Présentation FAL v3
Présentation FAL v3
Présentation FAL v3
I - Presentation of the Convention 1. 2. 3. 4. The aim of the convention History and present status Basic structure Standards and recommended practices: the annex to the convention
II - The convention in action 1. 2. 3. 4. 5. The FAL committee The tool kits associated with the convention Theory and practice - use of the FAL convention for Single Window and electronic transmissions The need for an updated instrument - current revision of the convention Establishment and operation of a National FAL Committee for the simplification of formalities
The stated aim of the FAL Convention is : to simplify, to reduce and to internationally harmonize the formalities, documentary requirements and procedures on the arrival, stay and departure of ships engaged in international voyages. The facilitation focus of the FAL convention is thus on the formalities related to ship call in port, rather than on the wider trade flows.
It is a strategic objective of the IMO that the promotion of safe, secure and environmentally sound shipping do not unduly affect the efficiency of shipping, and that a right balance is struck between security and trade facilitation.
The convention establishes an operative framework, comprising: The fundamental obligations of the state party, The scope, The legal standing of the standard and recommended practice used in the annex, The formal and tacit amendment procedures, The final clauses concerning signature, ratification, accession, entry into force, depository authorities, denunciation
The actual standard and recommended practice for facilitation, as well as the FAL forms, are incorporated in the annex to the convention.
The Governments undertake to adopt measures to facilitate international maritime traffic and to prevent delays to ships and to persons and property on board.
The Governments undertake to co-operate, with each other in the formulation and application of measures for the facilitation of the arrival, stay and departure of ships, in ways no less favorable than for other international modes of transport. The Contracting Governments undertake to co-operate in securing uniformity in formalities, documentary requirements and procedures in matters that will facilitate international maritime traffic, and keep to a minimum any modifications in formalities to meet special requirements of a domestic nature. The Contracting Governments undertake to co-operate through the IMO to achieve the ends of the convention
The rules in the annex are either standards or recommended practices : (a) Standards are those measures the uniform application of which by Governments is deemed necessary in order to facilitate international maritime traffic; (b) Recommended Practices are those measures the application of which by Government is deemed desirable in order to facilitate international maritime traffic. standards or recommended practices may be subject to notification of difference or of compliance: A Contracting Government that finds it impracticable to comply with a Standard or which deems it necessary to adopt formalities differing from that Standard, shall notify the Secretary-General of the differences between its own practice and such Standard. The notification may include an indication of the action proposed to bring the formalities, documentary requirements or procedures into accord with the Standard. A Contracting Government shall notify the Secretary-General of its compliance with any Recommended Practice. The Secretary-General informs the Contracting Governments of any notification made to him.
Generally speaking, facilitation standards are to be considered as minimum, allowing States to provide greater facilitation.
The contracting governments should not require other declaration than the nine declarations listed, and no more data in those declarations than the data listed in the convention. But they may require less. What they require, they should accept in the standardized Forms established by the convention. Seven of the declarations are standardized as FAL Forms, described in the appendix 1.
1.Definitions and general provisions; 2.Arrival, stay and departure of the ship; 3.Arrival and departure of persons; 4.Stowaways; 5.Arrival, stay and departure of cargo and other articles; 6.Public health and quarantine, including sanitary measures for animals and plants; 7.Miscellaneous provisions. Appendix 1 - The 7 IMO FAL Forms Appendix 2 - Format of a letter referenced to in Standard 3..3.1 (covering letter replacing seized documents) Appendix 3 - Format referred to in Recommended Practice 4.6.2 (notification of Stowaways)
A. B.
C.
D.
E.
Control techniques
The use risk management to facilitate legitimate circulation is recommended
A.
General
Public authorities should not require on arrival or departure of ships documents other than those listed. No fee should be requested in connection with the submitting of such documents. It is recommended to develop systems for the lodgement of pre-arrival and pre-departure information, in order to expedite clearance. Information provided by pre-arrival notification should not be requested again at arrival.
