Implementation of River Information Services in Europe
Title of Report
Awareness Paper
Sub-Activity
International data
exchange in the area of
inland navigation
Version
Version 5 (final)
Date of version
Date: December 20, 2010
Status
public
Main authors
RWS
Dominic Jarvis
This project is co-funded by the European Commission / Directorate General for Energy and
Transport within the “Trans European Networks – Transport” programme
International data exchange in the area of inland navigation
Awareness Paper
Document History:
Version
Comments
Date
Authorised by
1
2
3
4
5
Input by Mr. Birklhuber, Ms. Schaefer, Mr. Marton
Input by Mr. Birklhuber, Ms. Schaefer
Input by Mr. Birklhuber, Ms. Schaefer
Version provided to IRIS II PMT
Final version approved by IRIS II PMT
11 October
3 November
23 November
29 November
20 December
Van Bockel
Van Bockel
Van Bockel
Van Bockel
PMT
Contributing author(s) of the Document:
Organisation(s)
Author(s)
RWS/SVC
BMVIT
Dominic Jarvis
Bernd Birklhuber
This publication has been produced with the assistance of the European Union. The content of this
publication is the sole responsibility of the IRIS Europe II project consortium and can in no way be
taken to reflect the views of the European Union.
IRIS Europe II
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International data exchange in the area of inland navigation
Awareness Paper
Table of Content
Executive summary ................................................................................................................................. 5
1
Background .................................................................................................................................... 7
2
Observations .................................................................................................................................. 8
2.1
International Data Exchange ................................................................................................... 8
2.1.1
RIS Services .................................................................................................................... 8
2.1.2
ENI & data for the identification of the vessel ................................................................. 9
2.2
Personal Data Protection ...................................................................................................... 10
2.2.1
RIS Services .................................................................................................................. 10
2.2.2
ENI & data for the identification of the vessel ............................................................... 11
2.3
Harmonised Approach .......................................................................................................... 11
2.3.1
RIS Services .................................................................................................................. 11
2.3.2
ENI & data for the identification of the vessel ............................................................... 12
3
Summary ...................................................................................................................................... 12
4
Recommendations........................................................................................................................ 13
4.1
General .................................................................................................................................. 13
4.2
RIS Services.......................................................................................................................... 13
4.3
ENI & data for the identification of the vessel ....................................................................... 13
4.4
Personal Data Protection ...................................................................................................... 13
4.5
Pilot Projects ......................................................................................................................... 14
Annex I:
Legal Provisions wrt data requirements ............................................................................ 15
Annex II:
Legal Framework............................................................................................................... 19
Annex III: Services depending on International Data Exchange ....................................................... 26
Annex IV: Status of Implementation .................................................................................................. 29
Annex V: Data exchange with third countries – Inventory reference documents ............................. 31
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Abbreviations
AIS
CCNR
EC
EDI
EEA
ENI
ERI
ERINOT
EU
IRIS Europe (II)
PAXLST
PIANC
PLATINA
R2D2
RIS
RISING
UNECE
IRIS Europe II
Automatic Identification System
Central Commission for the Navigation of the Rhine
European Commission
Electronic Data Interchange
European Economic Area
Unique European Vessel Identification Number
Electronic Reporting International
Electronic Reporting Notification Message
European Union
Implementation of River Information Services in Europe
ERI message - Passenger and crew lists
Permanent International Commission for Navigation Congresses
Platform for the implementation of NAIADES
RIS Data Exchange Reference Documentation
River Information Services
7th Framework Programme project co-financed by DG MOVE
United Nations Economic Commission for Europe
This project is co-funded by the European Commission
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International data exchange in the area of inland navigation
Awareness Paper
Executive summary
During the preparation of on-going and planned pilot projects for both River Information Services
(RIS) and inland vessel certification purposes it has been noted by a number of EU Member States
that international data exchange between EU Member States and, where applicable, between EU
Member States and third countries, is hampered by current EU legislation. Key factors herein are that
current EU legislation does not provide:



a coherent and transparent regime for data exchange across Europe in that data elements to be
exchanged for “cross-border” purposes according bilateral agreements between neighbouring
States may vary;
a sufficient legal basis for international data exchange between non-adjacent Member States with
respect to voyage and cargo data;
a sufficient legal basis for international data exchange in support of a European Hull Database.
The varied transposition by EU Member States of EU legislation on personal data protection into
national legislation and/or interpretation thereof in relation to a specific technical Directive, is
considered a major obstacle in achieving a coherent and transparent regime for international data
exchange.
This Awareness Paper sets out a number of observations related to international data exchange for
RIS services and for ENI and vessel certification data with the emphasis placed on the relevance of
personal data protection hereto and the need for a harmonised approach. In addition this Paper sets
out recommendations to redress these issues and establish support for the furtherance of the pilot
projects. The focus is placed on the perceived challenges stemming from personal data protection
legislation. The Annexes provide supporting text on the current legal provisions and framework, RIS
services deemed to require international data exchange, the status of implementation and
background information from other sectors with respect to setting up arrangements for cooperation
and/or data exchange with third countries based on EU legislation.
It should be noted that this paper only deals with the specific concerns mentioned here above. The
RIS Directive requires “continuity with other modal traffic management services” and further
challenges are faced now and in the near-future for RIS authorities in response to the growing
emphasis on cross-sector cooperation and harmonisation in reporting and data exchange as
demonstrated in, for example, the recent Reporting Formalities Directive (2010/65/EC), the
emergence of the e-Maritime and e-Freight initiatives and maritime surveillance pilots, all of which
make direct reference to inland waterway transport. These and other issues have been dealt with
separately in a Discussion Paper of the ERI Expert Group (October 2010). It is inevitable that a
concerted action will be required to strengthen the existing legislation to meet these needs.
Major findings
The present EU legal framework on:
 Hull data - allows for informing between EU Member State competent authorities for assigning
ENIs (use of EDI not mentioned in Directives, only Commission Regulation 164/2010), but not
with competent authorities of other Member States or third countries unless an administrative
agreement has been made per instance. However, current EU legislation on personal data
protection has been transposed into national legislation in different ways and this has led to the
situation whereby not all EU Member States are able to participate in European hull data
exchange, for example Germany who has stated that they would require an additional EU legal
framework to facilitate this data exchange. The “neutral” referral to general EU legislation on
privacy may effectively hamper the wider goals within the context of a specific Directive
 Voyage and cargo data – requires for data exchange between neighbouring EU Member States,
but does not mention exchange with non-adjacent EU Member States and third countries. “Crossborder” data exchange is arranged through bilateral agreements and the data exchanged may
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International data exchange in the area of inland navigation


Awareness Paper
vary per agreement according the data to be reported per EU Member State. This results in the
need for some EU Member States to request parties to resubmit data.
Position data – does neither require for data exchange between neighbouring EU Member States
nor to non-adjacent EU Member States and third countries.
Calamity abatement - does neither require for data exchange between neighbouring EU Member
States nor for non-adjacent EU Member States and third countries.
Recommendations
 Hull data – an amendment to 2006/87/EC to allow for the establishment of a European Hull Data
Base will be prepared by the EC (During the IRIS Europe II Steering Committee meeting of 7
November 2010, the European Commission has indicated to propose this amendment). The
amendment should cover a provision for data exchange between EU Member States and
between EU Member States and third countries. It is to be noted that provisions for hull data
exchange with third countries would require particular attention regarding assurances on privacy
legislation.
 Voyage and cargo data – The EU Member States and the EC should commonly agree whether
data exchange between other than neighbouring countries, i.e. with non-adjacent EU Member
States and third countries, should be established. In addition and in consideration hereof, it is
necessary to address the issue of coherency of data exchange as provided for in the different
“cross-border” bilateral agreements. Without the same terms and conditions the protection of
privacy and the goal of a transparent European inland waterway transport may be impeded.
 Position data – EU Member States and the EC should commonly decide/agree whether data
exchange between EU neighbouring countries, as well as non-adjacent EU Member States and
third countries should be established.
 Calamity abatement - EU Member States and the EC should commonly decide/agree whether
data exchange between EU neighbouring countries as well as non-adjacent EU Member States
and third countries should commonly
Recommendation for ongoing pilot projects relating European Hull data base international
exchange of vessel position and electronic reporting data:
The EU Member States and the EC provide for a clear statement stating whether or not the
establishment of a European Hull database and for the international exchange of position and
electronic reporting data are reasonable tools to achieve the goals of the RIS Directive, including the
underlying Commission Regulations (No 414/2007, 415/2007 & 164/2010).
There is no common position of all Member States concerned whether or not additional exchange of
data is needed and if so to what extent. With respect to international exchange of position and
electronic reporting data, the interests of not only authorities but also the logistic and shipping industry
have to be considered.
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1 Background
1. This Awareness Paper has the aim to highlight the perceived restrictions and/or limitations in the
current EU legislative framework1 towards international data exchange which ultimately hinder the
continued implementation of RIS and development of international data exchange regarding
vessel identification numbers and certification data.
2. The following observations are also centred on the need to clarify legislation with respect to
international data exchange in anticipation of pilot activities in a number of EU projects. The
observations, which are supported through the annexes, ultimately lead to recommendations for
further action.
