FLAG STATE PERFORMANCE SELF-ASSESSMENT FORM
All questions relate to merchant ships flying the flag of the State concerned
GENERAL
1 Name of State/Associate Member
List the Administrations which you represent
at IMO (a separate assessment form should
be completed for each. Include all flag
States, including those which are not
Member States of IMO but are Parties to
IMO instruments).
Australia
2 Name of contact person responsible for the
completion of this form
Chief Executive Officer
Name of Administration
Australian Maritime Safety Authority
Address
GPO Box 2181, Canberra ACT 2601
Australia
Telephone number
+61 2 6279 5039
Fax number
E-mail address
Mick.Kinley@amsa.gov.au
3 Indicate to which of the following
international instruments your State is a
Party and which (optional) MARPOL 73/78
Annexes have been ratified.
SOLAS 74
SOLAS Protocol 78
SOLAS Protocol 88
MARPOL 73/78
Annex III
Annex IV
Annex V
Annex VI
LL 66
LL Protocol 88
TONNAGE 69
COLREG 72
UNCLOS
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
4.1 How many merchant ships of 100 gross
tonnage and upwards, subject to the relevant
instruments you indicated in question 3, are
currently flying the flag of your State?
1037
4.2 What is the total gross tonnage of
merchant ships currently flying the flag of
your State?
1 829 351 GT
1
INTERNAL CRITERIA
Legal Framework
5 Does your Administration have the
necessary laws in force to implement
international maritime safety and pollution
prevention instruments with regard to:
.1 the construction, equipment and
management of ships;
Yes
.2 the prevention, reduction and control of
pollution of the marine environment;
Yes
.3 the safe loading of ships;
Yes
.4 the manning of ships;
Yes
.5 the safety of navigation (including taking
part in mandatory reporting and routing
systems), maintenance of communications
and prevention of collisions?
Yes
6 Does your Administration have the
necessary laws in force to ensure the
provision of penalties of adequate severity to
discourage violation of international
instruments to which your State is a Party?
Yes
7 Does your Administration have the
necessary laws in force to provide for ship
inspections to ensure compliance with
international maritime safety and pollution
prevention standards to which your State is a
Party?
Yes
8 Does your Administration have the
necessary laws in force to take legal action
against ships which have been identified as
not being in compliance with the international
instruments to which your State is a Party?
Yes
9 Does your Administration have the
necessary laws in force to carry out the
required casualty investigations?
Yes
Enforcement
10 Does your Administration have an
infrastructure, including personnel with
appropriate technical expertise and
experience, to:
.1 identify ships flying the flag of your State
which are not in compliance with
international maritime safety and pollution
2
prevention requirements?
Yes
.2 take action against ships flying the flag of
your State which have been identified as not
being in compliance with international
maritime safety and pollution prevention
requirements?
Yes
- If yes, against how many such ships was
action taken for each of the previous 5
years*?
11 Did your Administration investigate
detentions by port States of ships flying the
flag of your State for each of the previous 5
years*? (see also question 28)
Australian
Legal
ships
Action
detained
Taken
2010
3
2011
6
2012
3
2013
4
2014
3
There were zero detentions in the previous 5
years.
- If yes, indicate how many such detentions
were investigated.
Recognized organizations acting on behalf of the Administration
 American Bureau of Shipping
12 Which organizations has your
(ABS)
Administration recognized for the purpose of
 Bureau Veritas (BV)
delegation of authority under the relevant
 DNV GL AS (DNVGL)
instruments you indicate under question 3?
 Lloyd’s Register (LR)
 Nippon Kaiji Kyokai (NKK)
 China Classification Society (CCS)
 Korean Register of Shipping (KRS)
 Registro Italiano Navale (RINA)
13 When your Administration delegates
authority to recognized organizations, does
it follow resolutions A.739(18) and A.789(19)
as minimum requirements, the requirements
in SOLAS 74, regulation XI/1, and the
analogous requirements in MARPOL 73/78
in any delegation of authority?
14 Has your Administration provided IMO
with a copy of the formal agreement or
equivalent legal arrangements with the
recognized organizations listed in question
12?
