Helcom : Co-Operation In Investigating Violations Or Suspected Violations Of Discharges And Related Regulations For Ships And Dumping Regulations

HELCOM RECOMMENDATION 10/8

(This Recommendation supplements HELCOM Recommendation 6/13; HELCOM Recommendation 16/2 supplements this one)

Adopted 15 February 1989 having regard to Article 13, Paragraph b) of the Helsinki Convention

CO-OPERATION IN INVESTIGATING VIOLATIONS OR SUSPECTED VIOLATIONS OF DISCHARGE AND RELATED REGULATIONS FOR SHIPS AND DUMPING REGULATIONS

THE COMMISSION,

RECALLING HELCOM Recommendation 6/13 concerning Co-operation in Investigating Violations or Suspected Violations of Discharge and Related Regulations for Ships and Dumping Regulations,

RECALLING ALSO HELCOM Recommendation 8/4 concerning Amendments to Regulations 1-5 of Annex IV and Appendices I-IV to Annex IV of the Helsinki Convention, as well as HELCOM Recommendation 8/5 concerning Amendments to Regulation 5 of Annex VI and the Appendix to Annex VI of the Helsinki Convention,

RECALLING FURTHER HELCOM Recommendation 10/9 concerning Amendment to Regulation 8 of Annex IV of the Helsinki Convention,

BEARING IN MIND that the Commission has recommended that the Governments of the Contracting Parties to the Helsinki Convention should apply the Guidelines attached to HELCOM Recommendation 6/13 when co-operating in investigating violations or suspected violations of discharge and related regulations for ships and dumping regulations,

RECOGNIZING that the above mentioned amendments to Annex IV of the Helsinki Convention and its Appendices and amendments to Annex VI of the Helsinki Convention and its Appendix have necessitated a revision of the Guidelines,

RECOGNIZING ALSO that all Contracting Parties to the Helsinki Convention are also parties to MARPOL 73/78,

RECOGNIZING FURTHER that the entry into force of Annexes II and V of the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (MARPOL 73/78) has also necessitated a revision of the Guidelines,

RECOMMENDS that the Governments of the Contracting Parties to the Helsinki Convention should apply the attached Guidelines adopted by the tenth meeting of the Helsinki Commission when co-operating in investigating violations or suspected violations of discharge and related regulations for ships and dumping regulations in lieu of the Guidelines attached to HELCOM Recommendation 6/13.

ATTACHMENT

GUIDELINES FOR CO-OPERATION IN INVESTIGATING VIOLATIONS OR SUSPECTED VIOLATIONS OF DISCHARGE AND RELATED REGULATIONS FOR SHIPS AND DUMPING REGULATIONS

INTRODUCTION

According to Regulation 2 of Annex IV of the Helsinki Convention the Contracting Parties shall, without prejudice to Paragraph 4 of Article 4 of the Convention, as appropriate, assist each other in investigating violations of the existing legislation on anti-pollution measures, which have occurred or are suspected to have occurred within the Baltic Sea Area. This assistance may include, but is not limited to inspection by the competent authorities of oil record books, cargo record books, logbooks and engine logbooks, and taking oil samples for analytical identification purposes.

The assistance envisaged in Regulation 2 of Annex IV relates to violations of the provisions of this Annex (oil, noxious liquid substances in bulk, harmful substances in packaged forms, sewage and garbage). Furthermore, Paragraph 6 of Article 9 of the Helsinki Convention states that in case of dumping suspected to be in contravention of the provisions of Article 6 the Contracting Parties shall co-operate in investigating the matter in accordance with Regulation 2 of Annex IV of the Convention.

The guidelines, as described in the following paragraphs, are applicable only to ships flying the flags of the Baltic Sea Countries. However, in the case of violations of the dumping provisions which have occurred or are suspected to have occurred within the Baltic Sea Area, the guidelines are also applicable to ships not flying the flags of the countries parties to the Helsinki Convention:

a) loading, within the territories or territorial seas of the Contracting Parties, matter which is to be dumped, or

b) believed to be engaged in dumping within the territorial seas of the Contracting Parties.

