IMO MEMBER STATE AUDIT SCHEME

AUDIT OF UKRAINE

9 TO 18 JUNE 2018

FINAL REPORT

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 TABLE OF CONTENTS

1 Introduction .............................................................................................................. 3
2 Background ............................................................................................................. 4
3 Members of the Audit Team ..................................................................................... 4
4 Involved Officials from the Member State ................................................................ 4
5 Acknowledgement ................................................................................................... 4
6 Scope, objectives and activities of the Audit ............................................................ 4
7 Overview and general maritime activities of the State .............................................. 5
8 Flag State activities ................................................................................................ 14
9 Coastal State activities .......................................................................................... 22
10 Port State activities ................................................................................................ 27
11 Comments ............................................................................................................. 30
Areas of positive development ............................................................................................. 30
Areas for further development ............................................................................................. 30

APPENDICES
Appendix 1 – Findings and observations .............................................................................. 32
Appendix 2 – Verification index ........................................................................................... 46
Appendix 3 – Member State's corrective action plan ........................................................... 53

ANNEXES
Annex 1 – Audit programme* ................................................................................................ 63
Annex 2 – Agenda and list of attendees to the opening meeting ........................................ 70
Annex 3 – Structure of the maritime administration ............................................................ 73

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1 Introduction

1.1 The IMO Member State Audit Scheme creates a basis to assess the extent to which
a Member State complies with its obligations set out in the various IMO instruments to which
it is a Party. In addition, the IMO Instruments Implementation (III) Code (resolution A.1070(28))
stipulates a number of principles a Member State should adhere to in order for its maritime
administration to deliver on its obligations and responsibilities, with respect to maritime safety
and protection of the marine environment, and to be capable of improving its performance in
the discharge of its duties.

1.2 This report has been drafted in accordance with the Framework and Procedures for
the IMO Member State Audit Scheme (resolution A.1067(28)).

1.3 The audit of Ukraine was undertaken from 9 to 18 June 2018, by three auditors drawn
from Poland, Turkey and the IMO Secretariat. The scope of the audit included the flag, coastal
and port State obligations of Ukraine in relation to the applicable IMO instruments to which it
is a Party.

1.4 The audit team was appointed by IMO on 15 February 2018.

1.5 The pre-audit questionnaire (PAQ), as provided by Ukraine, was submitted to the
audit team members on 12 March 2018. The PAQ is a major document for the preparatory
work of the audit team prior to the audit.

1.6 The Memorandum of Cooperation (MoC) between Ukraine and IMO, concerning
participation in the IMO Member State Audit Scheme, was signed on 18 May 2018.

1.7 The detailed audit timetable and programme regarding the audit of Ukraine was
confirmed on 23 April 2018.

1.8 The opening meeting was held in Kyiv, on 11 June 2018. Those entities of the State
that are involved in the implementation and enforcement of the provisions of the various
mandatory IMO instruments and which were represented at the meeting were:

.1 Ministry of Infrastructure of Ukraine (MoI);

.2 State Service of Ukraine for Transport Safety (SSUTS);
.3 Ministry of Ecology and Natural Resources (MENR);
.4 State Ecological Inspection (SEI);
.5 Ministry of Agrarian Policy and Food (MAPF);
.6 State Agency for Fisheries (SAF);
.7 Ukrainian Hydrometeorological Center (UkrHMC), State Emergency Service
of Ukraine (SESU), Ministry of Interior (MI);
.8 Ukrainian Sea Port Authority (USPA), MoI;
.9 Inspectorate for Training and Certification of Seafarers (ITCS), MoI;
.10 State Hydrographic Service of Ukraine (SHSU), MoI;
.11 Marine Search and Rescue Service (MSRS), MoI; and
.12 State Enterprise Classification Society “Shipping Register of Ukraine” (SRU),
MoI.

1.9 The closing meeting was held on 18 June, 2018 in Kyiv.

1.10 The following report provides a detailed account of the findings and the evidence on
which the findings are based. Additional information on the findings, along with the corrective
actions provided by the State can be found in the appendices to this report.

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2 Background

2.1 The current audit of Ukraine was undertaken using fully the principles established
under the Framework and Procedures for the IMO Member State Audit Scheme and the III
Code. This report sets out the outcome of this audit in the format adopted under section 7.2
of the Procedures for the Scheme.

3 Members of the Audit Team

Capt. Hüseyin Cahit Yalçin (Turkey) Audit Team Leader

Capt. Przemyslaw Cezary Lenard (Poland) Audit Team Member
Mr. Omar Hassein (IMO Secretariat) Audit Officer

4 Involved Officials from the Member State

.1 Volodymyr Omelyan, Minister of Infrastructure of Ukraine

.2 Andriy Galushchak, State Secretary of the Ministry of Infrastructure of
Ukraine
.3 Oleksandr Basiuk, Director of the Department of Reforming and Functioning
of Maritime and Inland Waterway Transport, Ministry of Infrastructure of
Ukraine
.4 Dmytro Petrenko, Head of the State Service of Ukraine for Maritime and
Inland Water Transport
.5 Andriy Kravchenko, Deputy Chairman State Agency for Fisheries of Ukraine
.6 Victor Cherevko, Director of the Department of State Ecological Supervision
(Control) of the State Ecological Inspection of Ukraine
.7 Oleksandr Bon, Head of the Marine Environment Protection Sector
Department of Land and Water Protection of the Ministry of Ecology and
Natural Resources of Ukraine
.8 Raivis Veckagans, Acting Head of USPA
.9 Oleksandr Shchyptsov, Acting Head of the SHSU
.10 Sergiy Kudlinskiy, Acting Head of the ITCS
.11 Kyrylo Shalamai, Director General of SRU
.12 Victor Sudariev, Director of the MSRS
.13 Iryna Sulytska, Acting Head of the Department of traffic safety and
dangerous goods transportation, MoI
.14 Maksym Shyrokov, Chief of the Administration of the Sea Port Yuzhny
.15 Andrian Fotinyuk, Deputy Director of the State Control Department, SSUTS
.16 Veronika Filonenko, Head of the Department for the observations system
and Hydrometeorological Provision Ukrainian Hydrometeorological Center of
the State Emergency Service of Ukraine (DOSHP UHMC of SESU)

5 Acknowledgement

5.1 The auditors wish to express their considerable thanks to Mr. Volodymyr Omelyan,
the Ministry of Infrastructure and other entities of the State for their fullest cooperation during
this audit. In particular, thanks are due to Mr. Oleksandr Basiuk, the audit Single Point of
Contact for his efforts during the preparation for this audit and for its facilitation.

6 Scope, objectives and activities of the Audit

6.1 The Scope of the audit addressed flag, coastal and port State obligations of Ukraine.

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6.2 The objectives of the audit were:

.1 to determine the extent that Ukraine met the obligations imposed upon it
through its adoption of the following applicable mandatory IMO instruments:

.1 the International Convention for the Safety of Life at Sea, 1974, as

amended (SOLAS 1974);

.2 the Protocol of 1988 relating to the International Convention for the

Safety of Life at Sea, 1974, as amended (SOLAS PROT 1988);

.3 the International Convention for the Prevention of Pollution from Ships,

1973, as modified by the Protocol of 1978 relating thereto, as amended
(MARPOL 73/78);

.4 the Protocol of 1997 to amend the International Convention for the

Prevention of Pollution from Ships, as modified by the Protocol of 1978
relating thereto (MARPOL PROT 1997);

.5 the International Convention on Standards of Training, Certification and

Watchkeeping for Seafarers, 1978, as amended (STCW 1978);

.6 the International Convention on Load Lines, 1966 (LL 1966);

.7 the International Convention on Tonnage Measurement of Ships, 1969

(TONNAGE 1969); and

.8 the Convention on the International Regulations for Preventing Collisions

at Sea, 1972, as amended (COLREG 1972); and

.2 the effectiveness of the implementation of these objectives.

6.3 The audit was conducted using the programme set out at Annex 1. The methodology
used was to establish through a series of visits, interviews, examination of written records and
databases, the objective evidence which would determine the extent to which the maritime
administration achieved the objectives.

6.4 The programme followed a process which sought initially to determine the strategy for
the implementation of the applicable IMO instruments, the review processes in place and the
arrangements for continual improvement. Following this, an examination of the national
legislation in place and which provides the instruments with force of law was undertaken. The
processes by which the State develops and makes known its interpretations, policies and
instructions regarding these instruments, as well as the practical implementation of these
arrangements were also reviewed.

6.5 An opening meeting was conducted on Monday, 11 June 2018 in Kyiv, in accordance
with the Procedures and agenda and list of attendees is attached as Annex 2. At the closing
meeting, which was held on Monday, 18 June 2018, in Kyiv, a draft interim report was tabled
to assist in focusing discussion and the next steps to be taken.

7 Overview and general maritime activities of the State

General

7.1 The maritime administration of Ukraine is divided between four entities. Annex 3 sets
out in diagrammatic format the general structure of the entities involved.

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7.2 The Ministry of Infrastructure (MoI); the Ministry of Ecology and Natural Resources
(MENR); the Ministry of Agrarian Policy and Food (MAPF); and the State Emergency Service
of Ukraine (SESU) of the Ministry of Interior (MI) are the main entities of the State responsible
for the implementation and enforcement of the requirements stemming from the mandatory
IMO instruments.

7.3 The MoI is the policy-making government entity with primary oversight of the maritime
administration, headed by the Minister of Infrastructure. MoI is the central body of executive
power in the areas of transport, roads, postal service and infrastructure. Its responsibilities
include formulation and implementation of state policy on issues related to transportation
safety, merchant shipping and navigational/hydrographic support for ships. MoI is responsible
for the promulgation of all laws, rules, regulations and orders and for taking all other necessary
steps to give full and complete effect to the mandatory IMO instruments to which Ukraine is
Party, and acts as the regulatory authority. Its legislative base are the Act “on Approval of the
Regulation on the Ministry of Infrastructure of Ukraine” promulgated by the Decree No. 460 of
the Cabinet of Ministers of Ukraine, dated 30 June 2015 and the “Merchant Shipping Code of
Ukraine”. Through its subsidiary entities, MoI establishes maritime legislation and monitors
the compliance with IMO instruments, including, among other things, seafarer matters, safety
of navigation, aids to navigation, search and rescue and hydrographic services.

7.4 The Ministry of Ecology and Natural Resources (MENR) was responsible for initiating
and developing the Government policy of Ukraine in the field of marine environment protection.

7.5 The Ministry of Agrarian Policy and Food (MAPF) through the State Agency for
Fisheries is in charge of the implementation and enforcement of applicable IMO instruments
for fishing vessels including survey, inspection, and delegation of authority to recognized
organizations and the conduct of casualty investigations exclusively for these types of vessels.

7.6 The State Emergency Service of Ukraine (SESU), through the Ukrainian
Hydrometeorological Center (UkrHMC) collects and processes the meteorological data.

7.7 Under these main bodies, there are a number of subordinate entities also connected
with the implementation and enforcement of the IMO instruments.

7.8 The State Service of Ukraine for Transport Safety (SSUTS) is directed and
coordinated by the Cabinet of Ministers of Ukraine through MoI that implements State policy
in areas of safety and security of road, urban electric, rail, maritime and inland water transport
(except fishing fleet vessel activities). SSUTS assisted MoI in the implementation and
enforcement of necessary measures to fulfil specific obligations of the IMO instruments to
which the State is Party. SSUTS was given specific implementation powers for several flag
and port State obligations. It was established with and mainly governed by Decree No. 103 of
the Cabinet of Ministers of Ukraine "on Approval of the Regulation of the State Service of
Ukraine for Transport Safety" of 11 February 2015.

7.9 The Ukrainian Sea Port Authority (USPA), is a state unitary commercial enterprise
which was established in accordance with the Law of Ukraine No. 4709-VI "on Sea Ports of
Ukraine” of 17 May 2012. In accordance with the Order of the Cabinet of Ministers of Ukraine
No. 133-p of 4 March 2013 “on approval of proposals for the restructuring of state enterprises
of maritime transport”, as well as to the order of the Ministry of Infrastructure No. 163 of
19 March 2013, on measures to restructure state-owned maritime transport enterprises and
establishment of the State Enterprise “Ukrainian Sea Ports Authority” under MoI. The main
function of USPA was, as an administrative and commercial entity, the provision of the smooth
running of port operations, so it could be regarded as the “Ports Authority” of Ukraine. The
administrative side of USPA included harbour masters offices and Safety and Environmental

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departments. Commercial activities included regulation of operations of stevedoring and port
operators.

7.10 The Inspectorate for Training and Certification of Seafarers (ITCS), which was
established in accordance with the order of MoI No. 693 of 17 October 2001, is a state-owned
organization under MoI.

7.11 The main objectives of the ITCS are:

.1 confirmation of seafarers’ qualification at permanent state qualification

commissions;
.2 validity verification of seafarers’ documents attesting their qualification;
.3 maintaining a register of seafarers' qualification documents issued on
Ukraine’s territory; and
.4 providing centralized registration of issued dispensations and endorsements
which certify recognition of certificates, in accordance with the requirements
of the STCW 1978 Convention and national regulations.

7.12 The Marine Search and Rescue Service (MSRS) was formed by the Decree of the
Cabinet of Ministers of Ukraine No. 1069 by 20 October 2011 “On Ensuring the Functioning of
the Unified Maritime Search and Rescue System”. MSRS is a State enterprise working under
MoI and it is responsible for conducting search and rescue at sea, especially for the provision
of facilities. The main task of MSRS is to provide the constant readiness to search and rescue
people, render emergency medical care, evacuation of rescued persons to a safe place and
managing and running the National LRIT Data Centre.

7.13 The State Hydrographic Service of Ukraine (SHSU) is the hydrography and Aids to
Navigation (AtoN) authority of the State and works under the MoI. It is also responsible for
dissemination of meteorological messages, navigational warnings and management of ships
routeing.

7.14 The Shipping Register of Ukraine (SRU) is a commercial governmental entity under
MoI established by the Order of the Cabinet of Ministers No. 814 of 8 June 1998 on
“Improvement of Technical, Classification and Navigation Survey on Sea and River
Transportation”. The SRU is a recognized organization by MoI and also provides classification
services to ships.

7.15 The Ukrainian Centre for Radiofrequency (UCRF), established under article 16 of the
Law of Ukraine “On Radio Frequency Resource of Ukraine”, is an entity subordinate to the
National Commission on State Regulation of Communication and Information, responsible for,
among others, issuing radio station licences and registrations of radio frequencies, call signs,
and MMSI. Also, the UCRF is in charge for the assignment of identities for GMDSS and making
them available to the MSRS.

