Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2009/18/EC establishing the fundamental principles governing the investigation of accidents in the maritime transport sector
Date: 2023-06-01
Institutions: Directorate-General for Mobility and Transport, European Commission
Subjects: environmental protection, marine environment, maritime safety, maritime transport, transport accident

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   EUROPEAN COMMISSION  Brussels, 1.6.2023  COM(2023) 270 final 2023/0164 (COD)  Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2009/18/EC establishing the fundamental principles governing the investigation of accidents in the maritime transport sector (Text with EEA relevance) {SEC(2023) 201 final} - {SWD(2023) 145 final} - {SWD(2023) 146 final}  
 
EXPLANATORY MEMORANDUM 

1. 

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CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

This proposal concerns a modification of Directive 2009/18/EC of the European Parliament and of the 
Council  of  23  April  2009  establishing  the  fundamental  principles  governing  the  investigation  of 
accidents in the maritime transport sector and amending Council Directive 1999/35/EC and Directive 
2002/59/EC of the European Parliament and of the Council1. 

Directive 2009/18/EC (hereinafter the Directive) provides for a system of safety investigations to learn 
lessons  from  maritime  accidents  and  to  prevent  their  reoccurrence.  Maritime  accidents  falling  within 
the  scope  of  the  Directive  are  investigated  to  improve  maritime  safety  and  to  protect  the  marine 
environment.  

As part of its regulatory fitness and performance programme (REFIT) and better regulation agenda, the 
Commission carried out an ex-post evaluation2  and maritime transport fitness check3 in 2018. These 
concluded that, even though the Directive has largely achieved its objectives and provided EU added 
value,  it  requires  updating  and  some  improvement.  The  general  objective  of  the  revision  of  the 
Directive is to improve maritime safety and the protection of the marine environment. The current EU 
regulatory  framework  should  be  updated  in  order  to  (i)  maintain  EU  rules  where  necessary  and 
proportionate;  (ii)  ensure  their  correct  implementation;  and  (iii)  eliminate  any  potential  overlap  of 
obligations  and  inconsistencies  between  related  pieces  of  legislation.  The  overarching  objective  is  to 
provide for a clear, simple and up-to-date legal framework that increases the overall level of safety. 

For  ships  engaged  in  international  voyages,  which  include  voyages  between  Member  States, 
international conventions and certain EU rules apply. The obligation to investigate marine casualties or 
navigation  incidents  finds  its  origin  in  the  United  Nations  Convention  on  the  Law  of  the  Sea4 
(UNCLOS) that imposes an obligation on the flag State to conduct an investigation.  

The  International  Maritime  Organization  (IMO)  subsequently  developed  the  Casualty  Investigation 
Code5. The Code requires a safety investigation to be conducted into casualties involving the total loss 
of the ship or a death or severe damage to the environment. It also recommends that investigations be 
carried  out  into  other  marine  casualties  and  incidents,  by  the  flag  State  of  a  ship  involved,  if  it  is 
considered likely that it would provide information that could be used to prevent future accidents. 

EU  action  in  the  field  of  maritime  safety  both  complements  and  implements  the  international 
framework. The transposition of IMO rules into the EU legal system makes these provisions actionable 
before the European Court of Justice ensuring their uniform enforcement across the EU.  

The  Directive  goes  further  than  the  IMO  Casualty  Code  by  obliging  Member  States  to  set  up 
independent  accident  investigation  bodies  (‘AIBs’)  and  to  stipulate  in  their  national  legislation  that 

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OJ L 131, 28.5.2009, p. 114 
SWD(2018) 232 final 
SWD(2018) 228 final 
https://www.un.org/depts/los/convention_agreements/convention_overview_convention.htm 
Code of International Standards and Recommended Practices for a Safety Investigation into a Marine Casualty or 
Marine Incident (Casualty Investigation Code) 

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these  AIBs  are  notified  of  marine  casualties  and  incidents6.  The  AIBs  should  investigate  accidents 
depending  upon  their  severity,  with  “very  serious  marine  casualties”7  requiring  an  obligatory 
investigation. The types  of vessels covered by the Directive is broader than that covered by the IMO 
text  including  fishing  vessels  of  15  metres  in  length  and  over  and  also  pleasure  yachts  and  pleasure 
craft in certain circumstances. The Directive also provides that a common methodology be followed in 
the conduct of investigations and specifies the conditions for carrying out parallel/joint investigations.   
The  Directive  requires  AIBs  to  publish  reports  on  the  investigations  carried  out  (safety  investigation 
reports). They should also notify the Commission of marine casualties and incidents via a database (the 
European  Marine  Casualty  Information  Platform  –  EMCIP),  established  and  maintained  by  the 
European Maritime Safety Agency8 (EMSA) for this purpose.  

The 2018 REFIT and maritime transport fitness check underlined the need to ensure consistency in the 
regulatory framework across Member States and the effective enforcement of international obligations 
in  a  uniform  and  harmonised  way.  Shortcomings  in  the  current  Directive  and  its  implementation  by 
Member  States  due  to  challenges  with  resources,  staffing  and  expertise  were  widely  reported  as 
problematic.  

Apart from the need to update the Directive to take account of legal, environmental and technological 
changes  that  have  occurred  in  the  time  since  its  adoption,  taking  account  of  lessons  learnt  in  its 
implementation is also necessary. In the ex post evaluation, the non-applicability of the maritime safety 
acquis  to  a  certain  category  of  vessels  (fishing  vessels)  operating  in  EU  waters  and  the  significant 
safety concerns for this vessel type were also raised.  

Considering the results of the ex-post evaluation and the Maritime Transport Fitness Check, and with 
the  general  objective  of  improving  safety  and  environmental  protection  while  simplifying  the    EU 
regulatory  framework  and  helping  Member  States  fulfil  their  international  and  EU  regulatory 
responsibilities, a proposal to amend Directive 2009/18/EC has been prepared. The specific objectives 
of its revision are: 

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The protection of fishing vessels, their crew and the environment.  Smaller fishing vessels of 
less  than  15  metres  in  length  are  not  included  within  the  current  scope  of  the  Directive, 
meaning  that  accidents  involving  fatalities  and  loss  of  vessels  are  not  investigated  in  a 
systematic and harmonised way across the European Union. 

To  clarify  definitions  and  the  legal  text  so  that  Member  States  accident  investigation  bodies 
investigate all accidents that need to be investigated in a timely and harmonised manner. 

To enhance the capacity of AIBs to conduct (and report on) accident investigations in a timely, 
expert  and  independent  manner  -  including  on  renewable  and  low  carbon  fuels  and 
technologies. 

To  update  a  number  of  definitions  and  references  to  relevant  EU  legislation  and  IMO 
Regulations in order to ensure clarity and consistency. 

This obligation covers casualties and incidents that involve ships flying the flag of one of the Member States; or 
occur  within  Member  States'  territorial  seas  and  internal  waters;  or  involve  other  substantial  interests  of  the 
Member States. The territorial sea, is a belt of coastal waters extending at most 12 nautical miles (22 km) from the 
baseline (usually the mean low-water mark) of a coastal state. Internal waters are those waters on the landward side 
of  the  baseline  of  a  nation's  territorial  waters.  Internal  waters  can  include  rivers  and  canals  as  well  as  ports  and 
harbours.(Article 6 of the AI Directive)  
As  defined  by  the  IMO  Code  for  the  Investigation  of  Marine  Casualties  and  Incidents  –  referred  to  in  Article 
3(2)(b) of the AI Directive . 
www.emsa.europa.eu 

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Consistency with existing policy provisions in the policy area 

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The  proposal  is  fully  consistent  with  Directive  2009/16/EC9  on  port  State  control  and  Directive 
2009/21/EC10 on flag  State requirements.  The three Directives  - which  are all being  amended  at  the 
same time - must be coherent with each other and any proposed change to one must take into account 
the other two Directives and the broader international regulatory environment.   The lesson learnt from 
safety investigations and the safety recommendations emanating therefrom can help flag States and the 
recognised organisations that act on their behalf to improve the safety profile of the vessels under their 
responsibility.  

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Consistency with other EU policies 

The proposal forms part of the Commission's REFIT programme and delivers on its Better Regulation 
agenda by ensuring that the existing legislation is simple and clear, does not create unnecessary burden 
and keeps pace with evolving political, societal and technological developments. This proposal for an 
amendment  as  well  as  those  for  the  other  maritime  safety  Directives  are  also  part  of  and  have 
significant interaction with the larger maritime safety acquis which includes elements such as the EU 
vessel traffic monitoring and information system (SafeSeaNet)11, the EMSA founding Regulation12, the 
fishing vessel safety Directive13, the EU legislation relating to Recognised Organisations14, the Marine 
Strategy Framework Directive15 and other EU environmental legislation16.   

This proposal is consistent with and contributes to the EU climate neutrality objective by 2050 as set 
out  in  Article  2(1)  of  Regulation  (EU)  2021/111917  of  the  European  Parliament  and  of  the  Council 
which establishes the EU framework for achieving climate neutrality.  

2. 

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LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

The  legal  basis  of  the  Amending  Directive  is  Article  100(2)  TFEU  which  provides  for  measures  to 
improve transport safety and for specific provisions for sea transport. 

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Subsidiarity (for non-exclusive competence)  

As  international  accident  investigation  instruments  in  the  maritime  transport  sector  are  an  exclusive  EU 
competence  according  to  Article  3(2)  TFEU,  the  subsidiarity  principle  does  not  apply,  either  to  those 
instruments or to EU rules implementing those agreements. Even if this were not the case, Member States 
acting  individually  would  not  be  able  to  tackle  all  the  identified  problems  and,  if  they  were  to  do  so,  it 

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OJ L 131, 28.5.2009, p.57 
OJ L 131, 28.5.2009, p.132 
Directive  2002/59/EC  establishing  a  Community  vessel  traffic  monitoring  and  information  system  (OJ  L  208, 
5.8.2002, p. 10) 
OJ L 208, 5.8.2002, p. 1 
OJ L 34, 9.2.1998, p. 1 
Regulation (EC) No 391/2009 on common rules and standards for ship inspection and survey organisations (OJ L 
131,  28.5.2009,  p.11)  and  Directive  2009/15/EC  on  common  rules  and  standards  for  ship  inspection  and  survey 
organisations and for the relevant activities of maritime administrations (OJ L131, 28.5.2009, p.47) 
OJ L 164, 25.6.2008, p. 19 
Such  as  Directive  92/43/EEC  (the  “Habitats  Directive”),  Directive  2009/147/EC  (the  ‘EU  Birds  Directive’), 
Directive (EU) 2019/904 (Single use Plastics Directive)  
OJ L 243, 9.7.2021, p. 1 

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would lead to fragmentation of legislation and potential distortion of the internal market. To avoid such a 
fragmented legal framework, there is a need for EU action. 

