5.1 The Member State to be audited should be advised
of the names of the audit team members and other relevant personal
information prior to commencement of the audit.
5.2 The audit team leader should, in consultation
with the Secretary-General, obtain the necessary background information
about the Member State to be audited. This should include the Memorandum
of Co-operation and the pre-audit questionnaire (see appendix 2), as well as the
latest self-assessment form from the Member State, if available.
5.3 If the Member State to be audited has requested
an information meeting in accordance with paragraph 8.1.9 of the Framework,
the audit team leader should make the necessary arrangements for such
a meeting in consultation with the Member State to be audited.
5.4 The pre-audit questionnaire should be returned,
duly completed, by the Member State to be audited, as soon as possible
and not later than two months after receipt.
5.5 The audit team should review the reply to
the pre-audit questionnaire as well as any additional information
provided by the Member State.
5.6 If the audit team leader finds it necessary,
he/she may, after consultations with the other members of the audit
team, include additional questions in the pre-audit questionnaire
which may be sent to the Member State on an ad hoc basis.
5.7 The audit team leader should reflect in the
scope of the audit and in the audit reports any statements from the
Member State regarding specific areas or responsibilities that, for
pragmatic reasons (e.g. the State not being party to a specific IMO
instrument), it wishes to be excluded from the audit.
5.8 Based on the information provided by the Member
State in the pre-audit questionnaire and any attached documents, the
audit team leader, assisted by the other members of the audit team,
should finalize the detailed plan for the audit.
5.9 The audit plan should include:
-
.1 the location(s) where the audit is to take
place;
-
.2 the purpose, scope and objectives of the audit
as defined in the Framework;
-
.3 the starting and ending dates of the audit,
including the opening and closing meetings;
-
.4 the names of the participants in the audit
both auditors and key personnel from the Member State to be audited
including a person designated by the Member State as the central
point of contact between the Member State and the audit team;
-
.5 identification of the documents necessary to
conduct the audit;
-
.6 a tentative programme of the audit activities;
-
.7 a brief review of the information provided
in the pre-audit questionnaire, including general areas to be covered:
-
.1 arrangements for transposing ratified conventions
and subsequent amendments into national legislation;
-
.2 implementation arrangements, including responsibilities,
delegation and verification;
-
.3 enforcement arrangements;
-
.4 reporting arrangements, a self-assessment and
a review of performance;
-
.8 travel and administration plans (entry visas,
security clearances, health requirements, etc.), as well as the travel
schedules of the audit team members;
-
.9 the language to be used for the audit and for
the audit briefing preparation material for team members;
-
.10 assignments and responsibilities of the audit
team members; and
-
.11 scope of the audit team leader's mission report.
5.10 Checklists and/or aides-memoires are
most important tools when conducting the audit in specific fields.
When preparing the audit, the audit team leader and the audit team
should consider whether checklists and/or aides-memoires could
be used. Development of such checklists and/or aides-memoires may
be necessary, inter alia, if the information or lack
of information in the pre-audit questionnaire necessitates changes.
5.11 With due regard to the sequence of activities
(see appendix 3) and in order to allow the Member State to be audited
sufficient time to consider and accept the audit plan and also to
plan and facilitate the smooth conduct of the audit, consultations
should take place between the Secretary-General, the audit team leader
and the Member State to be audited at the earliest opportunity.
5.12 The audit team leader should brief the other
members of the audit team sufficiently in advance to ensure that the
audit team is prepared. The purpose of this briefing is to ensure
that all members are aware of the results from the pre-audit questionnaire
and the audit plan, including allocations of responsibility among
the team members for conducting the different parts of the audit.
The briefing should at least include:
-
.1 the purpose, scope and objectives of the audit;
-
.2 analysis of the pre-audit questionnaire; and
-
.3 agreement as to roles and responsibilities
during the audit, including the final preparations on checklists and/or
aides-memoires in specific fields.
At the discretion of the team leader, the briefing need not
occur in person.
5.13 The contact person designated in accordance
with paragraph 5.9.4 should also be responsible for supplying the
necessary documentation to the audit team prior to the audit.