EMSA Consolidated Annual Activity Report 2016

Dsse From: HAELTERMAN Greta (EMSA) [mailto:[email protected]] On Behalf Of MYLLY Markku (EMSA) Sent: Friday, June 09, 2017 3:32 PM To: [email protected]; [email protected]; klaus- [email protected]; [email protected]; [email protected]; [email protected]; [email protected]; ITALIANER Alexander (COMP) <[email protected]>; [email protected]; [email protected]; [email protected]; Achim Wehrmann <[email protected]>; Agisilaos Anastasakos <[email protected]>; Andreas Linhart <[email protected]>; Andreas Nordseth <[email protected]>; Andrew Angel <[email protected]>; Arnold van Vuuren <[email protected]>; Benito Nunez Quintanilla <[email protected]>; BERG Christine (MOVE.DDG1.D.2) <[email protected]>; Captain Ctirad Pacak <[email protected]>; Constantin Casiade <[email protected]>; Costas Costaras <[email protected]>; [email protected]; Csaba Bellyei <[email protected]>; David Bugeja <[email protected]>; Deirdre O'Keeffe <[email protected]>; Doris Possler <[email protected]>; Eilish Kennedy <[email protected]>; Evzen Vydra <[email protected]>; Frans van Rompuy <[email protected]>; Haroona Chughtai <[email protected]>; HOLOLEI Henrik (STAFF) <[email protected]>; Ioannis Efstratiou 1 <[email protected]>; Ioannis Efstratiou 2 <[email protected]>; Ivan Sammut <[email protected]>; Jadran Klinec <[email protected]>; Jadran Klinec 2 <[email protected]>; Jan Reche <[email protected]>; Janis Krastins <[email protected]>; Joel Mathieu <[email protected]>; José Maciel <[email protected]>; José Simao <[email protected]>; Josef Mrkva <[email protected]>; KAZMIERCZAK Agnieszka (IAS.A) <[email protected]>; Kirsti Slotsvik <[email protected]>; KOPCZYNSKA Magda (MOVE.DDG1.D.1) <[email protected]>; Laima Rituma <[email protected]>; Lieske Streefkerk <[email protected]>; LUCHNER Johannes (ECHO.B.4) <[email protected]>; Luksa Cicovacki <[email protected]>; Maciej Styczynski <[email protected]>; Maja Markovcic Kostelac <[email protected]>; Maria Gelin new <[email protected]>; Mr Olafur J. Briem <[email protected]>; Olav Akselsen <[email protected]>; Pernilla Wallin <[email protected]>; Petar Kirov <[email protected]>; Peter Claeyssens <[email protected]>; Piero Pellizzari <[email protected]>; Primoz Bajec <[email protected]>; Rafael Rodriguez Valero <[email protected]>; Rene Arikas <[email protected]>; Robert Biwer <[email protected]>; Robert Kojnok <[email protected]>; Robertinas Tarasevicius <[email protected]>; ROMAN PARRA Marcos (TENEA.T10) <[email protected]>; SELLIER Barbara (ENER.A.1) <[email protected]>; Tarmo Ots <[email protected]>; Thierry Coquil <[email protected]>; Thorolfur Arnason <[email protected]>; Thorolfur Arnason 2 <[email protected]>; Tuomas Routa <[email protected]>; [email protected]; Vincent Denamur <[email protected]>; Viorel Olea <[email protected]>; Wojciech Zdanowicz <[email protected]>; Zhivko Petrov <[email protected]> Cc: [email protected]; [email protected]; CONT- [email protected]; [email protected]; RENAUDIERE Philippe (SG.DSG1.DP) <[email protected]>; CALVINO Nadia (MARKT.DDG2) <[email protected]>; [email protected] Subject: EMSA Consolidated Annual Activity Report 2016 Dear Sir/Madam, On behalf of Mr Markku Mylly, please find attached the following documents concerning the EMSA Consolidated Annual Activity Report 2016:  Transmission note from the Chairman of the Administrative Board of EMSA  EMSA Consolidated Annual Activity Report 2016 Yours sincerely, Greta Haelterman Administrative Assistant Executive Office EMSA / Praça Europa 4 / 1249-206 Lisbon / Portugal Tel +351 21 1209 298 / Fax +351 21 1209 212 [email protected] / emsa.europa.eu Ref. Ares(2017)2894661 - 09/06/2017 Draft Consolidated Annual Activity Report 2016 EUROPEAN MARITIME SAFETY AGENCY (EMSA) Adopted by the EMSA Administrative Board on 31 May 2017 CONTENTS EMSA Administrative Board’s Assessment ........................................................................................ 4 Introduction .......................................................................................................................................... 10 The Agency in brief ........................................................................................................................................ 11 The Year in brief ............................................................................................................................................ 12 PART I – Achievements of the year ................................................................................................... 18 List of EMSA Activities ................................................................................................................................... 18 Maritime Transport and Surveillance - information on ships, cargoes and ship movements .... 20 2.1 THE UNION MARITIME INFORMATION AND EXCHANGE SYSTEM ................................................... 20 a. Integrated maritime services ...................................................................................................................... 21 b. SafeSeaNet ............................................................................................................................................... 24 c. Improving internal market and maritime transport efficiency ...................................................................... 26 2.2 EU LONG RANGE IDENTIFICATION AND TRACKING (LRIT) COOPERATIVE DATA CENTRE (CDC) AND LRIT INTERNATIONAL DATA EXCHANGE (IDE) ................................................................................ 28 2.3 THETIS .................................................................................................................................................... 30 a. THETIS and associated modules .............................................................................................................. 31 b. THETIS-MRV ............................................................................................................................................. 33 c. Emission inventories .................................................................................................................................. 34 2.4 MARITIME SUPPORT SERVICES .......................................................................................................... 36 Project: COPERNICUS MARITIME SURVEILLANCE SERVICE .................................................................. 38 Project: FRONTEX ........................................................................................................................................ 40 Project: Interagency cooperation with Frontex and EFCA on national Coast Guard functions ...................... 42 Visits and inspections to monitor the implementation of EU legislation ...................................... 44 3.1 CLASSIFICATION SOCIETIES ............................................................................................................... 44 3.2 STCW ...................................................................................................................................................... 46 3.3 IMPLEMENTATION OF THE PSC DIRECTIVE ...................................................................................... 48 3.4 MARITIME SECURITY ............................................................................................................................ 50 3.5 MONITORING IMPLEMENTATION OF OTHER EU MARITIME LEGISLATION .................................... 52 3.6 HORIZONTAL ANALYSIS AND RESEARCH .......................................................................................... 54 Providing Member States and the Commission with technical and scientific assistance and facilitating technical cooperation between Member States’ Maritime Authorities and with the Commission. 56 4.1 PORT STATE CONTROL ........................................................................................................................ 56 4.2 ACCIDENT INVESTIGATION .................................................................................................................. 58 4.3 TECHNICAL ASSISTANCE (TRAINING AND COOPERATION) ............................................................ 61 4.4 MARINE EQUIPMENT AND SHIP SAFETY STANDARDS ..................................................................... 63 4.5 MARITIME INFORMATION, EQUASIS AND STATISTICS ..................................................................... 65 4.6 PREVENTION OF POLLUTION BY SHIPS ............................................................................................. 67 Project: SAFEMED III .................................................................................................................................... 71 Project: TRACECA II ..................................................................................................................................... 73 Pollution preparedness, detection and response ............................................................................ 75 5.1 OPERATIONAL POLLUTION RESPONSE SERVICES .......................................................................... 75 5.2 EARTH OBSERVATION: CLEANSEANET AND ILLEGAL DISCHARGES ............................................. 78 5.3 COOPERATION & INFORMATION RELATING TO POLLUTION PREPAREDNESS & RESPONSE .... 81 Horizontal activities ............................................................................................................................. 84 6.5 COMMUNICATION, DOCUMENT MANAGEMENT, MISSIONS AND EVENTS SUPPORT ................... 84 6.1, 6.2, 6.3 AND 6.4 OVERHEAD/HORIZONTAL TASKS ........................................................................... 86 2 Part II – Management ........................................................................................................................... 92 2.1 Administrative Board .................................................................................................................... 92 2.2 Major events ................................................................................................................................... 94 2.3 Budgetary and financial management ......................................................................................... 96 2.4 Human Resources management .................................................................................................. 97 2.5 Assessment by management ....................................................................................................... 98 2.6 Budget implementation tasks entrusted to other services and entities .................................. 98 2.7 Assessment of audit results during the reporting year ............................................................. 99 2.7.1 IAS ........................................................................................................................................................ 99 2.7.2 ECA .................................................................................................................................................... 100 2.8 Follow up of audits plans, audits and recommendations ....................................................... 100 2.9 Follow up of observations from the Discharge authority ........................................................ 100 Part II (b) External Evaluations ......................................................................................................... 102 Part III Assessment of the effectiveness of the internal control systems ................................... 103 3.1 Risk Management ........................................................................................................................ 103 3.2. Compliance and effectiveness of Internal Control Standards ............................................... 103 Part IV Management assurance ....................................................................................................... 105 4.1 Review of the elements supporting assurance ........................................................................ 105 4.2 Reservations ................................................................................................................................ 106 4.3 Overall conclusion on assurance .............................................................................................. 106 Part V Declarations of assurance .................................................................................................... 107 Annexes ` ................................................................................................................................ 109 Annex I. Core business statistics .................................................................................................... 109 EMSA Key Performance Indicators 2016 .................................................................................................... 109 Operational Agreements active in 2016 ....................................................................................................... 118 Annex II. Statistics on financial management ................................................................................ 121 Evolution of budget execution ...................................................................................................................... 121 Negotiated procedures ................................................................................................................................ 122 Annex III. Organisational chart ......................................................................................................... 123 Annex IV. Establishment plan and additional information on Human Resources management124 Establishment plan 2016 ............................................................................................................................. 124 Entry level for type of post ........................................................................................................................... 125 Results of the screening exercise ................................................................................................................ 126 Annex V. Human and financial resources by activity .................................................................... 127 Annex VI. Specific annexes related to Part II – Management........................................................ 129 Annex VII. Specific annexes related to Part III - Assessment of the effectiveness of the internal control systems........................................................................................................................................... 130 Annex VIII. Annual accounts ............................................................................................................ 131 Economic outturn account ........................................................................................................................... 131 Balance sheet .............................................................................................................................................. 132 Annex IX. EMSA’s report on the multi-annual funding of the Agency’s pollution preparedness and response as laid down in Regulation (EU) No 911/2014. ........................................................... 133 3 EMSA Administrative Board’s Assessment 4 5 6 7 8 9 Introduction The framework for the activities of the European Maritime Safety Agency is shaped by the Agency’s Founding Regulation, in which the legislator lays down and amends the tasks of the Agency; its 5-year Strategy, through which the governing body, the EMSA Administrative Board, and the Executive Director, provide a strategic outlook in an evolving policy context; and the programming of resources for decentralised agencies, which outlines the level of human and financial resources which may be made available to this particular Agency in order to carry out its tasks in the field of maritime safety and security, traffic monitoring, prevention of pollution by ships and response to oil pollution cause by ships and oil and gas installations. The annual EMSA Work Programme 2016 was drawn up within the multi-annual framework outlined above. It should be noted that the latest revision of the EMSA Founding Regulation, adding interagency cooperation on coastguard functions to EMSA’s mandate, was adopted in September 2016 (Regulation (EU) No 2016/1625 of 14 September 2016). The year was coloured by this legislative process in terms of planning for possible new tasks. The Agency has a responsibility to its stakeholders to prepare as much as possible, within the limits of the existing mandate and the annual programme of work, for potential new responsibilities, in order to be in a position to take them on as efficiently and effectively as possible from when they enter into force - to hit the ground running. The Consolidated Annual Activity Report (CAAR) is an annual reporting exercise focused on the implementation of an annual programme of work, with specifically allocated resources and related annual objectives, outputs, and performance targets. The CAAR 2016 provides a detailed account of the actions carried out to implement the Work Programme 2016 with the resources authorised for that year, in accordance with the applicable general framework. A key element of this framework has been the first 5% staff cut provided for under the Commission Communication on the programming of resources for decentralised agencies. The gradual implementation of this cut by the Agency was concluded with the earmarking of five posts in the 2015 establishment plan (207 posts) and their final cut in 2016 (202 posts). Part I reports on the operational achievements of the year. Information is provided per activity, focusing on the added value of each activity with respect to higher level objectives. Budget and staff resources devoted to each activity are indicated, in terms of both “planned” and “actual” inputs, and performance targets and results are provided. Annex VII contains the dedicated report on the multi-annual funding of the Agency’s pollution preparedness and response activities. Parts II, III and IV focus on the management of the Agency and the building blocks of assurance. This report demonstrates that the objectives set out for 2016 were achieved through a high level of implementation of the work programme for that year. This was possible thanks to good governance, sound management, and dedicated staff who continue to transform the opportunities and constraints of a given year into real benefits, and deliver added value to the Commission and the Member States in the maritime sector – to make it cleaner, safer and more efficient. Markku Mylly Executive Director 10 The Agency in brief Safer seas, quality shipping, efficiency of maritime transport and cleaner environment and oceans The idea of a European Maritime Safety Agency (EMSA) originated in the late 1990s along with a number of other important European maritime safety initiatives. EMSA was set up as the regulatory agency that would provide a major source of support to the Commission and the Member States in the field of maritime safety and prevention of pollution from ships. The Agency was established by Regulation (EC) 1406/2002 and subsequent amendments have refined and enlarged its mandate to cover, among other measures, the efficiency of maritime transport. Tasks and working context EMSA, as a body of the European Union (EU), sits at the heart of the EU maritime safety network and fully recognises the importance of effective collaboration with many different interests and, in particular, between European and international institutions, Member States’ administrations and the maritime industry. EMSA’s activities can be broadly described as:  providing technical and scientific assistance to the Member States and the Commission in the proper development and implementation of EU legislation on maritime safety, security, prevention of pollution by ships and maritime transport administrative simplification;  monitoring the implementation of EU legislation through visits and inspections;  improving cooperation with, and between, Member States in all key areas;  at the request of the Commission, providing technical and operational assistance to non-EU countries around EU sea basins;  providing operational assistance, including developing, managing and maintaining maritime information services related to ships, ships’ monitoring and enforcement;  carrying out operational preparedness, detection and response tasks with respect to pollution caused by ships and marine pollution by oil and gas installations. Equally it is important to note that the Agency’s working environment reflects the initiatives launched by the EU in all policy areas related to the seas in order to strengthen Europe’s competitiveness and sustainable growth. In this respect, of particular relevance is the contribution to the success of the Growth and Jobs Strategy, in terms of supporting the implementation of an attractive framework for quality shipping and quality operators in Europe. Mission, vision and values  EMSA’s mission: To ensure a high, uniform, and effective level of maritime safety, maritime security, prevention of, and response to, pollution caused by ships as well as response to marine pollution caused by oil and gas installations  EMSA’s vision: To promote a safe, clean and economically viable maritime sector in the EU  EMSA’s values: Efficiency, effectiveness, transparency, flexibility, creating added value 11 The Year in brief The Work Programme 2016 was based on:  The Agency’s Founding Regulation, Regulation (EC) No 1406/2002, as amended by Regulation (EU) No 100/2013 of 15 January 2013;  The Regulation (EU) 911/2014 on the 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;  The Commission’s Communication on programming of human and financial resources for decentralised agencies 2014-2020 (COM (2013)519);  The EMSA 5-year Strategy as approved by the Administrative Board in November 2013;  The Action Plan on response to pollution from oil and gas installations, adopted by the Administrative Board in November 2013. The overall priority in 2016 was to continue to deliver the core tasks of the Agency. Through sound prioritisation and by capitalising on synergies within the Agency, EMSA maintained the level of services to Member States and the Commission notwithstanding the staff cuts and the new tasks entrusted to EMSA. Main achievements in 2016 Visits and inspections were carried out as requested by the Commission to monitor the implementation of EU legislation in the fields of maritime safety, maritime security and the prevention of pollution by ships, and to improve the efficiency and effectiveness of the measures in place. The inspections of Recognised Organisations (ROs) were carried out as planned, using a risk based approach. There was a continued focus on the merger of two ROs and the inspections included, amongst others, visits to some smaller offices in locations where the ROs showed increased activity. In total, 21 inspections were carried out, seven of which were head offices, together with an inspection of the Quality Assessment and Certification Entity (QACE) and a visit to one ship, to verify the corrective actions taken by one RO following the Ro-pax campaign of 2010-2011 on structural fire protection. During the inspections the implementation of corrective actions taken following EMSA inspections and Commission assessments was verified. EMSA also prepared draft Commission assessments for three ROs. A workshop was held with all ROs to discuss horizontal issues including Ro-pax fire safety. In 2016, 43 visits and inspections were carried out in different fields (Classification Societies, Standards for Seafarers (STCW), Port State Control, Vessel Traffic Monitoring and Information Systems, Accident Investigation, Port Reception Facilities, the sulphur content of marine fuels and fishing vessel safety). In addition, EMSA participated in eleven missions organised by the Commission and one by the EFTA Surveillance Authority during which a range of individual maritime security inspections were carried out. A certified Quality Management System for EMSA visits and inspections was developed in 2016. The “V&I QMS” (ISO 9001:2015) and associated quality policy aim to ensure the delivery of reliable information on the effectiveness of law implementation measures, and also provide for formal review processes supporting continual improvement. In line with the Founding Regulation, the Agency continued to analyse and assess several series of EMSA inspection and visit reports, to assist the Commission in its consideration of the effectiveness of EU maritime legislation. In 2016, two Horizontal Analyses were completed: an analysis of the truncated cycle of visits to Member States concerning the registration of persons on board passenger ships, to provide input to the Commission’s REFIT exercise on EU maritime safety legislation, and an analysis of the findings from the visits to Member States related to Directive 96/98/EC on marine equipment. In addition, a pilot cost-effectiveness analysis of the PSC Directive was completed, proving the feasibility and benefits of analysing costs, effectiveness and efficiency of the measures put in place by Member States when implementing and enforcing the requirements of Union law. Two workshops took place in 2016, namely on aspects of Directive 2016/802/EU concerning the sulphur content of marine fuels, in preparation for the cycle of visits to Member States that started in the 4th quarter of 2016, and on the human element, where seafarer statistics and the role of human element in maritime accidents represented a valuable input for the discussions. 12 A statistical review carried out on the number of seafarers holding valid EU certificates and endorsements of recognition, representing a snap-shot of the European labour market, was published for the first time in 2016. The report was based on data extracted from certificates and endorsements registered by EU Member States up to 31 December 2014 and recorded in the STCW Information System. In the area of marine equipment and ship safety standards, the Agency supported the Commission’s legislative work at EU and IMO level. A technical expert group on fire safety and the parallel FIRESAFE study identified key risks and possible solutions. Results were presented at the end of the year to representatives from Member States’ Accident Investigation Bodies and Maritime Administrations. The Agency continued to provide assistance to Member States with regard to the implementation of the third maritime safety package through training and exchange of best practices. The Agency also assisted the Commission both in the implementation of the existing Port Reception Facilities Directive as well as in the work performed for its revision. With respect to the existing directive, the Agency has developed and published technical recommendations on its implementation, guidance for PRF inspections and provided technical assistance to the Commission for the development of interpretative guidelines. In relation to the forthcoming revision of the PRF Directive, the Agency has supported the Impact Assessment Support Study and finalised a study on the Management of Ship–Generated Waste. In relation to prevention of pollution from ships, the Agency continued to support the Commission and the Member States in various fields. As concerns the implementation of Directive 2012/33/EU amending Council Directive 1999/32/EC as regards sulphur content of marine fuels, (now codified in Directive EU/2016/802), the Agency organised specialised training for sulphur inspectors both in-house and at national level as well as workshops, to enhance uniform implementation st throughout the Union. The module in THETIS, namely THETIS-S, which was operational since 1 January 2015 to support the authorities responsible for inspection and sampling of fuels as required by the Directive was incorporated into THETIS EU. Throughout 2016, the Agency continued to provide technical and secretariat support to the European Sustainable Shipping Forum and its seven subgroups, including the two additional ones established in support of the MRV Regulation. The support entailed drafting of technical notes, minutes of the meetings, submissions to IMO and logistical support. The Agency also provided technical assistance to the Commission and the Member States for the implementation of the Ship Recycling Regulation. In this respect the Agency finalised and published guidance for the Inventory of Hazardous Materials and the control provision of Title II and organised a relevant workshop. In 2016 EMSA developed the business rules while in parallel concluded a cooperation agreement with the Commission (DG CLIMA) for the development of THETIS-MRV in support of the MRV Regulation. In addition EMSA developed a first draft which was welcomed by Member States and the Commission, of specific guidance provisions for Port Authorities and Administrations in relation to LNG Bunkering. The Agency also tendered a study on the use of fuel cells in shipping which was delivered at the end of 2016. Finally the Agency concluded the development of a new functionality in THETIS-EU to establish and evaluate the inventories of shipping emissions based on shipping activity data for domestic, short sea and international shipping. The activity data are the historic Automatic Identification System (AIS) data made available by the Member States through SafeSeaNet as well as LRIT data, as foreseen by the Cooperation Agreement that was signed with the Commission (DG ENV) in September 2015. In November 2016 the Agency delivered to the Commission the inventories of shipping emissions for the period 2011-2015, thus offering to the Commission and Member States quantification of the bottom-up emissions (SOx, NOx and PM) resulting from combustion of marine fuel from international and domestic shipping. Activities to strengthen Port State Control in co-operation with the Paris Memorandum of Understanding (Paris MoU) remained a priority. In addition to ensuring the management of THETIS, the Agency continued to support the implementation of the inspection regime at national level through an extensive e-learning system, training and the provision of a specific helpdesk. In 2015 the modules forming the e-learning programme delivered through the system “MaKCs” were made available to the Caribbean Ocean MoU on PSC. EMSA provided support for the common EU position at IMO on the risk-based damage stability of passenger vessels and the final results of the associated study (EMSA 3) was forwarded to the relevant IMO sub-committee (SDC). Extensive support was also provided in the fitness check evaluation of EU Passenger Ship Safety legislation culminating in the report and staff working document being published in October 2015. EMSA continued to coordinate an expert group of Member State administrations and Accident Investigatory bodies in a technical analysis of fire on ro-ro decks of European passenger ships, and provided support for the implementation of the new Marine Equipment Directive (Directive 2014/90/EU) by coordinating technical exchanges with the national experts. 13 In 2016 Member States uploaded 4702 occurrences in the Agency’s European Marine Casualty Information Platform (EMCIP); a 9% increase over 2015. The data in EMCIP was used to support work including the analysis of fires on board ro-ro ferries, a study by the Commission on the evaluation of Regulation 392/2009 on the Liability of Carriers of Passengers by Sea in the Events of Accidents and to publish the third Annual Overview of Marine Casualties and Incidents. During the year, preparatory work was completed for the development of a new EMCIP that will bring hosting in-house, permit more user-friendly design and provide greater assistance to the accident investigators. A total of 24 different training activities took place in 2016. They were attended by a total of 634 participants and covered a wide range of topics, including training for port State control officers and accident investigators. In addition to that, the Agency continued offering training within the framework of SAFEMED III and 16 sessions were organised for a total of 187 participants and 11 other technical activities were implemented during the year. The Agency continued providing technical assistance within the framework of TRACECA II and 10 sessions were organised with participation of 91 experts and 10 other technical activities were implemented for the Eastern European Neighbouring Partners. Finally, a new agreement with the Commission for the participation of enlargement countries in the work of EMSA was signed in 2015 and implemented in 2016. In addition the Agency started focussing on capacity building, taking into consideration the growing and vast regulatory framework, as well as the need to reach different competent national authorities in charge of the implementation of the relevant acquis communautaire, to learn from each other and exchange best practises, and to keep in the picture the different coastguard functions falling under the remit of the Agency. As a consequence the Agency offered training more focussed on case studies, practical exercises and working groups, as well as developing further its portfolio of eLearning courses, thus reaching a wider audience. In this respect six eLearning modules tackling various EU legal acts were developed in 2016. The Agency is also recognised as a European platform for exchange of knowledge and best practices between maritime safety and pollution response experts from the Commission, EU Member States, EFTA/EEA Member States and candidate as well as potential candidate countries: 50 different workshops and working groups were organised with 1426 participants from all over Europe. These included several sessions for CleanSeaNet users, ongoing SafeSeaNet group workshops, EMCIP workshops and User Group meetings, THETIS User Group meetings, PSC training review meetings, a workshop on fires on ro-ro decks involving national administrations and accident investigation bodies, Marine Equipment Experts’ meeting notably on the implementation of the new MED Directive, working groups comprising LRIT National Competent Authorities and specialised groups in the field of Marine Pollution Preparedness and Response (e.g. vessel users, claims management, dispersants). Moreover, in terms of Commission Implementing Regulation (EU) n° 651/2011 of July 2011, EMSA ensured the Secretariat of the Permanent Co-operation Framework (PCF) for the Investigation of th Accidents in the Maritime Transport Sector and hosted the 6 PCF meeting. In the field of maritime information systems, the Agency continued to focus on delivering its operational maritime information services SafeSeaNet, CleanSeaNet, THETIS, LRIT (Long Range Identification and Tracking), IMS (Integrated Maritime Services), and information services to other EU bodies. Improving functionalities is a continuous process in dialogue, for example with the users in Member States, with a focus on the further development of Integrated Maritime Services. 12 operational training sessions on new system developments and value added services was provided to users from Member States, EU Agencies and other institutions. The central SafeSeaNet service functioned well during the course of 2016, complying with the performance and reliability requirements defined by the Interface and Functionalities Control Document (IFCD). In 2016 support was provided to those Member States still pending compatibility with SSN v.3 and their national systems. All Member States, except one, are now upgraded to SSN V.3. A link was implemented between SSN and the Common Emergency Communication and Information System (CECIS) managed by the Commission for reporting of pollution incidents. The Central Ship Database (CSD) became operational and available to use in national systems to improve data quality on related national databases. The Shore-based Traffic Monitoring and Information Database (STMID) was developed, and will be opened to Member States pending data migration. The Central HAZMAT Database (CHD) on dangerous and polluting goods was developed and made available as a reference and verification tool to support reporting in SSN and a training session provided to MS. Furthermore a link was implemented between the CHD and the Marine Chemical Information Sheets (MAR-CIS) database, information developed for responders to chemical accidents at sea, as one of the action points under the HNS Action Plan of the Agency. 14 Development of a SafeSeaNet ecosystem web interface (SafeSeaNet Ecosystem GUI – SEG) to provide one single interface for SafeSeaNet, LRIT, CleanSeaNet and Integrated Maritime Services proceeded as planned. As part of this development common reference databases for location codes, country codes, organisation and geographical areas started to be implemented. The back-end services of the SafeSeaNet ecosystem progressed in view of offering an integrated range of ship position data processing, storage and distribution services by 2017. As requested by the Commission and the Member States, the Agency continued to provide technical support for the implementation of the Reporting Formalities Directive (Directive 2010/65/EU), in particular for the development guidelines for Single Windows. EMSA has provided technical assistance regarding the implementation of the Directive 2010/65/EU and the development of the National Single Window on request from Member States and as approved by the EMSA Administrative Board. Peer reviews, to identify best practices and concerns in the implementation of Directive 2010/65/EU were carried out in two (Sweden and the Netherlands) of the seven Member States who volunteered for this exercise. In addition EMSA provided support to the Commission in the evaluation of Directive 2010/65/EU and the Vessel Traffic Monitoring and Information System Directive (Directive 2002/59/EC, as amended). The Integrated Maritime Services (IMS) continued to be delivered during 2016, with the integration of new data and functionalities (such as the further development of Automated Behaviour Monitoring tools and algorithms and the integration of VMS (fishing vessel positioning) data in the SARSURPIC (Search and Rescue Surface Picture). In addition the IMS Mobile App became fully operational and is used by over 250 users from both Member States and EU Bodies. The number of Member States using IMS (for maritime safety, port and maritime security, marine environment protection and the efficiency of maritime traffic and maritime transport) increased to 24. The new version of the SafeSeaNet Interface and Functionalities Control Document (IFCD) reflecting the changes brought about by the revision of Annex III of Directive 2002/59/EC, as amended, was approved by the HLSG 15 in July 2016. During 2016, cooperation with participating Member States and EU bodies continued, including provision of services to Frontex (border control), EFCA (fisheries monitoring), OLAF (customs and illegal cross border activities), MAOC-N (law enforcement - narcotics) and EUNAVFOR (anti-piracy and anti-people smuggling). Intensive consultations with users and collaboration groups (IMS Group User Consultation Meetings, ABM Workshops, training) continued. The total number of IMS users increased to more than 900. EMSA provided in 2016 an increasing number of services to Frontex by fusing satellite imagery with vessel information data in support of the EU Migration Agenda. Recognising the potential of RPAS (Remotely Piloted Aircraft Systems) for maritime surveillance, the Agency has completed the procurement of services. These will be operational after a set-up phase to support, as a joint capability with Frontex and EFCA, Member States in their coast guard functions. The Earth Observation services of the Agency continued to evolve. After signature of the Delegation Agreement with the Commission for organising Copernicus Maritime Surveillance Services, the services were set up, and the first services are being delivered. The EMSA portfolio of Synthetic Aperture Radar (SAR) satellites and sensors has been expanded with the addition of the European Space Agency (ESA) managed satellite Sentinel-1 A&B as well as the TerraSar-X constellation. Additionally EMSA has access to a wide range of very high resolution optical satellites. This will enhance vessel detection, for example in support of oil spill detection services, as well as Frontex and Copernicus operational activities. CleanSeaNet, the near-real-time satellite-based oil spill and vessel detection service, continued to provide regular services to coastal States. The number of users increased as the service was extended to Greenland as well as the islands of the French and Dutch Caribbean. Through the Commission’s SAFEMED III and TRACECA II cooperation programmes for EU Neighbouring countries, CleanSeaNet is available to the official beneficiary countries across the Mediterranean, Black and Caspian Seas in addition to the EU Member State and European Free Trade association (EFTA) users. The EU LRIT Cooperative Data Centre (EU LRIT CDC) fully met the International Maritime Organization (IMO) performance requirements. The LRIT International Data Exchange (LRIT IDE) provided services to 57 LRIT Data Centres all over the world. Developments regarding the second modification of the LRIT system in line with IMO requirements, and for reporting Inmarsat ‘speed’ and ‘heading’ information proceeded in 2016 with all components planned to be operational at the beginning of 2017. Throughout 2016 THETIS assumed new functionalities. The system is able to support Member States (and not only PSC authorities); combining port call information from Paris MoU members, inspection data from Port State Control and the ro-ro 15 ferry surveys, inspection data from national authorities responsible for the implementation of the Sulphur Directive, while storing information from the Recognised Organisations and accredited laboratories (for fuel sampling) at ship level. THETIS, in 2016, was extended with a stand-alone module (THETIS-EU) for inspections, reporting, monitoring and verification to support the enforcement of EU legislation not falling within the framework of PSC. Today users, depending on their access rights, are able to record and exchange data on inspections and verifications, while the system facilitates targeting, alerts and exchange of information on the basis of predefined requirements. PSC inspections will be recorded in the appropriate module of THETIS, while those required by other EU maritime legislation will be recorded in the appropriate module of THETIS-EU. Sulphur and PRF Directives are the first legal act to be tackled, as from April 2016. Data from the various supported regimes remains separated at operational level, but may be combined for analyses and statistics. EQUASIS continued its valuable contribution to the shipping industry by providing accurate and reliable ship safety and environmentally related information. In 2016, a revised Memorandum of Understanding was formally adopted adding environmental data to the project. Furthermore the Agency in its capacity as Management Unit organised in the IMO premises a signing ceremony to celebrate the amended MoU. At the end of 2016, 17 fully equipped and trained Oil Spill Response Vessels were available for mobilisation. Two vessels contracted at the end of 2015, covering the areas of southern Baltic Sea and the Canary Islands and the Madeira archipelago, successfully completed the preparation phase and entered into operational service mid-2016. After the expiration of the contract for the southern Black Sea, a new oil recovery vessel was contracted for the area at the end of 2016. The procurement for a new vessel contract in the northern Baltic Sea was not successful and no contract was awarded. Two vessel contracts covering the western and central Mediterranean Sea were renewed for an additional four- year period. During 2016, 72 quarterly and acceptance drills were undertaken in order to ensure that quality of the service - the capability of the vessel, specialised equipment and crew - is at an appropriate level in accordance with criteria developed by the Agency. Moreover, 10 operational exercises with Member States involved mobilisation and deployment of 12 EMSA contracted vessels and equipment. With regard to implementation of the Action Plan for Response to Marine Pollution from Oil and Gas Installations, in 2016 one contracted vessel for the southern Atlantic was upgraded with a dispersant spraying system and a stock of dispersant. At the end of 2016, four vessel arrangements were equipped for seaborne dispersant application with associated dispersant stocks of 200 tonnes each, in Malta, Cyprus, and Portugal and on the Canary Islands (Spain). The two Equipment Assistance Service (EAS) arrangements in the Baltic Sea and in the North Sea went through a Preparatory Phase and became fully operational in the second half of 2016. The equipment is currently on standby, ready for mobilisation and transport at short notice, around the clock. This service provides specialised stand-alone equipment (i.e. firebooms, integrated oil containment and recovery systems) which can be used by Vessels of Opportunity. To further support Member States tasks in the field of environmental protection, the Agency has also contracted Remotely Piloted Aircraft System (RPAS) services to allow for surveillance of sulphur emissions from vessels and to support oil pollution response operations in case of major spills. In 2016 the procurement process were prepared and implemented, leading to contracts at the end of the year. The Agency also continued to provide information services in the field of Hazardous and Noxious Substances (HNS) in accordance with the HNS Action Plan. EMSA’s information service for marine chemical emergencies (MAR-ICE Network) was activated two times by two different Member States and once by EMSA during an HNS table-top exercise with ITOPF. In order to enhance the accessibility and use of MAR-CIS information (Marine Chemical Information Sheets for pollution response to incidents involving chemicals), a web portal was released at the end of 2016. This information can also be accessed from the new Central Hazmat Database (CHD), which is part of EMSA’s SafeSeaNet (SSN). The enhancement of EMSA’s Dispersant Usage Evaluation Tool (DUET), a software tool to predict the fate and trajectory of an oil spill and the impact of dispersant application on the oil fate, was completed and distributed to the Member States following a training course. The new and enhanced version includes a model to evaluate the fate of well blowouts. 