15 Indicate which survey and/or certification
functions your Administration has delegated
to the recognized organizations referred to in
question 12.
Yes
Yes
See attached list.
3
16 Indicate, for the instruments you listed
under question 3, which survey and/or
certification functions are carried out by your
Administration.
ISM Code audit, verification and
certification activities under SOLAS
Chapter IX.
17 Does your Administration carry out the
verification and monitoring functions
specified in resolution A.739(18)?
AMSA conducts an audit program of
approved classification societies and may
send observers to IACS QSCS vertical
contact audits carried out at Australian
offices of AMSA-approved classification
societies.
18 How does your Administration carry out
the verification and monitoring functions
specified in resolution A.739(18)?
Audit and monitoring of classification
society activities carried out on behalf of
AMSA together with on-board verification
through flag State control inspections of
Australian registered ships.
19 How often does your Administration verify
and monitor the work of recognized
organizations acting on its behalf?
Scheduled audits of approved
classification societies are carried out at
2½-yearly intervals, drawing on internal
and IACS QSCS audit results as
necessary to complement the AMSA
audits. Flag State control inspections of
Australian registered ships, which
include monitoring of approval, survey
and certification activities carried out on
AMSA’s behalf by approved classification
societies, take place at 6-monthy
intervals.
20 How does your Administration take
specific responsibility for international
certificates issued on its behalf by dependent
territories/second registers?
Casualty and incident investigation
21 Does your Administration have the means
(financial and administrative) to ensure that
thorough and prompt casualty and incident
investigations into all cases of serious and
very serious casualties, as defined in
paragraphs 4.2 and 4.3 of the Annex to
resolution A.849(20), are carried out?
22 For each of the previous 5 years*, for
ships flying the flag of your State:
.1 How many serious and very serious
casualties were investigated?
.2 How many such serious and very serious
casualties were reported to IMO?
NA
Yes
2010
2011
2012
2013
2014
2010
2011
Reported
27
12
5
1
2
Reported
27
12
4
2012
2013
2014
23 Can your Administration provide to IMO,
on request, evidence which shows that
casualties and incidents on ships flying the
flag of your State have been investigated?
24 For each of the previous 5 years*, has
your Administration provided IMO with the
mandatory annual reporting required by
article 11.1(f) of MARPOL 73/78?
25 How many allegations of violations,
according to article 4 of MARPOL 73/78,
have been made against ships flying the flag
of your State in each of the previous
5 years*?
.1 How many investigations or legal
proceedings has your Administration
carried out in the previous 5 years* in
accordance with articles 4 and 6
of MARPOL?
.2 In how many cases did your
Administration report back to the reporting
State or to IMO in each of the previous 5
years*?
5
1
2
Yes
Yes
NIL
2010
2011
2012
2013
2014
.1
.2 Reports
Investigation
9
11
12
10
14
EXTERNAL CRITERIA
26 For each of the previous 5 years*, how
many ships flying the flag of your State:
.1 have been involved in serious or very
serious casualties?
2010
2011
2012
2013
2014
Serious / Very
Serious Casualties
27
12
5
1
2
2010
2011
2012
2013
2014
Total loss /
Constructive Total
Loss
0
0
0
0
0
2010
Severe Pollution
0
.2 have become total losses or constructive
total losses?
.3 have caused severe pollution**?
5
2011
2012
2013
2014
.4 What casualty rate per 1000 ships does
this represent?
.5 What is the total tonnage involved as a
percentage of the total fleet?
27 In each of the previous 5 years*, how
many lives have been lost:
Casualty rate per
1000 ships
2010
2011
2012
2013
2014
Total Tonnage as
% of total fleet
2010
2011
2012
2013
2014
Lives lost in:
.1
Casualties
.1 in casualties involving ships flying the flag
of your State?
.2 due to occupational accidents (i.e. other
than from casualties to ships) on ships flying
the flag of your State?
NB - Includes: falls; boarding or
disembarking; accidents on deck and
in machinery spaces; deaths in enclosed
spaces; but does not include:
accidents ashore; homicide; suicide; or
deaths from disease or natural
causes.
28.1 For each of the previous 5 years*, how
many ships flying the flag of your State were
detained, within the scope of SOLAS 74,
MARPOL 73/78, LL 66 or COLREG 72, by
port States?