All  Member  States  are  concerned  by  the  Directive  as  flag  States,  coastal  States  or  substantially 
interested States.  

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Proportionality 

The proposal has been prepared to keep pace with the latest international developments and to address 
the results of the REFIT exercises mentioned above.  The Commission has also carried out an impact 
assessment to identify assess and evaluate alternative measures to achieve the same objectives.  

The  objective  of  the  proposed  amendment  is  to  improve  maritime  safety.  This  will  be  achieved  by 
investigating  casualties  and  learning  from  them  to  prevent  similar  accidents  from  happening  in  the 
future.  Extending  the  scope  to  cover  certain  types  of  accidents  involving  smaller  fishing  vessels  is 
considered  proportionate.  The  additional  costs  necessary  for  AIBs  to  investigate  very  serious  marine 
casualties  (VSMCs)  involving  fishing  vessels  of  less  than  15  metres  seem  to  be  limited,  especially, 
when compared to the potential safety improvements. The amendment will ensure that the current high 
level of safety is not compromised and should improve safety in the fishing sector.     

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Choice of the instrument 

As  only  several  amendments  are  to  be  done  with  respect  to  Directive  2009/18/EC,  an  amending 
Directive is the most appropriate legal instrument. 

3. 

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RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND 
IMPACT ASSESSMENTS 

Ex-post evaluations/fitness checks of existing legislation 

The  fitness  check  showed  that  the  key  objectives  of  the  Directive  are  being  met  overall  and  remain 
highly  relevant.  Without  the  Accident  Investigation  Directive,  it  is  unlikely  that  the  16  AIBs 
established  since  2009  would  have  been  put  in  place.  Indeed,  before  2009  most  States  primarily 
conducted investigations for criminal prosecution purposes if they did so at all. The creation of AIBs 
has given a boost to accident investigations for safety reasons, with an emphasis on independence and 
the  development  of  safety  recommendations  for  accident  prevention  purposes.  In  addition,  the 
evaluation  concluded  that  the  Directive  provides  a  consistent  framework  for  investigating  maritime 
accidents and thus ensures that accident investigations are conducted in a uniform and harmonised way 
throughout the EU. 

The obligatory nature of the Directive has led to a harmonised reporting of accidents and incidents, as a 
standard  set  of  requirements  has  to  be  met.  The  overall  conclusion  of  the  evaluation  based  on  the 
assessment  of  relevance,  effectiveness,  efficiency,  coherence  and  EU  added  value  was  that  the 
Directive has largely met expectations, achieving EU-wide benefits.  

However, shortcomings in the current policy framework due to challenges with resources, staffing and 
expertise were widely reported as problematic.  

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Stakeholder consultations 

The main consultation activities included: 

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Three rounds of interviews with EU-level representatives of key stakeholders organised by the 
consultant in charge of the external support study, running intermittently from February 2021 to 

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November  2021,  to  gather  specific  information,  particularly  to  support  and  refine  the  overall 
problem definition and possible policy options.  

A  targeted  stakeholder  survey  organised  by  the  consultant  in  charge  of  the  external  support 
study,  running  from  June  to  November  2021,  to  gather  specific  information,  particularly  to 
refine  the  problem  definition,  the  baseline  and,  where  possible  the  assessment  of  impacts  of 
possible policy measures. 

Additional consultation activities organised by DG MOVE and the consultant in charge of the 
external support study to gather views from Member States and key stakeholders on the various 
policy measures, and also to validate the emerging and final results of the support study to the 
impact  assessment  aimed  at  quantifying  the  impacts.  These  activities  took  place  during  
meetings of the EU Sectoral Social Dialogue Committee on maritime transport (16 April 2021, 
23 September 2021 and 16 December 2021),  the EU Sectoral Social Dialogue Committee on  
Sea Fisheries (29 January 2021, 8 March 2021 and 16 November 2021), the EU Sector Social 
Dialogue  Committee  on  ports  (19  November  2021),  meetings  of  the  Permanent  Cooperation 
Framework of AIBs (10 March 2021, 18 June 2021, 29 August 2021, 22 September 2021 and 7 
October  2021),  an  informal  meeting  of  the  EU/EEA  Maritime  Transport  Directors  (30 
November 2021) and meetings of the of the EU Committee on Safe Seas and the Prevention of 
Pollution  from  Ships  (17  May  2021  and  11  November  2021).  A  final  validation  workshop  to 
validate  the  conclusions  of  the  support  study  attended  by  Member  State  and  industry 
representatives was also organised (20 January 2022). 

Considering the highly technical nature of the file, no open public consultation was carried out. 
However, the general public was offered the opportunity to provide any views on this initiative, 
via  an  announcement  on  DG  MOVE’s  webpage  and  a  dedicated  functional  mailbox.  One 
contribution was received from a shipowner association relating to accident investigation which 
welcomed the administrative burden reduction and possible support to AIBs from EMSA.  

The information collected from stakeholders was key in allowing the Commission to refine the design 
of  the  policy  options  to  assess  their  economic,  social  and  environmental  impacts,  compare  them  and 
determine which option  would be likely to maximise the benefits/costs ratio for society and  ensure a 
more effective and efficient mechanism to investigate maritime accidents across the EU. Findings from 
those processes complemented the desk research carried out as part of the external support study.  

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Collection and use of expertise 

This review builds primarily on the data collected during the 2018 ex post evaluation and the maritime 
transport fitness check mentioned previously. 

In  addition  to  the  data  gathered  and  the  consultation,  the  preparation  of  this  proposal  required  input 
from  technical  and  legal  experts  on  the  concrete  formulation  of  technical  definitions  and  clear  legal 
drafting. This expertise was gathered within the Commission, EMSA and the Permanent Cooperation 
Framework of AIBs. Details are provided in the staff working document accompanying the proposal. 

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Impact assessment 

The proposal is based on the results of an impact assessment which was informed by a support study 
carried out by an external consultant having specific knowledge in this area.  

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The  impact  assessment  examined  various  policy  options  for  revising  the  Directive,  based  on  the 
following guiding principles: 

(1) The need for alignment with international instruments and for clarity on problematic or ambiguous 
definitions; 

(2)  The  scope  of  EMSA  support  to  the  Member  States  in  fulfilling  their  reporting  and  investigation 
obligations under the Directive and international law; 

(3) The potential for addressing the specific problem of accidents involving smaller fishing vessels. 

These principles are reflected in the policy objectives described below. 

Option  A  proposes  several  changes  to  the  Directive  to  improve  maritime  safety  and  pollution 
prevention. Under this option the scope would remain the same and the accident investigation bodies 
(now  renamed  ‘marine  safety  investigation  Authorities’  in  line  with  the  IMO  terminology)  would 
continue to have the flexibility they currently have. On the issue of fishing vessels, this option proposes 
a  non-regulatory  measure  whereby  Member  States  will  be  recommended  to  report  on  VSMCs.    This 
policy option along with all the others requires a quality management system (QMS) to be put in place 
to assure each investigation authority’s effective management of resources and  the accuracy of safety 
investigation reports.  

Option  B  seeks  to  balance  greater  harmonisation  by  means  of  more  clearly  stated  definitions  with  a 
limited additional requirement for smaller fishing vessels. On fishing vessels, the Directive would be 
amended to oblige Member States to report all fatalities and vessel losses involving fishing vessels of 
less  than  15  metres  to  the  EMCIP.  The  alignment  and  clarification  issues  would  be  addressed  by 
amending  the  Directive.  On  assisting  Member  State  investigation  authorities  with  conducting  (and 
reporting  on)  accident  investigations,  the  supporting  role  of  EMSA  is  not  enlarged  beyond  what  is 
currently provided for in the existing legislation.  The reporting  burden on investigation  authorities is 
somewhat lessened by broadening the range of competent authorities that can report to the database.     

Option C is the most ambitious in terms of increased administrative and investigatory requirements for 
the  investigation  authorities.  On  fishing  vessels,  this  option  will  oblige  investigation  authorities  not 
only to report on fatalities and vessel losses of smaller fishing vessels but also to carry out at least a 
preliminary  assessment  to  determine  if  lessons  can  be  learnt  and  if  a  full  investigation  needs  to  be 
carried  out.  The  impact  assessment  concluded  that  the  most  effective  and  hence  the  preferred  policy 
option is Option C.  Although option C has the highest additional costs, when considering costs versus 
benefits, Option C will have the greatest impact in terms of improving maritime safety.   

This proposal is accompanied by an impact assessment report18, a draft of which was submitted to the 
Regulatory  Scrutiny  Board  (RSB)  in  April  2022.  The  RSB  issued  a  positive  opinion  and  the  impact 
assessment  report  was  revised  in  line  with  the  RSB  recommendations,  the  RSB  comments  are 
addressed in the staff working document which accompanies this legislative proposal.   

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Application of the ‘one in, one out’ approach  

No additional administrative costs for businesses or citizens are expected.  

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SWD(2023)145 

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Regulatory fitness and simplification 

The initiative has a REFIT dimension in terms of alignment and simplification of safety legislation, of 
improving the safety profile in particular of the small fishing vessel segment and of assisting Member 
State AIBs in fulfilling their reporting and investigative functions.   

In  addition,  the  preferred  policy  option  includes  elements  of  simplification  as  it  will  increase  the 
efficiency  of  the  national  AIBs  by  providing  clarity  on  when  they  need  to  carry  out  investigations, 
AIBs will no longer have to carry out preliminary assessment of serious casualties and the AIBs can 
delegate to other competent authorities the possibility to input data to the EMCIP database.  EMSA’s 
provision of top-up assistance to those AIBs that request operational support should also improve the 
quality  and  quantity  of  investigations  carried  out  as  well  as  increase  their  harmonisation  and 
standardisation across the EU.  

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Fundamental rights 

The proposal has no consequences for the protection of fundamental rights. 

4. 

