(1a)

The predominant method of dismantling ships through the so-called ‘beaching’ method does not and cannot represent safe and sound recycling and should therefore no longer be tolerated.

(3)

Current ship recycling capacity in OECD countries which is legally accessible to ships flying the flag of a Member State is insufficient. Safe and sound recycling capacity which already exists in countries which are not members of the OECD is sufficient to treat all EU-flagged ships and is expected to expand further by 2015 as the results of actions taken by recycling countries to meet the requirements of the Hong Kong Convention.

(3)

Current ship recycling capacity in OECD countries, which is legally accessible to ships that constitute hazardous waste for export, is not sufficiently exploited. There is a controversy about the accessibility and capacity of ship recycling facilities in the United States. Irrespective of the situation in the United States in that regard, there is significant potential capacity in certain Member States and OECD countries, which could nearly suffice for recycling and treating ships flying the flag of a Member State (EU ships), if it was fully mobilised. Together with existing and potential safe and sound recycling capacity in countries which are not members of the OECD, there should be sufficient capacity to treat all EU ships.

(3a)

The current situation of ship recycling is characterised by an extreme externalisation of the costs. Ship recycling facilities with little or inexistent standards for the protection of workers, human health and the environment offer the highest price for waste ships. As a result, the large majority of the global ship fleet sent for recycling is taken apart on the beaches of certain countries under humanly degrading and environmentally destructive conditions that are unacceptable. It is appropriate to create a financial mechanism, applicable to all ships calling at Union ports irrespective of the flag they are flying, to counterbalance this situation by contributing to render environmentally sound recycling and treatment of ships which constitute hazardous waste competitive vis-à-vis substandard operations.

(3b)

In view of the ‘polluter pays’ principle, the costs of environmentally sound recycling and treatment of ships should be covered by ships owners. In the interest of protecting human health and the environment, a financial mechanism should be established to generate resources that would contribute to making environmentally sound recycling and treatment of both EU ships and non-EU ships in EU listed facilities economically competitive. All ships calling at Union ports and anchorages should contribute to the costs of environmentally sound recycling and treatment of ships so as to counterbalance the economic incentive to go to substandard operations, and to provide a disincentive to out-flagging. Ships that deposit a financial guarantee as a guarantee that they will go to EU listed facilities for recycling and treatment should be exempted from the recycling levy. The recycling levy as well as the financial guarantee should be fair, non-discriminatory and transparent.

(4)

The Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships (‘the Hong Kong Convention’) was adopted on 15 May 2009 under the auspices of the International Maritime Organization at the request of the Parties to the Basel Convention. The Hong Kong Convention will only enter into force 24 months after the date of ratification by at least 15 States representing a combined merchant fleet of at less 40 per cent of the gross tonnage of the world's merchant shipping and whose combined maximum annual ship recycling volume during the preceding 10 years constitutes not less than three per cent of the gross tonnage of the combined merchant shipping of the same States. The Member States should ratify the Convention at the earliest opportunity in order to hasten its entry into force. The Convention covers the design, construction, operation and preparation of ships so as to facilitate safe and environmentally sound recycling without compromising ship safety and operational efficiency; it also covers the operation of ship recycling facilities in a safe and environmentally sound manner, and the establishment of an appropriate enforcement mechanism for ship recycling.

(4)

The Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships (‘the Hong Kong Convention’) was adopted on 15 May 2009 under the auspices of the International Maritime Organization (IMO). The Hong Kong Convention will only enter into force 24 months after the date of ratification by at least 15 States representing a combined merchant fleet of at least 40 per cent of the gross tonnage of the world's merchant shipping and whose combined maximum annual ship recycling volume during the preceding 10 years constitutes not less than three per cent of the gross tonnage of the combined merchant shipping of the same States. The Convention covers the use of hazardous materials in ships so as to facilitate safe and environmentally sound recycling without compromising ship safety and operational efficiency; it also covers, through guidelines, the operation of ship recycling facilities, and includes an enforcement mechanism for ship recycling. The Hong Kong Convention does not apply to government-owned ships nor to vessels under 500 Gross Tonnes (GT), nor to vessels operating throughout their life only in waters subject to the sovereignty or jurisdiction of the State whose flag the ship is entitled to fly. The Hong Kong Convention also does not cover the actual recycling of the steel recovered at the ship recycling facility or the operations of facilities managing waste materials downstream of the initial ship recycling facility. The Hong Kong Convention does not seek to prevent the export of ships that constitute hazardous waste to non-OECD countries — a practice currently prohibited under Regulation (EC) No 1013/2006. It is expected that it will take up to a decade before the Hong Kong Convention enters into force.

