COMMISSION STAFF WORKING DOCUMENT Ex-Ante Evaluation for establishing a Programme to support further development towards an Integrated Maritime Policy  Accompanying document to the   Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL concerning the establishment of a Programme to support the Integrated Maritime Policy
Date: 2010-09-29
Institutions: European Commission
Subjects: access to information, coastal protection, development plan, environmental protection, fishery management, management of resources, maritime area, maritime surveillance, shipping policy

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EUROPEAN COMMISSION 

Brussels, 29.09.2010 
SEC(2010) 1097 final 

COMMISSION STAFF WORKING DOCUMENT 

Ex-Ante Evaluation for establishing a Programme to support further development 
towards an Integrated Maritime Policy 

Accompanying document to the 

Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE 
COUNCIL concerning the establishment of a Programme to support the Integrated 
Maritime Policy 

{COM(2010) 494 final} 

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1. 

PROCEDURAL ISSUES 

1.1. 

Preparation and Organisation 

In line with the Commission's Practical Guide of December 2001 for Preparing Proposals for 
Expenditure  Programmes1,  the  preparation  and  co-ordination  of  the  ex  ante  evaluation  for 
establishing an EU Programme to support the further development of an Integrated Maritime 
Policy  (IMP)  was  carried  out  by  an  internal  DG  MARE  steering  group,  including  members 
from the responsible operational Unit (Maritime Policy Unit, A1), the geographical Maritime 
Policy Units, as well as the DG MARE evaluation and financial and budget Units.  

2. 

BACKGROUND 

2.1. 

Introduction and Policy background 

On 10 October 2007, the Commission adopted the Communication on an Integrated Maritime 
Policy  for  the  European  Union  –COM(2007)  575  (''Blue  Paper'').  This  Communication 
advocated  the  need  for  the  development  and  implementation  of  an  integrated,  coherent  and 
overarching  approach  to  the  governance  of  the  oceans,  seas  and  coasts.  In  particular,  the 
Integrated  Maritime  Policy  aims  to  achieve  the  following  overarching  objectives:  (1)  to 
promote integration of governance structures by making them more inclusive and cooperative; 
(2)  to  build  the  knowledge  base  and  cross  cutting  tools  necessary  to  enable  the 
implementation of integrated policies; (3) to improve the quality of sectoral policies, through 
an active search for synergies and increased coherence across sectors; (4) in implementing all 
the above, to take account of specificities of the regional seas around Europe, through tailor-
made solutions. 

The Action Plan accompanying the Communication on An Integrated Maritime Policy for the 
Union  –  SEC(2007)  1278  sets  out  a  number  of  actions  that  the  European  Commission 
proposed  to  take  as  a  first  step  in  implementing  a  new,  integrated  maritime  policy  for  the 
European  Union.2  Following  the  invitation  of  the  European  Council  of  14  December  2007 
which endorsed the EU Integrated Maritime Policy3, the Commission adopted on 15 October 
2009  a  Progress  Report  on  the  EU's  Integrated  Maritime  Policy  –COM(2009)  540.  In  this 
Progress  Report,  the  Commission  summed  up  the  main  achievements  of  the  Integrated 
Maritime  Policy  and  charted  the  course  for  its  next  implementation  phase.4  This  progress 
report was accompanied by a Commission Staff Paper5 which presented in details the progress 
made so far on the items of the Action Plan adopted in October 2007. 

A  continued  modest  financial  underpinning  is  needed  to  enable  the  EU  to  implement  and 
further develop the Integrated Maritime Policy and to pursue the overarching objectives as set 

1 

2 

3 
4 

5 

European Commission Ex Ante Evaluation – A Practical Guide for Preparing Proposals for Expenditure 
Programmes of 10 December 2001. 
The Communication on an Integrated Maritime Policy for the European Union was accompanied by its 
own  Impact  Assessment  (SEC  (2007)  1279)  and  a  Report  on  the  results  of  a  broad  stakeholder 
consultation (COM (2007) 574 final). 
Presidency Conclusions of the European Council on 14 December 2007 – Doc. 16616/1/07 REV 1. 
Commission  Progress  Report  on  the  EU's  Integrated  Maritime  Policy  –  COM  (2009)  540  final  of 
15.10.2009, p. 2. 
SEC (2009) 1343 of 15.10.2009. 

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out in the Commission's Blue Paper of October 2007 and confirmed in the Progress Report of 
October 2009. This financing will enable the Commission, together with Member States and 
stakeholders, to continue exploratory work relating to options for the further development and 
concretisation of the policy, in particular through pilot actions and studies, along the lines set 
out  in  the  Progress  Report  of  15  October  2009.6  At  the  same  time,  the  financing  will  also 
serve to further develop exchanges of best practice, improved governance arrangements and 
dialogue with and among stakeholders. 

In its conclusions of 16 November 2009, the General Affairs Council welcomed the progress 
made  so  far,  as  set  out  in  the  Progress  Report  of  the  Commission,  and  highlighted  the 
importance of funding for the further development and implementation of the IMP by inviting 
"the Commission to present the necessary proposals for the financing of integrated maritime 
policy  actions  within  the  existing  Financial  Perspective,  with  a  view  to  entry  into  force  by 
2011". 7 

2.2. 

Problem Definition  

The  further  development  and  implementation  of  an  Integrated  Maritime  Policy  (IMP) 
during  the  period  of  2011  till  2013  will  not  be  possible  because  of  a  lack  of  financial 
means to support the necessary actions.  

Preparatory  actions,  pilot  projects,  studies,  and  stakeholder  dialogue  are  instrumental  in 
assessing  the  feasibility  and  helping  to  prepare  proposals  for  further  activities  aimed  at 
implementing the IMP. The IMP is a new policy, with a broad mandate, based on the Blue 
Paper adopted in 2007. Progress so far has been good, as set out in the Progress report of 15 
October 2009, and welcomed by the Council on 16 November.  

As  it  is  clear  from  the  Progress  Report  and  the  accompanying  working  document,  while  in 
some areas, such as governance arrangements in Member States, changes have already been 
implemented by Member States which increase the ability of Member States and the Union to 
deal  in  a  coherent  fashion  with  matters  relating  to  the  sustainable  development  of  coastal 
regions  and  maritime  sectors,  in  other,  more  complex  and  more  technical  fields,  such  as 
surveillance of the sea, maritime spatial planning or the observation of the natural state of the 
sea,  further  work  of  concretisation  of  options  for  future  policy  design  is  necessary.  For  this 
purpose, to date, a number of activities, including preparatory actions and pilot projects have 
been  launched  to  develop  and  implement  the  IMP,  particularly  in  support  of  the  Integrated 
Maritime Policy cross-cutting instruments such as Maritime Spatial Planning and Integrated 

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7 

The  financial  support  to  the  Integrated  Maritime  Policy  will  also  serve  to  continue  exploratory  work 
relating to options for the further development and concretisation of the policy set out in details in the 
following  Communications:  Communication  on  Guidelines  for  an  Integrated  Approach  to  Maritime 
Policy: Towards best practice in integrated maritime governance and stakeholder consultation - COM 
(2008)  395  of  26.06.2008,  Communication  on  a  Roadmap  for  Maritime  Spatial  Planning:  Achieving 
common principles in the EU - COM(2008) 791 of 25.11.2008, Communication on the European Union 
and  the  Arctic  Region  -  COM(2008)  763  of  20.11.2008,  Communication  on  the  European  Union 
Strategy  for  the  Baltic  Sea  Region  -  COM(2009)248  of  10.06.2009,  Communication  "Towards  an 
Integrated  Maritime  Policy  for  better  governance  in  the  Mediterranean''  -  COM  (2009)466  of 
11.09.2009, Communication "Towards the integration of maritime surveillance: A common information 
sharing environment for the EU maritime domain - COM(2009)538 of 15.10.2009, Communication on 
developing  the  international  dimension  of  the  Integrated  Maritime  Policy  of  the  European  Union  - 
COM(2009) 536 of 15.10.2009.  
GAERC Council Conclusions on Integrated Maritime Policy - Doc. 15175/1/09 (para. 17, page. 6). 

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Coastal  Zone  Management,  Integrated  Maritime  Surveillance  and  Marine  Knowledge  and 
Data. These actions are first steps, and on their own will not suffice to concretise the policy 
options further in an appropriate fashion. 

Developing  and  implementing  further  the  Integrated  Maritime  Policy,  requires  the 
continuation  of  the  operational  work  along  the  path  already  initiated  on  the  basis  of 
preparatory  actions  and  pilot  projects.  To  continue  supporting  such  measures  and  activities 
which  further  contribute  significantly  to  the  achievement  of  its  overarching  objective  and 
goals, budgetary resources need to be allocated.  

Until now, IMP actions have been financed on the basis of Article 49 (6) (a) and (b) of the 
Financial Regulation, and Article 32 of its Implementing Rules which provide for the funding 
of pilot schemes and preparatory actions.8 However, funding for further financing Integrated 
Maritime Policy actions for the period 2011-2013 is insufficient, and thus achieving the given 
objectives  is  put  in  question  and  endangered.  Maritime  Policy  related  pilot  projects  and 
preparatory  actions  based  on  the  Financial  Regulation  provisions  on  pilot  schemes  and 
preparatory  actions  are  to  be  exhausted  at  the  end  of  2010.  Thus,  pilot  schemes  and 
preparatory actions relating to the Integrated Maritime Policy can be financed only until the 
end of 2010. 

Therefore, a minimum of financial support for actions and activities aimed at implementing 
the Integrated Maritime Policy for the period from 2011 to 2013 that is until the end of the 
current Financial Perspective, is necessary.  

2.3. 

Objectives 

2.3.1.  General Objective 

The  objective  of  the  Programme  is  to  provide  the  legal  basis  and  to  ensure  a  sound  and 
adequate  financial  base  for  supporting  measures  intended  to  further  promoting  the 
development  and  implementation  of  the  Integrated  Maritime  Policy  and  contributing 
significantly to the achievement of its core overarching objectives, including the promotion, at 
EU  and  international  level,  of  integrated  maritime  governance  and  coherent  and  joined  up 
decision-making  in  relation  to  the  oceans,  seas,  coastal  regions  and  maritime  sectors  (duly 
taking  into  account  the  rationale  of  the  Integrated  Maritime  Policy  as  a  policy  coordinating 
existing sectoral approaches and creating new initiatives in areas only where a genuine cross-
sectoral approach is needed9). 

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Council  Regulation  (EC,  Euratom)  No  1995/2006  of  13  December  2006  amending  Regulation  (EC, 
Euratom) No 1605/2002 on the Financial Regulation applicable to the general budget of the European 
Communities  (OJ  L  390/2006  of  30  December  2006),  hereinafter  referred  to  as  'the  Financial 
Regulation'  and  Commission  Regulation  (EC,  Euratom)  No  478/2007  of  23  April  2007  amending 
Regulation  (EC,  Euratom)  No  2342/2002  of  23.12.2002  laying  down  detailed  rules  for  the 
implementation  of  Council  Regulation  (EC,  Euratom)  No  1605/2002  on  the  Financial  Regulation 
applicable to the general budget of the European Communities.  
This  rationale  is  set  out  in  particular  in  the  Impact  Assessment  accompanying  COM(2007)  575  (see 
footnote 2). 

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2.3.2. 