Strategy

7.16 In accordance with the provisions of paragraph 1 and 3.1 of “On Approval of the
Regulation on the Ministry of Infrastructure of Ukraine” promulgated by the Decree No. 460 of
the Cabinet of Ministers of Ukraine, dated 30 June 2015, MoI is the responsible entity for the
development and implementation of the State policy in the field of maritime transport. There
are several policy documents such as “National Transport Strategy of Ukraine up to 2030”,
“Maritime doctrine of Ukraine for the Period up to 2035”, “Branch Program of Maritime Safety
for 2014-2018” and The “Strategy of National Ecological Policy of Ukraine until 2020”; however
none of these documents is directly linked with the IMO related issues.

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7.17 The “Strategic Directions of fulfilment of Ukraine’s International Obligations in the
Field of Merchant Shipping Safety and Protection of the Environment against Pollution and
Introduction of IMO Instruments for the Period until 2022” was developed by MoI during
preparation to IMO audit, and it was recently approved by the Cabinet of Ministers on
6 June 2018. This document stipulated general “strategic directions” to achieve state
obligations under IMO instruments and included the names of related bodies, although the
Ministry of Internal Affairs is not mentioned in the document, while the State Emergency
Service of Ukraine and the State Border Guard Service are responsible for some IMO related
issues. The detailed objectives to reach to general directions and allocation of specific
responsibilities that should be assigned to related entities were declared to be under
development.

7.18 Regarding the methodology to monitor and assess the effective implementation of the
strategy; the existing system of annual reporting and audits between the ministries, used
currently for administrative and financial issues, is planned to be used. The detailed targets,
exact responsibilities of involved agencies for these objectives, performance indicators,
procedures to implement and update tasks and measures mentioned in the document were
declared to be under development. Furthermore, the evidence for continuous review of the
strategy to achieve, maintain and improve the overall organizational performance and
capability as a flag, port and coastal State was not available yet as the general strategic
directions were recently approved.

Legislation

7.19 The legal framework of Ukraine conforms to the civil law system. Its main legislation
sources are codified laws and it has a structured hierarchy of normative acts. In accordance
with this hierarchy, under the Constitution, there are international treaties, laws and codified
laws, acts of the President, acts of the Cabinet of Ministers and normative legal acts of the
executive bodies (ministries). Different normative acts in the form of decrees, resolutions and
orders can be issued by the President, the Cabinet of Ministers, the Ministries and other state
agencies and they are adopted to complement and detail the general provisions of laws.
International treaties, when in force, consented by the Parliament of Ukraine as binding, are
an integral part of the national legislation of Ukraine.

7.20 MoI is the governmental entity with principal responsibility for the preparation of new
legislation and improvements to existing legislation related to the implementation and
enforcement of the mandatory IMO instruments. The legal verification of the laws and
regulations is under the responsibility of the Ministry of Justice

7.21 The main maritime legislation in Ukraine is the “Merchant Shipping Code of Ukraine”,
the “Water Code”, the Law of Ukraine “on Sea Ports”, and the Law of Ukraine “on Transport”.
These primary Codes are supported by a large number of subsidiary legislation, decrees of
the Cabinet of Ministers and orders of ministries. There is a large number of implementation
laws for all the issues related to the IMO instruments. All the related public executive bodies
have their establishment laws with their detailed duties and responsibilities.

7.22 According to the Regulation on MoI, it fulfils Ukraine’s obligations arising from its
membership to international organizations, concludes international agreements and
implements related provisions into national legislation. MoI also provides proposals regarding
conclusion, termination or suspension, denunciation or accession to the international
agreements in the field of transport.

7.23 According to the Act of the Cabinet of Ministers of Ukraine No. 1371 dated
13 September 2002 “on Procedure for the Participation of Central Executive Bodies of Ukraine

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in International Organizations to which Ukraine is Party”, MoI, SSUTS, the Ministry of Foreign
Affairs and the Ministry of Justice are responsible for Ukraine’s IMO obligations.

7.24 Regarding the transposition of IMO Instruments into national legislation, national
procedure for accession to the international instruments, fulfilment of obligations and their
termination/denunciation is prescribed by the Law of Ukraine “On International Treaties of
Ukraine” No.1906-IV dated 29 June 2004. National procedure for official translation is
prescribed by the Act of the Cabinet of Ministers of Ukraine No. 353 “On Official Translation”
dated 17 March 2006. According to the said Law and Act, the relevant international instrument
is officially translated into Ukrainian by the Ministry of Foreign Affairs. After the decision to
access the international instruments is made by the relevant ministries, the Ministry of Justice
indicates the form of internal act to be approved either in the form of a decree and resolutions
of the Cabinet of Ministers or an Act of Parliament of the President. In the case when an
international instrument requires amendments to the national legislation, together with the
mentioned above Decrees/Resolutions/Act the respective Act is simultaneously drafted
indicating exact national document(s) which is(are) to be amended accordingly. According to
Article 21 of the Law of Ukraine “On International Treaties of Ukraine” No.1906-IV dated
29 June 2004, international treaties in force are published in Ukrainian language in
“International Treaties’ Collection” and other official periodicals. An international treaty ratified
by Ukraine has the priority over national law and can be applied directly. In exceptional cases,
separate implementation laws can be issued.

7.25 Before Ukraine gained its independence from the Soviet Union in 1991, the legal texts
of the instruments needed to be published in the Official Journal were in Russian and part of
them have not yet been translated into Ukrainian. Those instruments ratified after the 2004
Law of Ukraine “On International Treaties of Ukraine”, need to be published in Ukrainian upon
ratification. As a result, some of the original texts of the IMO instruments are available in
Russian, while some others are published in Ukrainian.

7.26 Regarding the amendments of the international instruments, the general interpretation
of provisions of Articles 14 and 19 of the Law of Ukraine “On International Treaties of Ukraine”
No. 1906-I of 29 June 2004 is that amendments of ratified instruments directly gained the force
of law and enter into force in a manner prescribed within the terms provided for by the treaty
or otherwise agreed between the contracting Parties. Although the supporting legal provisions
were not available, the general application and understanding in the State is that there is no
need to publish the amendments of the international instruments to give them legal status.

7.27 To provide the necessary implementation and enforcement and to make sure that the
legal texts of conventions, codes and amendments are available to the shipping community
and public, the Department for Reform and Functioning of the Marine and River Transport of
MoI monitors the amendments coming into force internationally and publishes IMO resolutions
texts of all amendments on its public web page in two IMO’s official languages.

7.28 Regarding the enforcement of instruments and national legislation, violation of

legislation entails disciplinary, administrative, civil and criminal liabilities. Part 21 of Article 92
of the Constitution of Ukraine, several articles of the Merchant Shipping Code, the Code of
Ukraine on Administrative Violations, the Criminal Code of Ukraine, the Law of Ukraine “on
Sea Ports of Ukraine”, the Law of Ukraine “on Transport”, and the Law of Ukraine “on
Environment Protection” provide enforcement provisions. Authorities may directly apply for
administrative penalties and for more serious violations. A court decision is required for
administrative, civil or criminal action (imprisonment, etc.).

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Records and improvement

7.29 The retention of the records is regulated by the Law of Ukraine No. 3814-XII dated
24 December 1993 "on the National Archival Fund and Archival Institutions"; the Decree of the
Cabinet of Ministers of Ukraine No. 1004 dated 8 August 2007 "on the Examination of the
Valuability of Documents"; the Decree of the Cabinet of Ministers of Ukraine No. 1242 dated
30 November 2011 “on the Approval of Typical Instructions of Office Work in Central Executive
Bodies, the Council of Ministers of the Autonomous Republic of Crimea, Local Executive
Authorities”; the Decree of the Ministry of Justice of Ukraine No. 578/5 dated 12 April 2012 "on
Approval of the List of Typical Documents Created during the Activities of State and Local
Government Bodies, other Institutions, Enterprises and Organizations, specifying the terms of
storage of documents", registered by the Ministry of Justice of Ukraine under No. 571 / 20884
on 17 April 2012, and the Decree of the Ministry of Justice of Ukraine No. 1000/5 dated
18 June 2015 "on Approval of the Rules of Organization of Record-Keeping and Archival
Storage of Documents in State Authorities, Local Self-Government Bodies, Enterprises,
Institutions and Organizations", registered by the Ministry of Justice of Ukraine on
22 June 2015 No. 736/27181.

7.30 These legal acts set out the types of records, requirements for them, defining controls
on identification, storage, protection, retrieval, retention time and disposition of records,
procedures for transferring of records and archival institutions. Each maritime organization
develops its own rules under the above-mentioned legal acts, taking into account the specific
requirements of the activity. The process of record keeping is also described in the QMS of
relevant maritime organizations.

7.31 Regarding reporting to the Organization, a list of reporting requirements was

approved by MoI in April 2018 and an order was available for the subordinate entities of the
Ministry for reporting to the Global Integrated Shipping Information System (GISIS). Some
reports were sent and information was entered into GISIS, but the mechanism in place for
submitting mandatory reports to IMO, in accordance with the applicable provisions was not
completely functional. The reporting responsibilities were left to the officials of the departments
without systematic supervision. Consequently, information required to be sent to IMO or to be
inserted into various modules of GISIS, was incomplete or not up to date, including but not
limited to, details and agreement texts for recognized organizations (ROs) and MARPOL
Annex VI notifications. In addition, no reports containing texts of national laws had been
submitted to IMO.

7.32 Although there were periodic State and internal (ministerial-level) audit systems for
supervision and control functions of all government entities and for the subordinate bodies in
MoI, there was no proof of a formal methodology that was developed or implemented for
continual improvement of measures taken for implementation, enforcement, monitoring of
compliance and overall coordination of all related entities on IMO-specific issues. The State
Accounting Chamber audited all the State bodies mostly on budget-related issues and also for
compliance with their responsibilities. However, the results of audits for the specific issue of
the implementation of IMO instruments were not available. Key performance indicators and
detailed mechanisms for the measurement of performance of the maritime administration were
stated as under development. As a result, positive evidence to identify and eliminate the
causes of IMO-related non-conformities in order to prevent their recurrence was not yet ready.

7.33 Findings (FD)

.1 The State did not fulfil all its obligations regarding communication of
information to IMO under the applicable mandatory IMO instruments
(e.g. information on text of laws, orders, decrees and regulations,
details of RO agreements) (SOLAS 1974, article III; MARPOL, article 11;

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 LL 1966, article 26; STCW 1978, article IV; TONNAGE 1969, article 15;
III Code, paragraph 9). See Form A, FD-1

Corrective action

The State will implement the following actions:

.1 develop and implement a mechanism for mandatory reporting

to IMO, including working instructions, procedures and
division of responsibilities for reporting;

.2 designate a unit, within Maritime Administration, to ensure that

the required information and reports are communicated to IMO;
including the uploading of information into GISIS and keeping
it updated. The unit will assume the coordination with involved
entities and periodic inter institutional meetings will be
organized to coordinate the communication of all mandatory
reports to IMO; and

.3 identify and communicate all mandatory information and

reports to IMO.

Target completion date: 31 December 2019.

Root cause

The following factors contributed to this finding:

.1 lack of documented procedures to identify and address the

requirements for communication of information and
mandatory reports to IMO;

.2 the tasks of the authorized officials were not defined and there
was a lack of supervision of the responsibilities of the related
services; and

.3 lack of coordination among institutions responsible for

reporting to IMO.

FD

.2 The State did not have in place any measure to stimulate a culture
which provides opportunities for improvement of performance in
maritime safety and environmental protection activities, including
continual training programmes, reward and incentive mechanisms for
shipping companies and seafarers with a view to improving safety and
pollution prevention (III Code, paragraph 12.1; III Code, paragraph 12.3).
See Form A, FD-2

Corrective action

The State will implement the following actions:

.1 develop and implement documented procedures as a basis for

continual training programmes aiming at promotion of

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 profession, that may include ‘international experience
exchange programmes, as well as programmes designed to
enhance qualifications of relevant personnel; and

.2 establish a reward and incentive mechanism for shipping

companies and seafarers to improve safety and environment
protection activities.

Target completion date: 1 March 2020.

Root cause

The following factors contributed to this finding:

.1 lack of understanding of the provisions of the III Code, lack of

documented procedures and qualified personnel; and

.2 absence of a relevant national programme/mechanism for

continuous improvement of performance in maritime safety
and environment protection activities.

FD

.3 There was no overall system, mechanism or documented procedure in

place to monitor and review the measures taken to implement and
enforce the mandatory IMO instruments, including:

.1 effective application and enforcement of national legislation,

as appropriate, and monitoring of compliance;

.2 actions to be taken to identify and eliminate causes of

non-compliance; and

.3 actions needed to eliminate the causes of potential

non-conformities in order to prevent their occurrence

(III Code, paragraph 11; III Code, paragraph 13; III Code, paragraph 14).
See Form A, FD-3.

Corrective action

The State will review and enhance the existing mechanism for continual
improvement in the implementation and enforcement of the mandatory
IMO instruments, as well as introduce the periodical monitoring of all
involved entities in discharging flag, coastal and port State
responsibilities and obligations. The new mechanism will, inter alia,
include:

.1 analysis and review of the existing national legislation,

directives, procedures and instructions and their alignment
with the mandatory IMO instruments to which Ukraine is Party;

.2 periodical analysis and evaluation of the effectiveness in the

implementation of the mandatory IMO instruments, with the

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 aim of identifying and eliminating the cause of any non-
conformities;

.3 developing and implementing corrective actions to address the

root causes of any discovered and potential non-conformities
and implement actions to prevent their recurrence; and

.4 convening periodical evaluation meetings between different

governmental entities, to verify the effective implementation of
the mandatory IMO instruments in order to identify and
eliminate the reasons of discovered or potential non-
conformities.

Target completion date: 31 December 2020.

Root cause

The following factors contributed to this finding:

.1 lack of understanding of the provisions of the III Code and lack

of culture and analysis tools to identify and eliminate the cause
of non-conformities; and

.2 lack of a culture of continuous improvement and absence of

performance measurement criteria.

7.34 Observation (OB)

.1 The State had recently developed and adopted a strategic directions

plan which did not contain measures that would ensure how its
obligations and responsibilities under the mandatory IMO instruments
that it is a Party to were going to be met, nor did it contain a
methodology to monitor and assess that the strategy ensures the
effective implementation and enforcement of the applicable mandatory
instruments, as well as a mechanism for continuous review and
improvement of the overall organizational performance and capability
as a flag, port and coastal State (III Code, paragraph 3). See
Form A, OB-1

Corrective action

The following actions will be implemented:

.1 a review and update of the adopted Strategic Directions will be

carried out in accordance with paragraph 3 of the III Code and
a coordination and collaboration mechanism will be
established among all concerned entities, identifying the
scope and the area of responsibilities to meet the overall
objectives; and

.2 an effective method of assessment will be developed, at the

highest level, through which a specific entity will be in charge
of overseeing and monitoring the strategy. This method will be
developed in harmony with the overall strategy objectives and
will include the necessary KPIs and assessment criteria.

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 Target completion date: 31 December 2019.

Root cause

There was a lack of understanding of the scope and the level of

requirements of paragraph 3 of the III Code and the absence of
continuous review of the adopted Strategic Directions to achieve,
maintain and improve the overall organizational performance and
capability of the State.