(5)

The Hong Kong Convention provides explicitly for its Parties to take more stringent measures consistent with international law, with respect to the safe and environmentally sound recycling of ships, in order to prevent, reduce or minimise any adverse effects on human health and the environment. The establishment of a European list of ship recycling facilities fulfilling the requirements set out in this Regulation would contribute to that objective as well as to better enforcement by facilitating the flag states' control of ships going for recycling. Those requirements for ship recycling facilities should be based on the requirements of the Hong Kong Convention.

(5)

The Hong Kong Convention provides explicitly for its Parties to be able to take more stringent measures consistent with international law, with respect to the safe and environmentally sound recycling of ships, in order to prevent, reduce or minimise any adverse effects on human health and the environment. The establishment of a European list of ship recycling facilities fulfilling the requirements set out in this Regulation should contribute to that objective as well as to better enforcement by facilitating the flag states' control of ships going for recycling. Those requirements for ship recycling facilities should be based on the requirements of the Hong Kong Convention, but should go beyond them so as to achieve a level of protection of human health and the environment that is broadly equivalent to that of the Union. This should also contribute to increasing the competitiveness of the environmentally safe and sound recycling and treatment of ships in Union facilities.

(7)

The ships not covered by the scopes of the Hong Kong Convention and this Regulation should continue to be recycled in accordance with the requirements of Regulation (EC) No 1013/2006 and of Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives respectively,

(7)

Ships not covered by the scope of the Hong Kong Convention, ships that are not able to travel by their own means, unless they have a valid contract for full repair, and ships that do not comply with the applicable provisions under Union and international law with regard to safety when they become waste in the territory under the jurisdiction of a Member State , should continue to be recycled in accordance with the requirements of Regulation (EC) No 1013/2006 and of Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives respectively.

(8)

It is necessary to clarify the respective scopes of this Regulation, Regulation (EC) No 1013/2006 and Directive 2008/98/EC in order to avoid the duplication of regulatory instruments that have the same objective.

(8)

It is necessary to clarify the scope respectively of this Regulation, Regulation (EC) No 1013/2006 and Directive 2008/98/EC in order to avoid applying different legal requirements in the same situation.

(8a)

The application of this Regulation should respect the rights of transit countries under international law.

(9a)

Member States should arrange for a swift ratification of the Hong Kong Convention with the aim of improving ship recycling practices and conditions.

(11)

Member States should lay down rules on penalties applicable to infringements of this Regulation and ensure that these penalties are applied so as to prevent circumvention of ship recycling rules. The penalties, which may be of a civil or administrative nature, should be effective, proportionate and dissuasive.

(11)

Member States should lay down rules on penalties applicable to infringements of this Regulation and ensure that these penalties are applied so as to prevent circumvention of ship recycling rules. The penalties, which may be of a criminal, civil or administrative nature, should be effective, proportionate and dissuasive.

(14)

Since the objective to prevent, reduce or eliminate adverse effects on human health and the environment caused by the recycling, operation and maintenance of ships flying the flag of a Member State cannot be sufficiently achieved by the Member States due to the international character of shipping and ship recycling, and can therefore be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective,

(14)

Since the objective to prevent, reduce or eliminate adverse effects on human health and the environment caused by the recycling and treatment of EU ships cannot always be sufficiently achieved by the Member States alone due to the international character of shipping and ship recycling, and can therefore in some cases be better achieved at Union level although the ratification of Hong Kong Convention would transfer the Union competence for regulating ship recycling issues back to EU Member States , the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective,

(1a)

‘EU Ship’ means a ship flying the flag of a Member State or operating under its authority;

