Annexes to COM(2023)271 - Amendment of Directive 2009/16/EC on port State control - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2023)271 - Amendment of Directive 2009/16/EC on port State control. |
|---|---|
| document | COM(2023)271  |
| date | June 1, 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 planned32
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 countries34 | from candidate countries and potential candidates35 | 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 | ||||||||||||||||||
| Type36 | Average cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost | |
| SPECIFIC OBJECTIVE No 137… | ||||||||||||||||||
| - 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 Headquarters40 | |||||||
| - 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 framework41.
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/initiative42 | ||||||
| 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.
1OJ L 131, 28.5.2009, p. 57
2International 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).
3www.parismou.org
4Following the invasion of Ukraine, Russian Federation membership of the Paris MoU was suspended in May 2022.
5This 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.
6Directive 2013/38/EU of 12 August 2013 amending Directive 2009/16/EC on port State control (OJ L 218, 14.8.2013, p. 1)
7Directive (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)
8Directive 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)
9Directive (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)
10Regulation (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)
11Regulation (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)
12Directive (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)
13OJ L 131, 28.5.2009, p. 114
14OJ L 131, 28.5.2009, p.132
15Directive 2002/59/EC establishing a Community vessel traffic monitoring and information system (OJ L 208, 5.8.2002, p. 10)
16OJ L 208, 5.8.2002, p. 1
17OJ L 34, 9.2.1998, p. 1
18Regulation (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)
19OJ L 164, 25.6.2008, p. 19
20Such as Directive 92/43/EEC (the “Habitats Directive”), Directive 2009/147/EC (the ‘EU Birds Directive’), Directive (EU) 2019/904 (Single use Plastics Directive)
21EMSA 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.
22As 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
23OJ C , , p. .
24OJ C , , p. .
25OJ L 131, 28.5.2009, p. 57
26Directive 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).
27OJ L 123, 12.5.2016, p. 1.
28Regulation (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).
29Regulation (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.)’;
30Directive (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).’
31As referred to in Article 58(2)(a) or (b) of the Financial Regulation.
32Details 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
33Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.
34EFTA: European Free Trade Association.
35Candidate countries and, where applicable, potential candidates from the Western Balkans.
36Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).
37As described in point 1.4.2. ‘Specific objective(s)…’
38AC = Contract Staff; AL = Local Staff; END = Seconded National Expert; INT = agency staff; JPD = Junior Professionals in Delegations.
39Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).
40Mainly for the EU Cohesion Policy Funds, the European Agricultural Fund for Rural Development (EAFRD) and the European Maritime Fisheries and Aquaculture Fund (EMFAF).
41See 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.
42As 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.
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