Specific objectives 

Actions  and  activities  financed  by  the  proposed  Programme  will  aim  to  help  achieve  the 
following specific objectives10: 

– 

– 

– 

– 

– 

– 

– 

further  development  and  implementation  of  integrated  maritime  governance  and 
integrated approaches within Member States and coastal regions;  

speedy  and  sound  implementation  of  integrated  sea  basin  strategies  around  Europe 
tailored to the needs of each maritime region;  

further development and implementation of cross-cutting tools for integrated policy-
making  including  a  European  Marine  Observation  and  Data  Network,  a  common 
information  sharing  environment  for  the  EU  maritime  domain,  Maritime  Spatial 
Planning and Integrated Coastal Zone Management; 

further defining in the years the boundaries of sustainability of human activities that 
have an impact on the marine environment, in the framework of the Marine Strategy 
Framework Directive, paying due attention to their cumulative impacts on the basis 
of the ecosystem approach; 

promotion  of  the  international  dimension  of  the  Integrated  Maritime  Policy  by 
improving and fostering dialogue, cooperation and coordination with third countries, 
including those bordering a European sea basin, or actors in third countries, as well 
as with international partners and organisations on the Integrated Maritime Policy; 

putting renewed focus on sustainable economic growth, employment and innovation; 

raising the visibility of Maritime Europe, and promoting and facilitating the sharing 
of information, the exchange of best practices, the exploitation and reinforcement of 
synergies  and  dialogue  with  and  among  stakeholders  on  maritime  governance  and 
sectoral  policies  that  have  an  impact  on  the  oceans,  seas  and  coasts,  or  the 
establishment  of  cross-sectoral  cooperation  platforms  and  networks  at  a  horizontal 
and at sea-basin level. 

2.3.3.  Operational objectives 

The operational objectives of the proposed Programme should be the following: 

1. 

Promoting  an  integrated  approach  at  all  levels  of  maritime  governance 
through structural dialogue with Member States and coastal regions and 
improving  stakeholder 
in  maritime  governance  by 
organising  specific  events,  setting-up  network  platforms  and  hosting 
tools that promote communication and feedback. 

involvement 

2. 

Laying  the  foundations  of  sea-basin  strategies  by  providing  better 
information,  identifying  legal  options  for  achieving  basin  objectives, 

10 

Commission  Progress  Report  on  the  EU's  Integrated  Maritime  Policy  –  COM(2009)  540  final  of 
15.10.2009, p. 11-12 and Commission Action Plan accompanying the Communication on an Integrated 
Maritime Policy for the European Union – SEC(2007) 1278 of 10 October 2007. 

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assessing the economic, social and environmental impact of these options 
and monitoring progress in implementing action plans. 

3.  Developing  prototype  marine  spatial  plans  in  cross-border  areas  and 
supporting development of Integrated Coastal Zone Management. 

4. 

5. 

6. 

7. 

8. 

Identifying  technical  and  legislative  solutions  for  better  maritime 
surveillance  as  proposed  in  the  draft  Roadmap  for  the  establishment  of 
the Common Information Sharing Environment. 

Improving  marine  knowledge  and  data  by  setting  up  (a)  a  catalogue  of 
European  marine  data  collections  with  common 
formats  and 
nomenclature, (b) a set of complete interoperable layers for European sea 
basins,  including  the  land-sea  interface,  showing  where  data  is  being 
collected,  and  where  the  gaps  are,  and  providing  seamless  quality-
checked data layers (gridded or polygons) for unrestricted public access, 
(c) a user-driven process that determines priorities for the collection and 
assembly  of  marine  data  (d)  a  data  network  which  contributes  to,  and 
builds on, the data for the assessment and monitoring as required by the 
Marine  Strategy  Framework  Directive  (e.g.  physical,  biological, 
chemical,  human  uses  of  the  seas,  etc  and  (e)  supporting  a  network  of 
interoperable coastal information systems;  

Promoting  and  fostering  integrated  maritime  policy  with  international 
partners through specific workshops, seminars, events and conferences; 

Supporting actions to define the boundaries of sustainability of maritime 
activities through the implementation of the MSFD, such as for instance 
through  the  coordination  between  the  different  marine  regions  in 
implementing  the  ecosystem  approach,  the  further  development  of 
methodological  standards  on  good  environmental  status,  studies  on 
marine litter and the so-called plastic soup and supportive action for pilot 
project regions; 

Supporting sustainable economic growth, employment and innovation by 
actions  aimed  at  unlocking  the  growth  and  employment  potential  in  the 
maritime  economy,  promoting  clean  shipping  and  the  upgrading  of 
seafarers’ competences; 

9. 

enhancing maritime visibility through the European Atlas of the Seas; 

2.4. 

Available Policy Options 

2.4.1.  No specific action 

Preserving the status quo and taking no action, in terms of not financing actions and activities 
on  the  Integrated  Maritime  Policy  for  the period  2011-2013,  would  mean  failing  to  achieve 
the  given  specific  and  operational  objectives,  and  hence  the  general  objective  of  the 
Programme will not be achieved. This, in turn, would imply that the Commission would not 
deliver on the policy objectives set out in the Blue Paper of 2007, confirmed in the progress 
report of 2009 and endorsed by the Council on 16 November 2009: 

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– 

– 

The development of integrated maritime governance11 and speedy and sound 
implementation of the sea basin strategies adopted by the Commission would 
be undermined12. This, in turn, would have a negative impact on the progress in 
promoting  communication  amongst  stakeholders  and  their  robust  and 
constant involvement in the maritime policy-making and governance structure.  

There  would  be  no  progress 
implementation of cross-cutting tools for integrated policy-making; 

the  further  development  and 

towards 

(i)  There  would  be  no  improvement  towards  the  establishment  of  an 
integrated approach to surveillance of the EU maritime domain as set 
out  in  the  Commission  Communication  on  the  integration  of  maritime 
surveillance of 15 October 200913 namely through a common information 
sharing  environment  which  will  be  based  on  a  comprehensive  and 
coherent  technical  framework  for  interoperability  and  future  integration 
of existing maritime surveillance systems across EU borders and sectors 
aimed at facing the challenges, threats and unlawful activities carried out 
at sea14;  

(ii)  The  further  development  and  implementation  of  the  integrated  coastal 
zone  management  as  well  as  the  development  of  maritime  spatial 
planning  along  the  lines  of  the  Commission  Communication  on  a 
Roadmap  for  Maritime  Spatial  Planning15,  both  of  which  provide  a 
fundamental  tool  for  eco-system  based  management  and  sustainable 
development  of  marine  and  coastal regions while unleashing  significant 
potential for investments would be put at risk and, at least, significantly 
slowed down; 

(iii)  The  opportunity  costs  represented  by  the  present  fragmented  marine 
knowledge  and  data  infrastructure  would  continue.  An  impact 
assessment  in  200916  indicated  that  the  present  fragmentation  increases 
the cost of using data by €250 m illion per year and limits opportunities 
for  innovation  and  business  expansion  worth  at  least  another  €60-€200 
million  per  year.  Over-engineering  to  cope  with  uncertainties  in  future 
ocean  behaviour  costs  at  least  €100  million  per  year  for  sea-defences 
alone.  Preparatory  actions  currently  underway  will  not  in  themselves 
provide  sufficient  information  for  a  properly-informed  decision  to  be 

11 

12 

13 

14 

15 
16 

Commission  Communication  on  Guidelines  for  an  Integrated  Approach  to  Maritime  Policy:  Towards 
best  practice  in  integrated  maritime  governance  and  stakeholder  consultation  –  COM(2008)  395  of 
26.6.2008. 
Commission  Communication  "Towards  an  Integrated  Maritime  Policy  for  better  governance  in  the 
Mediterranean - COM (2009)466 of 11.09.2009, Commission Communication on the European Union 
and the Arctic Region – COM(2008) of 20.11.2008 and Commission Communication on the European 
Union Strategy for the Baltic Sea Region – COM(2009) 248 of 10.06.2009.  
Commission  Communication  ‘Towards  the  integration  of  maritime  surveillance:  A  common 
information sharing environment for the EU maritime domain’- COM (2009) 538 final of 15.10.2009. 
See also the Commission’s Communication examining the creation of a European Border Surveillance 
System  (Eurosur)  which  is  highly  relevant  in  the  context  of  integrated  maritime  surveillance  - 
COM(2008) 68 final. 
COM(2008) 791 of 25.11.2008. 
Impact Assessment Board Reference Number 2009/MARE/003. 

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made  in  2013  as  to  how  to  create  a  sustainable  marine  knowledge 
infrastructure; 

(iv)  Lack of awareness of the sea would continue to hamper growth. Despite 
the  seas'  importance  for  trade,  defence,  leisure,  energy  and  the 
environment,  Europe  is  failing  to  take  advantage  of  new  opportunities 
arising from advances in maritime technologies and marine research. The 
European  Atlas  of  the  Seas  (MARATLAS)  aims  to  improve  matters  by 
increasing public awareness of the sea, clarifying the spatial dimension of 
EU  policies  with  an  impact  on  the  sea  and  developing  the  identities  of 
individual  sea-basins.  Assembling  and  maintaining  its  quality-checked 
map-layers  and  keeping  them  topical  as  the  seas  change  and  as  the  EU 
policies evolve will not happen without a continuous effort beyond 2010; 

– 

The  promotion  of  the  international  dimension  of  the  Integrated  Maritime 
Policy  announced  in  the  Commission  Communication  on  developing  the 
international  dimension  of  the  Integrated  Maritime  Policy  of  the  European 
Union17  and  especially  the  cooperation,  coordination  and  dialogue  with  third 
countries,  international  partners  and  organisations  on  the  Integrated  Maritime 
Policy and other maritime issues would be put at risk or, at least, significantly, 
slowed  down.  This  would  certainly  have  an  negative  impact  on  achieving  an 
authentic  sustainable  governance  of  our  oceans  and  seas  and  also  on 
influencing the international maritime affairs agenda; 

2.4.2.  Modest EU financial contribution  

The  present  stage  of  the  IMP  policy  design  makes  it  necessary  to  further  develop  and 
concretise  options,  while  allowing  first  steps  of  implementation  in  relation  to  a  number  of 
limited  goals,  in  particular  in  relation  to  governance  actions.  In  particular,  a  modest  EU 
financial intervention could contribute significantly to the achievement of the following IMP 
objectives, priorities and goals as outlined in section 2.3 and set out in the Blue Paper of the 
Commission of October 2007, and confirmed in the Progress Report on the  EU's Integrated 
Maritime Policy of 15 October 2009. 

2.4.2.1.  Integrated Maritime Governance 

On 26 October 2008, the Commission adopted the Communication on the "Guidelines for an 
Integrated Approach to Maritime Policy".18 This Communication advocates the need for the 
promotion of integrated governance throughout the  EU  and  establishes  principles  which  are 
commonly  perceived  in  maritime  governance, including  leadership  at  the  national  level,  the 
role  of  the  regions  and  stakeholder  involvement.  Moreover,  the  Integrated  Maritime  Policy 
Progress Report, adopted by the Commission in October 200919, identifies the enhancement 
of integrated maritime governance as one of the six strategic directions during the next phase 
of the IMP. 

