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| dossier | COM(2023)271 - Wijziging van Richtlijn 2009/16/EG betreffende havenstaatcontrole. |
|---|---|
| document | COM(2023)271  |
| datum | 1 juni 2023 |
1.5.4.Compatibility with the Multiannual Financial Framework and possible synergies with other appropriate instruments
The proposed revision is a key deliverable of the Communication from the Commission on a Sustainable and Smart Mobility Strategy, which sets out the EU vision for the transport system of the future. The strategy announced that the Commission is planning to initiate a major review of existing legislation on flag State responsibilities, port State control and accident investigation in 2021 (under Flagship 10 - Enhancing transport safety and security).
The proposed revision will create synergies with other pieces of EU regulatory framework, notably the Directive 2009/18/EC on accident investigation and Directive 2009/21/EC on compliance with flag State requirements.
The proposal is compatible with the current Multiannual Financial Framework, although it will require reprogramming within Heading 1 as regards the annual contribution to EMSA (budgetary offsetting by a compensatory reduction of programmed spending under CEF Transport (02 03 01)). The budget impact of the current proposal is already included in the budget for the Commission proposal for a Regulation of the European Parliament and of the Council on the European Maritime Safety Agency and repealing Regulation (EC) No 1406/2002.
The budget impact beyond the current MFF is an indicative overview, without prejudice to the future MFF Agreement.
1.5.5.Assessment of the different available financing options, including scope for redeployment
The budgetary impact of this initiative refers to the additional resources necessary for the increasing role of EMSA to facilitate the PSCOs (i.e. in relation to large fishing vessels organise trainings and develope a THETIS module and a common curriculum, in relation to electronic certificates develop a validation tool and repository, and develop enhanced training tools/capacity development on new technologies, including but not limited to renewable and low carbon fuels, and automation) under the proposed Directive. These are new tasks for EMSA that will become permanent, while existing tasks will not decrease or be partly phased out. The additional need of human resources cannot be met by redeployment, while the additional budgetary needs will be met through offsetting by existing programmes managed by DG MOVE under the current multiannual financial framework.
The increase in appropriations for EMSA will be offset by a compensatory reduction of programmed spending under CEF Transport (02 03 01). The budget impact of the current proposal is already included in the budget for the Commission proposal for a Regulation of the European Parliament and of the Council on the European Maritime Safety Agency and repealing Regulation (EC) No 1406/2002.
The budget impact beyond the current MFF is an indicative overview, without prejudice to the future MFF Agreement.
1.6.Duration and financial impact of the proposal/initiative
◻ limited duration
–◻ Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY
–◻ Financial impact from YYYY to YYYY
☑ unlimited duration
–Implementation with a start-up period from YYYY to YYYY, [n.a.],
–followed by full-scale operation.
1.7.Method(s) of budget implementation planned 32
◻ Direct management by the Commission through
–◻ executive agencies
◻ Shared management with the Member States
☑ Indirect management by entrusting budget implementation tasks to:
◻ international organisations and their agencies (to be specified);
◻the EIB and the European Investment Fund;
☑ bodies referred to in Articles 70 and 71;
◻ public law bodies;
◻ bodies governed by private law with a public service mission to the extent that they are provided with adequate financial guarantees;
◻ bodies governed by the private law of a Member State that are entrusted with the implementation of a public-private partnership and that are provided with adequate financial guarantees;
◻ bodies or persons entrusted with the implementation of specific actions in the CFSP pursuant to Title V of the TEU, and identified in the relevant basic act.
Comments
Management of the proposed Directive will be done overall by the Commission services assisted by the European Maritime Safety Agency as appropriate.
Member States will be required to transpose the provisions of the Directive by the respective deadline.
2.MANAGEMENT MEASURES
2.1.Monitoring and reporting rules
Specify frequency and conditions.
The Commission will be overall accountable for implementing the proposed Directive as well as for reporting to the European Parliament and the Council on the Member States’ implementation and compliance.
The Commission has a near-real-time means of monitoring implementation of the Directive’s provisions in and by the Member States since the results of port State control inspections have to be uploaded to the THETIS database within 72 hours of the inspection. The Commission and/or EMSA can thereby monitor the THETIS database to verify that inspections are being carried out as required and that the reports are uploaded to the database. These indicators will also be monitored for inspections carried out on-board fishing vessels of above 24 meters in length by those Member States which carry out these inspections.
The Commission and/or EMSA can monitor the progress of Member States effectively on a weekly basis and the Member States know that they are being monitored if a measure becomes mandatory. The Commission in that case can take swift action to address any shortcomings, including additional technical support or training from EMSA or the Commission opening an infringement procedure.
EMSA, on behalf of the Commission, also carries out visits to Member States to verify operations on the ground.
Member States will need to have a Quality Management System (QMS) to certify their organisation, policies, processes, resources and documentation are appropriate to achieve its objectives. This will have to be certified and subsequently subject to audit every five years. Member States will have to share with Commission and/or EMSA the results of the audits carried out by the accredited body such that the PSC administration retains its QMS certification.
EMSA will carry out a horizontal analysis, giving an indication of how the legislation is functioning and identifying gaps and what can be done to address them, and report to the Commission and Member States, through among others discussions in workshops.
Lastly, ten years after the end of the implementation date of the legislation, the Commission services should carry out an evaluation to verify to what extent the objectives of the initiative have been reached.
2.2.Management and control system(s)
2.2.1.Justification of the management mode(s), the funding implementation mechanism(s), the payment modalities and the control strategy proposed
The Commission will be overall accountable for implementing the proposed Directive as well as for reporting to the European Parliament and the Council on its efficiency and implementation. The Commission will be assisted by EMSA as appropriate in providing the IT services and developing the IT tools necessary for the reporting, monitoring and verification provisions of the proposed Directive, as well as organising trainings. Member States will be required to carry out the transposition of the Directive to their national legislation by the deadline mentioned in the Directive. Enforcement activities will be carried out as part of the Port State controls.
