Professional Documents
Culture Documents
By
Michael J. Hubbard (Canada), IMO Consultant
Heike Hoppe, Technical Officer, IMO
Disclaimer:
The opinions expressed in this paper are those of the authors and do not
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1.1
Definition
1.1.1 Policy may be defined as a course of action to be adopted by an organization and as a selected,
planned line of conduct in the light of which individual decisions are made.
1.1.2 Recognizing that situations and circumstances are continually evolving and changing, a process
should be in place for the development and revision of policies.
1.2
Purpose
1.2.1 Policies are a guide for the consistent and uniform administration of an organization's mandate,
programs and activities.
1.2.2 Policies will define, in clear unequivocal terms, the aims and objectives of the organization and how
the organization intends to conduct its business, for the conduct of its staff and for the information of its
clients.
1.2.3 Established policies are particularly important for a Maritime Administration/Authority because of its
regulatory and enforcement functions and activities, the diversity of its clients and the international influence
on its roles and responsibilities.
1.3
Development
1.3.1 The development and promulgation of a Maritime Administration's policies will emanate from and
be consistent with a Government's overall policies with respect to the delivery of programs and services
provided by the Government.
1.3.2 Policies of a Maritime Administration will therefore reflect aims and objectives consistent with those
of the Government for transportation and the maritime sector in particular. International and national
initiatives which affect the safety of shipping and the prevention of marine pollution will influence policy
development.
1.3.3 Policies will be derived and guided primarily from the international maritime conventions, codes and
resolutions1, the United Nations Convention on the Law of the Sea, national maritime legislation and the
national industry policy.
1.3.4 The Maritime Administration needs policies covering its purpose, mandate, authorities,
appointments and in particular its duties prescribed by the national maritime legislation, as follows:
-
registration of ships
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Reference is made to the Guidelines to assist flag states in the implementation of IMO instruments (IMO
resolution A.847(20)).
1.4
certification of seafarers
regulation of shipping regarding the construction and equipment of ships and navigation
inspection of ships for the purpose of maritime safety and pollution prevention
staff recruitment
staff training
levels of service
consultation
international activities.
Policy statements
The following policy statements are offered as examples of policies suitable for and applicable to a Maritime
Administration. If policies such as these are developed and put in place, they will need to be supported by
procedures for their implementation.
1.4.1 Maritime Administration
It is the policy of the Government of [flag State] that the Maritime Administration is the national agency
responsible for and dedicated to ensuring the safety of ships, the protection of life and property at sea and
the marine environment, and compliance with applicable national laws and regulations.
1.4.2 Authorities and appointments
1.4.2.1 Authorities of the Maritime Administration are derived from the national maritime legislation and the
Minister.
1.4.2.2 Activities conducted by Maritime Administration personnel shall be according to duly granted
authority.
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1.4.2.3 All compliance activities shall be conducted by personnel holding appointments appropriate to the
task being performed.
1.4.3 Roles and responsibilities
Roles and responsibilities of units within the Maritime Administration shall be clearly described and
delineated.
1.4.4 Organization
The organization of the Maritime Administration shall be structured to reflect its duties, roles and
responsibilities and to ensure that its mandate is achieved in the most effective and efficient manner.
1.4.5 Staff recruitment
Recruitment standards for personnel in the Maritime Administration shall be appropriate to their
responsibilities and discipline.
1.4.6 Staff training
Staff training is essential to the maintenance of a workforce of the highest quality with staff who have the
knowledge and skills necessary to develop and implement effectively the Administration's policies and
programs.
1.4.7 Co-operation
1.4.7.1 It is the policy of the Maritime Administration to co-operate with all other agencies, governmental or
private, in promoting the safety and security of life and property at sea and in protecting the marine
environment.
1.4.7.2 The Maritime Administration will develop partnerships and co-operative links with other agencies
that have similar and/or complementary interests.
1.4.8 Levels of service
Levels of service shall be established in order to provide a measure of performance which can serve as
guidance for the Government, client population and staff of the Administration, e.g. time frame to register a
ship; inspection of a certain percentage of ships entering its ports and responding within an established time
to requests of clients.
1.4.9 Consultation
Prior to the implementation of any new or amended policy, programme and legislative or regulatory
initiative, it is the policy of the Maritime Administration to consult fully with all interested parties including
public interest, clients and staff.
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1.4.10 Inspections
It is the policy of the Maritime Administration to conduct a program of inspections to ensure
1.4.10.1
that flag ships and foreign registered ships entering its ports comply with the requirements of all applicable
conventions, statutes and regulations with respect to ship safety and protection of the marine environment.