8 Flag State activities

8.1 The flag State activities under the applicable IMO instruments were mainly performed
by the Ministry of Infrastructure of Ukraine (MoI) and State Service of Ukraine for Transport
Safety (SSUTS).

8.2 MoI had four main divisions:

.1 Department of Reforming and Functioning of Marine and River Transport;

.2 Division of Safety on Transport and Technical Regulation;
.3 Legal Department; and
.4 Department of International Cooperation.

8.3 MoI is the main policy maker for transportation safety, merchant shipping and
navigational/hydrographic support for ships and its responsible for the promulgation of all
laws, rules, regulations and orders and for taking all other necessary steps to give full and
complete effect to the mandatory IMO instruments and acted as the regulatory authority.

8.4 SSUTS is subordinate to MoI and it is the main flag State practical implementation
authority. It was established by the Decree of Cabinet of Ministers of Ukraine “on Approval of
the Regulation on the State Service of Ukraine for Transport Safety”. It has a division for
transport safety and accidents investigation, a department for State control, a division of
international relations and a legal department. Its headquarters is in Kyiv and it also has
24 regional branches (five of them are engaged on Flag State responsibilities), throughout the
State.

8.5 The Inspectorate for Training and Certification of Seafarers (ITCS) under MoI deals
with the seafarer and STCW-related issues.

8.6 A sector (unit) under SSUTS deals with accident investigations on maritime and inland
water transport.

8.6 Harbour Masters of the ports of Ukraine work under SSUTS and are responsible for
assisting with ships’ casualty investigations and statistics; issuance of certificates and
qualification documents to seafarers and the imposition of administrative penalties.

8.7 The State Enterprise Classification Society “Shipping Register of Ukraine” (SRU) is
another public body under MoI, which carries out the survey and certification of Ukrainian
flagged ships on behalf of the Administration. Under the Merchant Shipping Code of Ukraine,
its functions are stipulated in Order No. 814 of the Cabinet of Ministers of Ukraine dated
8 June 1998 “on Improvement of Technical, Class and Navigation Survey on Sea and River
Transport”.

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8.8 The Ministry of Agrarian Policy and Food, through the State Agency for Fisheries is
in charge of the implementation and enforcement of applicable IMO instruments to fishing
vessels including surveys, inspections, delegation of authority to ROs and the conduct of
casualty investigations exclusively for these types of vessels.

Implementation

8.9 The main implementation legislation related with the flag State functions are the Law
of Ukraine “on Basic Principles of State Supervision (Control) in the Commercial Activities
Area”, the “Merchant Shipping Code of Ukraine” and the Law of Ukraine “on Transport”. There
is a large number of subordinate legislation for details of implementation. The most important
one for flag State inspection purposes is the Order of the Ministry of Transport No. 545 “Rules
for supervision of the ships in order to ensure the maritime safety”.

8.10 Responsibilities are assigned in MoI and SSUTS in accordance with the job
descriptions for all positions. A clear division of responsibilities and authorities between these
two entities had been fully established. SSUTS was subject to the general supervision,
direction and control of MoI, as they performed their implementation duties and there were
formal supervisory procedures and processes established and implemented by MoI.

8.11 There is a large number of national legislation, consisting of laws, codes, acts,
decrees, orders, policies and procedures for implementation of flag State duties. The
legislation covers all technical issues.

8.12 Development, documentation and provision of guidance concerning those

requirements in the IMO instruments that are left to the satisfaction of the Administration were
not properly established, and ROs were empowered to establish interpretations.

8.13 At the time of the audit, resources were not found to be in place to ensure compliance
with the requirements of the IMO instruments, through an independent audit and inspection
programme.

8.14 Ships flying the flag of the State were sufficiently and efficiently manned and IMO
guidance’s related to the principles of safe manning were considered. SSUTS issued the
minimum safe manning document and the continuous synopsis record. All other statutory
certificates and documents were issued by ROs.

8.15 For exemptions, the provisions of the “Instruction on Exemption from the
Requirements of International Conventions during the Certification of Ukrainian Ships”,
approved by Order No. 43 of the Ministry of Infrastructure of Ukraine were followed.

8.16 With regard to STCW 1978, Ukraine is included on the IMO White List and the quality
standard system as required by regulation I/8 of STCW 1978, as amended, is put in place.
The next submission of the independent evaluation report, to the IMO, is due by January 2019.

8.17 The Administration recognizes certificates issued by the Parties in STCW 1978 White
list and has a procedure in place for the issuance of endorsements under regulation I/10 of the
Convention, including a computerized database for the verification of authenticity of the
certificates issued by Ukraine.

Delegation of authority

8.18 Based on Order No. 172-r of 6 March 1996 as amended in 1 October 2014 on
“Technical Supervision over Ships, Entitled to Sail under the Flag of Ukraine”, the
Administration delegated all surveys and audits to three ROs (American Bureau of Shipping

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(ABS); Bureau Veritas (BV); and to the SRU). At the time of the audit, there are no Ukrainian
flagged ships under ABS or BV.

8.19 Despite the fact that this legislation was not updated to incorporate the RO Code, the
agreements between the Administration and ROs were found to be in place and were in line
with the requirements of the RO Code. However, there were omissions in listing some of the
delegated duties in terms of full authority to deliver statutory certificates under annex I of the
agreements.

8.20 The oversight programme is institutionalized through the Special Order No. 196 of
28 March 2018 and Order No. 148 of 30 March 2018 on “Oversight Programme for Recognized
Organizations” and “Composition of the “Group” in Charge of ROs Monitoring” respectively.
As the agreements were recently signed, the Administration did not establish or participate in
an oversight programme in accordance with the requirements of the III Code.

8.21 One single list of instructions, dated on 30 May 2018, was circulated by the
Administration to the three ROs providing them with the applicable national legislation including
guidance to the ROs to inform the Administration in case when they identify a ship flying the
flag of Ukraine not complying with the applicable requirements.

Enforcement

8.22 In the legislation as detailed under the “General” section, there were sufficient
enforcement provisions for contravention of national and international requirements. The
enforcement options included imprisonment which is applicable by court. Monetary fines were
also defined in related legislation and they were directly applicable by the State Ecology
Inspectors and harbour masters, but the levels of administrative penalties were usually too low
to be a deterrent (USD $4-5 on average per case). Detentions of ships by the SSUTS
inspectors were made possible by Order No. 545. SRU had the authority to suspend and
cancel ships certificates. ITCS is empowered to suspend and cancel the seafarer certificates.
SSUTS allowed its inspectors to make unscheduled inspections to national ships as
necessary. As a result, regarding the enforcement of instruments and national legislation,
sufficient disciplinary, administrative, civil and criminal liabilities were available and used.
There is widespread application of penalties for ships, seafarers and for pollution violations
(around 400 cases of administrative penalties in the last two years).

8.23 An annual programme of flag State inspections was implemented in accordance with
Order No. 545. All Ukrainian flag ships were inspected at least once a year by the inspectors
of SSUTS. An additional unscheduled inspection system was also administered and ten ships
were inspected during 2017. The check list used for annual inspections covered also some
operational issues, although it was not complete to cover all IMO instruments and operational
issues such as LL 1966, drills, training, familiarization, knowledge of crew and coordination
The results of unscheduled inspections were also used for the oversight of the ROs.

8.24 Administrative actions against seafarers, who are holders of Certificates of

Competency (CoCs) and documents, were pursued directly by ITCS on behalf of the State, for
seafarers who committed acts of negligence or misconduct while employed aboard ships flying
the flag of the State. According to several provisions of the “Code of Ukraine on Administrative
Violations” and Procedures of the Ministry of Transport No. 672 of 28 August 2003, a CoC may
be cancelled, suspended or withdrawn for a specified period. There were many examples of
administrative and legal proceedings for the seafarers, the last recorded case was in
April 2018.

8.25 The human resources of the Administration in terms of competent personnel were
sufficient to ensure full compliance with national legislation established to assist in the

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implementation and enforcement of the requirements of all safety and pollution prevention
conventions and protocols to which the State is Party. This includes personnel performing
investigations and surveys, as well as the related training and oversight of the activities of flag
State surveyors and investigators.

8.26 A control and monitoring programme to provide for the collection of statistical data, so
that trend analyses of the fleet could be conducted to identify problematic areas, was
developed and implemented.

Flag State surveyors

8.27 SSUTS employs ten full-time surveyors, who are civil servants and who also perform
port State control (PSC) inspections and other technical duties as required. National
arrangements regarding the recruitment criteria of personnel performing surveys, inspections
and audits were compatible with the III Code and IMO PSC Procedures. Required entry level
qualifications were stipulated in paragraph 1.9 of Order No. 545. The recruitment process was
defined by the public civil service rules.

8.28 Legal arrangements defining the responsibilities, authorities and interrelations of

surveyors were fragmented into different legislations. Most of the responsibilities were stated
in Order No. 545, while some authorities were in the Resolution of Cabinet of Ministers
No. 103.

8.29 SSUTS kept records of their authorized personnel to carry out flag State surveys.
Details like professional qualifications, expertise and trainings were included in their personnel
files.

8.30 A well-structured surveyor training programme was initiated by the Administration.

There was an agreement with Odesa Maritime Academy for formal and periodical training of
surveyors. As the training programme was recently finalized, its implementation was not
verified. At the time of the audit, the surveyors possessed training certificates from previously
implemented programmes and outside sources (Black Sea MoU on PSC, European Maritime
Safety Agency etc.).

8.31 Inspectors were issued with FS/PSC identification documents which were to be
carried when performing their tasks.

Evaluation and review

8.32 Evaluation and review of performance as a flag State is assigned to SSUTS by

Order No. 904 of 20 November 2003 as amended in 2016. The First evaluation, after
reorganization of the Administration structure was performed in February 2018, taking into
account the data collected from the past two years (2016 and 2017). PSC detention reports,
flag State inspection results, casualty statistics, loss of life statistics, withdrawal of ship
certificates under the flag State’s authority and RO’s reports of ship inspections were taken
into account. Minutes of the evaluation were endorsed by the head of SSUTS and corrective
action plans were established.

Investigation of maritime accidents

8.33 Casualty investigation falls under the responsibility of SSUTS. The State Agency for
Fisheries of Ukraine (SAF) of the Ministry of Agrarian Policy and Food of Ukraine (MAPF) is
also conducting casualty investigations involving fishing vessels. SSUTS has 11 qualified
investigators with marine expertise and background, while SAF has five.

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8.34 The main provisions for carrying out investigations of shipping casualties is outlined
in Article 16-3 of the Law of Ukraine “on Transport” of 10 November 1994 and in the Order of
the Minister of Transport of Ukraine No. 516 of 29 May 2006. The requirements of the Casualty
Investigation Code, however, were found not to be incorporated into national legislation.

8.35 SSUTS, through its “Office of Safety, Accident and Event Investigation” and
subsidiary body the “Sector of Safety and Investigation on Water Transport” use the
procedures and guidance for casualty investigators, follow the elements outlined by the
Casualty Investigation Code and in resolution A.1075(28). Order No. 516 is reported to be
under revision to accommodate harmonization with IMO instruments on casualty
investigations.

8.36 All the investigators of SSUTS have been trained as maritime accident investigators
and use the procedures and guidance for casualty investigators, follow the elements outlined
by the Casualty Investigation Code and in resolution A.1075(28). Some of the investigators
carry out flag surveyors duties at the same time.

8.37 The system outlined in the Order of the Minister, as well as practices of SSUTS, did
not ensure the impartiality and objectivity of investigations including the duplication of efforts
by MAPF.

8.38 Findings (FD)

.1 It was established that there was no specific requirements in place to

extend the implementation of the provisions of SOLAS 1974 Chapter V
and MARPOL Annex I to fishing vessels entitled to fly the flag of the
State, regardless of their size and area of operation (SOLAS 1974,
regulation V/1.4; MARPOL, Annex I, regulation 2.1; MARPOL, Annex I,
regulation 14.3; MARPOL, Annex I, regulation 14.4; MARPOL, Annex I,
regulation 14.6; III Code, paragraph 15.1). See Form A, FD-4

Corrective action

The State will develop and implement national legislation in order to

assign authority and responsibilities to the designated government
entity, which will be responsible for the effective implementation and
enforcement of the applicable mandatory IMO instruments, particularly
with regards to SOLAS 1974, Chapter V and MARPOL, Annex І
requirements, which are applicable to ships below convention sizes,
including fishing vessels flying the flag of the State. In addition,
specific technical requirements applicable to ships on domestic
voyages and below convention sizes will be developed and
implemented. Target completion date: 31 December 2020.

Root cause

There was a lack of specific requirements emanating from the

mandatory provisions of SOLAS 1974 and MARPOL. The division of
responsibilities was not clearly defined among government entities for
the effective implementation and enforcement of the requirements of
SOLAS 1974 and MARPOL on board all ships, irrespective of their size,
including fishing vessels.

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FD

.2 The Administration had not established resources and processes

capable of administering a safety and environmental protection
programme, which includes:

.1 administrative instructions to effectively implement the

mandatory IMO instruments and their amendments to which
the State is a Party. This includes documenting policies and
instructions on issuing equivalents, alternative arrangements
and type approvals of materials and equipment, as well as to
address those requirements that are left “to the satisfaction of
the Administration in the relevant mandatory IMO instruments;
and

.2 an independent audit and inspection programme covering the

entity which issues the required certificates and
documentation to the ships entitled to fly the flag of the State,
in order to ensure compliance with the requirements of the
applicable international instruments.

(III Code, paragraph 16.1; III Code, paragraph 16.2; III Code,
paragraph 16.5.) See Form A, FD-5

Corrective action

The Administration will implement the following actions:

.1 establish resources, processes and procedures in order to

administer a safety and environmental protection programme

.2 implement and keep updated an audit and inspection

programme, independent of any administrative bodies issuing
the required certificates and documentation to the ships
entitled to fly the flag of the State;

.3 establish and implement policy and documented procedures

for type approval of materials, equipment and alternative
designs, including issuance of equivalents and exemption
certificates; and

.4 identify and designate a dedicated unit, which will be tasked to

maintain a scheme to identify and address those provisions of
the mandatory IMO instruments that are left "to the satisfaction
of the Administration" by issuing technical circulars, guidance
and interpretations.

Target completion date: 31 December 2020.

