#1INTERNATIONAL MARITIME ORGANIZATION IMO MEMBER STATE AUDIT SCHEME Capt. Dave N Muli Regional Coordinator IMO Regional Presence Office, Eastern and Southern Africa Sub Division for Maritime Development, Technical Cooperation Division SURVEY MODIAN IMO INTERNATIONAL MARITIME ORGANIZATION#2Scope Of Presentations From VIMSAS to IMSAS 1. Background and Developments 2. Procedures, Scope of IMO instruments 3. Preparations and review of pre audit questionnaire 4. Road Map and action plans for the preparation Audit 5. Audit process and member states Corrective Action and follow up 6. Audit Analysis under VIMSAS 7. Progress report in the implementation of IMSAS C122/6 IMO INTERNATIONAL MARITIME ORGANIZATION#3Background Procedure and Scope Who are the actors in ensuring compliance with international maritime standards? IMO has no enforcement and compliance monitoring powers. New approaches and new tools for performance measurement SELF-ASSESSMENT OF FLAG STATE PERFORMANCE RESOLUTION A.912(22Assembly Resolution A.847(20) - Guidelines on Implementation of Mandatory instruments to make it a Flag State Code - Assembly Resolution A.946(23) – the Voluntary IMO Member State Audit Scheme (VIMSAS) • ■ Assembly Resolution A.973(24) - Code for the implementation of mandatory IMO instruments; (the Audit Standard) Assembly Resolution A.974(24) - Framework and Procedures for the Voluntary IMO Member State Audit Scheme www#4Audit Scope and Non Exhaustive list SOLAS 1974 SOLAS PROTOCOL 1988 MARPOL 73/78 MARPOL PROTOCOL 1997 STCW 1978 LOAD LINES 1966 (LL66) LL 66 PROT 1988 TONNAGE 1969 COLREG 1972 I IMO INTERNATIONAL MARITIME ORGANIZATION#5Benefits of the Audit Scheme ☐ Mandatory audits under the Scheme commenced in 2016 The process is inclusive of all, therefore all States will benefit from the Scheme The diversity of State structures, ability and specific maritime interests will inform the regulatory framework for the future The administrative and organizational aspects of the Scheme will not rely exclusively on the decision of individual Member State; but become a collective pool of resources ■ The concept of a management system is introduced globally in the implementation and enforcement of State obligations and responsibilities relating to maritime transport IMO INTERNATIONAL MARITIME ORGANIZATION#62. EVOLUTION OF IMO AUDIT SCHEME - Audit standard VIMSAS IMSAS Transitional IMSAS arrangements 2006 - 2013 Code on the implementation of IMO instruments Framework and Procedures - res. A.974(24) Resolution A.1070(28) Dec 2013-2015 IMO Instruments Implementation (III) Code Framework and Procedures - res. A.1067(28) Resolution 2016-... IMO Instruments Implementation (III) Code Framework and Procedures - res. A.1067(28) Technical Cooperation Division 6 IMO INTERNATIONAL MARITIME ORGANIZATION#75. Pre-Audit Questionnaire (PAQ) - General Are you a member of the IHO? Are you a member, or associate member, of an IHO Regional Hydrographic Commission? Do you have a Hydrographic Office? If not, is there another governmental, or nongovernmental, agency with responsibility for hydrographic matters? Is the responsibility for providing hydrographic services officially assigned by your government, by decree or any other legal text, to an organization within your country? Do you require Capacity-Building Support to help develop your hydrographic services? If the answer to this question is yes, please indicate in which of the following areas support is required: Hydrographic Surveys, Production of paper and/or electronic charts, Promulgation of MSI, Training. If you provide hydrographic services, are those related to safety of navigation accredited with quality assurance certification (e.g. ISO 9001)? If yes, what does the certification apply to (surveys, charting, broadcasting nautical information)? TDC 7 IMO INTERNATIONAL MARITIME ORGANIZATION#8Pre Audit Questionnaire (PAQ) - B1 The percentage of national waters, 0-200 m in depth, which requires resurveying at a larger scale or to modern standards: B2 The percentage of national waters, greater than 200 m in depth, which requires resurveying at a larger scale or to modern standards: C1 The percentage of national waters, 0-200 m in depth, which has never been systematically surveyed: C2 The percentage of national waters, greater than 200m in depth, which has never been systematically