the purpose of a plan approval procedure is to ensure that the - - PDF document

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IMO Needs Assessment and Advisory Mission UKRAINE, 14-18 Dec 2015 MEMBER STATE OBLIGATIONS AS PARTY TO IMO INSTRUMENTS

• Capt. Marin PETROV, IMO Consultant

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CONTENTS

• Implementation and enforcement of IMO instruments
• MS general obligations and responsibilities
• Responsibilities of different stakeholders
• Flag, Port and Coastal State obligations
• Survey, inspection, authorization and monitoring
• Survey and certification
• Approval of plans and type approval
• Need for authorization
• Delegation, control and monitoring
• Training and certification, investigations
• IMSAS and III Code
• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments General Obligations and Responsibilities – UNCLOS Duties of the flag State (Art. 94)

• Every flag State shall effectively exercise its jurisdiction

and control in administrative, technical and social matters

• ver ships flying its flag
• In particular every State shall assume jurisdiction under its

internal law over each ship flying its flag …… take such measures that ships flying its flag….to ensure safety at sea with regard to…..

• The construction, equipment and sea worthiness
• Manning of ships, labour conditions and training of

crew taking into account the applicable international instruments

• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments General Obligations and Responsibilities – UNCLOS (2) Enforcement by flag Sates (Art. 217)

• States shall ensure compliance by ships flying their flag with

…..international rules and standards established through the competent international organisations.

• If a vessel commits a violation of rules…. the flag State shall

provide for immediate investigation and where appropriate institute proceedings in respect of the alleged violation.

Pollution from ships (Art.222) States shall enforce … their law and regulation …….and take other measures necessary to implement applicable international rules and standards established through competent international organisations

• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments Responsibilities of different stakeholders

• The key actors and their roles in setting and implementing

technical standards in today’s international shipping are as follows :

• IMO, as a specialized agency of the UN, has the

responsibility to develop universal (international) technical standards on safety, security and pollution prevention, relating to ships and shipping activities;

• GOVERNMENTS have the duty to implement and

enforce these standards;

• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments Responsibilities of different stakeholders (2)

• RECOGNIZED ORGANIZATIONS have a duty to be

impartial and exercise due diligence in carrying out statutory tasks assigned to them by governments;

• SHIPPING COMPANIES are responsible for the

consistent application of the same standards to individual ships; and

• SHIPBOARD PERSONNEL (seafarers) have the task of

putting into operation the various safety, security and anti-pollution measures applicable to the ship

• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments

• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments

• Capt. Marin PETROV, IMO Consultant
• IMO is the competent international organisation, referred

to in UNCLOS, responsible for technical aspects of shipping;

• IMO instruments (over 40 now) cover:
• design of ships
• equipment of ships
• operation
• training of personnel
• port State control
• SAR
• pollution and liability arising there from

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Implementation and enforcement of IMO instruments

• Objective of IMO is to adopt the highest PRACTICABLE

STANDARDS with respect to maritime safety and pollution prevention

• The standards set by IMO generally take the form of:
• Conventions or Protocols; or
• Amendments to existing Conventions or Protocols; or
• Codes, Guidelines, Recommended Practices, etc.
• Most Codes, Guidelines, Recommendations and

Recommended Practices are not binding but intended to assist Governments give full effect to convention provisions

• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments

• Phases from adoption to enforcement of IMO instruments:
• Conventions and amendments are adopted, after

discussion in IMO;

• Entry into force internationally after the agreed period;
• Implementation trough national law and regulations (by

Parties to the convention); and

• Enforcement (by Flag States and Port States which are

Parties to the convention)

• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments Flag, Port and Coastal State obligations Responsibilities and obligations of Flag States with regard to IMO Conventions:

• Ratification
• Implementation - through enacting national legislation
• Enforcement
• need to have infrastructure and staff appropriate to

the size and type of fleet

• ensure unsafe ships are not allowed to sail
• ensure seafarers are competent and familiar with

ships’ equipment and operations

• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments Flag, Port and Coastal State obligations Flag State responsibilities and obligations (2):

• Enforcement of national and international rules and

standards on ships flying its flag:

• registration of ships
• survey
• certification
• accident investigation
• reporting under various instruments (FSI 20 /INF.14)
• Training and certification of seafarers
• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments Flag, Port and Coastal State obligations Coastal State responsibilities and obligations:

• Pollution detection
• Prosecution for violation
• Establishment of aids to navigation
• Dissemination of safety information
• on wrecks
• other dangers to navigation
• weather and sea conditions
• Establishment and maintenance of SAR service
• Capt. Marin PETROV, IMO Consultant

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Implementation and enforcement of IMO instruments Flag, Port and Coastal State obligations

Port State responsibilities and obligations: Port State control of foreign ships calling its ports as per requirements of the regional MOUs joined / IMO PSC Procedures NB: If the right for PSC is exercised, then port State has responsibilities and obligations for enacting local legislation, staff training, NMFT, scope, reporting, remedial measures undertaken, complain procedure, etc.

