Common Position (EC) No 28/2001 of 28 June 2001 adopted by the Council, acting in accordance with the procedure referred to in Article 251 of the Treaty establishing the European Community, with a view to adopting a Directive of the European Parliament and of the Council establishing harmonised requirements and procedures for the safe loading and unloading of bulk carriers (Text with EEA relevance.)
Date: 2001-06-28
Institutions: Council of the European Union
Subjects: approximation of laws, bulk product, carriage of goods, harbour installation, international standard, occupational safety

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COMMON POSITION (EC) No 28/2001

adopted by the Council on 28 June 2001

with a view to adopting Directive 2001/.../EC of the European Parliament and of the Council of ...
establishing harmonised requirements and procedures for the safe loading and unloading of bulk
carriers

(Text with EEA relevance)

(2001/C 301/03)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

(4)

Having regard to the Treaty establishing the European Com-
munity, and in particular Article 80(2) thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the Economic and Social
Committee (2),

Having consulted the Committee of the Regions,

Acting in accordance with the procedure laid down in
Article 251 of the Treaty (3),

Whereas:

(1)

(2)

(3)

In view of the high number of shipping accidents
involving bulk carriers with an associated loss of human
lives, further measures should be taken to enhance safety
in maritime transport within the framework of the
common transport policy.

Assessments of the causes of bulk carrier casualties
indicate that loading and unloading of solid bulk cargoes,
if not properly conducted, can contribute to the loss of
bulk carriers, either by over-stressing the ship’s structure
or by mechanically damaging its structural members in
the cargo holds. The protection of the safety of bulk
carriers can be enhanced through the adoption of
measures aimed at reducing the risk of structural damage
and losses due to improper loading and unloading
operations.

At international level, the International Maritime Organ-
through a number of Assembly
isation (the IMO),
Resolutions, has adopted recommendations on the safety
of bulk carriers addressing ship/port interface issues
in general and loading and unloading operations in
particular.

(1) OJ C 311 E, 31.10.2000, p. 240.
(2) OJ C 14, 16.1.2001, p. 37.
(3) Opinion of the European Parliament of 13 February 2001 (OJ
C 276, 1.10.2001, p. ...), Council Common Position of 28 June
2001 and Decision of the European Parliament of ... (not yet
published in the Official Journal).

By Assembly Resolution A.862(20), the IMO adopted a
code of practice for the safe loading and unloading of
bulk carriers (the BLU code), and urged contracting
governments to implement this code at the earliest
possible opportunity and to inform the IMO of any non-
compliance. In the Resolution, the IMO further urged
contracting governments in whose territories solid bulk
cargo loading and unloading terminals are situated to
introduce laws so that a number of key principles
necessary for the implementation of this code could be
enforced.

(5)

(6)

(7)

The impact of loading and unloading operations on bulk
carrier safety, in view of the global character of trade in
dry cargo in bulk, has transboundary implications. The
development of action to prevent the foundering of bulk
carriers due to improper loading and unloading practices
is therefore best done at Community level by establishing
harmonised requirements and procedures to implement
the IMO recommendations laid down in Assembly
Resolution A.862(20) and the BLU code.

In view of the subsidiarity principle set out in Article 5
the Treaty, a directive is the appropriate legal
of
instrument as it provides a framework for the Member
States’ uniform and compulsory application of
the
requirements and procedures for the safe loading and
unloading of bulk carriers, while leaving each Member
State the right to decide which implementation tools
best fit its internal system.
In accordance with the
principle of proportionality, this Directive does not go
beyond what is necessary for the objectives pursued.

The safety of bulk carriers and their crews can be
enhanced by reducing the risks of improper loading and
unloading at dry bulk cargo terminals. This can be
implemented by establishing harmonised procedures for
cooperation and communication between ship and
terminal and by laying down suitability requirements for
ships and terminals.

(8)

(9)

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In the interests of enhancing bulk carrier safety and
avoiding distortion of competition,
the harmonised
procedures and suitability criteria should apply to all
bulk carriers, irrespective of the flag they fly, and to all
terminals in the Community at which, under normal
circumstances, such carriers call for the purpose of
loading or unloading solid bulk cargoes.

(13)

In the general interests of the Community, in deflecting
substandard shipping from its ports, the terminal rep-
resentative should notify apparent deficiencies on board
a bulk carrier which could prejudice the safety of loading
or unloading operations.

Bulk carriers calling at terminals for the loading or
unloading of solid bulk cargoes should be suitable for
that purpose. Equally, terminals should also be suitable
for receiving and loading or unloading visiting bulk
carriers. For these purposes suitability criteria have been
established in the BLU code.

(10) Terminals should, in the interests of enhancing cooper-
ation and communication with the ship’s master on
matters relating to the loading and unloading of solid
bulk cargoes, appoint a terminal representative respon-
sible for such operations in the terminal and make
information books with the terminal’s and port’s require-
ments available to the masters. There are,
for this
purpose, provisions in the BLU code.

(11) The development, implementation and maintenance of
a quality management system by the terminals would
ensure that the cooperation and communication pro-
cedures and the actual loading and unloading by the
terminal are planned and executed in accordance with a
harmonised framework that is internationally recognised
and auditable. In view of its international recognition,
the quality management system should be compatible
with the ISO 9000 series of standards adopted by the
International Organisation for Standardisation. To allow
new terminals sufficient time to achieve the relevant
certification, it is important to ensure that a temporary
authorisation to operate is available to them for a limited
period of time.

