Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on multiannual funding for the action of the European Maritime Safety Agency in the field of response to pollution caused by ships and to marine pollution caused by oil and gas installations
Date: 2013-04-03
Institutions: European Commission
Subjects: EU financing, marine pollution, maritime safety, offshore oil structure, oil pollution, pollution from ships, prevention of pollution

EUROPEAN 
COMMISSION 

Brussels, 3.4.2013  
COM(2013) 174 final 

2013/0092 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on multiannual funding for the action of the European Maritime Safety Agency in the 
field of response to pollution caused by ships and to marine pollution caused by oil and 
gas installations 

(Text with EEA relevance) 

{SWD(2013) 101 final} 

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EXPLANATORY MEMORANDUM 

1. OBJECTIVE OF THE PROPOSAL 

The European Maritime Safety Agency ("the Agency" or "EMSA") established in 20021 was 
assigned tasks in the field of marine pollution response in 20042. Bearing in mind the long-
term nature of the Agency’s responsibility for pollution response, the efficient and thorough 
completion  of  the  tasks  involved  requires  appropriate  financial  security  on  the  basis  of  a 
multiannual  commitment.  Therefore,  in  2006  the  EU  legislator  established  multiannual 
funding for the Agency's action in the field of response to pollution caused by ships for the 
period from 2007 to 20133. This legislative proposal seeks to renew the multiannual funding 
for the period from 2014 to 2020 in the framework of the new financial perspectives4. 

2. JUSTIFICATION FOR THE PROPOSED MEASURE 

2.1. Context 

The  large-scale  maritime  accident  of  the  oil  tanker  ERIKA  in  December  1999  involving  an 
extensive oil spill led to the creation of the Agency in 2002. In the light of the oil spill caused 
by  the  accident  of  the  oil  tanker  PRESTIGE  in  November  2002,  the  Agency  was  entrusted 
with specific tasks and obligations in the field of response to pollution caused by ships. The 
Agency adopted an Action Plan in October 2004 for oil pollution preparedness and response 
(hereinafter  “the  Oil  Action  Plan”).  In  June  2007,  a  second  Action  Plan  for  Hazardous  and 
Noxious Substances Pollution Preparedness and Response was adopted (hereinafter "the HNS 
Action  Plan")5.  The  EMSA  Administrative  Board  updates  both  Action  Plans  as  part  of  the 
Agency’s annual Work Programmes. 

In  March  2010,  the  Administrative  Board  endorsed  a  5-year  strategy6  which  contains  two 
themes relevant for response to pollution caused by ships. Firstly, theme 8 develops EMSA's 
role  with  regard  to  illegal  discharges  by  ships  (enforcement  issues,  further  enhancement  of 
CleanSeaNet  by  integration  of  ship  position  information).  Secondly,  theme  12  deals  with 
marine pollution preparedness and response. 

Finally, the Commission proposed a modification to the EMSA Regulation in October 2010, 
which,  inter  alia,  foresees  an  explicit  extension  of  the  pollution  response  activities  to  cover 
accidents  by  offshore  oil  and  gas  installations7.  Furthermore,  it  is  also  suggested  in  this 

1 

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4 
5 

6 

7 

Regulation  (EC)  No  1406/2002  of  the  European  Parliament  and  of  the  Council  of  27  June  2002 
establishing a European Maritime Safety Agency (OJ L 208 of 5.8.2002, p. 1). 
Regulation (EC) No 724/2004 of the European Parliament and of the Council of 31 March 2004 (OJ L 
129 of 31.4.2004, p. 1). 
Regulation (EC) No 2038/2006 of the European Parliament and of the Council of 18 December 2006 on 
multiannual funding for the action of the European Maritime Safety Agency in the field of response to 
pollution caused by ships and amending Regulation (EC) n° 1406/2002 (OJ L 394 of 30.12.2006, p. 1. 
See also corrigendum in OJ L 30 of 3.2.2007 p. 12). 
"A Budget for Europe 2020" COM(2011)500 and COM(2011)398, both dated 29.6.2011. 
Both action plans are available at the EMSA website under: 
http://www.emsa.europa.eu/opr-documents/action-plans.html  
The document is available at the EMSA website under: 
http://www.emsa.europa.eu/documents/item/145-emsa-5-year-strategy.html  
COM(2010)611 of 28.10.2010. 

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proposal  to  extend  EMSA's  assistance  to  the  EU  neighbouring  countries  including  the 
pollution response activities. The European Parliament and the Council reached an agreement 
on  the  proposal  in  April  2012  and  the  Regulation  adopted  in  January  20138  confirms  the 
aforementioned provisions. 

