Appendix 2
Clasification Society 2024 - Version 9.40
Statutory Documents - IMO Publications and Documents - Resolutions - Assembly - IMO Resolution A.974(24) – Framework and Procedures for the Voluntary IMO Member State Audit Scheme – (Adopted on 1 December 2005) - Annex - Part II – Procedures for the Voluntary IMO Member State Audit - Appendix 2

Appendix 2

Parent topic: Part II – Procedures for the Voluntary IMO Member State Audit

PRE-AUDIT QUESTIONNAIRE footnote

I GENERAL INFORMATION
1 Name of State
2 Full contact details for the designated single point of contact for audit purposes
Name and Title  
Address   Telephone No.:
    Fax No.:
    E-mail address:

 3 Full contact details of government body(ies) covering the following areas of responsibility:

  Area of responsibility
  Safety Environmental Protection
Name of    
government    
body    
Address
Telephone No.    
Fax No.    
E-mail    
address    

4 Please provide an organigram and/or a diagram depicting the area of responsibility of each of the above-mentioned government bodies.

5 Please indicate the number of employees of each relevant government body* by category:

*Please provide the information requested below for each relevant government body

Category No. of employees Location
Management    
Technical    
Surveyors    
Legal    
Educational    
Support Staff    
Other    

6 Please indicate the number of ships on your State's register according to the following types and the nature of the trade in which they are involved. Please provide the information separately for each register, where applicable.

  Number Nature of Trade
Passenger    
Cargo    
Fishing    
Other    

7 Please provide information on any relevant State territorial body(ies) and its (their) relationship to the Administration.