(1b)‘

non-EU Ship’ means a ship flying the flag of a third country;

(3a)

‘waste’ means waste as defined in Article 3(1) of Directive 2008/98/EC;

(3b)

‘hazardous waste’ means hazardous waste as defined in Article 3(2) of Directive 2008/98/EC;

(3c)

‘treatment’ means treatment as defined in Article 3(14) of Directive 2008/98/EC;

(3d)

‘environmentally sound management’ means environmentally sound management as defined in Article 2(8) of Regulation (EC) No 1013/2006;

(5)

‘ship recycling’ means the activity of complete or partial dismantling of a ship at a ship recycling facility in order to recover components and materials for reprocessing and re-use, whilst taking care of hazardous and other materials, and includes associated operations such as storage and treatment of components and materials on site, but not their further processing or disposal in separate facilities;

(5)

‘ship recycling’ means the activity of complete or partial dismantling of a ship at a ship recycling facility in order to recover components and materials for reprocessing and re-use, whilst taking care of hazardous and other materials, and includes associated operations such as storage and treatment of components and materials on site, but not their further treatment in separate facilities; the meaning of the term ‘recycling’ in the context of this Regulation is therefore different from the definition given in Article 3(17) of Directive 2008/98/EC;

(6)

‘ship recycling facility’ means a defined area that is a site, yard or facility located in a Member State or in a third country and used for the recycling of ships;

(6)

‘ship recycling facility’ means a defined area that is a built yard or facility located in a Member State or in a third country and used for the recycling of ships;

7.

‘recycling company’ means, the owner of the ship recycling facility or any other organisation or person who has assumed the responsibility for the operation of ship recycling from the owner of the ship recycling facility;

(7)

‘ ship recycling company’ means, the owner of the ship recycling facility or any other organisation or person who has assumed the responsibility for the operation of ship recycling from the owner of the ship recycling facility;

(9a)

‘ transit ’ means the movement of a ship to its destination of recycling in accordance with this Regulation through the territory of a country other than the country of dispatch or destination and which is entitled to oppose such a movement under international law.

(20a)

‘ abandoned ship ’ means a ship which has been left unattended and derelict in an Union port by its last recorded owner

(ca)

ships that are not able to travel by their own means, irrespective of the flag they fly and thus constitute waste for the purposes of Regulation (EC) No 1013/2006, unless they have a valid contract for full repair;

(cb)

ships that do not comply with the applicable provisions under Union and international law with regard to safety.

—

for ships more than 25 years old on …  (2) ;

—

for ships more than 20 years old on…  (3) ;

—

for ships more than 15 years old on …  (4) ;

—

for ships less than 15 years old on …  (5) .

(a)

be specific to each ship;

(a)

be specific to each ship;

(b)

provide evidence that the ship complies with the prohibition or restrictions on installing or using hazardous materials in accordance with Article 4;

(b)

provide evidence that the ship complies with the prohibition or restrictions on installing or using hazardous materials in accordance with Article 4;

(c)

identify, at least, the hazardous materials referred to in Annex I and contained in the structure or equipment of the ship, their location and approximate quantities.

(c)

for new ships, identify, at least, the hazardous materials referred to in Annex I and contained in the structure or equipment of the ship, their location and precise quantities;

(ca)

for existing ships, identify, at least, the hazardous materials referred to in Annex I and contained in the structure or equipment of the ship, their location and quantities as precisely as practicable;

(cb)

take into account the guidelines developed by the IMO.

(a)

a list of hazardous materials referred to in Annex I and contained in the structure or equipment of the ship, their location and approximate quantities (Part I);

(a)

a list of hazardous materials referred to in Annex I and contained in the structure or equipment of the ship, their location and quantities (Part I) in accordance with point (c) of paragraph 4 ;

(b)

a list of the waste present on board the ship, including waste generated during the operation of the ship (Part II);

(b)

a list of the waste (both hazardous and non-hazardous) present on board the ship, including waste generated during the operation of the ship , and its approximate quantities (Part II);

(c)

a list of the stores present on board the ship once the decision to recycle it has been taken (Part III).

(c)

a list of the stores present on board the ship once the decision to recycle it has been taken (Part III).

