Contract
2010 年国际海上运输有毒有害物质的损害责任和赔偿公约
(1996 年国际海上运输有毒有害物质的损害责任和赔偿公约及 2010 年议定书综合文本)❶❷
本公约各缔约国ꎬ
意识到由于全球海上运输有毒有害物质造成的危险ꎬ
确信有必要确保向蒙受此种物质的海上运输事故所致损害的人提供充分、迅速和有效的赔偿ꎬ
希望通过统一的国际规则和程序确定此种损害的责任和赔偿问题ꎬ
认为海上运输有毒有害物质所致损害的经济后果应由航运界和有关货方共同承担ꎬ兹协议如下:
第 一 章 总 则
定 义 ❸ 第 一 条
就本公约而言:
1. “ 船舶” 系指任何类型的海船和海上航行器ꎮ
2. “ 人” 系指任何个人或合伙人或任何公共或私营机构ꎬ不论是否为法人ꎬ包括国家或其下属单位ꎮ
3. “ 船舶所有人” 系指被登记为船舶所有人的人ꎻ或者ꎬ在没有登记时ꎬ系指拥有船舶的人ꎮ 但是ꎬ如果船舶为国家所有并由在该国登记为船舶经营人的公司所经营ꎬ船舶所有人应系指此种公司ꎮ
❶ «2010 年议定书» 第十八条( 解释与适用) 规定如下:
“1. 在本议定书缔约国之间ꎬ本公约和本议定书应理解和解释为同一法律文件ꎮ
«2010
2. 经本议定书修正的本公约第一条至第四十四条及附件一和附件二ꎬ与本议定书第二十条至第二十九条( 最后条款) 一起ꎬ应稍作修改后组成并称作« 2010 年国际海上运输有毒有害物质的损害责任和赔偿公约» (“2010 年有毒有害物质公约”) ꎮ 本议定书第二十条至第二十九条应比照公约先前条款顺序予以重新编号ꎮ 在最后条款中对最后条款其他条款的提及须相应地予以重新编号ꎮ”
❷ 年议定书» 第二条规定如下:
本议定书各缔约国须实施本议定书的规定和经本议定书修正的本公约的规定ꎮ
❸ «2010 年议定书» 第一条载有仅适用于本议定书的定义而并非对«1996 年公约» 的修正ꎮ
113
4. “ 接收人” 系指下列任一人:
( a) 实际接收卸于一缔约国的港口或码头的摊款货物的人ꎬ但是ꎬ如果在接收时实际接收该货物的人系受任何缔约国管辖的另一人的代理人ꎬ并且该代理人向有毒
( b)
5. “
有害物质基金指明了该委托人ꎬ则该委托人应视为接收人ꎻ或
在缔约国中的并按该国的国家法律被视为卸于某一缔约国的港口或码头的摊款货物接收人的人ꎬ但根据此种国家法律所接收的摊款货物接收总量应与( a) 项规定的接收总量基本一样ꎮ
有毒和有害物质 ( HNS)” 系指:
( a) 下列( i) 至( vii) 中所述的、在船上作为货物运输的任何物质、材料和物品:
( i) 经修正的« 经1978 年议定书修订的1973 年国际防止船舶造成污染公约»
( ii)
( iii)
( iv)
( v)
( vii)
( vi)
附则Ⅰ的第1 条中所列的散装运输油类ꎻ
经修正的« 经1978 年议定书修订的1973 年国际防止船舶造成污染公约»附则Ⅱ的第1. 10 条中所述的散装运输的有毒液体物质和按上述附则Ⅱ第
6. 3 条被暂定为 X、Y 或 Z 类的物质和混合物ꎻ
经修正的« 国际散装危险化学品运输船的构造和设备规则» 第十七章中所列的散装运输的危险液体物质以及主管机关和有关的港口管理部门按该规则第1. 1. 6 款对其初步适运条件作出规定的危险产品ꎻ
由经修正的« 国际海运危险货物规则» 涵盖的包装形式的危险、有害和会造成损害的物质、材料和物品ꎻ
经修正的« 国际散装液化气体运输船的构造和设备规则» 第十九章中所列的液化气体ꎬ以及主管机关和有关港口管理部门按该规则第1. 1. 6 款对其
初步适运条件作出规定的产品ꎻ
( b)
5 “
闪点不超过60℃ ( 通过闭杯试验测量) 的散装运输的液体物质ꎻ
由经修正的« 国际海运固体散装货物规则» 涵盖的具有化学危险性的固体散装材料ꎬ但仅限于在有包装运输时也受1996 年实施的« 国际海运危险货物规则» 约束的此类物质ꎻ和
以上第( a)( i) 至( iii) 和( v) 至( vii) 项中提到的物质原先散装运输的残留物ꎮ
之二 散装有毒有害物质” 系指第一条第5( a)( i) 至( iii) 和( v) 至( vii) 款及5( b) 款提到
5 的有毒有害物质ꎮ
之三 “ 有包装的有毒有害物质” 系指第一条第5( a)( iv) 款提到的任何有毒有害物质ꎮ
6. “ 损害” 系指:
( a) 由有毒有害物质造成的、在运输这些物质的船舶上或船舶外的人身伤亡ꎻ ( b) 由有毒有害物质造成的、在运输这些物质的船舶外的财产损失或损害ꎻ
( c) 由有毒有害物质造成的环境污染所致的损失或损害ꎬ但对不包括环境损害所致的
利润损失在内的环境污染损害的赔偿应限于实际采取或有待采取的合理恢复措
( d)
施的费用ꎻ和
预防措施的费用和预防措施造成的新的损失或损害ꎮ
114
当无法合理地将有毒有害物质的损害与其他因素的损害作出区分时ꎬ除非其他因素的
损害系第四条3 款中所述类型的损害ꎬ否则所有此种损害应视为系由有毒有害物质造成ꎮ
在本款中ꎬ“ 由那些物质造成的” 系指由此种物质的危害性或毒性造成的ꎮ
7. “ 预防措施” 系指任何人在事故发生后为防止或减少损害而采取的任何合理措施ꎮ
8. “ 事故” 系指造成损害或产生此种损害的严重和紧迫威胁的任何一起事件或具有同一起源的一系列事件ꎮ
9. “ 海上运输” 系指从在装船时有毒有害物质进入船舶设备的任何部分之时起至在卸船时它们不再存在于船舶设备的任何部分之时止的期间ꎮ 如未使用任何船舶设备ꎬ则该期间分别起止于有毒有害物质越过船舷之时ꎮ
10. “ 摊款货物” 系指作为货物通过海上运至一缔约国港口或码头并在该国卸下的散装有毒有害物质ꎮ 直接或通过港口或码头全部或部分地从一船转运至另一船的货物ꎬ在从原装卸港口或码头运至最终目的港的过程中ꎬ须仅在最后目的地收货时被视作摊款货物ꎮ
11. “ 有毒有害物质基金” 系指根据第十三条设立的国际有毒有害物质基金ꎮ
12. “ 计算单位” 系指国际货币基金定义的特别提款权ꎮ
13. “ 船舶登记国” ꎬ就被登记的船舶而言ꎬ系指该船的登记国ꎻ就未登记的船舶而言ꎬ系指该船有权悬挂其国旗的国家ꎮ
14. “ 码头” 系指存放收到的水上运输有毒有害物质的任何场地ꎬ包括由管道或其他设备与此种场地相连的任何离岸设施ꎮ
15. “ 干事长” 系指有毒有害物质基金的干事长ꎮ
16. “ 本组织” 系指国际海事组织ꎮ
17. “ 秘书长” 系指本组织的秘书长ꎮ
附 则
第二条
x公约各附则应为本公约的组成部分ꎮ
适 用 范 围第三条
x公约仅适用于:
( a) 在缔约国领土( 包括领海) 内造成的任何损害ꎻ
( b) 在缔约国按照国际法设立的专属经济区中造成的环境污染所致的损害ꎻ或者ꎬ如果缔约国尚未设立此种区域ꎬ则为该国按国际法确立的、在其领海之外并与其领海毗邻的、从测量其领海宽度的基线向外延伸不超过200 海里的区域中造成的此
(c)
种损害ꎻ
由在一缔约国中登记的船舶或者就未登记船舶而言ꎬ有权悬挂一缔约国国旗的船舶运输的物质在任何国家的领土包括领海之外造成的非属环境污染损害的其他损害ꎻ和
115
( d) 无论何处采取的防止或尽量减少( a) 款、( b) 款和( c) 款所提及损害的预防措施ꎮ
第四条
1. 本公约适用于对海上运输有毒有害物质所致损害的索赔ꎬ但不包括任何货物或旅客运
输合同引起的索赔ꎮ
2. 本公约在其规定与有关工人赔偿或社会保障制度的适用法律的规定不一致的范围内不得适用ꎮ
3. 本公约不应适用于:
( a) 经修正的«1969 年国际油污损害民事责任公约» 中规定的污染损害ꎬ不论根据该
( b)
4.
公约对此是否应作出赔偿ꎻ和
由经修正的« 国际海运危险货物规则» 中或经修正的« 国际海运固体散装货物规则» 第7 类放射性材料造成的损害ꎮ
除第5 款规定者外ꎬ本公约的规定不应适用于军舰、海军辅助船或由国家所有或营运并在当时仅用于政府非商业服务的其他船舶ꎮ
5. 缔约国可决定将本公约应用于第4 款中的军舰或其他船舶ꎬ在此种情况下ꎬ其须就此向秘书长作出通知ꎬ说明此种应用的限制性规定ꎮ
6. 对国家所拥有的、用于商业目的的船舶ꎬ每一国家都须接受在第三十八条中所列的管辖范围内的起诉并须放弃其以主权国地位为基础的所有抗辩ꎮ
第五条
1. 在批准、接受、核准或加入本公约时或此后的任何时候ꎬ国家可声明本公约不适用于下列船舶:
( a) 不超过200 总吨的船舶ꎻ和
( b) 仅运输包装形式的有毒有害物质的船舶ꎻ和
( c) 当其从事该国港口或设施间航行时的船舶ꎮ
2. 如果两个相邻国家议定:当第1 款( a) 和( b) 项中规定船舶在这些国家的港口或设施间航行时本公约也不适用ꎬ则有关国家可以声明ꎬ按第1 款声明的本公约所不适用的船舶也包括本款所述船舶ꎮ
3. 根据第1 款或2 款做出声明的任何国家可随时撤销此种声明ꎮ
4. 根据第1 或2 款作出的声明和根据第3 款作出的撤销声明须向秘书长交存ꎬ秘书长在本公约生效后须将其通知干事长ꎮ
5. 在下列情况下ꎬ对根据第1 或2 款所作声明本公约不适用的船舶运输的物质造成的损害ꎬ有毒有害物质基金不负责支付赔偿:
( a) 第一条6 款( a)、( b) 或( c) 项定义的损害系在下述地方造成:
( x) 作出声明的国家的领土( 包括领海) 或者根据第 2 款做出声明的相邻国家的任一国的领土( 包括领海) ꎻ或
116
( b)
( ii) ( i) 中所述国家的专属经济区或其第3 条( b) 项中所述区域ꎻ损害包括为防止或最大程度地减少此种损害而采取的措施ꎮ
缔约国的义务第六条
每一缔约国须确保履行本公约规定的义务并根据其法律采取适当措施ꎬ包括做出其认为必要的处罚ꎬ以有效履行任何此种义务ꎮ
第 二 章 责 任
船舶所有人责任第七条
1. 除第2 款和第3 款另有规定外ꎬ事故发生时的船舶所有人须对船舶海上运输的任何有毒有害物质造成的损害负责ꎻ但是ꎬ如果事故系包括一系列具有同一起源的事件构成ꎬ
则此系列事件的首起事件发生时的船舶所有人须承担责任ꎮ
2. 船舶所有人若能证明以下情况ꎬ则不得由船舶所有人承担责任:
( a) 损害系由战争、敌对、内战、暴动行为或由特殊、不可避免和不可抗拒性质的自然
( b)
(c)
( d)
现象所造成的损害ꎻ或
损害完全系由第三方故意造成损害的行动或不作为造成ꎻ或
损害完全系由负责维护灯标或其他助航设施的任何政府或其他当局在履行该职责时的疏忽或其他错误行为造成ꎻ或
托运人或任何其他人没有提供所运物质的危害性和毒性的信息从而: ( i) 造成完全或部分的损害ꎻ或
( ii) 使船舶所有人无法按第十二条取得保险ꎻ
但以船舶所有人及其雇员或代理人均不知道或合情理地不会知道所运物质的危
害性和毒性为条件ꎮ
3. 如果船舶所有人证明ꎬ损害全部或部分地系由遭受损害的人故意造成损害的行为或不作为导致ꎬ或由该人的疏忽导致ꎬ则船舶所有人可全部或部分地免除对该人所负的责任ꎮ
4. 除非按照本公约ꎬ否则不得向船舶所有人提出任何损害索赔ꎮ
5. 在第6 款规定的前提下ꎬ不可向下列人提出本公约或非本公约规定的损害索赔: ( a) 船舶所有人的雇员或代理人ꎬ或船员ꎻ
( b) 引航员或为船舶提供服务但非属船员的任何其他人ꎻ
( c) 船舶的任何租赁人( 不论以何种方式定义ꎬ包括光船租赁人)、管理人或经营人ꎻ ( d) 经船舶所有人同意或按主管公共当局的指示进行救助作业的任何人ꎻ
( e) 采取预防措施的任何人ꎻ和
( f) 第( c)、( d) 和( e) 项中所述之人的雇员或代理人ꎻ
除非损坏系由故意造成此种损害或明知可能造成此种损害而轻率的个人行为或不作为导致ꎮ
6. 本公约中的任何规定不得损害船舶所有人对任何第三方( 包括但不限于造成损害的物
117
质的托运人或接收人或第5 款中指出的人) 的任何现有追索权ꎮ
涉及两艘或更多船舶的事故第八条
1. 凡当损害系由涉及均装有有毒有害物质的两艘或更多船舶的事故造成时ꎬ除非根据第七条被免除责任ꎬ每一船舶所有人均应对损害负责ꎮ 这些船舶所有人应对所有无法合
理区分的此种损害负连带责任ꎮ
2. 但船舶所有人须有权享有第九条规定的适用其每一方的责任限额ꎮ
3. 本条中的任何规定不得损害某一船舶所有人对任何其他船舶所有人的任何追索权ꎮ
责 任 限 制第九条
1. 根据本公约ꎬ船舶所有人有权就任何一起事故将其责任限制在如下计算的总额内: ( a) 如损害是由散装有毒有害物质造成:
( i) 对于不超过2000 吨的船舶:1000 万计算单位ꎻ和
( ii) 对于超过上述吨位的船舶ꎬ除第( i) 项所述者外ꎬ应增加以下数额:自2001 至50000 吨ꎬ每吨1500 计算单位ꎻ
超过50000 吨ꎬ每吨360 计算单位ꎻ
( b)
2.
但该总额在任何情况下不得超过1 亿计算单位ꎮ
如损害是由有包装有毒有害物质造成ꎬ或者是由散装和有包装有毒有害物质造成ꎬ或者不可能确定该船舶产生的损害是由散装有毒有害物质或有包装有毒有害物质造成:
( i) 对于不超过2000 吨的船舶ꎬ1150 万计算单位ꎻ和
( ii) 对于超过上述吨位的船舶ꎬ除第( i) 项所述者外ꎬ应增加以下数额:自2001 至50000 吨ꎬ每吨1725 计算单位ꎻ
超过50000 吨ꎬ每吨414 计算单位ꎻ
但该总额在任何情况下不得超过1. 15 亿计算单位ꎮ
3.
4.
5.
118
如经证明ꎬ损害系由船舶所有人故意造成或明知可能造成此种损害而轻率的个人行为或不作为所导致ꎬ则船舶所有人无权享有本公约规定的责任限制ꎮ
为享有第1 款规定的限制ꎬ船舶所有人须在根据第三十八条在其境内提起诉讼的任一缔约国的法院或其他主管当局或者ꎬ如果没有提起诉讼ꎬ在根据第三十八条能够在其境内提起诉讼的任一缔约国的任何法院或其他主管当局ꎬ设立一个总额为按第 1 款确定的责任限额的基金ꎮ 设立该基金的方式可以是交存该金额ꎬ也可以是提交根据基金设立缔约国的法律可予接受的、法院或其他主管当局认为足够的银行担保或其他担保ꎮ 在第十一条规定的前提下ꎬ该基金须在索赔人之间按确认的索赔额的比例分配ꎮ
如果在基金分配之前ꎬ船舶所有人或船舶所有人的任何雇员或代理人或向船舶所有人提供保险或其他经济担保的任何人已为事故导致的损害支付了赔偿ꎬ则此种人应在其已付金额的范围内通过代位取得获得此种赔偿的人根据本公约可享有的权利ꎮ
6. 第5 款中规定的代位权ꎬ也可由该款所述者外的其他人就其已支付的任何损害赔偿额
加以行使ꎬ但仅在根据适用的国内法律此种代位被允许的范围内ꎮ
7. 如果船舶所有人或其他人证实他们仅能在一较晚日期全部或部分地支付任何此种赔偿金额ꎬ但如赔偿系在基金分配前支付便可根据第5 或6 款对该金额享有代位权ꎬ则基金设立地的法院或其他主管当局可指令留出一笔足够金额ꎬ以使此种人能在此种较晚日期行使对基金的索赔ꎮ
8. 对合理产生的费用或对船舶所有人为预防或最大程度地减少损害而合理自动作出的牺
牲的索赔ꎬ须与对基金的其他索赔具有同等地位ꎮ
9. ( a) 第1 款中所述金额应按在第3 款所述基金设立之日该货币相对于特别提款权的价值折算成国家货币ꎮ 就属于国际货币基金组织成员的缔约国而言ꎬ其国家货币相对于特别提款权的价值应按国际货币基金组织于上述日期在其营业和交易中应用的现行定值方法计算ꎮ 就非属国际货币基金组织成员的缔约国而言ꎬ其国家
10.
( b)
( c)
货币相对于特别提款权的价值须按该国家确定的方法计算ꎮ
但是ꎬ如缔约国非属国际货币基金组织的成员且其法律不允许适用第9 款( a) 项的规定ꎬ可在批准、接受、核准或加入本公约时或在此后任何时候声明ꎬ第 9 款 ( a) 项中所述计算单位等于15 金法郎ꎮ 本款所述金法郎相当于纯度为千分之九百的黄金65. 5 毫克ꎮ 金法郎折算为国家货币时ꎬ须按有关国家的法律办理ꎮ
第9 款( a) 项最后一句中所述的计算和第9 款( b) 项中所述的折算ꎬ须以缔约国的国家货币尽可能表示出与应用第9 款( a) 项前两句所得到的第1 款金额的相同真实价值ꎮ 缔约国在交存批准、接受、核准或加入本公约的文件时ꎬ或每当计算方法或折算结果有改变时ꎬ须视情将按第9 款( a) 项确定的计算方法或第 9 款( b)
项的折算结果通知秘书长ꎮ
11.
就本条而言ꎬ船舶吨位须为按«1969 年国际船舶吨位丈量公约» 附则一中所载吨位丈量规则计算的总吨位ꎮ
保险人或提供经济担保的其他人须有权按本条设立基金ꎬ其条件和效力须与船舶所有人设立基金者相同ꎮ 即使根据第 2 款的规定船舶所有人无权享有责任限制亦可设立此种基金ꎬ但在此种情况下ꎬ基金的设立不得损害任何人向船舶所有人提出索赔的的权利ꎮ
第十条
1. 如船舶所有人在事故后按第九条设立了基金ꎬ并有权对责任作出限制:
(a) 对该事故的损害有索赔权的任何人无权因此种索赔向船舶所有人的任何其他财
( b)
2.