0
0
0
0
2009-10
2010-11
2011-12
2012-13
2013-14
2010
2011
2012
2013
2014
0
0
0
0
0
.2
Occupational
accidents
0
0
0
2
1
0
0
0
0
0
28.2 What detention rate per 1000 ship
inspections does this represent?
(see also question 11).
6
ATTACHMENT TO FLAG STATE SELF-ASSESSMENT FORM SUBMITTED BY
AUSTRALIA
The following international maritime convention survey and certification functions may be
undertaken by approved classification societies on behalf of the Australian Maritime Safety
Authority (AMSA).
1
AUTHORISATION
1.1
The following three levels of authorisations are noted in this Schedule:
F:
Full Authorisation to perform plan review, carry out surveys and issue, endorse
and/or revoke necessary interim and full term certificates
P:
Partial Authorisation to perform plan review, carry out surveys and issue certificates,
with specific guidance provided as necessary
L:
Limited Authorisation to account for other special categories not covered by the
above, such as case-by-case authorisation or geographical limitations.
1.2
Reference to “MO” in this Schedule is to be taken as the current issue of the related
Marine Order as identified by the appended number
2
INSTRUMENTS AND AUTHORISATION TYPES
The listing of Instruments and type of authorisation covered by this agreement is as follows:
2.1
SOLAS Convention 1974, SOLAS Protocol 1978 and the 1981 and 1983
amendments to SOLAS 1974, SOLAS Protocol 1988, as may be amended.
Survey for the issue or endorsement of a Passenger Ship Safety
Certificate (F)
MO31
Survey for the issue or endorsement of a Cargo Ship Safety
Construction Certificate (F)
MO31
Survey for the issue or endorsement of a Cargo Ship Safety
Equipment Certificate (F)
MO31
Survey for the issue or endorsement of a Cargo Ship Safety Radio
Certificate (F)
MO31
Survey for the issue or endorsement of a Cargo Ship Safety
Certificate (F)
MO31
Survey for issue or endorsement of a High Speed Craft Safety
Certificate
MO49
(P - excludes issue of Permit to Operate)
Survey for and issue of the Document of Compliance for ships
carrying dangerous goods (F)
MO15
7
Survey for and issue of the Document of Authorisation for the
carriage of grain (F)
MO33
Enhanced surveys of bulk carriers and oil tankers A.744 (18) 1,2 (F)
MO18
Survey for and approval of Cargo Securing Manuals (F)
MO42
Assessment of damage stability for passenger ships (F)
MO12
Assessment of damage stability for cargo ships and offshore supply
vessels (F)
MO12
Approval of emergency towing arrangements on board oil tankers,
chemical tankers and gas carriers (F)
MO12
Approval of safe access to bows of tankers (F)
MO12
Approval of corrosion prevention systems for seawater ballast tanks
in all ships as prescribed by SOLAS II-1/3-2 (F)
MO12
Approval of means of access and ships structure access manual for
bulk carriers and tankers as prescribed by SOLAS II-1/3-6 (F)
MO12
MO35
Acceptance of the bulk cargo operations booklet prescribed by
SOLAS VI/7.2 (F)
MO34
MO46
2.2
Convention on the International Regulations for Preventing Collisions at Sea,
as may be amended.
Field of application as prescribed in the Convention (P - with the
exception of the issue of determinations under rule 1(e))
2.3
MO30
MARPOL 73/78, as may be amended.
1
IMO Res A.744(18) as amended. To date this includes Resolutions MSC.49(66), MSC.105(73), MSC.125(75),
Resolution 2 of SOLAS/CONF.4/25 and Resolutions MSC.144(77), MSC.197(80) and MSC.261(84). With effect
from 1 January 2014, the IMO Res A.744(18) will be superseded by the ‘2011 ESP Code’ as adopted by IMO Res
A.1049(27).