(a)

prior to publication of the European List, are only recycled in ship recycling facilities that are located in the Union or in a country member of the OECD;

(a)

prior to publication of the European List, are only recycled in ship recycling facilities that are duly authorised by the competent authorities in the Union or in a member country of the OECD;

(a)

be developed by the ship recycling facility taking into account information provided by the shipowner in accordance with point (b) of Article 9(3);

(a)

prior to publication of the European List, be developed by a ship recycling facility that is located in the Union or in a member country of the OECD, taking into account information provided by the ship owner in accordance with point (b) of Article 9(3);

(aa)

after publication of the European List, be developed by a ship recycling facility that is included in the European List, taking into account the information provided by the ship owner in accordance with point (b) of Article 9(3);

(d)

include information on the type and amount of hazardous materials and waste generated by the recycling of the specific ship, including those materials identified in the inventory of hazardous materials, and on how these hazardous materials and waste will be managed in the facility as well as in subsequent waste management facilities;

(d)

include information on the type and amount of hazardous materials and of waste generated by the recycling of the specific ship, including those materials and the waste identified in the inventory of hazardous materials, and on how those hazardous materials and that waste will be treated in the facility as well as in subsequent waste treatment facilities;

(ea)

be updated within six months of a renewal survey or an additional survey.

(aa)

the ship has been pre-cleaned in accordance with point (c) of Article 6(1);

(b)

to provide the ship recycling facility with all the ship-relevant information necessary for the development of the ship recycling plan required by Article 7;

(b)

to provide the ship recycling facility at least four months prior to the intended date for the ship recycling with all the ship-relevant information necessary for the development of the ship recycling plan required by Article 7 , or in cases where the ship owner is not in possession of such information, to inform the ship recycling facility and collaborate with them to ensure that any lacunae are adequately resolved ;

(ba)

to provide the ship recycling facility with a copy of the ready for recycling certificate issued in accordance with Article 10;

(bb)

to send a ship for ship recycling only when the ship recycling plan has been explicitly approved by the competent authority in accordance with point (b) of Article 7(2);

(c)

to take back the ship prior to the start of the recycling or after the start of the recycling, where technically feasible, in case the content of hazardous materials on board does not substantially correspond to the inventory of hazardous materials and does not allow for appropriate recycling of the ship ;

(c)

to take back the ship prior to the start of the recycling or after the start of the recycling, where technically feasible, if the intended ship recycling is impractical or would undermine safety or protection of the environment due to a failure to describe the ship properly, whether in the inventory or elsewhere ;

(ca)

to cover the actual extra costs in the event that the content of hazardous materials on board is significantly higher than indicated in the inventory of hazardous chemicals, but does not render the intended ship recycling impractical or undermine safety or protection of the environment.

(a)

to develop, in collaboration with the shipowner, a ship-specific ship recycling plan in accordance with Article 7;

(a)

to develop, in collaboration with the ship owner, a ship-specific ship recycling plan in accordance with Article 7 within one month of reception of all relevant information pursuant to point (b) of paragraph 3 ;

(c)

to prohibit the start of any recycling of the ship prior to submission of the report referred to in point (b);

(c)

to refuse the start of any recycling of the ship prior to submission of the report referred to in point (b) and prior to approval of the ship recycling plan by its competent authority ;

(d)

when preparing to receive a ship for recycling, to notify in writing at least 14 days prior to the planned start of the recycling the relevant competent authorities of the intention to recycle the ship concerned:

(d)

when preparing to receive a ship for recycling, to notify in writing at least three months prior to the planned start of the recycling the relevant competent authorities of the intention to recycle the ship concerned:

—

the condition of the ship or its equipment does not comply with the requirements set out in Article 4(1) to (3a) or does not correspond substantially to the particulars of the certificate, and/or the inventory of hazardous materials, or

—

there is no procedure implemented on board the ship for the maintenance of the inventory of hazardous materials.

—

the condition of the ship or its equipment does not comply with the requirements of paragraph 1 or does not correspond substantially to the particulars of the certificate or the inventory of hazardous materials, or

—

there is no procedure implemented on board the ship for the maintenance of the inventory of hazardous materials.