The guidelines are also applicable to ships not flying the flags of the Contracting Parties to the Helsinki Convention violating or believed to have violated the discharge provisions of Annexes I, II and V to MARPOL 73/78 within the Baltic Sea Area. In case of investigations of the alleged violation of MARPOL provisions which took place at the high sea, the guidelines are applicable only to ships flying the flags of the countries parties to MARPOL 73/78.

GENERAL

For the purposes of these guidelines, "discharge" in relation to harmful substances or effluents containing such substances (Regulation 3.3 a) and b) of Annex IV of the Helsinki Convention), means any release howsoever caused from a ship and includes any escape, disposal, spilling, leaking, pumping, emitting or emptying. Discharge does not include dumping, or release of harmful substances directly arising from the exploration, exploitation and associated off-shore processing of sea-bed mineral resources, or release of harmful substances for purposes of legitimate scientific research into pollution abatement or control.

"Dumping" means any deliberate disposal at sea of waste or other matter from vessels, aircraft, platforms or other man-made structures at sea or any deliberate disposal at sea of vessels, aircraft, platforms or other man-made structures at sea. Dumping does not include the disposal at sea of waste or other matter incidental to or derived from normal operation of vessels, aircraft, platforms or other man-made structures at sea and their equipment, other than wastes or other matter transported by or to vessels, aircraft, platforms or other man-made structures at sea, operating for the purpose of disposal of such matter or derived from the treatment of such wastes or other matter on such vessels, aircraft, platforms or other structures. Nor does dumping include placement of matter for the purpose other than the mere disposal thereof, provided that such placement is not contrary to the aims of the Helsinki Convention.

When a Contracting Party receives a report that a discharge or dumping other than permitted under the Helsinki Convention or a discharge other than permitted under Annexes I, II and V to MARPOL 73/78, have occurred or are suspected to have occurred within the Baltic Sea Area, that Contracting Party should take the necessary steps to investigate the matter.

Such reports can be received from several sources and these include:

- reports on incidents involving harmful substances and on significant spillages of oil or other harmful substances submitted according to Paragraph 1 of Regulation 5 of Annex VI of the Helsinki Convention;

- reports from masters of ships and pilots of aircraft according to Paragraph 2 of Regulation 5 of Annex VI of the Helsinki Convention;

- reports resulting from surveillance activities according to Regulation 3 of Annex VI of the Helsinki Convention;

- reports from other sources.

Reports on discharges or dumpings other than permitted under the Helsinki Convention or MARPOL 73/78, Annexes I, II and V which have occurred or are suspected to have occurred within the Baltic Sea Area, submitted according to Regulation 5 of Annex VI of the Helsinki Convention, should be drawn up and transmitted according to the guidelines adopted by the Helsinki Commission.

SCHEME OF CO-OPERATIO

Situations may arise during a Contracting Party's investigation of an incident reported in accordance with the preceding Chapter, when necessary information/evidence cannot be obtained by the Contracting Party itself.

In such cases the investigating Contracting Party can request other Contracting Parties to assist in obtaining the necessary information.

When a Contracting Party receives a request for assistance, that Contracting Party (assisting party) shall render legal or administrative assistance in order to produce the requested information/evidence to the extent possible and submit it to the requesting Contracting Party (requesting party).

Requests for such legal or administrative assistance could include the following actions:

- search for a suspected ship, identification of the master and/or other responsible persons;

- reporting of a possible discharge;

- taking of samples from ships and/or spillages;

- analyses of samples (if possible, the gas chromatography/mass spectrometry (GC/MS) method should be used);

- inspection and/or copying of ship’s documents (logbook, oil record book, cargo record book, etc.);

- obtaining of statements from ship’s personnel;

- inspection of certain equipment on board ships;

- inspection of slop and oily-water collecting tanks;

- inspection of cargo (dumping);

- verification of registration, owner of ship, insurance, etc.; and

- collection of other evidence.

The legal or official administrative assistant should be directed towards the gathering of sufficient evidence to establish whether the ship has violated the discharge requirements. Guidelines for the optimal collection of evidence relating to contravention of MARPOL 73/78 Annex I discharge provisions can be found in Appendix 2 to IMO Assembly Resolution A.542(13) which is attached as Annex 1. Similar guidelines relating to MARPOL 73/78 Annex II are contained in Appendix 2 to IMO Resolution MEPC 26(23) which is attached as Annex 2.