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification

• The major IMO conventions require specific surveys to be

performed on ships and if requirements are met – certificates to be issued attesting compliance with the provisions;

• Such requirements in SOLAS are contained in Chapter I,

Part B Surveys and Certificates (specifically, R.I/6-R.I/18), but also in other chapters (R.VII/10,13,16 R.IX.3 R.XI-2.4, etc.);

• Similar requirements exist in MARPOL and LL-66, as well

as in the mandatory IMO codes (IBC, IGC, ISM, ISPS, etc.);

• The survey and certification under IMO conventions is

mainly regulated by the Harmonized System for Survey and Certification (HSSC)

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification (2) Harmonised System of Survey and Certification

• Adopted by the International Conference on HSSC, 1988;
• The Conference adopted the 1988 SOLAS Protocol and

the 1988 LL Protocol to introduce the HSSC in both conventions (and IBC/IGC)

• The MEPC.39(29) adopted the 1990 amendments of

MARPOL 73/78 for introduction of the HSSC

• The HSSC entered into force on 3 February 2000

The HSSC objective: to reduce the ship’s time out of service for inspection purposes, by alleviating problems caused by survey dates and intervals between surveys which do not coincide (under previous regime)

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification (3)

• Latest Survey Guidelines under HSSC, 2015 were adopted

by Res. A.1104(29) to include amendments to instruments in force up to and including 31.12.2015) and contain in its annexes: .1 General description of the HSSC – sec.1- sec.5 .2 Survey Guidelines under the 1974 SOLAS Convention, as modified by Prot -88 (annex 1); .3 Survey Guidelines under the 1966 Load Line Convention, as modified by Prot -88 (annex 2); .3 Survey Guidelines under the MARPOL (annex 3); .4 Survey Guidelines under mandatory Codes (annex 4).

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification (4) HSSC provides for:

• a
• ne-year

standard interval between surveys flexibility for execution of surveys, providing for renewal survey to be completed within 3m before expiry date, with no loss of this period

• a maximum period of validity of 5 years for all

certificates for cargo ships

• a system for extension of certificates limited to 3m for

voyage completion

• if an extension given, the new period of validity starts

from the expiry date of the existing certificate before extension

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification (5) Recruitment of FS surveyors

• The

total number

• f

surveyors required by the Administration will depend upon the various factors:

• the number and location of district survey offices to

achieve sufficient national coverage;

• survey work which must be undertaken abroad; and
• work which must be undertaken by personnel with

specialist qualifications, for example, for plan approval work or tonnage computation.

• Conditions for recruitment should follow the general policy of

the Administration but it should be tailored so that the work force has a wide range of experience.

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification (6) Training of surveyors /auditors /inspectors A training procedure should be established to: .1 identify training requirements; .2 make provision for the basic training of new members of staff; and .3 provide for the in-service training of all staff. Instructions to surveyors To supplement the national (and international) regulations and to ensure that they are uniformly applied written "Instructions to Surveyors" should be issued (may refer or contain respective parts of the HSSC Survey Guidelines ).

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification (7) Procedures for surveys and inspections Documented procedures should be prepared covering the: .1 way a request for a survey/inspection is dealt with; .2 selection of the appropriate surveyor to carry out the survey; .3 monitoring of the surveyor's work, where necessary; .4 review of the surveyor's report; and .5 issue of the certificate, as appropriate.

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification (8) Issuance of certificates

• statutory certificates relating to international conventions

must follow the models set out in the respective conventions.

• the Conventions specify the duration and validity of

certificates.

• the certificates should be drawn up in the official

language of the country by which they are issued.