2.2. Current tasks of EMSA in the field of pollution response 

In  accordance  with  Regulation  2038/2006  and  Directive  2005/35/EC  on  ship  source 
pollution9, the three main tasks of the Agency in the field of response to pollution caused by 
ships are the following: 

(a) Operational assistance to Member States  

The  Agency  offers  a  network  of  stand-by  oil  spill  response  vessels  to  "top  up"  Member 
States’ response capacity when affected by a spill. It also provides a satellite based oil spill 
detection  and  monitoring  service  called  "CleanSeaNet"  and  information  on  chemical  spills 
through the "MAR-ICE" network. Affected coastal  states can request the intervention  of  oil 
spill  response  vessels  through  the  Community  Civil  Protection  Mechanism10.  Smooth 
integration  with  Member  State  response  mechanisms  is  undertaken  through  regular 
participation in national and regional exercises.  

(b) Cooperation and coordination 

The Agency liaises with pollution response experts of Member States as well as with existing 
Regional Agreements and the International Maritime Organisation (IMO). 

(c) Information 

The Agency collects, analyses and disseminates information on best practices, techniques and 
innovation in the field of marine pollution response. 

Summary of deliverables (2007 – September 2012) 

Key EMSA marine pollution preparedness and response service and associated deliverables 
that have been made available using the existing multi-annual funding framework are shown 
below. 

Network of Stand-by Oil Spill Response Vessels: 

16  contracts  are  currently  active  providing 
coverage  for  all  the  regional  sea  basins 
around the European Union. 

The  EMSA  vessels  have  participated  in  36 
operational 
(cross 
international 
exercises since 2007. 

border) 

18  vessels,  with  an  average  recovered  oil 
storage  capacity  of  approximately  3500  m3 
can  be  mobilised  simultaneously  and  ready 

in  exercises 

Participation 
facilitates 
integration  of  EMSA  services  with 
response mechanisms of Member States. 

the 
the 

8 

9 

10 

Regulation  (EU)  No  100/2013  of  the  European  Parliament  and  of  the  Council  of  15  January  2013 
amending Regulation (EC) No 1406/2002 establishing a European Maritime Safety Agency (OJ L 39, 
9.2.2013, p. 30). 
Directive  2005/35/EC  of  the  European  Parliament  and  of  the  Council  of  7 September  2005  on  ship-
source pollution and on the introduction of penalties for infringements (OJ L 255, 30.9.2005, p. 11). 
Council  Decision  2007/779/EC  of  8  November  2007  establishing  a  Community  Civil  Protection 
Mechanism (OJ L 314, 1.12.2007, p. 9). 

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to sail within 24 hrs. 

CleanSeaNet 

Over  12,000  satellite  images  have  been 
delivered since the service was launched in 
April 2007, an average of over 2000 images 
per year. 

Over  1,000  million 
km2 
been 
has 
monitored. 

illegal 
200 
Around 
discharges  per  year  are 
confirmed  by  Member 
States  following “on  the 
spot” surveillance. 

Incident Response 

EMSA  pollution  response  services  have 
been  used  in  a  total  of  25  incidents  since 
2007. Emergency support to affected coastal 
states has included: 

Response vessels, 

Satellite imagery, 

MAR-ICE activation, and  

Onsite expertise. 

Emergency  support 
4 
includes 
mobilisations 
of 
response  vessels  in 
Europe. 

support 
Emergency 
includes  1  equipment 
to 
assistance  package 
the  USA  during 
the 
Horizon 
Deepwater 
incident. 

Best practice: Development and promotion 

EMSA  has  hosted  20 
and 
expert  meetings 
workshops.  (This  is  in 
addition 
regular 
to 
training  with  Member 
officers 
State 
regarding  CleanSeaNet 
and/or  meetings  with 
vessel 
Network 
operators.) 

duty 

7 
Published 
on 
inventories 
different  aspects 
of 
Member 
States’ 
preparedness 
and 
policies 
capacities. 

response 
and 

Managed  the  civil 
exchange 
servant 
programme 
“EMPOLLEX”, 
which 
has 
the 
facilitated 
exchange  of  21 
between 
experts 
States 
Member 
since  its  inception 
in June 2008. 

tool  for 

Developed  one  decision 
the 
response 
application 
of 
dispersants  during  an 
incident. 

Coordinated 
specific 
studies  when  needed 
(e.g. Study on discharge 
facilities,  Safe  Platform 
study:  development  of 
vessel  requirements  to 
operate 
in  dangerous 
atmospheres) 

2.3. Future tasks 

As explained above, with the entry into force of the amendments to the Founding Regulation 
in January 2013, EMSA received the following new tasks in the area of pollution response: 

a)  EMSA's  current  response  actions  in  case  of  "pollution  caused  by  ships"  will  also  cover 
"marine pollution caused by oil and gas installations", 

b) EMSA's existing CleanSeaNet will also "monitor the extent and environmental impact of 
marine oil pollution caused by oil and gas installations", 

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c) The current geographical coverage (Member States and accession countries) is extended to 
"European  Neighbourhood  partner  countries  and  to  countries  taking  part  in  the  Paris 
Memorandum of Understanding on Port State Control". With this, the EMSA vessels can be 
used throughout the entire area of the Union's regional sea basins. 

