7 Scope

  7.1.1 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 those 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.

  7.1.2 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).

  7.2.1 Recognizing the foregoing, including paragraph 4.1, the following IMO mandatory instruments should be covered by audits for the purpose of determining how the relevant obligations and responsibilities relating to maritime safety and protection of the environment are carried out by Member States, and with a view to further enhancing their performance:

• .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, 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).

  7.2.2 With regard to the STCW Convention, as amended, the audit should not seek to duplicate existing mandatory audit requirements contained in that convention. Only the aspects of that convention that are not covered by audits in accordance with the applicable provision of that convention should fall fully within the scope of the audit scheme, and there should be verification only of the parts of that convention that have been previously evaluated (see appendix 1 of this Framework).

  7.3.1 The scheme should cover those obligations and responsibilities contained in the applicable IMO mandatory instruments to the extent that such instruments have entered into force for the Member State and under which a Member State is required to act in its capacity as flag State, port State and/or coastal State.

  7.3.2 The obligations and responsibilities should be such that measures related to maritime safety and protection of the environment which are undertaken by the Member State can be audited, in accordance with the Code for the implementation of mandatory IMO instruments.

  7.4.1 The scheme would cover the Member State's implementation and enforcement of applicable IMO mandatory instruments in its legislation; an effective control and monitoring mechanism; effectiveness in promulgating IMO rules and regulations; enforcement action for the contravention of its laws and regulations; and other obligations and responsibilities under the applicable instruments.

  7.4.2 With due regard to the implementation and enforcement of mandatory IMO instruments, the administrative, legal and technical areas which should provide the minimum scope for an audit are:

• .1 jurisdiction;

• .2 organization and authority;

• .3 legislation, rules and regulations;

• .4 promulgation of IMO mandatory instruments, rules and regulations;

• .5 enforcement arrangements;

• .6 control, survey, inspection, audit, verification, approval and certification functions;

• .7 selection, recognition, authorization, empowerment and monitoring of recognized organizations, as appropriate, and of nominated surveyors;

• .8 investigations required to be reported to IMO; and

• .9 reporting to IMO, other Administrations, and organizations.

  7.4.3 In those instances where work to give effect to the Member State's responsibilities is divided between different organizations or offices, audits should address whether the respective tasks are clearly defined and should be conducted on a technical basis with the entity assigned those tasks.