• in general, if the language used is neither English,

French, nor Spanish the text should include a translation into

• ne of these languages.
• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Survey and certification (9) The HSSC Survey Guidelines (Res.A.1104(29), sec.4.1.2.2) of specify, that the initial survey should consist of: .1 an examination

• f

the plans, diagrams, specifications, calculations and

• ther

technical documentation to verify that the structure, machinery and equipment comply with the requirements; .2 an inspection of the structure, machinery and equipment to ensure that the materials, scantlings, construction and arrangements, as appropriate, are in accordance with the approved plans, diagrams, specifications, calculations and

• ther technical documentation….
• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Plan approval Purpose of plan approval

• the purpose of a plan approval procedure is to ensure

that the subject of the plans has been designed and will be constructed in accordance with national and international requirements.

• a plan approval procedure enables the Administration or

its RO to confirm that the appropriate standards are being met.

• the Administration or its RO should make known which

plans require approval well before construction or manufacture commences.

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Plan approval (2) The national legislation / regulations specify the rules

• f the game:
• which plans are to be submitted for approval;
• who will consider/study them in view of their approval

(possible role of a RO);

• who is the approving authority;
• which are the requirements;
• Processing and granting of plan approvals.
• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Type approval Purpose of type approval

• it is important to ensure that equipment, structural

material and other fittings supplied for use on board ship meet the appropriate national and international standards;

• because it would be impracticable to test every item of

equipment or material supplied to a ship detailed tests are undertaken on a typical sample. Quality control then ensures specifications are consistently maintained;

• type approval and quality control bring together:

 the manufacturer of the equipment or material;  the shipbuilder or shipowner, and  the surveyor or inspector.

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Type approval (2) Publication of type approvals

• to ensure the maximum benefit of a type approval

system it is necessary to publish at regular intervals lists of approved equipment and material.

• the lists of type approved equipment and material

should be circulated to the industry.

• the Administration should include in its procedure for

processing type approval the performance standards issued by the Organization.

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Delegation of authority and monitoring Need for delegation

• most Administrations find it necessary to delegate some or

all of the survey and certification work associated with the international conventions on safety and the prevention of pollution to ROs;

• delegation arises from the Administration's need for:
• the in-depth technical expertise, possessed by the

established classification societies;

• the world-wide service coverage, which the

societies can provide;

• avoiding duplication of surveys and inspections and

the consequent costs to the shipowner.

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Delegation of authority and monitoring (2) Scope of delegation

• The Conventions allow authority and work to be delegated
• nly to "recognized organizations” (ROs).
• Obligations of the Administration for compliance of survey

and certification functions with Conventions’ requirements can not be delegated !

• Delegation of authority is found to be most necessary in the

following Conventions:

− SOLAS; − MARPOL; − Load Lines; and − Tonnage.

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Delegation of authority and monitoring (3) Extend of delegation In practice, the extend of delegation varies between:

• full delegation, in which the RO reviews plans, carries out

surveys and issues certificates;

• partial delegation, in which the RO reviews plans and

carries out surveys but where the Administration issues the certificates; or

• limited to a case by case or geographical basis.

SOLAS, MARPOL and Load Line Conventions require Administrations to inform the Organization of those persons

• r bodies which they have authorized to act on their behalf.

Ref: GISIS – RO module

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Delegation of authority and monitoring (4)

• Delegation, verification and monitoring of the ROs by the

Administrations is in the focus of the IMO Member State Audit Scheme;

• The Code for Recognized organizations (RO Code)

adopted by Res. MEPC.237(65) and Res. MSC.349(92) took effect on 1 January 2015

• The RO Code is mandatory under the SOLAS 1974,

LL PROT 1988 and MARPOL Annex I and Annex II;

• The RO Code revoked both Res.A.739(18) and

Res.A.789(19);

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Delegation of authority and monitoring (5)

• The RO Code serves as the international standard and

consolidated instrument containing minimum criteria against which organizations are:

• assessed towards recognition and authorization (RO

Code, Part 1 and 2), and

• subject of oversight by flag States as per the RO

Code guidelines (Part 3)

• The RO Code is structured along the lines of ISO

9001, ISO 17020, ISO 19011 and IACS Quality Management System Requirements (QMSR)

• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Delegation of authority and monitoring (6) The RO Code contains:

• General mandatory requirements (Part 1);
• The mandatory requirements for recognition and

authorization of an organization (Part 2), including:

• General requirements: rules and regulations,

independence, impartiality, competence, responsibility;

• Management and organization: QMS requirements;
• Resources: personnel (exclusive surveyors),infrastructure;
• Statutory certification processes (requirements to the

services of compliance verification, based on ISO 9001)

• Performance measurement, analysis and improvement
• Requirements for authorization of ROs, etc.
• Capt. Marin PETROV, IMO Consultant

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Survey, inspection, authorization and monitoring Delegation of authority and monitoring (7) The RO Code contains: (2)

• Recommendatory Part 3 – Oversight of ROs by the flag

State (scope, oversight programme establishment and managing, principles of auditing, etc.)