In this context, EU financial intervention could contribute to the following actions which are 
also set out in the IMP Progress Report: 

17 
18 
19 

COM(2009) 536 of 15.10.2009. 
COM (2008) 395 of 26.06.08. 
COM(2009) 540 final of 15.10.2009 

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– 

– 

– 

integrated  approach 

to  sea-related  affairs  within 

encouraging  Member  States  and  other  players  to  take  steps  towards  adopting 
their  governance 
an 
frameworks,  facilitating  cooperation  and  coordination  at  all  level  of  maritime 
government,  intensifying  structural  dialogue  with  Member  States  and  coastal 
regions  through  decentralised  events  and  increasing  the  ability  of  Member 
States to deal in a coherent fashion with matters relating to the governance of 
the  ocean  and  seas  and  the  sustainable  development  of  coastal  regions  and 
maritime  sectors;  this  will  ensure  upstream  policy  integration  and  coherent, 
joined up agendas for maritime affairs; 

Promoting  broad  and  permanent  involvement  of  stakeholders  in  maritime 
policy-making and enshrining it more permanently in governance structures;  

Intensifying  stakeholder  dialogue  and  robust  multi-stakeholder  interactions, 
and  fostering  the  creation  of  cross-sectoral  stakeholder  communication 
platforms  on  maritime  affairs  as  specifically  proposed  in  the  IMP  Progress 
Report;  

–  Maintaining an internet maritime forum set up in 2009 with a view to allowing 
stakeholders to be aware of marine and maritime information and activities and 
to exchange and disseminate their own views and best practice.; 

2.4.2.2.  Activities in relation to the sea basins 

1. 

The Mediterranean sea-basin  

The Mediterranean sea-basin and its specificities call for a joint effort across the basin for the 
improvement of the management of the marine space and coastal areas. The General Affairs 
Council  of  the  EU  in  its  Conclusions  of  16.11.2009  welcomed  the  IMP  approach  for  the 
Mediterranean  and  has  called  for  further  dialogue  and  co-operation  on  the  improvement  of 
governance of the marine space and coastal areas in the Mediterranean.20  

The  actions  undertaken  and  promoted  as  proposed  in  the  Commission  Communication 
"Towards an Integrated Maritime Policy for better governance in the Mediterranean - COM 
(2009) 466 of 11.09.2009 will not necessarily be sufficient to fulfill its objectives.  

In this context, EU financial intervention on the basis of test projects and preparatory actions 
could contribute to achieving the following objectives of the Communication: 

– 

– 

Fostering  the  development  and  implementation  of  integrated  governance  of 
maritime and coastal affairs in the Mediterranean; 

In  the  context  of  the  Marine  Strategy  Framework  Directive,  and  building  on 
experience  in  Integrated  Coastal  Zone  Management,  enabling  Mediterranean 
Member  States  and  regional  authorities  (coastal  regions  in  particular)  to  test 
possibilities  for  further  cross-border  co-operation  in  the  management  of  their 
marine sub-region and define appropriate mechanisms for integrated maritime 
policy-making at their levels. This will enable the development and testing of 
integrated strategies at sub-regional level, and obtain the first concrete results 

20 

Council Conclusions on Integrated Maritime Policy - Doc. 15175/1/09 (para. 17, page. 4). 

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as to what are the challenges at stake, what lessons may be learnt and to what 
extent can such an example be taken up in other Mediterranean sub-regions;  

Enabling  Mediterranean  Member  States  to  address  specific  needs  at  national 
level  (e.g.  island  concerns,  or  particular  problems  in  coastal  areas  linked  to 
tourism and the need for further economic growth) through Integrated Coastal 
Zone  Management  practices  and  other  approaches  complementary  with 
existing provisions of key regional conventions – the Barcelona Convention for 
the  General  Fisheries 
the  protection  of 
Commission for the Mediterranean; 

the  marine  environment  and 

Enabling Mediterranean Member States to address particular needs that require 
co-operating  with  neighbouring  Member  States  or  third  countries  present  in 
specific sub-regions (e.g. in the appropriate management of marine resources in 
shared sea areas); 

Enabling  Mediterranean  Member  States  to  be  able  to  address  wider  maritime 
concerns  and  conflicts  at  multilateral/regional  fora,  e.g.  maritime  safety 
considerations,  and  preservation  of 
through 
cooperation  on  the  high  seas,  allowing  for  maximising  linkages  between 
existing international and regional conventions active in the region; 

the  marine  environment 

Allowing  for  the  creation  of  appropriate  networks  across  the  Mediterranean 
that  enable  the  sharing  of  information,  exchanges  of  best  practice,  and 
involvement of stakeholders from the entire basin. 

– 

– 

– 

– 

2. 

The Black Sea 

With the accession of Bulgaria and Romania to the EU in January 2007 and the ongoing pre-
accession process with Turkey, the EU has strengthened its commitment to fostering further 
cooperation  in  the  region,  through  the  Black  Sea  Synergy  initiative  officially  launched  in 
2008. Sector partnerships are being established in three crucial sectors: environment, transport 
and energy.  

The  Danube  Strategy  currently  being  developed  upon  the  request  of  the  Council,  in  its 
conclusion of 19 June 2009 will equally seek to address the impacts of the Danube on delta 
and possibly the coastal zones of the Black Sea.  

In  the  next  phase,  the  EU  Integrated  Maritime  Policy  shall  seek,  where  appropriate,  to 
contribute to these objectives and key initiatives.  

3. 

The Atlantic sea-basin  

The Atlantic Ocean is the second largest of the world's oceanic divisions and its circulation 
exerts  the  primary  influence  on  Europe's  climate.  During  the  next  phase  of  the  Integrated 
Maritime Policy implementation, EU financial intervention would contribute to: 

– 

setting  up  a  structured  dialogue  with  the  other  maritime  states  and  territories 
that share the North Atlantic basin – primarily the United States, Canada and 
Greenland; 

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– 

identifying  and  resolving  issues  of  concern  in  those  linked  but  separate  seas 
that wash the westernmost shores of the European continent that together make 
up  the  north  east  Atlantic.  The  Iberian  coast,  the  Bay  of  Biscay,  the  English 
Channel,  the  Irish  Sea  and  the  Celtic  Seas  are  well-recognised  waters  with 
specific  identities  but  different  priorities.  This  will  be  done  by  listening  to 
stakeholder concerns, promoting dialogue between them, supporting proposals 
for  common  management  and  planning  of  the  maritime  space,  setting  up 
targets and indicators and identifying how EU instruments can best contribute 
to meeting these targets.; 

4. 

The Arctic  

The  Commission  Communication21  on  the  'European  Union  and  the  Arctic  Region'  of  20 
November 2008 defined 50 specific  proposals for action. These are largely a more efficient 
channelling  of  existing  resources  towards  the  particular  challenges  of  the  Arctic.  The 
integrated maritime policy will provide support to these actions by opening a more structured 
communication  channel  with  indigenous  peoples  and  assessing  the  costs  and  benefits  of 
different options for implementation. 

5. 

The Outermost Regions 

Maritime  policy  is  one  of  the  four  areas  for  action  identified  by  the  2008  Communication 
"Outermost  Regions:  an  asset  for  Europe"22  which  proposes  a  change  of  paradigm  from 
"handicapped regions" to “regions of opportunity”. Waters such as the Caribbean and Indian 
Ocean  are  very  different  to  those  surrounding  the  European  continent.  Within  the  maritime 
policy  efforts  will  be  made  to  identify  the  applicability  of  new  emerging  maritime 
technologies in the particular waters around outermost regions. 

6. 

The Baltic Sea and the North Sea 

EU  financial  intervention  would  contribute  to  supporting  regional  implementation  of  the 
Integrated  Maritime  Policy  in  the  Baltic23  and  North  Sea  basins,  by  allowing  for 
commissioning  studies,  organisation  of  stakeholder  forums,  and  setting  up  of  structured 
dialogue  and  co-operation  with  coastal  States  outside  the  EU  (Russian  Federation  and 
Norway).  Such  activities  would  provide  the  Commission  with  expert  advice  on  identifying 
issues  of  common  concern  in  the  respective  sea  basins,  assessing  actions  taking  place  and 
identifying options for future action. 

2.4.2.3.  Tools for Integrated Policy-Making 

1. 

Integrated Maritime Surveillance  

In  its  Communication  on  the  Integrated  Maritime  Policy  for  the  European  Union,  the 
European  Commission  undertook  to  "take  steps  towards  a  more  interoperable  surveillance 
system  to  bring  together  existing  monitoring  and  tracking  systems  used  for  maritime  safety 

21 
22 
23 

COM(2008) 763 of 20.11.08. 
COM (2008) 642 of 24.10.08. 
COM(2009) 248 of 10.6.2009. The EU Strategy for the Baltic Sea region was adopted by the GAERC 
Council on 26 October 2009 and by the European Council on 30 October 2009. 

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and  security,  protection  of  the  marine  environment,  fisheries  control,  control  of  external 
borders and other law enforcement activities." 24 

The  General  Affairs  Council  of  8  December  2008  encouraged  the  Commission  to  work 
towards interoperability between national and Community systems so as to increase the cost 
effectiveness  of  maritime  surveillance  operations.  This  approach  towards  further  integration 
of maritime surveillance was confirmed in the roadmap for the development of the European 
Border Surveillance System (EUROSUR), which foresees the gradual creation of a Common 
Information  Sharing  Environment  for  the  EU  maritime  domain,25
  as  well  as  in  the  recent 
updating of the Community vessel traffic monitoring and information system.26 

The General Affairs Council of the EU in its Conclusions of 17.11.2009, supported the idea of 
establishing an integrated approach to maritime surveillance, through a common information 
sharing environment in order to promote more interoperability and make best use of existing 
systems on a cross-sectoral basis.27 It also urged the Commission, in close cooperation with 
the Member States, to improve coordination between different sectors in the field of maritime 
surveillance,  and  to  give  priority  to  the  development  of  a  general  framework,  including 
common  standards  and  protocols  to  ensure  efficient  and  cost-effective  interoperability  and 
adaptability  of  existing  systems,  taking  into  account  the  international  standards  being 
developed for information sharing amongst different sectors, where appropriate, as well as the 
experiences gained from relevant projects and research. The Commission was also called to 
present to the Council a Roadmap, including a step by step approach, for the development and 
implementation of the common information sharing environment, before the end 2010, to be 
further detailed in 2011 to take into account the results from several cross sectoral and cross-
border  projects  and  R&D  projects  in  particular  the  pilot  projects  and  lessons  learnt  from 
ESDP operations. 

It is on that basis that the integrated maritime surveillance architecture will be built. Since all 
those surveillance systems already exist or will become operational in the immediate future as 
a result, in most cases, of EU initiative, the approach will be to focus on the development of 
common standards to ensure their interoperability, while in parallel addressing legal obstacles 
in the unhindered exchange of maritime surveillance information.  

Against this background, EU financial contribution, on the basis of studies conducted through 
public  procurements  contracts  and/or  administrative  agreement  with  the  Joint  Research 
Centre, aimed at developing an Integrated Maritime Surveillance28 will be necessary for: 

24 
25 

26 

27 

28 

COM (2007) 575 final of 10.10.2007, 6. 
COM(2008) 68 final of 13.2.2008, 9. Report on Progress made in developing EUROSUR, Commission 
staff working paper, SEC(2009)1265final of 24.09.2009. 
Directive  2009/17/EC  amending  Directive  2002/59/EC  establishing  a  Community  monitoring  and  
 information system, OJ L131, 28 5 2009, 101. Equally relevant is Regulation (EC) No 725/2004 of 31  
 March 2004 on enhancing ship and port facility security, OJ L129, 29.4.2004, 6. 
Council Conclusions on Integrated Maritime Policy of 16 November 2009 - Doc. 15175/1/09 (para. 17, 
page. 4) and Council Conclusions on Integration of Maritime Surveillance of 17 November 2009 - Doc. 
15176/2/09. 
The  Commission’s  Communication  ‘Towards  the  integration  of  maritime  surveillance:  A  common 
information sharing environment for the EU maritime domain’- COM (2009) 538 final of 15.10.2009 
lays  down  four  guiding  principles  towards  the  development  of  the  integrated  maritime  surveillance 
backbone,  i.e.  the  Common  Information  Sharing  Environment:  (i)  An  approach  interlinking  all  user 
communities,  (ii)  Building  a  technical  framework  for  interoperability  and  future  integration,  (iii) 
Information exchange between civilian and military authorities, (iv) Specific legal provisions.  