(14)

(15)

It is necessary that the competent authorities of the
Member States prevent or halt loading or unloading
operations whenever they have clear indications that
ship or crew safety is endangered by these operations.
The authorities should also intervene in the interests of
safety in the event of disagreement between the master
and the terminal representative as to the application
of these procedures. The safety-related action of the
competent authorities should not be dependent on
commercial interests related to terminals.

It is necessary to lay down procedures for the purpose
of reporting damage to ships incurred during loading or
unloading operations to the appropriate bodies, such as
the relevant classification societies, and of repairing such
damage if necessary. Where such damage could impair
the safety or seaworthiness of the ship, the decision as
to the necessity and urgency of repairs should be taken
by the port State control authorities in consultation with
the administration of the flag State. In view of the
technical expertise necessary to take such a decision, the
authorities should have the right to call on a recognised
organisation to inspect the damage and to advise them
on any need for repairs.

(16) Enforcement of this Directive should be enhanced by
efficient monitoring and verification procedures in the
Member States. Reporting the results of this monitoring
effort will provide valuable information on the effective-
ness of the harmonised requirements and procedures
laid down in this Directive.

(12)

For the purpose of ensuring that loading and unloading
operations are carefully prepared, agreed and conducted
in order to avoid endangering the safety of the ship or
crew, the responsibilities of the master and the terminal
representative should be laid down. To this end, relevant
provisions can be found in the 1974 International
Convention for the Safety of Life at Sea (1974 SOLAS
Convention), IMO Assembly Resolution A.862(20) and
the BLU code. For the same purpose, procedures for the
loading or
preparation, agreement and conduct of
unloading operations can be based on the provisions of
those international instruments.

(17)

In IMO Assembly Resolution A.797(19) of 23 November
1995 on the safety of ships carrying solid bulk cargoes
it is requested that port State authorities submit confir-
mation that loading and unloading terminals for solid
bulk cargoes comply with the IMO codes and rec-
ommendations on ship/shore cooperation. Notification
of the adoption of this Directive to the IMO will provide
an appropriate response to this request and a clear
signal to the international maritime community that the
Community is committed to supporting the efforts
undertaken at international level to enhance the safe
loading and unloading of bulk carriers.

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(18) The measures necessary for the implementation of this
Directive should be adopted in accordance with Council
Decision 1999/468/EC of 28 June 1999 laying down
the procedures for the exercise of implementing powers
conferred on the Commission (1).

(19)

It should be possible to amend certain provisions of this
Directive in accordance with that procedure, so as to
bring them into line with international and Community
instruments adopted, amended or entering into force
after the entry into force of this Directive and for the
implementation of the procedures laid down in this
Directive, without broadening its scope.

(20) Council Directive 89/391/CEE of 12 June 1989 on the
introduction of measures to encourage improvements in
the safety and health of workers at work (2) and its
relevant individual Directives are applicable to the work
relating to the loading and unloading of bulk carriers,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Purpose

The purpose of this Directive is to enhance the safety of bulk
carriers calling at terminals in the Member States in order to
load or unload solid bulk cargoes, by reducing the risks of
excessive stresses and physical damage to the ship’s structure
during loading or unloading, through the establishment of:

1.

2.

harmonised suitability requirements for those ships and
terminals, and

harmonised procedures for cooperation and communi-
cation between those ships and terminals.

Article 2

Scope

This Directive shall apply to:

1.

2.

all bulk carriers, irrespective of their flag, calling at a
terminal
for the loading or unloading of solid bulk
cargoes; and

all terminals in the Member States visited by bulk carriers
falling under the scope of this Directive.

(1) OJ L 184, 17.7.1999, p. 23.
(2) OJ L 183, 29.6.1989, p. 1.

Without prejudice to the provisions of Regulation VI/7 of the
1974 SOLAS Convention, this Directive shall not apply to
facilities that are used for loading and unloading dry cargo in
bulk into or from bulk carriers only in exceptional circum-
stances, and shall not apply in cases where the loading or
unloading is carried out solely with the equipment of the bulk
carrier concerned.

Article 3

Definitions

For the purposes of this Directive:

1.

2.

3.

4.

‘international conventions’ shall mean the conventions in
force on ... (*), as defined in Article 2(1) of Council
Directive 95/21/EC (3);

‘1974 SOLAS Convention’ shall mean the International
Convention for the Safety of Life at Sea, together with the
Protocols and amendments thereto, in force on ... (*);

‘BLU code’ shall mean the Code of Practice for the Safe
Loading and Unloading of Bulk Carriers, as contained in
the Annex to IMO Assembly Resolution A.862 (20) of
27 November 1997, as it stands on ... (*);

in
‘bulk carrier’ shall bear the meaning given to it
Regulation IX/1.6 of the 1974 SOLAS Convention and
interpreted by Resolution 6 of the 1997 SOLAS Confer-
ence, namely:

— a ship constructed with single deck, top-side tanks
and hopper-side tanks in cargo paces and intended
primarily to carry dry cargo in bulk, or