Even if these IMO guidelines are related only to possible evidence on alleged contravention of MARPOL 73/78 Annexes I and II discharge provisions parts of the guidelines will also be of value when collecting evidence under Article 9 of the Convention.

When communicating results of actions requested by another Contracting Party, it should be born in mind that evidence provided should be presented in such a way as to facilitate legal proceedings against the offender by the flag state and/or by the Contracting Party under whose jurisdiction the offence has taken place.

It should also be noted that the agreed IMO procedures for reporting to flag states should be observed in addition to the procedures initiated under these guidelines. The national authorities co-operating within these guidelines are listed in Annex 3.

Annex I

APPENDIX 2 to IMO Assembly Resolution A.542(13)

CONTRAVENTION OF DISCHARGE PROVISIONS

1. Experience has shown that information furnished to the flag State as envisaged in Chapter 3 of the present Procedures is often inadequate to enable the flag State to cause proceedings to be brought in respect of the alleged violation of the discharge requirements. This Appendix is intended to identify information which is often needed by a flag State for the prosecution of such possible violations.

2. It is recommended that in preparing a port State report on deficiencies as set out in Appendix 4, where contravention of the discharge requirements is involved, the authorities of the coastal or port State be guided by the itemized list of possible evidence as shown in the Addendum to this Appendix. It should be born in mind in this connection that:

.l the report aims to provide the optimal collation of obtainable data; however, even if all the information cannot be provided, as much information as possible should be submitted;

.2 it is important for all the information included in the report to be supported by facts which, when considered as a whole, would lead the port or coastal State to believe a contravention had occurred.

3. In addition to the port State report on deficiencies, a report should be completed by a port or coastal State, on the basis of the itemized list of possible evidence. It is important that these reports are supplemented by documents such as:

.l a statement by the observer of the pollution. In addition to the information required under section I of the Addendum to this Appendix, the statements should include considerations which lead the observer to conclude that none of any other possible pollution sources is in fact the source;

.2 statements concerning the sampling procedures both of the slick and on board. These should include location of and time when samples were taken, identity of person(s) taking the sample and receipts identifying the persons having custody and receiving transfer of the samples;

.3 reports of analyses of samples taken of the slick and on board; the reports should include the results of the analyses, a description of the method employed, reference to or copies of scientific documentation attesting to the accuracy and validity of the method employed and names of persons performing the analyses and their experience;

.4 a statement by the inspector on board together with his rank and organization;

.5 statements by persons being questioned;

.6 statements by witnesses;

.7 photographs of the oil slick;

.8 copies of relevant pages of Oil Record Books, logbooks, discharge recordings, etc.

All observations, photographs and documentation should be supported by a signed verification of their authenticity. All certifications, authentications or verifications shall be executed in accordance with the laws of the State which prepares them. All statements should be signed and dated by the person making the statement and, if possible, by a witness to the signing. The names of the persons signing statements should be printed in legible script above or below the signature.

4 The report referred to under paragraphs 2 and 3 above should be sent to the flag State. If the coastal State observing the pollution and the port State carrying out the investigation on board are not the same, the State carrying out the latter investigation should also send a copy of its findings to the State observing the pollution and requesting the investigation.

ADDENDUM TO APPENDIX 2 of IMO Assembly Resolution A.542(13)

ITEMIZED LIST OF POSSIBLE EVIDENCE ON ALLEGED CONTRAVENTION OF THE MARPOL 73/78 ANNEX I DISCHARGE PROVISIONS

1. ACTION ON SIGHTING OIL POLLUTION

1.1 Particulars of ship or ships suspected of contravention

1.1.1 Name of ship

1.1.2 Reasons for suspecting the ship

1.1.3 Date and time (GMT) of observation or identification

1.1.4 Position of ship

1.1.5 Flag and port of registry

1.1.6 Type (e.g. tanker, cargo ship, passenger ship, fishing vessel), size (estimated tonnage) and other descriptive data (e.g. superstructure, colour and funnel mark)