• Appendix I: Requirements for training and qualification of

RO’s technical staff (referred to in Part 2)

• Appendix II: Specifications on the survey and certification

functions of ROs acting on behalf of the FS (referred to in part 1 and 2, based on the elementary modules and specifications

• f the Res.A.789(19);
• Appendix III: Elements to be included in an agreement

(based on Appendix 2 of Resolution A.739(18)).

• Capt. Marin PETROV, IMO Consultant

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Training and certification, investigations Training and certification of seafarers International Convention on Standards for Training, Certification and Watchkeeping for Seafarers, 1978 STCW 78 Convention and STCW Code:

• Establishes comprehensive set of international requirements
• n training, certification & watch-keeping;
• Prescribes minimum standards which countries are obliged

to meet or exceed;

• Convention does not deal with minimum manning levels
• those are dealt with in greater detail by the Resolution

A.1047(27) - referred to as a footnote to SOLAS Ch V Reg.14;

• Capt. Marin PETROV, IMO Consultant

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Training and certification, investigations Training and certification of seafarers (2)

• STCW 78 Convention was adopted in 1978, in force from

28-04-1984;

• STCW convention was completely amended in 1995

EXCEPT the articles. The revision of the Annex was adopted by Conference of the parties (1995 Amendments came in force on 01-02-1997)

• Conference in Manila (July 2010) adopted new set of

amendments to the Annex of the STCW convention and to the STCW Code (Manila Amendments came in force on 01- 01-2012) with transition period till 01-01-2017

• Capt. Marin PETROV, IMO Consultant

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Training and certification, investigations Training and certification of seafarers (3) Composition of STCW 78, as amended:

• 17 articles, 8 Chapters (Annex) and STCW Code
• STCW Code in 2 parts – A and B

₋ part A: mandatory standard NB: Any reference to a

requirement in a regulation also constitutes a reference to the corresponding section of part A of the STCW Code (R.I/1.2.1);

₋ part B: recommended guideline NB: part B of the

STCW Code should be taken into account to the greatest degree possible in order to achieve a more uniform implementation of the Convention provisions on a global basis (R.I/1.2.2).

• Capt. Marin PETROV, IMO Consultant

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Training and certification, investigations MANILA AMENDMENTS - MAIN CHANGES

• New Training Requirements:

₋ Changes to Competence Tables (e.g. deck off. competence in ECDIS,

engine off. competence in Pollution Prevention Equipment, etc.);

₋ New Seafarer Grades and Certificates (e.g. Able Seafarer Deck /

Engine, Electro-Technical Officer / Rating)

₋ Mandatory Security Training for all shipboard personnel; ₋ Training Record Books for deck/engine rating trainees; ₋ More refresher training requirements (conducted on board or ashore);

• Changes to Minimum Rest Hours (2012 on), harmonised

with the MLC-2006 requirements:

• min rest in any 7-day period increased from 70 to 77 hrs;
• always 10 hrs rest in any 24-hr period (except during emergency);
• mandatory to maintain records for individual seafarers’ rest hours

(reviewed and signed work/rest hours by the seafarers);

• New medical certification requirements (2017 on)
• Capt. Marin PETROV, IMO Consultant

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Training and certification – Manila Amdts implementation dates

• Capt. Marin PETROV, IMO Consultant

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Casualty investigations Another obligation of a flag State…

• UNCLOS, article 94
• SOLAS regulation I/21
• MARPOL articles 8 and 12
• LL article 23
• Capt. Marin PETROV, IMO Consultant

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Casualty investigations Casualty Investigation Code (Resolution MSC.255(84))

• Part I – General Provisions
• Part II – mandatory standards for marine safety

investigations

• Part III – recommended practices

In force since 01/01/2010…

• Relevant amendments to SOLAS Chapter XI-1 (regulation 6)

expanded on SOLAS Regulation I/21

• Requiring Administrations to conduct investigations of

marine casualties and incidents in accordance with (…) the Casualty Investigation Code

• Capt. Marin PETROV, IMO Consultant

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Casualty investigations Casualty Investigation Code (2)

• When to investigate?

