibility for operation of the ship from
the owner of the ship, and the legal person operating a
(c) existing atmospheric conditions do not change as a
state-owned ship;
result of the hot work;
(15) ‘new installation’ means the installation of systems,
(d) all adjacent spaces have been cleaned, rendered inert or
equipment, insulation or other material on a ship after
treated sufficiently to prevent the start or spread of
the date of application of this Regulation;
fire;
(16) ‘ship recycling plan’ means a plan developed by the
(20) ‘statement of completion’ means a confirmatory statement
operator of the ship recycling facility for each specific
issued by the operator of the ship recycling facility that the
ship to be recycled under its responsibility taking into
ship recycling has been completed in accordance with this
account the relevant IMO guidelines and resolutions;
Regulation;
(17) ‘ship recycling facility plan’ means a plan prepared by the
(21) ‘inventory certificate’ means a ship-specific certificate that
operator of the ship recycling facility and adopted by the
is issued to ships flying the flag of a Member State in
board or the appropriate governing body of the ship
accordance with Article 9 and that is supplemented by
recycling company that describes the operational
an inventory of hazardous materials in accordance with
processes and procedures involved in ship recycling at
Article 5;
the ship recycling facility and that covers in particular
workers’ safety and training, protection of human health
and the environment, roles and responsibilities of
(22) ‘ready for recycling certificate’ means a ship-specific
certificate that is issued to ships flying the flag of a
Member State in accordance with Article 9(9) and that is
( 1 ) Regulation (EC) No 391/2009 of the European Parliament and of
supplemented by an inventory of hazardous materials in
the Council of 23 April 2009 on common rules and standards for
ship inspection and survey organisations (OJ L 131, 28.5.2009,
accordance with Article 5(7) and the approved ship
p. 11).
recycling plan in accordance with Article 7;

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(23) ‘statement of compliance’ means a ship-specific certificate
in Annex I, without prejudice to other requirements of relevant
that is issued to ships flying the flag of a third country and
Union law which may require further measures.
that is supplemented by an inventory of hazardous
materials in accordance with Article 12;
Article 5
(24) ‘light displacement tonnes (LDT)’ means the weight of a
Inventory of hazardous materials
ship in tonnes without cargo, fuel, lubricating oil in
storage tanks, ballast water, fresh water, feedwater,
1. Each
new
ship
shall
have
on
board
an
inventory
of
consumable stores, passengers and crew and their effects
hazardous materials, which shall identify at least the
and it is the sum of the weight of the hull, structure,
hazardous materials referred to in Annex II and contained in
machinery, equipment and fittings of the ship.
the structure or equipment of the ship, their location and
approximate quantities.
2. For
the
purposes
of
Article
7(2)(d)
and
Articles
13,
15
and 16,
2. Subject
to
point
(b)
of
Article
32(2),
existing
ships
shall
comply, as far as practicable, with paragraph 1.
(a)
‘waste’, ‘hazardous waste’, ‘treatment’ and ‘waste
management’ have the same meaning as in Article 3 of
Directive 2008/98/EC;
In the case of ships going for recycling, they shall comply, as far
as practicable, with paragraph 1 of this Article from the date of
(b) ‘site inspection’ means an inspection of the ship recycling
the publication of the European List of ship recycling facilities
facility assessing whether the conditions on site are
(‘the European List’) as set out in Article 16(2).
consistent with those described in any relevant documen
tation provided;
Subject to point (b) of Article 32(2), when the inventory of
hazardous materials is developed it shall identify, at least, the
(c) ‘worker’ means any person who performs work, either
hazardous materials listed in Annex I.
regularly or temporarily, in the context of an employment
relationship, including the personnel working for
contractors and subcontractors;
3. The
inventory
of
hazardous
materials
shall:
(d) ‘environmentally sound management’ means taking all prac
ticable steps to ensure that waste and hazardous materials
(a) be specific to each ship;
are managed in a manner which protects human health and
the environment against the adverse effects which may
result from such materials and waste.
(b) provide evidence that the ship complies with the prohibition
or restrictions on installing or using hazardous materials in
3. For
the
purposes
of
point
13
of
paragraph
1,
a
competent
accordance with Article 4;
person may be a trained worker or a managerial employee
capable of recognising and evaluating occupational hazards,
risks, and employee exposure to potentially hazardous
(c) be compiled taking into account the relevant IMO guide
materials or unsafe conditions in a ship recycling facility, and
lines;
who is capable of specifying the necessary protection and
precautions to be taken to eliminate or reduce those hazards,
risks or that exposure.
(d) be verified either by the administration or a recognised
organisation authorised by it.
Without prejudice to Directive 2005/36/EC of the European
Parliament and of the Council ( 1 ), the competent authority
may define appropriate criteria for the designation of such
4. In
addition
to
paragraph
3,
for
existing
ships
a
plan
shall
persons and may determine the duties to be assigned to them.
be prepared describing the visual or sampling check by which
the inventory of hazardous materials is developed and taking
TITLE II
into account the relevant IMO guidelines.
SHIPS
Article 4
5. The
inventory
of
hazardous
materials
shall
consist
of
three
parts:
Control of hazardous materials
The installation or use of hazardous materials referred to in
Annex I on ships shall be prohibited or restricted as specified
(a) a list of hazardous materials referred to in Annexes I and II,
in accordance with the provisions of paragraphs 1 and 2 of
this Article, and contained in the structure or equipment of
( 1 ) Directive 2005/36/EC of the European Parliament and of the
Council of 7 September 2005 on the recognition of professional
the ship, with an indication of their location and
qualifications (OJ L 255, 30.9.2005, p. 22).
approximate quantities (Part I);

