Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on ship recycling
Date: 2012-03-23
Institutions: European Commission
Subjects: EU Member State, environmental standard, export of waste, hazardous waste, recycling technology, ship's flag, vessel, waste recycling

EUROPEAN COMMISSION 

Brussels, 23.3.2012  
COM(2012) 118 final 

2012/0055 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on ship recycling 

{SWD(2012) 45 final} 
{SWD(2012) 47 final} 

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

1.1. 

General context and grounds for the proposal 

Environmentally  unsound  and  unsafe  practices  for  dismantling  ships  remain  a  matter  of 
serious concern. At the end of their operating life, most large commercial seagoing vessels are 
being  dismantled  in  facilities  using  methods  with  significant  environmental  and  health 
impacts. These negative aspects prevent ship recycling from becoming a properly sustainable 
industry. 

The  situation  is  likely  to  worsen  since  large  numbers  of  ships  are  expected  to  be  sent  for 
dismantling  in  the  coming  years  as  a  result  of  the  current  overcapacity  of  the  world  fleet 
which is estimated to remain for at least 5 to 10 years. In addition, the coming peak in ship 
recycling  that  will  occur  around  the  phasing-out  date  for  single-hull  tankers  (2015)  is 
expected to essentially benefit the most sub-standard facilities. 

The Waste Shipment Regulation1 implements in the European Union the requirements of the 
Basel Convention on the control of transboundary movements of hazardous wastes and their 
disposal. It also implements the provision of an Amendment to the Convention (the so-called 
‘Ban  Amendment’)  which  prohibits  the  export  of  hazardous  waste  outside  the  OECD.  This 
Amendment has not yet entered into force at international level due to insufficient ratification.  

According  to  the  Waste  Shipment  Regulation,  EU-flagged  ships  going  for  dismantling  are 
classified as hazardous waste since they contain hazardous substances. As such, they can only 
be dismantled  within countries  of  OECD. However, this legislation is almost systematically 
circumvented  by  EU-flagged  ships2  thereby  rendering  both  International  rules  and  Union 
legislation ineffective. 

Such widespread non-compliance is firstly linked with the lack of recycling capacity available 
within the OECD in particular for the largest ships. The existing capacity at European level is 
used for the dismantling of small ships and governmental ships but not for large commercial 
sea-going  vessels.  Similarly  to  shipbuilding,  ship  dismantling  has  re-located  during  the  last 
few decades from European countries to non-OECD countries for economic reasons (demand 
for steel, low labour costs, no internalisation of environmental costs). As a result, the option 
of developing additional dismantling capacity in Europe has not been economically feasible. 

A  significant  recycling  capacity  exists  outside  the  OECD  in  China,  India,  Pakistan  and 
Bangladesh.  It  is  expected  that  facilities  located  in  the  OECD,  in  China  as  well  as  some 
facilities  located  in  India  will  be  able  to  comply  with  the  requirements  of  the  Hong  Kong 
Convention by 2015.  

1 

2 

Regulation  (EC)  No  1013/2006  of  the  European  Parliament  and  of  the  Council  of  14  June  2006  on 
shipments of waste.  
In 2009, more than 90 % of EU flagged ships were dismantled outside the OECD, mostly in South Asia. 

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The  current  existing  capacity  available  in  China  (2,83  millions  LDT3  in  2009)  is,  in  fact, 
already  largely  sufficient  to  treat  all  EU  flagged  ships  until  2030  (the  maximum  yearly 
volume  in  the  period  2012-2030  will  be  of  1,88  million  LDT)  and  a  new  facility  with  a 
capacity  of  1  million  LDT  will  shortly  start  its  activities.  This  is  the  result  of  actions 
undertaken by the public authorities to promote specifically the green ship recycling market 
and  close  substandards  facilities  as  well  as  investments  made  by  responsible  European 
shipowners in safe and sound recycling facilities.  

Secondly, the current situation of the ship recycling market favours facilities in Bangladesh, 
India and (to a lesser extent) Pakistan whilst competitors in the EU, Turkey and China with 
higher technical standards are only able to occupy niche markets such as those for small ships, 
government vessels including warships or the fleet of committed shipowners. 

Finally, the current legislation is not adapted to the specificities of ships. Identifying when a 
ship  becomes  waste  is  difficult.  Shipowners’  decisions  to  send  their  ships  for  recycling  are 
based on an economic comparison of the costs and benefits of maintaining a ship in operation 
and sending it for dismantling. 

If  this  decision  is  taken  while  the  ship  is  in  international  waters  or  in  waters  under  the 
jurisdiction of the recycling state, it is very difficult or impossible to apply the procedures of 
the  Waste  Shipment  Regulation.  Moreover,  commercial  ships  leaving  European  ports  and 
waters  usually  optimise  their  last  voyage  by  delivering  goods  in  Asia  prior  to  going  for 
dismantling. If the shipowner does not declare the intention to dismantle a ship when leaving 
an  EU  port,  the  relevant  authorities  can  in  general  not  intervene.  The  Waste  Shipment 
Regulation establishes rights and obligations for the exporting state, the importing state and, if 
applicable,  the  transit  states.  The  port  states  are,  however,  not  necessarily  informed  of  the 
shipowner’s intention to recycle a ship. Finally, it is also not uncommon for a ship to be sold 
to  another  operator  under  the  pretence  that  the  ship  will  continue  trading  only  for  it  to  be 
transferred to a ship dismantling facility. 

In  order  to  apply  the  current  legislation  and,  in  particular,  the  ban  on  exporting  end  of  life 
ships  outside  the  OECD,  Member  States  would  have  to  make  a  disproportionate  effort  on 
enforcement  given  the  lack  of  recycling  capacity  within  the  OECD  as  well  as  the  legal 
possibility for any ship to change its state of registration ("flag state"). 

In  order  to  improve  the  situation,  Parties  to  the  Basel  Convention  invited,  in  2004,  the 
International  Maritime  Organization  (IMO)  to  develop  mandatory  requirements  for  ship 
recycling4.In 2006, the Parties to the Basel Convention welcomed the steps taken by the IMO 
in  developing  the  draft  ship  recycling  convention  and  recognised  that  the  duplication  of 
instruments having the same objective should be avoided. Parties were invited to carry out an 
assessment of the level of control and enforcement established by the Basel Convention in its 
entirety and an assessment of the expected level of control and enforcement to be provided by 
the draft ship recycling convention in its entirety, and to compare the two conventions5. 

The Hong Kong International Convention for the Safe and Environmentally Sound Recycling 
of Ships (hereinafter referred to as the Hong Kong Convention) was adopted in May 2009 by 

3 

4 

5 

The  weight  of  a  scrap  ship  is  most  often  expressed  in  light  displacement  tonnes  (LDT)  which  is 
calculated without cargo, fuel, ballast water etc and roughly equals the steel weight of a vessel. 
Decision VII/26 on the Environmentally sound management of ship dismantling adopted during the 7th 
Conference of the Parties to the Basel Convention. 
See decision VIII/11 http://archive.basel.int/meetings/cop/cop8/docs/16eREISSUED.pdf  

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the  International  Maritime  Organization.  This  Convention,  when  it  comes  into  force,  will 
require the Parties (including EU Member States) to dismantle their large commercial ships 
only in countries that are party to the Convention. This may include Asian countries, whose 
ship  dismantling  facilities  will  need  to  meet  internationally  accepted  standards  (higher  than 
the current standards). These facilities will have to treat ships coming from non-Parties in a 
similar manner as ships flying the flags of the Parties to the Convention (‘no more favourable 
treatment’ clause). 

The  Hong  Kong  Convention  was  adopted  in  2009  but  needs  to  be  ratified  by  a  sufficient 
number of both large flag and recycling states in order to enter into force and start producing 
effects. This is not expected to happen before 2020 at the earliest. This Convention will enter 
into force twenty four months after the date on which the following conditions are met: 

– 

– 

– 

not  less  than  15  States  have  either  signed  it  without  reservation  as  to  ratification, 
acceptance  or  approval,  or  have  deposited  the  requisite  instrument  of  ratification, 
acceptance, approval or accession; 

their  combined  merchant  fleets  constitute  not  less  than  40  per  cent  of  the  gross 
tonnage of the world’s merchant shipping; and 

the combined maximum annual ship recycling volume during the preceding 10 years 
constitutes  not  less  than  3  per  cent  of  the  gross  tonnage  of  the  combined  merchant 
shipping of the same States. 

The Parties to the Basel Convention welcomed the adoption of the Hong Kong Convention in 
20106  and  embarked  on  a  preliminary  assessment  of  whether  the  Hong  Kong  Convention 
establishes a level of control and enforcement equivalent to that established under the Basel 
Convention7. 

The  European  Union  and  its  Member  States  finalised  their  assessment  in  April  2010  which 
concluded  that  the  Hong  Kong  Convention  appears  to  provide  a  level  of  control  and 
enforcement at least equivalent to that provided by the Basel Convention for ships which are 
classified as waste under the Basel Convention8. 

In  October  2011,  Parties  to  the  Basel  Convention  encouraged  the  ratification  of  the  Hong 
Kong Convention to enable its entry into force9. 

