Revoked
by A.973(24)
Resolution
A. 847(20)
Adopted
on 27 November 1997
(Agenda
item 11)
GUIDELINES TO ASSIST FLAG STATES IN THE
IMPLEMENTATION OF IMO INSTRUMENTS
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 concerning maritime safety and the prevention and control of marine
pollution from ships,
RECALLING
FURTHER that, at its sixteenth session, it affirmed the contents of resolution
A.500(XII) and the assignment of the highest priority to promoting the
implementation of relevant international instruments for the improvement of
maritime safety and pollution prevention,
RECOGNIZING
that international law requires flag States to meet the responsibilities set
forth in generally accepted international regulations, procedures and practices
contained in IMO instruments and other mandatory instruments, and to take any
steps which may be necessary to secure their observance,
REAFFIRMING its desire that ships comply at all times with
maritime safety and pollution-prevention standards laid down in relevant IMO
instruments,
BEING AWARE of the difficulties some States have in giving
full and complete effect to the provisions of IMO instruments,
RECOGNIZING
the importance of the ratification and implementation by all flag States of
relevant instruments adopted by other international bodies,
DESIRING
to assist Member Governments to ensure achievement of the IMO objectives,
HAVING
ADOPTED resolution A.739(18) on Guidelines for the authorization of
Organizations acting on behalf of the Administration and resolution A.789(19)
on Specifications on the survey and certification functions of recognized Organizations
acting on behalf of the Administration,
NOTING
that, while States may realize certain benefits by becoming party to
instruments aiming at promoting maritime safety and the prevention of pollution
from ships, these desired benefits can only be obtained when all Parties
concerned fully carry out their obligations as required by the conventions,
NOTING
FURTHER that the ultimate effectiveness of any convention depends upon all
States:
.1 becoming party to the
instruments mentioned above;
.2 implementing them widely
and effectively;
.3 enforcing them
rigorously; and
.4 reporting to the
Organization, as required,
HAVING
CONSIDERED the recommendations made by the Maritime Safety Committee at its
sixty-eighth session and by the Marine Environment Protection Committee at its
fortieth session,
1.
ADOPTS the Guidelines to Assist Flag States in the Implementation of IMO
Instruments, set out in the annex to the present resolution;
2.
REQUESTS the Maritime Safety Committee and the Marine Environment Protection
Committee to conduct, with the direct participation of Governments concerned, a
comprehensive analysis of difficulties encountered by them in the
implementation of IMO instruments, with a view to identifying needs and
appropriate solutions;
3.
REQUESTS ALSO the above Committees to keep the Guidelines under continuous
review and to update them in the light of the results of the comprehensive
analysis referred to above;
4.
REVOKES resolution A.740(18).
Annex
GUIDELINES TO ASSIST FLAG STATES IN THE IMPLEMENTATION OF IMO INSTRUMENTS
1.1
These Guidelines are intended to provide flag States with a means to establish
and maintain measures for the effective application and enforcement of the
following IMO Conventions:*
____________________
*Reference is made to such
applicable amendments as may be in force at any time.
.1 the International
Convention for the Safety of Life at Sea (SOLAS), 1974;
.2 the International
Convention for the Prevention of Pollution from Ships, 1973, as modified by the
Protocol of 1978 relating thereto (MARPOL 73/78);
.3 the International
Convention on Load Lines (LL), 1966; and
.4 the International
Convention on Standards of Training, Certification and Watchkeeping for
Seafarers (STCW), 1978.
1.2
Under the provisions of the United Nations Convention on the Law of the Sea
(UNCLOS) and of the above 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.
1.3
Administrations should improve the adequacy of the measures which are taken to
give effect to those conventions and protocols which they have accepted and
ensure that they are effectively monitored. Improvement can be made through
rigorous and more effective application and enforcement of national
legislation. These Guidelines can help to achieve this improvement.
1.4
Some flag States have encountered difficulties in fully implementing IMO
instruments and in ensuring that prompt and timely surveys are conducted.
Reasons for these difficulties include finances, personnel and technical
expertise, delegation of authority, division of responsibilities and inadequate
supervision of bodies acting on behalf of the flag State.
1.5
Technical assistance for flag States experiencing difficulties in meeting their
international responsibilities or in complying with these Guidelines is
available through IMO.
2.1
When a convention enters into force for a State, the Government of that State
must be in a position to implement its provisions through appropriate national
legislation and to provide the necessary infrastructure. This means that a
Government must have a functioning legislative body to enact laws applicable to
ships flying its flag, and to provide for their subsequent enforcement. Consistent
with article 94 of UNCLOS and the relevant provisions of the IMO conventions
listed in 1.1, this capacity encompasses:
.1 the ability of the flag
State 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 vessels, safety and pollution-prevention laws applying to
such ships and the making of associated regulations;
.2 a legal basis for the
enforcement of the flag State's national laws, including the associated
investigative and penal processes; and
.3 the availability in the
flag State of sufficient personnel with maritime expertise to assist in the
promulgation of the necessary national laws and to discharge the
responsibilities of the flag State, including reporting as required by the
respective conventions.