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(b) a list of the operationally generated waste present on board
of cargo residues, remaining fuel oil, and ship generated
the ship (Part II);
waste remaining on board;
(c) a list of the stores present on board the ship (Part III).
(c) hold a ready for recycling certificate issued by the adminis
tration or a recognised organisation authorised by it prior to
any recycling of the ship and after the receipt of the ship
6. Part
I
of
the
inventory
of
hazardous
materials
shall
be
recycling plan approved in accordance with Article 7(3).
properly maintained and updated throughout the operational
life of the ship, reflecting new installations containing any
hazardous materials referred to in Annex II and relevant
changes in the structure and equipment of the ship.
3. Ship
owners
shall
ensure
that
tankers
arrive
at
the
ship
recycling facility with cargo tanks and pump rooms in a
condition ready for certification as safe-for-hot work.
7. Prior
to
recycling,
and
taking
into
account
the
relevant
IMO guidelines, the inventory of hazardous materials shall, in
addition to the properly maintained and updated Part I, incor
4. Ship owners shall provide the operator of the ship
porate Part II for operationally generated waste and Part III for
recycling facility with a copy of the ready for recycling
stores, and be verified by the administration or a recognised
certificate issued in accordance with Article 9.
organisation authorised by it.
5. Ship
owners
shall
be
responsible
for
the
ship
and
shall
8. The
Commission
shall
be
empowered
to
adopt
delegated make arrangements to maintain that ship in compliance with
acts in accordance with Article 24 concerning the updating of
the requirements of the administration of the Member State
the list of items for the inventory of hazardous materials in
whose flag the ship is flying up until such time as the
Annexes I and II to ensure that the lists include at least the
operator of the ship recycling facility accepts responsibility for
substances listed in Appendices I and II of the Hong Kong
that ship. The operator of the ship recycling facility may decline
Convention.
to accept the ship for recycling if the condition of the ship does
not correspond substantially with the particulars of the
inventory certificate, including where Part I of the inventory
The Commission shall adopt a separate delegated act in respect
of hazardous materials has not been properly maintained and
of each substance to be added or deleted from Annexes I or II.
updated, reflecting changes in the ship’s structure and
equipment. In such circumstances, the ship owner shall retain
responsibility for that ship and shall inform the administration
Article 6
thereof without delay.
General requirements for ship owners
1. When
preparing
to
send
a
ship
for
recycling,
ship
owners
Article 7
shall:
Ship recycling plan
(a) provide the operator of the ship recycling facility with all
1. A
ship-specific
ship
recycling
plan
shall
be
developed
prior
ship-relevant information, necessary for the development of
to any recycling of a ship. The ship recycling plan shall address
the ship recycling plan set out in Article 7;
any ship-specific considerations that are not covered in the ship
recycling facility plan or that require special procedures.
(b) notify in writing the relevant administration, within a
timeframe to be determined by that administration, of the
2. The
ship
recycling
plan
shall:
intention to recycle the ship in a specified ship recycling
facility or facilities. The notification shall include at least:
(a) be developed by the operator of the ship recycling facility in
accordance with the relevant provisions of the Hong Kong
(i) the inventory of hazardous materials; and
Convention and taking into account the relevant IMO
guidelines and the ship-relevant information provided by
the ship owner in accordance with Article 6(1)(a) so that
(ii) all ship-relevant information provided under point (a).
its contents are consistent with the information contained in
the inventory of hazardous materials;
2. Ship
owners
shall
ensure
that
ships
destined
to
be
recycled:
(b) clarify whether and to what extent any preparatory work,
such as pre-treatment, identification of potential hazards
(a) are only recycled at ship recycling facilities that are included
and removal of stores, is to take place at a location other
in the European List;
than the ship recycling facility identified in the ship
recycling plan. The ship recycling plan should include the
location where the ship will be placed during recycling
(b) conduct operations in the period prior to entering the ship
operations and a concise plan for the arrival and safe
recycling facility in such a way as to minimise the amount
placement of the specific ship to be recycled;

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Official Journal of the European Union
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(c) include information concerning the establishment, main
(viii) the name of any classification societies with which the
tenance and monitoring of the safe-for-entry and safe-for-
ship is classed;
hot work conditions for the specific ship, taking into
account features such as its structure, configuration and
previous cargo, and other necessary information on how
(ix) the ship’s main particulars (Length overall (LOA), Breadth
the ship recycling plan is to be implemented;
(Moulded), Depth (Moulded), LDT, Gross and Net tonnage,
and engine type and rating).
(d) include information on the type and amount of hazardous
materials and of waste to be generated by the recycling of
Article 8
the specific ship, including the materials and the waste
Surveys
identified in the inventory of hazardous materials, and on
how they will be managed and stored in the ship recycling
1. Surveys of ships shall be carried out by officers of the
facility as well as in subsequent facilities; and
administration, or of a recognised organisation authorised by
it, taking into account the relevant IMO guidelines.
(e) be prepared separately, in principle, for each ship recycling
facility involved where more than one ship recycling facility
2. Where
the
administration
uses
recognised
organisations
to
is to be used, and identify the order of use and the auth
conduct surveys, as described in paragraph 1, it shall, as a
orised activities that will occur at those facilities.
minimum, empower such recognised organisations to:
3. The
ship
recycling
plan
shall
be
tacitly
or
explicitly — require a ship that they survey to comply with this Regu
approved by the competent authority in accordance with the
lation; and
requirements of the state where the ship recycling facility is
located, where applicable.
— carry out surveys if requested by the appropriate authorities
of a Member State.
Explicit approval shall be given when the competent authority
sends a written notification of its decision on the ship recycling
plan to the operator of the ship recycling facility, the ship
3. Ships
shall
be
subject
to
the
following
surveys:
owner and the administration.
(a) an initial survey;
Tacit approval shall be deemed given, if no written objection to
the ship recycling plan is communicated by the competent
(b) a renewal survey;
authority to the operator of the ship recycling facility, the
ship owner and the administration within a review period laid
down in accordance with the requirements of the state where
(c) an additional survey;
the ship recycling facility is located, where applicable, and
notified in accordance with Article 15(2)(b).
(d) a final survey.
4. Member
States
may
require
their
administration
to
send
to
the competent authority of the state where the ship recycling
4. The
initial
survey
of
a
new
ship
shall
be
conducted
before
facility is located the information provided by the ship owner
the ship is put in service, or before the inventory certificate is
pursuant to Article 6(1)(b) and the following details:
issued. For existing ships, an initial survey shall be conducted by
31 December 2020. The survey shall verify that Part I of the
inventory of hazardous materials complies with the
(i) the date on which the ship was registered within the State
requirements of this Regulation.
whose flag it flies;
5. The
renewal
survey
shall
be
conducted
at
intervals
(ii) the ship’s identification number (IMO number);
specified by the administration, which shall not exceed five
years. The renewal survey shall verify that Part I of the
inventory of hazardous materials complies with the
(iii) the hull number on new-building delivery;
requirements of this Regulation.
(iv) the name and type of the ship;
6. The
additional
survey,
either
general
or
partial
depending
on the circumstances, shall be conducted if requested by the
ship owner after a change, replacement or significant repair of
(v) the port at which the ship is registered;
the structure, equipment, systems, fittings, arrangements and
material, which has an impact on the inventory of hazardous
(vi) the name and address of the ship owner as well as the
materials. The survey shall be such as to ensure that any change,
IMO registered owner identification number;
replacement, or significant repair has been made in a manner
that ensures that the ship continues to comply with the
requirements of this Regulation, and that Part I of the
(vii) the name and address of the company;
inventory of hazardous materials is amended as necessary.