2.2.2.Information concerning the risks identified and the internal control system(s) set up to mitigate them
While the Commission will be overall accountable for implementing the proposed Directive as well as for reporting to the European Parliament and the Council on the Member States’ implementation and compliance, the European Maritime Safety Agency will be responsible for the performance of its operation and for the implementation of its internal control framework. It will be required to develop IT tools and modules, as well as provide training to the Port State Control officers, and the Member States will be required to carry out enforcement.
EMSA is best placed to carry out reporting and assessment of compliance tasks, as this will be technical work, requiring strong expertise in data management, as well as in-depth understanding of complex technical matters related to electronic certificates and training.
Member States are best placed to carry out the enforcement of the proposed Directive, notably by continuing enforcing port state control in a harmonized way.
DG MOVE will apply the necessary controls in line with the supervision strategy adopted in 2017 on the DG's relations with decentralised agencies and JUs. Under the strategy, DG MOVE monitors performance indicators for the implementation of the budget, the audit recommendations and administrative matters. A report is provided by the Agency on a bi-annual basis. The controls performed on the supervision of the Agency as well as on the related financial and budgetary management are in accordance with DG MOVE’s Control Strategy, updated in 2022.
The additional resources put at the disposal of EMSA will be covered by EMSA’s internal control and risk management system that is aligned with the relevant international standards and includes specific controls to prevent conflict of interests and ensure the protection of whistle-blowers.
2.2.3.Estimation and justification of the cost-effectiveness of the controls (ratio of "control costs ÷ value of the related funds managed"), and assessment of the expected levels of risk of error (at payment & at closure)
Under the proposed Directive, additional financing will be provided only to EMSA, which will be required to develop IT tools and modules, as well as provide training to the national PSCOs
EMSA has full responsibility for the implementation of their budget, while DG MOVE is responsible for the regular payment of the contributions established by the Budgetary Authority. The expected level of risk of error at payment and at closure is similar to that attached to the budget subsidies provided to the Agency.
The additional tasks resulting from the proposed revision are not expected to generate specific additional controls. Therefore, the cost of control for DG MOVE (measured against the value of funds managed) is expected to remain stable.
2.3.Measures to prevent fraud and irregularities
Specify existing or envisaged prevention and protection measures, e.g. from the Anti-Fraud Strategy.
The proposed Directive contains several provisions specifically targetted at preventing fraud and irregularities. Member States will have to have a Quality Management System (QMS) to certify their organisation, policies, processes, resources and documentation are appropriate to achieve its objectives. This will have to be certified and subsequently subject to audit every five years. Member States will have to share with Commission and/or EMSA the results of the audits carried out by the accredited body such that the PSC administration retains its QMS certification. The Directive also provides that all PSC inspection reports are validated by a person (either another port State control inspector or a supervisor) other than the inspector who carried out the inspection before the inspection report is transferred to the database.
EMSA applies the anti-fraud principles of decentralised EU Agencies, in line with the Commission approach. In March 2021, the Agency adopted an updated Anti-Fraud Strategy, based on the methodology and guidance for anti-fraud strategy presented by OLAF as well as on the Anti-Fraud Strategy of DG MOVE. It provides a framework addressing the issues of prevention, detection and conditions for investigations of fraud at Agency level. EMSA continuously adapts and improves its policies and actions to promote the highest level of integrity of EMSA staff, support effective prevention and detection of fraud risk and establish the appropriate procedures to report and handle potential fraud cases and their outcome. Furthermore, EMSA adopted in 2015 its Conflict of Interest policy for the Management Board.
EMSA cooperates with the Commission services on matters relating to preventing fraud and irregularity. The Commission will ensure that this cooperation will continue and will be strengthened.
3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE
3.1.Heading(s) of the multiannual financial framework and expenditure budget line(s) affected
·Existing budget lines
In order of multiannual financial framework headings and budget lines.
| Heading of multiannual financial framework | Budget line | Type of expenditure | Contribution | |||
| Number | Diff./Non-diff. 33 | from EFTA countries 34 | from candidate countries and potential candidates 35 | From other third countries | other assigned revenue | |
| 1 | 02 10 02 | Non-diff. | YES | NO | NO | NO |
·New budget lines requested
In order of multiannual financial framework headings and budget lines.
| Heading of multiannual financial framework | Budget line | Type of expenditure | Contribution | |||
| Number | Diff./non-diff. | from EFTA countries | from candidate countries and potential candidates | from other third countries | other assigned revenue | |
| [XX.YY.YY.YY] | YES/NO | YES/NO | YES/NO | YES/NO |
3.2.Estimated impact on expenditure
3.2.1.Summary of estimated impact on expenditure
EUR million (to three decimal places)
| Heading of multiannual financial framework | 1 | Single Market, Innovation and Digital |
| European Maritime Safety Agency (EMSA) | Year 2025 | Year 2026 | Year 2027 | Year 2028-2034 | TOTAL | ||
| Title 1: | Commitments | (1) | 0.171 | 0.342 | 0.342 | 2.394 | 3.249 |
| Payments | (2) | 0.171 | 0.342 | 0.342 | 2.394 | 3.249 | |
| Title 2: | Commitments | (1a) | |||||
| Payments | (2a) | ||||||
| Title 3: | Commitments | (3a) | 0.068 | 0.479 | 0.504 | 1.778 | 2.829 |
| Payments | (3b) | 0.068 | 0.479 | 0.504 | 1.778 | 2.829 | |
| TOTAL appropriations for EMSA | Commitments | =1+1a +3a | 0.239 | 0.821 | 0.846 | 4.172 | 6.078 |
| Payments | =2+2a +3b | 0.239 | 0.821 | 0.846 | 4.172 | 6.078 |
The budget impact beyond the current MFF is an indicative overview, without prejudice to the future MFF Agreement.
