election of members of the joint audit body€¦ · summary: the joint audit body of the 1992 fund...

Agenda Item 6 IOPC/NOV20/6/1

Date 30 July 2020

Original English

1992 Fund Assembly 92A25 ⚫

1992 Fund Executive Committee 92EC74

Supplementary Fund Assembly SA17 ⚫

ELECTION OF MEMBERS OF THE JOINT AUDIT BODY

Note by the Director

Summary: The joint Audit Body of the 1992 Fund and the Supplementary Fund is composed of seven

members elected by the 1992 Fund Assembly: six named individuals nominated by

1992 Fund Member States and one named individual not related to the organisations with

expertise and experience in financial and audit matters (an ‘external expert’), nominated

by the Chair of the 1992 Fund Assembly.

The term of office of the present members of the Audit Body will expire at the

November 2020 sessions of the IOPC Funds’ governing bodies.

In response to a circular from the Director calling for nominations for the new Audit Body

to be elected in November 2020 (circular IOPC/2020/Circ.6), the following nominations

were received from 1992 Fund Member States by the deadline of 30 June 2020:

Mr Alfred H.E. Popp, CM, Q.C. Nominated by Canada (for a first term) Mrs Birgit Sølling Olsen Nominated by Denmark (for a second term) Mr Arnold Rondeau Nominated by France (for a first term) Mr Vatsalya Saxena Nominated by India (for a second term) Dr Hideo Osuga Nominated by Japan (for a first term) Captain Thomas F. Heinan Nominated by the Marshall Islands (for a first term) Mr José Luis Herrera Vaca Nominated by Mexico (for a third term) Mr Watchara Chiemanukulkit Nominated by Thailand (for a first term)

As there are only six vacancies for the named individuals nominated by

1992 Fund Member States, an election will take place. As on this occasion there are

sufficient nominations to fill the vacancies, the candidate nominated by Mexico for a third

term will not be put forward for election.

An election will take place at the November 2020 sessions of the governing bodies, and six

members of the joint Audit Body will be elected from the seven candidates nominated by

Member States and put forward for election.

With regard to the external expert, Mr Michael Knight, his third term of three years will

expire at the November 2020 sessions of the IOPC Funds’ governing bodies. The Chair of

the 1992 Fund Assembly has recommended that his tenure be extended, exceptionally,

beyond his third three-year term, until 31 December 2021. The extension of Mr Michael

Knight’s tenure would ensure the continuity of the work of the Audit Body. In addition,

Mr Michael Knight would assist the Secretariat with the election of his successor.

IOPC/NOV20/6/1 - 2 -

The Chair and the Vice-Chair of the Audit Body will be appointed on the proposal of the

Chair of the 1992 Fund Assembly, in consultation with the Chair of the Supplementary Fund

Assembly, from the members elected.

Action to be

taken:

1992 Fund Assembly

(a) Elect six members of the joint Audit Body from the seven candidates nominated by Member States and put forward for election;

(b) extend the tenure of the external expert, exceptionally, beyond his third three-year term until 31 December 2021; and

(c) on the proposal of the Chair of the 1992 Fund Assembly, in consultation with the Chair of the Supplementary Fund Assembly, appoint the Chair and Vice-Chair of the Audit Body from the members elected.

Supplementary Fund Assembly

Information to be noted.

1 Introduction

1.1 At their October 2001 sessions, the governing bodies decided to establish, in line with best corporate governance practice, a joint Audit Body to provide expert advice and enhance the effectiveness of Member States’ oversight in the key areas of internal control, financial reporting and risk management (document 92FUND/A.6/28, paragraph 12.5). The first election of members of this Audit Body was held in October 2002.

1.2 In accordance with the Composition and Mandate of the Audit Body, the joint Audit Body is composed of seven members elected by the 1992 Fund Assembly for three years: six named individuals nominated by 1992 Fund Member States, and one named individual not related to the organisations with expertise and experience in financial and audit matters (an ‘external expert’), nominated by the Chair of the 1992 Fund Assembly. The members of the joint Audit Body will hold office for three years once renewable while the external expert shall hold office for three years, twice renewable.

1.3 The joint Audit Body normally meets three times a year to review the adequacy and effectiveness of the organisations regarding key issues of management and financial systems, financial reporting, internal controls, operational procedures and risk management, and to review the organisations’ Financial Statements and reports. It also considers all relevant reports by the External Auditor, including reports on the organisations’ Financial Statements. The Audit Body reports to the governing bodies at their regular sessions.

1.4 The term of office of the present members of the Audit Body will expire at the November 2020 sessions of the governing bodies and an election of the members for a new term of office will take place at the November 2020 session of the 1992 Fund Assembly.

1.5 The Chair and Vice-Chair of the joint Audit Body will be appointed on the proposal of the Chair of the 1992 Fund Assembly, in consultation with the Chair of the Supplementary Fund Assembly, from the members elected.

1.6 The Composition and Mandate of the joint Audit Body, as decided by the governing bodies at the October 2008 sessions, which was revised and confirmed by the governing bodies at their April 2019 sessions, is set out at Annex I. The composition of the Audit Body, past and present, and their dates of election are set out at Annex II.

IOPC/NOV20/6/1 - 3 -

2 Nominations by 1992 Fund Member States

2.1 On 6 April 2020, the Director issued a circular informing 1992 Fund Member States that nominations of candidates for election to the Audit Body, accompanied by their curriculum vitae, should be submitted to him by 30 June 2020 at the latest. In the circular attention was drawn to the fact that nominations could only be made by 1992 Fund Member States. It was also mentioned in the circular that those present members of the Audit Body who wished to be re-elected for a second term of three years also needed to be nominated by 1992 Fund Member States (circular IOPC/2020/Circ.6).