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EN
10.12.2013 Official
Journal
of
the
European
Union
L
330/9
7. The
final
survey
shall
be
conducted
prior
to
the
ship
being
(b) after the expiry date of the existing inventory certificate, and
taken out of service and before the recycling of the ship has
the new certificate shall be valid from the date of
started.
completion of the renewal survey to a date not exceeding
five years from the date of expiry of the existing one;
That survey shall verify that:
(c) more than three months before the expiry date of the
(a) the inventory of hazardous materials complies with the
existing inventory certificate, and the new certificate shall
requirements of Article 5;
be valid from the date of completion of the renewal survey
to a date not exceeding five years from the date of
completion of the renewal survey.
(b) the ship recycling plan properly reflects the information
contained in the inventory of hazardous materials and
complies with the requirements of Article 7;
4. Where
a
renewal
survey
has
been
successfully
completed
and a new inventory certificate cannot be issued or placed on
board before the expiry date of the existing certificate, the
(c) the ship recycling facility where the ship is to be recycled is
administration or recognised organisation authorised by it
included in the European List.
shall endorse the existing certificate and such a certificate
shall be accepted as valid for a further period which shall not
exceed five months from the date of expiry.
8. For
existing
ships
intended
for
ship
recycling,
the
initial
survey and the final survey may be conducted at the same time.
5. In
case
of
an
inventory
certificate
issued
for
a
period
of
Article 9
less than five years, the administration or the recognised organi
sation authorised by it may extend the validity of the existing
Issuance and endorsement of certificates
certificate for a further period which shall not exceed five years.
1. After
successful
completion
of
an
initial
or
renewal
survey,
the administration or a recognised organisation authorised by it
shall issue an inventory certificate. That certificate shall be
supplemented by Part I of the inventory of hazardous materials,
6. In
special
circumstances
as
determined
by
the
adminis
referred to in Article 5(5)(a).
tration, a new inventory certificate need not be dated from
the date of expiry of the existing certificate as required by
points (a) and (b) of paragraph 3 and paragraphs 7 and 8. In
Where the initial survey and the final survey are conducted at
those circumstances, the new certificate shall be valid for a
the same time as provided for in Article 8(8), only the ready for
period not exceeding five years from the date of completion
recycling certificate referred to in paragraph 9 of this Article
of the renewal survey.
shall be issued.
7.
Where a ship is not at the port or anchorage where it is to
The Commission shall adopt implementing acts to establish the
be surveyed when the inventory certificate expires, the adminis
format of the inventory certificate to ensure it is consistent with
tration may, if it is proper to do so, extend the period of
Appendix 3 to the Hong Kong Convention. Those imple
validity of the inventory certificate for a period not exceeding
menting acts shall be adopted in accordance with the exam
three months to enable the ship to complete its voyage to the
ination procedure referred to in Article 25 of this Regulation.
port in which it is to be surveyed. Any such extension granted
shall be conditional on the survey being completed at that port
before the ship leaves. A ship to which an extension is granted
2. An
inventory
certificate
shall
be
endorsed
at
the
request
of shall not, on its arrival in the port in which it is to be surveyed,
the ship owner either by the administration or by a recognised
be entitled, by virtue of such extension, to leave the port
organisation authorised by it after successful completion of an
without having a new certificate. When the renewal survey is
additional survey conducted in accordance with Article 8(6).
completed, the new inventory certificate shall be valid for a
period not exceeding five years from the date of expiry of the
existing certificate before the extension was granted.
3. Subject
to
paragraph
4,
the
administration
or
recognised
organisation authorised by it shall issue or endorse, as appro
priate, an inventory certificate, where the renewal survey is
successfully completed:
8. An
inventory
certificate
for
a
ship
engaged
on
short
voyages and which has not been extended under the conditions
referred to in paragraph 7 may be extended by the adminis
(a) in the three month period before the expiry date of the
tration for a period of grace of up to one month from its
existing inventory certificate, and the new certificate shall
expiry. When the renewal survey is completed, the new
be valid from the date of completion of the renewal survey
inventory certificate shall be valid for a period not exceeding
to a date not exceeding five years from the date of expiry of
five years from the date of expiry of the existing certificate
the existing one;
before the extension was granted.

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L 330/10
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10.12.2013
9. After
successful
completion
of
a
final
survey
in
accordance be limited to checking that either an inventory certificate or a
with Article 8(7), the administration or a recognised organi
ready for recycling certificate is kept on board, which, if valid,
sation authorised by it shall issue a ready for recycling
shall be considered sufficient for the inspection to be approved.
certificate. That certificate shall be supplemented by the
inventory of hazardous materials and the ship recycling plan.
2. A
detailed
inspection
may
be
carried
out
by
the
relevant
authority involved in port State control activities, taking into
The Commission shall adopt implementing acts to establish the
account the relevant IMO guidelines, where a ship does not
format of the ready for recycling certificate to ensure it is
carry a valid certificate or there are clear grounds for
consistent with Appendix 4 to the Hong Kong Convention.
believing either that:
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 25 of this
Regulation. A ready for recycling certificate issued after a final
survey in accordance with the first subparagraph of this
(a) the condition of the ship or its equipment does not
paragraph shall be accepted by the other Member States and
correspond substantially with the particulars of that
regarded for the purposes of this Regulation as having the same
certificate, Part I of the inventory of hazardous materials,
validity as a ready for recycling certificate issued by them.
or both; or
Article 10
(b) there is no procedure implemented on board the ship for
the maintenance of Part I of the inventory of hazardous
Duration and validity of certificates
materials.
1. Subject
to
Article
9,
an
inventory
certificate
shall
be
issued
for a period specified by the administration, which shall not
exceed five years.
3. A
ship
may
be
warned,
detained,
dismissed
or
excluded
from the ports or offshore terminals under the jurisdiction of a
Member State in the event that it fails to submit to the relevant
2. An
inventory
certificate
issued
or
endorsed
under
Article
9 authorities of that Member State a copy of the inventory
shall cease to be valid in any of the following cases:
certificate or the ready for recycling certificate, as appropriate
and on request of those authorities, without prejudice to
Article 9. A Member State taking such action shall immediately
(a) if the condition of the ship does not correspond substan
inform the administration concerned. Failure to update the
tially with the particulars of that inventory certificate,
inventory of hazardous materials shall not constitute a
including where Part I of the inventory of hazardous
detainable deficiency, but any inconsistencies in the inventory
materials has not been properly maintained and updated,
of hazardous materials shall be reported to the administration
reflecting changes in ship structure and equipment, taking
concerned and shall be rectified at the time of the next survey.
into account the relevant IMO guidelines;
4. Access
to
a
specific
port
or
anchorage
may
be
permitted
(b) where the renewal survey is not completed within the
by the relevant authority of a Member State in the event of
intervals specified in Article 8(5).
force majeure or overriding safety considerations, or to reduce
or minimise the risk of pollution or to have deficiencies
rectified, provided that adequate measures to the satisfaction
3. A
ready
for
recycling
certificate
shall
be
issued
by
the of the relevant authority of that Member State have been imple
administration or by a recognised organisation authorised by
mented by the owner, the operator or the master of the ship to
it for a period not exceeding three months.
ensure safe entry.
4. A
ready
for
recycling
certificate
issued
under
Article
9(9)
shall cease to be valid where the condition of the ship does not
Article 12
correspond substantially with the particulars of the inventory
Requirements for ships flying the flag of a third country
certificate.
1. Subject to point (b) of Article 32(2), when calling at a
port or anchorage of a Member State, a ship flying the flag of a
5. By way of derogation from paragraph 3, the ready for
third country shall have on board an inventory of hazardous
recycling certificate may be extended by the administration or
materials that complies with Article 5(2).
by a recognised organisation authorised by it for a single point
to point voyage to the ship recycling facility.
Notwithstanding the first subparagraph, access to a specific port
or anchorage may be permitted by the relevant authority of a
Article 11
Member State in the event of force majeure or overriding safety
Port State control
considerations, or to reduce or minimise the risk of pollution or
to have deficiencies rectified, provided that adequate measures
1. Member
States
shall
apply
control
provisions
for
ships
in to the satisfaction of the relevant authority of that Member State
accordance with their national law having regard to Directive
have been implemented by the owner, the operator or the
2009/16/EC. Subject to paragraph 2, any such inspection shall
master of the ship to ensure safe entry.

