Appendix - Flag State Performance Self-Assessment Form

All questions relate to merchant ships flying the flag of the State concerned

GENERAL
1 Name of State/Associate Member List the Administrations which you represent at IMO (a separate assessment form should be completed for each. Include all flag States, including those which are not Member States of IMO but are Parties to IMO instruments).
2 Name of contact person responsible for the completion of this form Name of Administration Address Telephone number Fax number E-mail address
3 Indicate to which of the following international instruments your State is a Party and which (optional) MARPOL 73/78 Annexes have been ratified.
SOLAS 74	Yes/No
SOLAS Protocol 78	Yes/No
SOLAS Protocol 88	Yes/No
MARPOL 73/78	Yes/No
Annex III	Yes/No
Annex IV	Yes/No
Annex V	Yes/No
Annex VI	Yes/No
LL 66	Yes/No
LL Protocol 88	Yes/No
TONNAGE 69	Yes/No
COLREG 72	Yes/No
UNCLOS	Yes/No
4.1 How many merchant ships of 100 gross tonnage and upwards, subject to the relevant instruments you indicated in question 3, are currently flying the flag of your State? 4.2 What is the total gross tonnage of merchant ships currently flying the flag of your State?	MS:
INTERNAL CRITERIA
Legal framework
5 Does your Administration have the necessary laws in force to implement international maritime safety and pollution prevention instruments with regard to:
.1 the construction, equipment and management of ships;	Yes/No
.2 the prevention, reduction and control of pollution of the marine environment;	Yes/No
.3 the safe loading of ships;	Yes/No
.4 the manning of ships;	Yes/No
.5 the safety of navigation (including taking part in mandatory reporting and routing systems), maintenance of communications and prevention of collisions?	Yes/No
6 Does your Administration have the necessary laws in force to ensure the provision of penalties of adequate severity to discourage violation of international instruments to which your State is a Party?	Yes/No
7 Does your Administration have the necessary laws in force to provide for ship inspections to ensure compliance with international maritime safety and pollution prevention standards to which your State is a Party?	Yes/No
8 Does your Administration have the necessary laws in force to take legal action against ships which have been identified as not being in compliance with the international instruments to which your State is a Party?	Yes/No
9 Does your Administration have the necessary laws in force to carry out the required casualty investigations?	Yes/No
Enforcement
10 Does your Administration have an infrastructure, including personnel with appropriate technical expertise and experience, to:
.1 identify ships flying the flag of your State which are not in compliance with international maritime safety and pollution prevention requirements?	Yes/No
.2 take action against ships flying the flag of your State which have been identified as not being in compliance with international maritime safety and pollution prevention requirements?	Yes/No
- If yes, against how many such ships was action taken for each of the previous 5 years^footnote?	....
11 Did your Administration investigate detentions by port States of ships flying the flag of your State for each of the previous 5 years^footnote? (see also question 28)	Yes/No
- If yes, indicate how many such detentions were investigated.	....
Recognized organizations acting on behalf of the Administration
12 Which organizations has your Administration recognized for the purpose of delegation of authority under the relevant instruments you indicate under question 3?
13 When your Administration delegates authority to recognized organizations, does it follow resolution A.739(18) and A.789(19) as minimum requirements, the requirements in SOLAS 74, regulation XI/1, and the analogous requirements in MARPOL 73/78 in any delegation of authority?	Yes/No
14 Has your Administration provided IMO with a copy of the formal agreement or equivalent legal arrangements with the recognized organizations listed in question 12?	Yes/No
15 Indicate which survey and/or certification functions your Administration has delegated to the recognized organizations referred to in question 12.
16 Indicate, for the instruments you listed under question 3, which survey and/or certification functions are carried out by your Administration.
17 Does your Administration carry out the verification and monitoring functions specified in resolution A.739(18)?	Yes/No
18 How does your Administration carry out the verification and monitoring functions specified in resolution A.739(18)?
19 How often does your Administration verify and monitor the work of recognized organizations acting on its behalf?
20 How does your Administration take specific responsibility for international certificates issued on its behalf by dependent territories/second registers?
Casualty and incident investigation
21 Does your Administration have the means (financial and administrative) to ensure that thorough and prompt casualty and incident investigations into all cases of serious and very serious casualties, as defined in paragraphs 4.2 and 4.3 of the Annex to resolution A.849(20), are carried out?	Yes/No
22 For each of the previous 5 years^footnote, for ships flying the flag of your State: .1 How many serious and very serious casualties were investigated? .2 How many such serious and very serious casualties were reported to IMO?
23 Can your Administration provide to IMO, on request, evidence which shows that casualties and incidents on ships flying the flag of your State have been investigated?	Yes/No
24 For each of the previous 5 years^footnote, has your Administration provided IMO with the mandatory annual reporting required by article 11.1(f) of MARPOL 73/78?	Yes/No
25 How many allegations of violations, according to article 4 of MARPOL, have been made against ships flying the flag of your State in each of the previous 5 years^footnote? .1 How many investigations or legal proceedings has your Administration carried out in the previous 5 years^footnote in accordance with articles 4 and 6 of MARPOL? .2 In how many cases did your Administration report back to the reporting State or to IMO in each of the previous 5 years^footnote?
EXTERNAL CRITERIA
26 For each of the previous 5 years^footnote, how many ships flying the flag of your State: .1 have been involved in serious or very serious casualties? .2 have become total losses or constructive total losses? .3 have caused severe pollution^footnote? .4 What casualty rate per 1000 ships does this represent? .5 What is the total tonnage involved as a percentage of the total fleet?
27 In each of the previous 5 years^footnote, how many lives have been lost: .1 in casualties involving ships flying the flag of your State? .2 due to occupational accidents (i.e. other than from casualties to ships) on ships flying the flag of your State? NB - Includes: falls; boarding or disembarking; accidents on deck and in machinery spaces; deaths in enclosed spaces; but does not include: accidents ashore; homicide; suicide; or deaths from disease or natural causes.
28.1 For each of the previous 5 years^footnote, how many ships flying the flag of your State were detained, within the scope of SOLAS 74, MARPOL 73/78, LL 66 or COLREG 72, by port States? 28.2 What detention rate per 1000 ship inspections does this represent? (see also question 11).