EUROPEAN MARITIME SAFETY

AGENCY
Training to prepare Member State officials for the audit under IMSAS
Resolution A.1067(28) – Procedures for the IMSAS
Chapter 4 Planning the audit (MS and IMO MSA)

Department 1 Sustainability and Technical Assistance

Unit 1.3 Capacity Building
Planning the audit – Audit cycle

Cycle Pre-information Postponement

• Due to
• 7-year • not less extraordinary
than 18 circumstances,
in writing and
months six months
before before the
scheduled date

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Planning
Part II - Para 4 Initial arrangements

MoC signed Preparing 1 ATL

(Appendix 1) the audit 2 – 3 auditors

All fluent in
the language
of the audit.
Possibly one
speaking the
Planned language of
Selection
and
of auditing the country-
conducted
team
as per MoC

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Planning the audit – Audit scope

Scope of the audit

The scope of the audit may be limited to
some of the responsibilities covered by the
III Code

A landlocked country may have a role as

Flag State but not as coastal and port State

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Planning the audit – IMO MSA

IMO Responsibilities
• designating a single
point of contact within
the Secretariat (IMO
Audit Officer);

• maintaining appropriate
records of the audit;

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Planning the audit – Member State

Member State Responsibilities

▪ designating a single point of contact (SPC);

▪ assisting with the procedures for any visas or permits ;
▪ providing the audit team with necessary evidences to
perform the audit;
▪ making the appropriate staff members and officials s
available for interviews;
▪ arranging, as may be requested by the audit team, for
the observation of operations or activities that fall
within the scope of the audit;
▪ facilitating the work of the audit team

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MS preparation for the Audit

SPC can be nominated from the lead maritime entity

responsible for coordination of audit preparation,
internal IMSAS audit……

▪ SPC – What is the best position? (not the Minister or the

DG)

▪ Start to establish contact with the IMO MSA and the ATL

▪ SPC coordinates and stay in contact with the ATL and

IMO MSA before, during and after the IMSAS audit
 Planning the audit - MoC

Memorandum of Cooperation Main content:

Appendix 1 to the Framework
▪ Consents to the conduct of a Member
State audit by an IMO audit team

▪ Confidentiality
4.2.2 An audit will not proceed until a
Memorandum of Cooperation has been
signed and exchanged between the ▪ Responsibilities
Member State and the Secretary General.
▪ Scope (to be agreed)
4.2.3 The Memorandum of Cooperation
will confirm, inter alia, that the audit is to
be conducted in accordance with the ▪ Suspension, modification or
procedures contained therein. cancellation (one month written notice)

Maybe a revised MoC for the remote

IMSAS

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Planning the audit - MoC

Memorandum of Cooperation (to be reviewed by the MS)

The Member State must ensure that the State is properly named in the
MoC and that below section of the MoC reflect accurately the authorization
for release of audit reports, the scope and that the texts in square
brackets are addressed.

7 Notwithstanding the previous paragraph, it is agreed that the executive

summary report, the corrective action plan and comments on the
progress of implementation of the corrective action plan will be released
to all Member States of IMO [and the public] as individual reports.

Transparency and openness

Learning process for all of us
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 Planning the audit - MoC

Confidentiality

All information treated as confidential and not

communicated or provided to anyone unless
authorised in writing by the MSS

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Planning the audit – Selection of
Auditors

Selection of Auditors and selection of the

Audit team

• Language

• appointing the Audit Team Leader and the

Audit Team Member from Member States;

• the audit team members will be provided to

MS prior to the audit (3 months before);

• IMO MSA will assist the ATL and the ATMs.

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Road Map or action plan to be developed

Activity Remarks

IMO notify MS about the Letter from the Secretary-General of IMO to the Minister of the
audit (at least 18 months MS notifying about the IMSAS audit and year/month of the
before) planned audit

SPC to be appointed MS appoints Single Point of Contact (SPC).

IMO to be notified about the SPC including contact
details.
Government entities MS to identify all relevant government entities to be
involved in the IMSAS audit
Date of IMSAS audit MS to be informed of the tentative exact date of the
IMSAS audit
1 meeting of IMSAS audit MS collects representatives from all relevant government
MS task force group entities (ministries, agencies etc.) in order to establish an
IMSAS audit task force group with local contact persons
in order to prepare the pre-audit questionnaire (PAQ) and
prepare for an internal IMSAS audit.
IMSAS internal auditor Internal IMSAS auditor course to selected personnel in
course the government entities.
Date of internal IMSAS Date of internal IMSAS audit to be agreed with all
audit relevant government entities.
Questions? Thank you

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