Revoked by A.1070(28)
Resolution A.1054(27)
CODE FOR THE IMPLEMENTATION OF MANDATORY IMO INSTRUMENTS, 2011
Adopted on 30 November 2011
THE
ASSEMBLY,
RECALLING Article 15(j) of the Convention on the International Maritime
Organization concerning the functions of the Assembly in relation to
regulations and guidelines regarding maritime safety and the prevention and
control of marine pollution from ships,
RECALLING ALSO that, by resolution A.996(25), it adopted the Code for the
Implementation of Mandatory IMO Instruments, 2007 and, by resolution
A.1019(26), amendments thereto,
RECOGNIZING the need for the above-mentioned Code to be further revised to take
account of the amendments to the IMO instruments referred to in the Code which
have entered into force or become effective since the adoption of resolution
A.1019(26),
BEING AWARE of the request by the seventh session of the UN Commission on
Sustainable Development (CSD 7) that measures be developed to ensure that flag
States give full and complete effect to the IMO and other relevant conventions
to which they are party, so that the ships of all flag States meet
international rules and standards,
RECOGNIZING ALSO that parties to the relevant international conventions have,
as part of the ratification process, accepted to fully meet their
responsibilities and to discharge their obligations under the conventions and
other instruments to which they are party,
REAFFIRMING that States, in their capacity as flag States, have the primary
responsibility to have in place an adequate and effective system to exercise
control over ships entitled to fly their flag and to ensure that they comply
with relevant international rules and regulations in respect of maritime
safety, security and protection of the marine environment,
REAFFIRMING ALSO that States, in their capacity as port and coastal States,
have other obligations and responsibilities under applicable international law
in respect of maritime safety, security and protection of the marine
environment,
NOTING that, while States may realize certain benefits by becoming party to
instruments aiming at promoting maritime safety, security and protection of the
marine environment, these benefits can only be fully realized when all parties
carry out their obligations as required by the instruments concerned,
NOTING ALSO that the ultimate effectiveness of any instrument depends, inter
alia, on all States:
(a)
becoming party to all instruments related to maritime safety, security and
protection of the marine environment;
(b)
implementing and enforcing such instruments fully and effectively;
(c)
reporting to the Organization, as required,
NOTING FURTHER that, in the context of the Voluntary IMO Member State Audit
Scheme, the enactment of appropriate legislation and its implementation and
enforcement are the three key issues on which a Member State's performance can
be measured,
BEARING IN MIND that the Voluntary IMO Member State Audit Scheme contains
references to the Code for the Implementation of Mandatory IMO Instruments, as
appropriate; and that the Code, in addition to providing guidance for the
implementation and enforcement of IMO instruments, forms the basis of the Audit
Scheme, in particular concerning the identification of the auditable areas,
HAVING CONSIDERED the recommendations made by the Maritime Safety Committee, at
its eighty-ninth session, and the Marine Environment Protection Committee, at
its sixty-second session,
1
ADOPTS the Code for the Implementation of Mandatory IMO Instruments, 2011, set
out in the annex to the present resolution;
2
URGES Governments of all States in their capacity as flag, port and coastal
States to implement the Code on a national basis;
3
REQUESTS the Maritime Safety Committee and the Marine Environment Protection
Committee to keep the Code under review and, in coordination with the Council,
to propose amendments thereto to the Assembly;
4
REVOKES resolutions A.996(25) and A.1019(26).
Annex
CODE FOR THE IMPLEMENTATION OF MANDATORY
IMO INSTRUMENTS, 2011
Table of Contents
PART
1 - COMMON AREAS
Objective
Strategy
General
Scope
Initial
actions
Communication
of information
Records
Improvement
PART
2 - FLAG STATES
Implementation
Delegation of authority Enforcement Flag State surveyors Flag State
investigations Evaluation and review
PART
3 - COASTAL STATES
Implementation
Enforcement Evaluation and review
PART
4 - PORT STATES
Implementation
Enforcement Evaluation and review
ANNEX
1 OBLIGATIONS OF CONTRACTING GOVERNMENTS/PARTIES
ANNEX
2 SPECIFIC FLAG STATE OBLIGATIONS
ANNEX
3 SPECIFIC COASTAL STATE OBLIGATIONS
ANNEX
4 SPECIFIC PORT STATE OBLIGATIONS
ANNEX
5 INSTRUMENTS MADE MANDATORY UNDER IMO CONVENTIONS
ANNEX
6 SUMMARY OF AMENDMENTS TO MANDATORY INSTRUMENTS REFLECTED IN THE CODE
ANNEX
7 AMENDMENTS TO IMO INSTRUMENTS EXPECTED TO BE ACCEPTED AND TO ENTER INTO FORCE
BETWEEN 1 JANUARY 2012 AND 1 JULY 2012
PART
1 - COMMON AREAS Objective
1
The objective of this Code is to enhance global maritime safety and protection
of the marine environment.
