Article 1 Subject matter
1. The purpose of this Directive is to improve maritime safety and the prevention of pollution by ships, and so reduce the risk of future marine casualties, by: (a) facilitating the expeditious holding of safety investigations and proper analysis of marine casualties and incidents in order to determine their causes; and (b) ensuring the timely and accurate reporting of safety investigations and proposals for remedial action. 2. Investigations under this Directive shall not be concerned with determining liability or apportioning blame. However, Member States shall ensure that the investigative body or entity (hereinafter referred to as the investigative body) is not refraining from fully reporting the causes of a marine casualty or incident because fault or liability may be inferred from the findings.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 1 Subject matter):
1. The purpose of this Directive is to improve maritime safety and the prevention of pollution by ships, and so reduce the risk of future marine casualties, by: (a) facilitating the expeditious holding of safety investigations and proper analysis of marine casualties and incidents in order to determine their causes; and (b) ensuring the timely and accurate reporting of safety investigations and proposals for remedial action. 2. Since the purpose of marine safety investigations (‘safety investigations’) pursuant to this Directive is not to determine liability or apportion blame, no fault or liability shall be inferred from the findings of those investigations. Member States shall ensure that the marine safety investigation authorities (‘safety investigation authorities’) are not prevented or hindered from fully reporting the causes of a marine casualty or incident.
Article 2 Scope
1. This Directive shall apply to marine casualties and incidents that: (a) involve ships flying the flag of one of the Member States; (b) occur within Member States' territorial sea and internal waters as defined in UNCLOS; or (c) involve other substantial interests of the Member States. 2. This Directive shall not apply to marine casualties and incidents involving only: (a) ships of war and troop ships and other ships owned or operated by a Member State and used only on government non-commercial service; (b) ships not propelled by mechanical means, wooden ships of primitive build, pleasure yachts and pleasure craft not engaged in trade, unless they are or will be crewed and carrying more than 12 passengers for commercial purposes; (c) inland waterway vessels operating in inland waterways; (d) fishing vessels with a length of less than 15 metres; (e) fixed offshore drilling units.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Article 3 Definitions
For the purposes of this Directive: 1. ‘IMO Code for the Investigation of Marine Casualties and Incidents’ shall mean the Code for the Investigation of Marine Casualties and Incidents annexed to Resolution A.849(20) of the IMO Assembly of 27 November 1997, in its up-to-date version; 2. the following terms shall be understood in accordance with the definitions contained in the IMO Code for the Investigation of Marine Casualties and Incidents: (a) ‘marine casualty’; (b) ‘very serious casualty’; (c) ‘marine incident’; (d) ‘marine casualty or incident safety investigation’; (e) ‘lead investigating State’; (f) ‘substantially interested State’; 3. the term ‘serious casualty’ shall be understood in accordance with the updated definition contained in Circular MSC-MEPC.3/Circ.3 of the IMO Maritime Safety Committee and Marine Environment Protection Committee of 18 December 2008; 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 1999/35/EC; 6. ‘Voyage data recorder’ (hereinafter referred to as ‘VDR’) shall be understood in accordance with the definition contained in Resolution A.861(20) of the IMO Assembly and Resolution MSC.163(78) of the IMO Maritime Safety Committee; 7. ‘safety recommendation’ shall mean any proposal made, including for the purposes of registration and control, by: (a) the investigative body of the State conducting, or leading, the safety investigation on the basis of information derived from that investigation; or, where appropriate, (b) the Commission, acting on the basis of an abstract data analysis and the results of safety investigations carried out.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 3 Definitions):