Heading of multiannual financial framework | 7 | ‘Administrative expenditure’ |
EUR million (to three decimal places)
| Year N | Year N+1 | Year N+2 | Year N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | TOTAL | ||||
| DG: <…….> | |||||||||
| • Human Resources | |||||||||
| • Other administrative expenditure | |||||||||
| TOTAL DG <…….> | Appropriations |
| TOTAL appropriations under HEADING 7 of the multiannual financial framework | (Total commitments = Total payments) |
EUR million (to three decimal places)
| Year 2025 | Year 2026 | Year 2027 | Year 2028-2034 | TOTAL | |||
| TOTAL appropriations under HEADINGS 1 to 7 of the multiannual financial framework | Commitments | 0.239 | 0.821 | 0.846 | 4.172 | 6.078 | |
| Payments | 0.239 | 0.821 | 0.846 | 4.172 | 6.078 |
The budget impact beyond the current MFF is an indicative overview, without prejudice to the future MFF Agreement.
3.2.2.Estimated impact on EMSA's appropriations
–☑ The proposal/initiative does not require the use of operational appropriations
–◻ The proposal/initiative requires the use of operational appropriations, as explained below:
Amounts in EUR million (to three decimal places)
| Indicate objectives and outputs ⇩ | Year N | Year N+1 | Year N+2 | Year N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | TOTAL | ||||||||||||
| OUTPUTS | ||||||||||||||||||
| Type 36 | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost | |
| SPECIFIC OBJECTIVE No 1 37 … | ||||||||||||||||||
| - Output | ||||||||||||||||||
| - Output | ||||||||||||||||||
| - Output | ||||||||||||||||||
| Subtotal for specific objective No 1 | ||||||||||||||||||
| SPECIFIC OBJECTIVE No 2 ... | ||||||||||||||||||
| - Output | ||||||||||||||||||
| Subtotal for specific objective No 2 | ||||||||||||||||||
| TOTAL COST |
Where applicable, amounts reflect the sum of the Union contribution to the agency and other revenue of the agency (fees and charges).
3.2.3.Estimated impact on EMSA’s human resources
3.2.3.1.Summary
–◻ The proposal/initiative does not require the use of appropriations of an administrative nature
–☑ The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:
EUR million (to three decimal places) Where applicable, amounts reflect the sum of the Union contribution to the agency and other revenue of the agency (fees and charges).
| Year 2025 | Year 2026 | Year 2027 | Year 2028-2034 | TOTAL |
| Temporary agents (AD Grades) | 0.171 | 0.342 | 0.342 | 2.394 | 3.249 |
| Temporary agents (AST grades) | |||||
| Contract staff | |||||
| Seconded National Experts |
| TOTAL | 0.171 | 0.342 | 0.342 | 2.394 | 3.249 |
The budget impact beyond the current MFF is an indicative overview, without prejudice to the future MFF Agreement.
Staff requirements (FTE):
| Year 2025 | Year 2026 | Year 2027 | Year 2028-2034 | TOTAL |
| Temporary agents (AD Grades) | 2 | 2 | 2 | 2 | 2 |
| Temporary agents (AST grades) | |||||
| Contract staff | |||||
| Seconded National Experts |
| TOTAL | 2 | 2 | 2 | 2 | 2 |
The budget impact beyond the current MFF is an indicative overview, without prejudice to the future MFF Agreement.
EMSA will start preparing the recruitment as soon as the proposal is adopted. The costs are estimated based on the assumption that the 2 FTEs are recruited as of 1st July 2025. So only 50% of the HR costs are needed for the first year.
3.2.3.2.Estimated requirements of human resources for the parent DG
–☑ The proposal/initiative does not require the use of human resources.
–◻ The proposal/initiative requires the use of human resources, as explained below:
Estimate to be expressed in full amounts (or at most to one decimal place)
| Year N | Year N+1 | Year N+2 | Year N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | ||||
| ·Establishment plan posts (officials and temporary staff) | ||||||||
| 20 01 02 01 and 20 01 02 02 (Headquarters and Commission’s Representation Offices) | ||||||||
| 20 01 02 03 (Delegations) | ||||||||
| 01 01 01 01 (Indirect research) | ||||||||
| 10 01 05 01 (Direct research) | ||||||||
| • External staff (in Full Time Equivalent unit: FTE) 38 | ||||||||
| 20 02 01 (AC, END, INT from the ‘global envelope’) | ||||||||
| 20 02 03 (AC, AL, END, INT and JPD in the Delegations) | ||||||||
| Budget line(s) (specify) 39 | - at Headquarters 40 | |||||||
| - in Delegations | ||||||||
| 01 01 01 02 (AC, END, INT – Indirect research) | ||||||||
| 10 01 05 02 (AC, END, INT – Direct research) | ||||||||
| Other budget lines (specify) | ||||||||
| TOTAL |
The human resources required will be met by staff from the DG who are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.
Description of tasks to be carried out:
| Officials and temporary staff | |
| External staff |
Description of the calculation of cost for FTE units should be included in the Annex V, section 3.
3.2.4.Compatibility with the current multiannual financial framework
–☑ The proposal/initiative is compatible the current multiannual financial framework.
–☑ The proposal/initiative will entail reprogramming of the relevant heading in the multiannual financial framework.
The tasks allocated to EMSA will require reprogramming of the budget line for the annual contribution to the Agency (02 10 02) under the current multiannual financial framework. The increase in appropriations for EMSA will be offset by a compensatory reduction of programmed spending under CEF Transport (02 03 01) under the current multiannual financial framework. The budget impact beyond the current MFF is an indicative overview, without prejudice to the future MFF Agreement.
–◻ The proposal/initiative requires application of the flexibility instrument or revision of the multiannual financial framework 41 .
Explain what is required, specifying the headings and budget lines concerned and the corresponding amounts.
3.2.5.Third-party contributions
–The proposal/initiative does not provide for co-financing by third parties.
–The proposal/initiative provides for the co-financing estimated below:
EUR million (to three decimal places)
| Year N | Year N+1 | Year N+2 | Year N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | Total | |||
| Specify the co-financing body | ||||||||
| TOTAL appropriations co-financed |
3.3.Estimated impact on revenue
–☑ The proposal/initiative has no financial impact on revenue.
–◻ The proposal/initiative has the following financial impact:
on own resources
on other revenue
please indicate, if the revenue is assigned to expenditure lines
EUR million (to three decimal places)
| Budget revenue line: | Appropriations available for the current financial year | Impact of the proposal/initiative 42 | ||||||
| Year N | Year N+1 | Year N+2 | Year N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | ||||
| Article …………. |
For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected.