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10.12.2013 Official
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Union L
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2. The
installation
of
hazardous
materials
referred
to
in flag the ship is flying and where the language used is not
Annex I on ships flying the flag of a third country, whilst in
English, French or Spanish, the text shall include a translation
a port or anchorage of a Member State, shall be prohibited or
into one of those languages.
restricted as specified in Annex I.
The use of hazardous materials referred to in Annex I on ships
8. Subject
to
point
(b)
of
Article
32(2),
ships
flying
the
flag
flying the flag of a third country, whilst in a port or anchorage
of a third country applying to be registered under the flag of a
of a Member State, shall be prohibited or restricted as specified
Member State shall ensure that an inventory of hazardous
in Annex I, without prejudice to the exemptions and transi
materials, as provided for in Article 5(2), is kept on board or
tional arrangements applicable to those materials under inter
is established within six months of the registration under the
national law.
flag of that Member State or during any of the next surveys
under Article 8(3), whichever comes first.
3. The
inventory
of
hazardous
materials
shall
be
specific
to
each ship, be compiled taking into account the relevant IMO
TITLE III
guidelines and serve to clarify that the ship complies with
paragraph 2 of this Article. When the inventory of hazardous
SHIP RECYCLING FACILITIES
materials is developed it shall identify, at least, the hazardous
Article 13
materials listed in Annex I. A plan shall be established by the
ship flying the flag of a third country describing the visual/
Requirements necessary for ship recycling facilities to be
sampling check by which the inventory of hazardous
included in the European List
materials is developed taking into account the relevant IMO
guidelines.
1. In
order
to
be
included
in
the
European
List,
a
ship
recycling facility shall comply with the following requirements,
in accordance with the relevant Hong Kong Convention
provisions and taking into account the relevant guidelines of
4. The
inventory
of
hazardous
materials
shall
be
properly the IMO, the ILO, the Basel Convention and of the Stockholm
maintained and updated throughout the operational life of the
Convention on Persistent Organic Pollutants and of other inter
ship, reflecting new installations containing any hazardous
national guidelines:
materials referred to in Annex II and relevant changes in the
structure and equipment of the ship, taking into account the
exemptions and transitional arrangements applicable to those
materials under international law.
(a) it is authorised by its competent authorities to conduct ship
recycling operations;
5. A
ship
flying
the
flag
of
a
third
country
may
be
warned,
detained, dismissed or excluded from the ports or offshore
terminals under the jurisdiction of a Member State in the
(b) it is designed, constructed and operated in a safe and envi
event that it fails to submit to the relevant authorities of that
ronmentally sound manner;
Member State a copy of the statement of compliance in
accordance with paragraphs 6 and 7, together with the
inventory of hazardous materials, as appropriate and on
request from those authorities. A Member State taking such
(c) it operates from built structures;
action shall immediately inform the relevant authorities of the
third country whose flag the ship concerned is flying. Failure to
update the inventory of hazardous materials shall not constitute
a detainable deficiency, but any inconsistencies in the inventory
(d) it establishes management and monitoring systems,
of hazardous materials shall be reported to the relevant auth
procedures and techniques which have the purpose of
orities of the third country whose flag that ship is flying.
preventing, reducing, minimising and to the extent prac
ticable eliminating:
6. The
statement
of
compliance
shall
be
issued
after
verifi
cation of the inventory of hazardous materials by the relevant
(i) health risks to the workers concerned and to the popu
authorities of the third country whose flag the ship is flying or
lation in the vicinity of the ship recycling facility, and
an organisation authorised by them, in accordance with the
national requirements. The statement of compliance may be
modelled on the basis of Appendix 3 to the Hong Kong
Convention.
(ii) adverse effects on the environment caused by ship
recycling;
7. The
statement
of
compliance
and
the
inventory
of
hazardous materials shall be drawn up in an official language
of the issuing relevant authorities of the third country whose
(e) it prepares a ship recycling facility plan;