BUDGETARY IMPLICATIONS 

The  estimated  additional  annual  costs  for  the  EU  budget  amount  to  around  EUR  1.88  million  per 
annum  in  2030  and  EUR  1.93  million  per  annum  in  2050.  The  budget  impact  of  the  proposal  is 
described  in  more  detail  in  the  Legislative  Financial  Statement  annexed  to  this  proposal  for 
information. The budget impact of the proposal is already included in the Commission’s Proposal for a 
Regulation  of the European Parliament and of the Council on the European Maritime Safety Agency 
and repealing Regulation (EC) No 1406/2002. 

The budget impact beyond the current MFF is an indicative overview, without prejudice to the future 
MFF Agreement. 

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OTHER ELEMENTS 

Monitoring, evaluation and reporting arrangements 

Adequate monitoring and reporting arrangements have been identified. EMSA plays an important role 
in this process, as the Agency is in charge of the development and operation of electronic data systems 
for maritime transport. 

The implementation can be monitored by means of Commission and/or EMSA monitoring of EMCIP 
database to verify that investigations are being carried out in a timely and effective manner and that the 
marine casualty or incident notification data as provided for in Annex II of the Directive and the safety 
investigation reports are uploaded to the database. EMSA also carries out cycles of visits to Member 
States to verify operations on the ground as part of EMSA’s support role to the Commission19. Member 
States  will  have  to  have  a  quality  management  system  (QMS)  to  certify  its  organisation,  policies, 
processes, resources and documentation are appropriate to achieve its objectives. This will have to be 
certified  and  subsequently  subject  to  periodic  audit.  Investigation  authorities  will  have  to  share  with 

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EMSA carries out such visits under Article 3 of Regulation (EC) No 1406/2002 establishing a European Maritime 
Safety Agency as part of its core tasks; therefore no additional costs are expected to arise. 

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Commission/EMSA  the  results  of  the  annual  audits  carried  out  by  the  accredited  body  such  that  the 
investigation authority can retain its QMS certification.  

Given that the full cycle of envisaged EMSA implementation visits is scheduled to last 5 years20, it is 
proposed that the evaluation cycle of the Directive is set at ten-year intervals. 

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Explanatory documents (for directives) 

Explanatory  documents  are  not  required  as  the  proposal  aims  to  simplify  and  clarify  the  existing 
regime. 

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Detailed explanation of the specific provisions of the proposal 

Article 1 of the  draft  amending  Directive forms  its  main part and  contains  amendments  to  numerous 
provisions of Directive 2009/18/EC.  

Compliance with IMO Casualty Investigation Code 

A  number  of  definitions  and  references  are  updated  to  take  account  of  changes  in  the  international 
regulatory environment. Specifically, the reference to the IMO Casualty Investigation Code is updated, 
a number of definitions found in Article 3 of the Directive which are to be understood in accordance 
with  the  definitions  contained  in  the  IMO  Casualty  Investigation  Code  are  also  updated  and  the 
reference to serious casualty which has been removed from the IMO Casualty Code and referred to in 
Article  3(3)  is  deleted.  Several  other  changes  are  made  in  the  legal  provisions  following  the  IMO 
Casualty  Code  in  particular  the  change  of  the  title  of  the  “investigative  body”  to  “marine  safety 
investigation Authority”. 

The substantive changes to the directive are set out herebelow. 

Purpose and scope  

In point 2, Article 2 (d) is deleted, the scope of the Directive is hereby partially extended to all fishing 
vessels including those of less than 15 meters in length. 

Definitions 

Point  3  also  update  a  number  of  definitions  which  have  been  problematic  or  refer  to  outdated  EU 
legislation. Firstly, the references to ‘ro-ro ferry’ and ‘high-speed passenger craft’ are updated to take 
account in changes in EU legislation, the length of a fishing vessel is specified as the length overall in 
accordance  with  Article  2  of  Regulation  (EU)  2017/1130.  The  issue  of  non-fatal  injury  which 
subsequently results in death some time after the marine occurrence which caused it is also addressed. 
To  provide  clear  guidance  until  when  an  investigation  should  be  started  and  thereby  ensure  a 
harmonised  approach  across  the  Union,  the  Directive  is  amended  to  include  a  clear  deadline  (i.e.  30 
days after the accident occurred, as in other transport modes).  

Obligation to investigate and investigation Authorities 

Point 5 makes changes to the obligation to investigate and provides that, in relation to a very serious 
marine casualty (loss of the vessel and/or a fatality) involving a fishing vessel of less than 15 metres in 

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As  provided  for  in  the  EMSA  Methodology  for  visits  to  Member  States,  http://emsa.europa.eu/implementation-
tasks/visits-and-inspections/items.html?cid=89&id=3065 

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length, Member States are obliged to at least carry out a preliminary assessment to determine if a safety 
investigation should be carried out.  

Furthermore,  as  the  concept  of  a  serious  casualty  has  been  abolished  at  IMO  level,  the  attendant 
obligation  to  carry  out  a  preliminary  assessment  of  such  casualties  required  by  the  Directive  is  also 
abolished.  Finally,  the  Directive  is  amended  to  provide  guidance  in  relation  to  accidents  which  take 
place involving ships in port.   

Point  8  provides  that  Member  States  must  establish  a  quality  management  system  (QMS)  for  their 
marine  safety  investigation  Authority.  This  measure  should  improve  the  quality  of  the  accident 
investigations, the management of available resources having regard to the workload and especially the 
reports written. A similar obligation exists in relation to the Flag State administration under Article 8(1) 
of Directive 2009/21/EC on flag state requirements. 

European database for marine casualties 

Point  14  relates  to  the  reporting  obligations  of  Member  States  as  regards  the  European  Maritime 
Casualty  Information  Platform  (EMCIP).  There  are  two  changes,  firstly  it  specifies  their  obligations 
regarding VSMCs involving fishing vessels of less than 15 metres in length. Secondly, the Directive is 
adapted so that all marine casualties and incidents other than VSMCs can be notified to EMCIP by a 
duly  designated  competent  authority  of  a  Member  State  other  than  the  marine  safety  investigation 
Authority.  Currently  only  the  marine  safety  investigation  Authority  can  notify  to  EMCIP  and  this  is 
seen as a resource burden by some Member States. In addition, EMSA and the Commission should be 
able to input data to the EMCIP database. This will free up the investigation authorities to concentrate 
on  their  investigative  functions  and  make  allowance  for  the  fact  that  investigation  authorities  do  not 
always have access to this kind of data management, as the relevant statistics are collected, used and 
managed by other competent authorities in the same Member State. 

Support and training by EMSA 

Point 15 sets out the possibilities for EMSA to provide support to the EU Member States investigation 
authorities  to  better  discharge  their  responsibilities  under  the  Directive.  Many  AIBs  lack  sufficient 
resources to have an expert on every specialised discipline. On the basis of this provision EMSA could 
make  available  a  pool  of  experts  of  different  disciplines  who  could  be  of  service  to  any  requesting 
investigation authority. Similarly, specialised equipment can be very expensive and most AIBs do not 
have the budget to own such equipment outright. Therefore EMSA could provide specialised tools and 
equipment, which can be lent or provided to the investigation authorities. This way, the equipment can 
be  centrally  sourced  instead  of  every  investigation  authority  having  to  act.  This  would  provide  for 
Union wide economies of scale.  

As  regards  training  EMSA  could  take  a  role  in  raising  awareness  of  developments,  disseminating 
information,  and  organising  discussions  and  training  courses  on  subjects  such  as  renewable  and  low 
carbon fuels, new digital technologies and relevant developments at the IMO level. In addition, EMSA 
could  provide  dedicated  training  on  the  use  of  investigative  technologies,  equipment  and  on  new 
technologies relating to the developments in maritime transport.   

Amending powers 

EN 

9 

  EN 

Point 17 states that while the reference to the IMO Casualty Code refers to the most up to date version 
this is however subject to the standard non-regression clause. This means that if there are changes at the 
international level, the standards in the EU instrument are at least maintained at the current level.  

Implementation review and repeal of other EU legislation 

Point  18 provides that the Commission  will produce a review of the implementation  of the  amended 
Directive 10 years after adoption, this takes account of the time necessary for transposition and the fact 
that an EMSA review cycle of visits to Member States typically takes no less than 5 years.  

Point 19 provides for the repeal of Commission Regulation (EU) No 1286/2011 of 9 December 2011 
adopting a common methodology for investigating marine casualties and incidents. The IMO adopted 
Guidelines to assist investigators in the implementation of the Casualty Investigation Code (Resolution 
A.1075(28))  in  4  December  2013,  which  provide  a  detailed  methodology  for  the  investigation  of 
marine casualties and incidents. There is therefore no longer a need for the common methodology set 
out in Commission Regulation (EU) No 1286/2011.  

EN 

10 

  EN 

 
 
2023/0164 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Directive 2009/18/EC establishing the fundamental principles governing the 
investigation of accidents in the maritime transport sector 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 100(2) 
thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national parliaments, 
Having regard to the opinion of the European Economic and Social Committee21,  
Having regard to the opinion of the Committee of the Regions22, 

Acting in accordance with the ordinary legislative procedure, 

Whereas:  

(1) 

(2) 

(3) 

Directive  2009/18/EC  of  the  European  Parliament  and  of  the  Council23  establishes  the 
fundamental  principles  governing  the  investigation  of  accidents  in  the  maritime  transport 
sector and provides for a system of safety investigations. Maritime accidents falling within the 
scope of that Directive are investigated by independent investigative bodies established in the 
Member States to improve maritime safety, as well  as to protect the marine environment, by 
learning from past accidents to prevent their reoccurrence in the future.  

Since  the  entry  into  force  of  Directive  2009/18/EC,  there  have  been  changes  in  the 
international  regulatory  environment  and  technological  developments.  Those  changes  and 
developments as well as the experience gained in the implementation of Directive 2009/18/EC 
should be taken into account.  