3. The paper was written as the execution of pilot projects relating to cross border data exchange
confront legal experts with many difficult and different procedures on how to accommodate the
various national and EU legal requirements.
4. The services and functionality attributed to River Information Services (RIS) are taken into
consideration, as well as recognition of the various initiatives and technical developments towards
the furtherance of these RIS services, which may ultimately rely on international data exchange.
(Services depending on cross-border and international data exchange and their status of
implementation are provided for hereafter in Annex III and Annex IV respectively)2. Some
research has been conducted on data exchange with third countries, e.g. experience gained in
maritime sector. No firm conclusions could be drawn from this research as yet for inclusion in the
Awareness paper. This needs more in depth study. Annex V provides an insight into the research
conducted.
5. The River Information Services (RIS) concept is aimed at the implementation of harmonised
information services in order to support the planning and management of traffic and transport
operations. RIS streamlines information exchange between public and private parties participating
in inland waterborne transport3. The information is shared on the basis of information and
communication standards. Interaction between the responsible bodies in the European
Commission and competent authorities responsible for inland navigation and RIS, and those
responsible for initiatives such as e-Maritime4 is essential to secure the interoperability and
harmonisation of the eventual services and systems.
6. For the purposes of this Awareness Paper “International Data Exchange” refers to data exchange
between EU Member States and/or to third countries 5 as well as to/from third parties including
logistic providers in the area of inland navigation including hull, position, cargo and voyage data.
“Cross Border data exchange” refers to data exchange between neighbouring States.
1
Annexes I and II provide for an overview of relevant legislation
RIS supports the inland waterway transport sector in coming into line with modern developments in logistics and
supply chain management. RIS comprises services as:
 fairway information,
 traffic information,
 traffic management,
 calamity abatement support,
 information for transport management,
 statistics and
 customs services and waterway charges and port dues
3 EU Directive 2005/44/EC on harmonised river information services (RIS) on inland waterways in the Community
(RIS Directive). The RIS Guidelines further detail these services to include the sub-services and functions.
4 And with e-Maritime (including SafeSeaNet) and Maritime Surveillance when appropriate
5 “third countries” refer to those countries not being one of the 27 EU Member States or 3 EEA member countries
2
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7. The focus is placed on the Technical Requirements Directive 6 and the RIS Directive, including the
underlying Commission Regulations 7, which indicate that international data exchange between
the authorities is required for the performance of certain hull data and RIS services.
2 Observations
2.1
International Data Exchange
8. It is foreseen that the following type of data8 will be required for certification and for specific RIS
services and as such will require international data exchange:
RIS Services:
o Traffic Information of vessels, including position data;
o Voyage and Cargo data;
o Hull data (ENI, data for the identification of the vessel, certification details);
o Information on Calamities.
Vessel Certification:
o Hull data (ENI, data for the identification of the vessel, certification details).
2.1.1
RIS Services
9. The RIS Directive requires that the EU Member States will enable, as far as ship reporting is
required by national or international regulations, competent authorities to receive electronic ship
reports containing the required data from ships. To this end the ERINOT message has been
developed9 for the electronic reporting of voyage and cargo details (dangerous as well as nondangerous goods) by a ship sailing on inland waterways, whether the EC or the individual EU
Member States are entitled to conclude agreements with third countries in this area and bilateral
agreements would have to be state treaties in most countries.
10. The articles concerning the processing of personal data and the protection of privacy have led to
the same challenges with respect to variance in interpretation in the EU Member States, including
the type “passage notification” from authority to authority (used for cross-border reporting
(neighbouring State).
11. It is recognised that data exchange is foreseen under Article 4(3c) of the RIS Directive for the
purposes of cross-border ship reporting to a neighbouring State however this is deemed limited in
its purpose and scope for a number of the overall stated functionalities of RIS which may
ultimately require international data exchange between EU Member States and third countries as
well as non-adjacent EU Member States.
12. The bilateral agreements as established for cross-border reporting are not uniform and the data to
be exchanged can vary between the agreements depending on the data available according
individual national reporting requirements. In effect data originally reported can be “lost” during a
voyage between more than two EU Member States. This does not promote transparency and may
also lead to additional requirements when reports are to be used for international data exchange
with non-adjacent EU Member States.
13. A requirement for international data exchange of position data derived from tracking and tracing
systems such as Inland AIS in support of traffic management, information for logistics / transport
management or calamity abatement is not foreseen in the RIS Directive.
6
EU Directive 2006/87/EC laying down technical requirements for inland waterway vessels
Commission Regulations No 414/2007, 415/2007 & 164/2010
8 An overview of the current legal provisions for the exchange of this data is provided in Annex I
9 Commission Regulation (EC) No 164/2010
7
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14. It is recognised in the RIS Guidelines that the competent authorities should provide ample room
for logistics applications within the bounds of their possibilities, including the exchange of
information between users and customers relating to vessels and terminals10.
15. The participating EU Member States of IRIS Europe aimed to reach a multilateral legal agreement
among the member states as the basis for international data exchange. This so-called “Technical
and Administrative Agreement for the international data exchange with regard to River Information
Services”, in short TAA, would supplement the EU RIS Directive 2005/44/EC especially with
relation to the international data exchange.
16. Further, this would require the adaptation of the national legislation in some countries in order to
enable the organisations, which provide RIS Services, to exchange RIS data with governmental
RIS users (traffic authorities), logistical RIS users (e.g. fleet manager) and RIS Centres in other
countries.
17. The varied implementation of the relevant legislation in EU Member States has led to the
possibility to only instigate pilot operations in some countries. This will make use of real data
where permission of the vessel operator has been given (as well as artificial data) between some
EU Member States. Some EU Member States are not even able to participate in the pilot. The
legal basis for data exchange with countries outside of the EU is missing.
2.1.2
ENI & data for the identification of the vessel
18. There is a distinction to be made between:
a. the requirement for international data exchange between the competent authorities
responsible for assigning European Vessel Identification Numbers (ENI), including the
assigned ENIs and data for the identification of the vessel;
b. the making available of data for the identification of the vessel to competent authorities of
other EU Member States, Contracting States of the Mannheim Convention and to third
countries on the basis of administrative agreements in order to perform administrative
measures for maintaining safety and ease of navigation.
19. Each competent authority responsible for assigning ENIs is to make all necessary arrangements
in order to inform all other competent authorities listed in the register held by the Commission of
the ENIs assigned11.
20. Data for the identification of the vessel, including the ENI, as set out in EU Directive 2006/87/EC
may be made available to competent authorities of other EU Member States, Contracting States
of the Mannheim Convention and, as far as an equivalent level of privacy is guaranteed, to third
countries on the basis of administrative agreements in order to perform administrative measures
for maintaining safety and ease of navigation12. In addition, vessel certification authorities are
obliged to keep a register of all the issued community certificates in order to grant read only
access13.
21. The “European vessel number database” is only mentioned in the Commission Regulation
164/201014 and is not mentioned in EU Directive 2006/87/EC or subsequent amendments.
22. The reference to ENI and data for the identification of the vessel being “made available” and
community certificates being provided on a “read only” basis only imply the ability for third
countries to access the relevant data and only in the event that administrative agreements have
10
Commission Regulation (EC) No 414/2007, Annex section 5.5(6a)
Directive 2006/87/EC as amended - Annex II, Article 2.18 (6)
12 Directive 2006/87/EC as amended - Annex II, Article 2.18 (6)
13 Directive 2006/87/EC as amended - Annex II, Article 2.17 (3)
14 as referred to in the Commission Regulation 164/2010 – Annex 2.4.2.5
11
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been secured where necessary. There is no legal provision for third countries to be able to
exchange data in an eventual “European vessel number database” 15. At least one Member State
takes the position that they are also not able to input data into an eventual "European vessel
number database" as there is also no legal provision for that. A further amendment to this
Directive in order to redress these issues will lead to further delays taking into account the time for
transposition into national law. This may be further compounded when considering the timeline for
UNECE and Danube Commission adoption and the eventual implementation in third countries.
23. It is challenging for EU Member States to secure this administrative agreement in that they are
confronted with a varied implementation of underlying legal provisions (i.e. with respect to privacy)
which have ultimately led to them not being able to conclude the agreement as intended. The
failure to conclude is not the fact that EU Member States cannot agree. It is to be noted that whilst
EU Member States have to ensure the successful transposition of the EU legislation into national
legislation, it is not for the individual EU Member States to solve and fill those gaps in current EU
legislation that do not foresee sufficient provision for international data exchange on the basis of
international standards (ref. point 26 below).
2.2
Personal Data Protection
24. International data exchange in the area of inland navigation appears to be prejudiced by personal
data protection and related issues including confidentiality and security policies (including re-use
of data) that may prohibit or restrict the sharing of certain data. In the development of a European
database to facilitate cross border information exchange liability and ownership issues also
constitute a major threshold.
25. Personal data must be processed fairly and lawfully, and collected for specified, explicit and
legitimate purposes. They must also be accurate and, where necessary, kept up to date. It may
be processed only if the data subject has unambiguously given his/her consent or processing is
necessary for, amongst others, compliance with a legal obligation to which the controller is
subject or the performance of a task carried out in the public interest.
