VOLUNTARY IMO MEMBER STATE AUDIT SCHEME AUDIT OF THE REPUBLIC OF BULGARIA NOVEMBER 2008 FINAL REPORT

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2 VOLUNTARY IMO MEMBER STATE AUDIT SCHEME AUDIT OF THE REPUBLIC OF BULGARIA NOVEMBER 2008 FINAL REPORT 1. Executive Summary 1.1 The Memorandum of Co-operation between the Republic of Bulgaria and the International Maritime Organization (IMO) concerning participation in the Voluntary IMO Member State Audit Scheme (VIMSAS) was finalized on 22 October The Pre-Audit Questionnaire was submitted 18 March The audit team was appointed by the IMO 15 September The VIMSAS audit program and timetable was confirmed on 16 October The auditors concluded that, from the information available to them, the maritime administration of the Republic of Bulgaria substantially meets its obligations arising from the mandatory IMO instruments set out in the scope of the audit, and to which it is also a signatory. The audit identified that there were few areas where improvements could be made and there were areas of substantially best practices. 2 Introduction 2.1 The objective of the Code for the implementation of mandatory IMO instruments, 2007, (resolution A.996 (25)), hereinafter referred to as the Code, is to enhance global maritime safety and the protection of the marine environment. 2.2 In accordance with the Code, Part 1.2, some Administrations may have a greater role as a flag State than a port State or a coastal State, whilst others may have a greater role as a coastal State or port State than as a flag State. Such imbalances do not, in any way, diminish their duties as a flag, port or coastal State. 2.3 Considering the above, the VIMSAS audit of the Republic of Bulgaria covered the maritime administration s role as a flag, port and coastal State. Therefore the audit team audited primarily the Bulgarian Maritime Administration as the lead government agency charged with the responsibility for implementation of most of the obligations set forth in the mandatory IMO instruments. 1

3 3 Background 3.1 Following the adoption of the Framework and Procedures for the Voluntary IMO Member State Audit Scheme (resolution A.974 (24)) by the 24 th regular session of the Assembly, a number of Member States volunteered for audit under the Scheme. The current audit of the Republic of Bulgaria was undertaken by fully using the principles established under resolution A.974 (24) and the Code. This report sets out the findings of the audit in the format adopted under paragraph 7.2 of the Procedures for the Scheme. 4 Members of the Audit Team Leslie Hemachandra (Audit Team Leader), Maritime Administration of Sri Lanka Kyriacos Aliouris (Auditor), Maritime Administration of Cyprus Tadeusz Jan Wojtasik (Auditor), Maritime Administration of Poland Igor Sibrin (Observer), Ukrainian Registry of Shipping, Ukraine 5 Involved Officials from the Member State Guides and audit liaisons throughout the audit: Mr. Peter Kirov Capt. Petar Petrov Mrs Iliana Hristova Deputy Executive Director Director, Directorate Quality Management and Inspections Senior Expert, Directorate European Union, International Relations and Projects (CPC) 6 Acknowledgement 6.1 The auditors wish to express their considerable thanks to the various members of staff interviewed and the Ministry of Transport, Ministry of Environment, Bulgarian Maritime Administration, Port Infrastructure Company, National Institute for Meteorology and Hydrology, Bulgarian Navy, Marine Antipollution Enterprise PLC and other government institutes for their fullest cooperation during this audit. In particular, thanks are due to the involved officials for their efforts during the preparation for this audit and for its facilitation. 7 Scope, objectives and activities of the Audit 7.1 The scope of the audit addressed flag, port and coastal State obligations of the maritime administration of the Republic of Bulgaria. 7.2 The objectives of the audit were:.1 to determine the extent to which Bulgaria meets 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 1978 relating to the International Convention for the Safety of Life at Sea, 1974, as amended (SOLAS PROT 1978); 2

4 .3 the Protocol of 1988 relating to the International Convention for the Safety of Life at Sea, 1974, as amended (SOLAS PROT 1988);.4 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);.5 the Protocol of 1997 to amend the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto, as amended (MARPOL PROT 1997);.6 the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended (STCW 1978);.7 the International Convention on Load Lines, 1966 (LL 66);.8 the Protocol of 1988 relating to the International Convention on Load Lines, 1966 (LL PROT 1988);.9 the International Convention on Tonnage Measurement of Ships, 1969 (TONNAGE 1969); and.10 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. 7.3 An Audit was carried out on all mandatory IMO instruments. 7.4 Implicit in this was the degree of compliance with the Code, which mirrors many of the references set out in the applicable mandatory IMO instruments. 7.5 The audit was conducted using the audit programme set out in annex 1. The methodology used was through a series of visits, interviews, examination of written records and databases, and the objective evidence which would determine the extent to which the maritime administration achieved the objectives of the Code. 7.6 The programme followed a process which sought, initially, to determine the strategy for the implementation of the instruments, the review processes in place and the arrangements for continual improvement. Following this was an examination of the national legislations in place, which provide the instruments with force of law, 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. 7.7 An opening meeting was conducted on Monday, 10 November 2008, in accordance with the Procedures and the agenda. A list of attendees is attached with the program and timetable set out in annex 1. It was stated that at the closing meeting, which was scheduled for 17 November 2008, a draft interim report would be tabled to assist in focussing discussion and the next steps to be taken. 3