For the purposes of this Directive, the following definitions apply: (1) ‘IMO Casualty Investigation Code’ means the Code of the International Standards and Recommended Practices for a Safety Investigation into a Marine Casualty or Marine Incident in the Annex to IMO resolution MSC.255(84) of the IMO Maritime Safety Committee of 16 May 2008, in its up-to-date version; (2) ‘IMO Guidelines to Assist Investigators in the Implementation of the Casualty Investigation Code’ means the guidelines in the Annex to IMO resolution A.1075(28) adopted by the IMO Assembly on 4 December 2013, in their up-to-date version; (4) ‘IMO Guidelines on the Fair Treatment of Seafarers in the Event of a Maritime Accident’ means the guidelines in the Annex to IMO resolution LEG.3(91) of the IMO Legal Committee of 27 April 2006 as approved by the Governing Body of the International Labour Organisation at its 296th session of 12 to 16 June 2006, in their up-to-date version; (7) ‘voyage data recorder’ (‘VDR’) means ‘voyage data recorder’ as defined in point 4.1 of the Annex to IMO resolution MSC.333(90) of the IMO Maritime Safety Committee of 22 May 2012, in its up-to-date version and as supplemented by the relevant IMO performance standards applicable on the date of installation on-board of that VDR, and without prejudice to Union law; (8) ‘simplified voyage data recorder’ (‘S-VDR’) means ‘simplified voyage data recorder’ as defined in point 4.1 of the Annex to IMO resolution MSC. 163(78) of the IMO Maritime Safety Committee of 17 May 2004, in its up-to-date version and as supplemented by the relevant IMO performance standards applicable on the date of installation on-board of that S-VDR, and without prejudice to Union law; (10) ‘length of a fishing vessel’ means ‘length of a fishing vessel’ within the meaning of Article 2 of Regulation (EU) 2017/1130 of the European Parliament and of the Council ( 2 ); (11) ‘fatal injury’ means an injury which is sustained by a person in an accident, and which results in his or her death within 30 days of the date of the accident, if the related information is available.
Article 4 Status of safety investigations
1. Member States shall define, in accordance with their legal systems, the legal status of the safety investigation in such a way that such investigations can be carried out as effectively and rapidly as possible. Member States shall ensure, in accordance with their legislation and, where appropriate, through collaboration with the authorities responsible for the judicial inquiry, that safety investigations are: (a) independent of criminal or other parallel investigations held to determine liability or apportion blame; and (b) not unduly precluded, suspended or delayed by reason of such investigations. 2. The rules to be established by the Member States shall include, in accordance with the permanent cooperation framework referred to in Article 10, provisions for allowing: (a) cooperation and mutual assistance in safety investigations led by other Member States, or the delegation to another Member State of the task of leading such an investigation in accordance with Article 7; and (b) coordination of the activities of their respective investigative bodies to the extent necessary to attain the objective of this Directive.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 4 Status of safety investigations):
1. Member States shall define, in accordance with their legal systems, the legal status of the safety investigation in such a way that such investigations can be carried out as effectively and rapidly as possible. Member States shall ensure, in accordance with their legislation and, where appropriate, through collaboration with the authorities responsible for the judicial inquiry, that safety investigations are: (a) independent of criminal or other parallel investigations held to determine liability or to apportion blame, and that safety investigation authorities are able to report on the results of safety investigations without direction or interference from any persons, organisations or parties who may be affected by the outcome of those safety investigations; (b) not unduly precluded, suspended or delayed by reason of such investigations. 2. The rules to be established by the Member States shall include, in accordance with the permanent cooperation framework referred to in Article 10, provisions for allowing: (a) cooperation and mutual assistance in safety investigations led by other Member States, or the delegation to another Member State of the task of leading such an investigation in accordance with Article 7; and (b) coordination of the activities of their respective safety investigation authorities to the extent necessary to achieve the objective of this Directive.