2
A reference to ‘Administration’ in the following paragraphs of the ‘2011 ESP Code’ is meant to be the issuing
body or recognised organisation: 1) In Annex-A, Part-A:- Paragraphs 1.3.1, 1.3.2, 2.6.5, 3.3.4, 3.5, 5.1.1,
5.1.1.1, 5.1.4, 5.1.5 5.2.2, 7.2, 7.3.1, Appendix 3 to Annex 4A, paragraph 1 of Annex 4B, paragraphs 1 & 2.3 of
Annex 9 and paragraph 3 of Annex 13; 2) In Annex-A, Part-B:- Paragraphs 1.3.1, 1.3.2, 2.6.5, 3.3.4, 5.1.1,
5.1.1.1, 5.1.4, 5.1.5, 5.2.2, 7.3.1, Appendix 3 to Annex 4A, paragraph 1 of Annex 4B, paragraphs 1 & 2.3 of
Annex 9 and paragraph 3 of Annex 11; 3) In Annex-B, Part-A:- Paragraphs 1.3.1, 1.3.2, 2.4.3, 2.4.4, 2.5.4, 3.5.1,
4.3.1, 4.4.1, 5.1.1.1, 5.1.4, 5.1.5, 5.2.1.1, 7.3.1, Appendix 3 to Annex 6A, paragraph 1 of Annex 6B, paragraph
2 of Annex 9, paragraph 1 & 2.3 of Annex 11, paragraph 2.2.1.1 & 2.2.1.2 of Annex 12 and Appendix 3 to Annex
12; 4) In Annex-B, Part-B:- Paragraphs 1.3.1, 1.3.2, 2.4.3, 2.4.4, 2.5.4, 3.5.1, 4.2.2, 4.3.1, 4.4.1, 5.1.1.1, 5.1.4,
5.1.5, 5.2.1.1, 7.3.1, Appendix 3 to Annex 6A, paragraph 1 of Annex 6B, paragraph 2 of Annex 9, paragraph 1 &
2.3 of Annex 11, paragraph 2.2.1.1 & 2.2.1.2 of Annex 12 and Appendix 3 to Annex 12
8
2.3.1 The survey and inspection functions shall be in accordance with the MARPOL 73/78
Convention, as may be amended and in accordance with Guidelines developed by IMO and
cover the items listed below.
Survey for issue or endorsement of an International Oil Pollution Prevention
Certificate (F)
MO91
The functions related to sub-regulations 18(5), 18(8.2), 18(10.1.1), 29(2.3),
30(6), 31(2) and 35(1) of Annex-I of MARPOL (F)
MO91
The functions related to sub-regulations, 14(6), 14(7), 18(8.3), 18(8.4), 27(3), 28,
29(2.1), 30(7), 31(1), 31(3), 31(4), 32, 33(2), and 37 of Annex-I of MARPOL (F)
MO91
Survey for issue or endorsement of an International Pollution Prevention
Certificate for the Carriage of Noxious Liquid Substances in Bulk (F)
MO93
Certificate of Fitness for the transport and handling of limited amounts of
hazardous and noxious liquid substances in bulk on offshore support vessels
A.673.(16) (as amended) (F)
MO93
The functions related to sub-regulations 12(5), 14(1), 17(1) of Annex-II of
MARPOL (F)
MO93
Survey for issue or endorsement of an International Sewage Act Pollution
Prevention Certificate (F)
MO96
The functions related to sub-regulations 9(1.1), 9(1.2), 9(1.3), 11(1.1) of AnnexIV of MARPOL (F)
MO96
Survey for issue or endorsement of an International Air Pollution Prevention
Certificate (F)
MO97
The functions related to sub-regulations 15(5), 15(6), 16(6.1) of Annex-VI of
MARPOL (F)
MO97
Survey for issue or endorsement of an Engine International Air Pollution
Prevention Certificate (F)
MO97
Survey for issue of an International Energy Efficiency Certificate (F) MO973
The functions related to sub-regulation 20(1) of Annex-VI of MARPOL (F) MO97
2.4
International Convention on Load Lines, 1966, LL Protocol 1988; as may be
amended.