2.2 The following nominations were received from 1992 Fund Member States by the deadline of 30 June 2020:

Mr Alfred H. E. Popp, CM, Q.C. Nominated by Canada (for a first term) Mrs Birgit Sølling Olsen Nominated by Denmark (for a second term) Mr Arnold Rondeau Nominated by France (for a first term) Mr Vatsalya Saxena Nominated by India (for a second term) Dr Hideo Osuga Nominated by Japan (for a first term) Captain Thomas F. Heinan Nominated by the Marshall Islands (for a first term) Mr José Luis Herrera Vaca Nominated by Mexico (for a third term) Mr Watchara Chiemanukulkit Nominated by Thailand (for a first term)

2.3 The curricula vitae of all eight individuals nominated by 1992 Fund Member States for election to the joint

Audit Body are at Annex III.

2.4 Mr Michael Knight (United Kingdom) was appointed as the external expert for a first term in October 2011 and reappointed in October 2014 and October 2017 for a second and third term, respectively. The Chair of the 1992 Fund Assembly is recommending that Mr Knight’s tenure be extended, exceptionally, beyond his third three-year term until 31 December 2021. The extension of Mr Michael Knight’s tenure would ensure the continuity of the work of the Audit Body. In addition, Mr Michael Knight would assist the Secretariat with the election of his successor. Mr Michael Knight’s curriculum vitae is at Annex IV.

3 Director’s considerations

3.1 As set out above, eight candidates have been nominated by 1992 Fund Member States. Of these, two candidates have been proposed for reappointment for a second and final term of three years, and five have been nominated by 1992 Fund Member States for the first time. Additionally, one candidate has been proposed for reappointment for a third term.

3.2 The Director notes that, as there are only six vacancies for the named individuals nominated by 1992 Fund Member States, the 1992 Fund Assembly will be required to hold an election at the November 2020 sessions of the governing bodies. The mandate of the joint Audit Body provides that if the nominations for election to the Audit Body are not sufficient to fill the vacancies at an election, existing members of the Audit Body having served two terms will be eligible for a once-only re-election, provided they are re-nominated by one or more 1992 Fund Member States. Since on this occasion there are sufficient nominations to fill the vacancies, the candidate nominated by Mexico for a third term will not be put forward for election.

3.3 The Director notes that the 1992 Fund Assembly will also have to decide whether to reappoint Mr Michael Knight as the external expert beyond his third term of three years, until 31 December 2021.

4 Ballot procedure

The procedure for the election of the members of the joint Audit Body will be detailed in a separate document in due course.

IOPC/NOV20/6/1 - 4 -

5 Action to be taken

5.1 1992 Fund Assembly

The 1992 Fund Assembly is invited to:

(a) elect six members of the joint Audit Body from the seven candidates nominated by Member States and put forward for election;

(b) extend the tenure of the external expert, exceptionally, beyond his third three-year term until 31 December 2021; and

(c) on the proposal of the Chair of the 1992 Fund Assembly, in consultation with the Chair of the Supplementary Fund Assembly, appoint the Chair and Vice-Chair of the Audit Body from the members elected.

5.2 Supplementary Fund Assembly

The Supplementary Fund Assembly is invited to:

(a) note the results of the election for the members of the joint Audit Body;

(b) note the extension of the tenure of the external expert; and

(c) note the appointment of the Chair and Vice-Chair of the Audit Body.

* * *

ANNEX I

IOPC/NOV20/6/1, Annex I, page 1

COMPOSITION AND MANDATE OF THE JOINT AUDIT BODY OF THE 1992 FUND AND THE SUPPLEMENTARY FUND

(REVISED IN APRIL 2019)

COMPOSITION

1. The members of the Audit Body shall perform their functions independently and in the interest of the Organisations as a whole and shall not receive any instructions from anyone, including their Governments.

2. The Audit Body shall be composed of seven members elected by the 1992 Fund Assembly: six named individuals nominated by 1992 Fund Member States and one named individual not related to the Organisations (‘external expert’) with expertise and experience in financial and audit matters, nominated by the Chair of the 1992 Fund Assembly. Nominations, accompanied by the curriculum vitae of the candidate, should be submitted to the Director in response to a call for nominations made by the Director. The Chair of the 1992 Fund Assembly will, in consultation with the Chair of the Supplementary Fund Assembly, propose the names of two of the elected members of the Audit Body for consideration and approval by the governing bodies as Chair and Vice-Chair of the Audit Body.

3. Members of the Audit Body shall hold office for three years, once renewable. Should nominations for election to the Audit Body not be sufficient to fill vacancies at an election, existing members of the Audit Body having served two terms will be eligible for a once-only re-election, provided they are re-nominated by one or more 1992 Fund Member States. The external expert shall hold office for three years, twice renewable.

4. Travel and subsistence expenses of the members of the Audit Body shall be paid by the Organisations. The Assembly of the 1992 Fund will, from time to time, decide on the quantum of the honorarium paid to the six elected members and the fee paid to the external expert. The timing and method of payment will be agreed between the Audit Body and the Director.

MANDATE

5. The Audit Body shall:

(a) review the adequacy and effectiveness of the Organisations’ management and financial systems, financial reporting, internal controls, operational procedures, risk management and related matters;

(b) promote the understanding and effectiveness of the audit function within the Organisations, and provide a forum to discuss matters referred to in (a) above and matters raised by the external audit;

(c) discuss with the External Auditor the nature and scope of each forthcoming audit and provide input to the development of the strategic audit plan;

(d) review the Organisations’ Financial Statements and reports;

(e) consider all relevant reports by the External Auditor, including reports on the Organisations’ Financial Statements, and make appropriate recommendations to the Funds’ governing bodies;

(f) manage the process for the selection of the External Auditor; and

(g) undertake any other tasks or activities as requested by the Funds’ governing bodies.

IOPC/NOV20/6/1, Annex I, page 2

6. The Chair of the Audit Body shall report on its work to each regular session of the 1992 Fund Assembly and the Supplementary Fund Assembly.

7. Every three years the functioning of the Audit Body and its mandate shall be reviewed by the 1992 Fund Assembly and the Supplementary Fund Assembly on the basis of an evaluation report from the Chair of the Audit Body.