Article 5 Obligation to investigate
1. Each Member State shall ensure that a safety investigation is carried out by the investigative body 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 addition, in the case of serious casualties, the investigative body shall carry out a preliminary assessment in order to decide whether or not to undertake a safety investigation. Where the investigative body decides not to undertake a safety investigation, the reasons for that decision shall be recorded and notified in accordance with Article 17(3). In the case of any other marine casualty or incident, the investigative body shall decide whether or not a safety investigation is to be undertaken. In the decisions referred to in the first and second subparagraphs, the investigative body shall take into account the seriousness of the marine casualty or incident, the type of vessel and/or cargo involved, and the potential for the findings of the safety investigation to lead to the prevention of future casualties and incidents. 3. The scope and practical arrangements for the conduct of safety investigations shall be determined by the investigative body of the lead investigating Member State in cooperation with the equivalent bodies of the other substantially interested States, in such manner as appears to it most conducive to achieving the objective of this Directive, and with a view to preventing future casualties and incidents. 4. When carrying out safety investigations, the investigative body shall follow the common methodology for investigating marine casualties and incidents developed pursuant to Article 2(e) of Regulation (EC) No 1406/2002. Investigators may depart from that methodology in a specific case where this can be justified as necessary, in their professional judgement, and if needed to achieve the aims of the investigation. The Commission shall adopt or modify the methodology for the purposes of this Directive, taking into account any relevant lessons drawn from safety investigations. That measure, designed to amend non-essential elements of this Directive, inter alia, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 19(3). 5. A safety investigation shall be started as promptly as is practicable after the marine casualty or incident occurs and, in any event, no later than two months after its occurrence.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 5 Obligation to investigate):
2. In the case of a fishing vessel of less than 15 metres in length, the safety investigation authority shall without delay and no later than two months after the very serious marine casualty referred to in paragraph 1 of this Article, carry out a preliminary assessment to determine whether to conduct a safety investigation. Where the safety investigation authority decides not to conduct such a safety investigation, the reasons for that decision shall without delay and no later than two months after the very serious marine casualty be recorded and notified in accordance with Article 17(3). 3. When deciding whether to conduct a safety investigation in accordance with paragraph 2, the safety 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 marine casualties and incidents. 4. In the case of any marine casualty or incident not covered by paragraph 1, 2 or 3, the safety investigation authority shall decide whether to conduct a safety investigation. 5. The scope and practical arrangements for the conduct of safety investigation shall be determined by the safety investigation authority of the lead investigating Member State in cooperation with the equivalent authorities of the other substantially interested States, in a manner that the safety investigation authority of the lead investigating Member State believes will be most conducive to achieving the objective of this Directive, and with a view to preventing future marine casualties and incidents. 6. When carrying out safety investigation, the safety investigation authority shall follow the IMO Guidelines to Assist Investigators in the Implementation of the Casualty Investigation Code. Investigators may depart from those guidelines where this can be justified as necessary, in their professional judgement, in order to achieve the aims of the safety investigation. The Commission may adopt recommendations for the implementation of those guidelines, taking into account any relevant lessons drawn from safety investigations, and after consulting the safety investigation authorities in the context of the permanent cooperation framework referred to in Article 10. 7. When deciding whether a marine casualty or incident occurring when a ship is 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, Member States shall, in accordance with their national law, give particular consideration to the involvement of the ship’s structure, equipment, procedures, crew and ship management in and their relevance to the activity being undertaken. 8. A safety investigation shall be started without delay after the occurrence of the marine casualty or incident, and, in any event, no later than two months thereafter. 9. In accordance with national law, if in the course of a safety investigation it becomes known or it is suspected that an offence has been committed under Articles 3, 3bis, 3ter or 3quater of the IMO Convention for the Suppression of Unlawful Acts Against the Safety of Maritime Navigation of 10 March 1988, in its up-to-date version, the safety investigation authority shall immediately inform the maritime security authorities of the Member State or Member States and of any third country concerned thereof.
Article 6 Obligation to notify
A Member State shall require, in the framework of its legal system, that its investigative body be notified without delay, by the responsible authorities and/or by the parties involved, of the occurrence of all casualties and incidents falling within the scope of this Directive.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 6 Obligation to notify):
A Member State shall require, in the framework of its legal system, that its safety investigation authority be notified without delay, by the responsible authorities or by the parties involved, or by both, of the occurrence of all marine casualties and incidents falling within the scope of this Directive.
