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Law No. 9966, Of 28 April 2000

Original Language Title: Lei nº 9.966, de 28 de Abril de 2000

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LEI N ° 9,966, OF April 28, 2000.

Disposes on the prevention, control, and surveillance of pollution caused by oil and other substance release harmful or dangerous in waters under national jurisdiction and gives other arrangements.

O PRESIDENT OF THE REPUBLIC, I get to know that the National Congress decrees and I sanction the following Law:

Art. 1 ° This Law sets out the basic principles to be obeyed in the movement of oil and other harmful or hazardous substances in organized harbours, facilities ports, platforms and ships in waters under national jurisdiction.

Single paragraph. This Law will apply:

I-when absent the assumptions for the application of the Convention International for the Prevention of Pollution Caused by Ships (Marpol 73/78);

II-to national vessels, organized harbours, port facilities, ducts, platforms and their support facilities, in complementary character to Marpol 73/78;

III-to the vessels, platforms and foreign support facilities, whose arvorous flag is or not from Marpol 73/78's contracting parents, when in waters under jurisdiction national;

IV-to the port facilities specialized in other loads other than oil and harmful or hazardous substances, and to shipyards, marinas, nautical clubs and other sites and similar facilities.

CHAPTER I

DAS DEFINITIONS AND CLASSIFICATIONS

Art. 2 ° For the purposes of this Law are established the following definitions:

I-Marpol 73/78: International Convention for the Prevention of Pollution Caused by Ships, completed in London, on November 2, 1973, as amended by the Protocol of 1978, concluded in London, on February 17, 1978, and later amendments, ratified by Brazil;

CLC/69: International Convention on Civil Responsibility in Damage Caused by Pollution by 1969, ratified by Brazil;

III-OPRC/90: International Convention on Preparing, Response and Cooperation in Case of Pollution by Oil, 1990, ratified by Brazil;

IV-areas ecologically sensitive: regions of the maritime or inland waters, defined by act of the Public Power, where prevention, pollution control and maintenance of ecological balance require special measures for the protection and preservation of the medium environment, with respect to the passage of ships;

V-ship: vessel of any kind that operates in the aquatic environment, inclusive of hydrofoils, vehicles to air mattress, submersibles and other floating ingeners;

VI-platforms: installation or structure, fixed or mobile, located in waters under national jurisdiction, intended for activity directly or indirectly related to the research and the washing of mineral resources coming from the bed of the inland waters or from its subsoil, or from the sea, from the continental shelf or from its subsoil;

VII-supporting facilities: any facilities or equipment supporting the execution of the activities of the platforms or port installments of moving bulk cargoes, such as ducts, monobies, frame of buoys for mooring of ships and others;

VIII-oil: any form of hydrocarbon (petroleum and its derivatives), including crude oil, fuel oil, rubber, oil waste and refined products;

IX-oily mixture: mixture of water and oil, in any proportion;

X-harmful or hazardous substance: any substance that, if discharged into the waters, is capable of generating risks or causing damage to human hailing, the aquatic ecosystem or harm the use of water and its surroundings;

XI-discharge: any eviction, escape, spill, leakage, emptying, launching out or pumping of harmful or hazardous substances, in any quantity, from a ship, organized port, port facility, duct, platform or its supporting facilities;

XII-port organized: port made up and trim to meet the needs of navigation and the movement and storage of goods, granted or operated by the Union, the traffic and port operations of which are under the jurisdiction of a port authority;

XIII-port facility or terminal: installation explored by legal person of public law oun private, within or outside the area of the organized port, used in the movement and storage of goods destined for or from aquavian transport;

XIV-incident: any discharge of harmful or dangerous substance, arising from fact or intentional or accidental action that ocases potential risk, damage to the environment or to the human health;

XV-garbage: all kind of leftover of vivers and waste resulting from faxins and routine work on ships, organized harbours, port facilities, platform and their support facilities;

XVI-alijamento: all deliberate dumping of waste and other substances effected by vessels, platforms, aircraft and other facilities, including its sinking international in waters under national jurisdiction;