5 7.8 A closing meeting was conducted on Monday, 17 th November 2008 when the audit team presented areas of strength (best practices), areas for improvement, and audit findings. Audit results included six (6) nonconformities and seven (7) observations that were acknowledged by the Republic of Bulgaria for review. 8 Overview and general maritime activities of the State 8.1 General The Ministry of Transport (MOT) is the government department with primary oversight of the maritime administration. Bulgarian Maritime Administration (), an entity established under the Ministry of Transport, is the statutory body responsible for operational delivery of maritime safety, security and marine environment protection, and other related services. The Minister of Transport shall implement the policy of the State in the area of merchant shipping, and represent the Republic of Bulgaria in relevant international organizations, by:.1 exercising the functions of administration, with regard to international agreements to which the Republic of Bulgaria is a party, and proposing the accession of this country to international organizations and treaties;.2 determining the norms for preparation and the procedure for certification of seafarers and exercising control over compliance with them;.3 determining the safety norms for merchant shipping, controlling compliance with the safety rules and organizing activities, related to shipping;.4 exercising control over the prevention and combating of pollution of the territorial sea, internal sea waters and inland waterways by vessels;.5 establishing a procedure and means of organization for search and rescue at sea and in inland waterways and for detection of sources of environment pollution; and.6 establishing, with the Minister of Defence, a system for collection and provision of information, management and control of vessel traffic The Minister of Transport exercises his functions through the Executive Agency Maritime Administration (EAMA) which is commonly identified as the Bulgarian Maritime Administration (). s structure, functions and work organization of the agency is indicated in the organigram attached as Annex 2 to this report In accordance with the Statutory Regulations on the Ministry of Transport, the Minister exercises his authority in accordance with the Bulgarian Constitution and the laws of the country by preparing drafts of international treaties and agreements in the transport sector and providing for the enforcement and implementation of the international agreements and conventions, which Republic of Bulgaria is a party to The Statutory Regulations on the Executive Agency Maritime Administration further stipulates that the Minister of Transport exercises control on the following functions through : 4

6 .1 organize and perform functions related to the safety of navigation in sea spaces and inland waterways of the Republic of Bulgaria;.2 ensure the actual connection between the government and ships flying the Bulgarian flag;,.3 exercise the control on the compliance with the requirements for safety of navigation by Bulgarian and foreign flagged ships;.4 prepare and issue certificates of competency to seafarers;.5 perform functions related to the living and working conditions onboard ships;.6 exercise control on traffic in canals, ports of the Republic of Bulgaria and other duly defined regions;.7 organize and control search and rescue activities of persons in distress, vessels and aircrafts; and.8 exercise control on protection of the marine environment and the Danube River from pollution of ships The is managed and represented by an Executive Director, appointed by the Minister of Transport, in coordination with the Prime-Minister. The Executive Director with the executive power is responsible for the organization and activity of the Agency. Authority of the Executive Director is as follows:.1 organize the implementation of ordinances, rules of procedure, policies, and orders on issues related to shipping;.2 exercise control on Bulgarian ships in the events envisaged by law;.3 exercise control on ships calling Bulgarian ports;.4 exercise control on the safety of navigation in the sea spaces and inland waterways of the Republic of Bulgaria;.5 exercise control on the sea spaces and inland waterways of the Republic of Bulgaria with respect to issues related to the protection of the marine and river environment from pollution as well as to the prevention, decrease and limitation of the pollution from ships;.6 organize and manage the combat against oil spills in the Black Sea and the Danube River regions of responsibility of the Republic of Bulgaria;.7 organize and manage search and rescue activities at sea;.8 ensure participation in the work of international organizations by:.1 organizing the implementation of obligations arising out of Bulgaria s membership in international specialized organizations as well as the implementation of obligations under international agreements in maritime field, to which the Republic of Bulgaria is party; and.2 draft proposals to the Minister of Transport on the conclusion, accession to, ratification, denunciation or amendment of international agreements and on participation in international organizations;.9 conclude contracts related to the Agency s activity; 5