Specify the method for calculating the impact on revenue.
(1) OJ L 131, 28.5.2009, p. 57
(2) International rules include the International Convention for the Safety of Life at Sea (SOLAS 74), the International Convention for the Prevention of Pollution from Ships (MARPOL 73/78), Standards of Training, Certification and Watchkeeping (STCW), the International Convention on Load Lines, 1966 and the Convention on the International Regulations for Preventing Collisions at Sea, 1972 (COLREG 72).
(3) www.parismou.org
(4) Following the invasion of Ukraine, Russian Federation membership of the Paris MoU was suspended in May 2022.
(5) This is a system hosted and developed by EMSA which enables Member States to provide and receive information on ships and their hazardous cargoes. It provides, among others, the identification, position and status of a ship; times of departure and arrival; incidents reports, details on hazardous cargoes.
(6) Directive 2013/38/EU of 12 August 2013 amending Directive 2009/16/EC on port State control (OJ L 218, 14.8.2013, p. 1)
(7) Directive (EU) 2017/2110 of 15 November 2017 on a system of inspections for the safe operation of ro-ro passenger ships and high-speed passenger craft in regular service and amending Directive 2009/16/EC and repealing Council Directive 1999/35/EC (OJ L 315, 30.11.2017)
(8) Directive 2009/20/EC of the European Parliament and of the Council of 23 April 2009 on the insurance of shipowners for maritime claims (OJ L 131, 28.5.2009, p.128)
(9) Directive (EU) 2019/883 of the European Parliament and of the Council of 17 April 2019 on port reception facilities for the delivery of waste from ships, amending Directive 2010/65/EU and repealing Directive 2000/59/EC (OJ L 151, 7.6.2019, p. 11)
(10) Regulation (EU) No 1257/2013 of the European Parliament and of the Council of 20 November 2013 on ship recycling and amending Regulation (EC) No 1013/2006 and Directive 2009/16/EC (OJ L 330, 10.12.2013, p. 1)
(11) Regulation (EU) 2015/757 of the European Parliament and of the Council of 29 April 2015 on the monitoring, reporting and verification of carbon dioxide emissions from maritime transport, and amending Directive 2009/16/EC (OJ L 123, 19.5.2015, p. 55)
(12) Directive (EU) 2016/802 of the European Parliament and of the Council of 11 May 2016 relating to a reduction in the sulphur content of certain liquid fuels (codification) (OJ L 132, 21.5.2016, p.58)
(13) OJ L 131, 28.5.2009, p. 114
(14) OJ L 131, 28.5.2009, p.132
(15) Directive 2002/59/EC establishing a Community vessel traffic monitoring and information system (OJ L 208, 5.8.2002, p. 10)
(16) OJ L 208, 5.8.2002, p. 1
(17) OJ L 34, 9.2.1998, p. 1
(18) Regulation (EC) No 391/2009 on common rules and standards for ship inspection and survey organisations (OJ L 131, 28.5.2009, p.11) and Directive 2009/15/EC on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations (OJ L131, 28.5.2009, p.47)
(19) OJ L 164, 25.6.2008, p. 19
(20) Such as Directive 92/43/EEC (the “Habitats Directive”), Directive 2009/147/EC (the ‘EU Birds Directive’), Directive (EU) 2019/904 (Single use Plastics Directive)
(21) EMSA carries out such visits under Article 3 of Regulation (EC) No 1406/2002 establishing a European Maritime Safety Agency as part of its core tasks; therefore, no additional costs are expected to arise.
(22) As provided for in the EMSA Methodology for visits to Member States, http://emsa.europa.eu/implementation-tasks/visits-and-inspections/items.html?cid=89&id=3065
(23) OJ C , , p. .
(24) OJ C , , p. .
(25) OJ L 131, 28.5.2009, p. 57
(26) Directive 2009/21/EC of the European Parliament and of the Council of 23 April 2009 on compliance with flag State requirements (OJ L 131, 28.5.2009, p. 132).
(27) OJ L 123, 12.5.2016, p. 1.
(28) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(29) Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations (OJ L 131, 28.5.2009, p.11.)’;
(30) Directive (EU) 2019/883 of the European Parliament and of the Council of 17 April 2019 on port reception facilities for the delivery of waste from ships (OJ L 151, 7.6.2019, p. 116).’
(31) As referred to in Article 58(2)(a) or (b) of the Financial Regulation.
(32) Details of budget implementation methods and references to the Financial Regulation may be found on the BUDGpedia site: https://myintracomm.ec.europa.eu/corp/budget/financial-rules/budget-implementation/Pages/implementation-methods.aspx
(33) Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.
(34) EFTA: European Free Trade Association.
(35) Candidate countries and, where applicable, potential candidates from the Western Balkans.
(36) Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
(37) As described in point 1.4.2. ‘Specific objective(s)…’
(38) AC = Contract Staff; AL = Local Staff; END = Seconded National Expert; INT = agency staff; JPD = Junior Professionals in Delegations.
(39) Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).
(40) Mainly for the EU Cohesion Policy Funds, the European Agricultural Fund for Rural Development (EAFRD) and the European Maritime Fisheries and Aquaculture Fund (EMFAF).
(41) See Articles 12 and 13 of Council Regulation (EU, Euratom) No 2093/2020 of 17 December 2020 laying down the multiannual financial framework for the years 2021 to 2027.
(42) As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net amounts, i.e. gross amounts after deduction of 20 % for collection costs.
Top
EUROPEAN COMMISSION
Brussels, 1.6.2023
COM(2023) 271 final
ANNEXES
to the
Proposal for a Directive of the European Parliament and of the Council
amending Directive 2009/16/EC on port State control
{SEC(2023) 202 final} - {SWD(2023) 148 final} - {SWD(2023) 149 final}
ANNEX I
‘I. Ship Risk profile
The risk profile of a ship shall be determined by a combination of the following generic, historical, and environmental parameters.
