Sub-Committee on Implementation of IMO Instruments (III 10), 22-26 July 2024

Interim guidance to assist in the implementation of the Cape Town Agreement  

The 2012 Cape Town Agreement (CTA) is the global treaty for safety of fishing vessels. This internationally binding instrument sets minimum requirements on the design, construction, equipment, and inspection of fishing vessels of 24 meters in length and over, or equivalent in gross tons. The entry into force of the Agreement would create a more robust IMO regulatory framework for the safety of fishing vessels and fishing vessel personnel. 

The Sub-Committee approved the draft MSC resolution on Interim Guidance to assist competent authorities in the implementation of the CTA with a view to submitting to the next session of the Maritime Safety Committee (MSC 109) for consideration and adoption, as appropriate. Given that the entry into force criteria is expected to be fulfilled in the near future, the Guidance would be helpful in encouraging more ratifications and guiding early implementation, if any Member State so wishes.  

As of today, there are 22 Contracting States to the 2012 Cape Town Agreement, fulfilling one of the criteria for entry into force of the Agreement, with an aggregate number of 2,636 fishing vessels of 24 meters and over in length, operating on the high seas declared. The other criterion will have been fulfilled with 3,600 fishing vessels declared with further accessions. 

Analysis of marine safety investigation reports  

The Sub-Committee reviewed the analysis of 37 investigation reports of marine casualties submitted by Member State Administrations over the last five years. The lessons learned were approved for publication on the IMO website.  

The investigation reports analyzed covered severe casualty incidents, including occupational accidents, fires and explosions, collisions, capsizing and equipment failures. Administrations identified a range of lessons learned from each of these incidents, pertaining to planning and procedures, risk assessments, fire hazards, hardware design and operations, safety culture and awareness on ships, and management factors, among others. 

The Sub-Committee was informed that that reporting rate of investigation reports to IMO currently stands at 73.6%, increasing from 61.5% three years ago. 

Recommendations for the prevention of collisions with fishing vessels  

The Sub-Committee agreed to a draft MSC circular on Recommendations to national Administrations to prevent collisions with fishing vessels, with a view to submitting to MSC 109 in December 2024 for consideration and approval, as appropriate.  

The draft MSC circular was developed on the basis of analysis of more than 300 collisions between fishing vessels and commercial ships, which indicated that less than 20% of the fishing vessels involved were carrying a working AIS or VHF at the time of the collision, making communication between vessels difficult. 

Considering the number of collisions between fishing vessels and commercial ships, Member States are encouraged to establish or expand rules/regulations for the carriage and use of AIS and VHF by domestic fishing vessels, taking into consideration the availability of both class A and class B AIS units, and the guidelines contained in MSC.1/Circ.803/Rev.1 dated 16 May 2022 for all non-SOLAS ships (ships to which chapter IV of the 1974 SOLAS Convention and chapter IV of the 1978 STCW Convention do not apply). 

Measures to harmonize port State control issues   

The Sub-Committee considered draft amendments to the Assembly resolution on Procedures for port State control, 2023 (resolution A.1185(33)), including: 

  • a new appendix on Guidelines on control and compliance measures to enhance maritime security; and 
  • changes to the Guidelines related to detention of ships.  

The Sub-Committee agreed to further develop the draft amendments to the Procedures for Port State Control intersessionally through the Correspondence Group on Measures to Harmonize Port State Control (PSC) Activities and Procedures Worldwide.  

The draft amendments to the Procedures for PSC are expected to be finalized at III 11, before submission, through authorization of the MSC and MEPC, to the 34th session of the Assembly (A 34) for consideration and adoption, as appropriate, in 2025.  

Draft revised Model Course 3.09 on Port State Control 

The Sub-Committee made considerable progress on the draft revised Model Course 3.09 on port State control. The model course is expected to finalized and validated at the next session of the Sub-Committee, in July 2025 (III 11).  

Analysis of consolidated audit summary reports 

The IMO Member State Audit Scheme (IMSAS) is a mandatory scheme whereby Member States are assessed in seven-year cycles on how effectively they are implementing IMO instruments.  The aim is to improve countries’ capabilities to implement IMO regulations.  