The  Commission  adopted  a  Green  Paper  on  better  ship  dismantling  in  2007  and  a 
Communication  proposing  an  EU  strategy  on  ship  dismantling10  in  2008.  This  strategy 
focused on measures to improve ship dismantling conditions as soon as possible, including in 
the interim period before the entry into force of the Hong Kong Convention: i.e. dealing with 
key  elements  of  the  Convention,  encouraging  voluntary  industry  action,  providing  technical 
assistance  and  support  to  developing  countries  and  better  enforcing  the  current  legislation. 
The following has been achieved by the Strategy:  

6 
7 
8 

9 

10 

EN 

the 

from 

Decision OEWG-VII/12 on the Environmentally sound management of ship dismantling.  
See decision OEWG VII/12 http://archive.basel.int/meetings/oewg/oewg7/docs/21e.pdf  
Submission 
http://archive.basel.int/ships/oewg-vii12-comments/comments/eu.doc  
Decision X/ AA on the environmentally sound dismantling of ships adopted during the 10th conference 
of the Parties to the Basel Convention. 
Communication COM(2008) 767 final of 19 November 2008 presenting an EU strategy for better ship 
dismantling, and its impact assessment in Commission Staff Working Document SEC(2008) 2846 

European  Union 

its  Member 

available 

States 

and 

at 

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– 

– 

– 

– 

– 

Adoption  of  a  Convention  which  will  enhance  ship  recycling  with  its  procedures 
adapted to the specificities of ships and detailed requirements to be met by improved 
recycling facilities;  

Support for the voluntary actions by the industry prior to the entry into force of the 
Convention:  

• 

• 

• 

voluntary  application  of  the  Convention's  requirements  and  guidelines  (for 
example, development of inventories of hazardous materials),  

adoption of green sales contracts,  

investments in safe and sound recycling facilities; 

Studies, research and pilot projects have been conducted to assess developments and 
promote  better  ship  recycling  technologies  for  ships  under  the  scope  of  the  Hong 
Kong Convention and other ships,  

Actions  have  been  undertaken  by  the  Commission  to  better  implement  the  Waste 
Shipment  Regulation  when  it  was  alerted  that  specific  ships  would  go  for 
dismantling,  

Support  has  been  provided  to  ship  recycling  countries  through  a  grant  under  the 
Thematic  Programme  for  the  environment  and  sustainable  management  of  natural 
resources including energy (ENRTP) to the "Global Programme for Sustainable Ship 
Recycling"  jointly  managed  by  Secretariats  of  the  Basel  Convention,  of  the 
International Maritime Organization and of the International Labour Organization.  

1.2. 

Objective of the proposal 

The objective of the Ship Recycling Regulation is to reduce significantly the negative impacts 
linked  to  the  recycling  of  EU-flagged  ships,  especially  in  South  Asia  without  creating 
unnecessary  economic  burdens.  The  proposed  Regulation  brings  into  force  an  early 
implementation  of  the  requirements  of  the  Hong  Kong  Convention,  therefore  hastening  its 
entry into force globally. 

1.3. 

Existing provisions in the area of the proposal 

The  proposal  concerns  the  adoption  of  a  regulation  on  ship  recycling.  The  new 
regulation is intended to replace the existing Regulation (EC) No 1013/2006/11 with 
regard to ships covered by the Hong Kong Convention.  

11 

Regulation  (EC)  No  1013/2006  of  the  European  Parliament  and  of  the  Council  of  14  June  2006  on 
shipments of waste.  

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2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENT 

2.1. 

Consultation of interested parties 

In  developing  the  impact  assessment  supporting  this  legislative  proposal,  the  Commission 
consulted stakeholders and drew upon external expertise through a public consultation from 
April to June 2009 and four expert workshops. 

Most stakeholders clearly supported prompt ratification of the Hong Kong Convention by the 
EU Member States in order to hasten its entry into force by encouraging ratification by other 
States. Many stakeholders are in favour of early implementation of the Convention by the EU 
since  they  consider  that  waiting  for  its  entry  into  force  is  unacceptable  when  ship-breaking 
workers  continue  to  be  killed  or  injured  at  work  and  considerable  environmental  damage 
occurs. Some consider that the EU should not impose additional requirements that go beyond 
the  Convention.  The  contributions,  the  summary  of  the  responses  to  the  public  consultation 
and the reports on the stakeholders’ workshop are available on the Internet12. 

The  European  Parliament,  the  European  Economic  and  Social  Committee  and  the  Council 
debated  the  Communication  and  adopted  respectively  a  resolution  on  26  March  200913,  an 
opinion on 13 May 200914 and conclusions on 21 October 201015 concerning an EU strategy 
for better ship dismantling.  

2.2. 

Impact assessment 

An impact assessment  was  conducted by the Commission to consider the options for a ship 
recycling  regime  which  can  be  effectively  enforced.  The  analysis  considered  the  economic, 
social and environmental impacts of different options. 

The  recommendations  of  the  impact  assessment  board  (IAB)  were  taken  into  account,  with 
the  main  modifications  concerning  the  need  for  a  clearer  problem  definition,  clearer 
presentation of the actions already taken in ship recycling countries in the baseline scenario, 
strengthening of the intervention logic and a better link between the specific and operational 
objectives  and  the  problems  and  drivers,  and  strengthened  assessment  of  the  policy  options 
regarding in particular the potential future enforcement and compliance difficulties. 

Only  the  policy  package  D  fully  satisfies  the  identified  objectives  as  demonstrated  in  the 
impact assessment. 

This option consists in introducing an ad-hoc Regulation covering the ships under the Hong 
Kong  Convention  (large  commercial  seagoing  vessels).  This  Regulation  would  cover  the 
whole  life  cycle  of  EU-flagged  ships,  implement  early  the  requirements  of  the  Hong  Kong 
Convention  and,  as  allowed  by  the  Convention,  include  more  stringent  environmental 
requirements for ship recycling facilities. Ships flying the flag of EU Member States would 
only be allowed to be recycled in facilities meeting requirements. 

12 
13 

14 

15 

http://ec.europa.eu/environment/waste/ships/index.htm 
http://www.europarl.europa.eu/sides/getDoc.do?pubRef=-//EP//TEXT+TA+P6-TA-2009-
0195+0+DOC+XML+V0//EN&language=EN  
http://eescopinions.eesc.europa.eu/EESCopinionDocument.aspx?identifier=ces\nat\nat425\ces877-
2009_ac.doc&language=EN  
http://www.consilium.europa.eu/uedocs/cms_data/docs/pressdata/en/envir/110626.pdf  

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EU Member States will be informed in writing and in due time of the shipowner’s intention to 
send  a  ship  for  recycling.  This  requirement  as  well  as  the  introduction  of  sanctions,  which 
would  be  at  least  equivalent  to  those  applicable  under  the  current  legislation,  will  ensure 
compliance. While it is difficult to expect the current ‘beaching’ facilities to be able to meet 
these requirements, it is possible that upgraded facilities might be able to fulfil these criteria 
in the future. In order to avoid confusion, overlaps and administrative burden, ships covered 
by this new legislation would no longer come under the Waste Shipment Regulation. 

This policy package constitutes the basis for this proposal. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Summary of the proposal 

This  legislative  proposal  addresses,  by  means  of  a  new  ad-hoc  Regulation,  ships  which  fall 
within the scope of the Hong Kong Convention (large commercial seagoing vessels). It covers 
the  whole  life  cycle  of  EU-flagged  ships,  implement  some  of  the  requirements  of  the  Hong 
Kong Convention (establishment of an inventory of hazardous materials, obligation to recycle 
ships in safe and sound facilities, general requirements applicable to ships prior to recycling) 
and,  as  allowed  by  the  Convention,  include  more  stringent  environmental  provisions  which 
are necessary prior to the entry into force of the Convention (requirements for ship recycling 
facilities,  establishment  of  an  European  list  of  ship  recycling  facilities,  establishment  of  a 
contract between the shipowner and the ship recycling facility). 

Obligation  to  establish  and  maintain  an  inventory  of  the  hazardous  materials  present  on 
board ships 

Ships flying the flag of an EU Member State will have to establish and maintain during their 
whole  operating  life  an  inventory  of  the  hazardous  materials  present  on  board.  While  new 
ships flying the flag of a Member State are requested to establish an inventory immediately, 
existing ships will have five years to do so except if they are sent for dismantling earlier. 

The inventory has to be updated and completed prior to sending the ship for recycling so as to 
ensure  that  the  selected  ship  recycling  facility  is  able  and  authorised  to  manage  all  the 
hazardous materials and waste present on board. 

Ships flying the flag of Member States will have to be dismantled in safe and environmentally 
sound ship recycling facilities 

A list of requirements defining the requirements to be fulfilled by the ship recycling facilities 
has been developed on the basis of the technical requirements of the Hong Kong Convention. 
Additional  requirements  have  been  added  in  order  to  protect  better  human  health  and  the 
environment  and,  in  particular,  ensure  that  all  hazardous  waste  will  be  treated  in  an 
environmentally sound manner both in the ship recycling facilities and if  it is transferred to 
waste management facilities. 

Individual  recycling  facilities  fulfilling  these  requirements  will  apply  for  inclusion  in  a 
European  list  of  ship  recycling  facilities.  Ships  flying  the  flag  of  an  EU  Member  State  will 
only be allowed to be recycled in facilities present on the European list.  