1.1.7 Draught condition (loaded or in ballast)

1.1.8 Approximate course and speed

1.1.9 Position of slick in relation to ship (e.g. astern, port, starboard)

1.1.10 Part of the ship from which discharge was seen emanating

1.1.11 Whether discharge ceased when ship was observed or contacted by radio

1.2 Particulars of slick

1.2.1 Date and time (GMT) of observation if different from 1.1.3

1.2.2 Position of oil slick in longitude and latitude if different from 1.1.4

1.2.3 Appropriate distance in nautical miles from the nearest landmark

1.2.4 Approximate overall dimension of oil slick (length, width, and percentage thereof covered by oil)

1.2.5. Physical description of oil slick (direction and form, e.g. continuous, in patches or in windrows)

1.2.6 Appearance of oil slick (indicate categories)

Category A: Barely visible under most favourable light condition

Category B: Visible as silvery sheen on water surface

Category C: First trace of colour may be observed

Category D: Bright band of colour

Category E: Colours begin to turn dull

Category F: Colours are much darker

1.2.7 Sky conditions (bright sunshine, overcast, etc.), lightfall and visibility (kilometres) at the time of observation

1.2.8 Sea state

1.2.9 Direction and speed of surface wind

1.2.10 Direction and speed of current

1.3 Identification of the observer(s)

1.3.1 Name of the observer

1.3.2 Organization with which observer is affiliated (if any)

1.3.3 Observer's status within the organization

1.3.4 Observation made from aircraft/ship/shore/otherwise

1.3.5 Name or identity of ship or aircraft from which the observation was made

1.3.6 Specific location of ship, aircraft, place on shore or otherwise from which observation was made

1.3.7 Activity engaged in by observer when observation was made, for example: patrol, voyage, flight (en route from ... to ... ), etc.

1.4 Method of observation and documentation

1.4.1 Visual

1.4.2 Conventional photographs

1.4.3 Remote sensing records and/or remote sensing photographs

1.4.4 Samples taken from slick

1.4.5 Any other form of observation (specify)

Note: A photograph of the discharge should preferably be in colour. Photographs can provide the following information: that the material on the sea surface is oil, that the quantity of oil discharged does constitute a violation of the Convention, that the oil is being, or has been discharged from a particular ship, the identity of the ship.

Experience has shown that the aforementioned can be obtained with the following three photographs:

.l Details of the slick taken almost vertically down from an altitude of less than 300 m with the sun behind the photographer.

.2 An overall view of the ship and "slick" showing oil emanating from a particular ship.

.3 Details of the ship for the purposes of identification.

1.5 Other information if radio contact can be established

1.5.1 Master informed of pollution

1.5.2 Explanation of master

1.5.3 Ship’s last port of call

1.5.4 Ship’s next port of call

1.5.5 Name of ship’s master and owner

1.5.6 Ship’s call sign

2. INVESTIGATION ON BOARD

2.1 Inspection of the IOPP Certificate

2.1.1 Name of ship

2.1.2 Distinctive number or letters

2.1.3 Port of registry

2.1.4 Type of ship

2.1.5 Date and place of issue

2.1.6 Date and place of endorsement

Note: If the ship is not issued with an IOPP Certificate as much as possible of the requested information should be given.

2.2 Inspection of supplement of the IOPP Certificate

2.2.1 Applicable paragraphs of section 2, 3, 4, 5 and 6 of the supplement (non-oil tankers)

2.2.2 Applicable paragraphs of sections 2, 3, 4, 5, 6, 7, 8, 9 and 10 of the supplement (oil tankers)

Note: If the ship does not have an IOPP Certificate, a description should be given of the equipment and arrangements on board, designed to prevent marine pollution.

2.3 Inspection of Oil Record Book (O.R.B.)

2.3.1 Copy sufficient pages of the O.R.B. - Part I to cover a period of 30 days prior to the reported incident.

2.3.2 Copy sufficient pages of the O.R.B.- Part II (if on board) to cover a full loading/unloading/ballasting and tank cleaning cycle of the ship. Also copy the tank diagram.

