A.973(24) Code for the Implementation of Mandatory IMO Instruments

Revoked by A.996(25)

 

Resolution A.973(24)

CODE FOR THE IMPLEMENTATION OF MANDATORY IMO INSTRUMENTS

(Adopted on 1 December 2005)

 

 

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 resolution A.847(20) entitled "Guidelines to assist flag States in the implementation of IMO instruments" intended to provide flag States with a means to establish and maintain measures for the effective application and enforcement of the relevant IMO instruments,

 

BEING AWARE of the request of the seventh session of the UN Commission on Sustainable Development (CSD 7) to develop measures 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 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 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 Parties to instruments aiming at promoting maritime safety, security and the prevention of pollution from ships, 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, upon all States:

 

(a) becoming Parties to all instruments related to maritime safety, security and pollution prevention and control;

 

(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, 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 eightieth session and by the Marine Environment Protection Committee, at its fifty-third session,

 

1. ADOPTS the Code for the Implementation of Mandatory IMO Instruments, set out in the Annex to the present resolution;

 

2. URGES Governments of flag States, port States 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 co-ordination with the Council, to propose amendments thereto to the Assembly;

 

4. REVOKES resolution A.847(20).

 

Annex.

CODE FOR THE IMPLEMENTATION OF MANDATORY IMO INSTRUMENTS

 

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 (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 publication.

____________________

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 the 1978 STCW Convention, 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 flag*;

______________

* Regulations I/2, I/9, I/10 and I/11 of the 1978 STCW Convention, as amended.

 

.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.

 

17. Flag States shall 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 resolution;

 

.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 resolution∗∗, or equivalent legal arrangements, and which may be based on the model agreement for the authorization of recognized organizations acting on behalf of the Administration∗∗∗;

_________________________________________

Appendix 1 of resolution A.739(18) "Guidelines for the authorization of organizations acting on behalf of the Administration".

 

∗∗ Appendix 2 of resolution A.739(18) "Guidelines for the authorization of organizations acting on behalf of the Administration".

 

∗∗∗ (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 co-ordinate 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

 


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