B.
C. D. E. F.
Documents on arrival
The maximum number of copies of each FAL form that may be requested is specified,
Documents on departure
No new document should be requested when no change has occurred
Completion of documents
Some rules on language Authentication mays use signature or other means, by the master or on his behalf.
G. H.
Special measures of facilitation for ships calling at ports in order to put ashore sick or injured crew members, passengers, persons rescued at sea or other persons for emergency medical treatment
Ships calling at ports for such purposes should not be required to complete the procedures intended for a commercial call. Treatment and protection should be given priority over controls.
A.
B.
C. D.
E.
F. G.
Further measures of facilitation for foreigners belonging to the crews of ships engaged in international voyages
Crew should be allowed shore leave without visa, personnal check or special permit.
Section 4 - Stowaways
A.
General Principles
The Contracting Governments should ensure that arrangements are in place to prevent stoaways boarding ships The precautionnary measures to contemplate are listed (patrolling, monitoring, inspecting, enclosing, restricting, reporting...)
B.
Preventive measures
Shipowner should be required by the Contracting Government to have preventive measures in place (watch, control of access, lighnting, searches...) Measure should be in place for the eventual prosecution of stowaways.
4C.
D.
E.
Clearance of cargo
Reference is made, as regards clearance of cargo, to the Kyoto convention on the simplification and harmonization of customs procedures The clearance of live animal and perishable goods should be prioritized, Simplified procedures should be considered for authorized persons. (AEO)
C. D.
No penalties should be imposed when a cargo is not unloaded at the intended port, if the shipowner can prove it was not loaded, or unloaded at an other port. re-forwarding of cargo unloaded by error should be facilitated.
E.
Section 6 - Public health and quarantine, including sanitary measures for animals and plants
Reference is made to the International Health regulation, whose provision should be applied Special arrangments beetwen States should be sough where relevant Sanitary Certificates required should be publicized and standardized, Pratique should be granted by radio when no information suggest a health risk, Shipowners should cooperate so that Ilness aboard is reported promptly, Travel agencies should be made to provide to passengers adequate information regarding vaccination, Authorities should ensure that the International Certificate of Vaccination is used, Adequate facilities should be maintained in port, for the administration of public health and quarantine, included animal and agricultural. Facilities should be available for the emergency treatment of crew and passengers, A ship not suspected of being infected should not be denied pratique on account of a epidemic disease (except in emergency)
A.
B.
Services at ports
Recommendation are made for administrative working hours consistent with periodes of workload in port, The services of public authorities should be organized so as to avoid unecessary delays to ships otherwise ready for further operations No charge for medical examination required by quarantine except deratisation certificates, The Contracting Governements should endeavour to reach arrangments that would allow a Governement to maintain facilities on the territory of another, if that would facilitate clearance at arrival
C.
Emergency assistance
Public authorities should facilitate the entry and departure of ship engaged in emergency assistance (disaster relief, combating of marine pollution, rescue at sea...) Clearance for the personnel and material needed for such operation should be facilitated as well.
D.
Facilitation matter are followed in the IMO by the Facilitation Committee (FAL committee), which is one of the Committees established under the founding convention of the IMO. The FAL committee was formally institutionalized on 7 December 2008, following the entry into force of the 1991 amendments to the IMO Convention, joining the MSC, MEPC, LEG, and TCC committees. The FAL committee, meets in London at IMO headquarter. It is monitoring the FAL convention and is the organ through which the convention can be amended, using the tacit amendment procedure. Like all IMO committee, the FAL committee during its meeting can subdivide in 3 working groups and 1 drafting group. Between meeting, it can create correspondence group to advance its work, like the correspondence group on the revision of the convention or the group on the accomplishment of formalities by electronic means. The committee may also elaborate questionnaire to the member states, or request reporting, such as on stowaways occurrences.