7 .10 make proposals to the Minister of Transport on the harmonization of the national legislation in the field of maritime transport with the respective EU legislation, and the acts of the relevant international organizations;.11 issue mandatory rules in accordance with the provisions of the Merchant Shipping Code;.12 ensure participation in the work of the specialized bodies of the European Union in the field of safety of navigation and protection of maritime environment from pollution from ships; and.13 assist the Minister of Transport in carrying out his/her functions, stipulated in Article 7, Par. 1 of the Merchant Shipping Code The is divided in to eight divisions, which work under the Executive Director as described in the succeeding paragraphs The Directorate of Administrative, Legal and Accounting activities is responsible for the following:.1 to organize and supervise the financial activities, accounting and internal financial controls;.2 to prepare a draft budget of the Agency;.3 to prepare accounts and the proper expenditure of funds under the approved budget;.4 to assist the Executive Director in the management of financial resources of the agency, such as:.4.1 to carry out preliminary control of the legality of all documents and actions related to financial activities; and.4.2 to carry out inspections before deciding on commitments or paying expenditure;.5 to organize the work in conjunction with the implementation of the powers of the executive director according to the Public Procurement Act;.6 to organize and participate in the annual inventorization;.7 to prepare, form and store the labour and service records of employees of the agency and maintain them in accordance with the Labour Code and the Civil Service Act;.8 to implement the regulations regarding the payment of the employees and prepare the position and name official establishment plan of the agency;.9 to organize the preparation and the implementation of the competition for civil servants;.10 to organize and control the administrative service;.11 to provide legal assistance to the management of the agency to carry out its legitimate functions;.12 to develop and propose solutions to legal problems related to the activities of the Agency;.13 to carry out procedural representation of the agency; 6

8 .14 to draft contracts in relation with the activities of the Agency and carry control over the fulfilment / execution of the signed contracts;.15 to participate in the development of draft legislation;.16 to organize and supervise the secretarial activities, including documents, archives and storage of the office documents;.17 to organize and supervise the proper use, management and property management of the agency;.18. to organize the operational activities and maintain automated information infrastructure of the agency - local networks, communications equipment, computers and software;.19 to prepare, maintain and periodically update the Agency's website;.20 to coordinate the public relations;.21 to organize and carry out the material and technical supply of the agency with equipment, spare parts and consumables, and plan, exercise financial controls and ensure the financial provision of the specialized directorates of administration;.22 to organize and monitor the compliance with the safety standards and the healthy working conditions and risk prevention in the agency;.23 to organize and supervise the implementation of the Agency's activities related to defence-mobilization training and civil defence;.24 to organize and carry out activities in connection with the submitted proposals and reports obtained under Chapter eight "Suggestions and signals" from the Administrative code, including their registration and processing, their examination within the legal deadlines and the notification of persons of the decisions and the measures taken; and.25 to carry out other activities arising from the orders of the Executive Director The Directorate of Quality Management and Inspections performs the following functions:.1 coordinates the practical implementation by the agency of obligations under the agreements with the European Union and the membership of Bulgaria in the specialized international organizations;.2 assists the Executive Director in scrutinizing the work of other specialized agencies of administration;.3 maintains and develops the quality management system in the agency stemming from the obligations of Bulgaria to international treaties to which Bulgaria is a party;.4 organizes and coordinates the conducting of independent evaluation of the system according to point 3;.5 reviews constantly and analyzes the activities of organizations authorized to conduct inspections and checks on behalf of the agency and, if necessary, propose corrective actions;.6 monitors and analyzes the activities of the Directorates according to Art. 24, para. 1 and art. 27 in the exercise of their functions and, if necessary, propose corrective actions; 7

