INTRODUCTION
Ship breaking, with resulting dangers to the workers involved and the worker’s involved, has long presented serious industry concerns. The IMO’s Hong Kong Convention (HKC) 2009 – coming into force on 26th June 2025 – was created to meet those concerns. This Risk Bulletin outlines the HKC’s content and discusses shipowner and ship recycling facility compliance obligations.
BACKGROUND
One of the principal reasons for the creation of the HKC was the International Labour Organisation’s classification of ship breaking as being “amongst the most dangerous of occupations, with unacceptably high levels of fatalities, injuries and work-related diseases”. Other factors included the IMO’s MARPOL Convention obligations to prevent ship source pollution by oil and hazardous materials which extend to and throughout the ship breaking/recycling process.
Although formally adopted by the IMO in 2009, the HKC did not at that time meet the enabling criteria of “15 ratifications, representing 40% of the world merchant shipping by gross tonnage, and on average 3% of recycling tonnage for the previous 10 years.”. Despite receiving additional ratifications, this requirement was not met in its entirety until 2023 when the HKC was ratified by Pakistan and Liberia. In turn, this triggered the usual two year waiting period (to assist changes to domestic law and training) for an IMO Convention to become fully in force and globally effective.
NOTE: The long delay in bringing the UKC into force motivated the EU to take pre-emptive action by creating the EU Ship Recycling Regulation (SRR) 1257 of 2013. This Regulation came into force on 1st January 2021 and effectively implemented the HKC on an EU/EEA level together with some additional EU requirements. Members are referred to MM Risk Bulletin No. 38 which explains the impact of SRR 1257 on all EU flagged vessels and all non-EU flagged vessels entering EU ports.
WHAT DOES THE HKC REGULATE?
Members are referred to the full text of the HKC 2009. It consists of 29 pages, 21 Articles and an Annex containing four chapters of Regulations. The HKC text details the hazardous materials control obligations imposed on flag states, port states, ship builders, shipowners and ship breaking/re-cycling facilities together with the requirements for ship and shore facility inspection and certification.
NOTE: The UKC’s Art. 2, Definitions, section provides that: “‘Hazardous Material’ means any material or substance which is liable to create hazards to human health and/or the environment”. Examples include asbestos, heavy metals and hydrocarbons.
The HKC’s purpose is to ensure that vessels are built, operated, maintained and ultimately dismantled and recycled in accordance with safety protocols which ensure the strict and recorded control of all hazardous materials used and disposed of during these ‘cradle to grave’ processes. The intent being to ensure the safety and health of all ship and shore personnel and the environment during the life cycle of every vessel.
HKC APPLICATION TO SHIPPING OPERATIONS
The HKC requirements apply to both existing ships and new builds. As of 26th June 2025, all new build ships of 500 GT and over, flying the flag of a party to the Convention and engaged in foreign trade must carry an International Certificate on Inventory of Hazardous Materials (ICIHM). For existing ships, the ICIHM must be on board no later than the first annual flag state inspection which takes place after the above date.
Ships over 500 GT, engaged in foreign trade and flying non-party flags will require (under the terms of the HKC’s Art. 3.4 ‘no more favourable treatment’ obligation) a Statement of Compliance of IHM (SoC IHM) when entering the jurisdiction of an HKC party. As such, the fact that a ship is not registered in a flag state which is not a party to the HKC does not exempt that ship and its owner from HKC compliance when entering a port state which is a party to the HKC.
The 24 flag and port states which are currently parties to the HKC (by ratification or accession) are listed alphabetically as below:
Bangladesh, Belgium, Congo, Croatia, Denmark, Estonia, France, Germany, Ghana, India, Japan, Liberia, Luxembourg, Malta, Marshall Islands, Netherlands, Norway, Panama, Pakistan, Portugal, Sao Tome and Principe, Serbia, Spain, and Türkiye.
NOTE: At present, only four HKC ratifying states (Bangladesh, India, Japan and Pakistan) are situated in Asian waters. The IMO advise that China is in the process of deciding on ratification and other Asian nations may be at a similar stage. Members should refer to the IMO’s Status of Ratifications pages to confirm the latest situation.