2.4 Inspection of logbook

2.4.1 Last port, date of departure, draught forward and aft

2.4.2 Current port, date of arrival, draught forward and aft

2.4.3 Ship’s position at or near the time the incident was reported

2.4.4 Spot check if positions mentioned in the logbook agree with positions noted in the O.R.B

2.5 Inspection of other documentation on board

2.5.1 Other documentation relevant for evidence (if necessary make copies) such as:

- recent ullage sheets

- records of monitoring and control equipment

2.6 Inspection of ship

2.6.1 Ship’s equipment in accordance with the supplement of the IOPP Certificate

2.6.2 Samples taken. State location on board

2.6.3 Traces of oil in vicinity of overboard discharge outlets

2.6.4 Condition of engine room and contents of bilges

2.6.5 Condition of oily water separator, filtering equipment and alarm, stopping or monitoring arrangements

2.6.6 Contents of sludge an/or holding tanks

2.6.7 Sources of considerable leakage

On oil tankers the following additional evidence may be pertinent:

2.6.8 Oil on surface of segregated or dedicated clean ballast

2.6.9 Condition of pump-room bilges

2.6.10 Condition of COW system

2.6.11 Condition of IG system

2.6.12 Condition of monitoring and control system

2.6.13 Slop tank contents (estimate quantity of water and of oil)

2.7 Statements of persons concerned

If the O.R.B - Part I has not been properly completed information on the following questions may be pertinent:

2.7.1 Was there a discharge (accidental or intentional) at the time indicated on the incident report?

2.7.2 Is the bilge discharge controlled automatically?

2.7.3 If so, at what time was the system last put into operation and at what time was the system last put on manual mode?

2.7.4 If not, what were date and time of the last bilge discharge?

2.7.5 What was the date of the last disposal of residue and how was the disposal effected?

2.7.6 Is it usual to effect discharge of bilge water directly to the sea or to store bilge water first in a collecting tank? Identify the collecting tank.

2.7.7 Have oil fuel tanks recently been used as ballast tanks?

If the O.R.B. - Part II has not been properly completed information on the following questions may be pertinent:

2.7.8 What was the cargo/ballast distribution in the ship on departure from the last port?

2.7.9 What was the cargo/ballast distribution in the ship on arrival in the current port?

2.7.10 When and where was the last loading effected?

2.7.11 When and where was the last unloading effected?

2.7.12 When and where was the last discharge of dirty ballast?

2.7.13 When and where was the last cleaning of cargo tanks?

2.7.14 When and where was the last COW operation and which tanks were washed?

2.7.15 When and where was the last decanting of slop tanks?

2.7.16 What is the ullage in the slop tanks and the corresponding height of interface?

2.7.17 Which tanks contained the dirty ballast during the ballast voyage (if ship arrived in ballast)?

2.7.18 Which tanks contained the clean ballast during the ballast voyage (if ship arrived in ballast)?

In addition, the following information may be pertinent:

2.7.19 Details of the present voyage of the ship (previous ports, next ports, trade)

2.7.20 Contents of oil fuel and ballast tanks

2.7.21 Previous and next bunkering, type of oil fuel

2.7.22 Availability or non-availability of reception facilities for oily wastes during the present voyage

2.7.23 Internal transfer of oil fuel during the present voyage

In the case of oil tankers the following additional information may be pertinent:

2.7.24 The trade the ship is engaged in such as short/long distance, crude or product or alternating crude/product, lightening service, oil/dry bulk

2.7.25 Which tanks clean and dirty

2.7.26 Repairs carried out or envisaged in cargo tanks

Miscellaneous information:

2.7.27 Comments in respect to condition of ship’s equipment

2.7.28 Comments in respect to pollution report

2.7.29 Other comments

3. INVESTIGATION ASHORE

3.1 Analyses of oil samples

3.1.1 Indicate method and results of the sample analyses

3.2 Further information

3.2.1 Additional information on the ship, obtained from oil terminal staff, tank cleaning contractors or shore reception facilities may be pertinent

Note: Any information under this heading is, if practicable, to be corroborated by documentation such as signed statements, invoices, receipts, etc.

