IMO MEMBER STATE AUDIT SCHEME WORKSHOP FOR MARITIME

IMO MEMBER STATE AUDIT SCHEME WORKSHOP FOR MARITIME ADMINISTRATIONS FLAG STATE ACTIVITIES DEPT. MSA&IS Dept. MSA&IS

Content • Implementation • Delegation of authority to RO • Enforcement • Flag State surveyors • Flag State investigations • Evaluation and review DEPT. MSA&IS Dept. MSA&IS 2

Implementation Refers to para 15 - 17 of the III Code • Use areas listed and match them with specific regulations in the mandatory IMO instruments, covering: • Legislation → policies → responsible parties → resources and processes → implementation • Establish resources and processes capable of administering a • safety and environmental protection programme. Such a programme could form part of an internal management system Administrative instructions or interpretative national regulations may be needed to implement applicable international rules and regulations DEPT. MSA&IS Dept. MSA&IS 3

Implementation (cont. ) Refers to para 15 - 17 of the III Code • Para 16. 5 of the III Code – "to the satisfaction of the Administration" - should be addressed in legislation/regulations/policy and procedures • STCW Convention – to be guided by the restriction established in the Framework. List of questions included in amendments to STCW Code (resolution MSC. 374(93)) DEPT. MSA&IS Dept. MSA&IS 4

Delegation of Authority to RO Refers to para 18 - 21 of the III Code • Objectives in controlling authorization of RO: • To promote uniformity of standards • To maintain established standards • To determine the requisite capability and capacity of the RO DEPT. MSA&IS Dept. MSA&IS 5

Delegation of Authority to RO • Code for Recognized Organizations (RO Code) • resolutions MSC. 710 and MEPC. 307 • Relevant amendments to SOLAS 1974, LL PROT 1988 and MARPOL entered into force on 1 January 2015, making the RO Code (parts 1 and 2) mandatory • resolutions A. 739(18) and A. 789(19) have been superseded by RO Code DEPT. MSA&IS Dept. MSA&IS 6

Delegation of Authority to RO Obligations for administrations: • provisions under Conventions • RO Code • Additional requirements in III Code DEPT. MSA&IS Dept. MSA&IS 7

Delegation of Authority to RO Provisions under Conventions: • SOLAS Regulations I/6 and I/12(a)viii • Entrusting inspections, surveys and certification to nominated surveyors or recognized organizations • Notifying IMO of the responsibilities and authorities delegated • Similar provisions under other conventions: Load Lines 66, MARPOL 73/78 and Tonnage 1969 DEPT. MSA&IS Dept. MSA&IS 8

Delegation of Authority to RO RO Code: • Part 1: General (purpose, scope, communication of information, etc. ) • Part 2: Recognition and authorization requirements for organizations (mandatory provisions for the flag State and RO as already contained in relevant IMO instruments and applicable international standards) • Part 3: Oversight of recognized organizations (non-mandatory guidelines) DEPT. MSA&IS Dept. MSA&IS 9

Delegation of Authority to RO RO Code (cont. ): • Appendix 1 – Requirements for training and qualification of recognized organization’s technical staff • Appendix 2 – Specifications on the survey and certification functions of recognized organizations acting on behalf of the flag State • Appendix 3 – Elements to be included in an agreement DEPT. MSA&IS Dept. MSA&IS 10

Delegation of Authority to RO (cont. ) Additional requirements in the III Code (para. 20): • supplementary surveys • good knowledge of staff • audit and inspection programme DEPT. MSA&IS Dept. MSA&IS 11

Delegation of Authority to RO (cont. ) • audit will verify rigorously that each RO has been duly scrutinized and confirmed to comply with the requirements by the Administration • Survey and certification of radio equipment – granting of authority to any entity to carry out statutory survey should always comply with the RO Code DEPT. MSA&IS Dept. MSA&IS 12

Delegation of Authority to RO RO Code: • provides flag States with a standard that will assist in achieving harmonized and consistent global implementation of requirements established by the instrument of the International Maritime Organization (IMO) for the assessment and authorization of recognized organizations (ROs); • provides flag States with harmonized, transparent and independent mechanisms, which can assist in the consistent oversight of ROs in an efficient and effective manner; and • clarifies the responsibilities of organizations authorized as ROs for a flag State and overall scope of authorization. DEPT. MSA&IS Dept. MSA&IS 13

Delegation of Authority to RO RO Code – PURPOSE: • The Code serves as the international standard and consolidated instrument containing minimum criteria against which organizations are assessed towards recognition and authorization and the guidelines for the oversight by flag States. DEPT. MSA&IS Dept. MSA&IS 14