16  th The dissemination of information on EMSA’s pollution response services continued in 2016 with the 10 meeting of the Consultative Technical Group for Marine Pollution Preparedness and Response (CTG MPPR) in March. A workshop dedicated to inform the Member States on the work of OSINet (intergovernmental cooperation in the field of oil sampling and oil fingerprinting) preceded the CTG MPPR meeting. The outcome of the OSINet workshop was presented at the CTG MPPR meeting and the proposal to establish a correspondence Group among Member States’ experts to develop practical guidelines and a training curriculum on oil spill sampling for fingerprinting was broadly accepted. Under the CTG MPPR th work, EMSA also organised an EU States Claims Management workshop and the 5 Training on the Use of Surveillance Systems for Marine Pollution Detection and Assessment. Under the Multi-Annual Financing (MAF) framework for the period 2014-2020, the Agency is required to provide input to a Mid-term Evaluation conducted by the Commission. In order to support this evaluation, EMSA launched procurement for an external study of the cost effectiveness and cost efficiency of the network of oil recovery vessels as the core of the Agency’s oil pollution response activities. An interim report was delivered in late 2016. Performance in 2016 Key Performance Indicators and targets are used by the Agency to measure the continuity and quality of EMSA’s external services. The final scoreboard for 2016, listing indicators, targets and results, is provided in annex 1. It should be noted that, for some of the outputs, the Agency is not the only actor involved. The Commission often plays an essential role in the preparation or in the follow-up of these outputs, or both (for instance in the case of visits and inspections). As a consequence, there may be instances in which the planned target does not coincide with the final output, for reasons that are external to the Agency. The establishment plan execution rate (recruitment) and the budgetary execution rate have been included as general performance indicators. The vacancy rate related to the establishment plan at the end of 2016 was 1.51% against the final target of 198 posts to be implemented by 1st January 2017 (minus 4 posts compared to 2016). From 1st January to 31st December 2016, the Agency executed € 54,105,973.11 in Commitment Appropriations (CA), representing 98.07% of the total budget for the year, and € 54,835,674.73 in Payment Appropriations (PA), amounting to 97.80% of the total budget. After taking into account automatic carry-overs of payment appropriations (C8 Funds), the Agency reaches 97.65% % of payment execution. The implementation of the Work Programme 2016, including the delivery of key outputs and the achievement of performance targets, was monitored throughout the year, drawing on a series of data and reporting including: regular unit, department, management and senior management meetings; monthly report on budget, procurement and financial management; quarterly performance scoreboard; monthly horizontal indicators; and various progress reporting exercises at unit and department level. In addition, a comprehensive exercise to consolidate existing data and assess the overall level of implementation of the Work Programme, as well as signal potential risks, was piloted in 2016. The exercise was conducted twice, in May and in October, and the Agency remained on track towards a high level of implementation of the Work Programme 2016. This Consolidated Annual Activity Report 2016 is the final exercise and confirms a high level of implementation of the Work Programme 2016. 17  PART I – Achievements of the year List of EMSA Activities 1 Project-financed Area ABB Code Activity activities Union maritime information and exchange system Pilot project - coastguard 2100 (Integrated maritime services; SafeSeaNet; Improving Traffic monitoring and information on ships and functions internal market and maritime transport efficiency) EU LRIT Cooperative Data Centre and LRIT International 2200 Data Exchange 2 7700 THETIS-S 2300 7710 Information System for PSC (THETIS) THETIS-MRV Emissions Inventories 7720 Project 2400 Maritime Support Services 7500 Copernicus cargoes 7200 Frontex 3100 Classification Societies Providing Member States and the Commission Visits and inspections to monitor 3200 STCW the implementation of EU Implementation of PSC Directives in Member States and 3300 EFTA 3400 Maritime Security legislation 3500 Monitoring implementation of other EU maritime legislation 3600 Horizontal analysis and research 4100 Port State Control Member States’ Maritime Authorities and with with technical and scientific assistance and facilitating technical cooperation between 4200 Accident investigation EU Funds for 4300 7800 Technical assistance (training and cooperation) enlargement countries Marine equipment and ship safety standards (including 4400 IMO) 4500 7600 Maritime Information, Equasis and statistics Equasis (R0 funds) the Commission 4600 Prevention of pollution by ships 7100 SAFEMED III 7400 TRACECA II 1 This code is the ABB/ABC (Activity Based Budgeting/Activity Based Costing) code of the activity. 2 THETIS-S is now incorporated into THETIS-EU. 18  Project-financed Area ABB Code Activity activities 5100 Operational Pollution Response Services detection and response Pollution preparedness 7300 CleanSeaNet Greenland 5200 CleanSeaNet and illegal discharges CleanSeaNet Dutch 7310 Islands Cooperation and information relating to pollution 5300 preparedness and response Communication, Document Management, Missions & Horizontal 6500 activities Events support 6100-6400 Overhead/horizontal tasks Human and Financial Resources per activity The Agency implements an activity based approach to budgeting and reporting (Activity Based Budgeting). The lifecycle stretches from initial planning of the draft budget preparation which starts towards the end of year N-2 to the final presentation of actuals in the Consolidated Annual Activity Report in year N+1. Activity Based Budgeting (ABB) codes are tagged to commitments and payments, tracking the cost of both direct and indirect activities. Direct staff is allocated to one operational activity according to the prevailing function of the staff. Indirect staff and overhead and administrative costs are ventilated across operational activities, based on the number of direct staff allocated to each activity. The ABB exercise covers fresh credits (C1 funds) only. Project financed funds (R0 funds) and staff are not included. The expected 2016 staff cuts were planned through the reservation of five posts in the 2015 establishment plan. In 2016, 202 statutory staff (AD/AST), 33 contract agents (CA) and 18 seconded national experts (SNE) were allocated to the different activities. However, the Agency delivered the activities proposed in the Work Programme 2016 with 198 statutory posts, as 4 posts were frozen for further staff cuts foreseen in 2017. Project -financed activities have separate codes. They are presented separately when the project resources include human resources (Copernicus, Frontex, SAFEMED III, and TRACECA II). Seven project-financed contract agents were also planned for and allocated in the relevant activity tables. Project financed activities with no provision for project-financed human resources are presented as part of another activity but with a clear indication of the expected associated financial input. . Detailed information on human and financial resources per activity is available in Annex V 19 Maritime Transport and Surveillance - information on ships, cargoes and ship movements 2.1 THE UNION MARITIME INFORMATION AND EXCHANGE SYSTEM In cooperation with the Member States and the Commission, the development of the Union maritime information and exchange system made good progress in 2016. Annex III to the VTMIS Directive (2002/59/EC), as amended by Directive 2014/100/EU, underlines the role of the SafeSeaNet system as an integrated maritime information exchange platform, codifying the achievements of the Integrated Maritime Data Environment (IMDatE). The Interface and Functionalities Control Document (IFCD) was revised in consultation with Member States describing the rules for integration and distribution of data covering both web services and system to system interfaces. Planned input Actual input Commitment appropriations in EUR 8,398,859 8,164,078 Payment appropriations in EUR 8,371,394 8,171,025 3 Staff 25 AD, 12 AST, 3 SNE, 5 CA 26 AD, 11 AST, 4 SNE, 1 CA Multi-annual strategic objectives  To increase the effectiveness and efficiency of EMSA’s integrated maritime information services to its full potential based on existing applications such as SafeSeaNet. (B1)  To explore, at reasonable cost, in a sustainable and viable way, new capabilities offered by technology in the field of maritime surveillance for the benefit of the European Commission and the EU Member States with added value for maritime safety, security and environmental protection. (B2)  To continue to work to further develop the EU maritime traffic monitoring and information system. (B3)  To engage in supporting other communities and enhance the Agency's role as central EU data provider of maritime related information as defined by Union law. (B4)  To prepare IPA and ENP countries for association to EMSA’s traffic monitoring services and for use of EMSA’s pollution response services. (D3)  To become a reliable source of information and statistics for the EU on maritime matters. (D4)  To continue developing its role as forum for discussion of best practices. (D5) 3 Includes 3 CA for Copernicus financed by the EMSA budget. For clarity, these 3 CA are now highlighted under the Copernicus activity described later in this Chapter 2.1 and clearly represented in Annex V “Human and financial resources per activity” as a separate line. 20 a. Integrated maritime services Integrated Maritime Services (IMS) are offered to all EU Member State authorities executing functions in the maritime domain, regardless of the governmental department/authority in which users are based (e.g. environment, transport, etc.). If users have been allocated responsibilities which necessitate and justify the use of particular maritime data, this data is provided by EMSA following the agreed access rights. The overall number of IMS users (with registered accounts) has increased steadily reaching a total of over 1,000 users. These users belong to more than 60 different authorities in 24 volunteer Member States, which use IMS services in support of their daily tasks and responsibilities. Access to IMS services is provided through both a desktop/laptop web user portal and the IMS mobile app, available for both iOS and Android mobile devices. In addition, IMS were provided to a range of other users e.g. EFCA, whilst other services were expanded or reinforced e.g. a new Service Level Agreement with EUNAVFOR. Major steps forward were taken with regard to setting-up additional maritime data streams. The most notable being the progress made on contracting RPAS services for the maritime operational environment and the utilisation of the Copernicus Programme as a mechanism to provide data derived from earth observation satellites. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.4 (a), 2.4 (b), 2.5, 2a.2(d) Outcome 2016 The Agency’s provision of integrated maritime services to maritime authorities of Member States, EU bodies and/or third countries has continued in 2016. A single graphical user interface will be made available to SafeSeaNet, LRIT, CleanSeaNet and IMDatE users. New satellite data streams from national missions will be provided where available. The deployment of RPAS in supporting monitoring and surveillance, in particular for pollution detection, will be organised. Member States will be given the opportunity to share experiences, identify, develop and implement ‘best practice’ approaches based on the principles of integrating and sharing relevant maritime information. Annual objectives 2016  Continue the operation, delivery and development of integrated maritime services in line and in close co-operation with user requirements from maritime authorities of Member States, EU bodies and/or third countries, including provision of operational support such as training and helpdesk activities.  Analyse new technologies and information products to enhance and complement maritime services, undertake initial testing and contribute to demonstrations and campaigns of remotely piloted aircraft systems (RPAS) operations to assess their potential suitability for maritime surveillance, safety and pollution detection, including some operations with Member States e.g. in the context of CleanSeaNet.  Work closely with the European Space Agency (ESA) and with those Member States that have satellite Automatic Identification System (SAT-AIS) mission programmes in order to continue receiving a global feed of SAT-AIS data streams which will enable EMSA to keep offering SAT-AIS data to its users.  Support ESA in the assessment of the user needs and services that could potentially be provided by the VDES.  Support the Commission and Member States with EU level meetings and workshops related to maritime information systems and services. Planned output 2016 Actual output 2016 1. Provide Integrated Maritime Services for 1. IMS continued to be provided to all EU/EFTA Member States Member States and other interested and EU Bodies stakeholders throughout the year on voluntary governmental bodies. basis. In 2016 the number of EU/EFTA Member States, EU Bodies and total users has continued to increase, reaching 2. Further development of the platform for the respectively, 25, 5 and over 1000. provision of integrated maritime services, including a single graphical user interface for 2. The development of the SafeSeaNet Graphical User Interface SafeSeaNet, LRIT, CleanSeaNet and IMS (SEG) continued steadily in 2016. The development of new users. overall graphical display, user navigation and service application functionalities were completed, creating a single interface for 3. Training support for end-users and 21  stakeholders provided as appropriate, for SSN, LRIT, CSN and IMS users. Changes to the back-end individual systems or combined data services. applications were performed to accommodate the new paradigm separating the front-end from the existing back-end applications, 4. Ensure relevant documentation on integrated however due to contractual issues and delays the user/data maritime services to Member States is up-to- authorisation could not be developed. This is planned, together date, including the Interface and Functionalities with the SEG go-live, for 2017. Control Document (IFCD). 3. EMSA hosted two training courses for IMS Member States. 5. Reception, storage and distribution of global Training courses were provided for EU bodies MAOC-N, EFCA, satellite AIS data provided to EMSA through OLAF, and to Frontex on Automated Behaviour Monitoring the ESA-EMSA SAT-AIS initiative or directly (ABM). Combined training was delivered onsite to Member procured by EMSA, and of satellite AIS data States in Dublin for the Irish Coast Guard, in Riga for Baltic provided by relevant Member States. Member States, and in Slovenia and Croatia. Information 6. Provision and integration of image related data sessions were provided to SAFEMED III and TRACECA II (including video/streamed data) for the beneficiaries. Agency’s Integrated Maritime Services. 4. The revision of the SafeSeaNet Interface and functionality 7. Complete the integration of met-ocean data Control Document (SSN IFCD) continued during 2016 in order to within the Integrated Maritime Services, address the necessary changes stemming from the revision of including the provision of in-situ, sea and the Annex III of Directive 2002/59/EC as amended. The final weather forecast (model), and remote sensing draft was approved by the SSN High Level Steering Group and Earth Observation data. published on the EMSA website. The changes address the Integrated Maritime Services definition, the objectives of the IMS 8. Coordinate with Member States and the group, the IMS functionalities management and several other Commission to make best use of new areas related to IMS. technologies and information products (e.g. RPAS, VDES) to support maritime monitoring 5. EMSA continued to provide a global SAT-AIS data stream to its st and surveillance activities. users through the ESA-EMSA SAT-AIS initiative until 31 of August 2016. After this date, a new contract with a commercial 9. Deployment of Integrated Maritime Services st SAT-AIS data provider was put in place on 1 of September mobile applications to Member States 2016 through which a global feed of SAT-AIS data continued to be provided. EMSA also continued to receive a global SAT-AIS th data feed from Norway. The 4 Meeting of the EU Satellite-AIS Collaborative Forum was held in early 2016 and a new Cooperation Agreement for the exchange of SAT-AIS data between Norway and EMSA was signed by mid-2016. 6. The EMSA portfolio of satellites was increased through the addition of numerous new satellites/sensors for the provision of both SAR and optical imagery. 7. IMS services provide access to 3 types of met-ocean data: in- situ, satellite remote sensing and forecast. This data is provided via existing EU programmes such as EMODnet and the Copernicus Marine Environment Monitoring Service. In 2016 a technical interface was set-up to extend the met-ocean data portfolio to include data from both EUMETSAT and the Copernicus Atmosphere Monitoring Service. 8. To further support Member States in the field of coast guard functions, procurement for RPAS based services was undertaken, to be operational in 2017. In parallel and in the field of environmental protection, the Agency contracted RPAS services to allow for surveillance of sulphur emissions from vessels and to support oil pollution monitoring and detection. These RPAS services will become operational in 2017. On VDES, further collaboration with ESA took place on the potential of future maritime applications using VDES technology. 9. 2016 saw the IMS Mobile App application transiting into operations. The number of EU/EFTA Member States and EU Bodies users has steadily increased, reaching 250. Two new versions of the IMS Mobile App were released in 2016 and are available for both iOS (phone and tablet) and Android (tablet). 22 Output Indicators Target 2016 Result 2016 percentage per year availability of 95% 99.74% Integrated Maritime platform Platform Availability hours maximum continuous downtime of 12 5h15 IMDatE platform percentage per year availability to 95% 99.74% Member States percentage per year availability to 95% 99.74% EUNAVFOR Integrated Maritime Services Availability percentage per year availability to EFCA 95% 99.66% Percentage per year availability to IMS 4 95% 99.85% mobile application users 4 System operational from Q4. 23 b. SafeSeaNet In 2016, the Agency continued to assist the Member States in the operation of the SafeSeaNet system and continued improving the monitoring of maritime traffic, safety and logistics (maritime transport and maritime traffic). The central SafeSeaNet service functioned well during 2016, complying with the performance and reliability requirements defined by the Interface and Functionalities Control Document (IFCD). In 2016 support was provided to those Member States still lacking compatibility with SSN v.3 and their national systems. All Member States are now upgraded to SSN V.3 with the exception of one. A link was implemented between SSN and the Common Emergency Communication and Information System (CECIS) managed by the Commission for reporting of pollution incidents. The Central Ship Database (CSD) became operational and available to use in national systems to improve data quality on related national databases. The Shore-based Traffic Monitoring and Information Database (STMID) was developed, and will be opened to Member States pending data migration. The Central HAZMAT Database (CHD) on dangerous and polluting goods was developed and made available as an information support tool during the HNS accidents as a reference and verification tool to support reporting in SSN. A training session for MS at EMSA on the Central HAZMAT database was also provided. Furthermore, a link was implemented between the CHD and the Marine Chemical Information Sheets (MAR-CIS) database. The development of a single SafeSeaNet ecosystem web interface (SafeSeaNet Ecosytem GUI – SEG) to provide one single interface for SafeSeaNet, LRIT, CleanSeaNet and Integrated Maritime Services proceeded as planned. The development of the Common Management Console (CMC), which encompasses a user single access point for the SSN ecosystem, progressed with a reduced scope. The back-end services of the SafeSeaNet ecosystem were further developed in view of offering an integrated range of ship position data processing, storage and distribution services. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(a), 2.2. (c), 2.3(a), 2.3(b), 2.4(a), 2.4(b), 2.4(h) and 2.4(i) Outcome 2016 The Agency will assist Member States to continue improving the monitoring of maritime traffic, safety and logistics (maritime transport and maritime traffic). Operational/technical training regarding existing and new functionalities will be available for Member State personnel. Member States will be given the opportunity to share experiences, identify, develop and implement “best practice” approaches based on experience operating SafeSeaNet and other maritime related information e.g. working groups and/or development and revision of guidelines. Annual objectives 2016  Ensure that the SafeSeaNet central service is available on a 24/7 basis, and provide operational support to all users, including necessary training and help desk activities.  Maintain and upgrade as appropriate the central SafeSeaNet system, improving functionality and efficiency in line with Union legislation and requirements of stakeholders.  Provide support to Member States regarding the operation of their national SafeSeaNet systems in particular the incorporation of the new message and business logics related to SafeSeaNet version 3, introduced during 2015.  Support the Commission in any work related to preparing legislative proposals in this field.  Provide a common Graphical User Interface, which will enable, amongst other features, the visualisation of the Shore-based Traffic Monitoring Infrastructure Database (STMID) services.  Establish a Common (User) Management Console to support all maritime applications and services.  Implement the ICT rationalisation activities under the STAR project.  Offer a Central Ship Database (CSD), to be used as a reference database in national systems, e.g. the national single window, or for cross-checking data stored within national ship databases.  Provide a Central HAZMAT Database (CHD) on dangerous and polluting goods, linked to MAR-CIS, to serve as a reference and verification tool for industry, reporting parties and Member State authorities. 24   Possibly expand the portfolio of EMSA maritime information databases to support users’ statistical needs (dependent on the outcome of work undertaken in 2015 in support of Eurostat). Planned output 2016 Actual output 2016 1. SafeSeaNet is operational on a 24/7 basis to support 1. SafeSeaNet was operational on a 24/7 Member States to undertake activities related to basis to support Member States. maritime monitoring. 2. EMSA provided support to those Member 2. Provide support to Member States regarding States still pending compatibility with SSN compatibility of national systems with SafeSeaNet and v.3 for aligning their national systems and potential improvements. supported the execution of the remaining commissioning tests. 3. A Central Ship Database (CSD) will be operational and available to use in national systems and improve data 3. The Central Ship Database (CSD) quality on related national databases. development has been split into two phases. The first phase has been 4. A Central HAZMAT Database (CHD) on dangerous and successfully completed. Further polluting goods will serve users as a reference and developments are planned to include new verification tool. database elements and web services. 5. The Graphical User Interface and Common (User) 4. The Central HAZMAT Database (CHD) Management Console will be implemented. web user interface was implemented in 6. Subject to ongoing needs, support to the Commission production in September 2016. The and Member States regarding the revision of the system to system interface was Directive 2002/59/EC as amended, will be provided as implemented in December 2016. appropriate. 5. Development of a common Graphical User Interface for SafeSeaNet, LRIT, CleanSeaNet and integrated maritime services proceeded as planned. 6. Feedback was provided to the Commission regarding the evaluation of the Directive 2002/59/EC as amended. Output Indicators Target 2016 Result 2016 SAFESEANET SafeSeaNet system percentage per year availability of central 99% 99.65% including requirements SafeSeaNet system under the Reporting Formalities Directive hours maximum continuous downtime of 5 12 11h15min (2010/65/EU): Service central SafeSeaNet system Operation reports per year (AIS) 1800 million 3,221,294,890 notifications per year (Port +, Incident 4.5 million 6,667,325 reports, MRS) SafeSeaNet system including requirements percentage of responses to Member under the Reporting 100% States’ requests delivered in accordance 99% Formalities Directive with SafeSeaNet IFCD (time) requirements 2010/65/EU: Reporting Performance 5 In July 2016, the SSN Graphical Interfaced suffered a downtime of around 11 hours due to a technical issue related with the infrastructure that affected the system and occurred outside office hours. 25 c. Improving internal market and maritime transport efficiency As requested by the Commission and the Member States, the Agency continued to provide technical support for the implementation of Directive 2010/65/EU on reporting formalities (RFD) and compiling information on its implementation status. EMSA provided assistance to Portugal regarding the implementation of the Directive 2010/65/EU and the development of the National Single Window as approved by the EMSA Administrative Board. Peer reviews to identify best practices and concerns in the implementation of Directive 2010/65/EU, were carried out in two (Sweden and the Netherlands) of the seven Member States who volunteered for this exercise. In addition EMSA assisted the Commission for the joint evaluation of the reporting formalities Directive 2010/65/EU and the Vessel Traffic Monitoring and Information System Directive 2002/59/EC. The eManifest pilot project, which aims at simplifying and harmonising cargo formalities, as well as linking cargo and ship information, was launched. The contents of the eManifest was defined in collaboration with the relevant Commission services (DG MOVE and TAXUD) and the Member States and industry associations which volunteered to participate to the pilot project. The European Maritime Single Window (EMSW) prototype was developed to test the simplification and harmonisation of reporting formalities including the eManifest. A first version of the prototype was tested by the pilot project participants from Member States and industry associations. These actions provided grounds for further rationalisation and harmonisation of ship reporting formalities in an effort to reduce the administrative burden on the shipping industry and enhance efficiency. Following the decision of the High Level Steering Group (HLSG) on the content of an upgraded SafeSeaNet (revised Annex II of Directive 2000/59/EC, reporting of bunkers) EMSA initiated work on the drafting of the specifications for SSN v.4, which will continue during 2017 and 2018. This development will have consequential impacts on the information to be reported by the National Single Windows to SSN and the relay of information to THETIS-EU. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.3, 2.2(a), 2.2(d), 2.4(i) and 2a.3(a) Outcome 2016 The Agency will assist Member States to better meet the requirements of the Reporting Formalities Directive. Such support is expected to include identifying best practice approaches and reflecting this knowledge in appropriate guidelines. Based on new technological developments, EMSA will test the use of VDES and other means available to improve service quality and support the implementation of the NSW. The Agency will support the Commission, using its expertise in electronic data transmission and in maritime information exchange systems, to simplify reporting formalities for ships with a view to the elimination of barriers to maritime transport. Annual objectives 2016  Support the Commission and the Member States in the implementation of the Reporting Formalities Directive and to provide requested technical assistance.  Assist the Commission in the revision of the Reporting Formalities Directive.  Support the Commission and the Member States in identifying best practices in simplifying and harmonising reporting formalities and reflecting this knowledge in improved guidelines.  Work on measures and new technologies, such as VDES, which will further achieve simplification, harmonisation and rationalisation of reporting formalities for ships, including support for the implementation of policies aimed at establishing a European maritime transport space without barriers. Planned output 2016 Actual output 2016 26  1. Support for the technical implementation of the 1. Supported the Commission during eMS meetings Reporting Formalities Directive (2010/65/EU), and in and other meetings with Member States and particular the enhancement of the National Single industry representatives to assess the Windows (NSW) of Member States. implementation of Directive 2010/65/EU. 2. Assist the Commission in the revision of the Reporting 2. Assisted the Commission in drafting the terms of Formalities Directive and in monitoring its reference and questionnaires for the joint implementation. evaluation of Directives 2010/65/EU and 2002/59/EU. 3. Undertake a study on Reporting Formalities Directive (2010/65/EU) Part C (implementation). 3. It was decided not to carry out the study on the implementation of Part C of Directive 2010/65/EU 4. Support the Commission in developing pilot projects as the National Single Windows were still not and an enhanced NSW prototype to test the fully implemented. simplification and harmonisation of reporting formalities, the receipt of VDES information, the 4. In support of the eManifest pilot project the eManifest, and the exchange of information via SSN. Agency developed the European Maritime Single Window prototype to test the simplification and harmonisation of reporting formalities, including cargo formalities from the eManifest. Output Indicators Target 2016 Result 2016 The information exchange The requirements of Reporting Formalities SafeSeaNet system data exchange requirements of the Reporting Directive (2010/65/EU) are integrated in the in support of the Reporting Formalities Directive are integrated in PORT+ message, and therefore covered by Formalities Directive (2010/65/EU) the PORT+ message, and therefore the SafeSeaNet indicators. covered by the SafeSeaNet indicators. 27 2.2 EU LONG RANGE IDENTIFICATION AND TRACKING (LRIT) COOPERATIVE DATA CENTRE (CDC) AND LRIT INTERNATIONAL DATA EXCHANGE (IDE) The Long Range Identification and Tracking (LRIT) services hosted by EMSA, consisting of the European Union LRIT Cooperative Data Centre (EU LRIT CDC), the International LRIT Data Exchange (LRIT IDE), the EU LRIT Ship Database, and LRIT Consumption Tool, were fully operational throughout the year. LRIT services continued to feed the maritime picture. The LRIT IDE and EU LRIT CDC were compliant with the International Maritime Organization (IMO) requirements in accordance with IMO MSC.263(84) Revised performance standards and functional requirements for the LRIT, MSC.1/Circ.1259 and MSC.1/Circ.1376. The LRIT IDE provided services to 57 LRIT Data Centres all over the world covering 122 Contracting Governments and Territories. New developments regarding the second modification of the LRIT system were implemented in line with IMO requirements (The ship type was already implemented. Furthermore, Inmarsat C ‘speed’ and ‘heading’ information was included in positions from EU LRIT CDC ships). Planned input Actual input Commitment appropriations in EUR 3,356,445 3,362,186 Payment appropriations in EUR 3,317,960 3,298,064 Staff 6 AD, 7 AST 6 AD, 7 AST Outcome 2016 The Agency will continue to operate the EU LRIT CDC and the LRIT IDE in compliance with the IMO Performance Standards in the most efficient and economical manner. The Agency will monitor the discussions at IMO regarding the eNavigation concept and improvement of the LRIT system as appropriate, as well as any relevant issues at IMSO. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.3(a), 2.4 (a) and 2.4(h) Multi-annual strategic objectives  To explore, at reasonable cost, in a sustainable and viable way, new capabilities offered by technology in the field of maritime surveillance for the benefit of the European Commission and the EU Member States with added value for maritime safety, security and environmental protection. (B2)  To continue to work to further develop the EU maritime traffic monitoring and information system. (B3)  To continue developing its role as forum for discussion of best practices. (D5) Annual objectives 2016  Continue operation and maintenance of the EU LRIT CDC in accordance with IMO performance standards.  Ensure operation and maintenance of the LRIT IDE in accordance with IMO Resolution MSC.322 (89).  Implement the new developments of EU LRIT CDC, LRIT IDE and LRIT Ship Database as requested in IMO MSC 95 (June 2015).  Provide operational support to all users of the EU LRIT CDC and LRIT IDE, including helpdesk activities.  Prepare and implement a roadmap for the phasing out of the LRIT web interface (see 2.1.b. SafeSeaNet).  Provide LRIT services to new participants wishing to join the EU LRIT CDC.  Organise regular meetings with relevant LRIT users.  Provide training on EU LRIT CDC to LRIT users.  Meet legal and financial obligations concerning the exchange of LRIT data. 28 Planned output 2016 Actual output 2016 1. Continued operations and ongoing maintenance of both 1. New releases of the EU LRIT CDC and LRIT IDE systems (LRIT CDC and IDE) at EMSA. were developed in response to requirements of the second modification of the LRIT system in 2. Perform, subject to available resources, necessary compliance with IMO Performance Standards. upgrading of the EU LRIT CDC and the IDE, as requested by Member States and/or IMO. 2. The development of the upgrades for the EU LRIT CDC and LRIT IDE were done in line with 3. Support to Member States for use of the EU LRIT CDC. the implementation plan prepared in 2015 and 4. LRIT IDE testing support to LRIT Data Centres. approved by the IMO Sub-Committee NCSR 3. During NSCR 4, in March 2017, it was decided 5. Maintain the quality of the services. that the go live for these improvements will be the 18 April 2017. 3. An operational helpdesk was provided to EU LRIT CDC users. Two LRIT National Competent Authority (NCA) meetings as well as one Regional LRIT training were organised regarding the use and development of the EU LRIT CDC and LRIT Ship Database. 4. The IDE Operator provided operational and technical helpdesk, such as the validation of the testing activities carried out by LRIT Data Centres, technical support to Contracting Governments and support to the LRIT Coordinator (IMSO) in performing audits of other LRIT Data Centres. 5. The EU LRIT CDC quality of service over any month defined by IMO (99%) was slightly below the target in March and April due to an issue with a main Land Earth Station delaying messages, and in September due to a problem with the ASP platform storage. Nevertheless, the yearly average of this criterion is above 99%. For the LRIT IDE, the IMO requirements were fulfilled. The percentage of ships reporting correctly in the EU CDC continued to increase. IMSO audits were performed for both EU LRIT CDC and LRIT IDE. No findings were identified. Output Indicators Target 2016 Result 2016 EU LRIT DATA CENTRE percentage per month availability 99% 99.80% System operational hours maximum continuous 4h 1h43min downtime EU CDC reporting percentage position reports performance delivered in accordance with IMO 99% 99.41% requirements (periodic reports: 15 min; polls: 30 min) Web user interface percentage per year of availability to 99% 99.81% users LRIT IDE percentage per year availability of LRIT IDE in accordance with IMO 99.9% 99.97% requirements System operational hours maximum continuous downtime of LRIT IDE in 4h 0h40min accordance with IMO requirements 29 2.3 THETIS THETIS is a single window information system combining port call information (from SafeSeaNet) and inspection data. The system guided Port State Control Officers (PSCOs), through a risk based approach targeting mechanism, to ships which were to be inspected and allowed the results of inspections to be recorded. Via THETIS these reports were made available to all port State control authorities in the EU and in the Paris MoU region. In 2016, around 18,000 inspections were recorded in the system by 600 authorised users from 28 connected countries (EU and Paris MoU States). In addition the Mobile Client application provides a stand‐alone version to PSCOs to allow creation of inspection reports without connection to the main system. THETIS was operational throughout 2016 without disruption, thus ensuring the quality and continuity of the service provided, including a dedicated helpdesk. A number of workshops for end users were offered, either to foster knowledge or to present enhancements. THETIS is an essential tool for harmonised monitoring and targeting of ships calling in EU and Paris MoU ports. THETIS has become pivotal in daily PSC operations of the Member States since it also serves as a common platform for reporting inspections and sharing information and alerts to ensure the proper implementation of the relevant international conventions and EU legal acts by ships. Planned Input Actual input Commitment appropriations in EUR 1,685,094 1,904,676 Payment appropriations in EUR 1,719,637 1,939,198 Staff 4 AD, 1 AST, 1 CA 5 AD, 1 AST, 1 CA Project financed input Time frame and Project Funding source Financial input 2016 Staff envelope 6 3 years duration; committed 40,000 THETIS-S EC – DG ENV no extra staff € 200,000 paid 40,000 2 years duration; committed 200,000 THETIS-MRV EC – DG CLIMA no extra staff € 500,000 paid 200,000 3 years duration; Emissions inventories EC – DG ENV none no extra staff € 150,000 Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.4 (a), 2.4 (b), 2a.2(d) Multi-annual strategic objectives  To maximise its support role for an efficient and expanded scope of the PSC regime. (A8)  To increase the effectiveness and efficiency of EMSA’s integrated maritime information services to its full potential based on existing applications such as SafeSeaNet. (B1)  Subject to the provision of financial and human resources the Agency shall engage in supporting other communities and enhance its role as central EU data provider of maritime related information as defined by its Founding Regulation. (B4)  To assist the Commission, Member States and the maritime industry, where appropriate, in meeting, implementing and monitoring international and European legislation and initiatives on the reduction of SOx and NOx emissions. (C1) 6 THETIS-S is now incorporated into THETIS-EU. 30   To assist the Commission and the Member States in the implementation of Regulation on the monitoring, reporting and verification of emissions of carbon dioxide, from maritime transport. (C2)  To support if necessary the Commission in setting up a Monitoring, Reporting and Verification system for emissions in line with future policy developments in this area. (C3)  To contribute to the protection of the marine environment in the EU. (C4)  To assist Member States in the implementation of the new rules in the field of ship related pollution. (C5)  To become a reliable source of information and statistics for the EU on maritime matters. (D4)  To continue developing its role as forum for discussion of best practises. (D5) a. THETIS and associated modules In 2016 a stand-alone module (THETIS-EU) was included in THETIS, where users, depending on their access rights, are able to record and exchange data on inspections and verifications foreseen by EU legislation and not covered by the PSC Directive. The system facilitates targeting and alerts on the basis of predefined requirements set by EU legislation. Since 1 January 2015 THETIS-EU serves as a platform to record and exchange information on the results of individual compliance verifications performed by Member States as foreseen by Directive (EU) 2016/802 on the reduction in the sulphur content of marine fuels (the THETIS-S module was incorporated in THETIS-EU), and since April 2016 it serves as a platform to record and exchange information on the results of inspections foreseen by Directive 2000/59/EC on port reception facilities. 9,256 Sulphur Inspections and 1,159 PRF inspections were recorded from national competent authorities throughout the EU in 2016. Thanks to its modular approach, THETIS is now serving different communities in the EU responsible for targeting and inspection, such as the authorities responsible for the Sulphur Directive and PRF Directive. Those authorities that have used the system, even though it is not mandatory, have achieved a high level of uniformity in inspection (Sulphur or PRF) and fuel sampling as well as increased sharing of collected information throughout the EU. Outcome 2016 The Agency operates the Port State Control information system in line with the Port State Control Directive (2009/16/EC) as amended, including the Implementing Acts and the Paris MoU text, the RoPax Directive (1999/35/EC), Regulation 391/2009 on common rules and standards for ship inspection and survey organisations, the BWMC (when it enters into force) and Regulation 1257/2013 on Ship Recycling. THETIS-S, now merged into THETIS-EU, caters for the enforcement of the provisions of Directive 1999/32/EC as amended and the calculation of frequency of inspections and samples and the future targeting system. THETIS-EU accommodates the Port Reception Facilities Directive (2000/59/EC). THETIS-MRV will cater for the provisions of Regulation 2015/757. Operations of THETIS and its modules are supported technically and operationally by a helpdesk. All elements of THETIS will be communicating with a dedicated tool for analysis and statistics where appropriate. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(a), 2.3(a) and 2.2(b) Annual objectives 2016  Ensure the proper operation of THETIS, THETIS-S and other relevant modules.  Ensure on time development to comply with new or amended International or EU legislation coming into force.  Ensure relevant training.  Ensure regular meetings with relevant end users. Planned output 2016 Actual output 2016 1. Information System (THETIS): operational, maintained, and 1. THETIS was operational throughout the year and under continuous enhancement to meet new requirements. under continuous enhancement to meet new requirements. 2. Information System (THETIS-S): operational, maintained, and 2. THETIS-S was incorporated into THETIS-EU and 31  under continuous enhancement to meet new requirements. continues to support the authorities responsible for inspection and sampling of fuels as required by the 3. Interface with SafeSeaNet: operational and processing the Sulphur Directive. 2015 NSW changes. 3. The Interface with SafeSeaNet was operational and 4. Development of dedicated elements to cater EU legislation updated to match the NSW changes and to be able to with PSC provisions. relay immediately upon receipt the relevant PRF 5. Cooperation with Paris MoU and Member States to supervise, information available in the Central system to verify and validate the operation and further enhancement of THETIS. This information is then stored and the system. displayed for the concerned inspector. 6. Training to users. 4. THETIS was extended with a stand-alone module (THETIS-EU) catering for inspections and verifications foreseen by EU legislation and not covered by the PSC Directive, including targeting and alerts. The provisions of the PRF Directive are monitored through this module since April 2016. 5. Cooperation with PSC authorities in Paris MoU and Member States was ensured to supervise, verify and validate the operation and further enhancement of THETIS. Regular updates on the developments of THETIS-EU were offered to Member States through the Sulphur Committee and the ESSF PRF subgroup. 6. Training was provided to various communities (PSC, Sulphur, PRF), with a targeted approach depending on needs and access rights. Output Indicators Target 2016 Result 2016 percentage per year availability 96% 99.41% System operational hours maximum continuous 6 2h:01m downtime percentage of requests closed in Helpdesk Service 75% 94.53% less than 5 days 32 b. THETIS-MRV In 2016 a cooperation agreement was concluded between the European Commission (DG CLIMA) and EMSA for the development of a new module in THETIS, namely THETIS-MRV, in support of Regulation (EU) 2015/757 for the monitoring, reporting and verification of CO2 emissions from maritime transport. EMSA developed a concept which was welcomed both by Member States and the industry, within the context of the ESSF, where, through a web-based application, all relevant parties foreseen by Regulation (EU) 2015/757 for the monitoring, reporting and verification of CO2 emissions from maritime transport (owners, managers, verifiers, Member States) will fulfil their monitoring and reporting obligations in a harmonised way. THETIS-MRV will have a mandatory and a voluntary module. Through the mandatory module automated reporting requirements in relation to Emission Reports and associated Document of Compliance will be facilitated. Through the voluntary module companies may build their monitoring plans while the system will make the latter available for verifiers’ assessment. THETIS-MRV is the first technical solution developed by EMSA that will support both the work of the Member States and the Industry, thus achieving a uniform and harmonised way of transmission of the information foreseen by Regulation (EU) 2015/757 and facilitating the work of all interested parties. Outcome 2016  Templates for Emission reports and Documents of compliance.  