4. INFORMATION NOT COVERED BY THE FOREGOING

5. CONCLUSION

5.1.1 Summing up of the investigator's conclusions

5.1.2 Indication of applicable provisions of Annex I of MARPOL 73/78 which the ship is suspected of having contravened

5.1.3 Did the results of the investigation warrant the filing of a deficiency report?

Annex 2

APPENDIX 2 to IMO Resolution MEPC 26(23)

CONTRAVENTION OF DISCHARGE PROVISIONS

1. With illegal discharges under Annex I of MARPOL 73/78, past experience has shown that information furnished to the flag State is often inadequate to enable the flag State to cause proceedings to be brought in respect of the alleged violation of the discharge requirements. This appendix is intended to identify information which will be needed by a flag State for the prosecution of violations of the discharge provisions under Annex II.

2. It is recommended that in preparing a port State report on deficiencies as set out in appendix 4, where conravention of the discharge requirements is involved, the authorities of the coastal or port State be guided by the itemized list of possible evidence as shown in the addendum to this appendix. It should be born in mind in this connection that:

.1 the report aims to provide the optimal collation of obtainable data; however, even if all the information cannot be provided, as much information as possible should be submitted; and

.3 the discharge may have been oil, in which case appendix 2 of the Annex I Control Procedures applies.

.1 a statement by the observer of the pollution. In addition to the information required under section 1 of the addendum to this appendix, the statement should include considerations which have led the observer to conclude that none of any other possible pollution source is in fact the source;

.2 statements concerning the sampling procedures both of the slick and on board. These include location of and time when samples were taken, identity of person(s) taking the sample and receipts identifying the persons having custody and receiving transfer of the samples;

.4 a statement by the surveyor on board together with his rank and organization;

.5 statements by persons being questioned;

.6 statements by wittnesses;

.7 photographs of the slick, and

.8 copies of relevant pages of the Cargo Record Book, logbooks, discharge recordings, etc.

All observations, photographs and documentation should be supported by a signed verification of their authenticity. All certifications, authentications or verifications shall be executed in accordance with the laws of the State which prepares them. All statements should be signed and dated by the person making the statement, if possible, by a witness to the signing. The names of the persons signing statements should be printed in legible script above or below the signature.

4. The report referred to under paragraphs 2 and 3 above should be sent to the flag State. If the coastal State observing the pollution and the port State carrying out the investigation on board are not the same, the State carrying out the latter investigation should also send a copy of its findings to the State observing the pollution and requesting the investigation.

ADDENDUM TO APPENDIX 2 of IMO Resolution MEPC 26(23)

ITEMIZED LIST OF POSSIBLE EVIDENCE ON ALLEGED CONTRAVENTION F THE MARPOL 73/78 ANNEX II DISCHARGE PROVISIONS

1. ACTION ON SIGHTING POLLUTION

1.1 Particulars of ship or ships suspected of contravention

1.1.1 Name of ship

1.1.2 Reasons for suspecting the ship

1.1.3 Date and time (UTC) of observation or identification

1.1.4 Position of ship

1.1.5 Flag and port of registry

1.1.6 Type (e.g. tanker, cargo ship, passenger ship, fishing vessel), size (estimated tonnage) and other descriptive data (e.g. superstructure colour and funnel mark)

1.1.7 Draught condition (loaded or in ballast)

1.1.8 Approximate course and speed

1.1.9 Position of slick in relating to ship (e.g. astern, port, starboard)

1.1.10 Part of the ship from which discharge was seen emanating

1.1.11 Whether discharge ceased when ship was observed or contacted by radio

1.2 Particulars of slick

1.2.1 Date and time (UTC) of observation if different from 1.1.3

1.2.2 Position of slick in longitude and latitude if different from 1.1.4

1.2.3 Approximate distance in nautical miles from the nearest land

1.2.4 Depth of water according to sea chart

1.2.5 Approximate overall dimension of slick (length, width and percentage thereof covered)

1.2.6 Physical description of slick (direction and form, e.g. continuous, in patches or in windows)

1.2.7 Colour of slick

1.2.8 Sky conditions (bright sunshine, overcast, etc.), lightfall and visibility (kms) at the time of observation

1.2.9 Sea state

1.2.10 Direction and speed of surface wind

1.2.11 Direction and speed of current

1.3 Identification of the observer(s)

1.3.1 Name of the observer

1.3.2 Organization with which observer is affiliated (if any)

1.3.3 Observer's status within the organization

1.3.4 Observation made from aircraft/ship/shore/otherwise

1.3.5 Name or identity of ship or aircraft from which the observation was made

1.3.6 Specific location of ship, aircraft, place on shore or otherwise from which observation was made

1.3.7 Activity engaged in by observer when observation was made, for example: patrol, voyage (flight en route from... to... ) etc.