XVII-clean ballast: ballast water contained in a tank which, since carrying oil for the last time, has been subjected to cleanline-level cleaning which, if that ballast was discharged by the ship standing in clean and calm waters, on clear day, would not produce visible traces of oil on the surface of the water or the adjacent seaside, nor would it produce borra or emulsion under the surface of the water or over the adjacent seaside;

XVIII-waste tank: any tank intended specifically the provisional deposit of the drainage and tank washing liquids and other mixtures and waste;

nineteenth-emergency plan: set of measures that determine and establish the responsibilities setorials and the actions to be triggered immediately after an incident, as well as define the human resources, materials and equipment suitable for the prevention, control and combating pollution of waters;

XX-contingency plan: set of procedures and actions aimed at the integration of the various emergency plans setorials, as well as the definition of the human resources, materials and complementary equipment for the prevention, control and combat of water pollution;

XXI-environmental organ or environment organ: organ of the federal, state or municipal executive power, an integral part of the National Environment System (Sisnama), responsible by the supervision, control and protection of the environment within the framework of their competences;

XXII -maritime authority: authority exercised directly by the Navy Commander, responsible for the safeguarding of human life and safety of navigation in the open sea and inland waterways, as well as for the prevention of environmental pollution caused by ships, platforms and their supporting facilities, in addition to the other cometiments to it conferred by this Law;

XXIII-port authority: authority responsible for the administration of the organized port, compete to scrutinise port operations and ensure that the services are carry out with regularity, efficiency, safety and respect for the environment;

XXIV-organ oil industry regulator: the body of the federal executive branch, responsible for the regulation, contracting and surveillance of the economic activities of the oil industry, being such assignments exerted by the National Oil Agency (ANP).

Art. 3 ° For the purposes of this Act, waters under jurisdiction are considered national:

I-inland waters:

a) those understood between the coast and the straight baseline, from where the territorial sea is measured;

b) those of the ports;

c) those of the bays;

d) those of the rivers and of their disembowelments;

e) those of the lakes, the lagoons and the canals;

f) those of the archipelagos;

g) the waters between the downgrades to discovery and the shoreline;

II-sea waters, all those under national jurisdiction that are not interiors.

Art. 4 ° For the purposes of this Law, harmful or hazardous substances are classified into the following categories according to the risk produced when discharged in the water:

I-category A: high risk for both human health and the ecosystem aquatic;

II-category B: medium risk both for human health and for the ecosystem aquatic;

III-category C: moderate risk both for human health and for the aquatic ecosystem;

IV-category D: low risk for human health as well as for the aquatic ecosystem.

Single paragraph. The federal environment body will disseminate and maintain updated the list of the substances classified in this article, and the classification shall be, at the very least, as complete and rigorous as the one established by Marpol 73/78.

CHAPTER II

OF THE POLLUTION PREVENTION, CONTROL AND COMBAT SYSTEMS

Art. 5 ° Every organized port, port facility and platform, as well as its supporting facilities, will necessarily have adequate facilities or means for the receipt and treatment of the various types of waste and for the combating of pollution, observed the standards and criteria set by the competent environmental body.

§ 1 ° The definition of the characteristics of the facilities and means for the receipt and treatment of waste and the combating of pollution will be done by technical study, which should establish, at a minimum:

I-the dimensions of the facilities;

II-the appropriate location of the facilities;

III-the capacity of the receiving and treatment facilities of the various types of waste, quality standards and discharge sites of its effluents;

IV-the parameters and the control methodology operational;

V-the quantity and type of equipment, materials and means of transport intended to meet emergency pollution situations;

VI-the quantity and qualification of the staff to be employed;

VII-the deployment schedule and the start of operation of the facilities.

§ 2 ° The technical study referred to in the preceding paragraph is to take in counts the waybill, the type of cargo handled or bustling and other characteristics of the organized port, port facility or platform and its supporting facilities.

