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