When  the  Hong  Kong  Convention  will  enter  into  force,  Parties  will  have  to  establish  and 
transmit  lists  of  ship  recycling  facilities  that  they  have  authorized  according  to  the 

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Convention.  These  lists  will  be  transmitted  to  the  International  Maritime  Organisation  for 
dissemination as appropriate. It will be necessary to review the Regulation on ship recycling 
when  these  lists  of  facilities  will  become  available  at  international  level  in  order  to  avoid 
administrative  burden  and  duplication  of  work  with  the  European  list  of  ship  recycling 
facilities. A mechanism of mutual recognition could, for example, be introduced. 

Specific requirements prior to recycling  

Ships flying the flag of Member States will have to minimise the amount of hazardous waste 
present on board (which can also be present in cargo residues, fuel oil, etc.) prior to delivery 
to a ship recycling facility. 

In the specific case of tankers, the shipowners will have to ensure that ships arrive at the ship 
recycling facility in a condition which is ready for certification as Safe-for-entry and Safe-for-
hot-work so as to prevent explosions and (fatal) accidents amongst workers in ship recycling 
facilities. 

Improving compliance with the Union legislation 

Contrary to the existing legislation, the proposed Regulation is based on the system of control 
and enforcement of the Hong Kong Convention, which is specifically designed for ships and 
international shipping (certificates, surveys, specific obligations for the flag state, etc.). 

By allowing ships to be recycled in facilities located outside of the OECD group of countries 
as  long  as  they  comply  with  the  requirements  and  are  included  in  the  European  list,  this 
Regulation  will  also  address  the  current  problem  of  the  lack  of  recycling  capacity  legally 
accessible to shipowners. 

In addition, EU Member States will be informed in writing and in due time of the shipowner’s 
intention to send a ship for recycling, thus removing the difficulty of identifying when a ship 
turns into waste. Member States will receive information about the planned start and about the 
completion  of  recycling.  By  comparing  the  list  of  ships  for  which  they  have  issued  an 
inventory certificate with the list of ships which  have  been  recycled  in authorized facilities, 
they  will  be  able  to  identify  more  easily  illegal  recycling.  In  addition,  sanctions  which  are 
more  specific  and  precise  than  the  ones  provided  for  under  the  current  legislation  will  be 
introduced. These requirements, coupled with the availability of sufficient legally accessible 
safe and sound recycling and of a system of control well adapted to the specificities of ships 
will ensure a better compliance with the legislation. 

Finally, in order to avoid confusion, overlaps and administrative burden, ships covered by this 
new legislation would no longer be covered by the Waste Shipment Regulation. 

3.2. 

Legal basis 

The proposal is based on Article 192(1) TFEU. 

3.3. 

Subsidiarity principle 

The  subsidiarity  principle  applies  insofar  as  the  proposal  does  not  fall  under  the  exclusive 
competence of the EU. 

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Ship  recycling  is  already  covered  by  European  legislation,  namely  the  Waste  Shipment 
Regulation. 

The  European  Union  cannot  become  a  party  to  the  Hong  Kong  Convention  since  this  is 
reserved  to  States  which  are  members  of  the  International  Maritime  Organization.  The  EU 
Member  States  will  therefore  have  a  key  role,  mainly  as  flag  states,  in  the  ratification  and 
achievement of the entry into force of the provisions of this Convention. 

Individual  action  by  Member  States  will  not  be  sufficient  since  not  all  Member  States 
consider the ratification of the Hong Kong Convention to be a priority. There is a clear risk of 
having different legal requirements applied to large commercial EU-flagged ships depending 
on the different Member States concerned. This situation could result in change of flags and 
unfair competition between the Member States acting as flag states.  

The  establishment  of  a  European  list  of  ship  recycling  facilities  fulfilling  requirements  will 
avoid duplication of work between EU Member States and facilitate their control procedures 
as flag states. 

Incorporating  the  Hong  Kong  Convention  into  European  legislation  would  promote 
harmonised  decision-making  and  speed  up  the  ratification  process  amongst  the  Member 
States.  In  addition,  early  action  by  the  EU  would  influence  third  countries  much  more  than 
action  by  individual  Member  States  and  thus  is  more  likely  to  bring  the  Hong  Kong 
Convention quickly into force. A proposal for a Council decision authorising Member States 
to ratify or to accede to, in the interests of the European Union, the Hong Kong International 
Convention  for  the  Safe  and  Environmentally  Sound  Recycling  of  Ships,  2009  is  therefore 
presented jointly with this proposal for a Regulation.  

3.4. 

Proportionality principle 

The  proposal  complies  with  the  proportionality  principle.  The  additional  burdens  for 
economic operators and national authorities are limited to those necessary to ensure that ship 
recycling  is  undertaken  in  a  safe  and  environmentally  sound  manner.  While  the  proposal 
entails additional costs for shipowners (development of the inventories of hazardous materials 
and surveys), these costs are expected to be offset by the substantial social and environmental 
benefits obtained. 

3.5. 

Choice of instrument 

The proposed instrument is a Regulation. 

A  Regulation  is  the  appropriate  legal  instrument  as  it  imposes  on  shipowners  and  Member 
States, directly and within a short time frame, precise requirements to be implemented at the 
same time and in the same manner throughout the Union. The development of requirements 
for  safe  and  environmentally  sound  ship  recycling  facilities  and  of  a  European  list  of  ship 
recycling facilities would, in particular, ensure harmonised implementation of the Hong Kong 
Convention. 

4. 

BUDGETARY IMPLICATION 

The proposal has no implications for the EU budget. 

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2012/0055 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on ship recycling 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 192(1) thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national Parliaments, 

Having regard to the opinion of the European Economic and Social Committee, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

16 
17 

Ships which constitute waste and which are subject to a transboundary movement for 
recycling are regulated by the Basel Convention on the Control of the Transboundary 
Movements  of  Hazardous  Wastes  and  their  Disposal  ('the  Basel  Convention')  and 
Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 
June 2006 on the shipment of waste16. Regulation (EC) No 1013/2006 implements the 
Basel  Convention  as  well  as  an  amendment17  to  the  Convention  adopted  in  1995, 
which has not yet entered into force at international level, and which establishes a ban 
on exports of hazardous waste to countries that are not members of the Organisation 
for Economic Co-operation and Development (OECD). Since ships contain hazardous 
materials, they are generally classified as hazardous waste and are therefore prohibited 
from being exported for recycling in facilities in countries not members of the OECD. 

The  mechanisms  for  controlling  and  enforcing  the  current  legislation  at  international 
and  European  level  are  not  adapted  to  the  specificities  of  ships  and  international 
shipping  and  have  proved  to  be  ineffective  in  preventing  unsafe  and  unsound  ship 
recycling practices. 

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 

OJ L 190, 12.7.2006, p. 1. 
Amendment to the Basel Convention ('Ban amendment') adopted by Decision III/1 of the Parties to the 
Basel Convention.  

EN 

10 

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actions  taken  by  recycling  countries  to  meet  the  requirements  of  the  Hong  Kong 
Convention.  

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. 

international 

law,  with  respect 

The Hong Kong Convention provides explicitly for its Parties to take more stringent 
measures  consistent  with 
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. 

to 

Flag states which are sending their ships to upgraded recycling facilities meeting the 
requirements of the Hong Kong Convention have an economic interest in ensuring that 
the Hong Kong Convention enters into force as soon as possible, in order to ensure a 
worldwide level playing field.  

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 
Directives18 respectively, 

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 

(4) 

(5) 

(6) 

(7) 

(8) 

(9)  When interpreting the requirements of this Regulation, consideration should be given 
to the guidelines developed by the International Maritime Organization to support the 
Hong Kong Convention.  

18 

OJ L 312, 22.11.2008, p. 3. 

EN 

11 

   EN 

 
                                                 
(10)  Member States should take measures to prevent circumvention of ship recycling rules 
and  to  enhance  transparency  of  ship  recycling.  As  provided  for  by  the  Hong  Kong 
Convention,  Member  States  should  report  information  concerning  ships  to  which  an 
inventory  certificate  has  been  issued,  ships  for  which  a  statement  of  completion  has 
been  received  and  information  regarding  illegal  recycling  and  follow  up  actions  that 
they have undertaken. 

(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.  

(12) 

(13) 

In  order  to  take  into  account  developments  regarding  the  relevant  international 
conventions, the power to adopt acts in accordance with Article 290 of the Treaty on 
the  Functioning  of  the  European  Union  should  be  delegated  to  the  Commission  in 
respect of the updating of the Annexes to this Regulation. It is of particular importance 
that the Commission carry out appropriate consultations during its preparatory work, 
including at expert level. The Commission, when preparing and drawing up delegated 
acts,  should  ensure  a  simultaneous,  timely  and  appropriate  transmission  of  relevant 
documents to the European Parliament and to the Council.  

In  order  to  ensure  uniform  conditions  for  the  implementation  of  this  Regulation, 
implementing powers should be conferred on the Commission. Those powers should 
be  exercised  in  accordance  with  Regulation  (EU)  No  182/2011  of  the  European 
Parliament and of the Council of 16 February 2011 laying down the rules and general 
principles  concerning  mechanisms  for  control  by  the  Member  States  of  the 
Commission's exercise of implementing powers19. 

(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, 

19 

OJ L 55, 28.2.2011, p. 13. 

EN 

12 

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HAVE ADOPTED THIS REGULATION: 

TITLE I - SCOPE AND DEFINITIONS 

Article 1 

Objective 

The  purpose  of  this  Regulation  is  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. 