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– 

– 

– 

strengthening  the  maritime  surveillance  information  sharing  among  the 
different  sectoral  authorities  at  national  and  EU  level,  enhancing  the  users' 
maritime  awareness  picture.  The  benefits  to  flow  from  this  process  will 
positively affect national security, maritime security and safety, the protection 
of  the  marine  environment,  border  control  and,  in  general,  law  enforcement 
because national authorities will have more information, notably that collected 
for other purposes, to carry out their duties; 

ensuring  a  unity  of  effort  across  entities  with  maritime  interests  by  avoiding 
duplications in the collection of information and thereby considerably reducing 
the financial costs for all actors involved. This rationalisation will benefit end 
users and diminish implementation burden on Member States.  

the  common  information  sharing  environment  will  ensure  that  EU  systems 
collecting maritime surveillance data are interconnected by means of the most 
appropriate technical solutions; 

The Communication on the Integrated Maritime Policy for the European Union states that the 
Community  system  SafeSeaNet  (SSN)  should  be  used  by  all  relevant  communities  and  be 
developed  further  to  function  as  the  main  platform  for  information  exchange  in  the  EU 
maritime  domain  with  regard  to  port  arrival  and  departure  notifications,  notifications  of 
dangerous  goods,  maritime  security  notifications,  incident  and  accident  information,  AIS, 
LRIT and pollution monitoring. 

The  evolution  of  SSN  is  therefore  linked  with  the  establishment  of  an  efficient  integrated 
maritime  surveillance  architecture,  particularly  in  view  of  necessary  improvements  to  the 
system in order to ensure access for other categories of users.  

On  that  basis  the  EU  financial  contribution  will  be  necessary  in  order  to  asses  the  legal 
implications  and  technical  impact  of  opening  up  SSN  to  other  users,  particularly  in  the 
context of the impact analysis for the revision of the relevant Community legislation29.  

2. 

Maritime Spatial Planning (MSP) and Integrated Coastal Zone Management (ICZM) 

Maritime  spatial  planning  and  Integrated  Coastal  Zone  Management  provide  fundamental 
tools  for  eco-system  based  management  and  sustainable  development  of  marine  areas  and 
coastal regions.30 EU financial intervention will be necessary for: 

– 

– 

the continued development, implementation and sharing of practical experience 
of MSP and ICZM at EU level;  

contributing to a common approach to MSP and ICZM, which is necessary for 
it to be effective in a cross-border context; It thus helps to avoid or minimise 
conflicts and hence reduces the cost of non-coordination; 

29 

30 

Directive 2002/59/EC establishing a Community vessel traffic monitoring and information system, as 
amended 
Commission  Progress  Report  on  the  EU's  Integrated  Maritime  Policy  –  COM(2009)  540  final  of 
15.10.2009, p. 6. 

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– 

– 

– 

– 

demonstrating in concrete terms an MSP process in specified seas that is shared 
by two or more Member States, including coherence to on-shore planning and 
coastal zone management activities where appropriate; 

contributing  to  the  development  of  MSP  methodologies,  expertise  and 
conceptual  understanding  of  MSP  in  the  Member  States,  and  model  common 
approaches  and  recommendations,  by  testing in  practice  the key  principles  of 
MSP that are needed to regulate multiple uses from multiple perspectives. This 
will promote the idea of building-up a platform on MSP experts; 

serving to continue the dialogue among responsible authorities and concerned 
stakeholders  on  a  cross-border,  cross-sectoral  basis.  This  will  promote  cross-
border cooperation on MSP and ICZM and enhance transparency; 

contributing  to  the  development  of  common  approaches  in  the  sea  basins 
shared  with  third  countries,  which  will  be  a  building  block  for  continued 
cooperation  and  in  order  to  avoid  conflicts  in  a  later  stage,  providing 
opportunities  for  EU  Member  States  to  learn  from  experiences  in  non-EU 
countries. 

3. 

Marine Knowledge and Data 

It  is  now  well-known  that  the  rhythms  and  cycles  of  the  marine  world  influence  human 
activity  in  a  multitude  of  ways.  The  magnitude  of  future  changes  in  oceanic  systems,  their 
impact  on  human  activity  and  the  feedbacks  on  the  ocean  from  these  changes  in  human 
behaviour cannot be forecast without understanding the way the system works now and how it 
worked  in  the  past.  Scientists,  regulators  and  commercial  bodies  need  reliable  observations 
and data if they are to contribute towards a sustainable development of the maritime economy 

The challenge is to develop a system that will allow a  better identification of  what is being 
collected,  that  will  facilitate  access  to  coherent data sets, that will permit the recognition of 
data gaps and that will shape a data collection and monitoring infrastructure directly suited to 
multiple applications 

The EU financial intervention will build on what has been achieved in the preparatory actions 
and  take  further  steps  towards  the  comprehensive  and  coherent  marine  data  and  knowledge 
base. In particular, as indicated in the specific impact assessment undertaken in 200916, such 
an intervention will contribute to: 

– 

ensuring a better marine data measurement infrastructure which is a necessary 
condition for reducing uncertainty in the sea's behaviour for those working on 
marine  and  maritime  matters  by  facilitating 
the  sharing,  re-use  and 
dissemination of marine data and knowledge to industry, public authorities and 
the  research  EU.  Reducing  the  uncertainty  in  sea-level  rise  by  25%  alone 
would save public authorities approximately €100 million per year 31. This will 
allow  more  certainty  for  business  and  public  authorities  in  planning  for  the 
future;  

31 

The final version of the Impact Assessment on the European Marine Observation and Date Network is 
under preparation following comments of the Impact Assessment Board in November 2009. 

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14 

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– 

– 

– 

– 

– 

promoting and increasing competition amongst users of marine data for value 
added  products  delivered  from  the  available  data.  Under  non-restrictive 
conditions,  more  public  and  private  operators  will  find  it  easier  to  enter  the 
market for the development of added value products. This will provide wider 
access  to  quality-checked,  rapidly-available  coherent  marine  data  and  hence 
stimulate  the  development  of  new  innovative  services  whereas  it  may  also 
increase largely employment in the private sector; 

increasing operational efficiency by reducing operational costs and delays for 
those who use marine data. This, in turn, will increase productivity, stimulate 
research and innovation and render the users of the data more competitive;  

assisting Member States to meet obligations to the Marine Framework Strategy 
Directive 2008/56/EC of 17 June 2008 under conditions of better knowledge of 
the coverage of the present observation network32; 

promoting  synergies  between  efforts  at  an  European  level  with  those 
undertaken by international partners; 

providing  operational  experience  and  sufficient  information  that  is  needed  if 
the  Commission  is  to  decide  whether  and  how  to  move  forward  with  a  fully 
operational European Marine Observation and Data Network (EMODNET). 

2.4.2.4.  Promoting  Europe's  Leadership  in  International  Maritime  Affairs  International 

dimension of the IMP 

The Commission Communication on developing the international dimension of the Integrated 
Maritime Policy33 sets up the means to promote Europe's leadership in international maritime 
affairs,  enhance  the  impact  of  the  EU  at  multilateral  level,  strengthen  regional  cooperation 
with neighbouring countries in shared sea basins, and to develop and extend bilateral relations 
with  key  partners.  In  this  context,  a  financial  contribution  from  the  EU  budget  would 
contribute to: 

– 

– 

the  Commission's  relations  with 

deepening 
international  partners 
(administrations  and  stakeholders)  who  recognise  the  value-added  of  an 
integrated  approach  to  protect  oceans  and  seas  and  use  their  resources 
sustainably  to  sustain  growth  in  coastal  regions,  providing  a  platform  for 
alliance building, promoting mutual understanding and enabling the exchange 
of best practice.34  

the 

enhancing  the  structured  dialogue  with  key  partners,  such  as  China,  Russia, 
Japan,  Canada  and  US,  and  also  with  our  neighbouring  countries,  in  full 
complementarity with existing bilateral and regional frameworks in place, with 

32 

33 
34 

Article 11 of the Marine Framework Strategy Directive stipulates that "Monitoring programmes shall be 
compatible within marine regions or subregions". 
COM (536) 2009 final. 
The Commission intends to gradually expand the scope of sectoral dialogues into a more overarching 
cooperation on global maritime affairs, which would focus on the cross-cutting tools such as maritime 
surveillance,  marine  knowledge,  integrated  costal  zones  management  and  marine  technology 
development. Themes on the agenda of coming multilateral meetings will be given priority, to promote 
mutual support and where possible develop joint initiatives. 

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the  aim  of  having  an  exchange  of  best  practices  and  influential  role  in 
designing their policies; 

– 

improving  the  EU's  visibility  in  the  maritime  affairs  field  by  facilitating  an 
active  participation  and  presence  in  international  meetings  (organisation  of 
side-events  and  workshops).  Those  activities  could  be  jointly  organised  with 
third  parties  (e.g.  governments  or  international  bodies)  or  exclusively  by  the 
EU with the third countries participation.35 In doing so, the EU will be able to 
exert stronger influence in international debate on maritime issues to safeguard 
its economic interests and enhance protection of the marine environment.  

2.4.2.5.  Defining  the  boundaries  of  sustainability  of  maritime  activities  through  the 

implementation of the Marine Strategy Framework Directive 

The  objective  of  the  Directive  is  to  achieve  good  environmental  status  in  the  marine 
environment  by  the  year  2020  through  necessary  measures  taken  by  Member  States.  The 
marine  strategies  which  will  be  developed  in the  framework  of  the  Directive  shall  apply  an 
ecosystem-based approach to the management of human activities, ensuring that the collective 
pressure  of  such  activities  is  kept  within  levels  compatible  with  the  achievement  of  good 
environmental status and that the capacity of marine ecosystems to respond to human-induced 
changes is not compromised, while enabling the sustainable use of marine goods and services 
by  present  and  future  generations.  After  the  initial  assessment  of  the  current  environmental 
status  and  the  environmental  impacts  of  human  activities  thereon,  a  first  step  is  the 
determination  of  what  good  environmental  status  is  and  the  establishment  of  a  series  of 
environmental  targets  and  associated  indicators.  Member  States  sharing  a  marine  region  or 
subregion shall cooperate to ensure that the preparation, including the initial assessment and 
the GES determination are coherent and coordinated. 

In this context, a financial contribution from the EU budget would contribute to: 

– 

– 

– 

– 

the  further  development  of  methodological  standards  on  good  environmental 
standards, in particular the accumulation of impacts;  

providing  a  platform  for  regional  conventions  at  which  consistent  and 
the  environmental  status  and 
comparable  methodologies  for  assessing 
determination of GES are discussed and exchanged  

as  an  emerging  new  field,  studies  on  monitoring,  assessing  and  develop 
measures on marine litter and associated 'plastic soup'; 

develop supportive actions for pilot projects in marine regions.  

35 

The Commission will work towards creating a working group/ ad-hoc group in the OECD as a forum 
for  discussing  maritime  affairs.  The  aim  is  that  leaders  in  integrated  approach  could  push  integration 
and  new  governance  forward,  and  develop  together  new  synergies,  efficiencies  and  best  practices  in 
Integrated  Maritime  Policy  development  and  implementation.  This  could  create  a  higher  sense  of 
ownership  in  the  international  EU  and  would  facilitate  the  exchange  of  best  practices  with  respect  to 
integrated maritime management. This would bring an added value on the further development of our 
policy but also ensure coherence to the political aims of our key partners.  

