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
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.
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.
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).
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.
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.
9.
The State should communicate its strategy, as referred to in paragraph 3,
including information on its national legislation to all concerned.
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.
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.
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.
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.
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