U. S.

Coast Guard
Port State Control

United States
Coast Guard

Objectives
PSC Program Overview
PSC Process Flow
Case Studies
Questions

United States
Coast Guard

Philosophy of Port State Control

Identify and eliminate substandard shipping
Use International protocols to prevent substandard ships
from sailing until conditions meet minimum international
standards

NOT quality control for the world fleet

International partnerships
Integral part of Maritime Safety/Security Net

United States
Coast Guard

World-Wide Port State Control

Abuja

Black Sea Caribbean

Indian

Med
4

Paris

Riyadh

Tokyo

United States
Coast Guard

Vina
Del Mar

Port State Control: Process Flow

Vessel Targeting

Vessel
NOA

Security
MTSA / ISPS
Safety / Env.

Vessel Examinations
Security
MTSA / ISPS
Safety / Env.

Control Actions
Notifications

Documentation
& Tracking
Control Action Ratios
Point Assignments
Messages

Any break in the link can cause a detrimental

effect to the overall flow!

United States
Coast Guard

Port State Control: Process Flow

Vessel Targeting

Vessel
NOA

Security
MTSA / ISPS
Safety / Env.

Vessel Examinations
Security
MTSA / ISPS
Safety / Env.

Control Actions
Notifications

Documentation
& Tracking
Control Action Ratios
Point Assignments
Messages

Any break in the link can cause a detrimental

effect to the overall flow!

United States
Coast Guard

Vessel Notice of Arrival

NOA sets the tone be on time and complete
Need full 96 (or 24) hours to vet
information Multi-agency review
Failure to provide, sanctions
Required Information
Consolidated ANOAs to CG, CBP, ICE
Submit Departure Notice when changing crew
in U.S. ports, do not submit change notice

United States
Coast Guard

Screen For
MOTR- Maritime Operational Threat Response
COE- Conditions of Entry
HIV- High Interest Vessel
ISPS or PSC examination due?
Any outstanding deficiencies?
Any malfunctioning equipment or casualty
reported?
Any expired certificates?
Overall Maritime Domain Awareness

United States
Coast Guard

Port State Control: Process Flow

Vessel Targeting
Vessel Examinations

Vessel
NOA

Security
MTSA / ISPS
Safety / Env.

Security
MTSA / ISPS
Safety / Env.

Control Actions
Notifications

Documentation
& Tracking
Control Action Ratios
Point Assignments
Messages

Any break in the link can cause a detrimental

effect to the overall flow!

United States
Coast Guard

Vessel Targeting (Security)

Five targeting factors
Ship Management Owner, Operator, Charterer
Flag Administration
RSO
ISPS Compliance History
Last Ports of Call

Screen prior-to-entry using Notice of Arrival

10

United States
Coast Guard

Vessel History (Security)

USCG denied entry or expelled the vessel in last
12 months
No USCG ISPS Compliance Examination in the
past 12 months
USCG detained the vessels within the past 12
months
USCG applied a lesser SOLAS control action to
the vessel in the part 12 months
11

United States
Coast Guard

Last Ports of Call (Security)

The Coast Guard targets vessels that visit
countries whose ports do not comply with the
SOLAS Chapter XI-2 and the ISPS Code
Lists updated periodically and posted at:
http://www.uscg.mil/hq/gm/pscweb/last_ports_of_call_isps.htm

12

United States
Coast Guard

Vessel Targeting PSC

Five targeting factors
Ship Management Owner, Operator, Charterer
Flag Administration
RO
PSC Compliance History
Vessel Type

Screened prior-to-entry using Notice of Arrival

13

United States
Coast Guard

Targeted Entities (Safety)

Ship Management Owners, Operators,
Charterers
Flag Administrations
Classification Societies
Lists Updated Periodically and Posted at:
http://www.uscg.mil/hq/g-m/pscweb/index.htm

14

United States
Coast Guard

Random Vessel Targeting

Random targeting of ships not otherwise targeted
for examination
Targeting rate not specified
USCG conducts both ISPS and PSC exams on
randomly targeted vessels*
*Exceptions
15

United States
Coast Guard

Downgrading
HIVs point tally can be reduced if boarded in past
12 months and no security incidents
PSC can be downgraded to Non-priority if PSC
exam conducted w/in 6 months w/ no serious
deficiency
QUALSHIP21 vessels not subject to random
exams, special note entered in vsl details, not
subject to points associated w/ age
16

United States
Coast Guard

Port State Control: Process Flow

Vessel Examinations
Vessel Targeting

Vessel
NOA

Security
MTSA / ISPS
Safety / Env.

Security
MTSA / ISPS
Safety / Env.

Control Actions
Notifications

Documentation
& Tracking
Control Action Ratios
Point Assignments
Messages

Any break in the link can cause a detrimental

effect to the overall flow!