***

ANNEX II

IOPC/NOV20/6/1, Annex II

Composition of Audit Body (October 2005 – November 2020)

Nominated by Member States Member State Chair/

Vice-Chair (VC)

Elected October

2002

Elected October

2005

Elected October

2008

Elected October 2011<1>

Elected October

2014

Elected October

2017

Dr Eugenio Conte Italy X

Mr Charles Coppolani France 2002–2008 X X

Mr Maurice Jaques Canada X X

Mr Heikki Muttilainen Finland X

Dr Reinhard Renger Germany X X

Professor Hisashi Tanikawa Japan X X

Mr Marcel Mendim Me Nko’o Cameroon X X

Mr Wayne Stuart Australia 2008–2011 X X

Mr Emile Di Sanza Canada 2011–2014 X X

Mr Thomas Kaevergaard<2> Sweden X X

Professor Seiichi Ochiai Japan X X

Mr John Wren<3> United Kingdom X

Mr John Gillies Australia X X

Mr Giancarlo Olimbo Italy X X

Mr Eugéne Ngango Ebandjo Cameroon X X

Mr Makoto Harunari Japan 2019–present X X

Mr José Luis Herrera Vaca Mexico X X

Mr Jerry Rysanek<4> Canada 2014–2019 X X

Mrs Birgit Sølling Olsen Denmark 2019–present (VC) X

Mr Vatsalya Saxena India X

External expert not related to the organisations nominated by the Chair of the 1992 Fund Assembly<5> Mr Nigel Macdonald United Kingdom X X X Mr Michael Knight United Kingdom X X X

<1> Only five nominations were received, and the 1992 Fund Assembly decided to allow the Audit Body to function with five members for this three-year term (document

IOPC/OCT11/11/1, paragraph 6.2.26). <2> Formerly known as Mr Thomas Johansson. <3> Mr Wren sadly passed away on 6 October 2010. <4> Mr Rysanek sadly passed away on 30 January 2019. <5> The external expert shall hold office for three years, twice renewable.

1

Alfred H. E. Popp, CM, Q.C. Current Position

Alfred Popp retired from the public service of Canada at the end of December 2005. In December of 2006 he was appointed to the position of Administrator of the Canadian Shipsource Oil Pollution Fund (SOPF), set up under the Marine Liability Act, a position that he held until March 2016. In addition to paying compensation for oil pollution damage, the SOPF pays the Canadian contributions to the International Oil Pollution Compensation Funds (IOPC Funds). As Administrator, Alfred Popp was actively involved in the Canadian delegation to the meetings of the IOPC Funds.

After his retirement from the SOPF, Alfred Popp did some work for the IOPC Funds as a consultant. For the past two years he has been coompletely retired. In his legal career, spanning almost 50 years, both in the private sector and in the Public Service of Canada, Alfred Popp has been active in various aspects of legal practice, mainly in international and maritime law.

International Negotiations

From 1975 to 2005, Alfred Popp participated in the Canadian delegation to the Legal Committee of the International Maritime Organization (IMO), first as a member and then as the head of delegation. Eventually he become chairman of that Committee, holding that position from 1993 to 2005. In his capacity as Chairman of the Legal Committee, he attended the regular meetings of the IMO Council and Assembly to report on the activities of the Legal Committee. He participated in most of the major maritime law treaty negotiations under the auspices of the IMO in the last 40 years. Alfred Popp was elected Chairman of the Committee of the Whole at a number of diplomatic coferences, notably:

2010 Conference to adopt a protocol to the 1996 Convention on Liability and Compensation for Damage in connection with the Carriage of Hazardous and Noxious Substances by Sea (HNS Convnetion) aimed at facilitating the entry into force of that convention;

2005 Conference to adopt two protocols to the 1988 Convention for the Suppression of Unlawful Acts against the Safety of Maritime Navigation (SUA) and Fixed Platforms;

2003 Conference to adopt a Protocol to establish the Supplementary Fund to provide additional compensation for pollution damage caused by oil tankers (Supplementary Fund);

2001 Conference to adopt a Convention on Civil Liability for Bunker Oil Pollution Damage (Bunkers convention);

IOPC/NOV20/6/1, Annex III, page 1

ANNEX III

2

1996 Conference to adopt a Convention on Liability and Compensation for Damage in connection with the Carriage of Hazardous and Noxious Substances by Sea (HNS Convnetion) and a Protocol to the 1976 Convention on the Limitation of Liability for Maritime Claims (LLMC);

1992 Conference to adopt two protocols, respectively, to the 1969 Convention on Civil Liability for Oil Pollution Damage (CLC) and the 1971 Convention on the Establshment of an International Fund for Compensation for Oil Pollution Damage (1992 Protocols).

As Chairman of the Committee of the Whole, he played a key role in bringing those conferences to a successful conclusion. He also supervised the preparatory discussions of the these instruments in the Legal Committee and in various working groups set up for that purpose. In 2014 Alfred Popp, still a member of the Canadian delegation to the governing bodies of the IOPC Funds, was appointed to a consultation group set up under the auspices of the governing bodies to give advice on the winding up of the 1971 Fund Convention. After his retirement from the position of Administrator of the SOPF, he was retained as a consultant to the IOPC Fund to assist in the negotiations between the IOPC Funds and the International Group of P&I Clubs to facilitate new rules regarding interim payments.

Maritime Law In addition to giving advice on maritime law to various departments of the Canadian government, notably, Transport Canada, the Canadian Coast Guard, Fisheries and Oceans Canada, Environment Canada, Foreign Affairs and National Defense, Alfred Popp has been invited to speak on maritime law subjects at international conferences and meetings in Vietnam, Italy, Japan, Germany, Malaysia, Korea, UK, US and Australia. He was also guest lecturer at the World Maritime University, Malmo, Sweden, and the International Maritime Law Institute, Malta, on international treaty making. In September, 2009, he was invited as Administrator of the Canadian SOPF, to address the Maritime Safety

SOPF.