26. Further, the Directives on privacy and data exchange have been implemented in different ways in
the various EU Member States and there are big differences in the national legal basis for the
conclusion of administrative agreements with regard to privacy regulations.
27. It is to be noted that with respect the maritime sector, the Monitoring Directive 16 was amended17
so as to makes a specific reference to “Community” legislation rather than just national legislation
and as such further reinforced the applicability of EU Directives 95/44/EC and 2002/58/EC.
However, the Monitoring Directive has set out a number of key requirements whereby the
purpose is set out and thereby the relevant international data exchange is foreseen.
28. With respect customs and data protection, reference18 is only made to EU Directives 95/46/EC
and Commission Regulation (EC) No 45/200119.
2.2.1
RIS Services
29. The RIS Directive20 requires that EU Member States shall ensure that processing of personal data
necessary for the operation of RIS is carried out in accordance with the Community rules
as referred to in the Commission Regulation 164/2010 – Annex 2.4.2.5
EU Directive 2002/59/EC
17 EU Directive 2009/17/EC
15
16
18 EC Decision No 70/2008/EC – Article 3(2)
19
Commission Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of
personal data by the Community institutions and bodies and on the free movement of such data
20 EU Directive 2005/44/EC – article 9
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protecting the freedoms and fundamental rights of individuals 21, shall implement and maintain
security measures to protect RIS messages and records and apply the measures concerning reuse of data22.
2.2.2
ENI & data for the identification of the vessel
30. The Article 29 Working Party23 issued an Opinion24 on the concept of personal data in which it
was confirmed that information such as “...a telephone number, a car registration number, a social
security number, a passport number...” may lead to the “indirect” identification of a person and as
such any data would be pursuant to the articles of the Directive. It is to be reasonably argued that
any initiative such as the ENI would be bound by the same reasoning.
31. Whilst no direct mention of personal data protection is made in Directive 2006/87/EC and its
subsequent amendment or in the Commission Regulation on the technical specifications for
electronic ship reporting25 it is implied in that for read-only access and the making available of the
data this may only be done where “an equivalent level of privacy is guaranteed” 26. As both the
register of Community/Rhine Certificates and the minimum hull data set contain the name and
address of the owner respectively operator of the vessel the data exchange should fulfil the
privacy requirements for personal data.
32. According the meaning of “personal data” a registration code such as the ENI could represent the
“indirect” identification of a person and therefore any data message containing the ENI can be
seen as being subject to the personal data protection laws. The exchange of ENI data is foreseen
in current legislation to a limited extent however and only for the purposes of e.g. “performing
administrative measures”27 and cross-border ship reporting with neighbouring states 28. There is
no specific provision for the exchange for e.g. logistic purposes.
2.3
Harmonised Approach
33. The privacy regulations are not specific for inland navigation. Therefore it is not realistic to expect
a full harmonization of national privacy regulations on the basis of a request of inland navigation.
Due note should be made of the application in other sectors, i.e. maritime through the Monitoring
Directive, and a consistent approach sought.
2.3.1
RIS Services
34. The reference in the RIS Directive concerning the processing of personal data and the protection
of privacy in the electronic communications sector 29 has been interpreted in various ways in the
EU Member States with respect to RIS and AIS. This has led to ambiguity whereby the i.e.
skippers are confronted with varying conditions under which data may be handled depending on
the EU Member State in which they are sailing. A more exacting indication of which articles are
relevant may remove this ambiguity.
21
including Directives 95/46/EC and 2002/58/EC
EU Directive 2003/98/EC on the re-use of public sector information shall apply
23 The Article 29 WP is established by Article 29 of Directive 95/46/EC and is composed of representatives of the
(supervisory) authorities of EU Member States’, Community institutions and representatives and a representative
of the EC
24 Opinion 4/2007 on the concept of personal data, adopted 20 th June 2007
25 Commission Regulation (EU) No 164/2010
26 EU Directive 2006/87/EC as amended - Annex II, Article 2.17 (3) and Article 2.18 (6) / Commission Regulation
(EU) No 164/2010 – Annex Section 2.5
27 Directive 2006/87/EC as amended - Annex II, Article 2.17 (3)
28 Directive 2005/44/EC – article 4 (3c)
29 EU Directive 2002/58/EC as referred to in EU Directive 2005/44/EC – Article 9(1)
22
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35. The goal of transport management (voyage planning, transport logistics, port and terminal
management and cargo and fleet management) requires a European wide availability of position
data.
2.3.2
ENI & data for the identification of the vessel
.
36. Safety and ease of navigation cannot be restricted to the EU Member States. The ENI will also be
assigned by other European countries on the basis of Rhine Inspection Rules, resolution No. 61
rev. of UNECE and the technical recommendations of the Danube Commission. To prevent a
misuse of the ENI and to ensure the safety and ease of navigation an international data exchange
with third countries has to be implemented. It is still not clear whether the EC or the individual EU
Member States are entitled to conclude agreements with third countries in this area and bilateral
agreements would have to be state treaties in most countries.
37. The articles concerning the processing of personal data and the protection of privacy have led to
the same challenges with respect to variance in interpretation in the EU Member States.
3 Summary
38. The present EU legal framework relating to:




30
Traffic information of vessels, including Position data 30
o – does neither provide a sufficient legal basis for data exchange between
neighbouring EU Member States nor for data exchange with non-adjacent EU
Member States and third countries;
Voyage and cargo data
o – requires for data exchange between neighbouring EU Member States, but not with
non-adjacent EU Member States and third countries and logistic users;
o – does not provide a sufficient legal basis for data exchange
Hull data
o – requires for informing between EU Member State competent authorities for
assigning ENIs (use of EDI not mentioned in Directives, only Commission Regulation
164/2010), but not with competent authorities of other Member States or third
countries in order to perform administrative measures for maintaining safety and ease
of navigation unless an administrative agreement has been made per instance;
o – does not provide a sufficient legal basis for data exchange
Calamity abatement
o – does neither provide a sufficient legal basis for data exchange between
neighbouring EU Member States nor for data exchange with non-adjacent EU
Member States and third countries.
The specific data fields and requirements have to be identified
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4 Recommendations
4.1
General
39. A sound legal basis for the international data exchange in the EU legislation is needed as a
precondition for the permanent international data exchange between EU Member States.
4.2
RIS Services
40. There is a need to define access rights to data exchanged between EU Member States in the
interests of supporting logistics providers other than in their own EU Member State. This would be
in accordance with the overriding stated aims of RIS support in that RIS is open for interfacing
with commercial activities and supports logistics/transport management. However, the
introduction of RIS should not lead to uncontrolled processing of economically sensitive data
relating to market operators.
41. It is necessary to determine the need for a common data set, and terms and conditions thereto,
for cross-border ship reporting. This would enhance the capability for eventual data exchange
with non-adjacent EU Member States and reduce the requirements for individual RIS authorities
to request parties to resubmit data which is not included in a cross-border report but is required
under national regulations. Reference should be made to the work of the ERI expert group with
respect to differences in reporting requirements per EU Member State.
42. Interaction between the responsible bodies in the European Commission and competent
authorities responsible for inland navigation and those who are responsible for other transport
modes is essential to secure the interoperability and harmonisation of the services and systems
with other transport modes.
43. It would be advisable to provide a European basis for the international data exchange with other
UNECE members and thereby provide clarity on whether the EC could have a mandate to make
such arrangements with third countries or whether this remains in the form of individual (bilateral)
arrangements.
4.3
ENI & data for the identification of the vessel
44. It is necessary that an unequivocal interpretation is given to the place of “administrative
agreements”31. It is necessary that clear purpose be assigned in that currently it would appear
that the “administrative agreements” are to be used as the basis for data exchange and
compensate for gaps in the legal framework.
45. It would be advisable to provide a European basis for the international data exchange with other
UNECE members and thereby provide clarity on whether the EC could have a mandate to make
such arrangements with third countries or whether this remains in the form of individual (bilateral)
arrangements.
4.4
Personal Data Protection
46. Due consideration should be made of the varied implementation and/or interpretation of personal
data protection legislation in the various EU Member States and appropriate measures be sought
31
EU Directive 2006/87/EC as amended articles 2.17 and 2.18
IRIS Europe II
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International data exchange in the area of inland navigation
Awareness Paper
within the EU legal framework to accommodate for this with respect to international data
exchange. It is necessary to clearly set out in this legislation the nature of the data involved, the
(specific) purposes (and the methods) of the exchange and the potential recipients of the data.
47. The necessary safeguards with regard to the confidentiality and security of (certain) data, the
protection of personal data and liability for the data will need to be incorporated including the
procedures concerning third countries.
4.5
Pilot Projects
48. As a first step in order to enable the pilot operation of the services the hereby involved projects
foresee that a clear statement of the EU Member States and the EC is needed stating that the
establishment of a European hull database and the international exchange of position and
electronic reporting data are reasonable tools to achieve the goals of the Technical Requirements
Directive32 and the RIS Directive33, including the underlying Commission Regulations 34.
32
EU Directive 2006/87/EC
EU Directive 2005/44/EC
34 Commission Regulations No 414/2007, 415/2007 & 164/2010
33
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International data exchange in the area of inland navigation
Annex I:
Awareness Paper
Legal Provisions wrt data requirements
The following overview is provided to highlight the current legal provisions/requirements with respect to international data exchange between/to neighbouring
States, non-adjacent States and third countries in relation to the four main types of data as identified above (ref. 8), namely:
 Traffic Information of vessels: position data;
 Voyage and Cargo data;
 Calamity abatement;
 Hull data.