17

United States
Coast Guard

Types of PSC Exams

Tank Vessel Exams (TVE)- Chem & Oil Tank Vessel
Control Verification Exams (CVE)- Cruise Ships
Priority I
Priority II
Non-Priority
Random

18

United States
Coast Guard

A Note on High Interest Vessels

The USCG targets and boards vessels that may pose a
security threat to the port and transportation
infrastructure are targeted for boarding at sea prior to
port entry.
The criteria used to target High Interest Vessels is
classified
Armed boarding by trained law enforcement personnel
The boarding is not a PSC Examination

19

United States
Coast Guard

ISPS Compliance Examination

Objective - determine whether vessel meets
standards or is substandard
Vessel Security Level
Verify ISSC
Verify Ship Security Performance
Review the CSR and other Records
Ship ID (IMO number)
Manning
Non-Convention Vessels

20

United States
Coast Guard

PSC Examination
Objective - determine whether vessel meets standards or
is substandard
Convention Certificates & STCW Licenses check
Condition and Operation of Vessel: structure, machinery,
navigation/communications, lifesaving & firefighting
equipment, pollution prevention, crew competency &
competency in drills
ISM Implementation
Limited ISPS Examination
21

United States
Coast Guard

Condition & Operation of Vessel

Deck Walk Vessel Observe condition of hull, load lines,
machinery spaces, accommodation spaces, accessible
cargo spaces for good maintenance/lack of substandard
conditions
Machinery Tests Steering, fire pumps and fire main,
emergency generator
Navigation/Communication Equipment
Lifesaving and firefighting
Crew Competency
Emergency Drills witness fire and abandon ship drill
Pollution Prevention

22

United States
Coast Guard

Port State Control: Process Flow

Vessel Targeting

Vessel
NOA

Security
MTSA / ISPS
Safety / Env.

Vessel Examinations
Security
MTSA / ISPS
Safety / Env.

Control Actions
Notifications

Documentation
& Tracking
Control Action Ratios
Point Assignments
Messages

Any break in the link can cause a detrimental

effect to the overall flow!

23

United States
Coast Guard

Control & Enforcement

Safety

Security

Discover Safety Problem

Discover Security Problem

Clear Grounds

Expand Examination
Limit scope to discovered problem
Control Action
Inspection of the ship
Delay

If problem indicates substandard

Detention

Clear Grounds exist

Restriction of Operations (incl.

movement of the ship)
Denial of Entry

Control Action

Expulsion

Detention

24

United States
Coast Guard

Clear Grounds and Expanded

Examination
Clear Grounds Evidence that the ship does not correspond
substantially with the relevant conventions
Expand the examination focus upon areas where clear
grounds exist
In depth examination to determine whether the ship is
substandard I.e. substantially non-compliant with standards
The Coast Guard outlines substandard conditions in Enclosure
(4) to NVIC 06-03 Ch 1 based on Appendix 1 to IMO
Resolution A.787 as amended by Resolution A.882

25

United States
Coast Guard

Port State Control: Process Flow

Vessel Targeting

Vessel
NOA

Security
MTSA / ISPS
Safety / Env.

Vessel Examinations
Security
MTSA / ISPS
Safety / Env.

Control Actions
Notifications

Documentation
& Tracking
Control Action Ratios
Point Assignments
Messages

Any break in the link can cause a detrimental

effect to the overall flow!

26

United States
Coast Guard

Documentation
Form A & Form B
Notification to Flag State (by unit) for each detention
Initial MISLE entry w/in 4 hours of any control action
Notification to CG-5432 of every detention asap (public
mailbox, attach form A & form B)

27

United States
Coast Guard

Calling it a Detention
& Clearing Deficiencies
Detentions on a vessel bring on serious implications to the
vessel
Maintaining level playing field INTERNATIONALLY
Normal wear & tear, casualty, or detainable item?
CG PSC Officer attending a vessel to clear a deficiency?

28

United States
Coast Guard

Port State Control: Process Flow

Vessel Targeting

Vessel
NOA

Security
MTSA / ISPS
Safety / Env.

Vessel Examinations
Security
MTSA / ISPS
Safety / Env.

Control Actions
Notifications

Documentation
& Tracking
Control Action Ratios
Point Assignments
Messages

Any break in the link can cause a detrimental

effect to the overall flow!