Maritime Litigation

Initially as member of the Legal Services Unit, Transport Canada, later as head of the Maritime Law Section and then the Maritime Law Secretariat, in the Canadian Department of Justice, Alfred Popp coordinated teams of lawyers, sometimes drawn from different departments and the private sector to defend the

or in settlement negotiations.


3

Such cases included the following: the 1979 Kurdistan oil pollution incident off Nova Scotia, the 1988 Nastucca incident off the west coast of Canada, the settlement negotiations with the IOPC Fund in the 1992 Rio Orinoco incident, the litigation resulting from the raising of the oil carrying barge, the Irving Whale, and the suit arising out of the inspection and detention of the Malaysian flag ship, the Lantau Peak.

Mediation

In 2006 Alfred Popp conducted a mediation between representatives of the Laurentian Pilotage Authority, the pilotage corporations of the Laurentian district and shipowners to settle a rate dispute for pilotage fees. The mediation brought all parties back to the bargaining table and resulted in a compromise proposal.

Legislative Drafting Over the years, Alfred Popp actively participated in every aspect of the preparation of draft legislation for amendments or revisions of the Canada Shipping Act, Marine Liability Act, National Transportation Act, Carriage of Goods by Water Act and various other legislative projects.

This included assisting in the drafting of discussion papers for industry and interdepartmental consultations, participating in those consultations; subsequently assisting in the preparation of memoranda to Cabinet, attending Cabinet committee meetings to obtain Cabinet authority to produce draft legislation; preparing drafting instructions for Justice Department drafters; attending Cabinet committee meetings to assist in explaining the draft legislation; and attending Parliamentary committees to answer questions. He actively participated in the implementation of international maritime treaties into Canadian legislation, notably, the 1969 Convention on Civil Liability for Oil Pollution Damage and its 1992 Protocol, the 1971 Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage and its 1992 Protocol, the 1989 Convention on Salvage, the 1996 Convention on the Limitation of Liability for Maritime Claims, the Athens Convention relating to the Carriage of Passengers and their Luggage by Sea, 1974, as amended by the Protocol of 1990, and the Hague-Visby Rules and the Hamburg Rules relating to the carriage of goods by sea. As a member of the Legal Services, Transport Canada, Alfred Popp served as advisor to the Canadian Coast Guard and the Ship Safety Branch of the Canadian Department of Transport on the implementation of the 1974 Convention on the Safety of Life at Sea (SOLAS), as amended from time to time, the 1973 Convention for the Prevention of Pollution from Ships (MARPOL, 73/78) as amended from time to time, the Collision Regulations (COLREG 1972), the


4

Load Lines Regulations(LL 1966). He also advised from time to time on aspects the 1982 Convention on the Law of the Sea (UNCLOS). For the past 30 years, Alfred Popp has been an active member of the Canadian Maritime Law Association, serving as government observor on its Board of Directors and, after his retirement from the Public Service of Canada, acted as Secretary Treasurer of the Association, 2005 to 2007.

Awards Recipient of the Confederation Medal (1992) Recipient of the Distinguished Public Service Medal of the US Coast Guard

(2005)

behalf of the Canadian Coast Guard, (2006)

Recipient of the International Maritime Prize, 2006, awarded by the International

Maritime Organization Honory Membership of the Canadian Maritime Law Association (2011) 2016 admitted as a member of the Order of Canada

Qualifications

B.A. LLB (with distinction) Rhodes University, Grahamstown, South Africa LL.M. (bilingual program) University of Ottawa, Ottawa, Canada

o Called the Bar of British Columbia, 1969 o (Q.C), 1986

Languages

Fluent English, French and German

Publications and Papers

Oil Spills Who Pays for them and How Much? An overview of the international compensation scheme. Spillcon 2002, Australia, September 2002 Special Rules for Special Situations: Some Developments in Civil Liability in Maritime Law Over the Last Fifty Years. Dreams and Dilemmas in the Asia-Pacific: Economic Friction and Dispute Resolution, 2000

Liability and Compensation in Maritime Law - Some New Perspectives. Japan, Ship Owners Association, December, 1996


5

The Protocol Process. The Canadian Maritime Law Association and The Federal Court of Canada Conference, December 1, 1995

Limitation of Liability in Maritime Claims - Can it Survive? Journal of Maritime Law and Commerce, June 1993

A North American Perspective on Liability and Compensation for Oil Pollution Caused by Ships. Paper presented at a seminar of the Comité maritime international (CMI), Genoa, Italy, September 21 - 25, 1992

Legal Aspects of the International Oil Spills in the Canada/U.S. Context. Reproduced in the Conference Proceedings, April 24-26, 1992, Cleveland, Ohio, Canada-United States Law Journal, 1992, Vol. 18, 309

State Responsibility and the Environment (with Specific Reference to Liability and Compensation for Oil Pollution Caused by Ships). Canadian Council of International Law, Proceedings of the 1989 Conference on International Law

Transportation - Maritime Law. Paper presented at the International Law

-

Recent Developments in Tanker control in International Law. The Canadian Yearbook of International Law, 1980, Vol. XVIII Air Law Warsaw Convention International Conference. Montreal, September 1975, Canadian Bar Review.


CURRICULUM VITAE

Birgit Sølling Olsen

Professional experience:

General accountability

Shipping policy, economic and legal framework conditions for Danish Shipping, maritime law, including

drafting of legislation and regulation on safety, liability, social legislation for seafarers, social protection of

seafarers, including MLC, climate issues, EU policy and implementation and traditional ministerial work for

the Danish Ministers responsible for shipping.

