Annex 2 - Procedures for Assessing the Implications of Capacity-Building Requirements when Developing New, or Amending Existing, Mandatory Instruments

1 INTRODUCTION

1.1 Assembly resolution A.998(25) on Need for capacity-building for the development and implementation of new, and amendments to existing, instruments cautions that, unless the Council, the Committees and their subsidiary bodies adopt a cradle-to-grave approach in relation to matters concerning capacity building, technical cooperation and assistance, the chances of success in the ratification and effective implementation of IMO instruments may be reduced by the level of unpreparedness or lack of capacity that Governments, particularly of Small Island Developing States (SIDS) and Least Developed Countries (LDCs), experience at the point when implementation of such instruments is urgently required. Therefore, the development of this procedure is in keeping with the provisions of that resolution.

1.2 The assessment of capacity-building implications for the implementation of new, and/or amendments to existing, instruments is an iterative process that begins with the acceptance of the preliminary proposal and runs in parallel up to the process of its implementation.

1.3 These procedures do not prevent States from taking additional actions in promoting the advancement of the objectives of capacity building through technical assistance or cooperation.

2 DEFINITIONS

For the purpose of these procedures, the following definitions apply:

2.1 Planned output is as defined in paragraph 2.3 of the Committees' guidelines.

2.2 Unplanned output is as defined in paragraph 2.4 of the Committees' guidelines.

2.3 Capacity building means sustainable social, economical or legal measures undertaken through various means for the purposes of a comprehensive transformation of the performance of an Administration or industry player so as to implement and therefore comply with new or amended instruments.

2.4 Technical assistance is a methodology for providing capacity-building through bilateral and/or multilateral exchange of technical knowledge, resources or expertise to a party which has requested such assistance in order to enhance its technical capability to implement existing, new or amended instruments.

2.5 Technical cooperation refers to a methodology for providing capacity building, through a multilateral effort, to a group of cooperating countries of a particular region in the form of training and exchange of expertise, knowledge and information, in support of their efforts aimed at promoting the implementation of existing, new and/or amended instruments.

2.6 Instruments refers to IMO conventions and other treaties.

3 PURPOSE AND OBJECTIVES

3.1 The purpose of these procedures is to give effect to resolution A.998(25), aimed at enhancing efforts to promote universal implementation of IMO instruments.

3.2 These procedures are intended to assist in the identification and assessment of capacity-building implications in the following cases:

• .1 when a Committee has accepted a proposal for an unplanned output and/or on approval by a Committee of a new instrument;

• .2 during implementation of new instruments or amended instruments; and

• .3 during the scheduling of capacity-building measures or activities.

3.3 These procedures apply to the Committees of the Organization and constitute a specific implementation response to resolution A.998(25).

3.4 These procedures aim at:

• .1 promoting universal ratification and compliance with newly adopted IMO instruments;

• .2 improving the level and quality of implementation of new and/or amended instruments; and

• .3 promoting, as far as possible, a balanced level of implementation of new instruments.

4 PROCEDURE

4.1 The Committees should conduct an assessment of capacity-building implications by following the procedure in the flow chart in appendix 1 of these procedures.

4.2 Assessments of capacity-building implications should be initiated on the acceptance of a proposal for an unplanned output.

Preliminary assessment of capacity-building implications

4.3 In order to facilitate the assessment of capacity-building implications by a Committee, its Vice-Chairman should, in consultation with the Chairman and assisted by the Secretariat, undertake a preliminary assessment of capacity-building implications, using the checklist for assessing the need for capacity building contained in appendix 2 of these procedures.

4.4 The outcome of the preliminary assessment should be submitted to the Committee concerned for consideration. This should contain the Vice-Chairman's appraisal of whether there are or will be capacity-building implications or need for technical assistance; a list of possible implications; and recommendations on the way forward.

Assessment of capacity-building implications

4.5 Following the preliminary assessment, the Committee should, if necessary, decide to convene the Ad hoc Capacity-building Needs Analysis Group (ACAG) to be chaired by the Vice-Chairman of that Committee. The ACAG should consider the preliminary assessment, taking into account comments and any further submissions thereto and, if appropriate, conduct further assessment and present its report and recommendations to the Committee.

4.6 The ACAG may refer a matter through the Committee for further consideration by another organ.

Post-assessment of capacity-building implications for implementation of new measures

4.7 When new measures have been approved, the Committee may request the ACAG to:

• .1 conduct a post-assessment exercise using the criteria and mechanism contained in appendix 3 of these procedures to identify issues that require special focus when implementing technical cooperation and assistance activities; and

• .2 prepare, for the Committee's consideration, a draft circular describing the possible capacity-building implications and recommendations for a course of action, for consideration by the Organization, the membership and/or industry.

5 TERMS OF REFERENCE OF THE ACAG

In conducting its assessment of capacity building, the ACAG should be guided by the following terms of reference:

• .1 consider a preliminary assessment of capacity building and technical assistance actions;

• .2 conduct an assessment and, when new measures have been approved, a post-assessment, of the capacity-building actions that may be included in the technical assistance or technical cooperation required by Administrations for the implementation of the instrument;

• .3 in consultation with the industry and non-governmental organizations, conduct an assessment and, on implementing new measures, a post-assessment, of the capacity-building actions that may be required or expected of the shipping industry for the implementation of the instrument; and

• .4 advise the Committee concerned of the implications for capacity building relating to a new instrument or a proposed amendment to an existing instrument, whichever is being considered.

APPENDIX 1

APPENDIX 2

Checklist for the identification of capacity-building implications

1 For Administrations

□ Is new legislation required?

□ Will the implementation require additional financial resources?

□ Is there a need for additional human resources or new skills?

□ Will there be a need to upgrade current infrastructure?

□ Is there enough lead time towards implementation?

□ Will a rapid implementation procedure be adopted?

□ Is there a substantial modification of existing standards?

□ Will a guide to implementation be needed?

2 For the industry

□ Is there repair/servicing and/or retrofitting and does maintenance capacity exist internationally?

APPENDIX 3

Checklist of issues requiring special focus when developing capacity building related to the implementation of new measures