Directive  2009/18/EC  refers  to  a  number  legal  texts  adopted  by  the  International  Maritime 
Organization (IMO) which have been abrogated, amended or revised since its entry into force. 
The  ‘IMO  Code  for  the  Investigation  of  Marine  Casualties  and  Incidents’  (IMO  Resolution 
A.849(20) of 27 November 1997) which has been revoked by the ‘Code of the International 
Standards  and  Recommended  practices  for  a  Safety  Investigation  into  a  Marine  Casualty  or 
Marine  Incident  (Casualty  Investigation  Code)’  (Resolution  MSC  255(84)  of  16  May  2008) 

21 
22 
23 

OJ C , , p. . 
OJ C , , p. . 
OJ L 131, 28.5.2009, p. 114 

EN 

11 

  EN 

 
                                                 
(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

(11) 

(12) 

with  Resolution  A.1075(28)  Guidelines  to  Assist  Investigators  in  the  Implementation  of  the 
Casualty Investigation Code  MSC.255(84)).  

The  IMO  Casualty  Investigation  Code  introduces  new  definitions,  such  as  the  definition  of 
‘marine  safety  investigation  Authority’,  while  others  concepts  are  deleted,  such  as  ‘serious 
casualty’. Those changes should be incorporated into Directive 2009/18/EC.   

Directive 2009/18/EC also refers to IMO Circular MSC/MEPC. 3/Circ.3  of 2008 which was 
superseded  by  Circular  MSC-MEPC.  3/circ.4/rev.1  Reports  on  Marine  Casualties  and 
Incidents Revised Harmonized Reporting Procedures of 18 November 2014.    

The  IMO  Guidelines  to  Assist  Investigators  in  the  Implementation  of  the  Casualty 
Investigation Code (A.1075(28)) adopted on 4 December 2013 provide practical advice for the 
systematic  investigation  of  marine  casualties  and  incidents  and  allow  the  development  of 
effective  analysis  and  preventive  action.  Those  guidelines  should  be  included  in  Directive 
2009/18/EC. 

Fishing  vessels  less  than  15  metres  in  length  are  at  present  excluded  from  the  scope  of 
Directive  2009/18/EC,  therefore  the  conduct  of  maritime  accident  investigations  involving 
such  fishing  vessels  is  non-systematic  and  non-harmonised.  Such  vessels  are  more  prone  to 
capsizing and members of the crew falling overboard is relatively common. Therefore, there is 
a  need  to  protect  those  fishing  vessels,  their  crew  and  the  environment  by  introducing  a 
preliminary assessment of very serious marine casualties involving fishing vessels less than 15 
metres long to determine whether the authorities should open a safety investigation.  

Some definitions provided in Directive 2009/18/EC are not clear. The definition of the length 
of a fishing vessel should be set out especially when there is a distinction on the approach and 
the obligations of the marine safety investigation authorities based on the length of the fishing 
vessel.  

The IMO Casualty Code refers an even or a sequence of events which has occurred ‘directly in 
connection with the operations of a ship’. This concept is the subject of significant divergence 
and should be clarified.  That divergence impacts on the actions of the accident investigation 
authorities particularly as regards accident in ports, the possibilities of joint investigations and 
the gathering of accident and investigation data.   

The IMO Casualty Code provides that when a very serious marine casualty occurs the marine 
authority is obliged to carry out an investigation. However, there is no guidance on the time 
within which a death has to take place following the accident so that the death gives rise to a 
very  serious  marine  casualty  and  therefore  be  investigated.  Therefore  Directive  2009/18/EC 
should provide such guidance. 

The available staff, as well as the operational resources of the Member States’ marine safety 
investigation authorities  vary distinctly, resulting in ineffective and inconsistent reporting on  
and investigation of marine casualties. Therefore, the Commission, with the assistance of the 
European  Maritime  Safety  Agency  (EMSA)  should  provide  highly  specialised  analytical 
support  during  an  individual  investigation  (soft  skills),  as  well  as  analytical  tools  and 
equipment (hardware). 

In light of what has been stated, EMSA should organise trainings on specific techniques and 
on new developments and technologies which can be relevant for accident investigation in the 
future. Such training should focus, among others, on renewable and low carbon fuels, which 
are particularly relevant in view of the “Fit for 55 package”, and automation, as well as on the 
General Data Protection Regulation (GDPR) rules.  

EN 

12 

  EN 

(13) 

(14) 

(15) 

(16) 

To improve the quality of accident investigations, the Member States should develop a quality 
management system (QMS) for the marine safety investigation authorities. 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  the  provisions  of  this 
Directive  regarding  the  list  of  IMO  texts  in  its  scope,  implementing  powers  should  be 
conferred  on  the  Commission.  Those  powers  should  be  exercised  in  accordance  with 
Regulation (EU) No 182/2011 of the European Parliament and of the Council (24).  

In  view  of  the  full  monitoring  cycle  of  visits  to  Member  States  by  EMSA  to  monitor  the 
implementation of this Directive, the Commission should evaluate the implementation of this 
Directive no later than [ten years after its date of  entry into force referred to in Article 23)] 
and  report  to  the  European  Parliament  and  the  Council  thereon.  Member  States  should 
cooperate with the Commission to gather all the information necessary for the evaluation. 

In  accordance  with  the  principle  of  proportionality,  it  is  necessary  and  appropriate  for  the 
achievement of the basic objective of improving the maritime safety and the protection of the 
marine  environment,  to  lay  down  rules  on  the  investigation  of  accidents  in  the  maritime 
transport.  This  Directive  does  not  go  beyond  what  is  necessary  in  order  to  achieve  the 
objectives pursued in accordance with Article 5(4) of the Treaty on European Union. 

(17) 

Directive 2009/18/EC should therefore be amended accordingly, 

HAVE ADOPTED THIS DIRECTIVE: 

Article 1 

Amendments to Directive 2009/18/EC 

Directive 2009/18/EC is amended as follows:  

(1) 

In Article 1, paragraph 2 is replaced by the following: 

Investigations pursuant to this Directive shall not have the aim of determining liability 
‘2. 
or  apportioning  blame.  However,  Member  States  shall  ensure  that  the  marine  safety 
investigation  Authority  (hereinafter  referred  to  as  the  ‘investigation  authority’)  does  not 
refrain  from  fully  reporting  the  causes  of  a  marine  casualty  or  incident  because  fault  or 
liability may be inferred from the findings.’ 

(2) 

Article 2 (2) is amended as follows 

(a) 

point (b) is replaced by the following: 

‘(b)  ships  not  propelled  by  mechanical  means,  wooden  ships  of  primitive  build,  pleasure 
yachts and pleasure craft unless they are used for commercial purposes.’ 

(b)  Point (d) is deleted  

(3) 

Article 3 is replaced by the following: 

24 

Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the 
rules  and  general  principles  concerning  mechanisms  for  control  by  the  Member  States  of  the  Commission's 
exercise of implementing powers (OJ L 55, 28.2.2011, p. 13). 

EN 

13 

  EN 

                                                 
‘Article 3 

Definitions  

For the purposes of this Directive: 

‘1. 
‘IMO  Casualty  Investigation Code’ shall mean the Code of the international  standards 
and recommended practices for a safety investigation into marine casualty or marine incident 
annexed to Resolution MSC.255(84) of the IMO Maritime Safety Committee, in its up-to-date 
version; 

2.  
‘IMO  Guidelines  to  assist  investigators  in  the  implementation  of  the  Casualty 
Investigation  Code’  shall  mean  the  guidelines  adopted  in  the  IMO  Assembly  by  Resolution 
A.1075(28) on 4 December 2013; 

the following terms shall be understood in accordance with the definitions contained in 

3. 
the IMO Casualty Investigation Code: 

(a) 

‘marine casualty’; 

(b) 

‘very serious marine casualty’; 

(c) 

‘marine incident’; 

(d) 

‘marine safety investigation’; 

(e) 

(f) 

(g) 

(h) 

‘marine safety investigation Authority’; 

‘marine safety investigating State’; 

‘substantially interested State’; 

‘serious injury’; 

4.     ‘IMO guidelines on the fair treatment of seafarers in the event of a maritime accident’ 
shall mean the guidelines as annexed to Resolution  LEG.3(91) of the IMO Legal Committee 
of  27  April  2006  and  as  approved  by  the  Governing  Body  of  the  International  Labour 
Organisation in its 296th session of 12 to 16 June 2006; 

5. 

the  terms  ‘ro-ro  ferry’  and  ‘high-speed  passenger  craft’  shall  be  understood  in 
accordance with the definitions contained in Article 2 of Directive (EU) 2017/211025; 

6. 
‘Voyage  data  recorder’  (hereinafter  referred  to  as  ‘VDR’)  shall  be  understood  in 
accordance  with  the  definition  contained  in  Resolution  MSC.333(90)  of  the  IMO  Maritime 
Safety Committee in its up-to-date version; 

7. 

(a) 

‘safety  recommendation’  shall  mean  any  proposal  made,  including  for  the  purposes  of 
registration and control, by: 

the investigation authority of the State conducting, or leading, the safety investigation on 
the basis of information derived from that investigation; or where appropriate, 

25 

Directive (EU) 2017/2110 of the European Parliament and  of the  Council of 15 November 2017 on a system of 
inspections  for  the  safe  operation  of  ro-ro  passenger  ships  and  high-speed  passenger  craft  in  regular  service  and 
amending Directive 2009/16/EC and repealing Council Directive 1999/35/EC (OJ L 315, 30.11.2017, p. 61). 

EN 

14 

  EN 

 
 
                                                 
 
(b) 

8. 

the Commission, acting on the basis of an abstract data analysis and the results of safety 
investigations carried out; 

‘length  of  a  fishing  vessel’  shall  be  understood  in  accordance  with  the  definition 
contained in Article 2 of Regulation (EU) 2017/113026; 

‘fatal injury’ means an injury which is sustained by a person in an accident and which 

9.  
results in his or her death within 30 days of the date of the accident.’ 

(4) 

Article 4 is amended as follows: 

(a) 

in paragraph 1, point (a) is replaced by the following: 

‘(a) independent of criminal or other parallel investigations held to determine liability or 
to apportion blame and that investigation authorities are able to report on the results of a 
marine  safety  investigation  without  direction  or  interference  from  any  persons, 
organisations or parties who may be affected by its outcome.’ 

(b) 

in paragraph 2, point (b) is replaced by the following: 

‘(b)  coordination  of  the  activities  of  their  respective  investigation  authorities  to  the 
extent necessary to attain the objective of this Directive.’ 

