Proposal for a Directive of the European Parliament and of the Council establishing the fundamental principles governing the investigation of accidents in the maritime transport sector and amending Directives 1999/35/EC and 2002/59/EC {SEC(2005) 1515}
Date: 2005-11-23
Institutions: European Commission
Subjects: code of conduct, fact-finding mission, maritime safety, maritime transport, transport accident, transport safety

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 23.11.2005 
COM(2005) 590 final 

2005/0240 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing the fundamental principles governing the investigation of accidents in the 
maritime transport sector and amending Directives 1999/35/EC and 2002/59/EC 

(presented by the Commission) 

{SEC(2005) 1515} 

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EXPLANATORY MEMORANDUM 

1)  CONTEXT OF THE PROPOSAL 

110 

•  Grounds for and objectives of the proposal 

The general objective of the Commission’s proposal is to improve maritime safety by 
establishing  clear  Community-wide  guidelines  on  the  technical  investigations  to  be 
carried out following maritime casualties and incidents. 

The  lessons  learned  from  maritime  disasters  and  the  conclusions  resulting  from  the 
investigations  carried  out  thereof  have  had  a  major  impact  on  the  improvement  of 
maritime safety over the years. 

The  lack  of  mandatory  provisions  ensuring  the  systematic  conduct  of  technical 
investigations  on  maritime  casualties  and  guaranteeing  an  appropriate  return  of 
experience from those investigations can be considered as a serious shortcoming of the 
maritime safety policy of the European Union. 

In  its  2001  White  Paper  “European  Transport  Policy  for  2010:  time  to  decide”,  the 
Commission  drew  attention 
technical 
investigations  based  on  an  analysis  of  the  circumstances  and  causes  of  accidents  or 
incidents, the results of which should focus on risk prevention and how legislation can 
be improved. 

the  growing  need  for 

independent 

to 

This need was also noted by the European Parliament in the light of the work carried 
out  by  the  Temporary  Committee  on  Improving  Safety  at  Sea  (MARE  Committee) 
following  the  sinking  of  the  Prestige  oil  tanker  in  2002.  The  European  Parliament 
concluded  that,  with  a  view  to  preventing  further  accidents  and  incidents,  clear 
guidelines  must  be  drawn  up  within  the  EU  for  the  carrying  out  of  an  independent 
investigation into accidents and incidents at sea. The Parliament further considered that 
this should be the task of an independent investigative body at Member State level or, 
if appropriate, at European level. 

120 

•  General background 

The aftermath of the sinking of the Erika and Prestige oil tankers very clearly exposed 
the  shortcomings  of  international  legislation  and  the  difficulties  which  the  Member 
States of the EU must overcome in order to conclude technical investigations following 
serious maritime accidents in a satisfactory and timely manner. 

These shortcomings and difficulties reveal a striking contrast with the situation in the 
air  transport  sector  where,  since  1994,  the  European  Community  has  had  rules  to 
ensure that technical investigations into accidents and incidents are carried out properly 
and systematically in order to help improve civil aviation safety. 

Despite the fact that flag States are bound under international maritime law to carry out 
technical  investigations  after  all  serious  maritime  incidents  and  to  cooperate  with  the 
other States concerned, there is currently no binding legislation at international level in 
the maritime sector to ensure that flag States fulfil this obligation. 

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On  27 November 1997,  following  several  years  of  consideration  and  with  limited 
experience, the International Maritime Organisation (IMO) adopted a resolution on the 
adoption of a Code for the Investigation of Marine Accidents. However, applying the 
recommendations  set  out  in  the  IMO’s  Code  on  carrying  out  technical  investigations 
relies  on  the  good  will  of  the  flag  States  involved  in  maritime  incidents.  The  fact 
remains that the contribution made by some flag States to improving maritime safety 
through appropriate management of feedback is limited, if not non-existent. 

130 

•  Provisions in force in the field covered by the proposal 

Council Directive 1999/35/EC of 29 April 1999 requires Member States to conduct an 
investigation into any marine accident or incident involving a ro-ro ferry or high-speed 
passenger craft.  

In  line  with  the  measures  taken  following  the  Erika  accident,  Directive 2002/59/EC 
establishing  a  Community  vessel  traffic  monitoring  and  information  system  requires 
Member  States  to  adhere  to  the  recommendations  set  out  in  the  IMO’s  Code  for  the 
Investigation of Marine Accidents. This Directive also focuses on the use of ‘maritime 
black boxes’ to facilitate investigations following an accident.  

Lastly,  Regulation  (EC)  No 1406/2002  has  given  the  European  Maritime  Safety 
Agency  the  task  of  facilitating  cooperation  between  the  Member  States  and  the 
Commission  in  developing  a  common  methodology  for  investigating  maritime 
accidents according to agreed international principles. The Regulation also requires the 
Agency  to  support  the  Member  States  in  their  activities  concerning  investigations 
related  to  serious  maritime  accidents  and  in  analysing  existing  accident  investigation 
reports. 

140 

•  Coherence with other Union policies and objectives 

The  proposal  is  part  of  the  third  package  of  legislative  measures  aimed  at  improving 
maritime  safety.  This  package  is  one  element  of  the  “safety”  priority  of  the 
Commission’s  annual  strategy  policy.  The  proposal  will  also  contribute  to  the 
environmental protection priority by helping to prevent the risk of maritime disasters. 

2)  CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of the stakeholders 

211 

Consultation methods, main sectors targeted and general profile of respondents 

In May 2004 and February 2005 the Commission held a double round of consultative 
meetings with representatives of the Member States and the maritime industry on the 
basis of staff working documents containing a detailed list of questions on the approach 
to be followed and the measures to be provided for in legislation on investigations after 
maritime  accidents.  The  Commission  asked  the  participants  consulted  to  send  their 
detailed comments to it in writing.  

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With  the  help  of  the  Maritime  Safety  Agency,  the  Commission  has  gathered  the 
information  needed  to  evaluate  the  impact  of  the  proposal.  The  principles  which 
formed  the  basis  for  the  Commission’s  proposal  were  examined  during  a  technical 
meeting  held  by  the  Agency  in  February 2005  attended  by  IMO  experts  and  the 
maritime authorities and investigative bodies of the Member States. 

212 

Summary of responses and how they have been taken into account 

The  representatives  of  the  Member  States  and  the  maritime  industry,  as  well  as  the 
various  experts  consulted,  are  in  full  agreement  on  the  importance  of  technical 
investigations as part of maritime safety policy.  

Overall,  all  the  consulted  parties  agree  on  the  importance  of  conducting  technical 
investigations on marine casualties and incidents. A significant majority would support 
the introduction into EC Law of provisions harmonising and consolidating the Member 
States’  technical  investigation  procedures  on  the  basis  of  the  IMO’s  principles  and 
recommendations.  In  addition,  they  consider  that  the  proposed  instrument  should 
ensure at least the same level of feedback from preventing the risk of new accidents as 
that guaranteed by the legislation in the aviation sector. 

•  Obtaining and using expertise 

221 

Scientific areas or fields of expertise concerned 

Maritime safety, technical investigations following maritime incidents. 

222 

Methodology used 

Gathering  opinions,  examining  the  expertise  available  (International  Maritime 
Organisation,  investigative  bodies  in  the  Member  States  and  in  third  countries)  and 
experience  gained  when  implementing  Community  legislation  on  carrying  out 
technical investigations in the civil aviation sector. 

223 

Main organisations/experts consulted 

Work undertaken by the European Parliament’s Temporary Committee on Improving 
Safety at Sea following the sinking of the Prestige oil tanker in 2002 (conclusions of 
the MARE Committee). 

The  European  Maritime  Safety  Agency,  whose  tasks  include  supporting  the  Member 
States in activities concerning investigations relating to serious maritime accidents and 
analysing existing accident investigation reports. 