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2.4.2.6.  Sustainable economic growth, employment and innovation 

A  modest  EU  financial  contribution  will  provide  a  clear  source  of  funding  for  financing 
actions, activities and measures pursued with regard to the promotion of the sustainable use of 
the  marine  and  coastal  resources  and  sustainable  economic  growth,  innovation  and 
employment  in  maritime  sectors  and  coastal  regions.  In  particular,  such  a  financial 
intervention could form the foundation for: 

– 

– 

– 

supporting  coordinated  implementation  of  a  set  of  integrated  initiatives  and 
actions taken by different Commission services, in areas only where a genuine 
cross-sectoral approach is needed, aimed at reducing the environmental impact 
of  a  range  of  maritime  activities  on  the  oceans,  seas  and  coasts.  To  this  end, 
supporting actions on clean shipping which includes a set of measures aimed at 
reducing the environmental impact of maritime transport are particular cases in 
point  (i.e.  actions  on  clean  shipping  in  the  context  of  the  Baltic  Sea  Region 
Strategy36); 

fostering  activities  which  enhance 
professions and raise the quality and skills of seafarers; 

the  attractiveness  of 

the  maritime 

actively  developing  measures  on  EU  level  that  can  help  in  unlocking  the 
growth  and  employment  potential  in  the  maritime  economy  in  the  broadest 
sense,  in  line  with  the  objectives  formulated  in  President  Barroso's  political 
guidelines.37 

2.4.2.7.  Raising the Visibility of Maritime Europe 

A financial contribution of the EU budget will raise the visibility of Maritime Europe by: 

– 

enhancing  an  information  technology  infrastructure  and  assembling  and 
maintaining quality checked map-layers with the purpose of increasing public 
awareness  of  the  sea,  clarifying  the  spatial  dimension  of  EU  policies  with  an 
impact  on  the  sea  and  coasts,  and  developing  the  identities  of  individual  sea-
basins, and allowing stakeholders to debate on issues of common interest and 
to  disseminate  information  on  their  activities  to  wider  audience  This  will 
ensure  effective  and  well-functioning  visualisation  of  maritime  information 
through web-based tools such as the European Atlas of the Seas.  

2.4.3.  Fully fledged financing  

Alternatively, one should consider both the status quo, which amounts to the no action option, 
and  the  limited  EU  financial  contribution  as  unsatisfactory,  envisaging  a  broad  and  fully 
fledged  financial  intervention  of  substantial  higher  amounts  than  those  proposed.  A  fully 
fledged financing would provide a stable, adequate and clear source of funding for the further 
development  and  implementation  of  the  IMP  policy  and  would  increase  the  likelihood  of 
achieving  efficiently  the  above-mentioned  objectives,  goals  and  priorities  of  Integrated 

36 

37 

Communication on the European Union Strategy for the Baltic Sea Region – COM(2009)248 
of 10.06.2009 
Political guidelines for the next Commission by José Manuel Barroso, p.25 

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Maritime Policy for the period 2011-2013 based on the larger work items pursued under the 
Integrated Maritime Policy heading since 2007.  

However, this option should be discarded because at this stage of development of the policy, 
substantially higher amounts than those envisaged could not be disbursed, given that neither 
Member States nor the Commission already have concrete and fully-developed policy design 
options for taking-up such amounts. 

2.4.4.  Comparison of options  

The comparison of the options of the present evaluation was based on the following criteria: 

– 

– 

– 

The  effectiveness  of  each  option 
corresponding benefits;  

The feasibility of the selected options;  

The cost implication for the EU budget; 

in  reaching  given  objectives  and 

The criteria used for the comparison of options are considered equally important in testing the 
cost-effectiveness  as  well  as  the  likely  results  and  impacts  of  each  option.  However,  the 
criterion of achievement of the objectives features more prominently. With this in mind, the 
criteria have been prioritised, rather than weighted. 

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The major findings are compared in the below table: 

ASSESSMENT 

Effectiveness in 
reaching given 
objectives and 
corresponding 
benefits 

Feasibility 

Cost implication for EU budget 

Overall 
Assessment 

High (+++) 

Medium (+/-) 

OPTIONS 

Low (---) 

High (+) 

Medium 
(+/-) 

Low (-) 

Positive 

(+to+++) 

Negative 

(-to---) 

Positive 

(+to+++) 

Negative 

(-to---) 

Option 1 

No specific action 

--- 

EU 

+++ 

Option 2 

Modest 
financial 
contribution 

Option 3 

Fully 
financing  

fledged 

+++ 

+ 

+ 

- 

Appropriations - 

Human Resources -  

Administrative exp. -  

Appropriations + 

Human Resources +  

Administrative exp. + 

Appropriations +++ 

Human Resources ++ 

Administrative exp. ++ 

- 

+ 

- 

2.4.4.1.  No specific action (Option 1):  

Option 1 is clearly feasible and there would be no cost implication for the EU budget. On the 
other  hand,  taking  no  further  action,  in  terms  of  not  financing  actions  and  activities  on  the 
Integrated Maritime Policy for the period 2011-2013, would mean failing to achieve the given 
general and specific objectives of the Programme.  

This, in turn, would imply that the Commission would not deliver on the policy objectives set 
out in its Blue Paper of October 2007, as confirmed in the Progress report of October 2009 
and endorsed by the General Affairs Council conclusions of 16 November 2009. This failure 
is sufficient to rule out Option 1.  

The potential economic, environmental and social results and impacts expected from Option 1 
have been set out in section 2.4.1 "no action". 

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2.4.4.2.  Modest EU financial contribution (Option 2):  

This  does  have  an  impact  on  the  EU  budget.  On  the  other  hand,  Option  2  presents  several 
advantages.  First  of  all,  it  would  contribute  significantly  to  the  achievement  of  the  given 
objectives outlined in section 2.3. It would allow the EU to continue exploring options for the 
further development of the IMP and to begin implementing through concrete action in certain 
areas.  It  will  thus  ensure  the  sound  and  speedy  implementation  of  the  Integrated  Maritime 
Policy in the short to long term.  

In  particular  Option  2  is  consistent  with  the  General  Affairs  Council  Conclusions  of  16 
November 2009 which confirmed the validity of the integrated approach to maritime affairs 
and invited the Commission to present the necessary proposals for the financing of integrated 
maritime  policy  actions  within  the  existing  Financial  Perspective,  with  a  view  to  entry  into 
force  by  2011  38.  Especially,  in  the  context  of  the  impact  of  climate  change  and  the  current 
economic crisis which is particularly felt in the maritime sector, Option 2 will contribute to 
keeping  the  momentum  in  the  unfolding  of  the  Integrated  Maritime  Policy  addressing  the 
essential  mid-  and  long-term  challenges  of  environmental  protection,  maritime  safety  and 
security, economic growth, quality jobs and well-being.39 

Option  2  is  a  feasible  and  cost-effective  option.  DG-MARE  will  be  able  to  administer  the 
programme  with  no  additional  staff  compared  to  those  currently  managing  the  pilot  project 
and  preparatory  actions.  The  budget  requested  is  a  modest  increase  compared  to  what  has 
been spent up to now on these pilot projects and preparatory actions. 

The  potential  economic,  social  and  environmental  results  and  impacts  expected  from  EU 
financial intervention in the field of Integrated Maritime Policy shall be as follows: 

– 

Integrated Maritime Governance  

The  Integrated  Maritime  Policy  facilitates  innovation,  new  synergies  and  an 
increased  coherence  of  action  through  the  development  of  new  instruments  for  an 
integrated  governance,  both  in  relation  to  policy  making  and  execution  of  policies, 
whether on the levels of regions, Member States, the EU or globally. 

Following  the  Guidelines  to  Member  States  on  an  integrated  approach  to  maritime 
policy,  published  by  the  Commission  in  June  200840,  Member  States  endorsed  the 
value of sharing information and learning from best practice. They are increasingly 
applying  integrated  approaches,  e.g.  through  national  strategies,  such  as  in  France, 
Portugal  or  Germany,  specific  initiatives,  such  as  the  UK  Marine  Bill  or  the  Irish 
science  strategy,  inter-ministerial  coordination,  such  as  in  France,  the  Netherlands 
and Greece or integrated stakeholder dialogue, e.g. Portugal. Maritime regions, such 
as Schleswig-Holstein and Brittany, have drawn up regional maritime strategies and 
initiatives  are  being  taken  towards  integrated  governance  at  sea-basin  level,  for 
example in the Channel, the Irish Sea and the Baltic. 

EU financial intervention would have a strong impact on the quality of dialogue with 
and  among  Member  States,  coastal  regions  on  maritime  affairs,  and  thereby 

38 
39 
40 

Council Conclusions on Integrated Maritime Policy - Doc. 15175/1/09 (page. 6, para. 17,).  
Council Conclusions on Integrated Maritime Policy - Doc. 15175/1/09 (page. 2, para. 17).  
COM(2008) 395 final of 26.06.2008. 

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20 

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improving  stakeholder  involvement  in  maritime  governance.  It  would  allow  the 
newly  created  self-organised  overarching  platform  of  maritime  stakeholders  to 
establish appropriate working standards and allow the Commission to better channel 
discussions with different stakeholders groups. 

– 

Sea-basin strategies 

Although  sea-basin  strategies  are  the  core  of  the  integrated  maritime  policy,  the 
potential economic impact of a more coherent approach to EU policy implementation 
on a sea-basin scale is not yet known. Indeed some of the studies and consultations 
planned during this period aim to assess more precisely what that impact might be. 
Concerning  the  Arctic  one  current  study  is  looking  at  the  legal  and  administrative 
framework  for  Arctic  Shipping  and  its  possible  implications  for  Arctic  maritime 
transport. 

The focus on sea-basins will create a better awareness of the opportunities offered by 
the  maritime  domain  in  each  particular  sea  basin  and  of  an  identity  that  is  shared 
across national borders. 

The Marine Framework Strategy Directive is built on the axiom that the sea-basin is 
the  natural  unit  for  managing  and  monitoring  Europe's  seas.  Setting  up  coherent 
networks of marine protected areas also relies on a cross-border sea-basin approach. 
Planning on a sea-basin scale will therefore contribute towards realising the aims of 
these measures. 

– 

Integrated Maritime Surveillance 

The financial impact of setting up the common information sharing environment can 
only  be  assessed  once  the  Commission  has  proposed  and  the  Member  States 
endorsed a  roadmap for its establishment. This  is foreseen  by  end  2010.  Following 
this, the Commission will by end 2013, at the Council's request, identify the financial 
resources  potentially  needed  for  the  materialisation  of  the  integration  of  maritime 
surveillance,  which  means  in  practical  terms  the  implementation  of  the  CISE 
(Common  Information  Sharing  Environment),  its  management  and  its  further 
possible  development  to  the  benefit  of  other  relevant  services.  A  full  financial 
assessment  will  accompany  the  Impact  Assessment  that  will  be  carried  out  in  the 
beginning of 2013. The amounts foreseen for the integration of maritime surveillance 
under  this  Regulation  will  cover  the  period  2011-2013.  They  will  finance  the 
acquisition  of  the  necessary  knowledge  to  be  able  to  identify  and  quantify  the 
components of the common information sharing environment.  