Article 7 Leading of, and participation in, safety investigations
1. In principle, each marine casualty or incident shall be subject to only one investigation carried out by a Member State or a lead investigating Member State with the participation of any other substantially interested Member State. In cases of safety investigations involving two or more Member States, the Member States concerned shall therefore cooperate with a view to rapidly agreeing which of them is to be the lead investigating Member State. They shall make every effort to agree on the procedures to investigate. In the framework of this agreement, other substantially interested States shall have equal rights and access to witnesses and evidence as the Member State conducting the safety investigation. They shall also have the right to see their point of view taken into consideration by the lead investigating Member State. 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 particular, the investigative bodies involved shall exchange any pertinent information gathered in the course of their respective investigations, in particular in order to reach, as far as possible, shared conclusions. Member States shall abstain from any measure which could unduly preclude, suspend or delay the conduct of a safety investigation falling within the scope of this Directive. 2. Notwithstanding paragraph 1, each Member State shall remain responsible for the safety investigation and coordination with other substantially interested Member States until such time as it is mutually agreed which of them is to be the lead investigating State. 3. Without prejudice to its obligations under this Directive and international law, a Member State may, on a case-by-case basis, delegate by mutual agreement to another Member State the task of leading a safety investigation or specific tasks for the conduct of such an investigation. 4. When a ro-ro ferry or high-speed passenger craft is involved in a marine casualty or incident, the safety investigation procedure shall be launched by the Member State in whose territorial sea or internal waters as defined in UNCLOS the accident or incident occurs or, if occurring in other waters, by the last Member State visited by that ferry or craft. That State shall remain responsible for the safety investigation and coordination with other substantially interested Member States until it is mutually agreed which of them is to be the lead investigating State.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 7 Leading of, and participation in, safety investigations):
1. In principle, each marine casualty or incident shall be subject to only one investigation carried out by a Member State or a lead investigating Member State with the participation of any other substantially interested Member State. In cases of safety investigations involving two or more Member States, the Member States concerned shall therefore cooperate with a view to rapidly agreeing which of them is to be the lead investigating Member State. They shall make every effort to agree on the procedures to investigate. In the framework of this agreement, other substantially interested States shall have equal rights and access to witnesses and evidence as the Member State conducting the safety investigation. They shall also have the right to see their point of view taken into consideration by the lead investigating Member State. 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 safety investigations. Member States conducting parallel safety investigations shall cooperate with each other. In particular, the safety investigation authorities involved shall exchange any pertinent information gathered in the course of their respective safety investigations in a timely manner, in particular in order to reach, as far as possible, shared conclusions. Member States shall abstain from any measure which could unduly preclude, suspend or delay the conduct of a safety investigation falling within the scope of this Directive. 1a. During the conduct of the safety investigation, substantially interested Member States shall assist, to the extent practical, the marine safety investigating Member State or States with access to relevant information for the safety investigation. The investigator or investigators carrying out a safety investigation shall, if it is considered to be necessary, also be granted access to information held by government surveyors, coastguard officers, ship traffic service operators, pilots and other marine personnel of the substantially interested State, in accordance with its national law. 2. Notwithstanding paragraph 1, each Member State shall remain responsible for the safety investigation and coordination with other substantially interested Member States until such time as it is mutually agreed which of them is to be the lead investigating State. 3. Without prejudice to its obligations under this Directive and international law, a Member State may, on a case-by-case basis, delegate by mutual agreement to another Member State the task of leading a safety investigation or specific tasks for the conduct of such an investigation. 4. When a ro-ro passenger ship or high-speed passenger craft is involved in a marine casualty or incident, the safety investigation procedure shall be launched by the Member State in whose territorial sea or internal waters, as defined in UNCLOS, the marine casualty or incident occurs. If the marine casualty or incident occurs in other waters, the safety investigation procedure shall be launched by the last Member State visited by that ro-ro passenger ship or high-speed passenger craft. The Member State that launched the safety investigation procedure shall remain responsible for the safety investigation and for the coordination with other substantially interested Member States until it is mutually agreed which of those Member States is to be the lead investigating Member State.