2.2
A possible framework for national legislation implementing the SOLAS, MARPOL,
Load Line and STCW Conventions is given in the appendix.
3.1
In order to effectively discharge their responsibilities, flag States should:
.1 implement policies
through the issuance of national legislation and guidance which will assist in
the implementation and enforcement of the convention requirements;
.2 assign responsibilities
within the Administration to update and revise the policies as necessary;and
.3 formally adopt the above
within a long-term strategic planning document.
3.2
Flag States should seek to establish a support infrastructure capable of
administering a safety and environmental protection programme which, as a
minimum, should consist of the following:
.1 personnel with
appropriate technical expertise and background, qualified to guide, direct and
manage the programme, as well as providing the continuity in service. Flag
States should recruit and train suitable applicants, taking full advantage of
existing training and technical assistance offered by IMO;
.2 administrative instructions
to implement applicable international regulations as well as any interpretative
national regulations that may be needed;
.3 facilities and personnel
commensurate with the number, type and tonnage of ships flying their flag. In
determining the number and location of offices needed, flag States should
consider data collected from the oversight and control programmes below and the
amount of work delegated to recognized organizations. It should be noted that
evidence of non-compliance may indicate the need for greater focus on those
areas to ensure compliance and/or an increase in programme resources;
.4 resources to ensure
compliance with basic MARPOL, SOLAS and LL requirements using an audit and
inspection programme independent of the entities which have been delegated
authority by the flag State to issue the required international certificates
and documentation;
.5 resources to ensure
compliance with the requirements of the STCW Convention, as amended. This
includes resources to ensure, inter alia, that:
.5.1 training, assessment of
competence and certification of seafarers are in accordance with the provisions
of the Convention;
.5.2 STCW certificates and
endorsements accurately reflect the competencies of the seafarers serving on
board each ship flying its flag, using the appropriate STCW terminology as well
as terms which are identical to those used in the safe manning document issued
to the ship;
.5.3 impartial investigation
of any reported incompetency, 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, can be held;
.5.4 certificates or
endorsements issued by the flag State can be withdrawn, suspended or cancelled
when warranted, and when necessary to prevent fraud;
.5.5 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 flying its flag. In this regard,
particular reference is made to regulations 1/2, 1/9, 1/10 and 1/11 of the STCW
Convention as amended; and
.6 resources to ensure that
investigations into casualties are conducted and to ensure adequate and timely
handling of cases of deficient ships.
4.1
Many flag States authorize organizations to act on their behalf in conducting
the surveys and inspections required under the IMO conventions. Such delegation
of authority must be regulated in order to promote uniformity of inspections
and maintain established standards. Any delegation of authority to recognized
organizations should therefore follow the Guidelines for the authorization of
organizations acting on behalf of the Administration (resolution A.739(18))*
and the Specifications on the survey and certification functions of recognized
organizations acting on behalf of the Administration (resolution A.789(19))**
and, in particular, should:
_______________
* Resolution A.739(18) became
mandatory under SOLAS regulation XI/1 on 1 January 1996.
** Resolution A.789(19) is
scheduled to become mandatory under SOLAS regulation XI/1, as amended, on 1
July 1998.
.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 appendix 1 to resolution A.739(18);
.2 have as its basis a
formal written agreement between the Administration and the recognized
organizations which should as a minimum include the elements as set out in
appendix 2 to resolution A.739(18) or equivalent legal arrangements, and may be
based on the Model Agreement for the authorization of recognized organizations
acting on behalf of the Administration (MSC/Circ.710/MEPC/Circ.307);
.3 specify instructions
detailing actions to be followed in the event that a ship is found not fit 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 giving effect to
the provisions of the conventions or specify whether the Administration's
standards go beyond convention requirements in any respect; and
.5 specify that the
recognized organization must maintain records which will provide the
Administration with data to assist in interpretation of convention regulations.
4.2
To ensure that its international obligations are fully met when this type of
arrangement is adopted, the flag State should establish an oversight programme
with adequate resources for continuous monitoring of, and communication with,
its recognized organizations, by:
.1 retaining authority to
conduct supplementary surveys to ensure that ships flying its flag comply with
any national requirements which supplement the IMO conventions, e.g.,
occupational safety and health standards, manning levels, working hours and
language requirements to assure shipboard communications; and
.2 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.
5.1
To fulfil its international obligations it is essential for a flag State to
establish and maintain an effective control over ships flying its flag. The
need for this control is set out in article 94 of UNCLOS, and is implied in the
IMO conventions listed in 1.1.
5.2
Flag States should take all necessary measures to secure observance of international
rules and standards by ships flying their flag so as to ensure compliance with
their international obligations. Such measures should, inter alia, include:
.1 prohibiting ships flying
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 flying their flag to verify that the actual state of the ship and its
crew is in conformity with the certificates it carries;
.3 instituting proceedings
against ships flying their flag which have violated international rules and
standards, irrespective of where the violation has occurred; and
.4 providing in national
laws and regulations for penalties of adequate severity to discourage violation
of international rules and standards by ships flying their flag.
