Proposal for a Regulation of the European Parliament and of the Council on the liability of carriers of passengers by sea and inland waterways in the event of accidents {SEC(2005) 1516}
Date: 2005-11-23
Institutions: European Commission
Subjects: carriage of passengers, carrier, liability, maritime transport, safety standard, transport safety

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 23.11.2005 
COM(2005) 592 final 

2005/0241 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the liability of carriers of passengers by sea and inland waterways in 
the event of accidents 

(presented by the Commission) 

{SEC(2005) 1516} 

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EXPLANATORY MEMORANDUM 

1)  CONTEXT OF THE PROPOSAL 

110 

•  Grounds for and objectives of the proposal 

Following  its  2001  White  Paper  on  Transport  Policy  (COM(2001)  370),  in  2002  the 
Commission presented a "Communication on the enhanced safety of passenger ships in 
the Community" (COM(2002) 158) where it outlined its views on certain key elements 
which should form part of a workable maritime passenger liability regime to be put in 
place in the European Union in the near future. These key elements were the following. 

– 

– 

– 

– 

Strict liability up to a sufficiently high limit and extended liability in case of 
fault or neglect. Strict liability is aimed at improving the position of claimants, 
as the liability is not dependent on an act of fault or negligence by the carrier. 

Compulsory insurance. The liability regime needs to be coupled with rigorous 
insurance requirements in order to be effective. 

Right  to  direct  action.  The  possibility  for  claimants  to  make  their  claims 
directly against the insurer is of key importance in shipping, as the carrier may 
at  times  be  difficult  to  trace  and/or  unable  to  fully  meet  its  financial 
obligations. 

National  carriage.  The  EC  liability  regime  should  cover  all  transport  in  the 
Community, including carriage within a single Member State. 

That  2002  Communication  coincided  with  the  revision,  under  the  aegis  of  the 
International  Maritime  Organisation  (IMO),  of  the  international  rules  on  the  liability 
for carriers of passengers by sea at international level: the Athens Convention Relating 
to the Carriage of Passengers and their Luggage by Sea, 1974.  

The  Commission  explained  in  its  Communication  that  the  first  three  elements 
mentioned above were insufficiently regulated in the Athens Convention. However, it 
stated that if the reviewed international regime were to satisfy all those key elements, it 
would be preferable to implement the EU regime within this international context. 

The Protocol of 2002 to the Athens Convention Relating to the Carriage of Passengers 
and their Luggage by Sea, 1974, was adopted on 1 November 2002. The Commission 
considers  it  satisfies  the  first  three  above  requirements  set  out  in  the  2002 
Communication. 

Articles  10  and  11  of  this  Protocol  provide  for  rules  on  the  jurisdiction  and  the 
recognition and enforcement of judgments given in accordance with the Protocol. For 
these matters the Community has, through the adoption of Regulation (EC) No 44/2001 
on  the  jurisdiction  and  the  recognition  and  enforcement  of  judgments  in  civil  and 
commercial  matters  on  22  December  2000,  acquired  exclusive  competence.  This 
Regulation is binding upon all EU Member States, with the exception of Denmark.  

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Articles  10  and  11  of  the  Protocol  affect  the  provisions  of  Regulation  (EC) 
No 44/2001.  Consequently,  Member  States  cannot,  outside  the  framework  of  the 
Community  institutions,  assume  obligations  with  third  countries  relating  to  those 
Articles. 

Therefore,  the  Commission  presented  on  24  June  2003  a  proposal  for  a  Council 
decision  concerning  the  conclusion  by  the  European  Community  of  the  Protocol  of 
2002  to  the  Athens  Convention  relating  to  the  Carriage  of  Passengers  and  their 
Luggage by Sea, 1974 (COM(2003) 375). With this, the Commission proposed that the 
Community  becomes  a  Contracting  Party  to  the  Protocol  at  the  earliest  possible 
moment  and  that  the  Member  States  shall  do  likewise  before  the  end  of  2005.  The 
Commission  regrets  that  no  progress  has  been  made  on  this  proposal  within  the 
Council since December 2003. 

At the same time, in order to achieve a uniform and adequate passenger liability regime 
in  the  Community,  the  conclusion  by  the  Community  of  the  Protocol  needs  to  be 
complemented  by  a  Regulation  incorporating  the  provisions  of  this  Protocol  into 
Community law. 

Furthermore,  the  Commission  confirmed  its  intention  to  present  this  proposal  in  its 
the  European  Union” 
communication  “Strengthening  passenger  rights  within 
(COM(2005) 46). 

120 

•  General context 

Historical background to the Athens Convention 1974 and its subsequent protocols is 
provided  in  the  Commission  Communication  of  2002  on  the  enhanced  safety  of 
passenger ships in the Community. For the purposes of this proposal, the “Protocol of 
2002  to  the  Athens  Convention  Relating  to  the  Carriage  of  Passengers  and  their 
Luggage by Sea, 1974” will be named hereafter the “Athens Convention 2002”. 

The main features of the Athens Convention 2002 are the following: 

– 

Scope of application 

The  Athens  Convention  2002  applies  to  all  seagoing  vessels,  with  the  exclusion  of 
air-cushion vehicles. 

The Convention is applicable “to any international carriage if: 

(a) 

(b) 

(c) 

the ship is flying the flag of or is registered in a State Party to this Convention; 
or 

the contract of carriage has been made in a State Party to this Convention; or 

the place of departure or destination, according to the contract of carriage, is 
in a State Party to this Convention”. 

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However,  only  ships  licensed  to  carry  more  than  twelve  passengers  are  required  to 
carry an insurance certificate under the Convention. 

– 

Strict liability 

The  Athens  Convention  1974  established  a  fault-based  liability  regime,  in  which  the 
carrier can limit his liability up to EUR 53 665 (46 666 SDR) per passenger in case of 
death or personal injury.  

The  Athens  Convention  2002  makes  a  distinction  between  two  categories  of  claims. 
Damage  which  is  caused  by  the  operation  of  the  ship  and  where  the  possibility  of 
passengers  to  control  the  events  is  very  limited  (shipping  incidents)  are  subject  to  a 
strict liability regime while other types of personal injury damage incurred on board are 
subject to a negligence-based liability system. 

– 

Sufficient limits of liability 

The  Athens  Convention  2002  sets  two  limits:  EUR 287 500  (250 000  SDR)  for  strict 
liability and EUR 460 000 (400 000 SDR) for fault-based liability. This represents an 
important  increase  compared  to  the  previous  applicable  limit  of  EUR 53 665 
(46 666 SDR)  in  the  Athens  Convention  1974  and  EUR 201 250  (175 000  SDR)  laid 
down  both  in  a  subsequent  revision  of  the  Athens  convention  (1990  Protocol  to  the 
Athens  Convention)  and  in  the  1996  Protocol  to  the  Convention  on  Limitation  of 
Liability for Maritime Claims (LLMC). 

– 

Extended liability in case of fault or neglect 

The  Athens  Convention  1974  established  a  fault-based  liability  regime  with  a 
limitation  ceiling  of  EUR 53 665  (46 666  SDR).  The  right  of  carriers  to  limit  their 
liability could be waived in cases of gross misconduct. The limitation right, both in the 
Athens Convention 1974 and in the LLMC regime, is lost only where the carrier has 
acted “with intent to cause such damage, or recklessly and with knowledge that such 
damage  would  probably  result”.  Clearly,  there  can  be  very  few  incidents  involving 
passenger  ships  that  would  satisfy  those  criteria  and  for  practical  purposes  the 
limitation right may therefore be considered to be unbreakable at present.  

The Athens Convention 2002 sets out two regimes: 

– 

– 

For  shipping  incidents,  a  new  scheme  is  created  with  two  layers.  A  first 
ceiling of EUR 287 500 (250 000 SDR) for the part covered by strict liability 
and a higher limitation figure up to EUR 460 000 (400 000 SDR) “unless the 
carrier  proves  that  the  incident  which  caused  the  loss  occurred  without  the 
fault or neglect of the carrier”. 

For  cases  other  than  shipping  incidents,  the  carrier  shall  be  liable,  up  to 
EUR 460 000 (400 000 SDR), “if the incident which caused the loss was due 
to  the  fault  or  neglect  of  the  carrier.  The  burden  of  proving  fault  or  neglect 
shall lie with the claimant”. 

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Article 13 of the Athens Convention 2002 adds: “The carrier shall not be entitled to the 
benefit of [those] limits of liability (…), if it is proved that the damage resulted from an 
act or omission of the carrier done with the intent to cause such damage, or recklessly 
and with knowledge that such damage would probably result”. 

– 

Regime applicable to loss or damage to luggage 

The Athens Convention 2002 lays down a twofold regime: 

“For the loss suffered as a result of the loss of or damage to cabin luggage, the carrier 
shall be liable if the incident which caused the loss was due to the fault or neglect of 
the carrier. The fault or neglect of the  carrier shall  be  presumed  for  loss caused by a 
shipping incident.” 

“For the loss suffered as a result of the loss of or damage to luggage other than cabin 
luggage,  the  carrier  shall  be  liable  unless  the  carrier  proves  that  the  incident  which 
caused the loss occurred without the fault or neglect of the carrier.” 

The Convention fixes a series of figures for instance: for the loss of or damage to cabin 
luggage  liability  shall  in  no  case  exceed  EUR 2 587  (2 250  SDR)  per  passenger,  per 
carriage. 

– 

Compulsory insurance 

The  Athens  Convention  2002  introduces  a  new  requirement  for  carriers  to  be 
adequately  insured.  The  absence  of  insurance  requirement  on  passenger  carriers  was 
indeed  out  of  any  proportion  with  the  risks  involved  in  the  carriage  of  hundreds  or 
thousands  of  passengers  on  board  a  ship.  While  it  is  true  that  most  passenger  ships 
nevertheless  are  financially  protected,  usually  through  entry  in  one  of  the  mutual 
Protection & Indemnity (P&I) Clubs, the absence of formal requirements on insurance 
standards lacked justification.  

– 

– 

Direct action (pro memoria). 

Procedural law 

The Athens Convention 2002 provides for rules on civil procedure, such as a two year 
time  bar  for  actions.  It  also  contains  rules  on  jurisdiction  and  on  the  recognition  and 
enforcement of judgements.  

It should be noted that such rules are already governed by Regulation (EC) No 44/2001 
on  the  jurisdiction  and  the  recognition  and  enforcement  of  judgments  in  civil  and 
commercial  matters  on  22  December  2000.  Negotiations  on  the  Athens  Convention 
rendered  it  possible  for  the  continued  application  of  this  Regulation  between  EU 
Member  States  (Article  17  bis  (3)  of  the  Convention),  but  only  as  regards  the 
recognition and enforcement of judgements. Therefore, the rules on jurisdiction in the 
Convention  will  have  precedence  over  the  corresponding  rules  in  the  Community 
Regulation. 

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139 

141 

•  Existing provisions in the area of the proposal 

There are no existing provisions in the area of the proposal. 