产行使任何权利ꎻ和
任何缔约国的法院或其他主管当局须下令释放因该事故的损害索赔而被扣留的、属于船舶所有人的任何船舶或财产ꎬ对为避免此种扣留而提供的任何保释金或其他担保也同样须予退还ꎮ
但是ꎬ上述规定仅在索赔人具有向管理该基金的法院提出索赔的权利并且该基金对该索赔能实际支付时ꎬ方可适用ꎮ
119
死亡和损伤第十一条
人身伤亡的索赔ꎬ除非其累计金额达到超过按第九条第1 款确定的总额的三分之二的程度ꎬ否则须优先于其他索赔ꎮ
船舶所有人的强制保险第十二条
1. 在一缔约国中登记并实际运输有毒有害物质的船舶的所有人ꎬ须对按适用第九条第 1
款中所述责任限额确定的金额进行保险或取得其他经济担保ꎬ如银行或类似金融机构
的担保ꎬ以担保本公约规定的损害责任ꎮ
2. 缔约国有关当局确定第1 款的要求已得到满足后ꎬ须为每一船舶签发一份强制保险证书ꎬ证明保险或其他经济担保按本公约的规定实属有效ꎮ 对于在缔约国中登记的船舶ꎬ须由船舶登记国的有关当局签发或认证此种强制保险证书ꎻ对于不在缔约国中登记的船舶ꎬ可由任何缔约国的有关当局签发或认证此种证书ꎮ 该强制保险证书应采用附件一中所列范本的格式并须包括下列详细资料:
( a) 船名、船舶识别号或呼号ꎬ船籍港ꎻ ( b) 船舶所有人姓名和主要营业地ꎻ ( c) 国际海事组织船舶识别号ꎻ
( d) 担保的种类和期限ꎻ
( e) 保险人或提供担保的其他人的姓名和主要营业地ꎬ以及在适当时ꎬ包括设立保险
3. ( f)
或担保的营业地ꎻ和
证书的有效期ꎬ该有效期不得长于保险或其他担保的有效期限ꎮ
强制保险证书须使用发证国的一种或多种官方语言写成ꎮ 如使用的语言不是英文、法文或西班牙文ꎬ则条文应包括其中之一的译文ꎮ
4. 强制保险证书须随船携带ꎬ一份副本须交存保管船舶登记记录的当局ꎬ或者ꎬ如果不是在缔约国中登记ꎬ交存发证或认证国的当局ꎮ
5. 保险或其他经济担保ꎬ如果由于本条第2 款所述证书中规定的保险或担保有效期届满之外的原因ꎬ在向第4 款所述的当局送交终止通知书之日起满3 个月以前失效ꎬ则不符合本条的要求ꎬ除非在所述期间内向这些当局交出了该证书或签发了新证书ꎮ 上述规定应同样适用于造成保险或担保不再符合本条要求的任何修改ꎮ
6. 船舶登记国应以本条规定为准ꎬ确定强制保险证书的签发条件和有效性ꎮ
7. 就本公约而言ꎬ经缔约国授权按第2 款签发或认证的强制保险证书ꎬ应得到其他缔约国的接受ꎬ并应被其他缔约国视为与由其签发或认证的强制保险证书具有同样效力ꎬ即使系对不在缔约国登记的船舶所签发或认证者亦然ꎮ 缔约国如认为强制保险证书中所述的保险人或担保人在经济上不能履行本公约规定的义务ꎬ则可随时要求与发证或认证国磋商ꎮ
8. 任何损害索赔可直接向保险人或向为船舶所有人的损害责任提供经济担保的其他人提
120
9.
10.
11.
12.
出ꎮ 在此种情况下即使船舶所有人无权享有责任限制ꎬ被告人仍可享有第 1 款中规定的责任限额ꎮ 被告人还可援引船舶所有人有权行使的辩护( 不包括船舶所有人的破产和关闭) ꎮ 此外ꎬ被告人可行使损害系由船舶所有人的有意的不当行为造成的抗辩ꎬ但被告人不得行使在船舶所有人向被告人提起的诉讼中被告有权行使的任何其他抗辩ꎮ被告人在任何情况下均须有权要求船舶所有人参与诉讼ꎮ
按第1 款持有的保险或其他经济担保提供的任何金额ꎬ应专供满足本公约规定的索赔使用ꎮ
除非按第2 款或12 款签发了证书ꎬ否则缔约国不得允许本条所适用的、悬挂其国旗的船舶从事营运ꎮ
在本条规定的前提下ꎬ每一缔约国须根据其法律确保第1 款所述金额的保险或其他担保ꎬ就在任何地方登记的、进入或离开其领土中的港口或抵达或离开其领海中的离岸设施的任何船舶而言ꎬ都是有效的ꎮ
如果缔约国拥有的船舶未持有保险或其他经济担保ꎬ则与其有关的本条规定须不适用于此种船舶ꎬ但此种船舶须携带船舶登记国有关当局签发的强制保险证书ꎬ说明该船系由该国拥有ꎬ船舶的责任在第1 款规定的限额内得到担保ꎮ 此种强制保险证书须尽量与第2 款中所述范本相同ꎮ
第三章 国际有毒有害物质基金( HNS FUND) 的赔偿
设立有毒有害物质基金第十三条
1. 按本章设立的国际有毒有害物质基金( HNS FUND) 有下述目的:
(a) 在第二章提供的保护不足或无法得到的情况下为与海上运输有毒有害物质的损
2. ( b)
害提供赔偿ꎻ和
执行第十五条所列的相关任务ꎮ
有毒有害物质基金在每一缔约国中须视为根据该国法律能享受权利和承担义务和能在该国法院的法律诉讼中作为一方的法人ꎮ 每一缔约国须将干事长视为有毒有害物质基金的法定代表人ꎮ
赔 偿
第十四条
1. 为履行第十三条第1 款( a) 项对其规定的职责ꎬ有毒有害物质基金须向遭受损害但由于下列原因无法根据第二章的条款获得全部和足够损害赔偿的任何人支付赔偿:
( a) 根据第二章不产生损害责任ꎻ
( b) 根据第二章对损害负有责任的船舶所有人在经济上不能完全履行本公约规定的义务并且根据第二章提供的任何经济担保不包括或不足以满足损害赔偿索赔ꎻ如果受到损害的人在采取了一切合理步骤来获得可提供的法定补偿后ꎬ仍无法获得第二章规定的应付赔偿金额的全数赔偿ꎬ则船舶所有人须被视为在经济上不能履
121
2. ( c)
行这些义务ꎬ并且经济担保被视为不足ꎻ
损害超过了第二章条款规定的船舶所有人责任ꎮ
船舶所有人自发的预防或减轻污染损害而造成的合理费用或付出的合理牺牲ꎬ就本条而言须被视为污染损害ꎮ
3. 在下列情况下ꎬ有毒有害物质基金不负有上述条款中规定的义务:
( a) 它证实损害是由战争、敌对、内战或暴乱行为造成ꎬ或是由军舰或由国家所有或使用的、在发生事故时仅从事政府非商业服务的其他船舶溢出或排放的有毒有害物
4. ( b)
质所致ꎻ或
索赔人不能证明损害是由涉及一艘或多艘船舶的事故造成的合理可能性ꎮ
如果有毒有害物质基金证实损害全部或部分系由遭受损害的人故意造成损害的行为或不作为或此种人的疏忽所致ꎬ则有毒有害物质基金可全部或部分地免除向此种人作出赔偿的义务ꎮ 在任何情况下ꎬ有毒有害物质基金须在船舶所有人根据第七条第 3 款得到免责的范围内得到免责ꎮ 但对于预防措施ꎬ有毒有害物质基金不得有任何此种免除ꎮ
5. ( a) 除( b) 项另有规定外ꎬ有毒有害物质基金根据本条须支付的赔偿累计金额ꎬ对于
任何一起事故而言ꎬ须受到限制ꎬ从而使该金额的总额或根据第二章对第三条中定义的本公约适用范围内的损害实际支付的任何赔偿总额不超过 2. 5 亿计算
( b)
( c)
( d)
6.
单位ꎮ
有毒有害物质基金根据本条对由异常、不可避免和不可抗力的自然现象造成的损害的应付赔偿的累计金额ꎬ不得超过2. 5 亿计算单位ꎮ
按第九条3 款设立的基金的累计利息( 如有) 不得被计入本条规定的有毒有害物质基金的最大应付赔偿的计算中ꎮ
本条中所述金额ꎬ须根据有毒有害物质基金大会在对第一个赔偿支付日期所作决
定之日国家货币相对于特别提款权的价值被折算成该货币ꎮ
7.
122
如果对有毒有害物质基金的确认索赔金额超过了第5 款规定的应付赔偿的累计金额ꎬ则可提供的金额须按下述方式分配:即任何确认的索赔与索赔人根据本公约所实际获得的赔偿金额的比例对所有索赔人均须相同ꎮ 但人身伤亡的索赔须优先于其他索赔ꎬ除非该索赔的累计金额达到超过按第5 款确定的总金额的三分之二ꎮ
有毒有害物质基金大会可决定ꎬ在特殊情况下ꎬ即使船舶所有人未按第二章设立基金ꎬ也可支付本公约规定的赔偿ꎮ 在此种情况下ꎬ第5 款( d) 项相须适用ꎮ
有毒有害物质基金的有关任务第十五条
就履行第十三条第1 款( a) 项规定的职能而言ꎬ有毒有害物质基金须担负下列任务: ( a) 审议向有毒有害物质基金提出的索赔ꎻ
( b) 以预算形式制定每一日历年度的下列预算:支出:
(i) 有毒有害物质基金在有关年度的管理成本和费用及上一年度营业的任何赤字ꎻ和
(c)
(d)
( ii) 有毒有害物质基金在有关年度应作的支付ꎻ收入:
( iii) 上一年度营业的盈余资金ꎬ包括任何利息ꎻ ( iv) 在该年度中要支付的初始摊款ꎻ
( v) 如果需要ꎬ为xx预算的年度摊款ꎻ ( vi) 任何其他收入ꎻ
应缔约国要求ꎬ在必要时尽力帮助该国迅速得到必要的人员、器材和服务ꎬ使该国能够采取措施防止或减轻根据本公约可能须由有毒有害物质基金支付赔偿的事故损害ꎻ和
在内部规则规定的条件下提供贷款ꎬ以便能够采取措施防止根据本公约可能必须由有毒有害物质基金支付赔偿的特定事故的损害ꎮ
摊款的一般规定第十六条
1. 有毒有害物质基金应有一个总账户ꎬ该总账户应分成多个组别ꎮ
2. 在第十九条第3 和4 款的前提下ꎬ有毒有害物质基金还须有以下分列账户: ( a) 第一条第5( a)( i) 款规定的油类( 油类账户) ꎻ
( b) 以甲烷为主要成分的轻质烃类液化天然气( 液化天然气) ( 液化天然气账户) ꎻ和
( c) 以丙烷和丁烷为主要成分的轻质烃类液化石油气( 液化石油气) ( 液化石油气账
户) ꎮ
3. 须向有毒有害物质基金交纳初始摊款和ꎬ在需要时ꎬ年度摊款ꎮ
4. 有毒有害物质基金的摊款须按第十八条缴入总账户ꎬ按第十九条缴入分列账户和按第二十条或二十一条第5 款缴入总账户或分列账户ꎮ 在第十九条 6 款规定的前提下ꎬ总账户须用于赔偿该账户规定的有毒有害物质损害ꎻ分列账户须用于赔偿该账户规定的有毒有害物质所致的损害ꎮ
5. 就第十八条、十九条第1( a)( i) 款和1( b) 款、二十条和二十一条第5 款而言ꎬ如果任何人于一日历年度中在一缔约国领土内收到的某种摊款货物的数量在与任何一位或多位相关人于该年度中在同一缔约国中收到的同种货物的数量累计在一起时超过其各自款项中规定的限量ꎬ则此种人须对后一人收到的实际数量支付摊款ꎬ即使后一数量未超过
其限量亦然ꎮ
6. “ 相关人” 系指下属或共同管理的实体ꎮ 某一人是否属于该定义中的相关人的问题ꎬ须由有关国家的国家法律确定ꎮ
年度摊款的一般规定第十七条
1. 总账户和每一分列账户的年度摊款须仅按有关账户所需支付的款额征收ꎮ
2. 按第十八条、十九条和二十一条第5 款缴纳的年度摊款须由大会确定ꎬ并须按照那些条款在上一日历年或大会可能决定的任何一年收到的摊款货物单位的基础上决定ꎮ
123
3. 大会须决定向总账户和每一分列账户征收的年度摊款总额ꎮ 在作出该决定后ꎬ干事长须计算每一缔约国中按第十八条、十九条第1 款和第1 之二款和第二十一条第 5 款须缴纳摊款的每一人对每一账户的年度摊款金额ꎻ计算须根据报告的在上一日历年度或大会可能决定的不同日历年度中该人收到的摊款货物单位固定的金额作出ꎮ 就总账户而言ꎬ每一组别的摊款货物的上述单位固定金额ꎬ须按本公约附件二的条款计算ꎮ 就每
一分列账户而言ꎬ摊款货物的上述单位国家金额须按以该账户应征收的年度摊款总额
除以该账户的摊款货物总量的方式计算ꎮ
4. 大会也可以征收管理费用的年度摊款并决定此种费用在总账户各组别和分列账户间的分配ꎮ
5. 大会还须根据对被涉及的每一物质向损害摊款的程度的估计ꎬ决定属于不同账户或组别的两种或更多物质造成的损害支付的赔偿金额在有关账户和组别间的分配ꎮ
总账户的年度摊款第十八条
1. 在第十六条第5 款前提下ꎬ每一缔约国的总账户年度摊款须由在上一日历年度或大会决定的其他年度中在该缔约国中接收了累计数量超过20000 吨的属于下列组别但不属于第十九条第1 款和第1 之二款所述物质的摊款货物的任何人支付:
( a) 第1 条第5( a)( vii) 款所述固体散装物质ꎻ
( b) 第2 款所述的物质ꎻ和
( c) 其他物质ꎮ
2. 总账户的年度摊款还须由若非因为某一分列账户的运作按第十九条被推迟或中止本应按第十九条第1 款和第1 之二款向该账户支付摊款的人支付ꎮ 根据第十九条运作已被推迟或中止的每一分列账户须在总账户中形成单独组别ꎮ
分列账户的年度摊款第十九条
1. 在第十六条第5 款的前提下ꎬ每一缔约国的分列账户年度摊款须由下列的人支付: ( a) 对油类账户:
( i) 在上一日历年度或大会决定的其他年度中在该缔约国接收了总量超过
150000 吨由经修正的«1971 年设立国际油污损害赔偿基金国际公约» 第一条第3 款作出定义的摊款油并且按该公约第十条须向国际油污损害赔偿基
( b)
( ii)
金支付摊款的任何人ꎻ
在上一日历年度或大会决定的其他年度中在该缔约国接收了总量超过
对液化石油气账户:在上一日历年度或大会决定的其他年度中在该国接收了总量
20000 吨、在经修正的« 经1978 年议定书修订的1973 年国际防止船舶造成污染公约» 附则Ⅰ的附录一中列出的其他散装油类的任何人ꎻ
1 之二
124
超过20000 吨液化石油气的任何人ꎮ
( a)
对于液化天然气账户ꎬ在第十六条第 5
款规定的前提下ꎬ
各缔约国年度摊款须
(b)
( c)
(d)
2.
由上一日历年或大会可能决定的任何一年中该国任何数量的液化天然气的任何接收人缴纳ꎮ
但是ꎬ在下列情形下ꎬ须由在卸货之前对在该国港口或码头卸下的液化天然气拥有所有权的人( 所有权人) 缴纳任何摊款:
( i) 所有权人与接收人已达成协议ꎬ由所有权人缴纳这些摊款ꎻ和
( ii) 接收人已告知缔约国存在这一协议ꎮ
如果第( b) 项所述的所有权人不缴纳摊款或任何部分摊款ꎬ接收人须缴纳余下摊款ꎮ 大会须在内部条例中决定所有权人被视为未缴纳摊款的情况以及接收人缴纳余下摊款所依据的安排ꎮ
本款不影响接收人与所有权人之间根据适用的法律可能产生的接收人的任何
追索权和受偿权ꎮ
在第3 款的前提下ꎬ上文第1 款和第1 之二款所述分列账户应与总账户同时生效ꎮ
3. 第十六条第2 款所述分列账户的初期运作须被推迟至在上一日历年度或大会决定的其他年度中该账户的摊款货物数量超过下列水平之时:
( a) 油类账户: 3. 5 亿吨摊款货物ꎻ
( b) 液化天然气账户: 2000 万吨摊款货物ꎻ和
( c) 液化石油气账户: 1500 万吨摊款货物ꎮ
4. 在下述情况下ꎬ大会可中止分列账户的运作:
( a) 在上一日历年度中该账户的摊款货物数量低于第3 款规定的各自水平ꎻ或
( b) 在摊款支付日期过了6 个月时ꎬ该账户的未支付摊款总额超过第1 款规定的该账户最新征收额的百分之十ꎮ
5. 大会可恢复按第4 款被中止的分列账户的运作ꎮ
6. 任何人ꎬ如须向其运作按第3 款被推迟或按第4 款被中止运作的分列账户支付摊款ꎬ须将其对该分列账户的到期摊款付入总账户ꎮ 就计算今后摊款而言ꎬ被推迟或中止的分列账户须构成总账户的一个新组别并须遵守附件二中规定的有毒有害物质点数系统ꎮ
初 始 摊 款第二十条
1. 每一缔约国须缴纳最初摊款ꎬ其数额ꎬ须对第十六条第5 款、第十八条、第十九条和第二十一条第5 款有义务缴纳摊款的每一人ꎬ按照本公约对该国生效前一日历年里该国收
到的摊款货的每一单位ꎬ以与总账户的每一分列账户相等的固定数额为基数加以计算ꎮ
2. 该确定金额和第1 款中所述总账户内不同组别及每一分列账户的单位须由大会决定ꎮ
3. 初始摊款须在向每一缔约国中按第1 款规定应支付摊款的人开具发票之日后的3 个月内支付ꎮ
报 告
第二十一条
1. 每一缔约国须确保按十八条、十九条或本条5 款应支付摊款的任何人均列入应由干事
125
长按本条规定制定和不断更新的名单中ꎮ
2. 就第1 款而言ꎬ每一缔约国须在有毒有害物质基金内部规则规定的时间内并以此种规则规定的方式向干事长通报该缔约国中按第十八条、十九条或本条第 5 款有义务缴纳摊款的任何人的姓名和地址以及有关此种人在上一日历年度有义务缴纳摊款的摊款货物的有关数量的资料ꎮ
3. 就确定在任何特定时间里谁是按第十八条、十九条或本条5 款规定有义务缴纳摊款的人和( 在适用时) 在确定摊款金额时对任何此种人所计入的货物数量而言ꎬ该名单应是其中所述事实的表面证据ꎮ
4. 如果在某一缔约国中ꎬ没有按照第十八条、第十九条或本条第 5 款有义务缴纳摊款的人ꎬ该缔约国须就本公约而言将此情况通知有毒有害物质基金的干事长ꎮ
5. 对于从某一缔约国的某一港口或码头运至同一缔约国的另一港口或码头并在其中卸下的摊款货物ꎬ缔约国有权作出下列选择:向有毒有害物质基金提交一份报告ꎬ其中载有每一账户中接收的所有摊款货物的年度累计数量ꎬ包括按第十六条第 5 款须缴纳摊款的任何数量ꎮ 缔约国在报告时须:
( a) 通知有毒有害物质基金:该国将向有毒有害物质基金一次全数付清有关年度每一
( b)
账户的累计金额ꎻ或
责成有毒有害物质基金向接收人ꎬ或对液化天然气而言ꎬ如果第十九条第 1 之二款( b) 项适用ꎬ向所有权人ꎬ开出他们该缴纳的数额的发票ꎬ以征收各账户的总额ꎮ 如果所有权人不缴纳摊款或任何部分摊款ꎬ有毒有害物质基金须通过向液化天然气接收人开具发票征收余下摊款ꎮ 这些人须按照有关国家的国内法予以确定ꎮ
不 报 告第二十一之二条
1. 倘若某一缔约国不履行第二十一条第2 款的义务ꎬ而且造成有毒有害物质基金的经济损失ꎬ该缔约国有义务赔偿有毒有害物质基金的这一损失ꎮ 大会将根据干事长的建议
2.