II - 2. THE TOOL KITS ASSOCIATED WITH THE CONVENTION manual, compendium, guidelines, UN/EDIFACT, ISO standards
The convention does not stand alone, Various tools have been elaborated around it or used to its ends, to complement it and to help in its implementation. Those tools are primarily the manual, the compendium and the single window guidelines, some UN/EDIFACT messages and ISO standards 28005.
A .The Manual of the FAL convention An Explanatory Manual to the Convention on Facilitation of International Maritime Traffic, can be found in document FAL.3/Circ.202. The Manual contains guidance and interpretation of the provisions of the annex of the FAL Convention, assists in interpreting the legal text of the provisions and aims to provides for a greater understanding of the Convention.
The FAL forms included in the FAL convention are paper forms. To allow for the implementation of the FAL convention through electronic transmission, several specific resources have been developed, and several existing resources put to use:
B. The FAL compendium
The compendium is a translation of the FAL Forms in electronic messages. Each Form is annotated with cross-references to UN/EDIFACT data codes. The compendium recommends UN/EDIFACT Messages for the transmission of each of the FAL Form and provides Implementation Guideline for the use of the UN/EDIFACT Messages to that purpose. ISO 28005 is referenced as appropriate for XML transmission. A Mapping Table of the Forms in the EDI format codes of the UN/EDIFACT Messages is provided. So, this information can be used to complete UN/EDIFACT Messages for transmitting FAL Form data in EDI format.
C. The Guidelines for setting up a single window system in maritime transport Published by FAL.5/Circ.36, these guidelines are meant to assist the setting up a single window in maritime transport. The guidelines proceed from basic documents such as UN/CEFACT Recommendation No. 33 on single windows and 35 on the legal aspect of setting up a single windows, and present the relevant resources of the FAL convention and the compendium, They identify the various users that intervene in the maritime sphere, expose their data needs, and how the FAL data may relate to those needs. They present the various Institutions involved in the elaboration of electronic transmission standards, such as the UNECE, the WCO, the UNCITRAL... Various case studies are appended,
II - 2.
D. ISO standards 28005 The FAL compendium relies on UN/EDIFACT messages and data definitions, but these are not universally used. Some (not all) may find UN/EDIFACT old fashioned, or too complicated. ISO standards 28005, elaborated by TC8 and dedicated to port clearance, offers the alternative of using a XML format for the electronic transmission of the FAL Forms data. ISO standards 28005, comprises 2 parts: Message structures and Core data elements Part I contains technical specifications that facilitate the exchange of electronic information between ships and shore for coastal transit or port calls. It covers the exchange of information required under the FAL Convention on Facilitation and some other international instruments It, can be used to implement a single window for port clearance, and can be further used to standardize interface in logistics activities. Part 2 contains definitions of core data elements for electronic port clearance (EPC). These elements cover the requirements for all FAL declarations, but also: ISPS reporting requirements, reporting on ship-generated waste as defined in MEPC 644, general ship reporting requirements as defined in IMO Resolution A.851., reporting as defined in the bulk loading and unloading code IMO Resolution A.862, ETA reporting to pilot station as defined in IMO Resolution A.960.