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L 330/12
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Official Journal of the European Union
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(f) it prevents adverse effects on human health and the
3. The
Commission
shall
adopt
implementing
acts
to
environment, including the demonstration of the control
establish the format of:
of any leakage, in particular in intertidal zones;
(a) the report required by point (b) of paragraph 2 of this
(g) it ensures safe and environmentally sound management and
Article to ensure it is consistent with Appendix 6 to the
storage of hazardous materials and waste, including:
Hong Kong Convention; and
(i) the containment of all hazardous materials present on
board during the entire ship recycling process so as to
(b) the statement required by point (c) of paragraph 2 of this
prevent any release of those materials into the
Article to ensure it is consistent with Appendix 7 to the
environment; and in addition, the handling of
Hong Kong Convention.
hazardous materials, and of waste generated during
the ship recycling process, only on impermeable floors
with effective drainage systems;
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 25 of this
Regulation.
(ii) that all waste generated from the ship recycling activity
and their quantities are documented and are only trans
ferred to waste management facilities, including waste
Article 14
recycling facilities, authorised to deal with their
Authorisation of ship recycling facilities located in a
treatment without endangering human health and in
Member State
an environmentally sound manner;
1. Without
prejudice
to
other
relevant
provisions
of
Union
law, competent authorities shall authorise ship recycling
(h) it establishes and maintain an emergency preparedness and
facilities located on their territory that comply with the
response plan; ensures rapid access for emergency response
requirements set out in Article 13 to conduct ship recycling.
equipment, such as fire-fighting equipment and vehicles,
That authorisation may be granted to the respective ship
ambulances and cranes, to the ship and all areas of the
recycling facilities for a maximum period of five years and
ship recycling facility;
renewed accordingly.
(i) it provides for worker safety and training, including
ensuring the use of personal protective equipment for oper
Provided that the requirements of this Regulation are complied
ations requiring such use;
with, any permit produced pursuant to other relevant national
or Union law provisions may be combined with the authori
sation under this Article to form a single permit, where such a
(j) it establishes records on incidents, accidents, occupational
format obviates the unnecessary duplication of information and
diseases and chronic effects and, if requested by its
the duplication of work by the operator of the ship recycling
competent authorities, reports any incidents, accidents,
facility or the ship recycling company or the competent auth
occupational diseases or chronic effects causing, or with
ority. In those cases the authorisation may be extended in
the potential for causing, risks to workers’ safety, human
accordance with the permit regime referred to in the first
health and the environment;
subparagraph, but not exceeding a maximum period of five
years.
(k) it agrees to comply with the requirements of paragraph 2.
2. Member
States
shall
establish
and
update
a
list
of
the
ship
recycling facilities that they have authorised in accordance with
2. The
operator
of
a
ship
recycling
facility
shall:
paragraph 1.
(a) send the ship recycling plan, once approved in accordance
with Article 7(3), to the ship owner and the administration
3. The
list
referred
to
in
paragraph
2
shall
be
communicated
or a recognised organisation authorised by it;
to the Commission without delay and not later than 31 March
2015.
(b) report to the administration that the ship recycling facility is
ready in every respect to start the recycling of the ship;
4. Where
a
ship
recycling
facility
ceases
to
comply
with
the
requirements set out in Article 13, the Member State where that
ship recycling facility is located shall suspend or withdraw the
(c) when the total or partial recycling of a ship is completed in
authorisation given to it or require corrective actions by the
accordance with this Regulation, within 14 days of the date
ship recycling company concerned and shall inform the
of the total or partial recycling in accordance with the ship
Commission thereof without delay.
recycling plan, send a statement of completion to the
administration which issued the ready for recycling
certificate for the ship. The statement of completion shall
5. Where
a
ship
recycling
facility
has
been
authorised
in
include a report on incidents and accidents damaging
accordance with paragraph 1, the Member State concerned
human health and/or the environment, if any.
shall inform the Commission thereof without delay.

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EN
10.12.2013 Official
Journal
of
the
European
Union L
330/13
Article 15
evidence that the applied process will be carried out
without endangering human health and in an environ
Ship recycling facilities located in a third country
mentally sound manner;
1. A
ship
recycling
company
owning
a
ship
recycling
facility
located in a third country and intending to recycle ships flying
the flag of a Member State shall submit an application to the
(g) confirm that the company adopted a ship recycling facility
Commission for inclusion of that ship recycling facility in the
plan, taking into account the relevant IMO guidelines;
European List.
2. The
application
referred
to
in
paragraph
1
shall
be
accom
(h) provide the information necessary to identify the ship
panied by evidence that the ship recycling facility concerned
recycling facility.
complies with the requirements set out in Article 13 in order
to conduct ship recycling and to be included in the European
List in accordance with Article 16.
3. The
Commission
shall
be
empowered
to
adopt
imple
menting acts to specify the format of the information
required to identify the ship recycling facility. Those imple
In particular, the ship recycling company shall:
menting acts shall be adopted in accordance with the exam
ination procedure referred to in Article 25.
(a) identify the permit, license or authorisation granted by its
competent authorities to conduct the ship recycling and,
where relevant, the permit, license or authorisation
4. In
order
to
be
included
in
the
European
List,
compliance
granted by the competent authorities to all its contractors
by ship recycling facilities located in third countries with the
and sub-contractors directly involved in the process of ship
requirements set out in Article 13 shall be certified following a
recycling and specify all information referred to in
site inspection by an independent verifier with appropriate
Article 16(2);
qualifications. The certification shall be submitted to the
Commission by the ship recycling company when applying
for inclusion in the European List and, every five years there
(b) indicate whether the ship recycling plan will be approved by
after, upon renewal of the inclusion in the European List. The
the competent authority through a tacit or explicit
initial inclusion on the list and the renewal thereof shall be
procedure, specifying the review period relating to tacit
supplemented by a mid-term review to confirm compliance
approval, in accordance with national requirements, where
with the requirements set out in Article 13.
applicable;
By applying for inclusion in the European List, ship recycling
(c) confirm that it will only accept a ship flying the flag of a
companies accept the possibility of the ship recycling facility
Member State for recycling in accordance with this Regu
concerned being subject to site inspections by the Commission
lation;
or agents acting on its behalf prior to or after their inclusion in
the European List in order to verify compliance with the
requirements set out in Article 13. The independent verifier,
(d) provide evidence that the ship recycling facility is capable of
the Commission or agents acting on its behalf shall cooperate
establishing, maintaining and monitoring of the safe-for-hot
with the competent authorities of the third country where the
work and safe-for-entry criteria throughout the ship
ship recycling facility is located in order to carry out those site
recycling process;
inspections.
(e) attach a map of the boundary of the ship recycling facility
and the location of ship recycling operations within it;
The Commission may issue technical guidance notes in order to
facilitate such certification.
(f) for each hazardous material referred to in Annex I and
additional hazardous material which might be part of the
5. For the purposes of Article 13, with regard to the waste
structure of a ship, specify:
recovery or disposal operation concerned, environmentally
sound management may only be assumed to be in place
(i) whether the ship recycling facility is authorised to carry
provided the ship recycling company can demonstrate that
out the removal of the hazardous material. Where it is
the waste management facility which receives the waste will
so authorised, the relevant personnel authorised to carry
be operated in accordance with human health and environ
out the removal shall be identified and evidence of their
mental protection standards that are broadly equivalent to
competence shall be provided;
relevant international and Union standards.
(ii) which waste management process will be applied within
6. The
ship
recycling
company
shall
provide
updated
or outside the ship recycling facility such as incineration,
evidence without delay in the event of any changes to the
landfilling or another waste treatment method, the name
information provided to the Commission and shall, in any
and address of the waste treatment facility if different
event, three months prior to expiry of each five year period
from that of the ship recycling facility, and provide
of inclusion on the European List, declare that:

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L 330/14
EN
Official Journal of the European Union
10.12.2013
(a) the evidence that it has provided is complete and up-to-date;
(b) remove a ship recycling facility from the European List
where:
(b) the ship recycling facility continues and will continue to
comply with the requirements of Article 13.
(i) the ship recycling facility ceases to comply with the
Article 16
requirements set out in Article 13; or
Establishment and updating of the European List
1. The
Commission
shall
adopt
implementing
acts
to
(ii) the updated evidence is not provided at least three
establish a European List of ship recycling facilities which:
months prior to expiry of the five-year period as set
out in paragraph 3 of this Article.
(a) are located in the Union and have been notified by the
Member States in accordance with Article 14(3);
Those implementing acts shall be adopted, in accordance with
the examination procedure referred to in Article 25.
(b) are located in a third country and whose inclusion is based
on an assessment of the information and supporting
evidence provided or gathered in accordance with
Article 15.
5. In
establishing
and
updating
the
European
List,
the
Commission shall act in accordance with the principles
enshrined in the Treaties and with the international obligations
Those implementing acts shall be adopted in accordance with
of the Union.
the examination procedure referred to in Article 25.
2. The
European
List
shall
be
published
in
the Official Journal
6. Member
States
shall
communicate
to
the
Commission
all
of the European Union and on the website of the Commission
information that may be relevant in the context of updating the
not later than 31 December 2016. It shall be divided into two
European List. The Commission shall forward all relevant
sub-lists indicating the ship recycling facilities located in a
information to the other Member States.
Member State and the ship recycling facilities located in a
third country.
TITLE IV
The European List shall include all of the following information
about the ship recycling facility:
GENERAL ADMINISTRATIVE PROVISIONS
Article 17
(a) the method of recycling;
Language
(b) the type and size of ships that can be recycled;
1. The
ship
recycling
plan
referred
to
in
Article
7
shall
be
developed in a language accepted by the state authorising the
ship recycling facility. Where the language used is not English,
(c) any limitation and conditions under which the ship
French or Spanish, the ship recycling plan shall be translated
recycling facility operates, including as regards hazardous
into one of those languages, except where the administration is
waste management;
satisfied that that is unnecessary.
(d) details on the explicit or tacit procedure, as referred to in
Article 7(3), for the approval of the ship recycling plan by
2. The
inventory
certificate
and
the
ready
for
recycling
the competent authority;
certificate issued pursuant to Article 9 shall be drawn up in
an official language of the issuing administration. Where the
(e) the maximum annual ship recycling output.
language used is not English, French or Spanish, the text shall
include a translation into one of those languages.
3. The European List shall indicate the date of expiry of the
inclusion of the ship recycling facility. An inclusion shall be
valid for a maximum period of five years and shall be
Article 18
renewable.
Designation of competent authorities and administrations
4. The
Commission
shall
adopt
implementing
acts
to 1. Member
States
shall
designate
the
competent
authorities
regularly update the European List, in order to:
and administrations responsible for the application of this Regu
lation and shall notify the Commission of those designations.
Member States shall immediately notify the Commission of any
(a) include a ship recycling facility in the European List where:
changes in such information.
(i) it has been authorised in accordance with Article 14; or
2. The Commission shall publish on its website lists of the
(ii) its inclusion in the European List is decided in
designated competent authorities and administrations and shall
accordance with paragraph 1(b) of this Article;
update those lists as appropriate.

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EN
10.12.2013 Official
Journal
of
the
European
Union L
330/15
Article 19
The Commission shall publish a report on the application of
this Regulation no later than nine months after receiving the
Designation of contact persons
reports from the Member States.
1. Member
States
and
the
Commission
shall
each
designate
one or more contact persons responsible for informing or
advising natural or legal persons making enquiries. The
3. The
Commission
shall
enter
this
information
in
an
elec
contact person of the Commission shall forward to the
tronic database that is permanently accessible to the public.
contact persons of the Member States any questions received
which concern the latter, and vice versa.
2. Member States shall notify the Commission of the desig
Article 22
nation of contact persons. Member States shall immediately
Enforcement in Member States
notify the Commission of any changes to that information.
1. Member
States
shall
lay
down
provisions
on
penalties
3. The
Commission
shall
publish
on
its
website
lists
of
the applicable to infringements of this Regulation and shall take
designated contact persons and shall update those lists as appro
all the measures necessary to ensure that they are applied.
priate.
The penalties provided for shall be effective, proportionate
and dissuasive.
Article 20
Meeting of contact persons
2. Member
States
shall
cooperate,
bilaterally
or
multilaterally,
The Commission shall, if requested by Member States or where
with one another in order to facilitate the prevention and
it considers it appropriate, periodically organise a meeting of the
detection of potential circumvention and breach of this Regu
contact persons to discuss the questions raised by the imple
lation.
mentation of this Regulation. Relevant stakeholders shall be
invited to such meetings, or parts of meetings, where all
Member States and the Commission are in agreement that it
is appropriate to do so.
3. Member States shall designate those members of their

permanent staff responsible for the cooperation referred to in
paragraph 2. That information shall be sent to the Commission,
TITLE V
which shall distribute to those members a compiled list.
REPORTING AND ENFORCEMENT
Article 21
4. Member
States
shall
communicate
to
the
Commission
the
Reports by the Member States
provisions of their national law relating to the enforcement of
1. Each
Member
State
shall
send
to
the
Commission
a
report this Regulation and the applicable penalties.
containing the following:
(a) a list of the ships flying its flag to which a ready for
Article 23
recycling certificate has been issued, and the name of the
Request for action
ship recycling company and the location of the ship
recycling facility as shown in the ready for recycling
1.
Natural or legal persons affected or likely to be affected by
certificate;
a breach of Article 13 in conjunction with Article 15 and
Article 16(1)(b) of this Regulation, or having a sufficient
(b) a list of the ships flying its flag for which a statement of
interest in environmental decision-making relating to the
completion has been received;
breach of Article 13 in conjunction with Article 15 and
Article 16(1)(b) of this Regulation shall be entitled to request
the Commission to take action under this Regulation with
(c) information regarding illegal ship recycling, penalties and
respect to such a breach or an imminent threat of such a
follow-up actions undertaken by the Member State.
breach.
2. Every
three
years,
Member
States
shall
electronically
transmit the report to the Commission no later than nine
months after the end of the three-year period covered by it.
The interest of any non-governmental organisation promoting
environmental protection and meeting the requirements laid
down in Article 11 of Regulation (EC) No 1367/2006 of the
The first electronic report shall cover the period from the date
European Parliament and of the Council (
of application of this Regulation to the end of the first regular

