Information to be provided by companies
1. Companies shall provide the verifier with their ship’s monitoring plan in accordance with the template set out in the Commission Implementing Regulation (EU) 2024/2031 ( 4 ) . Where the monitoring plan is in a language other than English, they shall provide an English translation.
2. Companies shall complement the control system and the data gaps procedure to include the additional data to be monitored and reported pursuant to Regulation (EU) 2023/1805.
3. Before the start of the assessment of the monitoring plan, the company shall also provide the verifier with at least the following information:
(a)
relevant documentation or descriptions of the ship’s installations, including: fuel consumption certificates; flow meters used; ice class information; information about other sources of energy; and procedures and processes or flowcharts prepared and maintained outside the monitoring plan to which reference is made in the monitoring plan, including procedures for data-flow activities and control activities referred to in paragraph 2;
(b)
the risk assessment referred to in Part C, point 1, of Annex I to Regulation (EU) 2015/757 of the European Parliament and of the Council ( 5 ) , complemented as appropriate, an outline of the overall control system, and additional data as referred to in paragraph 2;
(c)
in the event of the changes to the monitoring and reporting system referred to in Article 9(2), points (b), (c) and (d), of Regulation (EU) 2023/1805, updated versions or new documents enabling the assessment of the amended monitoring plan;
(d)
copy of the FuelEU document of compliance where previously issued and the Safety Management Certificate issued in accordance with the International Management Code for the Safe Operation of Ships and for Pollution Prevention (SOLAS 74, Chapter IX);
(e)
copy of the Continuous Synopsis Record issued in accordance with SOLAS 74, Chapter XI-1, Reg. 5.
4. The company shall, upon request, provide any other information deemed relevant to assess its monitoring plan.
Assessment of monitoring plans
1. When assessing the monitoring plan, the verifier shall address the assertions of completeness, accuracy, relevance and conformity of the information provided in the monitoring plan with Regulation (EU) 2023/1805.
2. The verifier shall at least:
(a)
assess that the company used the appropriate monitoring plan template and that information is provided for all mandatory items referred to in Article 8 and 9 of Regulation (EU) 2023/1805 and in the Implementing Regulation (EU) 2024/2031;
(b)
ensure that the shipowner is identical to the registered owner recorded under the IMO Unique Company and Registered Owner Identification Number Scheme;
(c)
ensure that the country of registration of the company is identical to the one recorded under the IMO Unique Company and Registered Owner Identification Number Scheme;
(d)
verify that the company is the appropriate one;
(e)
verify that the information in the monitoring plan accurately and completely describes the following:
—
the fuel;
—
other sources of energy, such as wind-assisted propulsion and batteries;
—
measurement equipment installed on board the ship;
—
the systems and procedures in place to monitor and report relevant information pursuant to Regulation (EU) 2023/1805;
(f)
ensure that appropriate monitoring arrangements are provided for if the company asks that the additional energy used due to the ship’s ice class or due to sailing in ice conditions, or both, be excluded from the calculation of the compliance balance set out in Annex IV to Regulation (EU) 2023/1805;
(g)
where applicable, assess whether the information submitted by the company regarding elements, procedures or controls implemented as part of the ship’s existing management systems or covered by harmonised quality, environmental or management standards is relevant for monitoring fuel consumption, other relevant information and reporting pursuant to Regulation (EU) 2023/1805.
3. For the purposes of assessing the monitoring plan, the verifier may resort to inquiry, document inspection, observation and any other audit technique deemed appropriate.
Site visits
1. The verifier shall carry out site visits in order to gain sufficient understanding of the procedures described in the monitoring plan and validate that the information therein is accurate.
2. The verifier shall determine the location or locations of the site visit, taking into consideration the place where the critical mass of relevant data is stored, including electronic or hard copies of documents, and the place where data-flow activities and control activities are carried out.
3. The verifier shall also determine the activities to be performed and the time needed for the site visit.
4. The company shall provide the verifier with access to its sites, including to its relevant onshore locations and the relevant ship.