II-3. THEORY AND PRACTICE what can be done with the FAL convention and the tool kits
Declarations included in the FAL convention, or planned to be incorporated
FAL e-message in the Compendium (based on EDIFACT) CUSREP CUSCAR INVRPT/CUSCAR PAXLST PAXLST PAXLST IFTDGN
FAL Form FAL Form 1 FAL Form 2 FAL Form 3 FAL Form 4 FAL Form 5 FAL Form 6 FAL Form 7
ISO 28005-2
(based on XML)
Data mapped
Data mapped Data mapped Data mapped Data mapped Data mapped Data mapped
Actual
CUSREP /BERMAN
Data mapped
Considered
[Advance Electronic Cargo Information for customs risk assessment purposes] [Advanced Notification Form For Waste Delivery to Port Reception Facilities, when communicated to the Organization. ] Data mapped
II-3. THEORY AND PRACTICE what the potential users would find
Several authorities may be able to perform all or some of their formalities and procedures through the FAL forms and associated messages. Or at least access information available through this channel, that may be of use to them, occasionally or regularly
There may be several ways to present those authorities. We will take a closer look using the following grouping :
Port authorities Customs Maritime authorities / Navy Immigration Health authorities Police
AUTHORITIES
Comments
General Declaration Relevant information can be obtained through the General Declaration, but the FAL forms or Data are not geared to obtain operational information such as ship's draft, request for tug, pilot, ect
PORT AUTHORITIES
General Declaration
Berth management
General Declaration Cargo Declaration Dangerous Goods Manifest General Declaration Cargo Declaration Dangerous Goods Manifest Passenger List General Declaration Cargo Declaration Dangerous Goods Manifest Dangerous Goods Manifest ISPS declaration General Declaration Cargo Declaration Dangerous Goods Manifest Passenger List Waste declaration As of now, only standardized under ISO 28000
Statistics
Other services
AUTHORITIES
Mains needs to interface with users Temporary admission of ship stores Temporary admission of crew effects Cargo Declaration
(from the shipowner)
What FAL can do FAL Form Ship's Stores Declaration FAL Form Crew's Effects Declaration FAL Form Cargo Declaration
Comments
CUSTOMS AUTHORITIES
(Procedures conducted by or on behalf of the cargo interests, rather than the shipowner) (Except where Customs collects port dues base on cargo and passenges delclaration) The cargo declaration and Dangerous Goods Manifest may be of some use A beefed up cargo declaration could be relevant
See WCO safe framework of standards The Fal forms lack the information for suitable risk assessment (no exporter, no receiver, no final destination or initial place of shipping)
The FAL convention has only a relatively minor relevance in the larger context off Customs' function
There may be a maritime single window co-existing with a Customs single windows, or a trade single windows able to perform both set of function But a maritime single windows only based on FAL could not perform all the functions of a trade single windows Ship's Stores Declaration and Crew's Effects Declaration, used for control pupose, are liable not be covered by a customs single window, where one exists.
AUTHORITIES
Comments to the harbor master, for entry and departure clearance of the ship Relevant information can be obtained through the General Declaration, but the FAL forms or Data are not geared to obtain operational information such as ship's draft, request for tug, pilot, ect
General Declaration
PORT AUTHORITIES
General Declaration
Berth management
General Declaration Cargo Declaration Dangerous Goods Manifest General Declaration Cargo Declaration Dangerous Goods Manifest Passenger List General Declaration Cargo Declaration Dangerous Goods Manifest Dangerous Goods Manifest ISPS declaration General Declaration Cargo Declaration Dangerous Goods Manifest Passenger List Waste declaration As of now, only standardized under ISO 28000
Statistics
Other services
The<date/heure> FAL convention is potentially most relevant to<pied port authorities, de page>
but ports operating port single windows may feel the need to request additional information for operational nautical purposes
AUTHORITIES
Comments
General Declaration
A General Declaration provided sufficiently in advance may be adequate to plan Port State Control Activities, in association with a dedicated PSC information system FAL forms may bring complementary information to the data obtained through AIS, LRIT, radars and radio communications The Crew and passengers list may provide information needed for SAR operations
The Cargo Declaration and
Dangerous Goods Manifest may provide relevant information. More detailed information such as stowage plan may also be needed
The FAL forms and data may provide useful complementary information to the maritime authorities in charge of Vessel traffic monitoring, SAR operation and response to accident at sea
AUTHORITIES
Comments
IMMIGRATION AUTHORITIES
The crew and passengers lists are not usually used to provide clearance for access of people to the national territory, but may be used to get advance information for evaluation and planning purpose. They would be complementary to more specialized system such as Visa Information Systems. The crew list may provide adequate information for the purpose of shore leave
Crew List
Crew transit
Passenger List
Transit of seafarers would be considered as requiring entry on the territory The passengers list may provide adequate information for the purpose of the visits ashore of cruise passagers Transit of passengers would be considered as requiring entry on the territory
Passenger List
Passenger List
The crew and passengers list provide information that are relevant for immigration authorities. Where admittance on the territory is concerned, specialized information system would usually be used by immigration authorities to grant clearance
AUTHORITIES
Comments
General awareness
HEALTH AUTHORITIES
The FAL forms may provide the health authorities with a general awareness of the movements and provenance of ships and the people and cargo aboard, for planning and risk assessment purpose. The Maritime Declaration of Health is listed in the FAL convention, but the convention and associated instruments does not provide for a standardized form or data model to effect this declaration A Form is provided in the International Health Regulation
Human health
Maritime Declaration of Health
Food security
The FAL forms are relevant to the health authorities for general awareness purpose, but they do not cater to their more specialized needs.