2 ) shall be deemed
sufficient for the purposes of the first subparagraph.
three-year reporting period, specified in Article 5 of Council
Directive 91/692/EEC ( 1 ), falling after the starting date of the
first reporting period.
( 2 ) Regulation (EC) No 1367/2006 of the European Parliament and of
the Council of 6 September 2006 on the application of the
provisions of the Aarhus Convention on Access to Information,
( 1 ) Council Directive 91/692/EEC of 23 December 1991 standardizing
Public Participation in Decision-making and Access to Justice in
and rationalizing reports on the implementation of certain Directives
Environmental Matters to Community institutions and bodies (OJ
relating to the environment (OJ L 377, 31.12.1991, p. 48).
L 264, 25.9.2006, p. 13).

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L 330/16
EN
Official Journal of the European Union
10.12.2013
2. The
request
for
action
shall
be
accompanied
by
the both informed the Commission that they will not object. That
relevant information and data supporting that request.
period shall be extended by two months at the initiative of the
European Parliament or of the Council.
3. Where the request for action and the accompanying
Article 25
information and data show in a plausible manner that a
breach of Article 13 in conjunction with Article 15 and
Committee procedure
Article 16(1)(b) has occurred, or that there is an imminent
1. The
Commission
shall
be
assisted
by
a
committee.
That
threat of such a breach, the Commission shall consider any
committee shall be a committee within the meaning of Regu
such requests for action and information and data. In such
lation (EU) No 182/2011.
circumstances, the Commission shall give the ship recycling
company concerned an opportunity to make its views known
with respect to the request for action and the accompanying
2. When
reference
is
made
to
this
paragraph,
Article
5
of
information and data.
Regulation (EU) No 182/2011 shall apply.
Where the committee delivers no opinion, the Commission
4. The
Commission
shall,
without
delay
and
in
accordance shall not adopt the draft implementing act and the third
with the relevant provisions of Union law, inform the persons
subparagraph of Article 5(4) of Regulation (EU) No 182/2011
who submitted a request pursuant to paragraph 1, of its
shall apply.
decision to accede to or refuse the request for action and
shall provide the reasons for it.
Article 26
Transitional provision
TITLE VI
As of the date of publication of the European List, Member
States may, prior to the date of application of this Regulation,
FINAL PROVISIONS
authorise the recycling of ships in ship recycling facilities
Article 24
included in the European List. In such circumstances, Regulation
(EC) No 1013/2006 shall not apply.
Exercise of the delegation
1. The
power
to
adopt
delegated
acts
is
conferred
on
the
Article 27
Commission subject to the conditions laid down in this Article.
Amendment to Regulation (EC) No 1013/2006
In Article 1(3) of Regulation (EC) No 1013/2006, the following
2. The power to adopt delegated acts referred to in
point is added:
Article 5(8) shall be conferred on the Commission for a
period of five years from 30 December 2013. The Commission
‘(i) ships flying the flag of a Member State falling under the
shall draw up a report in respect of the delegation of power no
scope of Regulation (EU) No 1257/2013 of the European
later than nine months before the end of the five-year period.
Parliament and of the Council (*).
The delegation of power shall be tacitly extended for periods of
an identical duration, unless the European Parliament or the
Council opposes such extension no later than three months
___________
before the end of each period.
(*) Regulation (EU) No 1257/2013 of the European
Parliament and of the Council of 20 November 2013
on ship recycling and amending Regulation (EC) No
3. The
delegation
of
power
referred
to
in
Article
5(8)
may
be
1013/2006 and Directive 2009/16/EC (OJ L 330,
revoked at any time by the European Parliament or by the
10.12.2013, p. 1.).’
Council. A decision to revoke shall put an end to the delegation
of the power specified in that decision. It shall take effect the
day following the publication of the decision in the Official
Article 28
Journal of the European Union or at a late date specified
therein. It shall not affect the validity of any delegated acts
Amendment to Directive 2009/16/EC
already in force.
In Annex IV, the following point is added:
‘49. A certificate on the inventory of hazardous materials or
4. As
soon
as
it
adopts
a
delegated
act,
the
Commission
shall
a statement of compliance as applicable pursuant to
notify it simultaneously to the European Parliament and to the
Regulation (EU) No 1257/2013 of the European
Council.
Parliament and of the Council (*).
5. A
delegated
act
adopted
pursuant
to
Article
5(8)
shall
___________
enter into force only if no objection has been expressed
(*) Regulation (EU) No 1257/2013 of the European
either by the European Parliament or the Council within a
Parliament and of the Council of 20 November 2013
period of two months of notification of that act to the
on ship recycling and amending Regulation (EC) No
European Parliament and the Council or if, before the expiry
1013/2006 and Directive 2009/16/EC (OJ L 330,
of that period, the European Parliament and the Council have
10.12.2013, p. 1).’