The Commission proposes that the earmarked amount should only extend to the first two new 
tasks,  with  initial  funding  to  start  building  up  the  new  tasks  while  not  compromising  the 
existing  tasks.  The  third  new  task  should  be  financed  from  existing  EU  programmes  for 
countries covered by the enlargement policy and by the European Neighbourhood Policy (the 
programme  SAFEMED  for  the  Mediterranean  Sea  and  programmes  under  the  TRACECA 
initiative  for  the  Black  Sea).  It  is  considered  more  appropriate  from  a  programme 
management  and  a  budgetary  perspective  to  finance  this  new  task  from  within  the  existing 
framework of EU support to these countries.  

2.4. Evaluation of EMSA's current activities in the field of pollution response 

In accordance with Regulation 1406/2002, the Agency has submitted reports on the financial 
execution  of  the  action  plans  by  31  January  of  each  year  until  2012.  These  reports  are 
available  on  the  agency's  website.  As  from  2013,  the  reporting  will  be  integrated  in  the 
Agency's Annual Activity Report. 

Furthermore,  the  Commission  submitted  in  May  2011  a  report  on  the  implementation  of 
Regulation  2038/200611.  This  report  is  based  on  a  comprehensive  contribution  from  the 
Agency,  as  endorsed  by  the  EMSA  Administrative  Board,  including  a  stakeholder 
consultation  and  detailed  scenarios12.  EMSA's  Administrative  Board  -  in  particular  through 
the adoption of the work programme, the budget and the annual report - the Court of Auditors 
and the Budgetary Authority through the discharge procedure are supervising and monitoring 
the Agency's action. 

The two main conclusions drawn from these evaluation activities are:  

(1) The budget dedicated to pollution response is adequate and  

(2)  The  measures  financed  are  cost  efficient,  provide  added  value  and  are  appropriately 
managed. 

2.5. Ex ante evaluation of the proposed activities 

An  ex  ante  evaluation  has  been  carried  out  and  is  attached  to  this  proposal  (document 
SEC(2013)xxx).  It  confirms  the  usefulness  and  the  efficiency  of  the  multiannual  financial 
framework and determines the amount to be earmarked. 

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COM(2011)286 of 23.5.2011. 
EMSA's contribution is available at http://www.emsa.europa.eu/opr-documents/item/617-multi-annual-
funding-mid-term-report-emsas-contribution.html  

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3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Legal basis 

The legal basis for the proposal is Article 100 (2) TFEU, which has served as legal basis for 
Regulation 2038/2006 under the previous version of the Treaty. 

3.2. 

Subsidiarity and proportionality principles 

The principles of subsidiarity and proportionality are fully respected, as the Agency's action 
presents the European tier of a differentiated system of response to pollution caused by ships 
and offshore installations. Most activities are triggered by requests from the affected coastal 
States. The fact that the EU is contracting party to the following regional organisations might 
illustrate the close coordination at regional level:  

• 

• 

• 

• 

• 

the Convention on the Protection of the Marine Environment of the Baltic Sea Area 
(Helsinki Convention as revised in 1992);  

the  Convention  for  the  Protection  of  the  Mediterranean  Sea  against  Pollution 
(Barcelona Convention) and to a number of protocols thereof;  

the Agreement for cooperation in dealing with pollution of the North Sea by oil and 
other harmful substances (Bonn Agreement);  

the  Convention  for  the  protection  of  the  marine  environment  of  the  North-East 
Atlantic (OSPAR Convention);  

the Cooperation Agreement for the protection of the coasts and waters of the north-
east  Atlantic  against  pollution,  (Lisbon  Agreement),  with  its  Additional  Protocol, 
which have not yet entered into force.  

The Union is also negotiating accession to the Convention on the Protection of the Black Sea 
against Pollution (Bucharest Convention). 

3.3. 

Choice of instrument 

A  Regulation  is  the  most  appropriate  legal  instrument  to  establish  a  multiannual  financial 
framework. This instrument was already chosen in 2006. 

4. 

BUDGETARY IMPLICATION 

In the light of the above the Commission proposes to provide again for a multiannual financial 
envelope  to  be  imputed  into  the  Union  budget  for  the  period  from  1 January  2014  to 
31 December 2020 coinciding with the new multiannual financial framework. In accordance 
with  the  Commission  package  of  June  2011  "A  Budget  for  Europe  2020"  and  the  current 
practice  the  amount  should  be  taken  from  Heading  1  "Smart  and  Inclusive  Growth".  The 
Commission thus proposes earmarking an amount of Є 160.5 million for the reference period. 
Further  details  are  provided  in  the  attached  legislative  financial  statement  and  the  ex  ante 
evaluation.  The  annual  amounts  should  be  authorised  by  the  Budgetary  Authority  in 
accordance with the budgetary procedure. 