The analysis is made in consideration of the following legal questions:
 What data can be obtained in an EU Member States and be provided to EU Member State neighbouring country?
 What data can be obtained in an EU Member States and be provided to a non-EU Member (third country) State neighbouring country?
 What data can be obtained in an EU Member States and be provided to all other EU Member States?
 What data can be obtained in an EU Member State and be provided to third counties (non-EU/EEA Member States)?
 What data can be obtained in an EU Member State and be input in a European data base
 Under what conditions can an EU database provide data to other EU Member States?
 Under what conditions can an agreement between EU Member States allow data exchange between EU Member States to be possible?
Further reference is made to Annex II hereafter.
Type of Data
Traffic Information of
vessels: position data.
IRIS Europe II
EU Legal provision
Directive 2005/44/EC
-
Special requirements
no requirement
Observations
This project is co-funded by the European Commission
Data
 Information to be exchanged defined in
Inland AIS.
 No provisions for the exchange of tactical
and strategic traffic information.
 There is no provision for a European
database.
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International data exchange in the area of inland navigation
Type of Data
Voyage and Cargo
data
EU Legal provision
Directive 2005/44/EC
- Article 4(3) &
Commission
Regulation 164/2010
Special requirements
The ERINOT ”passage
notification” message is
for authority to authority
exchange.
Awareness Paper
Observations
According Reg 164/2010: "The ERI
notification message (ERINOT) shall be
used for the reporting of voyage related
information and of information on
dangerous and non-dangerous cargo
carried on-board vessels sailing on inland
waterways." The data available will depend
on the national regulations for reporting
and the thereby stated purpose.
Is it assumed that all data contained in the
ERINOT message may be passed on to a
neighbouring State in accordance with Art.
4(3)(a) of the RIS Directive. It is to be
noted that the ERINOT message contains
a field whereby the sender can "indicate
whether the information in the message
may be forwarded by the receiver to other
authorities.”
The PAXLST message
"shall be also used to
transfer
passenger/crew data
from a designated
authority in the country
of departure to the
appropriate authorities
in the country of arrival
of the means of
transport."
IRIS Europe II
There is no direct reference to any
provision within the RIS Directive or any
other instrument and therefore it is
uncertain which legal provision supports
this. It is also unclear which "authorities"
are meant, whether this is specific to
neighbouring States or all States and
whether this is only EU Member States or
also third countries.
This project is co-funded by the European Commission
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Data
 ERINOT message “passage notification”
used for neighbouring State. Limited to
exchange at the point of passing.
 No provision to use the ERINOT message
content for data exchange to non-adjacent
and third country.
 No provisions for the exchange of voyage
and cargo data with respect to nonadjacent State or third country.
 There is no provision for a European
database.
 No provision for forwarding of data to
logistic service providers

The PAXLST is to be exchanged from
designated authority Port of Departure to
“appropriate” authorities in country of
arrival. No indication of “appropriate” and
no provision in the RIS Directive.
International data exchange in the area of inland navigation
Awareness Paper
Type of Data
Calamity abatement
EU Legal provision
Commission
Regulation 414/2010
- section 5.2.3(2)
Special requirements
"Strategic traffic
information can be
helpful to the following
services: … (c) calamity
abatement support
(vessel and cargo
data)..."
Observations
Explicit mention is made of calamity
abatement support although no provision is
made for the data requirements. The data
requested and the purpose of use varies
from EU Member State to EU Member
State (national regulations).
Hull data
Commission
Regulation 164/2010
- section 2.4.2.5
(according Directive
2005/44/EC - Annex
II 3(d) & Directive
2006/87/EC (as
amended
2008/87/EC) - Annex
II Art. 2.17 & 2.18)
a) international data
exchange between the
competent authorities
responsible for
assigning ENIs,
including the assigned
ENIs and data for the
identification of the
vessel.
Data exchange is a requirement.
Administrative Agreements not required.
b) international data
exchange to competent
authorities of other EU
Member States,
Contracting States of
the Mannheim
Convention and to
other parties
(alternative: third
countries) based on
administrative
IRIS Europe II
There are no specific data exchange
requirements however arrangements are to
be made to make this available to all other
competent authorities listed in the register.
The data set according Annex II Appendix
IV of Directive 2006/87/EC includes the
name of the operator and the purpose has
been stated.
The competent authority meant here is the
competent authority responsible for the
issuance of an ENI.
Data exchange not a mandatory
requirement. Administrative Agreements
are required if data is to be made available.
Whilst the responsibility realm of the
competent authority is not stated the
condition is applied that the purpose is "to
perform administrative measures for
maintaining safety and ease of navigation".
Data exchange can only be initiated
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Data
 Limited potential for neighbouring State to
use data arising from neighbouring State
ERINOT “passage notification” message
when Calamity Abatement provided as
purpose (i.e. as in Austria, Germany,
France and The Netherlands (according
ERI CCNR v1.2)).
 No provision for non-adjacent and third
country data exchange.
 There is no provision for a European
database.
 Data may be exchanged to all competent
authorities designated for assigning ENI
numbers as provided to the Commission
register.
 The register may be made available to
third countries on request. In this event the
obligation to “make all necessary
arrangements” to inform all competent
authorities listed in the register would
include Member States informing third
countries.
 For competent authorities of other EU
Member States, Contracting States of the
Mannheim Convention and third countries
(under condition) the data may be provided
only on the basis of administrative
agreements in order to perform
administrative measures for maintaining
safety and ease of navigation.
 The data set includes the identification of
the owner and is therefore subject to
personal data protection legislation.
 There is provision for a European
database however the users would be
limited to the designated competent
authorities for assigning ENIs and use
International data exchange in the area of inland navigation
Type of Data
EU Legal provision
Special requirements
agreements in order to
perform administrative
measures for
maintaining safety and
ease of navigation.
c) European vessel
number database
IRIS Europe II
Awareness Paper
Observations
through “administrative agreements”.
It is to be noted that in Commission
Regulation 164/2010 (Annex) section
2.4.2.5 refers to “other parties” whilst
section 2.5 refers to “third countries”.
Directive 2006/87/EC also refers to “third
countries”.
According the previous statements the data
would include the ENI and the name of the
operator (owner or representative) and as
such can be used only for the stated
purpose.
This project is co-funded by the European Commission
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Data
would remain in the given purpose.
 The data set for the European database is
provided in Annex II Appendix IV of
Directive 2006/87/EC.
Annex II: Legal Framework
Introduction
The focus of the short review hereafter is placed on the Technical Requirements Directive and the RIS
Directive, including the underlying Commission Regulations35, which indicate that international data
exchange between the authorities is required for the performance of vessel certification and certain
RIS services. Further, consideration is made of relevant personal data protection instruments. Where
relevant, reference is made to pertinent legislative texts from the maritime sector and customs in order
to highlight how certain legal barriers to data exchange in inland navigation have been handled in
these sectors. This is in recognition of the intention for RIS to ensure “continuity with other modal
traffic management services, in particular maritime vessel traffic management and information
services”36 and “the facilitation of the electronic data exchange between the competent authorities of
the Member States, between participants in inland as well as maritime navigation and in multi-modal
transport where inland navigation is involved” 37.
The following legislation has been considered:
 RIS (EU) Legislation:
o Directive 2005/44/EC on harmonised river information services (RIS) on inland
waterways in the Community (RIS Directive);
o Commission Regulation No 414/2007 concerning the technical guidelines for the
planning, implementation and operational use of river information services (RIS
Guidelines);
o Commission Regulation No 415/2007 concerning the technical specifications for
vessel tracking and tracing systems;
o Commission Regulation No 416/2007 concerning the technical specifications for
Notices to Skippers;
o Commission Regulation No 164/2010 on the technical specifications for electronic ship
reporting in inland navigation.
 Inland Waterway Vessels:
o Directive 2008/87/EC amending Directive 2006/87/EC laying down technical
requirements for inland waterway vessels and Rhine Inspection Rules
(Rheinschifffahrtsuntersuchungsordnung).
 Privacy regulations:
o Directive 95/46/EC on the processing of personal data;
o Directive 2002/58/EC38 concerning the processing of personal data and the protection
of privacy in the electronic communications sector.
 Re-use of Data:
o Directive 2003/98/EC on the re–use of public sector information.
 Other Sectors;
o Maritime - EU Directive 2002/59/EC on the of a vessel traffic monitoring and
information system (Monitoring Directive);
o Maritime - EU Directive 2010/65/EU on reporting formalities for ships arriving in and/or
departing from ports of the Member States;
o Customs- EC Decision No 70/2008/EC on a paperless environment for customs and
trade.
It is recognised that data exchange is foreseen under Article 4(3c) of the RIS Directive for the
purposes of cross-border ship reporting to a neighbouring State however this is deemed limited in its
purpose and scope for the overall stated functionalities of RIS which ultimately require international
data exchange not only of reporting data, but also of hull data and position data and data exchange
between non-adjacent EU Member States.