§ 3 ° The facilities or means for the receipt and treatment of waste and the combat of pollution may be required from the port facilities specialized in other loads other than oil and harmful or hazardous substances, as well as from the yards, marinas, nautical and similar clubs, at the discretion of the competent environmental body.

Art. 6 ° The exploitative entities of organized ports and port facilities and the owners or platform operators are expected to draw up procedural handbook internal for the management of pollution risks, as well as for the management of the various waste generated or arising from the activities of moving and storing oil and harmful or hazardous substances, which should be approved by the organ competent environmental, in compliance with the legislation, standards and technical guidelines prevailing.

Art. 7 ° Organic ports, port facilities and platforms, as well as their support facilities, should have individual emergency plans for combat to the pollution by oil and harmful or hazardous substances, which will be submitted to the approval of the competent environmental body.

§ 1 ° In the case of areas, where to concentrate organized harbours, port facilities or platforms, individual emergency plans will be consolidated in the form of a single emergency plan for the whole area subject to the risk of pollution, which should establish the mechanisms of joint action to be implemented, observed the provisions of this Act and in the remaining standards and current guidelines.

§ 2 ° The responsibility for the consolidation of individual emergency plans in a single emergency plan for the area involved is up to the exploitative entities of organised ports and port facilities, and to the owners or operators of platforms, under the coordination of the competent environmental body.

Art. 8 ° The emergency plans mentioned in the previous article will be consolidated by the environmental body competent, in the form of local or regional contingency plans, in articulation with the civil defence bodies.

Paragraph single. The federal environment body, in line with the provisions of OPRC/90, will consolidate local and regional contingency plans in the form of the National Contingency Plan, in articulation with civil defence bodies.

Art. 9 ° The exploitative entities of organized harbours and port facilities and the owners or operators of platforms and their support facilities are expected to conduct biennial, independent environmental audits, with the aim of evaluating the management and environmental control systems in their units.

CHAPTER III

OF THE TRANSPORT OF OIL AND HARMFUL OR HAZARDOUS SUBSTANCES

Art. 10. The platforms and vessels with gross tonnage superior to fifty that carry oil, or use it for their handling or operation, will carry on board, obligatorily, an oil record book, approved pursuant to Marpol 73/78, which may be requested by the maritime authority, the competent environmental body and the oil industry regulatory body, and in which notes will be made regarding all oil moves, ballast and oily mixtures, inclusive of the deliveries effected to the receiving and treatment facilities of waste.

Art. 11. Every ship carrying harmful or hazardous substances in bulk is to have on board a cargo registration book, pursuant to Marpol 73/78, which may be requested by the maritime authority, the competent environmental body and the body oil industry regulator, and in which annotations will be made regarding the following operations:

I-charging;

II-unloading;

III-tranferences of cargo, residues or mixtures for waste tanks;

IV-cleaning of the load tanks;

V-transfers from waste tanks;

VI-lastreation of cargo tanks;

VII-transfers of dirty ballast water to the aquatic environment;

VIII-discharges in the waters, in general.

Art. 12. Every ship carrying harmful or hazardous substance in a fractionated manner, as set out in Schedule III of Marpol 73/78, shall possess and maintain on board document that specifies to specify and provide its location on the ship, the agent or responsible conserve copy of the document until the substances are disembark.

§ 1 °As packaging of the harmful or hazardous substances shall contain the respective identification and warning as to the risks, using the symbology provided for in national and international legislation and standards in force.

§ 2 ° Packaging containing harmful or hazardous substances should be properly been and bound together, in addition to positioned according to criteria of compatibility with other existing loads on board, met the safety requirements of the ship and its crew, so as to avoid accidents.

Art. 13. Ships framed in CLC/69 should possess the equivalent certificate or financial guarantee as specified by that convention so that they may trait or remain in waters under national jurisdiction.

Art. 14. The federal environment body should draw up and update, annually, list of substances whose transport is prohibited on ships or that require special measures and care during their move.