Ships engaged only in domestic trade are not regulated by the HKC. However, Members operating domestic trade ships should confer directly with their flag state authority or their Recognised Organisations (ROs) to establish what similar Non Convention Vessel Standards (NCVS)regulations and certification requirements may apply so as to ensure compliance.
As part of the HKC’s ICIHM or SoC IHM certification process, ships are subject to a flag state survey regime which includes an initial survey to verify the ship’s IHM declaration before the flag state issues an ICIHM or Soc IHM Certificate. Renewal surveys are subsequently required at intervals not exceeding five years along. Additional surveys following any significant ship structure changes or repairs are also essential. Lastly, a final survey and certification confirmation is obligatory prior to ship recycling.
HKC APPLICATION TO SHIP RECYCLING FACILITIES
Recycling facilities intending to dismantle ships regulated by the Convention must develop a comprehensive Ship Recycling Facility Plan (SFRP) which is port state approved.
The plan must include:
• Emergency preparedness
• Occupational health and safety
• Employee training and responsibilities
• Environmental protection, and
• Monitoring and reporting mechanisms.
Additionally, a Ship-Specific Recycling Plan (SRP) must be prepared detailing, for each ‘ship to be dismantled’, its particulars, onboard hazardous materials, and the recycling methodology. In terms of enforcement, national authorities will be responsible to ensure that recycling facilities under their jurisdiction comply with the requirements of the Convention.
CONSEQUENCES OF HKC VIOLATIONS
The HKC does not specify what sanctions may be applied to ships or re-cycling facilities which are found to be contravening its obligations. However, the HKC stipulates that ratifying parties “may take steps to warn, detain, dismiss or exclude ships from its ports” and should also impose appropriate national law sanctions. Further, sanctions should be exercised against offending ship recycling facilities which are “adequate in severity to discourage violations of the Convention”.
AVAILABILITY AND UTILISATION OF THE IMO’S HKC GUIDELINES
The IMO has produced a series of helpful Guidelines to assist the understanding and implementation of the HKC. A Guideline list and links are as provided below:
• 2011 Guidelines for the Development of the Ship Recycling Plan, adopted by resolution MEPC.196(62);
• 2012 Guidelines for Safe and Environmentally Sound Ship Recycling, adopted by resolution MEPC.210(63);
• 2012 Guidelines for the Authorization of Ship Recycling Facilities, adopted by resolution MEPC.211(63)
• 2012 Guidelines for the survey and certification of ships under the Hong Kong Convention, adopted by resolution MEPC.222(64); and
• 2012 Guidelines for the inspection of ships under the Hong Kong Convention, adopted by resolution MEPC.223(64).
• 2023 Guidelines for the development of the Inventory of the Hazardous Materials, adopted by resolution MEPC.379(80).
CONCLUSION AND TAKEAWAY
The goal of the HKC is to prevent crew and shore personnel injuries and deaths and environmental pollution caused by hazardous materials during both shipboard operations and, crucially, during ship recycling. This goal is commendable. However, the HKC’s requirements are complex and require special attention.
Members who may have been previously required to comply with the EU’s SRR 1657 will have a ‘head start’ as this regulation was based on and exceeds the HKC’s compliance requirements. For Members who are not SRR 1657 compliant but whose ships may soon be regulated or impacted by the HKC, then careful attention to its detailed obligations and supporting IMO Guidelines is essential.
Members are encouraged to review the HKC’s requirements and their vessels’ flag registers and trading patterns with respect to HKC applicability and compliance. As appropriate, Members should confer with their ship managers and DPAs to implement the HKC’s obligations on board their vessels by incorporation into their ISM Code or equivalent NCVS manuals and procedures. Reference to the comprehensive HKC Guidelines, as listed and linked above, should assist this process.
Finally, Members are encouraged to confer with their flag state authorities and/or their ROs to obtain further HKC guidance, ensure full compliance and avoid any possible trading disruptions due to flag or port state detentions or fines.