9 .7 coordinates the activities of the agency when controlling the implementation of measures for the regulation of the fleet capacity;.8 coordinates and carries out the functions of the agency related to organizational and technical provision of the activity of Fund Inland waterways ;.9 maintains and develops the system for information security of the agency;.10 checks for compliance with the international and national requirements of programs for training of seafarers and proposes them for approval by the Executive Director;.11 prepares the certificates of competency and seafaring books of the seafarers;.12 maintains to-date public records of the ports according to art. 92, para. 4 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria and port operators in art. 117, para. 4 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria on electronic copy and provides information from them;.13 gives methodological guidance of the regional directorates in the monitoring of compliance with the requirements and technical safety of port facilities to ensure safe and healthy working conditions and safe running of loading operations from qualified for the type of work staff;.14 gives methodological guidelines on the control of compliance with the requirements for operational use of the ports and sites according to art. 111a para. 1 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria and prepares draft reports from the Executive Director, with which it is proposed to the Minister of Transport:.14.1 to grant or refuse a certificate for operational use for the port or object of art. 111a para. 1 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria; and.14.2 to grant an ongoing suspension, temporary or permanent limitation on the operation of the relevant port or site according to art. 111a para. 1 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria;.15 supports the Minister of Transport in its preparatory activities and conducts the procedures for granting concessions to ports for public transport of national importance;.16 gives methodological guidance to regional directorates on the control of the implementation of contracts under Art. 117b para. 1 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria and contracts under 74, para. 3 of the Law amending of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria (SG. 24, 2004);.17 analyzes the applications of art. 112b para. 1 and art. 112g, para. 1 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria and prepares reasoned opinions in conformity with the investment initiative approved a national program of art. 103a para. 2 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria;.18 carries out inspection under art. 112g, para. 3 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria on compliance of the investment initiative program in art. 103a para. 2 and draws reasoned opinions 8

10 according to art. 112g, para. 4 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria;.19 codifies the data contained in pre-investment in art. 112a - 112d of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria and on the basis of them establishing a database prepared general plans, cadastral maps and property records and cadastral and detailed structural plans;.20 gives methodological guidance to the regional directorates on the control of compliance with the activities and services performed at ports of entry in the register of such ports in the port operators and service certificates of exploitation fitness;.21 monitors the compliance with the requirements of free access to ports for public transport;.22 organizes the collection, processing, aggregation, storage and provision of the National Institute of necessary statistics in accordance with art. 94 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria;.23 gives opinions on draft detailed structural plans, with which are defined territorial and aquatic sites for the construction of ports of art and objects of art. 111a para. 1 of the Law on the maritime spaces, inland waterways and ports of the republic of Bulgaria;.24 gives opinions on draft detailed structural plans, for the allotment of land and water areas for construction and documentation for the operation of construction along the coast of the Black Sea and the Danube, in internal waters and territorial sea and in the areas of operation of means of navigational security;.25 considers and prepares reasoned opinions to the Executive Director to:.25.1 approval of plans for reception and processing of waste;.25.2 coordination of plans for port operators during disasters, accidents and catastrophes; and.25.3 approval of the prepared by ROs port security plans;.26 assists the Executive Director in determining the level of security of vessels flying the Bulgarian flag, and of the port;.27 draws up plans for port security or overlooks the security plans made by the ROs; and.28 evaluates the conformity of the activities of recognized security organizations with the provision of security in ports and ships The Directorate of European Union, International Relations and Projects performs the following functions:.1 organizes and coordinates the agency's participation in the activities of international organizations and specialized agencies of the European Union on safety of navigation and protection of the environment from pollution by ships and within the ports area, such as: 9

11 .1.1 conducting the agency's liaison with international organizations and structures of the European Union;.1.2 coordinating the preparation of positions for the agency's participation in the work of specialized international organizations and preparing to send them for approval by the Ministry of Foreign Affairs;.1.3 providing methodological assistance in the implementation of the national legislation and international treaties to which Bulgaria is a party, other specialized agencies in the administration and in the performance of its activities;.1.4 developing projects of international treaties and making proposals to the Minister of Transport for signing, accession, ratification, denunciation and modification of international treaties in the field of safety of navigation and protection of the environment from pollution by ships and in ports; and in the membership and participation in relevant international organizations and initiatives;.1.5 organizing and conducting activities related to the in preparation of draft legislation for the implemented in the national legislation of European Community law and international treaties in the field of safety of navigation and protection of the environment from pollution by ships and in port; and.1.6 coordinating and carrying out of activities related to the development and implementation of international projects to assist the Agency;.2 drafts programs for the development of international cooperation, conducts international correspondence and assists the Executive Director in organizing and holding international meetings;.3 coordinates and carries out bilateral cooperation and relations of the agency; and.4 coordinates the implementation of projects to which the beneficiary is the agency The Directorate Search and Rescue activities include:.1 assisting the Executive Director in carrying out the obligations of the Republic of Bulgaria to the International Convention for search and rescue at sea in 1979, ratified by law by the National Assembly - SG. 47, 1999 (promulgated SG. 75, 1999, as amended SG. 61, 2005);.2 keeping 24-hour duty for reception of distress signals and coordinating and conducting search operations in order to save lives at sea and providing assistance to ships and aircraft in distress; and.3 performing the functions of maritime rescue coordination centre of Bulgaria, situated in Varna Of the eight directorates, four are regional and carry out operational functions for the Bulgarian Maritime Authority. The four directorates are: 11.1 Directorate of Maritime Administration Varna; 11.2 Directorate of Maritime Administration Burgas; 11.3 Directorate of Maritime Administration-Rousse; and 10