Article 2 

Definitions 

1. 

(1) 

For the purposes of this Regulation, the following definitions shall apply: 

‘ship’  means  a  vessel  of  any  type  whatsoever  operating  or  having  operated  in  the 
marine  environment,  and  includes  submersibles,  floating  craft,  floating  platforms, 
self-elevating  platforms,  Floating  Storage  Units  (FSUs),  and  Floating  Production 
Storage and Offloading Units (FPSOs), as well as a vessel stripped of equipment or 
being towed; 

(2) 

‘new ship’ means either of the following: 

(a) 

(b) 

a  ship  for  which  the  building  contract  is  entered  into  on  the  day  of  the  entry 
into force of this Regulation or thereafter;  

a ship where, in the absence of a building contract, the keel is laid or the ship is 
at  a  similar  stage  of  construction  on  the  day  of  entry  into  force  of  this 
Regulation or six months thereafter;  

(c) 

a  ship  whose  delivery  takes  place  on  the  day  of  entry  into  force  of  this 
Regulation or thirty months thereafter; 

‘tanker’  means  an  oil  tanker  as  defined  in  Annex  I  to  the  Convention  for  the 
Prevention  of  Pollution  from  Ships  (MARPOL)  or  an  NLS  tanker  as  defined  in 
Annex II to that Convention; 

‘hazardous  material’  means  any  material  or  substance  which  is  liable  to  create 
hazards  to  human  health  or  the  environment,  including  any  substance  which  is 
considered  to  be  dangerous  under  Council  Directive  67/548/EEC20  and  Regulation 
1272/2008 of the European Parliament and of the Council21; 

(3) 

(4) 

20 
21 

OJ 196, 16.8.1967, p. 1. 
OJ L 353, 31.12.2008, p. 1. 

EN 

13 

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(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

(11) 

(12) 

(13) 

‘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; 

‘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; 

‘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; 

‘administration’  means  a  governmental  authority  designated  by  a  State  as 
responsible,  within  a  specified  geographical  area  or  area  of  expertise,  for  duties 
related to ships entitled to fly its flag or to ships operating under its authority;  

‘competent  authority’  means  a  governmental  authority  designated  by  a  State  as 
responsible,  within  a  specified  geographical  area  or  area  of  expertise,  for  duties 
related to ship recycling facilities operating within the jurisdiction of that State;  

‘gross  tonnage’  means  the  gross  tonnage  (GT)  calculated  in  accordance  with  the 
tonnage  measurement  regulations  contained  in  Annex  I  to  the  International 
Convention on Tonnage Measurement of Ships or any successor convention; 

‘competent  person’  means  a  person  with  suitable  qualifications,  training,  and 
sufficient knowledge, experience and skill, for the performance of the specific work;  

‘employer’  means  a  natural  or  legal  person  that  employs  one  or  more  workers 
engaged in ship recycling; 

‘shipowner’  means  the  natural  or  legal  person  registered  as  the  owner  of  the  ship, 
including the natural or legal person owning the ship for a limited period pending its 
sale  or  handover  to  a  ship  recycling  facility,  or,  in  the  absence  of  registration,  the 
natural or legal person owning the ship or any other organisation or person who has 
assumed  the  responsibility  for  operation  of  the  ship  from  the  owner  of  the  ship  as 
well as a legal person operating a state-owned ship; 

(14) 

‘new  installation’  means  the  installation  of  systems,  equipment,  insulation  or  other 
material on a ship after the day of entry into force of this Regulation; 

(15) 

‘safe-for-entry’ means a space on a ship that meets the following criteria: 

(a) 

the  oxygen  content  of  the  atmosphere  and  the  concentration  of  flammable 
vapours are within safe limits; 

(b) 

any toxic materials in the atmosphere are within permissible concentrations; 

(c) 

any residues or materials associated with the work authorised by the competent 
person  will  not  produce  uncontrolled  release  of  toxic  materials  or  an  unsafe 
concentration  of  flammable  vapours  under  existing  atmospheric  conditions 
while maintained as directed; 

EN 

14 

   EN 

 
(16) 

‘safe-for-hot work’ means a space on a ship that meets the following criteria: 

(a) 

a safe, non-explosive condition, including gas-free status, exists for the use of 
electric  arc  or  gas  welding  equipment,  cutting  or  burning  equipment  or  other 
forms  of  naked  flame,  as  well  as  heating,  grinding,  or  spark-generating 
operations; 

(b) 

the safe-for-entry criteria set out in point 15 are met; 

(c) 

existing atmospheric conditions will not change as a result of the hot work;  

(d) 

all adjacent spaces have been cleaned or treated sufficiently to prevent the start 
or spread of fire; 

‘site  inspection’  means  an  inspection  of  the  ship  recycling  facility  confirming  the 
condition described by the verified documentation; 

‘statement  of  completion’  means  a  confirmatory  statement  issued  by  the  ship 
recycling facility that the ship recycling has been completed in accordance with this 
Regulation; 

‘worker’  means  any  person  who  performs  work,  either  regularly  or  temporarily,  in 
the  context  of  an  employment  relationship,  including  the  personnel  working  for 
subcontractors; 

‘recognised  organisation’  means  an  organization  recognized  in  accordance  with 
Regulation (EC) No 391/2009 of the European Parliament and of the Council22; 

For  the  purposes  of  point  11  of  paragraph  1,  a  competent  person  may  be  a  trained 
worker or a managerial employee capable of recognising and evaluating occupational 
hazards,  risks,  and  employee  exposure  to  potentially  hazardous  materials  or  unsafe 
conditions in a ship recycling facility, and who is capable of specifying the necessary 
protection and precautions to be taken to eliminate or reduce those hazards, risks or 
exposures.  

Without  prejudice  to  Directive  2005/36/EC  of  the  European  Parliament  and  of  the 
Council23, the competent authority may define appropriate criteria for the designation 
of such persons and may determine the duties to be assigned to them. 

Article 3 

Scope 

This  Regulation  shall  apply  to  ships  entitled  to  fly  the  flag  of  a  Member  State  or 
operating under its authority. 

This Regulation shall not apply to: 

OJ L 131, 28.5.2009, p. 11. 
OJ L 255, 30.9.2005, p. 22. 

(17) 

(18) 

(19) 

(20) 

2. 

1. 

2. 

22 
23 

EN 

15 

   EN 

 
                                                 
(a) 

any warships, naval auxiliary, or other ships owned or operated by a Member 
State  and  used,  for  the  time  being,  only  on  government  non-commercial 
service; 

(b) 

ships of less than 500 GT; 

(c) 

ships operating throughout their life only in waters subject to the sovereignty or 
jurisdiction of the State whose flag the ship is entitled to fly. 

TITLE II - SHIPS 

Article 4 

Control of hazardous materials 

1. 

2. 

3. 

The  new  installation  of  materials  which  contain  asbestos  or  polychlorinated 
biphenyls shall be prohibited in accordance with Council Directive 96/59/EC24 on all 
ships. 

New  installations  of  materials  which  contain  controlled  substances  as  defined  in 
Regulation  (EC)  No  1005/2009  of  the  European  Parliament  and  of  the  Council25 
shall be prohibited on all ships. 

The  new  installation  of  materials  containing  perfluorooctane  sulfonic  acid  (PFOS) 
and  its  derivatives  (PFOS)  shall  be  prohibited  in  accordance  with  Regulation  (EC) 
No 757/2010 of the European Parliament and of the Council26. 

4. 

Member States shall take all of the following measures:  

(a)  prohibit or restrict the installation or use of hazardous materials referred to in 
paragraphs  1  to  3  on  ships  entitled  to  fly  its  flag  or  operating  under  its 
authority;  

(b)  prohibit or restrict the installation or use of such materials on ships whilst in its 

ports, shipyards, ship repair yards or offshore terminals; 

(c) 

effectively ensure that ships comply with the requirements set out in points (a) 
and (b). 

24 
25 
26 

OJ L 243, 24.9.1996, p. 31. 
OJ L 286, 31.10.2009, p. 1. 
OJ L 223, 25.8.2010, p. 29. 

EN 

16 

   EN 

 
                                                 
Article 5 

Inventory of hazardous materials 

1. 

2. 

3. 

An inventory of hazardous materials shall be kept on board of each new ship. 

An  inventory  of  hazardous  materials  shall  be  established  before  a  ship  goes  for 
recycling and kept on board. 

Existing  ships  registered  under  the  flag  of  a  third  country  and  applying  to  be 
registered  under  the  flag  of  a  Member  State  shall  ensure  that  an  inventory  of 
hazardous materials is kept on board. 

4. 

The inventory of hazardous materials shall: 

(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; 

(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. 

In addition to paragraph 4, for existing ships a plan shall be prepared describing the 
visual/sampling check by which the inventory of hazardous materials is developed. 

The inventory of hazardous materials shall consist of three parts: 

(a) 

(b) 

(c) 

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

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

Part  I  of  the  inventory  of  hazardous  materials  shall  be  properly  maintained  and 
updated  throughout  the  operational  life  of  the  ship,  reflecting  new  installations 
containing any hazardous materials referred to in Annex I and relevant changes in the 
structure and equipment of the ship. 

Prior  to  recycling,  the  inventory  shall,  in  addition  to  the  properly  maintained  and 
updated Part I, incorporate Part II for operationally generated wastes and Part III for 
stores, and be verified by the Member State whose flag the ship is flying. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 26 concerning the updating of the list of items for the inventory of hazardous 
materials in Annex I. 