2017 – External consultant for IMO on the implementation of IMO conventions and

maritime policy

1996- June 2017 Danish Maritime Authority as Director Shipping Policy, Executive Advisor and

Deputy Director General

1996 - 2002 Director for Shipping Policy and Head of Secretariat for the Board of Directors

and member of the Board of Directors

2002- 2016 Deputy Director General

2016 -2017 Executive Advisor to the General Director and member of the Board of

Directors

1995 - 1996 Head of Division (Director), Ministry of Industry, Areas of responsibility:

maritime law, including liability law and the IOPC Funds and international

shipping policy

1992 –1996 Lecturer on maritime law, the Academy for Marine Engineers in Copenhagen

1992-1995 Senior Legal and policy advisor Ministry of Industry

1988 – 1992 Legal and policy advisor, Ministry of Industry

Maritime law and EU policy, economic framework conditions, International

Register of Shipping, social protection of seafarers

1982- 1988 Head of administration of economics, the Danish Register of Shipping

1976 – 1988 Legal advisor, Danish Register of Shipping

1975 Master of Law, University of Copenhagen

Other offices

1998 - 2017 Chairman for the board of the Danish War Risk Insurance Company


1996 - 2017 Member of the Danish Maritime Law Committee

International experience

IMO

2017 External consultant on maritime administration, IMO procedures and

implementation of IMO instruments

1995 -2017 Head of the Danish Delegation at IMO’s Legal Committee

2010-2016 Responsible for climate issues concerning shipping at COOP and MEPC

meetings

2008-2010 Head of Delegation, STCW Committee

2008 Chairperson of the Correspondence Group on Piracy, MSC

2001 and 2008 Chairperson of working groups under MSC on the revision of IMO guidelines

for piracy

1999 - 2001 Chairperson for working groups at 4 regional IMO seminars on piracy and

lecturer on the Law of the Sea and IMO guidelines on piracy

IOPC

2017 – Member of the IOPC Audit Body, 2019 as vice chair

1995-2017 Head of the Danish Delegation at the IOPC Funds

2003- 2017 Vice–Chair Supplementary Fund

2014-2016 Chairperson of the IOPC working Group on the definition of ship

2006 Chairperson for IOPC working group on nontechnical measures to promote

quality shipping for carriage of oil by sea

2001-2003 Lead on drafting the Supplementary Fund Protocol

ILO

1996 - 2017 Head of the Danish delegation in ILO on maritime issue, including the

maritime conferences

2012-2014 Chairperson and spokesperson for the Government Group at the Maritime

Labour Convention (MLC) and the MLC amendments

2003- 2005 Chairperson for the ILO Subgroup, drafting the Maritime Labour convention

(2003-2005) and chairperson for working group on social protection of seafarers

2003 Chairperson for the IMEC group on the seafarer’s identity document at the ILO

conference and Head of Danish delegation


2001 Chairperson for the Joint Maritime Committee

1996 Chairperson for working group on wages for seafarers – Diplomatic

conference

1993 Member of the Danish delegation at the ILO preparatory maritime

conference. Chairperson for working group on wages for seafarers

Other international fora

1988-2017 Danish delegate and Danish spokesperson on maritime issues from safety to

state aid and social issues at a number of EU and other international meetings.

Honors

The order of the Dannebrog – Knight of 1. Class

2018 Recipient of the IMO prize


Original: French

WORK EXPERIENCE

01/2016 – PRESENT

Deputy Head of Unit: Merchant Fleet

Ministry of the Environment, Energy and the Sea (MTES), Directorate

General of Infrastructure

Preparation of French regulations (drafting of laws, decrees),

Economic aid to companies (in accordance with European and national

regulations), Financial management of aid and budget monitoring in

collaboration with the Treasury (‘ministère du budget’) and the agencies in

charge of the collection of contributions (ACOSS and UNEDIC). Establishment

of a system for monitoring expenditure.

HNS Convention: Implementation of the Convention in France (drafting of

texts and design of an online reporting system, communication with

stakeholders)

Monitoring of the work of the IOPC Funds for three years (meetings of the

governing bodies, discussions between ministries, dealing with civil liability

issues relating to pollution)

Paris

05/2013 – 12/2015

Maritime Economy Officer Ministry of Ecology, Sustainable Development and Energy

(MEDDE),

Department of Water and Biodiversity

Implementation of action plans for the marine environment in accordance with the 2008 Marine Strategy Framework Directive for the marine environment.

Paris

01/2010 – 05/2013

Deputy to the delegate for the sea and coastline of

Bouches-du-Rhône

Departmental Headquarters for Land and Sea for Bouches-du-Rhône

Organisation and management of a department of 48 staff.

Management of major mercantile shipping and maritime labour law.

Responsibility for port safety and occupations in ports.

Marseille

Arnold, Paul,Yves

RONDEAU

CONTACT

Ministry of Ecology

(‘Ministère de la

transition écologique’)

France


04/2008 – 12/2009

Head of marine services, professional maritime training and

leisure craft permits

Regional Headquarters for Maritime Affairs, Provence-Alpes-Côte-d’Azur

and Departmental Headquarters for Maritime Affairs, Bouche-du-Rhône

Restructuring of the department

Management of the department (1st national department for French

merchant shipping)

Organisation of exams for a national merchant marine school, management

of seafarers’ certificates

04/2004 – 03/2008

Head of Department for police inspections and regulation,

deputy director

Departmental Headquarters for Maritime Affairs, Var

Organisation of inspections at sea, coordination of Interministerial

operations with inspection units and judicial authorities. Development of

local maritime regulations.

Toulon

18/06/2001 – 04/2004

Head of Seafarers and Economic Affairs Department Interdepartmental Headquarters for Maritime Affairs, Pyrénées-

Orientales and Aude

Administrative management of the fleet and organisation of merchant

marine exams

Management of shellfish and aquaculture

Port-Vendres

EDUCATION AND TRAINING

01/09/1998 – 06/2001 – Bordeaux

Diploma from the School of Maritime Administration

School of Maritime Administration

Education in maritime law, international maritime law, community and

national law in the field of fisheries and transport.

Maritime Officers Training School (GEAOM) on the ‘Jeanne d’Arc’ 2000-

2001


LANGUAGE SKILLS

MOTHER TONGUE(S): French

English

Listening Reading Spoken production

Spoken interaction

Writing

C1 C1 C1 C1 C1

Italian

Listening Reading Spoken production

Spoken interaction

Writing

B1 B1 B1 B1 A2

ORGANISATIONAL SKILLS

Organisational skills

Development of regulations: Effective proposal and heading of

inter-departmental work.