The  group  of  independent  experts  which  advises  the  Commission  on  a  strategy  for 
dealing  with  accidents  in  the  transport  sector,  established  under  the  Commission 
Decision of 11 June 2003 (OJ L 144, 12.6.2003). 

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2243 

Summary of advice received and used 

The  fact  that  there  are  potentially  serious risks  which  have  irreversible  consequences 
has been recognised, and there is broad consensus that such risks do exist. 

225 

There  are  currently  marked  differences  within  the  Community  between  the  ways  in 
which independent investigations are carried out following maritime incidents. While 
some Member States carry out this type of investigation systematically, they are carried 
out  in  a  superficial  and  non-systematic  manner  in  others.  The  extent  to  which  IMO 
recommendations on technical investigations are observed varies greatly. The fact that 
there are no clear guidelines for a common level of commitment from all the Member 
States is a major deficiency in the EU’s maritime safety legislation. 

The  biggest  concern  in  the  international  maritime  sector  is  still  the  inability  of  some 
flag States to carry out investigations directly following maritime incidents. The States 
under  whose  flags  most  accidents  happen  seem  to  be  those  which  carry  out 
proportionally  fewest  investigations  or  at  any  rate  which  disseminate  the  least 
information  about  the  findings  of  their  investigations  and  draw  fewest  concrete 
conclusions from them, and the competent international bodies do nothing about this. 

226 

Methods used to make the results of these expert opinions available to the public 

The results of the expert opinions are set out in the detailed impact assessment carried 
out  by  the  Commission  (see  below).  The  data  and  expert  reports  collected  by  the 
the  Agency’s  website 
European  Maritime  Safety  Agency  are  available  on 
(www.emsa.eu.int). 

230 

•  Impact analysis 

Four  possible  alternatives  were  considered  when  assessing  the  possible  action  to  be 
taken:  

(1)  maintaining the current status quo (“do nothing”);  

(2) 

(3) 

(4) 

a non-legislative Community initiative encouraging the Member States to apply 
the recommendations in the IMO Code voluntarily;  

a submission to the IMO from the 25 Member States of the EU to amend the 
international conventions to establish a formal obligation to carry out technical 
investigations following maritime incidents, and 

developing  clear  guidelines  at  Community  level  on  carrying  out  technical 
investigations  and  on  feedback  of  experience  following  all  serious  maritime 
incidents. 

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Analysis of the potential impact of these options has confirmed that: 

–  Community legislation is the most appropriate option for dealing with the issue of 
technical  investigations  following  maritime  incidents  within  the  framework  of 
maritime safety policy; 

–  the instrument chosen (a Directive establishing the basic principles which Member 
States  should  follow  for  technical  investigations  following  maritime  incidents) 
should  be  based,  as  far  as  possible,  on  the  principles  and  recommendations  in  the 
IMO Code. However, the proposed legislation should ensure at least the same level 
of feedback as that guaranteed by the legislation in the aviation sector; and that 

–  Community  action  in  this  area  is  urgently  needed  because  technical  investigations 
form  part  of  a  policy  aimed  at  preventing  further  maritime  disasters  within  the 
European Union.  

231 

This impact assessment is part of the Commission’s Legislative and Work Programme 
and is available on the Commission’s website:  

http://europa.eu.int/comm/secretariat_general/impact/index_en.htm 

3)  LEGAL ELEMENTS OF THE PROPOSAL 

305 

•  Summary of the proposed action 

The  general  objective  of  the  proposal  (Article  1)  is  to  improve  maritime  safety  and 
prevent future disasters. As in the aviation sector, the aim of technical investigations in 
the  maritime  area  is  not  to  determine,  and  far  less  to  apportion  civil  or  criminal 
liability,  but  to  establish  the  circumstances  and  to  research  the  causes  of  maritime 
incidents in order to draw all possible lessons from them and thereby improve maritime 
safety. 

The proposal was drawn up in compliance with the rules of international maritime law 
and in accordance with the definitions and recommendations in the IMO Code for the 
Investigation of Marine Accidents (Articles 2 and 3). It introduces into Community law 
the  obligation  for  Member  States  to  carry  out  technical  investigations  after  maritime 
accidents (Articles 5 and 6).  

The proposal gives a status to technical investigations in the maritime area (Article 4) 
by  expanding  or  creating  specialised  bodies  and  giving  technical  investigators 
investigative  powers  over  third  parties  (Article  7).  Moreover,  the  proposal  contains  a 
provision  on  cooperation  between  Member  States  (Article  8)  and  between  Member 
States and third countries (Article 9). It also aims to ensure that evidence is preserved 
(Articles  10  and  11)  and  to  develop  procedures  for  protecting,  safeguarding  and 
compiling  the  investigation  reports  and  providing  feedback  (Articles  12,  13,  14  and 
15).  

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310 

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Lastly,  the  proposal  takes  account  of  the  role  the  European  Maritime  Safety  Agency 
will  play  in  this  area  in  accordance  with  the  provisions  of  Regulation  (EC) 
No 1406/2002. 

•  Legal basis 

Article 80(2) of the EC Treaty. 

•  The subsidiarity principle 

The  Subsidiarity  principle  applies  as  the  proposal  does  not  concern  an  area  in  which 
the Community has exclusive competence. 

The objectives of the proposal cannot be satisfactorily achieved by action on the part of 
the Member States for the following reasons. 

There is in particular a need to harmonise and consolidate the Member States’ technical 
investigation  procedures  at  Community  level,  to  make  a  clear  distinction  between 
technical safety investigations and judicial inquiries, to speed up investigators’ access 
to  the  site  of  an  accident,  the  availability  of  evidence  and  meetings  with  the  persons 
concerned and to guarantee the independence of the investigators from the supervisory 
authority. 

The  lack  of  clear  guidelines  at  European  level  on  how  to  carry  out  technical 
investigations and provide feedback to prevent the risk of serious maritime accidents is 
a major gap which has been found in the EU’s maritime safety legislation. Similarly, 
the  lack  of  any  commitment  from  all  Member  States  on  this  matter  has  a  negative 
effect on the level of safety and the efforts taken to prevent serious accidents in the EU 
as a whole.  

The objectives of the proposal may be better achieved through Community action for 
the following reasons. 

A  coordinated  network  involving  exchanges  of  information  and  enabling  there  to  be 
joint action, if necessary, to identify and prevent the risk of further maritime disasters 
is  more  effective  than  isolated  measures  aimed  at  establishing  the  circumstances  and 
investigating  the  causes  of  maritime  incidents  with  a  view  to  learning  from  them  to 
improve maritime safety. 

The  Community’s  action  will  ensure  that  technical  investigations  are  carried  out 
systematically  by  all  Member  States  with  maritime  concerns  following  maritime 
incidents. 

Conducting  these  investigations  on  the  basis  of  a  common  methodology  which 
complies  with  principles  agreed  at  international  level  will  ensure  their  efficiency  and 
quality. 

A cooperation network made up of the investigating bodies in the Member States will 
ensure  that  knowledge  is  pooled,  that  there  is  mutual  technical  assistance  and  that 

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effective feedback measures are established to prevent the risk of similar accidents at 
Community level. 

Lastly,  establishing  a  database  and  technical  information-exchange  system  adds  great 
value to individual actions undertaken by Member States to protect human life at sea 
and prevent the environmental consequences of maritime accidents. 

The  scope  of  the  proposal  is  limited  to  providing  for  the  effective  implementation 
within the Community of the obligation to carry out investigations following accidents 
in  accordance  with  international  maritime  law.  The  proposal  provides  for  clear 
guidelines for implementing the recommendations drawn up by the IMO to this end. 

The proposal therefore complies with the principle of subsidiarity. 

•  The principle of proportionality 

The proposal complies with the principle of proportionality for the following reasons. 