The Sub-Committee considered the analysis of six consolidated audit summary reports (CASRs) from 82 audits conducted by the Secretariat between 2016 and 2022, to identity areas where assistance could be provided to Member States through IMO's technical cooperation, as well as the provisions for review of the appropriateness and effectiveness by relevant IMO organs. The analysis covered:  

  • Main areas which lack effective implementation and enforcement of relevant mandatory IMO instruments and the III Code; 
  • Recurrent references to the requirements of the mandatory IMO instruments which lack effective implementation; 
  • Main areas of root causes and specific issues/difficulties under each area for the major areas of recurrent findings/observations; 
  • Identified needs for additional assistance to support Member States; and 
  • Analysis of the effectiveness and appropriateness of identified provisions of the mandatory IMO instruments. 

The analysis of the observations/findings from the 82 audits shows that 42% of the findings are in the area of flag State responsibilities and obligations, followed by the Common Areas (27%), Coastal States (16%), and Port States (15%). 

For flag States, in the area of implementation, the main findings are related to the lack of implementation of policies through issuing national legislation and guidelines and through the assignment of responsibilities to update and revise any relevant policy adopted. 

In the area of enforcement, the main findings are related to the absence of appropriate national legal provisions, internal directives, and human resources to ensure effective enforcement and compliance with international obligations. In addition, the lack of penalties of adequate severity to discourage violation of international rules and standards in the national laws and regulations was observed in many findings. (CASRs can be downloaded here.)

The Sub-Committee recommended that the Maritime Safety Committee (MSC) and Marine Environment Protection Committee (MEPC) endorse the findings of the analysis of CASRs and report the outcome to the Council.  

The Sub-Committee recommended that the MSC initiate a review of the appropriateness and effectiveness of certain provisions of IMO mandatory instruments by referring the initial analysis of the criteria for the determination of the appropriateness and effectiveness to the Sub-Committees on Navigation, Communication and Search and Rescue (NCSR), Carriage of Cargoes and Containers (CCC) and Human Element, Training and Watchkeeping (HTW), for further review and reporting back to MSC.  

Development of guidance on remote methods for surveys ISM Code audits and ISPS Code verifications  

Following two resolutions on Survey guidelines under the Harmonized System of Survey and Certification (HSSC), 2023 (resolution A.1186(33)), and 2023 Guidelines on implementation of the International Safety Management (ISM) Code by Administrations (resolution A.1188(33)), which included provisions for remote surveys and ISM Code audits, respectively, as a next step on the roadmap agreed at III 8, the Sub-Committee advanced its work on developing draft guidance on assessments and applications of remote surveys, ISM Code audits and ISPS Code verifications, together with the associated MSC-MEPC circular.  

The guidance addresses the need for harmonization of requirements for the use of remote methods for surveys, ISM Code audits, and ISPS Code verifications falling within the scope of the Harmonized System for Survey and Certification (HSSC), the International Safety Management (ISM) Code, and the International Ship and Port Facility Security (ISPS) Code, as amended. 

The Sub-Committee was of the view that interim ISM audits should be conducted in-person, except for interim DOC (document of compliance) audits when a new ship type is to be added to an existing document of compliance. The Sub-Committee was also of the view that the use of remote ISPS verification in lieu of in-person attendance should be limited to extraordinary circumstances, taking into account the highly sensitive nature of the information addressed in ISPS verifications.  

The Sub-Committee re-established the Correspondence Group on Survey Guidelines under the HSSC, the Non-exhaustive List of Obligations, and the Guidance on Remote Surveys, Audits and Verifications to further develop the guidance.   

The guidance is expected to be finalized at the next session (III 11), for subsequent submission to MSC and MEPC for consideration and approval, as appropriate.  

Amendments to the Survey Guidelines under the Harmonized System of Survey and Certification (HSSC)  

The Sub-Committee progressed its work to develop draft amendments to the Survey Guidelines under the HSSC, 2023 (resolution A.1186(33)). The Survey Guidelines facilitate the harmonized, consistent and timely global implementation of various IMO instruments and provide guidance to the work in relation to the survey and certification.  

The draft amendments derive from certain amendments to the relevant IMO instruments entering into force up to and including 31 December 2025. 

The Sub-Committee tasked the Correspondence Group on Survey Guidelines under the HSSC, the Non-exhaustive List of Obligations, and the Guidance on Remote Surveys, Audits and Verifications to continue the work on the amendments intersessionally, with a view to finalization at the next session III 11. A consolidated text will then be submitted to the Assembly (A34) for consideration and adoption as appropriate.