Root cause

The lack of resources, the absence of administrative instructions and

insufficient national legislation caused difficulties in implementing the
safety and environmental protection programme. In addition, the
Administration did not document appropriate policy, guidance or

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 approved interpretations for those requirements of the mandatory
IMO instruments left to the satisfaction of the Administration.
FD

.3 It was not demonstrated how the Administration had determined that

the ROs had adequate technical, managerial and research capabilities
to accomplish the delegated tasks. In addition, the Administration did
not empower two of its ROs to require repairs and to withdraw
certificates in the event that the ship is found unfit to proceed to sea
(SOLAS 1974, regulation I/6; SOLAS 1974, regulation XI-1/1; MARPOL,
Annex I, regulation 6; LL 1966, annex 1, regulation 2; TONNAGE 1969,
article 7(2); RO Code, part 1, section 4.2; RO Code, part 2, section 8;
III Code, paragraph 18.1; III Code, paragraph 18.3). See Form A, FD-6

Corrective action

The Administration will develop and implement administrative

instructions and guidelines for the selection, assessment, evaluation,
recognition, oversight and supervision of ROs, in compliance with the
applicable mandatory IMO instruments and recommendations. In
addition, clear instructions will be given to all ROs, including those
related to requiring repairs and withdrawing certificates in the event
that a ship entitled to fly the flag of the State is found unfit to proceed
to sea. Target completion date: 31 December 2020.

Root cause

There was a lack of clear procedures and guidelines for reviewing RO

agreements, including degree of authorization. There was also no
procedure or process in place to evaluate ROs, in accordance with the
RO Code, prior to the conclusion of the agreement for the delegation of
authority.

FD

.4 Although there were provisions in the national laws and regulations for
the enforcement of the requirements of the applicable mandatory IMO
instruments, the administrative penalties were found to be of
inadequate severity to discourage violations of the requirements by
ships and individuals (III Code, paragraph 22.4; III Code,
paragraph 22.5). See Form A, FD-7

Corrective action

The State will review penalties to ensure they are adequate to the extent
of damage which might be caused as a result of violations of
international rules and standards. All national legislation will be
reviewed and amended accordingly. Target completion date:
31 December 2020.

Root cause

The Parliament (Verkhovna Rada) established very limited sanctions

and penalties to discourage violations of international rules and
standards stipulated in the mandatory IMO instruments.

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 FD

.5 The Administration did not fully implement the provisions of the

Casualty Investigation Code. The related regulations were insufficient
and not updated. The current casualty investigation system and
structure did not ensure impartiality and objectivity. The arrangements
for cooperation in investigations with other interested States were
absent and final investigation reports were not available to the public
(SOLAS 1974, regulation I/21; SOLAS 1974, regulation XI-1/6; Casualty
Investigation Code, paragraph 6.2; Casualty Investigation Code,
paragraph 7.1; Casualty Investigation Code, paragraph 7.2; Casualty
Investigation Code, paragraph 8.1; Casualty Investigation Code,
paragraph 10.1; Casualty Investigation Code, paragraph 11.1; Casualty
Investigation Code, paragraph 14.1; Casualty Investigation Code,
paragraph 14.2; Casualty Investigation Code, paragraph 14.4; III Code,
paragraph 38; III Code, paragraph 41). See Form A, FD-8

Corrective action

The Administration will implement the following corrective actions:

.1 adopt, transpose and incorporate into Ukrainian legislation the

mandatory provisions of the Casualty Investigation Code
(resolutions MSC.255(84)) and related guidelines (resolution
A.1075(28)), including a framework to make the results of
marine casualty investigations available to the public;

.2 develop documented procedures to include the cooperation

with other flag and/or port States when carrying out marine
casualty investigations; and

.3 necessary conditions will be created to ensure impartiality and

objectivity in organization and conduct of casualty
investigations. Procedures for data exchange will be
established for investigations conducted jointly with other
interested States and familiarization of the public with
investigations’ results will be organized, where appropriate.

Target completion date: 31 December 2020.

Root cause

The Casualty Investigation Code was not fully transposed into national
legislation and the maritime administration was unaware of the
requirement to make casualty investigation reports available to the
public. In addition, the State did not put in place mechanisms to ensure
impartiality and objectivity of investigations.

8.39 Observation

None.

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9 Coastal State activities

Implementation

9.1 The coastal State activities under the applicable IMO instruments are mainly
performed by the Ministry of Infrastructure (MoI) and the Ministry of Ecology and Natural
Resources and their affiliated bodies.

9.2 The Search and Rescue (SAR) and emergency communications authority is the
Marine Search and Rescue Service (MSRS) under the MoI. MSRS is responsible for the
organizational and technical support for the functioning and sustainable development of the
national system of Ukraine for maritime SAR; ensuring the functioning of the State Maritime
Rescue Coordination Centre (MRCC) and the Maritime Rescue Sub-Centres (MRSC); the
organization and carrying out of search and rescue works in the maritime SAR region of
Ukraine; ensuring the functioning and development of maritime mobile communication
systems and the Global Maritime Distress and Safety System (GMDSS), and GMDSS coastal
radio stations.

9.3 Ukrainian Hydrometeorological Centre (UkrHMC) collects and processes the

meteorological data.

9.4 The State Hydrographic Service of Ukraine (SHSU) is the hydrography and Aids to
Navigation (AtoN) authority of the State and works under MoI. It is also responsible for the
issuance of navigational warnings and ships’ routeing.

9.5 Regarding prevention of pollution in port waters, Ukrainian Sea Ports Authority
(USPA) is the implementation and monitoring authority.

9.6 For pollution cases, the State Ecological Inspection is the main authority of
enforcement.

Radiocommunication services

9.7 Under the Order of the Ministry of Transport and Communications of Ukraine No. 514
of 29 Mat 2006 “on Approval of Regulations on Hydrographic Support of Navigation in Internal
Sea Waters, Territorial Sea and Exclusive (Sea) Economic Zone of Ukraine” and the Order of
the Ministry of Transport and Communications of Ukraine No. 420 of 9 July 2001 “on
Appointment of National Navigational Warning Coordinator and its Regulations Approval”,
SHSU is promulgating navigational warnings and dangers to navigation through the
established NAVTEX service, which is the national coordinator of navigational warnings of
Ukraine, as well as the national NAVTEX coordinator.

9.8 MSRS carries out the emergency communications with ships during distress
situations. Coastal GMDSS radio stations are available for A1 and A2 areas, but the service
range of these stations do not cover all the territorial waters of Ukraine. Deployment of the
new GMDSS remote sites for A1 and A2 areas is declared to be underway.

9.9 The Ukrainian Centre for Radiofrequency (UCRF), established under Article 16 of the
Law of Ukraine “on Radio Frequency Resource of Ukraine”, is an entity subordinate to the
National Commission on State Regulation of Communication and Information, responsible for,
inter alia, issuing radio station licences and registration of radio frequencies, call signs and
MMSI. UCRF is also in charge of the assignment of identities for GMDSS and made them
available to MRCC Odesa.

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Meteorological Services and Warnings

9.10 Meteorological services are performed by UkrHMC according to Act of Ukraine

No. 443-XIV “on Hydrometeorological Activities” of 23 March 1999, as amended in
18 January 2018. Meteorological information and weather forecasts including urgent
messages and meteorological warnings are continuously and consistently provided by
UkrHMC and broadcasted by the Navigation Warning National Coordinator (NWNC) of SHSU,
established by Order No. 420 of the Minister of Transport and Communication dated on
9 July 2001. Meteorological information is also available on the Meteorological Office website
and disseminated to other State entities daily.

9.11 Maritime Safety Information (MSI) and navigational warnings are disseminated by the
NWNC and broadcasted to ships by the available NAVTEX shore based broadcast station.

Search and rescue (SAR) services

9.12 Ukrainian SAR area covers 137,000 sq. km of the Black Sea and the Sea of Azov.
MSRS, under MoI, is responsible for organizational and technical support for the functioning
and sustainable development of the national SAR system; ensuring the functioning of MRCC
and MRSC and carrying out search and rescue works in the maritime SAR region of Ukraine.
MRCC is in Odesa and MRSC is in Berdiansk.

9.13 The “Coordinating Committee on Maritime Search and Rescue of Ukraine” was
established by the Decree of the Cabinet of Ministers of Ukraine No. 830, dated
16 November 2016. MoI ensures the activity of this committee and its Minister acts as the
National SAR coordinator. Practical implementation of SAR functions is done by MSRS under
MoI. MSRS was established in accordance with the Decree of the Cabinet of Ministers of
Ukraine No. 1069 by 20 October 2011 “on Ensuring the Functioning of the Unified Maritime
Search and Rescue System”.

9.14 Other legislation on SAR are the Decree of the Cabinet of Ministers of Ukraine
No. 158 “on Re-Establishment of a Unified Maritime Search and Rescue System”; the Decree
of the Cabinet of Ministers of Ukraine No. 1090 by 28 November 2012 “on Approval of the
Procedure for Crossing the State Border during Maritime Search and Rescue”; the Decree of
the Cabinet of Ministers of Ukraine No. 1069 by 20 October 2011 “on Ensuring the Functioning
of the Unified Maritime Search and Rescue System”; and the Decree of the Cabinet of
Ministers of Ukraine No. 178 by 5 March 2009 “on Improving the Operational Efficiency of the
Maritime Search and Rescue System”. As these national requirements in Ukraine cover
extensive issues about SAR, there is no need for a separate National SAR plan at the moment.
Updating related legislation is declared to be underway and a national SAR plan will be
approved afterwards.

9.15 MSRS has 296 employees, including an administrative staff of 81 persons and an
operational staff of 215 persons. It uses its own fleet of ships for the provision of SAR services
and may also utilize other sources like the State Border Guard, Naval Forces, Air Force, as
necessary. It was declared by the Director of MSRS during the audit that MSRS may benefit
from further strengthening of its SAR assets by modern ships and helicopters. A training
system for personnel is in place.

9.16 SAR Cooperation plans between SAR Services and Passenger Ships are in
accordance with SOLAS Regulation V/7.3 and IMO MSC/Circ. 1079; MRCC Odesa signs the
cooperation plans and carries out exercises.

9.17 For regional cooperation on SAR, “Black Sea Common Agreement” with six littoral
countries has been in force since 1998 (The Agreement on Cooperation regarding Maritime

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Search and Rescue Services among Black Sea Coastal States, 1998 (the Ankara Agreement,
1998)). For COSPAS-SARSAT SAR alerts, there is an agreement with the Turkish MCC and
they relay alerts to Odesa MRCC for the SAR region of Ukraine.

9.18 MSRS runs an ISO qualified service (Integrated Management System) and regarding
evaluation and improvement of performance, there are internal debriefings after every
operation and minutes of decisions are kept. Externally, MSRS reports all its activities to the
SAR coordination committee annually for evaluation and decision. Additionally, MSRS submits
reports on fulfilment of the strategic development plan to the Minister of MoI every six months.

Hydrographic services

9.19 In compliance with the existing legislation, hydrographic services are provided by
SHSU of MoI. The Hydrographic Unit is charged with the responsibility to ensure hydrographic
surveying is carried out, which includes preparation and publication of paper and electronic
navigational charts (ENC), tide tables and special publications for mariners’ compilation,
production and update.

9.20 The annual report of SHSU to the International Hydrographic Organization (IHO)
submitted by Ukraine on 24 April 2018, show that the Hydrographic Unit of SHSU published
177 paper charts, 129 paper charts for inland waterways, 15 international charts published,
239 ENCs, 102 cells for ENCs and 181 inland ENCs. The navigational charts are continuously
updated.

9.21 SHSU is conducting routine hydrographic surveys and had sufficient hydrographers
and operational ships equipped with new multi-beam echo sounding system.

9.22 The Hydrographic Unit keeps statistics, evaluates and reviews its performances on a
periodical basis.

Ships' routeing, ship reporting systems and Vessel Traffic Services

9.23 Ukraine runs mandatory ships’ routeing systems adopted by IMO with ship reporting
systems and covered by VTS’. Routeing systems were established by SHSU and their
monitoring and enforcement of the applicable IMO regulations were done by VTS operators of
USPA.

9.24 The mandatory ships’ routeing systems still need to be reviewed by Ukraine in
accordance with the criteria and guidelines developed by IMO.

9.25 The “Delta-Pilot” branch of USPA runs and maintains a strong asset of VTSs
composed of ten VTS centres and five remote control radars station implemented in four
regions of the State. The VTSs were manned by qualified operators who were trained and
certified according to IALA recommendations with periodical evaluation and assessment of
their knowledge.

Aids to navigation (AtoN)

9.26 Under the Order of the Ministry of Transportation and Communication of Ukraine,
No 514, “on Approval of the Regulations on the Navigational and Hydrographic Support of
Navigational Safety in the Internal Waters, Territorial Waters and Exclusive Economic Zone of
Ukraine”, dated 29 May 2006, SHSU was vested with the responsibility of establishing and
maintaining AtoN for sea and coastal areas including approaching channels.

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9.27 AtoN deployment schemes are agreed with harbour masters and are based on IALA
recommendations.

9.28 A list of available AtoN is published in the “Ukrainian List of Lights and Beacons of the
Black Sea and Azov Sea”, and updated with regular notices to mariners. A monitoring system
for coastal and floating AtoN has been established. Some of the AtoN are supervised with
electronic remote control systems. Verification of operation and positioning of AtoN is
supplemented by information received from the harbour master offices, pilots, ships and ships
owned by SHSU.

9.29 A maintenance programme is implemented with SHSU resources. Contracted

services for major maintenance needs can be obtained by public procurement.

Oil Spill Response

9.30 The national oil spill response system was developed by the Cabinet of Ministers of
Ukraine as a part of the “Uniform State Civil Protection System of Ukraine”. The aim is to
provide preparedness for emergency situations in case of oil spills and other pollutants at
State, regional and local levels.

9.31 The initial management of the response is performed by MoI, who in case of an
emergency situation caused by oil spills and other pollutant spills, designates relevant officials
and establishes the emergency headquarters to deal with this situation. This emergency office
includes the authorized representatives from the State Emergency Service of Ukraine, the
Ministry of Ecology and Natural Resources of Ukraine, the Ministry of Defence of Ukraine,
Ministry of Foreign Affairs of Ukraine, the State Border Guard Service of Ukraine and other
involved bodies as necessary.

9.32 The management of the preparedness stage in case of an emergency situation at

local level and in case of an oil pollution and other pollutants at port water territories, is
performed by USPA. Port emergency plans are required from all port operators. Relevant
material resources and cleaning equipment are stocked with the port operators.

9.33 There are also regional level emergency plans and for state level spills there is also
a plan on Preparedness for Emergency Situations of State Level, approved by the Decree of
the Cabinet of Ministers of Ukraine No. 223 dated 14 March 2018. There is a fund reserved
from State budget to obtain external assistance, expertise, equipment and chemicals as
necessary.

9.34 The cooperation of involved authorities is ensured by the “Cooperation Plan of State
Bodies and Means Involved in the Preparedness for Emergency Situations of State Level at
Water Objects”, approved by the Decree of the Cabinet of Ministers of Ukraine No. 1612 dated
26 October 2000.

9.35 The Black Sea Contingency Plan to the Protocol on Cooperation in Combating
Pollution of the Black Sea by Oil and Other Harmful Substances in Emergency Situations is a
separate annex to the Plan on Preparedness for Emergency Situations of the Ministry of
Infrastructure of Ukraine.