29

United States
Coast Guard

Professionalism during PSC

CG Core values:
Honor, Respect, Devotion to Duty
Courtesy/Professionalism:
Example: Credentialing Policy (PAC Decision 30-04)

Efficient, well organized examination

Proper application of international and domestic standards
Open communications with Officers and Crew

30

United States
Coast Guard

Ships Responsibilities
Operate a ship that complies with standards
To be forthcoming about ANY problems with the ship
Know the rules that apply to your vessel
To be professional and courteous
Work to resolve issues with the PSCO onboard
Know who to appeal to when the PSCO is wrong or
unprofessional

31

United States
Coast Guard

Ships Expectations:
Reduced inspection time so crew can resume normal
duties
Reduced interference/disturbance from inspections and
inspectors
Fair treatment and constructive feedback from inspections
Well founded advice/explanations on remarks made
Well organized surveys
Good cooperation and assistance/guidance from inspector
Feasibility (inspection arranged/carried out taking into
consideration other ops, resting hours,) & understanding

32

United States
Coast Guard

Foreign Vessel Appeals

Persons Directly Affected
may appeal deficiencies,
detentions and major
control actions
Appeal processes are
outlined in regulation
PSC appeals generally
under 46 CFR 1.03
COTP appeals generally
under 33 CFR 160.7
CG-5432 is final agency
action

33

33

United States
Coast Guard

M/V
FROZEN

34

United States
Coast Guard

M/V FROZEN

This sheave was frozen,

and the Davit Arm did not
move in sync with the other
one. The crew hit this
sheave with a hammer, and
a large chunk of rusty metal
fell off the back side of the
block.

35

United States
Guard
Coast Coast
Guard

M/V FROZEN
The chunk of rusty
metal

36

United States
Coast Guard

M/V FROZEN

Using this chain winch was the

only way the crew could fully
raise the rescue boat.

37

United States
Coast Guard

M/V FROZEN
Neither of these
sheaves worked.
As the falls slid
over the frozen
sheaves the
lifeboat would lurch
and the davit arm
would stop and go
down the track.
The falls itself was
worn and was
starting to rust.

M/V FROZEN

38

United States
Coast Guard

M/V FROZEN

This is a section of the Falls, an accident waiting to

happen. This further indicates that the davit had
probably operated in this condition for some time. Class
had done their annual inspection 33 days prior to the
USCG inspection and found no issues. United States
39

Coast Guard

M/V FROZEN

This stoppers hinge and bar was rusted and

bent so badly that it even when opened, it
effectively blocked the davits use and made
this lifeboat unusable for an emergency
situation.

40

United States
Coast Guard

M/V FROZEN
Detention deficiency: Starboard lifeboat davit inoperative due to
unmoving davit arm blocks, fore and aft davit arms out of
synchronization during movement, aft end stopping during evolution,
excessive rust, and damaged limit switch.
Class conducted annual SEC survey 33 days prior to USCG
inspection.
Class appealed 3 times to CG-5432, trying to overturn association.

41

United States
Coast Guard

M/V
FALLING

42

United States
Coast Guard

M/V FALLING
PSCOs boarded vessel for routine Safety and Security exams.
Conducted fire and abandon ship drills with exception of
lowering and launch of the starboard lifeboat due to
catastrophic failure of the starboard davit during the drill.

43

United States
Coast Guard

M/V
FALLING

Wire rope on
forward davit with
missing pulley
assembly.

44

United States
Coast Guard

M/V FALLING
Stern remained
connected

45

United States
Coast Guard

M/V FALLING
Hole in rescue
boat due to the
violent fall.

46

United States
Coast Guard

M/V FALLING
Detained vessel and issued (3) deficiencies:
Demonstrate competency to launch and recover
rescue/lifeboat.
Starboard davit is inoperative due to catastrophic parting
of the davit wire during boat recovery operation.
Starboard rescue/lifeboat is inoperative due to loss of use
of starboard davit and due to holes in canopy as a result of
parting of davit wire, and loss/damage of boat hardware
used in launch and recovery.
Flag and Owner appealed

47

United States
Coast Guard

M/V
SHEEN

48

United States
Coast Guard

M/V SHEEN
PSC & MARPOL EXAMINATION
While reviewing the Oil Record Book (ORB),
the PSCO asked the Chief Engineer (C/E)
and the Second Engineer (2/E) regarding
routine use of the oily water separator
(OWS) & the OCM. (A routine question)
Both stated that the OWS and the OCM
were working fine with no problems.
ORB indicates routine use of the OWS and
its last use was 3 days earlier.

49

United States
Coast Guard

M/V SHEEN
The vessel has a 2 stage SK Turbulo Separating Tank Oil
Water Separator with a 5 cubic meter / hr capacity

50

United States
Coast Guard

M/V SHEEN
As part of our routine PSC examination, PSCOs
requested to witness an operational test of the OWS and
OCM to ensure proper operation.
While the Second Engineer and Chief Engineer were
attempting to perform an operation test of the OWS, a
pipe connecting the two elements of the OWS blew out
immediately after the OWS was turned on.