RIS (EU) Legislation
Directive 2005/44/EC on harmonised river information services (RIS) on inland waterways in the
Community
35
Commission Regulations No 414/2007, 415/2007 & 164/2010
EU Directive 2005/44/EC – Article 1(2)
37 EU Directive 2005/44/EC – Annex II 3(a)
38 And its subsequent amendments, 2006/24/EC and 2009/136/EC
36
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According the definition provided in EU Directive 2005/44/EC on harmonised river information services
(RIS) on inland waterways in the Community (RIS Directive):
‘River Information Services (RIS)’ means the harmonised information services to support traffic and
transport management in inland navigation, including, wherever technically feasible, interfaces with
other transport modes. RIS do not deal with internal commercial activities between one or more of the
involved companies, but are open for interfacing with commercial activities. RIS comprise services
such as fairway information, traffic information, traffic management, calamity abatement support,
information for transport management, statistics and customs services and waterway charges and port
dues;
The RIS Directive applies to:
“the implementation and operation of RIS on all inland waterways of the Member States of class IV
and above which are linked by a waterway of class IV or above to a waterway of class IV or above of
another Member State, including the ports on such waterways as referred to in Decision No
1346/2001/EC of the European Parliament and of the Council of 22 May 2001 amending Decision No
1692/96/EC as regards seaports, inland ports and intermodal terminals as well as project No 8 in
Annex III (3). For the purposes of this Directive, the Classification of European Inland Waterways set
out in UNECE Resolution No 30 of 12 November 1992 shall apply.” (Art. 2(1)
The RIS Directive requires that EU Member States “supply to RIS users all relevant data concerning
navigation and voyage planning on inland waterways. These data shall be provided at least in an
accessible electronic format”39. Annex I of the Directive sets out the minimum data requirements. It is
to be noted that the only information mentioned here is related to Fairway Information, i.e. the
exchange on inland ECDIS and Notice to Skipper data.
The RIS Directive requires that the EU Member States will enable, as far as ship reporting is required
by national or international regulations, competent authorities to receive electronic ship reports
containing the required data from ships. In cross-border transport, this information shall be transmitted
to the competent authorities of the neighbouring State and any such transmission shall be completed
before arrival of the vessels at the border (Article 4 (3)(c)).
The obligation to report depends on the waterway/country and there is no obligation to exchange the
data when this is not received according the conditions above.
Commission Regulation No 414/2007 concerning the technical guidelines for the planning,
implementation and operational use of river information services (RIS)
Further, the requirements concerning the confidentiality of data exchange in a RIS needs to be
ensured in accordance with Article 9 of the RIS Directive40. In cases where logistic information is
provided by systems operated by a competent authority, this authority should take the necessary
steps to ensure the protection of confidentiality of economically sensitive data 41. When confidential
data are provided to third parties, privacy regulations have to be taken into account42.
Commission Regulation No 415/2007 concerning the technical specifications for vessel tracking and
tracing systems
Neither the RIS directive nor the Commission Regulation on vessel tracking and tracing are explicitly
requiring an international data exchange of vessel tracking and tracing data. However, in Annex I of
the Commission Regulation describing the use of Inland AIS it could be concluded that the goals of
supporting the safety of navigation (i.e. medium-term navigation), vessel traffic management (including
lock (long- and medium-term) and bridge (medium-term) planning) and calamity abatement cannot be
met in waterway sections near borders, if there is no data exchange with at least the neighbouring
country. This falls outside the scope of the cross-border reporting as required in Article 4(3c) of the
RIS Directive.
Directive 2005/44/EC – article 4(3)(a)
Whilst confidentiality is not implicitly implied in article 9 which refers to the privacy, security and re-use of
information, there is explicit reference to Directive 2002/58/EC in the said article.
41 EU Directive 2005/44/EC - preamble (10)
42 Commission Regulation (EC) No 414/2007, Annex section 5.5(7)
39
40
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Commission Regulation No 164/2010 on the technical specifications for electronic ship reporting in
inland navigation
The Commission Regulation on ship reporting specifies the data that has to be reported and facilitates
data exchange between the competent authorities of the EU Member States 43. This is in relation to the
cross-border reporting of the ERINOT message as required under article 4(3). The four ship reports
that have been developed and are contained in the Regulation contain data on identification and
reference to persons.
 ENI -Certification
In addition, section 2.5 of the Annex provides for the assigning of a unique European vessel
identification number (ENI) (as defined in Directive 2006/87/EC) for the purpose of RIS. Similar to the
technical directive it contains a requirement that each competent authority for the assigning of the ENI
shall make all necessary arrangements in order to inform all other competent authorities for the
assigning of the ENI of each European vessel identification number it assigns as well as of data for the
identification of the vessel set out in Directive 2006/87/EC.
The Commission Regulation is explicitly mentioning a European vessel number database as the
media to ensure availability of ENI numbers for other member states 44.
Further, the Standard for Electronic Ship Reporting in Inland Navigation of CCNR is not mentioning a
European database but is requiring that the competent authorities keep registers and “grant access to
competent authorities of Member States, to contracting states of the Mannheim Convention and to
other parties on the basis of administrative agreements”.
Directive 2006/87/EC as amended by Directive 2008/87/EC laying down technical requirements for
inland waterway vessels and Rhine Inspection Rules (Rheinschifffahrtsuntersuchungsordnung)
All necessary arrangements in order to inform all other competent authorities who are issuing Unique
European Vessel Identification Numbers (ENI) of each European Vessel Identification Number it
assigns as well as of data for the identification of the vessel are to be made by the competent authority
assigning the ENI45.
The read-only access as referred to above may be made available only to competent authorities of
other EU Member States, Contracting States of the Mannheim Convention and, as far as an
equivalent level of privacy is guaranteed, to third countries on the basis of administrative agreements
in order to perform administrative measures for maintaining safety and ease of navigation 46.
As both the register of Community/Rhine Certificates and the minimum hull data set contain the name
and address of the owner respectively operator of the vessel the data exchange has to fulfil the
privacy requirements for personal data.
Privacy regulations
Various Directives related to privacy are in force and these are related to confidentiality of the data,
commercial secrecy, processing of personal data, data (security) policies of public authorities, re-use
of public sector information and access to public sector documents (freedom of information). Aspects
derived from those specifically referred to in article 9 of the RIS Directive are summarized hereafter.
Directive 95/46/EC on the processing of personal data
2005/44/EC – Article 5 ref. Annex II
Commission Regulation No 164/2010 on the technical specifications for electronic ship reporting in inland
navigation - Annex: section 2.4.2.5
45 Directive 2006/87/EC as amended – Annex II, Appendix IV minimum hull data set
46 Directive 2006/87/EC as amended - Annex II, Article 2.18 (6)
43 Directive
44
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This Directive applies to data processed by automated means (e.g. a computer database of
customers) and data contained in or intended to be part of non-automated filing systems (traditional
paper files) and defines47 personal data as follows:
'personal data' shall mean any information relating to an identified or identifiable natural person ('data
subject'); an identifiable person is one who can be identified, directly or indirectly, in particular by
reference to an identification number or to one or more factors specific to his physical, physiological,
mental, economic, cultural or social identity.
The Article 29 Working Party48 issued an Opinion49 on the concept of personal data in which it was
confirmed that information such as “...a telephone number, a car registration number, a social security
number, a passport number...” may lead to the “indirect” identification of a person and as such any
data would be pursuant to the articles of the Directive. It is to be reasonably argued that any initiative
such as the ENI would be bound by the same reasoning.
Personal data must be processed fairly and lawfully, and collected for specified, explicit and legitimate
purposes. They must also be accurate and, where necessary, kept up to date. It may be processed
only if the data subject has unambiguously given his/her consent or processing is necessary for,
amongst others, compliance with a legal obligation to which the controller is subject or the
performance of a task carried out in the public interest.
The scope of the principles relating to the quality of the data, information to be given to the data
subject, right of access and the publicising of processing may be restricted in order to safeguard
aspects such as, amongst others, national security, defence, public security and the prosecution of
criminal offences.
The EU Member States shall provide that the transfer to a third country of personal data which are
undergoing processing or are intended for processing after transfer may take place only if, without
prejudice to compliance with the national provisions adopted pursuant to the other provisions of this
Directive, the third country in question ensures an adequate level of protection 50. ...particular
consideration shall be given to the nature of the data, the purpose and duration of the proposed
processing operation or operations, the country of origin and country of final destination, the rules of
law, both general and sectorial, in force in the third country in question and the professional rules and
security measures which are complied with in that country51.
Directive 2002/58/EC52 concerning the processing of personal data and the protection of privacy in the
electronic communications sector
Any such restriction (see above) should only be used when measures are necessary, appropriate and
proportionate53.
This Directive applies to “the processing of personal data in connection with the provision of publicly
available electronic communications services in public communications networks in the Community,
including public communications networks supporting data collection and identification devices” 54.
The focus of the Directive is placed on data security, traffic and location data and on confidentiality.