Specifications and business rules for THETIS-MRV. Legal Basis  Regulation (EU) 2015/757 on the monitoring, reporting and verification of carbon dioxide emissions from maritime transport, and amending Directive 2009/16/EC Annual objectives 2016  Cooperation Agreement with the Commission.  Development of templates for Emission reports and Documents of compliance.  Development of THETIS-MRV.  Provision of technical assistance to the Commission with respect to delegated and implementing acts foreseen by the MRV Regulation. Planned output 2016 Actual output 2016 1. The Agreement was signed on 30/03/2016. EMSA 1. Cooperation Agreement between EMSA and the developed business rules on the basis of the Delegated Commission. and Implementing Acts adopted in September 2016. 2. Organisation of awareness and technical workshops for 2. EMSA participated at different events and used the competent authorities of the Member States. framework of the ESSF to raise awareness. Output Indicators Target 2016 Result 2016 Templates for Emission reports and Timely delivery of Yes Documents of compliance. tasks foreseen by THETIS-MRV the Cooperation Agreement Specifications and business rules for Yes THETIS-MRV. 33 c. Emission inventories Over the course of 2016, the shipping emissions modelling functionality was developed. A final report with emission inventories attributed per Member State in their relevant sea areas (covering territorial seas, Exclusive Economic Zones, Pollution Control Zones, Sulphur Emission Control Areas, where applicable) for the period 2011-2015 was delivered to European Commission (DG ENV) in November 2016. The results will be used by the Commission to assess whether the cost-effective strategy put in place at EU level for monitoring of compliance and enforcement concretely resulted in the achievement of the environmental and health objectives of Directive 2016/802/EU. Outcome 2016 New functionality in THETIS-S (now THETIS-EU) to evaluate the inventories of shipping emissions based on shipping activity data for domestic, short sea and international shipping. Legal Basis  Regulation (EC) 2002/1406 as amended, art.2.2(c)  Directive 1999/32/EC as amended, Art. 7 Annual objectives 2016  Implementation of the tasks defined in the relevant cooperation agreement with the Commission.  Development of a model to establish inventories of shipping emissions based on shipping activity data for domestic, short sea and international shipping.  Quantification of the bottom-up emissions (SOx, NOx and PM) resulting from combustion of marine fuel from international and domestic shipping, covered by the AIS data.  Assessment, as appropriate, of the positive effect on air quality of specific measures such as the stricter sulphur requirements under Directive 1999/32/EC as amended. Planned output 2016 Actual output 2016 1. Emission inventory modelling functionality, its future 1. The functionality was developed and a final report with enhancements and results for emission inventories emission inventories attributed per Member State in their based on shipping activity data. relevant sea areas (covering territorial seas, Exclusive Economic Zones, Pollution Control Zones, Sulphur 2. Organisation of awareness and technical Emission Control Areas, where applicable) for the period workshops for competent authorities of the Member 2011-2015 was delivered to European Commission (DG States. ENV) in November 2016. 2. The functionality and the report were presented to relevant services of the Commission. The dissemination with the Member States will take place in 2017. Output Indicators Target 2016 Result 2016 inventories of shipping Development of new functionality in Yes emissions based on shipping THETIS-S to establish and evaluate Emission activity data will have to be the inventories of shipping emissions Inventories attributed per Member State in based on shipping activity data. their relevant sea areas (EEZ (Exclusive Economic Zone), 34  PCZ (Preferred Conservation Zone), SECAs (Sulphur Calculation and analysis of Yes Emission Control Areas)) for the inventories of shipping emissions for period 2012-2017 the period 2012-2015. 7 Minimum of one workshop organised. n/a 7 Development was ongoing during 2016. 35 2.4 MARITIME SUPPORT SERVICES During 2016, the Maritime Support Services (MSS) performed well above the established KPIs, providing an uninterrupted 24/7 operational and technical helpdesk to users of all vessel traffic monitoring and surveillance systems hosted by the Agency. The MSS provided a single point of contact in case of emergencies and provided continuous monitoring of all EMSA hosted maritime applications, facilitating high availability and performance standards. Regular assessments and reporting of SafeSeaNet data quality, implementation, and performance to the SafeSeaNet National Competent Authorities have shown its effectiveness by driving improvements at Member State level. Planned Input Actual input Commitment appropriations in EUR 1,836,940 1,734,156 Payment appropriations in EUR 1,836,940 1,690,445 Staff 8 AD, 2 AST, 3 SNE, 2 CA 7 AD, 2 AST, 3 SNE, 2 CA Outcome 2016 Users of the vessel traffic and maritime information services benefit from timely and appropriate helpdesk and monitoring services. Users of EMSA’s operational services benefit from 24/7 availability to activate and mobilise such resources during an emergency, by triggering the EMSA contingency plan. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2 Multi-annual strategic objectives  To increase the effectiveness and efficiency of EMSA’s integrated maritime information services to its full potential based on existing applications such as SafeSeaNet. (B1) Annual objective 2016  Ensure timely and appropriate helpdesk and monitoring services. Planned output 2016 Actual output 2016 1. Maritime Monitoring Services to be provided on a 24/7 basis 1. The MSS was available 24/7, without any interruption. including: The following services were provided:  Monitoring availability and performance of EMSA maritime  Helpdesk support and monitoring of the applications. information systems  Supported Member States and followed up their  Ensuring continuity of dataflow by data providers implementation of the SafeSeaNet version 3 release.  Verifying and reporting on quality of data in systems  Maintained the reference lists and coordinated the update of two new versions of the UNECE list of  Maintaining ship watch reference lists (banned ships, single location codes (LOCODEs) employed by the maritime hull tankers, location codes, reference ship identifiers, applications. Member State contacts or responsible authorities)  Verified and reported on the consistency and quality of  Providing timely and appropriate operational and technical data provided by Member States to SafeSeaNet, helpdesk to the Commission and Member State users of the including new checks for the Waste and Security maritime information services information.  Implementing a survey assessing user perception of MSS  Supported Contracting Governments of the EU LRIT services Data Centre regarding the integration of relevant ship  Refining procedures to maximise efficiency in relation to data as well as monitoring the associated ship pending requests reporting requirements. 2. In the event of maritime emergencies, the MSS will:  Assisted in developing and revising of application monitoring procedures for various releases and new 36   Act as single point of contact services (Copernicus, Central Hazmat Database, etc.) as well as undertaking the associated monitoring of  Provide reporting to EMSA and the Commission on their performance and availability. maritime accidents of EU interest in accordance with the EMSA contingency plan  The survey assessing user perception of MSS services is planned for 2017 (performed on a two-  If appropriate, initiate the procedure of mobilising EMSA yearly basis as recommended by the IAS). operational services in accordance with pre-defined procedures. 2. The MSS was available at all times in case of emergency. Three ‘Maritime Emergency Reports’ and their corresponding updates were produced for EMSA and the Commission regarding incidents of EU interest. The EMSA contingency plan was not activated during 2016. Output Indicators Target 2016 Result 2016 average time in hours for feedback or resolution of issues relating to emergencies, 8 <2 0h21min incidents in maritime Maritime Support applications or urgent helpdesk Services available requests 24/7 average time in hours for feedback or resolution of issues relating to non-urgent helpdesk <8 0h30min requests or scheduled interventions reporting on the SafeSeaNet MSS Data Quality implementation and data quality 20 Reports 25 reports Reports (overall and per Member State) 8 Calculation of MSS KPIs could only be extracted until 21/11/2016 included due to the migration to the new version of FootPrints on 22/11/2016. 37 Project: COPERNICUS MARITIME SURVEILLANCE SERVICE Activities related to setting up the service were initiated in May 2016 following the approval of the implementation plan. The first operational services were delivered in September to initial users in fisheries control and law enforcement (EFCA and MAOC-N respectively). Preparation activities for provision of operational services were also undertaken with a number of other new users from national administrations in the areas of maritime safety and security, customs, and law enforcement. New users are supported in an iterative process during which they define their user requirements, with the support of EMSA. EMSA then undertakes the necessary technical work to set up user accounts, and - once the service is operational - to plan, order, acquire and deliver the Copernicus services based on earth observation data and derived products. Two training sessions were held in October 2016. A User Requirements Workshop in November 2016 was attended by 120 participants from EU/EFTA Member State administrations, European Agencies, and the Commission. It was a dynamic and interactive event which provided valuable input for the continued roll-out of the service. Planned operational activities as well as expected service evolutions, based on user feedback, clearly demonstrate the beneficial role of earth observation in supporting a better understanding and improved monitoring of activities at sea. Project financed input Time frame and Project Funding source Financial input 2016 Staff envelope Implementing the No extra project- 2015-2020 Copernicus committed 4,454,000 financed staff. Three EC-DG GROW € 40,000,000 programme for paid 1,494,203 CA covered by the (expected) maritime surveillance EMSA subsidy. Outcome 2016 Copernicus services are offered through EMSA to stakeholders in the maritime surveillance domain in accordance with user requirements. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.4 (a), 2.4 (b) and 2a.2(c)  Regulation (EU) Nº 377/2014 of the European Parliament and of the Council establishing the Copernicus Programme and repealing Regulation (EU) No 911/2010 Multi-annual strategic objectives  To explore, at reasonable cost, in a sustainable and viable way, new capabilities offered by technology in the field of maritime surveillance for the benefit of the European Commission and the EU Member States with added value for maritime safety, security and environmental protection. (B2)  To continue to work to further develop the EU maritime traffic monitoring and information system. (B3)  To engage in supporting other communities and enhance the Agency's role as central EU data provider of maritime related information as defined by Union law. (B4)  To become a reliable source of information and statistics for the EU on maritime matters. (D4) Annual objectives 2016 38   Implement the activities defined in the Copernicus Maritime Surveillance Services Annual Implementation Plan for 2016.  Develop EMSA’s portfolio of earth observation products and services in areas relevant for Copernicus activities.  Expand the Copernicus component to users already served by EMSA (fisheries control, law enforcement and, marine 9 pollution ).  Explore new technologies that can enhance the Copernicus service portfolio and support the Copernicus Service delivery process.  Organise promotion, training and user up-take of Copernicus services. Planned output 2016 Actual output 2016 1. Provision of Copernicus component of maritime surveillance 1. Copernicus Maritime Surveillance services were services as part of existing Integrated Maritime Services. provided to users through the existing Integrated Maritime Services portal. 2. Establishment of organisational framework for implementing the delegated Copernicus tasks. 2. Delegated Copernicus tasks were undertaken and organised in accordance with the work breakdown structure and activity plan approved as part of the annual Implementation Plan 2016. Output Indicators Target 2016 Result 2016 percentage per year availability Copernicus of Copernicus services 10 95% 95.85% services availability 9 Border control is addressed under a separate project with Frontex (see following pages). 10 System operational only in Q4. 39 Project: FRONTEX The services provided to Frontex by EMSA are based on a Service Level Agreement as renewed in May 2016 for another three-year period. Taking advantage of the Agency’s Integrated Maritime Services, five different types of services / products tailored to Frontex were provided successfully as follows: - Vessel monitoring and tracking service based on AIS and LRIT data. - Vessel detection service based on SAR satellite imagery and correlation with IMS vessel position information. - Anomaly detection service based on IMS Automated Behaviour Monitoring (ABMs) tools. - Activity detection service based on high resolution optical satellite images. - Vessel reporting service based on tracking vessels specifically identified by Frontex. EMSA continued to provide value adding operational activities and improvements under all services. Project financed input Time frame and Project Funding source Financial input 2016 Staff envelope Providing integrated 2013-2016 committed 9,503,238 maritime services to Frontex 4 CA € 12,000,000 paid 5,916,156 Frontex Outcome 2016 Integrated maritime services are offered to Frontex in accordance with their user requirements and the end user requirements of Member States. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.4 (a), 2.4 (b), 2a.2(d)  Regulation (EC) N° 1052/2013 Art. 18. (EUROSUR) Multi-annual strategic objectives  To explore, at reasonable cost, in a sustainable and viable way, new capabilities offered by technology in the field of maritime surveillance for the benefit of the European Commission and the EU Member States with added value for maritime safety, security and environmental protection. (B2)  To continue to work to further develop the EU maritime traffic monitoring and information system. (B3)  To engage in supporting other communities and enhance the Agency's role as central EU data provider of maritime related information as defined by Union law. (B4)  To become a reliable source of information and statistics for the EU on maritime matters. (D4) Annual objectives 2016  Renewal of the Service Level Agreement (SLA) signed between EMSA and Frontex.  Implementation of the SLA Annual Programme 2016. Planned output 2016 Actual output 2016 1. Establishment of a renewed Service Level Agreement 1. The SLA was updated and renewed in May 2016 for (SLA) between EMSA and Frontex. another 3 year period. 2. Provision of integrated maritime services under the 2. Taking advantage of the Agency’s Integrated existing and new SLA and in support of the Maritime Service, 5 different types of tailored implementation of the EUROSUR regulation. services /products were provided as previously listed. 3. Continued implementation of common operational procedures as per 2016 Annual Programme. 3. The Common Operational Procedures (COP) were implemented as expected during the year. Following the renewal of SLA, the COP was revised to appropriately reflect updated provisions. 40 Output Indicators Target 2016 Result 2016 percentage per year Frontex service availability of services to 95% 99.82% availability Frontex 41 Project: Interagency cooperation with Frontex and EFCA on national Coast Guard functions The pilot project “Creation of a European Coast Guard Function” focused on enhancing interagency cooperation between EMSA, Frontex and EFCA on coast guard functions. Under Task 1 ‘Sharing Information’ of the pilot project , EMSA worked closely with EFCA and Frontex on improving existing cooperation and services related to the exchange of information for the purposes of maritime surveillance. EMSA has provided its IMS (Integrated Maritime Service) service to EFCA, as well as a real time maritime awareness operational picture and quick access to a wide selection of maritime information. These services assisted in the detection of “Illegal, Unreported, and Unregulated fishing” (IUU). Similarly, EMSA has provided a number of services to Frontex specifically tailored to meet its needs for supporting Member States’ border control activities and within the framework of Frontex Joint Operations (JO). These services include detection, identification and tracking of vessels, anomaly detection, and monitoring of departure points, thereby considerably enhancing the maritime situational awareness and reaction capability of border and coast guards. Through Task 2 ‘Joint maritime surveillance services’, EMSA prepared the ground work for an RPAS demonstration to test various RPAS configurations and sensors for multipurpose missions addressing the tasks of the three agencies e.g. marine pollution monitoring and detection, ship emissions monitoring, border control, fisheries control, etc. The demonstration took place in mid-May 2017. In addition, EMSA initiated the process of establishing a "Joint Maritime RPAS Service" as a joint capability with Frontex and EFCA. Tender specifications were prepared by the three agencies during 2016. Following a preparation phase of 3 months, including fit for purpose/acceptance tests, this RPAS service will provide long endurance medium size RPAS as well as vertical take-off/landing RPAS to support EU Agencies and national authorities carrying out coast guard functions. Through Task 3 an outline of guidelines on interagency cooperation was developed, covering all aspects identified by the three agencies in the areas of operational cooperation, training, research and development and situational awareness. EMSA actively contributed to the process and hosted two dedicated workshops to jointly review and agree on the content of the guidelines and possible areas for further cooperation. In 2016 the Agency also started preparations for the closing conference/workshop of the pilot project, scheduled for mid- 2017. The event will bring together relevant Member State users and authorities, representatives from the European Coast Guards Functions Forum (ECGFF), relevant Commission services and representatives of the European Parliament and EU Council, and will address the results of the cooperation under the pilot project for the different tasks, lessons learnt and recommendations for further cooperation, including related communication activities. Project financed input Time frame and Project Funding source Financial input 2016 Staff envelope Implementing together with Frontex & EFCA a pilot project for enhanced EC 2016-2018 none no extra staff cooperation of national Coast Guard bodies at EU level Outcome 2016 Support is provided to the Commission and Member States for reinforcing cooperation of national Coast Guard bodies at EU level. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.4 (a), 2.4 (b), 2a.2(d)  Regulation (EC) N° 1052/2013 Art. 18. (EUROSUR) 42 Multi-annual strategic objectives  To explore, at reasonable cost, in a sustainable and viable way, new capabilities offered by technology in the field of maritime surveillance for the benefit of the European Commission and the EU Member States with added value for maritime safety, security and environmental protection. (B2)  To continue to work to further develop the EU maritime traffic monitoring and information system. (B3)  To engage in supporting other communities and enhance the Agency's role as central EU data provider of maritime related information as defined by Union law. (B4) Annual objectives 2016  Carry out activities with Frontex and EFCA to implement the pilot project. 43 Visits and inspections to monitor the implementation of EU legislation 3.1 CLASSIFICATION SOCIETIES Inspecting Recognised Organisations (ROs) is a key maritime safety task. In 2016, EMSA carried out nineteen office inspections of ROs, including seven Head Offices located in Europe, the United States of America, the Republic of Korea, Japan and China. The location and scope of the inspections were determined on a risk-basis, taking into account, inter alia, the EMSA inspection history, results of Member States’ monitoring activities, the outcome of the Commission’s assessments and follow-up on corrective actions, as well as industry developments. Preparation of inspections included remote auditing techniques whereby detailed information was evaluated before the inspection, enabling a focussed approach during the inspection itself. Where possible, inspections were combined to minimise mission costs. There was a continued focus on common issues for ships in operation (including ISM audits and ESP surveys, as well as structural fire protection on Ro-Ro passenger ships) and on newbuilding activities (application of rules and statutory requirements, development and application of software tools to support newbuilding activities, projects of Ultra Large Container Ships), as well as on internal verification activities as part of the ROs control over their survey and certification processes. Findings were established in all inspections, triggering voluntary corrective actions in all cases, the implementation of which will be verified in the next round of inspections. EMSA also inspected the Quality Assessment and Certification Entity (QACE) for the second time, as a follow-up of the Commission’s periodic assessment of QACE of 2013. EMSA hosted a technical workshop with all ROs where issues of common interest were discussed. Planned input Actual input Commitment appropriations in EUR 1,783,557 1,882,772 Payment appropriations in EUR 1,783,557 1,823,435 Staff 10 AD, 1 AST, 1 SNE 10 AD, 1 AST, 1 SNE Outcome 2016 Based on the reports submitted by the Agency, the Commission should be able to make a sound assessment and, where appropriate, request corrective measures of Recognised Organisations or take decisions on withdrawal of recognition or other sanctions, in order to improve the overall quality of the certification work undertaken by those organisations. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(a), 2.2 (b), 2.3(c), 2.4(h) and 3 Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To increase resource effectiveness and efficiency through the development of a “risk-based” approach to inspections. (A2)  To increase efficiency of the Commission's assessments of recognised organisations, in particular through a risk- based approach to inspections. (A5)  To develop ideas for more effective sharing of information on inspections. (A6)  To assist the Commission in verifying the correct implementation by the EU recognised organisations of the quality assessment and certification entity (QACE). (A7) Annual objectives 2016  Maintain same effort in inspections as in 2015.  Continue to apply a risk based approach for RO inspections. 44   Provide assistance to the Commission and Member States as concerns the monitoring of Recognised Organisations.  Assist the Commission in verifying the correct implementation by the EU recognised organisations of the quality assessment and certification entity (QACE).  Provide end-of-cycle inspection and draft assessment reports to support the Commission’s assessments of Recognised Organisations. Planned output 2016 Actual output 2016 1. 16-20 inspections of Recognised Organisations’ offices. 1. In total 19 office inspections were carried out as well as one ship visit. 2. Upon request of the Commission, initial inspections of classification societies following any new request for EU 2. No initial inspections were carried out. recognition. 3. One inspection of the Quality Assessment and 3. Upon request of the Commission, provide technical Certification Entity was carried out at the assistance in the follow-up of the assessment of the request of the Commission. Quality Assessment and Certification Entity set up by the Recognised Organisations in accordance with 4. EMSA prepared end-of-cycle and draft Regulation (EC) No. 391/2009 on common rules and Commission assessment reports of three ROs, standards for ship inspection and survey organisations. as requested by the Commission. 4. End-of-cycle inspection reports and draft assessment 5. EMSA assisted the Commission with the above reports and recommendations, to assist the Commission mentioned activities and also, inter alia, with in its preparation of the assessments of Recognised activities related to the COSS meetings and a Organisations and their follow-up. workshop held with all EU ROs, where technical issues of common interest were 5. Support to the Commission in the implementation of discussed. Regulation (EC) No. 391/2009 on common rules and standards for ship inspection and survey organisations and Directive 2009/15/EC on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations as necessary. Output Indicators Target 2016 Result 2016 number of RO inspections 11 16-20 19 per year Inspections percentage of planned 100% 118.75% inspections completed Reports number of reports per 16 16 year End-of-cycle inspection number of reports per 12 and draft assessment year 4-6 3 reports 11 Visits to ships, inspection of ROs not yet recognised and initial inspections following new recognition requests, are not included in this figure. 12 The Commission agreed on a reorganisation of the planning of RO end of cycle reports. As a result only 3 of the expected 4-6 were produced. 45 3.2 STCW The Agency continued to carry out inspections of the maritime education, training and certification systems in third countries. In 2016, inspections were carried out in Egypt, Uruguay, Ecuador and Oman. In addition, the Agency continued the second cycle of visits to Member States. EMSA prepared seven technical opinions on the corrective action plans submitted by five third countries and evaluated five responses to the Commission’s assessments from three third countries. EMSA also evaluated three updates on the actions taken by another third country. The corrective actions taken by the inspected countries have led to significant improvements in their systems. In 2016, a statistical review on the number of seafarers holding valid EU certificates and endorsements of recognition, representing a snap-shot of the European labour market, was published for the first time. The report was based on data extracted from certificates and endorsements registered by EU Member States up to 31 December 2014 and recorded in the STCW Information System. In addition, the second set of data on certificates and endorsements issued to seafarers by the Member States up to 31 December 2015 was collected. EMSA will continue to receive such data in the coming years, providing statistics and trends on potential seafaring manpower in the EU, for the benefit of policy makers and the industry. EMSA also initiated the development of a STCW Distance Learning Programme to be completed in 2017. This programme, together with the two training courses already completed and being delivered, will allow training on STCW to reach a much wider audience. Finally one workshop took place with focus on the human element, where seafarers statistics and the role of the human element in maritime accidents represented a valuable input for the discussions. Planned input Actual input Commitment appropriations in EUR 1,298,712 1,549,396 Payment appropriations in EUR 1,298,712 1,399,278 Staff 6 AD, 2 AST, 1 SNE 6 AD, 2 AST, 1 CA, 1 SNE Outcome 2016 Based on the reports submitted by the Agency, the Commission should be able to take policy decisions and/or request corrective measures of third countries or Member States, in order to improve the overall quality of seafarers and the correctness of their certification in line with the STCW Convention or Directive 2008/106/EC on the minimum level of training of seafarers, as amended, respectively. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(a), 2.2 (b), 2.4(e), 2.4(h) and 3 Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To become a reliable source of information and statistics for the EU on maritime matters. (D4) Annual objectives 2016  Similar effort of visits and inspections as in 2015.  Ensure the availability of the STCW Information System.  Provide any necessary technical assistance on aspects related to the certification and training of seafarers and social issues.  Provide any necessary technical assistance on the REFIT evaluation of Directive 2008/106/EC and related Directive 2005/45/EC. 46 Planned output 2016 Actual output 2016 1. Four-five inspections of third countries. 1. Four Inspections of third countries. 2. Three-four visits to Member States. 2. Four visits to Member States. 3. Maintain the STCW Information System; minimising 3. A high level of availability of the STCW Information down-time, ensuring a high level of availability and System was ensured, above the planned minimum providing system support to users. target. 4. A statistical review on the number of seafarers holding valid EU certificates and endorsements of recognition, representing a snap-shot of the European labour market, was published. 5. One workshop with focus on the human element was organised. Output Indicators Target 2016 Result 2016 number of inspections and 7-8 8 visits per year Inspections and visits percentage of planned inspections and visits 100% 114.29% completed number of reports per Reports 7-8 7 year STCW Information percentage per year 99.6% 95% System availability 47 3.3 IMPLEMENTATION OF THE PSC DIRECTIVE In 2016 EMSA performed the last two visits to Member States of the current cycle, in order to assess the level of implementation of Directive 2009/16/EC, as amended. The outcome of each visit was presented to the Member State in question and the Commission through the visit reports. In addition EMSA presented the outcome of all visits performed under the current cycle in the Paris MoU Committee meeting. Furthermore a desktop analysis was performed to verify appropriate compliance of each Member State with the foreseen inspection obligation. The overall conclusion is that Port State Control continues to be one of the most effective instruments to verify that ships comply with international safety and pollution prevention regulations and that the relevant inspections are carried out in a harmonised way thus ensuring equivalent safety standards and avoiding the distortion of competition. The reports provided to the Commission supported the assessment of the Member States’ compliance with the relevant legislation and provided an insight into areas where the relevant provisions of the Directive might need to be revisited. The Member States used findings identified during the visits to implement corrective actions. 13 Planned input Actual input Commitment appropriations in EUR 585,065 1,223,742 Payment appropriations in EUR 585,065 1,191,419 Staff 3 AD, 1 SNE 6 AD, 2 AST, 1 SNE Outcome 2016 Provide information to the Commission on the implementation of the PSC Directive (2009/16/EC) as amended by Member States, enabling the Commission to assess Member States’ compliance with the legislation and undertake actions where necessary. This information will be provided to the EFTA Surveillance Authority in respect of the visits to Norway and Iceland. The desktop analysis will provide an early indication of the level of implementation among the Member States. Prepare the third cycle of PSC visits (2017-2021). Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2 (b), 2.3(d) and 3 Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To maximise its support role for an efficient and expanded scope of the PSC regime. (A8) Annual objectives 2016  Conclusion of second cycle of PSC visits (2 visits). 13 Activities 3300 (PSC Directive) and 3500 (other EU legislation) were merged during the course of the year into a single Activity 3300 covering all EU legislation and renamed “Visits to Member States to monitor implementation of EU law”. This explains the significant difference between planned and actual input. 48 Planned output 2016 Actual output 2016 1. Two visits to Member States. 1. Two visits to Member States. 2. A desktop analysis of implementation of the PSC 2. Desktop analysis of implementation of the PSC Directive Directive was performed for all Member States, 2009/16/EC as amended at the request of the in particular regarding the inspection obligation of Commission. each Member State. 3. Preparation of all the necessary documentation 3. Initial preparations were made for the third cycle (methodology, questionnaire, matrix, format of the of visits, which is planned to start in the first half report, etc.) in view of the third cycle of visits. of 2017. Output Indicators Target 2016 Result 2016 number of visits per year 2 2 Visits percentage of planned visits 100% 100% completed Reports number of reports per year 2 3 49 3.4 MARITIME SECURITY In 2016, EMSA continued to assist the Commission in monitoring Member State implementation of Regulation (EC) No 725/2004 on enhancing ship and port facility security. Following the 2013 amendment to EMSA’s Founding Regulation, EMSA’s technical assistance covered the full scope of the Regulation. Additionally, EMSA continued to provide technical assistance to the EFTA Surveillance Authority in respect of ship security. Whilst the number of inspection missions remained at a similar level as both 2014 and 2015, the number of individual inspections increased substantially compared to recent years, following the change of focus onto the inspections of ships and port facilities. EMSA’s reports highlighted observations identified during the inspections, provided recommendations and information on Member States’ implementation of maritime security measures, procedures and structures. EMSA also provided technical input for future inspections in the field of ship security for the Commission’s consideration. For the first time two training courses on port facility security, mainly addressed to officers in the administrations with port and port facility security responsibilities, were developed and delivered to Member States and to SAFEMED III beneficiary countries. Additionally a ship security training course for officers in the administrations with experience and knowledge in flag/port State security aspects was delivered. EMSA continued also to participate in the MARSEC (Maritime Security) Committee and the Stakeholders’ Advisory Group on Maritime Security chaired by the Commission. Additionally, EMSA assisted the Commission in the process of accreditation for national security inspectors in the framework of the implementation of the Regulation (EC) No 725/2004. Planned input Actual input Commitment appropriations in EUR 573,578 500,032 Payment appropriations in EUR 573,578 480,046 Staff 3 AD, 1 CA 3 AD Outcome 2016 Provide technical assistance to enable the Commission and the EFTA Surveillance Authority to assess and verify the implementation of EU maritime security legislation in the Member States visited. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2 and 2.2 (b) Multi-annual strategic objectives  Adding value from visits and inspections (Strategic Action Area). Annual objectives 2016  An increased effort of missions compared to 2015, aiming at supporting the Commission for the whole scope of security inspection monitoring activity (including port facilities).  Provide the Commission with timely advice on the level of security implementation by the Member States. Planned output 2016 Actual output 2016 1. 16-18 missions to Member States including Norway and 1. 12 missions, 11 to EU Member States and one to Iceland. an EFTA Member State. During the missions in 2. Upon request of the Commission, contribute to the the EU Member States, 71 individual inspections updating and enhancement of the procedures for were carried out, including 42 ships, 25 port performing maritime security inspections. facilities and four Member State administrations. Reports of all these inspections were submitted. 3. Upon request of the Commission, provide assistance on the follow-up of the deficiencies identified during 2. EMSA participated in the working groups set up 50  inspections. by the Commission to discuss the methodology and procedures for certain types of inspection. 4. Upon request of the EFTA Surveillance Authority, provide assistance for inspections of Norway and 3. No formal requests from the Commission for Iceland. assistance to verify Member States’ proposed action plans were received. 4. The mission in one EFTA Member State concerned that Member State’s maritime administration. Output Indicators Target 2016 Result 2016 Inspections number of missions per year 14 16-18 12 15 percentage of planned 100% 75% missions completed 16 Reports number of reports per year 30-35 40 14 The number and timing of maritime security inspections is decided by the Commission and the EFTA Surveillance Authority. Compared to the original planning, the Commission cancelled two inspections and the EFTA Surveillance Authority has only requested EMSA’s assistance for one instead of the expected three inspections. 15 See previous footnote. 16 More than one report may be prepared by the Agency following an inspection mission, for example if more than one Member State is inspected. 51 3.5 MONITORING IMPLEMENTATION OF OTHER EU MARITIME LEGISLATION EMSA continued the agreed cycles of visits to Member States to assist the Commission and the EFTA Surveillance Authority in their assessment of Member States in achieving a convergent and effective implementation of Union maritime law. In 2016, 12 visits were carried out in respect of five EU Directives: on accident investigation (Directive 2009/18/EC), Vessel Traffic Monitoring and Information Systems (Directive 2002/59/EC), sulphur content of marine fuels (Directive 2016/802/EU), port reception facilities (Directive 2000/59/EC) and fishing vessel safety (Directive 97/70/EC). The visits related to Directive 2016/802/EU are part of a new cycle of visits launched in 2016, this being the first cycle conducted under the Methodology for visits to Member States approved by the EMSA Administrative Board in 2015. At the request of the Commission, and pending completion of the REFIT exercise on EU ship safety legislation, no further visits to verify the implementation of Directive 98/41/EC on the registration of persons sailing on board passenger ships were carried out. Visits are conducted in full cooperation with Member States, which benefit from an impartial external view of their operational implementation and enforcement of Union law, taking into account local and regional concerns. The visits provide the Member States with an opportunity to better plan resources, assess training requirements and review any gaps and shortcomings, as appropriate, in order to optimise the level of compliance with Union law. This enhances cooperation between the Commission and Member States towards achieving consistency and meeting common targets. Furthermore, the visits generated important information for the horizontal analyses on the effectiveness of the measures in place to be conducted once a full cycle of visits has been completed. 17 Planned input Actual input Commitment appropriations in EUR 1,020,958 59,000 Payment appropriations in EUR 1,020,958 85,508 Staff 5 AD, 2 AST - Outcome 2016 Provide advice to enable the Commission and the EFTA Surveillance Authority to assess and verify the implementation of EU maritime legislation in the Member States visited. Assist EU and EFTA Member States in their understanding of the requirements of EU legislation and the resources needed for its effective implementation. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(b) and 3 Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1) 17 Activities 3300 (PSC Directive) and 3500 (other EU legislation) were merged during the course of the year into a single Activity 3300 covering all EU legislation and renamed “Visits to Member States to monitor implementation of EU law”. This explains the significant difference between planned and actual input. 52 Annual objectives 2016  Sound implementation of the methodology for visits to Member States.  Similar effort in visits as in 2015.  Primary focus on accident investigation and passenger ships legislation.  Verification of selected aspects of European passenger ship safety legislation.  New cycle of visits on Directive 1999/32/EC as amended on the sulphur content of marine fuels. Planned output 2016 Actual output 2016 1. 6 visits to EU Member States to monitor the 1. Seven visits were undertaken, including one to implementation of Directive 2009/18/EC on the an EFTA Member State, and nine reports were investigation of accidents in the maritime transport sent, including one to the EFTA Surveillance sector. Authority. 2. 1-2 verifications of selected aspects of European 2. No verification visits were carried out. passenger ship safety legislation. 3. Two visits to Member States were undertaken. 3. 1-2 visits to EU Member States focusing primarily on the implementation of Directive 2012/33/EU amending 4. One visit to an EFTA Member State was Council Directive 1999/32/EC as regards the sulphur undertaken and a report was sent to the EFTA content of marine fuels. Surveillance Authority. 4. 1 visit to an EFTA Member State concerning the 5. One visit to an EFTA Member State was implementation of EU legislation on fishing vessels. undertaken and a report was sent to the EFTA Surveillance Authority. 5. 2 follow-up visits to EFTA Member States in respect of port reception facilities under Directive 2000/59/EC. 6. One visit to an EU Member State, in respect of vessel traffic monitoring and information systems 6. Upon request of the Commission, assistance to verify (Directive 2002/59/EC as amended) was carried the implementation of any other EU legislative acts in following a request by the Commission. the field of maritime safety or ship-sourced pollution. Output Indicators Target 2016 Result 2016 18 number of visits per year 13-14 12 Visits 19 percentage of planned visits 100% 92.31% completed Reports number of reports per year 13-14 13 18 The projected visits to Member States in respect of Directive 98/41/EC were cancelled in view of the Commission’s REFIT exercise on ship safety legislation and a follow-up visit to an EFTA Member State in respect of port reception facilities was postponed to 2017. These were only partially offset by an increase in the number of accident investigation visits. 19 See previous footnote. 53 3.6 HORIZONTAL ANALYSIS AND RESEARCH When a cycle of visits or inspections has been concluded, or when deemed appropriate, such as mid-cycle, the Agency analyses its reports with a view to identifying horizontal findings and general conclusions on the effectiveness and cost- efficiency of the measures in place. These analyses are intended to facilitate discussions with the Commission and Member States, to draw relevant lessons and disseminate good working practices. In 2016, two Horizontal Analyses were completed: an analysis of the truncated cycle of visits to Member States concerning the registration of persons on board passenger ships, to provide input to the Commission’s REFIT exercise on EU maritime safety legislation, and an analysis of the findings from the visits to Member States related to Directive 96/98/EC on marine equipment. In addition, a pilot cost-effectiveness analysis of the PSC Directive was completed, proving the feasibility and benefits of analysing costs, effectiveness and efficiency of the measures put in place by Member States when implementing and enforcing the requirements of Union law. Based on this positive outcome, a cost-effectiveness analysis will be included in all new cycles of visits to Member States started in 2016 or thereafter. One workshop took place in 2016, namely in preparation for the cycle of visits to Member States for Directive 2016/802/EU th on the sulphur content of marine fuels that started in the 4 quarter of 2016. Planned input Actual input Commitment appropriations in EUR 550,578 406,438 Payment appropriations in EUR 550,578 393,008 Staff 3 AD, 1 CA 2 AD, 1 CA Outcome 2016 Provide advice to enable the Commission and the EFTA Surveillance Authority to assess and verify the implementation of EU maritime legislation and to identify whether and if so what changes are needed to Union law to improve the level of maritime safety and the prevention of pollution by ships in the EU. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(a), 2.2(c) and 3.5 Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To provide the Commission with objective, comparable audit information and generic findings based on analysis of completed inspection cycles and the whole range of related information available as well as with technical recommendations as appropriate. (A3)  To enhance an effective dissemination of relevant Horizontal Analysis results not only to the Commission but also to Member States’ maritime administrations, including sharing best practices. (A4)  To continue developing its role as forum for discussion of best practices. (D5)  To use available technical knowledge to analyse research projects with a maritime safety or environmental protection interest, where appropriate. (D7) 54 Annual objectives 2016  Carry out horizontal analyses of cycles and part cycles of visits and inspections to identify horizontal findings and general conclusions on the effectiveness and cost-efficiency of the measures in place, including the identification of good practices.  Hold workshops, as relevant and appropriate, with the Commission and Member States to review the horizontal analyses and provide the Member States with a forum for the sharing of lessons learnt and best practices and identifying possible future training needs.  