surveyed: Nautical Charting Do you produce nautical paper charts, RNCs, ENCs, and nautical publications as defined in paragraph 2 of SOLAS regulation V/2? If the answer to a. is yes, do you maintain these by issuing NtM/ER? Do you have bilateral agreements with other countries for the production of nautical charts? If yes, please give details. Are the charts you produce available to worldwide shipping? Do you have an agreement with a Regional ENC Coordinating Centre (RENC) for the distribution of ENCs and RNCs? If yes, please give details. Please complete the following information relating to the status of nautical charting as reported in IHO Publication S-55 "Status of Hydrographic Surveying and Nautical Charting Worldwide" - 3rd Edition. Comments should be added wherever appropriate: TDC 8 IMO INTERNATIONAL MARITIME ORGANIZATION#9Pre Audit Questionnaire (PAQ) - SOLAS regulations V/4 and V/9 Hydrographic Surveys Do you conduct hydrographic surveys? If yes, do you comply with the IHO Standards for Hydrographic Surveys (S-44)? Do you conduct hydrographic surveys in cooperation with other countries, through bilateral agreements or otherwise? If yes, please provide details. Do you contract out hydrographic surveys to commercial companies? If yes, do these surveys comply with S-44? Please complete the following information relating to the status of hydrographic surveys as reported in IHO Publication S-55 "Status of Hydrographic Surveying and Nautical Charting Worldwide" - 3rd Edition. Comments should be added wherever appropriate: A1 The percentage of national waters, 0-200 m in depth, which is adequately surveyed: A2 The percentage of national waters, greater than 200 m in depth, which is adequately surveyed: TDC 9 IMO INTERNATIONAL MARITIME ORGANIZATION#10Pre Audit Questions TDC SOLAS regulations V/4 and V/9 Hydrographic Surveys Do you conduct hydrographic surveys? If yes, do you comply with the IHO Standards for Hydrographic Surveys (S-44)? Do you conduct hydrographic surveys in cooperation with other countries, through bilateral agreements or otherwise? If yes, please provide details. Do you contract out hydrographic surveys to commercial companies? If yes, do these surveys comply with S-44? Please complete the following information relating to the status of hydrographic surveys as reported in IHO Publication S-55 "Status of Hydrographic Surveying and Nautical Charting Worldwide" - 3rd Edition. Comments should be added wherever appropriate: A1 The percentage of national waters, 0-200 m in depth, which is adequately surveyed: A2 The percentage of national waters, greater than 200 m in depth, which is adequately surveyed: 10 IMO INTERNATIONAL MARITIME ORGANIZATION#11Pre Audit Questionnaire (PAQ) - Offshore passage and small-scale charts: The percentage of national waters covered by INT* Charts: The percentage of national waters covered by RNCst: The percentage of National waters covered by ENCs: [ 100 ] %. Landfall, coastal passage and medium-scale charts: The percentage of national waters covered by INT Charts: The percentage of national waters covered by RNCs: The percentage of National waters covered by ENCs: Approaches, ports and large-scale charts: The percentage of ports covered by INT Charts: The percentage of ports covered by RNCS: The percentage of ports covered by ENCS: TDC 11 IMO INTERNATIONAL MARITIME ORGANIZATION#12Pre Audit Questionnaire (PAQ) - * INT = international Charts or national equivalent meeting the standards set out in IHO publication "Regulations of the IHO for International (INT) Charts and Chart Specifications of the IHO " (M-4). + RNC = Raster Navigational Chart meeting the standards set out in IHO Publication "Product Specification for Raster Navigational Charts (RNCs)" (S- 61). # ENC = Electronic Navigational Charts meeting the standards set out in IHO Publication "IHO Transfer Standards for Digital Data" (S-S7). Maritime Safety Information Are you a NAVAREA Coordinator? If so, for which area? Are you a Sub-Area Coordinator? If so, for which sub-area? Are you a National Coordinator? If not, who is your National Coordinator? Please complete the following information relating to the promulgation of MSI as reported in IHO Publication S-55 "Status of Hydrographic Surveying and Nautical Charting Worldwide" - 3rd Edition. Answers may be Yes, No or Partial and