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5. 

CONTENT OF THE PROPOSAL 

The  proposal  follows  closely  the  structure  of  Regulation  2038/2006  with  the  necessary 
adaptations. It consists of the following 8 articles: 

• 

• 

• 

• 

• 

• 

• 

• 

Article 1: Objective 

Article 2: Definitions 

Article 3: Scope 

Article 4: Union funding 

Article 5: Monitoring existing capabilities 

Article 6: Protection of Union financial interests 

Article 7: Mid-term evaluation 

Article 8: Entry into force 

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2013/0092 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on multiannual funding for the action of the European Maritime Safety Agency in the 
field of response to pollution caused by ships and to marine pollution caused by oil and 
gas installations 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 100(2) thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the proposal to the national Parliaments, 

Having regard to the opinion of the European Economic and Social Committee13, 

Having regard to the opinion of the Committee of the Regions14, 

Acting in accordance with the ordinary legislative procedure15, 

Whereas: 

(1) 

(2) 

Regulation (EC) No 1406/2002 of the European Parliament and of the Council of 27 
June 200216 established a European Maritime Safety Agency (hereinafter 'the Agency') 
for the purpose of ensuring a high, uniform and effective level of maritime safety and 
prevention of pollution by ships. 

Regulation  (EC)  No  724/2004  of  the  European  Parliament  and  of  the  Council  of  31 
March  200417,  which  amended  Regulation  (EC)  No  1406/2002,  assigned  to  the 
Agency  tasks  in  the  fields  of  prevention  and  response  to  pollution  caused  by  ships, 
following  accidents  in  European  waters,  particularly  those  of  the  oil  tankers  "Erika" 
and "Prestige". 

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15 
16 
17 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ L 208 of 5.8.2002, p.1. 
OJ L 129 of 31.4.2004, p. 1. 

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(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Regulation  (EU)  No  100/2013  of  the  European  Parliament  and  of  the  Council  of  15 
January  201318,  amending  Regulation  (EC)  No  1406/2002,  assigned  to  the  Agency 
tasks  with  regard  to  response  to  marine  pollution  caused  by  oil  and  gas  installations 
and extended the Agency's services to the countries covered by the enlargement policy 
and by the European Neighbourhood Policy. 

Regulation (EC) No 2038/2006 of the European Parliament and of the Council of 18 
December  200619  established  a  multiannual  funding  for  the  action  of  the  European 
Maritime  Safety  Agency  in  the  field  of  response  to  pollution  caused  by  ships  which 
expires on 31 December 2013. 

For the purposes of implementing the tasks of preventing and responding to pollution 
by  ships,  the  Administrative  Board  of  the  Agency  adopted  on  22  October  2004  an 
Action  Plan  for  Oil  Pollution  Preparedness  and  Response,  which  determines  the 
Agency's oil pollution response activities and is aimed at optimum use of the financial 
resources  available  to  the  Agency.  On  12  June  2007,  the  Administrative  Board 
adopted an Action Plan for Hazardous and Noxious Substances Pollution Preparedness 
and  Response.  In  accordance  with  Article  15  of  Regulation  1406/2002,  both  action 
plans are updated yearly through the Agency's annual work programme. 

The pollution response action of the Agency, as specified in the Action Plans, relates 
to  activities  in  the  fields  of  information,  cooperation  and  coordination  and  above  all 
the provision of operational assistance to the affected States by supplying, on request, 
additional  anti-pollution  vessels  to  combat  oil  pollution  and  other  types  of  pollution 
such  as  that  caused  by  hazardous  and  noxious  substances.  The  Agency  should  pay 
particular  attention  to  those  areas  identified  as  most  vulnerable  without  prejudice  to 
any other area in need. 

The  activities  of  the  Agency  in  this  field  should  not  relieve  coastal  states  of  their 
responsibility to have appropriate pollution response mechanisms in place and should 
comply with existing cooperation arrangements providing for mutual assistance in the 
event  of  a  maritime  pollution  incident.  The  Union  has  acceded  to  various  regional 
organisations and is preparing accession to other regional organisations. 

The  Agency's  action  should  be  coordinated  with  the  activities  of  the  bilateral  and 
regional agreements that the Union has acceded to. In the event of a maritime pollution 
incident, the Agency should assist the affected State(s), under whose authority clean-
up operations are conducted. 

The  Agency  should  play  an  active  role  in  maintaining  and  developing  further  the 
satellite  imagery  service  for  surveillance,  the  early  detection  of  pollution  and 
identification of the responsible ships or oil and gas installations. This system should 
improve the availability of data and the effectiveness of the response to pollution. 