2
Different Administrations will view this Code according to their own
circumstances and will be bound only for the implementation of those
instruments referred to in paragraph 6 to which they are Contracting
Governments or Parties. By virtue of geography and circumstance some
Administrations may have a greater role as a flag State than as a port State or
as a coastal State, whilst others may have a greater role as a coastal State or
port State than as a flag State. Such imbalances do not diminish, in any way,
their duties as a flag, port or coastal State.
Strategy
3
In order for a State to meet the objective of this Code, a strategy should be
developed, covering the following issues:
.1
implementation and enforcement of relevant international mandatory instruments;
.2
adherence to international recommendations, as appropriate;
.3
continuous review and verification of the effectiveness of the State in respect
of meeting its international obligations; and
.4
the achievement, maintenance and improvement of overall organizational
performance and capability.
In
implementing the aforementioned strategy, the guidance given in this Code
should be adhered to.
General
4
Under the provisions of the United Nations Convention on the Law of the Sea,
1982 (UNCLOS) and of IMO conventions, Administrations are responsible for
promulgating laws and regulations and for taking all other steps which may be
necessary to give these instruments full and complete effect so as to ensure
that, from the point of view of safety of life at sea and protection of the
marine environment, a ship is fit for the service for which it is intended and
is manned with competent maritime personnel.
5
In taking measures to prevent, reduce and control pollution of the marine
environment, States shall act so as not to transfer, directly or indirectly,
damage or hazards from one area to another or transform one type of pollution
into another (UNCLOS, article 195).
Scope
6
The mandatory IMO instruments addressed in this Code are:
.1
the International Convention for the Safety of Life at Sea, 1974, as amended
(SOLAS 1974);
.2
the Protocol of 1978 relating to the International Convention for the Safety of
Life at Sea, 1974, as amended (SOLAS PROT 1978);
.3
the Protocol of 1988 relating to the International Convention for the Safety of
Life at Sea, 1974, as amended (SOLAS PROT 1988);
.4
the International Convention for the Prevention of Pollution from Ships, 1973,
as modified by the Protocol of 1978 relating thereto, as amended (MARPOL
73/78);
.5
the Protocol of 1997 to amend the International Convention for the Prevention
of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating
thereto, as amended (MARPOL PROT 1997);
.6
the International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, as amended (STCW 1978);
.7
the International Convention on Load Lines, 1966 (LL 66);
.8
the Protocol of 1988 relating to the International Convention on Load Lines,
1966 (LL PROT 1988);
.9
the International Convention on Tonnage Measurement of Ships, 1969 (TONNAGE
1969); and
.10
the Convention on the International Regulations for Preventing Collisions at
Sea, 1972, as amended (COLREG 1972), as well as all instruments made mandatory
through these conventions and protocols. Non-exhaustive lists of obligations
under the above mandatory instruments are found in annexes 1 to 4. A list of
the relevant instruments is given in annex 5 and a summary of amendments to
mandatory instruments reflected in the Code is given in annex 6.
Initial
actions
7
When a new or amended IMO mandatory instrument enters into force for a State,
the Government of that State must be in a position to implement and enforce its
provisions through appropriate national legislation and to provide the
necessary implementation and enforcement infrastructure. This means that the
Government of the State must have:
.1
the ability to promulgate laws which permit effective jurisdiction and control
in administrative, technical and social matters over ships flying its flag and,
in particular, provide the legal basis for general requirements for registries,
the inspection of ships, safety and pollution-prevention laws applying to such
ships and the making of associated regulations;
.2
a legal basis for the enforcement of its national laws and regulations
including the associated investigative and penal processes; and
.3
the availability of sufficient personnel with maritime expertise to assist in
the promulgation of the necessary national laws and to discharge all the
responsibilities of the State, including reporting as required by the
respective conventions.
8
A possible framework for national legislation to give effect to the provisions
of relevant IMO instruments can be found in "Guidelines for Maritime
Legislation", a United Nations publication1.
__________
1
ST/ESCAP/1076.
Communication
of information
9
The State should communicate its strategy, as referred to in paragraph 3,
including information on its national legislation to all concerned.
Records
10
Records, as appropriate, should be established and maintained to provide
evidence of conformity to requirements and of the effective operation of the
State. Records should remain legible, readily identifiable and retrievable. A
documented procedure should be established to define the controls needed for
the identification, storage, protection, retrieval, retention time and
disposition of records.
Improvement
11
States should continually improve the adequacy of the measures which are taken
to give effect to those conventions and protocols which they have accepted.