— an ore carrier, meaning a seagoing single-deck ship
having two longitudinal bulkheads and a double
bottom throughout the cargo region and intended
for the carriage of ore cargoes in the centre holds
only, or

— a combination carrier as defined in Regulation II-

2/3.27 of the 1974 SOLAS Convention;

(*) Date of adoption of this Directive.
(3) Council Directive 95/21/EC of 19 June 1995 concerning the
enforcement, in respect of shipping using Community ports and
sailing in the waters under the jurisdiction of the Member States,
of international standards for ship safety, pollution prevention
and shipboard living and working conditions (port State control)
(OJ L 157, 7.7.1995, p. 1). Directive as last amended by
Commission Directive 1999/97/EC (OJ L 331, 23.12.1999, p. 67).

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

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‘dry cargo in bulk’ or ‘solid bulk cargo’ shall mean solid
bulk cargo as defined in Regulation XII/1.4 of the 1974
SOLAS Convention, excluding grain;

17.

‘ship/shore safety checklist’ shall mean the checklist as
referred to in section 4 of the BLU code and having the
format as contained in Appendix 3 of the BLU code;

‘grain’ shall bear the meaning given to it in Regulation
VI/8.2 of the 1974 SOLAS Convention;

18.

‘solid bulk cargo density declaration’ shall mean the
information on the density of the cargo to be provided in
compliance with Regulation XII/10 of the 1974 SOLAS
Convention.

‘terminal’ shall mean any fixed, floating or mobile facility
equipped and used for the loading or unloading of dry
cargo in bulk into or from bulk carriers;

‘terminal operator’ shall mean the owner of a terminal, or
any organisation or person to whom the owner has
transferred the responsibility for loading or unloading
operations conducted at the terminal for a particular bulk
carrier;

‘terminal representative’ shall mean any person appointed
by the terminal operator, who has the overall responsi-
bility for, and authority to, control the preparation, the
conduct and the completion of loading or unloading
operations conducted by the terminal for a particular
bulk carrier;

‘master’ shall mean the person who has command over a
bulk carrier or a ship’s officer designated by the master
for the loading or unloading operations;

‘recognised organisation’ shall mean an organisation
recognised in accordance with Article 4 of Council
Directive 94/57/EC (1);

‘administration of the flag State’ shall mean the competent
authorities of the State whose flag the bulk carrier is
entitled to fly;

Article 4

Requirements in relation to the operational suitability of
bulk carriers

Member States shall make the necessary arrangements to
ensure that terminal operators are satisfied with the operational
suitability of bulk carriers for loading or unloading of solid
bulk cargoes, by checking compliance with the provisions of
Annex I.

Article 5

Requirements in relation to the suitability of terminals

‘port State control authority’ shall mean the competent
authority of a Member State empowered to apply the
control provisions of Directive 95/21/EC;

Member States shall satisfy themselves that terminal operators
ensure that, as concerns terminals for which they assume
responsibilities under this Directive:

‘competent authority’ shall mean a national, regional or
local public authority in the Member State empowered
by national
legislation to implement and enforce the
requirements of this Directive;

‘cargo information’ shall mean the cargo information
required by Regulation VI/2 of the 1974 SOLAS Conven-
tion;

‘loading or unloading plan’ shall mean a plan as referred
to in Regulation VI/7.3 of the 1974 SOLAS Convention
and having the format as contained in Appendix 2 of the
BLU code;

(1) Council Directive 94/57/EC of 22 November 1994 on common
rules and standards for ship inspection and survey organisations
and for the relevant activities of maritime administrations (OJ
L 319, 12.12.1994, p. 20). Directive as amended by Commission
Directive 97/58/EC (OJ L 274, 7.10.1997, p. 8).

1.

the terminals comply with the provisions of Annex II;

2.

terminal representative(s) is (are) appointed;

3.

4.

information books are prepared containing the require-
ments of the terminal and competent authorities and
information on the port and terminal as listed in Appen-
dix 1, paragraph 1.2, of the BLU code, and that these
books are made available to the masters of bulk carriers
calling at the terminal for loading or unloading solid bulk
cargoes, and

a quality management system is developed, implemented
and maintained. Such quality management system shall
be certified in accordance with the ISO 9001:2000
standards or an equivalent standard fulfilling at least all
aspects of ISO 9001:2000, and it shall be audited in

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accordance with the guidelines of the ISO 10011:1991
or equivalent standard fulfilling all aspects of
ISO
10011:1991. Directive 98/34/EC (1) shall be complied
with in relation to the said equivalent standards.

A transitional period of three years from the entry into
force of this Directive shall be granted to set up the
quality management system and one additional year to
obtain the certification of the system.

Article 6

Temporary authorisation

By way of derogation from the requirements of Article 5(4), a
temporary authorisation to operate, valid for no more than
12 months, may be issued by the competent authority for
newly established terminals. The terminal must however
demonstrate its plan to implement a quality management
system in accordance with the ISO 9001:2000 standard or
equivalent standard, as set out in Article 5(4).

Article 7

Responsibilities of masters and terminal representatives

Member States shall make the necessary arrangements to
ensure that the following principles concerning the responsi-
bilities of masters and terminal representatives are respected
and applied:

1.