1. Generic parameters
(a)Type of ship
Passenger ships, oil and chemical tankers, gas carriers and bulk carriers shall be considered as posing a higher risk.
(b)Age of ship
Ships of more than 12 years old shall be considered as posing a higher risk.
(c)Flag State performance
(i)Ships flying the flag of a State with a high detention rate within the Community and the Paris MOU region shall be considered as posing a higher risk.
(ii)Ships flying the flag of a State with a low detention rate within the Community and the Paris MOU region shall be considered as posing a lower risk.
(iii)Ships flying the flag of a State which has ratified all of the mandatory IMO instruments listed in Article 2(1) shall be considered as posing a lower risk. As soon as the measures referred to in Article 10(3) are adopted, the flag State of such a ship shall demonstrate compliance with the Code for the implementation of mandatory IMO instruments.
(iv)Ships flying the flag of a State which has furnished electronic versions of the statutory certificates set out in points 1-XX of Annex IV.
(d)Recognised organisations
(i)Ships which have been delivered certificates from recognised organisations having a low or very low performance level in relation with their detention rates within the Community and the Paris MOU region shall be considered as posing a higher risk.
(ii)Ships which have been delivered certificates from recognised organisations having a high performance level in relation with their detention rates within the Community and the Paris MOU region shall be considered as posing a lower risk.
(iii)Ships with certificates issued by organisations recognised under the terms of Regulation (EC) No 391/2009.
(e)Company performance
(i)Ships of a company with a low or very low performance as determined by its ships' deficiency and detention rates within the Community and the Paris MOU region shall be considered as posing a higher risk.
(ii)Ships of a company with a high performance as determined by its ships' deficiency and detention rates within the Community and the Paris MOU region shall be considered as posing a lower risk.
(f)Historical parameters
(i)Ships which have been detained more than once shall be considered as posing a higher risk.
(ii)Ships which, during inspection(s) carried out within the period referred to in Annex II have had less than the number of deficiencies referred to in Annex II, shall be considered as posing a lower risk.
(iii)Ships which have not been detained during the period referred to in Annex II, shall be considered as posing a lower risk.
The risk parameters shall be combined by using a weighting which reflects the relative influence of each parameter on the overall risk of the ship in order to determine the following ship risk profiles:
–high risk,
–standard risk,
–low risk.
In determining these risk profiles greater emphasis shall be given to the parameters for type of ship, flag State performance, recognised organisations and company performance.
(g)Environmental parameters
(i)The Carbon Intensity Indicator of the ship, ships which are category D-E shall be considered as posing a higher risk.
(ii)Ships which, during inspection(s) carried out within the period referred to in Annex II have had less than the number of deficiencies relating to MARPOL, AFS, BWMC, CLC 92, Bunkers Convention and Nairobi Conventions referred to in Annex II, shall be considered as posing a lower risk.
ANNEX II
DESIGN OF SHIP RISK PROFILE
(referred to in Article 10(2))
| Profile | |||||||
High Risk Ship (HRS) | Standard Risk Ship (SRS) | Low Risk Ship (LRS) | |||||
Generic parameters | Criteria | Weighting points | Criteria | Criteria | |||
| 1 | Type of ship | Chemical tankship Gas carrier Oil tankship Bulk carrier Passenger ship | 1 | neither a high risk nor a low risk ship | All types | ||
| 2 | Age of ship | all types > 12 y | 1 | All ages | |||
| 3a | Flag | Low performance | 2 | High performance | |||
| 3b | All IMO instruments listed in Article 2 ratified | - | - | Yes | |||
| 3c | E-Certificate | Statutory certificates are transmitted digitally to the information system | |||||
| 4a | Recognised organisation | Performance | H | - | - | High | |
| M | - | - | - | ||||
| L | Low | 1 | - | ||||
| VL | Very Low | - | |||||
| 4b | EU recognised | - | - | Yes | |||
| 5 | Company | Performance | H | - | - | High | |
| M | - | - | - | ||||
| L | Low | 2 | - | ||||
| VL | Very low | - | |||||
| Historical parameters | |||||||
| 6 | Number of deficiencies recorded in each inspection within previous 36 months | Deficiencies | >6 in one of the inspections | - | ≤ 5 in every individual inspection (and at least one inspection carried out in previous 36 months) | ||
| 7 | Number of detentions within previous 36 months | Detentions | ≥ 2 detentions | 1 | No detention | ||
| Environmental parameters | |||||||
| 8 | Carbon Intensity Indicator (CII) | Rating | D-E | 1 | |||
| 9 | Number of deficiencies related to MARPOL, AFS, BWM, CLC 92, Bunkers and Nairobi Conventions recorded in each inspection within previous 36 months | Deficiencies | >3 in one of the inspections | 1 |
HRS are ships which meet criteria to a total value of 5 or more weighting points. LRS are ships which meet all the criteria of the Low Risk Parameters.