Monitoring financial arrangements: Agreements between the State and

revenue collection agencies, financial evaluation of expenditures,

engaging and monitoring payments to agencies.

INTERPERSONAL AND COMMUNICATION SKILLS

Interpersonal and communication skills

Public speaking:

Professional experience: speaking in English at meetings of the European

Commission (since 2013) and at the International Maritime Organization

(since 2016)

Courses and conferences:

Professional experience:

Course on maritime regulation in the School of Maritime Administration,

National Merchant Marine School, Marseille


Curriculum Vitae

PERSONAL INFORMATION

Name VATSALYA SAXENA

WORK EXPERIENCE :

Presently, serving the term as a member of the Joint Audit Body 6 for the period (Dec 2017 to Nov 2020)

Occupation or Position held

Period (from – to) Name and address of employer

Type of business or sector

Deputy Director General, Shipping (International Cooperation, Finance & Accounts, e-Governance) Sept 2015 –till date The Director General of Shipping, Ministry of Shipping, Government of India Civil Service

Main activities and responsibilities

1.To coordinate the implementation of the Merchant Shipping Act 1958, and to give advice on the legal aspects of various International Conventions, .Also dealing with all matters pertaining to International Cooperation among Seafaring nations

2. To act as Financial Adviser to the DG Shipping and supervise the Financial administration of the Directorate.

Occupation or Position held Joint/Additional Commissioner of Income Tax

Period (from – to) Name and address of employer

June 2005 to Sept 2015

Income Tax Department, Department of Revenue, Ministry of Finance, Government of India

Type of business or sector Main activities and

responsibilities

Civil Service Implementation of Income Tax laws and administration, to supervise search/ seizure/ investigation of potential tax evasion cases, to supervise Audit of tax returns


Occupation or Position held

Period (from – to)

Name and address of employer Type of business or sector

Main activities and

responsibilities

Assistant/Deputy Commissioner of Income Tax

Sept 1994-June 2005

Income Tax Department, Department of Revenue, Ministry of Finance, Government of India Civil Service Implementation of Income Tax laws and administration, to carry out search/ seizure/ investigation of potential tax evasion cases, to carry out Audit of tax returns

EDUCATION AND TRAINING

Period (from - to) Name and type of organization

July 2017-July 2017 National Institute of Financial Management, Faridabad, India

providing education and training Principal subjects/occupational

skill covered Title of qualification awarded

Goods and Services Tax Law, its implementation and administration and compliance Certificate of participation

Periods (from - to) Name and type of organization

July 2016-July 2016 National Institute of Financial Management, Faridabad, India


skill covered

Public procurement, General Financial Rules as applied to Government Financial Accounting, its implementation,

Title of qualification awarded administration and compliance Certificate of participation


Sept 2013 – Oct 2013 Duke University, Raleigh, USA


skill covered Title of qualification awarded

International Taxation and Transfer Pricing, advanced techniques of investigation and tax audit of Multinational enterprise Certificate Course as part of the Mid –Term Career

Development Programme for the officers of the Indian Revenue Service (overseas segment)



skill covered

Title of qualification awarded

Aug 2013 – Sept 2013 Management Development Institute, Gurgaon, India

International Taxation and Transfer Pricing, advanced techniques of investigation and tax audit of Multinational enterprise Certificate Course as part of the Mid –Term Career Development Programme for the officers of the Indian Revenue Service


providing education and training

April 2013-April 2013 Organisation for Economic Cooperation and Development (OECD), Vienna, Austria


Principal subjects/occupational skill covered


Advanced Audit techniques for auditing Multinational Enterprises

Certificate of participation



skill covered


May 2011-June 2011

Organisation for Economic Cooperation and Development (OECD), Ankara, Turkey Advanced Audit techniques for auditing Multinational Enterprises

Certificate of participation



skill covered


Sept 1994- April 1996

National Academy of Direct Taxes, Nagpur, India

Income Tax Act, Accounting, Financial Management, Audit of Income Tax returns, Search, seizure, investigation

It was a twenty month Training programme meant for the officers of the Indian Revenue Service, Income Tax department, Govt of India



skill covered


July 1986-May 1990

University of Roorkee (now Indian Institute of Technology), Roorkee, Uttarakhand, India Chemical Engineering, Paper Technology, Pollution control, business economics

Bachelor of Engineering

PERSONAL SKILL AND COMPETENCES

MOTHER TONGUE OTHER LANGUAGES Reading skills Writing skills Verbal skills

Hindi English Excellent Excellent Excellent

STUDYING AND WORKING EXPERIENCE IN MULTICULTURAL

ENVIRONMENT.

As one of the key members of the design team for the e- governance for Income Tax Department, Govt of India, interacted closely with the Canadian International Development Agency (CIDA) during 1999-2002. Was invited by CIDA for a month in April 2000-May 2000 to study the computerized processes used for tax administration by


Revenue Canada which were later adopted to revamp business processes in Indian tax administration leading to e- filing of returns. Having attended OECD training programmes at Ankara, Turkey, and Vienna, Austria, and Mid Term Career Development programme at Duke University, USA has given me enough International exposure of financial accounting and tax administration.

ORGANIZATION SKILLS AND COMPETENCES

Coordination and administration of people, projects and budgets

Chairman, Committee on Transparency in Transaction cost for Export Import trade Supervising the Digital Transformation of Business Processes at the Directorate General of Shipping, India

PERSONAL MATTERS Interests: Social Contribution

Bridge, chess, reading, astrology, metaphysics Taught Astrology for three years at Bharatiya Vidya Bhawan, Mumbai on pro bono basis


CURRICULUM VITAE

Dr. Hideo OSUGA

(JAPAN)

EDUCATION: Bachelor of Economics, University of Tokyo (1978)

Master of Science, University of London (1983)

Doctor of Philosophy, Kansai University (2020)

OCCUPATION: Senior Executive in the transport sector of the Japanese civil service

(retired in 2013)

President, Japan Air Safety Foundation

PROFESSIONAL EXPERIENCE:

Dr. Hideo OSUGA has devoted almost his entire professional carrier to the transport

sector for over 40 years after joining the Ministry of Transport (MOT) of the Japanese

Government in 1978, and his work has covered a variety of fields and issues, but with

an emphasis on the maritime fields.