(aa)

operate from permanent built structures (dry docks, quays or concrete slip-ways);

(ab)

have sufficient cranes available for lifting parts cut from a ship;

(b)

establish management and monitoring systems, procedures and techniques which do not pose health risks to the workers concerned or to the population in the vicinity of the ship recycling facility and which will prevent, reduce, minimise and to the extent practicable eliminate adverse effects on the environment caused by ship recycling;

(b)

establish management and monitoring systems, procedures and techniques which ensure that no health risks are posed to the workers concerned or to the population in the vicinity of the ship recycling facility and which will prevent, reduce, minimise and to the extent practicable eliminate adverse effects on the environment caused by ship recycling;

(d)

develop and approve a ship recycling facility plan;

(d)

develop and adopt a ship recycling facility plan;

(j)

ensure access for emergency response equipment such as fire-fighting equipment and vehicles, ambulances and cranes to all areas of the ship recycling facility;

(j)

ensure rapid access for emergency response equipment such as fire-fighting equipment and vehicles, ambulances and cranes to the ship and all areas of the recycling facility once work has commenced to recycle the ship ;

(k)

ensure the containment of all hazardous materials present on board of a ship during the recycling process so as to prevent any release of these hazardous materials into the environment and in particular in intertidal zones;

(k)

ensure the containment of all hazardous materials present on board of a ship during the recycling process so as to prevent any release of these hazardous materials into the environment and in particular in intertidal zones, notably by cutting the bottom part in a permanent or floating dry dock;

(m)

handle hazardous materials and waste only on impermeable floors with effective drainage systems;

(m)

without prejudice to point (k), handle hazardous materials and waste only on impermeable floors with effective drainage systems;

(ma)

ensure that all wastes prepared for recycling are only transferred to recycling facilities authorised to deal with their recycling without endangering human health and in an environmentally sound manner;

(mb)

ensure appropriate storage for dismantled spare parts, including impermeable storage for oil-contaminated spare parts;

(mc)

ensure functioning equipment for the treatment of water, including rainwater, in compliance with health and environmental regulations;

(md)

ensure appropriate storage for explosive and/or inflammable materials and gas, including the prevention of fire hazards and excessive stockpiling;

(me)

ensure appropriate impermeable and sheltered storage and containment for solid and liquid PCB/PCT waste or material;

(mf)

ensure that all PCB/PCT containing material is managed in accordance with the obligations and Guidelines of the Stockholm Convention on Persistent Organic Pollutants;

(n)

ensure that all wastes generated from the recycling activity are only transferred to waste management facilities authorised to deal with their treatment and disposal without endangering human health and in an environmentally sound manner.

(n)

ensure that all wastes generated from the recycling activity are only transferred to waste management facilities authorised to deal with their treatment and disposal without endangering human health and in an environmentally sound manner. Therefore draw up a register of secondary operators working at the main facility, including information on their waste management methods and capacities.

(b)

which waste management process will be applied within the facility: incineration, landfilling or other waste treatment method and provide evidence that the applied process will be carried out without endangering human health, without harming the environment and, in particular:

(b)

which waste treatment process will be applied within the facility: (e.g. landfilling, neutralization of acids, chemical destruction) or other waste treatment method for each of the materials listed in Annex I, and provide evidence that the applied process will be carried out in accordance with established best practices, global norms and laws, without endangering human health, without harming the environment and, in particular:

(c)

which waste management process will be applied if the hazardous materials is destined for a subsequent waste treatment facility outside the ship recycling facility. The following information shall be provided regarding each subsequent waste treatment facility:

(c)

which waste treatment process will be applied if the hazardous materials are destined for a subsequent waste treatment facility outside the ship recycling facility. The following information shall be provided regarding each subsequent waste treatment facility:

(ii)

evidence that the waste treatment facility is authorized to treat the hazardous material;

(ii)

evidence that the waste treatment facility is authorized by the relevant competent authority to treat the hazardous material;

(ca)

have a system in place to document the actual quantities of hazardous materials removed from each ship compared to the inventory of hazardous materials and the respective treatment processes applied within the facility and outside the facility for those materials

(5a)

have adequate insurance to cover health and safety liabilities and the costs of environmental remediation in compliance with relevant legislation of the Member State or third country where the facility is located.