5. The verifier may carry out a virtual site visit provided that one of the following conditions is fulfilled:
(a)
the verifier has sufficient understanding of the ship’s monitoring and reporting systems, including their existence, implementation and effective operation by the company;
(b)
the nature and level of complexity of the ship’s monitoring and reporting system are such that a physical site visit is not required;
(c)
the verifier is able to obtain and assess all requisite information remotely;
(d)
where serious, extraordinary and unforeseeable circumstances, outside the control of the company, prevent the verifier from carrying out a physical site visit and where those circumstances cannot, after using all reasonable efforts, be overcome.
The verifier shall take measures to reduce the verification risk to an acceptable level to obtain reasonable assurance that the monitoring plan is in conformity with Regulation (EU) 2023/1805.
The decision to carry out a virtual site visit shall be made after determining that the conditions for carrying out a virtual site visit are met. The verifier shall inform without undue delay the company of the decision to carry out a virtual site visit and that the conditions for carrying out a virtual site visit are met.
6. The verifier may waive a site visit or a virtual site visit as referred to in paragraphs 1 and 5 respectively, provided that the conditions laid down in paragraph 5, points (a), (b) and (c), are cumulatively fulfilled.
The verifier shall take measures to reduce the verification risk to an acceptable level to obtain reasonable assurance that the monitoring plan is in conformity with Regulation (EU) 2023/1805.
The decision to waive a site visit shall be made after determining that the conditions for waiving site visits are met. The verifier shall inform the company thereof without undue delay.
7. A site visit as referred to in paragraphs 1 and 5 shall not be waived in either of the following situations:
(a)
when the monitoring plan of a ship is assessed for the first time by the verifier;
(b)
where, during the reporting period, there have been modifications to the monitoring plan as referred to in Article 9(2), points (b), (c) and (d), of Regulation (EU) 2023/1805.
8. Where the verifier carries out a virtual site visit pursuant to paragraph 5, or waives a site visit or a virtual site visit pursuant to paragraph 6, it shall provide due justification in the internal verification documentation.
Addressing non-conformities in the monitoring plan
1. Where the verifier identifies non-conformities in the course of the assessment of the monitoring plan, it shall inform the company thereof without undue delay and request relevant corrections within a proposed timeframe.
2. The company shall correct all non-conformities communicated by the verifier and submit a revised monitoring plan to the verifier for reassessment in accordance with the timeframe referred to in paragraph 1.
3. The verifier shall document in the internal verification documentation, marking them as resolved, all non-conformities that have been corrected in the course of the assessment of the monitoring plan.
Independent review of the assessment of the monitoring plan
1. The verification team shall submit the internal verification documentation and draft conclusions from the assessment of the monitoring plan to an appointed independent reviewer without delay and prior to communicating them to the company.
2. The independent reviewer shall perform a review to ensure that the monitoring plan has been assessed in accordance with this Regulation and that due professional care and judgment have been exercised.
3. The scope of the independent review shall encompass the complete assessment process described in this section and recorded in the internal verification documentation.
4. The verifier shall include the results of the independent review in the internal verification documentation.
Verifier’s conclusions on the assessment of the monitoring plan
On the basis of the information collected during the assessment of the monitoring plan, the verifier shall without delay provide the company in writing with the conclusions reached. The conclusions shall include the following elements:
(a)
one of the following outcomes of the assessment:
—
the monitoring plan is in compliance with Regulation (EU) 2023/1805;
—
the monitoring plan contains non-conformities and hence is not in compliance with Regulation (EU) 2023/1805;
(b)
a summary of the verifier’s procedures, including information regarding site visits, reasons for conducting virtual site visits, or the reasons for waiving site visits;
(c)
where a monitoring plan is assessed following changes to the monitoring plan as referred to in Article 9(2) of Regulation (EU) 2023/1805, a summary of those changes during the reporting period concerned;
(d)
a description of uncorrected non-conformities, if any, and any other relevant element found in the course of the assessment of the monitoring plan.
Source: EUR-Lex (Publications Office of the EU), © European Union, reuse permitted under Commission Decision 2011/833/EU.