Article 8 Investigative bodies
1. Member States shall ensure that safety investigations are conducted under the responsibility of an impartial permanent investigative body, endowed with the necessary powers, and by suitably qualified investigators, competent in matters relating to marine casualties and incidents. In order to carry out a safety investigation in an unbiased manner, the investigative body 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 investigative body 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 investigative body shall ensure ready access to appropriate expertise, as necessary. 3. The activities entrusted to the investigative body 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 investigative body, or of any other investigative body to which it has delegated the task of 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 safety investigation and therefore be authorised to: (a) have free access to any relevant area or casualty site as well as to any ship, wreck or structure including cargo, equipment or debris; (b) ensure immediate listing of evidence and controlled search for and removal of wreckage, debris or other components or substances for examination or analysis; (c) require examination or analysis of the items referred to in point (b), and have free access to the results of such examinations or analysis; (d) have free access to, copy and have use of any relevant information and recorded data, including VDR data, pertaining to a ship, voyage, cargo, crew or any other person, object, condition or circumstance; (e) 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; (f) 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; (g) 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 investigative body shall be enabled to respond immediately on being notified at any time of a casualty, and to obtain sufficient resources to carry out its functions independently. Its investigators shall be afforded status giving them the necessary guarantees of independence. 6. The investigating body may combine its tasks under this Directive with the work of investigating occurrences other than marine casualties on condition that such investigations do not endanger its independence.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 8 Safety investigation authority):
1. Member States shall ensure that safety investigations are conducted under the responsibility of an impartial, independent and permanent safety investigation authority, endowed with the necessary powers and with sufficient means and financial resources, and with suitably qualified investigators, competent in matters relating to marine casualties and incidents, in order to comply with their obligations pursuant to this Directive. Safety investigation authorities shall not be precluded from appointing on a temporary basis appropriate investigators with the necessary specialist skills to form part of a safety investigation, or from using consultants to provide it with expert advice on any aspect of a safety investigation. In order to conduct a safety investigation in an unbiased manner, the safety 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 within the scope of this Directive shall identify an independent body to serve as a focal point for cooperation on the safety investigation pursuant to Article 5(1), point (c). 2. The safety 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 safety investigation authority shall ensure ready access to appropriate expertise, as necessary. 3. The activities entrusted to the safety investigation authority may be extended to the gathering and analysis of data relating to maritime safety, in particular for prevention purposes, insofar as those activities do not affect its independence or entail responsibility in regulatory, administrative or standardisation matters. 5. The safety 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 a status that gives them the necessary guarantees of independence. 6. The safety investigation authority may combine its tasks under this Directive with the work of investigating occurrences other than marine casualties or incidents on condition that such safety investigations do not endanger its independence. 7. Each Member State may develop, implement and maintain a quality management system for its safety investigation authority. 8. The permanent cooperation framework referred to in Article 10 shall support safety investigation authorities and enhance their safety investigation capabilities by drawing up guidance and recommendations to ensure that safety investigations are conducted in a consistent manner, and shall in this regard develop and implement a peer review programme.
Article 9 Confidentiality
Without prejudice to Directive 95/46/EC, Member States, acting in the framework of their legal systems, shall ensure that the following records are not made available for purposes other than the safety investigation, unless the competent authority in that Member State determines that there is an overriding public interest in the disclosure of: (a) all witness evidence and other statements, accounts and notes taken or received by the investigative body in the course of the safety investigation; (b) records revealing the identity of persons who have given evidence in the context of the safety investigation; (c) information relating to persons involved in a marine casualty or incident which is of a particularly sensitive and private nature, including information concerning their health.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 9 Confidentiality):
2. VDR and S-VDR recordings from a safety investigation shall not be made available or used for purposes other than those of the safety investigation or of ship safety, unless such recordings are anonymised or disclosed under secure procedures. 3. For the purposes referred to in paragraph 1, only data that is strictly necessary shall be disclosed. 4. Member States may decide to limit the cases in which a disclosure as referred to in paragraph 3 may be taken, while respecting Union law.
Article 10 Permanent cooperation framework
1. Member States shall, in close cooperation with the Commission, establish a permanent cooperation framework enabling their respective investigative bodies to cooperate among themselves to the extent necessary to attain the objective of this Directive. 2. The rules of procedure of the permanent cooperation framework and the organisation arrangements required therefor shall be decided in accordance with the regulatory procedure referred to in Article 19(2). 3. Within the permanent cooperation framework, the investigative bodies in the Member States shall agree, in particular, upon the best modalities of cooperation in order to: (a) enable investigative bodies to share installations, facilities and equipment for the technical investigation of wreckage and ship's equipment and other objects relevant to the safety investigation, including the extraction and evaluation of information from VDRs and other electronic devices; (b) provide each other with the technical cooperation or expertise needed to undertake specific tasks; (c) acquire and share information relevant for analysing casualty data and making appropriate safety recommendations at Community level; (d) draw up common principles for the follow-up of safety recommendations and for the adaptation of investigative methods to the development of technical and scientific progress; (e) manage appropriately the early alerts referred to in Article 16; (f) establish confidentiality rules for the sharing, in the respect of national rules, of witness evidence and the processing of data and other records referred to in Article 9, including in relations with third countries; (g) organise, where appropriate, relevant training activities for individual investigators; (h) promote cooperation with the investigative bodies of third countries and with the international maritime accidents investigation organisations in the fields covered by this Directive; (i) provide investigative bodies conducting safety investigations with any pertinent information.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 10 Permanent cooperation framework):
1. Member States shall, in close cooperation with the Commission, establish a permanent cooperation framework enabling their respective safety investigation authorities to cooperate with each other to the extent necessary to attain the objectives of this Directive. 2. The rules of procedure of the permanent cooperation framework and the organisation arrangements required therefor shall be decided in accordance with the regulatory procedure referred to in Article 19(2).