3.
4.
5.
126
决定是否该缔约国须作这一赔付ꎮ
对某一特定事件或按照公约第三( d) 条在任何地方采取的预防措施ꎬ除非该缔约国 在发生寻求赔偿的任何事件之前所有年份的、第二十一条第2 款和第 4 款规定的义务已经履行完毕ꎬ否则有毒有害物质基金将不对其领土内ꎬ包括符合公约第三( a) 条的领海内、符合公约第三( b) 条的专属经济区内或其他区域内的或符合公约第三( c) 条的其他损害作出赔偿ꎮ 大会将在有毒有害物质基金的内部条例中决定缔约国将被视为未履行这些义务的情形ꎮ
在按照第2 款暂时拒绝赔偿的情况下ꎬ如果基金干事长通知该缔约国未履行其义务后一年内ꎬ第二十一条第2 款和4 款的义务仍未予履行ꎬ将永远拒绝赔偿ꎮ
欠缴有毒有害物质基金的任何款项ꎬ将从欠款方或其代理的应获赔偿中扣除ꎮ第2 至4 款不适用于人员伤亡的索赔ꎮ
未支付摊款第二十二条
1. 第十八条、十九条、二十条或二十一条第5 款规定的任何到期摊款金额如被拖欠ꎬ则应产生利息ꎻ其利率须按有毒有害物质基金的内部规则确定ꎬ但对不同情况可确定不同
利率ꎮ
2. 如果按第十八条、十九条、二十条或二十一条第5 款有义务缴纳摊款的人未履行对任何此种摊款或其任何部分的义务并拖欠摊款ꎬ则干事长须代表有毒有害物质基金对此种人采取一切适当行动ꎬ包括法院诉讼ꎬ来收回到期金额ꎮ 但如果违约摊款人被证实已经破产ꎬ或在这样做是合理的其他情况下ꎬ经干事长建议ꎬ大会可以决定不对摊款人采取或继续采取行动ꎮ
缔约国对缴纳摊款的选择性责任第二十三条
1. 在不影响第二十一条第5 款的前提下ꎬ缔约国可在交存批准、接受、核准或加入文件时
或在此后任何时间宣布ꎬ它为有义务按照第十八条、第十九条、第二十条或第二十一条第5 款为该国领土内收到的有毒有害物质缴纳摊款的每一个人承担本公约规定的义
务ꎬ此种宣布须采用书面形式ꎬ并须具体说明承担何种责任ꎮ
2. 如果第1 款中规定的声明系在本公约按第四十六条生效之前作出ꎬ则须交秘书长保存ꎻ在本公约生效后ꎬ秘书长须将声明通知干事长ꎮ
3. 第1 款规定的声明如在本公约生效后作出ꎬ则须交干事长保存ꎮ
4. 经向干事长作出书面通知ꎬ有关国家可撤回按本条作出的声明ꎮ 此种通知须在干事长收到通知后3 个月生效ꎮ
5. 受到按本条所作通知约束的任何国家ꎬ在就声明中指明的任何义务向主管法院提起的诉讼中ꎬ须放弃它在其他情况下有权行使的任何豁免权ꎮ
组织和管理第二十四条
有毒有害物质基金须设大会和以干事长为首的秘书处ꎮ
大 会
第二十五条
大会须由本公约的所有缔约国组成ꎮ
第二十六条
大会的职能如下:
( a) 在每次例会上选举任期至下次例会的主席和两位副主席ꎻ ( b) 确定其本身的议事规则ꎬ但应符合本公约的规定ꎻ
127
( c) 制定、适用和不断检查与第十三条第 1( a) 款所述的有毒有害物质基金之目的有
(d)
( e)
( f)
( g)
(h)
( i)
(j)
( k)
( l)
( m)
( n)
关的内部规则和财务规则和第十五条中所列的有毒有害物质基金的有关任务ꎻ 任命干事长和制定有关任命必需的其他人员的规定ꎬ确定干事长和其他人员的任职条件ꎻ
通过按第十五( b) 条制定的年度预算ꎻ
必要时审议和核准干事长有关有毒有害摊款货物定义范围的任何建议ꎻ任命审计师和核准有毒有害物质基金的账目ꎻ
核准对有毒有害物质基金的索赔的清偿ꎬ为按第十四条在索赔人间分配可提供的赔偿金额作出决定ꎬ并确定临时支付索赔的条件ꎬ以使损害的受害人尽快得到赔偿ꎻ
设立由至少7 位但不超过15 位成员组成的索赔委员会及其认为必要的任何临时或永久性下属机构ꎬ以界定其职责范围和赋予履行其被授职责所需的权力ꎻ在任命此种机构的成员时ꎬ大会须努力保证成员的公平地域分配ꎬ确保对各缔约国的适当代表性ꎻ大会议事规则可比照适于此种下属机构的工作ꎻ
确定非属本公约缔约国的哪些国家、组织的哪些联系会员和哪些政府间和国际非政府组织可被允许在没有表决权的条件下参加大会和下属机构的会议ꎻ
向干事长和下属机构作出关于有毒有害物质基金管理工作的指示ꎻ监督本公约和其自己的决定的正确执行ꎻ
每5 年对本公约的实施情况进行检查ꎬ特别是征费计算系统和国内贸易摊款机制的运作情况ꎻ和
履行根据本公约赋予的其他职能或有毒有害物质基金正确运作所必需的其他职能ꎮ
第二十七条
1. 大会例会须由干事长召集ꎬ每一日历年度举行一次ꎮ
2. 大会特别会议ꎬ应至少三分之一大会成员要求ꎬ须由干事长召集ꎬ也可由干事长在与大会主席协商后主动召集ꎮ 干事长须至少在召开此种会议前30 天向各成员发出通知ꎮ
第二十八条
大会成员的多数须构成会议的法定成员数ꎮ
秘 书 处第二十九条
1. 秘书处须由干事长和管理有毒有害物质基金所需的职员组成ꎮ
2. 干事长须是有毒有害物质基金的法定代表人ꎮ
第三十条
1. 干事长须是有毒有害物质基金的首席行政长官ꎮ 经大会作出指示ꎬ干事长应履行本公
128
约、有毒有害物质基金的内部规则和大会赋予的职责ꎮ
2. 特别是ꎬ干事长须:
( a) 任命管理有毒有害物质基金所需的人员ꎻ
( b) 采取一切适当措施使有毒有害物质基金的资产得到正确管理ꎻ
( c) 收集本公约规定的到期摊款ꎬ同时特别要遵守第二十二条第2 款的规定ꎻ
(d) 在处理对有毒有害物质基金的索赔和履行有毒有害物质基金的其他职责所必需
( e)
( f)
( g)
( h)
的范围内ꎬ聘用法律、财务和其他专家的服务ꎻ
在有毒有害物质基金内部规则规定的限制和条件下ꎬ采取一切适当措施处理对有毒有害物质基金的索赔ꎬ包括在内部规则有此规定时不经大会事先批准对索赔作出最后清偿ꎻ
制定并向大会提交每一日历年度的财务报告和概算ꎻ
经与大会主席协商后ꎬ制定和发表有关上一日历年度中有毒有害物质基金的活动的报告ꎻ和
制定、收集和分发大会和下属机构的工作所需的文件和资料ꎮ
第三十一条
在履行其职责时ꎬ干事长和由干事长任命的职员和专家不得征求或接受任何政府或有毒有害物质基金之外的任何当局的指示ꎮ 他们不得从事有损其国际职员地位的任何行动ꎮ就其自身而言ꎬ每一缔约国应承诺尊重干事长和由干事长任命的职员和专家的责任的完全国际性特点ꎬ不在履行他们的职责方面向其施加影响ꎮ
财 务
第三十二条
1. 每一缔约国须承担其大会代表团和其下属机构代表的工资、旅费和其他费用ꎮ
2. 有毒有害物质基金的运作产生的任何其他费用须由有毒有害物质基金承担ꎮ
表 决
第三十三条
下列规定须适用于大会中的表决:
( a) 每一成员须有一票表决权ꎻ
( b) 除第三十四条另有规定者外ꎬ大会的决定须由出席并参加表决的成员的多数票
( c)
( d)
作出ꎮ
需要三分之二多数作出的决定ꎬ须由出席成员的三分之二多数票作出ꎻ和
就本条而言ꎬ“ 出席成员” 系指“ 在表决时出席会议的成员” ꎬ“ 出席并参加表决的成员” 系指“ 出席并投赞成或反对票的成员” ꎮ 表决时弃权的成员须视为没有参加表决ꎮ
第三十四条
大会的下列决定须要求三分之二多数:
129
( a) 根据第十九条第4 或5 款作出的关于中止或恢复分列账户的运作的决定ꎻ
( b) 根据第二十二条第2 款作出的关于不对某一摊款人采取或继续采取行动的决定ꎻ ( c) 根据第二十六( d) 条任命干事长ꎻ
( d) 根据第二十六( i) 条设立下属机构及与设立此种机构有关的事项ꎻ和
( e) 根据第五十一条第1 款作出的关于本公约应继续有效的决定ꎮ
免税和货币规则第三十五条
1. 有毒有害物质基金、其资产、收入( 包括摊款) 及履行其第十三条第1 款中规定之职能所
需的其他财产ꎬ须在所有缔约国中被免除一切直接税ꎮ
2. 当有毒有害物质基金为实现其第十三条第1 款中所述目的而对开展其公务活动所必需的动产或不动产或服务作巨额购买且其费用包括直接税或销售税时ꎬ所有缔约国在可能时须采取适当措施免除或退还此种关税和捐税的金额ꎮ 除非符合同意或支持此种免除或退还的缔约国政府核准的条件ꎬ否则以上述方式得到的货物不得被有价出售或免费赠送ꎮ
3. 对仅构成公共设施服务费的关税、捐税或手续费不得给予免除ꎮ
4. 对出于公务用途而由其或为其进口和出口的物品ꎬ有毒有害物质基金须享有对关税、捐税和其他有关税款的免除ꎮ 以此种方式进口的物品ꎬ除非符合其入口地国政府同意的条件ꎬ否则不得在该国领土中被有偿或无偿转让ꎮ
5. 向有毒有害物质基金缴纳摊款的人和接收有毒有害物质基金赔偿的受害人和船舶所有人均须遵守他们在其境内应支付税款的国家的财政立法ꎮ 在此方面他们不享有特别的免除或其他优惠ꎮ
6. 虽有现行或今后的货币或转账规则ꎬ缔约国须不加任何限制地允许有毒有害物质基金的任何摊款和有毒有害物质基金的任何赔偿的转账和支付ꎮ
资料的保密第三十六条
为本公约之目的而提供的有关各摊款人的资料ꎬ除仅为使有毒有害物质基金能履行其
职能( 包括法律诉讼的提起和抗辩在内) 所必需者外ꎬ不得泄露到有毒有害物质基金之外ꎮ
第四章 索赔和诉讼
诉 讼 限 制第三十七条
1. 除非在从受到损害的人得悉或理应得悉损害及船舶所有人身份之日起算的3 年内按本
条提起了诉讼ꎬ否则第二章规定的求偿权须丧失ꎮ
2. 除非在从受到损害的人得悉或理应得悉损害之日起算的3 年内根据本条提起了诉讼或按第三十九条第7 款作出了通知ꎬ否则第三章规定的求偿权须丧失ꎮ
130
3. 但在任何情况下均不得在从造成损害的事故发生之日起算超过10 年后提起诉讼ꎮ
4. 如果事故是由一系列事件构成ꎬ则第3 款中所述的十年期限须从事件系列的最后一起事件起算ꎮ
对向船舶所有人的诉讼的管辖权第三十八条
1. 如果事故在一个或多个缔约国的领土( 包括领海或第三( b) 条中所述区域) 中造成损
害ꎬ或在此种领土( 包括领海或此种区域) 中采取了旨在防止或最大程度地减少损害的预防措施ꎬ则仅可在此种缔约国的法院中向船舶所有人或为船舶所有人的责任提供经
济担保的其他人提起赔偿诉讼ꎮ
2. 如果事故造成的损害完全在任何国家的领土包括领海之外ꎬ并且第三( c) 条列出的关于适用本公约的条件得到满足或采取了旨在防止或最大程度地减少损害的预防措施ꎬ则仅可在下列缔约国的法院中向船舶所有人或为船舶所有人的责任提供经济担保的其他人提起赔偿诉讼:
( a) 船舶在其境内登记的缔约国ꎬ或对于未登记的船舶ꎬ船舶有权悬挂其国旗的缔约
( b)
3. ( c)
国ꎻ或
船舶所有人的常居地或主要营业地在其境内的缔约国ꎻ或按第九条第3 款在其境内设立基金的缔约国ꎮ
对根据第1 或2 款提起的任何诉讼ꎬ须向被告人作出合理通知ꎮ
4. 每一缔约国须确保其法院具有受理本公约规定的赔偿诉讼的管辖权ꎮ
5. 在船舶所有人或保险商或提供经济担保的其他人按第十二条设立了第九条规定的基金后ꎬ此种基金的设立地国的法院须具有对与基金的分摊和分配有关的所有事项作出判决的专属管辖权ꎮ
对向有毒有害物质基金提起的诉讼或由有毒有害物质基金提起的诉讼的管辖权
第三十九条
1. 在本条下文中的规定的前提下ꎬ为第十四条规定的赔偿向有毒有害物质基金提起的任
何诉讼ꎬ仅可在根据第三十八条向对有关事故造成的损害负有责任的船舶所有人提起的诉讼具有管辖权的法院或在船舶所有人负有责任时则须由其主管的缔约国法院
提起ꎮ
2. 在未能查明运输造成损害的有毒有害物质的船舶时ꎬ第三十八条第1 款的规定须比照适用于对有毒有害物质基金的起诉ꎮ
3. 每一缔约国须确保其法院对受理第 1 款中所述的对有毒有害物质基金的起诉具有管辖权ꎮ
4. 如果在法院对船舶所有人或船舶所有人的担保人提起了损害赔偿的诉讼ꎬ则此种法院须对因同一损害为第十四条规定的赔偿而向有毒有害物质基金提起的任何诉讼具有专属管辖权ꎮ
131
5. 每一缔约国须确保有毒有害物质基金有权作为一方介入按本公约在该国主管法院向船
舶所有人或船舶所有人的担保人提起的法律诉讼ꎮ
6. 除第7 款另有规定者外ꎬ有毒有害物质基金不受其未作为一方的诉讼判决或裁定或其未作为一方的任何决定的约束ꎮ
7. 在不损害第5 款规定的前提下ꎬ如果在一缔约国的主管法院中向船舶所有人或船舶所有人的担保人提起了本公约规定的损害赔偿诉讼ꎬ则该诉讼的每一方须有权根据该国的国家法律将诉讼通知有毒有害物质基金ꎮ 如果按照受理法院的法律所要求的手续作出了此种通知ꎬ并且通知的时间和方式使有毒有害物质基金实际上能够作为一方有效介入诉讼ꎬ则法院在此种诉讼中作出的任何判决在裁判地国成为最终和有执行力的判决后ꎬ即使有毒有害物质基金未在实际上介入诉讼ꎬ在有毒有害物质基金对诉讼中的事实和结论不可以持异议的意义上ꎬ对有毒有害物质基金具有约束力ꎮ
承认和执行第四十条
1. 具有第三十八条规定的管辖权的法院作出的判决ꎬ如在原判决地国具有执行力而无需再作一般形式的复审ꎬ则须在任何缔约国中得到承认ꎬ除非:
( a) 判决是以欺诈而取得ꎻ或
( b) 被告人未得到合理通知和没有公正机会xx案情ꎮ
2. 根据第1 款得到承认的判决ꎬ一旦满足该国所规定的各项手续ꎬ则可在每一缔约国执行ꎮ 但这些手续不得允许对案情作重新审理ꎮ
3. 在有关第十四条第6 款所述分配的任何决定的前提下 ꎬ具有第三十九条第1 和3 款规定的管辖权的法院对有毒有害物质基金作出的任何判决ꎬ当在原判国成为具有执行力并在该国不再受到普通形式的复审时ꎬ须在每一缔约国中得到承认并具有执行力ꎮ
代位和追索第四十一条
1. 对于有毒有害物质基金按第十四条第1 款支付的任何损害赔偿金额ꎬ有毒有害物质基
金须通过代位取得获得赔偿的人可对船舶所有人或船舶所有人的担保人享有的权利ꎮ
2. 本公约的任何规定不得损害有毒有害物质基金对非属上款所述者外的任何人( 包括第七条第2( d) 款中所述的人) 的追索权和代位权ꎬ只要它们能限制其责任ꎮ 在任何情况下ꎬ有毒有害物质基金对此种人的代位权ꎬ在优惠程度上不得低于为此种人支付了赔偿的保险人的代位权ꎮ
3. 在不损害可能存在的对有毒有害物质基金的任何其他代位权或追索权的前提下ꎬ按国家法律的规定支付了损害赔偿的缔约国或其代理人须通过代位取得获得赔偿的人根据本公约可以享有的权利ꎮ
取 代 条 款第四十二条
132本公约须取代在本公约开放供签署之日处于施行的或开放供签署、批准或加入状态的
任何公约ꎬ但仅限于此种公约与其有冲突的范围内ꎮ 但是本条中的任何规定不得影响此种公约引起的、缔约国对非本公约缔约国的义务ꎮ
第五章 过渡性规定
大会第一次会议第四十三条
秘书长须召集大会的第一次会议ꎮ 该次会议须在本公约生效后尽早召开ꎬ在任何情况下不得超过公约生效后30 天ꎮ
第四十四条❶
«2010 年国际海上运输有毒有害物质的损害责任和赔偿公约» 的最后条款须为«1996 年国际海上运输有毒有害物质的损害责任和赔偿公约2010 年议定书» 的最后条款ꎮ
第 六 章 最 后 条 款
[«1996 年国际海上运输有毒有害物质的损害责任和赔偿公约 2010 年议定书» 第二十至二十九条❷]
签署、批准、接受、核准和加入
[ P20] 第四十五条
1. 本议定书将于2010 年11 月1 日至2011 年10 月31 日在本组织总部开放供签署ꎬ并在
此后继续开放供加入ꎮ
2. 在第4 款和第5 款规定的前提下ꎬ各国可通过下列方式表示其同意受本议定书约束: ( a) 签署ꎬ并对批准、接受或核准无保留ꎻ或
( b) 签署ꎬ但有待批准、接受或核准ꎬ随后予以批准、接受或核准ꎻ或
( c) 加入ꎮ
3. 批准、接受、核准或加入须向秘书长交存相应的文件方为有效ꎮ
4. 同意受本议定书约束的表示ꎬ须随附提交给秘书长关于该国总账户和每一分列账户在上一日历年里收到应付摊款的摊款货物总量的数据ꎮ
5. 对没有随附第四款所述数据的同意受约束的表示ꎬ秘书长不予接受ꎮ
6. 表示同意受本议定书约束的缔约国须在此后每年5 月31 日或之前ꎬ向秘书长提交关于该国总账户和每一分列账户在上一日历年里收到应付摊款的摊款货物总量的数据ꎬ直到本议定书对该国生效ꎮ
7. 表示同意受本议定书约束但没有提交第6 款要求的任何相关年份的摊款货物数据的缔
❶ 请注意ꎬ«2010 年议定书» 第十九条把该条编为第四十四之二条ꎻ但是ꎬ由于« 2010 年议定书» 第十六条删去了
« 公约» 第四十三条并把第四十四条编为第四十三条ꎬ秘书处把该条编为第四十四条ꎬ而不是第四十四之二条ꎮ
❷ 秘书处按照«2010 年议定书» 第十八条第 2 款( 原文见脚注 1) 对最后条款重新做了编号ꎮ 为便于参考ꎬ« 议定书» 条款的相应编号放在方括号中:例如[ P20] ꎮ
133
约国ꎬ须在本议定书对该国生效之前ꎬ暂时中止其缔约国身份ꎬ直到它提交所要求的数据ꎮ
8. 曾经表示同意受«1996 年国际海上运输有毒有害物质的损害责任和赔偿公约» 约束的缔约国ꎬ须在其按照第二款签署议定书或交存批准、接受、核准或加入议定书文件之日被视为撤销其同意受公约约束ꎮ
生 效
[ P21] 第四十六条
1. 本议定书须在下列条件得到满足之日起18 个月后生效:
( a) 至少有12 个国家ꎬ其中包括各自总吨位不少于200 万吨的4 个国家ꎬ已表示同意
( b)
2.