Support the Commission in its assessment of the results of visits and inspections, including follow-up with Member States and, when required, in any wider follow-up action (e.g. consultations with Member States, workshops on best practice, possible changes to Union law including contributions to impact assessments, etc.).  Conduct analyses of research projects to assist the Commission, upon request, with preparatory work for updating/developing legislation.  Analyse research instrumental to other tasks (especially in relation to environmental protection issues). Planned output 2016 Actual output 2016 1. 2-3 Horizontal Analyses of full or part cycles or series of 1. Two horizontal analyses were completed. visits and inspections. 2. One workshop was held with the Commission and 2. Support the Commission and the Member States by Member States. sharing the results of and knowledge gained from the Horizontal Analyses through workshops and seminars. 3. No requests were received. 4. One pilot cost-effectiveness analysis for the Port 3. Analyses of research projects, upon request, to assist State Control Directive was carried out. the Commission with preparatory work for updating/developing legislation. Output Indicators Target 2016 Result 2016 number of horizontal analyses 2-3 2 Analyses on the basis of full or per year part cycles or series of visits and inspections percentage of planned analyses 100% 100% completed 55 Providing Member States and the Commission with technical and scientific assistance and facilitating technical cooperation between Member States’ Maritime Authorities and with the Commission. 4.1 PORT STATE CONTROL EMSA continued to support the Commission in its participation in all the structures of the Paris MoU providing technical assistance to the Commission or the Paris MoU Task Forces on the implementation of the Inspection Regime. Technical assistance was provided to the Commission on the deliberations on the proposal for a Directive on a system of inspections for the safe operation of ro-ro ferry and high-speed passenger craft in regular service and amending Directive 2009/16/EC on port State control and repealing Council Directive 1999/35/EC. EMSA also supported the work of the Commission in the ex post evaluation of Directive 2009/16/EC on port State. In addition the Agency continued to host, support and enhance RuleCheck to support PSC Officers and the e-learning platform MaKCs, which were kept operational on a continuous uninterrupted basis. A dedicated help service for users was provided throughout the year. Planned input Actual input Commitment appropriations in EUR 884,065 834,998 Payment appropriations in EUR 884,065 713,245 Staff 3 AD, 1 SNE 3 AD Outcome 2016 The Agency will continue to support the Port State Control system in line with the PSC Directive (2009/16/EC) as amended. The support includes inter alia the maintenance and further enhancement of the information system (THETIS), the maintenance and further development of RuleCheck and MaKCs and technical assistance to the Member States and the Commission on matters related to PSC. The Agency is working towards harmonising Port State Control in and by Member States, by developing and organising common training and common PSC tools. This will contribute to a more harmonized level of PSC in the European Union, establishing a more unified level of maritime safety. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(a), 2.4(d) and 2.4(h). Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To maximise its support role for an efficient and expanded scope of the PSC regime.(A8)  To assist the Commission, Member States and the maritime industry, where appropriate, in meeting, implementing and monitoring international and European legislation and initiatives on the reduction of SOx and NOx emissions (C1)  Support EU Strategies on regional sea basins. (D1) Annual objectives 2016  Ensure the proper operation of RuleCheck and MaKCs (Distance Learning Package (DLP) for PSC Inspectors).  Assist in the publication of information relating to ship inspections (PSC Directive 2009/16/EC as amended).  Provide technical assistance as concerns the Paris MoU.  Ensure proper operation of RuleCheck and MaKCs for SAFEMED III and TRACECA II beneficiary countries.  Further enhance RuleCheck and MaKCs to cater for environmental maritime legislation of the Union. Planned output 2016 Actual output 2016 1. Management and enhancement of harmonised 1. Harmonised training tools were managed and training tools. enhanced. 2. Management and elaboration of 'RuleCheck’. 2. 'RuleCheck’ was managed and enhanced. 3. Keeping up-to-date the publication of banned vessels 3. The publication of banned vessels and company 56  and company performance. performance was kept up-to-date. 4. Ensuring the daily publication of the list of poor 4. The daily publication of the list of poor performing performing companies. companies was ensured. 5. Providing statistics upon request. 5. Statistics were provided upon request in particular within the context of the ex post evaluation of Directive 6. Supporting the Commission in the implementation of 2009/16/EC. the PSC Directive (2009/16/EC) as amended. 6. Support was provided to the Commission in the 7. Supporting the Commission and the Member States in implementation of the PSC Directive (2009/16/EC). the implementation of the RoPax Directive (1999/35). 7. Support was provided to the Commission on the proposal 8. Participation in all technical meetings and working for a Directive on a system of inspections for the safe groups of the Paris MoU. operation of ro-ro ferry and high-speed passenger craft in 9. Assistance to the Commission in the potential revision regular service and amending Directive 2009/16/EC on of Annexes of the PSC Directive (2009/16/EC) port State control and repealing Council Directive 1999/35/EC; support was provided to the Commission 10. RuleCheck and MaKCs shall be further developed in and the Member States were supported in the order to provide similar support to PSC and other implementation of the RoPax Directive (1999/35). competent authorities to implement legal acts of the Union not falling within the remit of the Paris MoU 8. Participation was ensured in all technical meetings and (Sulphur Directive, Ship Recycling Regulation). working groups of the Paris MoU, and certain policy meetings, on behalf of the Commission, in particular in the coordination meetings for defining the final outcome of joint ministerial meeting of Paris MoU and Tokyo MoU. 9. Technical support, including data from THETIS, was provided to the Commission in the potential revision of Annexes of the PSC Directive, 10. MAKCs and RuleCheck were further developed in order to provide support to competent authorities in the Member States beyond the remit of PSC (STCW module, Sulphur module, ENV legislation, General Maritime Legislation, BWMC, MLC). Output Indicators Target 2016 Result 2016 RuleCheck system percentage per year 85% 99.05% operational availability days maximum RuleCheck continuous 9d 3d downtime percentage of RuleCheck Helpdesk requests closed in 75% 100% Service less than 9 days percentage per year 85% 99.99% MaKCs system availability operational days maximum continuous 9d 0d downtime percentage of MaKCs Helpdesk service requests closed in 75% 93.02% less than 9 days 57 4.2 ACCIDENT INVESTIGATION The Agency continued to manage the European Marine Casualty Information Platform (EMCIP) and coordinated a working group of Member States’ experts to improve the EMCIP taxonomy. Several technical and operational documents were prepared and made available to EMCIP users, including user manuals, reporting guidelines and a data quality policy. The contract for the new EMCIP was awarded in December 2016 for deployment of the new EMCIP by mid-2018. The new application will be more user-friendly and include tools to assist investigations and analysis. EMSA provided the Secretariat to the 6th meeting of the Permanent Cooperation Framework (PCF) and organised the 1st PCF Inter-sessional seminar on best practices for Accident Investigation. Support was also provided to PCF Working Groups on: (i) training, (ii) promulgation of Safety Recommendations, (iii) definitions relevant for accident investigation, and (iv) preparation of a booklet on best practices as a follow up of the seminar. Training activities included a “VDR Seminar”, the “Core Skills for Accident Investigators” course, an e-learning module on accident investigation legislation and the first “Train-the-trainer” course on EMCIP. Dedicated sessions were also organised for ENP Countries. The 3rd edition of the “Annual Overview of marine casualties and incidents”, providing focussed views per main ship type, was published. Data from EMCIP were used to support specific projects such as the EMSA FIRESAFE study, or evaluations and impact assessments of maritime safety legislation by the Commission. Planned input Actual input Commitment appropriations in EUR 1,094,873 1,041,190 Payment appropriations in EUR 1,094,873 1,152,363 Staff 4 AD, 1 AST, 1 SNE 4 AD, 1 AST, 1 SNE Outcome 2016 EMSA’s activities will improve the accident investigation capabilities of Member States. By collecting and comparing investigation data held in EMCIP EMSA will add value by identifying relevant lessons learned at EU level. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(a) and 2.4(c) Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To develop practical solutions for providing operational support to Member States – at their request - concerning investigations related to serious and very serious maritime accidents. (A9)  To support the European Commission and EU Member States to enhance maritime safety through the analysis of accident investigation reports and by producing maritime casualty statistics and analysing trends. (A10)  To become a reliable source of information and statistics for the EU on maritime matters. (D4) Annual objectives 2016  Ensure the proper running of EMCIP.  Carry out analysis of the safety investigation reports made available to EMSA.  Publish the annual overview of marine casualties and incidents on the basis of EMCIP data.  Support the Permanent Cooperation Framework set-up under Art.10 of the Directive.  Assist the Commission in its preparation of the required 5-yearly report to the European Parliament and the Council on the implementation of the Accident Investigation directive. 58 Planned output 2016 Actual output 2016 1. Supporting the Member States and the Commission in the 1. The Agency concluded the action plan resulting from implementation of the Accident Investigation Directive. the Workshop dedicated to implementation issues with Directive 2009/18/EC, together with the Member 2. Providing the Secretariat of the Permanent Co-operation States and the Commission. Framework, as foreseen by Regulation (EU) No 651/2011 adopting the rules of procedure of the PCF. 2. The Secretariat of the Permanent Cooperation Framework (PCF) was provided, including the 3. Maintaining the current European Marine Casualty organisation of the 6th PCF meeting and the 1st PCF Information Platform (EMCIP). intersessional meeting. The Agency also led the 4. Develop a modern, more efficient and user-friendly platform Working Group on Training of Accident Investigators for the EMCIP, to be hosted at EMSA. and participated in all other working groups established by the PCF. 5. Checking EMCIP data quality through an acceptance procedure. 3. EMCIP was maintained up and running with 388 users from 49 organisations registered. 6. Investigating practical solutions for providing operational Functionalities of the system were improved in 2016 support, if requested by Member States, in investigations such as the ship reference database, the related to serious or very serious maritime accidents. administrative module and a tool to report information 7. Analysing accident investigation reports with a view to on actions taken by any entity in connection to an identifying lessons to be learnt at EU level. occurrence. 8. Analysing data from casualty investigations and proposing 4. The procurement process for the new EMCIP was any appropriate safety recommendations to the Commission. successfully completed in December 2016. Consultation with experts from Member States 9. Publishing the annual overview of marine casualties and through several meetings was of crucial importance incidents on the basis of data provided by the Member for defining user specifications fitting the users’ States. needs. 10. Contributing as requested, to the Commission’s 5-yearly 5. New procedures were implemented to monitor the report to the European Parliament and the Council on the data quality in EMCIP to ensure a high quality level. A implementation of the Accident Investigation Directive. new workflow was also defined to streamline the reporting process in EMCIP. 11. Contributing as requested, to the Commission's evaluations and impact assessments of maritime safety legislation in the 6. No request from Member States for operational context of the new Commission Better Regulation Guidelines support was received. (May 2015), in particular using EMCIP as a source of reliable data. 7. This task was not started in 2016 due to lack of resources. 8. Data from casualty investigations were provided following ad-hoc requests such as for the EMSA FIRESAFE project. 9. The 3rd edition of the Annual Overview was published. 10. Input was provided to the European Commission in the preparation of the ex-post evaluation study of the Directive that will also incorporate the implementation report provided by Article 23 of the Directive. 11. Data reported to EMCIP were used to support the ex- post evaluation of Regulation 392/2009 (Liability of carriers of passengers by sea in the event of accidents) and the Refit evaluation of Directives 2008/106/EC (Minimum level of training of seafarers) and 2005/45 (Mutual recognition of seafarers’ certificates issued by the Member States). 59 Output Indicators Target 2016 Result 2016 EMCIP meetings number of meetings per year 2 2 Accident Database number of occurrences notified in EMCIP during the year 3500 4702 PCF meetings number of meetings per year 1 2 60 4.3 TECHNICAL ASSISTANCE (TRAINING AND COOPERATION) Training and cooperation is one of the Agency’s key tasks. In 2016 the Agency delivered 24 training sessions (including PSC seminars) in which 636 experts from the Member States, Norway and Iceland and the Paris MoU Region participated. In addition the Agency organised 20 training sessions for 150 experts from the enlargement countries. Furthermore, six eLearning modules were developed for a number of communities, related to legal acts that have recently entered or will soon enter into force. The new models covered various topics, such as General Maritime Legislation, Environmental Maritime Legislation, Sulphur Directive, Sulphur Inspectors Guidance, STCW, MLC and Ballast Water. Through its portfolio of training and tools the Agency supported national capacity to implement the Union acquis, fostered cooperation and disseminated best practices, thus contributing to achieve uniform implementation of EU maritime legislation and a level playing field. Planned input Actual input Commitment appropriations in EUR 1,419,370 1,455,451 Payment appropriations in EUR 1,419,370 1,307,513 Staff 2 AD, 1 AST, 2 SNE, 1 CA 3 AD, 1 AST, 2 SNE Project financed input Project Funding source Time frame and Financial input 2016 Staff envelope EC Funds for 2015-2018 committed 211,871 candidate and potential EC no extra staff € 300,000 paid 141,261 candidate Outcome 2016 To promote best practices between EU Member States and increase knowledge and awareness of solutions found, benefiting maritime safety, ship security and prevention of and response to marine pollution by ships. To support the process of approximation to EU maritime safety “acquis” for enlargement countries. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.3(a), 2.3(b) and 2.5 Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To become the implementing body of maritime safety related projects for IPA and ENP countries. (D2)  To prepare IPA and ENP countries for association to EMSA’s traffic monitoring services and for use of EMSA’s pollution response services. (D3)  To continue developing its role as forum for discussion of best practices. (D5)  To consolidate its role as training provider including the use of modern techniques. (D6) Annual objectives 2016  Maintain training for Member States and enlargement countries at the same level as in 2015.  Provision of training to enlargement countries (specific budget provided by the Commission).  PSC training for countries taking part in the Paris MOU. 61 Planned output 2016 Actual output 2016 1. Up to 14 training sessions for Member States on the 1. 24 training sessions for Member States were range of topics covered by EMSA’s mandate. performed covering both existing and forthcoming legal acts falling within the EMSA’s mandate 2. Up to 6 sessions for training/technical assistance for officials from enlargement countries related to EU- 2. 20 training sessions for enlargement countries legislation and EMSA activities. were performed covering both existing and forthcoming legal acts falling within the EMSA’s mandate. Output Indicators Target 2016 Result 2016 Training for Member number of MS training sessions States per year up to 14 24 number of MS experts attending per year 290 636 Training for enlargement number of AC training sessions countries per year up to 6 20 number of AC experts attending per year 50 150 Customer satisfaction level of customer satisfaction >70% >70% 62 4.4 MARINE EQUIPMENT AND SHIP SAFETY STANDARDS In 2016, EMSA continued to support the Commission’s Fitness Check of EU Passenger Ship Safety legislation by providing data and analysis on fleet profile and accidents. Three published legislative proposals are now under consideration within Parliament and Council. In line with the conclusions of the 2015 workshop on fires on the vehicle decks of ro-ro passenger ships, EMSA coordinated an expert group (GoE) from the Member States and the Commission in order to promote discussions at a technical level. In parallel, EMSA also completed the FIRESAFE study which further analysed the key risks identified by the GoE, considered possible solutions and conducted a cost analysis. The results of both exercises were presented in a workshop in November 2016 attended by representatives from the Accident Investigation Bodies and the Maritime Administrations of the Member States. EMSA also ensured technical support for the implementation and update of the recently revised Marine Equipment Directive (2014/90/EU). A draft of the new Commission Implementing Regulation providing a list of marine equipment standards, including application dates for the first time, was delivered in consultation with the Member States, Commission and the Industry. The Agency also followed the work of the MarED Technical Secretariat for Notified Bodies and managed the contracts for the MarED database. Following completion of the “EMSA 3” Damage Stability study investigating passenger ship safety, EMSA provided the relevant information to the Commission and Member States. The work was the basis for an EU proposal for an increase in the damage stability requirements (i.e. Index ‘R’) submitted to IMO SDC 3 in 2016 and leading to a compromise which was presented for adoption at IMO MSC 97. Negotiations within IMO are expected to conclude in June 2017. Planned input Actual input Commitment appropriations in EUR 1,898,937 1,787,518 Payment appropriations in EUR 1,928,509 1,729,927 Staff 7 AD, 1 AST, 2 SNE 6 AD, 1 AST, 3 SNE Outcome 2016 The Agency will contribute to the safety of ships and marine equipment at European level by supporting the implementation, update and development of appropriate and harmonised safety standards. It will also contribute to the functioning of the internal market by assessing individual safety problems and market distortions due to differences in application of standards. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(a), 2.2(c) and 2.4(h) Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To become a reliable source of information and statistics for the EU on maritime matters. (D4) Annual objectives 2016  Assist the Commission in any development of relevant legislation arising from the fitness check (REFIT – Regulatory Fitness) initiated in 2014, of Directives 2009/45/EC on safety rules and standards for passenger ships, 2003/25/EC on specific stability requirements for ro-ro passenger ships, 1998/41/EC on the registration of persons on board and 1999/35/EC on mandatory surveys of ro-ro ferry and HSC passenger services.  Follow up EMSA’s study assessing the acceptable and practicable risk level of passenger ships related to damage stability.  Support the Commission and the Member States in relation to the submissions and work of the technical bodies of the IMO on passenger ship safety and to the Member States' expert group meetings, with regard to matters of Union competence.  Update the list of standards for marine equipment subject to flag State approval and conduct technical review of safeguard clause cases. 63   Support the Commission in the development of the Cost Benefit Analysis for the introduction of electronic tagging for marine equipment.  Support the Commission and the Member States in work arising from the co-ordination group of Notified Bodies, authorised by the Member States to carry out the conformity assessment procedures in accordance with the Marine Equipment Directive.  Maintenance of the MarED database.  Follow-up of the EU-USA Mutual Recognition Agreement and management of the alert system.  Analysis of research projects relevant to ship safety.  Technical support for the implementation, update in line with the development of international legislation and development of Ship Safety and Marine Equipment legislation, including technical review of notified exemptions and derogations. Planned output 2016 Actual output 2016 1. Providing technical support to the Commission and the 1. Technical support was provided the Commission and Member States on the work at IMO in the field of Maritime the Member States in IMO meetings by reviewing the Safety Standards. meeting submissions and providing technical input for the EU coordination non-paper, particularly focused 2. In particular, the Agency will provide technical support on passenger ship safety. EMSA’s work on ro-ro regarding developments on passenger ship damage vehicle deck fires successfully supported the case for stability, fire safety, the International Safety Management a new item in IMO’s work programme. (ISM) code and Goal Based Standards. 2. Technical support was provided for the developments 3. Providing technical support to the Commission on any on passenger ship damage stability and the draft development and follow-up of relevant legislation following biennial report on the implementation of the ISM the REFIT of passenger ship safety legislation (Directive code. A second workshop on fires on board ro-ro 2009/45/EC on safety rules and standards for passenger decks was organised with representatives from the ships, Directive 2003/25/EC on specific stability Member States and the Accident Investigation requirements for ro-ro passenger ships, Directive Bodies, with contributions from industry experts and 1998/41/EC on the registration of persons on board, and researchers. Directive 1999/35/EC on mandatory survey of ro-ro ferry and HSC passenger services). 3. In October 2016, the Commission published relevant legislative proposals arising from the Fitness Check 4. Preparation of the update to the list of standards for marine of passenger ship safety legislation. EMSA provided equipment that is subject to flag State approval in the form of support to the Commission for the finalisation of the the annex to an implementing act of the new Marine proposals and the first reading of the proposal on Equipment Directive (yearly basis). Directives 2009/45/EC and 1998/41/EC in the Council 5. Examination of safeguard clause cases submitted under the working Party. Marine Equipment Directive. 4. Technical support was provided to the Commission in 6. Management of the alert system foreseen by the MRA the preparation of the Annex to the first Implementing signed between the EU and the USA and providing the Regulation for the Marine Equipment Directive Commission with a revised list of marine equipment and (2014/90/EC Article 35), including consultation with associated legislative, regulatory and administrative the MS and a workshop with MS and industry to provisions that the EU and the USA may determine to be discuss the key issues and establish the main equivalent. principles in June 2016. 5. No safeguard clause cases under the Marine Equipment Directive (2014/90/EC) were submitted to EMSA but advice was provided on some market surveillance files. 6. No issue was raised within the alert system foreseen by the MRA signed between the EU and the USA. Output Indicators Target 2016 Result 2016 percentage per year availability of MarED Database 99% 99.98% MarED DB 64 4.5 MARITIME INFORMATION, EQUASIS AND STATISTICS The Equasis information system presents safety and quality-related information on the world’s merchant fleet with a particular focus on information on port State control inspections, class and P&I cover. The information is supplied by almost all the port State control regimes around the globe and various industry-based organisations. The data is accessible freely on the Internet. EMSA hosts the Management Unit of Equasis thus responsible for the day to day operation of the system (including help desk), preparation of biannual meetings of the Editorial Board and the Supervisory committee, the accreditation of data providers and the publication of annual statistics on the world’s fleet. In 2016 a revised MoU was prepared, adding environmentally related data for Equasis. The revised MoU was adopted by the contributing parties and was signed during a ceremony held in IMO premises in July 2016. The Agency has also further developed the MARINFO information system, which is now incorporated into the THETIS environment and produced data and statistics to support the ex post evaluation of the Directive 2009/16/EC, the ex post evaluation and impact assessment for Directive 2000/59/EC and to support the annual frequency of inspections and samples foreseen by Directive 2016/802/EU. Equasis was kept operational on a continuous basis. Helpdesk service was provided to the users. In addition, the scope of the project with respect to data to be included was extended. Through MARINFO a total of 40 data requests were handled in 2016, confirming the usefulness of regular statistics and ad hoc analyses. Furthermore Equasis continued to be the sole source of free and reliable information for the shipping industry. Planned input Actual input Commitment appropriations in EUR 675,531 936,593 Payment appropriations in EUR 675,531 925,529 Staff 1 AD, 1 AST, 1 SNE 3 AD, 1 SNE, 1 CA Project financed input Project Funding source Time frame Financial input 2016 Staff EQUASIS Equasis Member States ongoing committed 586,176 No extra staff paid 473,856 Outcome 2016 Reliable information systems that can significantly contribute towards rationalising and optimising assessment of compliance with the requirements of International and EU legislation. Reliable and compatible data to support the Agency’s tasks in preparing and making use of up-to-date and validated information on maritime safety. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2 and 2.4(d) Multi-annual strategic objectives  To support the Commission and the Member States in improving ship safety. (A1)  To maximise its support role for an efficient and expanded scope of the PSC regime. (A8)  To contribute to the protection of the marine environment in the EU. (C4)  To become a reliable source of information and statistics for the EU on maritime matters. (D4) Annual objectives 2016  Enhance and promote the internal Web portal for the MARINFO Project.  Address complex requests through the MARINFO Helpdesk.  Increase the number of data providers contributing to Equasis. 65   Search for new signatory parties for Equasis thus decreasing the financial contribution of the existing members, including EU Member States and EMSA.  Promote and disseminate regular maritime-related statistics (possibly a publication) with particular focus on EU ships and waters.  Support the Commission by providing reliable statistics, in particular on the implementation of the Commission Implementing Decision 2015/253.  Ensure proper operation of RuleCheck and MaKCs for SAFEMED III, TRACECA II beneficiary countries, EU Accident Investigation bodies and EU Flag Administrations.  Further enhance RuleCheck for the creation of more and different User Groups by the RuleCheck system administrator in EMSA, thus offering the option of uploading folders relevant to the work of user communities (national legislation folders).  Provide the necessary support to the India Ocean MoU for the use of MaKCs. Planned output 2016 Actual output 2016 1. Management of Equasis. 1. The management of Equasis was ensured, and an amended MoU was adopted. 2. Publishing the annual statistical report on the world merchant fleet in Equasis. 2. The annual statistics were published. 3. Production of statistical products (regular or ad hoc) 3. Statistical products (regular or ad hoc) from the from the MARINFO database, as well as analyses, MARINFO database were offered to support ex services and publications, for internal and external use, post evaluation of legal acts and relevant impact as appropriate. assessments. 4. Support data analysis pilot projects. 4. Data analyses pilot projects were supported as relevant. 5. Enhancement of the MARINFO database through the promotion and development of an in-house web portal. 5. The MARINFO database has been incorporated into the THETIS environments and linked to 6. Analysis of statistics, on the basis of the reports Jasper thus providing enhanced statistics and submitted by the Member States through THETIS-S, on supporting internal pilot projects. the appropriate implementation of Directive 2012/33/EU amending Council Directive 1999/32/EC as regards the 6. Annual reports regarding compliance by sulphur content of marine fuels. Member States with the sulphur standards reporting as well as well as the annual frequency 7. Development of RuleCheck and MaKCs to support of sampling for 2017 were prepared and different user communities. disseminated to Member States and European Commission. 7. MAKCs and RuleCheck were further developed in order to provide support different user communities. Output Indicators Target 2016 Result 2016 percentage per year Equasis availability 99.5% 99.98% number of users per month 20 35 000 33 552 number of contributing members 9-10 10 20 Number of visitors to the public site of Equasis stayed slightly below expectations. Fluctuations in number of users are seen to follow media coverage of shipping related events, and reflect the economic situation in general. 66 4.6 PREVENTION OF POLLUTION BY SHIPS In 2016 the Agency provided technical and scientific assistance to the European Commission and the Member States on a number of environmental legislative acts in the area of prevention of pollution by ships that were being implemented, adopted or entering into force. The assistance included the development of guidance documents (EMSA’s Best Practice Guidance on the Inventory of Hazardous Materials, Guidance for Ship Inspections under the Port Reception Facilities Directive, Technical Recommendations on the Implementation of PRF Directive, draft EMSA Guidance on LNG Bunkering to Port Authorities and Administration ), training (for Sulphur Inspectors), organisation of dedicated workshops (for Directive 2000/59/EC, for Directive (EU) 2016/802, for Regulation (EU) 1257/2013 and for the use of LNG as fuel in shipping), development of concept papers (for Regulation (EU) 2015/757) and support to the Commission on Evaluation reports and Impact Assessment (for Directive 2000/59/EC). Furthermore EMSA continued the technical and administrative support to the ESSF and its seven sub groups. The support entailed preparation (drafting of technical documents), participation and follow up (minutes and reports) for 21 meetings. Finally the Agency launched two studies (Study on the use of Fuel Cells in Shipping and Management of Ship-Generated Waste On-board Ships) whose final results were made available early 2017. The Agency also contributed at IMO level through contributions to EU submissions and the development of the coordination papers before relevant sub-committees and committees. The Agency also participated on behalf of the Commission in the Working and Drafting Groups covering areas related to Greenhouse Gases, Ship Recycling, Air Emissions (SOx and NOx), including Alternative fuels such as LNG, and Ballast Water. Particular emphasis should be given to the work of the Agency in supporting the Commission and Member States during MEPC for the adoption of the 0.5% Sulphur cap for 2020. Planned input Actual input Commitment appropriations in EUR 1,215,684 1,191,714 Payment appropriations in EUR 1,215,684 1,107,280 Staff 6 AD 5 AD Outcome 2016 The Agency’s expertise in matters related to environmental protection assists the Commission and Member States to better tackle a variety of ship-sourced pollution and emission problems, with regard to implementation as well as new legal developments. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.2(d), 2.4(h), 2a.2(a) and 2a.2(b) Multi-annual strategic objectives  To assist the Commission, Member States and the maritime industry, where appropriate, in meeting, implementing and monitoring international and European legislation and initiatives on the reduction of SOx and NOx emissions. (C1)  To assist the Commission, Member States and the industry in the technical development related to alternative fuels for ships. (C2)  To support if necessary the Commission in setting up a Monitoring, Reporting and Verification system for emissions in line with future policy developments in this area. (C3)  To contribute to the protection of the marine environment in the EU. (C4)  To assist Member States in the implementation of the new rules in the field of ship related pollution. (C5) Annual objectives 2016  Technical assistance to the Commission in monitoring compliance with the requirements relating to sulphur content in fuel.  Technical assistance to the Commission in implementing the Directive on Port Reception Facilities, including reporting and monitoring of the provisions of the Directive, as well as technical recommendation to improve implementation and the development of a dedicated module for PRF in THETIS. 67   Technical assistance to the Commission in reviewing the Directive, including work on the impact assessment of the different options for the revision of the Directive.  Technical assistance to the Commission for further actions related to air quality (comparative study on penalties under the new Sulphur Directive, shipping emission inventories, and contributions to studies on fuel availability review).  Assistance to Member States mainly by appropriate training of Sulphur inspectors.  Assistance to the European Sustainable Shipping Forum (ESSF) and the relevant subgroups.  Follow-up of international developments in IMO and technical assistance to the Commission in IMO.  Assistance to the Commission in the implementation of the MRV legislation, including the development of a dedicated module in THETIS (THETIS-MRV) and assistance in preparing implementing and delegated acts.  Technical assistance to the Commission and to the Member States on the availability, approval and use of abatement methods for different air pollutants.  Technical assistance to the Commission for the implementation of Title II of the Ship Recycling Regulation.  Support to the Commission and Member States in matters regarding maritime liability and compensation.  Support to the Commission and Member States in the implementation of the Ballast Water Management Convention (expected to enter into force within 2016). 68 Planned output 2016 Actual output 2016 1. Port reception facilities: 1. Port reception facilities: – Organising workshops for Member State experts to improve – A workshop was organised in September 2016 the implementation of Directive 2000/59/EC on port where Guidance for Ship Inspections under the Port reception facilities (PRF Directive). Reception Facilities Directive, Technical – Providing technical support to the Commission to improve Recommendations on the Implementation of PRF reporting under the PRF Directive, in particular regarding Directive were finalised and adopted. enforcement, through specific guidance as well as the – The PRF module of THETIS-EU is operational development and application of the THETIS-EU module since April 2016 and 1159 inspections were recorded. which will cater for PRF and linking that system to SSN. The module is fully interactive with SSN and using the – Supporting the process of reviewing the PRF Directive, in waste notification (or its absence) as an indication for particular the impact assessment to be undertaken in 2016, a potential PRF inspection. which will look at the different options for the revision Group. – Support was ensured to the Commission for the – Launching support studies to support the impact assessment Impact Assessment study. The support entailed the process for the legislative revision and help with data provision of data from Marinfo for the MARWAS collection. model, active participation in the steering committee, – Providing assistance to Member States for the uniform provision of comments to the contractors and implementation of the Directive on the basis of the technical technical advice when requested. recommendations being developed by the Agency. – A study on the Management of Ship-Generated – Providing assistance to the ESSF-PRF subgroup as Waste On-board Ships was launched. technical secretariat. – Guidance for Ship Inspections under the Port Reception Facilities Directive, Technical 2. Greenhouse gases: Recommendations on the Implementation of PRF – Providing technical assistance to the Commission on the Directive were developed and published. implementation of Regulation (EU) 2015/757 on the – Two meetings of the ESSF subgroup were monitoring, reporting and verification of emission of carbon supported. The ESSF correspondence group on dioxide from maritime transport, and amending Directive harmonising the principles of cost recovery systems 2009/16/EC, in particular for the preparation of the was facilitated to feed into the Impact Assessment implementing and delegated acts. study. – Providing technical assistance to the Commission in reviewing and assessing various voluntary and mandatory 2. Greenhouse gases: technical and market-based measures to reduce greenhouse – Technical support was provided for the gases from ships, depending on the regulatory choices made finalisation of implementing and delegated acts, at international or EU level. which were adopted in September 2016. – Providing assistance to the Commission in following – Technical assistance was provided to the international developments, notably in relation to the Energy Commission in following international developments, Efficiency Design Index, its review and its extension to notably with reference to the Energy Efficiency additional ship types. Design Index, its review and its extension to – Providing assistance to the Commission in following additional ship types. Participation was ensured in the international developments concerning the Global Data relevant discussions at IMO level. Collection System for maritime transport covering fuel – Technical assistance was provided to the consumption and greenhouse gas emissions as well as Commission in following international developments further technical and operational measures to enhance the concerning the Global Data Collection System for energy efficiency of ships. maritime transport covering fuel consumption and – Providing assistance to the two MRV ESSF subgroups as greenhouse gas emissions as well as further technical secretariat. technical and operational measures to enhance the energy efficiency of ships. Participation was ensured 3. Air emissions: in the relevant discussions at IMO level. – Providing technical assistance to the Commission in the – Eight meetings of the MRV ESSF subgroups implementation of Directive 2012/33/EU amending Council were supported by the Agency as technical Directive 1999/32/EC as regards the sulphur content of secretariat. Concept papers were prepared, in marine fuels. Assistance could include analysis of the particular on the mandatory and a voluntary module reports submitted by Member States as foreseen by article of the THETIS-MRV 7 of the Directive and by the Commission Implementing – Participation was ensured in a number of Decision 2015/253, analysis of the data extracted from information days on THETIS-MRV, organised by DG THETIS-S, calculation and monitoring of inspection and CLIMA, ECSA and other stakeholders. sampling obligations of Member States, contributions to studies on fuel availability review, comparative study on 3. Air emissions: penalties under Directive 2012/33/EU and shipping – Technical assistance was provided to the emission inventories. Commission in the implementation of Directive (EU) – Provide feedback to Member States and the Commission 2016/802 as regards the sulphur content of marine on the possibilities for new technologies and information fuels. Assistance included analysis of the reports products (e.g. RPAS) to support the implementation of submitted by Member States as foreseen by article 7 Directive 2012/33/EU. of the Directive and by the Commission Implementing – Providing technical assistance to the Member States in the Decision 2015/253, analysis of the data extracted implementation of Directive 2012/33/EU amending Council from THETIS-EU, calculation and monitoring of 69  Directive 1999/32/EC as regards the sulphur content of inspection and sampling obligations of Member marine fuels. Assistance could include further enhancement States, and calculation of shipping emission of guidance manuals for control, sampling and analysis, inventories for the years 2011 to 2015. training for sulphur inspectors and workshops for the – Technical assistance was provided to the exchange of best practices. Member States in the implementation of Directive – Providing technical assistance to the Commission and the (EU) 2016/802 as regards the sulphur content of Member States on the development of alternative emission marine fuels. Assistance included further abatement methods such as alternative fuelling (LNG), enhancement of THETIS-EU to include alerts from exhaust gas cleaning systems (scrubber), biofuels and other RPAS as well as development of a risk based alternative methods as required by Directive 2012/33/EU targeting mechanism (expected to be available by amending Council Directive 1999/32/EC as regards the March 2017). sulphur content of marine fuels. Assistance could, among - A draft Guidance on LNG Bunkering to Port others, include development of guidance on LNG bunkering, Authorities and Administration was prepared, aiming as well as organising workshops for the exchange of best at providing technical assistance to the Commission practices. and the Member States on the use of alternative – Providing assistance to the Commission on organisational fuelling (LNG) in shipping as well as organised activities in the ESSF Plenary and its relevant Sub-Groups. workshops for the exchange of best practices (one for – Providing technical support to the Commission within the Directive (EU) 2016/802 and one for LNG). context of the Sulphur Committee foreseen by Directive – Assistance was provided to the Commission on 2012/33/EU (Art.9). organisational activities in the ESSF Plenary and its relevant Sub-Groups. The Agency organised, 4. Ship recycling: supported and followed-up 9 meetings for LNG, – Providing technical assistance to the Commission on the EGCS, Competitiveness and Implementation Sub implementation of the EU Ship Recycling Regulation Groups. (Regulation (EU) No 1257/2013) namely by drafting technical – Technical support was provided to the guidance on surveys for issuing ship inventory certificates Commission within the context of the Sulphur and the inventory of hazardous materials as well as Committee foreseen by Directive 2012/33/EU (Art.9). participating in IMO deliberations as technical advisor. Support entailed concept papers and relevant – Supporting the Member States by preparing and submitting presentations. questionnaires to Member States on how they foresee – A study on the use of fuel cells in shipping was implementation of Title II of the Ship Recycling Regulation, published. and analysing the responses; organizing workshops on the – Contributions to IMO (study on Ethyl / Methyl, implementation of the Regulation and for the exchange of Proposed amendments to the IMO Exhaust Gas best practices among Member States; providing training for Cleaning Guidelines, etc.) were prepared and Member State’s officers for a harmonised implementation of supported the Commission and the Member States in the Regulation. deliberations in IMO on the 0.5% Sulphur Limit for – Organising training and workshops for flag State and port 2020. State inspectors with reference to the enforcement provisions of Title II of the Ship Recycling Regulation. 4. Ship recycling: – A Best Practice Guidance on the Inventory of 5. Ballast water and anti-fouling systems: Hazardous Materials was prepared and published. – Contributing to the implementation of the IMO Convention by – A workshop on the implementation of the Ship following and contributing to the development on various Recycling Regulation was organised in September issues, notably sampling for compliance and risk 2016 for the exchange of best practices among assessment, ensuring consistency between regional/national Member States; for a harmonised implementation of approaches in Europe and helping Member States ratify or the Regulation in relation to Title II. implement the Convention. – Technical support was provided to the Commission – Providing technical assistance to the Commission and the within the context of the Ship Recycling Committee. Member States regarding the issue of anti-fouling systems, Support entailed concept papers and relevant as appropriate. presentations. 