12 11.4 Directorate of Maritime Administration- Lom The four regional directorates are managed by Directors (Harbour-Masters), within the limits of their territorial competence. The four directorates, under Art. 24, paragraph 1, shall:.12.1 keep a register of the Bulgarian ships as well as other registers, as envisaged by the law;.12.2 perform ship surveys;.12.3 exercise control on all persons implementing activity in the field of shipping;.12.4 control the environmental pollution from ships;.12.5 control and supervise the navigational conditions ensuring shipping safety;.12.6 organize the exams and other activities related to the certification and registration of competent seafarers;.12.7 carry out activities in preparation for issuing and verification of certificates and other documents and records of seafarers;.12.8 prepare seafarer passports and seafarer books for issuing with the Executive Director s permission;.12.9 issuing statutory documents to Bulgarian ships on the basis of international agreements and to foreign flag ships on the request of foreign administrations; exercising control on the persons responsible for ships in accordance with the International Code for the Safe Management of the Operation of Ships and Pollution Prevention (the ISM Code); finalizing the documents of ships calling at or leaving Bulgarian ports; organizing and managing control on shipping in harbours as envisaged by the law; undertaking measures to give aid to people, vessels and aircraft in distress; managing the maritime emergency rescue squads within the regions under their jurisdiction; implementing activities in the event of sunken property after the order of the acting legislation; participating in examination committees for the awarding of competencies to seafarers; not allowing ships to leave port in the events stipulated by the law when shipping safety requirements have been infringed; detaining Bulgarian or foreign ships in the events stipulated by the acting legislation; exercising control over services provided in traffic management and information services of shipping in the sea areas, inland waterways, canals, ports of Bulgaria and other appropriately fixed areas; and supervise the implementation of measures regulating the fleet capacity and organize the conduct of examinations of professional competence of the carriers of goods by inland waterways. Strategy of the Member State One of the objectives of the Code for the implementation of mandatory IMO instruments requires a Member State to develop a strategy in the areas of maritime safety and pollution prevention, which includes the continuous review and verification of the effectiveness of the State in meeting its international obligations. The Ministry of Transport has a 10 year Master Plan, which has been in place since The priorities under the present plan are to develop rail & road transport, an intermodal transport system, upgrading river transport system, port 11

13 development, development of short sea shipping, etc. However, maritime safety and pollution prevention is not on the immediate priority list The main goal of the transport sector of the Republic of Bulgaria is to facilitate the economic and social development of the country by providing efficient and reliable transportation. Its mission is to aid the balanced regional development, and given the convenient location of Bulgaria at a major transportation crossroad and the country's transit potential, to speed up the country's integration into the European structural framework. In order for this accelerated convergence with the European Union's member countries to be achieved, it is required that the full potential of various fundamental factors be recognized and consequently used. These factors include human capital, innovation, competitiveness, modernization, and the drive for constant improvement in the quality of the services offered In connection with the preparation of the Republic of Bulgaria for membership in the European Union and the integration of its transport infrastructure into the European one, great effort has been shown in introducing and implementing the European standards for a modern, environmentally-friendly and secure transport. Intensive action has been undertaken to harmonize the Bulgarian legislation with the European one and opportunities have been created for the exchange of property rights in the transport sector; allowing the entrance of private companies in the transportation services market, which will undoubtedly improve the quality of service due to the emergence of competition in the market A major issue during this process was the steady development of the transport infrastructure. Insufficient investment in maintenance and development of the infrastructure in the last decades, as well as the increased demand for transportation services, call for a new and improved, long-term planning of its future development. Modernization is necessary for the successful integration in the European transport system. A considerable amount of time is necessary for the creation of such a modern transport infrastructure, as well as planning in the long run, assuring the existence of reliable and steady influx of finances, and determination and commitment by all institutions and organizations participating in this process. For the crucial full absorption of the considerable European funds, the government has to prepare vital infrastructural projects and also needs to co-finance their realization It is essential that better conditions be created for strengthening the role of the private sector in the development of the infrastructure, and including opportunities for various forms of public-private partnerships. The trend is for improving and developing the majority of the ports, airports and highways, by giving them on concession One of the most essential aspects in the national and European Union transport policies is to complete the trans-european transport network. Taking into consideration that the Republic of Bulgaria will be one of the peripheral countries and also the external border of the European Union in 2007, this programme concentrates on eliminating the bottlenecks on the Danube River, completing the priority roads and railways for absorbing the traffic flows, improving the quality of the main road and railway arteries, promoting the combined transport and transport by sea and inland waterway, and developing high-quality multimodal passenger transport in the capital City With an interoperable trans-european transport network gradually being completed and traffic growth expected to rise, this programme is looking forward to the better integration of the national network with those of the neighbouring countries and the EU. 12