•  Consistency with the other policies and objectives of the Union 

This  proposal  is  an  element  in  the  EU  policy  that  aims  at  tackling  the  risks  faced  by 
citizens  in  their  daily  life.  The  establishment  of  unified  liability  rules  across  the  EU 
furthermore  contributes  to  a  harmonised  and  friendly  environment  for  passenger 
carriers. The above considerations are among the strategic objectives underlined by the 
Commission in its Communication of 26 January 2005 “Strategic objectives 2005-2009 
−  Europe  2010:  A  Partnership  for  European  Renewal  -  Prosperity,  Solidarity  and 
Security” (COM(2005) 12). 

2)  CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of interested parties 

211 

Consultation methods, main sectors targeted and general profile of respondents 

The  Commission  consulted  with  Member  States  and  stakeholders  in  two  rounds  of 
consultations  in  May  2004  and  in  February  2005  on  the  main  features  of  the 
forthcoming proposal, as part of the consultation process for the entire third maritime 
safety legislative package. 

212 

Summary of responses and how they have been taken into account 

The Commission initiative to incorporate the Athens Convention into Community law 
was welcome by all respondents.  

However, shipowners' representatives expressed their concerns that the scope would be 
extended  to  domestic  traffic  and  inland  waterways  navigation.  The  Commission  has 
taken into consideration these objections when assessing the impacts of the proposal. 
However, the Commission concluded that such an extension is justified because of the 
differences  in  the  existing  respective  liability  regimes  applicable  to  passengers,  as 
outlined  in  this  impact  assessment  study.  The  extension  is  also  justified  because  the 
insurance  system  laid  down  in  the  Athens  Convention  does  not  apply  to  small  ships, 
which are not licensed to carry more than 12 passengers. For those ships, the national 
legislation will continue to apply.  

Further concerns were expressed by industry (shipowners and P&I clubs) in relation to 
the implementation of the Athens Convention 2002 and in particular its Article 3(1) on 
the liability for incidents caused by terrorism. 

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229 

230 

231 

305 

The  Commission  has  taken  note  that  these  concerns  are  already  addressed  at  global 
level within the IMO and should not receive at this stage any solution at regional level. 
It  is  reported  that  a  solution  will  be  found  in  spring  2006  at  the  next  meeting  of  the 
IMO Legal Committee, through a commitment by States to issue a certain reservation 
clause when acceding to the Convention. 

•  Collection and use of expertise 

There was no need for external expertise. 

•  Impact assessment 

Option 1: implementation of the Athens Convention only. This will be achieved with 
the adoption by the Council of the Commission proposal of June 2003 relating to the 
accession by the Community and by the Member States to the Athens Convention. The 
scheme will only be applicable to international transport.  

Option  2:  incorporation  of  the  Convention  without  adaptations.  The  main  advantage 
with this process is to ensure a uniform interpretation of the Convention by the Court 
of Justice. The impacts will be similar as with option 1.  

Option  3:  incorporation  of  the  Convention  with  adaptations,  such  as  the  extension  of 
the  scope  to  cover  domestic  traffic  and  inland  waterway  transportation.  With  this 
option,  all  passengers  will  benefit  from  the  new  scheme  of  the  Convention  and  all 
carriers will be subject to the same liability regime throughout Europe. 

The  Commission  carried  out  an  impact  assessment  listed  in  the  Work  Programme, 
whose report is accessible on SEC(2005) 1516. 

3)  LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed action 

The proposal aims at incorporating the Athens Convention into EC law but brings the 
following adaptations to it: 

– 

– 

– 

– 

– 

– 

extension of the scope of application to domestic traffic; 

extension of the scope of application to inland waterway; 

removal  of  the  possibility  for  Member  States  under  the  Athens  Convention 
2002  in  fixing  limits  of  liability  higher  than  those  provided  for  in  the 
Convention; 

for  damage  or  loss  of  mobility  equipment/medical  equipment  belonging  to  a 
passenger with reduced mobility, compensation equivalent at the maximum, to 
the replacement value of the equipment; 

advance payments as provided in the air and rail sectors; 

pre-journey information. 

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310 

320 

321 

323 

324 

325 

327 

331 

332 

•  Legal basis 

Article 71(2) and Article 80(2) of the EC Treaty. 

•  Subsidiarity principle 

The  subsidiarity  principle  applies  insofar  as  the  proposal  does  not  fall  under  the 
exclusive competence of the Community. 

The  objectives  of  the  proposal  cannot  be sufficiently  achieved  by  the  Member  States 
for the following reason(s). 

From the perspective of both the industry and passengers, there is hardly a distinction 
between domestic and international traffic within the Community. It is of the interest of 
all parties involved  to  have  a  uniform  and clear regime  applicable to  the transport of 
passengers in the Community. 

There  is  a  risk  that  diverging  national  standards  would  create  unfair  competition 
between national carriers and would create unbalanced treatment between the citizens 
of the different Member States, when travelling within the Community. 

Community action will better achieve the objectives of the proposal for the following 
reason(s). 

Community action in this field will guarantee a uniform set of rules governing liability 
for  all  journeys  regardless  whether  there  are  taking  place  on  international,  intra-
Community or domestic routes.  

Furthermore,  this  EU  initiative  will  guarantee  the  uniformity  of  implementation  and 
interpretation of the Athens Convention between Member States. 

The  protection  of  passengers  is  one  of  the  objectives  of  the  Community  transport 
policy.  Issues  relating  to  the  liability  of  the  carrier  and  the  rights  of  passengers 
following an accident are better addressed at the EU level for reasons explained above. 

The proposal therefore complies with the subsidiarity principle. 

•  Proportionality principle 

The proposal complies with the proportionality principle for the following reason(s). 

The  adaptations  to  the  Convention  brought  by  the  Regulation,  such  as  on  the  pre-
journey information, are natural complements to the scheme of the Convention.  

The main financial and administrative burden will fall upon national governments who 
would  have  to  handle  the  insurance  certificates  not  only  for  carriers  operating  on 
international  voyages  (as  a  result  of  the  Athens  Convention)  but  also  for  carriers  on 
domestic journeys and on inland waterway. 

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341 

342 

•  Choice of instruments 

Proposed instruments: regulation. 

Other means would not be adequate for the following reason(s). 

The  Commission  hereby  follows  the  same  process  as  for  the  incorporation  of  the 
applicable 
liability  of  air  carriers  and  railway 
undertakings. 

international  Conventions  on 

4)  BUDGETARY IMPLICATION 

409 

The proposal has no implication for the Community budget. 

531 

532 

560 

570 

5)  ADDITIONAL INFORMATION 

•  Review/revision/sunset clause 

The proposal includes a review clause. 

The proposal includes a revision clause. 

•  European Economic Area 

The proposed act concerns an EEA matter and should therefore extend to the European 
Economic Area. 

•  Detailed explanation of the proposal 

Article 1 

The  Commission  is  hereby  proposing  this  new  piece  of  Community  legislation  to 
ensure  full,  uniform  and  simultaneous  application  of  the  provisions  of  the  Athens 
Convention  2002  for  all  passengers  onboard  ships,  regardless  of  whether  the  route 
sailed is international, intra-Community or domestic, by sea or inland waterway. 

Article 2 

The  scope  of  application  of  the  proposed  Regulation  is  wider  than  the  scope  of  the 
Athens Convention 2002. It comprises the scope of the Athens Convention (in order to 
make  the  whole  Convention  fully  enforceable  within  the  EU),  and  it  is  extended  to: 
(a) carriage within a single Member State; (b) traffic on inland waterway.  

The  three  conditions  set  in  this  Article  2,  which  reproduces  the  conditions  in  the 
Athens Convention, ensure a large application of the Regulation to cover most the EU 
citizens, even on a cruise overseas. 

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Article 3 

The proposed Regulation has been drafted in a way to ensure exact alignment with the 
Athens  Convention  2002  by  making  a  reference  to  the  relevant  provisions  of  the 
Convention.  This  method  was  also  selected  for  the  incorporation  of  the  Montreal 
Convention into Community law (Regulation (EC) No 889/2002). 

Article 4 

The proposed Regulation aims at total uniformity within the EU since it removes the 
possibility  for  Member  States  under  the  Athens  Convention  2002  in  fixing  limits  of 
liability higher than those provided for in the Convention. 

The  measure  in  paragraph  2  is  directly  inspired  from  an  EP  amendment  to  the 
Commission proposal for a Regulation on rail passengers' rights and obligations. 

Article 5 

It has been considered appropriate to introduce in the EC regime an additional measure 
which  is  not  envisaged  in  the  Athens  Convention  2002:  the  advance  payments  as 
provided for in the air and rail sectors.  

Article 6 

This provision on information to passengers is also an adaptation to the Convention. 

Article 7 

In  order  to  evaluate  the  effectiveness  of  the  Regulation  and  assess  the  need  for 
adaptations, the Commission will report on its application. 

The involvement of the Committee on Safe Seas and the Prevention of Pollution from 
Ships (COSS), created by Regulation 2099/2002 of 5 November 2002, will facilitate, 
inter alia, the updating of the Regulation in the event of any amendment of the Athens 
Convention 2002 at international level. 

Article 8 

As for the entry into force of the Regulation, the Commission would certainly privilege 
the earliest date compatible with the Community legislative process and the necessary 
adaptation of the industry.  

Since  the  Community  and  Member  States  are  to  become  contracting  parties  to  the 
Athens Convention 2002, the Commission considers, however, appropriate to envisage 
a  simultaneous  entry  into  force  of  both  the  Athens  Convention  2002  and  the  EC 
Regulation. 

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Annex 

A  copy  of  the  Athens  Convention  2002  is  attached  to  this  proposal  for  reference 
purposes only. As indicated in Article 1, the Athens Convention might be amended in 
the  future;  any  such  amendment  will  be  automatically  incorporated  into  the  EC 
legislation  unless  the  Commission,  assisted  by  the  Committee  on  Safe  Seas  and  the 
Prevention of Pollution from Ships (COSS) under Article 7, decides to exclude it from 
the scope of the Regulation. 

E-12163 

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2005/0241 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the liability of carriers of passengers by sea and inland waterways in 
the event of accidents 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article 71(1) and 80(2) thereof, 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the European Economic and Social Committee2, 

Having regard to the opinion of the Committee of the Regions3, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty4, 

Whereas: 

(1)  Within  the  framework  of  the  common  transport  policy,  further  measures  must  be 
adopted to enhance safety in maritime and inland waterway transport. Those measures 
include liability rules for damage caused to passengers, since it is important to ensure 
a  proper  level  of  compensation  for  passengers  involved  in  maritime  and  inland 
waterway accidents. 

(2) 

(3) 

The Protocol of 2002 to the Athens Convention relating to the Carriage of Passengers 
and their Luggage by Sea, 1974 was adopted on 1 November 2002 under the auspices 
of  the  International  Maritime  Organisation.  [The  Community  has  acceded  to  this 
Protocol5]. 

The  Athens  Convention  relating  to  the  Carriage  of  Passengers  and  their  Luggage  by 
Sea, 1974, as amended by its protocol of 2002, (hereinafter referred to as “the Athens 
Convention  2002”)  is  applicable  to  international  transport  only.  In  the  internal 
maritime market, the distinction between national and international transport has been 
eliminated and it is therefore appropriate to have the same level and nature of liability 

1 
2 
3 
4 
5 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
Insert publication reference to the adopting Council decision. 

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(4) 

(5) 

(6) 

(7) 

(8) 

in  both  international  and  national  transport  within  the  Community.  The  Athens 
Convention 2002 regime should be extended to inland waterways. 