5. 

6. 

7. 

8. 

9. 

EN 

17 

   EN 

 
Article 6 

Preparation for recycling: general requirements 

1. 

Shipowners shall ensure that ships: 

2. 

1. 

2. 

(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. ; 

(b) 

(c) 

after  publication  of  the  European  List,  are  only  recycled  at  ship  recycling 
facilities that are included in the European list; 

conduct operations in the period prior to entering the ship recycling facility in 
such  a  way  as  to  minimise  the  amount  of  cargo  residues,  remaining  fuel  oil, 
and ship generated wastes remaining on board; 

(d)  update and complete the inventory of hazardous materials in accordance with 

Article 5; 

(e)  hold  a  ready  for  recycling  certificate  issued  by  the  Member  State  whose  flag 

they are flying prior to any recycling activity. 

Shipowners  shall  also  ensure  that  tankers  arrive  at  the  ship  recycling  facility  with 
cargo tanks and pump rooms in a condition that is ready for certification as safe-for-
entry and safe-for-hot work. 

Article 7 

Ship recycling plan 

A  ship-specific  ship  recycling  plan  shall  be  developed  prior  to  any  recycling  of  a 
ship. 

The ship recycling plan shall: 

(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); 

(b)  be  drawn  up  in  an  official  language  of  the  country  authorizing  the  ship 
recycling  facility  and  where  the  language  used  is  not  English,  French  or 
Spanish,  the  Ship  Recycling  Plan  shall  be  translated  into  one  of  those 
languages ; 

(c) 

(d) 

include information concerning the establishment, maintenance and monitoring 
of  the  safe-for-entry  and  safe-for-hot  work  criteria  and  other  necessary 
information; 

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 

EN 

18 

   EN 

 
materials  and  waste  will  be  managed  in  the  facility  as  well  as  in  subsequent 
waste management facilities; 

(e)  where more than one ship recycling facility is used, identify the ship recycling 
facilities to be used and specify the recycling activities and the order in which 
they occur at each authorised ship recycling facility. 

Article 8 

Surveys 

Surveys shall be carried by out by officers of the administration or of a recognised 
organisation acting on behalf of the administration.  

Ships shall be subject to the following surveys: 

(a) 

an initial survey;  

(b) 

a renewal survey; 

(c) 

an additional survey;  

(d) 

a final survey. 

The initial survey shall be conducted before the ship is put in service, or before the 
inventory certificate is issued. The officers carrying out that survey shall verify that 
Part I of the inventory of hazardous materials complies with the requirements of this 
Regulation. 

The  renewal  survey  shall  be  conducted  at  intervals  specified  by  the  administration, 
which  however  shall  not  exceed  five  years.  The  officers  carrying  out  that  survey 
shall  verify  that  Part  I  of  the  inventory  of  hazardous  materials  complies  with  the 
requirements of this Regulation. 

The additional survey, either general or partial, may be conducted at the request of 
the  shipowner  after  a  change,  replacement,  or  significant  repair  of  the  structure, 
equipment,  systems,  fittings,  arrangements  and  material.  The  officers  carrying  out 
that survey shall ensure that any such change, replacement, or significant repair has 
been made in a manner that allows the ship to comply with the requirements of this 
Regulation, and they shall verify that Part I of the inventory of hazardous materials 
has been amended accordingly. 

1. 

2. 

3. 

4. 

5. 

6. 

The final survey shall be conducted prior to the ship being taken out of service and 
before the recycling of the ship has started.  

The officers carrying out that survey shall verify that: 

(a) 

the  inventory  of  hazardous  materials  complies  with  the  requirements  of  this 
Regulation; 

EN 

19 

   EN 

 
 
(b) 

the  ship  recycling  plan  properly  reflects  the  information  contained  in  the 
inventory of hazardous materials; 

(c) 

the ship recycling plan contains the following information: 

(1) 

(2) 

the establishment, maintenance and monitoring of the safe-for-entry and 
safe-for-hot work criteria;  

the  treatment  of  the  hazardous  materials  and  waste  generated  by  the 
recycling  of  the  specific  ship  in  the ship  recycling  facility  as  well  as  in 
any authorized waste treatment facility;  

(d) 

(e) 

there  is  a  contract  between  the  shipowner  and  the  ship  recycling  facility 
complying with Article 9, 

the  ship  recycling  facility  where  the  ship  is  to  be  recycled  is  included  in  the 
European List. 

7. 

For  existing  ships  intended  for  dismantling,  the  initial  survey  and  the  final  survey 
shall be conducted at the same time.  

Article 9 

1. 

2. 

3. 

Contract between the shipowner and a ship recycling facility 

The shipowner and a ship recycling facility complying with the requirements set out 
in  Article  12  shall  enter  into  a  contract  in  relation  to  any  ship  which  needs  to  be 
recycled. 

The contract shall be effective at the latest from the time of the request for the final 
survey referred to in Article 8(1)(d) and until the recycling is completed. 

The contract shall include the following obligations for the shipowner: 

(a) 

(b) 

(c) 

to apply the general requirements for the preparation of recycling referred to in 
Article 6; 

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; 

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. 

4. 

The contract shall include the following obligations for the ship recycling facility: 

(a) 

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

EN 

20 

   EN 

 
(b) 

(c) 

to  report  the  planned  start  of  ship  recycling  to  the  shipowner  in  accordance 
with the form laid down in Annex II; 

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

(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: 

(i) name of the State whose flag the ship is entitled to fly; 

(ii) date on which the ship was registered with that State; 

(iii) ship’s identification number (IMO number); 

(iv) hull number on new-building delivery; 

(v) name and type of the ship; 

(vi) port at which the ship is registered; 

(vii) name and address of the shipowner as well as the IMO registered owner 

identification number; 

(viii)  name  and  address  of  the  company  as  well  as  the  IMO  company 

identification number; 

(ix) name of all classification society(ies) with which the ship is classed; 

(x) ship’s main particulars (Length overall (LOA), Breadth (Moulded), Depth 
(Moulded),  Lightweight,  Gross  and  Net  tonnage,  and  engine  type  and 
rating); 

(xi) Inventory of hazardous materials; and 

(xii) draft ship recycling plan;  

(e) 

to  transfer  all  waste  generated  in  the  ship  recycling  facility  only  to  waste 
treatment  facilities  which  are  authorised  by  the  competent  authorities  to  deal 
with their treatment and disposal in a safe and environmentally sound manner; 

(f)  when  the  partial  or  total  recycling  of  a  ship  is  completed  in  accordance  with 
this Regulation, to report the completion of the ship recycling to the shipowner 
in accordance with the form laid down in Annex III. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 26 concerning the updating of the form of the report of planned start of ship 
recycling laid down in Annex II. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 26 concerning the updating of the form of the statement of completion of ship 
recycling laid down in Annex III. 

5. 

6. 

EN 

21 

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Article 10 

Issuance and endorsement of certificates 

1. 

2. 

3. 

After completion of an initial or renewal survey or of an additional survey conducted 
at the request of the shipowner, a Member State shall issue an inventory certificate in 
accordance  with  the  form  laid  down  in  Annex  IV.  This  certificate  shall  be 
supplemented by Part I of the inventory of hazardous materials. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 26 concerning the updating of the form of the inventory certificate laid down 
in Annex IV. 

After  successful  completion  of  a  final  survey  in  accordance  with  Article  8(6),  the 
administration  shall  issue  a  ready  for  recycling  certificate  in  accordance  with  the 
form laid down in Annex V. This certificate shall be supplemented by the inventory 
of hazardous materials and the ship recycling plan.  

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 26 concerning the updating of the form of the ready for recycling certificate 
laid  down  in  Annex  V.  A  ready  for  recycling  certificate  issued  after  a  survey 
conducted  in  accordance  with  paragraph  2  shall  be  accepted  by  the  other  Member 
States and regarded for the purposes of this Regulation as having the same validity as 
a certificate issued by them.  

4. 

The  ready  for  recycling  certificates  shall  be  issued  or  endorsed  either  by  the 
administration or by a recognised organisation acting on behalf of the administration. 

Article 11 

Duration and validity of certificates 

1. 

2. 

An inventory certificate shall be issued for a period specified by the administration, 
which shall not exceed five years. 

An inventory certificate issued under Article 10 of this Regulation shall cease to be 
valid in any of the following cases: 

(a)  where  the  condition  of  the  ship  does  not  correspond  substantially  with  the 
particulars  of  the  certificate,  including  where  Part  I  of  the  inventory  of 
hazardous materials is not properly maintained and updated, reflecting changes 
in ship structure and equipment; 

(b)  where  the  renewal  survey  is  not  completed  at  intervals  specified  by  the 

administration but not exceeding five years;  

(c)  where the certificate is neither issued nor endorsed in accordance with Article 

10 of this Regulation. 

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3. 

4. 

A  ready  for  recycling  certificate  issued  under  Article  10  of  this  Regulation  shall 
cease  to  be  valid  where  the  condition  of  the  ship  does  not  correspond  substantially 
with the particulars of the certificate. 

A ready for recycling certificate shall be issued by the administration for a period not 
exceeding three months. The ready for recycling certificate may be extended by the 
administration or by a recognised organisation acting on behalf of the administration 
for a single point to point voyage to the ship recycling facility. 