受其约束ꎻ和
秘书长按第四十五条[ P20] 收到了资料ꎬ表明在这些国家内按第十八条第 1( a)和( c) 款应支付摊款的人在上一日历年度中收到了总量至少为4000 万吨向总账户摊款的货物ꎮ
对于在生效条件得到满足后表示同意受本公约约束的国家ꎬ此种同意须在表示此种同意之日或本公约按第1 款生效之日起( 以晚者为准)3 个月后生效ꎮ
修订和修正
[ P22] 第四十七条
1. 本组织可召开会议修订或修正经本议定书修正的本公约ꎮ
2. 应六个缔约国或三分之一缔约国( 以数目大者为准) 的要求ꎬ秘书长须召集本议定书缔
约国会议修订或修正经本议定书修正的本公约ꎮ
3. 在经本议定书修正的本公约某一修正案生效之日后交存的任何批准、接受、核准或加入文书须被视为适用于经修正的本公约ꎮ
修 正 限 额
[ P23] 第四十八条
1. 在不影响第四十七条[ P22] 的规定的前提下ꎬ本条中的特别程序须仅适用于就修正经
x议定书修正的本公约第九条第1 款和第十四条第5 款中所列的限额ꎮ
2. 在至少半数缔约国但在任何情况下不少于六个缔约国提出要求时ꎬ秘书长须将关于修正经本议定书修正的本公约第九条第1 款和第十四条第5 款中规定的限额的任何提案分发给本组织的所有会员国和所有缔约国ꎮ
3. 按照第2 款提出和分发的任何修正案须提交本组织的法律委员会( 法律委员会) ꎬ供在分发之日后至少6 个月的某一日期审议ꎮ
4. 所有缔约国ꎬ不论是否为本组织会员ꎬ均须有权参加法律委员会审议和通过修正案的会议ꎮ
5. 修正案须由在按第4 款予以扩大的法律委员会中出席并参加表决的缔约国的三分之二多数通过ꎬ但在投票时应至少有一半缔约国出席ꎮ
134
6. 在对修正限额的提案采取行动时ꎬ法律委员会须考虑到事故的经验ꎬ尤其是事故造成的损害金额、币值的变化和提议的修正案对保险费用的影响ꎮ 它还须考虑到第九条第 1款规定的限额与第十四条第5 款规定的限额间的关系ꎮ
7. ( a) 在从本议定书开放供签署之日起算不足5 年ꎬ或从根据本条通过的前一修正案生
( b)
8. ( c)
效之日起算不足5 年时ꎬ不得审议本条规定的任何限额修正案ꎮ
任何增加的限额不得超过将本公约规定的限额自本公约开放供签署之日起按复利计算每年增加6% 所得的相应金额ꎮ
任何增加的限额不得超过本议定书规定的限额3 倍的金额ꎮ
9.
10.
11.
按第5 款通过的任何修正案须由本组织通知所有缔约国ꎮ 在通知之日后 18 个月的期限届满时ꎬ该修正案须视为已被接受ꎬ除非在该时期内有不少于四分之一的、通过修正案时为缔约国的国家通知秘书长它们不接受该修正案ꎬ在此种情况下ꎬ该修正案被否决并属无效ꎮ
按第8 款视为已被接受的修正案须在其被接受后18 个月生效ꎮ
所有缔约国ꎬ除非它们按照第四十九条[ P24] 第1 和2 款在该修正案生效前至少6 个月退出本公约ꎬ均须受该修正案约束ꎮ 此种退出须在该修正案生效之时生效ꎮ
在一修正案已被通过但其所需的18 个月的接受期限尚未结束时ꎬ在该期限内成为缔约国的国家ꎬ如该修正案生效ꎬ则须受其约束ꎮ 在该期限后成为缔约国的国家须受按照第
8 款被接受的修正案约束ꎮ 在本款所述的各种情况下ꎬ缔约国须在修正案生效之时或在本议定书对该国生效之时( 如果后者晚于前者) ꎬ受该修正案约束ꎮ
退 出
[ P24] 第四十九条
1. 任何缔约国ꎬ在本议定书对其生效满1 年后ꎬ可随时退出本议定书ꎮ
2. 退出须向秘书长交存相应的文书方为有效ꎮ
3. 退出须在秘书长收到退出文书后12 个月或文件中载明的较此为长时间后生效ꎮ
4. 尽管某一缔约国按照本条退出ꎬ就大会可能对退出生效之前发生的事件所决定的赔偿支付而言ꎬ凡涉及根据本议定书修正的本公约第十八条、第十九条或第二十一条第5 款缴纳摊款的义务的任何规定仍须继续适用ꎮ
大会特别会议
[ P25] 第五十条
1. 任何缔约国ꎬ如认为某一退出会极大地增加其余缔约国的摊款水平ꎬ则可在退出文书被交存后的90 天内要求干事长召开大会特别会议ꎮ 干事长须在收到该要求后不少于 60
天召开大会会议ꎮ
2. 干事长如认为任何退出会造成其余缔约国摊款水平的极大增加ꎬ则可在此种退出文书被交存后60 天内主动召开大会特别会议ꎮ
3. 如果大会在按第1 或2 款召开的特别会议上决定ꎬ该退出会造成其余缔约国摊款水平的极大增加ꎬ则任何此种国家可在不迟于该退出生效之日前120 天退出本公约ꎬ并于同
135
一日期生效ꎮ
终 止
[ P26] 第五十一条
1. 本公约须在下列日期生效:
( a) 在缔约国数目少于6 个之日ꎻ或
( b) 如果数据表明在上一日历年里在各缔约国收到的、按照经本议定书修正的本公约第十八条第1( a) 和( c) 款规定的总账户摊款货物总量少于3000 万吨ꎬ在按照经本议定书修正的本公约第二十一条向干事长通报上一日历年有关数据之日后12个月ꎮ
虽有第( b) 项的规定ꎬ如果在上一日历年度中在各缔约国中收到的本公约第十八条第1 ( a) 和( b) 款规定的总账户摊款货物总量少于3000 万吨但多于250 万吨ꎬ而大会认为这是由于特殊情况所致并且不会再次出现ꎬ则大会可在上述12 个月的期限结束前决定本议定书须继续有效ꎮ 但大会不可在连续两年以上作出此种决定ꎮ
2. 在本议定书停止有效之日前一天受本议定书约束的国家ꎬ须使有毒有害物质基金能够履行第五十二条[ P27] 规定的职能ꎬ并且仅就该目的而言ꎬ须仍受本公约的约束ꎮ
有毒有害物质基金的结束
[ P27] 第五十二条
1. 如果本议定书停止有效ꎬ有毒有害物质基金仍须:
( a) 履行其对在本议定书停止有效前发生的任何事故的义务ꎻ和
( b) 在摊款系为履行第( a) 款规定之责任( 包括为此目的所必需的有毒有害物质基金
的管理费用) 所必需的范围内有权行使其摊款权ꎮ
2. 大会须采取一切适当措施完成有毒有害物质基金的结束工作ꎬ包括在向有毒有害物质基金缴纳了摊款的人中公平分配任何剩余资产ꎮ
3. 就本条而言ꎬ有毒有害物质基金须仍然是法人ꎮ
保 存 人
[ P28] 第五十三条
1. 本议定书及根据第四十八条[ P23] 通过的任何修正案ꎬ须交由秘书长保存ꎮ
2. 秘书长须:
( a) 将下列事项通知签署或加入本公约的所有国家和本组织的所有会员:
( i) 每一新的签署或批准、接受、核准或加入文书的交存及其日期ꎬ以及按照第
136
(ii)
( iii)
( iv)
四十五条[ P20] 第4 款提交的有关摊款货物的数据ꎻ
此后每年按照第四十五条[ P20] 第 6 款提交的有关摊款货物的数据ꎬ直至本议定书生效之日ꎻ
本公约的生效日期ꎻ
按第四十八条[ P23] 第2 款作出的关于修正赔偿限额的任何提案ꎻ
3. ( b)
( v) 按第四十八条[ P23] 第5 款被通过的任何修正案ꎻ
( vii)
( vi) 根据第四十八条[ P23] 第8 款视为已被接受的任何修正案以及该修正案按照第四十八条[ P23] 第9 款生效的日期ꎻ
( viii)
本议定书的任何退出文书的交存以及收到日期和退出的生效日期ꎻ和本公约任何条款要求的任何通知ꎻ和
将本公约的核证无误副本交送签署或加入本公约的所有国家ꎮ
本公约一经生效ꎬ保存人即须按« 联合国宪章» 第一百零二条将其核证无误副本发送联合国秘书长ꎬ以供登记和公布ꎮ
语 言
[ P29] 第五十四条
x公约正本一份ꎬ用阿拉伯文、中文、英文、法文、俄文和西班牙文写成ꎬ每种文本同等作准ꎮ
公元2010 年4 月30 日订于伦敦ꎮ
下列署名者ꎬ均经各自政府正式授权ꎬ特签署本公约ꎬ以昭信守ꎮ
137
附件一
有毒有害物质( HNS) 造成的损害责任的保险证书或其他财务担保证书
按照«2010 年国际海上运输有毒有害物质的损害责任和赔偿公约» 第十二条规定签发
船名 | 船舶编号或呼号 | IMO 船舶识别号 | 船籍港 | 船舶所有人主要营业地名称及其详细地址 |
兹证明ꎬ上述具名船舶具有符合«2010 年国际海上运输有毒有害物质的损害责任和赔偿公约» 第十二条要求的有效保险单或其他财务担保ꎮ
担 保 的 类 别 担 保 的 期 限 保 险 人 和 / 或 担 保 人 的 名 称 和 地 址
名 称 地 址 x 证 书 有 效 期 至
由 政 府 签 发 或 核 证 ( 国 家 全 称 )
签 发 地 点 签 发 日 期
( 地 点 ) ( 日 期 )
( 签发或核证官员的签字和职务)
注释:
1. 如必要ꎬ国家名称中可以包括提及签发证书国家的公共主管当局ꎮ
2. 如担保总额由一个以上的来源所提供ꎬ应列明每一来源的数额ꎮ
3. 如担保是以多种方式提供ꎬ应将各种方式一一列举ꎮ
4. 填写“ 保证期限” 时必须注明该保证的生效日期ꎮ
5. 保险人和/ 或担保人“ 地址” 栏必须注明保险人和/ 或担保人的主要营业地点ꎮ 如适当ꎬ应注明做出保险或其他担保的营业地点ꎮ
138
附件二
总账户年度摊款的计算规则
第一条
1. 须按本规则为每一组别确定第十七条第3 款中所述的固定金额ꎮ
2. 在需要计算总账户多个组别的摊款时ꎬ须根据要求计算下列每一组别各自的每部位摊款货物的固定金额:
( a) 第一条第5( a)( vii) 款中所述的固体散装物质ꎻ ( b) 如果油类账户的运作被推迟或中止:油类ꎻ
( c) 如果液化天然气账户的运作被推迟或中止:液化天然气ꎻ ( d) 如果液化石油气账户的运作被推迟或中止:液化石油气ꎻ ( e) 其他物质ꎮ
第二条
1. 就每一组别而言ꎬ每单位摊款ꎬ货物的固定金额须为每有毒有害物质点数的征收金额与
该组别系数之乘积ꎮ
2. 每有毒有害物质点数的征收额须为要被征收到向总账户中的每年度摊款总额除以所有级别的有毒有害物质总点数之商ꎮ
3. 每一组别的有毒有害物质总点数须为该组别的摊款货物总量( 以公吨计) 乘以相应组别系数之乘积ꎮ
4. 组别系数须按本条以有关年度和前九年中该组别的索赔/ 数量比率的加权算术平均数加以计算ꎮ
5. 除第6 款中规定者外ꎬ上述每一年度的索赔/ 数量比率须按下列方式计算:
( a) 将在有关年度中须缴纳有毒有害物质基金摊款的物质所致损害的确认索赔( 以使
6. ( b)
用有关事故发生之日的适用汇率将索赔货币折算出的计算单位数值表示)ꎻ除以有关年度的相应摊款货物数量ꎮ
在无法得到第5( a) 和( b) 款中要求的资料时ꎬ须以下列数值作为每一没有此种资料的年度的索赔/ 数量比率:
( a) 第一条第5( a)( vii) 款中所述的固体散装物质 0
( b) 油类( 如果油类账户的运作被推迟) 0
( c) 液化天然气( 如果液化天然气账户的运作被推迟) 0
( d) 液化石油气( 如果液化石油气账户的运作被推迟) 0 ( e) 其他物质 0. 0001
7. 该十年的算术平均数须按某一递减的线性比例加权ꎬ使有关年度的比率的加权值为10ꎬ有关年度的上一年度的加权值为9ꎬ再上一年度的加权值为8ꎬ以此类推ꎬ直至第十个年度的加权值为1ꎮ
8. 如果分列账户的运作被推迟ꎬ则有关组别系数须按本条中大会认为适当的规定计算ꎮ
139
International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Seaꎬ 2010 (2010 HNS Convention)❶❷
( Consolidated text of the International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Seaꎬ 1996ꎬ
and the Protocol of 2010 to the Convention)
Chapter I GENERAL PROVISIONS
Definitions❸ Article 1
For the purposes of this Convention:
1. “ Ship” means any seagoing vessel and seaborne craftꎬ of any type whatsoever.
2. “ Person” means any individual or partnership or any public or private bodyꎬ whether corpo ̄ rate or notꎬ including a State or any of its constituent subdivisions.
3. “ Owner” means the person or persons registered as the owner of the ship orꎬ in the absence of registrationꎬ the person or persons owning the ship. Howeverꎬ in the case of a ship owned
❶
❷
❸
140
Article 18 ( Interpretation and application) of the Protocol of 2010 provides as follows:
“1. The Convention and this Protocol shallꎬ as between the Parties to this Protocolꎬ be read and interpreted together as one single instrument.
2. Articles 1 to 44 and Annexes I and II of the Conventionꎬ as amended by this Protocol and the annex theretoꎬ to ̄ gether with articles 20 to 29 of this Protocol ( the final clauses) ꎬ shallmutatis mutandis constitute and be called the International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Seaꎬ 2010(2010 HNS Convention). Articles 20 to 29 of this Protocol shall be renum ̄ bered sequentially with the preceding articles of the Convention. References within the final clauses to other articles of the final clauses shall be renumbered accordingly. ”
Article 2 of the Protocol of 2010 provides as follows: “ The Parties to this Protocol shall give effect to the provisions of this Protocol and the provisions of the Conventionꎬ as amended by this Protocol. ”
Article 1 of the Protocol of 2010 contains definitions which apply only to the Protocol and are not amendments to the 1996 Convention.
by a State and operated by a company which in that State is registered as the ships operatorꎬ “ owner” shall mean such company.
4. “ Receiver” means either:
( a) the person who physically receives contributing cargo discharged in the ports and termi ̄ nals of a State Partyꎻ provided that if at the time of receiptthe person who physically receives the cargo acts as an agent for another who is subject to the jurisdiction of any State Partyꎬ then the principal shall be deemed to be the receiverꎬ if the agent disclo ̄ ses the principal to the HNS Fundꎻ or
( b) the person in the State Party who in accordance with the national law of that State Party is deemed to be the receiver of contributing cargo discharged in the ports and terminals of a State Partyꎬ provided that the total contributing cargo received according to such national law is substantially the same as that which would have been received under ( a).
5. “ Hazardous and noxious substances” ( HNS) means:
( a) any substancesꎬ materials and articles carried on board a ship as cargoꎬreferred to in ( i) to ( vii) below:
( i) oilsꎬ carried in bulkꎬ as defined in regulation1 of annex I to the International Convention for the Prevention of Pollution from Shipsꎬ 1973ꎬ as modified by the Protocol of 1978 relating theretoꎬ as amendedꎻ
( ii) noxious liquid substancesꎬ carried in bulkꎬ as defined in regulation 1. 10 of An ̄ nex II to the International Convention for the Prevention of Pollution from Shipsꎬ
1973ꎬ as modified by the Protocol of 1978 relating theretoꎬ as amendedꎬ and those substances and mixtures provisionally categorized as falling in pollution category Xꎬ Y or Z in accordance with regulation 6. 3 of the said Annex IIꎻ
( iii) dangerous liquid substances carried in bulk listed in chapter 17 of the Interna ̄ tional Code for the Construction and Equipment of Ships Carrying Dangerous Chemicals in Bulkꎬ as amendedꎬ and the dangerous products for which the pre ̄ liminary suitable conditions for the carriage have been prescribed by the Admin ̄ istration and port administrations involved in accordance with paragraph 1. 1. 6 of the Codeꎻ
( iv) dangerousꎬ hazardous and harmful substancesꎬ materials and articles in pack ̄ aged form covered by the International Maritime Dangerous Goods Codeꎬ as a ̄ mendedꎻ
( v) liquefied gases as listed in chapter 19 of the International Code for the Construc ̄ tion and Equipment of Ships Carrying Liquefied Gases in Bulkꎬ as amendedꎬ and the products for which preliminary suitable conditions for the carriage have been prescribed by the Administration and port administrations involved in ac ̄ cordance with paragraph 1. 1. 6 of the Codeꎻ
141
5 bis
5 ter
( vi) liquid substances carried in bulk with a flashpoint not exceeding 60℃ ( meas ̄ ured by a closed ̄cup test) ꎻ
( vii) solid bulk materials possessing chemical hazards covered by the International Maritime Solid Bulk Cargoes Codeꎬ as amendedꎬ tothe extent that these sub ̄ stances are also subject to the provisions of the International Maritime Dangerous Goods Code in effect in 1996ꎬ when carried in packaged formꎻ and
( b) residues from the previous carriage in bulk of substances referred to in ( a)( i) to ( iii) and ( v) to ( vii) above.