Complete records of all inspections will be maintained by the Administration.
The Administration is committed to ensuring that inspections and surveys are conducted in
1.4.10.2
an efficient and expeditious manner to ensure the facilitation of shipping.
Although it is the policy of the Maritime Administration to delegate certain inspection and
1.4.10.3
certification activities to classification societies, responsibility and accountability for those activities remain
with the Administration.2 Agreements with those societies authorized to act on behalf of the Administration
shall be in place.3 The Administration will monitor inspections carried out on its behalf and will retain the
right to carry out inspections itself as it deems necessary.
In order to give effect to the policy with respect to the inspection of foreign registered
1.4.10.4
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ships , the Maritime Administration will participate in co-operative agreements, including Memoranda of
Understanding, with other like-minded states.
It is a policy of the Maritime Administration to conduct an inspection program of dangerous
1.4.10.5
goods with particular emphasis on their storage and handling on board ships and their storage in ports.5
This is to ensure compliance with the safety requirements in respect of persons and property at sea and the
protection of the environment.
It is the policy of the Maritime Administration that small vessels engaged in commercial
1.4.10.6
activities, including fishing vessels, shall be inspected for minimum standards with respect to structural
integrity, equipment and operational safety appropriate for the voyages and activities engaged in. 6
2
Reference is made to the Guidelines for the authorization of organizations acting on behalf of the Administration
(IMO resolution A.739(18)) and the Specifications on the survey and certification functions of recognized organizations
acting on behalf of the Administration (IMO resolution A.789(19)).
3
Reference is made to IMO circular MSC/Circ.710 - Model agreement for the authorization of recognized
organizations acting on behalf of the Administration.
4
Reference is made to the Procedures for port State control (IMO resolution A.787(19), as amended by resolution
A.882(21)).
5
Reference is made to the International Maritime Dangerous Goods Code (IMDG Code) (IMO resolution
A.716(17), as amended).
6
Reference is made to applicable regional codes and regulations (e.g. Caribbean Cargo Ship Safety (CCSS) Code;
Code of Safety for Small Commercial Vessels Operating in the Caribbean Sea (SCV Code); Safety regulations for nonconvention sized ships in the Asian region; Safety regulations for non-convention vessels operating in the Pacific region;
Model safety regulations for inland waterways vessels and non-convention craft, including fishing vessels, operating in
Africa).
The Maritime Administration will maintain a Register of Ships in accordance with national
1.4.14.2
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Reference is made to the International Convention on Standards of Training, Certification and Watchkeeping for
Seafarers 1978, as amended.
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Reference is made to the Code for the investigation of marine casualties and incidents (IMO resolution
A.849(20), as amended by resolution A.884(21)).
Mission-
PLAN OF ACTION
2.1
Introduction
A flag state shall have a competent and adequate national maritime administration.
A flag state shall implement applicable rules and standards concerning, in particular, the
safety of ships and persons on board and the prevention of pollution of the marine
environment.
2.1.1.2 An objective of the flag State should therefore be the establishment of a national Maritime
Administration to fulfil flag State and port State responsibilities in an effective and efficient manner and in
conformity with international maritime standards.
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9
Reference is made to the Survey guidelines under the harmonized system of survey and certification (HSSC)
(IMO resolution A.746(18)) and the Guidelines on the enhanced programme of inspections during surveys of bulk carriers
and oil tankers (IMO resolution A.744(18), as amended).
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Reference is made to applicable regional codes and regulations (e.g. Caribbean Cargo Ship Safety (CCSS) Code;
Code of Safety for Small Commercial Vessels Operating in the Caribbean Sea (SCV Code); Safety regulations for nonconvention sized ships in the Asian region; Safety regulations for non-convention vessels operating in the Pacific region;
Model safety regulations for inland waterways vessels and non-convention craft, including fishing vessels, operating in
Africa).
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Reference is made to the Procedures for port State control (IMO resolution A.787(19), as amended by resolution
A.882(21)).
2.2.
2.2.1. Introduction
2.2.1.1 The objective of the Government of the flag State should be the establishment of a national Maritime
Administration to fulfil the responsibilities as a flag State and a port State, as applicable, in an effective and
efficient manner. To this end, comprehensive legislation for the control and regulation of merchant shipping
with respect to the registration of ships, the employment and certification of seafarers and the safety of
shipping needs to be passed, also providing for the establishment of a Maritime Administration and
prescribing the objects and functions of the Administration.