The provisions of this Directive particularise and complement Directive 95/46/EC. Of particular
relevance concerning the use of data and the transmission to third parties is contained in article 9(1) of
47
Article 2(a) of Directive 95/46/EC
The Article 29 WP is established by Article 29 of Directive 95/46/EC and is composed of representatives of the
(supervisory) authorities of member States’, Community institutions and representatives and a representative of
the Commission
49 Opinion 4/2007 on the concept of personal data, adopted 20 th June 2007
50 Directive 95/46/EC –Article 25(1)
51 Directive 95/46/EC –Article 25(2)
52 And its subsequent amendments, 2006/24/EC and 2009/136/EC
53 Article 15 of Directive 2002/58/EC
54 Article 3 as amended by Directive 2009/136/EC of the European Parliament and of the Council of 25 November 2009
48
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the Directive regarding location data55 other than traffic data whereby such data may only be
processed when they are made anonymous, or with the consent of the users or subscribers to the
extent and for the duration necessary for the provision of a value added service. The service provider
must inform the users or subscribers, prior to obtaining their consent, of the type, purposes and
duration of the processing and whether the data will be transmitted to a third party for the purpose of
providing the value added service.
Re-use of Data
Directive 2003/98/EC on the re–use of public sector information
The Directive establishes a minimum set of rules56 governing the re-use and the practical means of
facilitating reuse of existing documents held by public sector bodies of the EU Member States and
leaves intact and in no way affects the level of protection of individuals 57 with regard to the processing
of personal data under the provisions of Community and national law, and in particular does not alter
the obligations and rights set out in Directive 95/46/EC.
Re-use of public sector information is defined58 as “the use by persons or legal entities of documents
held by public sector bodies, for commercial or non-commercial purposes other than the initial purpose
within the public task for which the documents were produced. Exchange of documents between
public sector bodies purely in pursuit of their public tasks does not constitute re-use”.
The Directive does not specifically require EU Member States to allow the re-use of public sector
information, however states that59 “where the re-use of documents held by public authorities is
allowed, these documents need to be re-usable for commercial and non-commercial purposes in
accordance with the conditions set out” in the Directive. Further, “where possible, documents shall be
made available through electronic means”.
As a general rule the Directive does not apply to “documents which are excluded from access by
virtue of the access regimes in the EU Member States, including on the grounds of: (i) the protection
of national security (i.e. State security), defence, or public security, or (ii) statistical or commercial
confidentiality”60.
Where charges are made, the total income from supplying and allowing re-use of documents shall not
exceed the cost of collection, production, reproduction and dissemination, together with a reasonable
return on investment.61
Other Sectors
Maritime
EU Directive 2002/59/EC (Monitoring Directive)
EU Directive 2002/59/EC (Monitoring Directive) has as its purpose the establishment in the
Community of a “vessel traffic monitoring and information system with a view to enhancing the safety
and efficiency of maritime traffic, improving the response of authorities to incidents, accidents or
potentially dangerous situations at sea, including search and rescue operations, and contributing to a
better prevention and detection of pollution by ships”.62
With respect to confidentiality of information the Monitoring Directive only required that “Member
States shall, in accordance with their national legislation, take the necessary measures to ensure the
55
‘location data’ means any data processed in an electronic communications network, indicating the geographic position of
the terminal equipment of a user of a publicly available electronic communications service
56 Directive 2003/98/EC – Article 1(1)
57 Directive 2003/98/EC – Article 1(5)
58 Directive 2003/98/EC – Article 2(4)
59 Directive 2003/98/EC – Article 3
60 Directive 2003/98/EC – Article 1(2c)
61 Directive 2003/98/EC – Article 6
62 EU Directive 2002/59/EC – Article 1
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confidentiality of information sent to them pursuant to this Directive”. 63 No specific mention is made of
the personal data protection Directives.
The amendment hereto, EU Directive 2009/17/EC, broadened the scope through requiring that
“Member States shall, in accordance with Community or national legislation, take the necessary
measures to ensure the confidentiality of information sent to them pursuant to this Directive, and shall
only use such information in compliance with this Directive”.64
Even though national legislation should account for EU legislation the amendment makes a specific
reference to “Community” legislation, further reinforcing the applicability of EU Directives 95/44/EC
and 2002/58/EC.
It is to be noted that SafeSeaNet has been developed for the purposes of international data exchange
between EU Member States according EU Directive 2002/59/EC.
EU Directive 2010/65/EU (Reporting Formalities Directive)
EU Directive 2010/65/EU (Reporting Formalities Directive) has as its purpose the simplification and
harmonisation of “the administrative procedures applied to maritime transport by making the electronic
transmission of information standard and by rationalising reporting formalities”. 65
With respect to confidentiality of information the Reporting Formalities Directive requires that “Member
States shall, in accordance with the applicable legal acts of the Union or national legislation, take the
necessary measures to ensure the confidentiality of commercial and other confidential information
exchanged in accordance with this Directive”.66 Further, “Member States shall take particular care to
protect commercial data collected under this Directive. In respect of personal data, Member States
shall ensure that they comply with Directive 95/46/EC No specific mention is made of the personal
data protection Directives”.67
It is to be noted that emphasis has been placed on the confidentiality and protection of “commercial”
data.
It is to be further noted that the Commission is to report to the European Parliament and Council by 19
November 2013 on the functioning of the Directive, including on the 68:
“ (a) possibility of extending the simplification introduced by this Directive to cover inland waterway
transport;
(b) compatibility of the River Information Services with the electronic data transmission process
referred to in this Directive;
(c) progress towards harmonisation and coordination of reporting formalities that has been
achieved under Article 3;
(d) feasibility of avoiding or simplifying formalities for ships that have called at a port in a third
country or free zone;
(e) available data concerning ship traffic/movement within the Union, and/or calling at third
country ports or in free zones.”
Customs
EC Decision No 70/2008/EC on a paperless environment for customs and trade states that:
“the electronic customs systems of the Community and the Member States shall provide for the
exchange of data between the customs authorities of the Member States and between those
authorities and the following: (a) economic operators; (b) the Commission; (c) other administrations or
EU Directive 2002/59/EC – Article 24
EU Directive 2009/17/EC – Article 24(1) as amended
65 EU Directive 2010/65/EU – Article 1(1)
66 EU Directive 2010/65/EU – Article 8(1)
67 EU Directive 2010/65/EU – Article 8(2)
68 EU Directive 2010/65/EU – Article 15
63
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official agencies involved in the international movement of goods (hereinafter other administrations or
agencies).
With respect to data protection, reference69 is only made to EU Directives 95/46/EC and Commission
Regulation (EC) No 45/200170.
69 EC Decision No 70/2008/EC – Article 3(2)
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Commission Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of
personal data by the Community institutions and bodies and on the free movement of such data
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Annex III: Services depending on International Data Exchange
Coordination of the issuing of ENIs
The ENI, in accordance with Directive 2006/87/EC rev., the Rhine Inspection Rules and Commission
Regulation 164/2010, stays the same throughout the lifetime of a vessel, even when the vessel is sold
to another country. In order to prevent the assigning of several ENIs to the same vessel, all authorities
who are issuing ENIs have to know which vessels already have an ENI. As it is not possible to wait
with the issuing of a vessel certificate until all ENI issuing authorities have answered the question if
this specific vessel already has an ENI, the legislation requires the issuing authority to inform all the
other authorities of each newly assigned ENI. A central European hull database would fulfil this
requirement and would provide the possibility to check whether a vessel already has an ENI within
minutes.
Status with respect to present legislation
This service is not available at the moment. It is opined by a number of member States that the
existing EU legislation is sufficient to implement a pilot operation, also in the form of an EHDB,
between EU Member States providing on an ad hoc basis data, by exchange letters however other
opinions refer to the need for explicit referral in EU legislation. The legal basis for data exchange with
countries outside of EU and CCNR is missing.
Register of community certificates and Rhine certificates
A community certificate can be changed by any certification authority of an EU Member State. In order
to prevent misuse the authorities are obliged to provide information on the issued community
certificates on request. A central European hull database would provide a more efficient way to
provide this information to certification authorities.
Authorities who are responsible for the safety and ease of navigation (e.g. lock operators, calamity
abatement authorities, law enforcement agencies) should have a possibility to get information on the
type and the dimensions of a vessel, whether the vessel has a valid certificate and where additional
information on the vessel is available. The European hull database would provide this service on the
basis of administrative agreements.
Status with respect to present legislation
This service is available on a national basis. Information can be provided on request in specific cases.
A central database which would provide 24/7 availability of information is not available. Again it is
opined by a number of EU Member States that the existing legislation is sufficient to implement a pilot
operation between some EU Member States, based on a service agreement between the various
participating countries. Germany needs additional EU legislation to allow for its participation. As the
drafted TAA did not meet the requirements on privacy regulations, Germany could not participate in
the pilot. A long term solution requires a sound legal base in EU legislation. The legal basis for data
exchange with countries outside of EU and CCNR is missing.
Electronic reporting
Electronic reporting is the basis to be able to provide information, for example to rescue services in the
case of an accident (calamity abatement) and more efficient lock, bridge and terminal operation. All of
these services must not be cut off at the border between two countries and therefore it is necessary to
consider the type of data, as well as the purpose for the exchange thereof. Whether or not an
exchange is needed not only between neighbouring EU Member States but also between nonadjacent EU Member States and/or third countries still has to be identified by the Member States.