14 In order to achieve its objectives, as stated, the Ministry of Transport is in the process of preparing a draft document titled Integrated Maritime EU Policy which will thereafter be the Blue Book of Bulgarian maritime policy in the future. The first draft of the document is expected to be ready by March, However, at the time of the audit, it was observed that the MoT does not have such a strategy as stipulated in part I, paragraph 3, of the Code for the following:.1 continuous review and verification of the effectiveness of the State in respect of meeting its international maritime obligation;.2 adherence to international maritime recommendations;.3 achievement, maintenance and improvement of overall organizational performance and capability; and.4 implementation and enforcement of relevant mandatory IMO instruments Hydrographic services are provided by the Bulgarian Navy, Aids to Navigation are provided by the Bulgarian Navy and the Port Infrastructure Company. Weather information is provided by the Meteorogical department of Bulgaria and transmitted through Varna Radio The maritime administration of the Republic of Bulgaria was stated in the Pre-Audit Questionnaire to be the Bulgarian Maritime Administration (). During the process, however, it became apparent that various other agencies are involved Throughout the audit, officers of the provided briefs to depict relationships with other entities and who share certain mandatory IMO instrument responsibilities. The audit team could not identify appropriate links between on the one hand and the Ministry of Defence, the Ministry of Environment and Waters, the Ministry of Economic Affairs, the Ministry of Interior, and Regional Governors on the other Some of the entities mentioned above have joint responsibilities at the interagency level in relation to the mandatory IMO instruments There was no objective evidence to establish that, as the implementing agency, does have explicit strategies for achievement, maintenance and improvement of overall organizational performance and capability An overarching mechanism involving all the entities could not be determined, which would periodically review the effectiveness of implementing the mandatory IMO instruments, establish overall organizational performance and develop any improvements needed as set out in paragraphs 3.3 and 3.4 of the Code Finding Observation.1 It was established that the State has no strategy for meeting its overall obligations and responsibilities contained in the mandatory IMO instruments to which it is a Party. 13

15 This was evidenced by the lack of documentation setting out the strategy; absence of continuous review and verification of the effectiveness of the State in respect of its international obligations; and the overall organizational performance and capability had not been assessed (Code, part 1, paragraph 3). See Form A-OB-01 Corrective Action To achieve full compliance, main and enhance the State s ability to fully meet its obligations under the mandatory IMO instruments, planned corrective action includes:.1 Drafting and implementing a maritime safety and marine pollution prevention strategy based on the mandatory IMO instruments to which the Republic of Bulgaria is Party. The Executive Agency () will draft and submit for approval to the Interdepartmental Coordination Council (ICC), to be established, a strategy for achieving of a high level of safety of its ships, as well as criteria for assessment of fulfillment of the obligations under the mandatory IMO instruments. will also draft and submit to the Council of Ministers a report on the measures necessary for the provision of with adequate administrative capacity, the attraction of highly qualified and experienced professionals, and improvement of their remuneration. The deadline for the implementation of this action is 1 May A mechanism will be developed through which the Ministry of Transport will monitor and evaluate activity related to the fulfillment of the obligations under the mandatory IMO instruments. will submit an annual report to the Minister of Transport on its assessment of maritime safety and protection of the marine environment activities based on approved criteria for their achievement. The report will be drafted in accordance with the form to be approved by the Minister of Transport, and accompanied by proposal for corrective measures. The report will be submitted not later than the 1 st of March each year. The deadline for approval of the form of the report is 1 December An Interdepartmental Coordination Council (ICC) dealing with maritime safety and marine pollution prevention from ships will be established by a decree of the Council of Ministers. The ICC, which will report to the Minister of Transport, will comprised deputy ministers of the ministries involved and will carry out consultations, coordination and cooperation between the legal entities and natural persons engaged in the implementation of mandatory IMO instruments. The ICC will be tasked to approve the strategy for maritime safety and marine environment protection; monitor and coordinate the activities of the institutions involved in fulfilling the obligations under the respective mandatory IMO instruments. The ICC will draft mandatory guidelines for the respective institutions, based on the assessment of maritime safety and marine environment protection activities aiming at improving of the performance of these institutions. It will also draft and enforce a mechanism for incorporation into national legislation of all amendments to the 14