51

United States
Coast Guard

M/V SHEEN
When the pipe blew, the
engine room was flooded
with hydrogen sulfide gas, to
the point where your gas
detection safety meter
sounded a warning of
dangerous levels!

Location of ruptured pipe

52

United States
Coast Guard

M/V SHEEN
PSCOs examine the pipe section and note that it had been weakened
by long-term corrosion.

53

United States
Coast Guard

M/V SHEEN
The crew does not have an explanation as to why the pipe ruptured
and immediately takes steps to replace the ruptured section of pipe.
The pipe has been replaced and you continue with the operational
test for a second time. At this point the vessels Classification
Society Surveyor is onboard to witness the test as well.
Remember, the OWS has a capacity of 5 cubic meters / hr and you
saw entries in the ORB that is was processing at least 4 cubic meters
per / hour 3 days prior.

54

United States
Coast Guard

M/V SHEEN
In order to verify that the OWS is actually working, PSCOs asked the
crew open the 3 way discharge valve.
The 2nd Engineer, who was the primary operator as well as the Chief
Engineer, could only get a trickle of water to process through the
OWS. Definitely not at a rate of 5 or
even 1 cubic meter per hour.
The OCM would not indicate over 15ppm
even though the effluent was a black oily
mixture.
PSCOs also witness the crew attempt to
align system valves such that the
demonstration would be processing
seawater instead of bilge water.

55

United States
Coast Guard

M/V SHEEN
Both you and the Class surveyor agree that the OWS
is not functioning as required.
During this operational test large amounts
of hydrogen sulfide gas once again was
observed this time coming from the
open valve to the point where your
gas detection safety meter sounded
a warning of dangerous levels!
The 2nd and Chief Engineer both
state that the OWS is still functioning
perfectly.

56

United States
Coast Guard

M/V SHEEN
In order to find out why the OWS was not working,
both PSCOs and the Class Survey agree to have the
crew open the OWS for inspection.
Upon inspection, the primary stage of the OWS was
full of thick black oily sludge.

57

United States
Coast Guard

M/V SHEEN

Thick sludge 1st stage

58

United States
Coast Guard

M/V SHEEN
The water collection standpipes water holes were
clogged with hardened oil, which would not allow
water to flow to the second stage and eventually
overboard.
standpipe

59

United States
Coast Guard

M/V SHEEN
You confer with the Class Surveyor who also happens
to be a marine engineer, and both of you agree that
the OWS could not have operated properly in that
condition, and apparently/probably had not been
operated for some time.
The Chief Engineer states that this condition is normal
and contends that nothing is wrong with the OWS.
The real end result

60

United States
Coast Guard

M/V
PEACE BOAT

61

United States
Coast Guard

M/V PEACE BOAT

No ICVE
NY detention
Anchorage detention
62

United States
Coast Guard

M/V PEACE BOAT

NY
Hull wastage
Escape routes
Class conducted Passenger
Ship Safety Certificate survey 2
months prior to detention

63

United States
Coast Guard

M/V PEACEBOAT

MARPOL conditions in Alaska

64

United States
Coast Guard

M/V PEACEBOAT

E/R conditions in Alaska

65

United States
Coast Guard

M/V BLACK HULL

*Danish Admiral Fleet Cooperation

66

United States
Coast Guard

PORT ORNAMENTS

PORT ORNAMENTS

67

United States
Coast Guard

CARGO HATCH COVER

68

United States
Coast Guard

LOADLINE VIOLATION

69

United States
Coast Guard

Crew Rations

70

United States
Coast Guard

PORT ORNAMENT CONCERNS

Heavy weather
Port Relations (Facility, Seamans Church, Agent)
Crew welfare
Possible Abandonment
Legal implications (LOU, Surety Bond, Liens, etc)

71

United States
Coast Guard

72

72

United States
Coast Guard

Useful sites
CFR - http://www.access.gpo.gov/nara/cfr/cfr-table-search.html
NVIC http://www.uscg.mil/hq/g-m/nvic/index.htm
E-NOA - www.nvmc.uscg.gov
COFR - http://www.uscg.mil/npfc/COFRs/index.htm
VRP Info - http://www.uscg.mil/vrp/
E-VRP Database http://www.e-vrp.com
Ballast Water Reporting - http://invasions.si.edu/nbic/submit.html
PSIX - http://cgmix.uscg.mil/psix/

73

United States
Coast Guard

Questions
Foreign & Offshore Compliance
Division
CDR Jennifer Williams
Jennifer.F.Williams@uscg.mil
202-372-1230
Port State Control Program Manager
LCDR Chuck Fluke
202-372-1235
International Outreach
Mr. E.J. Terminella
Emanuel.J.TerminellaJr@uscg.mil
202-372-1239

74

United States
Coast Guard