6. Other: 5. Ballast water and anti-fouling systems: – Monitoring and advice on international and EU developments – An eLearning module was developed to support related to other environmental issues such as maritime Member States on implementing the Convention spatial planning and conservation and management tools in which entered into force in September 2017. areas beyond national jurisdiction. – Technical assistance was provided to the – Provision of technical assistance and support to the Commission on the preparation of a Draft IMO Commission and Member States in the implementation of submission on cybutryne. international conventions in EU law relevant for the area of liability and compensation. This will translate into 6. Other: participation in the IMO meetings, organisation of workshops No requests were received from the Commission in these by EMSA and conducting of relevant studies as necessary. areas. – Provision of technical assistance and support to the Commission and Member States on the implementation of Directive 2005/35/EU on ship source pollution. This will involve work starting in the IMO on prohibiting discharges of MARPOL ANNEX II tank washings, containing high-viscosity and persistent floating products. 70 Project: SAFEMED III Technical assistance in the fields of maritime safety, security and the prevention of and response to marine pollution was provided to SAFEMED III beneficiary countries on a regional basis through training sessions, seminars, access to port State control (PSC) tools, etc. Tailor-made activities were organised to meet the specific needs of each beneficiary. In addition, project beneficiaries were involved in the implementation of two pilot projects on sharing T-AIS information for which there is limited interest and on the provision of CleanSeaNet (CSN) services, 6 beneficiary countries receive Satellite-AIS information on vessels and radar satellite images on possible oil spills in their waters. Project beneficiaries had the opportunity to share experiences with EU Members States and to get appropriate technical support and tools to approximate EU standards, enhance their capacity to discharge responsibilities stemming from international maritime conventions, monitor maritime traffic along their coastlines and respond to oil pollution at sea. Project financed input Time frame and Project Funding source Financial input 2016 Staff envelope Technical assistance to 2013-2016 committed 1,458,697 SAFEMED III EC-DG NEAR 1.8 CA 3,000,000 paid 1,007,507 beneficiary countries Outcome 2016 Through the implementation of the project the Agency contributes to improving the relevant capacities of maritime administrations in the Mediterranean partner countries in the field of maritime safety, security and prevention of marine pollution as well as preparedness and response. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 2.5 Multi-annual strategic objectives  To support EU strategies on regional sea basins. (D1)  To become the implementing body of maritime safety related projects for IPA and ENP countries. (D2)  To prepare IPA and ENP countries for association to EMSA’s traffic monitoring services and for use of EMSA’s pollution response services. (D3)  To consolidate its role as training provider including the use of modern techniques. (D6) Annual objectives 2016  Continue the implementation of the SAFEMED III project (Commission budget).  Contribute to improvement of cooperation at regional level.  Continuing to provide beneficiary countries with access to the EU RuleCheck; developing appropriate modules and providing access to beneficiary countries for the Distant Learning Package (DLP) for Port State Control Officers (PSCOs).  Continue providing a pilot service on cooperation on AIS matters and CleanSeaNet to interested beneficiary countries, based on a dedicated version of the Integrated Maritime Data Environment (IMDatE).  Organising an international exercise with the participation of an EMSA Stand-by Oil Spill Response Vessel, using the mobilisation procedure of the Emergency Response Coordination Centre (ERCC).  Manage a project for the donation of oil pollution response equipment, including maintenance and training, to interested beneficiary countries. Planned output 2016 Actual output 2016 1. Up to five technical meetings per year (seminars, 1. 11 technical meetings (seminars, workshops, and workshops, training sessions). training sessions) were organised. 2. Up to four activities per year (studies, technical 2. Technical support was provided to CSN competent 71  support, exercise, etc.). authorities, and to RuleCheck and DLP regional and national administrators. An anti-pollution exercise 3. Provision of EU RuleCheck and DLP for PSCOs as was organised in Nador (Morocco) with participation relevant. of an EMSA SOSRV and Moroccan anti-pollution 4. Provision of pilot service on cooperation on AIS means. matters and CleanSeaNet. 3. EU RuleCheck and DLPs for PSCOs were provided 5. Donation of oil pollution response equipment, including to MEDMOU PSCOs including Turkish PSCOs. maintenance and training, to interested beneficiary 4. Three beneficiaries (Jordan, Morocco and Tunisia) countries. shared their T-AIS information through MARES; 5 beneficiaries were provided with CSN images. 5. Dismissed oil pollution response equipment was maintained and donated to Tunisia. Relevant staff of the Tunisian administration was trained on the use of such equipment. Output Indicators Target 2016 Result 2016 Implementation of number of training sessions per year SAFEMED III Project up to 5 11 number of activities per year up to 4 19 number of ENP experts attending per year 90 136 level of customer satisfaction >70% >70% 72 Project: TRACECA II Technical assistance in the fields of maritime safety, security and the prevention of and response to marine pollution was provided to TRACECA II beneficiary countries on a regional basis through training sessions, seminars, access to port State control (PSC) tools, etc. Project beneficiaries were involved in the implementation of a pilot project on the provision of CleanSeaNet (CSN) services. In addition, an antipollution exercise was organised in Constanta (Romania) with the participation of an EMSA SOSRV and representatives from the beneficiaries. Project beneficiaries had the opportunity to share experiences with EU Members States and to get appropriate technical support and tools to approximate EU standards, enhance their capacity to discharge responsibilities stemming from international maritime conventions and respond to the oil pollution at sea. Project financed input Project Funding source Time frame and Financial input 2016 Staff envelope Technical assistance to 2014-2016 committed 409.549 TRACECA II EC-DG NEAR 1.2 CA 850,000 paid 351,077 beneficiary countries Outcome 2016 By providing complementary activities to those implemented by the current DG NEAR contractor the Agency contributes to achieving an improved level of quality by the beneficiary countries maritime administrations in the field of maritime safety, security and prevention of marine pollution as well as preparedness and response. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 2.5 Multi-annual strategic objectives  To support EU strategies on regional sea basins. (D1)  To become the implementing body of maritime safety related projects for IPA and ENP countries. (D2)  To prepare IPA and ENP countries for association to EMSA’s traffic monitoring services and for use of EMSA’s pollution response services. (D3)  To consolidate its role as training provider including the use of modern techniques. (D6) Annual objectives 2016  Continue to work with complementary activities in the implementation of the TRACECA II project (DG NEAR budget).  Contribute to improvement of cooperation at regional level.  Continue to provide beneficiary countries with access to the EU RuleCheck; developing appropriate modules and providing access to beneficiary countries for the Distant Learning Package (DLP) for PSCOs.  Launch a pilot project to extend the cooperation on AIS related issues and continue the provision of CleanSeaNet services to interested beneficiary countries.  Organising an international exercise with the participation of an EMSA’s Stand by Oil Spill Response Network using the mobilisation procedure of the Emergency Response Coordination Centre (ERCC). Planned output 2016 Actual output 2016 1. Up to 4 technical meetings per year (seminars, 1. Three technical meetings (seminars, workshops, and workshops, training sessions). training sessions) were organised. 2. Up to 3 activities per year (studies, technical 2. Technical support was provided to CSN competent support, practical exercises etc.). authorities, and to RuleCheck and DLP national administrators. An anti-pollution exercise was organised 3. Provision of EU RuleCheck and DLP for PSCOs in Constanta Romania with the participation of an EMSA 73  as relevant. SOSRV. 4. Provision of a pilot project on the CleanSeaNet 3. EU RuleCheck and DLPs for PSCOs were provided to service. Black Sea MOU PSCOs including PSCOs from Turkey, Azerbaijan and Kazakhstan. 4. Two beneficiaries (Azerbaijan and Georgia) were provided with CSN images. Output Indicators Target 2016 Result 2016 number of training sessions per 21 Up to 4 3 year number of activities per year Up to 3 13 Implementation of TRACECA II Project number of ENP experts 40 30 attending per year level of customer satisfaction >70% >70% 21 These KPIs were based on 4 training courses being held during the whole of 2016, whereas the extension of the TRACECA II project from August 2016 to January 2017 was granted for fact finding missions only. 74 Pollution preparedness, detection and response 5.1 OPERATIONAL POLLUTION RESPONSE SERVICES At the end of 2016, 17 fully equipped Oil Spill Response Vessels were available for mobilisation. The two vessels contracted at the end of 2015 covering the areas of the southern Baltic Sea and of the Canary Islands and the Madeira archipelago entered into operational service. Following expiry of the South Baltic Sea contract, a new vessel was contracted in late 2016. In addition, two vessel contracts covering the western and central Mediterranean Sea were renewed for an additional four years. 72 quarterly and acceptance drills were undertaken in order to check and maintain the quality of the service at an appropriate level. Implementation of the Action Plan for Response to Marine Pollution from Oil and Gas Installations continued in 2016 and two vessel arrangements were equipped for seaborne dispersant application, with associated dispersant stocks of 200 tonnes each, in Portugal (Sines) and Spain (Las Palmas). The two Equipment Assistance Service (EAS) arrangements contracted in the Baltic Sea and in the North Sea became fully operational in the second half of 2016. Through this new service, EMSA provides specialised stand-alone equipment (i.e. fire booms, trawl nets, integrated oil containment and recovery systems) that can be used by Vessels of Opportunity, ready for mobilisation and transport at short notice, around the clock. Seven Equipment Condition Tests (ECTs) to assess equipment readiness and performance were conducted by EAS contractors. In order to integrate the pollution response services into the response mechanisms of coastal States, EMSA took part in ten operational exercises with EU Member States and third countries, involving deployment of 12 EMSA contracted vessels (in two exercises two EMSA vessels participated). In addition, 12 vessel contractors and two EAS contractors were activated for participation in ten table-top exercises. Planned input Actual input Commitment appropriations in EUR 17,202,395 17,959,273 Payment appropriations in EUR 19,855,127 20,600,267 Staff 11 AD, 2 AST, 1 SNE, 3 CA 10 AD, 2 AST, 1 SNE, 3 CA Outcome 2016 The network of stand-by oil spill response vessels and equipment stockpiles offer a European tier of pollution response resources to top-up the capacities of coastal States to protect their coastlines from marine pollution caused by ships or oil and gas installations. By the end of 2016, the Agency will have extended its ‘toolbox’ of response methods to include some vessels equipped with dispersant spraying devices, as well as stand-alone equipment especially designed and adapted for response operations to marine pollution from oil and gas installations. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.3(d) and 2.5 Multi-annual strategic objectives  To contribute to the protection of the marine environment in the EU. (C4)  To maintain pollution preparedness and response capability to assist Member States to effectively respond to marine pollutions from ships. (C6)  Subject to financial and human resources availability the Agency shall extend its scope of activities to include marine pollutions from oil and gas installations. (C7)  To support EU strategies on regional sea basins. (D1)  To prepare IPA and ENP countries for association to EMSA’s pollution response services. (D3)  To continue developing its role as forum for discussion of best practices. (D5) 75 Annual objectives 2016  Support coastal States in case of pollution caused by ships or oil and gas installations, by making available upon request via the ERCC: - the network of response vessels; - a new equipment assistance service (EAS), through the provision of specialised stand-alone equipment available in (limited) EMSA stockpiles; - technical expertise.  Ensure operational integration of EMSA’s pollution response services within Member State, Regional Agreement and third country response chains through participation in exercises, as well as meetings with end users. Planned output 2016 Actual output 2016 1. Manage the current stand-by service contracts, 1. The network of vessels was maintained and 17 including supervision of vessel and equipment operational vessel arrangements were in place at the performance as well as crew capability for oil pollution end of 2016. 72 quarterly and acceptance drills were response. performed. 2. Organise the participation of EMSA’s pollution response 2. EMSA participated in 10 operational pollution response services in regional and national ship source and exercises with 12 vessels as well as in 10 table-top offshore installation oil pollution response exercises, exercises with 12 vessel contractors and 2 EAS using the mobilisation procedure of the ERCC. contractors. 3. Following the signature of the Vessel Availability 3. The two vessels contracted at the end of 2015 for the Contracts for the (South) Baltic Sea and Canary Islands South Baltic Sea and Canary Islands successfully in 2015, these vessels will undergo the preparation completed the preparation phase and were accepted phase in 2016. for entry into service. 4. Award and implement a new Equipment Assistance 4. A new Equipment Assistance Service (EAS) Service (EAS) contract for the North Sea, based on the arrangement for the North Sea, with specialised stand- procurement procedure launched in 2015, and alone anti-pollution equipment, was established in procurement of new equipment not available in EMSA’s Aberdeen, UK. inventories, to strengthen the response capacity in the area of North Sea, Norwegian Sea and Iceland. 5. A new Equipment Assistance Service (EAS) arrangement for the Baltic Sea, with specialised stand- 5. Award and implement a new Equipment Assistance alone anti-pollution equipment, was established in Service (EAS) contract for the Baltic Sea, based on the Gdansk, Poland. procurement procedure launched in 2015, and procurement of new equipment not available in EMSA’s 6. The contracts for the vessels based in Algeciras inventories, to replace the capacity of the expiring and (Spain) and Malta were renewed for four years. The not renewable stand-by oil spill response service contract for the vessel covering the southern Black Sea contract covering the Northern Baltic ending in 2016. could not be renewed. A procurement to replace this capacity was launched, with a new contract for a vessel 6. Renewal of three of the contracts covering the Western covering this area signed. and Central Mediterranean as well as the one covering the Southern Black Sea for an additional 4-year period. 7. The vessel arrangement based in Sines (Portugal) was upgraded with dispersant spraying capability. 7. Implementing improvement projects to establish new Moreover, in five vessels, the high capacity skimmers seaborne dispersant spraying capability and stockpiles, were upgraded to operate in hazardous areas with and to adapt and/or upgrade the existing capabilities of flashpoints < 60°C. the vessel network and equipment. 8. The donation to SAFEMED III beneficiary countries of 8. Replace or overhaul ageing or obsolete oil spill two ageing oil spill response equipment systems was response equipment purchased in 2006 and 2007, in finalised. Furthermore, equipment overhauling was line with the ‘Equipment Policy’ of the Agency. performed on several sets of ageing equipment purchased in 2006-2007. 9. Coordinate the mobilisation procedures for pollution response services in case of requests for assistance. 9. The services were maintained at a high level of readiness with the mobilisation procedures tested in a 10. Management of existing dispersant stockpiles and range of training activities with stakeholders. purchase of additional dispersant as appropriate. 10. Two new dispersant stockpiles, 200 tonnes each, were 11. Provision of expertise to Member States or the established in Sines (Portugal) and Las Palmas Commission in case of pollution incidents. (Spain). At the end of 2016, EMSA managed four dispersant stocks of 200 tonnes each, in Malta (Valletta), Cyprus (Limassol), Portugal (Sines) and Spain (Las Palmas). 11. At all times the expert service was available. There was no request for expertise. 76 Output Indicators Target 2016 Result 2016 Stand-by Oil Spill Response number of fully equipped Vessel Network vessels for mechanical 22 18 17 recovery number of fully equipped vessels for dispersant 4-5 4 application New vessels pre-fitting number of newly contracted vessels pre- 2 2 fitted Equipment Assistance Service number of stockpiles (EAS) 2 2 Vessel/Equipment number of projects replacement/adaptation/ completed per year 3 7 upgrade Vessel/Equipment drills and number of drills exercises (acceptance drills and 70 72 quarterly drills) per year number of operational exercises per year 10 12 number of Equipment Condition Tests (ECT) 2 7 number of notification exercises per year 10 14 Response to requests for mobilisation time in hours vessel/equipment services max 24 24 Dispersant stockpiles number of stockpiles 4 4 minimum quantity of dispersants available at 800 tonnes 800 tonnes any time 22 One contract was not renewed by the contractor. 77 5.2 EARTH OBSERVATION: CLEANSEANET AND ILLEGAL DISCHARGES The service, based on the near real time analysis of Earth Observation (EO) Synthetic Aperture Radar (SAR) images, is available to 28 coastal States: all of the 23 EU coastal Member States; 2 EFTA coastal States, Norway and Iceland; and 3 candidate countries, Turkey, Montenegro and Albania. In 2016, the service was also provided to Greenland as well as islands in the French and Dutch Caribbean. Through the SAFEMED III and TRACECA II projects, CleanSeaNet was also made available across the Mediterranean, the Black Sea and the Caspian Sea to the official project beneficiary countries. The European Space Agency's (ESA) satellite Sentinel-1A was brought into operations in CleanSeaNet in April 2016, supplementing the RadarSat-2 and TerraSAR-X/Tandem-X missions. The volume of products acquired from Sentinel increased considerably during the second half of 2016. Not only does this make the service more flexible, with a wider range of EO products available for users to choose from, but also more resilient as it increases the number of available satellites. As Sentinel licenses are available free of charge, EMSA only pays service providers the near real time acquisition and additional processing required for the provision of the service. Users also welcomed the improvements introduced in planning and ordering, facilitating reliable long-term planning for CleanSeaNet satellite acquisitions. Planned input Actual input Commitment appropriations in EUR 7,205,162 5,691,287 Payment appropriations in EUR 5,254,633 4,510,610 Staff 6 AD, 1 AST 7 AD, 1 AST Project financed input Project Funding source Time frame Financial input 2016 Staff committed 382,283 CSN Greenland Denmark ongoing no extra staff paid 302,865 committed 49,350 CSN Dutch Islands Netherlands ongoing no extra staff paid 35,831 Outcome 2016 The Agency provides a satellite image based service to support coastal States and the Commission in their efforts to improve the identification and pursuit of ships making unlawful discharges, and to respond to large-scale marine pollution incidents. CleanSeaNet provides a sustainable service upon which users can base their activities for targeting illegal discharges in European waters. The Earth Observation Data Centre (EODC) also supports other maritime surveillance services, such as detection of targets by satellite radar (Vessel Detection System, VDS). The EODC capabilities will be extended to match new user requirements, not only from CleanSeaNet but from across EMSA’s range of maritime services, as these develop. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2, 2.3(a), 2.3 (d), 2.4 (f), 2.4(g) and 2.5 Multi-annual strategic objectives  To increase the effectiveness and efficiency of EMSA’s integrated maritime information services to its full potential based on existing applications such as SafeSeaNet. (B1)  To explore, at reasonable cost, in a sustainable and viable way, new capabilities offered by technology in the field of maritime surveillance for the benefit of the European Commission and the EU Member States with added value for maritime safety and security. (B2)  Subject to the provision of financial and human resources the Agency shall engage in supporting other communities and enhance its role as central EU data provider of maritime related information as defined by its Founding Regulation. (B4)  To contribute to the protection of the marine environment in the EU. (C4)  To maintain pollution preparedness and response capability to assist Member States to effectively respond to marine pollutions from ships. (C6)  Subject to financial and human resources availability the Agency shall extend its scope of activities to include marine pollutions from oil and gas installations. (C7) 78 Annual objectives 2016  Provide the CleanSeaNet service to Member States, Commission and interested enlargement and ENP countries.  Further utilise the Sentinel-1 mission as appropriate.  Apply homogeneous quality management across the different data sources.  Cooperate with existing regional arrangements related to marine pollution.  Respond to ad hoc requests for assistance in case of pollution emergencies or threat thereof.  Support the implementation of the Action Plan for Response to Marine Pollution from Oil and Gas Installations as appropriate. Planned output 2016 Actual output 2016 1. Provide CleanSeaNet satellite images and alerts to coastal 1. Satellite images and alerts were provided as planned States on a regular basis for the monitoring of seas and and at the required level of quality. Overall, 3057 detection of illegal discharges and polluting vessels. processed and analysed images were delivered by 2. Provide assistance to coastal States and the Commission in CleanSeaNet to coastal State users, with a total of case of accidental spills. 3168 potential spills detected. In addition, 228 services 3. Provide training to coastal States on CleanSeaNet. were delivered to Greenland, with 29 potential spills 4. Organise at least once per year meetings of the EMSA detected; 14 to the BES islands, with 1 spill detected; CleanSeaNet User Group. and 353 to SAFEMED and TRACECA project 5. Develop activities with enforcement authorities to promote beneficiaries, with 569 spills detected. EMSA provided effective follow-up to CleanSeaNet detections. additional support to a number of aerial surveillance 6. Extend the EODC capabilities to support the needs of operations e.g. CEPCOs. integrated maritime services. 7. Validation of pollution detection with RPAS services in 2. There were no requests for satellite services to support cooperation with interested Member States. response to oil spill accidents or incidents during 2016. 3. Two 1.5 day training sessions on CleanSeaNet for Duty Officers was provided. The course was attended by 25 participants from 21 countries. 4. The User Group meeting was held in June 2016. 5. EMSA continued to contribute to the work of relevant groups e.g. the North Sea Network of Investigators and Prosecutors. EMSA organised and hosted the 5th edition of the CTG MPPR training on the “The Use of Surveillance Systems for Marine Pollution Detection and Assessment”. 6. The EODC supported the needs of integrated maritime services; services were planned, ordered, acquired and delivered through the EODC in the scope of the successful roll-out of the Copernicus Maritime Surveillance service. 7. RPAS service contracts for marine pollution and emission monitoring operations were established, but were not yet operational at the end of 2016. 79 Output Indicators Target 2016 Result 2016 Satellite images number of images ordered and analysed per year 2000 3057 Assistance for percentage response rate to accidental spills assistance requests 100% 100% EODC operational percentage per year availability of availability CleanSeaNet 97.5% 99.74% 0 (Service contracts for RPAS operations were emission/pollution Number of campaigns 1-3 established at the end of monitoring 2016. Preparations were ongoing) 80 5.3 COOPERATION AND INFORMATION RELATING TO POLLUTION PREPAREDNESS AND RESPONSE The Agency continued to provide information services in the field of Hazardous and Noxious Substances (HNS) in accordance with the HNS Action Plan. EMSA’s information service for marine chemical emergencies (MAR-ICE Network) was activated three times. Following the evaluation of the service in late 2015, improvements to the Contact Form were implemented. The new webportal and link to EMSA’s Central Hazmat Database (CHD) for easier access to the MAR-CIS (Marine Chemical Information Sheets) went live in December 2016. Training on the enhanced Dispersant Usage Evaluation Tool (DUET) was provided in early 2016 and the software tool to predict the fate and trajectory of an oil spill and the impact of dispersant application was distributed to EU/EFTA coastal Member States. The new version includes a model to evaluate the fate of well blowouts. th The dissemination of information on EMSA’s pollution response services continued in 2016 with the 6 Pollution Response Service User Group, which covers all EMSA’s pollution response services (both oil and chemical marine pollution). Dedicated workshops on oil spill identification, claims management and marine pollution surveillance systems were organised and held at EMSA, under the CTG MPPR framework. The Agency also participated in HELCOM Response, OTSOPA, and IMO-PPR (Sub-Committee on Pollution Prevention and Response) meetings, and attended the INTERSPILL steering group meetings. Three marine pollution response expert exchanges were completed under the EMPOLLEX umbrella. Planned input Actual input Commitment appropriations in EUR 1,006,181 895,966 Payment appropriations in EUR 1,203,978 833,440 Staff 4 AD, 1 SNE 4 AD Outcome 2016 Activities of the Agency support the preparedness structures and response capabilities of Member States with regard to marine pollution incidents, as well as at disseminating best practices and promoting the exchange of information between Member States, the Regional Agreements, the IMO and other relevant international bodies. The Agency aims to disclose as much relevant information as possible regarding chemicals and operational response to chemical spills in the marine environment to assist Member States dealing with spills involving hazardous and noxious substances. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 1.2 and 2.3(d) Multi-annual strategic objectives  To contribute to the protection of the marine environment in the EU. (C4)  To become a reliable source of information and statistics for the EU on maritime matters. (D4)  To continue developing its role as forum for discussion of best practices. (D5)  To consolidate its role as training provider including the use of modern techniques. (D6)  To use available technical knowledge to analyse research projects with a maritime safety or environmental, protection interest, where appropriate. (D7) Annual objectives 2016  In implementing the HNS Action Plan, to ensure the proper operation and development of the MAR-ICE service and the MAR-CIS datasheets, in support of the response to maritime incidents involving hazardous and noxious substances (HNS).  Cooperate with coastal States and existing relevant regional cooperation arrangements in coordination with the Commission, in order to facilitate and promote the exchange of best practice, and develop added value projects at EU- level. 81   Provide technical assistance regarding pollution preparedness and response to coastal States and contribute to relevant work of technical bodies of the International Maritime Organization (IMO), and relevant Regional Agreements. Planned output 2016 Actual output 2016 1. Implement the HNS Action Plan: 1. a. Maintain and develop the network of specialised chemical a. The MAR-ICE service continued and was activated three experts (MAR-ICE Network). times in 2016. Following the evaluation in late 2015, the b. Maintain and update datasheets of chemical substances for contact form was revised based on feedback provided. marine pollution response (MAR-CIS). b. The MAR-CIS database containing 213 datasheets was 2. Develop a web portal and an application for mobile updated before the release of the MAR-CIS web portal. devices for MAR-CIS information and link it to 2. The new web portal for MAR-CIS including the linking SafeSeaNet CHD (Central HAZMAT Database) to CHD was completed and went live in December application. 2016. 3. Develop and update marine pollution preparedness and 3. Training on DUET was provided in February and the response related information, studies, tools, reports and tool was subsequently provided to the members of the inventories. Provide training and distribute the enhanced CTG MPPR and participants of the training in form of a Dispersant Usage Evaluation Tool (DUET). specially designed memory stick. th 4. Coordinate the CTG MPPR meetings, the Vessel User 4. Coordination of the CTG MPPR continued and the 10 Group meeting, workshops, and expert exchange meeting of the group was held in March; the re-named programme (EMPOLLEX), and implement the CTG Pollution Response Services User Group met in MPPR Rolling Work Programme. October. The new name reflects that the group 5. Support activities of Regional Agreements, the IMO and addresses all EMSA pollution response services and other relevant bodies/organisations (including not only the vessel network. Furthermore, a two day participation in the Arctic Council) where appropriate. training workshop on surveillance was held under the umbrella of the CTG MPPR. Three EMPOLLEX 6. Host a workshop on the work of the Bonn Agreement Oil th exchanges were organised. The 12 InterSec meeting Spill Identification Network. with participants from the Regional Agreements and 7. Support further cooperation with Member States DG ECHO was held in London. regarding potential cost recovery claims associated with rd 5. EMSA participated in the 3 session of the IMO the deployment and use of EMSA pollution response Pollution Preparedness and Response (PPR) sub- services or assets. Committee. The Agency also actively contributed to three meetings of the HELCOM Response group (including two regular meetings and one dedicated to the evaluation of the regional oil pollution response capacity). Furthermore, EMSA contributed to the Bonn Agreements OTSOPA meeting and participated in the Medexpol 2016 meeting as part of the EU delegation the in the framework of the Barcelona Convention. 6. A workshop dedicated to oil identification was held back-to-back with the CTG MPPR meeting. 7. The Claims management Working Group met and a dedicated Claims Management workshop was held. 82 Output Indicators Target 2016 Result 2016 HNS operational support Response to requests percentage of responses within 2 hrs. for assistance to >75% 100 MAR-ICE percentage of responses within 4 hrs. <25% 0 Developing number of datasheets produced/revised 23 datasheets 25 213 Cooperation, coordination and information Coordination of the number of CTG MPPR meetings and CTG MPPR workshops 3 5 Development of number of decision support tools decision support tools 1 2 23 Although the target for 2016 was to revise at least 25 datasheets, all 213 datasheets were revised following the change of the underlying IMO codes, before launching the new MAR-CIS. 83 Horizontal activities 6.5 COMMUNICATION, DOCUMENT MANAGEMENT, MISSIONS AND EVENTS SUPPORT Communication EMSA’s communication activities involve a variety of tasks aimed at delivering objective, reliable and easy to understand information to the public and any interested party. Day-to-day activities include: updating the website, extranet and intranet; answering external enquiries; supporting EMSA workshops and events; media relations and, where relevant, issuing press releases. Numerous cyclical and one-off publications provide accessible information to a specialised or wider public. Proactive communication at external events also helps to raise awareness of EMSA’s role and tasks. In 2016, EMSA continued to provide a responsive communication service, making user friendly, visually enhanced information available to interested parties, as well as supporting both internal and external events to promote the work of the Agency. Document and Records Management The EMSA Records Management Policy was restructured and aligned with the requirements of the amended Archives Regulation. The Commission’s policy on records management was used as a source of inspiration. An upgrade of the existing records management system was deployed in the Agency allowing compliance with the new requirements in terms of filing and provisions related to the period after closure of an official file. EMSA was selected as a pilot Agency within the Regulatory Agencies for moving to ARES, the Commission’s Advanced Record System in 2017, with the aim of creating valuable synergies and efficiency gains across EU Agencies and the Commission. Missions The Missions cell is in charge of the preparation and reimbursement of operational and administrative missions for EMSA staff in line with the provisions in place (Mission Guide, EMSA Financial Regulations), using an electronica missions management tool, MiMa. It continues to provide an efficient service to EMSA staff members, allowing them to fulfil their professional obligations by processing requests and claims in a timely manner. Events support The events cell coordinates and makes the necessary administrative, financial and logistic arrangements for meetings, trainings and other external events held at EMSA. The main tasks include: booking of meeting rooms, processing reimbursements of travel expenses, catering orders, interpretation orders and providing support for video conferences. In 2016, the events team implemented the revised reimbursement rules and experts’ reimbursements for the enlargement countries project. Planned input Actual input Commitment appropriations in 1,529,895 1,525,507 EUR Payment appropriations in EUR 1,529,895 1,484,075 Staff 3 AD, 5 AST, 6 CA 3 AD, 4 AST, 6 CA Outcome 2016 Activities should aim at giving public and interested parties objective, reliable and easily understandable information with regard to the Agency’s work (Reg. 1406/2002/EC, Art. 4.2). Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 4 and 7 84  Multi-annual strategic objectives  To become a reliable source of information and statistics for the EU on maritime matters. (D4) Annual objectives 2016  Continue to implement the communication strategy 2014-2020 aiming to build up effective communication practices.  Increase EMSA’s visibility in the host country.  Make use of data visualisation to make our activities more easily understood.  Continue supporting the organisation of events ensuring high quality standards and added value for Member States, industry and the Commission.  Develop working practices and streamline procedures to allow for further efficiency gains in the field of missions management.  Continue the development of the document management and archiving policy and relevant ICT tool. Planned output 2016 Actual output 2016 1. Prepare regular publications and 1. Regular corporate publications, newsletters and completing/updating brochures and leaflets technical reports were produced, including the Work including the new EMSA general brochure. Programme 2016 and Facts and Figures 2015, as 2. Continue to improve internal communication well as a wide range of brochures, leaflets, through the Agency’s intranet. infographics and videos on specific EMSA services and activities. 3. Enhance the communication role of EMSA’s website through new features and 2. EMSA intranet updated regularly. functionalities in line with current developments. 3. Timely operation of EMSA website without noticeable Continue implementing the new visual identity interruptions; social media presence continued to for EMSA. grow; user satisfaction surveys carried out for various 4. Deliver presentations at meetings, exhibitions maritime applications; stakeholder survey support; and conferences. visual identity guidelines continue to be implemented. 5. Support the organisation of events/meetings in 4. Exhibitions & events: support for open day held the Agency. aboard the OSRV Balluta Bay (Malta); support for Equasis 15 year anniversary (UK); student visits as 6. Ensure timely organisation and reimbursement part of World Space Week (EMSA); support for the of missions. EU Agency Forum (Brussels); support for the Coast Guard Function Forum (EMSA). 5. Provided necessary support for the organisation of a wide range of meetings, workshops and training at the Agency, including issuing 1401 expert reimbursements. 6. Preparation and reimbursement of 777 operational and administrative missions. Output Indicators Target 2016 Result 2016 Publications number of publications/leaflets/brochures 24 16 21,75 produced per year Events number of meetings/workshops organised by EMSA per year 40 54 number of participants at EMSA meetings/workshops per year 1250 1326 24 The weighting of the publication is dependent on the man hours involved in the production. This can vary from 0.33 for a one-sided A4 page layout to 1.5 for the more lengthy corporate documents. 85 6.1, 6.2, 6.3 AND 6.4 OVERHEAD/HORIZONTAL TASKS Management team The Agency’s management team aims to deliver added value to EMSA’s key stakeholders and to develop further in terms of competitiveness, customer orientation, and sound and resource-efficient management. In 2016 the Executive Director was directly supported in this by three Heads of Department, a Policy Advisor, the Accounting Officer, the Internal Control Coordinator and the Special Adviser on Quality Assurance. Organisational changes were made in 2016, in order to respond in a more efficient and effective way to the evolving regulatory landscape and related business needs and services provided to the Commission and the Member States. Such changes reflected the maturity of certain areas of activity and new challenges in other areas, as well as the continuous effort to optimise the use of existing resources (see Part II.2.2). The progressive alignment of planning and reporting procedures with the revised Financial Regulation was finalised in 2016 through EMSA’s first Single Programming Document 2017-2019, which implemented the remaining articles under transitional period until 1 January 2016. A comprehensive, periodic exercise to monitor the implementation of the work programme was piloted in 2016, grouping and formalising existing monitoring activities within the agency in order to report more explicitly on the delivery of planned outputs per activity and signal any risks thereto. SHAPE, the Agency’s tool for planning and monitoring budgeted activities, including management and reporting on contracts, periodic cash flow forecast and follow-up of the financing decision, was further developed to support the drafting and fine-tuning of the draft budgets for future years. The Agency continued to participate in various sub-networks within the EU Agencies Network, such as ICTAC (the Network of Heads of ICT of the European Agencies), the IALN (the Inter Agency Legal Network) , the PDN ( the Performance Development Network), and contributed to the surveys launched by the coordination to assess the implementation of and lay groundwork for the future revision of the Roadmap on the follow-up of the Common Approach on EU decentralised agencies endorsed by the European Parliament, the Council and the Commission in July 2012. In addition, the Agency actively participates and contributes to the Standing Working Party on Implementing Rules giving effect to the Staff Regulations. Human Resources and Protocol Following the implementation of the general provisions on the engagement of 2(f) temporary agents, a large number of internally published positions were launched aiming at potential redeployment of staff with a view to responding more effectively to both the increased work load and the staff cuts in 2016. The Human Resources Unit continues to make efforts to automatize, digitalise and streamline procedures to enhance its efficiency and effectiveness. This has been apparent in 2016 with the changes in procedures following the adoption of new implementing rules, as well as through the development of e-personal files and electronic requests. Training is used to strengthen EMSA staff in developing their capabilities, expanding their knowledge and their competences, in order to better achieve EMSA’s objectives. A wide variety of courses were made available to staff, including e-learning and online development opportunities allowing greater flexibility and contributing to the personal and professional development of EMSA staff skills. Cooperation with the EMCDDA was further enhanced through their participation at training sessions organised by EMSA. Furthermore, new framework contracts were signed for management training and personal and professional skills training. Protocol activities focused on assisting the Agency and its staff in the application of the EU Protocol of Privileges and Immunities and the Protocol between EMSA and the Portuguese Government. EMSA successfully worked together with the Portuguese authorities in finding solutions to apply the existing Protocol between EMSA and the Portuguese Government. Legal and financial affairs, Facilities and Logistics Ex-ante verification of all budgetary and legal commitments and other financial operations was carried out, thus ensuring constant legal and financial assistance and advice. Internal Rules, guidelines and templates were maintained and updated on a regular basis. In addition, helpdesk assistance and in-house training were provided. The administrative procedures 86 were further streamlined and electronic tools in relation to contract management and verification further enhanced, including the preparation for the creation of electronic procurement workflows in-house. More than 10,600 verification files were handled and 66 procurement procedures were initiated in 2016. The main focus in the field of Facilities and Logistics was to further enhance safety procedures, to complete several projects related to the fitting out of EMSA premises and security, as well as to carry out projects in the area of occupational health and safety. Operations support (ICT) There were two non-trivial ICT Infrastructure / Corporate ICT Service incidents in 2016 which lead to about 4 hours of reduced service. Nevertheless, overall Corporate ICT Service availability was 99.8% on a 24/7 basis and overall 24/7 ICT Infrastructure and Hosting availability was 99.987% at EMSA and 99.955% at EMSA’s Business Continuity Facility (BCF) in Madrid. Corporate Services ICT tools were also fully ‘BCF ready’ for 24/7 switch-over to the EMSA BCF in case of a major outage at EMSA. In supporting operational Units and Maritime Applications, there were 79 production upgrades during 2016 - a 20% increase on 2015 – and about 150 pre-Production upgrades. There were 262 ICT or maritime Application incidents handled in 2016 (136 out of business hours, 126 in business hours), all of which were smoothly handled following the updated common incident management procedures. 25 Staff Actual input 26 Management/bureau/horizontal tasks 10 AD, 7 AST 10 AD, 6 AST, 1 CA Human Resources 3 AD, 5 AST, 6 CA 3 AD, 5 AST, 6 CA Legal and Financial Affairs, facilities and 5 AD, 4 AST, 6 CA 6 AD, 4 AST, 5 CA logistics Operations support (ICT) 1 AD, 8 AST, 1 CA 1 AD, 8 AST, 2 CA Outcome 2016 The functions mentioned should further structure and facilitate the working practices and projects of the Agency to enable staff with the allocated resources to work towards meeting the objectives in an efficient and cost-effective manner in line with the Financial and Staff Regulations. Legal Basis  Regulation (EC) N° 1406/2002 as amended, Art. 5, 6, 13.7, 15, 18 and 19 25 Financial resources are not applicable here as already distributed across the activities. 26 This number includes the Executive Director and his staff, Heads of Department and their staff, Heads of Horizontal Units as well as the ICC and accountancy functions. 87 Multi-annual strategic objectives  Continuously align EMSA with the relevant institutional standards and rules.  Obtain best value for money from the Agency’s assets and from EU family joint resources (e.g. inter-institutional procurement procedures, synergies with other EU agencies).  Achieve efficiency gains, streamline organisational structures and build flexibility, agility.  Further develop effective, innovative and results oriented solutions.  Ensure good corporate governance and transparency. Annual objectives 2016  Monitor the implementation of Work Programme and Budget 2016.  