Annex 1 - Guidance to Assist Flag States in the Self-Assessmentof their Performance
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Annex 1 - Guidance to Assist Flag States in the Self-Assessmentof their Performance

General obligations of flag States

1 It is the responsibility of flag States to ensure that they establish and maintain measures for the effective application and enforcement of the IMO instruments to which they are a Party. From the point of view of flag State implementation the most significant IMO instruments are:

  • .1 the International Convention for the Safety of Life at Sea, 1974 (SOLAS 74), as amended;

  • .2 the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (MARPOL 73/78), as amended;

  • .3 the International Convention on Load Lines, 1966 (LL 66) as amended;

  • .4 the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 (STCW 78), as amended;

  • .5 the Convention on the International Regulations for Preventing Collisions at Sea, 1972, (COLREG 72), as amended; and

  • .6 the International Convention on Tonnage Measurement of Ships, 1969 (TONNAGE 69).

Regard should also be given to the United Nations Convention on the Law of the Sea, 1982 (UNCLOS).

2 Having accepted an instrument, a Government is bound by the provisions of the instrument to promulgate laws in relation to the implementation of its provisions through appropriate national legislation (e.g. SOLAS 74 article I(b)). The undertaking to give effect to the provisions of the relevant instrument (e.g. SOLAS 74 article I(a)) means that the Government must have a functioning legislative body to enact laws for ships flying its flag and to provide for the subsequent implementation and enforcement of those laws.

Internal criteria for the assessment of flag State performance

3 "Internal" criteria are criteria which are directly relevant to the operation of the flag State as an Administration and are designed to give a clear indication of the effectiveness of a flag State Administration in fulfilling its obligations under the instruments. Guidance on flag State responsibilities is contained in Assembly resolution A.847(20) on Guidelines to assist flag States in the implementation of IMO instruments. Article 94 of UNCLOS also sets out the duties of State Parties (Article 1.2(1)). Article 217 of UNCLOS is also relevant in detailing the enforcement responsibilities of flag States. Based on international instruments, a flag State has responsibilities relating, in particular, to setting legal requirements to give national effect to the instruments to which it is a Party; enforcement of those requirements; authorization of organizations acting on its behalf and casualty investigation. These are considered in more detail below.

Legal framework

4 A flag State should:

  • .1 take measures to ensure safety at sea and pollution prevention for ships entitled to fly its flag with regard to:

  • .1.1 the construction, equipment and management of ships;

  • .1.2 the principles and rules with respect to the limits to which ships may be loaded;

  • .1.3 the prevention, reduction and control of pollution of the marine environment and the minimization of the impact of accidental discharges of pollutants;

  • .1.4 the manning of ships and the training of crews; and

  • .1.5 the safety of navigation (including taking part in mandatory reporting and routeing systems), maintenance of communications and prevention of collisions;

  • .2 promulgate laws which permit effective jurisdiction and control in administrative, technical and social matters over ships flying its flag and, in particular, relating to the inspection of ships, safety and pollution prevention laws applying to such ships and the making of associated regulations; and

  • .3 promulgate laws providing the legal basis for the establishment of a registry and maintain a register of ships flying its flag.

Enforcement

5 A flag State should:

  • .1 provide for the enforcement of its national laws, including the associated investigative and penalty processes;

  • .2 take appropriate action against ships flying its flag that fail to comply with applicable requirements;

  • .3 ensure the availability of sufficient personnel with maritime and technical expertise to carry out its flag State responsibilities, including:

  • .3.1 the development and enforcement of necessary national laws;

  • .3.2 the establishment and maintenance of minimum safe manning levels on board ships flying its flag and the provision of effective certification of seafarers;

  • .3.3 the inspection of ships flying its flag to ensure compliance with the requirements of international instruments to which the flag State is a Party;

  • .3.4 the reporting of casualties and incidents as required by the respective instruments; and

  • .3.5 the investigation of circumstances following any detention of ships flying its flag.

Responsibility of recognized organizations acting on behalf of the Administration

6 In cases where a flag State authorizes third party organizations to act on its behalf, i.e. recognized organizations, any delegation of authority to these recognized organizations must be clearly recorded and should follow as a minimum the Guidelines for the authorization of organizations acting on behalf of the Administration (resolution A.739(18)) and the Specifications on the survey and certification functions of recognized organizations acting on behalf of the Administration (resolution A.789(19)). The requirements of SOLAS regulation I/6(c), and the analogous requirements of MARPOL 73/78 should be included in any delegation of authority. The flag State must also take full responsibility for all safety and pollution prevention certificates issued under the relevant instruments by it or on its behalf.

Casualty and incident investigation

7 A flag State should undertake prompt and thorough casualty and incident investigations and submit relevant reports to IMO, as appropriate.

External criteria for the assessment of flag State performance

8 "External" criteria refer to information, in particular port State control data and casualty accident data, which may also be taken to be indicators of the way in which a flag State is performing. The following are indicators of the way in which the flag State is performing but do not relate directly to the organization of the flag State's Administration. When used as indicators, the criteria listed in .1 to .5 should be considered in proportion to the overall number of ships flying its flag, subject to international instruments to which the State is a Party:

  • .1 Number of accidents, casualties and incidents reportable to IMO in terms of the requirements of the international casualty database.

  • .2 Number of accidents involving personal injuries leading to absence from duty of 3 days or more on board ships flying the flag of the State concerned.

  • .3 Number of lives lost on its ships resulting from the operation of ships flying its flag.

  • .4 Number of ships lost.

  • .5 Number of incidents of loss of pollutants into the sea according to MARPOL 73/78 reporting standards, including a measure of the seriousness of the incidents.

  • .6 Number of ships detained by other States under port State control procedures.

  • .7 Communication to IMO of information required in mandatory instruments.

Self-assessment form

9 Based on the internal and external criteria outlined above, a self-assessment form is attached. The primary objective of the form is to assist flag States in assessing their performance against these criteria. Questions relating to the STCW Convention have not been included because that instrument has its own assessment procedures.

Parent topic: IMO Resolution A.912(22) – Self-Assessment of Flag State Performance – (Adopted on 29 November 2001)
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