It  is  appropriate  to  oblige  the  carrier  to  make  advance  payment  in  the  event  of  the 
death of, or personal injury to, a passenger. 

Appropriate  information  on  the  new  rights  being  conferred  on  passengers  should  be 
provided to those passengers prior to the journey. 

Any amendment to the Convention will be incorporated into Community legislation, 
unless  such  amendment  is  excluded  following  the  procedure  under  Article  5(2)  of 
Regulation  (EC)  No 2099/2002  of  the  European  Parliament  and  of  the  Council  of 
5 November 2002  establishing  a  Committee  on  Safe  Seas  and  the  Prevention  of 
Pollution  from  Ships  (COSS)  and  amending  the  Regulations  on  maritime  safety  and 
the prevention of pollution from ships6. 

The  European  Maritime  Safety  Agency  (EMSA),  established  by  Regulation  (EC) 
No 1406/2002  of  the  European  Parliament  and  of  the  Council,7  should  assist  the 
Commission in preparing and drafting a progress report on the functioning of the new 
rules and in proposing amendments to the Athens Convention 2002. 

Since  the  objectives  of  the  action  to  be  taken,  namely  to  create  a  single  set  of  rules 
governing the rights of carriers and their passengers in the event of an accident, cannot 
be sufficiently achieved by the Member States and can therefore, by reason of the need 
to  ensure  identical  limits  of  liability  in  all  Member  States,  be  better  achieved  at 
Community  level,  the  Community  may  adopt  measures,  in  accordance  with  the 
principle of  subsidiarity as  set out  in  Article 5 of the Treaty. In  accordance  with the 
principle  of  proportionality,  as  set  out  in  that  Article,  this  Regulation  does  not  go 
beyond what is necessary in order to achieve those objectives, 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Subject-matter 

This  Regulation  lays  down  a  Community  regime  of  uniform  liability  for  the  carriage  of 
passengers by sea and inland waterways. 

To  that  end,  this  Regulation  incorporates  the  relevant  provisions  of  the  Athens  Convention 
Relating  to  the  Carriage  of  Passengers  and  their  Luggage  by  Sea  1974,  as  amended  by  its 
protocol  of  2002,  hereinafter  referred  to  as  “the  Athens  Convention  2002”  and  extends  the 
application  of  those  provisions  to  carriage  by  sea  within  a  single  Member  State  and  to 
international and domestic carriage by inland waterways. 

6 

7 

OJ  L  324,  29.11.2002,  p. 1.  Regulation  as  amended  by  Commission  Regulation  (EC)  No 415/2004 
(OJ L 68, 6.3.2004, p. 10). 
OJ  L  208,  5.8.2002,  p.  1.  Regulation  as  last  amended  by  Regulation  (EC)  No  724/2004 
(OJ L 129, 29.4.2004, p. 1) 

EN 

13 

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Article 2 

Scope 

The  Regulation  shall  apply  to  any  international  or  domestic  carriage,  by  sea  or  inland 
waterway, if: 

(a) 

(b) 

(c) 

the ship is flying the flag of a Member State; 

the contract of carriage has been made in a Member State; or 

the  place  of  departure  or  destination,  according  to  the  contract  of  carriage,  is  in  a 
Member State. 

Article 3 

Liability of the carrier 

The liability of a carrier and of a performing carrier in respect of passengers and their luggage 
shall be governed by all provisions of the Athens Convention 2002 relevant to such liability.  

The  terms  “carrier”  and  “performing  carrier”  shall  be  understood  in  accordance  with  the 
definitions set out in Article 2 of the Athens Convention 2002. 

Article 4 

Limits of liability 

Article  7(2)  of  the  Athens  Convention  2002  is  not  applicable  to  the  carriage  of  passengers 
falling  within  the  scope  of  this  Regulation,  except  if  all  Member  States  agree  on  such  an 
application when amending this Regulation. 

In the event of loss of or damage to mobility equipment or medical equipment belonging to a 
passenger with reduced mobility, the compensation may be equal to, but shall not exceed, the 
replacement value of the equipment. 

Article 5 

Advance payment 

In  the  event  of  the  death  of,  or  personal  injury  to,  a  passenger  the  carrier  shall  make  an 
advance  payment  sufficient  to  cover  immediate  economic  needs,  within  15  days  from  the 
identification of the person entitled to damages. In the event of death this payment shall not be 
less than EUR 21 000. 

EN 

14 

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Article 6 

Information to passengers 

The carrier, the performing carrier and/or the tour operator shall provide passengers, prior to 
their  departure,  with  information  regarding  their  rights  under  this  Regulation,  in  particular 
with information on the limits of compensation for death, personal injury or loss and damage 
of luggage, on their right of direct action against the insurer or the person providing financial 
security and on their entitlement to an advance payment. 

This information shall be provided in the most appropriate format. 

Article 7 

Report and amendments to the Athens Convention 2002 

No later than three years after the entry into force of this Regulation, the Commission shall 
draw  up  a  report  on  its  application,  which  shall,  inter  alia,  take  into  account  economic 
developments and developments in international fora. 

Such a report may be accompanied by a proposal for an amendment of this Regulation, or by 
a  proposal  for  a  submission  to  be  made  by  the  European  Community  before  the  relevant 
international fora.  

In  doing  so,  the  Commission  shall  be  assisted  by  the  Committee  on  Safe  Seas  and  the 
Prevention  of  Pollution  from  Ships  (COSS),  established  by  Article  3  of  Regulation  (EC) 
No 2099/2002.  

Amendments  to  the  Athens  Convention  2002  may  be  excluded  from  the  scope  of  this 
Regulation, pursuant to Article 5(2) of Regulation (EC) No 2099/2002. 

Article 8 

Entry into force 

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

It shall apply from [the date of its entry into force or from the date of the entry into force of 
the Athens Convention for the Community, whichever is the later]. 

EN 

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

Done at Brussels, […] 

For the European Parliament 
The President 
[…] 

For the Council 
The President 
[…] 

EN 

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APPENDIX 

ATHENS CONVENTION RELATING TO THE CARRIAGE OF PASSENGERS AND 
THEIR LUGGAGE BY SEA, 2002 

(Consolidated text of the Athens Convention relating to the Carriage of Passengers and their 
Luggage by Sea, 1974 and the Protocol of 2002 to the Convention) 

ARTICLE 1 
Definitions 

In this Convention the following expressions have the meaning hereby assigned to them: 

1 

(a) 

“carrier”  means  a  person  by  or  on  behalf  of  whom  a  contract  of  carriage  has 
been  concluded,  whether  the  carriage  is  actually  performed  by  that  person  or 
by a performing carrier; 

(b) 

(c) 

“performing  carrier”  means  a  person  other  than  the  carrier,  being  the  owner, 
charterer or operator of a ship, who actually performs the whole or a part of the 
carriage; 

“carrier who actually performs the whole or a part of the carriage” means the 
performing carrier, or, in so far as the carrier actually performs the carriage, the 
carrier; 

“contract  of  carriage”  means  a  contract  made  by  or  on  behalf  of  a  carrier  for  the 
carriage by sea of a passenger or of a passenger and his luggage, as the case may be; 

“ship” means only a seagoing vessel, excluding an air-cushion vehicle; 

“passenger” means any person carried in a ship: 

(a) 

under a contract of carriage; or 

(b)  who, with the consent of the carrier, is accompanying a vehicle or live animals 
which are covered by a contract for the carriage of goods not governed by this 
Convention; 

“luggage”  means  any  article  or  vehicle  carried  by  the  carrier  under  a  contract  of 
carriage, excluding: 

(a) 

articles  and  vehicles  carried  under  a  charter  party,  bill  of  lading  or  other 
contract primarily concerned with the carriage of goods; and 

(b) 

live animals; 

“cabin luggage” means luggage which the passenger has in his cabin or is otherwise 
in his possession, custody or control. Except for the application of paragraph 8 of this 
Article and Article 8, cabin luggage includes luggage which the passenger has in or 
on his vehicle; 

2 

3 

4 

5 

6 

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7 

“loss  of  or  damage  to  luggage”  includes  pecuniary  loss  resulting  from  the  luggage 
not  having  been  re-delivered  to  the  passenger  within  a  reasonable  time  after  the 
arrival  of  the  ship  on  which  the  luggage  has  been  or  should  have  been  carried,  but 
does not include delays resulting from labour disputes; 

8 

“carriage” covers the following periods: 

(a)  with regard to the passenger and his cabin luggage, the period during which the 
passenger  and/or  his  cabin  luggage  are  on  board  the  ship  or  in  the  course  of 
embarkation or disembarkation, and the period during which the passenger and 
his cabin luggage are transported by water from land to the ship or vice-versa, 
if the cost of such transport is included in the fare or if the vessel used for this 
purpose of auxiliary transport has been put at the disposal of the passenger by 
the  carrier.  However,  with  regard  to  the  passenger,  carriage  does  not  include 
the period during which he is in a marine terminal or station or on a quay or in 
or on any other port installation; 

(b)  with regard to cabin luggage, also the period during which the passenger is in a 
marine terminal or station or on a quay or in or on any other port installation if 
that luggage has been taken over by the carrier or his servant or agent and has 
not been re-delivered to the passenger; 

(c)  with  regard  to  other  luggage  which  is  not  cabin  luggage,  the  period  from  the 
time  of  its  taking  over  by  the  carrier  or  his  servant  or  agent  on  shore  or  on 
board until the time of its re-delivery by the carrier or his servant or agent; 

“international  carriage”  means  any  carriage  in  which,  according  to  the  contract  of 
carriage,  the  place  of  departure  and  the  place  of  destination  are  situated  in  two 
different  States,  or  in  a  single  State  if,  according  to  the  contract  of  carriage  or  the 
scheduled itinerary, there is an intermediate port of call in another State; 

“Organization” means the International Maritime Organization; 

“Secretary-General” means the Secretary-General of the Organization. 

9 

10 

11 

ARTICLE 1bis 
Annex 

The Annex to this Convention shall constitute an integral part of the Convention. 

ARTICLE 2 
Application 

1 

This Convention shall apply to any international carriage if: 

(a) 

the ship is flying the flag of or is registered in a State Party to this Convention; 
or 

(b) 

the contract of carriage has been made in a State Party to this Convention; or 

(c) 

the place of departure or destination, according to the contract of carriage, is in 
a State Party to this Convention. 

EN 

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2 

1 

2 

3 

4 

5 

Notwithstanding  paragraph  1  of  this  Article,  this  Convention  shall  not  apply  when 
the  carriage  is  subject,  under  any  other  international  convention  concerning  the 
carriage  of  passengers  or  luggage  by  another  mode  of  transport,  to  a  civil  liability 
regime  under  the  provisions  of  such  convention,  in  so  far  as  those  provisions  have 
mandatory application to carriage by sea. 

ARTICLE 3 
Liability of the carrier 

For  the  loss  suffered  as  a  result  of  the  death  of  or  personal  injury  to  a  passenger 
caused by a shipping incident, the carrier shall be liable to the extent that such loss in 
respect of that passenger on each distinct occasion does not exceed 250 000 units of 
account, unless the carrier proves that the incident: 

(a) 

resulted  from  an  act  of  war,  hostilities,  civil  war,  insurrection  or  a  natural 
phenomenon of an exceptional, inevitable and irresistible character; or 

(b)  was  wholly  caused  by  an  act  or  omission  done  with  the  intent  to  cause  the 

incident by a third party. 