(10)  The  additional means to be provided  by the Agency to the affected States should be 
made  available  through  the  Community  Civil  Protection  Mechanism  established  by 
Council Decision 2007/779/EC, Euratom of 8 November 200720. 

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OJ L 39 of 9.2.2013, p.30. . 
OJ L 394 of 30.12.2006, p.1. 
OJ L 314, 1.12.2007, p. 9. 

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(11) 

In  order  to  ensure  thorough  implementation,  the  Agency  should  be  provided  with  a 
viable and cost-effective system for financing, in particular, its operational assistance 
to the affected States. 

(12)  Financial security should therefore be provided for the funding of the tasks entrusted 
to the Agency in the field of pollution response and associated actions on the basis of a 
multiannual  commitment.  The  annual  amounts  of  the  Union  contribution  should  be 
determined  by  the  Budgetary  Authority  in  accordance  with  the  annual  budgetary 
procedure. 

(13)  The amounts to be committed for the funding of pollution response should cover the 
period from 1 January 2014 to 31 December 2020, in line  with the new multiannual 
financial framework. A financial envelope covering the same period should therefore 
be provided. 

(14)  The  Agency's  support  to  countries  covered  by  the  enlargement  policy  and  by  the 
European  Neighbourhood  Policy  should  be  financed  through  existing  Union 
programmes  for  these  countries  and  should  therefore  not  be  part  of  this  multiannual 
financial framework. 

(15) 

In order to optimise the allocation of commitments and take into account any changes 
with  regard  to  activities  in  response  to  pollution  caused  by  ships,  it  is  necessary  to 
ensure  continuous  monitoring  of  the  particular  needs  for  action  so  as  to  allow  for 
adaptation of the annual financial commitments. 

(16) 

In  accordance  with  Regulation  (EU)  No  100/2013  amending  Regulation  1406/2002, 
the Agency should report on the financial execution of the multiannual framework in 
its annual report. 

HAVE ADOPTED THIS REGULATION: 

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Article 1 

Subject matter 

This  Regulation  lays  down  the  detailed  arrangements  for  the  financial  contribution  of  the 
Union to the budget of the European Maritime Safety Agency for the implementation of the 
tasks assigned to it in the field of responding to pollution caused by ships and offshore oil and 
gas installations, pursuant to Articles 1 and 2 of Regulation (EC) No 1406/2002. 

Article 2 

Definitions 

For the purposes of this Regulation the following definitions shall apply: 

(a)  "oil"  means  petroleum  in  any  form  including  crude  oil,  fuel  oil,  sludge,  oil  refuse  and 
refined products as established by the International Convention on Oil Pollution Preparedness, 
Response and Cooperation, 1990; 

(b)  "hazardous  and  noxious  substances"  means  any  substance  other  than  oil  which,  if 
introduced into the marine environment, is likely to create hazards to human health, to harm 
living resources and marine life, to damage amenities or to interfere with other legitimate uses 
of  the  sea,  as  established  by  the  Protocol  on  Preparedness,  Response  and  Cooperation  to 
Pollution Incidents by Hazardous and Noxious Substances, 2000. 

Article 3 

Scope 

The  financial  contribution  of  the  Union  referred  to  in  Article  1  shall  be  allocated  to  the 
Agency with the aim of financing actions in the field of response to pollution caused by ships 
and  to  marine  pollution  caused  by  offshore  oil  and  gas  installations  such  as  the  ones 
mentioned in the Agency's Action Plans for Oil Pollution Preparedness and Response and for 
Hazardous and Noxious Substances Pollution Preparedness and Response, in particular those 
relating to: 

(a)  information,  in  particular  the  assemble,  analysis  and  dissemination  of  best  practices, 
techniques and innovations, such as instruments for monitoring ships' tank-emptying and for 
monitoring of offshore platforms for operational releases and accidental spills; 

(b) cooperation and coordination and the provision to the Member States and the Commission 
of  technical  and  scientific  assistance  in  the  framework  of  the  relevant  activities  of  the  EU 
Civil  Protection  Mechanism,  the  International  Maritime  Organization  and  the  relevant 
regional agreements; 

(c) operational assistance and supporting, on request, with additional means, such as stand-by 
anti-pollution ships, satellite images and equipment, pollution response actions by the affected 

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States  in  the  event  of  accidental  or  deliberate  pollution  caused  by  ships  or  marine  pollution 
caused by offshore oil and gas installations. 

Article 4 

Union funding 

The  financial  envelope  for  the  implementation  of  the  tasks  referred  to  in  Article  3  for  the 
period  from  1  January  2014  to  31  December  2020  shall  be  EUR  160.500.000  expressed  in 
current prices. 

Annual appropriations shall be determined by the budgetary authority within the limits of the 
financial framework. In this connection the necessary funding of operational assistance to the 
Member States pursuant to Article 3(c) shall be guaranteed. 