The  proposal  for  a  Directive  establishes  the  basic  principles  governing  the  way  in 
which  technical  investigations  are  carried  out  following  maritime  incidents.  The 
Member States must take the most appropriate measures to ensure this is implemented 
at national level. 

Furthermore,  the  proposal  is  based  on  the  provisions  laid  down  in  the  IMO’s 
international  maritime  conventions  and  recommendations  which  are  binding  on  the 
Member  States.  The  proposal  for  a  Directive  introduces  minimum  quality  criteria  for 
the  practical  application  of  these  provisions  and  recommendations  while  at  the  same 
time  leaving  Member  States  sufficient  scope  for  decisions.  It  also  provides  a 
framework for mutual cooperation and technical assistance at European level which the 
Member States do not currently have. 

The  proposal  does  not  involve  financial  and/or  administrative  burdens  either  for 
economic  operators  or  citizens.  Member  States  which  do  not  currently  have  the 
structures  needed  to  carry  out  investigations  into  accidents  in  the  maritime  sector 
should make an administrative effort to provide the necessary resources at the level of 
their national authorities. Regional and local authorities need not be involved. 

In return, feedback from technical investigations will help improve fleet safety and the 
operation  of  maritime  transport  and  thereby  reduce  the  risk  of  further  accidents  and 
incidents.  

•  Choice of instruments 

Proposed instrument(s): Directive 

Other instruments would not be appropriate for the following reasons: 

One  of  the  main  objectives  of  this  proposal  is  to  establish  clear  guidelines  for 
independent  investigations  into  maritime  accidents  and  incidents.  A  Directive  is  the 
right instrument for establishing the general principles of action under Community law 
while  allowing  the  Member  States  the  largest  possible  scope  for  decisions  regarding 

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the necessary measures to be taken.  

Other  mechanisms  such  as  voluntary  cooperation  between  Member  States  or  self-
regulation  (technical  investigations  carried  out  by  economic  operators)  would  be 
inadequate.  The  aftermath  of  the  Erika  and  Prestige  accidents  clearly  showed  the 
shortcomings of international legislation and the difficulties which the Member States 
of the EU must overcome in order to conduct technical investigations following serious 
maritime accidents in a satisfactory and timely manner.  

4)  BUDGETARY IMPACT 

401 

The  legislative  proposal  has  no  impact  on  the  operational  expenditure  of  the 
Community budget. A very limited impact on administrative expenditure is expected in 
order to ensure the Directive is implemented correctly.  

5)  ADDITIONAL INFORMATION 

520 

•  Repeal of existing legislation 

Adopting this proposal will mean some legislation must be repealed. 

•  Review/revision/sunset clause 

The proposal includes a revision clause. 

•  Correlation table 

532 

550 

The  Member  States  are  required  to  communicate  to  the  Commission  the  text  of 
national  provisions  transposing  the  Directive  as  well  as  a  correlation  table  between 
those provisions and this Directive. 

560 

•  European Economic Area 

This  draft  instrument  concerns  an  area  covered  by  the  EEA  Agreement  and  must 
therefore be extended to the European Economic Area. 

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2005/0240 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL  

establishing the fundamental principles governing the investigation of accidents in the 
maritime transport sector and amending Directives 1999/35/EC and 2002/59/EC 

(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 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) 

(2) 

(3) 

(4) 

1 
2 
3 
4 
5 
6 

A  high  general  level  of  safety  should  be  maintained in maritime  transport  in Europe 
and  every  effort  should  be  made  to  reduce  the  number  of  marine  casualties  and 
incidents.  

The  expeditious  holding  of  technical  investigations  into  marine  casualties  improves 
maritime safety as it helps to prevent the recurrence of such casualties resulting in loss 
of life, loss of ships and pollution of the marine environment.  

The European Parliament, in its resolution5 on improving safety at sea, has urged the 
Commission to present a proposal for a directive on investigating shipping accidents. 

Article 2 of the United Nations Convention on the Law of the Sea 1982 (UNCLOS)6, 
establishes the right of coastal States to investigate the cause of any marine casualty 
occurring  within  their  territorial  seas  which  might  pose  a  risk  to  life  or  to  the 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
2003-2235 (INI). 
Final Act of the Third United Nations Conference on the Law of the Sea 1973-1982, Class Nr. 341.45  
L 412 1997. 

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(5) 

(6) 

(7) 

(8) 

(9) 

environment,  involve  the  coastal  State's  search  and  rescue  authorities,  or  otherwise 
affect the coastal State. 

Article 94 of UNCLOS establishes that flag States shall cause an inquiry to be held, by 
or before a suitably qualified person or persons, into certain casualties or incidents of 
navigation on the high seas. 

The  International  Convention  for  the  Safety  of  Life  at  Sea,  1974  (SOLAS 
regulation I/21)),  the  International  Convention  of  Load  Lines,  1966  and  the 
International  Convention  for  the  Prevention  of  Pollution  from  Ships,  1973  lay  down 
the responsibilities of flag States to conduct casualty investigations and to supply the 
International Maritime Organisation (IMO) with relevant findings. 

The  [draft]  Code  for  the  implementation  of  Mandatory  IMO  Instruments7  recalls  the 
obligation of flag States to ensure that marine safety investigations are conducted by 
suitably qualified investigators, competent in matters relating to marine casualties and 
incidents.  The  Code  further  requires  flag  States  to  be  prepared  to  provide  qualified 
investigators for that purpose, irrespective of the location of the casualty or incident.  

Account  should  be  taken  of  the  Code  for  the  Investigation  of  Marine  Casualties  and 
Incidents  adopted  in  November  1997  by  IMO  Assembly  Resolution  A.849,  which 
provides  for  implementation  of  a  common  approach  to  the  safety  investigation  of 
marine casualties and incidents and for cooperation between States in identifying the 
contributing factors leading to marine casualties and incidents. Account should also be 
taken of Circular 953 of the IMO Maritime Safety Committee, which provides updated 
definitions  of  terms  used  in  the  Code,  and  IMO  Resolutions  A.861(20)  and 
MSC.163(78), which provide a definition of “voyage data recorders”.  

Council Directive 1999/35/EC of 29 April 1999 on a system of mandatory surveys for 
the  safe  operation  of  regular  ro-ro  ferry  and  high-speed  passenger  craft  services8 
requires Member  States to define, in the framework of their respective internal legal 
systems,  a  legal  status  that  will  enable  them  and  any  other  substantially  interested 
Member State to participate, to cooperate in, or where provided for under the Code for 
the  investigation  of  marine  casualties,  to  conduct  any  marine  casualty  or  incident 
investigation involving a ro-ro ferry or high-speed passenger craft. 

(10)  Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 
establishing  a  Community  vessel  traffic  monitoring  and  information  system  and 
repealing  Council  Directive  93/75/EEC9  requires  Member  States  to  comply  with  the 
IMO Code for the Investigation of Marine Casualties and Incidents and ensure that the 
findings  of  the  accident  investigations  are  published  as  soon  as  possible  after  its 
conclusion.  

(11) 

Investigation of casualties and incidents involving seagoing vessels, or other vessels in 
port or other restricted maritime areas, should be carried out by or under the control of 
an independent body or entity in order to avoid any conflict of interest.  

7 
8 
9 

Version IMO FSI 13/WP.3 of 9 March 2005. 
OJ L 138, 1.6.1999, p. 1. Directive as amended by Directive 2002/84/EC (OJ L 324, 29.11.2002, p. 53). 
OJ L 208, 5.8.2002, p. 10. 

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(12)  Member  States  should  ensure  that  their  internal  legal  systems  enable  them  and  any 
other substantially interested Member States to participate or cooperate in, or conduct, 
accident  investigations  on  the  basis  of  the  provisions  of  the  IMO  Code  for  the 
investigation of marine casualties. 