Further implementation of remaining requirements and principles emanating from the revision of the Framework Financial Regulation, the Joint Statement of the European Parliament, the Council of the EU and the European Commission on decentralised agencies (Common Approach, Road-map), notably implementation of the Single Programming Document for planning 2017 onwards, implementation of the Fraud prevention and detection strategy, transposition of the revised Financial Regulations and Rules of Application to EMSA internal procurement and concession rules, and adopting and internal legal framework for the protection of classified information.  Secretariat support to the High Level Steering Committee on the external evaluation of the Agency.  Development and implementation of new Implementing Rules giving effect to the Staff Regulations, in particular in the areas of teleworking, promotion/reclassification and engagement and use of contract staff. In addition, the Agency may undertake actions with regard to ‘model decisions’ in the following areas: rules for setting up a Staff Committee, a revised policy on the prevention of psychological and sexual harassment as well as a policy on learning and development.  Job screening exercise with the aim of enabling the Agency to take sound decisions on resource allocation. The exercise will contribute to better stakeholder reporting and increased transparency concerning the utilisation of jobs at EMSA, and will facilitate redeployment.  Simplify, streamline and automatize administrative and financial procedures in order to further improve efficiency and cost effectiveness.  Maintain good relations with the Portuguese Authorities to allow for a smooth implementation of the existing Protocol between EMSA and the Government of Portugal.  Ensure business continuity and advanced ICT services. 88 Planned output 2016 Actual output 2016 Management team Management team 1. Work programme, including staff and budget planning 1. – 3. Preparation of required programming documents (Single Programming Document). (Single Programming Document and Financial Statement) in line with applicable legal basis, multi- 2. Action Plan for Pollution Preparedness and Response. annual resource framework (Commission 3. 5 year Strategy implementation. Communication) and strategic framework (5-year 4. Procurement procedure for the external evaluation of the Strategy and Action Plan for Pollution Preparedness and Agency and secretariat support to the High Level Response). Steering Committee. 4. Award of the contract for the external evaluation and 5. Annual report (Consolidated Annual Activity Report) and support to the High Level Steering Committee. accounts. 5. Timely submission of the Consolidated Annual Activity 6. Preparation of meetings of the Administrative Board, Report 2015 and accounts. decisions, minutes. 6. Effective preparation of and follow-up to Administrative 7. Regular monitoring of on-going projects. Board meetings and decisions. 8. Quality Management development. 7. Monitoring of on-going projects through monthly reports and further development of supporting tools. 9. Internal Control Standards. 8. Ongoing control and registration of exceptions, annual 10. Work Programme and budget implementation monitoring. risk analysis, development of the Fraud Prevention and Detection Strategy. 9. Quality Management development was focused on Visits and Inspections (V&I) activities of Department B. The V&I Quality Management System was developed and successfully implemented during the year and finally certified in December with the external certification body TUV Rheinland Portugal. 10. Continued monitoring of the implementation of the budget and work programme including launch of formal, periodic exercise to assess work programme delivery. Human resources and Protocol Human resources and Protocol 1. During 2016, EMSA recruited 5 Temporary Agents. The 1. Management of the establishment plan (new recruits, occupation rate was 98.48% against a target of 198 redeployment, turnover, etc.). posts for the existing establishment plan to be 2. Management of staff related budget. implemented on 01.01.17. The turnover for statutory staff 3. Preparation and Implementation of rules giving effect to for 2016 was 4.08%. the Staff Regulations. 2. The executed staff related budget amounted to € 4. Implementation of rights and obligations of EMSA staff 20,256,112. members. 3. With the amended Staff Regulations which entered into 5. Improvement and updating of e-HR tools. force on 01.01.14 the Agency has adopted various implementing rules in the course of 2016 and will 6. Implementation and improvement of existing HR policies; continue to develop and adapt the existing ones. Implementation of Staff Development Policy; Staff Helpdesk on HR matters and communication on staff 4. The implementation of staff rights and obligations is related issues. carried out on a continual basis. 7. Implementation of the National Experts on Professional 5. Further developments on the time management Training programme and traineeship policy. application were carried out. An e-personal file application was developed and staff is able to consult 8. Implementation of the Protocol Agreement and their own file electronically and to submit electronic Privileges. requests related to their professional situation and notify changes in their personal situation. 6. Staff of the Agency carried out 588.00 days of training in 2016 (not including coaching, mentoring or language training) corresponding to an average of 2.4 days of training per staff member. 7. 2 National Experts on Professional Training came to EMSA in 2016 and 12 traineeships took place. 8. Staff and families were supported in the implementation of the Protocol Agreement. 89 Legal, Financial and Facilities Support Legal, Financial and Facilities Support 1. Verification of commitment and payments files. 1. Over 10,500 verification files and 760 helpdesk requests 2. Organising and executing transfers. were handled. The number of commitments a posteriori was established at a very low level and the portion of 3. Budget follow-up. payments carried out within time limit stabilised at a high 4. Providing budget overviews. level. 5. Advising on and verifying contracts and procurement 2. Budget transfers were organised an executed. procedures. 3. Publishing the Monthly Report on Budget and Financial 6. Providing legal advice to the Executive Director and the Management that includes information on budget units. execution, expiring contracts, negotiated procedures, expiring bank guarantees etc. 7. Managing facilities and support services of the Agency. 4. Budget overviews provided on request. 5. Support provided for the initiation of 66 procurement procedures. 6. 13 training sessions on procurement were delivered. 7. Internal Rules, guidelines and templates were kept updated; legal and financial advice was provided across EMSA in various areas while ensuring external legal support, when required. 8. Management of facilities was ensured and further projects related to security, safety and fitting out of the premises were implemented. Over 1,200 helpdesk requests were handled. Operations support (ICT) Operations support (ICT) 1. Maintaining and enhancing a state-of-the-art Data 1. – 3 Major upgrades to EMSA and BCF data centres; new Centres to host maritime applications. backup solution, major SAN upgrade, major server upgrade, migration to VMware 6.0 2. Providing advanced business continuity and ICT security services. Firewall upgrades, business continuity certification for email and Corporate ICT Services 3. Maintain the Business Continuity Facility. 4. Near carrier grade 24/7 operational availabilities: EMSA 4. Providing 24/7 ICT Operations for hosting of maritime Infrastructure & Hosting - 99.987%, BCF in Madrid - applications. 99.955% 5. Providing technical expertise to support operational 5. 79 Mar App production release and deployments - a 20% maritime applications. increase on 2015. About 150 pre-production release and 6. Providing technical support to the development and deployments rollout of new maritime applications and major upgrades 6. Enhancement of horizontal service platforms for Identity to existing ones. and Access Management, Portal, Nautical Maps, 7. Providing Horizontal ICT Service Platforms for Maritime Enterprise Service Bus and database Applications. 7. Corporate ICT Services: 24/7 operational availability of 8. Providing solutions to share and exchange documents 99.8%. Business continuity certification for all Corp ICT more efficiently and in a secured fashion with the Services. Commission. 8. A secure portal was developed for delivering 9. Providing EMSA’s Corporate Services Platforms (email, documents efficiently to Member States and the EDMS, file & print, etc.) Commission. 10. Providing advanced ICT desktop and mobile services to 9. – 10. Windows 10 pilot, Office 2016 pilot, Office 365 and staff. Skype for Business pilot. 90 Output Indicators Target 2016 Result 2016 as close as possible to ECA recommendations implemented in time 100% 100% Audit as close as possible to IAS recommendations implemented in time 100% 100% as close as possible to high level of Planning Implementation of the Work Programme 100% implementation execution rate establishment plan as close as possible to Establishment plan (percentage of occupied posts against the 100% 98.5% execution rate Commission’s 2018 proposal) (multi-annual target) as close as possible to execution rate commitment appropriations 100%, and in any case 98% Budget execution rate above 95% - commitment as close as possible to appropriations execution rate payment appropriations 100%, and in any case 98% above 95% 91 Part II – Management 2.1 Administrative Board Meetings EMSA’s Administrative Board held three meetings in 2016 and each of them was preceded by meetings of the Administrative and Finance committee where technical, financial and administrative agenda items were reviewed in detail and where opinions to the Administrative Board in accordance with its mandate were provided, allowing the Administrative Board to focus on strategic orientations for the Agency’s activities and discussions on substance. The Administrative and Finance Committee’s mandate was renewed without amendment at the November 2016 Administrative Board meeting. In order to further support the Administrative Board in its tasks and in particular the technical tasks of the Administrative and Finance Committee, the Agency organised an information session for interested Board Members and relevant staff in the national administration involved in preparing technical points. The session was warmly received by the participants and the Agency was encouraged to continue the initiative. Steering and assessing the work of the Agency The Administrative Board continued to play its essential role in steering the work of the Agency through the consideration and adoption of the major programming and reporting documents of the Agency. In terms of planning, the Draft Single Programming Document 2017-2019, and the associated Draft Budget 2017 and Establishment Plan 2017 were adopted at the November 2016 meeting, subject to the outcome of the budgetary procedure. This represented the conclusion of the first cycle of the new multi-annual programming requirements in line with the EMSA Financial Regulation, notably the integration in a single document of both annual and multiannual programing, as well as quantitative and qualitative information formerly included in the Multi-Annual Staff Policy Plan, and detailed financial information from the Financial Statement for the year n+1. The second cycle of the new programming approach was initiated at the same November meeting with the consideration of the very first version of the Draft Single Programming Document 2018-2020, followed by its adoption by written procedure launched in December 2016 and ending early January 2017, ahead of the transmission of the planning document to the institutions on 31 January 2017 in the context of the establishment of the budget 2018. In relation to reporting, the Administrative Board adopted the EMSA Consolidated Annual Activity Report (CAAR) 2015, and provided a positive assessment, covering strategic and operational achievements as well as the management of the Agency. Planning for an enlarged mandate Having taken note of the information provided by the Commission at the March 2016 meeting on the proposal for amending Regulation (EC) n° 1406/2002 establishing a European Maritime Safety Agency on developing European cooperation on coastguard functions, the Administrative Board took a keen interest throughout the year not only in the legislative process itself but also in preparations for its outcome, in view of potential new tasks and responsibilities. Such preparations were addressed by the Administrative Board in 2016 through the development of both the SPD 2017- 2019 and the SPD 2018-2020, which respectively programmed activities and resources for: the externally financed European Parliament pilot project on coastguard functions in 2016 and 2017, aimed at preparing the ground for enhanced cooperation between the three agencies EMSA, EFCA and Frontex; for the new task assigned by the legislator to be implemented on EMSA’s part by the provision of relevant RPAS, Satellite-AIS and capacity building services in 2017; and for the continuation of the new task in 2018 and onwards. The Administrative Board focused in particular on procurement that needed to be launched already in 2016, without committing the Agency but in order for it to be in a position to provide extended services in 2017 if so requested, as well as on the draft tripartite working arrangement to be agreed between the three agencies and approved by their respective governing boards. 92 Monitoring ongoing operational and administrative developments In addition to multi-annual programming for future years and assessing past performance, the Administrative Board kept abreast of the Agency’s ongoing work through regular updates provided by the Agency on a wide range of activities and issues. Standard items that were also presented in 2016 included the update on vessel and equipment procurement under the Anti-Pollution Measures, in view of possible implications for future programming, and the budget updates to inform the Administrative Board of funds cashed to date for project-financed activities. The first year of operation THETIS-S to support the implementation of the sulphur Directive, ICT activities and infrastructure at EMSA and Copernicus Maritime Surveillance Services were among other updates provide by the Agency in 2016. Conflict of Interest In addition to the signed “Declarations of Commitment and Confidentiality”, the Administrative Board Members also proceeded from 2015 to make their CVs available for publication on the Agency’s website, as requested by the European Parliament within the 2013 discharge procedure, in order to enhance transparency. Requests for Assistance Furthermore, the Administrative Board examined and approved one new request for assistance from Member States, as referred to in Article 2(3). As a consequence, Portugal joined the list of Member States already receiving assistance linked to the National Single Window, under Activity 2.1 (c) of the Work Programme 2016 (Bulgaria, Finland, Greece, Italy, Malta, Poland and Romania). Administrative Agreements The Administrative Board considered and approved the following draft administrative arrangements as foreseen by Article 10(2)(cc) of the revised Founding Regulation: – Cooperation Agreement between the European Commission, DG Climate Action (DG CLIMA) and EMSA for the support of the implementation of Regulation on the monitoring, reporting and verification of emissions of carbon dioxide, from maritime transport and amending Directive 2009/16/EC on port State control and relevant technical assistance (written procedure 3/2016 of 1 March 2016).Ad-hoc Grant Agreement between the European Commission, DG Maritime Affairs and Fisheries (DG MARE) and EMSA for the implementation of an Action under the pilot project „Creation of a European coast guard function“ (written procedure 7/2016 of 10 August 2016). – EUROSTAT: Administrative Arrangement between the Statistical Office of the European Union (Eurostat) and the European Maritime Safety Agency (EMSA), regarding the technical cooperation in the field of Maritime Transport th Accidents Statistics (46 ABM, 17-18 November 2016); – EUROCONTROL: Cooperation Agreement between the European Organisation for the Safety Of Air Navigation (Eurocontrol) and the European Maritime Safety Agency (EMSA) in the area of air navigation safety for remotely th piloted aircraft systems (46 ABM, 17-18 November 2016); – NCA: Service Level Agreement between the European Maritime Safety Agency (EMSA) and the Norwegian Coastal Administration for the hosting, maintenance and operation of the North Atlantic, North Sea and HELCOM th AIS Regional Servers and their connection with SafeSeaNet (SSN) (46 ABM, 17-18 November 2016). Following the Agency’s practice, these administrative arrangements were presented at the planning stage at Administrative Board meetings preceding the launch of the required four-week consultation process. Written procedures The Administrative Board continued to use the “written procedure” as an efficient means of consultation and decision making in relation to both Administrative Arrangements and Implementing Rules, given possible operational or administrative time constraints that are not synchronised with the actual convening of Administrative Board meetings. The Agency’s practice of informing the Administrative Board of developments prior to the written procedures, in the case of Administrative Arrangements, and of providing an accompanying explanatory note in the case of Implementing Rules, continued. 93 Visits to Member States The adoption of the Methodology for Visits to Member States in November 2015 set the stage for two initiatives in 2016. The first was the implementation of the e-delivery concept for making available electronically to Member States documents from EMSA, an idea which had been welcomed by the Administrative Board in 2015 as a first step towards possibly developing actual Member State profiles, a second step that was felt to present some challenges notably in terms of the workload for Member States and was put on hold in in 2016 by the Administrative Board. The second initiative concerned the proposed methodology for conducting a cost-efficiency assessment as part of the horizontal analyses related to cycles of visits to Member States on the implementation of EU legislation. The Administrative Board requested and subsequently welcomed a trial assessment on a mature Directive (Port State Control), acknowledging the benefits and added value of the analysis and expressing its support for integrating the methodology from the beginning of the forthcoming new cycles of visits. Evaluation Following the proposal from the Chairman at the end of 2015 to initiate the process of commissioning an independent external evaluation on the implementation of the Agency’s Founding, in accordance with its Article 22, in order to complete the process and notably adopt recommendations by the Board to the Commission concerning the Regulation in 2017, only slightly ahead of the legal deadline of 2018, the Terms of Reference for the evaluation were drawn up by High Level Steering Committee, chaired by the Chairperson of the Board, and adopted at the March 2016 meeting. The draft investigation report was made available in November 2016 for the Administrative Board members to comment and formed the basis for the final report and draft recommendations discussed at the March 2017 meeting. 2.2 Major events New tasks The proposal for a revision of the Agency’s Founding Regulation for the development of European cooperation on coastguard functions was issued by the Commission at the very end of 2015. This had a significant impact on the Agency’s multi-annual programming exercises, conducted in 2016 to plan for future years, as indicated above under point 2.1 “Planning for an enlarged mandate”. The European Parliament funded pilot project aiming to explore and further develop, in 2016 and 2017, inter-agency synergies between EMSA, Frontex and EFCA to enhance cooperation on coastguard functions, helped anticipate the potential new tasks, which were in fact confirmed with the conclusion of the legislative process and adoption of the revision at the end of 2016. Growth and consolidation through externally financed projects The implementation of the Copernicus Maritime Surveillance Services began in earnest in 2016, following preparatory work in 2015 to set up the organisational framework, and the approval of the implementation plan in early 2016. This represents a significant consolidation and enhancement of the EMSA earth observation services portfolio. In other areas, the added value of EMSA’s work was also acknowledged through the signature of new agreements to continue and further develop existing services. New projects for technical assistance and capacity building in the Mediterranean and in the Black and Caspian seas, to continue the actions provided under SAFEMED III and TRACECA II, were in place before the close of the year. The provision of Integrated Maritime Services to Frontex under an agreement in place since 2013 was renewed in 2016 for another 3 years. Visits and Inspections Quality Management System The initiative to develop a Quality Management System covering EMSA visits and inspections was successfully concluded in December 2016 with the certification of the “V&I QMS” (ISO 9001:2015). The associated quality policy covers the visits to MSs on behalf of the EC in accordance with the methodology established by the AB, the inspections of ROs, in accordance with Reg. (EC) 391/2009 on common rules and standards for ship inspection and survey organisations, and the inspections 94 on behalf of the EC regarding the STCW in third countries in accordance with Dir. 2008/106/EC. The quality policy aims to ensure the delivery of reliable information on the effectiveness of law implementation measures, and also provides for formal review processes supporting continual improvement. Organisational changes In 2016, the Agency continued to seek the best possible response, in terms of organisational structure, to the evolving business needs and services provided to Member States, the Commission and its stakeholders in general. Following the signature in December 2015 of the Delegation Agreement with the Commission concerning the organisation of Maritime Surveillance Services as part of the Security Services of Copernicus, and in order to avoid any planning conflicts in terms of satellite images required for different tasks, a common team was created, optimising the use of satellite data and ensuring business continuity. In the same time, in anticipation of the adoption of the legislative proposal of 15 December 2015 for the development of the European cooperation on coastguard functions, an organisational placeholder was created, in particular for the provision of monitoring services using Remotely Piloted Aircraft Systems in support of the surveillance of the external borders of the European Union. To adequately manage current and new tasks and the growth in staff, an additional unit within Department C was created, allowing for a more balanced spreading for staff. Department B has also been reorganised in order to ensure more synergies, efficiency gains and a more balanced distribution of workload: Unit B.1 became responsible for all visits to Member States falling under the Methodology for Visits to Member States adopted by the Administrative Board in November 2015 and Unit B.3 became responsible for all Capacity Building activities, including training and cooperation. The reorganisation entered into force on 1 March 2016. Budget structure The final phase of a two-part budget restructuring in 2014 and 2015 affecting budgetary years 2015 and 2016 respectively, was implemented for Budget 2016. The new structure was intended to better support the business needs of the Agency by isolating project financed activities and the financing earmarked for those specific actions (R0 funds), “Anti-Pollution Measures” and the budgetary envelope earmarked for those measures, and the previously so-called “traditional” operational activities in each their own dedicated title, as follows: - Title 1: Staff Expenditure - Title 2: Infrastructure & Operating Expenditure - Title 3: Operational Expenditure - Title 4: Anti-Pollution Measures - Title 5: Project-Financed Actions The experience in 2016 was positive and the structure will be maintained for the time being although the revision of the Agency’s mandate and the additional funds associated with the new tasks could, depending on up-coming experience, lead to further restructuring. 95 2.3 Budgetary and financial management 27 In 2016, the Agency executed 54,105,973€ in Commitment Appropriations (CA) , representing 98.07% of the total budget 28 of the year, and 54,835,675€ in Payment Appropriations (PA) , amounting to 97.80% of the total budget when only counting C1 Funds (appropriations voted in the current budget). After taking into account automatic carry-overs of payment appropriations (C8 Funds, appropriations carried over automatically), the Agency reached 97.65% of payment execution. The budgetary structure of the Agency was presented in titles: Title 1 and 2 are for Administrative Expenditure and Title 3 and 4 are for Operational Expenditure and Anti-Pollution Measures respectively, covering the cost of implementation of the operational projects and activities funded by the EMSA subsidy and outlined in the Agency’s annual programme of work). Actions in Title 3 and 4 can have a multi-annual dimension, extending over more than one financial year. Title 4 – Anti- Pollution Measures with its multiannual funding for the action of EMSA in the field of response to pollution caused by ships and to marine pollution caused by oil and gas installations had 21,600,000.00€ in commitment appropriations of which 29 95.97% were committed and 22,500,000.00€ in payment appropriations of which 98.76% were paid. The multi-Annual Schedule of Payments and specific follow-up on Anti-Pollution Measures were regularly reported to the Administrative Board and the Commission. Planning and monitoring tools and processes were in place to ensure a close follow-up of the activities and projects and related budget. This provided for aligning activities with objectives, streamlining costs and improving business practices, as well as consistent follow-up of work programme objectives. Effective and efficient internal control and transparency were also in place to support sound financial management throughout the year and across the Agency. Each operation was subject to at least one ex-ante verification, and ex post verifications were organised on a sample basis using risk analysis or on an ad-hoc basis. Transfers were kept a low level, 8 in total, and managed in line with the relevant rules (Article 27 & 28 of the EMSA Financial Regulation and Article 10 of EMSA Implementing Rules). Agency transfers were below 10% of the appropriations for the financial year of the budget line from which the transfer is made in the case of transfers from one title to another, with the exception of transfers made at year-end in line with the Administrative Board decision adopted by written Procedure N° 11/2016 on budget transfers from one title to another beyond the limit of a maximum of 10%. The Administrative Board adopted EMSA Amending Budgets (Article 34 of EMSA Financial Regulation) in order to record extra income generated during the course of the financial year for FRONTEX Service Level Agreement, CleanSeaNet (services to Greenland and Data Access Agreement for provision of EMSA e-learning platform to members of the Indian Ocean MoU), EQUASIS, COPERNICUS, TRACECA II (recovery of small amount undue paid to experts), THETIS-EU and THETIS-MRV, the Coast Guard Cooperation Pilot Project, LRIT and Miscellaneous Revenue These funds could only be loaded once cash payment was received by the Agency in the bank account. A number of appropriations were carried forward to 2016, mostly related to the multi-annual operations of the Agency. Out of the 36,450,711€ of C8 funds (appropriations coming from previous years) carried forward, 54% were consumed, 2% were de-committed (reserved appropriations that were cancelled), and 43% were left as open amount to be consumed in the following years. 27 Commitment appropriations cover the total cost of the legal commitments entered into during the current financial year - even if such a legal obligation extends over more than one year. 28 Payment appropriations cover expenditure arising from commitments of the current year and/or earlier years, which are due for payment in the current year. 29 A budgetary commitment is money reserved for payments to be executed at a future date. 96 66 procurement procedures were initiated; out of which 5 were special negotiated procedures referred to in points (a) to (g) of Article 134(1) of the Rules of Application. The remaining 61 encompassed, low and middle value negotiated procedures, competitive procedures with negotiations and open procedures. 2.4 Human Resources management Implementing Rules The Agency adopted several important Implementing Rules in the course of 2016 within the context of the amended Staff Regulations which entered into force on 1 January 2014:  Setting up of a Staff Committee  Promotion of officials  Reclassification of Temporary Agents  Reclassification of Contract Agents  Part time work In addition, the Agency continued to develop new Implementing Rules in close cooperation with the Standing Working Party on Implementing Rules and the EMSA Staff Committee, which will come into force in the course of 2017. Mobility Internal mobility was further developed in 2016 following the adoption of the general implementing rule on the engagement of 2(f) temporary agents. A significant number of positions were published internally in 2016. Redeployment has become an important part of EMSA HR policy in order to ensure that the Agency can fulfil its tasks whilst being able to meet the required staff cuts. eHR Tools The Agency carried out further developments to the IT application used to implement the recording of working hours for its flexible working time system. Furthermore, an e-personal file application was developed and all EMSA staff personal files were digitalised and uploaded to an electronic repository. Staff is able now to consult their own personal file electronically and to submit electronic requests related to their professional situation (i.e. part time work, training request, etc.) and notify changes in their personal situation (i.e. birth of a child, change of address etc.) electronically. Management and HR can now approve electronically these requests and the respective supporting documents are automatically stored in the relevant section of the personal file. This new application has resulted in time savings for both staff members and the HR team. Benchmarking The Framework Financial Regulation establishes the obligation for Agencies to carry out a benchmarking exercise with the aim of being able to justify administrative expenditure in a more structured way. At this stage, the implementation of these provisions consists of a job screening exercise, which is an essential element of the wider benchmarking exercise, with a focus on the ratio of jobs in the area of administration and coordination. The common screening methodology for Agencies was developed by a Working Group set up by the EU Agencies Network in close cooperation with the relevant Commission services. In 2016 the methodology developed by the Working Group was applied for the third time to EMSA’s situation in order to identify a screening type and a screening category for each EMSA post at 31/12/2016. The results broken down by screening type are as follows: 97  7.26% OPER 21.80% ADM SUP & COORD 70.93% NEUTRAL As can be seen, the total ‘overheads’ figure (corresponding to the ‘administration and coordination category) in EMSA at 31/12/2016 is 21.80% similar to the figure reported for 2015 of 21.67% and below the figure of 22.53% for 2014. The detailed results broken down by screening type and category can be found in Annex IV. 2.5 Assessment by management The Agency’s operational and administrative activities in 2016 were carried out in accordance with the work programme for the corresponding year, with the necessary guidance and support of the Administrative Board. Regular consultations through the Administrative Board meetings and the written procedure mechanism allowed for transparent and constructive exchange of information between the Agency and its governing body. The Agency focused on delivering core tasks and maintaining a high level of quality alongside the implementation of the required 5% staff cut, which was concluded in 2016 with minus 5 posts on the establishment plan (202 in total) compared to 2015 (207 in total). This was achieved through efficient planning, deployment and monitoring of financial and human resources. Organisational adjustments and the new budget structure effective from 2016, in line with the business needs of the Agency, is expected to continue to have a positive impact on the Agency’s performance. The budget was implemented in accordance with the principle of sound financial management. In particular, on the basis of the cascade of declarations provided in accordance with Annex 1 of the “Procedure for drawing up the CAAR of EMSA” and of the underlying controls and control procedures performed by the staff of the Agency; and supported by the assessment of the effectiveness of the internal control systems presented under Part III, the management has reasonable assurance of the achievement of the five internal control objectives listed under Article 30.2 of the EMSA Financial Regulation: (a) effectiveness, efficiency and economy of operations; (b) reliability of reporting; (c) safeguarding of assets and information; (d) prevention, detection, correction and follow-up of fraud and irregularities; (e) adequate management of the risks relating to the legality and regularity of the underlying transactions, taking into account the multiannual character of programmes as well as the nature of the payments concerned. 2.6 Budget implementation tasks entrusted to other services and entities N/A 98 2.7 Assessment of audit results during the reporting year During the reporting year the Agency’s auditing bodies (IAS, the Internal Audit Service of the Commission and ECA, the European Court of Auditors) did not issue any critical audit recommendations or observations that could lead to a reservation in the annual declaration of assurance. All recommendations and observations stemming from various audits from years before 2016 were addressed and there were no pending actions that could have a negative influence on the risks linked to the Agency’s activities in 2016. More in particular, all action plans stemming from past audits were closed at 31 December 2016. In line with EMSA’s Founding Regulation and following a decision of the Administrative Board extending the mandate of the Administrative and Finance Committee to provide assistance to the Administrative Board to “monitor the findings and the recommendations stemming from various audit reports and evaluations, whether internal of external, and the EMSA follow- up”, the outcome of the different audits as well as the state-of-play of the implementation of the different action plans to address detected shortcomings are reported on a regular basis to EMSA’s Administrative Board. According to the EMSA Financial Regulation the internal audit function is ensured by the Commission’s internal auditor who remains the official internal auditor of the Agency. Moreover, financial audits are performed annually by the European Court of Auditors. On average the Agency is audited 3 times per year by these auditing bodies and their audits cover all identified audit risks. 2.7.1 IAS In line with the IAS “Strategic Audit Plan for the European Maritime Agency”, during the course of 2016, IAS performed an audit on Project Financed Actions at EMSA. The overall objective of the audit was to assess the design and the effectiveness and efficiency of the management and control systems put in place by EMSA to implement project-financed actions under the delegation agreements with the Commission and via SLAs with other cooperation partners. The scope of the audit covered the design and implementation of the procedures and workflows for managing and implementing project-financed actions. The fieldwork in EMSA was finalised in June 2016 and the final audit report was issued early 2017. IAS concluded that the services offered by EMSA under project-financed actions comply with the applicable rules and agreements in force and EMSA delivers agreed, high-quality services to its stakeholders, which are adapted to their business needs. In addition, the IAS acknowledged that EMSA faces specific challenges as regards the agreements concluded with several Directorates-General of the European Commission, which are not harmonised and could be interpreted differently. IAS stated further that the European Commission and the decentralised Agencies have not agreed on common principles to cover and/or charge project overhead costs and to calculate these costs. Taking into account this background, the IAS concluded that, overall, EMSA's management and control systems for project- financed actions are adequately designed and effectively and efficiently implemented. However, the IAS identified areas for improvement related to availability of management information on the planning and use of resources for project-financed 30 actions. IAS issued three recommendations on 30/01/2017 of which one was accepted by the Agency . The Agency has prepared an action plan for the accepted recommendation. 30 No critical recommendations were rejected. 99 2.7.2 ECA Following its audit for the financial accounts for 2015 the European Court of Auditors issued the opinion that the Agency’s annual accounts were reliable and the transactions underlying the annual accounts were legal and regular in all material aspects. The ECA did not issue any observations. There are no outstanding actions to be taken in relation to previous comments from the Court. In accordance with Art.107 of the Agency’s Financial Regulation, the audit on the Agency’s financial accounts 2015 was partially performed by an external audit firm, Mazars. To this end, the Agency launched, early 2016, a tender procedure. The costs for the audit performed by the external audit firm (12.500€) were borne by the Agency. 2.8 Follow up of audits plans, audits and recommendations The Agency has developed its own follow-up tool where relevant recommendations issued by the Internal Audit Service (IAS) and the European Court of Auditors (ECA) as well as the corresponding actions to address the detected weaknesses are recorded. The Agency considers the follow-up on the progress of the action plan on audit recommendations as an important element of its Internal Control System. A quarterly indicator is discussed by senior management and reported to the Commission. Equally, a detailed overview of the progress of the implementation of the action plans following the different audits is presented to the Administrative and Finance Committee of the Administrative Board, in accordance with the mandate of the Committee, at each meeting. Consequently, this information is provided to the Administrative Board. At the end of 2016, all audit recommendations issued by 31/12/2016 and earlier had been implemented. 2.9 Follow up of observations from the Discharge authority In reply to observations and comments made by the European Parliament in its discharge of 2014, the Agency confirmed that it has implemented all the necessary actions to address previously identified areas for improvement. Although the Agency did not receive individual questions, the Agency provided information to the European Parliament on the following topics: Commitment execution The Agency explained that over the last years it did not have particular issues related to the implementation of the budget: overall budget execution has always been high and, as a result, the European Court of Auditors did not note any issues related to the implementation of the budget, cancellations or carry overs during the last years. Nevertheless, the Agency provided an explanation to the European Parliament regarding the relatively low budget execution (commitments) in 2014 below the 95% target of the Commission, resulting in the penalty applied by the Commission on the draft budget 2016: a last minute cancellation of a foreseen high value maritime vessel availability contract due to the bankruptcy of a potential contractor and the decrease in the correction coefficient for Lisbon contributed to this lower budget execution. Prevention and management of conflict of interests and transparency The EMSA Fraud prevention and detection strategy was adopted on 17 November 2015. In line with the action plan attached to this strategy, a number of specific actions were implemented in the course of 2016. These actions concerned: 100 – The provision of training courses on Ethics and Integrity for newcomers and refresher courses for existing staff. The Agency also adjusted its policy to ensure all staff will receive a refresher course every five years. To monitor this action a new KPI (Key Performance Indicator) has been introduced. – The adoption of a Whistleblower Policy: The Whistleblower Policy was adopted on 22 December 2016. The purpose of this policy is to provide staff with all relevant information on whistleblowing and at the same time ensure that staff who report serious wrongdoings or concerns in good faith are afforded the utmost confidentiality and greatest degree of protection against any retaliation as a result of their whistleblowing. The policy also addresses the protection of the personal information of the whistleblowers, the alleged wrongdoers, the witnesses and any other persons involved in the reported case. The follow up regarding the European Parliament’s general questions concerning all Agencies is ensured by the Coordination of Agencies. 101 Part II (b) External Evaluations Following the initiative of its Chairman, the EMSA Administrative Board initiated at the end of 2015 the process of commissioning an independent external evaluation on the implementation of the Agency’s Founding Regulation, in accordance with its Article 22, in order to complete the process, and notably the adoption of recommendations by the Board to the Commission concerning the Regulation, indicatively by mid-2017. The bulk of this evaluation exercise was undertaken by the contractor in the second half of 2016, during which key EMSA stakeholders were surveyed or interviewed. The evaluation report was adopted by the Administrative Board in June 2017. 102 Part III Assessment of the effectiveness of the internal control systems 3.1 Risk Management EMSA adopted in 2012 a Risk Management Policy which aims to provide clear guidance on how to analyse and evaluate risks (i.e. identify and assess risks), decide on actions and controls to terminate or mitigate the risks, assign ownership and finally to implement these actions and controls and monitor and review the risk management process. The Agency has developed a rigorous approach to risk management. This includes a risk register, which covers all identified internal and external risks related to all EMSA’s activities and an action plan to reduce the potential consequence of each identified risk to an acceptable level. The latest developments regarding risk management, implemented during the course of 2016, concerned the integration of the risk identification with the process for drawing up the multiannual planning of the Agency (ref. Single Programming Document 2017-2019) and its alignment with the newly developed Quality Management System for Visits & Inspections. In accordance with the Risk Management Policy the risk register was fully updated in 2016. The update of the Agency’s risk register did not result in any major changes and no critical risks that could lead to a formal reservation to the Authorising Officer’s annual declaration of assurance were identified. During 2016 none of the previously identified risks materialised. 3.2. Compliance and effectiveness of Internal Control Standards Since the start of its activities, and in pace with the growth of the Agency, EMSA has progressively developed and implemented a series of internal measures to ensure that its activities are subject to control and to provide reasonable assurance to management of the achievement of the Agency’s objectives. These internal control measures help to ensure that EMSA’s operational activities are effective and efficient while also certifying that all legal and regulatory requirements are met, that financial and management reporting is reliable and that assets and information are safeguarded. In order to formalise the internal control system, the Agency has implemented a full set of Internal Control Standards (ICS) and minimum requirements which were adopted by the Administrative Board (November 2009). These Internal Control Standards are based on, and fully in line with, equivalent standards established by the European Commission for its own departments. Examples of measures already in place are: implementation of organisational structures; development of several staff policies and operational procedures; provision of training in various areas; setting of clear objectives and monitoring them through well-developed management reporting and monitoring tools including performance indicators, risk management and business continuity plan. Taken together, these measures constitute the internal control system of the Agency. The effectiveness of the Agency’s internal control system is subject to an annual assessment. To this end the Internal Control Coordinator provides a detailed report to the Executive Director. One of the key elements of EMSA’s internal control system is the control and registration of exceptions to established regulations, policies, (implementing) rules and procedures. An exception is any transaction, financial or operational, which requires an approach that deviates from EMSA’s regulations, policies, (implementing) rules and procedures. A total of 8 of such exceptions were registered during the course of 2016 (same number as in 2015), of which six ex-ante (approval for a future foreseeable deviation) and two ex-post (approval after the deviation had occurred) exceptions. The areas in which exceptions were reported concerned: Human Resources and Internal Support issues (one exception), contract management and payments (five exceptions) and exceptions related to the reimbursement of experts (two 103 exceptions). None of the exceptions were material and of a nature that could lead to a formal reservation to the Authorising Officer’s annual declaration of assurance. Where necessary, corrective actions were carried out or clarifications were given in order to avoid similar situations occurring in the future. Besides these events, two a-posteriori commitments were reported (kept in a separate register) for a value of 2,75€ and 826,41€ respectively. As from 2017 the a-posteriori commitments are incorporated in the register of exceptions. The Annual risk analysis carried out by the Agency’s Internal Control Coordinator did not reveal any risks that could lead to a reservation in the Annual Declaration of Assurance. The Agency continuously strives to improve its internal control systems by developing new controls, strategies, procedures or working instructions or by adapting them to the ever changing environment. Main developments during 2016 concerned following: Fraud Prevention and detection: Following the adoption of the EMSA’s Fraud prevention and detection strategy (adopted by the Administrative Board in November 2015), EMSA developed and implemented the EMSA Whistleblower Policy (adopted on 22/12/2016). Also, training courses on Ethics and Integrity for newcomers and refresher courses for existing staff were provided and the Agency adjusted its policy to ensure all staff will receive a refresher course every five years. To monitor this action a new KPI (Key Performance Indicator) has been introduced. Document management: Further progress was also made in in the area of document management, with the implementation of the Agency’s document management policy and roll out of the related ICT tool following the amendment of the European Archives Regulation in 2015. 