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EN
10.12.2013 Official
Journal
of
the
European
Union L
330/17
Article 29
Article 32
Financial incentive
Application
The Commission shall, by 31 December 2016, submit to the
1. This
Regulation
shall
apply
from
the
earlier
of
the
European Parliament and to the Council a report on the feasi
following two dates, but not earlier than 31 December 2015:
bility of a financial instrument that would facilitate safe and
sound ship recycling and shall, if appropriate, accompany it
by a legislative proposal.
(a) 6 months after the date that the combined maximum
annual ship recycling output of the ship recycling facilities
Article 30
included in the European List constitutes not less than 2,5
million light displacement tonnes (LDT). The annual ship
Review
recycling output of a ship recycling facility is calculated as
the sum of the weight of ships expressed in LDT that have
1. The
Commission
shall
assess
which
infringements
of
this
been recycled in a given year in that facility. The maximum
Regulation should be brought under the scope of Directive
annual ship recycling output is determined by selecting the
2008/99/EC to achieve equivalence of the provisions related
highest value occurring in the preceding 10-year period for
to infringements between this Regulation and Regulation (EC)
each ship recycling facility, or, in the case of a newly auth
No 1013/2006. The Commission shall report on its findings by
orised ship recycling facility, the highest annual value
31 December 2014 to the European Parliament and to the
achieved at that facility; or
Council and, if appropriate, accompany it by a legislative
proposal.
(b) on 31 December 2018.
2. The
Commission
shall
review
this
Regulation
not
later
than 18 months prior to the date of entry into force of the
Hong Kong Convention and at the same time, submit, if appro
2. However
in
relation
to
the
following
provisions
the
priate, any appropriate legislative proposals to that effect. This
following dates of application shall apply:
review shall consider the inclusion of ship recycling facilities
authorised under the Hong Kong Convention in the European
(a) Article 2, the second subparagraph of Article 5(2), Articles
List in order to avoid duplication of work and administrative
13, 14, 15, 16, 25 and 26 from 31 December 2014;
burden.
3. The
Commission
shall
keep
this
Regulation
under
review (b) the first and third subparagraphs of Article 5(2) and
and, if appropriate, make timely proposals to address devel
Article 12(1) and (8) from 31 December 2020.
opments relating to international Conventions, including the
Basel Convention, should it prove necessary.
3. The
Commission
shall
publish
in
the Official Journal of the
4. Notwithstanding
paragraph
2,
the
Commission
shall,
by European Union a notice concerning the date of application of
five years after the date of application of this Regulation, submit
this Regulation when the conditions referred to in point (a) of
a report to the European Parliament and to the Council on the
paragraph 1 have been fulfilled.
application of this Regulation, accompanied, if appropriate, by
legislative proposals to ensure that its objectives are being met
4. If
a
Member
State
has
closed
its
national
ship
register
or,
and its impact is ensured and justified.
during a three year period, has had no ships registered under its
flag, and as long as no ship is registered under its flag, that
Article 31
Member State may derogate from the provisions of this Regu
Entry into force
lation, except for Articles 4, 5, 11, 12, 13, 14, 16(6), 18, 19,
20, 21 and 22. Where a Member State intends to avail itself of
This Regulation shall enter into force on the twentieth day
this derogation, it shall notify the Commission at the latest on
following that of its publication in the Official Journal of the
the date of application of this Regulation. Any subsequent
European Union.
change shall also be communicated to the Commission.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Strasbourg, 20 November 2013.
For the European Parliament
For the Council
The President
The President
M. SCHULZ
V. LEKEVIIUS

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L 330/18
EN
Official Journal of the European Union
10.12.2013
ANNEX I
CONTROL OF HAZARDOUS MATERIALS
Hazardous Material Definitions Control
measures
Asbestos Materials
containing
asbestos For
all
ships,
new
installation
of
materials
which contain asbestos shall be prohibited.
Ozone-depleting substances Controlled
substances
defined
in
New installations which contain ozone-
Article 1(4) of the Montreal Protocol on depleting substances shall be prohibited on
Substances that Deplete the Ozone Layer, all ships.
1987, listed in Annexes A,B,C or E to that
Protocol in force at the time of appli
cation or interpretation of this Annex.
Ozone-depleting substances that may be
found on board ships include, but are not
limited to:
Halon 1211 Bromochlorodifluor
omethane
Halon 1301 Bromotrifluoromethane
Halon 2402 1,2-Dibromo-1,1,2,2-tetra
fluoroethane (also known as Halon
114B2)
CFC-11 Trichlorofluoromethane
CFC-12 Dichlorodifluoromethane
CFC-113 1,1,2-Trichloro-1,2,2-trifluoro
ethane
CFC-114 1,2-Dichloro-1,1,2,2-tetrafluoro
ethane
CFC-115 Chloropentafluoroethane
HCFC-22
Chlorodifluoromethane
Polychlorinated biphenyls
‘Polychlorinated biphenyls’ means
For all ships, new installation of materials
(PCB)
aromatic compounds formed in such a
which contain Polychlorinated biphenyls
manner that the hydrogen atoms on the shall be prohibited.
biphenyl molecule (two benzene rings
bonded together by a single carbon-
carbon bond) may be replaced by up to
ten chlorine atoms
Perfluorooctane sulfonic acid ‘perfluorooctane sulfonic acid’ (PFOS)
New installations which contain perfluoro
(PFOS) ( 1 )
means perfluorooctane sulfonic acid and octane sulfonic acid (PFOS) and its
its derivatives
derivatives shall be prohibited in
accordance with Regulation (EC) No
850/2004 of the European Parliament and
of the Council ( 2 ).
Anti-fouling compounds and Anti-fouling compounds and systems
1. No ship may apply anti-fouling systems
systems
regulated under Annex I to the Inter
containing organotin compounds as a
national Convention on the Control of
biocide or any other anti-fouling system
Harmful Anti-fouling Systems on Ships,
whose application or use is prohibited
2001 (AFS Convention) in force at the
by the AFS Convention.
time of application or interpretation of
this Annex.

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EN
10.12.2013 Official
Journal
of
the
European
Union L
330/19
Hazardous Material Definitions Control
measures
2. No new ship or new installations on
ships shall apply or employ anti-
fouling compounds or systems in a
manner inconsistent with the AFS
Convention.
( 1 ) Not applicable for ships flying the flag of a third country.
( 2 ) Regulation (EC) No 850/2004 of the European Parliament and of the Council of 29 April 2004 on persistent organic pollutants and
amending Directive 79/117/EEC (OJ L 158, 30.4.2004, p. 7).

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L 330/20
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Official Journal of the European Union
10.12.2013
ANNEX II
LIST OF ITEMS FOR THE INVENTORY OF HAZARDOUS MATERIALS
1. Any hazardous materials listed in Annex I
2. Cadmium and Cadmium Compounds
3. Hexavalent Chromium and Hexavalent Chromium Compounds
4. Lead and Lead Compounds
5. Mercury and Mercury Compounds
6. Polybrominated Biphenyl (PBBs)
7. Polybrominated Diphenyl Ethers (PBDEs)
8. Polychlorinated Naphthalenes (more than 3 chlorine atoms)
9. Radioactive Substances
10. Certain Shortchain Chlorinated Paraffins (Alkanes, C10-C13, chloro)
11. Brominated Flame Retardant (HBCDD)

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Document Outline

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