(5) 

Article 5 is replaced by the following: 

‘Article 5 

Obligation to investigate 

Each  Member  State  shall  ensure  that  a  safety  investigation  is  carried  out  by  the 

1. 
investigation authority referred to in Article 8 after very serious marine casualties: 

(a) 

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

(b)  occurring  within  its  territorial  sea  and  internal  waters  as  defined  in  UNCLOS, 

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 the case of a fishing vessel of less than 15 metres in length, the investigation authority 
shall  carry  out  a  preliminary  assessment  of  the  very  serious  marine  casualty  to  determine 
whether or not to conduct a safety investigation.  

Where  the  investigation  authority  decides  not  to  undertake  a  safety  investigation  of  a  very 
serious marine casualty involving a fishing vessel of less than 15 metres  the reasons for that 
decision shall be recorded and notified in accordance with Article 17(3).  

3. 
In  the  decisions  referred  to  in  paragraph  2,  the  investigation  authority  shall  take  into 
account  the  evidence  available  as  well  as  the  potential  for  the  findings  of  the  safety 
investigation  to  lead  to  the  prevention  of  future  casualties  and  incidents.  In  the  case  of  any 
other  marine  casualty  or  incident,  the  investigation  authority  shall  decide  whether  or  not  to 
undertake a safety investigation. 

26 

Regulation  (EU)  2017/1130  of  the  European  Parliament  and  of  the  Council  of  14  June  2017  defining 
characteristics for fishing vessels (OJ L 169, 30.6.2017, p.1) 

EN 

15 

  EN 

                                                 
4. 
The  scope  and  practical  arrangements  for  the  conduct  of  safety  investigations  shall  be 
determined  by  the  investigation  authority  of  the  lead  investigating  Member  State  in 
cooperation with the equivalent authorities of the other substantially interested States, in such 
manner as appears to it most conducive to achieving the objective of this Directive, and with a 
view to preventing future casualties and incidents. 

5.  When  carrying  out  safety  investigations,  the  investigation  authority  shall  follow  the 
IMO  Guidelines  to  assist  investigators  in  the  implementation  of  the  Casualty  Investigation 
Code. Investigators may depart from these guidelines where this can be justified as necessary, 
in their professional judgement to achieve the aims of the investigation. The Commission may 
adapt the guidelines for the purposes of this Directive, taking into account any relevant lessons 
drawn from safety investigations, in accordance with the procedure referred to in Article 19. 

6.  When deciding if a marine casualty or incident occurring alongside, moored or in dock, 
involving  shore  or  port  workers,  occurred  “directly  in  connection  with  the  operations  of  a 
ship” and therefore is subject to a safety investigation, particular consideration shall be given 
to the involvement and relevance of the ship’s structure, equipment, procedures, crew and ship 
management to the activity being undertaken.  

A safety investigation shall be started without delay after the marine casualty or incident 

7. 
occurs and, in any event, no later than two months after its occurrence. 

8. 
If in the course of a marine safety investigation it becomes known or is suspected that an 
offence  is  committed  under  Articles  3,  3bis,  3ter  or  3quarter  of  the  Convention  for  the 
Suppression  of  Unlawful  Acts  Against  the  Safety  of  Maritime  Navigation,  1988,  the 
investigation  authority  shall  immediately  inform  the  maritime  security  authorities  of  the 
Member State or Member States and of any third country concerned are informed.’ 

(6) 

Article 6 is replaced by the following: 

‘Article 6 

Obligation to notify 

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

(7) 

Article 7 is amended as follows: 

(a) 

in paragraph 1, the third subparagraph is replaced by the following: 

‘The conduct of parallel safety investigations into the same marine casualty or incident 
shall be strictly limited to exceptional cases.  In such cases, Member States shall notify 
the  Commission  of  the  reasons  for  conducting  such  parallel  investigations.  Member 
States  conducting  parallel  safety  investigations  shall  cooperate  with  each  other.  In 
involved  shall  exchange  any  pertinent 
particular, 
information  gathered  in  the  course  of  their  respective  investigations,  in  particular  in 
order to reach, as far as possible, shared conclusions.’ 

investigation  authorities 

the 

(b) 

the following paragraph 1a is inserted: 

‘1a.  During  the  conduct  of  the  marine  safety  investigation,  substantially  interested 
States  should  assist  to  the  extent  practical,  the  marine  safety  investigating  Member 

EN 

16 

  EN 

State(s)  with  access  to  relevant  information  for  the  marine  safety  investigation.  The 
investigator  or  investigators  carrying  out  a  marine  safety  investigation  should  also  be 
granted  access  to  Government  surveyors,  coastguard  officers,  ship  traffic  service 
operators, pilots and other marine personnel of the substantially interested State.’  

(8) 

Article 8 is replaced by the following: 

‘Article 8 

Marine safety investigation Authorities 

1.  Member  States  shall  ensure  that  marine  safety  investigations  are  conducted  under  the 
responsibility of an impartial, permanent marine safety investigation Authority, endowed with 
the necessary powers, with sufficient means and financial resources and by suitably qualified 
investigators,  competent  in  matters  relating  to  marine  casualties  and  incidents  to  undertake 
marine safety investigations into marine casualties and marine incidents. 

Neither  the  appropriate  appointment  of  investigators  with  necessary  specialist  skills  to  form 
part  of  a  marine  safety  investigation  on  a  temporary  basis,  nor  the  use  of  consultants  to 
provide expert advice on any aspect of a marine safety investigation are precluded. 

In order to carry out a safety investigation in an unbiased manner, the investigation authority 
shall  be  independent  in  its  organisation,  legal  structure  and  decision-making  of  any  party 
whose interests could conflict with the task entrusted to it. 

Landlocked Member States which have neither ships nor vessels flying their flag will identify 
an independent focal point to cooperate in the investigation pursuant to Article 5(1)(c). 

2. 
The  investigation  authority  shall  ensure  that  individual  investigators  have  a  working 
knowledge  of,  and  practical  experience  in,  those  subject  areas  pertaining  to  their  normal 
investigative  duties.  Additionally,  the  investigation  authority  shall  ensure  ready  access  to 
appropriate expertise, as necessary.  

3. 
The activities entrusted to the investigation authority may be extended to the gathering 
and analysis of data relating to maritime safety, in particular for prevention purposes, insofar 
as  these  activities  do  not  affect  its  independence  or  entail  responsibility  in  regulatory, 
administrative or standardisation matters. 

4.  Member States,  acting in the framework of their respective legal systems, shall ensure 
that  the  investigators  of  its  investigation  authority,  or  of  any  other  investigation  authority  to 
which  it  has  delegated  the  task  of  marine  safety  investigation,  where  appropriate  in 
collaboration  with  the  authorities  responsible  for  the  judicial  inquiry,  be  provided  with  any 
information  pertinent  to  the  conduct  of  the  marine  safety  investigation  and  therefore  be 
authorised to: 

(a) 

(b) 

(c) 

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

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

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

EN 

17 

  EN 

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

(e) 

(f) 

(g) 

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; 

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; 

interview witnesses in the absence of any person whose interests could be considered as 
hampering the safety investigation; 

(h)  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; 

(i) 

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. 
The investigation authority 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. 

6. 
The investigation authority 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. 

7. 
By [date of transposition] each Member State shall develop, implement and maintain a 
quality  management  system  for its investigation  authority. Such quality  management system 
shall be certified in accordance with the applicable international quality standards.’ 

(9) 

in Article 9 point (a) is replaced by the following: 

‘(a) all witness evidence and other statements, accounts and notes taken or received by 
the investigation authority in the course of the safety investigation;’ 

(10) 

Article 10 is amended as follows: 

(a) 

paragraph 1 is replaced by the following: 

‘1.  Member  States  shall,  in  close  cooperation  with  the  Commission,  establish  a 
permanent  cooperation framework enabling their respective  investigation authorities to 
cooperate  among  themselves  to  the  extent  necessary  to  attain  the  objective  of  this 
Directive.’ 

(b)  paragraph 3 is amended as follows: 

(a) 

the introductory paragraph and point (a) are replaced by the following: 

‘3.  Within the permanent cooperation framework, the investigation authorities in the 
Member States shall agree, in particular, upon the best modalities of cooperation in order 
to:’ 

‘(a)  Enable  investigation  authorities  to  share  installations,  facilities  and  equipment  for 
the technical investigation of wreckage and ship’s equipment and other objects relevant 

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to the safety investigations, including the extraction and evaluation of information from 
VDRs and other electronic devices.’ 

(b)  Points (h) and (i) are replaced by the following: 

‘(h)  promote  cooperation  with  the  investigation  authorities  of  third  countries  and  with 
the international maritime accidents investigation organisations in the fields covered by 
this Directive; 

(i) provide investigation  authorities conducting safety investigations  with  any pertinent 
information.’ 

(11) 

Article 14 is replaced by the following: 

‘Article 14 

Accident reports 

1. 
Safety  investigations  carried  out  under  this  Directive  shall  result  in  a  published  report 
presented in a format defined by the competent investigation authority and in accordance with 
the relevant sections of Annex I. 

2. 
Investigation  authorities  shall  make  every  effort  to  make  the  report  referred  to  in 
paragraph  1,  including  its  conclusions  and  any  possible  recommendations,  available  to  the 
public, and especially to the maritime sector, within 12 months of the date 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 of the date of the casualty. 

The investigation authority of the lead investigating Member State shall send a copy of 
3. 
the  final  or  interim  report  to  the  Commission.  The  investigating  authority  shall  take  into 
account  the possible technical  observations of the Commission  on final  reports not  affecting 
the substance of the findings for improving the quality of the report in the way most conducive 
to achieving the objective of this Directive.’ 

(12) 

Article 15 is amended as follows: 

(a) 

paragraph 1 is replaced by the following: 

‘1.  Member  States  shall  ensure  that  safety  recommendations  made  by  the 
investigation  authorities  are  duly  taken  into  account  by  the  addressees  and,  where 
appropriate, are given an adequate follow-up in accordance with Union and international 
law.’ 

(b)  paragraph 2 is replaced by the following: 

‘2.  Where  appropriate,  an  investigation  authority  or  the  Commission  shall  make 
safety  recommendations  on  the  basis  of  an  abstract  data  analysis  and  of  the  overall 
results of safety investigations carried out.’ 

(13) 

in Article 16, first paragraph is replaced by the following: 

‘Without prejudice to its right to give an early alert, the investigation authority of a Member 
State  shall,  at  any  stage  of  a  safety  investigation,  if  it  takes  the  view  that  urgent  action  is 
needed at Union level to prevent the risk of new casualties, inform the Commission without 
delay of the need to give an early alert.’   