If and to the extent that the loss exceeds the above limit, the carrier shall be further 
liable  unless  the  carrier  proves  that  the  incident  which  caused  the  loss  occurred 
without the fault or neglect of the carrier. 

For the loss suffered as a result of the death of or personal injury to a passenger not 
caused by a shipping incident, the carrier shall be liable if the incident which caused 
the loss was due to the fault or neglect of the carrier. The burden of proving fault or 
neglect shall lie with the claimant. 

For the loss suffered as a result of the loss of or damage to cabin luggage, the carrier 
shall be liable if the incident which caused the loss was due to the fault or neglect of 
the carrier. The fault or neglect of the carrier shall be presumed for loss caused by a 
shipping incident. 

For the loss suffered as a result of the loss of or damage to luggage other than cabin 
luggage, the  carrier  shall be liable unless  the carrier proves that the incident which 
caused the loss occurred without the fault or neglect of the carrier. 

For the purposes of this article: 

(a) 

(b) 

(c) 

“shipping  incident”  means  shipwreck,  capsizing,  collision  or  stranding  of  the 
ship, explosion or fire in the ship, or defect in the ship; 

“fault or neglect of the carrier” includes the fault or neglect of the servants of 
the carrier, acting within the scope of their employment; 

“defect  in  the  ship”  means  any  malfunction,  failure  or  non-compliance  with 
applicable safety regulations in respect of any part of the ship or its equipment 
when  used  for  the  escape,  evacuation,  embarkation  and  disembarkation  of 
passengers,  or  when  used  for  the  propulsion,  steering,  safe  navigation, 
mooring,  anchoring,  arriving  at  or  leaving  berth  or  anchorage,  or  damage 

EN 

19 

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6 

7 

8 

1 

2 

3 

4 

5 

1 

control after flooding; or when used for the launching of life saving appliances; 
and 

(d) 

“loss” shall not include punitive or exemplary damages. 

The  liability  of  the  carrier  under  this  Article  only  relates  to  loss  arising  from 
incidents that occurred in the course of the carriage. The burden of proving that the 
incident which caused the loss occurred in the course of the carriage, and the extent 
of the loss, shall lie with the claimant. 

Nothing in this Convention shall prejudice any right of recourse of the carrier against 
any  third  party,  or  the  defence  of  contributory  negligence  under  Article 6  of  this 
Convention.  Nothing  in  this  Article  shall  prejudice  any  right  of  limitation  under 
Articles 7 or 8 of this Convention. 

Presumptions of fault or neglect of a party or the allocation of the burden of proof to 
a party shall not prevent evidence in favour of that party from being considered. 

ARTICLE 4 
Performing carrier 

If the performance of the carriage or part thereof has been entrusted to a performing 
carrier, the carrier shall nevertheless remain liable for the entire carriage according to 
the provisions of this Convention. In addition, the performing carrier shall be subject 
and  entitled  to  the  provisions  of  this  Convention  for  the  part  of  the  carriage 
performed by him. 

The carrier shall, in relation to the carriage performed by the performing carrier, be 
liable  for  the  acts  and  omissions  of  the  performing  carrier  and  of  his  servants  and 
agents acting within the scope of their employment. 

Any special agreement under which the carrier assumes obligations not imposed by 
this Convention or any waiver of rights conferred by this Convention shall affect the 
performing carrier only if agreed by him expressly and in writing. 

Where  and  to  the  extent  that  both  the  carrier  and  the  performing  carrier  are  liable, 
their liability shall be joint and several. 

Nothing  in  this  Article  shall  prejudice  any  right  of  recourse  as  between  the  carrier 
and the performing carrier. 

ARTICLE 4bis 
Compulsory insurance 

When  passengers  are  carried  on  board  a  ship  registered  in  a  State  Party  that  is 
licensed  to  carry  more  than  twelve  passengers,  and  this  Convention  applies,  any 
carrier  who  actually  performs  the  whole  or  a  part  of  the  carriage  shall  maintain 
insurance  or  other  financial  security,  such  as  the  guarantee  of  a  bank  or  similar 
financial institution, to cover liability under this Convention in respect of the death of 
and  personal  injury  to  passengers.  The  limit  of  the  compulsory  insurance  or  other 
financial  security  shall  not  be  less  than  250 000  units  of  account  per  passenger  on 
each distinct occasion. 

EN 

20 

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2 

A  certificate  attesting  that  insurance  or  other  financial  security  is  in  force 
in accordance  with  the  provisions  of  this  Convention  shall  be  issued  to  each  ship 
after the appropriate authority of a State Party has determined that the requirements 
of paragraph 1 have been complied with. With respect to a ship registered in a State 
Party, such certificate shall be issued or certified by the appropriate authority of the 
State of the ship's registry; with respect to a ship not registered in a State Party it may 
be issued or certified by the appropriate authority of any State Party. This certificate 
shall be in the form of the model set out in the annex to this Convention  and shall 
contain the following particulars: 

(a) 

name of ship, distinctive number or letters and port of registry; 

(b)  name and principal place of business of the carrier who actually performs the 

whole or a part of the carriage; 

(c) 

IMO ship identification number; 

(d) 

type and duration of security; 

(e) 

name  and  principal  place  of  business  of  insurer  or  other  person  providing 
financial  security  and,  where  appropriate,  place  of  business  where  the 
insurance or other financial security is established; and 

(f) 

period of validity of the certificate, which shall not be longer than the period of 
validity of the insurance or other financial security. 

3 

(a)  A State Party may authorise an institution or an organisation recognised by it to 
issue the certificate. Such institution or organization shall inform that State of 
the issue of  each  certificate. In all cases,  the State  Party shall fully guarantee 
the completeness and accuracy of the certificate so issued, and shall undertake 
to ensure the necessary arrangements to satisfy this obligation. 

(b)  A State Party shall notify the Secretary-General of: 

(i) 

the  specific  responsibilities  and  conditions  of  the  authority  delegated  to 
an institution or organization recognised by it; 

(ii) 

the withdrawal of such authority; and 

(iii) 

the date from which such authority or withdrawal of such authority takes 
effect. 

An authority delegated shall not take effect prior to three months from the date 
from which notification to that effect was given to the Secretary-General. 

(c)  The  institution  or  organization  authorized  to  issue  certificates  in accordance 
with  this  paragraph  shall,  as  a  minimum,  be  authorized  to  withdraw  these 
certificates  if  the  conditions  under  which  they  have  been  issued  are  not 
complied  with.  In  all  cases  the  institution  or  organization  shall  report  such 
withdrawal to the State on whose behalf the certificate was issued. 

EN 

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4 

5 

6 

7 

8 

9 

10 

The certificate shall be in the official language or languages of the issuing State. If 
the  language  used  is  not  English,  French  or  Spanish,  the  text  shall  include  a 
translation into one of these languages, and, where the State so decides, the official 
language of the State may be omitted. 

The certificate shall be carried on board the ship, and a copy shall be deposited with 
the  authorities  who  keep  the  record  of  the  ship's  registry  or,  if  the  ship  is  not 
registered  in  a  State  Party,  with  the  authority  of  the  State  issuing  or  certifying  the 
certificate. 

An  insurance  or  other  financial  security  shall  not  satisfy  the  requirements  of  this 
Article if it can cease, for reasons other than the expiry of the period of validity of 
the  insurance  or  security  specified  in  the  certificate,  before  three  months  have 
elapsed  from  the  date  on  which  notice  of  its  termination  is  given  to  the  authorities 
referred  to  in  paragraph 5,  unless  the  certificate  has  been  surrendered  to  these 
authorities or a new certificate has been issued within the said period. The foregoing 
provisions shall similarly apply to any modification which results in the insurance or 
other financial security no longer satisfying the requirements of this Article. 

The  State  of  the  ship's  registry  shall,  subject  to  the  provisions  of  this  Article, 
determine the conditions of issue and validity of the certificate. 

Nothing  in  this  Convention  shall  be  construed  as  preventing  a  State  Party  from 
relying  on  information  obtained  from  other  States  or  the  Organization  or  other 
international organizations relating to the financial standing of providers of insurance 
or  other  financial  security  for  the  purposes  of  this  Convention.  In  such  cases,  the 
State Party relying on such information is not relieved of its responsibility as a State 
issuing the certificate. 

Certificates issued or certified under the authority of a State Party shall be accepted 
by other States Parties for the purposes of this Convention and shall be regarded by 
other  States  Parties  as  having  the  same  force  as  certificates  issued  or  certified  by 
them, even if issued or certified in respect of a ship not registered in a State Party. A 
State Party may at any time request consultation with the issuing or certifying State 
should it believe that the insurer or guarantor named in the insurance certificate is not 
financially capable of meeting the obligations imposed by this Convention. 

Any  claim  for  compensation  covered  by  insurance  or  other  financial  security 
pursuant  to  this  Article  may  be  brought  directly  against  the  insurer  or  other  person 
providing financial security. In such case, the amount set out in paragraph 1 applies 
as  the  limit  of  liability  of  the  insurer  or  other  person  providing  financial  security, 
even  if  the  carrier  or  the  performing  carrier is  not  entitled  to  limitation  of  liability. 
The  defendant  may  further  invoke  the  defences  (other  than  the  bankruptcy  or 
winding up) which the carrier referred to in paragraph 1 would have been entitled to 
invoke in accordance with this Convention. Furthermore, the defendant may invoke 
the defence that the damage resulted from the wilful misconduct of the assured, but 
the  defendant  shall  not  invoke  any  other  defence  which  the  defendant  might  have 
been entitled to invoke in proceedings brought by the assured against the defendant. 
The  defendant  shall  in  any  event  have  the  right  to  require  the  carrier  and  the 
performing carrier to be joined in the proceedings. 

EN 

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11 

12 

13 

14 

15 

Any  sums  provided  by  insurance  or  by  other  financial  security  maintained  in 
accordance  with  paragraph 1  shall  be  available  exclusively  for  the  satisfaction  of 
claims under this Convention, and any payments made of such sums shall discharge 
any liability arising under this Convention to the extent of the amounts paid. 

A  State  Party  shall  not  permit  a  ship  under  its  flag  to  which  this  Article  applies  to 
operate at any time unless a certificate has been issued under paragraphs 2 or 15. 

Subject  to  the  provisions  of  this  Article,  each  State  Party  shall  ensure,  under  its 
national  law,  that  insurance  or  other  financial  security,  to  the  extent  specified  in 
paragraph 1,  is  in  force  in  respect  of  any  ship  that  is  licensed  to  carry  more  than 
twelve passengers, wherever registered, entering or leaving a port in its territory in so 
far as this Convention applies. 

Notwithstanding  the  provisions  of  paragraph 5,  a  State  Party  may  notify  the 
Secretary-General  that,  for  the  purposes  of  paragraph 13,  ships  are  not  required  to 
carry on board or to produce the certificate required by paragraph 2 when entering or 
leaving ports in its territory, provided that the State Party which issues the certificate 
has  notified the Secretary-General  that it maintains records  in an electronic  format, 
accessible to all States Parties, attesting the existence of the certificate and enabling 
States Parties to discharge their obligations under paragraph 13. 