Article 5 

Monitoring existing capabilities 

In order to define the requirements for the provision of operational assistance by the Agency, 
such as additional anti-pollution vessels, the Agency shall set up on a regular basis a list of the 
public and, where available, private pollution response mechanisms and associated response 
capabilities in the various regions of the Union. 

The Member States shall provide the Agency with the necessary information to set up this list.  

The  Agency's  Administrative  Board  shall  take  this  list  into  account  before  deciding  on  the 
Agency's pollution response activities in the framework of the annual work programmes.  

Article 6 

Protection of Union financial interests 

1.  The  Commission  and  the  Agency  shall  ensure  that,  when  actions  funded  under  this 
Regulation  are  implemented,  the  financial  interests  of  the  Union  are  protected  by  the 
application  of  preventive  measures  against  fraud,  corruption  and  any  other  illegal  activities, 
by  means  of  effective  checks  and  the  recovery  of  any  amounts  unduly  paid  and,  where 
irregularities  are  detected,  by  effective,  proportional  and  dissuasive  penalties,  in  accordance 
with Council Regulations (EC, Euratom) No 2988/9521 and (Euratom, EC) No 2185/9622 and 
Regulation (EC) No 1073/199923 of the European Parliament and of the Council. 

2. For the Union actions funded under this Regulation, the notion of irregularity referred to in 
Article  1(2)  of  Regulation  (EC,  Euratom)  No  2988/95  shall  mean  any  infringement  of  a 

21 
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23 

OJ L 312, 23.12.1995, p. 1. 
OJ L 292, 15.11.1996, p. 2. 
OJ L 136, 31.5.1999, p. 1. 

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12 

   EN 

                                                 
provision  of  Union  law  or  any  breach  of  a  contractual  obligation  resulting  from  an  act  or 
omission  by  an  economic  operator,  which  has,  or  would  have,  the  effect  of  prejudicing  the 
general  budget  of  the  European  Union  or  budgets  managed  by  it,  by  an  unjustified  item  of 
expenditure. 

3.  The  Commission  and  the  Agency  shall,  each  within  its  respective  sphere  of  competence, 
ensure  that  best  value  for  money  is  achieved  in  the  funding  of  Union  actions  under  this 
Regulation. 

Article 7 

Mid-term evaluation 

The  Commission  shall  submit  to  the  European  Parliament  and  the  Council,  on  the  basis  of 
information  provided  by  the  Agency,  a  report  on  the  implementation  of  this  Regulation  no 
later than 31 December 2017. The report, which shall be established without prejudice to the 
role of the Administrative Board of the Agency, shall set out the results of the utilisation of 
the  Union  contribution  referred  to  in  Article  4  as  regards  commitments  and  expenditure 
covering the period between 1 January 2014 and 31 December 2016. 

On the basis of this report, the Commission may, if appropriate, propose amendments to this 
Regulation  in  particular  in  order  to  take  account  of  scientific  progress  in  the  field  of 
combating pollution caused by ships and marine pollution caused by oil and gas installations, 
especially pollution caused by oil or hazardous and noxious substances. 

Article 8 

Entry into force 

This Regulation shall enter into force on the twentieth day following that of its publication in 
the Official Journal of the European Union. 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels,  

For the European Parliament 
The President 
[…] 

For the Council 
The President 
[…] 

EN 

13 

   EN 

LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE 

1.1. 

Title of the proposal/initiative  

Proposal  for  a  Regulation  (EU)  of  the  European  Parliament  and  of  the  Council  on 
multiannual funding for the action of the European Maritime Safety Agency in the field of 
response  to  pollution  caused  by  ships  and  to  marine  pollution  caused  by  oil  and  gas 
installations 

1.2. 

Policy area(s) concerned in the ABM/ABB structure24 

06: Energy and Transport 

0602: Inland, air and maritime transport policy 

060203: European Maritime Safety Agency 

06020302: European Maritime Safety Agency, Anti-pollution measures 

Implementation of provisions related to pollution response caused by ships and to marine 
pollution caused by oil and gas installations 

1.3. 

Nature of the proposal/initiative  

⌧ The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action25  

(cid:133) The proposal/initiative relates to the extension of an existing action  

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objectives 

1.4.1.  The Commission's multiannual strategic objective(s) targeted by the proposal/initiative  

Objectives/EU added value in line with Europe 2020:  

The  Agency  contributes  to  safe,  secure  and  sustainable  maritime  transport  for  the  EU 
economy and for the EU citizens. This is fully in line with the three priorities of Europe 
2020: 

– Smart growth: developing an economy based on knowledge and innovation. The Agency 
contributes to the development of the highest possible technical standards for vessels, thus 
promoting knowledge and innovation. 