Delegation of Authority to RO RO Code – SCOPE: The Code applies to: • all organizations being considered for recognition or that are recognized by a flag State to perform, on its behalf, statutory certification and services under mandatory IMO instruments and national legislation; and • all flag States that intend to recognize an organization to perform, on their behalf, statutory certification and services under mandatory IMO instruments. DEPT. MSA&IS Dept. MSA&IS 15

Delegation of Authority to RO RO Code – SCOPE: The Code establishes: • the mandatory requirements that an organization shall fulfil to be recognized by a flag State (part 1); • the mandatory requirements that an RO shall fulfil when performing statutory certification and services on behalf of its authorizing flag States (part 2); • the mandatory requirements that flag States shall adhere to when authorizing an RO (part 2); and • guidelines for flag State oversight of ROs (part 3). DEPT. MSA&IS Dept. MSA&IS 16

Delegation of Authority to RO (cont. ) RO Code, Part 1, section 4 Delegation of authority - General requirements: • A flag State may delegate authority to an organization • • recognized as complying with the provisions of this Code The flag State shall not authorize functions beyond RO's capabilities (appendix 2 applies) Flag States should cooperate with each other with the objective of ensuring that ROs to whom they delegate authority adhere to the provisions of this Code. DEPT. MSA&IS Dept. MSA&IS 17

Delegation of Authority to RO (cont. ) Obligations for administrations - RO Code, Part 2, section 8 Authorization of Recognized Organizations: • General • Legal basis of the functions under authorization: • • • DEPT. MSA&IS Dept. MSA&IS the formal written agreement with the RO acts, regulations and supplementary information Interpretations Deviations and equivalent solutions Specification of authorization Resources Instruments Instructions Records 18

Delegation of Authority to RO (cont. ) MSC/Circ. 710 – MEPC/Circ. 307 • Annex: Model Agreement • Appendix 1: gives the specific scope and extent of delegated duties and authority • Appendix 2: gives the reporting and communication pattern for the execution of the delegated duties DEPT. MSA&IS Dept. MSA&IS 19

Delegation of Authority to RO (cont. ) Obligations for ROs - RO Code, Part 2, sections 2 – 7: • Lay down minimum specifications for ROs, in six elementary modules covering following areas of interest regarding competence, capability and capacity of RO: • • • DEPT. MSA&IS Dept. MSA&IS General requirements for ROs Management and organization Resources Statutory certification and services processes Performance measurement, analysis and improvement Quality management system certification 20

Delegation of Authority to RO (cont. ) Based on mandatory minimum specifications for ROs, conditions of authorization include: • Independence - no "conflict of interest" activities • Appropriate communication processes with the authorizing flag State, • • addressing information specified by the flag State in terms of authorization, classification of ships, unsafe ships, overdue surveys or recommendations, etc. Use of exclusive surveyors – exceptions Maintain a certified quality management system Additional conditions could be imposed by Administration: • Comply with terms & conditions in formal agreement • Ready access to RO's database and reports on ships flying the flag of the • State and companies Geographical coverage DEPT. MSA&IS Dept. MSA&IS 21

Delegation of Authority to RO (cont. ) Recommendations for administrations: RO Code, Part 3 - Oversight of Recognized Organizations • A system to ensure adequacy of work performed by ROs, including guidance on: • Establishing an oversight programme • Principles of auditing • Managing an oversight programme DEPT. MSA&IS Dept. MSA&IS 22

Delegation of Authority to RO (cont. ) RO Code, Part 3 (cont. ) - Oversight of Recognized Organizations Establishing an oversight programme: • Oversight (also para. 20 of III Code) • The flag State's supervision of duties delegated to an RO • Verification and monitoring Managing an oversight programme: • Oversight programme objectives and extent • Oversight programme responsibilities, resources and procedures • Oversight programme monitoring and reviewing DEPT. MSA&IS Dept. MSA&IS 23

Delegation of Authority to RO (cont. ) Oversight of ROs – monitoring activities may include: • Conducting supplementary surveys (provisions in both III Code and RO Code - go beyond requirements of mandatory IMO instruments) • • Conduct (or participation in) audits of ROs Observation of surveys and audits conducted by ROs Periodical meetings and dialogue sessions Periodic inspections (field oversight) Monitoring of PSC reports Follow-up on class-related detentions and casualties Review of RO survey and audit reports Note: “should” in III Code to be read as “shall” upon its entry into force! – some of these activities will be mandatory DEPT. MSA&IS Dept. MSA&IS 24

Delegation of Authority to RO (cont. ) • Monitoring of RO's Performance through following indicators: • FSC and PSC detention ratios • RO-related detentions • RO-related marine casualties • Reporting requirements DEPT. MSA&IS Dept. MSA&IS 25

Delegation of Authority to RO (cont. ) ADMINISTRATION REMAINS FULLY RESPONSIBLE! DEPT. MSA&IS Dept. MSA&IS 26