TITLE III - SHIP RECYCLING FACILITIES 

Article 12 

Requirements for ship recycling facilities  

Ships  shall  only  be  recycled  in  ship  recycling  facilities  which  have  been  included  in  the 
European list.  

In  order  to  be  included  in  the  European  list,  a  ship  recycling  facility  shall  comply  with  the 
following requirements: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

be designed, constructed and operated in a safe and environmentally sound manner; 

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; 

prevent adverse effects on human health and the environment ; 

develop and approve a ship recycling facility plan; 

establish and maintain an emergency preparedness and response plan; 

provide  for  worker  safety  and  training,  including  ensuring  the  use  of  personal 
protective equipment for operations requiring such use; 

establish  records  on  incidents,  accidents,  occupational  diseases  and  chronic  effects 
and,  if  requested  by  its  competent  authorities,  report  any  incidents,  accidents, 
occupational  diseases  or  chronic  effects  causing,  or  with  the  potential  for  causing, 
risks to workers’ safety, human health and the environment; 

ensure safe and environmentally sound management of hazardous materials; 

be authorised to conduct its operations by its competent authorities; 

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

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(k) 

(l) 

(m) 

(n) 

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; 

demonstrate the control of any leakage, in particular in intertidal zones;  

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

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.  

For the purposes of point (n), environmentally sound management may be assumed as regards 
the waste recovery or disposal operation concerned, where the ship recycling facility can 
demonstrate that the waste management facility which receives the waste will be operated in 
accordance with human health and environmental protection standards that are equivalent to 
standards established in Union legislation. 

Article 13 

Evidence to be provided by ship recycling facilities 

The ship recycling facility  shall provide  evidence that  it  complies  with  the  requirements set 
out in Article 12 in order to conduct ship recycling and to be included in the European List.  

In particular, the ship recycling facility shall: 

(1) 

(2) 

(3) 

(4) 

(5) 

identify  the  permit,  license  or  authorization  granted  by  its  competent  authorities  to 
conduct  ship  recycling  and  specify  the  size  limitations  (maximum  length,  breadth 
and  lightweight)  of  the  ships  it  is  authorized  to  recycle  as  well  as  any  applicable 
limitations; 

certify that it will only accept a ship flying the flag of an European Member State for 
recycling in accordance with the provisions of this Regulation; 

provide  evidence  that  the  ship  recycling  facility  is  capable  of  establishing, 
maintaining  and  monitoring  of  the  safe-for-hot  work  and  safe-for-entry  criteria 
throughout the ship recycling process; 

attach  a  map of the boundary  of  the  ship  recycling  facility  and  the  location  of  ship 
recycling operations within it; 

for  each  material  referred  to  in  Annex  I  and  additional  hazardous  material  which 
might be part of the structure of a ship specify:  

(a) 

if the facility is authorized to carry out the removal of the hazardous material. 
In this case, the responsible personnel authorized to carry out the removal shall 
be identified and evidence of its competence shall be provided; 

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(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: 

(i) 

without risk to water, air, soil, plants or animals; 

(ii) 

without causing a nuisance through noise or odours;  

(iii)  without adversely affecting the countryside or places of special interest; 

(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:  

(i) 

name and address of the waste treatment facility; 

evidence  that  the  waste  treatment  facility  is  authorized  to  treat  the 

(ii) 
hazardous material; 

(iii) 

description of the waste treatment process; 

(iv) 
evidence  that  the  waste  treatment  process  will  ensure  that  carried  out 
without  endangering  human  health,  without  harming  the  environment  and,  in 
particular: 

– 

– 

– 

without risk to water, air, soil, plants or animals; 

without causing a nuisance through noise or odours;  

without  adversely  affecting  the  countryside  or  places  of  special 
interest. 

Article 14 

Authorization of ship recycling facilities located in a Member State 

1. 

2. 

3. 

Competent  authorities  shall  authorize  ship  recycling  facilities  located  on  their 
territory  that  comply  with  the  requirements  set  out  in  Article  12  to  conduct  ship 
recycling. That authorization may be given to the respective ship recycling facilities 
for the maximum period of five years. 

Member  States  shall  establish  and  update  a  list  of  the  ship  recycling  facilities  that 
they have authorised in accordance with paragraph 1. 

The list referred to in paragraph 2 shall be notified to the Commission without delay 
and not later than one year from the date of the entry into force of this Regulation. 

EN 

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4. 

5. 

6. 

7. 

8. 

9. 

Where  a  ship  recycling  facility  ceases  to  comply  with  the  requirements  set  out  in 
Article  12,  the  Member  State  shall  withdraw  the  authorization  given  to  the  ship 
recycling facility concerned and shall inform the Commission thereof without delay.  

Where  a  new  ship  recycling  facility  has  been  authorized  in  accordance  with 
paragraph 1, the Member State shall inform the Commission thereof without delay.  

Article 15 

Ship recycling facilities located outside of the Union  

A recycling company located outside the Union wishing to recycle ships flying the 
flag of a Member State shall submit an application to the Commission for inclusion 
of its ship recycling facility in the European List.  

That  request  shall  be  accompanied  by  the  information  and  supporting  evidence 
required  by  Article  13  and  Annex  VI  that  the  ship  recycling  facility  complies  with 
the requirements set out in Article 12.  

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article  26  concerning  the  updating  of  the  form  on  the  identification  of  the  ship 
recycling facility provided for in Annex VI. 

By  applying  for  inclusion  in  the  European  List,  ship  recycling  facilities  accept  the 
possibility of being subject to a site inspection by the Commission or agents acting 
on its behalf prior or after their inclusion in the European list in order to verify their 
compliance with the requirements set out in Article 12.  

Based  on  an  assessment  of  the  information  and  supporting  evidence  provided  in 
accordance  with  paragraph  2,  the  Commission  shall  decide  by  means  of  an 
implementing act whether to include a ship recycling facility located outside of the 
Union in the European list. Those implementing acts shall be adopted in accordance 
with the examination procedure referred to in Article 27.  

Article 16 

Establishment and updating of the European list  

1. 

The Commission shall establish by means of an implementing act in accordance with 
the  examination  procedure  referred  to  in  Article  27  a  European  List  of  the  ship 
recycling facilities which: 

(a) 

(b) 

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

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

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2. 

3. 

The European list shall be published in the Official Journal of the European Union 
and on the website of the Commission at the latest thirty-six months after the day of 
entry into force of this Regulation. 

Once adopted, the Commission shall update the European List regularly by means of 
implementing  acts  in  accordance  with  the  examination  procedure  referred  to  in 
Article 27: 

(a) 

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

(i) where it has been authorized in accordance with Article 13;  

(ii)  where  its  inclusion  in  the  European  list  has  been  decided  in  accordance 

with Article 15(4);  

(b) 

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

(1)  where the ship recycling facility ceases to comply with the requirements 

set out in Article 12;  

(2)  where  the  ship  recycling  facility  has  been  included  in  the  list  for  more 
than five years and has not provided evidence that it still complies with 
the requirements set out in Article 12  

4. 

Member  States  shall  communicate  to  the  Commission  all  information  that  may  be 
relevant in the context of updating the European list. The Commission shall forward 
all relevant information to the other Member States. 

TITLE IV - GENERAL ADMINISTRATIVE PROVISIONS 

Article 17 

Language 

The  inventory  certificate  and  the  ready  for  recycling  certificate  shall  be  drawn  up  in  an 
official  language  of  the  issuing  Member  State  and  where  the  language  used  is  not  English, 
French or Spanish, they shall be translated into one of those languages 

Article 18 

Designation of competent authorities 

Member  States  shall  designate  the  competent  authorities  responsible  for  the  implementation 
of this Regulation and shall notify the Commission of those designations. 

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27 

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Article 19 

Designation of contact persons 

1. 

Member  States  and  the  Commission  shall  each  designate  one  or  more  contact 
persons  responsible  for  informing  or  advising  natural  or  legal  persons  making 
enquiries. The contact person of the Commission shall forward to the contact persons 
of  the  Member  States  any  questions  received  which  concern  the  latter,  and  vice 
versa. 

2. 

Member States shall notify the Commission of the designation of contact persons.  

Article 20 

Meeting of contact persons 

The  Commission  shall,  if  requested  by  Member  States  or  where  it  considers  it  appropriate, 
periodically organize a meeting of the contact persons to discuss the questions raised by the 
implementation of this Regulation. Relevant stakeholders shall be invited to such meetings, or 
parts of meetings, where all Member States and the Commission are in agreement that this is 
appropriate. 

TITLE V - REPORTING AND ENFORCEMENT 

Article 21 

Notification and reporting requirements for shipowners 

A shipowner shall:  

(a) 

(b) 

(c) 

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; 

transmit  to  the  administration  the  report  of  the  planned  start  of  the  ship  recycling 
established by the ship recycling facility as required by Article 9(4)(b);  

transmit  to  the  administration  the  report  of  the  completion  of  the  ship  recycling 
established by the ship recycling facility as required by Article 9(4)(f).  

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Article 22 

Reports by the Member States 

1. 

