Part 2 – Flag
States
15 In order to effectively discharge their responsibilities
and obligations, flag States should:
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.1 implement policies through issuing 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 parties; and
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.2 assign responsibilities within their Administrations
to update and revise any relevant policies adopted, as necessary.
16 A flag State should establish resources and
processes capable of administering a safety and environmental protection
programme, which, as a minimum, should consist of the following:
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.1 administrative instructions to implement applicable
international rules and regulations as well as developing and disseminating
any interpretative national regulations that may be needed including
certificates issued by a classification society, which is recognized
by the flag State in accordance with the provisions of SOLAS regulation XI-1/1, and which certificate
is required by the flag State to demonstrate compliance with structural,
mechanical, electrical, and/or other requirements of an international
convention to which the flag State is a party or compliance with a
requirement of the flag State's national regulations;
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.2 compliance with the requirements of the applicable
international instruments, 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 State to issue the required certificates and relevant
documentation;
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.3 compliance with the requirements related to
international standards of training, certification and watchkeeping
of seafarers. This includes, inter alia:
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.1 training, assessment of competence and certification
of seafarers;
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.2 certificates and endorsements that accurately
reflect the competencies of the seafarers, using the appropriate terminology
as well as terms that are identical to those used in any safe manning
document issued to the ship;
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.3 impartial investigation to 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 the State;
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.4 arrangements for the withdrawal, suspension
or cancellation of certificates or endorsements issued by the State
when warranted and when necessary to prevent fraud; and
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.5 administrative arrangements, including those
involving training, assessment and certification activities conducted
under the purview of another State, which 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;
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.4 the conduct of investigations into casualties
and adequate and timely handling of cases involving ships with identified
deficiencies; and
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.5 the development, documentation and provision
of guidance concerning those requirements found in the relevant international
instruments that are to the satisfaction of the Administration.
17 A flag State should ensure that ships entitled
to fly its flag are sufficiently and efficiently manned, taking into
account relevant and existing measures such as the Principles of Safe
Manning adopted by the Organization.
18 With regard only to ships entitled to fly its
flag a flag State authorizing a recognized organization to act on
its behalf, in conducting the surveys, inspections and audits, issuing
of certificates and documents, marking of ships and other statutory
work required under the conventions of the Organization or under its
national legislation, should regulate such authorization(s) in accordance
with the applicable requirements of the international mandatory instruments
to:
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.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 required standards for recognized organizations acting on
behalf of the Administration set out in the relevant instruments of
the Organizationfootnote;
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.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 instruments
of the Organizationfootnote, or equivalent
legal arrangements, and which may be based on the model agreement
for the authorization of recognized organizations acting on behalf
of the Administrationfootnote;
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.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;
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.4 provide the recognized organization with all
appropriate instruments of national law and interpretations thereof
giving effect to the provisions of the conventions and specify, only
for application to ships entitled to fly its flag, whether any additional
standards of the Administration go beyond convention requirements
in any respect; and
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.5 require that the recognized organization maintain
records, which will provide the Administration with data to assist
in interpretation of requirements contained in the applicable international
instruments.
19 No flag State should mandate its recognized
organizations to apply to ships, other than those entitled to fly
its flag, any requirement pertaining to their classification rules,
requirements, procedures or performance of other statutory certification
processes, beyond convention requirements and the mandatory instruments
of the Organization.
20 The flag State should establish or participate
in an oversight programme with adequate resources for monitoring of,
and communication with, its recognized organization(s) in order to
ensure that its international obligations are fully met, by:
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.1 exercising its authority to conduct supplementary
surveys to ensure that ships entitled to fly its flag effectively
comply with the requirements of the applicable international instruments;
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.2 conducting supplementary surveys as it deems
necessary to ensure that ships entitled to fly its flag comply with
national requirements, which supplement the international mandatory
requirements; and
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.3 providing staff who have a good knowledge of
the rules and regulations of the flag State and those of the recognized
organizations and who are available to carry out effective oversight
of the recognized organizations.