Responsibilities of the master:

(a)

(b)

(c)

the master shall be responsible at all times for the
safe loading and unloading of the bulk carrier under
his command;

the master shall, well
in advance of the ship’s
estimated time of arrival at the terminal, provide the
terminal with the information set out in Annex III;

before any solid bulk cargo is loaded, the master shall
ensure that he has received the cargo information
required by Regulation VI/2.2 of the 1974 SOLAS
Convention, and where required, a solid bulk cargo
density declaration. This information shall be con-
tained in a cargo declaration form as set out in
Appendix 5 of the BLU code;

(1) Directive 98/34/EC of the European Parliament and of the Council
of 22 June 1998 laying down a procedure for the provision of
information in the field of technical standards and regulations and
of rules on information society services (OJ L 204, 21.7.1998,
p. 37). Directive as amended by Directive 98/48/EC (OJ L 217,
5.8.1998, p. 18).

(d) prior to the start of and during loading or unloading
the master shall discharge the duties listed in
Annex IV.

2.

Responsibilities of the terminal representative:

(a)

(b)

(c)

on receipt of the ship’s initial notification of its
estimated time of arrival, the terminal representative
shall provide the master with the information men-
tioned in Annex V;

the terminal representative shall be satisfied that the
master has been advised as early as possible of the
information contained in the cargo declaration form;

the terminal representative shall without delay notify
the master and the port State control authority of
apparent deficiencies he has noted on board a bulk
carrier which could endanger the safe loading or
unloading of solid bulk cargoes;

(d) prior to the start of and during loading or unloading,
the terminal representative shall discharge the duties
listed in Annex VI.

Article 8

Procedures between bulk carriers and terminals

Member States shall ensure that the following procedures are
applied in respect of the loading or unloading of bulk carriers
with solid bulk cargoes.

1.

Before solid bulk cargoes are loaded or unloaded, the
master shall agree with the terminal representative on
the loading or unloading plan in accordance with the
provisions of Regulation VI/7.3 of the 1974 SOLAS
Convention. The loading or unloading plan shall be
prepared in the form laid down in Appendix 2 of the
BLU code, it shall contain the IMO number of the bulk
carrier concerned, and the master and the terminal
representative shall confirm their agreement to the plan
by signing it.

Any change to the plan, which according to either party
may affect the safety of the vessel or crew, shall be
prepared, accepted and agreed by both parties in the form
of a revised plan.

The agreed loading or unloading plan and any subsequent
agreed revisions shall be kept by the ship and the terminal
for a period of six months for the purpose of any
necessary verification by the competent authorities.

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2.

Before loading or unloading is commenced, the ship/
shore safety checklist shall be completed and signed
jointly by the master and the terminal representative in
accordance with the guidelines of Appendix 4 of the
BLU code.

3. An effective communication between the ship and the
terminal shall be established and maintained at all times,
capable of responding to requests for information on the
loading or unloading process and to ensure prompt
compliance should the master or the terminal representa-
tive order the loading or unloading operations to be
suspended.

4.

The master and the terminal representative shall conduct
the loading or unloading operations in accordance with
the agreed plan. The terminal representative shall be
responsible for the loading or unloading of the solid bulk
cargo as regards the hold order, quantity and rate of
loading or unloading stated on that plan. He shall not
deviate from the agreed loading or unloading plan,
otherwise than by prior consultation and written agree-
ment with the master.

5. On completion of the loading or unloading, the master
and the terminal representative shall agree in writing that
the loading or unloading has been done in accordance
with the loading or unloading plan, including any agreed
changes. In the case of unloading, such agreement shall
include a record that the cargo holds have been emptied
and cleaned to the master’s requirements and shall record
any damage suffered by the ship and any repairs carried
out.

Article 10

Repair of damage incurred during loading or unloading

If damage to the ship’s structure or equipment occurs
it shall be reported by the
if necessary,

1.
during loading or unloading,
terminal
repaired.

representative to the master and,

the administration of

2.
If the damage could impair the structural capability or
watertight integrity of the hull, or the ship’s essential engineer-
ing systems,
the flag State, or an
organisation recognised by it and acting on its behalf, and the
port State control authority shall be informed by the terminal
representative and/or the master. The decision as to whether
immediate repair is necessary or whether it can be deferred
shall be taken by the port State control authority, due account
being taken of the opinion, if any, of the administration of the
flag State, or the organisation recognised by it and acting on
its behalf, and of the opinion of the master. Where immediate
repair is considered necessary, it shall be carried out to the
satisfaction of the master and the competent authority before
the ship leaves the port.

3.
For the purpose of taking the decision referred to in
paragraph 2, a port State control authority may rely on a
recognised organisation to undertake the inspection of the
damage and to advise on the necessity of carrying-out repairs
or their deferral.

Article 9

This Article applies without prejudice to Directive

4.
95/21/EC.

Role of the competent authorities

1. Without prejudice to the rights and obligations of the
master provided under Regulation VI/7.7 of the 1974 SOLAS
Convention, Member States shall ensure that their competent
authorities prevent or halt the loading or unloading of solid
bulk cargoes whenever they have clear indications that the
safety of the ship or crew would be endangered thereby.