comments should be added wherever appropriate: Navigational Warnings: Do you issue local warnings? Do you issue coastal warnings? Do you issue port information? Do you issue NAVAREA warnings? TDC 12 IMO INTERNATIONAL MARITIME ORGANIZATION#13Implementantion www Par III Code Requirement 46.1 46.2 47 Policies implemented through issuance of national legislation and guidance Responsibilities assigned to update and revise any relevant policies adopted Legislation, guidance and procedures established for the consistent implementation and verification of the rights, obligations and responsibilities of the State contained in the relevant international instruments to which it is a party, in general; Radio communication Services Meteorological services Search and Rescue 48.1 48.2 48.3 48.4 Hydrographic Services 48.5 Ship Routeing 48.6 Ship reporting systems 48.7 Vessel Traffic Services 48.8 Aids to Navigation Compliance Achieved#14Enforcement Par III Code 49 50 50.1 50.2 50.3 Requirement All necessary measures taken to ensure observance of international rules when exercising the rights and fulfilling the obligations as a coastal State Control and monitoring programme considered, developed and implemented Statistical data collected and trend analyses conducted Mechanisms for timely response to pollution incidents established Cooperation with flag States and/or port States. in investigation of maritime casualties. IMO INTERNATIONAL MARITIME ORGANIZATION Compliance Achieved#15Evaluation and Review Par III Code Requirement 51 IMO LES Performance periodically evaluated in respect of exercising its rights and meeting its obligations under the applicable international instruments INTERNATIONAL MARITIME ORGANIZATION Compliance Achieved#16Number of findings under part 3 of the Code - Coastal States Number of findings 18 16 14 12 10 8 2 00 LD < NO MARITIME SAFETY DIVISION 18 PART 3 COASTAL STATES 15 13 Implementation Enforcement Evaluation and 16 Review IMO INTERNATIONAL MARITIME ORGANIZATION#17Analysis of audit results by parts of the Code Strategy Initial Actions (Legislation) Communication of Inf. Records Improvement Implementation Communication of Inf. Delegation of Authority Enforcement 33 39 19 5 20 Flag State Surveyors Flag State Investigations 25 9 Evaluation and Review Implementation 18 Enforcement Evaluation and Review Implementation 15 13 17 25 Enforcement Evaluation and Review MARITIME SAFETY DIVISION 9 0 10 20 30 40 41 49 50 Number of findings 17 669 62 Common Areas 88 63 Flag States Coastal States Port States 60 70 80 90 IMO INTERNATIONAL MARITIME ORGANIZATION#18Non-conformities by mandatory IMO instruments ■ SOLAS 1974, 189 ref. 45% MARPOL, 135 ref. 32% ■ COLREG 1972, 5 ref. 1% LL 66, 32 ref. 8% STCW 1978, 40 ref. 10% MARITIME SAFETY DIVISION TONNAGE 1969, 15 ref. 3% 18 IMO INTERNATIONAL MARITIME ORGANIZATION#19Analysis of root causes 19 Insufficent resources Absence /lack of procedure/process/... Absence of a dedicated unit Lack of co-ordination among various entities MARITIME SAFETY DIVISION Prolonged legislation process Responsibilities of entity / person not assigned Absence / lack of national provisions Absence / lack of training programme other ་་ག Root Causes 139 IMO INTERNATIONAL MARITIME ORGANIZATION#20Supporting reference document Resolution A.1121(30) - 2017 Non-exhaustive list of obligations under instruments relevant to the IMO Instruments Implementation (III) Code (to be kept under 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: Annex 6: Annex 7: INSTRUMENTS MADE MANDATORY UNDER IMO CONVENTIONS SUMMARY OF AMENDMENTS TO MANDATORY INSTRUMENTS REFLECTED IN THE NON-EXHAUSTIVE LIST OF OBLIGATIONS (ANNEXES 1 TO 4) AMENDMENTS TO IMO INSTRUMENTS EXPECTED TO BE ACCEPTED AND TO ENTER INTO FORCE BETWEEN 1 JANUARY 2018 AND 1 JULY 2018 Technical Cooperation Division 20 IMO INTERNATIONAL MARITIME ORGANIZATION#2121 21 THE NATIONAL DIALOGUE - NEW NORM FOR PARTICIPATING STATE ENTITIES IN FULFILLING THE OBLIGATIONS OF A STATE OVERALL STRATEGY (IMSAS) MINISTRY OF TRANSPORT POLICY/IMO TRANSPORT POLLUTION PREVENTION MINISTRY OF ENVIRONMENT AND CONTROL MARITIME ADMINISTRATION Technical Cooperation Division MINISTRY OF DEFENCE MINISTRY OF JUSTICE LAWS & ENFORCEMENT RESCUE HYDROGRAPHY IMO INTERNATIONAL MARITIME ORGANIZATION#22IMO Question and Answers INTERNATIONAL MARITIME ORGANIZATION www.imo.org 耳期