21 A flag State nominating surveyor(s) for the
purpose of carrying out surveys, audits and inspections on its behalf
should regulate such nominations, as appropriate, in accordance with
the guidance provided in paragraph 18, in particular subparagraphs
.3 and .4.
22 A flag State should take all necessary measures
to secure observance of international rules and standards by ships
entitled to fly its flag and by entities and persons under its jurisdiction
so as to ensure compliance with its international obligations. Such
measures should include, inter alia:
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.1 prohibiting ships entitled to fly its flag
from sailing until such ships can proceed to sea in compliance with
the requirements of international rules and standards;
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.2 the periodic inspection of ships entitled to
fly its flag to verify that the actual condition of the ship and its
crew is in conformity with the certificates it carries;
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.3 the surveyor to ensure, during the periodic
inspection referred to in subparagraph .2, that seafarers assigned
to the ships are familiar with:
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.1 their specific duties; and
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.2 ship arrangements, installations, equipment
and procedures;
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.4 ensuring that the ship's complement, as a whole,
can effectively coordinate activities in an emergency situation and
in the performance of functions vital to safety or to the prevention
or mitigation of pollution;
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.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 its flag;
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.6 instituting proceedings, after an investigation
has been conducted, against ships entitled to fly its flag, which
have violated international rules and standards, irrespective of where
the violation has occurred;
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.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 its authority; and
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.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.
23 A flag State should develop and implement a
control and monitoring programme, as appropriate, in order to:
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.1 provide for prompt and thorough casualty investigations,
with reporting to the Organization as appropriate;
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.2 provide for the collection of statistical data,
so that trend analyses can be conducted to identify problem areas;
and
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.3 provide for a timely response to deficiencies
and alleged pollution incidents reported by port or coastal States.
24 Furthermore, the flag State should:
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.1 ensure compliance with the applicable international
instruments through national legislation;
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.2 provide an appropriate number of qualified
personnel to implement and enforce the national legislation referred
to in subparagraph 15.1, including personnel for performing investigations
and surveys;
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.3 provide a sufficient number of qualified flag
State personnel to investigate incidents where ships entitled to fly
its flag have been detained by port States;
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.4 provide a sufficient number of qualified flag
State personnel to investigate incidents where the validity of a certificate
or endorsement or of the competence of individuals holding certificates
or endorsements issued under its authority are questioned by port
States; and
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.5 ensure the training and oversight of the activities
of flag State surveyors and investigators.
25 When a flag State is informed that a ship entitled
to fly its flag has been detained by a port State, the flag State
should oversee that appropriate corrective measures are taken to bring
the ship in question into immediate compliance with the applicable
international instruments.
26 A flag State, or a recognized organization
acting on its behalf, should only issue or endorse an international
certificate to a ship after it has determined that the ship meets
all applicable requirements.
27 A flag State should only issue an international
certificate of competency or endorsement to a person after it has
determined that the person meets all applicable requirements.
28 The flag State should define and document the
responsibilities, authority and interrelation of all personnel who
manage, perform and verify work relating to and affecting safety and
pollution prevention.
29 Personnel responsible for, or performing surveys,
inspections and audits on ships and companies covered by the relevant
international mandatory instruments should have as a minimum the following:
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.1 appropriate qualifications from a marine or
nautical institution and relevant seagoing experience as a certificated
ship's officer holding or having held a valid management level certificate
of competency and having maintained their technical knowledge of ships
and their operation since gaining their certificate of competency;
or
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.2 a degree or equivalent from a tertiary institution
within a relevant field of engineering or science recognized by the
flag State; or
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.3 accreditation as a surveyor through a formalized
training programme that leads to the same standard of surveyor's experience
and competency as that required in paragraphs 29.1, 29.2 and 32.
30 Personnel qualified under paragraph 29.1 should
have served for a period of not less than three years at sea as an
officer in the deck or engine department.
31 Personnel qualified under paragraph 29.2 should
have worked in a relevant capacity for at least three years.