2.
In cases where the competent authority is informed of
disagreement between the master and the terminal representa-
tive as to the application of the procedures provided for in
Article 8, the competent authority shall intervene where this
is required in the interests of safety and/or the marine
environment.

Article 11

Verification and reporting

1. Member States shall regularly verify that terminals com-
ply with the requirements of Article 5(1), Article 7(2) and
Article 8. The procedure of verification shall
include the
carrying-out of unannounced inspections during loading or
unloading operations.

In addition, Member States shall verify that terminals comply
with the requirements of Article 5(4), at the end of the period
provided for therein, and for newly established terminals at
the end of the period provided in Article 6.

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2. Member States shall provide the Commission every three
years with a report on the results of such verification. The
report shall also provide an assessment of the effectiveness of
the harmonised procedures for cooperation and communi-
cation between bulk carriers and terminals as provided for in
this Directive. The report shall be transmitted at the latest by
30 April of the year following the period of three calendar
years on which it reports.

Article 12

Evaluation

The Commission shall submit an evaluation report on the
operation of the system as provided for in this Directive to the
European Parliament and the Council, on the basis of the
reports of the Member States provided for in Article 11(2).
This report shall also include an assessment of whether it is
necessary to continue the reporting by the Member States
referred to in Article 11(2).

Article 13

Notification to the IMO

The Presidency of the Council, acting on behalf of the Member
States, and the Commission shall jointly inform the IMO of
the adoption of this Directive, whereby reference shall be made
to paragraph 1.7 of the Annex to IMO Resolution A.797(19).

Article 14

Regulatory Committee

The Commission shall be assisted by the committee set
to Article 12(1) of Council Directive

1.
up pursuant
93/75/EEC (1), hereinafter referred to as ‘the Committee’.

2. Where reference is made to this paragraph, Articles 5
and 7 of Decision 1999/468/EC shall apply, having regard to
the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC
shall be set at three months.

3.

The Committee shall adopt its rules of procedure.

(1) Council Directive 93/75/EEC of 13 September 1993 concerning
minimum requirements for vessels bound for or leaving Com-
munity ports and carrying dangerous or polluting goods (OJ
L 247, 5.10.1993, p. 19). Directive as last amended by Com-
mission Directive 98/74/EC (OJ L 276, 13.10.1998, p. 7).

Article 15

Amendment procedure

1.
The definitions in points 1 to 6 and 15 to 18 of Article 3,
the references to international conventions and codes and to
IMO Resolutions and Circulars, the references to ISO standards,
the references to Community instruments, and the Annexes,
may be amended in accordance with the procedure referred to
in Article 14(2),
in order to bring them into line with
international and Community instruments which have been
adopted, amended or brought into force after the adoption of
this Directive, provided that the scope of this Directive is not
thereby broadened.

2.
The procedure referred to in Article 14(2) shall apply
when amending Article 8 and the Annexes for the implemen-
tation of the procedures laid down in this Directive, and when
amending or repealing the reporting obligations referred to in
Articles 11(2) and 12, provided that such provisions do not
broaden the scope of this Directive.

Article 16

Penalties

The Member States shall
lay down the rules on penalties
applicable to infringements of the national provisions adopted
pursuant to this Directive and shall take all measures necessary
to ensure that they are implemented. The penalties provided
for must be effective, proportionate and dissuasive.

Article 17

Implementation and application

1. Member States shall adopt and publish, before ... (*), the
provisions necessary to comply with this Directive. They shall
forthwith inform the Commission thereof.

They shall apply those provisions from ... (**).

those provisions,

When Member States adopt
they shall
contain a reference to this Directive or be accompanied by
such reference on the occasion of their official publication.
Member States shall determine how such reference is to be
made.

(*) Eighteen months after the entry into force of this Directive.
(**) The first day of the 25th month after the entry into force of the

Directive.

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2. Member States shall notify to the Commission the
provisions of their national law which they adopt in the field
governed by this Directive.

Article 19

Addressees

Article 18

Entry into force

This Directive is addressed to the Member States.

Done at ...

This Directive shall enter into force on the 20th day following
its publication in the Official Journal of the European Communities.

For the European Parliament

The President

For the Council

The President

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ANNEX I

REQUIREMENTS IN RELATION TO THE OPERATIONAL SUITABILITY OF BULK CARRIERS FOR
LOADING AND UNLOADING SOLID BULK CARGOES

(as referred to in Article 4)

Bulk carriers calling in terminals in the Member States for the loading or unloading of solid bulk cargoes shall be
checked for compliance with the following requirements.

1.

2.

3.

4.

5.

6.

7.

They shall be provided with cargo holds and hatch openings of sufficient size and such a design as to enable
the solid bulk cargo to be loaded, stowed, trimmed and unloaded satisfactorily.

They shall be provided with the cargo hold hatch identification numbers as used in the loading or unloading
plan. The location, size and colour of these numbers shall be clearly visible to and identifiable by the operator
of the terminal loading or unloading equipment.

Their cargo hold hatches, hatch operating systems and safety devices shall be in good functional order and used
only for their intended purpose.

List indicating lights, if fitted, shall be tested prior to loading or unloading and proved to be operational.

If required to have an approved loading instrument on board, this instrument shall be certified and operational
to carry out stress calculations during loading or unloading.