SRS are ships which are neither HRS nor LRS
ANNEX III
‘Annex IV
LIST OF CERTIFICATES AND DOCUMENTS
(referred to in Article 13(1))
Part A List of certificates and documents which to the extent applicable should be checked as a minimum during the inspection referred to in paragraph 2.2.3 (as appropriate):
1.International Tonnage Certificate;
2.Reports of previous port State control inspections;
3.Passenger Ship Safety Certificate (SOLAS 1974, regulation I/12);
4.Cargo Ship Safety Construction Certificate (SOLAS 1974, regulation I/12);
5.Cargo Ship Safety Equipment Certificate (SOLAS 1974, regulation I/12);
6.Cargo Ship Safety Radio Certificate (SOLAS 1974, regulation I/12);
7.Cargo Ship Safety Certificate (SOLAS 1974, regulation I/12);
8.Exemption Certificate (SOLAS 1974, regulation I/12);
9.Minimum Safe Manning Document (SOLAS 1974, regulation V/14.2);
10.International Load Line Certificate (1966) (LLC 66/88, article 16.1);
11.International Load Line Exemption Certificate (LLC 66/88, article 16.2);
12.International Oil Pollution Prevention Certificate (MARPOL Annex I, regulation 7.1);
13.International Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in Bulk (NLS) (MARPOL, Annex II, regulation 9.1);
14.International Sewage Pollution Prevention Certificate (ISPPC) (MARPOL, Annex IV, regulation 5.1, MEPC.1/Circ.408);
15.International Air Pollution Prevention Certificate (IAPPC) (MARPOL, Annex VI, regulation 6.1);
16.International Energy Efficiency Certificate (MARPOL, Annex VI regulation 6);
17.International Ballast Water Management Certificate (IBWMC) (BWMC Art 9.1(a) and regulation E-2);
18.International Anti-Fouling System Certificate (IAFS Certificate) (AFS 2001 Annex 4 regulation 2);
19.Declaration on AFS (AFS 2001 Annex 4 regulation 5);
20.International Ship Security Certificate (ISSC) or Interim International Ship Security Certificate (ISPS Code part A/19 and appendices);
21.Certificates for masters, officers or ratings issued in accordance with STCW Convention (STCW art. VI, regulation I/2 and STCW Code section A-I/2);
22.Copy of Document of Compliance or a copy of the Interim Document of Compliance issued in accordance with the International Management Code for the Safe Operation of Ships and for Pollution Prevention (DoC) ISM Code (SOLAS regulation IX/4.2, ISM Code, paragraph 13 and 14);
23.Safety Management Certificate or an Interim Safety Management Certificate issued in accordance with the International Management Code for the Safe Operation of Ships and for Pollution Prevention (SMC) (SOLAS 1974, regulation IX/4.3, ISM Code, paragraph 13 and 14);
24.International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk, or the Certificate of Fitness for the Carriage of Liquefied Gases in Bulk, whichever is appropriate (IGC Code regulation 1.5.4 or GC Code regulation 1.6);
25.International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk, or the Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk, whichever is appropriate (IBC Code regulation 1.45.4 and BCH Code regulation 1.6.3); 26 INF (International Code for the Safe Carriage of Packaged Irradiated Nuclear Fuel, Plutonium and High-Level Radioactive Wastes on Board Ships) Certificate of Fitness (SOLAS regulation VII/16 and INF Code reg .1.3);
26.INF (International Code for the Safe Carriage of Packaged Irradiated Nuclear Fuel, Plutonium and High-Level Radioactive Wastes on Board Ships) Certificate of Fitness (SOLAS regulation VII/16 and INF Code reg .1.3);
27.Certificate of insurance or any other financial security in respect of civil liability for oil pollution damage (CLC 69/92 art. VII.2);
28.Certificate of insurance or any other financial security in respect of civil liability for Bunker oil pollution damage (BUNKERS 2001 art. 7.2);
29.Certificate of Insurance or other Financial Security in respect of Liability for the Removal of Wrecks (Removal of Wreck Article 12);
30.High-Speed Craft Safety Certificate and Permit to Operate High-Speed Craft (SOLAS 1974, regulation X/3.2 and HSC Code 94/00 regulations 1.8.1 and 1.9);
31.Document of compliance with the special requirements for ships carrying dangerous goods (SOLAS 1974, regulation II-2/19.4);
32.Document of authorization for the carriage of grain and grain loading manual (SOLAS 1974, regulation VI/9; International Code for the Safe Carriage of Grain in Bulk, section 3);
33.Condition Assessment Scheme (CAS) Statement of Compliance, CAS Final Report and Review Record (MARPOL Annex I, regulations 20 and 21; resolution MEPC.94(46), as amended by resolutions MEPC.99(48), MEPC.112(50), MEPC.131(53), resolution MEPC.155(55), and MEPC.236(65);
34.Continuous Synopsis Record (SOLAS 1974, regulation XI-1/5);
35.Oil Record Book, parts I and II (MARPOL, Annex I, regulations 17 and 36);
36.Cargo Record Book (MARPOL, Annex II, regulation 15);
37.Garbage Record Book, parts I and II (MARPOL, Annex V, regulation 10.3); (MARPOL, Annex V, regulation 10);
38.Garbage Management Plan (MARPOL, Annex V, regulation 10; resolution MEPC.220(63));
39.Logbook and the recordings of the tier and on/off status of marine diesel engines (MARPOL, Annex VI, regulation 13.5.3);
40.Logbook for fuel oil changeover (MARPOL Annex VI, regulation 14.6);
41.Ozone-depleting Substances Record Book (MARPOL, Annex VI, regulation 12.6);
42.Ballast Water Record Book (BWRB) (BWMC Art 9.1 (b) and regulation B-2);
43.Fixed gas fire-extinguishing systems – cargo spaces Exemption Certificate and any list of cargoes (SOLAS 1974, regulation II-2/10.7.1.4);
44.Dangerous goods manifest or stowage plan (SOLAS 1974, regulations VII/4 and VII/7-2; MARPOL, Annex III, regulation 54);
45.For oil tankers, the record of oil discharge monitoring and control system for the last ballast voyage (MARPOL, Annex I, regulation 31.2);
46.Search and Rescue cooperation plan for passenger ships trading on fixed routes (SOLAS 1974, regulation V/7.3);
47.For passenger ships, List of operational limitations (SOLAS 1974, regulation V/30.2);
48.Nautical charts and nautical publications (SOLAS 1974, regulations V/19.2.1.4 and V/27);
49.Records of hours of rest and table of shipboard working arrangements (STCW Code section A-VIII/1.5 and 1.7, ILO Convention No.180 art. 5.7, art. 8.1 and MLC, 2006 Standard A.2.3.10 and A.2.3.12);
50.Unattended machinery spaces (UMS) evidence (SOLAS 1974, regulation II-I/46.3);
51.Certificates required under Directive 2009/20/EC of the European Parliament and of the Council of 23 April 2009 on the insurance of shipowners for maritime claims;
52.Certificate required under Regulation (EC) No 392/2009 of the European Parliament and of the Council of 23 April 2009 on the liability of carriers of passengers by sea in the event of accidents;
53.A certificate on the inventory of hazardous materials or a statement of compliance as applicable pursuant to Regulation (EU) No 1257/2013 of the European Parliament and of the Council; and
54.Document of Compliance issued under Regulation (EU) 2015/757 of the European Parliament and of the Council of 29 April 2015 on the monitoring, reporting and verification of carbon dioxide emissions from maritime transport, and amending Directive 2009/16/EC.