Status with respect to present legislation
The RIS Directive foresees the requirement for data exchange between neighbouring EU Member
States with respect to ship reporting (Art. 4(3)) however there is no explicit measure for data exchange
between non-adjacent EU Member States and/or third countries. Cross Border exchange of electronic
reporting data has only been implemented between CCNR member states. The existing legislation is
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only sufficient to implement a pilot operation between some EU Member States. Some are not even
able to participate in the pilot. The legal basis for data exchange with countries outside of EU and
CCNR is missing.
Other RIS services
The Commission Regulation No 414/2007 concerning the technical guidelines for the planning,
implementation and operational use of River Information Services (RIS) and the RIS Guidelines of
CCNR, of UNECE and of PIANC are all listing the following main services:
Fairway information service (FIS)
The FIS does not affect privacy rules.
Traffic information (TI)
TI is only possible with information on the vessels and is therefore dealing with personal data. Needs,
required data and range of data exchange in order to support this service still have to be identified
(exchange of vessel and position data derived from Inland AIS or other sources).
Traffic management (TM)
TM is only possible with information on the vessels and is therefore dealing with personal data. Needs,
required data and range of data exchange in order to support this service still have to be identified
(exchange of vessel and position data derived from Inland AIS, Electronic Reporting, the European
hull database and other sources).
Calamity abatement support (CAS)
CAS is only possible with information on the vessels and is therefore dealing with personal data.
Needs, required data and range of data exchange in order to support this service still have to be
identified (exchange of vessel and position data derived from Inland AIS, Electronic Reporting, the
European hull database and other sources).
Information for transport logistics/management (ITL)
ITL is only possible with information on the vessels and is therefore dealing with personal data. Needs,
required data and range of data exchange in order to support this service still have to be identified
(exchange of vessel and position data derived from Inland AIS, Electronic Reporting, the European
hull database and other sources). But as there is no obligation for the authorities to provide data for
transport logistics, the data can only be provided with the consent of the sender of the data
(skipper/operator of the vessel).
Information for law enforcement (ILE)
Effective ILE is only possible with information on the vessels and is therefore dealing with personal
data. Needs, required data and range of data exchange in order to support this service still have to
be identified (exchange of vessel and position data derived from Inland AIS, the European hull
database and other sources).
Statistics (ST)
The implementation of the other services is providing a lot of data to meet the requirements of the
European and national legislation on statistics for inland navigation. The use of RIS data for statistical
purposes would reduce the workload of the skipper. Needs, required data and range of data
exchange in order to support this service still have to be identified (exchange of vessel and position
data derived from Inland AIS, Electronic Reporting, the European hull database and other sources).
Waterway charges and harbour dues (CHD)
The implementation of the other services is providing data for the calculation of CHD. The use of the
data would reduce the workload of the skipper. Needs, required data and range of data exchange in
order to support this service still have to be identified (exchange of vessel and position data derived
from Inland AIS, Electronic Reporting, the European hull database and other sources). But as there is
no obligation for the authorities to provide data for waterway charges and harbour dues to other
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authorities, the data can only be provided with the consent of the sender of the data (skipper/operator
of the vessel).
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Annex IV: Status of Implementation
Vessel data
The required exchange of vessel data in accordance with directive 2006/87/EC rev. and Commission
Regulation 164/2010 would theoretically be possible by mail or e-mail. Because of the large number of
vessels in Europe, each authority would receive thousands of messages and would be forced to install
local databases to obtain an overview on the data. None of the competent authorities has sufficient
resources to realize this approach and the data exchange which is required by the European
legislation does not happen at the moment. As the data exchange by mail is not a reasonable
approach, a combined expert group of certification authorities and RIS authorities with involvement of
CCNR (working group G/ID) has developed a specification of a European hull database which can be
used to meet the requirements of the regulations.
The European Commission has contracted the PLATINA project and as part of this project the
implementation and pilot operation of a European hull database in accordance with the technical
specification. In addition PLATINA has to develop a concept for the operation of the European hull
database after PLATINA. The database has been implemented and the pilot operation has started.
Most of the authorities that are issuing ENIs will participate in the pilot operation. However, a data
exchange with other authorities who are responsible for the safety and ease of navigation and with
authorities in countries outside of the European Union and Mannheim Convention) could not be
implemented, as it was not yet possible to conclude the administrative agreements which are required
by the European legislation. The IRIS Europe II Legal Task Force is working on this issue.
Electronic reporting
International exchange of electronic reports in accordance with directive 2005/44/EC and Commission
regulation 164/2010 is only operational between Switzerland, Germany, France, Belgium and the
Netherlands until now. The existing agreements for the data exchange between these countries do not
meet the requirements of the European legislation on data protection from the point of view of other
member states. The implementation of data exchange between these countries and other member
states and between the other EU Member States (Austria, Slovakia and Hungary) is part of the IRIS
Europe II project.
It was not possible to agree on a text for an administrative agreement as a basis for the international
data exchange. On a project level, the privacy aspects have been temporally covered in an
amendment of the Strategic Action Plan of the IRIS Europe II project and four of the authorities have
declared in individual side letters to the Project Management Team that they will adhere to these
regulations. This is only a solution for the pilot operation within the project and provides only a basis
for a data exchange with consent of the sender of the data.
Position data
The international exchange of position data (together with Hull data, ERI data and Emergency data)
was specified and a pilot implemented within the IRIS Europe I project by Austria, Slovakia, Hungary,
Croatia and the Netherlands. Within the project IRIS Europe II the international exchange of RIS data
shall be brought into (pilot) operation by Austria, Slovakia, Hungary and the Netherlands (restricted to
certain data / messages). The set of technical and functional specifications is called RIS Data
Exchange Reference Documentation. Based on these specifications also Romania, Bulgaria and
Serbia will implement their national RIS data exchange infrastructure and interconnect to the foreign
infrastructures as far as possible from the legal side (the same applies for Croatia).
Although the international exchange of position data is not explicitly required by European legislation
the EC has contracted the pilot operation as part of the Platina project. Data should only be
exchanged with the consent of the data owner (operator/skipper of the vessel) 71. Actually, PLATINA is
71
Within the spirit of EU Directive 95/46/EC and Article 29 WP Opinion 4/2007 that the data subject has
unambiguously given his/her consent or processing is necessary for, amongst others, compliance with a legal
obligation to which the controller is subject or the performance of a task carried out in the public interest.
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in the process of developing the technical requirements and operational demands for a possible
European Position Information Service, providing position data to the various users. It is to be noted
that the EU project RISING are preparing demonstration cases in which information is to be
exchanged between EU Member States and provided to logistic parties. The legal basis under which
this is to be done is unclear.
Nevertheless, the pilot implementations are envisioned in close cooperation with IRIS Europe II as the
existing R2D2 infrastructure will be extended and used for the RISING demonstration cases in a test
environment.
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Annex V: Data exchange with third countries – Inventory reference
documents
The following sections outline the intentions, requirements and/or provisions for various sectors with
respect to setting up arrangements for cooperation and/or data exchange with third countries based
on EU legislation. This is an initial inventory having the sole aim to highlight the approach for various
sectors and tasks therein and merely contains extracts of relevant legislative documents. Further
elaboration on the processes and effects therein may be made at a later date.
1. Maritime
1.1 Monitoring Directive
The Monitoring Directive (2002/59) only mentions cooperation with third countries in the recital,
namely:
(17) A framework for cooperation between the Member States and the Commission needs to be
established to enhance the implementation of the monitoring and information system for
maritime traffic, with proper communication links being established between the competent
authorities and ports of the Member States. Moreover, the coverage of the ship identification and
monitoring system needs to be supplemented in those shipping areas of the Community where it
is insufficient. In addition, information management centres ought to be set up in the
Community's maritime regions so as to facilitate the exchange or sharing of useful data in
relation to traffic monitoring and the implementation of this Directive. The Member States and
the Commission should also endeavour to cooperate with third countries to achieve these
objectives.
The SafeSeaNet (SSN) system, as developed under the Monitoring Directive, is currently being
utilised in a pilot project on maritime data exchange with the Russian Regional System Safety of
Navigation (RSNS) in the Gulf of Finland. This follows the in 2005 signed terms of reference between
the European Union and Russia to enhance the EU–Russia dialogue in the field of transport and
infrastructure. More recently72 it was agreed between the two parties to:
…. strengthen cooperation in order to develop a joint approach to maritime and inland navigation
vessel monitoring (Safeseanet/RIS/MoRe) and in the area of port state control;
1.2 Maritime Surveillance
The EC Communication COM(2009)538 final “Towards the integration of maritime surveillance : A
Common Information Sharing Environment for the EU Maritime Domain” states in its Scope:
…the definition and implementation process for the establishment of the Common Information
Sharing Environment can only be successful in full consultation and coordination with all the
relevant user and operator communities and in full respect of the principle of subsidiarity.
Neighbouring third countries should be involved, whenever deemed appropriate.
The Recommendations state:
6. International and regional cooperation: Whilst building up interfaces between the different
maritime surveillance systems within the EU, due care should be given to the potential of
sharing selected parts of information with third countries. Issues of security and reciprocity
of such information should also be considered. The five regional sea basins (Baltic, North,
Atlantic, Mediterranean and Black Seas) and the Outermost Regions all represent a wide area
with specific threats. Further efforts are needed to adequately respond to these threats.