16 applicable mandatory IMO instruments to which Bulgaria is Party. The deadline for the implementation of this action is 1 October Legislation The following procedure is followed by the Member State for formal adoption of an international instrument:.1 the competent minister or ministers for the enforcement and implementation of the international instrument concerned prepares a set of documents to be considered by the Council of Ministers;.2 the set of documents is sent to all members of the Council for their approval;.3 the approved set is submitted for consideration by the Council of Ministers;.4 the Council of Ministers approves the international instrument and issues a decision thereto. The decision further contains an offer to the National Assembly to approve and ratify the instrument;.5 the proposal is considered by different commissions of the National Assembly;.6 the proposal is considered in plenary and the National Assembly accepts a law on the ratification of the instrument;.7 the law on ratification is promulgated in the State Gazette; and.8 the Minister of Foreign Affairs notifies the international organization under which auspice the instrument is accepted Within 14 days from the date of entry into force of the instrument for the Republic of Bulgaria, the related legislation has to translated in Bulgarian and promulgated in the State Gazette. With this act the international instrument becomes an integral part of the Bulgarian national legislation, which has primacy over any conflicting provision of the domestic legislation and is directly applied In order to harmonize the existing national legislation with the requirements of the newly ratified instrument, changes in the existing legal acts, as well as the drafting of new ones might be needed. In both cases the proposal comes from the competent minister or ministers. Depending on the type of the act which has to be amended or drafted, and whether it is an act of the primary or secondary legislation, there exist two different procedures. The procedure for acceptance of amendments in an act or acceptance of a brand new act of the primary legislation, i.e. law or code, follows the same steps as described above with regard to the procedure on the accession to an international instrument The procedure for acceptance of an act of the secondary legislation is much simpler, flexible and less time-consuming. The most popular instruments of the secondary legislation are the ordinances of the competent minister or ministers and in certain cases ordinances of the Council of Ministers. The ordinances of the competent minister or ministers after being drafted are signed by this minister or ministers and promulgated in the Sate Gazette. The ordinances of the Council of Ministers, after being drafted are submitted to the Council of Ministers for approval. The Council of Ministers takes a decision for approval of the ordinance and same is promulgated in the State Gazette The process of preparation and adoption of legislative acts is regulated by the Law on International Treaties and the Law on Legislative Acts of the Republic of Bulgaria 15

17 Based on the audit samples, it was observed that the complex regulatory process could delay the timely incorporation of convention amendments, including tacit amendments, into the national law where necessary. During the process of the audit, no systematic approach was identified for promulgating various amendments to mandatory IMO instruments (SOLAS, MARPOL, LL) and various Codes (LSA, FSS, etc.). Even though the legislative and regulatory core process was considered comprehensive, it remained difficult to follow the methodology for incorporating certain regulations and amendments in the spectrum of Bulgarian laws/regulations The legal system within Bulgaria was stated to be able to assure enforcement provisions by the general authorizations given to the entities and the general requirement for ships to comply with conventions without the need for specific and detailed legislation. In this respect, the need to implement amendments to mandatory IMO instruments through the legal system consisting of the ordinances was only necessary in some cases. During the audit it was not possible to establish if this policy, from a legislative point of view, assures timely implementation of amendments, including tacit amendments For maritime safety, the main legislation is the Merchant Shipping Code. The code predates the 1974 SOLAS Convention, which the Republic of Bulgaria acceded to in 1983 and promulgated in State Gazette in 2005, as well as MARPOL Convention acceded to in 1984 and promulgated in State Gazette in It was not evident during the audit that the Merchant Shipping Code had been revised to transpose the SOLAS and MARPOL Conventions in its entirety into national legislation, although compliance with the SOLAS and MARPOL Conventions and some of its subsequent amendments were introduced through numerous and lower levels of legislation, such as Ordinances or Orders. As such, a consolidated text of SOLAS and MARPOL in Bulgarian language was not found in the legislations during the audit. This apparently also poses a problem with regard to amendments to SOLAS and MARPOL, and the auditors were unable to test the veracity of the amendment process, or whether enabling legislation/regulations have been properly issued no later than the entry into force date of the amendment concerned Finding Non-conformity.1 There was no objective evidence that the State transposed and promulgated all amendments to mandatory IMO instruments into national legislation, which would give such amendments the force of law (SOLAS 1974, Article 1 and regulations III/3.10 (LSA Code), II-2/3.22 (FSS Code), II-1 /3-6.4; MARPOL 73/78, Article 1, Annex II, Chapter 2, regulation 6.1; COLREG amendments, resolution A.910(22)). See Form A-NC-01 Corrective Action The Executive Director of will issue orders implementing all amendments to the annexes to mandatory IMO instruments, including mandatory codes, which are not promulgated in the State Gazette, no later than 1 June The ICC, to be established, will make a proposal for approval of mechanism for timely enforcement of all amendments to the mandatory IMO instruments, which enter into force for the Republic of Bulgaria, with planned completion date set for 1 January A report on behalf of the Minister of Transport to the Council of Ministers on the provision of administrative 16