“ Bulk HNS” means any hazardous and noxious substances referred to in article 1ꎬpara ̄ graph 5( a)( i) to ( iii) and ( v) to ( vii) and paragraph 5( b).
“ Packaged HNS” means any hazardous and noxious substances referred to in article 1ꎬ par ̄
agraph 5( a)( iv).
6. “ Damage” means:
( a) loss of life or personal injury on board or outside the ship carrying the hazardous and noxious substances caused by those substancesꎻ
( b) loss of or damage to property outside the ship carrying the hazardous and noxious sub ̄ stances caused by those substancesꎻ
( c) loss or damage by contamination of the environment caused by the hazardous and nox ̄ ious substancesꎬ provided that compensation forimpairment of the environment other than loss of profit from such impairment shall be limited to costs of reasonable measures of reinstatement actually undertaken or to be undertakenꎻ and
( d) the costs of preventive measures and further loss or damage caused by preventive meas ̄ ures.
Where it is not reasonably possible to separate damage caused by the hazardous and noxious substances from that caused by other factorsꎬ all such damage shall be deemed to be caused by the hazardous and noxious substances except ifꎬ and to the extent thatꎬ the damage caused by other factors is damage of a type referred to in article 4ꎬ paragraph 3.
In this paragraphꎬ “ caused by those substances” means caused by the hazardous or noxious ̄ nature of the substances.
7. “ Preventive measures” means any reasonable measures taken by any person after an incident has occurred to prevent or minimize damage.
8. “ Incident” means any occurrence or series of occurrences having the same originꎬ which cau ̄ ses damage or creates a grave and imminent threat of causing damage.
9. “ Carriage by sea” means the period from the time when the hazardous and noxious substances enter any part of the ships equipmentꎬ on loadingꎬ to the time they cease to be present in any part of the ships equipmentꎬ on discharge. If no ships equipment is usedꎬ the period begins and ends respectively when the hazardous and noxious substances cross the ships rail.
10. “ Contributing cargo” means any bulk HNS which is carried by sea as cargo to a port or ter ̄
142
minal in the territory of a State Party and discharged in that State. Cargo in transit which is transferred directlyꎬ or through a port or terminalꎬ from one ship to anotherꎬ either wholly or in partꎬ in the course of carriage from the port or terminal of original loading to the port or terminal of final destination shall be considered as contributing cargo only in respect of re ̄ ceipt at the final destination.
11. The “ HNS Fund” means the International Hazardous and Noxious Substances Fund estab ̄ lished under article 13.
12. “ Unit of account” means the Special Drawing Right as defined by the International Monetary Fund.
13. “ State of the ships registry” means in relation to a registered ship the State of registration of the shipꎬ and in relation to an unregistered ship the State whose flag the ship is entitled to fly.
14. “ Terminal” means any site for the storage of hazardous and noxious substances received from waterborne transportationꎬ including any facility situated off ̄shore and linked by pipeline or otherwise to such site.
15. “ Director” means the Director of the HNS Fund.
16. “ Organization” means the International Maritime Organization.
17. “ Secretary ̄General” means the Secretary ̄General of the Organization.
Annexes Article 2
The Annexes to this Convention shall constitute an integral part of this Convention.
Scope of application Article 3
This Convention shall apply exclusively:
( a) to any damage caused in the territoryꎬ including the territorial seaꎬ of a State Partyꎻ ( b) to damage by contamination of the environment caused in the exclusive economic zone
of a State Partyꎬ established in accordance withinternational lawꎬ orꎬ if a State Party has not established such a zoneꎬ in an area beyond and adjacent to the territorial sea of that State determined by that State in accordance with international law and extending not more than 200 nautical miles from the baselines from which the breadth of its terri ̄ torial sea is measuredꎻ
( c) to damageꎬ other than damage by contamination of the environmentꎬ caused outside the territoryꎬ including the territorial seaꎬ of any Stateꎬ if thisdamage has been caused by a substance carried on board a ship registered in a State Party orꎬ in the case of an un ̄ registered shipꎬ on board a ship entitled to fly the flag of a State Partyꎻ and
( d) to preventive measuresꎬ wherever takenꎬ to prevent or minimize such damage as re ̄
143
ferred to in ( a) ꎬ ( b) and ( c) above.
Article 4
1. This Convention shall apply to claimsꎬ other than claims arising out of any contract for the carriage of goods and passengersꎬ for damage arising from the carriage of hazardous and nox ̄ ious substances by sea.
2. This Convention shall not apply to the extent that its provisions are incompatible with those of the applicable law relating to workers compensation or social security schemes.
3. This Convention shall not apply:
( a) to pollution damage as defined in the International Convention on Civil Liability for Oil Pollution Damageꎬ1969ꎬ as amendedꎬ whether or not compensation is payable in re ̄ spect of it under that Conventionꎻ and
( b) to damage caused by a radioactive material of class 7 either in the International Mari ̄ time Dangerous Goods Codeꎬ as amendedꎬ or in theInternational Maritime Solid Bulk Cargoes Codeꎬ as amended.
4. Except as provided in paragraph 5ꎬ the provisions of this Convention shall not apply to war ̄ shipsꎬ naval auxiliary or other ships owned or operated by a State and usedꎬ for the time be ̄ ingꎬ only on Government non ̄commercial service.
5. A State Party may decide to apply this Convention to its warships or other vessels described in paragraph 4ꎬ in which case it shall notify the Secretary ̄General thereof specifying the terms and conditions of such application.
6. With respect to ships owned by a State Party and used for commercial purposesꎬ each State shall be subject to suit in the jurisdictions set forth in article 38 and shall waive all defences based on its status as a sovereign State.
Article 5
1. A State mayꎬ at the time of ratificationꎬ acceptanceꎬ approval ofꎬ or accession toꎬ this Con ̄ ventionꎬ or any time thereafterꎬ declare that this Convention does not apply to ships:
( a) which do not exceed 200 gross tonnageꎻ and
( b) which carry hazardous and noxious substances only in packaged formꎻ and ( c) while they are engaged on voyages between ports or facilities of that State.
2. Where two neighbouring States agree that this Convention does not apply also to ships which are covered by paragraph 1( a) and ( b) while engaged on voyages between ports or facilities of those Statesꎬ the States concerned may declare that the exclusion from the application of this Convention declared under paragraph 1 covers also ships referred to in this paragraph.
3. Any State which has made the declaration under paragraph 1 or 2 may withdraw such declara ̄ tion at any time.
4. A declaration made under paragraph 1 or 2ꎬ and the withdrawal of the declaration made under
144
paragraph 3ꎬ shall be deposited with the Secretary ̄General who shallꎬ after the entry into force of this Conventionꎬ communicate it to the Director.
5. The HNS Fund is not liable to pay compensation for damage caused by substances carried by a ship to which the Convention does not apply pursuant to a declaration made under paragraph
1or 2ꎬ to the extent that:
( a) the damage as defined in article 1ꎬ paragraph 6( a) ꎬ ( b) or ( c) was caused in:
( i) the territoryꎬ including the territorial seaꎬ of the State which has made the decla ̄ rationꎬ or in the case of neighbouring States which have made a declaration un ̄ der paragraph 2ꎬ of either of themꎻ or
( ii) the exclusive economic zoneꎬ or area mentioned in article 3( b) ꎬ of the State or States referred to in ( i) ꎻ
( b) the damage includes measures taken to prevent or minimize such damage.
Duties of State Parties Article 6
Each State Party shall ensure that any obligation arising under this Convention is fulfilled and ̄ shall take appropriate measures under its law including the imposing of sanctions as it may deem necessaryꎬ with a view to the effective execution of any such obligation.
Chapter II LIABILITY
Liability of the owner Article 7
1. Except as provided in paragraphs 2 and 3ꎬ the owner at the time of an incident shall be liable for damage caused by any hazardous and noxious substances in connection with their carriage by sea on board the shipꎬ provided that if an incident consists of a series of occurrences hav ̄ ing the same origin the liability shall attach to the owner at the time of the first of such occur ̄ rences.
2. No liability shall attach to the owner if the owner proves that:
( a) the damage resulted from an act of warꎬ hostilitiesꎬ civil warꎬ insurrection or a natural phenomenon of an exceptionalꎬ inevitable and irresistible characterꎻ or
( b) the damage was wholly caused by an act or omission done with the intent to cause dam ̄ age by a third partyꎻ or
( c) the damage was wholly caused by the negligence or other wrongful act of any Govern ̄ ment or other authority responsible for the maintenance of lights or other navigational aids in the exercise of that functionꎻ or
( d) the failure of the shipper or any other person to furnish information concerning the haz ̄ ardous and noxious nature of the substances shipped either:
145
( i) has caused the damageꎬ wholly or partlyꎻ or
( ii) has led the owner not to obtain insurance in accordance with article 12ꎻ provided that neither the owner nor its servants or agents knew or oughtreasonably to have known of the hazardous and noxious nature of the substances shipped.
3. If the owner proves that the damage resulted wholly or partly either from an act or omission done with intent to cause damage by the person who suffered the damage or from the negli ̄ gence of that personꎬ the owner may be exonerated wholly or partially from liability to such person.
4. No claim for compensation for damage shall be made against the owner otherwise than in ac ̄ cordance with this Convention.
5. Subject to paragraph6ꎬ no claim for compensation for damage under this Convention or other ̄ wise may be made against:
( a) the servants or agents of the owner or the members of the crewꎻ
( b) the pilot or any other person whoꎬ without being a member of the crewꎬ performs serv ̄ ices for the shipꎻ
( c) any charterer( howsoever describedꎬ including a bareboat charterer) ꎬmanager or oper ̄ ator of the shipꎻ
( d) any person performing salvage operations with the consent of the owner or on the in ̄ structions of a competent public authorityꎻ
( e) any person taking preventive measuresꎻ and
( f) the servants or agents of persons mentioned in ( c) ꎬ ( d) and ( e) ꎻ
unless the damage resulted from their personal act or omissionꎬ committed with theintent to cause such damageꎬ or recklessly and with knowledge that such damage would probably re ̄ sult.
6. Nothing in this Convention shall prejudice any existing right of recourse of the owner against any third partyꎬ includingꎬ but not limited toꎬ the shipper or the receiver of the substance causing the damageꎬ or the persons indicated in paragraph 5.
Incidents involving two or more ships Article 8
1. Whenever damage has resulted from an incident involving two or more ships each of which is carrying hazardous and noxious substancesꎬ each ownerꎬ unless exonerated under article 7ꎬ shall be liable for the damage. The owners shall be jointly and severally liable for all such damage which is not reasonably separable.
2. Howeverꎬ owners shall be entitled to the limits of liability applicable to each of them under article 9.
3. Nothing in this article shall prejudice any right of recourse of an owner against any other own ̄ er.
146
Limitation of liability Article 9
1. The owner of a ship shall be entitled to limit liability under this Convention in respect of any one incident to an aggregate amount calculated as follows:
( a) Where the damage has been caused by bulk HNS:
( i) 10 million units of account for a ship not exceeding 2ꎬ000 units of tonnageꎻ and ( ii) for a ship with a tonnage in excess thereofꎬ the following amount in addition to
that mentioned in ( i):
for each unit of tonnage from 2ꎬ001 to 50ꎬ000 units of tonnageꎬ1ꎬ500 units of accountꎻ
for each unit of tonnage in excess of 50 ꎬ 000 units of tonnage ꎬ 360 units of ac ̄ count ꎻ
providedꎬ howeverꎬ that this aggregate amount shall not in any eventexceed 100 million units of account.
( b) Where the damage has been caused by packaged HNSꎬ or where the damage has been caused by both bulk HNS and packaged HNSꎬ or whereit is not possible to determine whether the damage originating from that ship has been caused by bulk HNS or by packaged HNS:
( i) 11. 5 million units of account for a ship not exceeding 2ꎬ000 units of tonnageꎻ and
( ii) for a ship with a tonnage in excess thereofꎬ the following amount in addition to that mentioned in ( i):
for each unit of tonnage from 2ꎬ001 to 50ꎬ000 units of tonnageꎬ1ꎬ725 units of accountꎻ
for each unit of tonnage in excess of 50 ꎬ 000 units of tonnage ꎬ 414 units of ac ̄ count ꎻ
providedꎬ howeverꎬ that this aggregate amount shall not in any eventexceed 115 mil ̄ lion units of account.
2. The owner shall not be entitled to limit liability under this Convention if it is proved that the damage resulted from the personal act or omission of the ownerꎬ committed with the intent to cause such damageꎬ or recklessly and with knowledge that such damage would probably re ̄ sult.
3. The owner shallꎬ for the purpose of benefitting from the limitation provided for in paragraph
1ꎬ constitute a fund for the total sum representing the limit of liability established in accord ̄ ance with paragraph 1 with the court or other competent authority of any one of the States Par ̄ ties in which action is brought under article 38 orꎬ if no action is broughtꎬ with any court or other competent authority in any one of the States Parties in which an action can be brought
147
under article 38. The fund can be constituted either by depositing the sum or by producing a bank guarantee or other guaranteeꎬ acceptable under the law of the State Party where the fund is constitutedꎬ and considered to be adequate by the court or other competent authority.
4. Subject to the provisions of article 11ꎬ the fund shall be distributed among the claimants in proportion to the amounts of their established claims.
5. If before the fund is distributed the owner or any of the servants or agents of the owner or any person providing to the owner insurance or other financial security has as a result of the inci ̄ dent in questionꎬ paid compensation for damageꎬ such person shallꎬ up to the amount that person has paidꎬ acquire by subrogation the rights which the person so compensated would have enjoyed under this Convention.
6. The right of subrogation provided for in paragraph 5 may also be exercised by a person other than those mentioned therein in respect of any amount of compensation for damage which such person may have paid but only to the extent that such subrogation is permitted under the ap ̄ plicable national law.
7. Where owners or other persons establish that they may be compelled to pay at a later date in whole or in part any such amount of compensationꎬ with regard to which the right of subroga ̄ tion would have been enjoyed under paragraphs 5 or 6 had the compensation been paid before the fund was distributedꎬ the court or other competent authority of the State where the fund has been constituted may order that a sufficient sum shall be provisionally set aside to enable such person at such later date to enforce the claim against the fund.
8. Claims in respect of expenses reasonably incurred or sacrifices reasonably made by the owner voluntarily to prevent or minimize damage shall rank equally with other claims against the fund.
9. ( a) The amounts mentioned in paragraph 1 shall be converted into national currency on the basis of the value of that currency by reference to the Special Drawing Right on the date of the constitution of the fund referred to in paragraph 3. The value of the national currencyꎬ in terms of the Special Drawing Rightꎬ of a State Party which is a member of the International Monetary Fundꎬ shall be calculated in accordance with the method of valuation applied by the International Monetary Fund in effect on the date in question for its operations and transactions. The value of the national currencyꎬ in terms of the Special Drawing Rightꎬ of a State Party which is not a member of the International Mo ̄ netary Fundꎬ shall be calculated in a manner determined by that State.
( b) Neverthelessꎬ a State Party which is not a member of the International Monetary Fund and whose law does not permit the application of theprovisions of paragraph 9( a) mayꎬ at the time of ratificationꎬ acceptanceꎬ approval of or accession to this Convention or at any time thereafterꎬ declare that the unit of account referred to in paragraph 9 ( a) shall be equal to 15 gold francs. The gold franc referred to in this paragraph corre ̄ sponds to sixty ̄five ̄and ̄a ̄half milligrammes of gold of millesimal fineness nine hun ̄
148
dred. The conversion of the gold franc into the national currency shall be made accord ̄ ing to the law of the State concerned.
( c) The calculation mentioned in the last sentence of paragraph 9( a) and the conversion mentioned in paragraph 9( b) shall be made in such manner as to express in the na ̄ tional currency of the State Party as far as possible the same real value for the amounts in paragraph 1 as would result from the application of the first two sentences of para ̄ graph 9( a). States Parties shall communicate to the Secretary ̄General the manner of calculation pursuant to paragraph 9( a) ꎬ or the result of the conversion in paragraph 9 ( b) as the case may beꎬ when depositing an instrument of ratificationꎬ acceptanceꎬ approval of or accession to this Convention and whenever there is a change in either.
10. For the purpose of this article the ships tonnage shall be the gross tonnage calculated in ac ̄ cordance with the tonnage measurement regulations contained in Annex I of the International Convention on Tonnage Measurement of Shipsꎬ 1969.
11. The insurer or other person providing financial security shall be entitled to constitute a fund in accordance with this article on the same conditions and having the same effect as if it were constituted by the owner. Such a fund may be constituted even ifꎬ under the provisions of paragraph 2ꎬ the owner is not entitled to limitation of liabilityꎬ but its constitution shall in that case not prejudice the rights of any claimant against the owner.
Article 10
1. Where the ownerꎬ after an incidentꎬ has constituted a fund in accordance with article 9 and is entitled to limit liability:
( a) no person having a claim for damage arising out of that incident shall be entitled to ex ̄ ercise any right against any other assets of the owner inrespect of such claimꎻ and
( b) the court or other competent authority of any State Party shall order the release of any ship or other property belonging to the owner which has been arrested in respect of a claim for damage arising out of that incidentꎬ and shall similarly release any bail or other security furnished to avoid such arrest.
2. The foregoing shallꎬ howeverꎬ only apply if the claimant has access to the court administering the fund and the fund is actually available in respect of the claim.
Death and injury Article 11
Claims in respect of death or personal injury have priority over other claims save to theextent that the aggregate of such claims exceeds two ̄thirds of the total amount established in accordance with article 9ꎬ paragraph 1.
149
Compulsory insurance of the owner Article 12
1. The owner of a ship registered in a State Party and actually carrying hazardous and noxious substances shall be required to maintain insurance or other financial securityꎬ such as the guarantee of a bank or similar financial institutionꎬ in the sums fixed by applying the limits of liability prescribed in article 9ꎬ paragraph 1ꎬ to cover liability for damage under this Conven ̄ tion.
2. A compulsory insurance certificate attesting that insurance or other financial security is in force in accordance with the provisions of this Convention shall be issued to each ship after the appropriate authority of a State Party has determined that the requirements of paragraph 1 have been complied with. With respect to a ship registered in a State Party such compulsory insurance certificate shall be issued or certified by the appropriate authority of the State of the ships registryꎻ with respect to a ship not registered in a State Party it may be issued or certi ̄ fied by the appropriate authority of any State Party. This compulsory insurance certificate shall be in the form of the model set out in Annex I and shall contain the following particu ̄ xxxx:
( a) name of the shipꎬ distinctive number or letters and port of registryꎻ ( b) name and principal place of business of the ownerꎻ
( c) IMO ship identification numberꎻ ( d) type and duration of securityꎻ
( e) name and principal place of business of insurer or other person giving security andꎬ where appropriateꎬ place of business where the insurance orsecurity is establishedꎻ and
( f) period of validity of certificateꎬ which shall not be longer than the period of validity of the insurance or other security.