Propulsion and auxiliary machinery shall be in good functional order.

Deck equipment related to mooring and berthing operations shall be operable and in good order and condition.

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ANNEX II

REQUIREMENTS IN RELATION TO THE SUITABILITY OF TERMINALS FOR LOADING AND
UNLOADING SOLID BULK CARGOES

[as referred to in Article 5(1)]

1.

2.

3.

4.

Terminals shall only accept bulk carriers for loading or unloading of solid bulk cargoes at their terminal that
can safely berth alongside the loading or unloading installation, taking into consideration water depth at the
berth, maximum size of the ship, mooring arrangements, fendering, safe access and possible obstructions to
loading or unloading operations.

Terminal loading and unloading equipment shall be properly certified and maintained in good order, in
compliance with the relevant regulations and standards, and only operated by duly qualified and, if appropriate,
certified personnel.

Terminal personnel shall be trained in all aspects of safe loading and unloading of bulk carriers commensurate
with their responsibilities. The training shall be designed to provide familiarity with the general hazards of
loading and unloading of solid bulk cargoes and the adverse effect improper loading and unloading operations
may have on the safety of the ship.

Terminal personnel involved in the loading and unloading operations shall be provided with and use personnel
protective equipment and shall be duly rested to avoid accidents due to fatigue.

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ANNEX III

INFORMATION TO BE PROVIDED BY THE MASTER TO THE TERMINAL

[as referred to in Article 7(1)(b)]

1.

2.

The ship’s estimated time of arrival off the port as early as possible. This advice shall be updated as appropriate.

At the time of the initial time of arrival advice:

(a)

(b)

(c)

(d)

(e)

(f)

name, call sign, IMO number, flag, port of registry;

loading or unloading plan, stating the quantity of cargo, stowage by hatches, loading or unloading order
and the quantity to be loaded in each pour or unloaded in each stage of the discharge;

arrival and proposed departure draughts;

time required for ballasting or de-ballasting;

ship’s length overall, beam, and length of the cargo area from the forward coaming of the forward-most
hatch to the after coaming of the aft-most hatch into which cargo is to be loaded or from which cargo is
to be unloaded;

distance from the waterline to the first hatch to be loaded or unloaded and the distance from the ship’s
side to the hatch opening;

(g)

location of the ship’s accommodation ladder;

(h)

air draught;

(i)

(j)

details and capacities of ship’s cargo-handling gear, if any;

number and type of mooring lines;

(k)

specific requests, such as for trimming or continuous measurement of the water content of the cargo;

(l)

details of any necessary repairs which may delay berthing, the commencement of loading or unloading,
or may delay the ship sailing on completion of loading or unloading;

(m)

any other information related to the ship requested by the terminal.

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ANNEX IV

DUTIES OF THE MASTER PRIOR TO AND DURING LOADING OR UNLOADING OPERATIONS

Prior to and during loading or unloading operations the master shall ensure that:

[as referred to in Article 7(1)(d)]

1.

2.

3.

4.

5.

6.

7.

8.

9.

the loading or unloading of cargo and the discharge or intake of ballast water is under the control of the ship’s
officer in charge;

the disposition of cargo and ballast water is monitored throughout the loading or unloading process to ensure
that the ship’s structure is not overstressed;

the ship shall be kept upright or, if a list is required for operational reasons, it shall be kept as small as possible;

the ship remains securely moored, taking due account of local weather conditions and forecasts;

sufficient officers and crew are retained on board to attend to the adjustment of the mooring lines or for any
normal or emergency situation, having regard to the need of the crew to have sufficient rest periods to avoid
fatigue;

the terminal representative is made aware of the cargo trimming requirements, which shall be in accordance
with the procedures of the IMO Code of Safe Practice for Solid Bulk Cargoes;

the terminal representative is made aware of the requirements for harmonisation between de-ballasting or
ballasting and cargo loading or unloading rates for his ship and of any deviation from the de-ballasting or
ballasting plan or any other matter which may affect cargo loading or unloading;

the ballast water is discharged at rates which conform to the agreed loading plan and does not result in flooding
of the quay or of adjacent craft. Where it is not practical for the ship to completely discharge its ballast water
prior to the trimming stage in the loading process, he agrees with the terminal representative on the times at
which loading may need to be suspended and the duration of such suspensions;

there is agreement with the terminal representative as to the actions to be taken in the event of rain, or other
change in the weather, when the nature of the cargo would pose a hazard in the event of such a change;

10. no hot work is carried out on board or in the vicinity of the ship while the ship is alongside the berth, except
with the permission of the terminal representative and in accordance with any requirements of the competent
authority;

11.

12.

13.

14.

close supervision of the loading or unloading operation and of the ship during final stages of the loading or
unloading;

the terminal representative is warned immediately if the loading or unloading process has caused damage, has
created a hazardous situation, or is likely to do so;

the terminal representative is advised when final trimming of the ship has to commence in order to allow for
the conveyor system to run-off;

the unloading of the port side closely matches that of the starboard side in the same hold to avoid twisting the
ship’s structure;

15. when ballasting one or more holds, account is taken of the possibility of the discharge of flammable vapours

from the holds and precautions are taken before any hot work is permitted adjacent to or above these holds.

