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
Australia
States, including those which are not
Member States of IMO but are Parties to
IMO instruments).

2 Name of contact person responsible for the Chief Executive Officer

completion of this form

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 Yes
SOLAS Protocol 78 Yes
SOLAS Protocol 88 Yes
MARPOL 73/78 Yes
Annex III Yes
Annex IV Yes
Annex V Yes
Annex VI Yes
LL 66 Yes
LL Protocol 88 Yes
TONNAGE 69 Yes
COLREG 72 Yes
UNCLOS Yes

4.1 How many merchant ships of 100 gross 1037

tonnage and upwards, subject to the relevant
instruments you indicated in question 3, are
currently flying the flag of your State?

4.2 What is the total gross tonnage of 1 829 351 GT

merchant ships currently flying the flag of
your State?

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 Australian Legal

action taken for each of the previous 5 ships Action
years*? detained Taken
2010 3
2011 6
2012 3
2013 4
2014 3
11 Did your Administration investigate There were zero detentions in the previous 5
detentions by port States of ships flying the years.
flag of your State for each of the previous 5
years*? (see also question 28)

- If yes, indicate how many such detentions

were investigated.

Recognized organizations acting on behalf of the Administration

12 Which organizations has your
Administration recognized for the purpose of
delegation of authority under the relevant
instruments you indicate under question 3?
American Bureau of Shipping
(ABS)
Bureau Veritas (BV)
DNV GL AS (DNVGL)
Lloyds 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
Yes
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
Yes
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 See attached list.
question 12.

3
16 Indicate, for the instruments you listed
under question 3, which survey and/or
certification functions are carried out by your
Administration.
17 Does your Administration carry out the
verification and monitoring functions
specified in resolution A.739(18)?
18 How does your Administration carry out
the verification and monitoring functions
specified in resolution A.739(18)?
19 How often does your Administration verify
and monitor the work of recognized
organizations acting on its behalf?
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?
ISM Code audit, verification and
certification activities under SOLAS
Chapter IX.
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.
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.
Scheduled audits of approved
classification societies are carried out at
2-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
AMSAs behalf by approved classification
societies, take place at 6-monthy
intervals.
NA
Yes
Reported
2010 27
2011 12
2012 5
2013 1
2014 2
Reported
2010 27
2011 12
4
 2012 5
2013 1
2014 2
23 Can your Administration provide to IMO,
on request, evidence which shows that
casualties and incidents on ships flying the Yes
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 Yes
article 11.1(f) of MARPOL 73/78?

25 How many allegations of violations, NIL

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 .1 .2 Reports

proceedings has your Administration Investigation
carried out in the previous 5 years* in 2010 9
accordance with articles 4 and 6 2011 11
of MARPOL? 2012 12
2013 10
.2 In how many cases did your 2014 14
Administration report back to the reporting
State or to IMO in each of the previous 5
years*?

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 / Very

serious casualties? Serious Casualties
2010 27
2011 12
2012 5
2013 1
2014 2

.2 have become total losses or constructive Total loss /

total losses? Constructive Total
Loss
2010 0
2011 0
2012 0
2013 0
2014 0

.3 have caused severe pollution**? Severe Pollution

2010 0

5
 2011 0
2012 0
2013 0
2014 0

Casualty rate per

.4 What casualty rate per 1000 ships does 1000 ships
this represent? 2010
2011
2012
2013
2014

Total Tonnage as
.5 What is the total tonnage involved as a
% of total fleet
percentage of the total fleet?
2010
2011
2012
2013
2014

27 In each of the previous 5 years*, how Lives lost in:

many lives have been lost:
.1 .2
.1 in casualties involving ships flying the flag Casualties Occupational
of your State? accidents
2009-10 0 0
.2 due to occupational accidents (i.e. other 2010-11 0 0
than from casualties to ships) on ships flying 2011-12 0 0
the flag of your State? 2012-13 0 2
2013-14 0 1
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 2010 0

many ships flying the flag of your State were 2011 0
detained, within the scope of SOLAS 74, 2012 0
MARPOL 73/78, LL 66 or COLREG 72, by 2013 0
port States? 2014 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 MO31

Certificate (F)

Survey for the issue or endorsement of a Cargo Ship Safety MO31

Construction Certificate (F)

Survey for the issue or endorsement of a Cargo Ship Safety MO31

Equipment Certificate (F)

Survey for the issue or endorsement of a Cargo Ship Safety Radio MO31
Certificate (F)

Survey for the issue or endorsement of a Cargo Ship Safety MO31

Certificate (F)

Survey for issue or endorsement of a High Speed Craft Safety MO49

Certificate

(P - excludes issue of Permit to Operate)

Survey for and issue of the Document of Compliance for ships MO15
carrying dangerous goods (F)