3. The compulsory insurance certificate shall be in the official language or languages of the issu ̄ ing State. If the language used is neither Englishꎬ nor French nor Spanishꎬ the text shall in ̄ clude a translation into one of these languages.
4. The compulsory insurance certificate shall be carried on board the ship and a copy shall be deposited with the authorities who keep the record of the ships registry orꎬ if the ship is not registered in a State Partyꎬ with the authority of the State issuing or certifying the certificate.
5. An insurance or other financial security shall not satisfy the requirements of this article if it can ceaseꎬ for reasons other than the expiry of the period of validity of the insurance or secur ̄ ity specified in the certificate under paragraph 2ꎬ before three months have elapsed from the date on which notice of its termination is given to the authorities referred to in paragraph 4ꎬ unless the compulsory insurance certificate has been surrendered to these authorities or a new certificate has been issued within the said period. The foregoing provisions shall similarly ap ̄
150
ply to any modification which results in the insurance or security no longer satisfying the re ̄ quirements of this article.
6. The State of the ships registry shallꎬ subject to the provisions of this articleꎬ determine the conditions of issue and validity of the compulsory insurance certificate.
7. Compulsory insurance certificates issued or certified under the authority of a State Party in ac ̄ cordance with paragraph 2 shall be accepted by other States Parties for the purposes of this Convention and shall be regarded by other States Parties as having the same force as compul ̄ sory insurance certificates issued or certified by them even if issued or certified in respect of a ship not registered in a State Party. A State Party may at any time request consultation with the issuing or certifying State should it believe that the insurer or guarantor named in the com ̄ pulsory insurance certificate is not financially capable of meeting the obligations imposed by this Convention.
8. Any claim for compensation for damage may be brought directly against the insurer or other person providing financial security for the owners liability for damage. In such case the de ̄ fendant mayꎬ even if the owner is not entitled to limitation of liabilityꎬ benefit from the limit of liability prescribed in accordance with paragraph 1. The defendant may further invoke the defences ( other than the bankruptcy or winding up of the owner) which the owner would have been entitled to invoke. Furthermoreꎬ the defendant may invoke the defence that the damage resulted from the wilful misconduct of the ownerꎬ but the defendant shall not invoke any other defence which the defendant might have been entitled to invoke in proceedings brought by the owner against the defendant. The defendant shall in any event have the right to require the owner to be joined in the proceedings.
9. Any sums provided by insurance or by other financial security maintained in accordance with paragraph 1 shall be available exclusively for the satisfaction of claims under this Convention.
10. A State Party shall not permit a ship under its flag to which this article applies to trade unless a certificate has been issued under paragraph 2 or 12.
11. Subject to the provisions of this articleꎬ each State Party shall ensureꎬ under its national lawꎬ that insurance or other security in the sums specified in paragraph 1 is in force in respect of any shipꎬ wherever registeredꎬ entering or leaving a port in its territoryꎬ or arriving at or leav ̄ ing an offshore facility in its territorial sea.
12. If insurance or other financial security is not maintained in respect of a ship owned by a State Partyꎬ the provisions of this article relating thereto shall not be applicable to such shipꎬ but the ship shall carry a compulsory insurance certificate issued by the appropriate authorities of the State of the ships registry stating that the ship is owned by that State and that the ships liability is covered within the limit prescribed in accordance with paragraph 1. Such a com ̄ pulsory insurance certificate shall follow as closely as possible the model prescribed by para ̄ graph 2.
151
Chapter III Compensation by the International Hazardous and Noxious Substances Fund ( HNS Fund)
Establishment of the HNS Fund Article 13
1. The International Hazardous and Noxious Substances Fund ( HNS Fund) is hereby estab ̄ lished with the following aims:
( a) to provide compensation for damage in connection with the carriage of hazardous and noxious substances by seaꎬ to the extent that the protection afforded by chapter II is in ̄ adequate or not availableꎻ and
( b) to give effect to the related tasks set out in article 15.
2. The HNS Fund shall in each State Party be recognized as a legal person capable under the laws of that State of assuming rights and obligations and of being a party in legal proceedings before the courts of that State. Each State Party shall recognize the Director as the legal rep ̄ resentative of the HNS Fund.
Compensation Article 14
1. For the purpose of fulfilling its function under article 13ꎬ paragraph 1( a) ꎬ the HNS Fund shall pay compensation to any person suffering damage if such person has been unable to ob ̄ tain full and adequate compensation for the damage under the terms of chapter II:
( a) because no liability for the damage arises under chapter IIꎻ
( b) because the owner liable for the damage under chapter II is financially incapable of meeting the obligations under this Convention in full and any financial security that may be provided under chapter II does not cover or is insufficient to satisfy the claims for compensation for damageꎻ an owner being treated as financially incapable of meet ̄ ing these obligations and a financial security being treated as insufficient if the person suffering the damage has been unable to obtain full satisfaction of the amount of com ̄ pensation due under chapter II after having taken all reasonable steps to pursue the a ̄ vailable legal remediesꎻ
( c) because the damage exceeds the owners liability under the terms of chapter II.
2. Expenses reasonably incurred or sacrifices reasonably made by the owner voluntarily to pre ̄ vent or minimize damage shall be treated as damage for the purposes of this article.
3. The HNS Fund shall incur no obligation under the preceding paragraphs if:
( a) it proves that the damage resulted from an act of warꎬ hostilitiesꎬ civil war or insurrec ̄ tion or was caused by hazardous and noxious substances whichhad escaped or been dis ̄ charged from a warship or other ship owned or operated by a State and usedꎬ at the
152
time of the incidentꎬ only on Government non ̄commercial serviceꎻ or
( b) the claimant cannot prove that there is a reasonable probability that the damage resul ̄ xxx from an incident involving one or more ships.
4. If the HNS Fund proves that the damage resulted wholly or partly either from an act or omis ̄ sion done with intent to cause damage by the person who suffered the damage or from the neg ̄ ligence of that personꎬ the HNS Fund may be exonerated wholly or partially from its obligation to pay compensation to such person. The HNS Fund shall in any event be exonerated to the extent that the owner may have been exonerated under article 7ꎬ paragraph 3. Howeverꎬ there shall be no such exoneration of the HNS Fund with regard topreventive measures.
5. ( a) Except as otherwise provided in subparagraph ( b) ꎬ the aggregate amount of compensa ̄ tion payable by the HNS Fund under this article shall inrespect of any one incident be limitedꎬ so that the total sum of that amount and any amount of compensation actually paid under chapter II for damage within the scope of application of this Convention as defined in article 3 shall not exceed 250 million units of account.
( b) The aggregate amount of compensation payable by the HNS Fund under this article for damage resulting from a natural phenomenon of anexceptionalꎬ inevitable and irresisti ̄ ble character shall not exceed 250 million units of account.
( c) Interest accrued on a fund constituted in accordance with article 9ꎬ paragraph 3ꎬ if anyꎬ shall not be taken into account for the computation of the maximum compensation payable by the HNS Fund under this article.
( d) The amounts mentioned in this article shall be converted into national currency on the basis of the value of that currency with reference to the Special Drawing Right on the date of the decision of the Assembly of the HNS Fund as to the first date of payment of compensation.
6. Where the amount of established claims against the HNS Fund exceeds the aggregate amount of compensation payable under paragraph 5ꎬ the amount available shall be distributed in such a manner that the proportion between any established claim and the amount of compensation actually recovered by the claimant under this Convention shall be the same for all claimants. Claims in respect of death or personal injury shall have priority over other claimsꎬ howeverꎬ save to the extent that the aggregate of such claims exceeds two ̄thirds of the total amount es ̄ tablished in accordance with paragraph 5.
7. The Assembly of the HNS Fund may decide thatꎬ in exceptional casesꎬ compensation in ac ̄ cordance with this Convention can be paid even if the owner has not constituted a fund in ac ̄ cordance with chapter II. In such cases paragraph 5( d) applies accordingly.
Related tasks of the HNS Fund Article 15
For the purpose of fulfilling its function under article 13ꎬ paragraph 1( a) ꎬ the HNS Fund
153
shall have the following tasks:
( a) to consider claims made against the HNS Fundꎻ
( b) to prepare an estimate in the form of a budget for each calendar year of: Expenditure:
( i) costs and expenses of the administration of the HNS Fund in the relevant year and any deficit from operations in the preceding yearsꎻ and
( ii) payments to be made by the HNS Fund in the relevant yearꎻ Income:
( iii) surplus funds from operations in preceding yearsꎬ including any interestꎻ ( iv) initial contributions to be paid in the course of the yearꎻ
( v) annual contributions if required to balance the budgetꎻ and ( vi) any other incomeꎻ
( c) to use at the request of a State Party its good offices as necessary to assist that State to secure promptly such personnelꎬ material and services as arenecessary to enable the State to take measures to prevent or mitigate damage arising from an incident in respect of which the HNS Fund may be called upon to pay compensation under this Conven ̄ tionꎻ and
( d) to provideꎬ on conditions laid down in the internal regulationsꎬ credit facilities with a view to the taking of preventive measures against damage arising from a particular inci ̄ dent in respect of which the HNS Fund may be called upon to pay compensation under this Convention.
General provisions on contributions Article 16
1. The HNS Fund shall have a general accountꎬ which shall be divided into sectors.
2. The HNS Fund shallꎬ subject to article 19ꎬ paragraphs 3 and 4ꎬ also have separate accounts in respect of:
( a) oil as defined in article 1ꎬ paragraph 5( a)( i) ( oil account) ꎻ
( b) liquefied natural gases of light hydrocarbons with methane as the main constituent ( LNG) ( LNG account) ꎻ and
( c) liquefied petroleum gases of light hydrocarbons with propane and butane as the main constituents ( LPG) ( LPG account).
3. There shall be initial contributions and ꎬ as required ꎬ annual contributions to the HNS Fund.
4. Contributions to the HNS Fund shall be made into the general account in accordance with ar ̄ ticle 18ꎬ to separate accounts in accordance with article 19 and to either the general account or separate accounts in accordance with article 20 or article 21ꎬparagraph 5. Subject to arti ̄ cle 19ꎬ paragraph 6ꎬ the general account shall be available to compensate damage caused by hazardous and noxious substances covered by that accountꎬ and a separate account shall be a ̄
154
vailable to compensate damage caused by a hazardous and noxious substance covered by that account.
5. For the purposes of article 18ꎬ article 19ꎬ paragraph 1( a)( i) ꎬ paragraph 1( a)( ii) and par ̄ agraph 1( b) ꎬ article 20 and article 21ꎬ paragraph 5ꎬ where the quantity of a given type of contributing cargo received in the territory of a State Party by any person in a calendar year when aggregated with the quantities of the same type of cargo received in the same State Party in that year by any associated person or persons exceeds the limit specified in the respective subparagraphsꎬ such a person shall pay contributions in respect of the actual quantity re ̄ ceived by that person notwithstanding that that quantity did not exceed the respective limit.
6. “ Associated person” means any subsidiary or commonly controlled entity. The question whether a person comes within this definition shall be determined by the national law of the State concerned.
General provisions on annual contributions Article 17
1. Annual contributions to the general account and to each separate account shall be levied only as required to make payments by the account in question.
2. Annual contributions payable pursuant to articles 18ꎬ 19 and article 21ꎬ paragraph 5ꎬ shall be determined by the Assembly and shall be calculated in accordance with those articles on the basis of the units of contributing cargo received during the preceding calendar year or such other year as the Assembly may decide.
3. The Assembly shall decide the total amount of annual contributions to be levied to the general account and to each separate account. Following that decision the Director shallꎬ in respect of each State Partyꎬ calculate for each person liable to pay contributions in accordance with arti ̄ cle 18ꎬ article 19ꎬ paragraph 1 and paragraph 1bisꎬ and article 21ꎬ paragraph 5ꎬ the amount of that persons annual contribution to each accountꎬ on the basis of a fixed sum for each unit of contributing cargo reported in respect of the person during the preceding calendar year or such other year as the Assembly may decide. For the general accountꎬ the above ̄mentioned fixed sum per unit of contributing cargo for each sector shall be calculated pursuant to the regulations contained in Annex II to this Convention. For each separate accountꎬ the fixed sum per unit of contributing cargo referred to above shall be calculated by dividing the total annual contribution to be levied to that account by the total quantity of cargo contributing to that account.
4. The Assembly may also levy annual contributions for administrative costs and decide on the distribution of such costs between the sectors of the general account and the separate ac ̄ counts.
5. The Assembly shall also decide on the distribution between the relevant accounts and sectors of amounts paid in compensation for damage caused by two or more substances which fall
155
within different accounts or sectorsꎬ on the basis of an estimate of the extent to which each of the substances involved contributed to the damage.
Annual contributions to the general account Article 18
1. Subject to article 16ꎬ paragraph 5ꎬ annual contributions to the general account shall be made in respect of each State Party by any person who was the receiver in that State in the preced ̄ ing calendar yearꎬ or such other year as the Assembly may decideꎬ of aggregate quantities ex ̄ ceeding 20ꎬ000 tonnes of contributing cargoꎬ other than substances referred to in article 19ꎬ paragraph 1 and paragraph 1bisꎬ which fall within the following sectors:
( a) solid bulk materials referred to in article 1ꎬ paragraph 5( a)( vii) ꎻ ( b) substances referred to in paragraph 2ꎻ and
( c) other substances.
2. Annual contributions shall also be payable to the general account by persons who would have been liable to pay contributions to a separate account in accordance witharticle 19ꎬ paragraph
1 and paragraph 1bisꎬ had its operation not been postponed or suspended in accordance with article 19. Each separate account the operation of which has been postponed or suspended under article 19 shall form a separate sector within the general account.
Annual contributions to separate accounts Article 19
1. Subject to article 16ꎬ paragraph 5ꎬ annual contributions to separate accounts shall be made in respect of each State Party:
( a) in the case of the oil accountꎬ
(i) by any person who has received in that State in the preceding calendar yearꎬ or such other year as the Assembly may decideꎬtotal quantities exceeding 150ꎬ000 tonnes of contributing oil as defined in article 1ꎬ paragraph 3 of the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damageꎬ 1971ꎬ as amendedꎬ and who is or would be liable to pay contributions to the International Oil Pollution Compensation Fund in accordance with article 10 of that Conventionꎻ and
( ii) by any person who was the receiver in that State in the preceding calendar yearꎬ or such other year as the Assembly may decideꎬ oftotal quantities exceeding 20ꎬ
000 tonnes of other oils carried in bulk listed in appendix I of Annex I to the In ̄ ternational Convention for the Prevention of Pollution from Shipsꎬ1973ꎬ as modi ̄ fied by the Protocol of 1978 relating theretoꎬ as amendedꎻ
( b) in the case of the LPG accountꎬ by any person who in the preceding calendar yearꎬ or such other year as the Assembly may decideꎬ was the receiver in that State of total
156
1bis
quantities exceeding 20 ꎬ 000 tonnes of LPG.
( a) In the case of the LNG accountꎬ subject to article 16ꎬ paragraph 5ꎬ annual contribu ̄ tions to the LNG account shall be made in respect of each State Party by any person who in the preceding calendar yearꎬ or such other year as the Assembly may decideꎬ was the receiver in that State of any quantity of LNG.
( b) Howeverꎬ any contributions shall be made by the person whoꎬ immediately prior to its dischargeꎬ held title to an LNG cargo discharged in a port orterminal of that State ( the titleholder) where:
( i) the titleholder has entered into an agreement with the receiver that the title ̄ holder shall make such contributionsꎻ and
( ii) the receiver has informed the State Party that such an agreement exists.
( c) If the titleholder referred to in subparagraph ( b) above does not make the contribu ̄ tions or any part thereofꎬ the receiver shall make the remainingcontributions. The As ̄ sembly shall determine in the internal regulations the circumstances under which the titleholder shall be considered as not having made the contributions and the arrange ̄ ments in accordance with which the receiver shall make any remaining contributions.
( d) Nothing in this paragraph shall prejudice any rights of recourse or reimbursement of
the receiver that may arise between the receiver and the titleholder under the applica ̄ ble law.
2. Subject to paragraph 3ꎬ the separate accounts referred to in paragraph 1 and paragraph 1bis above shall become effective at the same time as the general account.
3. The initial operation of a separate account referred to in article 16ꎬ paragraph 2 shall be post ̄ poned until such time as the quantities of contributing cargo in respect of that account during the preceding calendar yearꎬ or such other year as the Assembly may decideꎬ exceed the fol ̄ lowing levels:
( a) 350 million tonnes of contributing cargo in respect of the oil accountꎻ
( b) 20 million tonnes of contributing cargo in respect of the LNG accountꎻ and ( c) 15 million tonnes of contributing cargo in respect of the LPG account.
4. The Assembly may suspend the operation of a separate account if:
( a) the quantities of contributing cargo in respect of that account during the preceding cal ̄ endar year fall below the respective level specified inparagraph 3ꎻ or
( b) when six months have elapsed from the date when the contributions were dueꎬ the total unpaid contributions to that account exceed ten per cent of the most recent levy to that account in accordance with paragraph 1.
5. The Assembly may reinstate the operation of a separate account which has been suspended in accordance with paragraph 4.
6. Any person who would be liable to pay contributions to a separate account the operation of which has been postponed in accordance with paragraph 3 or suspended in accordance with
157
paragraph 4ꎬ shall pay into the general account the contributions due by that person in respect of that separate account. For the purpose of calculating future contributionsꎬ the postponed or suspended separate account shall form a new sector in the general account and shall be sub ̄ ject to the HNS points system defined in Annex II.
Initial contributions Article 20
1. In respect of each State Partyꎬ initial contributions shall be made of an amount which shallꎬ for each person liable to pay contributions in accordance with article 16ꎬ paragraph 5ꎬ articles
18ꎬ 19 and article 21ꎬ paragraph 5ꎬ be calculated on the basis of a fixedsumꎬ equal for the general account and each separate accountꎬ for each unit of contributing cargo received in that State during the calendar year preceding that in which this Convention enters into force for that State.
2. The fixed sum and the units for the different sectors within the general account as well as for each separate account referred to in paragraph 1 shall be determined by the Assembly.
3. Initial contributions shall be paid within three months following the date on which the HNS Fund issues invoices in respect of each State Party to persons liable to pay contributions in ac ̄ cordance with paragraph 1.
Reports Article 21
1. Each State Party shall ensure that any person liable to pay contributions in accordance with articles 18ꎬ 19 or paragraph 5 of this article appears on a list to be established and kept up to date by the Director in accordance with the provisions of this article.
2. For the purposes set out in paragraph 1ꎬ each State Party shall communicate to the Directorꎬ at a time and in the manner to be prescribed in the internal regulations of the HNS Fundꎬ the name and address of any person who in respect of the State is liable to pay contributions in accordance with articles 18ꎬ 19 or paragraph 5 of this articleꎬ as well as data on the relevant quantities of contributing cargo for which such a person is liable to contribute in respect of the preceding calendar year.
3. For the purposes of ascertaining who areꎬ at any given timeꎬ the persons liable to pay contri ̄ butions in accordance with articles 18ꎬ 19 or paragraph 5 of this article and of establishingꎬ where applicableꎬ the quantities of cargo to be taken into account for any such person when determining the amount of the contributionꎬ the list shall be prima facie evidence of the facts stated therein.