Part B List of other certificates and documents which to the extent applicable are required to be on board (as appropriate):
1.Construction drawings (SOLAS reg. II-1/3-7);
2.Ship Construction File (SOLAS reg. II-1/3-10);
3.Manoeuvring Booklet and information (SOLAS reg. II-1/28);
4.Stability information (SOLAS regs. II-1/5 and II-1/5-1 and LLC 66/88 reg. 10);
5.Subdivision and stability information (MARPOL Annex I reg. 28);
6.Damage control plans and booklets (SOLAS reg. II-1/19; MSC.1/Circ.1245)
7.Ship Structure Access Manual (SOLAS reg. II-1/3-6);
8.Enhanced Survey Report Files (in case of bulk carriers or oil tankers) (SOLAS reg. XI-1/2 and 2011 ESP Code paragraphs 6.2 and 6.3 of annex A, part A and part B, and annex B, part A and part B);
9.Cargo Securing Manual (SOLAS reg. VI/5.6 and VII/5; MSC.1/Circ.1353/Rev.1);
10.Bulk Carrier Booklet (SOLAS reg. VI/7.2 and XII/8, BLU Code);
11.Loading/Unloading Plan for bulk cargoes (SOLAS reg. VI/7.3);
12.Cargo Information (SOLAS reg. VI/2 and XII/10, MSC/Circ.663);
13.Fire control plan/booklet (SOLAS reg. II-2/15.2.4 and II-2/15.3.2);
14.Fire safety operational booklet (SOLAS reg. II-2/16.2);
15.Fire safety training manual (SOLAS reg. II-2/1 5.2.3);
16.Training manual (SOLAS reg. III/35);
17.Onboard training, drills and maintenance records (SOLAS reg.II-2/15.2.2.5 and reg. III/19.3 and III/19.5 and III/20.6 and III/20.7);
18.Ship-specific Plans and Procedures for Recovery of Persons from the Water (SOLAS reg. III/17-1; MSC.346(91); MSC.1/Circ.1447);
19.Decision support system for masters (Passenger ships) (SOLAS reg. III/29);
20.International Code of Signals and a copy of Volume III of IAMSAR Manual (SOLAS reg. V/21);
21.Records of navigational activities (SOLAS reg. V/26 and V/28.1);
22.Ship Security Plan and associated records (SOLAS reg. XI-2/9 and ISPS Code part A/9 and 10);
23.Engine International Air Pollution Prevention Certificate (EIAPPC) (NOX Technical Code 2008 reg. 2.1.1.1);
24.EEDI Technical File (MARPOL Annex VI, reg. 20);
25.Technical files (NOX Technical Code 2008 reg. 2.3.4);
26.Record book of engine parameters (NOX Technical Code reg. 2.3.7);
27.Type approval certificate of incinerator (MARPOL Annex VI reg. 16.6);
28.Manufacturer's Operating Manual for Incinerators (MARPOL Annex VI reg. 16.7);
29.Fuel oil Changeover Procedure for fuel oil changeover (MARPOL Annex VI reg. 14.6);
30.30 Bunker delivery notes and Representative Sample (MARPOL Annex VI reg. 18.6 and 18.8.1);
31.Shipboard Oil Pollution Emergency Plan (MARPOL Annex I reg. 37.1; resolution MEPC.54(32), as amended by resolution MEPC.86(44));
32.Shipboard Marine Pollution Emergency Plan for Noxious Liquid Substances (MARPOL Annex II reg. 17);
33.Ship Energy Efficiency Management Plan (MARPOL Annex VI reg. 22, MEPC.1/Circ795);
34.STS Operation Plan and Records of STS Operations (MARPOL Annex I reg. 41);
35.Procedures and Arrangements Manual (chemical tankers) (MARPOL Annex II reg. 14.1; resolution MEPC.18(22), as amended by resolution MEPC.62(35));
36.VOC Management Plan (MARPOL Annex VI reg. 15.6);
37.Ballast Water Management Plan (BWMP) (BWMC reg. B-1, resolution MEPC.127(53))
38.LRIT Conformance Test Report (SOLAS reg. V/19-1.6; MSC.1/Circ.1307);
39.Copy of the Certificate of compliance issued by the testing facility, stating the date of compliance and the applicable performance standards of VDR (voyage data recorder) (SOLAS reg. V/18.8);
40.AIS test report (SOLAS reg. V/18.9, MSC.1/Circ.1252);
41.Noise Survey Report (SOLAS reg. II-1/3-12);
42.Oil Discharge Monitoring and Control (ODMC) Operational Manual (MARPOL Annex I reg. 31; resolution A.496(XII); resolution A.586(14), as amended by resolution MEPC.24(22); resolution MEPC.108(49), as amended by resolution MEPC.240(65));
43.Crude Oil Washing Operation and Equipment Manual (MARPOL Annex I reg. 35, resolution MEPC.81(43));
44.Material Safety Data Sheets (MSDS) (SOLAS reg. VI/5-1, MSC.286(86));
45.Record of AFS (AFS 2001 Annex 4 reg. 2);
46.Coating Technical File (SOLAS reg. II-1/3-2); and
47.Maintenance plans (SOLAS reg. II-2/14.2.2, II-2/14.3 and II-2/14.4).
