G1115 VTS 분야 IMO 회원국 감사제도(IMSAS) 대비 (요약·한영 대역)

IALA GUIDELINE G1115
PREPARING FOR AN IMO MEMBER STATE AUDIT SCHEME (IMSAS) ON VTS

Edition 1.1, January 2022
urn:mrn:iala:pub:g1115:ed1.1

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

1. Aims and Objectives
2. Introduction
3. Overview
4. International Framework
  4.1 IMO
    4.1.1 Resolution A.1067(28) on the Framework and Procedures for the IMO Member State Audit Scheme
    4.1.2 Resolution A.1070(28) on IMO Instruments Implementation Code (III Code)
    4.1.3 IMO Circular Letter No. 3425 - Auditor's Manual for the IMO Member State Audit Scheme (IMSAS)
    4.1.4 Resolution A.1158(32) Guidelines for Vessel Traffic Services
  4.2 IALA
5. Preparing for an IMSAS Audit – Vessel Traffic Services
6. Definitions
7. Abbreviations
8. References
Annex A Guidance for Audit Preparation
Annex B Checklist for Auditors – Vessel Traffic Services (VTS) Elements

The aim of this document is to provide guidance for Contracting Governments and competent authorities to meet the objectives of an IMO Member State Audit Scheme (IMSAS) with respect to the implementation and delivery of VTS, that is, to demonstrate they are fulfilling their responsibilities under the general provisions of treaty law and IMO conventions for promulgating laws and regulations. They are also responsible for taking all other steps which may be necessary to give full and complete effect to the International Convention on the Safety of Life at Sea (SOLAS) Chapter V (Safety of Navigation) Regulation 12 [1].

In particular, the guidance focuses on providing assistance with the planning and preparation for an audit, including:

• compliance with the audit standard;
• the enactment of legislation, as appropriate, for delivery of VTS under SOLAS;
• the administration and enforcement of the applicable laws and regulations of the Member State; and
• the mechanism and controls in place, by which the delegation of authority by a Member State to a recognized organization, for the purposes of implementing and delivering VTS, is affected.

Vessel Traffic Services are recognized internationally as a navigational safety measure through the International Convention on the Safety of Life at Sea (SOLAS). 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."
• "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".
• "Contracting Governments planning and implementing VTS shall, wherever possible, follow the guidelines developed by the [IMO]".

It is recognized 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 such as IMO Resolution A.1158(32) Guidelines for Vessel Traffic Services [2]. The Resolution 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 as well as qualifications and training for VTS personnel.

Vessel traffic services implemented by a competent authority are subject to the IMO Member State Audit Scheme (IMSAS) in view of the fact that all IMO audits from 1 January 2016 will be mandatory and should be arranged and carried out in line with the framework and procedures for the IMO Member State Audit Scheme and using the IMO Instruments Implementation Code (III Code) [3] as the audit standard.

IALA Guideline G1055 Preparing for a Voluntary IMO Audit on Vessel Traffic Services Delivery has been revoked.

Under the general provisions of treaty law and IMO conventions, the contracting governments are responsible for promulgating laws and regulations. They are also responsible for taking all other steps which may be necessary to give those instruments full and complete effect to ensure safety of life at sea and protection of the marine environment.

The IMO Member State Audit Scheme (IMSAS) provides a Member State with a comprehensive and objective assessment of how effectively it administers and implements those mandatory IMO instruments which are covered by the scheme, i.e., SOLAS.

The scheme addresses issues such as:

• Conformance in enacting appropriate legislation for the IMO instruments to which a Member State is a Party.
• The implementation and enforcement of the applicable laws and regulations by the Member State.
• The delegation of authority to Recognized Organizations (ROs).
• The related control and monitoring mechanism of the survey and certification processes by the Member States.

A VTS is recognized internationally as a navigational safety measure through SOLAS. In particular, the provision in SOLAS Chapter V (Safety of Navigation) Regulation 12 provides for vessel traffic services. Key IMO documents regarding IMSAS include:

The purpose of this framework is to describe the objective, principles, scope, responsibilities and capacity-building aspect of the IMO Member State audit, which together constitute the strategy for the audit scheme.

This framework is supported by the procedures for the IMO Member State audit and the IMO .

The objective of this Code is to enhance global maritime safety and protection of the marine environment and assist States in the implementation of instruments of the Organization.

The Code acknowledges that different States will view this Code according to their own circumstances and should be bound only for the implementation of those instruments to which they are Contracting Governments or Parties. By virtue of geography and circumstance, some States may have a greater role as a flag State than as a port State or as a coastal State, whilst others may have a greater role as a coastal State or a port State than as a flag State.