Improvement should be made through rigorous and effective application and
enforcement of national legislation, as appropriate, and monitoring of
compliance.
12
The State should stimulate a culture which provides opportunities to people for
improvement of performance in maritime safety and environmental protection
activities.
13
Further, the State should take action to identify and eliminate the cause of
any non-conformities in order to prevent recurrence, including:
.1
review and analysis of non-conformities;
.2
implementation of necessary corrective action; and
.3
review of the corrective action taken.
14
The State should determine action to eliminate the causes of potential
non-conformities in order to prevent their occurrence.
PART
2 - FLAG STATES
Implementation
15
In order to effectively discharge their responsibilities and obligations, flag
States should:
.1
implement policies through the issuance of national legislation and guidance
which will assist in the implementation and enforcement of the requirements of
all safety and pollution prevention conventions and protocols to which they are
party; and
.2
assign responsibilities within their Administration to update and revise any
relevant policies adopted, as necessary.
16
Flag States should establish resources and processes capable of administering a
safety and environmental protection programme which, as a minimum, should
consist of the following:
.1
administrative instructions to implement applicable international rules and
regulations as well as develop and disseminate any interpretative national
regulations that may be needed;
.2
resources to ensure compliance with the requirements of the mandatory IMO
instruments listed in paragraph 6 using an audit and inspection programme
independent of any administrative bodies issuing the required certificates and
relevant documentation and/or of any entity which has been delegated authority
by the flag States to issue the required certificates and relevant
documentation;
.3
resources to ensure compliance with the requirements of STCW 1978, as amended.
This includes resources to ensure, inter alia, that:
.3.1
training, assessment of competence and certification of seafarers are in
accordance with the provisions of the Convention;
.3.2
STCW certificates and endorsements accurately reflect the competencies of the
seafarers, using the appropriate STCW terminology as well as terms which are
identical to those used in any safe manning document issued to the ship;
.3.3
impartial investigation can be held of any reported failure, whether by act or
omission, that may pose a direct threat to safety of life or property at sea or
to the marine environment, by the holders of certificates or endorsements
issued by that Party;
.3.4
certificates or endorsements issued by the flag State can be effectively
withdrawn, suspended or cancelled when warranted, and when necessary to prevent
fraud; and
.3.5
administrative arrangements, including those involving training, assessment and
certification activities conducted under the purview of another State, are such
that the flag State accepts its responsibility for ensuring the competence of
masters, officers and other seafarers serving on ships entitled to fly its flag2;
.4
resources to ensure the conduct of investigations into casualties and adequate
and timely handling of cases of ships with identified deficiencies; and
.5
the development, documentation and provision of guidance concerning those
requirements that are to the satisfaction of the Administration, found in
relevant mandatory IMO instruments.
_______________
2
Regulations I/2, I/9, I/10 and I/11 of the 1978 STCW Convention, as amended.
17
Flag States should ensure that ships entitled to fly their flag are
sufficiently and efficiently manned, taking into account the Principles of Safe
Manning adopted by IMO.
Delegation
of authority
18
Flag States authorizing recognized organizations to act on their behalf in
conducting the surveys, inspections, the issue of certificates and documents,
the marking of ships and other statutory work required under the IMO
conventions must regulate such authorization in accordance with SOLAS
regulation XI-1/1 to:
.1
determine that the recognized organization has adequate resources in terms of
technical, managerial and research capabilities to accomplish the tasks being
assigned, in accordance with the "Minimum Standards for Recognized
Organizations Acting on Behalf of the Administration" set out in the
relevant IMO resolution3;
.2
have as its basis a formal written agreement between the Administration and the
recognized organization which, as a minimum, includes the elements set out in
the relevant IMO resolution4, or equivalent legal arrangements, and
which may be based on the model agreement for the authorization of recognized
organizations acting on behalf of the Administration5;
____________________
3
Appendix 1 of resolution A.739(18) on the Guidelines for the authorization of
organizations acting on behalf of the Administration, as amended by resolution
MSC.208(81).
4
Appendix 2 of resolution A.739(18) on the Guidelines for the authorization of
organizations acting on behalf of the Administration.
5
MSC/Circ.710-MEPC/Circ.307.
.3
issue specific instructions detailing actions to be followed in the event that
a ship is found unfit to proceed to sea without danger to the ship or persons
on board, or is found to present an unreasonable threat of harm to the marine
environment;
.4
provide the recognized organization with all appropriate instruments of
national law and interpretations thereof giving effect to the provisions of the
conventions or specify whether the Administration's standards go beyond
convention requirements in any respect; and
.5
require that the recognized organization must maintain records which will
provide the Administration with data to assist in interpretation of convention
regulations.