9.36 In order to increase practical performance of measures, practical training programmes

and exercises for personnel are held on a regular basis.

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Enforcement

9.37 There are several enforcement options and penal provisions in related legislation
available to various authorities involved in coastal State duties. They included civil penalties,
administrative fines, and criminal penalties, including imprisonment of persons, inspection and
detention of ships.

9.38 For pollution cases, the State Ecological Inspection is the main authority of
enforcement, in accordance with the Water Code of Ukraine, the Code of Merchant Shipping,
the Code of Administrative Offenses and the Criminal Code of Ukraine. Criminal proceedings
are investigated by law enforcement agencies for the materials of the State Ecological
Inspection. Other related legislation includes the Law of Ukraine "on Environmental Protection
of Ukraine", the Law of Ukraine "on the Exclusive (Maritime) Economic Zone of Ukraine”.
There is also a number of subordinate legislation in force.

9.39 If the pollution takes place in the territorial waters of Ukraine, including harbour waters,
92 State ecological inspectors are responsible for the identification of polluters and imposing
of an administrative penalty. All the other authorities are required to report and cooperate with
the State ecological inspectors. After inspection, sampling, analysis, survey of ship and
identification of pollution source, the necessary enforcement actions are taken. Over the last
two years, the ecological inspectors made 155 inspections with large numbers of pollution fines
imposed. PSCOs of SSUTS may also investigate the pollution and if the ship is found to have
violated the requirements of MARPOL, necessary action can be taken.

9.40 Regarding prevention of pollution in port waters, USPA is the implementation and
monitoring authority, as set out in its technical documentation. The pollution prevention
activities of USPA include mandatory deployment of booms (ten thousand meters of oil booms
are available), during cargo operations with liquid cargoes (crude oil, oil products, sunflower
and tropical oil); watchkeeping of specialized ships during cargo operations with oil products;
continuous monitoring of compliance with environmental requirements during bunkering
operations; training of its port fleet officers; and routine inspections of port waters and cleaning
of floating garbage by its specialized marine fleet.

9.41 Regarding routine pollution patrols of territorial waters, the State Ecology Inspection,
the State Border Guard Service (Coast Guard) under the Ministry of Internal Affairs and the
Ukrainian Centre for Ecology of Sea under the Ministry of Ecology and Natural Resources have
the main responsibility. All the other government, commercial and fishing ships (as well as
other entities) are under the obligation to report pollution sightings to the authorities.

Evaluation and Review

9.42 There was evidence of review and evaluation systems for coastal State duties, as
explained in the respective paragraphs. The involved authorities had collectively, periodically
and formally evaluated their performance with respect of exercising their rights and meeting
their coastal State obligations.

9.43 Findings (FD)

.1 The Maritime Administration did not establish mechanism to review

and evaluate its ship routing systems in approaches to Odesa in line
with the guidelines and criteria developed by resolution A.572 (14), as
amended (SOLAS 1974, regulation V/10; III Code, paragraph 49). See
Form A, FD-9

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 Corrective action

The maritime administration will establish and implement a mechanism

to review and evaluate the effectiveness of the existing ship routing
systems, in accordance with the guidelines and criteria defined in
resolution A.572(14), as amended. Target completion date:
30 June 2019.

Root cause

There was a lack of performance evaluation in relation to the efficiency

of ship routing systems’ and the State had not transposed into national
legislation the provisions of resolution A.572(14), as amended.

9.44 Observation

None.

10 Port State activities

Port State control (PSC)

10.1 In Ukraine, there are 13 ports open to international maritime traffic. The port State
activities were shared among a number of governmental agencies, including the Ministry of
Infrastructure (MoI), the Ministry of Ecology and Natural Resources (MENR); The Ukrainian
Sea Port Authority (USPA) and The State Service of Ukraine for Transport Safety (SSUTS).
The harbour masters work under the authority of SSUTS.

10.2 Ukraine is a member of the Black Sea MoU on PSC and the national authority
declared to this regional MoU agreement is SSUTS. There are other authorities (USPA,
harbour masters and State Ecological Inspectors) carrying out ship inspections, but actual PSC
inspections are carried out by ten SSUTS inspectors located in the ports throughout the coast.
Job descriptions of SSUTS inspectors included conduct of PSC and FS inspections of ships.
The authority to carry out PSC inspections is clearly stated in the legislation.

10.3 There is ample legal coverage related to PSC inspections. The most pertinent
legislation containing reference provisions related to PSC include; the Merchant Shipping
Code of Ukraine, the Law of Ukraine “on Transport”, and the Decree of the Cabinet of Ministers
of Ukraine “on Approval of the Regulation on the State Service of Ukraine on Transport Safety”.
Detailed PSC provisions are stipulated in the Order of the Ministry of Transport “Rules for
supervision of the ships in order to ensure the maritime safety” No. 545. National PSC
regulations, policies and procedures, forms of documentation, keeping of records, obligations
of inspectors and reference to guidance (IMO and Black Sea MoU on PSC), are included in
this order. Therefore, legal structure for PSC was fully established. Similarly, SSUTS
supervised PSC inspections of field offices with written policies or procedures in place.

10.4 PSC principles like “no more favourable treatment”, “detention criteria”, “appeal and
review” and “ethical rules for PSCOs” were followed in a formal manner, with ample coverage
in related legislation. Appeal and review procedures are clear and consistently applied.

10.5 SSUTS employed ten full time PSCOs, who also carry out Flag State inspections as
necessary. The number of personnel assigned to the duties was regarded as sufficient for the
moment but it was declared that plans were underway to recruit more PSCOs in the near
future. Required expertise for recruitment was stipulated in the Law of Ukraine “on Civil
Service”, (General requirements to become civil servants) and Order No. 545, Paragraph 1.9

- 27 -
explained the recruitment criteria, which was in compliance with the III Code and Procedures
for PSC. PSCOs are duly qualified and trained as described under flag State surveyors
section. Additional training is obtained from BSMoU and European Maritime Safety Agency
sources as available. There are anti-corruption laws in force for all civil servants and this is
stated as closely applied. SSUTS issued ID cards for its PSCOs.

10.6 Regarding the numbers of PSC inspections, Ukraine met, and exceeded the
inspection targets of the regional MoU. It is also noted, that the quality of inspections has also
risen over the last year. The complaints cases are decreasing (tree complaints were received
in 2017) and the ratio of detentions increased to about 4% from 0.5 % in 2016. SSUTS’
headquarters maintains a close supervision over the work of PSCOs.

10.7 There is an officially adopted and implemented performance evaluation and

improvement system in use within MoI and SSUTS. The system includes auditing, periodical
meetings, evaluation of statistics and identification of needs. It is not PSC specific but covers
all functions of SSUTS.

Reception facilities

10.8 The State is a Party to MARPOL. At the time of the audit, reception facilities were
available in all its ports for all Annexes of MARPOL. Environmental Protection Division of
USPA headquarters and branch offices in 11 ports were responsible for implementation.

10.9 The legal coverage was provided in the Water Code of Ukraine; the Law of Ukraine
“on Sea Ports of Ukraine”; the Law of Ukraine “On Environmental Protection”; the Law of
Ukraine “On Wastes”; the “Rules for the Protection of Inland Waters and Territorial Sea from
Pollution”, approved by the Order of the Cabinet of Ministers of Ukraine No. 269 dated
29 February 1996; the “Procedure for Providing Services for the Prevention and Elimination of
Pollution in the Sea Ports of Ukraine”, approved by the Order of the Ministry of Infrastructure
of Ukraine No. 631 dated 21 August 2013; the “Rules for Registration of Operations with
Hazardous Substances on Ships, Marine Rigs and in Ports of Ukraine”, approved by the Order
of the Ministry of Transport of Ukraine No. 205 dated 10 April 2001, and in the “Procedure for
Fees and Rates for Port Charges”, approved by the Order of the Ministry of Infrastructure of
Ukraine No. 316 dated 27 May 2013.

10.10 USPA owns and operates ten road vehicles and 11 specialized ships for collecting
ships’ waste. Private collectors licenced by ecological authorities can also be used, as
necessary.

10.11 For the implementation of consolidated guidance for port reception facility
MEPC.1/Circ.834/Rev.1 in the seaports of Ukraine; a "Model Plan for Management of Ship
Generated Waste and Cargo Residues in Seaports of Ukraine" was updated. As per
Article 17.k of the Law of Ukraine on Wastes, waste management plans for all ports were
approved by the local USPA office.

10.12 There were alleged discrepancies in the GISIS Port Reception Facilities module for
three different port reception facilities pending since 2008 and 2013. Replies from authorities
had been provided recently in 2018. The Port Reception Facilities module in GISIS had been
properly populated by relevant information during the week of the audit.

Register of Fuel Oil Suppliers

10.13 According to the Order of the Cabinet of Ministers of Ukraine No.164-р of

4 March 2015, the Ministry of Infrastructure of Ukraine has been designated as the executor
for implementation of the register of fuel suppliers. According to the Order of the Ministry of

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Infrastructure of Ukraine No. 26 dated 16 February 2018, the responsibility for the
implementation and maintenance of the register of oil suppliers is entrusted to USPA.

10.14 In compliance with regulation 18 of Annex VІ MARPOL, USPA has developed the
instruction “on Managing the Register of Fuel Oil Suppliers in the Seaports of Ukraine”, which
was approved by the Order of USPA No. 31 dated 15 May 2018 and established the procedure
on the maintenance of such a register, with its publication on the official USPA web-site.
Currently, there are four suppliers registered and published. The same instruction required
local suppliers to provide the bunker delivery notes and samples and to retain a copy of the
bunker delivery notes.

10.15 The logbook referred to in regulation 14.6 of Annex VI of MARPOL is prescribed by

the Shipping Registry of Ukraine on behalf of the Administration.

Dangerous Goods and Grain Loading

10.16 Transportation of dangerous goods is governed by the Law of Ukraine “on Carriage
of Dangerous Goods”. Paragraph 14 of the law stipulates the functions of MoI with regard to
the transportation of dangerous goods. MoI and SSUTS are the two nominated competent
authorities, details of which have been communicated to IMO. Provisions in Ukrainian law
demand that all individuals involved in the handling of dangerous goods are adequately trained
and certified with respect to the scope of their duties. This is implemented according to the
requirements of the IMDG Code of training as formalized in the national legislation in the
Decree of the Cabinet of Ministers No. 1285 dated October 2007. Training and certification
requirements are extended to HMO and SSUTS officers inspecting ports.

10.17 Oversight of the handling of dangerous goods in ports is shared between harbour
master offices and SSUTS. SSUTS pays planned and announced visit to the ports (including
DG handling areas) once a year, based on a dedicated order. In the case of deficiencies
found, a correction plan is drawn and executed (with the possibility of a follow-up visit). HMO
officers visit port facilities once in a month. Their scope of verification is limited to the readiness
to respond to emergencies and the training of port personnel.

10.18 Storage of dangerous goods in the port of Yuzhnyi container terminal is organized in
a dedicated, monitored area with leakage containment system and equipment provided.
Safety procedures are established and formalized. When responding to emergencies, the
terminal personnel is supported by contracted professional emergency services.

Enforcement

10.19 For port State responsibilities, there were detailed penal provisions in related
legislation as explained under the General section and widespread application examples were
verified. In practice, the amount of administrative penalties was very low. The involved
agencies were granted direct application powers for the fines.

Evaluation and review

10.20 There was evidence of review and evaluation systems for port State duties as
explained in the respective paragraphs. The involved authorities had collectively, periodically
and formally evaluated their performance with respect of exercising their rights and meeting
their coastal State obligations.

10.21 Finding

None.

- 29 -
10.22 Observation

None.

11 Comments

11.1 In order to ensure a consistent review of each Member State's activities falling within
the III Code, all items from the verification index, which closely follows the requirements of the
III Code, have been verified and the outcome provided in appendix 2 to this report.

Other Areas of Positive Development

.1 The Ministry of Infrastructure accredited the VTS training centre of the

Ukrainian State Port Authority and approved the provided training in
accordance with IMO resolution A.857(20) and IALA guidelines No.1014.

.2 Almost all the flag, coastal and port State implementation authorities had
quality management systems in place and implemented safe management
practices.

Areas for Further Development

11.3 Areas for further development include:

.1 The State should consider developing an efficient and interactive platform to

enhance coordination of the activities and interactions between government
entities that are involved in the implementation and enforcement of the
relevant mandatory IMO instruments.

.2 The Administration should avoid implementation of international instruments

to which the State is not Party (LL Protocol 1988) in its survey guidance and
ship inspection reports.

.3 The Administration should develop and implement a monitoring and

follow-up programme for new amendments to IMO instruments, including the
appointment of personnel with the appropriate tasks and expertise.

.4 Specific directives, check lists and aide-memoires for flag State surveyors,
PSCOs, marine casualty investigators and support staff should be
established in order to ensure that the performance of their tasks and duties
are consistent with the international instruments and guidelines.

.5 The Administration is recommended to update and expand the orders and

resolutions containing detailed duties, responsibilities, authority and
interrelation of flag State surveyors.

.6 The Administration is recommended to periodically update the list of

certificates and documents that the ROs are delegated to issue/approve and
sign additional agreements with its ROs accordingly.

.7 The Administration is recommended to expand its application of using the

results of its unscheduled surveys for supervising its ROs. The inspectors in
the field offices should be properly notified that the results of their inspections
will be used as supplementary surveys for ROs.

- 30 -
.8 The maritime administration should verify the document flow for COLREG
and VTS violations for outbound ships based on the IMO recommended
resolution A.432(XI) and clearly define the limits of responsibilities between
the involved entities. (VTS-USPA-harbour masters-SSUTS-Ministry of
Infrastructure).

