G1101 VTS 감사 및 평가 실시 방법 (요약·한영 대역)

IALA GUIDELINE
G1101
AUDITING AND ASSESSING A VTS

Edition 1.1, January 2022
urn:mrn:iala:pub:g1017:ed1.1

Revisions to this document are to be noted in the table prior to the issue of a revised document.

1. Introduction
2. Overview
3. Aims and objectives
4. Responsibilities
  4.1 Contracting Government / Competent authority
  4.2 VTS providers
5. Framework for auditing and assessing
  5.1 Checklist for auditing and assessing a VTS
6. Procedures for auditing and assessing a VTS
7. Definitions
8. Abbreviations
9. References
Annex A Audit checklist for the assessment of a VTS

Vessel Traffic Services are recognized internationally as a navigational safety measure through the International Convention on the Safety of Life at Sea 74/78 (SOLAS) [1]. In particular, the provisions in SOLAS Chapter V (Safety of Navigation) Regulation 12 provides for vessel traffic services and states, amongst other things, that:

"Vessel Traffic Services (VTS) contribute to safety of life at sea, safety and efficiency of navigation and protection of the marine environment, adjacent shore areas, work sites and offshore installations from possible adverse effects of maritime traffic."

and

"Contracting Governments undertake to arrange for the establishment of VTS where, in their opinion, the volume of traffic or the degree of risk justifies such services."

SOLAS also states that Contracting Governments planning and implementing VTS shall, wherever possible, follow the guidelines developed by the IMO.

Recognising that the safety and efficiency of maritime traffic and the protection of the marine environment would be improved if vessel traffic services were established and operated in accordance with internationally approved guidelines the IMO Assembly adopted IMO Resolution A.1158(32) Guidelines for Vessel Traffic Services [2]. The Resolution describes the purpose and general principles for the operation of a VTS and participating vessels, in addition to the roles and responsibilities of contracting governments, competent authorities and VTS providers.

The establishment and on-going operation of a VTS is a considerable investment. To achieve the purposes for which it was implemented, it needs to be effective and routinely evaluated to ensure that the operational objectives are being met, the technical and operational performance is acceptable, and the issues identified and defined in determining the need for the VTS have been either alleviated or at least reduced to an acceptable level.

The aim of this document is to provide guidance for competent authorities and VTS providers to meet their obligations under SOLAS for the establishment and operation of a VTS. In particular, it aims to provide guidance for auditing and assessing a VTS and the subsequent on-going assessment and evaluation to ensure:

• conformity with international obligations;
• the technical performance of the VTS equipment is consistent with the objectives of the VTS;
• the operational objectives are being met; and
• the degree of risk identified in determining the need for the VTS have been either alleviated or at least reduced to an acceptable level.

Note:

This Guideline is intended to complement other IALA guidance, as amended, on the establishment and on-going operation of a VTS. It is not intended to replicate the information and guidance in these documents or be prescriptive about auditing provisions / quality management systems. Rather, it provides a framework to assist authorities to meet their obligations for the establishment and operation of a VTS in a consistent manner. Key IALA documentation associated with this Guideline may be found on the IALA website www.iala-aism.org.

The responsibilities of the Contracting Governments/competent authorities and VTS providers in planning, establishing and operating a VTS are described in IMO Resolution A.1158(32) Guidelines for Vessel Traffic Services. Recognizing that the relationship between the competent authority and the VTS provider may differ between countries the following guidance is provided for the respective responsibilities.

The Contracting Government should:

• establish a legal basis for VTS that gives effect to regulation V/12 of the Convention; and
• appoint and authorize a competent authority for VTS.

The competent authority for VTS should:

• establish a regulatory framework for establishing and operating VTS in accordance with relevant international conventions and IMO instruments, IALA standards and national law; and
• authorize VTS providers to operate VTS within a delineated VTS area.

The Contracting Government/competent authority should ensure the on-going effectiveness of the VTS and consistency with international guidelines through audits and/or periodic assessments. Such assessments could be managed by the Contracting Government/competent authority itself or by an accredited third party, such as an IALA approved classification society (IALAACS). However, even though the audits or assessments are made by a third party, the responsibility always lies with the Contracting Government/competent authority.