CHAPTER IV

OF THE DISCHARGE OF OIL, HARMFUL OR HAZARDOUS SUBSTANCES AND GARBAGE

Art. 15. Is it prohibited to discharge, in waters under national jurisdiction, of harmful or hazardous substances classified in the category?A?, defined in the art. 4º of this Act, inclusive of those provisionally classified as such, in addition to ballast water, tank wash residues or other mixtures containing such substances.

§ 1 ° The water subsequently added to the tank washed in excess of five percent of its total volume can only be unloaded if cumulatively met the following conditions:

I-a situation where the launch occurs enquel in the cases allowed by Marpol 73/78;

II -the ship does not meet within the boundaries of ecologically sensitive area;

III-os procedures for discharge are properly approved by the competent environmental body.

§ 2 ° It is vetted the discharge of water subsequently added to the washed tank in quantity less than five percent of its total volume.

Art. 16. Is it prohibited to discharge, in waters under national jurisdiction, of substances classified into the categories?B?,?C?, and?D?, defined in the art. 4 ° of this Law, inclusive of those provisionally classified as such, in addition to ballast water, tank wash residues and other mixtures containing them, except if cumulatively met the following conditions:

I-the situation in which the launch occurs in the cases allowed by Marpol 73/78;

II-the ship does not meet within the boundaries of ecologically sensitive area;

III-the procedures for discharge are properly approved by the competent environmental organ.

§ 1 ° The sanitary sewers and the waters served from ships, platforms and their support facilities equied themselves, in terms of criteria and conditions for launch, to the substances classified in the category?C?, defined in the art. 4 ° of this Law.

§ 2 ° The pitches of which deals with the preceding paragraph shall also meet to the conditions and regulations imposed by the health surveillance legislation.

Art. 17. It is prohibited to discharge oil, oily mixtures and waste into waters under national jurisdiction, except in the situations permitted by Marpol 73/78, and not being the ship, platform or similar within the ecologically sensitive area limits, and the procedures for discharge are properly approved by the competent environmental body.

§ 1 ° In the continuous disposal of process water or production on platforms applies to specific environmental regulation.

§ 2 ° (VETADO)

§ 3 ° Unloading of any kind of plastic, including synthetic cables, synthetic fishing nets and plastic bags, will not be allowed.

Art. 18. Except in the cases permitted by this Act, the discharge of garbage, ballast water, washing waste from tanks and basements or other mixtures containing oil or harmful or hazardous substances of any category can only be effected in receipt and treatment facilities of waste, as provided for in the art. 5 ° of this Law.

Art. 19. Oil discharge, oily mixtures, harmful or hazardous substances of any category, and garbage, in waters under national jurisdiction, may be exceptionally tolerated for safeguarding human lives, research or ship security, in the terms of the regulation.

Single paragraph. For research purposes, the following requirements should be met, at a minimum:

I-a discharge is authorised by the competent environmental body, after analysis and approval of the research program;

II-be present, at the location and time of discharge, at least one representative of the environmental body that there is authorized;

III-the discharge responsible put at the disposal, at the location and time it occurs, specialized personnel, equipment and materials of proven efficiency in the containment and elimination of the expected effects.

Art. 20. The discharge of solid waste from the oil wells drilling operations will be the subject of specific regulation by the federal environment body.

Art. 21. The circumstances in which the discharge, in waters under national jurisdiction, of oil and harmful or hazardous substances, or mixtures containing them, of ballast water and other pollutant waste is authorised shall not disforce the person responsible to repair the damage caused to the environment and to indemnify the economic activities and public and private equity for the damages arising from that discharge.

Art. 22. Any incident that occurred in organized harbours, port facilities, pipelines, ships, platforms and their support facilities, which could cause water pollution under national jurisdiction, should be immediately communicated to the environmental body competent, to the Capitania of the Ports and to the oil industry's regulatory body, regardless of the measures taken for its control.