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26.10.2001

ANNEX V

INFORMATION TO BE PROVIDED BY THE TERMINAL TO THE MASTER

[as referred to in Article 7(2)(a)]

1.

2.

3.

The name of the berth at which loading or unloading will take place and the estimated times for berthing and
completion of loading or unloading (1).

Characteristics of loading or unloading equipment, including the terminal’s nominal loading or unloading rate
and the number of loading or unloading heads to be used, as well as the estimated time required to complete
each pour or — in the case of unloading — the estimated time required for each stage of the discharge.

Features on the berth or jetty the master may need to be aware of, including the position of fixed and mobile
obstructions, fenders, bollards and mooring arrangements.

4. Minimum depth of water alongside the berth and in approach and departure channels (1).

5. Water density at the berth.

6. Maximum distance between the water line and the top of the cargo hatch covers or coamings, whichever is

relevant to the loading or unloading operation, and the maximum air draught.

7.

Arrangements for gangways and access.

8. Which side of the ship is to be alongside the berth.

9. Maximum allowable speed of approach to the jetty and availability of tugs, their type and bollard pull.

10. The loading sequence for different parcels of cargo, and any other restrictions if it is not possible to take the

cargo in any order or any hold to suit the ship.

11. Any properties of the cargo to be loaded which may present a hazard when placed in contact with cargo or

residues on board.

12. Advance information on the proposed loading or unloading operations or changes to existing plans for loading

or unloading.

13.

If the terminal’s loading or unloading equipment is fixed, or has any limits to its movement.

14. Mooring lines required.

15. Warning of unusual mooring arrangements.

16. Any restrictions on ballasting or de-ballasting.

17. Maximum sailing draught permitted by the competent authority.

18. Any other item related to the terminal requested by the master.

(1) Information on estimated times for berthing and departure and on minimum water depth at the berth shall be progressively
updated and passed to the master on receipt of successive ETA advice. Information on minimum water depth in approach and
departure channels shall be provided by the terminal or the competent authority, as appropriate.

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ANNEX VI

DUTIES OF THE TERMINAL REPRESENTATIVE PRIOR TO AND DURING LOADING OR UNLOADING
OPERATIONS

[as referred to in Article 7(2)(d)]

Prior to the start of and during loading or unloading operations the terminal representative shall:

1.

2.

3.

4.

5.

6.

provide the master with the names and procedures for contacting the terminal personnel or shipper’s agent
who will have the responsibility for the loading or unloading operation and with whom the master will have
contact;

take all precautionary measures to avoid damage to the ship by the loading or unloading equipment and inform
the master if damage occurs;

ensure the ship is kept upright or, if a list is required for operational reasons, it shall be kept as small as
possible;

ensure the unloading of the port side closely matches that of the starboard side in the same hold to avoid
twisting the ship;

in the case of high density cargoes, or when the individual grab loads are large, alert the master that there may
be high, localised impact loads on the ship’s structure until the tank top is completely covered by cargo,
especially when high free-fall drops are permitted and special care is taken at the start of the loading operation
in each cargo hold;

ensure that there is agreement between the master and the terminal representative at all stages and in relation
to all aspects of the loading or unloading operations and that the master is advised on any change to the agreed
loading rate, and at the completion of each pour of the weight loaded;

7. maintain a record of the weight and disposition of the cargo loaded or unloaded and ensure that the weights in

the holds do not deviate from the agreed loading or unloading plan;

8.

9.

10.

11.

ensure that the cargo is trimmed, when loading or unloading, to the master’s requirements;

ensure that the quantities of cargo required to achieve the departure draft and trim shall allow for all cargo on
the terminal’s conveyor systems to be run off and empty on completion of a loading. For that purpose the
terminal representative shall advise the master of the nominal tonnage contained on the terminal’s conveyor
system and any requirements for clearing the conveyor system on completion of the loading;

in the case of unloading, give the master the maximum warning when it is intended to increase, or to reduce,
the number of unloading heads used and advise the master when unloading is considered to be completed
from each hold;

ensure that no hot work is carried out on board or in the vicinity of the ship while the ship is alongside the
berth, except with the permission of the master and in accordance with any requirements of the competent
authority.

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26.10.2001

STATEMENT OF THE COUNCIL’S REASONS

I.

INTRODUCTION

Within the framework of the codecision procedure (Article 251of the EC Treaty) and following the
first reading by the European Parliament on 13 February 2001 (1), the Council adopted, on 28 June
2001, its Common Position with a view to adopting a Directive of the European Parliament and of
the Council establishing harmonised requirements and procedures for the safe loading and unloading
of bulk carriers.

The objective of the draft Directive is to improve the safety of bulk carriers. To this effect, it intends
to implement, in a harmonised manner, the principles and provisions of the IMO Resolutions [in
particular, the IMO code of practice for the safe loading and unloading of bulk carriers (the
BLU code)] aiming at reducing the risks of excessive wear to the structure of bulk carriers during
their loading and unloading. This includes requirements concerning the organisation of terminals,
the loading and unloading procedures, the monitoring by the public authorities and the repair of
damages caused during the operations.