He worked for a number of years in MOT and also in the Ministry of Land, Infrastructure,

Transport and Tourism (MLIT) which succeeded MOT, and had a distinguished career

including the position of Director General of the Japan Transport Safety Board.

He joined the International Oil Pollution Compensation Fund(s) in 1993 as the Legal

Officer, dealing with legal issues and claims management. He left the Fund(s) in 1997 to

take up higher position in Japan.

He worked for a variety of issues and in a number of areas relating to maritime affairs,

including the Japan Coast Guard (search and rescue, hydrography, policy and

international affairs), Seafarers Department, Japan Marine Accident Investigation

Agency, Japan Transport Safety Board and the National Security and Crisis Management

Office of the Cabinet Secretariat.

He worked extensively in developing national and international maritime related policy,


on bilateral and multilateral basis. He has considerable experience in consultation and

negotiation with international organizations, foreign governments and industries

including the shipping and oil industries. He also participated in a number of international

meetings including IMO and MAIIF (Marine Accident Investigators’ International Forum).

He intensively engaged in substantive administration matters: management of human

and financial resources, budget formulation and procurement, asset management,

oversight of governance in the areas for which he was responsible.

After retiring from MLIT in 2013, he worked for the Japan Maritime Centre (JMC), which

is a major research organization in the Japanese maritime community as the Executive

Director. At JMC, his assignment included the translation work of Dr. Martin Stopford’s

textbook on Maritime Economics, enhancement of cooperation with the World Maritime

University and overall supervision of the research works on various maritime issues

including the current IOPC Funds and IMO issues.

In 2013, he left JMC and assumed the position of the Senior Executive Director of the

Tokyo Metro Company Ltd.(Tokyo Metro), which is an underground railway company in

the Tokyo Metropolitan area, owned partly by the Japanese Government. At Tokyo Metro,

he served as the CFO, in charge of finance, investment and accounting of the company.

In 2019, he moved to the Air Safety Foundation (ASF), which provides safety services at

a number of Japanese airports. In January 2020, he became the President of the ASF.

He was awarded with Ph.D. from the Kansai University in 2020, for his research work on

the Marine Casualty Investigation Systems.

He has been lecturing at the (National) Kobe University (Marine Science Department)

for several years.

CAREER HISTORY

January 2020－

President, Japan Air Safety Foundation


July 2019－December 2019

Senior Managing Director, Japan Air Safety Foundation

June 2015－June 2019

Senior Managing Director, (Chief Financial Officer), Tokyo Metro Co. Ltd.

September 2013－June 2015

Executive Director, Japan Maritime Centre

September 2012－July 2013

Deputy Vice Minister for Security and Transport Safety Policy, Ministry of Land,

Infrastructure, Transport and Tourism (MLIT)

July 2009－September 2012

Director General, Japan Transport Safety Board, MLIT

October 2008－July 2009

Deputy Director General, Japan Transport Safety Board, MLIT

April 2005－October 2008

Senior Judge, Marine Accident Inquiry Agency, MLIT

July 2004－April 2005

Director of Policy Division, Administration Department, Japan Coast Guard, MLIT

July 2003－July 2004

Director of International Policy Division, Policy Bureau, MLIT


Director of Finance Division, Railways Bureau, MLIT


Director of Planning Division, Hydrographic Department, Japan Coast Guard, MLIT

June 2000－July 2001

Director General, First Business Department, Cooperation for Advanced Transport and


Technology

July 1999－June 2000

Director of International Affairs Division, Administration Department, Japan Coast

Guard, Ministry of Transport (MOT)


Cabinet Councilor (National Security and Crisis Management), Cabinet Secretariat


Legal Officer, International Oil Pollution Compensation Fund

June 1992－May 1993

Director for Foreign Seafarers Affairs, Seafarers Policy Division, Marine Technology

and Safety Bureau, MOT


Deputy Director, Policy Division, Japan Maritime Safety Agency, MOT

May 1988－June 1991

Deputy Director, Frankfurt Office, Japan National Tourism Organization

April 1978－May 1988

Deputy Director, Marine Officers Division, Seafarers Department, Marine Technology

and Safety Bureau, MOT

Deputy Director, Planning Division, Metropolitan Development Bureau, National Land

Agency

Deputy Director, Marine Pollution Division, Search and Rescue Department, Japan

Maritime Safety Agency, MOT

Overseas Researcher (University College, Imperial College London)

Officer, Legal Section, Administrative Division, Ports and Harbors Bureau, MOT

Officer, Analytical Research Planning Division, Information Department, MOT


MR. WATCHARA CHIEMANUKULKIT Maritime Attaché/ Minister Counsellor (Maritime), Alternate Permanent Representative of the Kingdom of Thailand to IMO, Royal Thai Embassy, London

WORK EXPERIENCE Mr. Chiemanukulkit has worked for the Marine Department of Thailand since April 1999 as a Ship Surveyor and was appointed to various positions, as follow;

2019 – present Maritime Attaché, Royal Thai Embassy, London

Alternate Permanent Representative of the Kingdom of Thailand to IMO

2015 – 2019 Foreign Relations Officer, Marine Department

- Responsible for all international affairs of the Marine Department, in particular IMO related matters and regional cooperations - Assist management in planning and strategy development on international issues - Organize and prepare for international events such as meetings, seminars and workshops - Liaise with personnel in foreign and domestic organizations - Attend IMO meetings i.e. Assembly, Council and Technical Cooperation meeting, and other international meetings - Cooperate with IMO and ASEAN Secretariat for all activities on maritime issues - Carry out preparatory work for IMO Member State Audit