***

- 31 -
 APPENDIX 1

FINDINGS AND OBSERVATIONS

Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: MoI, MENR and MAPF

Finding No.: FD-1 Observation No.:

STATEMENT:

The State did not fulfil all its obligations regarding communication of information to
IMO under the applicable mandatory IMO instruments (e.g. information on text of laws,
orders, decrees and regulations, MARPOL Annex VI information on GISIS, details of
RO agreements). It was established that the maritime administration did not have in
place a full mechanism, including policies, assigned responsibilities and instructions,
as necessary, to ensure coordination, collection of relevant information and
communication of mandatory reports to IMO

EVIDENCE:

Analyse of GISIS Provided documentation during the audit

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

SOLAS 1974, article III

"Communication of information"

MARPOL, article 11

"Communication of information"

LL 1966, article 26

"Communication of information"

STCW 1978, article IV

"Communication of information"

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TONNAGE 1969, article 15

"Communication of information"

III Code, paragraph 9

"Communication of information - The State shall communicate its strategy, as referred to in

paragraph 3, including information on its national legislation to all concerned"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

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 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: MoI, MENR, MAPF and SESU

Finding No.: FD-2 Observation No.:

STATEMENT:

The State did not have in place any measure to stimulate a culture which provides
opportunities for improvement of performance in maritime safety and environmental
protection activities, including continual training programmes, relating to safety and
pollution prevention, reward and incentive mechanisms for shipping companies and
seafarers with a view to improving safety and pollution prevention

EVIDENCE:

Statements during interviews Absence of documentary evidence

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

III Code, paragraph 12.1

"Continual training programmes relating to safety and pollution prevention"

III Code, paragraph 12.3

"Using reward and incentive mechanisms for shipping companies and seafarers regarding
improving safety and pollution prevention"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

- 34 -
 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: MoI, MENR, MAPF and SESU

Finding No.: FD-3 Observation No.:

STATEMENT:

There was no overall system, mechanism or documented procedure in place to

monitor and review the measures taken to implement and enforce the mandatory IMO
instruments, including:
.1 effective application and enforcement of national legislation, as appropriate, and
monitoring of compliance;
.2 actions to be taken to identify and eliminate causes of non-compliance; and
.3 actions needed to eliminate the causes of potential non-conformities in order to
prevent their occurrence

EVIDENCE:

Statement during interviews Absence of documentary evidence on results of

corrective actions

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

III Code, paragraph 11

"Improvement - States shall continually improve the adequacy of the measures which are
taken to give effect to those conventions and protocols which they have accepted.
Improvement shall be made through rigorous and effective application and enforcement of
national legislation, as appropriate, and monitoring of compliance"

III Code, paragraph 13

"Improvement - Further, the State shall take action to identify and eliminate the cause of any
non-conformities in order to prevent recurrence, including […]"

III Code, paragraph 14

"Improvement - The State shall determine action needed to eliminate the causes of potential
non‑ conformities in order to prevent their occurrence"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

- 35 -
 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: SSUTS and SAF, MAPF

Finding No.: FD-4 Observation No.:

STATEMENT:

It was established that there was no specific requirements in place to extend the
implementation of the provisions of SOLAS 1974 Chapter V and MARPOL Annex I to
fishing vessels entitled to fly the flag of the State, regardless of their size and area of
operation.

EVIDENCE:

Statements during interviews Absence of supporting legislation and records for

implementation

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

SOLAS 1974, regulation V/1.4

"Application - The Administration shall determine to what extent some of the provisions of the
regulations of Chapter V of the Convention"

MARPOL, Annex I, regulation 2.1

"The provisions of Annex I shall apply to all ships"

MARPOL, Annex I, regulation 14.3

"Oil filtering equipment – volume of oil bilge holding tank"

MARPOL, Annex I, regulation 14.4

"Oil filtering equipment – ships of less than 400 gross tonnage"

MARPOL, Annex I, regulation 14.6

"Oil filtering equipment – approval"

III Code, paragraph 15.1

"Implement policies through issuing national legislation and guidance, which will assist in the
implementation and enforcement of the requirements of all safety and pollution prevention
conventions and protocols to which they are parties"
Team leader: Huseyin Cahit Yalcin Date: 19 July 2018
Member State: Ukraine Date received:

- 36 -
 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: MoI, SSUTS and SAF

Finding No.: FD-5 Observation No.:

STATEMENT:

The Administration had not established resources and processes capable of

administering a safety and environmental protection programme, which includes:
.1 administrative instructions to effectively implement the mandatory IMO instruments
and their amendments to which the State is a Party. This includes documenting
policies and instructions on, equivalents, alternative arrangements and type
approvals of materials and equipment, as well as to address those requirements that
are left “to the satisfaction of the Administration in the relevant mandatory IMO
instruments; and
.2 an independent audit and inspection programme covering the entity which issues
the required certificates and documentation to the ships entitled to fly the flag of the
State, in order to ensure compliance with the requirements of the applicable
international instruments.

EVIDENCE:

Statements during interviews Absence of supporting legislation and records for

implementation

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

III Code, paragraph 16.1

"Administrative instructions to implement applicable international rules and regulations as

well as developing and disseminating any interpretative national regulations that may be
needed including certificates issued by a classification society, which is recognized by the
flag State in accordance with the provisions of SOLAS regulation XI-1/1, and which certificate
is required by the flag State to demonstrate compliance with structural, mechanical, electrical,
and/or other requirements of an international convention to which the flag State is a party or
compliance with a requirement of the flag State's national regulations"

III Code, paragraph 16.2

"Compliance with the requirements of the applicable international instruments, using an audit
and inspection programme, independent of any administrative bodies issuing the required
certificates and relevant documentation and/or of any entity which has been delegated
authority by the State to issue the required certificates and relevant documentation"

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III Code, paragraph 16.5

"The development, documentation and provision of guidance concerning those requirements

found in the relevant international instruments that are to the satisfaction of the
Administration"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

- 38 -
 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: MoI, SSUTS and SAF

Finding No.: FD-6 Observation No.:

STATEMENT:

It was not demonstrated how the Administration had determined that the ROs had
adequate technical, managerial and research capabilities to accomplish the delegated
tasks. In addition, the Administration did not empower two of its ROs to require
repairs and to withdraw certificates in the event that the ship is found unfit to proceed
to sea

EVIDENCE:

Statements during interviews Absence of supporting legislation and records RO

Agreements.

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

SOLAS 1974, regulation I/6

"Inspection and survey"

SOLAS 1974, regulation XI-1/1

"Authorization of recognized organizations"

MARPOL, Annex I, regulation 6

"Surveys"

LL 1966, annex 1, regulation 2

"Application - assignment of freeboard"

TONNAGE 1969, article 7(2)

"Issue of certificates"

RO Code, part 1, section 4.2

"Delegation of authority"

RO Code, part 2, section 8

"Authorization of RO"

- 39 -
III Code, paragraph 18.1

"Determine that the recognized organization has adequate resources in terms of technical,
managerial and research capabilities to accomplish the tasks being assigned, in accordance
with the required standards for recognized organizations acting on behalf of the
Administration set out in the relevant instruments of the Organization"

III Code, paragraph 18.3

"Issue specific instructions detailing actions to be followed in the event that a ship is found
unfit to proceed to sea without danger to the ship or persons on board, or is found to present
an unreasonable threat of harm to the marine environment"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

- 40 -
 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: MoI, SSUTS, MENR and State

Ecological Inspection

Finding No.: FD-7 Observation No.:

STATEMENT:

Although there were provisions in the national laws and regulations for the
enforcement of the requirements of the applicable mandatory IMO instruments, the
administrative penalties were found to be of inadequate severity to discourage
violations of the requirements by ships and individuals

EVIDENCE:

Examples of administrative penalties during last three years.

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

III Code, paragraph 22.4

"Ensuring that the ship's complement, as a whole, can effectively coordinate activities in an
emergency situation and in the performance of functions vital to safety or to the prevention
or mitigation of pollution"

III Code, paragraph 22.5

"Providing, in national laws and regulations, for penalties of adequate severity to discourage
violation of international rules and standards by ships entitled to fly its flag"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

- 41 -
 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: SSUTS

Finding No.: FD-8 Observation No.:

STATEMENT:

The Administration did not fully implement the provisions of the Casualty
Investigation Code. The related regulations were insufficient and not updated. The
current casualty investigation system and structure did not ensure impartiality and
objectivity. The arrangements for cooperation in investigations with interested States
were absent and final investigation reports were not available to the public

EVIDENCE:

Statements during interviews Organogram of Administration Related legislation and

records

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

SOLAS 1974, regulation I/21

"Casualties"

SOLAS 1974, regulation XI-1/6

"Investigations of marine casualties and incidents"

Casualty Investigation Code, paragraph 6.2

"Investigation into a very serious marine casualty"

Casualty Investigation Code, paragraph 7.1

"Agreement to conduct a marine safety investigation"

Casualty Investigation Code, paragraph 7.2

"Agreement to conduct a marine safety investigation"

Casualty Investigation Code, paragraph 8.1

"Powers provided to investigator(s)"

Casualty Investigation Code, paragraph 10.1

"Cooperation in investigating"

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Casualty Investigation Code, paragraph 11.1

"Investigation not to be subject to external direction"

Casualty Investigation Code, paragraph 14.1

"Marine safety investigation reports – communication to IMO"

Casualty Investigation Code, paragraph 14.2

"Marine safety investigation reports – communication to IMO"

Casualty Investigation Code, paragraph 14.4

"Marine safety investigation reports – available to public and shipping industry"

III Code, paragraph 38

"Flag State investigations - Marine safety investigations shall be conducted by impartial and
objective investigators, who are suitably qualified and knowledgeable in matters relating to
the casualty. Subject to any agreement on which State or States will be the marine safety
investigating State(s), the flag State shall provide qualified investigators for this purpose,
irrespective of the location of the casualty or incident"

III Code, paragraph 41

"Flag State investigations - Ship casualties shall be investigated and reported in accordance
with the relevant international instruments, taking into account the Casualty Investigation
Code, as may be amended, and guidelines developed by the Organization"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

- 43 -
 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period9 to 18 June 2018

Department: MoI, USPA and SHSU

Finding No.: FD-9 Observation No.:

STATEMENT:

The Maritime Administration did not establish mechanism to review and evaluate its
ship routing systems in approaches to Odesa in line with the guidelines and criteria
developed by resolution A.572 (14), as amended

EVIDENCE:

Statements during interviews Absence of supporting records and reviews

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

SOLAS 1974, regulation V/10

"Ships' routeing"

III Code, paragraph 49

"Enforcement - Coastal States shall take all necessary measures to ensure their observance
of international rules when exercising their rights and fulfilling their obligations"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

- 44 -
 Form A

FINDINGS/OBSERVATIONS NOTICE
Member State: Ukraine Audit period: 9 to 18 June 2018

Department: MoI, MENR, MAPF and SESU

Finding No.: Observation No.: OB-1

STATEMENT:

The State had recently developed and adopted a strategic directions plan which did
not contain measures that would ensure how its obligations and responsibilities under
the mandatory IMO instruments that it is a Party to were going to be met, nor did it
contain methodology and did not cover all involved bodies. Besides, no clear
objectives and key performance indicators to monitor and assess that the strategy
ensures the effective implementation and enforcement of the applicable mandatory
instruments, as well as a mechanism for continuous review and improvement of the
overall organizational performance and capability as a flag, port and coastal State had
been established. Furthermore, details and results of the implementation of strategic
directions plan were not available.

EVIDENCE:

Statements during interviews Analyse of the Strategic Directions 2018-2022

APPLICABLE PROVISIONS OF THE AUDIT STANDARD AND/OR IMO INSTRUMENT:

III Code, paragraph 3

"Strategy - In order to meet the objective of this Code, a State is recommended to […]"

Team leader: Huseyin Cahit Yalcin Date: 19 July 2018

Member State: Ukraine Date received:

***

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 APPENDIX 2

ASSESSMENT OF AREAS RELATED TO THE III CODE

(VERIFICATION INDEX)

Paragraph REQUIREMENT OF III CODE COMPLIANCE ACHIEVED

of III Code
COMMENT

COMMON AREAS

STRATEGY
3.1 An overall strategy exists to ensure that international See OBS-1
obligations and responsibilities as a flag, port and
coastal State are met
3.2 Methodology established to monitor and assess that See OBS-1
the strategy ensures effective implementation and
enforcement of relevant international mandatory
instruments; and
3.3 Continuous review of the strategy undertaken to See OBS-1
achieve, maintain and improve the overall
organizational performance and capability as a flag,
port and coastal State
GENERAL
4 Means in place to ensure compliance with relevant YES
international rules and regulations in respect of
maritime safety and protection of the marine
environment
4 National legislation exist to give effect to the provisions YES
of relevant IMO instruments
INITIAL ACTIONS (NATIONAL LEGISLATION)
8 Capability to implement and enforce the provisions of YES
the applicable IMO instruments through appropriate
national legislation and to provide the necessary
implementation and enforcement infrastructure
8.1 Capability to promulgate laws which permit effective YES
jurisdiction and control in administrative, technical and
social matters over ships flying its flag
8.2 A legal basis in place for the enforcement of national YES
laws and regulations, including the associated
investigative and penal processes
8.3 Sufficient personnel with maritime expertise to assist in YES
the promulgation of the necessary national laws and to
discharge all the responsibilities of the State, including
reporting as required by the respective conventions
COMMUNICATION
9 Strategy, including information on relevant national See FD-1
legislation, communicated to all concerned

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Paragraph REQUIREMENT OF III CODE COMPLIANCE ACHIEVED
of III Code
COMMENT

RECORDS
10 Records established and maintained YES
10 Records are legible, readily identifiable and retrievable YES
10 Documented procedure defining controls on YES
identification, storage, protection, retrieval, retention
time and disposition of records
IMPROVEMENT
11 Demonstrates continual improvement of measures See FD-3
giving effect to conventions and protocols accepted
11 Improvement made through rigorous and effective See FD-3
application and enforcement of national legislation, as
appropriate, and monitoring of compliance
12 A culture exists providing opportunities to people for See FD-2
improvement of performance in maritime safety and
environmental protection activities
13 Action taken to identify and eliminate causes of any See FD-3
non-conformities in order to prevent recurrence
13.1 Non-conformities reviewed and analysed See FD-3
13.2 Implementation of necessary corrective actions See FD-3
monitored
13.3 Reviews of corrective actions taken See FD-3
FLAG STATE SPECIFIC REQUIREMENTS

IMPLEMENTATION
15.1 Policies implemented through national legislation and See FD-4
guidance
15.2 Responsibilities within the Administration assigned to YES
update and revise any relevant policies adopted
16 Resources and processes capable of administering a YES
safety and environmental protection programme in
place
16.1 Administrative instructions to implement applicable See FD-5
international rules and regulations issued
16.2 Resources in place to ensure compliance with the See FD-5
requirements of IMO instruments, through an
independent audit and inspection programme
16.3 An audit and inspection programme independent of any YES
administrative bodies is in place, for requirements of
STCW 1978, as amended
16.3 Training, assessment of competence and certification YES
of seafarers are in accordance with the provisions of
STCW 1978
16.3.2 STCW certificates and endorsements accurately reflect YES
the competencies of the seafarers, using the
appropriate terminology
16.3.3 Impartial investigation capabilities ensured YES

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Paragraph REQUIREMENT OF III CODE COMPLIANCE ACHIEVED
of III Code
COMMENT
16.3.4 Ability exists for certificates or endorsements to be YES
effectively withdrawn, suspended or cancelled
16.4 Resources in place to ensure the conduct of YES
investigations into casualties and adequate and timely
handling of cases of ships with identified deficiencies