For reference:
1.Certificate of Registry or other document of nationality (UNCLOS art. 9.1.2);
2.Certificates as to the ship's hull strength and machinery installations issued by the classification society in question (only to be required if the ship maintains its class with a classification society);
3.Cargo Gear Record Book (ILO Convention No.32 art. 9.2(4) and ILO Convention No.152 art. 25);
4.Certificates loading and unloading equipment (ILO Convention No.134 art. 4.3(e) and ILO Convention No.32 art. 9(4));
5.Medical certificates (ILO Convention No.73 or MLC, 2006 Standard A1.2);
6.Records of hours of work or rest of seafarers (ILO Convention No.180 part II art. 8.1 or MLC, 2006, Standard A.2.3.12);
7.Maritime Labour Certificate (MLC, 2006, Regulation 5.1.3);
8.Declaration of Maritime Labour Certificate (MLC, 2006, Regulation 5.1.3);
9.Declaration of Maritime Labour compliance (DMLC) on board (parts I and II) (MLC, 2006, Regulation 5.1.3);
10.Seafarer's employment agreements (MLC, 2006, Standard A 2.1);
11.Certificate of Insurance or Financial Security for Repatriation of Seafarers (MLC, 2006, Regulation 2.5); and
12.Certificate of Insurance or Financial Security for Shipowners liability (MLC, 2006, Regulation 4.2).’
ANNEX IV
‘ANNEX VI
PROCEDURES FOR THE CONTROL OF SHIPS
(referred to in Article 15(1))
Annex I, ‘Port State Control Procedures’, to the Paris MOU and the following instructions from the Paris MOU, in their up-to-date version:
PSCC Technical instructions
–PSCC41-2008-07 Code of Good Practice
–PSCC53-2020-08 Definitions and Abbreviations
General Paris MoU
–PSCC54-2021-03 Type of inspection
–PSCC55-2022-10 Detention and Action Taken
–PSCC55-2022-08 Model forms
–PSCC52-2019-05 Operational control
–PSS43-2010-11 Flag State Exemptions
–PSCC48-2015-09 RO responsibility
–PSCC51 Stopping an operation
–PSCC49-2016-11 Black-out test
–PSCC53-2020-06 Refusal of Access (Banning)
–PSCC50-2017-12 Structure bulk carriers/oil tankers
–PSCC43-2010-06 Dry Docking
–PSCC53-2020-11 Allowing for a single voyage to a repair yard for "accidental damage" deficiencies
SOLAS Convention
–PSCC55-2022-09 ISM Code
–PSCC54-2021-02 ISPS Code
–PSCC51-2018-12 ECDIS
–PSCC43-2010-32 VDR (Voyage Date Recorders)
–PSCC43-2010-09 Material Safety Data Sheets
–PSCC43-2010-21 GMDSS
–PSCC44-2011-16 Lifeboat on-load release hooks
–PSCC45-2012-10 Damage stability on tankers
–PSCC55-2022-05 LRIT
–PSCC43-2010-28 Thickness measurements ESP/CAS
–PSCC43-2010-29 Thickness measurement
–PSCC51-2018-11 Polar Code
–PSCC55-2022-02 IGF Code
MARPOL Convention
–PSCC46-2013-18 MARPOL Annex I OWS
–PSCC43-2010-39 MARPOL Annex II Stripping
–PSCC47-2014-08 MARPOL Annex III IMDG
–PSCC55-2022-07 MARPOL Annex IV Sewage
–PSCC52-2019-07 MARPOL Annex V Garbage
–PSCC55-2022-11 MARPOL Annex VI Air Pollution
–PSCC43-2010-38 Crude oil washing
–PSCC44-2011-20 MARPOL Investigation
–International Load Line Convention
–PSCC54-2021-06 International Load Line Convention
AFS Convention
–PSCC47-2014-13 Anti Fouling Systems
Bunkers Convention
–PSCC43-2010-08 Bunker Convention
–Certification of Seafarers and Manning
–PSCC54-2021-04 Certification of Seafarers and Manning (STCW, MLC and SOLAS)
–Ballast Water Management Convention
–PSCC51-2018-09 Ballast Water Management Convention
ILO Conventions
–PSCC52-2019-10 Maritime Labour Convention 2006 (MLC)
–PSCC53-2020-14 Hours of Work or Rest and fitness for duty’
ANNEX V
‘ANNEX VIII
PROVISIONS CONCERNING REFUSAL OF ACCESS TO PORTS AND ANCHORAGES WITHIN THE COMMUNITY
(referred to in Article 16)
(1)If the conditions described in Article 16(1) are met, the competent authority of the port in which the ship is detained for the third time shall inform the master of the ship in writing that a refusal of access order will be issued which will become applicable immediately after the ship has left the port. The refusal of access order shall become applicable immediately after the ship has left the port after the deficiencies leading to the detention have been remedied.
(2)The competent authority shall send a copy of the refusal of access order to the flag State administration, the recognised organisation concerned, the other Member States, and the other signatories to the Paris MOU, the Commission and the Paris MOU Secretariat. The competent authority shall also update the inspection database with information on the refusal of access without delay.
(3)In order to have the refusal of access order lifted, the owner or the operator must address a formal request to the competent authority of the Member State that imposed the refusal of access order. This request must be accom panied by a document from the flag State administration issued following an on-board visit by a surveyor duly authorised by the flag State administration, showing that the ship fully conforms to the applicable provisions of the Conventions. The flag State administration shall provide evidence to the competent authority that a visit on board has taken place.
(4)The request for the lifting of the refusal of access order must also be accompanied, where appropriate, by a document from the classification society which has the ship in class following an on-board visit by a surveyor from the classification society, showing that the ship conforms to the class standards stipulated by that society. The classification society shall provide evidence to the competent authority that a visit on board has taken place.
(5)The refusal of access order may be lifted only after the period referred to Article 16 of this Directive has elapsed and the company must address a formal request to the port State authority of the Member State that imposed the ban and provide the documents requested in paragraphs 3 and 4
(6)Such a request including the required documents must be submitted to the banning State at least one month before the end of the ban period. If this deadline is not met, then a delay may occur of up to one month after the banning State received the request
(7)The information system will add an overriding factor to the ship and the ship will be indicated liable for the inspection type “Expanded inspection” at next call at port/anchorage in the region.
(8)The competent authority shall also notify its decision in writing to the flag State administration, the classification society concerned, the other Member States, the other signatories to the Paris MOU, the Commission and the Paris MOU Secretariat. The competent authority must also update the inspection database with information on the removal of the access without delay.
(9)Information relating to ships that have been refused access to ports within the Community must be made available in the inspection database and published in conformity with the provisions of Article 26 and of Annex XIII.’
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