2014 – 2015 (Dec 2014 – Sep 2015) Transport Technical Officer, Pattaya Marine Branch, Marine Department

- Implemented the pilot project, “Pattaya Model”, to enhance maritime safety in a significant tourism area


- Monitor water transport to enhance maritime safety and marine environment protection by strict law enforcement and engaging with maritime operators in the designated areas - Collaborate with local administration on implementing a pilot project on enhance maritime safety in Pattaya - Review and develop framework and action plan for the maritime safety strategy - Combating IUU fishing - Appointed as a representative of Marine regional office to the regional IUU fishing combating cooperation center to coordinate with relevant agencies on combating IUU fishing

2014 (Jan – Dec 2014) Transport Technical Officer, Maritime Promotion Bureau, Marine Department

- Study and review existing maritime promotion measures and regulations - Develop proposal to improve maritime trade promotion

2001 – 2013 Engineer, Ship Standard Bureau, Marine Department

- Carried out ship plan approval according to international and national regulations - Inspect and survey of ships - Develop national legislation to implement IMO instruments relating to maritime safety and environment protection - Occasionally perform duty as a port state control officer - Attend IMO technical meetings - Assigned to be a team member to coordinate on VIMSAS audit in 2007

EDUCATION

1998 Bachelor of Engineering (Civil), Thammasat University, Thailand

2006 Master of Business Administration, Chulalongkorn University, Thailand

2011 Bachelor of Laws (2nd Honour), Chulalongkorn University, Thailand


2018 Master of Laws in International Maritime Law with Distinction, IMO International Maritime Law Institute, Malta

Awarded the IMO Secretary-General’s Prize for Best Dissertation “Legislative Techniques for the Implementation of IMO Instruments into Domestic Legislation”

EXPERIENCE AND ACHIEVEMENT

• Attending various International Maritime Organization’s meetings since 2008,including diplomatic conference to adopt IMO conventions.

• Implementing international standards on ship safety and protection of marineenvironment

• Awarded the Outstanding Civil Servant Prize, 2010• Appointed as an auditor to the IMO Member State Audit Scheme (IMSAS)• First appointed Thailand’s Maritime Attaché


* * *

ANNEX IV

IOPC/NOV20/6/1, Annex IV, page 1

Education

o Exeter University BA Honours (Geography/Economic History)

o Chartered Accountant

Career Overview

• 1974–2001 Ernst & Young

o 12-month secondment to Ernst & Young USA 1978 (Seattle)

o 24-month secondment to National Westminster Bank, London (1982–1984)

o Admitted as partner 1986

o Retired for family reasons 2001

• Charles Taylor Consulting plc:

o Non-Executive Director & Audit Committee Chair (2000–2010)

o Consultant and Risk Committee Chair (2010–2012)

• National Maritime Museum Cornwall: Trustee & Finance Committee Chair 2005–2014

• Sutton Harbour Holdings plc:

o Non-Executive Director (2005–2013)

o Appointed Chairman in 2007

• IOPC Funds

o Appointed as external expert adviser to Audit Body (2011–present)

Career highlights with Ernst & Young

• Lead Ernst &Young partner responsibilities for:

o The Post Office/UK Government – 12 years;

o Asda Group – 7 years

o Smith & Nephew – 4 years

o Coca-Cola Beverages* – 4 years

o Capita Group* - 7 years

o Xansa* (formerly FI Group) – 6 years

o Expert witness for Serious Fraud Office and Inspector for Securities & Investments Board (1986–

1988)

*Denotes partner responsibility during flotation process

• Principal roles: overall responsibilities for co-ordination of services world-wide; liaison with and advice to

Board and Audit sub-committees; ‘signing’ responsibilities for annual accounts and all prospectus-related

reports. Experience includes advice on: preparation for public offerings and capital raising; acquisitions and

disposals; corporate governance and compliance-related obligations.

MICHAEL A KNIGHT BA FCA

BIOGRAPHICAL DETAILS

IOPC/NOV20/6/1, Annex IV, page 2

• Variety of management & client facing roles. Former including: National graduate recruitment; Audit Group

leader (120 partners and staff); Consumer Products Industry leader.

Non-Executive positions

Charles Taylor Consulting plc

I served on the Board for nine years where I chaired the Audit Committee. I also served on the remuneration and

nomination committees. In addition to formal responsibilities, I conducted a review of the management and direction

of the group at the then Chairman’s request and chaired a group reviewing the Group’s pension arrangements.

Following my retirement from the Board, I was retained as a consultant for two years where I chaired the Group’s

risk committee and advised on risk-related matters.

Sutton Harbour Holdings plc

I joined the Board of Sutton Harbour in June 2005 and retired after the Annual General Meeting in 2013. It is

Plymouth's only listed company and has interests in property regeneration, marine and transport. I was appointed

Chairman in 2007 and served on the remuneration and nomination committees. Since 2007 my principal tasks were

to: to improve the quality of corporate communications in terms of the annual report and contacts with the market

and investors; progressively to change the composition of the Non-Executive Directors by recruiting talent from

larger, nationally-focused companies; and to enhance the skills of the management team through a development

programme to facilitate the next phase of the Group’s growth. I also led the capital-raising activities in the City of

London, which facilitated the development of a new 170-berth marina, and in the disposal of the Group’s airline

subsidiary.

Financial & Business Consultancy

I have operated a financial and business consultancy since 2006 which targets West-Country based small and medium

sized enterprises with the objective of providing strategic and operational advice.

Trustee position

National Maritime Museum of Cornwall

I was asked to join the Board of Trustees by the Chairman of the Greenwich Maritime Museum as one of their

appointees. The Cornwall Museum has faced a number of financial challenges and my accounting background, plus

my West Country origins were seen as useful. I also chaired the Finance and Audit sub-committee.

election of members of the joint audit body€¦ · summary: the joint audit body of the 1992 fund...

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