The Code seeks to address those aspects necessary for a Contracting Government or Party to give full and complete effect to the provisions of the applicable international instruments to which it is a Contracting Government or Party, including SOLAS Chapter V (Safety of Navigation) Regulation 12.

This manual has been developed as guidance to assist in the planning, conducting and reporting by auditors in the execution of their duties as defined in the framework and procedures for the IMO Member State Audit Scheme, which was adopted by the Assembly through resolution A.1067(28) [5].

The guidance is intended to promote consistency in the delivery of the audit programme.

This Resolution describes the principles and general provisions for the operation of a VTS and participating vessels. Contracting Governments should take account of these guidelines when planning, implementing and operating vessel traffic services.

IALA has developed a suite of documents to assist governments, competent authorities and VTS providers to implement and deliver a VTS in a manner consistent with IMO Resolution A.1158(32). These documents consist of numerous recommendations, guidelines and model courses etc. For the latest document editions refer to IALA web page http://www.iala-aism.org/ under "publications", where these can be freely downloaded.

IMSAS covers a broad range of maritime safety and prevention of pollution issues which are reflected in SOLAS, MARPOL, TONNAGE, Load Line, STCW and COLREGs. A VTS is an important element of the audit scheme, which should be carefully prepared. To assist with planning and preparation for an audit, annexes A and B provide guidance and check lists for audit preparations. Furthermore, the following issues should be considered:

• Member State's policy and legal frameworks should be explained as fully as possible.
• Member State's internal stakeholder arrangements should be described, in particular the sectional and governance arrangements for the responsibilities of a Member State's VTS. Wherever possible, clarification of any special organizational arrangements should be fully detailed.
• A designated single point of contact is required for the Member State. It may also be necessary to establish a single point of contact for other internal stakeholders that have delegated VTS responsibilities. It might also be useful to establish a hierarchy of responsibilities.
• To assist the audit process, the use of organizational diagrams and flow charts should be considered.
• A mechanism of coordination should be implemented with other organizations / agencies / Federal Governments etc. related to VTS in order to allow the Member State to undergo the audit.
• Member States may consider adopting a programme or project management approach to the audit process. This will assist with the setting of timetables and the consideration of budget and resources.
• Noting that a maximum period of two months is permitted for the completion of the pre-audit questionnaire from the time the audit is officially launched, Member States should not underestimate the time and effort that may be required to complete the questionnaire.
• The working language should be agreed between the Member State and IMO audit team. For some Member States the translation of sections of primary legislation pertaining to VTS responsibility, delivery and monitoring may be necessary. In addition, to assist with coordination of the audit, it may also be necessary to use hard copy documentation.

It may be useful when preparing the IMO audit, to proceed with an internal pre-audit. IALA Guideline G1101 Auditing and Assessing a VTS [6] provides a checklist which may assist as a tool to assess and monitor the delivery of a VTS with regards to international obligations, the IALA recommendations, guidelines and VTS Manual [7].

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] IMO. Instruments Implementation Code (III Code)
[4] IMO. Circular Letter No. 3425 Auditor's Manual for the IMO Member State Audit Scheme (IMSAS)
[5] IMO. Resolution A.1067(28) Framework and Procedures for the IMO Member State Audit Scheme
[6] IALA. Guideline G1101 Auditing and Assessing a VTS
[7] IALA. VTS Manual

This section provides a summary of the IMSAS requirements relating to SOLAS Chapter V (Safety of Navigation) Regulation 12 and provides guidance for preparing to undertake an audit to assess how effectively the Contracting Government and competent authority administers and implements its obligations under this Regulation.

Table columns: No; Title/Topic; IMO References; Requirements; Possible Audit Questions; Remarks.

This section is an extract from Annex 3 Part 2 of IMO Circular No. 3425 Auditor's Manual for the IMO Member State Audit Scheme (IMSAS).

Legislation

• What national Administration is responsible for VTS?
• Under what law(s) does each Administration act?

Organization

• How is each Administration organized?
• To what other bodies, if any, has responsibility for VTS been delegated?
• Has this delegation been formally established and documented?

Resources

• What is the mechanism for establishing resource requirements (Equipment/Human)?
• What are the funding mechanisms for the Administration?
• What is the mechanism for ensuring competence of personnel?

International recommendations/regulations

• What national legislation is in place to support provision of, and compliance with VTS systems?
• What international recommendations and guidelines in respect of VTS are reflected in the Administration's policies and procedures?