(13)  Under SOLAS regulation V/20, passenger ships and ships other than passenger ships 
of  3 000  gross  tonnage  and  upwards  constructed  on  or  after  1  July  2002  must  carry 
voyage  data  recorders  (VDRs)  to  assist  in  accident  investigations.  Given  its 
importance  in  the  formulation  of  a  policy  to  prevent  shipping  accidents,  such 
equipment  should  be  systematically  required  on  board  ships  making  national  or 
international voyages which call at Community ports. 

(14)  The  data  provided  by  a  VDR  system,  as  well  as  by  other  electronic  devices,  can  be 
used  both  retrospectively  after  a  marine  casualty  or  incident  to  investigate  its  causes 
and  preventively  to  gain  experience  of  the  circumstances  capable  of  leading  to  such 
events. Member States should ensure that such data, when available, is properly used 
for both purposes. 

(15)  Distress alerts from a ship or information from any source that a ship is, or persons on 
or  from  a  ship  are  imperilled  or  that,  as  a  result  of  an  event  in  connection  with  the 
operation  of  a  ship,  there  is  a  serious  potential  risk  of  damage  to  the  persons,  to  the 
ship’s structure or the environment should be investigated or otherwise examined. 

(16)  Regulation  (EC)  No  1406/2002  of  the  European  Parliament  and  of  the  Council10 
requires  the  European  Maritime  Safety  Agency  (hereinafter:  “the  Agency”)  to  work 
with the Member States to develop technical solutions and provide technical assistance 
related  to  the  implementation  of  Community  legislation.  In  the  field  of  accident 
investigation, the Agency has the specific task of facilitating cooperation between the 
Member  States  and  the  Commission  in  the  development,  with  due  regard  to  the 
different  legal  systems  in  the  Member  States,  of  a  common  methodology  for 
investigating maritime accidents according to agreed international principles. 

(17)  According to Regulation (EC) No 1406/2002, the Agency must facilitate cooperation 
in  the  provision  of  the  support  of  the  Member  States  in  activities  concerning 
investigations  related  to  serious  maritime  accidents,  and  in  the  carrying  out  of  an 
analysis of existing accident investigation reports. 

(18)  The safety recommendations resulting from a casualty or incident safety investigation 

should be duly taken into account by the Member States. 

(19)  Since the aim of the technical investigation is the prevention of marine casualties and 
incidents in the future, the conclusions and the safety recommendations should not be 
used to determine liability or apportion blame. 

(20)  Since the objectives of the action to be taken, namely to improve marine safety in the 
Community  and  thereby  reduce  the  risk  of  future  marine  casualties,  cannot  be 
sufficiently achieved by the Member States and can therefore, by reason of the scale or 
the effects of the action, be better achieved at Community level, the Community may 

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 

12 

   EN 

 
                                                 
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 Directive does not go beyond what is necessary in order to achieve those 
objectives. 

(21)  The measures necessary for the implementation of this Directive should be adopted in 
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the 
procedures for the exercise of implementing powers conferred to the Commission11, 

HAVE ADOPTED THIS DIRECTIVE: 

Article 1 
Subject-matter 

The  purpose  of  this  Directive  is  to  improve  marine  safety,  and  so  reduce  the  risk  of  future 
marine casualties, by: 

(a) 

(b) 

facilitating  the  expeditious  holding  of  safety  investigation  and  proper  analysis  of 
marine casualties and incidents and 

ensuring the timely and accurate reporting of safety investigations and proposals for 
remedial action.  

Investigations  under  this  Directive  shall  not  be  concerned  with  determining  liability  nor, 
except so far as is necessary to achieve its objective, apportioning blame. 

Article 2 
Scope 

1. 

This Directive shall apply to marine casualties, incidents and distress alerts that: 

(a) 

involve ships flying the flag of one of the Member States; or 

(b)  occur  within  areas  over  which  Member  States  are  entitled  to  exercise 

jurisdiction; or 

(c) 

involve other substantial interests of the Member States. 

2. 

This  Directive  shall  not  apply  to  marine  casualties,  incidents  and  distress  alerts 
involving only: 

(a) 

(b) 

ships of war and troop ships and other ships owned or operated by a Member 
State and used only on government non-commercial service; 

ships  not  propelled  by  mechanical  means,  wooden  ships  of  primitive  build, 
pleasure  yachts  and  pleasure  craft,  unless  they  are  or  will  be  crewed  and 
carrying more than 12 passengers for commercial purposes; 

11 

OJ L 184, 17.7.1999, p. 23. 

EN 

13 

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(c) 

inland waterway vessels operating in inland waterways; 

(d) 

fishing vessels with a length of less than 24 metres; 

(e) 

fixed offshore drilling units. 

For the purposes of this Directive: 

Article 3 
Definitions 

1. 

‘SOLAS’  means  the  1974  International  Convention  for  the  Safety  of  Life  at  Sea 
(SOLAS 74), as amended by its 1978 and 1988 Protocols. 

‘IMO Code’ means the Code for the Investigation of Marine Casualties and Incidents 
through  Assembly 
International  Maritime  Organisation 
adopted  by 
Resolution A.849 of 27 November 1997 as amended.  

the 

2. 

The following terms shall be understood in accordance with the definitions contained 
in the IMO Code: 

(a) 

‘marine casualty’; 

(b) 

‘very serious casualty’; 

(c) 

‘marine incident’; 

(d) 

‘marine casualty or incident safety investigation’; 

(e) 

‘substantially interested State’. 

3. 

4. 

5. 

6. 

7. 

The  terms  “serious  casualty”  and  “less  serious  casualty”  shall  be  understood  in 
accordance  with  the  updated  definitions  contained  in  Circular  953  of  the  IMO 
Maritime Safety Committee. 

The  terms  “ro-ro  ferry”  and  “high-speed  passenger  craft”  shall  be  understood  in 
accordance with the definitions contained in Article 2 of Directive 1999/35/EC. 

‘Lead investigating Member State’ means a Member State that is required to conduct 
or,  where  there  is  more  than  one  substantially  interested  State,  to  lead,  a  safety 
investigation in accordance with this Directive. 

‘Voyage data recorder’ (VDR) shall be understood in accordance with the definition 
contained in IMO Resolutions A.861 (20) and MSC.163 (78). 

‘Distress  alert’  means  a  signal  given  from  a  ship,  or  information  from  any  source, 
indicating that a ship is, or that persons on or from a ship are, in distress at sea. 

EN 

14 

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8. 

‘Safety recommendation’ means any proposal made by either of the following: 

(a) 

the investigative body of the State conducting, or leading, the marine casualty 
or  incident  safety  investigation  on  the  basis  of  information  derived  from  that 
investigation; or, where appropriate; 

(b) 

the Commission, acting on the basis of an abstract data analysis. 

Article 4 
Status of safety investigations 

1. 

Member  States  shall  establish,  in  accordance  with  their  respective  internal  legal 
systems, rules for the conduct of marine casualty or incident safety investigations. In 
doing so, they shall ensure that such investigations: 

(a) 

are independent from criminal or other parallel investigations held to determine 
liability or apportion blame; and 

(b) 

are not precluded, suspended or delayed by reason of such investigations. 

2. 

The  rules  to  be  established  by  the  Member  States  shall  include  provisions  for 
allowing: 

(a) 

cooperation  and  mutual  assistance  in  marine  casualty  or  incident  safety 
investigations  led  by  other  Member  States,  or  the  delegation  to  another 
Member State of the task of leading such an investigation in accordance with 
the provisions of this Directive; and 

(b) 

coordination,  in  close  cooperation  with  the  Commission,  of  the  activities  of 
their  respective  investigative  bodies  to  the  extent  necessary  to  attain  the 
objectives of this Directive. 

Article 5 
Obligation to investigate 

1. 