Survey for the issue or endorsement of an Australian or International
Load Line Certificate (F)
MO16
3
Pending amendments to MO97 for giving effect to IMO Res MEPC.203(62), a ‘Statement of Compliance’ may
only be issued in lieu of an IEEC
9
Approval of intact stability data (F)
2.5
MO12
Code of Safety for Dynamically Supported Craft
Survey for issue or renewal of a Dynamically Supported Craft
Construction and Equipment Certificate
MO49
(P - excludes issue of Permit to Operate)
2.6
Code for the Construction and Equipment of Mobile Offshore Drilling Units
Survey for issue or endorsement of a Mobile Offshore Drilling Unit
Safety Certificate (F)
2.7
Code of Safety for Special Purpose Ships
Survey for issue or endorsement of a Special Purpose Ship Safety
Certificate (F)
2.8
MO17
BCH and IBC Codes
Survey for the issue or endorsement of a Certificate of Fitness for a
Chemical Tanker (F)
2.10
MO50
EGC, GC and IGC Codes
Survey for the issue or endorsement of a Certificate of Fitness for a
Gas Carrier (F)
2.9
MO47
MO17
The International Maritime Solid Bulk Cargoes (IMSBC) Code
Survey for and issue of Certificates of Compliance with IMSBC
Code, provisions 7.3.2 with respect to being a specially constructed
and fitted ship for the carriage of cargoes that may liquefy
MO34
(L – recommendations to AMSA on a case by case basis)
2.11 International Convention on Tonnage Measurement of Ships, 1969, as may be
amended
Measurement for, calculation and issue of an International Tonnage
Certificate (1969) (F)
2.12
Other Tonnage
Measurement for, calculation and issue of the necessary certification
for Panama and Suez Canal Tonnages (F)
2.13
MO19
MO19
Accommodation for Crew
10
2.13.1 This authorisation only applies to General Register Ships prior to the implementation
of the Maritime Labour Convention (MLC) 2006 and Ships to which the MLC2006 does not
apply.
Examination of proposed location and general arrangement of crew
accommodation and subsequent inspection
MO14
(L - case by case basis)
2.14
Maritime Labour Convention 2006
Inspection for issue or endorsement of an International Maritime
Labour Certificate (F)
MO11
Examination of proposed location and general arrangement of crew
accommodation with respect of the MLC 2006 Requirements (F)
MO11
2.15 International Convention on the Control of Harmful Anti-Fouling Systems on
Ships 2001, as may be amended.
Survey for issue or endorsement of an International Anti-fouling
System Certificate (F)
2.16
2.17
MO98
International Convention for Safe Containers, 1972
The test, Inspection and approval of Containers as prescribed in
article 4 and Annex 4 of the Convention (F)
MO44
Approval of Continuous Examination Programme (ACEP) as detailed
in Annex 4 of the Convention (F)
MO44
Other Items
Recognition of fire test laboratories as required by SOLAS II-2
MO15
(L - case by case basis)
Approval of Life raft Service Stations (F)
MO25
Type approval of containers, offshore containers, portable tank
containers and Bulk Containers (BK1 and 2) (F)
MO41
Certification, testing and examination of cargo handling equipment
(F)
MO32
Survey for and issue of a Noise Survey Report A.468 (XII) (F)
MO12
Survey of ships’ machinery, fittings, arrangements, installations, lifts
MO12
MO44
11
and engine room cranes (F)
To require repairs to vessels (F)
2.18
2012
MO31
Customs Vessel Management Plans under section 11 of the Navigation Act
Assessment and acceptance of CVMP for submission to AMSA (F)
Nav regs4
Audit for issue or endorsement of a Document of Compliance (DOC)
to Customs for vessels in which CVMP has effect in accordance to
Section 11 of the Navigation Act (F)
MO58
Audit for issue or endorsement of a Safety Management Certificate
(SMC) to Customs vessels in which CVMP has effect in accordance
to Section 11 of the Navigation Act (F)
MO58
Issuance of Continuous Synopsis Record (CSR) to Customs Vessels
in which CVMP has effect in accordance to Section 11 of the
Navigation Act (F)
2.19 Marine Order 43 (Cargo & cargo handling – livestock) 2006
Review of stability information, taking into account the effects of wind and shift of
livestock & fodder as prescribed in Appendix 3 of MO Part 43 Issue 6 (F).
4
Nav Regs being the Navigation Regulations 2013
12