19
Flag States nominating surveyors for the purpose of carrying out surveys and
inspections on their behalf should regulate such nominations, as appropriate,
in accordance with the guidance provided in paragraph 18, in particular
subparagraphs .3 and .4.
20
The flag State should establish or participate in an oversight programme with
adequate resources for monitoring of, and communication with, its recognized
organizations in order to ensure that its international obligations are fully
met, by:
.1
exercising its authority to conduct supplementary surveys to ensure that ships
entitled to fly its flag in fact comply with mandatory IMO instruments;
.2
conducting supplementary surveys as it deems necessary to ensure that ships
entitled to fly its flag comply with national requirements which supplement the
IMO convention requirements; and
.3
providing staff who have a good knowledge of the rules and regulations of the
flag State and the recognized organizations and who are available to carry out
effective field oversight of the recognized organizations.
Enforcement
21
Flag States should take all necessary measures to secure observance of
international rules and standards by ships entitled to fly their flag and by
entities and persons under their jurisdiction so as to ensure compliance with
their international obligations. Such measures should, inter alia, include:
.1
prohibiting ships entitled to fly their flag from sailing until such ships can
proceed to sea in compliance with the requirements of international rules and
standards;
.2
the periodic inspection of ships entitled to fly their flag to verify that the
actual condition of the ship and its crew is in conformity with the
certificates it carries;
.3
the surveyor ensuring, during the periodic inspection referred to in
subparagraph .2, that seafarers assigned to the ships are familiar with:
.3.1
their specific duties; and
.3.2
ship arrangements, installations, equipments and procedures;
.4
ensuring that the ship's complement, as a whole, can effectively coordinate
their activities in an emergency situation and in performing functions vital to
safety or to the prevention or mitigation of pollution;
.5
providing, in national laws and regulations, for penalties of adequate severity
to discourage violation of international rules and standards by ships entitled
to fly their flag;
.6
instituting proceedings - after an investigation has been conducted - against
ships entitled to fly their flag which have violated international rules and
standards, irrespective of where the violation has occurred;
.7
providing, in national laws and regulations, for penalties of adequate severity
to discourage violations of international rules and standards by individuals
issued with certificates or endorsements under their authority; and
.8
instituting proceedings - after an investigation has been conducted - against
individuals holding certificates or endorsements who have violated
international rules and standards, irrespective of where the violation has
occurred.
22
A flag State should consider developing and implementing a control and
monitoring programme, as appropriate, in order to:
.1
provide for prompt and thorough casualty investigations, with reporting to IMO
as appropriate;
.2
provide for the collection of statistical data, so that trend analyses can be
conducted to identify problem areas; and
.3
provide for a timely response to deficiencies and alleged pollution incidents
reported by port or coastal States.
23
Furthermore, the flag State should:
.1
ensure compliance with applicable IMO instruments through national legislation;
.2
provide an appropriate number of qualified personnel to implement and enforce
the national legislation referred to in subparagraph 15.1, including personnel
for performing investigations and surveys;
.3
provide a sufficient number of qualified flag State personnel to investigate
incidents where ships entitled to fly its flag have been detained by port
States;
.4
provide a sufficient number of qualified flag State personnel to investigate
incidents where the validity of a certificate or endorsement or competence of
individuals holding certificates or endorsements issued under its authority are
questioned by port States; and
.5
ensure the training and oversight of the activities of flag State surveyors and
investigators.
24
When a State is informed that a ship entitled to fly its flag has been detained
by a port State, the flag State should oversee that appropriate corrective
measures to bring the ship in question into immediate compliance with the
applicable international conventions are taken.
25
A flag State, or a recognized organization acting on its behalf, should only
issue or endorse an international certificate to a ship after it has determined
that the ship meets all applicable requirements.
26
A flag State should only issue an international certificate of competency or
endorsement to a person after it has determined that the person meets all
applicable requirements.
Flag
State surveyors
27
The flag State should define and document the responsibilities, authority and
interrelation of all personnel who manage, perform and verify work relating to
and affecting safety and pollution prevention.
28
Personnel responsible for, or performing, surveys, inspections and audits on
ships and companies covered by the relevant IMO mandatory instruments should
have as a minimum the following:
.1
appropriate qualifications from a marine or nautical institution and relevant
seagoing experience as a certificated ship officer holding or having held a
valid STCW II/2 or III/2 certificate of competency and have maintained their technical
knowledge of ships and their operation since gaining their certificate of
competency; or
.2
a degree or equivalent from a tertiary institution within a relevant field of
engineering or science recognized by the State.
29
Personnel qualified under 28.1 should have served for a period of not less than
three years at sea as an officer in the deck or engine department.
30
Personnel qualified under 28.2 should have worked in a relevant capacity for at
least three