Enforcement Therefore To fulfil its international obligations, it is essential for a flag State to establish and maintain an effective control over the ships flying its flag. The need for this control is set out in Article 94 of UNCLOS and implied in the IMO Conventions. DEPT. MSA&IS Dept. MSA&IS 27

Enforcement (cont. ) Refers to para 22 - 27 of the III Code Includes following measures: 1. prohibiting ships flying the flag of the State from sailing until they are 2. 3. 4. 5. 6. 7. DEPT. MSA&IS Dept. MSA&IS in compliance with applicable requirements conducting periodic inspections of its ships in its own ports or, where necessary, in foreign ports ensuring safe manning of ships instituting proceedings, after an investigation, against owners, operators or crews of ships where national laws have been infringed, with application of penalties where appropriate implementing a control and monitoring programme providing appropriate number of qualified personnel to implement and enforce national legislation taking actions after a ship flying the flag of the State has been detailed by PSC 28

Enforcement (cont. ) Refers to para 22 - 27 of the III Code Enforcement powers should be provided in national legislation and authorization given to officers of the competent entity for, inter alia: • boarding and inspecting a ship or her equipment • requiring the production of any book, certificate or document relating to any ship or persons on the ship • detaining a ship • requiring a ship to be taken into a dock to survey the hull DEPT. MSA&IS Dept. MSA&IS 29

Enforcement (cont. ) Refers to para 22 - 27 of the III Code • Enforcement provisions not necessarily rest within maritime laws and regulations • In some cases, incorporated under civil or criminal law statutes • Some enforcement actions may rest with another governmental entity that is not directly participating in the audit • What role, if any, does the maritime authority play in the collection and provision of adequate information to enforcement agencies DEPT. MSA&IS Dept. MSA&IS 30

Enforcement (cont. ) Prosecution: 1. When breaches of statutory requirements have occurred, it is necessary to consider whether prosecution should take place. 2. Prosecution action will depend on the circumstances and the nature of the breach. DEPT. MSA&IS Dept. MSA&IS 31

Flag State Surveyors Refers to para 28 - 37 of the III Code • Contains a list of issues expected of an Administration if its responsibilities as a flag State were to be properly executed • Explore the issue of flag State surveyors, with a view to encouraging improvement • Non-compliances under this area would be issued as findings (for paragraphs 28, 33, 35, 36 and 37) and as observations (for paragraphs 29, 30, 31, 32 and 34) DEPT. MSA&IS Dept. MSA&IS 32

Flag State surveyors (cont. ) Refers to para 28 - 37 of the III Code • • Minimum academic qualifications Minimum experience General qualifications Other personnel assisting Formal training programme Documented system Identification document DEPT. MSA&IS Dept. MSA&IS 33

Flag State Investigations Refers to para 38 - 41 of the III Code Seek to establish that: • Member State has in place adequate mechanisms to investigate casualty and incidents • Reports of investigations are provided to interested parties and the Organization • As non-compliances could be classified as findings and in some cases as observations, one should be careful, when identifying any shortcoming, to ensure that it is specific and supported by relevant provisions DEPT. MSA&IS Dept. MSA&IS 34

Flag State Investigations (cont. ) Compliance with IMO Casualty Investigation Code – resolution MSC. 255(84) • Requirement to investigate very serious marine casualties • Investigator(s): • impartial and objective • Suitably qualified and knowledgeable • Reporting of a casualty: • Recommendations • Promulgation of lessons learnt • Resolution A. 1075(28) - Guidelines to assist investigators in the implementation of the casualty investigation code DEPT. MSA&IS Dept. MSA&IS 35

Flag State – Evaluation and Review Refers to para 42 - 44 of the III Code • Apart from Member State's overall organizational performance review, separate and detailed methodology should be in place for Member State to evaluate its performance as a flag State • Confirm whether measures taken to implement and enforce mandatory provisions on ships entitled to fly the flag of the State are: • effective • lessons learnt for continuous improvement • Non-compliances in this area would be issued as findings (paragraphs 42 and 43) and observations (paragraph 44) DEPT. MSA&IS Dept. MSA&IS 36

Discussion - actions in implementing and enforcing Example: MARPOL 73/78 1. Accede to MARPOL 73/78 2. Give effect to Annexes I and II 3. Give effect to optional annexes accepted or given force by 4. 5. 6. 7. 8. national law Prohibit violations Provide sanctions Take proceedings Inform parties concerned Inform IMO DEPT. MSA&IS Dept. MSA&IS 37

Discussion - actions in implementing and enforcing (cont. ) 9. 10. 11. 12. 13. 14. 15. Inspect ships Monitor compliance Avoid undue delay to ships Report on incidents Provide IMO with documents (Article 11) Investigate casualties involving pollution and report findings Ensure provision of adequate reception facilities DEPT. MSA&IS Dept. MSA&IS 38

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