If insurance or other financial security is not maintained in respect of a ship owned 
by a State Party, the provisions of this Article relating thereto shall not be applicable 
to such ship, but the ship shall carry a certificate issued by the appropriate authorities 
of the State of the ship's registry, stating that the ship is owned by that State and that 
the liability is covered within the amount prescribed in accordance with paragraph 1. 
Such  a  certificate  shall  follow  as  closely  as  possible  the  model  prescribed  by 
paragraph 2. 

ARTICLE 5 
Valuables 

The carrier shall not be liable for the loss of or damage to monies, negotiable securities, gold, 
silverware,  jewellery,  ornaments,  works  of  art,  or  other  valuables,  except  where  such 
valuables  have  been  deposited  with  the  carrier  for  the  agreed  purpose  of  safe-keeping  in 
which case the carrier shall be liable up to the limit provided for in paragraph 3 of Article 8 
unless a higher limit is agreed upon in accordance with paragraph 1 of Article 10. 

ARTICLE 6 
Contributory fault 

If the carrier proves that the death of or personal injury to a passenger or the loss of or damage 
to his luggage was caused or contributed to by the fault or neglect of the passenger, the Court 
seized of the case may exonerate the carrier wholly or partly from his liability in accordance 
with the provisions of the law of that court. 

EN 

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1 

2 

1 

2 

3 

4 

1 

ARTICLE 7 
Limit of liability for death and personal injury 

The  liability  of  the  carrier  for  the  death  of  or  personal  injury  to  a  passenger  under 
Article 3  shall  in  no  case  exceed  400 000  units  of  account  per  passenger  on  each 
distinct occasion. Where, in accordance with the law of the court seized of the case, 
damages  are  awarded  in  the  form  of  periodical  income  payments,  the  equivalent 
capital value of those payments shall not exceed the said limit. 

A State Party may regulate by specific provisions of national law the limit of liability 
prescribed in paragraph 1, provided that the national limit of liability, if any, is not 
lower  than  that  prescribed  in  paragraph 1.  A  State  Party,  which  makes  use  of  the 
option provided for in this paragraph, shall inform the Secretary-General of the limit 
of liability adopted or of the fact that there is none. 

ARTICLE 8 
Limit of liability for loss of or damage to luggage and vehicles 

The liability of the carrier for the loss of or damage to cabin luggage shall in no case 
exceed 2 250 units of account per passenger, per carriage. 

The liability of the carrier for the loss of or damage to vehicles including all luggage 
carried  in  or  on  the  vehicle  shall  in  no  case  exceed  12 700  units  of  account  per 
vehicle, per carriage. 

The  liability  of  the  carrier  for  the  loss  of  or  damage  to  luggage  other  than  that 
mentioned in paragraphs 1 and 2 shall in no case exceed 3 375 units of account per 
passenger, per carriage. 

The  carrier  and  the  passenger  may  agree  that  the  liability  of  the  carrier  shall  be 
subject to a deductible not exceeding 330 units of account in the case of damage to a 
vehicle and not exceeding 149 units of account per passenger in the case of loss of or 
damage to other luggage, such sum to be deducted from the loss or damage. 

ARTICLE 9 
Unit of Account and conversion 

The Unit of Account mentioned in this Convention is the Special Drawing Right as 
defined  by  the  International  Monetary  Fund.  The  amounts  mentioned  in  Article 3, 
paragraph 1,  Article  4bis,  paragraph 1,  Article 7,  paragraph l,  and  Article 8  shall  be 
converted into the national currency of the State of the court seized of the case on the 
basis of the value of that currency by reference to the Special Drawing Right on the 
date of the judgment or the date agreed upon by the parties. The value of the national 
currency, in terms of the Special Drawing Right, of a State Party which is a member 
of  the  International  Monetary  Fund,  shall  be  calculated  in  accordance  with  the 
method of valuation applied by the International Monetary Fund in effect on the date 
in question for its operations and transactions. The value of the national currency, in 
terms of the Special Drawing Right, of a State Party which is not a member of the 
International  Monetary  Fund,  shall  be  calculated  in  a  manner  determined  by  that 
State Party. 

EN 

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2 

3 

1 

2 

Nevertheless, a State which is not a member of the International Monetary Fund and 
whose law does not permit the application of the provisions of paragraph 1 may, at 
the time of ratification, acceptance, approval of or accession to this Convention or at 
any time thereafter, declare that the Unit of Account referred to in paragraph 1 shall 
be equal to 15 gold francs. The gold franc referred to in this paragraph corresponds 
to sixty-five and a half milligrams of gold of millesimal fineness nine hundred. The 
conversion of the gold franc into the national currency shall be made according to the 
law of the State concerned. 

The  calculation  mentioned  in  the  last  sentence  of  paragraph 1,  and  the  conversion 
mentioned  in  paragraph 2  shall  be  made  in  such  a  manner  as  to  express  in  the 
national currency of the States Parties, as far as possible, the same real value for the 
amounts  in  Article 3,  paragraph 1,  Article 4bis,  paragraph 1,  Article 7,  paragraph 1, 
and  Article 8  as  would  result  from  the  application  of  the  first  three  sentences  of 
paragraph 1.  States  shall  communicate  to  the  Secretary-General  the  manner  of 
calculation pursuant to paragraph 1, or the result of the conversion in paragraph 2, as 
the case may be, when depositing an instrument of ratification, acceptance, approval 
of or accession to this Convention and whenever there is a change in either. 

ARTICLE 10 
Supplementary provisions on limits of liability 

The carrier and the passenger may agree, expressly and in writing, to higher limits of 
liability than those prescribed in Articles 7 and 8. 

Interest  on  damages  and  legal  costs  shall  not  be  included  in  the  limits  of  liability 
prescribed in Articles 7 and 8. 

ARTICLE 11 
Defences and limits for carriers' servants 

If  an  action  is  brought  against  a  servant  or  agent  of  the  carrier  or  of  the  performing  carrier 
arising out of damage covered by this Convention, such servant or agent, if he proves that he 
acted within the scope of his employment, shall be enled to avail himself of the defences and 
limits of liability  which  the  carrier or the performing carrier is entitled to invoke under this 
Convention. 

ARTICLE 12 
Aggregation of claims 

1 

2 

Where  the  limits  of  liability  prescribed  in  Articles  7  and  8  take  effect,  they  shall 
apply  to  the  aggregate  of  the  amounts  recoverable  in  all  claims  arising  out  of  the 
death  of  or  personal  injury  to  any  one  passenger  or  the  loss  of  or  damage  to  his 
luggage. 

In  relation  to  the  carriage  performed  by  a  performing  carrier,  the  aggregate  of  the 
amounts  recoverable  from  the  carrier  and  the  performing  carrier  and  from  their 
servants and agents acting within the scope of their employment shall not exceed the 
highest amount which could be awarded against either the carrier or the performing 
carrier under this Convention, but none of the persons mentioned shall be liable for a 
sum in excess of the limit applicable to him. 

EN 

25 

   EN 

 
3 

1 

2 

In  any  case  where  a  servant  or  agent  of  the  carrier  or  of  the  performing  carrier  is 
entitled under Article 11 of this Convention to avail himself of the limits of liability 
prescribed  in  Articles  7  and  8,  the  aggregate  of  the  amounts  recoverable  from  the 
carrier, or the performing carrier as the case may be, and from that servant or agent, 
shall not exceed those limits. 

ARTICLE 13 
Loss of right to limit liability 

The carrier shall not be entitled to the benefit of the limits of liability prescribed in 
Articles  7  and  8  and  paragraph  1  of  Article  10,  if  it  is  proved  that  the  damage 
resulted  from  an  act  or  omission  of  the  carrier  done  with  the  intent  to  cause  such 
damage, or recklessly and with knowledge that such damage would probably result. 

The servant or agent of the carrier or of the performing carrier shall not be entitled to 
the  benefit  of  those  limits  if  it  is  proved  that  the  damage  resulted  from  an  act  or 
omission  of  that  servant  or  agent  done  with  the  intent  to  cause  such  damage,  or 
recklessly and with knowledge that such damage would probably result. 

ARTICLE 14 
Basis for claims 

No action for damages for the death of or personal injury to a passenger, or for the loss of or 
damage to luggage, shall be brought against a carrier or performing carrier otherwise than in 
accordance with this Convention. 

ARTICLE 15 
Notice of loss or damage to luggage 

1 

The passenger shall give written notice to the carrier or his agent: 

(a) 

in the case of apparent damage to luggage: 

(i) 

for  cabin  luggage,  before  or  at  the  time  of  disembarkation  of  the 
passenger; 

(ii) 

for all other luggage, before or at the time of its re-delivery; 

(b) 

in  the  case  of  damage  to  luggage  which  is  not  apparent,  or  loss  of  luggage, 
within fifteen days from the date of disembarkation or re-delivery or from the 
time when such re-delivery should have taken place. 

If  the  passenger  fails  to  comply  with  this  Article,  he  shall  be  presumed,  unless  the 
contrary is proved, to have received the luggage undamaged. 

The notice in writing need not be given if the condition of the luggage has at the time 
of its receipt been the subject of joint survey or inspection. 

2 

3 

EN 

26 

   EN 

 
1 

2 

3 

4 

1 

ARTICLE 16 
Time-bar for actions 

Any action for damages arising out of the death of or personal injury to a passenger 
or  for  the  loss  of  or  damage  to  luggage  shall  be  time-barred  after  a  period  of  two 
years. 

The limitation period shall be calculated as follows: 

(a) 

(b) 

in  the  case  of  personal  injury,  from  the  date  of  disembarkation  of  the 
passenger; 

in  the  case  of  death  occurring  during  carriage,  from  the  date  when  the 
passenger  should  have  disembarked,  and  in  the  case  of  personal  injury 
occurring  during  carriage  and  resulting  in  the  death  of  the  passenger  after 
disembarkation,  from  the  date  of  death,  provided  that  this  period  shall  not 
exceed three years from the date of disembarkation; 

(c) 

in the case of loss of or damage to luggage, from the date of disembarkation or 
from the date when disembarkation should have taken place, whichever is later. 

The law of the Court seized of the case shall govern the grounds for suspension and 
interruption  of  limitation  periods,  but  in  no  case  shall  an  action  under  this 
Convention  be  brought  after  the  expiration  of  any  one  of  the  following  periods  of 
time: 

(a)  A  period  of  five  years  beginning  with  the  date  of  disembarkation  of  the 
passenger  or  from  the  date  when  disembarkation  should  have  taken  place, 
whichever is later; or, if earlier 

(b) 

a  period  of  three  years  beginning  with  the  date  when  the  claimant  knew  or 
ought  reasonably  to  have  known  of  the  injury,  loss  or  damage  caused  by  the 
incident. 

Notwithstanding paragraphs 1, 2 and 3 of this Article, the period of limitation may be 
extended by a declaration of the carrier or by agreement of the parties after the cause 
of action has arisen. The declaration or agreement shall be in writing. 