In taking its position, the Council took account of the first reading by the European Parliament as
well as the opinion of the Economic and Social Committee (2) and the Commission’s modified
proposal (3).

II.

ANALYSIS OF THE COMMON POSITION

The Council agreed with the general principle of the Commission proposal in seeking to improve
the safety of bulk carriers essentially by implementing, in the Community, an instrument of the
International Maritime Organisation (the BLU code), which establishes internationally recognised
guidelines to this effect. Accordingly, the Council introduced only certain technical changes and
clarifications aimed at applying the principle of subsidiarity, facilitating the application of the
Directive in practice and ensuring legal clarity.

The Common Position contains the following key elements:

(a)

(b)

(c)

technical suitability criteria are established for the terminals to receiving bulk carriers, including
a requirement to have a certified quality management system;

the terminal operators shall designate terminal representatives with overall responsibility for
the safety of loading and unloading of bulk carriers at the terminal;

a plan shall be set up for loading or unloading and the responsibilities of the master and the
terminal representative are clearly established;

(d) procedures are established to ensure adequate communication between the ship and the

terminal;

(e) Member States’ competent authorities are empowered to intervene if the safety of the ship or

crew is endangered by loading or unloading;

(f)

procedures are established for the repair of damage to ships during loading or unloading.

(1) OJ C 276, 1.10.2001, p. ....
(2) OJ C 14, 16.1.2001, p. 37. The Committee of the Regions was consulted, but decided not to give an opinion.
(3) OJ C 180 E, 26.6.2001, p. 273.

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In the spirit described above, the Council made the following adjustments to the Commission
proposal:

— the Council clarified the scope of the Directive by excluding terminals receiving bulk carriers
only exceptionally and cases where loading or unloading are carried out solely by the equipment
of the bulk carrier concerned. However, it was stressed that in any case the relevant provisions
of the International Convention on the Safety of Life at Sea (SOLAS) must be observed
(Article 2),

— terminals were given the possibility to get certification of their quality management system also
to standards equivalent to the ISO-standard referred to. Furthermore, given the time required
by the certification process and the limited number of organisations competent to issue the
certificates, it was considered reasonable to provide for a transition period for terminals to
obtain the certification, as well as a possibility for new terminals to start operating pending
completion of the certification (Articles 5 and 6).

Other minor changes were brought to the Commission proposal:

— the title of the Directive was amended so that the word ‘harmonised’ explicity refers to both

requirements and procedures),

— paragraph 4 was added to Article 10 to make it clear that the provisions in this Article
concerning repair of ships do not affect the bodies and competencies of port State control
authorities to act under Directive 95/21/EC in cases of deficiencies in ships,

— in order to avoid excessive administrative burdens, the Council increased the reporting interval
from two years concerning the Member States’ reports on verification of the compliance with
the Directive [Article 11(2)],

— the drafting concerning the Committee procedure was brought in line with established practices

(Articles 12 and 13) (1),

— point 3 of Annex II to the Commission proposal concerning calibration of weighing equipment
was deleted as this issue was considered to be covered under existing related legislation,

— points 3, 4 and 8 were added from the BLU code to Annex VI as they were considered relevant

safety aspects to be observed by the terminal representative.

III. AMENDMENTS BY THE EUROPEAN PARLIAMENT

In the spirit of the abovementioned guiding principles, the Council followed, fully or in substance,
12 of the 15 amendments suggested by the European Parliament. Apart from editorial adjustments
to these amendments, it may be noted in this context that:

— concerning possible commercial interests of competent authorities in the terminals, the Council
preferred not to widen the scope of the Directive and prejudge the various administrative
models in Member States concerning the relationship between terminals and authorities, and
therefore made reference to safety related action of the authorities, which should not be
dependent of commercial interests (recital 14),

— concerning the definition of terminal representatives, the Council broadened the amendment
of the European Parliament so as to ensure that the responsibilities are adequately defined and
that a sufficient number of terminal representatives may be designated [Article 3(9)].

(1) OJ L 184, 17.7.1999, p. 23. See also for example, Article 14 of Directive 2000/59/EC of 27 November 2000 on

port reception facilities for ship-generated waste and cargo residues (OJ L 332, 28.12.2000, p. 81).

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The Council departed from the opinion of the European Parliament on three amendments:

— in application of the principle of subsidiarity and following the established practice in
Community maritime legislation, the Council maintained the Commission proposal for the
definition of ‘competent authorities’ thus leaving it for Member States to designate,
in
accordance with their internal administrative structure, the authority responsible for the
application of the Directive [Article 3(14)]; for the same reason, the Council could not accept
the suggested reference to a particular authority, the port State control authority, in recital 14,

— in order to avoid undue administrative burdens, the Council found it not justified to request
that all damage to ships be reported to the classification society but that such reporting be
confined to more serious damage as set out in Article 10(2) [Article 10(1)],

— following the opinion of the Commission, the Council could not accept the exclusion of the
monitoring of ‘hot work’ on board ship from the duties of the terminal representative, as this
could compromise his role in ensuring the safety of loading and unloading. It was considered
that the wording of the Directive does not impair the authority of the master for all activities
on board but rather adds to safety by, for instance, obliging the terminal representative to halt
loading or unloading operations if such ‘hot work’ is carried out onboard (Annex VI, point 11).