(14) 

Article 17 is amended as follows: 

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(a)  The following new paragraph 2a is inserted:  

‘2a.  Member  States  shall  notify  the  Commission  on  all  marine  casualties  and 
incidents in accordance with the format in Annex II. In the case of fishing vessels of less 
than 15 metres in length only the reporting of very serious marine casualties is required.’ 

(b)  paragraph 3 is replaced by the following: 

The investigation authorities  of the Member States shall notify  all very serious 
‘3. 
marine  casualties  to  EMCIP.  The  Member  States  may  decide  upon  and  nominate  the 
competent  national  authority  or  authorities  to  report  on  all  other  marine casualties  and 
incidents. When the Commission is aware of a marine casualty or incident, it shall also 
report thereon to EMCIP.’ 

(15) 

the following new Article 17a is inserted: 

‘Article 17a 

Training and operational support 

1. 
The Commission shall facilitate the development of capacities as well as the sharing of 
knowledge within and between the investigation authorities through the provision of training 
on new legal and technological developments, specific techniques and tools and technologies 
relating to ships, their equipment and operations. 

2. 
Upon  request  of the investigation authorities of  the Member States, and  assuming that 
no  conflict  of  interest  arises,  the  Commission  shall  provide  operational  support  to  these 
Member States in the conduct of their safety investigations. Such support include the provision 
of specialised analytical tools or equipment, as well as expertise.’ 

(16) 

Article 19 is replaced by the following: 

‘Article 19 

Committee procedure 

1. 
The Commission shall be assisted by the Committee on Safe Seas and the Prevention of 
Pollution from Ships (COSS) established by Regulation (EC) No 2099/2002 of the European 
Parliament and of the Council. That  Committee shall be a  committee within  the meaning of 
Regulation (EU) No 182/2011. 

2.  Where reference is made to this paragraph, Article 5 of  Regulation (EU) No 182/2011 
shall apply.’ 

(17) 

in Article 20 the fourth paragraph is replaced by the following:  

‘Amendments to the IMO Casualty Investigation Code may be excluded from the scope of this 
Directive pursuant to Article 5 of Regulation (EC) No 2099/2002.’ 

(18) 

Article 23 is replaced by the following: 

‘Article 23 

Implementation review 

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The Commission shall by [OP: Please insert a date: ten years from the date of entry into force 
of this amending Directive] submit a report to the European Parliament and the Council on the 
implementation of, and compliance with, this Directive.’ 

(19) 

in Article 24, the following paragraph 3 is added:  

‘3. Commission Regulation (EU) No 1286/2011 is repealed.’ 

Article 2 

Transposition  

1. 

Member States shall adopt and publish, by [OP: Please insert a date: one year from the date 
of  entry  into  force  of  this  amending  Directive]  the  laws,  regulations  and  administrative 
provisions necessary to comply with this Directive.  

When Member States adopt those provisions, they shall contain a reference to this Directive or 
be accompanied by such 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 3 

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 4 

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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LEGISLATIVE FINANCIAL STATEMENT 'AGENCIES' 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative 

Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 
amending  Directive  2009/18/EC  establishing  the  fundamental  principles  governing  the 
investigation of accidents in the maritime transport sector  

1.2. 

Policy area(s) concerned 

Mobility and Transport – Maritime  

1.3. 

The proposal relates to  

 a new action  

 a new action following a pilot project/preparatory action27  

 the extension of an existing action  

 a merger of one or more actions towards another/a new action  

1.4. 

Objective(s) 

1.4.1.  General objective(s)  

The  general  objective  of  amending  Directive  2009/18/EC  is  to  improve maritime  safety  and 
improve  the  protection  of  the  marine  environment  by  contributing  towards  Sustainable 
Development  Goal  (SDG)  3  (“Ensure  healthy  lives  and  promote  well-being  for  all  at  all 
stages”)  and  SDG  14  (“Conserve  and  sustainably  use  the  oceans,  seas  and  marine  resources 
for sustainable development”).  

1.4.2. 

Specific objective(s)  

The specific objectives of its revision are to: 

Protect fishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 
meters  in  length  are  not  included  within  the  current  scope  of  the  Directive.  This  means  that 
accidents involving fatalities and loss of vessels for this vessel segment are not investigated in 
a systematic and harmonised way across the European Union; 

Clarify definitions and the legal text so that Member States accident investigation  authorities 
investigate all accidents that need to be investigated in a timely and harmonised manner; 

Enhance the capacity of accident investigation authorities to conduct (and report on) accident 
investigations  in  a  timely,  expert  and  independent  manner  -  including  as  regards  renewable 
and low carbon fuels and technologies. 

27 

As referred to in Article 58(2)(a) or (b) of the Financial Regulation. 

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1.4.3.  Expected result(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

The proposal is expected to provide a harmonised approach to the safety investigations and to 
thereby  improve  the  quality  of  the  investigations  through  better  training,  better  coordinated 
and resourced investigations and the use by Member States accident investigation authorities 
of  a  quality  management  system.  The  results  of  investigations  are  used  to  make  safety 
recommendations  to  prevent  the  reoccurrence  of  accidents  to  save  lives  and  to  prevent 
pollution. 

The proposal is also expected to increase the protection of fishing vessels, their crew and the 
environment by leading to a decrease in the lives lost and injuries sustained.  

1.4.4. 

Indicators of performance  

Specify the indicators for monitoring progress and achievements. 

The effectiveness of the proposed Directive, with respect to the specific objective no. 1, will 
be  determined  based  on  the  number  of  fatalities  and  very  serious  injuries,  the  number  of 
vessels  lost  and  the  number  of  cases  of  pollution  at  sea,  and  their  evolution  over  time 
submitted in the European Maritime Casualty Information Platform (EMCIP).  

The effectiveness of the proposed Directive, with respect to the specific objective no.  2, will 
be determined based on the date reported to EMCIP, on the horizontal analyses performed by 
EMSA  and  the  discussions  in  workshops  as  well  as  on  the  number  of  infringements 
procedures in the next years.  

The effectiveness of the proposed Directive, with respect to the specific objective no. 3, will 
be determined based on the horizontal analysis performed by EMSA and on the results of the 
annual audits of the Quality Management System which will be shared with the Commission. 

1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term including a detailed timeline for roll-out of 

the implementation of the initiative 

EMSA  will  be  required  to  organise  additional  trainings  in  relation  to  renewable  and  low 
carbon fuels (risks, use on board, ship protections, etc.), in support of the initiatives part of the 
“Fit  for  55”  package,  but  also  on:  human  element,  conduct  of  an  automated  ship,  safety 
analysis (to encourage Member States to better use casualty data), forensic (photos, sampling, 
etc.), occurrences (fire, navigational accidents, damage to equipment,  occupational activities, 
etc.) and GDPR rules.  

EMSA  will  also  provide  operational  tools  and  equipment  during  an  individual  investigation 
such as ROV (remotely operator submersible), RPAS (aerial drones), Robots (e.g.  to access 
damaged areas, enclosed spaces, etc.), VDR (voyage data recorder) facilities, software such as 
MADAS  (Marine  Accident  Data  Analysis  Suite);  ad-hoc  resources  (scientific  laboratories, 
tank  testing);  ad-hoc  services  (3D  simulation  for  fire,  loss  of  containers,  etc.).  This  support 
will  build  upon  the  existing  services  provided  by  EMSA  in  different  areas  (as  seen  above 
aerial  drones,  submersible  drones,  satellite  imagery  training  etc.)  and  will  be  provided  on  a 
first  come,  first  served  basis.  In  the  longer  term,  and  depending  on  experience  in 
implementation, the EMSA resources would be adapted accordingly. 

EMSA  will  also  offer  highly  specialised  analytical  support  during  individual  VSMC  (Very 
Serious  Marine  Casualty)  Investigations  of  ‘standard’  and  ‘high  level’  experts  from  EMSA, 

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these  could  include  but  are  not  limited  to  behavioural  analysists,  psychologists  and  other 
specialists. 

By 2025, 2 FTEs will be needed to provide operational and analytical support to the new tasks 
of EMSA.  

1.5.2.  Added  value  of  Union  involvement  (it  may  result  from  different  factors,  e.g.  coordination 
gains,  legal  certainty,  greater  effectiveness  or  complementarities).  For  the  purposes  of  this 
point 'added value of Union involvement' is the value resulting from Union intervention which 
is additional to the value that would have been otherwise created by Member States alone. 

Reasons for action at European level (ex-ante)  

EU  action  ensures  a  level  playing  field  for  shipowners,  ports  and  between  Member  States. 
Harmonisation of investigations at EU level is essential in this respect. Given the international 
nature  of  maritime  transport  and  the  need  for  a  coordinated  and  harmonised  approach  to 
maritime safety,  EU action will avoid the development  of a potentially incompatible or sub-
optimal patchwork of national measures with differing requirements and targets. 

Expected generated Union added value (ex-post)   

An EU level intervention has brought benefits which would not have been possible at national 
level  or  at  IMO  level  alone.  The  obligation  to  create  an  independent  Accident  Investigation 
Body was regarded by the majority of stakeholders as the main added value of the Directive 
and almost half of EU maritime accident investigation bodies were created as a response to the 
Directive. The Directive brings EU legislation in  line with  IMO regulation and goes beyond 
what  is  required  at  IMO  level  and  is  world  leading  in  terms  of  a  harmonised  reporting  of 
accidents and incidents. 

1.5.3.  Lessons learned from similar experiences in the past 

Following  the  2018  REFIT  ex-post  evaluation  and  Maritime  Transport  Fitness  Check, 
shortcomings of the current policy framework with issues of resources, staffing and expertise 
have  been  reported  as  problematic.  Resource  constraints  limit  some  Member  State  Accident 
Investigation  Bodies  (AIBs)  in  discharging  their  responsibilities  in  a  correct  and  timely 
manner.  This  is  particularly  the  case  for  those  Member  States  with  small  fleets  and  limited 
maritime transport activity where the establishment of a permanent dedicated AIB was seen as 
a  disproportionate  burden.  Furthermore,  the  capacity  of  Member  States  to  fulfil  their 
international obligations as a flag, port or coastal State in relation to the various Directives is 
under strain. Resources, staffing and expertise issues were widely reported as problematic for 
AIBs.  The  Fitness  Check  made  a  number  of  recommendations  relevant  to  accident 
investigation  including  the  better  use  of  resources  at  national  and  EU  level,  including  the 
pooling of resources building on the role and support provided by EMSA and exploiting the 
efficiency gains offered by digitalisation and information sharing.  