4. If in a State Party there is no person liable to pay contributions in accordance with articles
18ꎬ 19 or paragraph 5 of this articleꎬ that State Party shallꎬ for the purposes of this Conven ̄ tionꎬ inform the Director of the HNS Fund thereof.
158
5. In respect of contributing cargo carried from one port or terminal of a State Party to another port or terminal located in the same State and discharged thereꎬ States Parties shall have the option of submitting to the HNS Fund a report with an annual aggregate quantity for each ac ̄ count covering all receipts of contributing cargoꎬ including any quantities in respect of which contributions are payable pursuant to article 16ꎬ paragraph 5. The State Party shallꎬ at the time of reportingꎬ either:
( a) notify the HNS Fund that that State will pay the aggregate amount for each account in respect of the relevant year in one lump sum to the HNS Fundꎻ or
( b) instruct the HNS Fund to levy the aggregate amount for each account by invoicing indi ̄ vidual receiversꎬ orꎬ in the case of LNGꎬ the titleholder if article 19ꎬ paragraph 1bis ( b) is applicableꎬ for the amount payable by each of them. If the titleholder does not make the contributions or any part thereofꎬ the HNS Fund shall levy the remaining contributions by invoicing the receiver of the LNG cargo. These persons shall be iden ̄ tified in accordance with the national law of the State concerned.
Non ̄reporting Article 21bis
1. Where a State Party does not fulfil its obligations under article 21ꎬ paragraph 2ꎬ and this re ̄ sults in a financial loss for the HNS Fundꎬ that State Party shall be liable to compensate the HNS Fund for such loss. The Assembly shallꎬ upon recommendation of the Directorꎬ decide whether such compensation shall be payable by a State.
2. No compensation for any incident shall be paid by the HNS Fund for damage in the territoryꎬ including the territorial sea of a State Party in accordance with article 3( a) ꎬ the exclusive e ̄ conomic zone or other area of a State Party in accordance with article 3( b) ꎬ or damage in ac ̄ cordance with article 3( c) in respect of a given incident or for preventive measuresꎬ wherever takenꎬ in accordance with article 3( d) ꎬ until the obligations under article 21ꎬ paragraphs 2 and 4ꎬ have been complied with in respect of that State Party for allyears prior to the occur ̄ rence of an incident for which compensation is sought. The Assembly shall determine in the internal regulations of the HNS Fund the circumstances under which a State Party shall be considered as not having fulfilled these obligations.
3. Where compensation has been denied temporarily in accordance with paragraph 2ꎬ compensa ̄ tion shall be denied permanently if the obligations under article 21ꎬ paragraphs 2 and 4ꎬ have not been fulfilled within one year after the Director has notified the State Party of its failure to fulfil these obligations.
4. Any payments of contributions due to the HNS Fund shall be set off against compensation due to the debtorꎬ or the debtors agents.
5. Paragraphs 2 to 4 shall not apply to claims in respect of death or personal injury.
159
Non ̄payment of contributions Article 22
1. The amount of any contribution due under articles 18ꎬ 19ꎬ 20 or article 21ꎬ paragraph 5 and which is in arrears shall bear interest at a rate which shall be determined in accordance with the internal regulations of the HNS Fundꎬ provided that different rates may be fixed for differ ̄ ent circumstances.
2. Where a person who is liable to pay contributions in accordance with articles 18ꎬ 19ꎬ 20 or article 21ꎬ paragraph 5ꎬ does not fulfil the obligations in respect of any such contribution or any part thereof and is in arrearsꎬ the Director shall take all appropriate actionꎬ including court actionꎬ against such a person on behalf of the HNS Fund with a view to the recovery of the amount due. Howeverꎬ where the defaulting contributor is manifestly insolvent or the cir ̄ cumstances otherwise so warrantꎬ the Assembly mayꎬ upon recommendation of the Directorꎬ decide that no action shall be taken or continued against the contributor.
Optional liability of States Parties for the payment of contributions Article 23
1. Without prejudice to article 21ꎬ paragraph 5ꎬ a State Party mayꎬ at the time when it signs without reservation as to ratificationꎬ acceptance or approvalꎬ or deposits its instrument of rat ̄ ificationꎬ acceptanceꎬ approval or accession or at any time thereafterꎬ declare that it assumes responsibility for obligations imposed by this Convention on any person liable to pay contribu ̄ tions in accordance with articles 18ꎬ 19ꎬ 20 or article 21ꎬ paragraph 5ꎬ in respect of hazard ̄ ous and noxious substances received in the territory of that State. Such a declaration shall be made in writing and shall specify which obligations are assumed.
2. Where a declaration under paragraph 1 is made prior to the entry into force of this Convention in accordance with article 46ꎬ it shall be deposited with the Secretary ̄General who shall after the entry into force of this Convention communicate the declaration to the Director.
3. A declaration under paragraph 1 which is made after the entry into force of this Convention shall be deposited with the Director.
4. A declaration made in accordance with this article may be withdrawn by the relevant State giving notice thereof in writing to the Director. Such a notification shall take effect three months after the Directors receipt thereof.
5. Any State which is bound by a declaration made under this article shallꎬ in any proceedings brought against it before a competent court in respect of any obligation specified in the decla ̄ rationꎬ waive any immunity that it would otherwise be entitled to invoke.
Organization and administration Article 24
160The HNS Fund shall have an Assembly and a Secretariat headed by the Director.
Assembly Article 25
The Assembly shall consist of all States Parties to this Convention.
Article 26
The functions of the Assembly shall be:
( a) to elect at each regular session its President and two Vice ̄Presidents who shall hold of ̄ fice until the next regular sessionꎻ
( b) to determine its own rules of procedureꎬ subject to the provisions of this Conventionꎻ ( c) to developꎬ apply and keep under review internal and financial regulations relating to
the aim of the HNS Fund as described in article 13ꎬ paragraph 1( a) ꎬ and the related tasks of the HNS Fund listed in article 15ꎻ
( d) to appoint the Director and make provisions for the appointment of such other personnel as may be necessary and determine the terms and conditions of service of the Director and other personnelꎻ
( e) to adopt the annual budget prepared in accordance with article 15( b) ꎻ
( f) to consider and approve as necessary any recommendation of the Director regarding the scope of definition of contributing cargoꎻ
( g) to appoint auditors and approve the accounts of the HNS Fundꎻ
( h) to approve settlements of claims against the HNS Fundꎬ to take decisions in respect of the distribution among claimants of the available amount of compensation in accordance with article 14 and to determine the terms and conditions according to which provision ̄ xx payments in respect of claims shall be made with a view to ensuring that victims of damage are compensated as promptly as possibleꎻ
( i) to establish a Committee on Claims for Compensation with at least 7 and not more than
15 members and any temporary or permanent subsidiary body it may consider to be necessaryꎬ to define its terms of reference and to give it the authority needed to perform the functions entrusted to itꎻ when appointing the members of such bodyꎬ the Assembly shall endeavour to secure an equitable geographical distribution of members and to en ̄ sure that the States Parties are appropriately representedꎻ the Rules of Procedure of the Assembly may be appliedꎬ mutatis mutandisꎬ for the work of such subsidiary bodyꎻ
(j) to determine which States not party to this Conventionꎬ which Associate Members of the Organization and which intergovernmental and international non ̄governmental or ̄ ganizations shall be admitted to take partꎬ without voting rightsꎬ in meetings of the As ̄ sembly and subsidiary bodiesꎻ
( k) to give instructions concerning the administration of the HNS Fund to the Director and subsidiary bodiesꎻ
161
( l) to supervise the proper execution of this Convention and of its own decisionsꎻ
( m) to review every five years the implementation of this Convention with particular refer ̄ ence to the performance of the system for the calculation of levies and the contribution mechanism for domestic tradeꎻ and
( n) to perform such other functions as are allocated to it under this Convention or are other ̄ wise necessary for the proper operation of the HNS Fund.
Article 27
1. Regular sessions of the Assembly shall take place once every calendar year upon convocation by the Director.
2. Extraordinary sessions of the Assembly shall be convened by the Director at the request of at least one ̄third of the members of the Assembly and may be convened on the Directors own initiative after consultation with the President of the Assembly. The Director shall give mem ̄ bers at least thirty days notice of such sessions.
Article 28
A majority of the members of the Assembly shall constitute a quorum for its meetings.
Secretariat Article 29
1. The Secretariat shall comprise the Director and such staff as the administration of the HNS Fund may require.
2. The Director shall be the legal representative of the HNS Fund.
Article 30
1. The Director shall be the chief administrative officer of the HNS Fund. Subject to the instruc ̄ tions given by the Assemblyꎬ the Director shall perform those functions which are assigned to the Director by this Conventionꎬ the internal regulations of the HNS Fund and the Assembly.
2. The Director shall in particular:
( a) appoint the personnel required for the administration of the HNS Fundꎻ
( b) take all appropriate measures with a view to the proper administration of the assets of the HNS Fundꎻ
( c) collect the contributions due under this Convention while observing in particular the provisions of article 22ꎬ paragraph 2ꎻ
( d) to the extent necessary to deal with claims against the HNS Fund and to carry out the other functions of the HNS Fundꎬ employ the services of legalꎬfinancial and other ex ̄ pertsꎻ
( e) take all appropriate measures for dealing with claims against the HNS Fundꎬ within the
162
limits and on conditions to be laid down in the internal regulations of the HNS Fundꎬ including the final settlement of claims without the prior approval of the Assembly where these regulations so provideꎻ
( f) prepare and submit to the Assembly the financial statements and budget estimates for each calendar yearꎻ
( g) prepareꎬ in consultation with the President of the Assemblyꎬ and publish a report on the activities of the HNS Fund during the previous calendar yearꎻ and
( h) prepareꎬ collect and circulate the documents and information which may be required for the work of the Assembly and subsidiary bodies.
Article 31
In the performance of their duties the Director and the staff and experts appointed by the Di ̄ rector shall not seek or receive instructions from any Government or from any authority external to the HNS Fund. They shall refrain from any action which might adversely reflect on their position as international officials. Each State Party on its part undertakes to respect the exclusively interna ̄ tional character of the responsibilities of the Director and the staff and experts appointed by the Di ̄ rectorꎬ and not to seek to influence them in the discharge of their duties.
Finances Article 32
1. Each State Party shall bear the salaryꎬ travel and other expenses of its own delegation to the Assembly and of its representatives on subsidiary bodies.
2. Any other expenses incurred in the operation of the HNS Fund shall be borne by the HNS Fund.
Voting Article 33
The following provisions shall apply to voting in the Assembly:
( a) each member shall have one voteꎻ
( b) except as otherwise provided in article 34ꎬ decisions of the Assembly shall be made by a majority vote of the members present and votingꎻ
( c) decisions where a two ̄thirds majority is required shall be a two ̄thirds majority vote of members presentꎻ and
( d) for the purpose of this article the phrase“ members present” means“ members present at the meeting at the time of the vote” ꎬ and the phrase “ members present and voting” means “ members present and casting an affirmative or negative vote”. Members who abstain from voting shall be considered as not voting.
163
Article 34
The following decisions of the Assembly shall require a two ̄thirds majority:
( a) a decision under article 19ꎬ paragraphs 4 or 5 to suspend or reinstate the operation of a separate accountꎻ
( b) a decision under article 22ꎬ paragraph 2ꎬ not to take or continue action against a con ̄ tributorꎻ
( c) the appointment of the Director under article 26( d) ꎻ
( d) the establishment of subsidiary bodiesꎬ under article 26 ( i) ꎬ and matters relating to such establishmentꎻ and
(e) a decision under article 51ꎬ paragraph 1ꎬ that this Convention shall continue to be in force.
Tax exemptions and currency regulations Article 35
1. The HNS Fundꎬ its assetsꎬ incomeꎬ including contributionsꎬ and other property necessary for the exercise of its functions as described in article 13ꎬ paragraph 1ꎬ shall enjoy in all States Parties exemption from all direct taxation.
2. When the HNS Fund makes substantial purchases of movable or immovable propertyꎬ or of services which are necessary for the exercise of its official activities in order to achieve its aims as set out in article 13ꎬ paragraph 1ꎬ the cost of which include indirect taxes or sales ta ̄ xesꎬ the Governments of the States Parties shall takeꎬ whenever possibleꎬ appropriate meas ̄ ures for the remission or refund of the amount of such duties and taxes. Goods thus acquired shall not be sold against payment or given away free of charge unless it is done according to conditions approved by the Government of the State having granted or supported the remission or refund.
3. No exemption shall be accorded in the case of dutiesꎬ taxes or dues which merely constitute payment for public utility services.
4. The HNS Fund shall enjoy exemption from all customs dutiesꎬ taxes and other related taxes on articles imported or exported by it or on its behalf for its official use. Articles thus impor ̄ xxx shall not be transferred either for consideration or gratis on the territory of the country into which they have been imported except on conditions agreed by the Government of that coun ̄ try.
5. Persons contributing to the HNS Fund as well as victims and owners receiving compensation from the HNS Fund shall be subject to the fiscal legislation of the State where they are taxa ̄ bleꎬ no special exemption or other benefit being conferred on them in this respect.
6. Notwithstanding existing or future regulations concerning currency or transfersꎬ States Parties shall authorize the transfer and payment of any contribution to the HNS Fund and of any com ̄
164
pensation paid by the HNS Fund without any restriction.
Confidentiality of information Article 36
Information relating to individual contributors supplied for the purpose of this Convention shall not be divulged outside the HNS Fund except in so far as it may be strictly necessary to enable the HNS Fund to carry out its functions including the bringing and defending of legal proceedings.
Chapter IV CLAIMS AND ACTIONS
Limitation of actions Article 37
1. Rights to compensation under chapter II shall be extinguished unless an action is brought thereunder within three years from the date when the person suffering the damage knew or ought reasonably to have known of the damage and of the identity of the owner.
2. Rights to compensation under chapter III shall be extinguished unless an action is brought thereunder or a notification has been made pursuant to article 39ꎬ paragraph 7ꎬ within three years from the date when the person suffering the damage knew or ought reasonably to have known of the damage.
3. In no caseꎬ howeverꎬ shall an action be brought later than ten years from the date of the inci ̄ dent which caused the damage.
4. Where the incident consists of a series of occurrencesꎬ the ten ̄year period mentioned in para ̄ graph 3 shall run from the date of the last of such occurrences.
Jurisdiction in respect of action against the owner Article 38
1. Where an incident has caused damage in the territoryꎬ including the territorial sea or in an ar ̄ ea referred to in article 3 ( b) ꎬ of one or more States Partiesꎬ or preventive measures have been taken to prevent or minimize damage in such territory including the territorial sea or in such areaꎬ actions for compensation may be brought against the owner or other person provi ̄ ding financial security for the owners liability only in the courts of any such States Parties.
2. Where an incident has caused damage exclusively outside the territoryꎬ including the territori ̄ xx seaꎬ of any State and either the conditions for application of this Convention set out in arti ̄ cle 3( c) have been fulfilled or preventive measures to prevent or minimize such damage have been takenꎬ actions for compensation may be brought against the owner or other person provi ̄ ding financial security for the owners liability only in the courts of:
( a) the State Party where the ship is registered orꎬ in the case of an unregistered shipꎬ the State Party whose flag the ship is entitled to flyꎻ or
165
( b) the State Party where the owner has habitual residence or where the principal place of business of the owner is establishedꎻ or
( c) the State Party where a fund has been constituted in accordance with article 9ꎬ para ̄ graph 3.
3. Reasonable notice of any action taken under paragraph 1 or 2 shall be given to the defendant.
4. Each State Party shall ensure that its courts have jurisdiction to entertain actions for compen ̄ sation under this Convention.
5. After a fund under article 9 has been constituted by the owner or by the insurer or other per ̄ son providing financial security in accordance with article 12ꎬ the courts of the State in which such fund is constituted shall have exclusive jurisdiction to determine all matters relating to the apportionment and distribution of the fund.
Jurisdiction in respect of action against the HNS Fund or taken by the HNS Fund
Article 39
1. Subject to the subsequent provisions of this articleꎬ any action against the HNS Fund for com ̄ pensation under article 14 shall be brought only before a court having jurisdiction under arti ̄ cle 38 in respect of actions against the owner who is liable for damage caused by the relevant incident or before a court in a State Party which would have been competent if an owner had been liable.
2. In the event that the ship carrying the hazardous or noxious substances which caused the dam ̄ age has not been identifiedꎬ the provisions of article 38ꎬ paragraph 1ꎬ shall apply mutatis mutandis to actions against the HNS Fund.
3. Each State Party shall ensure that its courts have jurisdiction to entertain such actions against the HNS Fund as are referred to in paragraph 1.
4. Where an action for compensation for damage has been brought before a court against the owner or the owners guarantorꎬ such court shall have exclusive jurisdiction over any action against the HNS Fund for compensation under the provisions of article 14 in respect of the same damage.
5. Each State Party shall ensure that the HNS Fund shall have the right to intervene as a party to any legal proceedings instituted in accordance with this Convention before a competent court of that State against the owner or the owners guarantor.
6. Except as otherwise provided in paragraph 7ꎬ the HNS Fund shall not be bound by any judge ̄ ment or decision in proceedings to which it has not been a party or by any settlement to which it is not a party.
7. Without prejudice to the provisions of paragraph 5ꎬ where an action under this Convention for compensation for damage has been brought against an owner or the owners guarantor before a competent court in a State Partyꎬ each party to the proceedings shall be entitled under the na ̄ tional law of that State to notify the HNS Fund of the proceedings. Where such notification
166
has been made in accordance with the formalities required by the law of the court seized and in such time and in such a manner that the HNS Fund has in fact been in a position effective ̄ ly to intervene as a party to the proceedingsꎬ any judgement rendered by the court in such proceedings shallꎬ after it has become final and enforceable in the State where the judgement was givenꎬ become binding upon the HNS Fund in the sense that the facts and findings in that judgement may not be disputed by the HNS Fund even if the HNS Fund has not actually intervened in the proceedings.
Recognition and enforcement Article 40
1. Any judgement given by a court with jurisdiction in accordance with article 38ꎬ which is en ̄ forceable in the State of origin where it is no longer subject to ordinary forms of reviewꎬ shall be recognized in any State Partyꎬ except:
( a) where the judgement was obtained by fraudꎻ or
( b) where the defendant was not given reasonable notice and a fair opportunity to present the case.
2. A judgement recognized under paragraph 1 shall be enforceable in each State Party as soon as the formalities required in that State have been complied with. The formalities shall not per ̄ mit the merits of the case to be re ̄opened.
3. Subject to any decision concerning the distribution referred to in article 14ꎬ paragraph 6ꎬ any judgement given against the HNS Fund by a court having jurisdiction inaccordance with arti ̄ cle 39ꎬ paragraphs 1 and 3 shallꎬ when it has become enforceable in the State of origin and is in that State no longer subject to ordinary forms of reviewꎬ be recognized and enforceable in each State Party.
Subrogation and recourse Article 41
1. The HNS Fund shallꎬ in respect of any amount of compensation for damage paid by the HNS Fund in accordance with article 14ꎬ paragraph 1ꎬ acquire by subrogation the rights that the person so compensated may enjoy against the owner or the owners guarantor.