(5b)

conduct regular monitoring of water and sediments in the vicinity of the ship recycling facility to check for pollution.

(a)

are located in the Union and have been notified by the Member States in accordance with Article 14(3);

(b)

are located outside the Union and whose inclusion has been decided in accordance with Article 15(4).

(a)

the method of recycling;

(b)

the type and size of ships that are suitable for recycling; and

(c)

any limitation under which the facility operates, including as regards hazardous waste management.

(a)

the evidence that it has provided is complete and up-to-date;

(b)

the ship recycling facility continues and will continue to comply with the requirements of Article 12.

(a)

to include a ship recycling facility in the European list in any of the following cases:

(a)

to include a ship recycling facility in the European list where its inclusion in the European list has been decided in accordance with Article 15(4);

(2a)

where the ship recycling facility is located in a State that applies prohibitions or discriminatory measures against any ships flying the flag of a Member State.

(a)

notify the administration in writing at least 14 days before the planned start of the recycling of the intention to recycle a ship in order to enable the administration to prepare for the survey and certification required by this Regulation;

(a)

notify the administration, in writing at least three months before the planned start of the recycling of the intention to recycle a ship in order to enable the administration to prepare for the survey and certification required by this Regulation; it shall simultaneously notify its intention to recycle a ship to the administration of the country under whose jurisdiction it is at that time;

(ba)

transmit to the administration a list of the States through which the ship is intended to transit on its voyage to the ship recycling facility;

(c)

information regarding illegal recycling and follow-up actions undertaken by the Member State.

(c)

information regarding illegal recycling and follow-up actions undertaken by the Member State , including details of the penalties laid down pursuant to Article 23 .

(a)

do not comply with the prohibitions of certain hazardous materials pursuant to Article 4 and Article 11b;

(d)

do not have on board an inventory of hazardous materials required by Articles 5 and 28 ;

(b)

do not have on board a valid inventory of hazardous materials pursuant to Article 5 and Article 11b ;

(c)

do not have on board a ship recycling plan pursuant to Article 7 and Article 11b;

(e)

were sent for recycling without complying with the general requirements for the preparation set out in Article 6;

(f)

were sent for recycling without an inventory certificate required by Article 6;

(g)

were sent for recycling without a ready for recycling certificate required by Article 6;

(h)

were sent for recycling without a notification to the administration in writing as required by Article 21;

(i)

were recycled in a manner which did not conform with the ship recycling plan required by Article 7.

(a)

were sent for recycling without complying with the general requirements pursuant to Article 6 of this Regulation;

(b)

were sent for recycling without an inventory certificate pursuant to Article 10(1) of this Regulation;

(c)

were sent for recycling without a contract pursuant to Article 9 of this Regulation;

(d)

were sent for recycling without a notification to the administration in writing pursuant to Article 21 of this Regulation;

(e)

were recycled without approval of the ship recycling plan by the competent authority pursuant to point (b) of Article 7(2) of this Regulation or in a manner which did not comply with the ship recycling plan pursuant to Article 7 of this Regulation.

(a)

jointly imposed to the last and penultimate owner if the ship is still flying the flag of an European Member State;

(a)

imposed on the last owner if the ship is still flying the flag of a Member State;

(b)

only imposed to the penultimate owner if a ship is not flying anymore the flag of an European Member State.

(b)

imposed on the last owner who was flying a flag of a Member State in that one-year period if the ship is no longer flying the flag of a Member State.

‘45.

A certificate on the inventory of hazardous materials pursuant to Regulation (EU) No XX [insert full title of this Regulation]  (11) ’

(i)

Ships falling under the scope of Regulation (EU) No XX [insert full title of this Regulation].

(i)

Ships that are delivered to a ship recycling facility included in the European list in accordance with Regulation (EU) No XX [insert full title of this Regulation].

(a)

consent to the transit of the ship through its waters, with or without conditions; or

(b)

refuse to consent to transit of the ship through its waters.