– Sustainable growth: promoting a more resource efficient, greener and more competitive 
economy.  The  Agency  contributes  to  the  prevention  of  pollution  by  vessels  and  the 

24 
25 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

EN 

14 

   EN 

                                                 
response  to  marine  pollution  in  different  areas.  Shipping  will  contribute  to  the  flagship 
initiative  "Resource  efficient  Europe".  The  Agency  will  play  its  role  in  the  sector 
implementation. 

– Inclusive growth: fostering a high-employment economy delivering social and territorial 
cohesion.  With  regard  to  islands  and  ultra-peripheral  regions,  maritime  transport  is  an 
essential element for ensuring territorial cohesion and integration into the EU. The Agency 
contributes to make maritime transport safe, secure and sustainable for the EU. 

1.4.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned  

Budget area 06 02 Specific objective No. 3 Improve transport safety 

ABM/ABB activity(ies) concerned 06020302 European Maritime Safety Agency 

1.4.3.  Expected result(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

Provide financial security in a multiannual perspective to the Agency's action in the field of 
response to pollution 

1.4.4. 

Indicators of results and impact  

Specify the indicators for monitoring implementation of the proposal/initiative. 

EMSA  has  developed  performance  indicators,  which  are  published  in  its  annual  work 
programmes. These are monitored constantly by the Administrative Board. The Agency's 
annual reports are the main monitoring tool. 

1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term  

Allow  EMSA  to  conclude  multiannual  contracts  and  make  the  necessary  budgetary 
planning. 

1.5.2.  Added value of EU involvement 

EU involvement is laid down in EMSA's Founding Regulation 1406/2002 as amended; this 
proposal will provide added value by allowing better planning and spending of EU money. 

1.5.3.  Lessons learned from similar experiences in the past 

EMSA's specific evaluation in 2008 as well as the general evaluation of the EU Agencies 
in 2009 both showed the added value provided by the Agency.  

The  Commission  submitted 
COM(2011)286 as foreseen by Article 8 of Regulation 2038/2006. 

in  May  2011 

its  mid-term  report  under  reference 

The Internal Audit Service (IAS) of the Commission carried out a dedicated audit in 2009 
regarding the network of stand-by oil spill response vessels. 

EN 

15 

   EN 

1.5.4.  Coherence and possible synergy with other relevant instruments 

The proposal is coherent with the EU maritime safety policy and legislation, in particular 
with  the  EMSA  Founding  Regulation  100/2013  reviewing  the  Agency's  mandate.  The 
proposal is a follow up to Regulation 2038/2006 which will expire at the end of 2013. 

1.6. 

Duration and financial impact  

⌧ Proposal/initiative of limited duration  

–  ⌧ Proposal/initiative in effect from 01/01/2014 to 31/12/2020 

–  ⌧ Financial impact from 2014 to 2020 (plus outstanding payments) 

(cid:134) Proposal/initiative of unlimited duration 

1.7.  Management mode(s) envisaged26  

(cid:133) Centralised direct management by the Commission  

⌧ Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:133)  executive agencies  

–  ⌧ bodies set up by the Communities27  

–  (cid:133)  national public-sector bodies/bodies with public-service mission  

–  (cid:133)  persons entrusted with the implementation of specific actions pursuant to Title V of 
the  Treaty  on  European  Union  and  identified  in  the  relevant  basic  act  within  the 
meaning of Article 49 of the Financial Regulation  

(cid:133) Shared management with the Member States  

(cid:133) Decentralised management with third countries  

(cid:133) Joint management with international organisations (to be specified) 

26 

27 

Details of management modes and references to the Financial Regulation may be found on the BudgWeb site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

EN 

16 

   EN 

                                                 
2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

All EU agencies work under a strict monitoring system involving internal audit capability, the 
Internal  Audit  Service  of  the  Commission,  the  Administrative  Board,  the  Commission,  the 
Court  of  Auditors  and  the  Budgetary  Authority.  This  system  as  laid  down  in  EMSA's 
Founding Regulation will continue to apply. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

None 

2.2.2.  Control method(s) envisaged  

Not applicable 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

The anti-fraud measures under Article 20 of EMSA's Founding Regulation continue to apply. 
In addition, the proposal has a specific Article on protection of the Union's financial interests. 

EN 

17 

   EN 

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

Number  
[Description………………………...……….] 