2.2.1.2 The Government needs to consider accession to and implementation of relevant international
instruments for the improvement of maritime safety and pollution prevention, the most important of which
are:
.1
the International Convention for the Safety of Life at Sea (SOLAS) 1974;
.2
the International Convention for the Prevention of Pollution from Ships, 1973, as modified
by the Protocol of 1978 relating thereto (MARPOL 73/78);
.3
.4
2.
3.
Department of a Ministry
4.
Statutory Administration
5.
Executive Agency.
This would place the Administration within a Ministry, being subject to conditions of the public service with
respect to personnel matters and budgets. Both rely on appropriations. The Administration would not have
a great deal of autonomy but would have the support of the Ministry. However, the decision making
process could be expected to be slow and possibly cumbersome.
2.2.2.4 Option 3 - Department of a Ministry
A Department is an agency of a Ministry but has a degree of autonomy in that it controls its own budget
which, however, is still provided through appropriations. It has the support of the Ministry, but again, the
decision making process could be expected to be slow and possibly cumbersome.
2.2.2.5 Option 4 - Statutory Administration
A Statutory Administration , while in effect part of a Ministry and reporting to the Minister, is further
removed than a Department. It has far more autonomy and is controlled by a Board of Directors who set
policies and procedures for the Administration. It can be self-supporting or supported by the Government.
It is not limited by the Public Service conditions of employment. It loses immediate support of the Ministry,
but decision-making is facilitated.
2.2.2.6 Option 5 - Executive Agency
An Executive Agency, although part of the Government, is established as a business and is expected to
operate as such under the Corporations Act. It has no support from the Ministry and has to be selfsustaining.
2.2.3. Revenue generation
2.2.3.1 Sources of revenue are fees charged for the conduct of examinations, inspections and surveys of
ships and charges for the registration of ships. Port State control inspections cannot be charged for in the
first instance, but can if follow-up inspections are necessary for rectification of any defects of deficiencies
found on the first inspection.
2.2.3.2 It must be recognized that a newly established Administration will have to be supported by
appropriations, certainly in the short and medium term, until other sources of revenue are identified. In the
short term, the restructuring of fees for licensing, registration, inspections and the examination and
certification of seafarers to realistically reflect costs in performing these functions, would, to a degree, offset
the overall cost of the organization.
2.2.4. Structure
2.2.4.1 When considering a structure for the Maritime Administration, account has to be taken of the duties
imposed on the Administration by the Shipping Act and the support necessary to carry out those duties.
Accordingly, the roles and functions have been categorized as follows:
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ANNEX 1
PROPOSED ORGANIZATION BY FUNCTION
MARITIME
AUTHORITY
PROGRAM
SUPPORT
SERVICES
LEGAL
AFFAIRS
LEGISLATION
PERSONNEL
SAFETY ENVIRONMENT
& CERTIFICATIO N
REGISTRATION
CREWING &
RESEARCH
REGULATIONS
ADMINISTRATION
FINANCE
LITIGATION
MARINE POLLUTION
PREVENTION
ACCOUNTING
RECORDS
INT ERNATIONAL
CONVENTIONS
EXAMINATION &
CERTIFICATION OF
SEAFARERS
TACKLE
MANNING
CASUALTY INVESTIGATI0N
SHIPPING
DANGEROUS GOODS
WRECK & SALVAGE
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RESEARCH ON MARITIME
ACTIVITIES
ANNEX 2
PROPOSED ORGANISATION STRUCTURE BY POST 12
PERMANENT
SECRETARY
DIRECTOR GENERAL
MARITIME AUTHORITY
EXECUTIVE ASSISTANT
DIRECTOR
PROGRAM
SUPPORT SERVICES
DIRECTOR
LEGAL AFFAIRS
DIRECTOR
SAFETY, ENVIRONMENT &
CERTIFICATION
DIRECTOR
REGISTRATION, CREWING
& RESEARCH
SURVEYOR GENERAL
REGISTRAR GENERAL
SERVICWES
LEGAL
SECRETARY
ADMIN.
ASSISTANT
SATELLITE NORTH
COAST
SURVEYOR
RESEARCH
ANALYST
AD
.
LEGAL
OFFICER
DRIVER
SENIOR
SURVEYOR
NAUTICAL
FIANANCE &
ACCOUNTING
ADMIN.
ASSISTANT
SENIOR
SURVEYOR
ENGINEERING
REGISTRAR OF SHIPS
AND
SEAMEN
PERSONNEL
& RECORDS
SMALL VESSEL
INSPECTOR
SMALL VESSEL
INSPECTOR
SYSTEMS
ADMINISTRATOR
SURVEYOR
NAUTICAL
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The above chart was prepared for Jamaica and is used here as an example.
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SURVEYOR
ENGINEERING
ASSISTANT
REGISTRAR
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