It can however be stated that making existing sectoral surveillance systems (military 
included) available to other sectors that need the information, will avoid duplications 
in data collection. By making best use of existing systems, such as the Community 
vessel  traffic  monitoring  and  information  system  (SafeSeaNet),  instead  of  creating 
additional  sectoral  systems,  in  particular  when  they  are  intended  for  gathering  the 
same  data  is  a  cost  effective  option.  Furthermore,  additional  investments  should 
ensure that maritime surveillance is enhanced in a uniform manner, while at the same 
time making sure that certain critical areas are particularly and sufficiently covered 
by surveillance. The evolution of SafeSaNet and its operation in the broader context 
of  the  integrated  maritime  surveillance  should  be  studied  carefully  in  order  to 

EN 

21 

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provide  the  more  efficient  sharing  of  data  regarding  port  arrival  and  departure 
notifications,  notifications  of  dangerous  goods,  maritime  security  notifications, 
incident  and  accident  information,  AIS,  LRIT  and  pollution  monitoring.  In  this 
perspective, an impact assessment of the legal and technical implications will need to 
be  undertaken  by  the  Commission  in  the  context  of  the  revision  of  the  relevant 
Community Directive. 

Other  options  instead  of  integrating  maritime  surveillance  would  be  that  Member 
States  use  EU  and  national  funding to invest at large scale in additional assets like 
ships,  helicopters, planes,  satellite  systems and  infrastructure etc  or to  considerably 
increase  the  number  of  operational  personnel  carrying  control  of  maritime  safety, 
security, borders, customs, fisheries and observation of the marine environment. The 
additional  costs  for  recruiting  further  staff  would  have  to  be  borne  by  the  national 
budget  of  the  Member  States  concerned,  neglecting  the  aspect  of  solidarity  and 
burden-sharing  among  Member  States.  Furthermore,  simply  increasing  the  staff  of 
national  control  authorities  would  not  contribute  to  a  more  efficient  cooperation 
amongst Member States and at EU level.  

An integrated approach to maritime surveillance should improve the effectiveness of 
the authorities responsible for maritime activities by making available more tools and 
more  information  necessary  for  the  performance  of  their  duties.  Additionally,  EU 
financial support for some targeted actions would benefit from information gathered 
by  other  EU  systems  and  result  in  more  efficient  operations  and  reduced  operating 
costs.  This  is  very  important,  given  the  growing  need  to  detect,  identify,  track, 
intercept  and  apprehend  individuals  engaging  in  smuggling,  trafficking  in  human 
beings, illegal fishing, clandestine immigration, as well as to prevent accidents at sea 
and the safeguard of the environment. 

Cost-efficiency would be achieved by enabling (a) targeted patrolling of the vast EU 
maritime areas in order to enforce maritime safety and security as well as fisheries 
legislation,  (b)  more  successful  search  and  rescue  operations,  (c)  prompt  and 
geographically  identified  initiation  of  clean-up  operations  in  case  of  marine 
pollution, (d) interception of fast mischievous crafts carrying out illicit trafficking of 
human beings, drugs or smuggling. The option of a modest EU financial contribution 
will also have positive effects on Member States administrative structures, due to the 
enhanced  cooperation  mechanisms  that  would  be  developed  between  the  different 
national authorities, serving also the aim of improved maritime governance which is 
one  of  the  fundamental  objectives  of  the  integrated  maritime  policy.  Apart  from 
general  operational  costs,  administrative  costs  associated  with  national  operational 
means will also be reduced through their targeted deployment.  

Positive  economic  impacts  include  better  protection  of  the  EU  and  Member  States 
economic and security interests from illegal activities at sea, effective enforcement of 
customs  legislation  through  maritime  traffic  and  ship  movement  information 
available  to  National  Single  Windows,  as  well  as  by  the  promotion  of  the  EU 
common maritime space without barriers. Social and environmental will be derived 
by targeted patrolling of the huge EU maritime areas. 

EN 

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–  Maritime Spatial Planning and Integrated Coastal Zone Management 

The  development  of  maritime  spatial  planning  and  integrated  coastal  zone 
management  will  contribute  to  the  continued  development,  implementation  and 
sharing  of  best  practices  and  practical  experience  of  MSP  and  ICZM  at  EU  level, 
leading  to  economic  benefits,  unleashing  significant  potential  for  investments  by 
providing a stable planning framework that creates certainty for investors, smoother 
implementation of environmental legislation such as the Marine Strategy Framework 
Directive  and Habitats  and Birds Directives, improved  and therefore  more  efficient 
governance, growth and jobs generation and improved sustainability by providing an 
ecosystem-based tool for reconciling economic uses of the seas on the one hand and 
the  protection  of  the  marine  environment  on  the  other.  In  addition,  a  common 
approach to MSP to be developed with the help of EU financial intervention, which 
is  necessary  for  it  to  be  effective  in  a  cross-border  context,  will  contribute  to  the 
avoidance or minimisation of conflicts between competing uses of the marine space, 
thus reducing the cost of non-coordination. 

–  Marine knowledge and data 

Not all of the shortcomings of the present marine knowledge infrastructure identified 
in  section  2.4.1  "no  specific  action"  would  be  overcome  through  option  2.  This 
would  require  a  longer  timescale  than  the  3  years  covered  by  the  proposed 
Regulation. 

The  impact  assessment  for  marine  knowledge  established  that  a  complete 
implementation  of  a  new  marine  knowledge  architecture  without  any  increase  in 
observational infrastructure would save €300 million per year in reduced operational 
costs to industry, public authorities and industry and would stimulate the economy by 
generating  €60  million  -  €200  million  per  y ear  in  new  innovative  services.  A 
minimum  of  €20  million  per  year  would  be  saved  through  reduced  uncertainty  in 
parameters  such  as  sea-level  rise  (sea-defence  safety  margins  do  not  need  to  be  so 
wide). Further savings would come from investment in more measurements but this 
will not be proposed till it is clearer where more measurement will bring increased 
benefit.  The  partial  implementation  of  such  an  architecture  within  the  timeframe 
2011-2013  will  not  only  allow  a  better  decision  to  be  made  as  to  how  such  an 
architecture  should  be  implemented  but  will  itself  realise  some  of  these  benefits. 
Indeed  some  quick  gains  can  be  made.  During  this  period  many  of  the  chemical 
pollution parameters required for assessing environmental status should be available 
through  ur-EMODnet  and  the  creation  of  a  one-stop  shop  for  medium  resolution 
bathymetric  data  of  European  seas  will  benefit  a  wide  range  of  users.  It  will  also 
contribute  to  faster  delivery  of  data.  If  a  request  for  data  can  be  met  within  a  few 
days, it may be worth having. If it would take a few weeks, then the user may give 
up.  Assuming  that  the  marine  knowledge  architecture  constructed  during  the  2011-
2013  period  is  maintained  afterwards  then  we  can  assume  an  economic  benefit  of 
€60 million per year. 

By facilitating access to existing data, there will be less need to conduct new surveys. 
For  instance  sonars  can  disturb  marine  mammals.  Furthermore  better  marine  data 
will  allow  a  more  accurate  assessment  of  environmental  impact  of  proposed  new 
activities. 

EN 

23 

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The  main  social  impact  of  this  option,  other  than  the  increase  in  jobs  which  has 
already been considered under "economic impact", is an empowerment of individual 
stakeholders with limited financial resources. Easier access to data will allow them to 
contribute  to  the  debate  about  options  for  development  in  their  neighbouring  coast 
and seas. 

– 

Defining  the  boundaries  of  sustainability  of  maritime  activities  through  the  
 implementation of the Marine Strategy Framework Directive 

The elements preformed under this task will contribute to the continued development 
and  implementation  of  methodological  standards  which  are  associated  with  good 
environmental status (GES) of the marine environment. The exchange and sharing of 
best  practices  and  practical  experience  at  a  pan  EU  platform  accelerates  the 
standardization  of  these  methodologies  and  provide  opportunities  for  comparison 
between regional seas. This facilitates the whole process of determining GES by MS 
in  respect  of  each  marine  region.  As  a  result,  this  will  lead  to  efficiency  of  efforts 
which are executed at EU and MS level.  

A new and emerging issue is the appearance of litter in the marine environment. This 
includes the so-called plastic soup which appears at high seas, notably the Pacific but 
similar  problems  could  be  in  the  Atlantic.  The  difficulty  with  marine  litter  is  its 
multiple  origins  and  the  potentially  large  impacts  both  on  the  environment  and  the 
economy.  Studying  the  origin  of  litter  (i.e.  from  cargo,  recreation,  fisheries,  land-
based  urban  or  industrial  waste)  and  defining  possible  measures  are  only  the 
beginning of tackling this global problem. The EU has to play its role and take up its 
responsibility in the international context to contribute to addressing this issue.  

Marine  strategies  which  are  going  to  be  developed  under  the  MSFD,  will  be 
reviewed  regularly 
to  deal  with  changed  circumstances  such  as 
environmental  status,  change  in  uses  and  changes  due  to  climate  change.  This 
approach  can  be  demonstrated  in  a  pilot  project  as  a  showcase  of  adaptive 
management. 

in  order 

– 

Raising the Visibility of Maritime Europe 

Jobs  at  sea,  particularly  at  the  officer  level,  are  rewarding  in  terms  of  intellectual 
challenge and also financially. An apprenticeship at sea is an ideal start to a career 
that  could  move  afterwards  to  onshore  jobs  in  related  sectors  such  as  logistics  or 
insurance.  Yet  there  is  a  shortage  at  a  global  and  European  level  of  trained  ships 
officers41. In the UK it is one of the professions still open for immigrants. A greater 
awareness  of  maritime  Europe  and  the  opportunities  it  offers  is  not  a  sufficient 
condition  for  increasing  this  number  but  it is  a  necessary  and  relatively  cheap  one. 
The  proposed  annual  expenditure  on  raising  the  profile  of  maritime  Europe  is  less 
than  0.1%  of  the  pay  that  would  accrue  to  Europeans  if  the  current  shortage  of 
European  merchant  navy  officers  were  addressed.  There  are  similar  shortages  in 
other maritime activities. Finland, United Kingdom, The Netherlands and Denmark 
are  set  to  lose  over  20%  of  their  employees  in  the  next  ten  to  fifteen  years  due  to 

41 

Stena  Bulk,  the  Swedish  oil  tanker  company  estimates  that  there  are  vacancies  for  10000  officers  in 
Europe and 40000 globally. 

EN 

24 

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retirement.  It  is  estimated  that  11,000  skilled  new  entrants  to  the  industry  will  be 
needed  each  year42.  Again  visibility  is  not  the  only  action  required;  more  targeted 
education  is  necessary.  But  without  an  awareness  of  maritime  opportunities, 
prospective students are not going to embark on the necessary training. 

Economic and social impact is linked. Increased employment at sea and an enhanced 
status  for  those  engaged  in  maritime  activities  will  improve  the  life  of  the  coastal 
communities where those engaged in maritime professions generally live. 

Enhanced knowledge of the maritime world and the state of the marine environment 
amongst  those  directly  involved  is  not  enough  to  ensure  proper  environmental 
management. This information needs to be disseminated amongst those who vote in 
local,  regional  and  national  elections  in  order  to  ensure  that  environmental 
sustainability remains a priority for all administrations. 

– 

Sustainable economic growth, employment and innovation 

President Barroso has pointed to the oceans and seas as a future engine of growth in 
his  political  guidelines  for  the  current  Commission  mandate43.  The  maritime  sector 
also  received  particular  attention  in  the  "Consultation  on  the  Future  "EU  2020" 
Strategy"44. 

The next phase of the EU's Integrated Maritime Policy, therefore, needs to underpin 
the strengths of the current maritime segments as well as emerging markets insofar as 
they represent real and significant growth opportunities for Europe. This can be done 
by  identifying  the  untapped  future  potential  of  cutting-edge  marine  and  maritime 
technologies, resources and services as drivers for new innovations, competitiveness 
and, ultimately, growth and jobs.  