Every  Member  State  shall  ensure  that  an  investigation  is  carried  out  by  the 
investigative  body  referred  to  in  Article  8  after  serious  or  very  serious  marine 
casualties: 

(a) 

involving a ship flying its flag, irrespective of the location of the casualty; or  

(b)  occurring  within  the  areas  over  which  it  is  entitled  to  exercise  jurisdiction, 

irrespective of the flag of the ship or ships involved in the casualty; or 

(c) 

involving a substantial interest of the Member State, irrespective of the location 
of the casualty and of the flag of the ship or ships involved. 

2. 

In addition to investigating serious and very serious casualties, the investigative body 
referred to in Article 8 shall, having established the initial facts of the case, decide 

EN 

15 

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whether or not a safety investigation of a less serious casualty, marine incident or a 
distress alert shall be undertaken. 

In its decision, it shall take into account the seriousness of the casualty or incident, 
the type of vessel and/or cargo involved in the distress alert, and/or any request from 
the search and rescue authorities. 

The  scope  and  the  practical  arrangements  for  the  conduct  of  safety  investigations 
shall be determined by the investigative body of the lead investigating Member State 
in cooperation with the equivalent bodies of the other substantially interested States, 
in  such  manner  as  appears  to  it  most  conducive  to  achieving  the  objectives  of  this 
Directive, and with a view to preventing future casualties and incidents. 

Safety investigations shall follow the common methodology for investigating marine 
casualties  and  incidents  developed  pursuant  to  Article  2(e)  of  Regulation  (EC) 
No. 1406/2002. The adoption or modification of such methodology for the purposes 
of  this  Directive  shall  be  decided  in  accordance  with  the  procedure  laid  down  in 
Article 18(2) 

A safety investigation shall be started as promptly as is practicable after the marine 
casualty or incident occurs. 

3. 

4. 

5. 

Article 6 
Obligation to report 

A  Member  State  shall  require,  in  the  framework  of  its  national  legal  system,  that  its 
investigative  body  be  notified  without  delay,  by  the  responsible  authorities  and/or  by  the 
parties involved, of the occurrence of all casualties, incidents and distress alerts falling within 
the scope of this Directive.  

Article 7 
Joint safety investigations 

1. 

2. 

3. 

In cases of serious and very serious casualties involving a substantial interest for two 
or more Member States, the Member States concerned shall rapidly agree which of 
them is to be the lead investigating Member State.  

Member  States  shall  refrain  from  conducting  parallel  safety  investigations  into  the 
same marine casualty or incident. They shall abstain from any measure which could 
jeopardise  the  conduct  of  a  safety  investigation  falling  within  the  scope  of  this 
Directive.  

By common consent, a Member State may delegate to another Member State the task 
of  leading  a  marine  casualty  or  incident  safety  investigation.  It  may  invite  another 
Member State to participate in such an investigation.  

When  a  ro-ro  ferry  or  high-speed  passenger  craft  is  involved  in  a  marine  casualty, 
incident  or  distress  alert,  the  investigation  procedure  shall  be  launched  by  the 
Member  State  in  whose  waters  the  accident  or  incident  occurs  or,  if  occurring  in 
extra-territorial waters, by the last Member State visited by the ferry or craft. 

EN 

16 

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1. 

2. 

3. 

4. 

That State shall remain responsible for the investigation and coordination with other 
substantially interested Member States until such time as it is mutually agreed which 
of them is to be the lead investigating State. 

Article 8 
Investigative bodies 

Member States shall ensure that marine casualty or incident safety investigations are 
conducted  under  the  responsibility  of  an  impartial  permanent  investigative  body  or 
entity,(hereinafter  referred  to  as  “investigative  body”,  and  by  suitably  qualified 
investigators, competent in matters relating to marine casualties and incidents. 

That  investigative  body  shall  be  functionally  independent  of,  in  particular,  the 
national authorities responsible for seaworthiness, certification, inspection, manning, 
safe  navigation,  maintenance,  sea  traffic  control,  port  state  control,  operation  of 
seaports  and,  in  general,  of  any  other  party  whose  interests  could  conflict  with  the 
task entrusted to it. 

The  investigative  body  shall  ensure  that  individual  investigators  have  a  working 
knowledge and practical experience in those subject areas pertaining to their normal 
investigative duties. Additionally, the investigative body shall ensure ready access to 
appropriate expertise, as necessary. 

The  activities  entrusted  to  the  investigative  body  may  be  extended  to  the  gathering 
and analysis of data relating to marine safety, in particular for prevention purposes, 
in so far as these activities do not affect its independence or entail responsibility in 
regulatory, administrative or standardisation matters. 

Member States, acting in the framework of their respective legal systems, and where 
appropriate  in  cooperation  with  the  authorities  responsible  for  the  judicial  inquiry, 
shall  require  that  the  investigators  of  its  investigative  body,  or  of  any  other 
investigative body to which it has delegated the task of investigation, be authorised: 

(a) 

(b) 

(c) 

(d) 

to have free access to any relevant area or casualty site as well as to any ship, 
wreck or structure including cargo, equipment or debris; 

to ensure immediate listing of evidence and controlled search for and removal 
of  wreckage,  debris  or  other  components  or  substances  for  examination  or 
analysis; 

to require examination or analysis of the items referred to in point (b), and have 
free access to the results of such examinations or analysis; 

to  have  free  access  to,  copy  and  have  use  of  any  relevant  information  and 
recorded data, including voyage data recorder (VDR) data, pertaining to a ship, 
voyage, cargo, crew or any other person, object, condition or circumstance; 

(e) 

to have free access to the results of examinations of the bodies of victims or of 
tests made on samples taken from the bodies of victims; 

EN 

17 

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(f) 

(g) 

(h) 

(i) 

to require and have free access to the results of examinations of, or tests made 
on samples taken from, people involved in the operation of a ship or any other 
relevant person;  

to  examine  witnesses  in  the  absence  of  any  person  whose  interests  the 
investigators consider to hamper the safety investigation; 

to  obtain  survey  records  and  relevant  information  held  by  the  flag  State,  the 
owners,  classification  societies  or  any  other  relevant  party,  whenever  those 
parties or their representatives are established in the Member State; 

to  call  for  the  assistance  of  the  relevant  authorities  in  the  respective  States, 
including flag-State and port-State surveyors, coastguard officers, vessel traffic 
service  operators,  search  and  rescue  teams,  pilots  or  other  port  or  maritime 
personnel.  

5. 

6. 

The investigative body shall be enabled to respond immediately on being notified at 
any  time  of  a  casualty,  and  to  obtain  sufficient  resources  to  carry  out  its  functions 
independently.  Its  investigators  shall  be  afforded  status  giving  them  the  necessary 
guarantees of independence.  

The investigating body may combine its tasks under this Directive with the work of 
investigating  occurrences  other  than  marine  casualties  on  condition  that  such 
investigations do not endanger its independence. 

Article 9 
Non-disclosure of records 

Member  States  shall  ensure  that  the  following  records  are  not  made  available  for  purposes 
other  than  the  safety  investigation,  unless  the  appropriate  judicial  authority  in  that  State 
determines  that  the  interest  in  their  disclosure  outweighs  the  adverse  domestic  and 
international  impact  that  such  action  may  have  on  that  investigation  or  on  any  future 
investigations: 

(a) 

(b) 

all  witness  evidence  and  other  statements,  accounts  and  notes  taken  or  received  by 
the investigative body in the course of the safety investigation;  

records revealing the identity of persons who have given evidence in the context of 
the safety investigation;  

(c) 

medical or private information regarding persons involved in the casualty or incident. 

Article 10 
Permanent cooperation framework 

1. 

Member  States  shall,  in  close  cooperation  with  the  Commission,  establish  a 
permanent  cooperation  framework  enabling  their  respective  marine  casualty  or 
incident  safety  investigative  bodies  to  cooperate  among  themselves  and  with  the 
Commission to the extent necessary to attain the objectives of this Directive. 

EN 

18 

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2. 

3. 