18 capacity and financial resources for activities related to the translation and promulgation of amendments to mandatory IMO instruments will be drafted and completed by 30 September Records and improvement The Administration has established a documented procedure, as set out in their quality management system, defining the controls needed for the identification, storage, protection, retrieval, retention time and disposal of records. However, during the audit it was established that, on several occasions, the records were not readily identifiable or retrievable During the audit it was observed that there were no updated training and qualification records for a number of flag State surveyors and port State control officers personnel files at the Head Office Findings Non-Conformity.1 It was established that the State did not always report to IMO as required by several mandatory instruments (SOLAS regulations I/6(b), I/19 (d), I/21(b) and IV/5.2; STCW 78, article X(3); MARPOL Article III, Annex I regulation and Annex II regulation 8.2.4). See Form A-NC-02 Observation Corrective Action The Directorate for Aircraft, Maritime and Railway Accident Investigation will submit investigation report of any serious and very serious accident at sea to the IMO, not later than two months after the publication of the official report. shall submit to the IMO information on the detained foreign flagged ships in the Bulgarian ports under the PSC regime and amend accordingly the existing quality procedure, in order to include the requirements for submission of information on the detained foreign flagged ships to IMO. will submit to IMO the missing information on ROs not later than 1 October 2009 and the missing information on the recent changes to the shore-based facilities in the Maritime Mobile Service and Maritime Mobile-Satellite Service established for sea areas, which the State has designated off its coasts, not later than 1 August During the audit it was established that on several occasions the records were not readily identifiable and retrievable (Code, part 1, paragraph 10). See Form A-OB-02 Corrective Action All employees of the relevant departments of regional directorates shall be required to submit copies of all certificates obtained from training courses not later than 31 March Personnel files of employees will be checked and updated as necessary. The deadline for the implementation of this action is 1 October Ship files related to surveys performed, which are maintained in regional directorates, will be checked to verify and ensure the availability of all required documents. The deadline for the 17

19 implementation of this action is 1 December All employees in the survey departments of regional directorates will become familiar with ships surveys findings and the maintenance of related records through a special refresher course. The deadline for the implementation of this action is 1 May Flag State activities Within, plan approval and oversight of ROs is dealt with by the Head Office and the regional offices at Varna and Burgas. Oversight of ship inspections and surveys, search & rescue (SAR) and pollution prevention are dealt with by the regional Directorates. It was evident during the audit that the Head Office of in Sofia is unable to have effective oversight programs due to lack of adequate number of qualified personal. Implementation The mandatory IMO instruments were sampled as to their implementation as follows:.1 Load Lines Convention;.2 SOLAS Convention;.3 MARPOL Convention;.4 Tonnage Convention;.5 STCW Convention; and.6 COLREG Convention is responsible for the STCW Convention. There are five (5) maritime institutions in Bulgaria providing courses leading to deck officers and engineers competencies for the merchant marine. The training colleges conduct education, training and examination (including oral examinations) by themselves; but under the supervision of. Issuance of their certificates of competency is done by the regional Directorates. Bulgaria has submitted their communication of information on these to IMO in accordance with regulation of I/8 of STCW Convention on 7 March The does not issue dispensations for merchant mariner documents or licenses. Instead of that, issues exemptions to the Minimum Safe Manning Document, when required port State control (PSC) officers have instructions to check and verify crew STCW competencies during PSC inspections Requirements for rest hours are transposed into national Ordinance no. 6. There is a requirement for documenting rest hours as recommended by the STCW Convention, part B, VIII/ Bulgaria endorses other States certificates for Masters issued by other EU countries. It is a national requirement that only Bulgarian citizens or citizens from an EU country can work on Bulgarian flagged ships as Masters. However, it was noted that one of the ship under the Bulgarian flag have employed a Master from non EU country and so far is yet to take appropriate actions In compliance with the provisions of Ordinance No. 54 of the Minister of Transport and Communications on the Technical Requirements and Conformity Assessment of the Equipment 18