Convention on Facilitation of International Maritime Traffic (FAL)
This Convention was adopted in 1965 and entered into force in 1967.
The Convention’s main objectives are –
- to prevent unnecessary delays in maritime traffic
- to aid co-operation between Governments and
- to secure the highest practicable degree of uniformity in formalities and other procedures.
In particular, the Convention reduces the number of declarations which are required by public authorities.
Most regulations are essential – but sometimes they prove to be not only unnecessary but also a significant burden on the activities they are supposed to control.
Few activities have been more subject to ‘over-regulation’. This is partly because of the international nature of shipping – countries develop customs, immigration and other standards independently of each other and a ship visiting several countries during the course of a voyage could be presented with numerous forms to fill in, often asking for exactly the same information but in a slightly different way.
With the growth in shipping, the paperwork involved also grew, leading to a lot of inconvenience. The actual number of separate documents required varied from port to port. But the information that was required was often identical. The number of copies required of some of these documents could
often become excessive. In certain ports, the documents were required to be translated in local language.
Due to all this, the maritime nations decided that the situation could not be allowed to deteriorate further. This gave rise to the adoption of FAL Convention to assist the facilitation of international maritime traffic.
Standards and recommended practices
In its Annex, the Convention contains “Standards” and “Recommended Practices” on formalities, documentary requirements and procedures which should be applied on ship’s arrival, stay and departure.
The Convention defines “standards” as internationally-agreed measures which are necessary and practicable in order to facilitate international maritime traffic and “recommended practices” as measures the application of which is desirable.
The Convention provides that any Contracting Government which finds it impracticable to comply with any international standard, or considers it necessary to adopt differing regulations, must inform the IMO of the “differences” between its own practices and the standards in question.
In the case of recommended practices, Contracting Governments are “urged” to adjust their laws accordingly.
This flexible concept of standards and recommended practices, coupled with the other provisions, allows the formulating and adopting of uniform measures in the facilitation of international maritime traffic.
The IMO Standardized Forms (FAL Forms 1-7)
The Convention lists the documents which public authorities can demand of a ship and recommends the maximum information and number of copies which should be required.
IMO has developed Standardized Forms for seven of these documents. They are as follows:
- FAL Form 1 – IMO General Declaration
- FAL Form 2 – IMO Cargo Declaration
- FAL Form 3 – IMO Ship’s Stores Declaration
- FAL Form 4 – IMO Crew’s Effects Declaration
- FAL Form 5 – IMO Crew List
- FAL Form 6 – IMO Passenger List
- FAL Form 7 – IMO Dangerous Goods Manifest (2002 Amendment)
The 2002 amendments which entered into force in 2003, added new standards and recommended practices for dealing with “stowaways”. It also added FAL Form 7 – IMO Dangerous Goods Manifest, which becomes the basic document providing public authorities with the information regarding dangerous goods on board ships.
The 2005 amendments which entered into force in 2006 are intended to “modernize” the Convention, to enhance the facilitation of international maritime traffic. This included the following ‘Recommended Practices’,
- Public authorities to use pre-arrival & pre-departure information to facilitate the processing of information, and thus expedite release and clearance of cargo and persons;
- All information to be submitted to a single point to avoid duplication;
- Encouragement of electronic transmission of information;
- Addition of references to ISPS Code which mention security measures
- Amendments to the IMO Standardized FAL Forms (1 to 7).
The 2009 amendments which entered into force in 2010, relate to
- Arrival and departure requirements and procedures;
- Measures to facilitate clearance of passengers, crew and baggage;
- Facilitation for cruise ships and their passengers;
- Introducing “voyage number”, and amendment to IMO FAL Forms.
The latest 2016 amendments which entered into force on 1st January 2018, introduce new definitions for Cargo Transport Unit (CTU), freight container, ISPS Code, Master, ship agent, shipper and single window. Electronic exchange of information will be mandatory from 9 April 2019 with a transition period of atleast 12 months. All IMO FAL forms, except IMO FAL Form 3, have been revised.
FAL Convention Benefits:
- Simplifying the documentation requirements.
- Harmonizing and streamlining trade-related practices and regulations.
- Simple and fast clearance of documents in port based on electronic information shared prior arrival. This results in shorter time in port.
- Standard forms make it easy for masters & authorities to interpret info.
- Non-essential documents and duplication of information are avoided, thus reducing administrative burden.
Documents required for Arrival / Departure:
The Convention has been amended a few times and is presently limiting the number of required declarations in a port to nine. They are
- IMO General Declaration
- Cargo Declaration
- Ship’s Stores Declaration
- Crew’s Effects Declaration
- Crew List
- Passenger List
- Dangerous Goods Manifest
- Declaration required under Universal Postal Convention
- Declaration required under International Health Regulations (Maritime
Declaration of Health)
Three additional declarations entered into force from 1 January 2018 which will bring the number of documents to twelve. These are
- Security-related information
- Advance electronic cargo information for customs risk assessment purposes
- Advance notification form for waste delivery to port reception facilities.
CERTIFICATES
All ships are required to carry certificates that establish their seaworthiness, type of ship, competency of seafarers and so on. These certificates are provided by the flag State of the ship (or Classification Society on their behalf), Classification Society, etc. and may be inspected by Port State Control officers.
Certificates to be carried on board ships are: (some are for specific ship type)
- Certificate of Registry
- Passenger Ship Safety Certificate
- Cargo Ship Safety Certificate (Safety equipment / Construction / Radio)
- International Tonnage Certificate
- International Load Line Certificate (Load line Exemption Certificate)
- Intact stability booklet; Damage control booklets
- Minimum safe manning document
- Certificates for masters, officers or ratings;
- International Oil Pollution Prevention Certificate
- Oil Record Book-I, Oil Record Book-II, Cargo Record Book
- Shipboard Oil Pollution Emergency Plan; (and/or SMPEP)
- NLS Certificate (Annex-2)
- International Sewage Pollution Prevention Certificate
- Garbage Management Plan and Garbage Record Book
- International Air Pollution Prevention Certificate
- International Energy Efficiency Certificate
- International Anti-Fouling System Certificate
- Document of Compliance and Safety Management Certificate (ISM Code).
- International Ship Security Certificate
- Cargo Securing Manual
- Ballast Water management Plan and Ballast Water Record Book
- CLC-Bunker, CLC-Oil, Wreck Removal Certificate
- International Certificate of Fitness for carriage of Dangerous Chemical In Bulk
- International Certificate of Fitness for Carriage of Liquefied Gases in Bulk
- Polar Ship Certificate
CONTENTS OF FAL FORM 6 – Passenger List
- Arrival or Departure (Tick applicable)
- Name of the ship, IMO number, Call Sign and Flag State
- Voyage Number, Port of Arrival/Departure, Date of Arrival/Departure
- Family Name, Given name of Passenger
- Date and place of birth and Nationality of passengers
- Type of identity or travel document and its serial number.
- Port of embarkation and Port of disembarkation
- Whether transit passenger or not.
- Date and signature by master, authorized agent or officer.
CONTENTS OF FAL FORM 3 – Ship Stores Declaration
- Arrival or Departure (Tick applicable)
- Name of the ship, IMO number, Call Sign and Flag State
- Voyage Number, Port of Arrival/Departure, Date of Arrival/Departure.
- Number of persons on board.
- Period of stay
- Name of articles (List out the stores to be declared)
- Quantity of the declared articles
- Location onboard of the declared articles
- Official Use of the declared articles
- Date and signature by master, authorized agent or officer