Based  on  existing  and  projected  areas  of  knowledge  where  Europe  is  in  the  lead, 
work  can  focus  on  providing  the  right  framework  for  marine-based  and  maritime 
innovation  and  technological development as a basis for growth and jobs in one or 
several  sectors,  and  even  in  non-maritime  industries  through  enabling  and  cross-
cutting technologies. 

In  the  face  of  the  economic  crisis  which  is  affecting  the  maritime  economy  in 
particular,  new  and  additional  activities  must  be  pursued  in  order  to  help  the 
maritime sectors emerge strengthened from the crisis. 

2.4.4.3.  Fully fledged financing (Option 3)  

This  Option  presents  the  advantage  of  helping  considerably  the  Commission  to  achieve  the 
given IMP policy objectives and priorities outlined in section 2.3. On the other hand, Option 3 
is not politically feasible because at this stage of IMP development, it would not be possible 
to disburse substantially higher amounts than those already envisaged. This is because neither 

42 

43 
44 

Demographic  Change  &  Skills  Requirements  in  the  European  Shipbuilding  &  Ship  Repair  Industry” 
Report  by  European  Metalworkers’  Federation  (EMF)  and  the  Community  of  European  Shipyards’ 
Associations (CESA), 2008  
http://ec.europa.eu/commission_barroso/president/pdf/press_20090903_EN.pdf 
COM(2009) 647 final of 24.11.2009. 

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25 

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Member  States  nor  the  Commission  already  have  concrete  policy  design  options  at  hand 
allowing for substantially higher disbursement in most areas. In those areas where preliminary 
designs are under preparation -  eg  a fully financed surveillance or an EMODNET service – 
indications  are  that  the  amount  of  financing  required  is  more  than  the  likely  availability  of 
budget at this time. Nor does the Commission have the human resources to manage this fully-
fledged  financing.  Furthermore,  it  would  be  unwise  to  embark  on  a  fully-fledged 
implementation without first testing the concepts on a more limited scale. 

Consequently,  taking  into  account  the  limitations  of  options  1  and  3  and  the  strong 
Community  interest  in  achieving  the  IMP's  objectives  in  the  short  to  medium  term,  the 
appropriate  solution  would  seem  to  be  a  modest  EU  financial  contribution  to  fund  IMP 
activities on the Integrated Maritime Policy for the period 2011-2013.  

2.4.5. 

Instruments and Method of Implementation for the selected option  

In the light of the objectives to be achieved by the EU funding Programme, financial support 
from the EU budget to the Integrated Maritime Policy can be provided via grants for actions 
and  operating  grants,  public  procurement  contracts  and  administrative  agreements  with  the 
Joint Research Centre.  

It  is  considered  that  the  funding  concerning  cross-cutting  tools  for  Integrated  Maritime 
Policy-making  and  cross-sectoral  maritime  activities  could  be  best  addressed  by  targeted 
financing  of  specific  projects  via  grants  for  an  action.  This  is  mostly  the  case  with  actions 
related  to  integrated  maritime  surveillance,  maritime  spatial  planning  and  integrated  coastal 
zone management and for certain activities within the marine knowledge area. In the case of 
activities carried out by stakeholders with a view to pursuing one or more of the objectives of 
the Integrated Maritime Policy, including public or private organisations, institutions, bodies 
and  non-governmental  organisations  proportional  EU  contribution  to  their  budget  would  be 
more appropriate via operating grants.  

Public  procurement  contracts  seem  to  be  the  appropriate  instrument  for  commissioning 
consultancy work and financing studies alongside information and communication campaigns 
which  seek  to  promote  the  development  and  implementation  of  the  IMP,  including 
conferences,  seminars,  workshops,  stakeholders'  platforms  and  fora  as  well  as  the 
development and maintenance of information technology infrastructure and websites. Certain 
marine knowledge activities, particularly where rights to use marine data will be obtained on 
behalf  of  industry,  public  authorities  and  researchers,  will  continue  to  be  implemented 
through public procurement. 

2.4.6.  Lessons from the past 

As  outlined  above,  the  Integrated  Maritime  Policy  came  into  being  at  the  end  of  2007.  In 
order  to  develop  proposals  for  EU  action  in  this  domain,  a  number  of  pilot  projects  and 
preparatory actions were initiated in the period 2008-2010.  

It  is  premature,  at  this  stage,  to  judge  their  outcome.  Although  the  pilot  projects  and 
preparatory  actions  on  the  IMP  have  continuously  been  launched  since  2008,  due  to  the 
extensive  preliminary  discussions  with  stakeholders  as  to  how  the  projects  should  best 
achieve their targets, many of them did not start till the beginning of 2010. For instance, the 
greater  part  of  the  maritime  surveillance  projects  did  not  commence  until  the  beginning  of 
2010.  The  first  batch  of  marine  knowledge  projects  started  in  mid-2009  and  will  start  to 

EN 

26 

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deliver results that can be evaluated in mid 2010. Again due to the extensive discussion with 
stakeholders, most of the spatial planning projects will not start till 2010. The European Atlas 
of  the  Seas,  the  database  of  EU-funded  maritime  projects  and  the  internet  maritime  forum, 
which  contribute  to  the  maritime  governance  and  visibility  of  maritime  Europe  objectives, 
will come on-line in the beginning of 2010. 

In  accordance  with  Article  27  (4)  of  the  Financial  Regulation  and  Article  21  (3)  of  its 
Implementing rules, all major projects will be subject to retrospective ex-post evaluations (see 
in  table  below).  Lessons  from  these  projects  and  their  evaluation  can  start  once  the  results 
become available. 

In  particular,  an  ex-post  evaluation  of  the  results  of  the  maritime  surveillance  projects  is 
scheduled for 2012 and the conclusions drawn thereof will feed into the upcoming Integrated 
Maritime Surveillance Impact Assessment planned for 2014. Similarly, an ex-post evaluation 
of  preparatory  actions  on  the  maritime  spatial  planning  will  be  launched  shortly  after  their 
finalisation, i.e. in January 2012. The first batch of marine knowledge projects started in mid-
2009  and  will  start  to  deliver  results  that  can  be  evaluated  in  mid  2010.  An  Impact 
Assessment  on  the  European  Marine  Observation  and  Data  Network,  was  submitted  to  the 
Impact  Assessment  Board  in  November  2009  and  a  final  report  is  under  preparation.45  An 
interim evaluation will start at the beginning of 2011 that will report in early 2012. An ex-post 
evaluation will be launched at the end of 2013.  

The  table  below  describes  the  budget  spent  in  the  period  2008-2010  on  IMP  projects  and 
presents  an  indicative  plan  of  interim  and  ex-post  evaluations  to  be  conducted  on  the  main 
IMP projects: 

Start of major 
activity 

Interim 
evaluation 

Ex-post 
evaluation 

Type 

Maritime governance 

Sea-basin strategies 

Budget  spent  in 
the period 2008-
2010 

€550,000 

€490,000 

Maritime Surveillance 

€7,200,000 

2009 

2009 

2010 

2012 

2013 

2012 

2013 

Marine knowledge 

€6,690,000 

Mid 2009 

2011 

Maritime spatial planning 

€1,800,000 

International dimension of IMP 

€60,000 

New economic opportunities 

€2,297,622 

Visibility of Maritime Europe 

€1,600,000. 

2010 

2008 

2010 

2009 

Total 

€20,687,622 

45 

Reference number 2009/MARE/003. 

2011*  (part  of 
marine 
knowledge 
evaluation) 

EN 

27 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
2.4.7.  Volume of appropriations, human resources and other administrative expenditure  

In view of estimates made on the basis of current and projected expenses associated with pilot 
projects and preparatory actions on the Integrated Maritime Policy, it is considered reasonable 
that the EU intervention for the period 2011-2013 as well as the administrative expenditure in 
terms  of  human  resources  needed  for  the  management  of  the  EU  Programme  should  be 
allocated as follows: 

Total contribution over 
the 2011-2013 period 

Administrative 
Expenditure - Human 
Resources 2011-201346 

€1,000,000 - €3,000,000 

2.42 

Integrated  Maritime 

1. 
Governance  

2. Tools for Integrated Policy 
Making 

Integrated Maritime 
Surveillance 

€1,500,000 - €5,000,000 

Maritime Spatial Planning and 
Integrated Coastal Zone 
Management 

€4,000,000 - €7,000,000  

Marine Knowledge 

€20,000,000 - €24,000,000 

3. Activities in relation to the 
sea basins  

€3,000,000 - €7,000,000 

4. International Dimension of 
the IMP 

€600,000 - €1,200,000  

3.37 

5.98 

4.56 

3.18 

1.16 

5. Defining the boundaries of 
sustainability  of  maritime 
activities 
the 
implementation of the MSFD 

through 

€4,000,000 - €6,000,000 

3.60 

Sustainable 

economic 
employment  and 

6. 
growth, 
innovation 

€3,000,000 - € 7,000,000 

1.93 

7.  Raising  the  Visibility  of 
Maritime Europe  

€1,500,000 - €3,000,000 

Total amount 

€50,000,000 

2.1 

28.2 

46 

Full-time equivalents (person-years) over 3 years.  

EN 

28 

   EN 

 
 
 
 
                                                 
2.5. 

Added value of EU involvement  

Any intervention at EU level shall be pursued with due respect to subsidiarity, proportionality 
and additionality.47 

2.5.1.  Additionality  

As  a  general  rule,  synergies,  coherence  and  complementarity  with  different  EU  financial 
instruments  in  relation  to  closely  related  policy  domains  shall  be  always  sought.48  In  this 
context,  the  financial  intervention  on  the  basis  of  actions  needed  to  support  the 
implementation  of  the  Integrated  Maritime  Policy  should  complement  and  be  coherent  with 
existing and future financial instruments at EU level, as well as at national and sub-national 
level  in  Member  States,  made  available  to  implement  the  necessary  actions  to  promote  the 
sustainable use of the oceans, seas and coasts.  

Other EU financial instruments which have a bearing on the core objectives of the Integrated 
Maritime Policy, include the Cohesion Fund, the European Regional Development Fund, the 
European  Fisheries  Fund,  the  Competitiveness  and  Innovation  Framework  Programme  and 
the  Seventh  Framework  Programme 
technological  development  and 
demonstration activities, the Instrument for Pre-Accession Assistance (IPA) and the European 
Neighbourhood  and  Partnership  Instrument.  Alone  these  do  not  cover  all  the  Integrated 
Maritime  Policy  overarching  priorities  and  goals.  This,  implies,  that  there  is  therefore  a 
rationale  for  providing  financial  support  at  the  EU  level  to  support  actions  which  seek 
completely and exclusively to pursue further the objectives of the Integrated Maritime Policy.  

research, 

for 

Conversely  any  action  financed  with  a  view  to  pursuing  the  objectives  the  Integrated 
Maritime Policy, contribute significantly to the achievement of other EU sectoral policy goals 
with a bearing on maritime affairs.49  

2.5.2. 