The rules of procedure of the permanent cooperation framework and the organisation 
arrangements  required  thereof  shall  be  decided  in  accordance  with  the  procedure 
referred to in Article 18(2). 

Within  the  permanent  cooperation  framework,  the  investigative  bodies  in  the 
Member States and the Commission shall agree, in particular, the best modalities of 
cooperation in order to: 

(a) 

share  installations,  facilities  and  equipment  for  the  technical  investigation  of 
wreckage  and  ship’s  equipment  and  other  objects  relevant  to  the  safety 
investigation,  including  the  extraction  and  evaluation  of  information  from 
voyage data recorders and other electronic devices; 

(b)  provide  each  other  with  the  technical  cooperation  or  expertise  needed  to 

undertake specific tasks; 

(c) 

acquire and share information relevant for analysing casualty data and making 
appropriate safety recommendations at Community level;  

(d)  draw up common principles for the follow-up of safety recommendations and 
for the adaptation of investigative methods to the development of technical and 
scientific progress; 

(e) 

(f) 

establish  confidentiality  rules  for  the  sharing  of  witness  evidence  and  the 
processing of data; 

organise,  where  appropriate,  relevant 
investigators; 

training  activities  for 

individual 

(g)  promote cooperation with the investigative bodies or entities of third countries 
and with the international maritime accidents investigation organisations in the 
fields covered by this Directive. 

4. 

Any Member State, the facilities or services of which have been, or would normally 
have  been,  used  by  a  ship  prior  to  a  casualty  or  an  incident,  and  which  has 
information  pertinent  to  the  investigation,  shall  provide  such  information  to  the 
investigative body conducting the investigation. 

Article 11 
Costs 

Member  States  shall  make  every  effort  to  avoid  making  a  charge  for  the  provision  of  any 
assistance  required  by  other  Member  States  for  the  purposes  of  conducting  safety 
investigations under this Directive. 

Article 12 
Cooperation with substantially interested third countries 

1. 

Member States shall cooperate, to the maximum possible extent possible, with other 
substantially interested third countries in the investigation of marine casualties. 

EN 

19 

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2. 

3. 

Substantially interested third countries shall, by mutual consent, be allowed to join a 
safety investigation led by a Member State under the terms of this Directive at any 
stage of the investigation. 

The cooperation of a Member State in an investigation conducted by a substantially 
interested  third  country  shall  be  without  prejudice  of  the  conduct  and  reporting 
requirements  of  marine  casualty  or  incident  safety  investigations  under  this 
Directive. 

Article 13 
Preservation of evidence 

Member States shall adopt measures to ensure that the parties involved in casualties, incidents 
and  distress  alerts  under  the  scope  of  this  Directive  make  every  effort  to  achieve  the 
following:  

(a) 

(b) 

(c) 

(d) 

1. 

2. 

3. 

to save all information from charts, log books, electronic and magnetic recording and 
video  tapes,  including  information  from  voyage  data  recorders  and  other  electronic 
devices relating to the period preceding, during and after an accident; 

to prevent the overwriting or other alteration of such information; 

to  prevent  interference  with  any  other  equipment  which  might  reasonably  be 
considered pertinent to the investigation of the accident; 

to  collect  and  preserve  all  evidence  expeditiously  for  the  purposes  of  the  marine 
casualty or incident safety investigations. 

Article 14 
Accident reports 

Marine casualty or incident safety investigations carried out under the terms of this 
Directive  shall  result  in  a  published  report  presented  in  accordance  with  the 
guidelines set out in Annex I. 

Investigative bodies shall make every effort to make a report available to the public 
within  12  months  from  the  day  of  the  casualty.  If  it  is  not  possible  to  produce  the 
final report within that time, an interim report shall be  published  within  12  months 
from the date of the casualty. 

The investigative body of the lead investigating Member State shall send a copy of 
the final or interim report to the Commission. It shall take into account the possible 
observations  of  the  Commission  for  improving  the  quality  of  the  report  in  the  way 
most conducive to achieving the objectives of this Directive. 

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Article 15 
Safety recommendations 

1. 

2. 

3. 

Member States shall ensure that safety recommendations made by the investigative 
bodies  are  duly  taken  into  account  by  the  addressees  and,  where  appropriate,  acted 
upon in accordance with Community and international law. 

Where  appropriate,  an  investigative  body  or  the  Commission  shall  make  safety 
recommendations on the basis of an abstract data analysis. 

A  safety  recommendation  or  an  interim  recommendation  shall  in  no  circumstances 
apportion blame or liability for a casualty. 

Article 16 
Early alert system 

If the investigative body of a Member State takes the view, at any stage of a marine casualty 
investigation or of an incident investigation, that urgent action is needed at Community level 
to prevent the risk of new casualties, it shall speedily inform the Commission of the need to 
give an early alert. 

The  Commission  shall  immediately  examine  the  matter  and,  if  necessary,  issue  a  note  of 
warning  for  the  attention  of  the  responsible  authorities  in  all  the  other  Member  States,  the 
shipping industry, and to any other relevant party.  

Article 17 
European database for marine casualties 

1. 

2. 

3. 

4. 

Data on marine casualties and incidents shall be stored and analysed by means of a 
European electronic database to be set up by the Commission, which shall be known 
as the European Marine Casualty Information Platform (EMCIP). 

Member States shall notify to the Commission the entitled authorities that will have 
access to the database. 

The  investigative  bodies  of  the  Member  States  shall  notify  the  Commission  on 
marine casualties and incidents in accordance with the format in Annex II. They shall 
also  provide  the  Commission  with  data  resulting  from  marine  casualty  or  incident 
safety investigations in accordance with the EMCIP database schema. 

The  Commission  shall  inform  the  investigative  bodies  of  the  Member  States  about 
the requirements and timescale of the notification and reporting procedures.  

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21 

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1. 

2. 

Article 18 
Committee 

The Commission shall be assisted by the Committee on Safe Seas and the Prevention 
of  Pollution  from  Ships  (COSS)  instituted  by  Article  3  of  Regulation  (EC) 
No 2099/2002 of the European Parliament and the Council12. 

reference 

Where 
this  paragraph,  Articles  5  and  7  of 
Decision 1999/468/EC  shall  apply,  having  regard  to  the  provisions  of  Article 8 
thereof. 

is  made 

to 

The  period  laid  down  in  Article  5(6)  of  Decision  1999/468/EC  shall  be  set  at 
two months. 

3. 

The Committee shall adopt its Rules of procedure. 

Article 19 
Amending powers  

The  Commission  may  update  definitions  in  this  Directive,  and  the  references  made  to 
Community  acts  and  to  IMO  instruments,  in  accordance  with  the  procedure  referred  to  in 
Article 18(2) in order to bring them into line with Community or IMO measures which have 
entered into force, subject to observance of the limits of this Directive. 

Acting in accordance with the same procedure, the Commission may also amend the Annexes. 

Article 20 
Additional measures 

Nothing  contained  in  this  Directive  shall  prevent  a  Member  State  from  taking  additional 
measures  on  maritime  safety  which  are  not  covered  by  this  Directive,  provided  that  such 
measures do not infringe this Directive or in any way adversely affect its attainment. 

Article 21 
Penalties 

Member  States  shall  lay  down  the  rules  on  penalties  applicable  to  infringements  of  the 
national provisions adopted pursuant to this Directive and shall take all measures necessary to 
ensure that they are implemented. The penalties provided for must be effective, proportionate 
and dissuasive. 

12 

OJ L 324, 29.11.2002, p. 1. 

EN 

22 

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1. 

2. 

1. 

Article 22 
Amendments to existing acts 

Article 12 of Directive 1999/35/EC is deleted. 

Article 11 of Directive 2002/59/EC is deleted. 