2. Nothing in this Convention shall prejudice any rights of recourse or subrogation of the HNS Fund against any personꎬ including persons referred to in article 7ꎬ paragraph 2( d) ꎬ other than those referred to in the previous paragraphꎬ in so far as they can limit their liability. In any event the right of the HNS Fund to subrogation against such persons shall not be less fa ̄ vourable than that of an insurer of the person to whom compensation has been paid.
3. Without prejudice to any other rights of subrogation or recourse against the HNS Fund which may existꎬ a State Party or agency thereof which has paid compensation for damage in accord ̄ ance with provisions of national law shall acquire by subrogation the rights which the person
167
so compensated would have enjoyed under this Convention.
Supersession clause Article 42
This Convention shall supersede any convention in force or open for signatureꎬ ratification oraccession at the date on which this Convention is opened for signatureꎬ but only to the extent that such convention would be in conflict with itꎻ howeverꎬ nothing in this article shall affect the obli ̄ gations of States Parties to States not party to this Convention arising under such convention.
Chapter V TRANSITIONAL PROVISIONS
First session of the Assembly Article 43
The Secretary ̄General shall convene the first session of the Assembly. This session shall take place as soon as possible after the entry into force of this Convention andꎬ in any caseꎬ not more than thirty days after such entry into force.
Article 44❶
Final clauses of the International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Seaꎬ 2010.
The final clauses of the International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Sea 2010 shall be the final clauses of the Protocol of 2010 to the International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Seaꎬ 1996.
Chapter VI FINAL CLAUSES
[ Articles 20 to 29 of the Protocol of 2010 to the International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Seaꎬ 1996❷]
Signatureꎬ ratificationꎬ acceptanceꎬ approval and accession
[ P20] Article 45
1. This Protocol shall be open for signature at the Headquarters of the Organization from 1 No ̄
❶
❷
168
It may be noted that article 19 of the Protocol of 2010 inserts this article as number 44bisꎻ howeverꎬ since article 16 of the Protocol of 2010 deletes article 43 of the Convention and renumbers article 44 as article 43ꎬthe Secretariat has renumbered this article as 44ꎬ instead of 44bis.
The Secretariat has renumbered the Final Clauses in accordance with the instruction in article 18ꎬ paragraph 2ꎬ of the
2010 HNS Protocol ( text reproduced in footnote 1). For ease of reference the corresponding numbers of the articles in the Protocol are shown in square brackets: e. g. [ P20].
vember 2010 to 31 October 2011 and shall thereafter remain open for accession.
2. Subject to the provisions in paragraphs 4 and 5ꎬ States may express their consent to be bound by this Protocol by:
( a) signature without reservation as to ratificationꎬ acceptance or approvalꎻ or
( b) signature subject to ratificationꎬ acceptance or approval followed by ratificationꎬ ac ̄ ceptance or approvalꎻ or
( c) accession.
3. Ratificationꎬ acceptanceꎬ approval or accession shall be effected by the deposit of an instru ̄ ment to that effect with the Secretary ̄General.
4. An expression of consent to be bound by this Protocol shall be accompanied by the submission to the Secretary ̄General of data on the total quantities of contributing cargo liable for contri ̄ butions received in that State during the preceding calendar year in respect of the general ac ̄ count and each separate account.
5. An expression of consent which is not accompanied by the data referred to in paragraph 4 shall not be accepted by the Secretary ̄General.
6. Each State which has expressed its consent to be bound by this Protocol shall annually there ̄ after on or before 31 May until this Protocol enters into force for that Stateꎬ submit to the Sec ̄ retary ̄General data on the total quantities of contributing cargo liable for contributions re ̄ ceived in that State during the preceding calendar year in respect of the general account and each separate account.
7. A State which has expressed its consent to be bound by this Protocol and which has not sub ̄ mitted the data on contributing cargo required under paragraph 6 for any relevant years shallꎬ before the entry into force of the Protocol for that Stateꎬ be temporarily suspended from being a Contracting State until it has submitted the required data.
8. A State which has expressed its consent to be bound by the International Convention on Lia ̄ bility and Compensation for Damage in Connection with the Carriage of Hazardous and Nox ̄ ious Substances by Seaꎬ 1996 shall be deemed to have withdrawn this consent on the date on which it has signed this Protocol or deposited an instrument of ratificationꎬ acceptanceꎬ ap ̄ proval or accession in accordance with paragraph 2.
Entry into force
[ P21] Article 46
1. This Protocol shall enter into force eighteen months after the date on which the following con ̄ ditions are fulfilled:
( a) at least twelve Statesꎬ including four States each with not less than 2 million units of gross tonnageꎬ have expressed their consent to be bound by itꎻ and
( b) the Secretary ̄General has received information in accordance with article 45[ P20] ꎬ paragraphs 4 and 6ꎬ that those persons in such States who would be liable to contrib ̄
169
ute pursuant to article 18ꎬ paragraphs 1( a) and ( c) ꎬ of the Conventionꎬ as amended by this Protocolꎬ have received during the preceding calendar year a total quantity of at least 40 million tonnes of cargo contributing to the general account.
2. For a State which expresses its consent to be bound by this Protocol after the conditions for entry into force have been metꎬ such consent shall take effect three months after the date of expression of such consentꎬ or on the date on which this Protocol enters into force in accord ̄ ance with paragraph 1ꎬ whichever is the later.
Revision and amendment
[ P22] Article 47
1. A conference for the purpose of revising or amending the Conventionꎬ as amended by this Protocolꎬ may be convened by the Organization.
2. The Secretary ̄General shall convene a conference of the States Parties to this Protocolꎬ for re ̄ vising or amending the Conventionꎬ as amended by this Protocolꎬ at the request of six States Parties or one third of the States Partiesꎬ whichever is the higher figure.
3. Any instrument of ratificationꎬ acceptanceꎬ approval or accession deposited after the date of entry into force of an amendment to the Conventionꎬ as amended by this Protocolꎬ shall be deemed to apply to the Convention as amended.
Amendment of limits
[ P23] Article 48
1. Without prejudice to the provisions of article 47 [ P22] ꎬ the special procedure in this article shall apply solely for the purposes of amending the limits set out in article 9ꎬ paragraph 1ꎬ and article 14ꎬ paragraph 5ꎬ of the Conventionꎬ as amended by this Protocol.
2. Upon the request of at least one halfꎬ but in no case less than sixꎬ of the States Partiesꎬ any proposal to amend the limits specified in article 9ꎬ paragraph 1ꎬ and article 14ꎬ paragraph 5ꎬ of the Conventionꎬ as amended by this Protocolꎬ shall be circulated by the Secretary ̄General to all Members of the Organization and to all Contracting States.
3. Any amendment proposed and circulated in accordance with paragraph 2 shall be submitted to the Legal Committee of the Organization ( the Legal Committee) for consideration at a date at least six months after the date of its circulation.
4. All Contracting Statesꎬ whether or not Members of the Organizationꎬ shall be entitled to par ̄ ticipate in the proceedings of the Legal Committee for the consideration and adoption of a ̄ mendments.
5. Amendments shall be adopted by a two ̄thirds majority of the Contracting States present and voting in the Legal Committeeꎬ expanded as provided in paragraph 4ꎬ on condition that at least one half of the Contracting States shall be present at the time of voting.
6. When acting on a proposal to amend the limitsꎬ the Legal Committee shall take into account
170
the experience of incidentsꎬ in particular the amount of damage resulting therefromꎬ changes in the monetary valuesꎬ and the effect of the proposed amendment on the cost of insurance. It shall also take into account the relationship between the limits established in article 9ꎬ para ̄ graph 1ꎬ and those in article 14ꎬ paragraph 5ꎬ of the Conventionꎬ as amended by this Proto ̄ col.
7. ( a) No amendment of the limits under this article may be considered less than five years from the date this Protocol was opened for signature nor lessthan five years from the date of entry into force of a previous amendment under this article.
( b) No limit may be increased so as to exceed an amount which corresponds to a limit laid down in this Protocol increased by six per cent per year calculated on a compound ba ̄ sis from the date on which this Protocol was opened for signature.
( c) No limit may be increased so as to exceed an amount which corresponds to a limit laid down in this Protocol multiplied by three.
8. Any amendment adopted in accordance with paragraph 5 shall be notified by the Organization to all Contracting States. The amendment shall be deemed to have been accepted at the end of a period of eighteen months after the date of notificationꎬ unless within that period no less than one ̄fourth of the States which were Contracting States at the time of the adoption of the amendment have communicated to the Secretary ̄General that they do not accept the amend ̄ mentꎬ in which case the amendment is rejected and shall have no effect.
9. An amendment deemed to have been accepted in accordance with paragraph 8 shall enter into force eighteen months after its acceptance.
10. All Contracting States shall be bound by the amendmentꎬ unless they denounce this Protocol in accordance with article 49 [ P24] paragraphs 1 and 2ꎬ at least six months before the a ̄ mendment enters into force. Such denunciation shall take effect when the amendment enters into force.
11. When an amendment has been adopted but the eighteen ̄month period for its acceptance has not yet expiredꎬ a State which becomes a Contracting State during that period shall be bound by the amendment if it enters into force. A State which becomes a Contracting State after that period shall be bound by an amendment which has been accepted in accordance with para ̄ graph 8. In the cases referred to in this paragraphꎬ a State becomes bound by an amendment when that amendment enters into forceꎬ or when this Protocol enters into force for that Stateꎬ if later.
Denunciation
[ P24] Article 49
1. This Protocol may be denounced by any State Party at any time after the expiry of one year following the date on which this Protocol comes into force for that State.
2. Denunciation shall be effected by the deposit of an instrument to that effect with the Secretary ̄
171
General.
3. A denunciation shall take effect twelve monthsꎬ or such longer period as may be specified in the instrument of denunciationꎬ following its receipt by the Secretary ̄General.
4. Notwithstanding a denunciation by a State Party pursuant to this articleꎬ any provisions of this Protocol relating to obligations to make contributions under articles 18ꎬ19 or article 21ꎬ para ̄ graph 5ꎬ of the Conventionꎬ as amended by this Protocolꎬ in respect of such payments of compensation as the Assembly may decide relating to an incident which occurs before the de ̄ nunciation takes effect shall continue to apply.
Extraordinary sessions of the Assembly
[ P25] Article 50
1. Any State Party mayꎬ within ninety days after the deposit of an instrument of denunciation the result of which it considers will significantly increase the level of contributions from the remai ̄ ning States Partiesꎬ request the Director to convene an extraordinary session of the Assembly. The Director shall convene the Assembly to meet not less than sixty days after receipt of the request.
2. The Director may take the initiative to convene an extraordinary session of the Assembly to meet within sixty days after the deposit of any instrument of denunciationꎬ if the Director con ̄ siders that such denunciation will result in a significant increase in the level of contributions from the remaining States Parties.
3. If the Assemblyꎬ at an extraordinary session convened in accordance with paragraph 1 or 2ꎬ decides that the denunciation will result in a significant increase in the level of contributions from the remaining States Partiesꎬ any such State mayꎬ not later than one hundred and twenty days before the date on which the denunciation takes effectꎬ denounce this Protocol with effect from the same date.
Cessation
[ P26] Article 51
1. This Protocol shall cease to be in force:
( a) on the date when the number of States Parties falls below sixꎻ or
( b) twelve months after the date on which data concerning a previous calendar year were to be communicated to the Director in accordance with article 21 of the Conventionꎬ as a ̄ mended by this Protocolꎬ if the data show that the total quantity of contributing cargo to the general account in accordance with article 18ꎬ paragraphs 1( a) and ( c) ꎬ of the Conventionꎬ as amended by this Protocolꎬ received in the States Parties in that preced ̄ ing calendar year was less than 30 million tonnes.
Notwithstanding subparagraph ( b) ꎬ if the total quantity of contributing cargo to the general account in accordance with article 18ꎬ paragraphs 1( a) and ( c) ꎬ of the Conventionꎬ as amended
172
by this Protocolꎬ received in the States Parties in the preceding calendar year was less than 30 mil ̄ lion tonnes but more than 25 million tonnesꎬ the Assembly mayꎬ if it considers that this was due to exceptional circumstances and is not likely to be repeatedꎬ decide before the expiry of the above ̄ mentioned twelve ̄month period that the Protocol shall continue to be in force. The Assembly may notꎬ howeverꎬ take such a decision in more than two subsequent years.
2. States which are bound by this Protocol on the day before the date it ceases to be in force shall enable the HNS Fund to exercise its functions as described under article 52[ P27] and shallꎬ for that purpose onlyꎬ remain bound by this Protocol.
Winding up of the HNS Fund
[ P27] Article 52
1. If this Protocol ceases to be in forceꎬ the HNS Fund shall nevertheless:
( a) meet its obligations in respect of any incident occurring before this Protocol ceased to be in forceꎻ and
( b) be entitled to exercise its rights to contributions to the extent that these contributions are necessary to meet the obligations under ( a) ꎬ including expenses for the adminis ̄ tration of the HNS Fund necessary for this purpose.
2. The Assembly shall take all appropriate measures to complete the winding up of the HNS Fund including the distribution in an equitable manner of any remaining assets among those persons who have contributed to the HNS Fund.
3. For the purposes of this article the HNS Fund shall remain a legal person.
Depositary
[ P28] Article 53
1. This Protocol and any amendment adopted under article 48 [ P23] shall be deposited with the Secretary ̄General.
2. The Secretary ̄General shall:
( a) inform all States which have signed this Protocol or acceded theretoꎬ and all Members of the Organizationꎬ of:
( i) each new signature or deposit of an instrument of ratificationꎬ acceptanceꎬ approval or accession together with the date thereof and data on contributing cargo submitted in accordance with article 45 [ P20] ꎬ paragraph 4ꎻ
( ii) data on contributing cargo submitted annually thereafterꎬ in accordance with article
45[ P20] ꎬ paragraph 6ꎬ until the date of entry into force of this Protocolꎻ ( iii) the date of entry into force of this Protocolꎻ
( iv) any proposal to amend the limits on the amounts of compensation which has been made in accordance with article 48[ P23] ꎬparagraph 2ꎻ
( v) any amendment which has been adopted in accordance with article 48[ P23] ꎬ par ̄
173
agraph 5ꎻ
( vi) any amendment deemed to have been accepted under article 48 [ P23] ꎬ paragraph
8ꎬ together with the date on which that amendment shall enter into force in accord ̄ ance with article 48[ P23] ꎬ paragraph 9ꎻ
( vii) the deposit of any instrument of denunciation of this Protocol together with the date on which it is received and the date on which the denunciation takes effectꎻ and
( viii) any communication called for by any article in this Protocolꎻ and
( b) transmit certified true copies of this Protocol to all States that have signed this Protocol or acceded thereto.
3. As soon as this Protocol enters into forceꎬ a certified true copy thereof shall be transmitted by the depositary to the Secretary ̄General of the United Nations for registration and publication in accordance with Article 102 of the Charter of the United Nations.
Languages
[ P29] Article 54
This Protocol is established in a single original in the Arabicꎬ Chineseꎬ Englishꎬ Frenchꎬ Russian and Spanish languagesꎬ each text being equally authentic.
DONE AT London this thirtieth day of April two thousand and ten.
IN WITNESS WHEREOF the undersignedꎬ being duly authorized by their respective Govern ̄ ments for that purposeꎬ have signed this Protocol.
174
ANNEX I
CERTIFICATE OF INSURANCE OR OTHER FINANCIAL SECURITY IN RESPECT OF LIABILITY FOR DAMAGE CAUSED BY HAZARDOUS AND NOXIOUS
SUBSTANCE ( HNS)
Issued in accordance with the provisions of Article 12 of the International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Sub ̄ stances by Seaꎬ 2010
Name of ship | Distinctive number or letters | IMO ship identification number | Port of registry | Name and full address of the principal place of business of the registry owner |
This is to certify that there is in force in respect of the above ̄named ship a policy of insurance or other financial security satisfying the requirements of Article 12 of the International Convention on Liability and Compensation for Damage in Connection with the Carriage of Hazardous and Noxious Substances by Seaꎬ 2010.
Type of security Duration of security Name and address of the insurer( s) and / or guarantor( s)
Name
Address
This certificate is valid until
Issued or certified by the Government of ( Full designation of the State)
At ( Place) On ( Date)
( Signature and Title of issuing or certifying official)
Explanatory Notes:
1. If desiredꎬ the designation of the State may include a reference to the competent public au ̄ thority of the country where the certificate is issued.
2. If the total amount of security has been furnished by more than one sourceꎬ the amount of
175
each of them should be indicated.
3. If security is furnished in several formsꎬ these should be enumerated.
4. The entry “ Duration of the Security” must stipulate the date on which such security takes effect.
5. The entry “ Address” of the insurer( s) and / or guarantor( s) must indicate the principal place of business of the insurer( s) and / or guarantor( s). If appropriateꎬ the place of business where the insurance or other securityis established shall be indicated.
176
ANNEX II
Regulations for the Calculation of Annual Contributions to the General Account
Regulation 1
1. The fixed sum referred to in article 17ꎬ paragraph 3 shall be determined for each sector in ac ̄ cordance with these regulations.
2. When it is necessary to calculate contributions for more than one sector of the general ac ̄ countꎬ a separate fixed sum per unit of contributing cargo shall be calculated for each of the following sectors as may be required:
( a) solid bulk materials referred to in article 1ꎬ paragraph 5( a)( vii) ꎻ ( b) oilꎬ if the operation of the oil account is postponed or suspendedꎻ ( c) LNGꎬ if the operation of the LNG account is postponed or suspendedꎻ ( d) LPGꎬ if the operation of the LPG account is postponed or suspendedꎻ ( e) other substances.
Regulation 2
1. For each sectorꎬ the fixed sum per unit of contributing cargo shall be the product of the levy per HNS point and the sector factor for that sector.
2. The levy per HNS point shall be the total annual contributions to be levied to the general account divided by the total HNS points for all sectors.
3. The total HNS points for each sector shall be the product of the total volumeꎬ measured in metric tonnesꎬ of contributing cargo for that sector and the corresponding sector factor.
4. A sector factor shall be calculated as the weighted arithmetic average of the claims / volume ra ̄ tio for that sector for the relevant year and the previous nine yearsꎬ according to this regula ̄ tion.
5. Except as provided in paragraph 6ꎬ the claims / volume ratio for each of these years shall be calculated as follows:
( a) established claimsꎬ measured in units of account converted from the claim currency u ̄ sing the rate applicable on the date of the incident in questionꎬfor damage caused by substances in respect of which contributions to the HNS Fund are due for the relevant yearꎻ divided by
( b) the volume of contributing cargo corresponding to the relevant year.
6. In cases where the information required in paragraphs 5( a) and ( b) is not availableꎬthe fol ̄ lowing values shall be used for the claims / volume ratio for each of the missing years:
( a) solid bulk materials referred to in article 1ꎬ paragraph 5 ( a)( vii) 0 ( b) oilꎬ if the operation of the oil account is postponed 0
177
( c) LNGꎬ if the operation of the LNG account is postponed 0
( d) LPGꎬ if the operation of the LPG account is postponed 0 ( e) other substances 0. 0001
7. The arithmetic average of the ten years shall be weighted on a decreasing linear scaleꎬ so that the ratio of the relevant year shall have a weight of 10ꎬ the year prior to therelevant year shall have a weight of 9ꎬ the next preceding year shall have a weight of 8ꎬ and so onꎬ until the tenth year has a weight of 1.
8. If the operation of a separate account has been suspendedꎬ the relevant sector factor shall be calculated in accordance with those provisions of this regulation which the Assembly shall consider appropriate.
178