5.3
A control and monitoring programme should be an integral part of a flag State's
maritime safety Administration. Such programmes help in maintaining internal
quality standards, in evaluating the effectiveness of a flag State's actions in
complying with convention instruments, and in identifying areas in IMO
instruments which may need improvement. An effective programme should:
.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;
.3 provide for a timely
response to deficiencies and alleged pollution incidents reported by port or coastal
States;
.4 include a regular review
of:
.4.1 fleet loss and accident
ratios to identify trends over selected time periods;
.4.2 the number of verified
cases of substandard ships in relation to the size of the fleet;
.4.3 responses to port State
deficiency reports or interventions;
.4.4 investigations into
serious casualties and lessons learned therefrom; and
.4.5 financial, technical
and other resources committed.
5.4
The flag State should:
.1 ensure compliance with
UNCLOS and with applicable IMO instruments through national legislation;
.2 co-ordinate appropriate
action against ships flying its flag which are not in compliance with
applicable requirements;
.3 ensure that an
investigation is conducted in such cases;
.4 provide an appropriate
number of qualified personnel to implement and enforce the national legislation
referred to in 5.4.1, including personnel for performing investigations and
surveys; and
.5 ensure the training and
oversee the daily activities of flag State surveyors and investigators.
5.5
A sufficient number of qualified flag State personnel should be available to
investigate incidents where ships flying its flag have been detained by other
port States. The flag State should be prepared to oversee appropriate
corrective measures to bring the ship in question into immediate compliance
with the applicable international conventions as far as practicable and
whenever possible.
5.6
A flag State, or a recognized organization acting on its behalf, should only
issue an international certificate to a ship after it has determined that the
ship meets all applicable requirements.
6.1
Flag State surveyors should have the following professional qualifications,
wherever possible:
.1 a certificate issued
under the relevant provisions of the STCW Convention, as amended, designating
the holder as:
.1.1 master, qualified to
command a ship of 3,000 GT or more; or as
.1.2 chief engineer,
qualified to be in charge of machinery installed in a ship powered by main
propulsion machinery of 3,000 kW or more; or as
.1.3 meeting the provisions
of the Radio Regulations or holding an appropriate certificate related to the
GMDSS; or
.2 a university degree or
diploma as a naval architect, mechanical engineer, electrotechnical engineer, or
other type of engineer whose professional education relates to the maritime
industry; or
.3 not less than five years'
service as an officer on board a ship at sea, as a naval architect, or as an
engineer in the maritime field; or
.4 a relevant university
degree or diploma, augmented by completion of the following IMO model courses:
3.03 (Machinery), 3.04 (Electrical Installations), 3.05 (Fire Appliances and
Provisions), 3.06 (Life-Saving Appliances), 3.07 (Hull), and 3.08 (Navigation)
and relevant sea service of not less than six months.
6.2
While the above qualifications are highly desirable, it is recognized that some
countries may not have available a sufficient number of individuals so
qualified. Competent surveyors may originate from other backgrounds, but all
must be grounded in the same basic skills, taught in classrooms and
subsequently reinforced in the field under the guidance of qualified surveyors
approved by the flag State. The maritime Administration should develop and
oversee the curriculum taught and the follow-up training for every surveyor. In
addition to developing courses specializing in IMO conventions and in national
laws and regulations, the maritime Administration is responsible for developing
a policy to assist its field surveyors.
6.3
The flag State should ensure that individual surveyors have working knowledge
and practical experience in those subject areas pertaining to their normal
duties. Additionally, to assist individual surveyors in the conduct of duties
outside of their normal assignments, the flag State should ensure ready access
to expertise in the following areas, as necessary:
.1 all aspects of the IMO
conventions;
.2 all aspects of national
laws and regulations;
.3 hull fit-up and repair;
.4 welding and hot work safety;
.5 non-destructive testing;
.6 vessel construction,
subdivision, stability, watertight integrity;
.7 vessel electrical and
machinery systems;
.8 load line and tonnage
assignment;
.9 safety equipment systems,
plans, and equipment items;
.10 fire protection
construction methods;
.11 bridge navigation and
communications equipment;
.12 vessel cargo operations
and deck machinery;
.13 carriage of dangerous
chemicals in bulk and liquefied gases in bulk;
.14 oil pollution prevention
systems and procedures, including noxious liquid substances in bulk;
.15 safe methods of confined
space entry;
.16 safety management
systems; and
.17 evaluation of the
effects of the human element.
6.4
During the first six months of employment within the flag State Administration,
the surveyor should perform tasks under the supervision of an experienced
surveyor, in accordance with an approved practical training programme.
6.5
When a surveyor is to be employed for tasks other than those within his or her
field of expertise and experience, the surveyor should receive the necessary
training and guidance for the new tasks and should perform them for a period of
not less than one month, as appropriate, under the supervision of a surveyor
with experience in that field.
6.6
Before a surveyor is employed on tasks relating to special ship types he or she
should follow an appropriate training programme related to the particular ship
type.