Article 23 
Transposition 

Member  States  shall  bring  into  force  the  laws,  regulations  and  administrative 
provisions  necessary  to  comply  with  this  Directive  by  […]  at  the  latest.  They  shall 
forthwith  communicate  to  the  Commission  the  text  of  those  provisions  and  a 
correlation table between those provisions and this Directive. 

When  Member  States  adopt  those  provisions,  they  shall  contain  a  reference  to  this 
Directive  or  be  accompanied  by  such  a  reference  on  the  occasion  of  their  official 
publication. Member States shall determine how such reference is to be made. 

2. 

Member States shall communicate to the Commission the text of the main provisions 
of national law which they adopt in the field covered by this Directive. 

Article 24 
Entry into force 

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

Article 25 
Addressees 

This Directive is addressed to the Member States. 

Done at Brussels, […] 

For the European Parliament 
The President 
[…] 

For the Council 
The President 
[…] 

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23 

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ANNEX I 

Safety investigation report format and content 

Foreword 

This  identifies  the  sole  objective  of  the  safety  investigation,  that  a  safety  recommendation 
shall  in  no  case  create  a  presumption  of  liability  or  blame,  and  that  the  report  has  not  been 
written, in terms of content and style, with the intention of it being used in legal proceedings. 

(The report should make no reference to witness evidence nor link anyone who is referred to 
in the report to a person who has given evidence during the course of the investigation.) 

1. 

Summary 

This part outlines the basic facts of the marine casualty or incident: what, when, where and 
how  it  happened;  and  states  whether  any  deaths,  injuries,  damage  to  the  ship,  cargo,  third 
parties or environment occurred as a result. 

2. 

Factual information 

This  part  includes  a  number  of  discrete  sections,  providing  sufficient  information  that  the 
investigating body interprets to be factual, from which to fully populate the relevant fields of 
the European database for marine casualties, substantiate the analysis and ease understanding.  

These sections include, at least, the following information: 

2.1 

Ship particulars 

– 

– 

– 

– 

– 

Ship flag/register, 

Ship identification, 

Ship main characteristics, 

Ownership and management, 

Construction details, 

–  Minimum safe manning, 

– 

Authorised cargo. 

2.2 

Voyage particulars 

– 

– 

– 

Ports of call, 

Type of voyage, 

Cargo information, 

–  Manning. 

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2.3 

Marine casualty or incident information 

– 

– 

– 

– 

– 

– 

– 

– 

Type of marine casualty or incident, 

Date and time, 

Position and location of the marine casualty or incident, 

External and internal environment, 

Ship operation and voyage segment, 

Place on board, 

Human factors data, 

Consequences ( to people, ship, cargo, environment, other). 

2.4 

Shore authority involvement and emergency response 

–  Who was involved, 

–  Means used, 

– 

– 

– 

Speed of response, 

Actions taken, 

Results achieved. 

In addition to providing necessary particulars and other background information, this part of 
the report includes the results of any relevant examinations or tests and any safety action that 
might already have been taken to prevent future marine casualties. 

3. 

Narrative 

This  part  reconstructs  the  marine  casualty  or  incident  through  a  sequence  of  events,  in  a 
chronological order leading up to, during and following the marine casualty or incident and 
the  involvement  of  each  actor  (i.e.  person,  material,  environment,  equipment  or  external 
agent).  The  period  covered  by  the  narrative  depends  on  the  timing  of  those  particular 
accidental events that directly contributed to the marine casualty or incident. 

4. 

Analysis 

This  part  includes  a  number  of  discrete  sections,  providing  an  analysis  of  each  accidental 
event, with comments relating to the results of any relevant examinations or tests conducted 
during the course of the investigation and to any safety action that might already have been 
taken to prevent future marine casualties.  

These sections should cover issues such as: 

– 

accidental event context and environment, 

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25 

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– 

– 

human  erroneous  actions  and  omissions,  events  involving  hazardous  material, 
environmental effects, equipment failures, and external influences, 

contributing  factors  involving  person  related  functions,  shipboard  operations,  shore 
management or regulatory influence. 

The analysis and comment enable the report to reach logical conclusions, establishing all of 
the  contributing  factors,  including  those  with  risks  for  which  existing  defences  aimed  at 
preventing  an  accidental  event,  and/or  those  aimed  at  eliminating  or  reducing  its 
consequences, are assessed to be either inadequate or missing. 

5. 

Conclusions 

This part consolidates the established contributing factors and missing or inadequate defences 
(material, functional, symbolic or procedural) for which safety actions should be developed to 
prevent future marine casualties. 

6. 

Safety recommendations 

When appropriate, this part of the report contains safety recommendations derived from the 
analysis  and  conclusions  and  related  to  particular  subject  areas,  such  as  legislation,  design, 
procedures,  inspection,  management,  health  and  safety  at  work,  training,  repair  work, 
maintenance, shore assistance and emergency response. 

The safety recommendations are addressed to those that are best-placed to implement them, 
such as ship owners, managers, recognised organisations, maritime authorities, vessel traffic 
services,  emergency  bodies,  international  maritime  organisations  and  European  institutions, 
with the aim of preventing future marine casualties. 

This part also includes any interim safety recommendations that may have been made during 
the course of the safety investigation. 

7. 

Appendices 

When appropriate, the following non-exhaustive list of information is attached to the report in 
paper and/or electronic form: 

– 

– 

– 

– 

– 

photographs, moving images, audio recordings, charts, drawings, 

applicable standards, 

technical terms and abbreviations used, 

special safety studies, 

miscellaneous information. 

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ANNEX II 

MARINE CASUALTY OR INCIDENT NOTIFICATION DATA 

(Part of the European Marine Casualty Information Platform) 

01. 

02. 

03. 

04. 

05. 

06. 

07. 

08. 

09. 

10. 

11. 

12. 

13. 

14. 

15. 

16. 

17. 

18. 

19. 

20. 

21. 

22. 

23. 

24. 

Member Sate responsible / contact person 

Member Sate investigator 

Member State role 

Coastal state affected 

Number of substantially interested states 

Substantially interested states 

Notification entity 

Time of the notification 

Date of the notification 

Name of the ship 

IMO number/ distinctive letters 

Ship flag 

Type of marine casualty or incident 

Type of ship 

Date of the marine casualty or incident 

Time of the marine casualty or incident 

Position - Latitude 

Position - Longitude 

Location of the marine casualty or incident 

Port of departure 

Port of destination 

Traffic separation scheme 

Voyage segment 

Ship operation 

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25. 

26. 

Place on board 

Lives lost: 

•  Crew 

•  Passengers 

•  Other 

27. 

Serious injuries: 

•  Crew 

•  Passengers 

•  Other 

Pollution 

Ship damage 

Cargo damage 

Other damage 

Brief description of the marine casualty or incident 

28. 

29. 

30. 

31. 

32. 

Note:  Underlined  numbers  mean  that  data  should  be  provided  for  each  ship  if  more  than 

one is involved in the marine casualty or incident. 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal  for  a  Directive  of  the  European  Parliament  and  of  the  Council  establishing  the 
fundamental  principles  governing  the  investigation  of  accidents  in  the  maritime  transport 
sector and amending Directives 1999/35/EC and 2002/59/EC. 

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-B.A. 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 

EFTA 
contribution 

Contributions 
from 
countries 

applicant 

Heading 
financial 
perspective 

in 

Comp/ 
Non-
comp 

Comp/ 
Non-
comp 

Diff1/Non
-diff2 

Diff/Non-
diff 

YES/ NO 

YES/ NO 

YES/ NO 

No […] 

YES/ 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. 

Expenditure type 
Operational expenditure3 

Year n 

n +1 

n +2 

n +3 

n +4 

8.1 

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

b 

a 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

n  +  5 
and 
later 

Total 

0 

0 

None 

None 

Technical & 
administrative assistance 
(NDA) 
TOTAL REFERENCE AMOUNT 

8.2.4 

c 

0 

0 

0 

0 

0 

0 

None 

Commitment 
Appropriations 

Payment 
Appropriations 

0 

0 

a+c 

b+c 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Not 
appli
cable.