VTS providers should:

• ensure that VTS conform with the regulatory framework set by the competent authority for VTS;
• set operational objectives for VTS that are consistent with improving the safety and efficiency of ship traffic and the protection of the environment. The objectives set should be routinely evaluated to demonstrate that they are being achieved;
• ensure that appropriate VTS equipment, systems and facilities for the delivery of VTS are provided;
• ensure that VTS are adequately staffed and that VTS personnel are appropriately trained and qualified; and
• ensure that information regarding requirements and procedures of VTS and the categories of ships required to participate in VTS are promulgated in appropriate nautical publications.

The VTS should be operated under a quality management system (QMS) and the VTS provider should ensure the on-going integrity of the QMS through periodic review/audit as described in the VTS Manual and IALA Recommendation R0132 Quality Management for Aids to Navigation Authorities (O-132) [3].

The framework for auditing and assessing a VTS and the subsequent on-going assessment and evaluation of safe and effective provision of the service/s provided should be comprised of the following elements:

• The use of a quality management system (QMS)
• The use of a safety management system (SMS)
• The audit checklist for the assessment of a VTS, which may be found at annex A
• The guidance provided in the VTS Manual and IALA recommendations and guidelines regarding the establishment and operation of a VTS

The checklist at annex A provides a tool to assess and monitor the delivery of a VTS with regards to international obligations, the IALA recommendations, guidelines and VTS Manual.

The QMS that an individual VTS provider operates under may have a corporate focus and a scope that does not fully cover the specific delivery of a VTS. The checklist provides a robust, yet flexible, framework to ensure the VTS can be assessed and monitored in a way that facilitates consistency in the delivery of a VTS.

IMO Resolution A.1158(32) describes the principles and general provisions for the operation of a VTS and participating vessels, in addition to the roles and responsibilities of Contracting Governments, competent authorities and VTS providers.

Audits and assessments are an essential management tool to be used for verifying objective evidence of processes, to assess how successfully processes have been implemented, for judging the effectiveness of achieving any defined target levels, to provide evidence concerning reduction and elimination of problem areas.

The criteria for auditing and assessment of a VTS provider should be made available by the competent authority.

The following procedures provide competent authorities with guidelines for auditing and assessing a VTS:

Step 1 – Request
The entity¹ submits a request to the competent authority.
Prior to submission of an audit and/or assessment request, it is recommended that the entity conducts its own internal check using the audit checklist at annex A.

Step 2 – Pre-audit documentation
The entity submits completed pre-audit documentation. The entity should ensure that the checklist and the supporting documentation are submitted in sufficient time to allow the competent authority to properly assess the submission.

Step 3 – Evaluation of pre-audit documentation
The competent authority evaluates the pre-audit documentation and the supporting documentation to ensure conformance with IMO Resolution A.1158(32) Guidelines for Vessel Traffic Services, IALA recommendations and guidelines, and any additional requirements.

Does pre-audit documentation comply with the requirements?
If "Yes", the audit can take place at an agreed time.
If "No", the competent authority notifies the entity and provides reasons to serve as a basis for corrective actions.

Step 4 – Audit
The competent authority or a body appointed conducts an audit.

Step 5 – Audit findings
The competent authority investigates if the entity complies with the set requirements.
The competent authority notifies the entity about the results of the findings in writing and if necessary, provides reasons to serve as a basis for corrective actions.
A time limit should be set for when the entity should provide an answer with the corrective actions taken.

Step 6 – Respond to findings
The entity replies and gives information about the corrective actions taken as a result of the findings.

Step 7 – Additional audit
After the entity responds to audit findings, the competent authority or appointed body conducts an additional audit in order to ensure that the corrective actions resulting from the audit findings have been taken.

Step 8 – Approval
The competent authority issues a document or confirmation that the entity is approved as a VTS provider.

The definitions of terms used in this Guideline can be found in the International Dictionary of Marine Aids to Navigation (IALA Dictionary) at http://www.iala-aism.org/wiki/dictionary and were checked as correct at the time of going to print. Where conflict arises, the IALA Dictionary should be considered as the authoritative source of definitions used in IALA documents.

[1] IMO. International Convention for the Safety of Life At Sea
[2] IMO. Resolution A.1158(32) Guidelines for Vessel Traffic Services
[3] IALA. Recommendation R0132 Quality Management for Aids to Navigation Authorities (O-132)

The reference "IALA Documentation relating to VTS" provides a list of the standards, recommendations, guidelines and model courses specifically related to the development, implementation and operation of a VTS. It is available at https://www.iala-aism.org/product/iala-documentation-relating-to-vts/

These documents, as updated, need to be considered for integration into internal procedures. National/local references and other relevant international arrangements may be Included as necessary.