ARTICLE 17 
Competent jurisdiction 

An action arising under Articles 3 and 4 of this Convention shall, at the option of the 
claimant, be brought before one of the courts listed below, provided that the court is 
located in a State Party to this Convention, and subject to the domestic law of each 
State  Party  governing  proper  venue  within  those  States  with  multiple  possible 
forums: 

(a) 

the Court of the State of permanent residence or principal place of business of 
the defendant; or 

EN 

27 

   EN 

 
(b) 

(c) 

the  Court  of  the  State  of  departure  or  that  of  the  destination  according  to  the 
contract of carriage; or 

the Court of the State of the domicile or permanent residence of the claimant, if 
the defendant has a place of business and is subject to jurisdiction in that State; 
or 

(d) 

the Court of the State where the contract of carriage was made, if the defendant 
has a place of business and is subject to jurisdiction in that State.  

Actions under Article 4 bis of this Convention shall, at the option of the claimant, be 
brought before one of the courts where action could be brought against the carrier or 
performing carrier according to paragraph 1. 

After  the  occurrence  of  the  incident  which has caused  the  damage, the  parties  may 
agree  that  the  claim  for  damages  shall  be  submitted  to  any  jurisdiction  or  to 
arbitration. 

ARTICLE 17bis 
Recognition and enforcement 

Any judgment given by a court with jurisdiction in accordance with Article 17 which 
is enforceable in the State of origin where it is no longer subject to ordinary forms of 
review, shall be recognised in any State Party, except: 

(a)  where the judgment was obtained by fraud; or 

(b)  where the defendant was not given reasonable notice and a fair opportunity to 

present his or her case. 

A judgment recognised under paragraph 1 shall be enforceable in each State Party as 
soon  as  the  formalities  required  in  that  State  have  been  complied  with.  The 
formalities shall not permit the merits of the case to be re-opened. 

A  State  Party  to  this  Protocol  may  apply  other  rules  for  the  recognition  and 
enforcement of judgments, provided that their effect is to ensure that judgments are 
recognised and enforced at least to the same extent as under paragraphs 1 and 2. 

ARTICLE 18 
Invalidity of contractual provisions 

2 

3 

1 

2 

3 

Any contractual provision concluded before the occurrence of the incident which has caused 
the  death  of  or  personal  injury  to  a  passenger  or  the  loss  of  or  damage  to  the  passenger’s 
luggage, purporting to relieve any person liable under this Convention of liability towards the 
passenger or to prescribe a lower limit of liability than that fixed in this Convention except as 
provided  in  Article 8,  paragraph 4,  and  any  such  provision  purporting  to  shift  the  burden  of 
proof which rests on the carrier or performing carrier, or having the effect of restricting the 
options specified in Article 17, paragraphs 1 or 2, shall be null and void, but the nullity of that 
provision  shall  not  render  void  the  contract  of  carriage  which  shall  remain  subject  to  the 
provisions of this Convention. 

EN 

28 

   EN 

 
ARTICLE 19 
Other conventions on limitation of liability 

This  Convention  shall  not  modify  the  rights  or  duties  of  the  carrier,  the  performing  carrier, 
and their servants or agents provided for in international conventions relating to the limitation 
of liability of owners of seagoing ships. 

ARTICLE 20 
Nuclear damage 

No liability shall arise under this Convention for damage caused by a nuclear incident: 

(a) 

(b) 

if  the  operator  of  a  nuclear  installation  is  liable  for  such  damage  under  either  the 
Paris  Convention  of  29 July  1960  on  Third  Party  Liability  in  the  Field  of  Nuclear 
Energy  as  amended  by  its  Additional  Protocol  of  28 January  1964,  or  the  Vienna 
Convention  of  21 May  1963  on  Civil  Liability  for  Nuclear  Damage,  or  any 
amendment or Protocol thereto which is in force; or 

if  the  operator  of  a  nuclear  installation  is  liable  for  such  damage  by  virtue  of  a 
national law governing the liability for such damage, provided that such law is in all 
respects as favourable to persons who may suffer damage as either the Paris or the 
Vienna Conventions or any amendment or Protocol thereto which is in force. 

ARTICLE 21 
Commercial carriage by public authorities 

This  Convention  shall  apply  to  commercial  carriage  undertaken  by  States  or  Public 
Authorities under contract of carriage within the meaning of Article 1. 

ARTICLE 22 
Declaration of non-application 

1 

2 

Any Party may at the time of signing, ratifying, accepting, approving or acceding to 
this  Convention,  declare  in  writing  that  it  will  not  give  effect  to  this  Convention 
when the passenger and the carrier are subjects or nationals of that Party. 

Any  declaration  made  under  paragraph  1  of  this  Article  may  be  withdrawn  at  any 
time by a notification in writing to the Secretary-General. 

ARTICLE 22bis 
Final clauses of the Convention 

The final clauses of this Convention shall be Articles 17 to 25 of the Protocol of 2002 to the 
Athens  Convention  relating  to  the  Carriage  of  Passengers  and  their  Luggage  by  Sea,  1974. 
References  in  this  Convention  to  States  Parties  shall  be  taken  to  mean  references  to  States 
Parties to that Protocol. 

FINAL CLAUSES 

[Articles 17 to 25 of the Protocol of 2002 to the Athens Convention relating to the Carriage of 
Passengers and their Luggage by Sea, 1974.] 

EN 

29 

   EN 

 
ARTICLE 17 
Signature, ratification, acceptance, approval and accession 

This  Protocol  shall  be  open  for  signature  at  the  Headquarters  of  the  Organization 
from 1 May 2003 until 30 April 2004 and shall thereafter remain open for accession. 

States may express their consent to be bound by this Protocol by: 

(a) 

signature without reservation as to ratification, acceptance or approval; or 

(b) 

signature  subject 
ratification, acceptance or approval; or 

to  ratification,  acceptance  or  approval  followed  by 

(c) 

accession. 

Ratification, acceptance, approval or accession shall be effected by the deposit of an 
instrument to that effect with the Secretary-General. 

Any instrument of ratification, acceptance, approval or accession deposited after the 
entry into force of an amendment to this Protocol with respect to all existing States 
Parties, or after the completion of all measures required for the entry into force of the 
amendment  with  respect  to  those  States  Parties  shall  be  deemed  to  apply  to  this 
Protocol as modified by the amendment. 

A  State  shall  not  express  its  consent  to  be  bound  by  this  Protocol  unless,  if  Party 
thereto, it denounces: 

(a) 

(b) 

(c) 

the  Athens  Convention  relating  to  the  Carriage  of  Passengers  and  their 
Luggage by Sea, done at Athens on 13 December 1974; 

the  Protocol  to  the  Athens  Convention  relating  to  the  Carriage  of  Passengers 
and their Luggage by Sea, done at London on 19 November 1976; and 

the Protocol of 1990 to amend the Athens Convention relating to the Carriage 
of Passengers and their Luggage by Sea, done at London on 29 March 1990, 

with  effect  from  the  time  that  this  Protocol  will  enter  into  force  for  that  State 
in accordance with Article 20. 

ARTICLE 18 
States with more than one system of law 

If  a  State  has  two  or  more  territorial  units  in  which  different  systems  of  law  are 
applicable  in  relation  to  matters  dealt  with  in  this  Protocol,  it  may  at  the  time  of 
signature,  ratification,  acceptance,  approval  or  accession  declare  that  this  Protocol 
shall extend to all its territorial units or only to one or more of them, and may modify 
this declaration by submitting another declaration at any time. 

Any  such  declaration  shall  be  notified  to  the  Secretary-General  and  shall  state 
expressly the territorial units to which this Protocol applies. 

In relation to a State Party which has made such a declaration: 

1 

2 

3 

4 

5 

1 

2 

3 

EN 

30 

   EN 

 
(a) 

(b) 

references  to  the  State  of  a  ship's  registry  and,  in  relation  to  a  compulsory 
insurance  certificate,  to  the  issuing  or  certifying  State,  shall  be  construed  as 
referring to the territorial unit respectively in which the ship is registered and 
which issues or certifies the certificate; 

references  to  the  requirements  of  national  law,  national  limit  of  liability  and 
national  currency  shall  be  construed  respectively  as  references  to  the 
requirements of the law, the limit of liability and the currency of the relevant 
territorial unit; and 

(c) 

references  to  courts,  and  to  judgments  which  must  be  recognised  in  States 
Parties,  shall  be  construed  as  references  respectively  to  courts  of,  and  to 
judgments which must be recognised in, the relevant territorial unit. 

ARTICLE 19 
Regional Economic Integration Organizations 

A  Regional  Economic  Integration  Organization,  which  is  constituted  by  sovereign 
States  that  have  transferred  competence  over  certain  matters  governed  by  this 
Protocol  to  that  Organization,  may  sign,  ratify,  accept,  approve  or  accede  to  this 
Protocol.  A  Regional  Economic  Integration  Organization  which  is  a  Party  to  this 
Protocol shall have the rights and obligations of a State Party, to the extent that the 
Regional Economic Integration Organization has competence over matters governed 
by this Protocol.  

Where  a  Regional  Economic  Integration  Organization  exercises  its  right  of  vote  in 
matters over which it has competence, it shall have a number of votes equal to the 
number  of  its  Member  States  which  are  Parties  to  this  Protocol  and  which  have 
transferred  competence  to  it  over  the  matter  in  question.  A  Regional  Economic 
Integration  Organization  shall  not  exercise  its  right  to  vote  if  its  Member  States 
exercise theirs, and vice versa. 

Where  the  number  of  States  Parties  is  relevant  in  this  Protocol,  including  but  not 
limited  to  Articles  20  and  23  of  this  Protocol,  the  Regional  Economic  Integration 
Organization shall not count as a State Party in addition to its Member States which 
are States Parties. 

At the time of signature, ratification, acceptance, approval or accession the Regional 
Economic Integration Organization shall make a declaration to the Secretary-General 
specifying the matters governed by this Protocol in respect of which competence has 
been transferred to that Organization by its Member States which are signatories or 
Parties  to  this  Protocol  and  any  other  relevant  restrictions  as  to  the  scope  of  that 
competence. The Regional Economic Integration Organization shall promptly notify 
the  Secretary-General  of  any  changes  to  the  distribution  of  competence,  including 
new transfers of competence, specified in the declaration under this paragraph. Any 
such  declarations  shall  be  made  available  by  the  Secretary-General  pursuant  to 
Article 24 of this Protocol. 

States  Parties  which  are  Member  States  of  a  Regional  Economic  Integration 
Organization which is a Party to this Protocol shall be presumed to have competence 
over  all  matters  governed  by  this  Protocol  in  respect  of  which  transfers  of 

1 

2 

3 

4 

5 

EN 

31 

   EN 

 
competence to the Organization have not been specifically declared or notified under 
paragraph 4. 

ARTICLE 20 
Entry into force 

This  Protocol  shall  enter  into  force  twelve  months  following  the  date  on  which  10 
States  have  either  signed  it  without  reservation  as  to  ratification,  acceptance  or 
approval  or  have  deposited  instruments  of  ratification,  acceptance,  approval  or 
accession with the Secretary-General. 

For any State which ratifies, accepts, approves or accedes to this Protocol after the 
conditions in paragraph 1 for entry into force have been met, this Protocol shall enter 
into  force  three  months  after  the  date  of  deposit  by  such  State  of  the  appropriate 
instrument,  but  not  before  this  Protocol  has  entered  into  force  in  agreement  with 
paragraph 1. 