104 Part IV Management assurance 4.1 Review of the elements supporting assurance On the basis of elements of the internal control systems and the assurance they provide – the building blocks of assurance – the Executive Director was in a position to sign the Declaration of Assurance of the Authorising Officer which accompanies this Consolidated Annual Activity Report. The building blocks of assurance that are normally in place and were available to the Executive Director in 2016 are outlined below: Monitoring and reporting – budget implementation The monthly report on budget, procurement and financial management mentioned above provides information on budget execution per budget line for all fund sources, as well as per unit and budget line; financial and accounting information including transfers, commitments a posteriori, open invoices, guarantees and recovery orders; and procurement information including progress of planned procurement and contracts, negotiated procedures, comparison with other procedures and expiring contracts. The annual report on budget, procurement and financial management builds on these monthly reports to provide an overview of the performance of the agency in all the above-mentioned areas. Monitoring and reporting – programme implementation Regular unit, department, management and senior management meetings provided ongoing monitoring of the implementation of the work programme throughout the year, drawing on a series of data and exercises including: monthly report on budget, procurement and financial management; quarterly scoreboard - Key Performance Indicators; monthly horizontal indicators; and various progress reporting exercises at unit and department level. In addition, a comprehensive exercise to consolidate existing data and assess the overall level of implementation of the Work Programme, as well as signal potential risks, was piloted in 2016. The exercise was conducted twice, in May and in October, and the Agency remained on track towards a high level of implementation of the Work Programme 2016. Annual reporting occurs at various organisational levels, and the present Consolidated Annual Activity Report was produced in line with the “Procedure for drawing up the CAAR of EMSA”. Delegation of powers and declarations of assurance The Executive Director delegated powers to members of the management team to sign legal acts and make commitments and payments, and the delegated staff members' in turn reported on the use of those powers. In addition, sub-delegation of other powers and responsibilities occurs by virtue of the organisational hierarchy, and the use of these powers, were also reported on. A cascade of annual declarations, in reverse order to the delegation of powers and to hierarchical “sub-delegation” by virtue of organisational hierarchy, was established in accordance with the “Charter of tasks and responsibilities of authorising officers by delegation” and with Annex 1 of the “Procedure for drawing up the CAAR of EMSA”. The materiality criteria for formal reservations to the annual declarations of assurance are defined in the “Procedure for drawing up the CAAR of EMSA”. Certified Quality Management System for visits and inspections The certification of the Visits and Inspections Quality Management System at the end of 2016 provided another level of assurance concerning one of EMSA’s core tasks for the Commission and the Member States and notably the delivery of reliable, objective and evidence-based information on the effectiveness of implementation measures and proposed corrective plans. 105 Certification of the Agency’s year-end accounts by the Accounting Officer The Accounting Officer’s certification of the provisional accounts by 1 March 2017 (Art. 98 and 99, EMSA Financial Regulation) provided reasonable assurance to the Executive Director that the accounts present a true and fair view of the financial situation of the Agency. Other internal control tools A series of other internal control tools contributed to the Executive Director’s reasonable assurance including the assessment of audit results, follow-up and of audit plans, and the follow-up of observations from the discharge authority (as reported under 2.7, 2.8 and 2.9 respectively), reporting on risks and risk management and on the effectiveness and efficiency of the internal control systems, including the registration of exceptions and the annual review of the status of implementation of the Internal Control Standards (as reported under 3.1. and 3.2 respectively). The work of the Internal Audit Service and the European Court of Auditors concerning the Agency in 2016 and the follow-up by the Agency is reported in section 2.7. The Internal Control Coordinator ensures and assesses, on a yearly basis, the effectiveness of the Agency’s key internal control systems, including the process carried out by implementing bodies, if any (Internal Control Standard No. 15). As part of the CAAR, the Internal Control Coordinator signs a statement to the best of his/her knowledge, on the accuracy and exhaustiveness of the information on management and internal control systems (Part V). 4.2 Reservations There were no reservations. 4.3 Overall conclusion on assurance The Executive Director was in a position to sign the Declaration of Assurance of the Authorising Officer which accompanies this Consolidated Annual Activity Report. 106 Part V Declarations of assurance Internal Control Coordinator 107 Executive Director 108 Annexes ` Annex I. Core business statistics EMSA Key Performance Indicators 2016 Activity/service/ Performance Indicator 2016 product Target Result 2.1 EU vessel traffic monitoring SafeSeaNet system 1 percentage per year availability of the central SSN 99% 99.65% operational, including system requirements under the 31 Reporting Formalities 2 hours maximum continuous downtime of the central SSN 12h 11h15min Directive (2010/65/EU) system 3 reports per year AIS 1800 million 3,221,294,890 4 notifications per year ( Port +, Incident reports + MRS) 4.5 million 6,667,325 SafeSeaNet system 5 percentage of responses to Member States’ requests 99% 100% reporting performance, delivered in accordance with SafeSeaNet IFCD (time) including requirements requirements under the Reporting Formalities Directive 2010/65/EU IMDatE availability 6 percentage per year availability of IMDatE platform 95% 99.74% 7 hours maximum continuous downtime of IMDatE platform 12h 5h15 Integrated Services percentage per year availability to Member States 99.74% 9 percentage per year availability to EU NAVFOR 95% 99.74% 10 percentage per year availability to EFCA 95% 99.66% 32 11 percentage per year availability to IMS mobile application 95% 99.85% users 31 In July 2016, the SSN Graphical Interfaced suffered a downtime of around 11 hours due to a technical issue related with the infrastructure that affected the system and occurred outside office hours. 32 System operational from Q4. 109 Activity/service/ Performance Indicator 2016 product Target Result 2.2 EU LRIT Cooperative Data Centre and LRIT IDE EU LRIT CDC System 12 percentage per year availability of EU LRIT CDC 99% 99.80% operational 13 hours maximum continuous downtime of EU LRIT CDC 4h 1h43min EU LRIT CDC 14 percentage position reports delivered according to IMO 99% 99.41% reporting performance requirement (periodic reports: 15 min; polls: 30 min) EU LRIT CDC Web 15 percentage per year of availability to users 99% 99.81% user interface LRIT-IDE System 16 percentage per year availability of LRIT IDE 99.9% 99.97% operational 17 hours maximum continuous downtime of LRIT IDE 4h 0h40min 2.3 THETIS System operational 18 percentage per year availability of THETIS 96% 99.41% 19 hours maximum continuous downtime 6h 2h:01m Helpdesk 20 percentage of requests closed in less than 5 days 75% 94.53% 7.71 THETIS MRV THETIS MRV 21 Timely delivery of tasks foreseen by the Cooperation Templates for Yes Agreement Emission reports and Documents of compliance 22 Specifications Yes and business rules for THETIS-MRV 110 Activity/service/ Performance Indicator 2016 product Target Result 7.72 Emission Inventories 23 Inventories of shipping emissions based on shipping Development Yes activity data will have to be attributed per Member State of new in their relevant sea areas EEZ (Exclusive Economic functionality in THETIS-S to Zone), PCZ (Preferred Conservation Zone), SECAs establish and (Sulphur Emission Control Areas) for the period 2012- evaluate the 2017 inventories of shipping emissions based on shipping Emission inventories activity data 24 Calculation Yes and analysis of inventories of shipping emissions for the period 2012-2020 33 25 Minimum of n/a one workshop organised 2.4 Maritime Support Services 34 MSS 24/7 availability 26 average time in hrs for feedback or resolution of issues <2 0h21min relating to emergencies, incidents in maritime applications or urgent helpdesk requests 27 average time in working hrs for feedback or resolution of <8 0h30min issues relating to non-urgent helpdesk requests or scheduled interventions 28 reporting on the SafeSeaNet implementation and data 20 reports 25 quality (overall and per Member State) 7.5 COPERNICUS 35 Copernicus services 29 percentage per year availability of Copernicus services 95% 99.85% availability 33 Development was ongoing during 2016. 34 Calculation of MSS KPIs could only be extracted until 21/11/2016 included due to the migration to the new version of FootPrints on 22/11/2016. 35 System operational only in Q4. 111 Activity/service/ Performance Indicator 2016 product Target Result 7.2 FRONTEX SLA Integrated Maritime 30 percentage per year availability to Frontex 95% 99.82% Services 3.1 Classification societies Inspections 31 number of all types of RO inspections 16-20 19 32 percentage of planned inspections and visits completed 100% 118.75% Reports 33 number of reports per year 16 16 36 End-of-cycle reports 34 number of reports per year 4-6 3 3.2 STCW Inspections and visits 35 number of inspections and visits per year 7-9 8 36 percentage of planned inspections and visits completed 100% 114.29% Reports 37 number of reports per year 7-9 7 STCW Information 38 percentage per year availability 95% 99.6% System 3.3 Implementation of PSC Directives in Member States Visits 39 number of visits per year 2 2 40 percentage of planned visits completed 100% 100% Reports 41 number of PSC reports per year 2 3 3.4 Maritime Security 37 Inspections 42 number of missions per year 16-18 12 38 43 percentage of planned missions completed 100% 75% Reports 44 number of reports per year 30-35 40 36 The Commission agreed on a reorganisation of the planning of RO end of cycle reports. As a result only 3 of the expected 4-6 were produced. 37 The number and timing of maritime security inspections is decided by the Commission and the EFTA Surveillance Authority. Compared to the original planning, the Commission has cancelled two inspections and the EFTA Surveillance Authority has only requested EMSA’s assistance for one instead of the expected three inspections. 38 See footnote 7. 112 Activity/service/ Performance Indicator 2016 product Target Result 3.5 Monitoring implementation of EU maritime legislation 39 Visits 45 number of visits per year 13-14 12 40 46 percentage of planned visits completed 100% 92.31% Reports 47 number of reports per year 13-14 13 3.6 Horizontal analysis and research Analyses on the basis 48 number of horizontal analyses per year 2-3 2 of full or interim inspection cycles 49 percentage of planned analyses completed 100% 100% 4.1 Port State Control RuleCheck system 50 percentage per year availability 85% 99.05% operational 51 days maximum continuous downtime 9d 3d RuleCheck Helpdesk 52 percentage of requests closed in less than 9 days 75% 100% service MAKCS system 53 percentage per year availability 85% 99.99% operational 54 days maximum continuous downtime 9 0d MAKCS Helpdesk 55 percentage of requests closed in less than 9 days 75% 93.02% service 4.2 Accident investigation EMCIP meetings 56 number of meetings per year 2 2 Accident database 57 number of occurrences notified in EMCIP during the year 3500 4702 PCF meetings 58 number of PCF meetings per year 1 2 39 The projected visits to Member States in respect of Directive 98/41/EC were cancelled in view of the Commission’s REFIT exercise on ship safety legislation and a follow-up visit to an EFTA Member State in respect of port reception facilities was postponed to 2017. These were only partially offset by an increase in the number of accident investigation visits. 40 See footnote 9. 113 Activity/service/ Performance Indicator 2016 product Target Result 4.3 Technical assistance (training and cooperation) Training for Member 59 number of MS training sessions per year Up to 14 24 States 60 number of MS experts attending per year 290 636 Training for accession 61 number of AC training sessions per year Up to 6 20 countries 62 number of AC experts attending per year 50 150 Client Satisfaction 63 result of customer survey >70% >70% 4.4 Marine equipment and ship safety standards MARED Database 64 percentage per year availability of MARED DB 99% 99.98% 4.5 Maritime information, Equasis and statistics Availability of the 65 percentage per year availability of Equasis 99.50% 99.98% system 41 Users 66 number of users per month 35000 33552 Contributors 67 number of contributing members 9-10 10 7.1 SAFEMED III Implementation of the 68 number of training sessions per year Up to 5 11 SAFEMED III Project 69 number of activities per year Up to 4 19 70 number of ENP experts attending per year 90 136 71 level of customers' satisfaction >70% >70% 7.4 TRACECA II 42 Implementation of the 72 number of training sessions per year 4 3 TRACECA II Project 73 number of activities per year 3 13 74 number of ENP experts attending per year 40 30 75 level of customers' satisfaction >70% >70% 41 Number of visitors to the public site of Equasis stayed slightly below expectations. Fluctuations in number of users are seen to follow media coverage of shipping related events, and reflect the economic situation in general. 42 KPIs 72 to 74: These KPIs were based on 4 training courses being held during the whole of 2016, whereas the extension of the TRACECA II project from August 2016 to January 2017 was granted for fact finding missions only. 114 Activity/service/ Performance Indicator 2016 product Target Result 5.1 Network of stand-by oil spill recovery vessels and Aerial Dispersant Application Service 43 Stand-by Oil Spill 76 number of fully equipped vessels for mechanical recovery 18 17 Response vessel network 77 number of fully equipped vessels for dispersant 4-5 4 application New vessels pre-fitting 78 number of newly contracted vessels pre-fitted 2 2 Equipment 79 number of stockpiles 2 2 Assistance Service (EAS) Vessel equipment 80 number of projects completed per year 3 7 replacement/adaptation /upgrade Vessel Equipment drills 81 number of drills per year (acceptance and quarterly drills) 70 72 and exercises 82 number of operational exercises per year 10 12 83 number of Equipment Assistance Service (EAS) drills per 2 7 year 84 number of notification exercises per year 10 14 Response to requests 85 mobilisation time in hours 24h max 24 for airplane services Dispersant stockpiles 86 number of stockpiles 4 4 87 minimum quantity of dispersants available at any time 800 800 (tonnes) 5.2 CleanSeaNet and illegal discharges Satellite images 88 number of images ordered and analysed per year 2000 3057 Assistance requests re. 89 percentage response rate to requests for assistance 100% 100% accidental spills CSN-DC performance 90 percentage per year availability of CSN 97.50% 99.74% 43 One contract was not renewed as planned by the contractor. 115 Activity/service/ Performance Indicator 2016 product Target Result 44 RPAS 91 Number of campaigns 1-3 0 emission/pollution monitoring 5.3 Cooperation, Coordination and Information Response to requests 92 percentage of responses within 2 hrs >75% 100 for assistance to MAR- ICE 93 percentage of responses within 4 hrs <25% 0 45 Developing datasheets 94 number of datasheets produced 25 213 Coordination of the 95 number of CTG MPPR meetings and workshops 3 5 CTG-MPPR Development of 96 number of decision support tools 1 2 decision support tools 6.5 External communication, protocol and events support 46 Number of 97 number of publications/leaflets/brochures produced per 16 21,75 publications/ year leaflets/brochures produced Events 98 number of meetings/workshops organised by EMSA per 40 54 year 99 number of participants at EMSA events per year 1250 1326 44 The Agency did not succeed in setting up operational RPAS services in 2016. Procurement procedures were more complex than expected. The tenders have been a major undertaking: a business model for RPAS services was developed and all technical and organisational aspects for operations were quantified. In October 2016 the first maritime RPAS service contract was successfully concluded, but by the end of 2016 companies awarded a contract were still in the set-up phase. 45 Although the target for 2016 was to revise at least 25 datasheets, all 213 datasheets were revised following the change of the underlying IMO codes, before launching the new MAR-CIS. 46 The weighting of the publication is dependent on the man hours involved in the production. This can vary from 0.33 for a one-sided A4 page layout to 1.5 for the more lengthy corporate documents. 116 Activity/service/ Performance Indicator 2016 product Target Result 6.1, 6.2, 6.3 and 6.4 Overhead/horizontal tasks Audit 100 ECA recommendations implemented in time 100% 100% 101 IAS recommendations implemented in time 100% 100% Planning 102 Implementation of the Work Programme as close as See Information on possible to achievements 100% 98.5% Establishment plan 103 execution rate establishment plan (percentage of as close as execution rate occupied posts against the Commission’s 2018 proposal) possible to 100% (multi- annual target) Budget execution rate - 104 execution rate commitment appropriations as close as 97.80% commitment possible to appropriations 100% Budget execution rate - 105 execution rate payment appropriations as close as 97.65% payment appropriations possible to 100% 117 Operational Agreements active in 2016 Contractor Subject Start Date End Date CEDRE - CEFIC MAR-ICE Network 17/10/2014 16/10/2017 DG CLIMA Support for the implementation of Regulation on the monitoring, reporting and verification of 30/03/2016 29/03/2020 emissions of carbon dioxide, from maritime transport and amending Directive 2009/16/EC on Port State Control and relevant technical Assistance DG ECHO Cooperation in the framework of maritime emergencies, including marine pollution 13/11/2014 No end date preparedness, monitoring and response DG ENV Cooperation Agreement for the development of inventories of shipping emissions based on 06/10/2015 05/10/2018 shipping activity data for domestic, short sea and international shipping through a functionality in THETIS-S including the relevant technical assistance DG ENV Cooperation Agreement for the support of the implementation of Directive 2012/33/EU as 03/09/2014 02/09/2017 regards the sulphur content of marine fuels and relevant technical assistance DG GROW Implementation of the maritime surveillance component of the Copernicus security service 03/12/2015 31/12/2026 DG MARE Creation of a European coastguard function 15/09/2016 31/12/2017 DG MOVE Provision by EMSA of technical assistance for maritime security 1 29/10/2013 No end date DG NEAR Grant contract for the implementation of the Action "TRACECA Maritime Safety & Security 16/06/2014 31/01/2017 II" DG NEAR Grant Contract for the implementation of the SAFEMED III Action 16/06/2013 15/03/2017 DG NEAR Preparatory measures for the participation of enlargement countries in EMSA’s work 23/10/2015 22/04/2018 DG NEAR Maritime Safety, Security and Environmental Protection in the Black and Caspian sea 01/11/2016 28/03/2021 Regions DG NEAR SAFEMED IV, EuroMed Maritime Safety Project 01/01/2017 21/03/2021 EFCA - European EFCA MARSURV 26/06/2015 No end date Fisheries Control Agency EQUASIS members MOU on the establishment of the Equasis information system 17/05/2000 No end date ESA - European Space Agreement concerning cooperation for the use of space based systems and data in support 02/07/2010 01/07/2020 Agency of maritime activities ESA - European Space SAT-IAS Data Processing Centre (DPC) Block 2 software 18/02/2015 No end date Agency ETSI - European MOU ETSI - EMSA for collaboration in the field of marine equipment 26/05/2014 25/05/2017 Telecommunications Standards Institute EUNAVFOR - Athena Delivery of an integrated maritime monitoring service 06/04/2011 No end date Atalanta EUROCONTROL NAVIGATION SAFETY FOR RPAS No end date European Free Trade MoU on the release of classified information in the framework of the technical cooperation 05/02/2014 No end date Association Surveillance in maritime security Authority European Free Trade Provision by EMSA of technical assistance for maritime security 2 05/02/2014 No end date Association Surveillance Authority FRONTEX Service Level Agreement between the European Agency for the Management of 01/05/2016 30/04/2019 Operational Cooperation at the External Borders of the Member States of the European Union (Frontex) and the European Maritime Safety Agency (EMSA) for the provision of surveillance tools and services in support of Frontex activities, including for the implementation of the EUROSUR framework International Mobile IMSO AUDIT – EU LRIT-DC 27/05/2009 No end date Satellite Organization International Mobile IMSO AUDIT – LRIT-IDE 20/03/2012 No end date Satellite Organization 119 Interspill LTD Interspill Series of Conferences and Exhibitions - Memorandum of Understanding 07/02/2011 No end date Italian Coast Guard - SLA EMSA ICG REGIONAL SSN SERVER (16/17) 22/10/2016 21/10/2017 Comando Gen.del Corpo delle Capitanerie di Porto Italian Coast Guard - MEDITERRANEAN REGIONAL SSN SERVER 22/10/2015 21/10/2017 Comando Gen.del Corpo delle Capitanerie di Porto JRC - Joint Research Hosting, Maintenance and Enhancement of EMCIP Platform 04/12/2013 03/12/2017 Centre MAOC - Maritime Analysis Operational assistance and training 12/08/2014 11/08/2019 and Operations Centre MARine Environmental Cooperation agreement MARETEC-IST - EMSA Oil Spil Modelling 15/06/2014 14/06/2019 and TEchnology Centre - Instituto Superior Tecnico Norwegian Coastal North Atlantic AIS Regional Server 14/10/2014 01/01/2017 Administration Norwegian Coastal SLA EMSA and NCA for hosting, maintenance and operation of North Atlantic, North Sea 20/12/2016 No end date Administration and HELCOM AIS Regional Servers and SSN République Française Hosting & Development of Equasis 27/02/2009 No end date Royal Belgian Institute of Development and implementation of an operational capability between oil spill models and 09/12/2013 08/12/2018 Natural Sciences CNS DC Swedish Meteorological Develop and implement an operational capability to set to a data exchange mechanism 21/06/2013 20/06/2018 and Hydrological Institute, between the oil spill model and the EMSA CDC Gov. Agency 120 Annex II. Statistics on financial management Evolution of budget execution Negotiated procedures In 2016 the following negotiated procedures based on articles 134(1) (a) to (g) of COM RAP were launched: Reference number Project Status Negotiated procedure without publication of Contract Notice: Art. 134(1)(a)-(g) NEG/06/2016 Provision of vessel detection services from TerraSAR-X/Tandem-X/PAZ Cancelled Satellite images NEG/07/2016 Setting-up Seaborne Dispersant capability Cancelled NEG/23/2016 MLC for Safemed and Traceca Training by ILO Cancelled NEG/26/2016 Subscription to Lloyds list 2017 Not-Awarded NEG/39/2016 Purchase of licences for 2 users for the Lloyd’s List casualty reporting Awarded service 122 Annex III. Organisational chart Annex IV. Establishment plan and additional information on Human Resources management Establishment plan 2016 Function Group 2015 Authorised 2016 Authorised and Grade Permanent Temporary Permanent Temporary AD15 0 1 0 1 AD14 0 1 0 1 AD13 1 3 1 3 AD12 1 9 1 10 AD11 0 13 0 14 AD10 1 17 1 18 AD9 0 28 0 28 AD8 1 24 1 24 AD7 0 24 0 24 AD6 0 18 0 12 AD5 0 2 0 0 Total AD 4 140 4 135 AST11 0 0 0 0 AST10 0 1 0 1 AST9 0 0 0 0 AST8 0 1 0 1 AST7 0 2 0 4 AST6 0 7 0 11 AST5 0 17 0 18 AST4 0 19 0 16 AST3 0 16 0 12 AST2 0 0 0 0 AST1 0 0 0 0 Total AST 0 63 0 63 Total AD+AST 4 203 4 198 47 Grand Total 207 202 47 While 202 statutory posts were indicated on the Agency‘s Establishment Plan for 2016, the Agency delivered the activities proposed in the Work Programme 2016 with 198 statutory posts, as 4 posts were frozen for cuts foreseen in 2017. Entry level for type of post Function is dedicated to Type of Function group, grade of Key functions (examples) administration support or contract recruitment policy (operational) or mixed CORE FUNCTIONS Head of Department TA AD12 Operational (level 2) AD9, AD10, AD11 or AD12, Head of Unit TA related to the mandate and Operational (level 3) dimension of the Unit Head of Sector TA AD8 Operational/Support/Mixed (level 4) Senior Officer TA AD8 Operational AD6 or AD7 depends on the Officer TA Operational functions that will be allocated Junior Officer TA AD5 Operational Senior Assistant TA AST10 Operational AST1 or AST3 depends on the Junior Assistant TA Operational/Mixed functions that will be allocated SUPPORT FUNCTIONS Head of Administration TA AD12 Support (Level 2) Head of Human Resources TA AD9 Support (Level 3) Head of Finance TA AD9 Support (Level 3) Head of Communication TA AD8 Mixed Head of IT (Level 3) TA AD10 Mixed Senior Officer TA AD8 Support Officer TA AD6 Support Junior Officer TA AD5 Support Webmaster- Editor TA AST3 Mixed Secretary CA FGII Support Mail Clerk CA FGI Support SPECIAL FUNCTIONS Data Protection Officer TA AD8 Mixed Accounting Officer TA AD8 Mixed Internal Auditor TA AD8 Mixed Secretary to the Director TA FG II Mixed 125 Results of the screening exercise Job type (sub) category Year N (%) Year N-1 (%) Administrative support and Coordination Administrative support 16.46% 16.78% Coordination 5.34% 4.89% Operational Top Level Operational Coordination 2.28% 2.65% Programme Management & Implementation 52.81% 51.86% Evaluation & Impact assessment 12.10% 12.35% General Operational 3.82% 4.43% Neutral Finance/Control 7.26% 7.05% Linguistics 0% 0% 126  Annex V. Human and financial resources by activity Planned and Actual Resources 2016* Planned Human Resources Actual Human Resources Planned Financial Resources Actual Financial Resources MANPOWER MANPOWER Total allocated Total allocated Total allocated Total allocated LIST OF ACTIVITIES EMSA TEMPORARY AGENTS TEMPORARY AGENTS costs costs costs costs END CA TOTAL END CA TOTAL Commitments Payments Commitments Payments AD AST AD AST 2100 Union maritime information and exchange system (integrated maritime services; SafeSeaNet; Improving internal market and maritime transport 25 12 3 5 45 26 11 4 1 42 8,398,859 8,371,394 8,164,078 8,171,025 efficiency) 2200 EU LRIT Cooperative Data Centre and LRIT International Data 6 7 13 6 7 13 3,356,445 3,317,960 3,362,186 3,298,064 Exchange 2300 Information System for PSC (THETIS) 4 1 1 6 5 1 1 7 1,685,094 1,719,637 1,904,676 1,939,198 2400 Maritime Support Services 8 2 3 2 15 7 2 3 2 14 1,836,940 1,836,940 1,734,156 1,690,445 3100 Classification Societies 10 1 1 12 10 1 1 12 1,783,557 1,783,557 1,882,772 1,823,435 3200 STCW 6 2 1 9 6 2 1 1 10 1,298,712 1,298,712 1,549,396 1,399,278 3300 Visits to Member States to monitor implementation of Union Law 3 1 4 6 2 1 9 585,065 585,065 1,223,742 1,191,419 Formerly "Implementation of PSC Directives in Member States and EFTA" 3400 Maritime Security 3 1 4 3 3 573,578 573,578 500,032 480,046 3500 Merged with 3300 5 2 7 1,020,958 1,020,958 59,000 85,508 Formerly "Monitoring implementation of other EU maritime legislation" 3600 Horizontal analysis and research 3 1 4 2 1 3 550,578 550,578 406,438 393,008 4100 Port State Control 3 1 4 3 3 884,065 884,065 834,998 713,245 4200 Accident investigation 4 1 1 6 4 1 1 6 1,094,873 1,094,873 1,041,190 1,152,363 4300 Technical assistance (training and cooperation) 2 1 2 1 6 3 1 2 6 1,419,370 1,419,370 1,455,451 1,307,513 4400 Marine equipment and ship safety standards (including IMO) 7 1 2 10 6 1 3 10 1,898,937 1,928,509 1,787,518 1,729,927 4500 Ship Inspecation Support 1 1 1 3 3 1 1 5 675,531 675,531 936,593 925,529 Formerly "Maritime Information, Equasis and statistics" 4600 Prevention of pollution by ships 6 6 5 5 1,215,684 1,215,684 1,191,714 1,107,280 6500 Communication, Missions & Events support 3 5 6 14 3 4 6 13 1,529,895 1,529,895 1,525,507 1,484,075 5100 Operational Pollution Response Services 11 2 1 3 17 10 2 1 3 16 17,202,395 19,855,127 17,959,273 20,600,267 5200 CleanSeaNet and illegal discharges 6 1 7 7 1 8 7,205,162 5,254,633 5,691,287 4,510,610 5300 Cooperation and information relating to pollution preparedness and 4 1 5 4 4 1,006,181 1,203,978 895,966 833,440 response 6100 Management/bureau/horizontal tasks 10 7 17 10 6 1 17 6200 Human Resources 3 5 6 14 3 5 6 14 6300 Legal and Financial Affairs, facilities and logistics 5 4 6 15 6 4 5 15 6400 Operations support (ICT) 1 8 1 10 1 8 2 11 6100, 6200, 6300,and 6400 Total Overhead/horizontal tasks 19 24 13 56 20 23 14 57 Copernicus staff financed by EMSA budget* 3 Subtotals 139 63 18 33 253 139 59 18 33 246 Total EMSA subsidy 202 198 55,221,879 56,120,044 54,105,973 54,835,675  * ABB methodology: The Agency implements an activity based approach to budgeting and reporting on all activities funded by the EMSA subsidy. The lifecycle stretches from initial planning of the draft budget preparation which starts towards the end of year N-2 to the final presentation of actuals in the Consolidated Annual Activity Report in year N+1. Activity Based Budgeting (ABB) codes are tagged to commitments and payments, tracking the cost of both direct and indirect activities. Direct staff is allocated to one operational activity according to the prevailing function of the staff. Indirect staff and overhead and administrative costs are ventilated across operational activities, based on the number of direct staff allocated to each activity. For the purposes of the ABB exercise, the 3 Contract Agents foreseen for the project-financed activity Copernicus but financed by the EMSA Budget are treated as indirect staff. Planned and Actual Resources 2016 Planned Human Resources Actual Human Resources Planned Financial Resources Actual Financial Resources LIST OF EMSA PROJECT FINANCED ACITIVITIES Contract Agents Contract Agents Commitments Payments Committed Paid 7000 IMP (Integrated Maritime Policy Project) p.m. p.m. 12,143 12,143 7100 SAFEMED III 1.8 1.8 p.m. p.m. 1,458,697 1,007,507 7200 FRONTEX SLA 4 4 p.m. p.m. 9,503,235 5,916,154 7300 CSN GREENLAND p.m. p.m. 382,283 302,865 7310 CSN Dutch Islands p.m. p.m. 49,350 35,831 7400 TRACECA II 1.2 1.2 p.m. p.m. 409,549 351,077 7500 COPERNICUS p.m. p.m. 4,454,000 1,494,203 7600 EQUASIS (R0 FUNDS) p.m. p.m. 586,176 473,856 7700 THETIS EU (formerly THETIS-S) p.m. p.m. 33,829 20,089 7710 THETIS MRV p.m. p.m. 41,831 411 7720 Emissions Inventories Project p.m. p.m. 104,013 104,013 7800 EC Funds for candidate and potential candidate p.m. p.m. 211,871 141,261 Total Project Financed Activities 7 7 17,246,977 9,859,410 128 Annex VI. Specific annexes related to Part II – Management N/A Annex VII. Specific annexes related to Part III - Assessment of the effectiveness of the internal control systems N/A Annex VIII. Annual accounts Economic outturn account 2016 2015 Revenues from administrative operations 4,775,959 2,983,608 Other operating revenue 61,419,722 51,968,890 TOTAL OPERATING REVENUE 66,195,682 54,952,498 Administrative expenses -32,600,639 -33,206,897 All Staff expenses -18,809,212 -17,599,973 Fixed asset related expenses -8,919,461 -9,358,772 Other administrative expenses -4,871,966 -6,248,151 Operational expenses -31,359,711 -23,910,920 TOTAL OPERATING EXPENSES -63,960,350 -57,117,817 SURPLUS/(DEFICIT) FROM OPERATING 2,235,332 -2,165,319 ACTIVITIES Financial revenues 164 20,137 Financial expenses -146 -365 SURPLUS/ (DEFICIT) FROM NON 18 19,771 OPERATING ACTIVITIES ECONOMIC RESULT OF THE YEAR 2,235,351 Summary of data provided by the Agency in its annual financial statement. These accounts are drawn up on an accrual basis and are rounded. 131 Balance sheet (in EURO) 2016 2015 NON CURRENT ASSETS 33,267,517 29,985,331 Intangible fixed assets 8,060,318 7,200,819 Tangible fixed assets 24,917,063 22,494,375 Long-term pre-financing 290,136 290,136 Long-term receivables 0 0 CURRENT ASSETS 22,312,215 23,404,626 Inventories 2,137,960 1,072,320 Short-term pre-financing 595,608 3,892,865 Short-term receivables 3,048,354 6,195,213 Cash and cash equivalents 16,530,293 12,244,228 TOTAL ASSETS 55,579,732 53,389,957 NON-CURRENT LIABILITIES 105,510 110,285 Provisions for risks and charges 0 0,00 Other long-term liabilities 105,510 110,285 CURRENT LIABILITIES 16,944,222 16,985,023 Provisions for risks and charges 0 46,000 Accounts payable 16,944,222 16,939,023 TOTAL LIABILITIES 55,579,732 53,389,957 TOTAL NET ASSETS/LIABILITIES 38,529,999 132 Annex IX. EMSA’s report on the multi-annual funding of the Agency’s pollution preparedness and response activities as laid down in Regulation (EU) No 911/2014. 133  Annex IX - EMSA’s Report on the Multi-Annual Funding of the Agency’s pollution preparedness and response activities as laid down in Regulation (EU) No 911/2014. Table of contents Chapter 1: Report Objective and Executive Summary ....................................................... 2 Chapter 2: Introduction ............................................................................................................ 4 Chapter 3: Operational Assistance ........................................................................................ 5 3.1 Operational assistance: vessel network, equipment and dispersants ....................................................................5 3.2 CleanSeaNet Satellite Service for Oil Spill Monitoring ............................................................................................12 3.3 Support to Coastal States and the Commission for Accidental Spills and Emergencies ...................................18 3.4 Utilising State of the Art Remote Sensing Technology for Oil Spill Detection, Monitoring and Response ......18 Chapter 4: Cooperation and Coordination.......................................................................... 19 4.1 Introduction....................................................................................................................................................................19 4.2 Activities with regard to Cooperation .........................................................................................................................19 Chapter 5: Information ........................................................................................................... 22 5.1 Introduction....................................................................................................................................................................22 5.2 Activities with regard to Hazardous and Noxious Substances (HNS) ...................................................................22 5.3 Activities with regard to dispersants ..........................................................................................................................22 5.4 List of Member States’ pollution response capacities .............................................................................................22 Annex: Total Expenditures for Pollution Preparedness and Response Activities ...............................................................23 1 Chapter 1: Report Objective and Executive Summary Regulation (EU) No 911/2014 of the European Parliament and of the Council of 23 July 2014 on multi-annual funding for the actions of the European Maritime Safety Agency in the field of response to marine pollution caused by ships and oil and gas installations states, that “In accordance with Regulation (EC) No 1406/2002, the Agency should report on the financial execution of the multi-annual funding of the Agency in its annual report.” This report is presented here. The activities of the Agency in the field of marine pollution preparedness, detection and response caused by ships and oil and gas installations are focused on providing operational assistance and information to Member States. The main services are:  The provision of additional response capacity through the Network of Stand-by Oil Spill Response Vessels and the Equipment Assistance Service (EAS), these services being adapted to also address spills from offshore oil and gas installations;  CleanSeaNet: the satellite based oil spill and vessel detection and monitoring service;  The MAR-ICE (Marine-Intervention in Chemical Emergencies) Information Service in case of chemical spills at sea;  Cooperation and coordination with the EU Commission, EU Member States, EFTA/EEA Coastal Countries, Candidate Countries, Acceding Countries, Regional Agreements and other relevant international organisations such as the International Maritime Organization (IMO);  The provision of information through publications and workshops. At the end of 2016, 17 fully equipped vessels and one vessel in the preparatory phase were under contract. Following the expiration of the South Black Sea vessel contract, a new vessel was contracted late 2016.The vessels contracted at the end of 2015 to respectively replace the response capacity in South Baltic and establish new capacity in the region of the Canary Islands and the Madeira archipelago, entered into operational service. Two contracts for the western and central Mediterranean Sea were renewed for an additional 4-year period. In order to ensure a high level of preparedness 69 quarterly drills were conducted on board EMSA contracted vessels. In addition, three acceptance drills related to entrance of new contracted vessels in service and/or improvement projects were carried out. Two Equipment Assistance Service (EAS) arrangements contracted at the end of 2015 in the Baltic Sea and in the North Sea became fully operational in the second half of 2016. This new service provides specialised stand- alone equipment (i.e. fire booms, trawl nets, integrated oil containment and recovery systems) which can be used by Vessels of Opportunity. A total of seven EAS Equipment Condition Tests (ECTs) were completed by EAS contractors and Member States were introduced to the new equipment during dedicated training seminars. The Equipment Policy, providing a framework for the management of the EMSA oil spill response equipment was implemented through a number of actions including overhauling and/or replacement of aging equipment sets purchased in 2006-07. 2 To further strengthen the operational cooperation with Member States and marine pollution Regional 1 Agreements , 12 EMSA contracted vessels participated in 10 Operational Exercises covering all European seas. In addition, 10 Notification Exercises aiming at the signature of the Incident Response Contracts with 12 vessel contractors and two EAS contractors were conducted. Implementation of the Action Plan for Response to Marine Pollution from Oil and Gas Installations continued in 2016 with the purchase of dispersant for two stockpiles (Sines, Portugal and Las Palmas, Canary Islands) and the two oil spill response vessels based in these locations were upgraded to also include dispersant spraying systems. CleanSeaNet, the satellite oil pollution and vessel detection monitoring service, provided daily monitoring over European waters to detect and deter marine pollution. In addition, the Agency also supported periodic operations 2 or exercises such as Coordinated Extended Pollution Control Operations (CEPCO) and ‘Tour d’Horizon’ aerial operations. The inclusion of the European Space Agency’s Sentinel-1A satellite in CleanSeaNet operations marked a major improvement to the availability of appropriate sensors for oil spill detection. The Consultative Technical Group for Marine Pollution Preparedness and Response (CTG MPPR), established in th 2007, continued its work in 2016 on the Rolling Work Programme. The 10 meeting of the CTG MPPR was held in March 2016, back-to-back with a dedicated workshop on oil spill identification. The MAR-ICE (Marine-Intervention in Chemical Emergencies) Network, which provides expert information and advice during hazardous and noxious substance (HNS) spills was activated on three occasions. Following an evaluation late 2015, the MAR-ICE Contact Form was improved. The new web portal and link to EMSA’s Central Hazmat Database (CHD) for easier access to the MAR-CIS (Marine Chemical Information Sheets) went live in December 2016. 1 ‘Regional Agreements’ refer to the agreements signed by countries around a particular sea area to plan for pollution preparedness and coordinate responses in case of a large-scale marine pollution incident. The EU has an official role in some, but not all, of these. Regional Agreements have been developed for all the sea areas along the European coastline: the North Sea (Bonn Agreement), the Baltic Sea (HELCOM), the Mediterranean (the Barcelona Convention), the Black Sea (Bucharest Convention for which EMSA has observer status), and the North East Atlantic (Lisbon Agreement). 2 The Bonn Agreement Contracting Parties have adopted a plan for all coastal states to conduct periodic and random surveillance flights for the detection of spillages in the offshore oil and gas industry areas in the North Sea. Irrespective of the main aim, all other suspected polluters are also to be identified and reported. These surveillance flights are entitled ‘Tour d’Horizon Flights’. 3 Funding of Actions The Budgetary Authorities provided EMSA with EUR 21.6 million in commitment and EUR 22.5 million in 3 payment appropriations for its pollution preparedness and response task for 2016 . In terms of budget execution, 95.97 % was achieved for commitments and 98.76% for payments. Budget execution for Anti-Pollution Measures was challenging in 2016 due to unforeseen events outside the Agency’s control. The main reasons were expiration and non-renewal of one contract for an oil spill response vessel, cancellation of an improvement project as well as the delay of contracting RPAS services. The table below provides an overall summary of commitments and payments: Commitments Payments TOTAL allocation 21,600,000 22,500,000 TOTAL utilisation 20,729,174 (95.97%) 22,220,849 (98.76%) Table 1 Overall summary of commitment and payment appropriations in 2016 Chapter 2: Introduction Following the sinking of the oil tanker Prestige, the Agency was given, in 2004, additional tasks in the field of marine pollution preparedness and response. The initial framework for such activities was described in the Action 4 Plan for Oil Pollution Preparedness and Response and the Action Plan for Hazardous and Noxious Substances 5 Pollution Preparedness and Response . With the adoption of Directive 2005/35/EC as amended on ship-sourced 6 pollution , the task of monitoring spills was elaborated and incorporated into the Action Plan. Furthermore, following the Macondo incident and with the entry into force of Regulation (EU) No 100/2013, amending the Founding Regulation (EC) No 1406/2002, EMSA’s mandate for operational assistance was enlarged to also include response to marine pollution caused by oil and gas installations. The framework for this new task was 3 In addition to budget allocated in 2016 and as a consequence of clearing of a recovery order EUR 234,898 as C5 funds in CA and PA respectively. 