DA/NDA 
(28) 

from 
EFTA29 
countries 

from 
candidate 
countries30 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

Heading of 
multiannual 
financial 
framework 

06.02.03.02 

1a 

[Contribution 
Anti-Pollution Measures] 

to  EMSA  Title 

III 

DA 

YES 

NO 

NO 

NO 

28 
29 
30 

DA= Differentiated appropriations / DNA= Non-Differentiated Appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

18 

   EN 

                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of next multiannual financial framework: 

1 

Smart and Inclusive Growth 

DG: MOVE 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

EUR million (to 3 decimal places) expressed in current prices 

(cid:121) Operational appropriations 

Number of budget line 06.02.03.02 

Appropriations 
of 
from the envelop of specific programs31  
Number of budget line: n/a 

an 

administrative 

Commitments 

Payments 

(1) 

(2) 

19,675 
19,926 

20,600 
22,239 

21,600 
23,318 

22,800 
20,245 

24,675 
23,268 

25,050 
23,833 

26,100 
25,175 

nature 

financed 

(3) 

0 

0 

0 

0 

0 

0 

0 

TOTAL appropriations 
for DG MOVE 

Commitments 

= 1 + 3 

Payments 

= 2 + 3 

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelop of specific programs  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADING 1 
of the multiannual financial framework 

Commitments 

= 4 + 6 

Payments 

= 5 + 6 

19,675 

20,600 

21,600 

22,800 

24,675 

25,050 

26,100 

19,926 

22,239 

23,318 

20,245 

23,268 

23,833 

25,175 

19,675 

20,600 

21,600 

22,800 

24,675 

25,050 

26,100 

19,926 

22,239 

23,318 

20,245 

23,268 

23,833 

25,175 

0 

0 

0 

0 

0 

0 

0 

19,675 

20,600 

21,600 

22,800 

24,675 

25,050 

26,100 

19,926 

22,239 

23,318 

20,245 

23,268 

23,833 

25,175 

160,500 
158,004 

0 

160,500 

158,004 

160,500 

158,004 

0 

160,500 

158,004 

31 

EN 

Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect 
research, direct research. 

19 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

EUR million (to 3 decimal places) 

DG: MOVE 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

TOTAL DG MOVE 

Appropriations  

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

Payments 

EUR million (to 3 decimal places) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

19,675 

20,600 

21,600 

22,800 

24,675 

25,050 

26,100 

19,926 

22,239 

23,318 

20,245 

23,268 

23,833 

25,175 

160,500 

158,004 

EN 

20 

E

 
  
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133)  The proposal/initiative does not require the use of operational appropriations  

–  ⌧ The proposal/initiative requires the use of operational appropriations, as explained below: 

Indicate 
objectives 
and outputs 

OUTPUTS 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

Commitment appropriations in EUR million (to 3 decimal places) 

Type 
output 

of 

(cid:216) 

Average 
cost  
of 
output 

the 

s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

Cost 

s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

Cost 

s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

Cost 

s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

Cost 

s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

Cost 

s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

Cost 

s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

Cost 

Total 
number 
of 
outputs 

Total  
cost 

Improve Transport Safety 

Network of 
Response 
Vessels32 

of 

for 

Number 
vessels 
available 
simultaneous 
mobilisation 

19  15,620

19

16,150

19

17,100

19

17,600

19  19,975

19

20,000

19

21,000

19

127,445

Approx. 
EURO 
0.95  M  / 
vessel/year 

of 

CleanSeaNet  Number 
satellite 
images 
processed  per 
year 

Approx. 
EURO 
2,05 
satellite 
image 

/ 

Cooperation 
and 
coordination / 
Information  

Activities  with 
Member States 
including 
training 
studies 

and 

Not 
quantifiabl
e 

2000 

3,605

2000 

3,850

2000

3,900

2000

4,550

2000 

4,050

2000

4,350

2000

4,400

14,000

28,705

N/A 

0,450 N/A

0,600 N/A

0,600 N/A

0,650 N/A 

0,650 N/A

0,700 N/A

0,700

N/A

4,350

32 

This includes amounts for at-sea exercises as well as EUR 6.02 M to combat marine pollution caused by oil and gas installations. 

EN 

21 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL COST 

  19,675

20,600

21,600

22,800

  24,675

25,050

26,100

160,500

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

EN 

22 

EN 

 
  
 
 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  ⌧ The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  (cid:134)  The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

TOTAL 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0

EN 

23 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
3.2.3.2.   Estimated requirements of human resources  

–  ⌧ The proposal/initiative does not require the use of human resources  

–  (cid:134)  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

3.2.4.  Compatibility with the current multiannual financial framework  

–  (cid:134)  Proposal/initiative  is  compatible  with  the  current  multiannual  financial 

framework. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

Explain what reprogramming is required, specifying the budget lines concerned and the corresponding 
amounts. 

The proposal concerns the multiannual financial framework for the period 2014-2020. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision 

of the multiannual financial framework33. 

Explain what is required, specifying the headings and budget lines concerned and the corresponding 
amounts. 

3.2.5.  Third-party contributions  

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

Total 

0,472 

0,407

0,466

0,407

0,481

0,481 

0,496

3,210

20,147 

21,007

22,066

23,207

25,156

25,531 

26,596

163,710

EFTA  Contribution  from 
Norway 
Iceland 
and 
calculated  at  2%  of  the 
budget 

TOTAL appropriations 
cofinanced  

3.3. 

Estimated impact on revenue  

–  Proposal/initiative has no financial impact on revenue. 

33 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

24 

   EN