7
 Survey for and issue of the Document of Authorisation for the MO33
carriage of grain (F)

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 MO12
vessels (F)
MO46

Approval of emergency towing arrangements on board oil tankers, MO12

chemical tankers and gas carriers (F)

Approval of safe access to bows of tankers (F) MO12

Approval of corrosion prevention systems for seawater ballast tanks MO12

in all ships as prescribed by SOLAS II-1/3-2 (F)

Approval of means of access and ships structure access manual for MO12
bulk carriers and tankers as prescribed by SOLAS II-1/3-6 (F) MO35

Acceptance of the bulk cargo operations booklet prescribed by MO34

SOLAS VI/7.2 (F)

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 MO30

exception of the issue of determinations under rule 1(e))

2.3 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 MO91

Certificate (F)

The functions related to sub-regulations 18(5), 18(8.2), 18(10.1.1), 29(2.3), MO91

30(6), 31(2) and 35(1) of Annex-I of MARPOL (F)

The functions related to sub-regulations, 14(6), 14(7), 18(8.3), 18(8.4), 27(3), 28, MO91
29(2.1), 30(7), 31(1), 31(3), 31(4), 32, 33(2), and 37 of Annex-I of MARPOL (F)

Survey for issue or endorsement of an International Pollution Prevention MO93

Certificate for the Carriage of Noxious Liquid Substances in Bulk (F)

Certificate of Fitness for the transport and handling of limited amounts of MO93
hazardous and noxious liquid substances in bulk on offshore support vessels
A.673.(16) (as amended) (F)

The functions related to sub-regulations 12(5), 14(1), 17(1) of Annex-II of MO93

MARPOL (F)

Survey for issue or endorsement of an International Sewage Act Pollution MO96

Prevention Certificate (F)

The functions related to sub-regulations 9(1.1), 9(1.2), 9(1.3), 11(1.1) of Annex- MO96
IV of MARPOL (F)

Survey for issue or endorsement of an International Air Pollution Prevention MO97

Certificate (F)

The functions related to sub-regulations 15(5), 15(6), 16(6.1) of Annex-VI of MO97

MARPOL (F)

Survey for issue or endorsement of an Engine International Air Pollution MO97

Prevention Certificate (F)

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 MO16

Load Line Certificate (F)

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) MO12

2.5 Code of Safety for Dynamically Supported Craft

Survey for issue or renewal of a Dynamically Supported Craft MO49

Construction and Equipment Certificate

(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 MO47

Safety Certificate (F)

2.7 Code of Safety for Special Purpose Ships

Survey for issue or endorsement of a Special Purpose Ship Safety MO50

Certificate (F)

2.8 EGC, GC and IGC Codes

Survey for the issue or endorsement of a Certificate of Fitness for a MO17

Gas Carrier (F)

2.9 BCH and IBC Codes

Survey for the issue or endorsement of a Certificate of Fitness for a MO17

Chemical Tanker (F)

2.10 The International Maritime Solid Bulk Cargoes (IMSBC) Code

Survey for and issue of Certificates of Compliance with IMSBC MO34

Code, provisions 7.3.2 with respect to being a specially constructed
and fitted ship for the carriage of cargoes that may liquefy

(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 MO19

Certificate (1969) (F)

2.12 Other Tonnage

Measurement for, calculation and issue of the necessary certification MO19

for Panama and Suez Canal Tonnages (F)

2.13 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 MO14

accommodation and subsequent inspection

(L - case by case basis)

2.14 Maritime Labour Convention 2006

Inspection for issue or endorsement of an International Maritime MO11

Labour Certificate (F)

Examination of proposed location and general arrangement of crew MO11

accommodation with respect of the MLC 2006 Requirements (F)

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 MO98

System Certificate (F)

2.16 International Convention for Safe Containers, 1972

The test, Inspection and approval of Containers as prescribed in MO44

article 4 and Annex 4 of the Convention (F)

Approval of Continuous Examination Programme (ACEP) as detailed MO44

in Annex 4 of the Convention (F)

2.17 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 MO41

containers and Bulk Containers (BK1 and 2) (F)
MO44

Certification, testing and examination of cargo handling equipment MO32

(F)

Survey for and issue of a Noise Survey Report A.468 (XII) (F) MO12

Survey of ships machinery, fittings, arrangements, installations, lifts MO12

11
 and engine room cranes (F)

To require repairs to vessels (F) MO31

2.18 Customs Vessel Management Plans under section 11 of the Navigation Act
2012

Assessment and acceptance of CVMP for submission to AMSA (F) Nav regs4

Audit for issue or endorsement of a Document of Compliance (DOC) MO58

to Customs for vessels in which CVMP has effect in accordance to
Section 11 of the Navigation Act (F)

Audit for issue or endorsement of a Safety Management Certificate MO58

(SMC) to Customs vessels in which CVMP has effect in accordance
to Section 11 of the Navigation Act (F)

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