ARTICLE 21 
Denunciation 

This  Protocol  may  be  denounced  by  any  State  Party  at  any  time  after  the  date  on 
which this Protocol comes into force for that State. 

Denunciation shall be effected by the deposit of an instrument to that effect with the 
Secretary-General. 

A  denunciation  shall  take  effect  twelve  months,  or  such  longer  period  as  may  be 
the 
the 
specified 
Secretary-General. 

instrument  of  denunciation,  after 

its  deposit  with 

in 

As  between  the  States  Parties  to  this  Protocol,  denunciation  by  any  of  them  of  the 
Convention in accordance with Article 25 thereof shall not be construed in any way 
as a denunciation of the Convention as revised by this Protocol. 

ARTICLE 22 
Revision and Amendment 

A  Conference  for  the  purpose  of  revising  or  amending  this  Protocol  may  be 
convened by the Organization. 

The  Organization  shall  convene  a  Conference  of  States  Parties  to  this  Protocol  for 
revising  or  amending  this  Protocol  at  the  request  of  not  less  than  one-third  of  the 
States Parties. 

ARTICLE 23 
Amendment of limits 

Without  prejudice  to  the  provisions  of  Article 22,  the  special  procedure  in  this 
Article shall apply solely for the purposes of amending the limits set out in Article 3, 
paragraph 1,  Article 4  bis,  paragraph 1,  Article 7,  paragraph 1  and  Article 8  of  the 
Convention as revised by this Protocol. 

1 

2 

1 

2 

3 

4 

1 

2 

1 

EN 

32 

   EN 

 
2 

3 

4 

5 

6 

7 

8 

9 

Upon the request of at least one half, but in no case less than six, of the States Parties 
to  this  Protocol,  any  proposal  to  amend  the  limits,  including  the  deductibles, 
specified in Article 3, paragraph 1, Article 4 bis, paragraph 1, Article 7, paragraph 1, 
and Article 8 of the Convention as revised by this Protocol shall be circulated by the 
Secretary-General to all Members of the Organization and to all States Parties. 

Any  amendment  proposed  and  circulated  as  above  shall  be  submitted  to  the  Legal 
Committee of the Organization (hereinafter referred to as "the Legal Committee") for 
consideration at a date at least six months after the date of its circulation. 

All  States  Parties  to  the  Convention  as  revised  by  this  Protocol,  whether  or  not 
Members  of  the  Organization,  shall  be  entitled  to  participate  in  the  proceedings  of 
the Legal Committee for the consideration and adoption of amendments. 

Amendments  shall  be  adopted  by  a  two-thirds  majority  of  the  States  Parties  to  the 
Convention  as  revised  by  this  Protocol  present  and  voting  in  the  Legal  Committee 
expanded  as  provided  for  in  paragraph 4,  on  condition  that  at  least  one  half  of  the 
States  Parties  to  the  Convention  as  revised  by  this  Protocol  shall  be  present  at  the 
time of voting. 

When acting on a proposal to amend the limits, the Legal Committee shall take into 
account  the  experience  of  incidents  and,  in  particular,  the  amount  of  damage 
resulting  therefrom,  changes  in  the  monetary  values  and  the  effect  of  the  proposed 
amendment on the cost of insurance. 

(a)  No amendment of the limits under this Article may be considered less than five 
years from the date on which this Protocol was opened for signature nor less 
than five years from the date of entry into force of a previous amendment under 
this Article. 

(b)  No limit may be increased so as to exceed an amount which corresponds to the 
limit  laid  down  in  the  Convention  as  revised  by  this  Protocol  increased  by 
six per cent  per  year  calculated  on  a  compound  basis  from  the  date  on  which 
this Protocol was opened for signature. 

(c)  No limit may be increased so as to exceed an amount which corresponds to the 
limit  laid  down  in  the  Convention  as  revised  by  this  Protocol  multiplied  by 
three. 

Any  amendment  adopted  in  accordance  with  paragraph 5  shall  be  notified  by  the 
Organization  to  all  States  Parties.  The  amendment  shall  be  deemed  to  have  been 
accepted  at  the  end  of  a  period  of  eighteen  months  after  the  date  of  notification, 
unless within that period not less than one fourth of the States that were States Parties 
at the time of the adoption of the amendment have communicated to the Secretary-
General  that  they  do  not  accept  the  amendment,  in  which  case  the  amendment  is 
rejected and shall have no effect. 

An amendment deemed to have been accepted in accordance with paragraph 8 shall 
enter into force eighteen months after its acceptance. 

EN 

33 

   EN 

 
10 

11 

1 

2 

All  States  Parties  shall  be  bound  by  the  amendment,  unless  they  denounce  this 
Protocol in accordance with Article 21, paragraphs 1 and 2 at least six months before 
the  amendment  enters  into  force.  Such  denunciation  shall  take  effect  when  the 
amendment enters into force. 

When  an  amendment  has  been  adopted  but  the  eighteen-month  period  for  its 
acceptance  has  not  yet  expired,  a  State  which  becomes  a  State  Party  during  that 
period  shall  be  bound  by  the  amendment  if  it  enters  into  force.  A  State  which 
becomes a State Party after that period shall be bound by an amendment which has 
been  accepted  in  accordance  with  paragraph 8.  In  the  cases  referred  to  in  this 
paragraph,  a  State  becomes  bound  by  an  amendment  when  that  amendment  enters 
into force, or when this Protocol enters into force for that State, if later. 

ARTICLE 24 
Depositary 

This Protocol and any amendments adopted under Article 23 shall be deposited with 
the Secretary-General. 

The Secretary-General shall: 

(a) 

inform all States which have signed or acceded to this Protocol of: 

(i) 

(ii) 

each new signature or deposit of an instrument of ratification, acceptance, 
approval or accession together with the date thereof; 

each declaration and communication under Article 9, paragraphs 2 and 3, 
Article 18, paragraph 1 and Article 19, paragraph 4 of the Convention as 
revised by this Protocol; 

(iii) 

the date of entry into force of this Protocol; 

(iv)  any  proposal  to  amend  the  limits  which  has  been  made  in  accordance 

with Article 23, paragraph 2 of this Protocol; 

(v) 

any  amendment  which  has  been  adopted  in accordance  with  Article 23, 
paragraph 5 of this Protocol; 

(vi)  any  amendment  deemed  to  have  been  accepted  under  Article 23, 
paragraph 8  of  this  Protocol,  together  with  the  date  on  which  that 
amendment shall enter into force in accordance with paragraphs 9 and 10 
of that Article; 

(vii)  the  deposit  of  any  instrument  of  denunciation  of  this  Protocol  together 

with the date of the deposit and the date on which it takes effect; 

(viii)  any communication called for by any Article of this Protocol; 

(b) 

transmit certified true copies of this Protocol to all States which have signed or 
acceded to this Protocol. 

EN 

34 

   EN 

 
3 

As  soon  as  this  Protocol  comes  into  force,  the  text  shall  be  transmitted  by  the 
Secretary-General  to  the  Secretariat  of  the  United  Nations  for  registration  and 
publication in accordance with Article 102 of the Charter of the United Nations. 

ARTICLE 25 
Languages 

This  Protocol  is  established  in  a  single  original  in  the  Arabic,  Chinese,  English,  French, 
Russian and Spanish languages, each text being equally authentic. 

DONE AT LONDON this first day of November 2002. 

IN  WITNESS  WHEREOF  the  undersigned,  being  duly  authorised  by  their  respective 
Governments for that purpose, have signed this Protocol. 

EN 

35 

   EN 

 
ANNEX TO ATHENS CONVENTION 
CERTIFICATE OF INSURANCE OR OTHER FINANCIAL SECURITY 

IN  RESPECT  OF  LIABILITY  FOR  THE  DEATH  OF  AND  PERSONAL  INJURY  TO 
PASSENGERS 

Issued  in  accordance  with  the  provisions  of  Article 4bis  of  the  Athens  Convention  relating  to  the 
Carriage of Passengers and their Luggage by Sea, 2002 

Name of Ship 

Distinctive 
number 
or letters 

IMO Ship 
Identification 
Number 

Port of 
Registry 

Name and full address of the principal 
place of business of the carrier who 
actually performs the carriage. 

This is to certify that there is in force in respect of the above-named ship a policy of insurance or other 
financial security satisfying the requirements of Article 4bis of the Athens Convention relating to the 
Carriage of Passengers and their Luggage by Sea, 2002. 

Type of Security.................................................................................................................................  

Duration of Security ..........................................................................................................................  

Name and address of the insurer(s) and/or guarantor(s) 

Name  .................................................................................................................................................  

Address  .............................................................................................................................................  

...........................................................................................................................................................  

This certificate is valid until  ................................................................................................  

Issued or certified by the Government of .............................................................................  

..............................................................................................................................................  

(Full designation of the State) 

OR 

The following text should be used when a State Party avails itself of Article 4bis, paragraph 3: 

The present certificate is issued under the authority of the Government of  .............................................  

(full designation of the State) by .........................................................  (name 
organization) 

of 

institution 

or 

At  ................................... On  ...................................... 

(Place) 

(Date) 

.................................................................................................   

(Signature and Title of issuing or certifying official) 

EN 

36 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Explanatory Notes: 

1 

2 

3 

4 

5 

If  desired,  the  designation  of  the  State  may  include  a  reference  to  the  competent 
public authority of the country where the Certificate is issued. 

If  the  total  amount  of  security  has  been  furnished  by  more  than  one  source,  the 
amount of each of them should be indicated. 

If security is furnished in several forms, these should be enumerated. 

The entry "Duration of Security" must stipulate the date on which such security takes 
effect. 

The entry “Address" of the insurer(s) and/or guarantor(s) must indicate the principal 
place  of  business  of  the  insurer(s)  and/or  guarantor(s).  If  appropriate,  the  place  of 
business  where  the  insurance  or  other  security  is  established  shall  be  indicated.

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal for a Regulation of the European Parliament and of the Council on the liability of 
carriers of passengers by sea and inland waterways in the event of accidents. 

2. 

ABM/ABB FRAMEWORK 

Policy area: Energy and transport 

Activities: Maritime and inland waterway transport, intermodality. 

BUDGET LINES 

Budget  lines  (operational  lines  and  related  technical  and  administrative  assistance  lines 
(ex-BA lines)) including headings : Not applicable 

Duration of the action and of the financial impact: Not applicable 

Budgetary characteristics (add rows if necessary) : Not applicable 

3. 

3.1 

3.2 

3.3 

Budget line  Type of expenditure 

New 

Comp/ 
Non-
comp 

Comp/ 
Non-
comp 

Diff1/Non-
diff2 

YES/ 
NO 

Diff/  Non-
diff 

YES/ 
NO 

EFTA 
contribution 

Contributions 
from 
countries 

applicant 

Heading 
financial 
perspective 

in 

YES/ NO 

YES/ NO 

No […] 

YES/ NO 

YES/ NO 

No […] 

1 
2 

Differentiated appropriations. 
Non-differentiated appropriations. 

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4. 

SUMMARY OF RESOURCES 

4.1 

Financial Resources 

4.1.1 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

EUR million (to 3 decimal places) 

Section 
No. 