Subsidiarity  

As emphasised in the Blue Paper of October 2007 and its accompanying Action Plan, any EU 
action aimed at further developing and implementing the Integrated Maritime Policy must be 
pursued with due respect to the principle of subsidiarity as set out in Article 5 of the Treaty on 
European  Union.  In  the  field  of  Integrated  Maritime  Policy,  the  rationale  for  action  at  EU 
level  stems  from  the  cross-sectoral  and  trans-national  nature  of  the  activities  involved  and 
synergies  among  sectoral  policies.  The  purpose  is  to  develop  a  comprehensive  strategy  for 
growth and sustainability for the oceans, seas, coastal regions and maritime sectors. Particular 
cases  in  point  are  the  activities  relating  to  cross-cutting  policy  tools  and  cross-sectoral 
maritime  actions,  and  to  the  international  dimension  of  the  Integrated  Maritime  Policy 
because  of  their  transboundary  aspects.  These  tools  and  activities  include  the  common 

47 

48 
49 

Commission Ex Ante Evaluation Practical Guide for Preparing Proposals for Expenditure Programmes 
(2001), Annex III: European Added Value (EAV) and other related terms, p. 29. 
Ibid, p. 18-19. 
For instance, the integration of maritime surveillance which is one of the objectives of the Integrated 
Maritime  Policy  is  in  total  consistency  with  the  ongoing  process  to  build  the  European  Border 
Surveillance  System  (Eurosur).  In  particular,  the  aspects  of  the  Eurosur  Communication  dealing  with 
surveillance  of  external  maritime  borders  form  part  of  the  overall  framework  set  by  the  Integrated 
Maritime  Policy  for  the  European  Union.  Moreover,  the  initiative  is  coherent  with  the  EU  maritime 
acquis  and  in  particular  Directive  2002/59/EC,  as  amended,  which  is  the  legal  basis  for  the  most 
important existing surveillance systems at EU level (AIS, LRIT, SafeSeaNet).  

EN 

29 

   EN 

 
                                                 
information  sharing  environment  for  the  EU  maritime  domain,  maritime  spatial  planning, 
integrated coastal zone management and the marine data and knowledge network50 . 

Action  at  Union  level  aimed  at  implementing  the  Integrated  Maritime  Policy  would  not 
negatively affect similar measures taken in Member States or regions. Rather, cross-sectoral 
actions  taken  at  various  level  of  government  would  mutually  complement  and  enhance  one 
another. The full potential for optimised maritime policy-making will not be reaped unless the 
integrated approach permeates every level of government.51 Thus, action at Union level in the 
field of Maritime Policy is likely to produce clear benefits by reason of its scale and effects, 
compared with activities and actions pursued only at the level of Member States and regions. 
In  its  conclusions  of  16  November  2009  on  the  IMP  Progress  report  of  15  October,  the 
Council invited the Member States and the Commission to continue their activities with due 
respect  to  subsidiarity  and  proportionality  and  welcomed  the  work  of  the  Commission  and 
Member States as well as future orientations on IMP. 

Ensuring  proper  implementation  of  integrated  governance  of  maritime  and  coastal  affairs, 
promoting integrated sea basin strategies for the sustainable development of maritime sectors 
and  coastal  regions  and  ensuring  effective  policy  coordination  of  sector-specific  policy 
initiatives  of  sea-related  matters  across  Member  States  and  regions  necessitate  the  need  for 
action  at  EU  level.  Particularly,  an  EU  intervention  which  promotes  and  fosters  the 
overcoming  of  the  fragmented  nature  of  EU  policies  and  actions  that  relate  to  the  sea,  the 
identification  and  exploitation  of  synergies,  the  exchange  of  best  practices,  collective 
learning, and the broad involvement of stakeholders in decision-making in relation to oceans, 
sea and coasts, will have a positive impact on the main objectives of the Integrated Maritime 
Policy  -  integration  of  governance  structures  by  making  them  more  inclusive  and  co-
operative, building of marine knowledge base and cross-cutting tools necessary to enable the 
implementation  of  integrated  policies;  improvement  of  the  quality  of  sectoral  policies, 
through  increased  coherence  across  sectors;  implementing  all  above,  taking  into  account 
specificities  of  the  regional  seas  around  Europe,  through  tailor-made  solutions,  in  full 
complementarity  with  existing  regional  conventions  and  agreements,  and  applicable  EU 
Neighbourhood and Enlargement policies;52 

50 

51 

52 

For  instance,  in  the  filed  of  integrated  maritime  surveillance,  the  vast  majority  of  monitoring  and 
surveillance  activities  at  sea  falls  within  the  competence  of  national  authorities  established  in 
accordance  with  national  and  EU  legislation  (the  EU  maritime  acquis  and  in  particular  Directive 
2002/59/EC).  Following  the  principle  of  subsidiarity,  Member  States  are  responsible  for  coordinating 
the  collection  and  verification  of  information  from  all  their  agencies,  administrations  and  national 
operators,  preferably  via  a  single  national  coordination  mechanism.  In  such  a  context,  the  EU 
involvement is validated on the presumption that it aims at maximising the systems' cross-border and 
cross-sectoral usefulness, which would otherwise be blocked by cultural, administrative as well as legal 
obstacles  from  EU  and  national  legislation  (e.g.  on  personal  data  and  confidentiality)  and  improving 
Member states authorities' operational efficiency, through improved maritime situational awareness, to 
the benefit of human lives at sea, the marine environment and internal security .  
Commission Communication "Guidelines for an Integrated Approach to Maritime Policy: Towards best 
practice  in  integrated  maritime  governance  and  stakeholder  consultation"-  COM(2008)  395  of 
29.6.2008, p.4.  
Commission  Progress  Report  on  the  EU's  Integrated  Maritime  Policy  –  COM(2009)  540  final  of 
15.10.2009, p. 2-3. 

EN 

30 

   EN 

 
                                                 
2.5.3.  Proportionality  

According to Article 5 of the Treaty on European Union and the principle of proportionality, 
EU  action  should  not  go  beyond  what  is  necessary  in  order  to  achieve  satisfactorily  the 
objectives which have been set. The proposal respects the principle of proportionality because 
in  the  field  of  Integrated  Maritime  Policy,  Union's  actions  do  not  go  beyond  what  it  is 
necessary to achieve satisfactorily the pursued IMP objectives. They leave as much scope for 
national  decision  as  possible,  and  respect  well  established  national  arrangements  and  legal 
systems. 

Action at Union level on the Integrated Maritime Policy would add value to the measures that 
the  Member  States  are  already  taking,  and  would  provide  resources  additional  to  those  the 
Member  States  are  already  spending.  These  resources  are  proportionate  since  they  would 
enable  the  Member  States,  regions  or  regional  stakeholders  to  achieve  the  objectives  of  the 
Integrated Maritime Policy more effectively.53 

2.6. 

Conclusion  

In  view  of  the  above  and  to  ensure  a  modest  financial  underpinning  for  the  further 
development and implementation of the Integrated Maritime Policy for the period 2011-2013, 
it is considered important for the EU to contribute to its funding. 

2.7. 

Follow-Up: Planning future monitoring and evaluation  

The  technical  and  financial  implementation  of  actions  financed  by  the  Programme  shall  be 
monitored by the Commission, on the basis of reports on the progress of work submitted to 
the Commission by the beneficiary and also through on-the-spot monitoring checks. A final 
report shall also be submitted within three months of the completion of each project. Projects 
and other actions financed by the Programme will also be subject to audits, including audits 
outsourced to contractors. An article to this effect is included in the proposal. 

Indicators  ensuring  a  good  quality  monitoring  system  are  being  developed  actions  covering 
resources, output and impact. These are designed to be measurable using available indicators 
that do not require expensive studies. Indicators to be used for the actions on the promotion of 
integrated sea basin strategies around Europe and integrated approach at all levels of maritime 
governance will be the number of initiatives and integrated strategies taken by Member States 
and  coastal  regions  towards  the  integration  of  maritime  policy  for  the  sustainable 
development of maritime sectors and coastal regions within their administrative structure as 
well  as  the  number  of  cross-sectoral  cooperation  and  exchange  structures,  groups  and 
networks on maritime affairs at a regional, national and sea-basin level. 

Member  States  approval  of  the  roadmap  for  the  establishment  of  the  common  information 
sharing environment will be an indicator of whether the actions on maritime surveillance to be 
financed  through  this  program  are  appropriate,  conclusive  and  necessary.  Indicators  to  be 

53 

For  instance,  in  the  case  of  the  integrated  maritime  surveillance,  EU  intervention  will  be  limited  to 
making the different information layers of existing systems interoperable and able to be used to cover 
pre-identified  needs  of  all  user  communities  at  EU  level,  showing  maximum  respect  to  the 
proportionality principle. The building up of the common information sharing environment should not 
in  any  way  hinder  the  development  of  existing  and  planned  sectoral  information  systems,  including 
their  evolution,  as  long  as  the  need  for  interoperability  enabling  an  information  exchange  with  other 
relevant systems is taken into account. 

EN 

31 

   EN 

 
                                                 
used for the actions on maritime spatial planning (MSP) will be the number of Member States 
applying  MSP  in  their  national  waters  (territorial  sea  and  EEZ)  and  the  number  of  cross-
border  initiatives  for  MSP,  using  the  key  principles  identified  at  EU  level.  Progress  in 
integrated  coastal  zone  management  is  measured  as  regards  outputs  in  number  of  practical 
applications  of  ICZM  at  different  scales  of  governance.  As  regards  results  and  outcomes, 
specific  progress  and  sustainability  indicators  were  developed  further  to  the  European 
Parliament  and  Council  Recommendation  on  ICZM  of  2002.  This  Recommendation  also 
provides  the  framework  for  regular  evaluation,  based  on  Member  State  reporting  and  EU 
assessments of the state of the coast by the European Environment Agency. 

Resource,  output  and  impact  indicators  for  maritime  knowledge  have  been  set  out  in  the 
impact assessment54. These are designed to be easy to measure. For instance hits on web-sites 
will be used as proxies to judge take-up of information from marine knowledge initiatives as 
well as those of the European Atlas of the Seas and stakeholder forums. Indicators to be used 
for  the  actions  on  the  promotion  of  the  international  dimension  of  the  IMP  will  be  the 
outcome  of  workshops,  seminars  and  events  (participation, Conference Declarations, agreed 
minutes) to be held in the context of international fora.  

Indicators  to  be  used  for  actions  on  defining  the  boundaries  of  sustainability  of  human 
activities are the content and extent of exchanges which have taken place between regions and 
the  establishment  of  methodological  standards  as  a  result  of  this.  Further,  study  results  on 
litter and the realization of a proposal for a pilot project on adaptive management. 

Sustainable economic growth, employment and innovation will be measured by study results 
and  feedback  from  stakeholders.  These  will  be  supplemented  by  GDP  and  unemployment 
indicators  in  coastal  regions  and  maritime  sectors  obtained  from  Eurostat  and  attainment  of 
Good  Environmental  Status  as  defined  by  the  Marine  Strategy  Framework  Directive  will 
measure  sustainability.  Results  will  feed  into  political  programming  in  DG  MARE  and  in 
other  Commission  services.  As  far  as  the  maritime  contribution  to  the  EU2020  strategy55  is 
concerned,  the  measuring  and  evaluation  criteria  for  this  strategy  will  be  employed  mutatis 
mutandis. 

The proposed EU programme is intended to start in 2011 and run until the end of the current 
Financial Perspective 2007-2013. The Programme, as a whole, will be subject to an ex-post 
evaluation  to  be  submitted  to  the  European  Parliament  and  the  Council,  no  later  than  31 
December 2014. An article to this effect is included in the proposal. Additionally, as outlined 
in section 2.4.6, in accordance with Article 27 (4) of the Financial Regulation and Article 21 
(3) of its Implementing rules, all major IMP projects will be subject to specific retrospective 
ex-post evaluations to be conducted before 2013. 

As provided for in the implementation rules applicable to the general budget of the Union, the 
evaluation of the Programme will focus on the review of the financial and human resources 
allocated and the results obtained in order to verify that they are consistent with the objectives 
to be pursued. The evaluation shall be proportionate to the resources  mobilised for, and the 
impact of, the programme. 

54 
55 

Impact Assessment Board Reference Number 2009/MARE/003. 
COM(2009) 647 final of 24.11.2009. 

EN 

32 

   EN