III Code. TRACECA Maritime Safety and Security IMSAS workshop Kiev (Ukraine) III Code. Dr. Jens U. Schröder-Hinrichs

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1 III Code III Code III Code TRACECA Maritime Safety and Security IMSAS workshop Kiev (Ukraine) Dr. Jens U. Schröder-Hinrichs

2 IMSAS workshop Kiev Agenda Introduction Background to IMSAS III Code: Common areas III Code: Flag State obligations III Code: Coastal State obligations III Code: Port State obligations Framework for the audit Audit preparation and follow-up Summary and conclusions 2

3 3. Common areas 3

4 What are coastal State obligations? 4

5 Example Explorer The Explorer collided with an iceberg in November 2007 during a cruise in Antarctic waters All 91 passengers and 54 crew members were rescued SAR operations were coordinated by the Chilean Navy Center for Search and Rescue 5

6 III Code, Annex, Part III, Para What are the requirements? Implementation Coastal States have certain rights and obligations under various mandatory IMO instruments. When exercising their rights under the instruments coastal States incur additional obligations. In order to effectively meet their obligations, coastal States should: implement policies and guidance which will assist in the implementation and enforcement of their obligations; and assign responsibilities within their Administration to update and revise any relevant policies adopted, as necessary. 6

7 III Code, Annex, Part III, Para What are the requirements? Enforcement Coastal States should take all necessary measures to ensure their observance of international rules when exercising their rights and fulfilling their obligations. A coastal State should consider developing and implementing a control and monitoring programme, as appropriate, in order to: provide for the allocation of statistical data so that trend analyses can be conducted to identify problem areas; provide for timely response to pollution incidents in its waters; and co-operate with flag States and/or port States, as appropriate, in investigations of maritime casualties. 7

8 III Code, Annex, Part III, Para. 51 What are the requirements? Evaluation and Review Coastal States should periodically evaluate their performance in respect of exercising their rights and meeting their obligations under mandatory IMO instruments. 8

9 General principle What need to be done? 1. Legislation/guidance 2. Policies 3. Responsible party 4. Resources 5. Implementation 9

10 III Code, Annex, Part III, Para. 48 What are the obligations? Radiocommunication services Meteorological services and warnings Search and rescue services Hydrographic services Ships' routeing Ship reporting systems Vessel traffic services Aids to Navigation 10

11 Res. A.1077(28) 2013 Non-exhaustive list of obligations, Annex 3 Obligations of Contracting Governments/Parties (I) SOLAS Reg IV/5 Provision of radiocommunication services and communication of information on such provision Reg IV/5-1 Global maritime distress and safety system identities ensuring suitable arrangements Reg. V/5 - Meteorological services and warnings Reg. V/6 - Ice Patrol Service Reg. V/10 - Ships routeing Reg. V/11 - Ship reporting systems 11

12 Res. A.1077(28) 2013 Non-exhaustive list of obligations, Annex 3 Obligations of Contracting Governments/Parties (II) SOLAS Reg. V/12 - Vessel traffic services Reg. V/13 - Establishment and operation of aids to navigation Reg. V/ Danger messages bring to the knowledge of those concerned and communicate to other interested Governments Reg. V/ Distress situations: obligations and procedures co-ordination and co-operation Reg. VI/1.2 - Appropriate information on safe carriage of cargoes Reg. VII/2.4 - Issue of instructions on emergency response, etc. Reg. VII/7-1 - Issue of instructions on emergency response, etc. 12

13 Res. A.1077(28) 2013 Non-exhaustive list of obligations, Annex 3 Specific Coastal State Obligations (I) SOLAS Reg. V/4 - Navigation warnings Reg. V/7.1 - Search and rescue services necessary arrangements Reg. V/7.2 - Search and rescue services information to IMO Reg. V/8 - Life-saving signals Reg. V/9 - Hydrographic services Reg. VII/6.1 and Reporting of incidents involving dangerous goods 13