32 In addition, such personnel should have appropriate
practical and theoretical knowledge of ships, their operation and
the provisions of the relevant national and international instruments
necessary to perform their duties as flag State surveyors obtained
through documented training programmes.
33 Other personnel assisting in the performance
of such work should have education, training and supervision commensurate
with the tasks they are authorized to perform.
34 Previous relevant experience in the field of
expertise is recommended to be considered an advantage; in case of
no previous experience, the Administration should provide appropriate
field training.
35 The flag State should implement a documented
system for qualification of personnel and continuous updating of their
knowledge as appropriate to the tasks they are authorized to undertake.
36 Depending on the function(s) to be performed,
the qualifications should encompass:
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.1 knowledge of applicable, international and
national, rules and regulations for ships, their companies, their
crew, their cargo and their operation;
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.2 knowledge of the procedures to be applied in
survey, certification, control, investigative and oversight functions;
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.3 understanding of the goals and objectives of
the international and national instruments dealing with maritime safety
and protection of the marine environment, and of related programmes;
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.4 understanding of the processes both on board
and ashore, internal as well as external;
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.5 possession of professional competency necessary
to perform the given tasks effectively and efficiently;
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.6 full safety awareness in all circumstances,
also for one's own safety; and
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.7 training or experience in the various tasks
to be performed and preferably also in the functions to be assessed.
37 The flag State should issue an identification
document for the surveyor to carry when performing his/her tasks.
Flag State investigations
38 Marine safety investigations should be conducted
by impartial and objective investigators, who are suitably qualified
and knowledgeable in matters relating to the casualty. Subject to
any agreement on which State or States will be the marine safety investigating
State(s), the flag State should provide qualified investigators for
this purpose, irrespective of the location of the casualty or incident.
39 The flag State is recommended to ensure that
individual investigators have working knowledge and practical experience
in those subject areas pertaining to their normal duties. Additionally,
in order to assist individual investigators in performing duties outside
their normal assignments, the flag State is recommended to ensure
ready access to expertise in the following areas, as necessary:
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.1 navigation and the Collision Regulations;
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.2 flag State regulations on certificates of competency;
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.3 causes of marine pollution;
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.4 interviewing techniques;
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.5 evidence gathering; and
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.6 evaluation of the effects of the human element.
40 It is recommended that any accident involving
personal injury necessitating absence from duty of three days or more
and any deaths resulting from occupational accidents and casualties
to ships of the flag State should be investigated, and the results
of such investigations made public.
41 Ship casualties should be investigated and
reported in accordance with the relevant international instruments,
taking into account the Casualty Investigation Code, as may be amended,
and guidelines developed by the Organizationfootnote. The report on the investigation should
be forwarded to the Organization together with the flag State's observations,
in accordance with the guidelines referred to above.
42 A flag State should, on a periodic basis, evaluate
its performance with respect to the implementation of administrative
processes, procedures and resources necessary to meet its obligations
as required by the international instruments to which it is a party.
43 Measures to evaluate the performance of flag
States should include, inter alia, port State control detention rates,
flag State inspection results, casualty statistics, communication
and information processes, annual loss statistics (excluding constructive
total losses (CTLs)) and other performance indicators as may be appropriate,
in order to determine whether staffing, resources and administrative
procedures are adequate to meet its flag State obligations.
44 Areas recommended for regular review may include,
inter alia:
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.1 fleet loss and accident ratios to identify
trends over selected time periods;
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.2 the number of verified cases of detained ships
in relation to the size of the fleet;
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.3 the number of verified cases of incompetence
or wrongdoing by individuals holding certificates or endorsements
issued under the flag State's authority;
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.4 responses to port State deficiency reports
or interventions;
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.5 investigations into very serious and serious
casualties and lessons learned from them;
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.6 technical and other resources committed;
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.7 results of inspections, surveys and controls
of the ships in the fleet;
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.8 investigation of occupational accidents;
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.9 the number of incidents and violations that
occur under the applicable international maritime pollution prevention
regulations; and
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.10 the number of suspensions or withdrawals of
certificates, endorsements, approvals, or similar.
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