4 Planning
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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 - 4 Planning

4 Planning

4.1 Scope of the audit

  4.1.1 Audit of a Member State should be planned in accordance with an agreed timetable.

  4.1.2 Upon receiving the request of a Member State to be audited, the Secretary-General will appoint an audit team leader.

  4.1.3 The audit team leader will discuss and agree the scope of the audit, within the context of the Framework, with the Member State.

  4.1.4 A Memorandum of Co-operation, reflecting the above, will be signed by the Secretary-General and subsequently by the Member State prior to commencement (see appendix 1).

  4.1.5 An audit will not proceed until a Memorandum of Co-operation has been signed by and exchanged between both parties.

  4.1.6 The Memorandum of Co-operation will confirm, inter alia, that the audit is to be conducted in accordance with the procedures contained therein.

4.2 Nomination of auditors

  4.2.1 When nominating an auditor, who shall be suitably qualified, e.g. in accordance with ISO 19011 or any subsequent ISO standard, the following personal qualities and qualifications should be taken into account:

  • .1 initiative, judgment, tact, sensitivity, and the ability to maintain harmonious working relations when meeting intended or unintended obstacles during the audit, and when working in a multicultural environment;

  • .2 proven skills at managerial and/or senior level;

  • .3 demonstrated motivation and the ability to write clearly and concisely;

  • .4 full command of at least one of the six official IMO languages;

  • .5 in-depth knowledge of the functions of an Administration;

  • .6 good knowledge of the IMO's regulatory framework, including relevant mandatory instruments; and

  • .7 computer literacy.

4.3 Selection of auditors

  4.3.1 Selection of individuals as designated members of an audit team shall be done on the basis of nominations of appropriately competent auditors received from Member States. Acceptance shall be the responsibility of the Secretary-General, who should verify that the relevant individuals are competent to conduct the audit. The criteria to be applied in the verification should include:

  • .1 audit team leaders' and auditors' qualifications, e.g. in accordance with ISO 19011 or any subsequent ISO standard;

  • .2 language capabilities (IMO official languages and others); and

  • .3 geographical mix and range of nationalities, including developing countries.

4.4 Selection of an audit team

  4.4.1 When putting together a team to carry out an individual Member State audit, the Secretary-General should have regard to the need for:

  • .1 all teams to aspire to the highest standards of excellence in their task;

  • .2 the audit team leader to combine high professional qualifications as an auditor with the ability to lead/manage;

  • .3 the audit team leader to be fully conversant with the Code for the implementation of mandatory IMO instruments;

  • .4 the team leader and/or other team members to have full command of the IMO official language chosen by the Member State for use in the audit, the audit briefing and the preparation material for the members of the audit team. Where possible, at least one team member must have working knowledge of the language of the Member State's legislation and other relevant documentation, if not available in the chosen IMO language. Failing that, interpretation, as required, should be provided by the Member State;

  • .5 agreement with the Member State as to the suitability of the team members being proposed;

  • .6 the audit team to consist of a sufficient number of auditors to ensure that the audit is conducted and completed in a satisfactory way, within the agreed period. In some situations, allowance must be made for the team to be subdivided to conduct parallel activities during the course of the audit;

  • .7 all members of the audit team to operate on behalf of IMO, i.e. fully independent of both their own Member State and the Member State being audited; and

  • .8 a range of nationalities.

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