₋ Paragraph 6.1 (Part II): a marine safety investigation shall

be conducted into every very serious marine casualty.

• What is a very serious marine casualty? It means a marine

casualty involving:

₋ the total loss of the ship or ₋ a death or ₋ severe damage to the environment.

• Capt. Marin PETROV, IMO Consultant

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Casualty investigations Casualty Investigation Code (3)

• A marine safety investigation?...

₋ means an investigation (…) into a marine casualty or marine

incident, conducted with the objective of preventing marine casualties and marine incidents in the future.

• What is the safety investigation about?

₋ the collection and analysis of evidence ₋ the identification of causal factors; and ₋ the making of safety recommendations as necessary.

• Capt. Marin PETROV, IMO Consultant

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Casualty investigations Casualty Investigation Code (4)

• Who has the obligation to investigate?

₋ 6.2 (…) the flag State of a ship involved in a very serious

marine casualty is responsible for ensuring that a marine safety investigation is conducted and completed in accordance with this Code.

• Who has the right to investigate?

₋ Coastal States ₋ Other substantially interested States ( i.e. the flag State,

• r State whose environment was severely or significantly

damaged, or nationals of a State lost their lives or received serious injuries; etc.)

• Capt. Marin PETROV, IMO Consultant

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Casualty investigations Casualty Investigation Code (5)

• Reports to IMO

₋ The marine safety investigating State(s) shall submit the final

version of a report to the Organization for every marine safety investigation conducted into a very serious marine casualty.

₋ Where a marine safety investigation is conducted into a

marine casualty or marine incident, other than a very serious marine casualty, and a marine safety investigation report is produced which contains information which may prevent or lessen the seriousness of marine casualties

• r marine incidents in the future, the final version shall be

submitted to the Organization.

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code Why to be audited?

• Governments are ultimately responsible to implement and

enforce the international instruments to which they are Party;

• Some countries lack the expertise, experience and

resources necessary to implement and enforce the international standards properly;

• Others perhaps put enforcement fairly low down their list
• f priorities;
• the current situation in shipping do not provide the level

playing field to measure the effectiveness of the regulatory and enforcement regime

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code Why to be audited ? (2)

• IMO has no enforcement and compliance monitoring

powers

−

The IMO Convention does not contain any provision that gives the Organization an enforcement and monitoring role.

−

In the absence of enforcement powers came the need for measuring the effectiveness of IMO standards, how they are implemented and enforced by Member States

−

To assist in this process, the FSI Sub-Committee was established to review implementation and enforcement issues by Member States (now renamed as III SC)

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code Evolution of the Audit Scheme

• The IMO 21st Assembly adopted in 1999 the Res.A.881 (21)

Self - assessment of flag State performance.

• The aim of A.881(21) and the annexed Guidelines was to

assess the level of implementation of IMO instruments and identify areas of difficulty particularly in relation to technical assistance

• PROBLEMS with Res.A.881(21):

−

Submission of assessment was at the discretion of Members

− Reports were confidential and could only be released with consent of the

submitting Government

− No verification − Less than 50% of the flag States responded

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code Evolution of the Audit Scheme (2)

• Capt. Marin PETROV, IMO Consultant

Development of the Mandatory Scheme 2010 - 2015 Resolution A.1018(26) – Further development

• f the Voluntary IMO

Member State Audit Scheme

• Revised Code - IMO

Instrument Implementation (III) Code

• Amendments to 8

instruments

• Revised Framework

and Procedures

• Auditor's Manual –

Circular letter No.3425 Assembly 24 (2005) Assembly 26 (2009) Voluntary IMO Member State Audit Scheme (VIMSAS) 2005 – 2013 Resolution A.974(24) – Framework and Procedures Resolution A.973(24) – Code for the implementation of mandatory IMO instruments 79 Member States and 2 Associate Members have volunteered 67 audits performed Assembly 28 (2013) IMO MEMBER STATE AUDIT SCHEME 1 January 2016 Resolution A.1067(28) – Framework and Procedures for the IMO Member State Audit Scheme Resolution A.1068(28) –Transition from the Voluntary IMO Member State Audit Scheme to IMO Member State Audit Scheme Resolution A.1070(28) – IMO Instrument Implementation (III) Code Audit Schedule (Doc. C.112.INF.3)

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IMSAS and III Code Institutionalization of the Audit Scheme

Amendments to:

Majority of amendments to enter into force on 01/01/2016, making the auditing of Member States using the III Code mandatory.