Type of expenditure 
Operational expenditure3 

Year n 

n + 1 

n + 2 

n + 3 

n + 4 

Commitment 
Appropriations (CA) 
Payment 
Appropriations (PA) 
Administrative expenditure within reference amount4 

8.1 

b 

a 

0 

0 

0 

0 

Technical & 
administrative 
assistance (NDA) 
TOTAL REFERENCE AMOUNT 

8.2.4 

c 

0 

0 

Commitment 
Appropriations 

Payment Appropriations 

0 

a+c 

b+c 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

n+5 
and 
later 

Total 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Administrative expenditure not included in reference amount5 

Human  resources  and 
associated 
expenditure 
(NDA) 
costs, 
Administrative 
other 
human 
than 
resources and associated 
costs,  not  included  in 
reference 
amount 
(NDA) 

8.2.5 

d 

0.054 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

0 

0 

0 

0 

0 

0 

0 

8.2.6 

e 

Total indicative financial cost of intervention 

TOTAL  CA 
including 
cost of Human Resources 

including 
TOTAL  PA 
cost of Human Resources 

a+c
+d+
e 

b+c
+d+
e 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

3 
4 
5 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within Article xx 01 04 of Title xx. 
Expenditure within Chapter xx 01 other than Articles xx 01 04 or xx 01 05. 

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39 

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Co-financing details 

The legislative proposal does not provide for co-financing on the part of the Member States 

EUR million (to 3 decimal places) 

Co-financing body 

…………………… 
TOTAL CA including 
co-financing 

f 
a+c+
d+e+f 

Year 
n 
0 
0 

n + 1 

n + 2 

n + 3 

n + 4 

0 
0 

0 
0 

0 
0 

0 
0 

n+5 
and 
later 
0 
0 

Total 

0 
0 

4.1.2  Compatibility with financial programming 

Proposal is compatible with existing financial programming. 

(cid:133) 

Proposal will entail reprogramming of the relevant heading in the financial perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional  Agreement6 

(cid:133) 
(i.e. flexibility instrument or revision of the financial perspective). 

4.1.3 

Financial impact on revenue 

Proposal has no financial impact on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

NB:  All  details  and  observations  relating  to  the  method  of  calculating  the  effect  on  revenue 
should be shown in a separate annex. 

EUR million (to 1decimal place) 

Budget 
line 

Revenue 

Situation following action 

[n+1]  [n+2]  [n+3]  [n+4]  [n+5]7 

[Year 
n] 

Prior 
to 
action 
[Year 
n-1] 

a)  Revenue  in  absolute 
terms 

b) Change in revenue 

 ∆ 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

6 
7 

See points 19 and 24 of the Interinstitutional Agreement. 
Additional columns should be added if necessary, i.e. if the duration of the action exceeds 6 years. 

EN 

40 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
4.2 

Human Resources FTE (including officials, temporary and external staff) – see detail under 
point 8.2.1. 

No impact on staff expenditure. Management by existing staff. 

Annual requirements 

Year  n 
(2007*) 

n + 1 

n + 2 

n + 3 

n + 4 

n+5  and 
later 

Total number of human 
resources 

0 

0 

0 

0 

0 

0 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1 

Need to be met in the short or long term 

The  Regulation  has  to  be  implemented  in  the  short  term  so  that  passengers  can  enjoy 
appropriate protection. 

The  approach  adopted  is  twofold:  firstly,  the  Member  States  and  the  Community  become 
contracting parties to the 2002 Athens Convention. Secondly, the Community incorporates 
this Athens Convention into Community law. 

Naturally, the aim of this harmonisation of liability systems is very ambitious. Accordingly, 
the  regime  introduced  by  the  2002  Athens  Convention  serves  as  a  reference.  Certain 
amendments to this regime will, however, be necessary. 

5.2 

Value-added of Community involvement and coherence of the proposal with other financial 
instruments and possible synergy 

The fact that the Community will be a contracting party to the 2002 Athens Convention will 
ensure that the Court of Justice interprets that protocol in a uniform manner, which public 
international law does not allow. 

The incorporation of the 2002 Athens Convention will moreover allow the extension of its 
provisions to the inland transport of each Member State and to inland waterway transport. 
The same approach was adopted in the aviation field with the incorporation of the Montreal 
Convention.8 

The  Commission  is  using  this  occasion  to  make  a  number  of  adaptations  to  the  regime 
introduced  by  the  2002  Athens  Convention:  fair  compensation  for  equipment  for  people 
with reduced mobility, an advance payment for all passengers and an obligation to provide 
information for passengers. 

8 

Regulation 889/2002 as mentioned above. 

EN 

41 

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5.3 

Objectives,  expected  results  and  related  indicators  of  the  proposal  in  the  context  of  the 
ABM framework 

The objective is to provide the same regulatory framework for civil liability which clarifies 
the rights and obligations of both passengers and carriers at European Union level. 

5.4 

Method of Implementation (indicative) 

Show below the method(s)9 chosen for the implementation of the action. 

(cid:133) Centralised Management 

(cid:133) 

Directly by the Commission 
Indirectly by delegation to: 
(cid:133) 
Executive Agencies 
(cid:133) 
Bodies  set  up  by  the  Communities  as  referred  to  in  Article  185  of  the  Financial 

Regulation 
(cid:133) 

National public-sector bodies/bodies with public-service mission 

(cid:133) Shared or decentralised management 
(cid:133)  With Member states 
(cid:133)  With third countries 
(cid:133) Joint management with international organisations (please specify) 
Relevant comments: 
Not applicable  

6. 

MONITORING AND EVALUATION 

The Regulation will be implemented where necessary by the national courts. 

The  European  Maritime  Safety  Agency  will  help  to  monitor  the  implementation  of  the 
Regulation by the Member States. 

6.1 

Evaluation 

6.1.1 

Ex ante evaluation 

The potential impact of the action is as follows:  

Impact on passengers: There is every indication that passengers will have the most to gain 
from the adoption of this Regulation. It should be noted that the many discussions with the 
industry  have  not  led  to  the  conclusion  that  the  increase  in  the  level  of  compensation 
compared with the current situation will inevitably lead to an increase in fares. 

9 

If a number of methods are indicated, please provide details in the "Comments" section. 

EN 

42 

   EN 

 
 
 
 
 
                                                 
Impact on industry: The interests of the various operators converge in the maritime sector 
insofar  as  carriers  (co-contractors  of  the  passengers)  are  in  most  cases  shipowners  and 
insofar as the insurance funds (P&I clubs) have been set up by the shipowners themselves. 
Simply implementing the Athens Convention with no changes will have an impact on the 
industry. However, the industry has expressed its concerns regarding the amounts laid down 
by the Convention, which are considered to be excessive. The industry has also pointed out 
that  the  Convention  should  be  revised  to  take  account  of  the  specific  risks  linked  to 
terrorism. 

Impact on administrations: The flag and port States are affected insofar as they have to 
introduce  a  system  for  granting  financial  guarantee  certificates  and  verifying  such 
certificates.  This  administrative  burden  already  results  from  the  implementation  of  the 
Convention  and  will  be  significantly  heavier  with  the  amendments  recommended  by  the 
Commission. 

6.1.2  Measures taken following an intermediate/ex-post evaluation (lessons learned from similar 

experiences in the past) 

Not applicable 

6.1.3 

Terms and frequency of future evaluation 

Not applicable  

7. 

ANTI-FRAUD MEASURES 

Not applicable 

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43 

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8.  DETAILS OF RESOURCES 

8.1  Objectives of the proposal in terms of their financial cost Not applicable 

Type 
of 
output 

Av. 
cost 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

Year  n+5  and 
later 
No. 
outputs 

Total 
cost 

TOTAL 

No. 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

(Headings of 
Objectives, 
actions and 
outputs should 
be provided) 
OPERATIONAL 
OBJECTIVE 
No 110 

Action 1 
………………. 
- Output 1 

- Output 2 

Action 2 
………………. 
- Output 1 

Sub-total 
Objective 1 
OPERATIONAL 
OBJECTIVE 
No 2 
Action 1 
………………. 
- Output 1 

Sub-total 
Objective 2 

10 

As described under Section 5.3. 

EN 

44 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
OPERATIONAL 
OBJECTIVE 
No. n 
Sub-total 
Objective n 
TOTAL COST 

EN 

45 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
8.2 

Administrative Expenditure 

8.2.1  Number and type of human resources 

Types of post 

Staff  to  be  assigned  to  management  of  the  action  using  existing  and/or  additional 
resources (number of posts/FTEs) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

or 

Officials 
temporary 
staff11 
(06 01 01) 

A*/
AD 

B*, 
C*/
AST 

by 

financed12 
Staff 
Article XX 01 02 
Other  staff  financed13 
by Article XX 01 04/05 
TOTAL 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

8.2.2  Description of tasks deriving from the action tasks 

Not applicable 

8.2.3 

Sources of human resources (statutory) 

Posts  currently  allocated  to  the  management  of  the  programme  to  be  replaced  or 

(cid:133) 
extended 

(cid:133) 

(cid:133) 

Posts pre-allocated within the APS/PDB exercise for year n 

Posts to be requested in the next APS/PDB procedure 

Posts to be redeployed using existing resources within the managing service (internal 

(cid:133) 
redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the year in 

(cid:133) 
question 

11 
12 
13 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

EN 

46 

   EN 

 
 
 
 
 
                                                 
8.2.4  Other administrative expenditure not included in reference amount (XX 01 04/05 – 

Expenditure on administrative management) 

Technical 

Budget line 
(number and heading) 
1. 
and 
administrative 
assistance 
(including related staff costs) 
 Executive agencies14 

technical 

Other 
administrative assistance 
- intra muros 

and 

- extra muros 
Total 
administrative assistance 

technical 

and 

Year n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year n+5  
and later 

TOTAL 

EUR million (to 3 decimal places) 

0 

0 

0 

0 

0 

0 

8.2.5 

Financial cost of human resources and associated costs not included in the reference 
amount 

EUR million (to 3 decimal places) 

Type of human resources 

Year n 

and 

staff 

temporary 

Officials 
(06 01 01) 
Staff  financed  by  Article  XX  01  02 
(auxiliary, END, contract staff, etc.) 
(specify budget line) 
Total  cost  of  human  resources  and 
associated  costs  (NOT  in  reference 
amount) 

0 

0 

0 

Year 
n+1 
0 

Year 
n+2 
0 

Year n+3  Year n+4  Year n+5  
and later 
0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Calculation– Officials and temporary agents 

Not applicable 

Calculation – Staff financed under Article XX 01 02 

Not applicable 

14 

Reference should be made to the specific legislative financial statement for the Executive Agency(ies) 
concerned. 

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47 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.6  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

Year 
n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Year 
n+5  
and 
later 
0 

0 

0 

0 

0 

0 

0 

0 

TOTAL 

0*  

0 

0 

0 

0 

0 

0 

0 

XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees15 

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

2.  Total  other  management  expenditure 
(XX 01 02 11) 
3. Other expenditure of an administrative 
nature  (specify  including  reference  to 
budget line) 
Total  administrative  expenditure,  other 
than  human  resources  and  associated 
costs 
reference 
included 
amount) 

(NOT 

in 

* 

No impact on the current budget for missions. 

Calculation - Other administrative expenditure not included in reference amount 

Not applicable 

15 

Specify the type of committee and the group to which it belongs. 

EN 

48 

   EN