14 Res. A.1077(28) 2013 Non-exhaustive list of obligations, Annex 3 Specific Coastal State Obligations (II) MARPOL Annex I Reg Exceptions discharge of substances containing oil for the purpose of combating pollution incidents Annex II Reg Exceptions approval of discharge of NLS for the purpose of combating pollution incidents Reg Control of discharges of residues of NLS agreement and communication to IMO 14

15 What does this mean? Aids to Navigation (AtoN) Please describe your process for justifying the provision of AtoN relative to the volume of traffic and degree of risk. Please describe how your organization achieves uniformity in AtoN in accordance with IALA recommendations and guidelines. Please describe the process used to promulgate information about, and changes to, AtoN. 15

16 What does this mean? Vessel Traffic Services (VTS) Although there is no VTS system formally adopted by IMO, VTS should be in conformity with IMO regulations. It is suggested the following information be provided regarding the obligation stemming from SOLAS regulation V/12: Please describe your process for justifying the provision of VTS relative to the volume of traffic or degree of risk. Please describe your arrangements for compliance with resolution A.857(20), Guidelines for VTS. Annex 1 Guidelines and criteria for VTS Annex 2 Guidelines on Recruitment, Qualifications and Training for VTS Operator 16

17 What does this mean? Enforcement related to VTS/AtoN Are there penalties for violations of/damaged caused to VTS/AtoN? How often are they applied? How do you deal with foreign ships in this repect? Evaluation and Review Please describe the measures taken to evaluate effectiveness of AtoN and VTS (e.g., vessel tracking analysis, incident analysis, service availability, AtoN planning and inspection). 17

18 What does this mean? IMO Document MSC 81/24/4: Hydrographic surveys 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 non- Governmental, 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)? 18

19 What does this mean? IMO Document MSC 81/24/4: Hydrographic surveys (SOLAS Reg. V/4 and V/9) 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? 19

20 What does this mean? IMO Document MSC 81/24/4: Hydrographic surveys (SOLAS Reg. V/4 and V/9) 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 200m in depth, which is adequately surveyed: %. A2 The percentage of national waters, greater than 200m in depth, which is adequately surveyed: %. 20

21 What does this mean? IMO Document MSC 81/24/4: Hydrographic surveys (SOLAS Reg. V/4 and V/9) 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 200m in depth, which is adequately surveyed: %. A2 The percentage of national waters, greater than 200m in depth, which is adequately surveyed: %. Similar questions for B1, B2, C1 and C2. 21

22 What does this mean? IMO Document MSC 81/24/4: Nautical Charts Do you produce nautical paper charts, RNC s, ENCs, and nautical publications as defined in paragraph 2 of SOLAS regulation V/2? If the answer is Yes do you maintain these by issuing NtM/ER? Do you have bi-lateral 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 Co-ordinating Centre (RENC) for the distribution of ENCs and RNCs? If yes please give details. 22

23 What does this mean? IMO Document MSC 81/24/4: Nautical Charts 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: Offshore passage and small 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: %. Similar questions for - Landfall, coastal passage and medium-scale charts and Approaches, ports and large scale charts 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-57). 23

24 What does this mean? IMO Document MSC 81/24/4: Maritime Safety Information Are you a NAVAREA Co-ordinator? If so for which area? Are you a Sub-Area Co-ordinator? If so for which sub-area? Are you a National Co-ordinator? If not who is your National Co-ordinator? 24

25 What does this mean? IMO Document MSC 81/24/4: Maritime Safety Information 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: A Navigational Warnings:» Do you issue local warnings? Do you issue coastal warnings? Do you issue port information? Do you issue NAVAREA warnings? B GMDSS Implementation (IMO GMDSS Handbook):» Master Plan? A1 Area? A2 Area? A3 Area? NAVTEX? SafetyNET? 25

26 What does this mean? Obligations under MARPOL Oil pollution response unit SOLAS VII reporting (ship/shore) of incidents involving dangerous goods (reporting guidelines A.851(20)) MARPOL Annex I/4.3 and II/3.1.3 exceptions for combating pollution incidents (discharge of substances containing oil for oil spill combating have to be approved by the member State) MARPOL Annex II/ control of discharge of residues of NLS agreement and communication to IMO (if the member State exempts a ship) 26

27 Any questions? Q & A Questions & Answers 27