Art. 23. The exploitative entity of organized port or port facility, the owner or operator of platform or ship, and the concessionaire or company authorized to exercise pertinent activity to the oil industry, responsible for the discharge of pollutant material in waters under national jurisdiction, are required to ressarcate the competent organs by the expenses they are incurred for the control or minimization of the pollution caused, regardless of prior authorization and payment of fine.

Single paragraph. In the case of discharge by ship not possessing the certificate required by CLC/69, the vessel will be retained and will only be released after the escrow deposit as a guarantee for payment of the expenses arising from the pollution.

Art. 24. The contracting, by organ or public or private company, of ship for carrying out transport of oil or substance framed in the categories set out in the art. 4 ° of this Act can only be done after verification that the carrier company is properly empowered to operate in accordance with the standards of maritime authority.

CHAPTER V

OF THE INFRACTIONS AND SANCTIONS

Art. 25. They are infractions, punished in the form of this Law:

I-unfulfilling the willing in the arts. 5 °, 6 ° and 7 °:

Pena-daily penalty;

II-unfulfilling the provisions of the arts. 9 ° and 22:

Pena-fine;

III-unfulfilling the provisions of the arts. 10, 11 and 12:

Pena-fine and retention of the ship until the situation is regularized;

IV-unfulfilling the provisions of the art. 24:

Pena-fine and immediate suspension of the activities of the carrier company in situation irregular.

§ 1 ° Respond for the infractions provided for in this article, in the measure of their action or omission:

I-the owner of the ship, physical or legal person, or who lawfully the represent;

II-the shipowner or operator of the ship, in case this is not being armed or operated by the owner;

III-the concessionaire or the company authorized to exercise activities pertinent to the oil industry;

IV-the commander or crewman of the ship;

V-the physical or legal person, of public or private law, who legally represent the organized port, the port facility, the platform and its supporting facilities, the shipyard, the marina, the nautical club or similar facility;

VI-the owner of the load.

§ 2 ° The value of the fine of which it treats this article will be fixed in the regulation of this Act, the minimum being R$ 7,000.00 (seven thousand reais) and the maximum of R$ 50,000,000.00 (fifty million of reais).

§ 3 ° The application of the penalties provided for in this article does not exempt the agent from others administrative and criminal penalties provided for in Law No. 9,605 of February 12, 1998 and in other specific standards dealing with matter, nor of civil liability for the losses and damage caused to the environment and public heritage and private.

Art. 26. The inobservance of the willing in the arts. 15, 16, 17 and 19 will be punished in the form of Law No. 9,605, of February 12, 1998, and its regulation.

CHAPTER VI

FINAL AND SUPPLEMENTARY PROVISIONS

Art. 27. They are responsible for compliance with this Act:

I-the maritime authority, by means of its competent organizations, with the following attributions:

a) to scrutinize ships, platforms and their supporting facilities, and the loads embarked on, of a harmful or dangerous nature, by autuating the offenders in the sphere of their competence;

b) raising data and information and ascertaining responsibilities about the incidents with ships, platforms and their support facilities that have triggered environmental damage;

c) forward the data, information and results of ascertaining responsibilities to the federal body an environment, for assessment of the environmental damage and initiation of the court measures fit;

d) communicate to the regulatory body of the petroleum industry irregularity found during the supervision of ships, platforms and their support facilities, when they reach the oil industry;

II-the federal environment body, with the following assignments:

a) carry out environmental control and the surveillance of organized ports, of the port facilities, busy loads, harmful or hazardous nature, and platforms and their support facilities, as to the requirements laid down in environmental licensing, autuating the offenders in the sphere of their competence;

b) assess the environmental damage caused by incidents at the organized ports, ducts, facilities ports, ships, platforms and their support facilities;

c) forward to the Prosecutor-General of the Republic report circumstantial on the causative incidents of environmental damage for the purposeful of the necessary judicial measures;

d) communicate to the oil industry regulatory body irregularities found during the supervision of ships, platforms and their support facilities, when they reach the oil industry;