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code Res.A.1067(28) Framework and Procedures for the IMO Member State Audit Scheme

• The Framework (Part I) describes the objectives,

principles, scope, responsibilites, and technical cooperation aspect for Member State audit, which together constitute the strategy for the Audit Scheme

• The Framework is supported by the Procedures

(Part II) – definitions (finding, observation), audit process (planning, preparing, conducting, reporting, CA, follow-up) Res.A.1070(28) IMO Instruments Implementation Code (III Code) - provides the audit standard Res.A.1105(29) 2015 Non-exhaustive list of obligations under instruments relevant to the III Code (Annexed: Obligations of contracting Parties, FS/CS/PS Obligations, Instruments made mandatory under IMO Conventions, etc.)

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code IMO Instruments Implementation Code - Res.A.1070(28) PART 1 – COMON AREAS: Objective, Strategy, Scope, Initial Actions, Communication of information, Records, Improvement PART 2 – FLAG STATES: Implementation, Delegation of authority, Enforcement, FS Surveyors, FS Investigations, Evaluation and review; PART 3 - COASTAL STATES: Implementation, Enforcement, Evaluation and review; PART 4 – PORT STATES: Implementation, Enforcement, Evaluation and review;

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code Objective of the III Code: To enhance global maritime safety and protection of marine environment and assist States in the implementation of IMO instruments The scope of the III Code, aligned with the Framework – Res.A.1067(28), pertaining to:

• six areas of international instruments:

− safety of life at sea; − prevention of pollution from ships; − standards of training, certification and watchkeeping; − load lines; − tonnage measurement; − preventing collisions at sea.

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code The scope of the III Code – cont.

• nine areas to be considered and addressed:

− Jurisdiction, − Organization and authority, − Legislation, rules and regulations, − Promulgation of international mandatory instruments, − Enforcement arrangements, − Control/survey/inspection/audit/verification/approval and

certification functions,

− Selection/recognition/authorization/empowerment/monitor

ing of ROs and surveyors,

− Investigations required to be reported, and − Reporting to IMO and other Administrations.

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code STRATEGY: To meet the objective of the III Code, a State is recommended to: .1 develop an overall strategy to ensure that its international

• bligations and responsibilities as a flag, port and

coastal State are met; .2 establish a methodology to monitor and assess that the strategy ensures effective implementation and enforcement

• f

relevant international mandatory instruments; and .3 continuously review the strategy to achieve, maintain and improve

• verall
• rganizational

performance and capability as a flag, port and coastal State. The State should communicate its strategy to all concerned!

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code

• Capt. Marin PETROV, IMO Consultant

MINISTRY OF JUSTICE MINISTRY OF TRANSPORT MINISTRY OF

DEFENCE

MINISTRY OF ENVIRONMENT

OVERALL STRATEGY MARITIME ADMINISTRATION POLLUTION PREVENTION AND CONTROL RESCUE HYDROGRAPHY

LAWS &

ENFORCEMENT TRANSPORT POLICY/IMO

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IMSAS and III Code Whenever the word “should” is used in III Code, it is to be read as being “shall” (i.e. mandatory) – stated in the Assembly resolutions for amending respective IMO Instruments. RECORDS

• States should establish and maintain records as

evidence of conformity with requirements and effective

• peration
• States should establish documented procedures to

define controls and responsibilities within departments /entities (for identification, storage, protection, retrieval, retention time and disposition of records)

• Capt. Marin PETROV, IMO Consultant

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IMSAS and III Code IMPROVEMENT – States should:

• continually improve the measures to give effect to

conventions and protocols they have accepted;

• stimulate a culture for improvement of performance in

maritime safety and environmental protection activities (training programmes, regional and national drills, reward and incentive mechanisms for companies and seafarers);

• identify and eliminate causes of non-conformities to

prevent recurrence (review and analysis of NC, implementation

• f CA, review of effectiveness of the CA taken).
• Capt. Marin PETROV, IMO Consultant

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MEMBER STATE OBLIGATIONS AS PARTY TO IMO INSTRUMENTS

Thank You ! Questions ?

• Capt. Marin PETROV, IMO Consultant