16.5 Resources in place to develop, document and provide See FD-5

guidance of requirements found in relevant mandatory
IMO instruments
17 Ships entitled to fly the flag of the State are sufficiently YES
and efficiently manned
DELEGATION OF AUTHORITY (as far as applicable)
18.1 The Administration determines that recognized See FD-6
organizations (ROs) have adequate resources
18.2 Formal written agreements between the Administration YES
and ROs in place
18.3 Specific instructions issued to ROs detailing action to See FD-6
be followed when a ship is unfit to proceed to sea
18.4 ROs provided with all appropriate instruments of YES
national law and interpretations thereof
18.5 ROs required to maintain records and give the YES
Administration access to them
20 An oversight programme established or participation in YES
such a programme ensured, with adequate resources
20.1 Authority exercised to conduct supplementary surveys YES
20.2 Supplementary surveys conducted, as necessary YES
20.3 Staff available with requisite knowledge to carry out YES
effective oversight of ROs
21 Nominations of surveyor(s) regulated, as appropriate YES
ENFORCEMENT
22 All necessary measures to secure observance of YES
international rules and standards by ships entitled to fly
the flag of the State and by entities and persons under
its jurisdiction so as to ensure compliance with their
international obligations
22.1 Legal/administrative mechanism exist to prohibit ships YES
from sailing for non-compliance
22.2 Periodic inspection of ships entitled to fly the flag of the YES
State to verify that the actual condition of the ship and its
crew is in conformity with the certificates it carries
22.3.1 Surveyors ensure that seafarers assigned to the ships YES
are familiar with their specific duties
22.3.2 Surveyors ensure that seafarers assigned to the ships YES
are familiar with ship arrangements, installations,
equipment and procedures

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Paragraph REQUIREMENT OF III CODE COMPLIANCE ACHIEVED
of III Code
COMMENT
22.4 Surveyors ensuring that ship's complement, as a See FD-7
whole, can effectively coordinate their activities in an
emergency situation and perform functions vital to
safety or to the prevention or mitigation of pollution
22.5 Penalties of adequate severity to discourage violation See FD-7
of international rules and standards exist in national
laws and regulations
22.6 Capability to institute proceedings – after an YES
investigation has been conducted – against ships which
have violated international rules and standards,
irrespective of where the violation has occurred
22.7 Penalties of adequate severity to discourage violations YES
of international rules and standards by individuals
issued with certificates or endorsements under their
authority exist in national laws and regulations
22.8 Capability to institute proceedings – after an YES
investigation has been conducted – against individuals
holding certificates or endorsements who have violated
international rules and standards, irrespective of where
the violation has occurred
23 Control and monitoring programme developed and YES
implemented
23.1 Prompt and thorough casualty investigations, with YES
reporting to IMO, provided
23.2 Statistical data collected and trend analyses conducted YES
23.3 Timely response to deficiencies and alleged pollution YES
incidents reported by port or coastal States
24.5 Training and oversight of the activities of flag State YES
surveyors and investigators ensured
25 Appropriate corrective measures to bring own ships YES
into compliance with the applicable international
conventions can be taken
26 Provision for flag State or RO to determine international YES
certificates only issued to ships meeting all applicable
standards
27 International certificate of competency or endorsement YES
only issued after it has been determined that the person
meets all applicable requirements
FLAG STATE SURVEYORS
28 Responsibilities, authority and interrelation of all YES
personnel who manage, perform and verify work
relating to and affecting safety and pollution prevention
defined and documented
29 Personnel responsible for, or performing surveys, YES
inspections and audits on ships and companies
covered by the relevant IMO mandatory instruments
appropriately qualified

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Paragraph REQUIREMENT OF III CODE COMPLIANCE ACHIEVED
of III Code
COMMENT
32 Personnel have appropriate practical and theoretical YES
knowledge of ships, their operation and the provisions
of the relevant national and international instruments
necessary to perform their duties as flag State
surveyors obtained through documented training
programmes
33 Personnel assisting surveyors have education, training YES
and supervision commensurate with the tasks they are
authorized to perform
35 Documented system for qualification of personnel and YES
continuous updating of their knowledge as appropriate
to the tasks they are authorized to undertake
37 Identification document issued for the surveyor to carry YES
when performing his/her tasks
FLAG STATE INVESTIGATIONS
38 Casualty investigations conducted by suitably qualified, See FD-8
impartial investigators, competent in matters relating to
the casualty
38 Qualified investigators provided, irrespective of the YES
location of casualty or incident
39 Individual investigators have working knowledge and YES
practical experience in those subject areas pertaining
to their normal duties
39 State has ready access to expertise in listed areas: YES
navigation and the Collision Regulations; flag State
regulations on certificates of competency; causes of
marine pollution; interviewing techniques; evidence
gathering; and evaluation of the effects of the human
element
40 Any accidents involving personal injury necessitating YES
absence from duty of three days or more and any
deaths resulting from occupational accidents and
casualties investigated, and the results of such
investigations made public
41 Ship casualties investigated and reported in See FD-8
accordance with the relevant IMO conventions, and the
guidelines developed by IMO
41 Investigation reports forwarded to IMO together with YES
the flag State's observations
EVALUATION AND REVIEW
42 Performance evaluated with respect to the YES
implementation of administrative processes,
procedures and resources necessary to meet their
obligations as required by the conventions to which
they are party

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Paragraph REQUIREMENT OF III CODE COMPLIANCE ACHIEVED
of III Code
COMMENT

COSTAL STATE SPECIFIC REQUIREMENTS

IMPLEMENTATION
46.1 Policies implemented through issuance of national YES
legislation and guidance
46.2 Responsibilities assigned to update and revise any YES
relevant policies adopted
47 Legislation, guidance and procedures established for YES
the consistent implementation and verification of the
rights, obligations and responsibilities of the State
contained in the relevant international instruments to
which it is a party, in general;
48.1 For radiocommunication services; YES
48.2 For meteorological services and warnings; YES
48.3 For search and rescue services; YES
48.4 For hydrographic services; YES
48.5 For ship routeing; YES
48.6 For ship reporting systems; YES
48.7 For vessel traffic services; and YES
48.8 For aids to navigation YES
ENFORCEMENT
49 All necessary measures taken to ensure observance See FD-9
of international rules when exercising the rights and
fulfilling the obligations as a coastal State
50 Control and monitoring programme considered, YES
developed and implemented
50.1 Statistical data collected and trend analyses YES
conducted
50.2 Mechanisms for timely response to pollution incidents YES
established
50.3 Cooperation with flag States and/or port States in YES
investigation of maritime casualties
EVALUATION AND REVIEW
51 Performance periodically evaluated in respect of YES
exercising its rights and meeting its obligations under
the applicable international instruments
PORT STATE SPECIFIC REQUIREMENTS

IMPLEMENTATION
54.1 Policies implemented through issuance of national YES
legislation and guidance
54.2 Responsibilities assigned to update and revise any YES
relevant policies adopted

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Paragraph REQUIREMENT OF III CODE COMPLIANCE ACHIEVED
of III Code
COMMENT
55 Legislation, guidance and procedures established for YES
the consistent implementation and verification of the
rights, obligations and responsibilities of the State
contained in the relevant international instruments to
which it is a party, in general;
56.1 For provision of appropriate reception facilities or YES
capability to accept all waste streams regulated under
the instruments of the Organization;
56.2 For port State control activities; and YES
56.3 For keeping a register of fuel oil suppliers YES
ENFORCEMENT
57 All necessary measures taken to ensure observance YES
of international rules when exercising the rights and
fulfilling the obligations as a port State
59 No more favourable treatment put in place when YES
carrying out port State control
60 Processes to administer a port State control YES
programme established consistent with the relevant
resolution adopted by the Organization
61 Port State control carried out only by authorized and YES
qualified port State control officers in accordance with
the relevant procedures adopted by the Organization
62 Port State control officers and persons assisting them YES
free from any commercial, financial and other
pressures and have no commercial interest, either in
the port of inspection or the ships inspected
62 Port State control officers and persons assisting them YES
not employed by or undertake work on behalf of
recognized organizations or classification societies
62 Procedures implemented to ensure that persons or YES
organizations external to the port State cannot
influence the results of port State inspection
EVALUATION AND REVIEW
63 Performance periodically evaluated in respect of YES
exercising its rights and meeting its obligations under
the applicable instruments of the Organization

- 52 -
 APPENDIX 3

IMO MEMBER STATE AUDIT SCHEME

Forms B

- 53 -
Forms B

- 54 -
Forms B

- 55 -
Forms B

- 56 -
Forms B

- 57 -
Forms B

- 58 -
Forms B

- 59 -
Forms B

- 60 -
Forms B

- 61 -
Forms B

***

- 62 -
 ANNEX 1

AUDIT PROGRAMME

Monday, 11 June Tuesday, 12 June Wednesday, 13 June Thursday, 14 June Friday, 15 June Monday, 18 June
Day 1 Day 2 Day 3 Day 4 Day 5 Day 6

Opening Meeting Implementation of MARPOL, Implementation of PSC, Closing meeting –

including provision of port
All Auditors reception facilities / Review of
policies operational pollution
Strategy, structure and response + enforcement.
responsibilities of [Member State
entity(s) comprising the representatives/bodies]
maritime administration,
processes for continual Implementation of TONNAGE
review, risk analysis, and Load Lines and Review of
performance policies
measurement/ evaluation/
improvement [Member State
representatives/bodies]
[Member State Implementation of SOLAS /
representatives/bodies] Review of policies for the
implementation of SOLAS
All auditors [Member State
representatives/bodies]
Legislation processes,
review of legislation, Legislation processes
interpretations and and implementation of STCW
guidance notes [Member State
representatives/bodies]
[Member State Implementation of survey,
representatives/bodies] policies for PSC, flag State
inspections, surveys
[Member State
representatives/bodies]
policies
[Member State
representatives/bodies]
Casualty investigation
[Member State
representatives/bodies]
MARPOL – coastal & port
State issues
(legislation and policy)
[Member State
representatives/bodies]
Hydrography, aids to
navigation, Meteorological,
Navigational warning, etc.
[Member State
representatives/bodies]
Review of policies for the Visit to port facilities : submission of draft
implementation of Handling of dangerous interim report including
COLREG and SOLAS goods findings and
chapters IV + V incl. Reception facilities observations, and draft
training policies for VTS, Hydrographic services executive summary
AIS and remaining facilities report
navigational issues [Member State
representatives/bodies
SAR Coordination
Any outstanding issues
[Member State
representatives/bodies] All auditors private meeting
MARPOL – coastal & port
State issues
(implementation and
enforcement)
[Member State
representatives/bodies]
Flag State and PSC
Implementation
(Practical issues)
[Member State
representatives/bodies]

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Monday, 11 June Tuesday, 12 June Wednesday, 13 June Thursday, 14 June Friday, 15 June Monday, 18 June
Day 1 Day 2 Day 3 Day 4 Day 5 Day 6
Surveyor training and
recruitment
[Member State
representatives/bodies]

RO Monitoring
[Member State
representatives/bodies]

Audit Team Members:

CY: Capt. Cahit Yalcin (Turkey), Audit Team Leader

LP: Mr. Lenard Przemyslaw (Poland), Audit Team Member
OH: Mr. Omar Hassein, Member State Audit Officer (IMO Secretariat), Audit Team Member

Member State Representatives

VO: Mr. Volodymyr Omelyan, Minister of Infrastructure of Ukraine

AG: Mr. Andriy Galushchak, State Secretary of the Ministry of Infrastructure of Ukraine
SPC: Mr. Oleksandr Basiuk, Single Point of Contact
ABG: Capt. Andriy Grygoryev, Deputy Head of Safety Maritime and Environmental protection Department, SE “Ukrainian Sea Ports Authority”
AC: Mr. Andrii Chenchyk, Head of Division, Department of Transport Safety, the Ministry of infrastructure of Ukraine
AF: Mr. Andrian Fotiniuk, Deputy Head of Department, the State Service of Ukraine for Transport Safety
AM: Mrs. Alla Miagkova – Head of International Relations Department, the State Hydrographic Service of Ukraine
DA: Mr. Dmytro Antonenko, Safety Maritime and casualty investigations Department, the State Service of Ukraine for Transport Safety
DM: Mr. Dionisii Mikulianich, Senior specialist of Division, the State Service of Ukraine for Transport Safety
DN: Mr. Dmytro Nahaievskyi, IMO audit preparation team member, the Ministry of infrastructure of Ukraine
DS: Mrs. Diana Salamatnikova, Senior specialist of Division, Department of Transport Safety, the Ministry of infrastructure of Ukraine
IH: Mr. Ivan Hereha, Deputy head of Safety Maritime and casualty investigations Department, the State Service of Ukraine for Transport Safety
IP: Mrs. Iryna Proskurniak, Head of recruitment division, the State Service of Ukraine for Transport Safety
IVS: Ms. Inna Samusenko, RO audit team member, the Ministry of infrastructure of Ukraine
KS: Mrs. Kristina Shumeliak, Senior specialist of Division, Legal Department, the Ministry of infrastructure of Ukraine
MAS: Mr. Maksym Shirokov, Head of Yuzhnyi Sea Port Authority
MC: Mr. Mykhailo Cherepynets, Deputy Head of the Aids to Navigation and Lighthouse Department, the State Hydrographic Service of Ukraine
MM: Mr. Mykola Melnyk, RO audit team member, the Ministry of infrastructure of Ukraine

- 64 -
MPS: Mr. Mykola Sliozko, IMO audit preparation team member, the Ministry of infrastructure of Ukraine
MVS: Capt. Mykola Sevyrin, Head of Safety Maritime and Environmental protection Department, SE “Ukraine Sea Ports Authority”
NP: Mrs. Natalia Platzerova, Head of the LRIT National Data Centre, SE “Marine Search and Rescue Service”;
OB: Mr. Oleksii Buzuk, Deputy Head of Division, the State Service of Ukraine for Transport Safety
OP: Mr. Oleksandr Poliakov, Head of Vessel traffic Service, SE “Ukrainian Sea Ports Authority”
OS: Mrs. Olena Semenova, Senior State Inspector, the State Service of Ukraine for Transport Safety
SD: Capt. Sergiy Dubin, Acting Deputy Head on Search and Rescue, SE “Marine Search and Rescue Service”;
SK: Mr. Serhii Kudlinskyi, Acting Head of the Inspectorate for Training and Certification of Seafarers
TT: Mrs. Tatiana Tkach, Head of Legal Department, the Ministry of infrastructure of Ukraine
VD: Mr. Valeriy Dyakov, Head of the Communications Department, SE “Marine Search and Rescue Service”;
VS: Mr. Valerii Shepel, Deputy Head of the Center for Navigational and Hydrographic Information, the State Hydrographic Service of Ukraine
YI: Mr. Yaroslav Iliasevych, Head of division, Department of reforming and functioning of maritime and inland waterway transport, the Ministry of
infrastructure of Ukraine
YK: Mr. Yevhen Kharkovskii, Head of Safety Maritime Department, Yuzhnyi Sea Port Authority
YS: Mr. Yurii Smirnov, Head of Hydrographic Department, the State Hydrographic Service of Ukraine
YV: Mrs. Yulia Vorona, Deputy Head of Department for Administrative Services, the State Service of Ukraine for Transport Safety

