IMO MEMBER STATE AUDIT SCHEME WORKSHOP FOR MARITIME ADMINISTRATIONS

1. IMO MEMBER STATE AUDIT SCHEMEWORKSHOP FOR MARITIME ADMINISTRATIONS PREPARATION AND REVIEW OF PRE-AUDIT QUESTIONNAIRE (PAQ)

2. PAQ • Officially sent to the State by IMO (MSA) • The first "view" of the State by the audit team • Who shall complete the PAQ?

3. PAQ preparation • All State entities participating in implementation and enforcement of mandatory IMO instruments should provide relevant information • A dedicated team can be assigned to complete PAQ • If section/question is unclear – ASK! • Detailed – general information? • Annexes – detailed information attached • Form – electronic (preferred – email or CD), paper, mail...

4. PAQ – GENERAL INFORMATION • Designated single point of contact (SPC) – must be available • Government bodies, number of employees and location – useful for planning • Type and number of ships, nature of trade – shows workload on the flag State • Type, number and location of ports – shows workload on the port State

5. PAQ – Part 1 – COMMON AREAS • STRATEGY - overall maritime policies and strategy and how this is communicated to all concerned • GENERAL - how your State: • Develops and promulgates legislation etc. (not Party? Why? Legislation?) - flow chart on legislative process to implement convention requirements • Incorporates amendments to IMO instruments • SCOPE - provide for each of the instruments: • Number of equivalents/exemptions • Information on national laws, etc. communicated to IMO? • How policies are developed to implement legislation?

6. PAQ – Part 1 – COMMON AREAS • RECORDS • IMPROVEMENTS - how your State: • Stimulates a culture which provides for improvement of performance • Identifies and eliminates root causes of any non-conformities • Anticipates potential non-conformities to prevent occurrence

7. PAQ – Part 2 – FLAG STATE • IMPLEMENTATION: • assigning responsibilities for implementation and how they are reviewed • How the State develops or implements: • independent audit and inspection programme • guidance on requirements “to the satisfaction of Administration” • DELEGATON OD AUTHORITY: • ROs – who are they? • the State is audited – not the RO • formal agreements with ROs? Functions delegated? • monitoring of performance – how/resources

8. PAQ – Part 2 – FLAG STATE ENFORCEMENT: • Actions taken against ships, companies, seafarers in the preceding 12 months • How your State: • Follows up on detentions • Issues and endorses ship certificates • Issues and endorses international certificates of competency

9. PAQ – Part 2 – FLAG STATE • FLAG STATE SURVEYORS: • recruitment criteria for surveyor/auditor/investigator • training – initial for new entrants and in-service for experienced surveyor/auditor/investigator

10. PAQ – Part 2 – FLAG STATE FLAG STATE INVESTIGATIONS: • Maintenance of records - database available? • How impartiality and independence is ensured (organogram?) • Criteria for determining what to investigate • Criteria for determining what is reportable • Reporting to IMO

11. PAQ – Part 2 – FLAG STATE EVALUATION AND REVIEW: • How your State evaluates its performance in meeting the requirements of the IMO instruments, in particular evaluation of: • detention rates • inspection results • casualty statistics • communication processes • annual loss statistics • other performance indicators

12. PAQ - Part 2 – COASTAL STATE IMPLEMENTATION - How your State: • Promulgates navigational warnings and dangers to navigation • Establishes and maintains any navigational aids and how related information is promulgated • Measures in place for collection and use of meteorological data • Establishes arrangements for maritime distress communication monitoring and coordination and rescue • Establishes arrangements for investigating reported incidents of pollution • Arrangements for the provision of hydrographic services • Any other measures undertaken by your State to evaluate its effectiveness in implementing the above provisions

13. PAQ - Part 2 – COASTAL STATE IMPLEMENTATION Describe, if applicable: • any maritime traffic routeing schemes or restricted areas, which have not been adopted by IMO, and any ship reporting systems • any IMO maritime traffic routeing system or restricted area and how it is managed • any reporting system or VTS system adopted by IMO

14. PAQ – Part 2 – COASTAL STATE ENFORCEMENT How your State: • considers, develops and implements a control and monitoring programme; • Ensures timely response to pollution incidents • cooperates with other flag and/or coastal States for the investigation of maritime casualties

15. PAQ – Part 2 – COASTAL STATE EVALUATION AND REVIEW: • How your State evaluates its performance as a coastal State, e.g. exercises to test: • counter-pollution measures • rescue of distressed persons • etc.

16. PAQ – Part 2 – PORT STATE IMPLEMENTATION Port State control (PSC): • Legislation – permitting PSC • belong to a regional PSC regime? • recruitment criteria and qualifications for port State control officers • interventions are transmitted "forthwith“ • numbers of inspections and detentions over last two years/targets met? Reception facilities: • waste reception facilities – adequate? Registerof local fuel oil suppliers - who maintains it?

17. PAQ – Part 2 – PORT STATE EVALUATION AND REVIEW: • How your State evaluates its performance as a port State

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