Not 
appli
cable.

Administrative expenditure not included in reference amount5 

resources 

and 
expenditure 

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

included 

8.2.5 

8.2.6 

d 

e 

0.054 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

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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Total indicative financial cost of intervention 

TOTAL CA including 
cost of Human 
Resources 

TOTAL PA including 
cost of Human 
Resources 

Co-financing details 

a+c
+d+
e 

b+c
+d+
e 

0.054 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

0.054 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

The legislative proposal does not provide for cofinancing on the part of the Member States 

EUR Million (to 3rd decimal place) 

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 (i.e. 

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

4.1.3 

Financial impact on Revenue 

Proposal has no financial implications on revenue 

(cid:133) 

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

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

6 

See points 19 and 24 of the Interinstitutional Agreement. 

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EUR Million (to 3rd decimal 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 

4.2 

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

(Management by existing staff). 

Annual requirements 

Total  number  of  human 
resources 

Year  n 
(2007*) 

n +1 

n +2 

n +3 

n +4 

n+5  and 
later 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1 

Need to be met in the short or long term 

The  aim  of  this  legislative  proposal  is  the  establishment  of  the  basic  principles  which 
Member States should follow for technical investigations after maritime incidents. 

The  actions  foreseen  will  be  carried  out  by  the  Governments  of  the  Member  States,  in 
particular  by  the  departments  responsible  for maritime  affairs  and technical  investigations 
on marine casualties. 

5.2 

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

The proposal will, in particular, make it possible to identify at an early stage the lessons and 
measures that should be taken into account at Community level for preventing accidents and 
reducing maritime transport-related risks to which the citizens and the marine environment 
of the Member States are exposed. 

The value added will appear in the form of an improvement of the overall level of maritime 
safety. There are not foreseeable implications for any financial instrument.  

7 

Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years. 

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32 

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5.3 

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

The  general  objective  of  the  Commission’s  proposal  is  to  establish  clear  guidelines  at 
Community  level  concerning  the  manner  in  which  technical  investigations  are  carried  out 
incidents.  The  difficulties  encountered  when 
following  maritime  casualties  and 
investigating  the  sinking  of  the  Erika  and  the  Prestige  oil  tankers  revealed  the  need  for 
further Community action in this area. 

In accordance with the rules of international maritime law and the rights and obligations of 
Member  States,  the  proposal  for  a  Directive  contains  the  measures  strictly  needed  at 
European  Union  level  to  ensure  that  the  technical  investigations  following  maritime 
accidents  which  caused  or  threatened  to  cause  serious  damage  to  people,  goods  and  the 
environment of the Member States, are carried out properly.  

Community  legislation  will  ensure  the  effective  application,  at  Community  level,  of  the 
principles agreed at international level and thereby support the Member States, either as flag 
States  or  as  States  concerned,  in  activities  relating  to  investigations  into  serious  maritime 
accidents. 

5.4 

Method of Implementation (indicative) 

Show below the method(s)8 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  art.  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.  

8 

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

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6. 

MONITORING AND EVALUATION 

The draft Directive contains a provision requiring the Member States to communicate to the 
Commission the national implementing measures (NIM) to be adopted in order to transpose 
the Directives into national law.  

Failure  to  communicate  these  NIMs  (as  well  as  incomplete  communication)  will 
automatically  result  in  the  launch  of  infringement  proceedings  under  Article 226  of  the 
Treaty. 

Monitoring  the  effective  implementation  of  the  new  rules  will  be  undertaken,  at  their 
respective  levels  of  competence,  by  the  investigative  bodies  in  the  Member  States,  the 
national maritime administrations and by the Commission. 

6.1 

Evaluation:  

6.1.1 

Ex ante evaluation 

In  May  2004  and  February  2005  the  Commission  held  a  double  round  of  consultative 
meetings with representatives of the Member States and the maritime industry on the basis 
of  staff  working  papers  containing  a  detailed  list  of  questions  on  the  approach  to  be 
followed and the measures to be taken with regard to legislation needed for investigations 
after  maritime  accidents.  The  Commission  asked  the  participants  consulted  to  send  their 
detailed comments to it in writing.  

With  the  help  of  the  Maritime  Safety  Agency,  the  Commission  has  also  gathered  the 
necessary information to assess the impact of the proposal. The principles which formed the 
basis for the Commission’s proposal were examined during a technical seminar organised 
by the Agency in February 2005 attended by IMO experts and the maritime administrations 
and investigative bodies of the Member States.  

Finally, when drawing up the draft Directive, the Commission was advised by the Group of 
independent  experts  which  advises  the  Commission  on  the  strategy  for  dealing  with 
accidents in the transport sector.  

The outcome of the consultations and impact studies carried out confirmed that: 

•  the  most  appropriate  option  for  dealing  with  the  issue  of  technical  investigations 
following a maritime incident within the framework of maritime safety policy is to use 
Community legislation; 

•  the chosen instrument (a Directive establishing the basic principles which Member States 
should follow for technical investigations after a maritime incident) should be based as 
far  as  possible  on  the  principles  and  recommendations  of  the  International  Maritime 
Organisation (IMO’s Code). However, the legislation proposed should result in at least a 
similar  level  of  feedback  as  that  guaranteed  under  the  implementing  legislation  in  the 
aviation sector; 

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•  Community  action  in  this  area  is  urgently  needed  because  technical  investigations  are 
part  of  a  policy  aimed  at  preventing  future  maritime  disasters  within  the  European 
Union. 

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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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. 19…………
……. 

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 

9 

As described under Section 5.3. 

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36 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
OPERATIONAL 
OBJECTIVE 
No n  
Sub-total 
Objective n  
TOTAL COST 

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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 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

Officials or 
temporary 
staff10 
(06 01 01) 

A*/
AD 

B*, 
C*/
AST 

0 

financed11 

Staff 
art. XX 01 02 

by 

0 

Other  staff  financed12 
by art. XX 01 04/05 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

TOTAL 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

8.2.2  Description of tasks deriving from the action: Tasks 

The  Directive  establishing  the  principles  for  carrying  out  technical  investigations 
following  maritime  transport  accidents  extends  Community  competence  in  the  area 
of maritime safety. This will require the recruitment of additional staff – estimated at 
½  an  A  official  –  to  ensure  that  implementation  of  the  Directive  is  monitored 
correctly. 

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 

redeployment) 

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

(cid:133) 
question 

10 
11 
12 

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. 

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8.2.4  Other  administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

Budget line 
(Number and heading) 
1. 
and 
administrative 
assistance 
(including related staff costs) 
 Executive agencies13 

Technical 

technical 

Other 
administrative assistance 
- intra muros 

and 

- extra muros 
Total technical and 
administrative assistance 

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  related  costs  not  included  in  the  reference 
amount 

EUR million (to 3 decimal places) 

Type of human resources 

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

Year n 

0.054 

Year n+1  Year n+2  Year n+3  Year n+4  Year n+5 
and later 
0.324 

0.054 

0.054 

0.054 

0.054 

0 

0 

0 

0 

0 

0 

0.054 

0.054 

0.054 

0.054 

0.054 

0.324 

Calculation– Officials and Temporary agents 

(108 000 € * 0.5 = 54 000 €) 

Calculation– Staff financed under Article XX 01 02 

Not applicable 

13 

Reference  should  be  made  to  the  specific  legislative  financial  statement  for  the  Executive 
Agency/Agencies concerned. 

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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  and 
Conferences 
XX 01 02 11 03 – Committees14 

XX 01 02 11 04 - Studies and consultations 

XX 01 02 11 05 - Information systems 

including  reference 

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

(NOT 

in 

With no impact on the current mission budget. 

Calculation - Other administrative expenditure not included in reference amount 

Not applicable 

14 

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

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