III-the state environmental body with the following competencies:

a) to carry out environmental control and the surveillance of organized ports, port facilities, shipyards, ships, platforms and their support facilities, assess the environmental damage caused by incidents occurring in these units and draw up circumstantial reporting, forwarding it to the federal body of half environment;

b) initiate, on the state alk, to the judicial procedures fit to each case;

c) communicate to the oil industry regulatory body irregularities found during the supervision of ships, platforms and their support facilities, when they reach the oil industry;

d) autuate the offenders in the sphere of their cometness;

IV-the municipal environment body, with the following competencies:

a) assess the environmental damage caused by incidents in the marinas, nautical clubs and other sites and similar facilities, and elaborate circumstantial reporting, forwarding it to the state environmental organ;

b) to initiate, on the municipal side, the procedures judicial-able lawsuits to each case;

c) to authenticate the offenders in the sphere of their competence;

V-the oil industry's regulatory body, with the following competences:

a) scrutinize directly, or upon convenium, the platforms and their supporting facilities, the ducts and port facilities, with regard to the activities of research, drilling, production, treatment, storage and movement of oil and its derivatives and natural gas;

b) raising the data and information and ascertaining healthy responsibilities operational incidents that, occurred in platforms and their supporting facilities, port facilities or pipelines, have caused environmental damage;

c) forward the data, information and results of the ascertaining of responsibilities to the federal environment organ;

d) communicate to the maritime authority and the federal environment organ the irregularities found during the supervision of port facilities, pipelines, platforms and their support facilities;

e) autuary the offenders in the sphere of their competence.

§ 1 ° The Attorney General of the Republic will notify the state public ministries in advance of the purposeful of legal actions for these to exercise the colleges provided for in § 5 ° of the art. 5 ° of Law No. 7,347 of July 24, 1985 in the essay given by art. 113 of Law No. 8,078, of September 11, 1990-Consumer Protection Code.

§ 2 ° A negligence or omission of the public bodies in ascertaining liability for the incidents and in the application of the respective legal penalties will entail crime of responsibility of their agents.

Art. 28. The federal environment body, heard the maritime authority, will define the location and limits of the ecologically sensitive areas, which should appear in the national nautical letters.

Art. 29. The contingency plans will establish the level of coordination and assignments of the various public and private bodies and institutions involved.

Paragraph single. The authorities to which the incisos XXI, XXII, XXIII and XXIV of the art are referred to. 2 ° of this Law will act in an integrated manner, pursuant to the regulation.

Art. 30. The alijation in waters under national jurisdiction shall comply with the conditions laid down in the Convention on the Prevention of Marine Pollution By Feeding of Waste and Other Matters, 1972, promulgated by Decree No. 87,566 of September 16 of 1982, and their alterations.

Art. 31. Organized harbours, port facilities and platforms already in operation will have the following deadlines to adapt to what the arts have available. 5 °, 6 ° and 7 °:

I-three hundred and sixty days from the date of publication of this Law, to draw up and submit to the approval of the federal organ of May environment the technical study and internal procedure manual to which they refer, respectively, § 1 ° of the art. 5 ° and the art 6º;

II-thirty-six months, after the approaation to which the inciso is concerned previous, to put into operation the intalations and the means for the receipt and treatment of the various types of waste and the control of pollution, provided for in the art. 5º, eluding the appropriate personnel to operate them;

III-hundred and eighty days from the date of publication of this Act, to present to the competent environmental organ the individual emergency plans referred to in the caput of the art. 7º.

Art. 32. The values raised with the application of the fines provided for in this Act will be intended for the organs that apply them, within the framework of their competencies.

Art. 33. The Executive Power will regulate this Law, in what couber, within three hundred and sixty days of the date of its publication.

Art. 34. This Act comes into force ninety days from the date of its publication.

Art. 35. It is repealed Law No. 5,357 of November 17, 1967 and § 4 ° of the art. 14 of Law No. 6,938, of August 31, 1981.

Brasilia, April 28, 2000; 179 ° of Independence and 112 ° of the Republic.

FERNANDO HENRIQUE CARDOSO

Helio Vitor Ramos Filho