Each Member State shall send to the Commission a report containing the following 
information: 

(a) 

(b) 

(c) 

a  list  of  the  ships  flying  their  flag  to  which  an  inventory  certificate  has  been 
issued,  and  the  name  of  the  recycling  company  and  the  location  of  the  ship 
recycling facility as shown in the ready for recycling certificate; 

a list of the ships flying their flag for which a statement of completion has been 
received; 

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

Each  Member  State  shall  transmit  the  report  by  31  December  2015  and  every  two 
years thereafter.  

The reports shall be submitted to the Commission electronically. 

2. 

3. 

Article 23 

Enforcement in Member States 

1. 

Member States shall ensure that effective, proportionate and dissuasive penalties are 
applicable to ships that: 

(d)  do not have on board an inventory of hazardous materials required by Articles 

5 and 28; 

(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. 

2. 

The penalties shall be effective, proportionate and dissuasive. In particular, where a 
ship  is  sent  for  recycling  in  a  ship  recycling  facility  which  is  not  included  in  the 
European  list  the  applicable  penalties  shall,  as  a  minimum,  correspond  to  the  price 
paid to the shipowner for its ship. 

EN 

29 

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3. 

4. 

5. 

6. 

7. 

1. 

Member States shall cooperate, bilaterally or multilaterally, with one another in order 
to  facilitate  the  prevention  and  detection  of  potential  circumvention  and  breach  of 
this Regulation. 

Member  States  shall  designate  those  members  of  their  permanent  staff  responsible 
for the cooperation referred to in paragraph 3. That information shall be sent to the 
Commission, which shall distribute to those members a compiled list. 

Where  a  ship  is  sold  and,  within  less  than  six  months  after  the  selling,  is  sent  for 
recycling in a facility which is not included in the European list, the penalties shall 
be:  

(a) 

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

(b)  only imposed to the penultimate owner if a ship is not flying anymore the flag 

of an European Member State.  

Exemptions to the penalties mentioned in paragraph 5 may be introduced by Member 
States in the case where the shipowner has not sold its ship with the intention to have 
it  recycled.  In  that  case,  Member  States  shall  request  evidence  supporting  the 
shipowner's claim including a copy of the sales contract.  

Member  States  shall  regularly  notify  the  Commission  of  their  national  legislation 
relating to the enforcement of this Regulation and the applicable penalties.  

Article 24 

Request for action 

Natural  or  legal  persons  affected  or  likely  to  be  affected  by  a  breach  of  this 
Regulation or having a sufficient interest in environmental decision-making relating 
to the breach of the Regulation, or, alternatively, alleging the impairment of a right, 
where  administrative  procedural  law  of  a  Member  State  requires  this  as  a 
precondition, shall be entitled to submit to the contact persons of a Member State any 
observations relating to instances of breach of this Regulation or an imminent threat 
of  such  a  breach  of  which  they  are  aware  of  and  shall  be  entitled  to  request  the 
competent authority to take action under this Regulation  

The  interest  of  any  non-governmental  organisation  promoting  environmental 
protection  and  meeting  any  requirements  under  national  law  shall  be  deemed 
sufficient  for  the  purpose  of  having  a  sufficient  interest  in  environmental  decision 
making  relating  to  the  breach  of  the  Regulation.  Such  organisations  shall  also  be 
deemed  to  have  rights  capable  of  being  impaired  for  the  purpose  of  alleging  the 
impairment  of  a  right,  where  administrative  procedural  law  of  a  Member  State 
requires this as a precondition. 

2. 

The  request  for  action  shall  be  accompanied  by  the  relevant  information  and  data 
supporting the observations submitted in relation to the breach of the Regulation in 
question. 

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3. 

4. 

5. 

1. 

2. 

1. 

2. 

3. 

Where the request for action and the accompanying observations show in a plausible 
manner that a breach of the Regulation exists, the competent authority shall consider 
any such observations and requests for action. In such circumstances, the competent 
authority shall give the recycling company an opportunity to make its views known 
with respect to the request for action and the accompanying observations. 

The competent authority shall, without delay and in any case in accordance with the 
relevant  provisions  of  national  law,  inform  the  persons  referred  to  in  paragraph  1, 
who submitted observations to the authority, of its decision to accede to or refuse the 
request for action and shall provide the reasons for it. 

Member  States  may  decide  not  to  apply  paragraphs  1  and  4  to  cases  of  imminent 
breach of this Regulation. 

Article 25 

Access to justice 

Member  States  shall  ensure  that  the  persons  referred  to  in  Article  24(1)  shall  have 
access to a court or other independent and impartial public body competent to review 
the procedural and substantive legality of the decisions, acts or failure to act of the 
competent authority under this Regulation. 

This Regulation shall be without prejudice to any provisions of national law which 
regulate access to justice and which require that administrative review procedures be 
exhausted prior to recourse to judicial proceedings. 

TITLE VI – FINAL PROVISIONS 

Article 26 

Exercise of the delegation 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 
conditions laid down in this Article. 

The  power  to  adopt  delegated  acts  referred  to  in  Articles  5,  9,  10  and  15  shall  be 
conferred  on  the  Commission  for  an  indeterminate  period  of  time  from  the  date  of 
entry into force of this Regulation.  

The delegation of power referred to in paragraph 2 may be revoked at any time by 
the European Parliament or by the Council. A decision to revoke shall put an end to 
the  delegation  of  the  power  specified  in  that  decision.  It  shall  take  effect  the  day 
following  the  publication  of  the  decision  in  the  Official  Journal  of  the  European 

EN 

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4. 

5. 

1. 

2. 

1. 

2. 

Union  or  at  a  late  date  specified  therein.  It  shall  not  affect  the  validity  of  any 
delegated acts already in force.  

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 
the European Parliament and to the Council. 

A  delegated  act  adopted  pursuant  to  paragraph  2  shall  enter  into  force  only  if  no 
objection  has  been  expressed  either  by  the  European  Parliament  or  the  Council 
within a period of two months of notification of that act to the European Parliament 
and the Council or if, before the expiry of that period, the European Parliament and 
the  Council  have  both  informed  the  Commission  that  they  will  not  object.  That 
period shall be extended by two months at the initiative of the European Parliament 
or of the Council.  

Article 27 

Committee procedure 

The  Commission  shall  be  assisted  by  a  committee.  That  committee  shall  be  a 
committee within the meaning of Regulation (EU) No 182/2011. 

When reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 
shall apply.  

Article 28 

Transitional provision 

An inventory of hazardous materials shall be established for all ships not later than 
five years after the entry into force of this Regulation. 

Member  States  may,  prior  to  the  publication  of  the  European  list,  authorise  the 
recycling  of  ships  in  facilities  located  outside  the  Union  subject  to  the  verification 
that the ship recycling facility complies with the requirements set  out in Article 12 
based on the information provided by the shipowner, the ship recycling facilities or 
acquired by other means.  

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Article 29 

Amendment to Regulation (EC) No 1013/2006 

In Article 1(3) of Regulation (EC) No 1013/2006, the following point is added: 

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

'(i) 
Regulation](*).  

________________ 

(*) OJ L […], […], p. [..]' 

Article 30 

Review 

The Commission shall review this Regulation not later than two years after the date of entry 
into force of the Hong Kong Convention. This review shall consider the inclusion of facilities 
authorized by the Parties to the Hong Kong Convention in the European List of ship recycling 
facilities in order to avoid duplication of work and administrative burden. 

This  Regulation  shall  enter  into  force  on  the  365th  day  after  its  publication  in  the  Official 
Journal of the European Union. 

Article 31 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President

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ANNEX I 

LIST OF ITEMS FOR THE INVENTORY OF HAZARDOUS MATERIALS 

Materials containing asbestos 

Ozone-depleting:  controlled  substances  defined  in  Article  1(4)  of  the  Montreal 
Protocol on Substances that Deplete the Ozone Layer, listed in Annexes A, B, C or E 
to  that  Protocol  in  force  at  the  time  of  application  or  interpretation  of  this  Annex. 
Ozone-depleting  substances  that  may  be  found  on  board  ship  include,  but  are  not 
limited to: 

• 

• 

• 

• 

Halon 1211 Bromochlorodifluoromethane 

Halon  1301  Bromotrifluoromethane  Halon  2402  1,2-Dibromo-1,1,2,2-
tetrafluoroethane (also known as Halon 114B2) 

CFC-11  Trichlorofluoromethane  CFC-12  Dichlorodifluoromethane  CFC-113 
1,1,2-Trichloro-1,2,2-trifluoroethane 

CFC-114 
Chloropentafluoroethane 

1,2-Dichloro-1,1,2,2-tetrafluoroethane 

CFC-115 

Materials containing Polychlorinated biphenyls (PCB) 

Anti-fouling  compounds  and  systems  regulated  under  Annex  I  to  the  International 
Convention  on  the  Control  of  Harmful  Anti-fouling  Systems  on  Ships  (AFS 
Convention) 

Materials containing perfluorooctane sulfonic acid and its derivatives (PFOS) 

Cadmium and Cadmium Compounds 

Hexavalent Chromium and Hexavalent Chromium Compounds 

Lead and Lead Compounds 

Mercury and Mercury Compounds 

Polybrominated Biphenyl (PBBs) 

Polybrominated Diphenyl Ethers (PBDEs) 

Polychlorinated Naphthalenes (more than 3 chlorine atoms) 

Radioactive Substances 

Certain Shortchain Chlorinated Paraffins (Alkanes, C10-C13, chloro) 

Brominated Flame Retardant (HBCDD)  

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

12. 

13. 

14. 

15. 