The EC Communication COM(2008) 68 final examining the creation of a European Border
Surveillance System (EUROSUR) states:
1. INTRODUCTION
…It should be seen in the context of the Schengen four-tier access control model(*), which
includes cooperation with third countries, and contribute to improving coordination of EU
policies on border control with other policies such as research and development, fisheries and
transport.
72Fourth
International Forum on "Transport of Russia" Moscow, 17 November 2010
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(*) The Schengen access control model consists of the following four tiers: Measures at
consulates, cooperation with neighbouring countries, border control, and control measures
within the Schengen area, including return.
3. GENERAL CONCEPT
In order to meet the objectives identified in the previous section it is necessary to envisage a
common technical framework to support Member States' authorities to act efficiently at local
level, command at national level, coordinate at European level and cooperate with third
countries in order to detect, identify, track and intercept persons attempting to enter the EU
illegally outside border crossing points.
1.3 LRIT Information
The Amendment to the Monitoring Directive, namely 2009/17/EC, includes in its Annex III on
Electronic Messages and SafeseaNet:
3. Exchange of data through SafeSeaNet
Where internationally-adopted rules allow routing of LRIT information concerning third
country vessels, SafeSeaNet networks shall be used to distribute amongst Member States,
with an appropriate level of security, the LRIT information received in accordance with Article 6b
of this Directive.
1.4 Port State Control
EU Directive 2009/16/EC on Port State Control states in Article 24 referring to the Inspection
Database:
1. The Commission shall develop, maintain and update the inspection database, building upon
the expertise and experience under the Paris MOU.
The inspection database shall contain all the information required for the implementation of the
inspection system set up under this Directive and shall include the functionalities set out in
Annex XII.
2. Member States shall take the appropriate measures to ensure that the information on the
actual time of arrival and the actual time of departure of any ship calling at their ports and
anchorages, together with an identifier of the port concerned, is transferred within a reasonable
time to the inspection database through the Community maritime information exchange
system ‘SafeSeaNet’ referred to in Article 3(s) of Directive 2002/59/EC. Once they have
transferred such information to the inspection database through SafeSeaNet, Member States
are exempted from the provision of data in accordance with paragraphs 1.2 and 2(a) and (b) of
Annex XIV to this Directive.
3. Member States shall ensure that the information related to inspections performed in
accordance with this Directive is transferred to the inspection database as soon as the
inspection report is completed or the detention lifted.
Within 72 hours, Member States shall ensure that the information transferred to the inspection
database is validated for publication purposes.
4. On the basis of the inspection data provided by Member States, the Commission shall be able
to retrieve from the inspection database any relevant data concerning the implementation of this
Directive, in particular on the risk profile of the ship, on ships’ due for inspections, on ships’
movement data and on the inspection commitments of each Member State.
Member States shall have access to all the information recorded in the inspection database
which is relevant for implementing the inspection procedures of this Directive.
Member States and third signatories to the Paris MOU shall be granted access to any data
they have recorded in the inspection database and to data on ships flying their flag.
Annex XII: Functionalities of the inspection database (referred to in article 24(1)):
2. The inspection database shall have the capability to adapt to future developments and to
interface with other Community maritime safety databases, including SafeSeaNet, which shall
provide data on ships’ actual calls to ports of Member States and, where appropriate, to relevant
national information systems.
1.5 Council conclusions on Arctic issues
The 2985th Foreign Affairs Council meeting held in Brussels on, 8 December 2009 recorded that:
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14. The Council underlines the need to further explore the options and consequences of
exchanging Automatic Identification System (AIS) information with non-EU/Europeans
Economic Area Arctic states and to assess to what extent operational assistance in the field of
pollution prevention and response can be extended to the Arctic area. To this end, the Council
invites the Commission to examine, with the full support of the SafeSeaNet High Level Steering
Group, the possible development of a policy of access rights to define the relations of
SafeSeaNet with other information systems used by third countries.
1.6 Accident Investigation
EU Directive 2009/18/ECestablishing the fundamental principles governing the investigation of
accidents in the maritime transport sector and amending Council Directive (replacing Article 11 of
Directive 2002/59/EC) states in Article 9(3):
(f) establish confidentiality rules for the sharing, in the respect of national rules, of witness
evidence and the processing of data and other records referred to in Article 9, including in
relations with third countries;
Further, with respect to “Cooperation with substantially interested third countries”, Article 12 states:
1. Member States shall cooperate, to the maximum extent possible, with other substantially
interested third countries in safety investigations.
2. Border Control
Council Regulation (EC) No 2007/2004establishing a European Agency for the Management of
Operational Cooperation at the External Borders of the Member States of the European Union
(FRONTEX) mentions in the recital:
(12) For the purpose of fulfilling its mission and to the extent required for the accomplishment of
its tasks, the Agency may cooperate with Europol, the competent authorities of third
countries and the international organisations competent in matters covered by this
Regulation in the framework of working arrangements concluded in accordance with the
relevant provisions of the Treaty. The Agency should facilitate the operational
cooperation between Member States and third countries in the framework of the external
relations policy of the European Union.
Further, the Regulation states:
Without prejudice to the competencies of the Agency, Member States may continue cooperation
at an operational level with other Member States and/or third countries at external borders,
where such cooperation complements the action of the Agency. (Article 2 (2))
and
Facilitation of operational cooperation with third countries and cooperation with
competent authorities of third countries In matters covered by its activities and to the extent
required for the fulfilment of its tasks, the Agency shall facilitate the operational cooperation
between Member States and third countries, in the framework of the European Union
external relations policy.
The Agency may cooperate with the authorities of third countries competent in matters covered
by this Regulation in the framework of working arrangements concluded with these authorities, in
accordance with the relevant provisions of the Treaty. (Article 14)
3. Customs
The following text is extracted from the EU website 73 on “International Customs Co-operation and
Mutual Administrative Assistance Agreements”:
Introduction
For the policy of the European Community, cooperation at international level between the
custom authorities is an important tool for providing a balance between the necessary trade
liberalisation and the increasing international trade with the world's large trading partners. This
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Source:
http://ec.europa.eu/taxation_customs/customs/policy_issues/international_customs_agreements/index
_en.htm
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cooperation should help customs authorities to use new instruments or increase the efficiency in
existing tools for the control of the trade flows and the fight against fraud and illegal activities.
In coherence with this policy, the Customs Cooperation and Mutual Administrative
Assistance Agreements, allow the parties to put the necessary tools for customs cooperation
in place. For the benefit of world trade and international assistance to fight against customs
fraud, the European Union has signed customs cooperation and mutual administrative
assistance agreements (Korea, Canada, Hong Kong, US, India, China and Japan).
The European Union also has Partnership and Co-operation Agreements with a number of
countries, including Russia and Ukraine, which cover customs co-operation and include a
protocol on mutual administrative assistance.
The agreements are part of the European Community's strategy vis-à-vis third countries as
regards customs co-operation. They focus on strengthened co-operation of customs
authorities with a view:
 to creating a level playing field for economic operators and
 to exchanging information on customs legislation and customs rules as early as possible.
They provide also for the possibility to exchange information on technical assistance
granted to third countries with a view to improving these actions. The agreements specify also
that both sides shall strive for simplification and harmonisation of customs procedures,
taking into account the work done by international organisations like for example the World
Customs Organisation (WCO) and the World Trade Organisation (WTO). They stipulate that
both sides shall cooperate as regards the computerisation of customs procedures and
formalities with the aim of facilitating trade between them.
The agreements contain also a chapter on mutual assistance in customs matters, which lay
down under which circumstances and how customs authorities can exchange data relating to
breaches of customs legislation and fraud cases. The rules have to be strictly applied.
Moreover, data protection rules have to be applied and the confidentiality of information has
to be respected.
The existing Customs Cooperation agreements provide also for the possibility:
 to expand their scope and
 to increase the levels of customs co-operation.
There is a possibility to maintain pre-existing bilateral agreements as long as they are not in
contradiction with Community competences and the Customs Cooperation and Mutual
Administrative Assistance Agreements. The provisions of the latter, shall take precedence over
the provisions of any bilateral agreement on customs cooperation and mutual administrative
assistance which have been or may be concluded between individual Member States and the
contracting party insofar as the provisions of the latter are incompatible with those of these
Agreements.
Each agreement establishes a Joint Customs Co-operation Committee which consists of
representatives of the customs authorities of the Contracting Parties, i.e. representatives of the
third party competent services (i.e. the Canadian Border Services Agency), the European
Commission and of the customs authorities of Member States.
The Joint Committee has to ensure that the agreement is correctly applied and has examined all
questions arising from its application, for example all issues relating to problems concerning the
application of customs rules in trade (classification of goods, origin problems etc) or concerning
future developments of customs legislation (computerisation; changes to the Customs Code). It
serves also as a forum to discuss and prepare meetings relating to international organisations
like the WCO.
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The Joint Committee can adopt decisions and recommendations to strengthen co-operation or
to strive for the solution of problems encountered in the application of customs rules.
The formal Joint Customs Co-operation Committee meetings are mostly used to enshrine joint
positions and to formally agree a common approach. In between the meetings, both sides cooperate closely through informal channels and also in the margins of the many international
meetings.
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