Neutral 1 3D - TRACECA · Coastal States have certain rights and obligations under various mandatory IMO ... for compliance with resolution A.857(20), ... A.851(20)) –MARPOL Annex

TRACECA Maritime Safety and SecurityIMSAS workshop Kiev (Ukraine)

Dr. Jens U. Schröder-Hinrichs

III Code

III Code

III Code

IMSAS workshop Kiev

Introduction1

Background to IMSAS2

III Code: Common areas

5

III Code: Flag State obligations

3

III Code: Coastal State obligations

4

III Code: Port State obligations6

Agenda

© admaris GmbH | Hamburg | Germany | 20152

Framework for the audit7

Audit preparation and follow-up8

Summary and conclusions9


3. Common areas


What are coastal State obligations?

5. Coastal State obligations

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



III Code, Annex, Part III, Para. 45-48

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.



III Code, Annex, Part III, Para. 49-50


– 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.



III Code, Annex, Part III, Para. 51


– Evaluation and Review

Coastal States should periodically evaluate their performance in respect of exercising their rights and meeting their obligations under mandatory IMO instruments.



General principle

What need to be done?

1. Legislation/guidance

2. Policies

3. Responsible party

4. Resources

5. Implementation



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



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




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/31.2 - Danger messages – bring to the knowledge of those concerned and communicate to other interested Governments

Reg. V/33.1-1 - 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.




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 7-4.1 - Reporting of incidents involving dangerous goods




Specific Coastal State Obligations (II)

– MARPOL

Annex I

– Reg. 4.3 - Exceptions – discharge of substances containing oil for the purpose of combating pollution incidents

Annex II

– Reg. 3.1.3 - Exceptions – approval of discharge of NLS for the purpose of combating pollution incidents

– Reg. 13.2.3 - Control of discharges of residues of NLS – agreement and communication to IMO



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.




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




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).




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)?





– 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?






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: %.






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.





– 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.





– 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).





– 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?





– 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?




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/13.2.3 – control of discharge of residues of NLS – agreement and communication to IMO (if the member State exempts a ship)


Q & AAny questions?

Questions & Answers


Documents

Neutral 1 3D - TRACECA · Coastal States have certain rights and obligations under various mandatory IMO ... for compliance with resolution A.857(20), ... A.851(20)) –MARPOL Annex