AUTHORITIES
Comments Only defined as a electronic message through the compendium, and also in ISO 28005
ISPS Declaration
The FAL Forms may be a source of intelligence, among others, to the police authorities for risk assessment purpose and the planning of activities.
II - 4.
THE NEED FOR AN UPDATED INSTRUMENT On the ground : The implementation of the FAL convention is defective : The Experience of captains and shipping companies suggests that duplicative transmissions, and data requirements in excess of what is allowed under the FAL convention are rife, often on the basis of national, or merrely local, regulations and practices. A significant number of differences have been notified to IMO secretary General. Many more differences seems actually not to have been notified. This indicates that some states find that the FAL convention does not answer their needs, or that the benefits of facilitation may not have been sufficiently considered. On the other hand, a renewed anxiousness about facilitation seems to be emerging, after a period dominated by the introduction of many new regulatory complexities, in good part adopted to promote security and environmental protection. The recent period has seen the development of a growing number of electronic single windows.
II - 4.
To adress the need to update the convention and help to reinvigorate the drive for facilitation, the FAL Committee agreed to set up an intersessional Correspondence Group for a comprehensive review of the FAL Convention.
The group was tasked with reviewing the convention and makes proposition to the Committee, so as to, inter allia: modernize its provisions through taking into account, for example, developments in the field of the electronic transmission of information and data and the Single Window concept. identify the scope for harmonizing the provisions of the Convention with the current security requirements of other relevant IMO instruments; harmonize duplicated requirements; adding new definitions for globally-used terminology; and reviewing the structure of the Convention.
II 5.
ESTABLISHMENT AND OPERATION OF A NATIONAL FAL COMMITTEE FOR THE SIMPLIFICATION OF FORMALITIES
Facilitation can only prosper with the involvement and cooperation of all parties concerned, be they the providers or data, or their recipients.
In recognition of this, the FAL convention includes a Recommended Practice inciting to the establishment of a National facilitation committees:
7.12 Recommended Practice. Each Contracting Government should establish a national maritime transport facilitation committee or a similar national co-ordinating body, for the encouragement of the adoption and implementation of facilitation measures, between governmental departments, agencies and other organizations concerned with, or responsible for, various aspects of international maritime traffic, as well as port authorities and shipowners.
This National facilitation committee would be intrumental in devising a national maritime transport facilitation programme, as advised by Recommended Practice 7.11
II 5.
The FAL committee has adopted a circular, FAL.5/Circ. 2., that councels on the functionning of National facilitation committees: Care should be given not to overlap whith other national facilitation programme. The required authorities should be involved: immigration, customs, consular, passport and visa, public health, agriculture, security and narcotic control, port authorities. Representatives of, shipowners, freight forwarders and shipping agents should participate in a coordinated manner. Meeting should be regular and inspection tours be arranged. Governement should exchange about the work and programme of their national Committees.