The results of the ex-post evaluation are reflected in the impact assessment accompanying this 
initiative as summarised in Table 1. 

1.5.4.  Compatibility  with  the  Multiannual  Financial  Framework  and  possible  synergies  with  other 

appropriate instruments 

The proposed revision is a key deliverable of the Communication from the Commission on a 
Sustainable and Smart Mobility Strategy, which sets out the EU vision for the transport system 
of  the  future.  The  strategy  announced  that  the  Commission  is  planning  to  initiate  a  major 

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review  of  existing  legislation  on  flag  State  responsibilities,  port  State  control  and  accident 
investigation in 2021 (under Flagship 10 - Enhancing transport safety and security).  

The  proposed  revision  will  create  synergies  with  other  pieces  of  EU  regulatory  framework, 
notably  the  Directive  2009/16/EC  on  port  State  control  and  Directive  2009/21/EC  on 
compliance with flag State requirements. 

The  proposal  is  compatible  with  the  current  Multiannual  Financial  Framework,  although  it 
will  require  reprogramming  within  Heading  1  as  regards  the  annual  contribution  to  EMSA 
(budgetary  offsetting  by  a  compensatory  reduction  of  programmed  spending  under  CEF 
Transport  (02  03  01)).  The  budget  impact  of  the  current  proposal  is  already  included  in  the 
budget for the Commission proposal for a Regulation of the European Parliament and of the 
Council  on  the  European  Maritime  Safety  Agency  and  repealing  Regulation  (EC)  No 
1406/2002. 

The budget impact beyond the current MFF is an indicative overview, without prejudice to the 
future MFF Agreement. 

1.5.5.  Assessment of the different available financing options, including scope for redeployment 

The  budgetary  impact  of  this  initiative  refers  to  the  additional  resources  necessary  for  the 
increasing  role  of  EMSA  to  facilitate  the  investigation  of  casualties  (i.e.  provide  highly 
specialised analytical support during an individual investigation, provide analytical tools and 
equipment during an individual investigation, share knowledge or organise training on specific 
techniques/tools and new developments)   under the proposed  Directive. These are new tasks 
for  EMSA  that  will  become  permanent,  while  existing  tasks  will  not  decrease  or  be  partly 
phased out. The additional need of human resources cannot be met by redeployment, while the 
additional budgetary needs will be met through offsetting by existing programmes managed by 
DG MOVE under the current multiannual financial framework. 

The  increase  in  appropriations  for  EMSA  will  be  offset  by  a  compensatory  reduction  of 
programmed  spending  under  CEF  Transport  (02  03  01).  The  budget  impact  of  the  current 
proposal is already included in the budget for the Commission proposal for a Regulation of the 
European  Parliament  and  of  the  Council  on  the  European  Maritime  Safety  Agency  and 
repealing Regulation (EC) No 1406/2002. 

The budget impact beyond the current MFF is an indicative overview, without prejudice to the 
future MFF Agreement. 

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1.6. 

Duration and financial impact of the proposal/initiative 

 limited duration  

–    Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY  

–    Financial impact from YYYY to YYYY 

 unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY [n.a.], 

–  followed by full-scale operation. 

1.7.  Method(s) of budget implementation planned28  

 Direct management by the Commission through 

–    executive agencies  

 Shared management with the Member States  

 Indirect management by entrusting budget implementation tasks to: 

 international organisations and their agencies (to be specified); 

the EIB and the European Investment Fund; 

 bodies referred to in Articles 70 and 71; 

 public law bodies; 

  bodies  governed  by  private  law  with  a  public  service  mission  to  the  extent  that  they  are 
provided with adequate financial guarantees; 

  bodies  governed  by  the  private  law  of  a  Member  State  that  are  entrusted  with  the 
implementation  of a public-private partnership and that are provided with  adequate financial 
guarantees; 

  bodies  or  persons  entrusted  with  the  implementation  of  specific  actions  in  the  CFSP 
pursuant to Title V of the TEU, and identified in the relevant basic act. 

Comments 

Management of the proposed Directive will be done overall by the Commission services assisted by the 
European Maritime Safety Agency as appropriate. 

Member States will be required to transpose the provisions of the Directive by the respective deadline. 

28 

Details  of  budget  implementation  methods  and  references  to  the  Financial  Regulation  may  be  found  on  the 
https://myintracomm.ec.europa.eu/corp/budget/financial-rules/budget-
BUDGpedia 
implementation/Pages/implementation-methods.aspx 

site: 

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

The Commission will be overall accountable for implementing the proposed Directive as well 
as  for  reporting  to  the  European  Parliament  and  the  Council  on  the  Member  States’ 
implementation and compliance.  

The  Commission  and/or  EMSA  will  be  monitoring  the  EMCIP  database  to  verify  that 
investigations are being carried out in a timely and effective manner and that the reports are 
uploaded  to  the  database,  including  for  fishing  vessels  below  15  meters  for  which  data  and 
safety  gaps  are  identified.  The  indicators  that  will  be  specifically  monitored  drawing  on 
EMCIP  database  will  be  the  number  of  fatalities  and  very  serious  injuries,  the  number  of 
vessels  lost  and  the  number  of  cases  of  pollution  at  sea,  and  their  evolution  over  time.  All 
these  indicators  will  be  monitored  by  type  of  vessel  involved.  The  number  of  safety 
recommendations  published as a  result of the investigations and their follow up will also  be 
monitored. 

EMSA,  on  behalf  of  the  Commission,  also  carries  out  visits  to  Member  States  to  verify 
operations on the ground.  

Member  States  will  need  to  have  a  Quality  Management  System  to  certify  its  organisation, 
policies, processes, resources and documentation are appropriate to achieve its objectives. This 
will have to be certified and subsequently subject to annual audit. AIBs will have to share with 
Commission/EMSA  the  results  of  the  annual  audits  carried  out  by  the  accredited  body  such 
that the AIB can retain its QMS certification.  

EMSA  will  continue  to  carry  out  horizontal  analyses,  giving  an  indication  of  how  the 
legislation  is  functioning  and  identifying  gaps  and  what  can  be  done  to  address  them,  and 
report  to  the  Commission  and  Member  States,  through  among  others  discussions  in 
workshops. 

Lastly, ten years after the end of the implementation date of  the legislation, the Commission 
services should carry out an evaluation to verify to what extent the objectives of the initiative 
have been reached. 

2.2.  Management and control system(s)  

2.2.1. 

Justification  of  the  management  mode(s),  the  funding  implementation  mechanism(s),  the 
payment modalities and the control strategy proposed 

The Commission will be overall accountable for implementing the proposed Directive as well 
as  for  reporting  to  the  European  Parliament  and  the  Council  on  its  efficiency  and 
implementation. The Commission will be assisted by EMSA as appropriate in IT services and 
developing the IT tools necessary for the reporting, monitoring and verification provisions of 
the  proposed  Directive,  as  well  as  organising  trainings.  Member  States  will  be  required  to 
carry  out  the  transposition  of  the  Directive  in  their  national  legislation  by  the  deadline 
mentioned in  the Directive. Enforcement activities will be carried out  as part of the existing 
investigations.  

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2.2.2. 

Information  concerning  the  risks  identified  and  the  internal  control  system(s)  set  up  to 
mitigate them 

While the Commission will be overall accountable for implementing the proposed Directive as 
well  as  for  reporting  to  the  European  Parliament  and  the  Council  on  the  Member  States’ 
implementation and compliance, the European Maritime Safety Agency will be responsible for 
the performance of its operations and for the implementation of its internal control framework. 
It  will be  required to  develop  IT tools  and modules, as well as to provide trainings,  and the 
Member States will be required to carry out investigations and reporting.   

EMSA is best placed to carry out reporting and assessment of compliance tasks, as this will be 
technical  work,  requiring  strong  expertise  in  data  management,  (particularly  also  as  EMSA 
manages the EMCIP database) as well as in-depth understanding of complex technical matters 
related to electronic certificates and training. 

Member States are best placed to carry out the enforcement of the proposed Directive, notably 
by continuing investigating marine accidents and reporting when is necessary.  

DG MOVE will apply the necessary controls in line with the supervision strategy adopted in 
2017  on  the  DG's  relations  with  decentralised  agencies  and  joint  undertakings.  Under  the 
strategy,  DG  MOVE  monitors  performance  indicators  for  the  implementation  of  the  budget, 
the audit recommendations and administrative matters. A report is provided by the Agency on 
a bi-annual basis. The controls performed on the supervision of the Agency as well as on the 
related  financial  and  budgetary  management  are  in  accordance  with  DG  MOVE’s  Control 
Strategy, updated in 2022. 

The  additional  resources  put  at  the  disposal  of  EMSA  will  be  covered  by  EMSA’s  internal 
control  and risk management system that is aligned with the relevant international standards 
and  includes  specific  controls  to  prevent  conflict  of  interests  and  ensure  the  protection  of 
whistle-blowers. 

2.2.3.  Estimation and justification of the cost-effectiveness of the controls (ratio of "control costs ÷ 
value of the related funds managed"), and assessment of the expected levels of risk of error (at 
payment & at closure)  

Under the proposed Directive, additional financing will be provided only to EMSA, which will 
be required to develop IT tools and modules, as well as provide trainings. 

EMSA  has  full  responsibility  for  the  implementation  of  their  budget,  while  DG  MOVE  is 
responsible for the regular payment of the contributions established by the Budgetary Authority. 
The expected level of risk of error at payment and at closure is similar to that attached to the 
budget subsidies provided to the Agency. 

The additional tasks resulting from the proposed revision are not expected to generate specific 
additional controls. Therefore, the cost of control for DG MOVE (measured against the value of 
funds managed) is expected to remain stable.  

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2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures, e.g. from the Anti-Fraud Strategy. 

The  proposed  Directive  contains  several  provisions  specifically  targeted  at  preventing  fraud 
and irregularities. Member States will have to have a Quality Management System (QMS) to 
certify  its  organisation,  policies,  processes,  resources  and  documentation  are  appropriate  to 
achieve its objectives. This will have to be certified and subsequently subject to annual audit. 
Accident Investigation Bodies (AIBs) will have to share with Commission and/or EMSA the 
results of the annual audits carried out by the accredited body such that the AIB can retain its 
QMS certification.  