4 EMSA Action Plan for Oil Pollution Preparedness and Response as adopted by the Agency's Administrative Board in October 2004. It can be downloaded from the EMSA website: www.emsa.europa.eu 5 EMSA Action Plan for HNS Pollution Preparedness and Response as adopted by the Agency’s Administrative Board in Jun 2007. It can be downloaded from the EMSA website: www.emsa.europa.eu 6 Directive 2009/123/EC of 21 October 2009 amending Directive 2005/35/EC on ship-source pollution and on the introduction of penalties for infringements (OJ L280, 27/10/09) 4  7 described in the Action Plan for Response to Marine Pollution from Oil and Gas Installations . The activities identified and defined in the Action Plans are updated annually and approved by EMSA’s Administrative Board as part of the annual Work Programme. The Agency’s activities build upon existing cooperation frameworks and the mandate of Regional Agreements. Regulation (EU) No 911/2014 reserves a financial envelope for the implementation of these tasks for the duration 8 of the current 2014-2020 Financial Perspectives . The financial execution of the Multi-annual Funding (MAF) framework program should be reported as part of the Agency’s annual report. A dedicated section is to be included in the Consolidated Annual Activity Report (CAAR) detailing the Agency’s pollution preparedness and response activities. This is the third time the MAF reporting is included in the CAAR as an Annex, covering the year 2016. EMSA’s activities under this umbrella are presented, and described in more detail in three categories:  Operational Assistance;  Cooperation and Coordination;  Information. Chapter 3: Operational Assistance EMSA provides four main operational assistance services to coastal States with regard to marine pollution preparedness and response:  The network of stand-by oil spill response vessels including dispersants;  The Equipment Assistance Service (EAS);  CleanSeaNet, the satellite based oil spill and vessel monitoring and detection service; and  Pollution response expertise to provide operational and technical assistance for oil and HNS incidents. 3.1 Operational assistance: vessel network, equipment and dispersants The network of stand-by oil spill response vessels, including the establishment of dispersant spraying capacity as well as the establishment of dispersant stockpiles, has been built up and maintained through annual procurement procedures starting in 2005. Mindful of the principle of ‘subsidiarity’ and the roles and responsibilities of Member States, this operational service is intended as a ‘logical part’ of the marine pollution response mechanism options available to coastal States requesting support, i.e. it should ‘top-up’ the national response capacity of the affected Member State. It is clear that Member States have the primary responsibility regarding response to pollution incidents in their waters. 7 EMSA Action Plan for Response to Marine Pollution from Oil and Gas Installations as adopted by the Agency’s Administrative Board in November 2013. It can be downloaded from the EMSA website: www.emsa.europa.eu 8 A financial perspective is a seven-year spending framework of the European Union. 5 Consequently, the State requesting assistance will have the EMSA resources at its disposal under its operational control. Importantly, the network of pollution response vessels is provided in a cost-efficient manner. Assistance will be channelled to requesting states through the Emergency Response Coordination Centre (ERCC) of the 9 European Commission in Brussels. There were three main activities in relation to the network in 2016, namely:  Bringing into operation the two arrangements contracted end-2015 to establish new capacity for the Canary Islands and Madeira archipelago in the Atlantic and for replacement of the contracted capacity in the southern Baltic Sea;  Awarding a new contract for the southern Black Sea, in order to replace the contract that expired in the same area at the end of 2016, as well as an attempt for a response vessel for the northern Baltic Sea through a public procurement procedure;  Renewing the response arrangements for the western and central Mediterranean Sea, based in Algeciras (Spain) and Valetta (Malta) respectively, for an additional four years. Associated activities included maintaining the service level for operational contracts, primarily through:  Monitoring and evaluating vessel/equipment/crew performance during quarterly drills;  Participation of the contracted vessels in operational at-sea exercises organised in cooperation with EU Member States and/or Regional Agreements;  Identifying and implementing appropriate technical improvements to the network, and developing projects to upgrade the management of the service as a whole. 3.1.1 Network of Stand-by Oil Spill Response Vessels and Equipment Assistance Service Vessel Network The current network provides at-sea oil recovery services from vessels based in all the regional seas of Europe. It should be noted that all vessels are at the disposal of all Member States regardless of their actual area of operation. At the end of 2016, EMSA maintained contracts for 17 fully equipped stand-by oil spill response vessels available, upon request, to assist coastal States in oil spill recovery operations. Alternatively, four of these vessels can be used for dispersant spraying. The map in Figure 1 shows the distribution of vessels and equipment stockpiles around Europe. More technical and operational specifications of all the contracted services are available on the Agency website www.emsa.europa.eu. 9 The Emergency Response Coordination Centre (ERCC) is the heart of the Community Mechanism for Civil Protection. It is operated by DG Humanitarian Aid & Civil Protection (DG ECHO) of the European Commission and accessible 24 hours a day. It plays key coordination role during emergencies. 6  Homebase Response vessel Response vessel with dispersants Dispersant stockpile EAS stockpile Aberdeen EU member countries Gothenburg EU candidate countries Sunderland Gdansk EEA/EFTA coastal countries Cobh Ostend Trieste Ferrol Constanta Genoa Vigo Sines Piraeus Limassol Algeciras Valletta Marsaxlokk Las Palmas Figure 1 Distribution of EMSA’s contracted vessels and EAS arrangements at the end of 2016 Two vessel contracts for the northern Baltic Sea and southern Black Sea expired in 2016. Accordingly, within the framework of the Agency’s annual Work Programme, procedures following publication of a Contract Notice in the Official Journal of the European Union (OJEU) to replace the response capacity in those areas were launched. As a result, a new contract for the southern Black Sea was awarded. Regarding the northern Baltic Sea, a new contract could not be awarded and a new procurement to replace the response capacity in this area will be launched in 2017. In parallel, two vessel arrangements contracted at the end of 2015 successfully completed the Preparatory Phase and became fully operational in 2016:  The tanker Norden, based in Gothenburg, Sweden, providing replacement capacity in the southern Baltic Sea;  The tanker Mencey, based in Las Palmas, Spain, providing new response capacity in the Canary Islands and Madeira archipelago. This vessel is, in addition to the standard equipment set for mechanical recovery, with equipment for dispersant application. Moreover, taking into consideration the implementation of the Action Plan for offshore installations, the geographic distribution and/or technical adaptation of vessels was revised accordingly. At the end of 2016, of the 17 operational contracted vessels ten were certified for recovery of oil with flashpoints < 60°C. All the contracted vessels based in areas with the presence of oil and gas installations are now certified for recovery of oil with flashpoints < 60°C. In addition to the two dispersant stockpiles in Malta and Cyprus (200 tonnes of dispersant each) created in 2015, two additional stockpiles were established in Sines, Portugal and Las Palmas, Canary Islands, Spain, in 2016. Equipment Assistance Service The new service to provide specialised stand-alone equipment (i.e. fire booms, trawl nets, integrated oil containment and recovery systems) can be used by Vessels of Opportunity. Following a request for assistance, 7 the equipment is ready to be shipped within twelve hours, excluding the transit time. The requesting party may choose one or more of the available stand-alone equipment sets, and can also hire technical support personnel to assist during the equipment hand-over. Following the conclusion of procurement procedures in 2015 to establish suitable EAS contractual arrangements in the North Sea and Baltic Sea, in 2016 EMSA implemented this new service in two equipment stockpiles, one in Aberdeen, UK, and one in Gdansk, Poland. For the purchase of the equipment, the framework contracts awarded in late 2015 to several equipment manufacturers were implemented. After the establishment of the two EAS arrangements, EMSA organised two training seminars, one for each of the two arrangements, with the purpose of presenting the EAS to the representatives of the EU Member States. The seminars took place on 15 September in Aberdeen (UK) and 5 October in Gdansk (Poland) and the general feedback was very positive on EMSA’s new established service and the approach to present it through such familiarisation seminars. Detailed information on the contracted vessels, EAS, and the areas covered at the end of 2016 can be found in the table below: Vessel type / Contractor / Vessel(s) / storage Area covered Service 2016 Contract Assets capacity(m3) / dispersant stock 1. Contracted vessels Arctia Icebreaking Ltd Expired on Northern Baltic Kontio Icebreaker / 2033 VAC 09/NEG/01/2009 Lot 1 13/04/2016 New service Stena Oil Southern Baltic Norden Oil Tanker / 2880 operational as of EMSA/NEG/1/2015 Lot 2 03/06/2016 Northern North James Fisher Everard Ltd Mersey Fisher, Product Tankers Sea EMSA/NEG/1/2013 Lot 1 Thames Fisher / 5028 / 5028  DC Industrial S.A. Hopper Dredger Channel and Interballast 3  2014/EMSA/NEG/1/2014 Lot 3.1 / 1886 Southern North DC Industrial S.A. DC Vlaanderen Hopper Dredger Sea  2014/EMSA/NEG/1/2014 Lot 3.2 3000 / 2744 James Fisher Everard Ltd Galway Fisher, Product Tankers Atlantic North  EMSA/NEG /1/2013 Lot 2 Forth Fisher / 4754 / 4754 Remolcadores Nossa Terra S.A. Offshore Supply Atlantic Coast Ria de Vigo  EMSA/NEG/1/2014 Lot 1 / 1522 Ibaizabal Bay of Biscay Monte Arucas Oil tanker / 2952  VAC NEG/01/2012 Lot 3 Oil Tanker / 7413 / Southern Atlantic Mureloil Bahia Tres Dispersant 200  Coast VAC NEG/1/2012 Lot 1 tonnes Oil Tanker / 3500 / New Service Canary Islands Petrogas Mencey Dispersant 200 started on and Madeira EMSA/NEG/1/2015 Lot 1 tonnes 15/07/2016 Contract Naviera Altube Monte Anaga Oil Tanker / 4096 renewed on Western EMSA NEG/1/2011 Lot 4 20/03/2016 Mediterranean Ciane Brezzamare Oil Tanker / 3288  EMSA/NEG/34/2012 Oil Tanker / 2800 / Contract Tankship Balluta Bay Dispersant 200 renewed on Central EMSA NEG/1/2011 Lot 2 tonnes 15/05/2016 Mediterranean SL Ship Management Ltd EMSA NEG/1/2012 Lot 2 Santa Maria Oil Tanker / 2421  8  Castalia Adriatic Sea Marisa N Oil Tanker / 1562  EMSA/NEG/1/2013 Lot 4 Environmental Protection Aktea OSRV Oil Tanker / 3000 Aegean Sea Engineering S.A. (Aegis I as a back- Offshore Supply /  EMSA/NEG/1/2013 Lot 3 up vessel) 950 Oil Tanker / 7458 / Eastern Petronav Alexandria Dispersant 200  Mediterranean EMSA NEG/1/2010 Lot 1 tonnes Bon Marine Ltd Contract expired Black Sea Enterprise Oil Tanker / 1374 EMSA NEG/1/2011 Lot 5 on 20/09/2016. Northern Black Petronav Amalthia Oil Tanker / 5154  Sea EMSA/NEG/1/2014 Lot 2 2. EAS arrangements Labelpoland.com 10 stand-alone Storage area: 800m2 Operational as Baltic Sea EMSA/NEG/8/2015 – Lot 2 equipment sets (Gdansk, Poland) of 9 June 2016 Operational as Sureclean / NRC 9 stand-alone Storage area: 600m2 North Sea of 4 August EMSA/NEG/8/2015 – Lot 2 equipment sets (Oldmeldrum, UK) 2016 Table 2 Summary of OPR services and contractual information at the end of 2016 3.1.2 Maintaining the Service: Drills and Exercises 3.1.2.1 Drills In order to maintain the appropriate level of readiness during the Stand-by Phase of the contracts, the companies and vessels concerned carry out different types of activities. The primary activity is the vessel/crew drills, which take place on a quarterly basis. Each drill verifies that the capability of the vessel and specialised equipment, and the skill of the crew, is at an appropriate level. These drills are primarily an internal event between the Agency and contractors, however Member State representatives and journalists have taken part in or attended such drills, and the Agency encourages such participation. In 2016, a total of 72 Quarterly Drills were performed by the vessels under contract to the Agency including three Acceptance Drills related to entrance of new contracted vessels in service and/or improvement projects were conducted. The Acceptance Drills are of particular importance as they are the major milestone for new vessels to enter into the Stand-by Phase of a contract. With regard to the EAS arrangements, the drills are called ‘Equipment Condition Tests’ (ECTs) and the contracts have defined a maximum number of six ECTs per year. In 2016, seven ECTs were conducted by EAS contractors in order to verify readiness and performance of the newly acquired stand-alone equipment. 9  90 80 7 70 3 6 10 8 60 4 8 8 50 ECTs 9 Acceptance drills 40 69 Quarterly drills 30 60 63 61 62 57 8 51 20 36 3 10 9 21 13 7 0 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Figure 2 Number of drills 2006 - 2016 Detailed information regarding drills conducted by EMSA contracted vessels in 2015 can be found in the “Network of Stand-by Oil Spill Response Vessels - Drills and Exercises Annual Report 2015” available online at http://emsa.europa.eu/oil-recovery-vessels/opr-documents/opr-reports.html - Drills and Exercises Report 2015. 3.1.2.2 Exercises In addition to the abovementioned drills, a range of exercises were conducted. These types of event are, in addition to being a useful method of maintaining pollution response skills, an important tool for identifying potential areas that could be improved. At-sea operational exercises in particular greatly assist the integration of EMSA’s resources within the response mechanisms of Member States, improving the necessary coordination and cooperation of the EMSA vessels with the coastal State response units. In the course of 2016, 12 EMSA stand-by oil spill response vessels participated in 10 at-sea operational exercises, organised in cooperation with EU Member States and/or Regional Agreements as well as with SAFEMED and TRACECA projects beneficiaries, in the Baltic Sea, Bay of Biscay, Atlantic Coast, Mediterranean Sea and Black Sea. The summary of operational exercises performed by EMSA contracted vessels during the 2016 is shown in the table below: N° Name Date Location Participating Parties EMSA vessel/s 1 RAMOGEPOL 27 April 2016 Monaco Monaco, France, Italy, Spain, EMSA Brezzamare 25-27 April Safemed III beneficiaries (Morocco host), 2 SIMULEX Nador, Morocco Monte Anaga 2016 EMSA 3 POLMAR 11 May 2016 Le Havre,France France, EMSA Interballast III 10  Golfe of Gascogne, 4 GASCOGNE 25 May 2016 France, EMSA Monte Arucas France TRACECA II beneficiaries, 5 TRACECA II 15 June 2016 Constanta, Romania Amalthia Romania, EMSA 6 BREEZE 15 July 2016 Burgas Bay, Bulgaria Bulgaria, Romania, Turkey, US, EMSA Enterprise 20-22 COPENHAGEN Parties to the Copenhagen Agreement 7 September Lysekil, Sweden Norden AGREEMENT (Sweden host), EMSA 2016 Balluta Bay and MALTA OPEN 8 4 October 2016 Valetta, Malta Malta, EMSA equipment from SHIP Santa Maria 12 October Cyprus, Greece, France, UK, Egypt, US, 9 NEMESIS 2016 Limassol, Cyprus Alexandria 2016 EMSA Bahia Tres ATLANTIC 20 October 10 Portimao, Portugal Portugal, Spain, EMSA POLEX.PT 2016 Monte Anaga Table 3 International Operational Exercises in 2016 Detailed information regarding international exercises with participation of EMSA contracted vessels can be found in the “Network of Stand-by Oil Spill Response Vessels - Drills and Exercises Annual Report 2016, available online at http://www.emsa.europa.eu/oil-recovery-vessels/opr-documents/opr-reports.html - Drills and Exercises Report 2016 3.1.2.3 Improvements to the Network Service The vessel Bahia Tres, contracted from Mureloil for the area of the southern Atlantic, was upgraded by installing dispersant application capability on board the vessel as well as setting-up a dispersant stock of 200 tonnes in Sines, Portugal. It should be noted, however, that for this vessel arrangement, the mechanical recovery capability will remain the primary response option. At the end of 2016, four vessel arrangements were equipped for seaborne dispersant application with associated dispersant stocks of 200 tonnes each, in Malta (Valletta), Cyprus (Limassol), Portugal (Sines) and Spain (Las Palmas). 11  Dispersant tank containers on board the Bahia Tres during sea trials (on the left) and dispersant stockpile in Sines, Portugal (on the right) Moreover, five Normar high capacity skimmers on board the vessels: Aktea OSRV, Santa Maria, Alexandria, Monte Anaga and Norden were upgraded in order to operate in hazardous areas with flashpoints < 60°C. Furthermore, in 2016 the Equipment Management Policy was implemented through a number of actions on several ageing equipment sets purchased in 2006-07. This included the overhauling of the equipment arrangement of the vessel Balluta Bay and the conclusion of a procurement procedure for the replacement of the boom sections on board the vessel Monte Anaga. 3.2 CleanSeaNet Satellite Service for Oil Spill Monitoring 3.2.1 Introduction CleanSeaNet, the European satellite based oil spill monitoring and vessel detection service, was launched in 2007. The service was set up to support Member States’ actions to combat deliberate or accidental pollution in the marine environment in the framework of Directive 2005/35/EC (amended by Directive 2009/123/EC) on ship- source pollution and on the introduction of penalties, including criminal penalties, for pollution offences and in particular Article 10. The service, based on a permanent monitoring of coastal waters through the near real time analysis of Earth Observation (EO) Synthetic Aperture Radar (SAR) images, is available to 28 coastal States: all of the 23 EU coastal Member States (Belgium, Bulgaria, Croatia, Cyprus, Denmark, Estonia, Finland, France, Germany, Greece, Ireland, Italy, Latvia, Lithuania, Malta, Netherlands, Poland, Portugal, Romania, Slovenia, Spain, Sweden, United Kingdom); two EFTA coastal States (Norway and Iceland); and three candidate countries (Turkey, Montenegro and Albania). During 2016, the service was also provided on a project financed basis to Greenland as well as the BES islands (Bonaire, Sint Eustatius, and Saba), located in the Dutch Caribbean. 12  10 11 Through the SafeMed and Traceca cooperation programmes, CleanSeaNet was made available across the Mediterranean, the Black Sea and the Caspian Sea to the official project beneficiary countries. When a potential spill is detected by the service, a pollution alert is sent to national authorities. The alerts are available within 30 minutes of the satellite acquiring the image and the service supports the identification of polluters by combining EO products with vessel traffic information. After receiving this information the national authority then decides on the appropriate operational response. In cases of accidental pollution, coastal States can request support from the service in the form of increased SAR satellite coverage over the accident area to enable the monitoring of the spill over time, thus providing support to response operations. Additionally EMSA can also provide very high resolution optical products in support to these emergency activations; these can provide an overview of the accident area and potentially help in the identification of coastal areas impacted by the spill. 3.2.2 CleanSeaNet detections in 2016 In 2016, in the 3,652 images delivered by the CleanSeaNet service as a whole (3,057 for coastal States; 228 for Greenland; 14 for the BES islands; 353 for the SafeMed and Traceca programmes), a total of 3,767 possible oil spills were detected of which 1,825 were Class A and 1,942 were Class B (see explanation below). Given the limitations of radar detection for the identification of spills, it is important to note that CleanSeaNet does not detect ‘oil spills’ but ‘possible oil spills’. Other substances with a similar effect include, for example, fish or vegetable oil, ice, algae, and other lookalikes. CleanSeaNet detections are separated into two classes:  Class A - the detected spill is most probably oil (mineral or vegetable/fish oil) or a chemical product;  Class B - the detected spill is possibly oil (mineral/vegetable/fish oil) or a chemical product. 10 www.emsa.europa.eu/implementation-tasks/training-a-cooperation/safemed-iii.html 11 www.emsa.europa.eu/implementation-tasks/training-a-cooperation/traceca-ii.html 13 Figure 3 CleanSeaNet 2016: map of (probable and possible) spills detected in coastal States alert areas, except French Outermost Regions and BES islands (Red: Class A; Green: Class B) Figure 4 CleanSeaNet 2016: map of (probable and possible) spills detected in French Outermost Regions and BES islands (Red: Class A; Green: Class B) 14  Figure 5 CleanSeaNet 2016: map of (probable and possible) spills detected in SafeMed and Traceca alert areas (Red: Class A; Green: Class B) The overall trend over the past decade has been a year-on-year reduction in the number of possible spills 2 detected per million km (1,000 km x 1,000 km) monitored, though in 2016 this trend reversed, with an increase in the number of possible spills detected. 15  3500 3311 12 Average number of detections per 1,000 km x 1,000 km 3168 3000 10.77 10 2423 2500 Number of detections 2141 2176 2145 8 2106 2069 2000 7.61 1766 6 1500 5.68 5.08 4.94 4.53 4 1000 3.89 3.42 3.32 2 500 0 0 Figure 6: CleanSeaNet 2008 – 2016: trends in possible pollution detected After a sharp decrease from 2008 to 2010 - which coincided with the economic downturn in Europe, as well as an increase in awareness of maritime pollution related issues and an improvement in the provision of port reception 2 facilities across the continent - the number of spills per million km continued decreasing at a lower rate, and, in 2016 increased. There are a number of possible reasons to explain the reverse in this trend:  It is likely that the inclusion of new satellites, particularly Sentinel-1A (see section 3.3.3), may have resulted in improved detection capabilities. The spatial resolution of Sentinel-1 means that it is now possible to detect much smaller spills than before; these smaller spills are more numerous and would not have been detected previously. The average size of spills detected in 2016 was 25% smaller than in 2 2 2015. In 2015 no spills below 0.1km were detected whereas this threshold decreased to 0.04 km in 2016.  Optimization of CleanSeaNet planning, due to use of new tools, increased the ratio of sea surface to land surface captured on the images in 2016.  To a lesser extent, an increase in shipping volume could have caused the increase in detections; the Eurostat chart below shows that following a slump in 2007-2008, there has since been a gradual increase in seaborne goods handled in European ports compared to 2015, coinciding with the fact that the EMSA SafeSeaNet system registered a 5% increase in the number of ships calls from 2015 to 2016, also indicating increased traffic. 16  Figure 7: Gross weight of seaborne goods handled in all ports (in million tonnes) 1997-201512 3.2.2.1 Support to Aerial Surveillance operations Countries that are members of the Bonn Agreement conduct aerial surveillance operations at regular intervals to monitor oil and gas platforms in the North Sea. In 2016, EMSA supported three “Tour d’Horizon” operations; an intended fourth operation was cancelled. Eight services were delivered to the aircraft crews or national centres supporting the operations. The Agency also provided additional satellite monitoring support during one Coordinated Extended Pollution Control Operation (CEPCO), organised by the Netherlands in September 2016, by providing one additional service. These are multilateral joint operations organised to monitor ship-source marine pollution in high-density traffic areas. One additional operational pollution response exercise - POLMAR, organised by France over the North Atlantic in September - was supported by CleanSeaNet. 3.2.3 CleanSeaNet service improvements In addition to RADARSAT-2, a polar orbiting SAR satellite jointly funded by the Canadian Space Agency (CSA) and MacDonald Dettwiler Associates (MDA), and Airbus’s TerraSar-X and TanDEM-X constellation, in 2016 EMSA also began delivering services from the European Space Agency (ESA) managed satellite Sentinel-1A. Based on preparations made in the previous year, Sentinel-1A was brought into operations for CleanSeaNet in April 2016. As usual when starting to use a new satellite, the initial volume of Sentinel-1A EO products ordered was low, but from the second half of 2016, ordering of these products increased considerably and it is expected to increase further in 2017. 12 From the Eurostat website: http://ec.europa.eu/eurostat/statistics- explained/index.php/File:Gross_weight_of_seaborne_goods_handled_in_all_ports_(in_million_tonnes)_1997-2015.png 17 Not only does this make the service more flexible, with a wider range of EO products available for users to choose from, but it is also more resilient as it ameliorates problems linked with reliance on an individual satellite as more missions are available. The Sentinel 1 data license is provided to EMSA free of charge; EMSA only pays service providers the near real time acquisition and additional processing required for the provision of the service. Integrated planning software that enables the visualization of information from multiple satellites; making it i.e. it is now easier for EO planners to quickly identify acquisition opportunities with any satellite and sensor combination, improving data planning and delivery. In parallel, a number of changes to the planning approach were agreed with users, introducing a more reliable long-term planning for CleanSeaNet satellite acquisitions. 3.3 Support to Coastal States and the Commission for Accidental Spills and Emergencies In 2016 no requests for additional support from EMSA´s CleanSeaNet service were received from coastal States addressing accidental spills and emergencies. 3.4 Utilising State of the Art Remote Sensing Technology for Oil Spill Detection, Monitoring and Response At its core, the CleanSeaNet service aims at applying state of the art technology in an efficient and effective manner to the detection of oil spills. Accordingly, EMSA is constantly following the development of new technology and its potential operational applicability. Within that framework, Remotely Piloted Aircraft Systems (RPAS) have been identified as relevant for remote sensing activities as a complementary tool to satellite imagery. RPAS with an on-board sensor array can support 1) monitoring and detection of illegal discharges, as well as 2) at-sea response and coastal clean-up operations: 1. For monitoring and detecting illegal discharges, RPAS can provide:  Onsite operational information, e.g. utilising a thermal infra-red camera to identify the size and shape of a slick which is complementary to that gathered by the satellite-based CleanSeaNet service.  Complementary onsite identification of the source of the slick, e.g. through electro- optical/infra-red cameras and AIS transponders, to identify potential polluters and gather imagery of the slick and vessel. The combination of the Near-Real-Time (NRT) delivery of satellite radar images to a Member State authority with subsequent RPAS overflight could provide real-time streaming of on-site operational information i.e. confirmation of an oil spill and/or identification of a potential polluter with court mandated/recognised technology. This is a cost effective solution for efficient marine pollution monitoring and the associated identification of potential polluters. 2. For supporting at-sea response and coastal clean-up operations RPAS can:  Identify “hot spot” areas as well as providing real time feedback on the efficiency of the clean-up activities.  Stream data from different sensors, i.e. thermal infra-red or electro-optical cameras or AIS information, “live” to the people responsible for coordinating the clean-up operations. Such real time information can greatly facilitate the decision making process regarding the efficient and effective deployment of response resources. Recognising the technological maturity of RPAS, the Agency has taken a number of important steps in making the technology available to Member States for operational usage. Following a procurement phase, EMSA has contracted towards the end of 2016 a number of RPAS service providers. Through these contracts, EMSA will organise and provide RPAS operational services to support Member States focusing on marine pollution detection and monitoring as well as ship emission monitoring as of 2017. The RPAS service and acquired information (data flows) are provided free of charge to Member States, Iceland, Norway and the European Commission, i.e. the service is paid, via EMSA, from the EU budget. 18 During a deployment, the RPAS will be under the operational command of the relevant Member State. Actual flight control and management will be undertaken by qualified pilots from the RPAS service provider. The EMSA service is scalable and flexible (subject to available budget) and therefore can provide support to different Member States at the same time through the variety of service providers and RPAS contracted. This is an important aspect, as a number of Member States have already expressed their official interest in the RPAS service. Currently in the set-up phase, the service will be operational during the first half of 2017. In parallel, an RPAS Data Centre is being developed to exploit in depth the information/data obtained through the abovementioned different operations. Of significance for the users concerned, the Data Centre will combine the RPAS data with other sources of maritime related information already available through EMSA. The RPAS Data Centre is expected to be operational during the second half of 2017. Chapter 4: Cooperation and Coordination 4.1 Introduction The work of the Consultative Technical Group for Marine Pollution Preparedness and Response (CTG MPPR) continued in 2016. EMSA also continued its cooperation with the pollution response experts of EU Member States, EFTA/EEA coastal Countries, EU Candidate Countries, the Regional Agreements Secretariats, the Commission (DG ECHO) and, on behalf of the Commission, with the International Maritime Organization (IMO). 4.2 Activities with regard to Cooperation 4.2.1 Pollution Response Services User Group (PRS UG ex VUG) th The 6 Pollution Response Services User Group (previously called Vessel User Group) meeting took place on 20 October 2016 at EMSA’s premises in Lisbon, Portugal. Recent developments on all of EMSA’s Pollution Response Services were presented and discussed in detail. Lessons learnt from recent incidents and exercises, how to enhance cooperation and other relevant developments at national level were also discussed by the group, with several follow-up actions agreed in view of the next PRS User Group Meeting, which will take place on 18 October 2017. 4.2.2 Cooperation within the Consultative Technical Group for Marine Pollution Preparedness and Response The CTG MPPR provides an EU level platform for Member States to contribute to the improvement of preparedness and response to accidental and deliberate pollution from ships. The CTG MPPR is intended to facilitate and strengthen the exchange of information, views and opinions, share best practice and define the current and future priority actions in this field among the EU national experts, as defined in its Rolling Work Program. This is done through dedicated workshops, training, technical studies, guidelines and reports. th The status of ongoing priority actions and planned activities was reviewed at the 10 CTG MPPR meeting held on 3 March 2016. There was strong support to continue with the Group’s four ongoing projects, listed below, providing added value at European level. A new proposed action with regard to establishing an expert group to address issues related to hazardous and noxious substances (HNS) was also approved by the Group. It was agreed that the next CTG MPPR meeting should be held in early 2017. With regard to the ongoing CTG MPPR projects, the following actions were undertaken in 2016: - Oil Spill Sampling and the work of the OSINet group of experts Following a request at the CTG MPPR to facilitate the exchange of knowledge and best practice on oil spill sampling and oil fingerprinting, a workshop was held on 2 March 2016 in Lisbon for EU experts on “oil fingerprinting and the work of the Oil Spill Identification Network (OSINet)”. Recognising the importance of oil sampling and oil fingerprinting in the oil spill response chain, a new correspondence group (CG) was established under the CTG MPPR to develop a training curriculum on oil sampling and practical Guidelines on oil spill sampling and oil identification, based on the OSINet experience and expertise. The CG began its work in 2016, under the lead of Germany. 19  - Claims Management The Claims Management Working Group (CMWG) continued its work in 2016 in updating the “EU States Claims Management Guidelines”. It also organised a Claims Management workshop at EMSA’s premises on 6 October, to review these updates and to facilitate at EU level the exchange of expertise and best practices in the processes of cost recovery and claims management following maritime incidents. - Surveillance training th EMSA organised under the CTG MPPR Framework the 5 Training course on “The Use of Surveillance Systems for Marine Pollution Detection and Assessment” on 2930 November 2016. This training has an operational focus and is provided by experts from EU/EFTA national administrations, aiming to share national experiences among aerial surveillance operators. - EMPOLLEX The EMSA Marine Pollution Expert Exchange Programme (EMPOLLEX) was launched to promote the exchange of best practices and to enhance contacts, networking and cooperation between Member States in the field of marine pollution. In 2016, three exchanges took place under the EMPOLLEX Programme, with very positive feedback received from the experts undertaking the exchange, as well as from the operational centres hosting the experts. 4.2.3 Cooperation with Third Countries From the operational perspective and through the SAFEMED and TRACECA cooperation programmes and associated dedicated budgets (not through the APM budget), CleanSeaNet was made available to the official beneficiary countries across the Mediterranean, the Black Sea and the Caspian Sea. Under the framework of the SAFEMED III project, the Agency donated selected oil spill response equipment (one Skimmer set and one Boom set with power packs) to Tunisia after a call for interest in order to enhance the pollution response capacities in the Mediterranean Sea basin. To ensure that the donated equipment could be further used, EMSA provided through the equipment manufacturer, commissioning and training services to the relevant crew members in the beneficiary country. This project was completed in November 2016. SIMULEX 2016 antipollution exercise took place on 25-26 April 2016 in Nador (Morocco). Within the context of SAFEMED III Project, EMSA supported Moroccan Authorities in the exercise with the deployment of the vessel Monte Anaga. The event included a guided visit to the EMSA’s contracted vessel for SAFEMED beneficiaries and Moroccan Authorities. Within the context of TRACECA II Project, EMSA organised an exercise on 15-16 June 2016 in Constanta (Romania). The objective of the exercise was to give the opportunity to TRACECA beneficiaries to increase their awareness of the pollution response services offered by the Agency. The event included a seminar and a visit to the EMSA contracted vessel Amalthia. Similarly in the margins of the Malta Maritime Summit, an open ship day was organised by EMSA to show the chartered oil spill response vessel Balluta Bay. Representatives of the Barcelona Convention Contracting Parties attended this event together with the IMO Secretary General. 4.2.4 Technical Assistance to the European Commission The Common Emergency Communication and Information System (CECIS) for marine pollution was further developed by DG ECHO in 2016. EMSA developed the revised resource tree of CECIS for response capacities and experts, in order to make it more user friendly. In addition, the Agency regularly updates the information on its pollution response vessels, stand-alone equipment and dispersant stockpiles in the CECIS database. EMSA supported DG ECHO and the training consortium in the development of course contents and training curricula for the Technical Expert Course for Maritime Incidents (TEC-MI). The prime objective of the TEC-MI is to prepare maritime experts for interventions and deployments in an affected country as part of a Union Civil Protection Mechanism (UCPM) Team. 20 4.2.5 Cooperation with Regional Agreements and the International Maritime Organization With respect to the Regional Agreements, the Agency also provides technical support to the European Commission, and participates as part of the European Union delegation in the technical and operational meetings of these Agreements. For example, EMSA participates in the annual Operational, Technical and Scientific Questions Concerning Counter Pollution Activities (OTSOPA) meetings of the Bonn Agreement, in the HELCOM Response Group (two meetings in 2016), and is also a member of the HELCOM Informal Working Group on Aerial Surveillance (IWGAS), which meets once a year. In 2016, the Agency also participated in MEDEXPOL in the framework of the Barcelona Convention. EMSA contributes to these meetings by submitting papers, participating in discussions and also by involvement in the various operational exercises organised around Europe. Representatives from the Bonn Agreement, HELCOM and Black Sea Commission Secretariats, REMPEC, the Lisbon Agreement, the Copenhagen Agreement, RAMOGEPOL, as well as the Chairpersons of the technical working groups OTSOPA and HELCOM Response, along with DG ECHO and EMSA representatives met in th London in February 2016 for the 12 annual Inter-Secretariat meeting. These meetings focus on exchanging information on marine pollution preparedness and response activities and projects undertaken within the various Regional Agreements, while promoting the dissemination of best practices in this field. The IMO re-organised its plenary meetings in 2013, as a result of which, the Oil Pollution Preparedness, Response and Cooperation Hazardous and Noxious Substances (OPRC-HNS) Technical Group was discontinued as a separate group. The work of the Group is now undertaken under the umbrella of the Pollution Prevention and Response subcommittee (PPR), which meets annually. EMSA participated, as part of the European Union delegation, in the third session of this subcommittee during the relevant days. 4.2.6 Cooperation with industry and other stakeholders EMSA engaged with the International Oil Pollution Compensation Funds (IOPCF) and the International Group of Protection and Indemnity Clubs (IGPI) to develop a MoU that covers the methodology for the calculation of EMSA’s vessel and equipment hire rates and charges as well as dispersant charges. It is expected that the MoU will be finalised and signed in early 2017. The Agency continues to support the major marine pollution conference and exhibition event in Europe, 13 INTERSPILL, as a member of the event’s organising Committee , recognising the importance of sharing spill response experience and disseminating best practice. In view of the 2018 INTERSPILL event, EMSA continues to be active in the Steering Committee and the Conference Programme Committee planning. 13 Since 2007, EMSA has been a party to the MoU between the event’s Steering Committee members to organise the conference and exhibition on a “not-for-profit” basis. 21 Chapter 5: Information 5.1 Introduction As part of its support to EU and EFTA/EEA Member States, EU Candidate Countries and the EU Commission, the Agency continued collecting and disseminating information in the field of marine pollution preparedness and response to oil and chemical spills. 5.2 Activities with regard to Hazardous and Noxious Substances (HNS) 5.2.1 MAR-ICE Network: Information Service for Chemical Emergencies The MAR-ICE service, based on an agreement signed between the three MAR-ICE parties (Cedre, Cefic and EMSA), comprises a network of experts to support and advise Member States during the response to chemical spills. In 2016, the MAR-ICE service was activated on three occasions in the context of exercises. 5.2.2 MAR-CIS datasheets (MARine Chemical Information Datasheets) The MAR-CIS Marine Chemical Information Sheets are datasheets of chemical substances that contain relevant information for responding to marine spills of hazardous and noxious substances (HNS). These datasheets provide concise information on the substances' physical and chemical properties, handling procedures and emergency spill response procedures, as well as maritime transport requirements for safe transport at sea. Since December 2016, the MAR-CIS information is available through a web portal integrated in EMSA’s Maritime Application Portal. In addition, the datasheets are linked to the SafeSeaNet’s Central Hazmat database (CHD). The aim is to broaden the dissemination of MAR-CIS information and to facilitate the release of database updates. 5.2.3 Environmental data for predicting the trajectory and fate of oil and HNS spills In view of maintaining the operation of modelling software for predicting the trajectories of oil and chemical spills at sea, EMSA re-acquired access to online wind and current forecast information. This data automatically feeds existing in-house modelling software. The output is commonly used as a decision support tool for drills, exercises, training and contingency planning for mobilising and optimising the deployment of pollution response means. The information is intended for EMSA management and the European Commission upon request. In 2016, the modelling software was used to predict the drifting of an oil spill detected by a CSN (CleanSeaNet) satellite image near the Shetland Islands, Scotland. The polygon of the oil slick detected by satellite image was inserted in the software and used as a spill source. In addition, during the NEMESIS Notification Exercise (11 October 2016), the oil spill modelling software was used to estimate if the spill was going to reach the Cypriot coast. 5.3 Activities with regard to dispersants 5.3.1 New version of DUET Following the completion of the enhancement of EMSA’s Dispersant Usage Evaluation Tool (DUET), hands-on training was provided to EU and EFTA coastal Member States and coastal EU Candidate Countries representatives on the tool’s new features and functionalities at EMSA premises. The enhanced DUET includes an improved Graphical User Interface and a revised oil database as well as new options to simulate sub-sea releases and to simulate a well blowout at the seabed. The DUET technical documentation was also revised and updated. DUET is a numeric model that simulates oil spills and dispersant applications. It estimates the water concentrations of naturally - and chemically - dispersed oil and dissolved hydrocarbons, as well as the surface area impacted by floating oil. The DUET tool was subsequently provided to the EU/EFTA coastal state CTG MPPR contacts as well as the training participants. 5.4 List of Member States’ pollution response capacities As part of the Agency’s tasks to “maintain a list of the public and, where available, private pollution response mechanisms and associated response capabilities in the various regions of the Union” as defined by Regulation 22 (EU) No 911/2014, EMSA published the updated information for the “Inventory of EU Member States Oil Pollution Response Vessels” on its website in 2016. Annex: Total Expenditures for Pollution Preparedness and Response Activities 14 Commitments Payments Total Expenditures for Pollution Preparedness and Response ActivitiesColumn1 (in EUR) (in EUR) Network of Stand-by Oil Spill Response Vessels TOTAL 9,024,626 11,371,232 Contracts 2011 (Southern Black Sea, Bay of Biscay, Central 0 636,381 Mediterranean Sea) Contracts 2012 (Bay of Biscay, Atlantic, Central Mediterranean 0 1,584,583 Sea) Contracts 2013 (Western Mediterranean Sea, Adriatic Sea, 0 3,031,941 Aegean Sea, Atlantic North, Northern North Sea, North Baltic) Contracts 2014 (Atlantic Coast, Northern Black Sea, North Sea / 0 2,307,161 Channel - 2 Lots) Contracts 2015 (Southern Baltic, Canary Islands and Madeira, 0 1,988,558 renewal Eastern Mediterranean) Contracts 2016 (Southern Black Sea, renewals Central 7,653,404 1,058,392 Mediterranean Sea, Western Mediterranean) Improvements (OPR equipment purchase, transportation, 1,371,222 764,214 storage, overhauling and upgrade, insurance and labelling costs) Equipment Assistance Service 5,550,060 5,914,826 Oil and Gas installations (dispersants and sea-borne 1,067,240 1,069,240 spraying capability) 14 These figures cover fresh credits only (C4 or C5 commitment and payment appropriations are not included). 23 Exercises 169,882 169,882 Earth Observation Licenses and Services 3,527,593 3,059,400 Support to CleanSeaNet Users 35,000 28,377 CleanSeaNet Service Developments 771,277 279,271 Remotely Piloted Aircraft System 179,246 0 Cooperation and Coordination Meetings 150,599 58,712 HNS Information and activities 128,651 177,994 Related missions of EMSA Staff 125,000 91,915 TOTAL utilised 2016 20,729,174 22,220,849 TOTAL authorised 2016 21,600,000 22,500,000 24 Ref. Ares(2017)2894661 - 09/06/2017 Lisbon, 9 June 2017 To: Presidency of the Council of the European Union Mr Donald Tusk, President of the European Council Mr Antonio Tajani, President of the European Parliament Mr Alexander Italianer, Secretary-General of the European Commission Mr Klaus-Heiner Lehne, President of the European Court of Auditors Members of the Administrative Board of EMSA Subject: transmission of the EMSA Consolidated Annual Activity Report 2016 Dear Sir/Madam, As foreseen by Regulation (EC) No 1406/2002, as amended, Regulation (EU) No 911/2014, and the EMSA Financial Regulation, I am very pleased to enclose herewith on behalf of the EMSA Administrative Board the Consolidated Annual Activity Report of the European Maritime Safety Agency for the year 2016, together with its assessment. I invite you to contact me should you wish to receive any additional information. Yours sincerely, Frans Van Rompuy Chairman of the Administrative Board cc: Chairman, Committee on Transport and Tourism ([email protected]) Chairman, Committee on Budgets ([email protected]) Chairman, Committee on Budgetary Control ([email protected]) Mr Matej Zakonjšek, Head of Cabinet of Commissioner Violeta Bulc in charge of Transport Mr Henrik Hololei, Director General, DG MOVE Ms Magda Kopczynska, Director, DG MOVE Ms Nadia Calviño, Director General DG BUDG Mr Manfred Kraff, Director General, DG Internal Audit Service Mr Philippe Renaudière, Secretariat General, Data Protection page 1 of 1