1.4 Method of observation and documentation

1.4.1 Visual

1.4.2 Conventional photographs

1.4.3 Remote sensing records and/or remote sensing photographs

1.4.4 Samples taken form slick

1.4.5 Any other form of observation (specify)

Note: A photograph of the discharge should preferably be in colour. The best results may be obtained with the following three photographs:

.l details of the slick taken almost vertically down from an altitude of less than 300 metres with the sun behind the photographer;

.2 an overall view of the ship and "slick" showing a substance emanating from particular ship; and

.3 details of the ship for the purposes of identification.

1.5 Other information if radio contact can be established

1.5.1 Master informed of pollution

1.5.2 Explanation of master

1.5.3 Ship’s last port of call

1.5.4 Ship’s next port of call

1.5.5 Name of ship's master and owner

1.5.6 Ship’s call sign

2. INVESTIGATION ON BOARD

2.1 Inspection of the Certificate (COF or NLS Certificate)

2.1.1 Name of ship

2.1.2 Distinctive number or letters

2.1.3 Port of registry

2.1.4 Type of ship

2.1.5 Date and place of issue

2.1.6 Date and place of endorsement

2.2 Inspection of P and A Manual

2.2.1 List of Annex II substances the ship is permitted to carry

2.2.2 Limitations as to tanks in which these substances may be carried

2.2.3 Ship equipped with an efficient stripping system

2.2.4 Residue quantities established at survey

2.3 Inspection of Cargo Record Book (CRB)

2.3.1 Copy sufficient pages of the CRB to cover a full loading/ unloading/ballasting and tank cleaning cycle of the ship. Also copy the tank diagram

2.4 Inspection of logbook

2.4.1 Last port, date of departure, draught forward and aft

2.4.2 Current port, date of arrival, draught forward and aft

2.4.3 Ship’s position at or near the time the incident was reported

2.4.4 Spot check if times entered in the Cargo Record Book in respect of discharges correspond with sufficient distance form the nearest land, the required ship’s speed and with sufficient water depth

2.5 Inspection of other documentation on board

2.5.1 Other documentation relevant for evidence (if necessary make copies) such as:

- cargo documents of cargo presently or recently carried, together with relevant information on required unloading temperature, viscosity and/or melting point

- records of temperature of substances during unloading

- records of monitoring equipment if fitted

2.6 Inspection of ship

2.6.1 Ship’s equipment in accordance with the P and A Manual

2.6.2 Samples taken; state location on board

2.6.3 Sources of considerable leakage

2.6.4 Cargo residues on surface of segregated or dedicated clean ballast

2.6.5 Condition of pumproom bilges

2.6.6 Condition of monitoring system

2.6.7 Slop tank contents (estimate quantity of water and residue)

2.7 Statements of persons concerned

If the CRB has not been properly completed, information on the following questions may be pertinent:

2.7.1 Was there a discharge (accidental or intentional) at the time indicated on the incident report?

2.7.2 Which tanks are going to be loaded in the port?

2.7.3 Which tanks needed cleaning at sea? Had the tanks been prewashed?

2.7.4 When and where were these cleaned?

2.7.5 Residues of which substances were involved?

2.7.6 What was done with the tankwashing slops?

2.7.7 Was the slop tank, or cargo tank used as a slop tank, discharged at sea?

2.7.8 When and where was the discharge effected?

2.7.9 What are the contents of the slop tank or cargo tank used as slop tank?

2.7.10 Which tanks contained the dirty ballast during the ballast voyage (if ship arrived in ballast)?

2.7.11 Which tanks contained the clean ballast during the ballast voyage (if ship arrived in ballast)?

2.7.12 Details of the present voyage of the ship (previous ports, next ports, trade)

2.7.13 Difficulties experienced with discharge to shore reception facilities

2.7.14 Difficulties experienced with efficient stripping operations

2.7.15 Which tanks are clean or dirty on arrival?

2.7.16 Repairs carried out or envisaged in cargo tanks

Miscellaneous information

2.7.17 Comments in respect of condition of ship’s equipment

2.7.18 Comments in respect of pollution report

2.7.19 Other comments

3. INVESTIGATION ASHORE

3.1 Analyses of samples

3.1.1 Indicate method and results of the samples' analyses

3.2 Furhter information

3.2.1 Additional information on the ship, obtained from terminal staff, tank cleaning contractors or shore reception facilities may be pertinent

Note: Any information under this heading is, if practicable, to be corroborated by documentation such as signed statements, invoices, receipts, etc.

3.3 Information from previous unloading port terminal

3.3.1 Confirmation that the ship unloaded, stripped or prewashed in accordance with its P and A Manual

3.3.2 The nature of difficulties if any

3.3.3 Restrictions by authorities under which the ship was permitted to sail

3.3.4 Restrictions in respect of shore reception facilities

4. INFORMATION NOT COVERED BY THE FOREGOING

5. CONCLUSION

5.1 Summing up of the investigator's conclusions

5.2 Indication of applicable provisions of Annex II to MARPOL 73/78 which the ship is suspected of having contravened

5.3 Did the results of the investigation warrant the filing of a dificiency report?

Annex 3

NATIONAL AUTHORITIES CO-OPERATING WITHIN THE GUIDELINES

DENMARK Ministry of the Environment

National Agency for Environmental Protection

Strandgade 29

DK-1401 COPENHAGEN K.

Tel: 45-1-578310

Tlx: 31209 miljoe dk

Telefax: 45-1-572449

- requests for Flag Officer Denmark (FOD)

assistance Postbox 483

day and night) DK-8100 AARHUS C.

Tel: 45-6-123099

Tlx: 64471 sok dk

Telefax: 45-6-123011-(after tone)5155

FINLAND National Board of Navigation

Vuorimiehenkatu 1

SF-00140 HELSINKI

Tel: 358-0-18081

Tlx: 121471 mkh sf

Telefax: 358-0-1808355

- requests for Headquarters of the Coast Guard of

assistance the Gulf of Finland Region

(outside office hours) Tel: 358-0-174882

Tlx: 124777 slmjk sf

Telefax: 358-0-631670

FEDERAL REPUBLIC OF Zentraler Meldekopf beim Wasser- und

GERMANY Schiffahrtsamt

Cuxhaven

Radarturm "Alte Liebe"

D-2190 CUXHAVEN

Tel: 49-4721-106380,

-106381, -106485

Tlx: 232154 swdcx d,

232205 rvzcx d, 232263 elgcx d

Telefax: 49-4721-106404

- requests for

assistance s a m e

(day and night)

POLAND Maritime Board in Gdynia

Urzad Morski w Gdyni

Ul. Chrzanowskiego 10

81-338 GDYNIA

Tel: 48-58-216162,

-206911, -217738

Tlx: 54285 umor pl

- requests for

assistance s a m e

(day and night)

SWEDEN National Administration of Shipping and Navigation

Maritime Inspectorate

S-601 78 NORRKÖPING

Tel: 46-11-191000

Tlx: 64380 shipadm s

Telefax: 46-11-101949

- requests for Swedish Coast Guard

assistance Communications Centre

(day and night) Eastern Region

Box 27224

S-102 53 STOCKHOLM

Tel: 46-8-7897640

Tlx: 17198 tulsth s

Telefax: 46-8-6675067

UNION OF SOVIET Emergency Division of the

SOCIALIST REPUBLICS Baltic Shipping Co.

1, Elevatornaya Ploshchadka

LENINGRAD, 198096

Tel: 1849808

Tlx: 121512 rcc su

Cable: ASPTR Morflot Leningrad

- requests for

assistance s a m e

(day and night)