EMSA  applies  the  anti-fraud  principles  of  decentralised  EU  Agencies,  in  line  with  the 
Commission approach. In March 2021, the Agency adopted an updated Anti-Fraud Strategy, 
based on the methodology and guidance for anti-fraud strategy presented by OLAF as well as 
on the Anti-Fraud Strategy of DG MOVE.  It  provides a framework addressing the issues of 
prevention,  detection  and  conditions  for  investigations  of  fraud  at  Agency  level.  EMSA 
continuously  adapts  and  improves  its  policies  and  actions  to  promote  the  highest  level  of 
integrity of EMSA staff, support effective prevention and detection of fraud risk and establish 
the  appropriate  procedures  to  report  and  handle  potential  fraud  cases  and  their  outcomes. 
Furthermore,  EMSA  adopted  in  2015  its  Conflict  of  Interest  policy  for  the  Management 
Board. 

EMSA cooperates with the Commission services on matters relating to preventing fraud and 
irregularity.  The  Commission  will  ensure  that  this  cooperation  will  continue  and  will  be 
strengthened.  

3. 

3.1. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

  Existing budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure 

Contribution  

Heading of 
multiannual 
financial 
framework 

Number  

02 10 02 

1 

Diff./Non-
diff.29 

from 
EFTA 
countries
30 

from 
candidate 
countries 
and 
potential 
candidates
31 

From 
other 
third 
countries 

other assigned 
revenue  

Non-diff. 

YES 

NO 

NO 

NO 

  New budget lines requested  

29 
30 
31 

Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations. 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidates from the Western Balkans. 

EN 

29 

  EN 

 
 
                                                 
In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure 

Heading of 
multiannual 
financial 
framework 

Number  

Diff./non-
diff. 

from 
EFTA 
countries 

Contribution  

from 
candidate 
countries 
and 
potential 
candidates 

from 
other 
third 
countries 

other assigned 
revenue  

[XX.YY.YY.YY] 

YES/NO  YES/NO  YES/NO 

YES/NO 

EN 

30 

  EN 

 
 
 
 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial  
framework  

1 

Single Market, Innovation and Digital 

EUR million (to three decimal places) 

European Maritime Safety Agency 
(EMSA) 

Title 1: 

Title 2: 

Title 3: 

TOTAL appropriations 
for EMSA 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028-2034 

TOTAL 

0.171 
0.171 

0.342 
0.342 

0.342 
0.342 

2.394 
2.394 

3.249 
3.249 

0.036 

1.637 

1.880 

0.036 

1.637 

1.880 

13.160 

13.160 

16.713 

16.713 

0.207 

1.979 

2.222 

15.554 

19.962 

0.207 

1.979 

2.222 

15.554 

19.962 

Commitments 
Payments 

Commitments 

Payments 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

(3a) 

(3b
) 

=1+
1a 
+3a 

=2+
2a 

+3b 

The  budget  impact  beyond  the  current  MFF  is  an  indicative  overview,  without  prejudice  to  the  future  MFF  Agreement. 

EN 

31 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial  
framework  

7 

‘Administrative expenditure’ 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as 
necessary to show the duration 
of the impact (see point 1.6)  

TOTAL 

EUR million (to three decimal places) 

DG: <…….> 

 Human Resources  
 Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

TOTAL appropriations 
under HEADING 7 
of the multiannual financial framework  

(Total  commitments  = 
Total payments) 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028-2034 

TOTAL 

EUR million (to three decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 7 
of the multiannual financial framework  

Commitments 

0.207 

1.979 

2.222 

15.554 

Payments 

0.207 

1.979 

2.222 

15.554 

19.962 

19.962 

The budget impact beyond the current MFF is an indicative overview, without prejudice to the future MFF Agreement. 

EN 

32 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on EMSA’s appropriations  

–    The proposal/initiative does not require the use of operational appropriations  

–    The proposal/initiative requires the use of operational appropriations, as explained below: 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

OUTPUTS 

Amounts in EUR million (to three decimal places) 

Enter as many years as necessary to show the 
duration of the impact (see point 1.6) 

TOTAL 

o
N

Cost 

o
N

Cost 

o
N

Cost 

o
N

Cost 

o
N

Cost  N

o

Cost 

o
N

Cost 

Total 
No 

Total 
cost 

Indicate 
objectives and 
outputs  

 

Type32 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 133… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTAL COST 

Where applicable, amounts reflect the sum of the Union contribution to the agency and other revenue of the agency (fees and charges).

32 
33 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in point 1.4.2. ‘Specific objective(s)…’ 

EN 

33 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on EMSA’s human resources  

3.2.3.1.  Summary  

–    The  proposal/initiative  does  not  require  the  use  of  appropriations  of  an 

administrative nature  

–    The proposal/initiative requires the use of appropriations of an administrative 

nature, as explained below: 

EUR million (to three decimal places) Where applicable,  amounts reflect the sum of the Union contribution to 
the agency and other revenue of the agency (fees and charges). 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028-2034 

TOTAL 

0.171 

0.342 

0.342 

2.394 

3.249 

Temporary agents (AD 
Grades) 

Temporary 
(AST grades) 

agents 

Contract staff 

Seconded National 
Experts 

TOTAL 

0.171 

0.342 

0.342 

2.394 

3.249 

The budget impact beyond the current MFF is an indicative overview, without prejudice to the 
future MFF Agreement. 

Staff requirements (FTE): 

Year 
2025 

Year 
2026 

Year 
2027 

Year 
2028-2034 

TOTAL 

2 

2 

2 

2 

2 

Temporary agents (AD 
Grades) 

Temporary 
(AST grades) 

agents 

Contract staff 

Seconded National 
Experts 

TOTAL 

2 

2 

2 

2 

2 

The budget impact beyond the current MFF is an indicative overview, without prejudice to the 
future MFF Agreement. 

EN 

34 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
EMSA will start preparing the recruitment as soon as the proposal is adopted. The costs are 
estimated based on the assumption that the 2 FTEs are recruited as of 1st July 2025. So only 
50% of the HR costs are needed for the first year.  

EN 

35 

  EN 

 
3.2.3.2.  Estimated requirements of human resources for the parent DG 

–    The proposal/initiative does not require the use of human resources.  

–    The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

Estimate to be expressed in full amounts (or at most to one decimal place) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as 
necessary to show the 
duration of the impact (see 
point 1.6) 

 Establishment plan posts (officials and 

temporary staff) 

20 01 02 01 and 20 01 02 02 
(Headquarters and Commission’s 
Representation Offices) 

20 01 02 03 (Delegations) 

01 01 01 01 (Indirect research) 

10 01 05 01 (Direct research) 

 External staff (in Full Time Equivalent 

unit: FTE)34 

20 02 01 (AC, END, INT from the 
‘global envelope’) 

20 02 03 (AC, AL, END, INT and 
JPD in the Delegations) 

Budget 
line(s) 
(specify) 
35 

- at 
Headquarters36 

- in 
Delegations  

01 01 01 02 (AC, END, INT – 
Indirect research) 

10 01 05 02 (AC, END, INT – 
Direct research) 

Other budget lines (specify) 

TOTAL 

The human resources required will be met by staff from the DG who are already assigned to 
management of the action and/or have been redeployed within the DG, together if necessary 

34 

35 
36 

AC = Contract Staff; AL = Local Staff; END = Seconded National Expert; INT = agency staff; JPD = 
Junior Professionals in Delegations.  
Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines). 
Mainly  for  the  EU  Cohesion  Policy  Funds,  the  European  Agricultural  Fund  for  Rural  Development 
(EAFRD) and the European Maritime Fisheries and Aquaculture Fund (EMFAF).   

EN 

36 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 
with any additional allocation which may be granted to the managing DG under the annual 
allocation procedure and in the light of budgetary constraints. 

Description of tasks to be carried out: 

Officials and temporary staff 

External staff 

Description  of  the  calculation  of  cost  for  FTE  units  should  be  included  in  the  Annex  V, 
section 3.  

EN 

37 

  EN 

 
 
 
 
3.2.4.  Compatibility with the current multiannual financial framework  

–    The  proposal/initiative  is  compatible  with  the  current  multiannual  financial 

framework. 

–    The proposal/initiative will entail reprogramming of the relevant heading in the 

multiannual financial framework. 

The tasks allocated to EMSA will require reprogramming of the budget line for the 
annual contribution to the Agency (02 10 02) under the current multiannual financial 
framework.  The  increase  in  appropriations  for  EMSA  will  be  offset  by  a 
compensatory  reduction  of  programmed  spending  under  CEF  Transport  (02  03  01) 
under  the  current  multiannual  financial  framework.  The  budget  impact  beyond  the 
current  MFF  is  an  indicative  overview,  without  prejudice  to  the  future  MFF 
Agreement. 

–    The  proposal/initiative  requires  application  of  the  flexibility  instrument  or 

revision of the multiannual financial framework37. 

Explain what is required, specifying the headings and budget lines concerned and the corresponding 
amounts. 

3.2.5.  Third-party contributions  

–  The proposal/initiative does not provide for co-financing by third parties.  

–  The proposal/initiative provides for the co-financing estimated below: 

EUR million (to three decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as necessary 
to show the duration of the 
impact (see point 1.6) 

Total 

Specify  the  co-financing 
body  

TOTAL 
co-financed  

appropriations 

37 

See  Articles  12  and  13  of  Council  Regulation  (EU,  Euratom)  No  2093/2020  of  17  December  2020 
laying down the multiannual financial framework for the years 2021 to 2027. 

EN 

38 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–    The proposal/initiative has no financial impact on revenue. 

–    The proposal/initiative has the following financial impact: 

 

 

on own resources  

on other revenue  

 please indicate, if the revenue is assigned to expenditure lines  

Appropriation
s available for 
the current 
financial year 

Budget revenue line: 

Article …………. 

EUR million (to three decimal places) 

Impact of the proposal/initiative38 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as necessary to show 
the duration of the impact (see point 1.6) 

For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected. 

Specify the method for calculating the impact on revenue. 

38 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 20 % for collection costs. 

EN 

39 

  EN