Saturday 9 June 2018 - arrival of the audit team

Sunday 10 June 2018 - Pre-Audit Meeting with the SPC

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Day 1 – Monday, 11 June 2018 - Kiev
Time Activity Proposed Division and
Participants Location
09:00 – 09:20 Auditors meet with officials, coordination, final  All Auditors 502, Ministry of
confirmation of arrangements  VO, AG, SPC Infrastructure of
Ukraine (MoI)
Opening meeting, chaired by CY  All Auditors 303, MoI
09:30 – 10:00 (Introduction of auditors & audit)  VO, AG, SPC,
representatives of
all entities
Introduction of State  All Auditors 303, MoI
10:10 –10:45 (Member State Presentation for Structure and  AG, SPC,
responsibilities of the entities comprising the representatives of
maritime administration) all entities
Maritime policy and strategy of the member  All Auditors 303, MoI
10:50 – 12:00 State for the implementation of IMO  SPC, YI, DN
instruments
 Overall maritime strategy
 Overall coordination and communication
of strategy
 Process for continual review
 Risk analysis and performance
measurement/evaluation
 Controlling
12:00 –13:00 Lunch break
Legislation processes  All Auditors 303, MoI
13:00 – 15:00  Legislation processes for the integration  SPC, TT, KS, DN
of IMO mandatory instruments and their
amendments into national law
 How a treaty is ratified /promulgated
/implemented and enforced (E.g.
SOLAS)
 Procedure for primary and secondary
legislation (acts, regulations, circulars,
policies and officially published guidance)
 Review of legislation, amendment
policies and processes
 General enforcement procedures and
arrangements in legislation
**(MS presentation, where possible)
15:15 – 16:15 SOLAS  All Auditors 303, MoI
 legislation process, amendments  SPC, YI, DN
 review of legislation (examples)  representatives of
 Procedures for interpretation and State Agency for
guidance, examples Fisheries of
 enforcement, penalties, examples Ukraine
 reporting to IMO
16:30 – 17:30 MARPOL/Load Lines/ COLREG/ TONNAGE  All Auditors 303, MoI
 legislation process, amendments  SPC, YI, DN
 review of legislation (examples)  representatives of
 Procedures for interpretation and State Agency for
guidance, examples Fisheries of
 enforcement, penalties, examples Ukraine
 reporting to IMO
17:30 Debriefing and meeting Auditors only Auditors private
room

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Day 2 – Tuesday 12 June 2018 - Kiev
Time Activity Proposed Division and
Participants Location

09:00 - 11:00 Implementation of MARPOL  CY 303, MoI

 Operational pollution response  SPC, AC, ABG
 provision of port reception facilities
Review of policies for the implementation of
MARPOL
09:00 – 11:00 Implementation of SOLAS (excluding SOLAS  LP & OH 2011, MoI
Ch. IV and V) , including  OB, YK, MPS, YV,
 ISM, safe manning, equipment approval, DS
ship certification
 Dangerous goods (IMDG & IMSBC
Codes)
 Review of policies for the implementation
of SOLAS
11:15 - 12:30 Implementation of LOAD LINE – TONNAGE  CY 303, MoI
Review of policies for the implementation  YI, MPS
11:15 - 12:30 STCW  LP & OH 2011, MoI
 legislation process, amendments  SK
 review of policies for the implementation
 enforcement, penalties, reporting
12:30 - 13:15 Lunch break

13:30 – 14:45 Flag State implementation  All Auditors 303, MoI

(policy and legislation)  AF, OB, OS
 survey policies,  representatives of
 types of surveys State Agency for
 exemptions policy, procedures Fisheries of
 FSI instructions Ukraine
 certificate forms
 survey checklists
 IMO guidance
 enforcement for ships, owners, operators
(examples)
 statistics and performance evaluation
15:00 – 15:45 Surveyor recruitment, qualifications, training  All auditors 303, MoI
 AF, OB, IP
 representatives of
State Agency for
Fisheries of
Ukraine
16:00 – 17:30 RO delegation, monitoring and supervision  All auditors 303, MoI
 YI, MM, IVS
 representatives of
State Agency for
Fisheries of
Ukraine
17:30 Debriefing and meeting Auditors only Auditors private
room

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Day 3 – Wednesday, 13 June 2018 - Kiev
Time Activity Proposed Division and
Participants Location

09:00 – 10:30 Port State Control  All auditors 303, MoI

 legislation, implementation and  AF, OB, OS
enforcement, instructions, guidance
 PSCO issues
10:45 – 12:30 Casualty investigations and analysis  All Auditors 303, MoI
 YI, IH, DA,
12:30 – 13:30 Lunch break
13:30 – 15:30 MARPOL – coastal & port State issues  All Auditors 303, MoI
(legislation and policy)  SPC, AC, ABG, AF
 Pollution monitoring & patrols  representatives of
 Pollution response State Ecological
 Port reception facilities Inspection of
 enforcement & penalties Ukraine
15:00 – 17:00 Hydrography, publications  All Auditors
Aids to Navigation  YS, MC, VS, AM
Meteorological Services
Navigational warning
From 17:00 FLIGHT TO ODESSA TO BE ARRANGED - ALL Auditors
BY SPC

Day 4 – Thursday, 14 June 2018 - Odessa

Time Activity Proposed Division and
Participants Location

08:30 – 10:15  SAR Coordination  All Auditors SE “Marine

 SOLAS chapters IV + V  SD, NP, VD Search and
 Radiocommunication Rescue Service”,
Lustdorfska
Doroha Str.,
140-A
Transfer within the city limits
11:15 – 13:00 Review of policies for the implementation of:  All Auditors State Enterprise
 COLREG  MVS, ABG, OP Ukrainian Sea
 SOLAS chapters IV + V  YS, MC, VS, AM Port Authority,
 Radiocommunication
 meteorological services and warnings Odessa,
 Ship routeing Langeronovskaya, 1
 Ship reporting system
 VTS
 Training policies for VTS, AIS and
remaining navigational issues

- 68 -
Day 4 – Thursday, 14 June 2018 - Odessa
Time Activity Proposed Division and
Participants Location

MARPOL – coastal & port State issues  All Auditors

(implementation and enforcement)  MVS, ABG, OP
 Port reception facilities  representatives of
 Pollution monitoring & patrols within the State Ecological
port area Inspection of
 Pollution response within the port area Ukraine
 Pollution prevention enforcement &
penalties within the port area
 Register of Fuel oil suppliers

13:00 – 14:00 Lunch break Odessa,

Langeronovskaya, 1
Transfer within the city limits
14:30 – 15:30 Flag State Implementation  All auditors Odessa,
Practical issues, records, surveyors  AF, OB, DM Langeronovskaya, 1
15:45 – 17:15 PSC  All auditors Odessa,
Practical implementation  AF, OB, DM Langeronovskaya, 1
PSC records, PSCOs
17:15 Debriefing and meeting Auditors only Auditors private
room

Day 5 – Friday, 15 June 2018 - Odessa

Time Activity Proposed Division and
Participants Location

09:00 – 12:00 Visit to port facilities :  All auditors Yuzhnyi Seaport

 Handling of dangerous goods  MAS, MVS, AGB, Authority:
 Reception facilities YK Odessa region,
Yuzhnyi,
Beregovaya str.,
11
12:00 – 12:30 Outstanding issues  As necessary
12:30 – 13:30 Lunch break
13:30 – 17:00 Outstanding issues  All auditors

FLIGHT BACK TO KIEV ON SUNDAY 17 JUNE 2018 TO BE ARRANGED BY THE SPC

Day 6 – Monday, 18 June 2018 – Kiev

Time Activity Proposed Division and
Participants Location

09:00 – 10:00 Closing Meeting  All auditors 303, MoI

Submission of draft interim report including  VO, AG, SPC,
findings and observations, and draft executive representatives of
summary report all entities

***

- 69 -
 ANNEX 2

LIST OF ATTENDEES TO THE OPENING MEETING

No. SURNAME/NAME POST

1 OMELYAN Volodymyr Minister of Infrastructure of Ukraine
2 DOVHAN Victor Deputy Minister for European Integration the
Ministry of Infrastructure of Ukraine
3 GALUSHCHAK Andriy The State Secretary the Ministry of Infrastructure
of Ukraine
4 PETRENKO Dmytro Head of the State Service for Marine and River
Transport of Ukraine
5 KRAVCHENKO Andrеy Deputy Chairman State Agency of Fisheries of
Ukraine
6 CHERENKO Victor Director of the Department of State Ecological
Supervision (Control) of the State Ecological
Inspection of Ukraine
7 VECKAGANS Raivis Head of Ukrainian Sea Ports Authority
8 SHCHYPTSOV Oleksandr Acting Head of the SHSU
9 KUDLINSKIY Sergiy Acting Head of the Inspectorate for Training and
Certification of Seafarers
10 SHALAMAI Kyrylo Director General of the State Enterprise
Classification Society Register of Shipping of
Ukraine
11 RABOTNOV Volodymyr Deputy director – Secretary of the State
Coordination Committee State Enterprise
Maritime Search and Rescue Service
12 KUZNIETSOV Roman Deputy Director of Department of support of
communication and analytical work, Ministry of
Infrastructure of Ukraine
13 BASIUK Oleksandr Director of the Department of Reforming and
Functioning of Maritime and Inland Waterway
Transport, Ministry of Infrastructure of Ukraine
14 DEBOLSKA Inna Deputy Director of the Legal Department Ministry
of Infrastructure of Ukraine
15 SULYTSKA Iryna chief specialist of the Department of traffic safety
and dangerous goods transportation, economic
security and insurance policy Ministry of
Infrastructure of Ukraine
16 SALAMATNIKOVA Diana chief specialist of the Department of traffic safety
and dangerous goods transportation, economic
security and insurance policy Ministry of
Infrastructure of Ukraine
17 ILIASEVYCH Yaroslav Head of unit of the development river transport
Department of the reforming and functioning
maritime and inland water transport, Ministry of
Infrastructure of Ukraine
18 ISHCHENKO Valentyna Chief specialist of the Department of Reforming
and Functioning of Maritime and Inland Water
Transport, the Ministry of Infrastructure of Ukraine
19 SHUMELIAK Kristina Chief specialist of the Division of regulatory and
international legal activities of the Legal
Department, Ministry of Infrastructure of Ukraine.
20 ZAKOLODIAZHNA Mariia Chief Specialist of the Department of Primary
Health Care of the Medical Department of the
Ministry of Health of Ukraine

- 70 -
No. SURNAME/NAME POST
21 BON Oleksandr Head of the Marine Environment Protection
Sector Department of Land and Water Protection
of the Ministry of Ecology and Natural Resources
of Ukraine
22 RYBALKO Alla Head of the Expert Group on Regulatory and
Legal Support to the Directorate of Higher
Education and Adult Education of the Ministry of
Education and Science of Ukraine
23 ZAETS Alla Interim Chief of the Management of State
Supervision the safety of the fleet of fish industry,
State Agency of Fisheries of Ukraine
24 STASH Vladimir chief inspector of the Management of State
Supervision the safety of the fleet of fish industry,
State Agency of Fisheries of Ukraine
25 FOTINYUK Andrian Deputy Director of the State Control Department-
Head of the Division of Water Transport Control
(Ukrtransbezpekа)
26 BUZUK Oleksii Deputy Head of Sub-division for Control on
Maritime Transport Division of Water Transport
Control (Ukrtransbezpekа)
27 VORONA Yulia Deputy Head of the Division of Providing of
administrative services on water transport - Head
of the Sub-division of the State Ship Registry of
Ukraine (Ukrtransbezpekа)
28 HEREGA Ivan Deputy Head of Division - Head of Sub-division for
Organization of Safety and investigation accidents
and incidents on land transport (Ukrtransbezpekа)t
29 SHMALII Tatiana Chief Specialist of Shipping Safety Sub-division
(Division of Water Transport Control,
Ukrtransbezpekа)
30 SEMENOVA Olena Senior State Inspector of Shipping Safety Sub-
division (Division of Water Transport Control,
Ukrtransbezpekа)
31 ANTONENKO Dmytro Head of Sub-division for Control on River
Transport, Division of Water Transport Control of
State Control Department (Ukrtransbezpekа)
32 SEVYRIN Mykola Head of Safety Maritime and Environmental
protection Department USPA
33 GRYGORYEV Andriy Deputy Head of Safety Maritime and
Environmental protection Department USPA
34 DOLYNSKYI Vladyslav Leading engineer of Environmental Protection
Division USPA
35 NAHAIEVSKYI Dmytro Leading specialist of Division for cooperation with
International Maritime Organization (IMO) USPA
36 PASCALIUK Alla Deputy Head of Safety Maritime and Coordination
with Harbour Masters Division USPA
37 PRYKAZIUK Anatolii Deputy Head of Safety Maritime and
Environmental protection Department USPA
38 SHESTOVA Svitlana Head of Division for cooperation with International
Maritime Organization (IMO) USPA
MAKINTSIAN Tetyana Department of Quality Management, Certification
and Audit of the Inspectorate for Training and
Certification of Seafarers
39 BALANYUK Sergiy Head of State Qualification Commissions Division
of the Odessa Branch of the Inspectorate for
Training and Certification of Seafarers

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No. SURNAME/NAME POST
40 VARFOLOMIEIEVA Mariia Head of the International Cooperation Department
of the Inspectorate for Training and Certification of
Seafarers
41 ZLOBIN Kostyantyn Chief Specialist of the Division of Certification and
work of State Qualification Commissions
42 SLOZKO Mykola Deputy Head of Director General, Shipping
Register of Ukraine
43 MORGUNENKO Sergiy Acting Director of the State Register of Seafarers`
Documents of Ukraine
44 KOSTIUK Oleksandr Head of International Relation Department, State
Shipping Register of Ukraine.
45 KABYKA Gennadii Head of Department for Statutory Certification and
PSC Relations, State Shipping Register of Ukraine
46 YASINSKIY Vyacheslav Head of ISPS and ISM Department, Shipping
Register of Ukraine
47 PADAKIN Dmytro Deputy Head of the SHSU
48 MIAGKOVA Alla Head of the International Relations Department of
the SHSU
49 LAVRYNENKO Volodymyr Leading Specialist of the European Integration
Team of the of the International Relations
Department of the SHSU
50 POPPER Lesia Senior Specialist of the European Integration Team
of the of the International Relations Department of
the SHSU
51 SAMUSENKO Inna 1st rank Specialist of the Department for Floating
Craft Operation of the SHSU
52 SMURYHIN Yevhen Head Division for the Cooperation with Authorities
in the matter of the Enterprise Activity State
Enterprise Maritime Search and Rescue Service
53 KHOMUTOVSKA Daria specialist of the department for interaction with the
institutions of activity State Enterprise Maritime
Search and Rescue Service
54 MELNYK Mykola Senior Expert Center for Information Support in
Kyiv

***

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 ANNEX 3

STRUCTURE OF THE MARITIME ADMINISTRATION

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