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ANNEX II 

FORM OF REPORT OF PLANNED START OF SHIP RECYCLING 

The ………………………….. (Name of ship recycling facility) 

located at ………………………….. (Full ship recycling facility address) 

included  in  the  European  list  established  by  Regulation  (EU)  No  XXXX  of  the  European 
Parliament  and  of  the  Council  of  ….  on  ship  recycling  and  authorized  to  conduct  ship 
recycling under the authority of the Government of 

………………………….. (Place of authorization) 

by ………………………….. (Full designation of the competent authority) 

on (dd/mm/yyyy)........................................... (Date of issue) 

Hereby reports that the ship recycling facility is ready in every respect to start the recycling of 

the vessel ....................................................... (IMO number) 

The ready for recycling certificate issued under the provisions of Regulation (EU) No XXXX 
of the European Parliament and of the Council of …. on ship recycling under the authority of 
the Government of  

………………………….. (Full designation of the State) 

by ………………………….. (Full designation of the person or organization authorized under 
Regulation (EU) No XXXX) 

on (dd/mm/yyyy)........................................... (Date of issue) is enclosed. 

Signed…………. 

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FORM OF THE STATEMENT OF COMPLETION OF SHIP RECYCLING 

ANNEX III  

This  document  is  a  statement  of  completion  of  ship  recycling  for………………………….. 

(Name of the ship when it was received for recycling/at the point of deregistration) 

Particulars of the ship as received for recycling 

Distinctive number or letters 

Port of registry 

Gross tonnage 

IMO number 

Name and address of shipowner 

IMO registered owner identification number 

IMO company identification number 

Date of construction 

THIS CONFIRMS THAT: 

The ship has been recycled in accordance with the ship recycling plan and Regulation (EU) 

No XXXX of the European Parliament and of the Council of …. on ship recycling at:  

………………………….. (Name and location of the authorized ship recycling facility) 

and  the  recycling  of  the  ship  was  completed  on:  (dd/mm/yyyy)  ………………………….. 

(Date of completion) 

Issued  at  …………………………..(Place  of  issue  of  the  statement  of  completion)  on 

(dd/mm/yyyy) ………………(Date of issue) 

(Signature of the owner of the ship recycling facility or a representative acting on behalf of 
the owner)

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ANNEX IV 

FORM OF THE INVENTORY CERTIFICATE 

(Official seal) (State) 

Issued under the provisions of Regulation (EU) No XXXX of the European Parliament and of 
the Council of …. on ship recycling (hereinafter ‘the Regulation’) 

under the authority of the Government of 

……………………………………………………………(Full designation of the State) 

………………………………(person or organization authorized under the Regulation) 

by 

Particulars of the ship 

Name of the Ship 

Distinctive number or letters 

Port of registry 

Gross tonnage 

IMO number 

Name and address of shipowner 

IMO registered owner identification number 

IMO company identification number 

Date of construction 

Particulars of Part I of the inventory of hazardous materials 

inventory  of  hazardous  materials 
Part  I  of 
…………………………………………………………. 

the 

identification/verification  number: 

THIS IS TO CERTIFY: 

1. 

that the ship has been surveyed in accordance with Article 8 of the Regulation;  

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2. 

that  the  survey  shows  that  Part  I  of  the  inventory  of  hazardous  materials  fully 
complies with the applicable requirements of the Regulation. 

Completion 
based:………………………………………………………...(dd/mm/yyyy) 

survey 

which 

date 

this 

on 

of 

certificate 

is 

This certificate is valid until:………………………………...(dd/mm/yyyy) 

Issued at:………………………………(Place of issue of certificate) 

(dd/mm/yyyy)…………… …………….……………………… 

(Date of issue) (Signature of duly authorized official issuing the certificate) 

(Seal or stamp of the authority, as appropriate) 

ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATE WHICH 
IS VALID FOR LESS THAN FIVE YEARS27 

The ship complies with the relevant provisions of the Regulation, and this certificate shall, in 
accordance  with  Article  10  of  the  Regulation,  be  accepted  as  valid  until  (dd/mm/yyyy): 
……… 

Signed: ............................................................ (Signature of duly authorized official) 

Place: 

Date: (dd/mm/yyyy) 

(Seal or stamp of the authority, as appropriate) 

ENDORSEMENT WHERE THE RENEWAL SURVEY HAS BEEN COMPLETED28  

The ship complies with the relevant provisions of the Regulation, and this certificate shall, in 
accordance  with  Article  10  of 
the  Regulation,  be  accepted  as  valid  until 
(dd/mm/yyyy):...............................................  

Signed: ............................................................ (Signature of duly authorized official) 

Place: 

Date: (dd/mm/yyyy) 

(Seal or stamp of the authority, as appropriate) 

ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATE UNTIL 
REACHING THE PORT OF SURVEY OR FOR A PERIOD OF GRACE 29 

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This page of the endorsement at survey shall be reproduced and added to the certificate as considered 
necessary by the administration.  
This page of the endorsement at survey shall be reproduced and added to the certificate as considered 
necessary by the administration.  
This page of the endorsement at survey shall be reproduced and added to the certificate as considered 
necessary by the administration.  

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This certificate shall, in accordance with Article 10 of the Regulation, be accepted as valid 
until (dd/mm/yyyy):………………………….. 

Signed: ………………………….. (Signature of duly authorized official) 

Place:..................................................................................................................................................... 

Date: (dd/mm/yyyy) ..........................................................................................................................  

(Seal or stamp of the authority, as appropriate) 

ENDORSEMENT FOR ADDITIONAL SURVEY 30 

At an additional survey in accordance with Article 8 of the Regulation, the ship was found to 
comply with the relevant provisions of the Regulation. 

Signed: ………………………….. (Signature of duly authorized official) 

Place:..................................................................................................................................................... 

Date: (dd/mm/yyyy) ..........................................................................................................................  

(Seal or stamp of the authority, as appropriate)

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This page of the endorsement at survey shall be reproduced and added to the certificate as considered 
necessary by the administration.  

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ANNEX V 

FORM OF THE READY FOR RECYCLING CERTIFICATE 

(Official seal)  (State) 

Issued under the provisions of Regulation (EU) No XXXX of the European Parliament and of 
the Council of …. on ship recycling (hereinafter ‘the Regulation’) under the authority of the 
Government of:  

…………………………………………………………………………..(Full  designation  of 
the State) 

………………………………………………………………………….. 
organization authorized under the Regulation) 

(person 

or 

by 

Particulars of the ship 

Name of Ship 

Distinctive number or letters 

Port of registry 

Gross tonnage 

IMO number 

Name and address of shipowner 

IMO registered owner identification number 

IMO company identification number 

Date of construction 

Particulars of the ship recycling facilities 

Name of ship recycling facility 

Distinctive recycling company identity number31 

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Identity number as indicated in the European list.  

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Full address 

Date  of  expiry  of  document  of  compliance  with  the 
Regulation 

Particulars of the inventory of hazardous materials 

Inventory of hazardous materials identification/verification number:…………. 

Particulars of the ship recycling plan 

Ship recycling plan identification/verification number:…………………. 

Note: The ship recycling plan, as required by Article 7 of the Regulation, is an essential part 
of  the  ready  for  recycling  certificate  and  must  always  accompany  the  ready  for  recycling 
certificate. 

THIS IS TO CERTIFY: 

1. 

2. 

3. 

4. 

that the ship has been surveyed in accordance with Article 8 of the Regulation; 

that the ship has a valid inventory of hazardous materials in accordance with Article 
5 of the Regulation;  

that  the  ship  recycling  plan,  as  required  by  Article  7  of  the  Regulation,  properly 
reflects the information contained in the inventory of hazardous materials as required 
by  Article  5  of 
the 
establishment,  maintenance  and  monitoring  of  the  safe-for-entry  and  safe-for-hot 
work criteria;  

the  Regulation  and  contains 

information  concerning 

that  the  ship  recycling  facility  where  this  ship  is  to  be  recycled  is  included  in  the 
European List in accordance with Article 16 of the Regulation.  

This certificate is valid until (dd/mm/yyyy)………………………………. (Date) 

Issued at ………………………………………………………(Place of issue of certificate) 

(dd/mm/yyyy) …………………………………………………… 

(Date of issue) (Signature of duly authorized official issuing the certificate) 

(Seal or stamp of the authority, as appropriate) 

ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATE UNTIL 
REACHING THE PORT OF THE SHIP RECYCLING FACILITY FOR A PERIOD 
OF GRACE 32 

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This page of the endorsement shall be reproduced and added to the certificate as considered necessary by 
the administration. 

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This certificate shall, in accordance with Article 8 of the Regulation, be accepted as valid for 
a single point to point voyage 

from the port of: …………………………. 

to the port of:…………………………….. 

Signed: ………………………….. (Signature of duly authorized official) 

Place:..................................................................................................................................................... 

Date: (dd/mm/yyyy) ..........................................................................................................................  

(Seal or stamp of the authority, as appropriate) 

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FORM ON THE IDENTIFICATION OF THE SHIP RECYCLING FACILITY  

ANNEX VI 

Identification of the ship recycling facility 

Name of ship recycling facility 

Distinctive recycling company identity No. 

Full address of ship recycling facility 

Primary contact person 

Phone number 

E-mail address 

Name,  address,  and  contact  information  of 
the recycling company

Working language(s) 

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