8 Please specify the scale and extent of your State's involvement in the following activities:

.1 port State activities; and
.2 coastal State activities.
II Information on international instruments
1 Please indicate to which of the following mandatory IMO instruments listed in the Code for the implementation of mandatory IMO instruments your State is a Party.
Instruments Party Has the instrument been incorporated into your Sate's national legislation?
SOLAS 74 Yes/No Yes/No
SOLAS Protocol 78 Yes/No Yes/No
SOLAS Protocol 88 Yes/No Yes/No
MARPOL 73/78 Yes/No Yes/No
Annex III Yes/No Yes/No
Annex IV Yes/No Yes/No
Annex V Yes/No Yes/No
Annex VI Yes/No Yes/No
1978 STCW as amended Yes/No Yes/No
LL 66 Yes/No Yes/No
LL Protocol 88 Yes/No Yes/No
TONNAGE 69 Yes/No Yes/No
COLREG 72 Yes/No Yes/No
2 Please attach a flow chart illustrating the processes by which international instruments are formally adopted and transposed into your State's national legislation.
3 Please provide the following information INDIVIDUALLY FOR EACH OF THE ABOVE INSTRUMENTS to which your State is a party:
  .1 the government body* responsible for the implementation and enforcement of the instrument;
  .2 the equivalents/exemptions issued under this instrument and reported, as appropriate, to the IMO;
  .3 whether other Contracting Governments or Parties have been requested to act on behalf of your State; and
  .4 whether information on national laws, etc., has been communicated to IMO.
    Yes No
  *Note: The responsible body should be clearly indicated in the relevant places in the flow chart provided under question 2 above.
4 What is your State's policy in respect of the following:
  .1 the term “to the satisfaction of the Administration”; and
  .2 convention requirements that equipment must be of a type approved by the Administration?
5 If applicable, how are the above-mentioned provisions implemented?
III Information on enforcement
1 Please give details on how your State implements the enforcement provisions of the Code for the implementation of mandatory IMO instruments.
2 Please provide examples of enforcement action taken by your State against ships entitled to fly its flag, companies and/or seafarers during the preceding twelve months.
3 Please provide details on how statistical information is obtained and how trend analyses are conducted to indicate problem areas within your State's fleet.
4 Please describe briefly your State's procedures for dealing with ships entitled to fly its flag that have been detained by port State control.
IV Recruitment and training of surveyors
1 Please describe or specify your State's recruitment criteria, qualifications and processes for surveyors and other staff engaged in flag and port State duties.
2 Please describe or specify your State's initial training requirements for new entrant surveyors as well as in-service training requirements for experienced surveyors.
3 Please describe or specify your State's management arrangements defining the responsibilities, authority and interrelationship of surveyors and other staff engaged in flag and port State duties.
4 Please describe or specify your State's criteria, e.g. qualification, experience and training, for the appointment of line managers of surveyors.
V Information on recognized organizations (ROs)
1 Please list the ROs/nominated surveyors authorized to act on your State's behalf.
2 Please specify whether there is a written agreement with each RO, in accordance with MSC/Circ.788-MEPC/Circ.325, and if so, please attach a copy.
3 In the absence of a written agreement in accordance with MSC/Circ.788-MEPC/Circ.325, please specify scope of the authorization(s). A matrix indicating which functions (plan approvals, surveys, certification, exemption and equivalent arrangements) have been delegated to the RO should be provided.
4 How does your State verify and monitor the performance of its authorized ROs?
  Details of audits carried out by your State to monitor its ROs within the preceding two years should be provided, as well as any planned audits and other oversight and guidance procedures applied by your State to ROs.
5 Please indicate the resources allocated to verification and monitoring of RO performance.
VI Information on investigation and analysis of marine casualties and pollution incidents
1 Please describe or provide your State's relevant national legislation relating to investigation and analysis of marine casualties and pollution incidents, as appropriate.
2 Please describe your State's organizational structure for casualty investigation and provide an organigram illustrating the national set-up. This should also include a description of how the impartiality and independence of investigators are ensured, against both internal and external influences.
3 Please describe how your State analyses human element contributions to accidents and how the analyses are used in order to improve safety and pollution prevention. Please provide examples of established databases, if appropriate.
4 Please describe how your State carries out the required reporting to IMO.
VII Information on port State control (PSC) activities
1 Does your State carry out port State control?
  Yes No
2 Please provide a brief description of the relevant sections of your national legislation permitting port State control to be undertaken on foreign ships visiting your ports.
3 Does your State belong to one or more regional port State control regimes?
  Yes No
  If yes, specify which regional regime(s) and provide further information on the nature of its participation in that or those particular PSC regimes.
  If no, briefly describe your State's procedures for carrying out port State control.
4 Please describe the arrangements which your State has put in place to enable port State control interventions to be transmitted “forthwith” to all parties concerned.
5 How many PSC inspections have been carried out by your State over the last two years and how many have resulted in detentions?
  Number of PSC inspections: Number of detentions:
6 Does your State have reception facilities for ship-generated wastes under MARPOL 73/78?
  Yes No
  If yes, please list and describe them and state whether they are adequate in the context of the requirements of the Convention.
VIII Information on coastal State activities
1 Please describe your State's national legislation implementing the ”force majeure” provisions of SOLAS article IV.
2 Please describe your State's arrangements for promulgating navigational warnings and dangers to navigation.
3 Please describe your State's arrangements for the establishment and maintenance of any navigational aids within waters for which it has responsibility and how information relating to these is promulgated.
4 Please describe any measures your State has put in place which encourage the collection of meteorological data and what use is made of this data.
5 Please describe your State's arrangements for coast watching and for the rescue of persons in distress.
6 Please describe your State's arrangements for investigating reported incidents of pollution.
7 Please describe your State's shipping and pollution prevention legislation as applicable to its EEZ.
8 Are there any Particularly Sensitive Sea Areas (PSSAs) established within your State's jurisdiction?
  Yes No
  If yes, what are the associated protective measures?
9 Please describe any maritime traffic routeing schemes or restricted areas enforced within waters for which your State has responsibility, and which have not been adopted by the IMO.
10 What IMO maritime traffic routeing system or restricted area does your State enforce within waters under its jurisdiction and how is it managed?
11 What ship reporting systems or VTS systems adopted by IMO, if any, are in force in your State?
12 Under what national legislation does your State establish sanctions for violations of mandatory IMO instruments within its jurisdiction?
13 What methodology does your State employ to enforce its maritime legislation on ships of any flag within its territorial waters?
14 Please describe your State's arrangements for:
  .1 hydrographic services; and
  .2 ship reporting systems.
15 Please describe any measures undertaken by your State to evaluate its effectiveness in implementing IMO mandatory instruments which are applicable to it as a coastal State (e.g. exercises to test counter-pollution measures, rescue of distressed persons, etc).
IX Information on reporting requirements
1 Please describe your State's system for developing (including information gathering) and submitting mandatory reports to IMO.
X Evaluation and review
1 Please describe how you measure the performance of your maritime administration (i.e. benchmarking the port State control detention rates of ships in your registered fleet; consolidating the results of your inspections of your registered ships; evaluating casualty statistics on your registered fleet; evaluating the effectiveness of the communications and information processes supporting your managerial structure; evaluating annual loss statistics; and using performance indicators and their effectiveness in determining whether staffing, resources and administrative arrangements (including financial and technical) are adequate to meet obligations under mandatory IMO instruments).
2 Please describe the methods by which the results obtained from evaluation and review influence your future policies to promote continuous improvement.
XI Information about management systems
1 Does your State use a recognized quality management system, e.g. ISO 9001:2000, for part or all of its activities?
  Yes No
  If yes, relevant documentation should be copied and submitted together with this questionnaire.
2 Does your State use other management systems, e.g. internal contracts between management and subdivisions, external contracts between the organization to be audited and its superiors of either a political and/or administrative nature or any other proprietary management system?
  Yes No
  If yes, copies of contracts or other relevant documentation (in an appropriate language) should be submitted together with this questionnaire.
XII Scope of the audit
1 Does your State wish some of the areas included in the Code for the implementation of mandatory IMO instruments to be excluded from the audit (reasons for this could be that it is not a contracting party to some international instruments or has acceded only recently to a particular instrument)?
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