Article 11 Costs
1. Where safety investigations involve two or more Member States, the respective activities shall be free of charge. 2. Where assistance is requested of a Member State that is not involved in the safety investigation, Member States shall agree on the reimbursement of costs incurred.
Article 12 Cooperation with substantially interested third countries
1. Member States shall cooperate, to the maximum extent possible, with other substantially interested third countries in safety investigations. 2. Substantially interested third countries shall, by mutual agreement, be allowed to join a safety investigation led by a Member State under this Directive at any stage of the investigation. 3. The cooperation of a Member State in a safety investigation conducted by a substantially interested third country shall be without prejudice to the conduct and reporting requirements of safety investigations under this Directive. Where a substantially interested third country is leading a safety investigation involving one or more Member States, Member States may decide not to carry out a parallel safety investigation, provided that the safety investigation led by the third country is conducted in accordance with the IMO Code for the Investigation of Marine Casualties and Incidents.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 12 Cooperation with substantially interested third countries):
1. Member States shall cooperate, to the maximum extent possible, with other substantially interested third countries in safety investigations. 2. Substantially interested third countries shall, by mutual agreement, be allowed to join a safety investigation led by a Member State under this Directive at any stage of the investigation. 3. The cooperation of a Member State in a safety investigation conducted by a substantially interested third country shall be without prejudice to its compliance with the conduct and reporting requirements of safety investigations under this Directive. Where a substantially interested third country is leading a safety investigation involving one or more Member States, those Member States may decide not to conduct a parallel safety investigation, provided that the safety investigation led by the third country is conducted in accordance with the IMO Casualty Investigation Code. In such cases, Article 14 shall not apply to the safety investigation authorities.
Article 13 Preservation of evidence
Member States shall adopt measures to ensure that the parties concerned by casualties and incidents under the scope of this Directive make every effort to: (a) save all information from charts, log books, electronic and magnetic recording and video tapes, including information from VDRs and other electronic devices relating to the period preceding, during and after an accident; (b) prevent the overwriting or other alteration of such information; (c) prevent interference with any other equipment which might reasonably be considered pertinent to the safety investigation of the accident; (d) collect and preserve all evidence expeditiously for the purposes of the safety investigations.
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 investigative body and in accordance with the relevant sections of Annex I. Investigative bodies may decide that a safety investigation which does not concern a very serious or, as the case may be, a serious marine casualty and the findings of which do not have the potential to lead to the prevention of future casualties and incidents shall result in a simplified report to be published. 2. Investigative bodies 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. 3. The investigative body of the lead investigating Member State shall send a copy of the final, simplified or interim report to the Commission. It 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.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 14 Accident reports):
1. Safety investigations carried out under this Directive shall result in a published accident report presented in a format defined by the competent safety investigation authority and in accordance with the relevant sections of Annex I. A safety investigation authority may decide to publish only a concise report on a safety investigation, where: (a) the safety investigation does not concern a very serious marine casualty; or (b) the findings of the safety investigation concerning a marine casualty or incident do not have the potential to lead to the prevention of future marine casualties or incidents. 2. A safety investigation authority shall make every effort to make the accident 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 marine casualty or incident. If, in the case of a very serious marine casualty, it is not possible to produce the final accident report within that time, an interim accident report shall be published within 12 months of the date of the marine casualty or incident. 3. The safety investigation authority of the lead investigating Member State shall send a copy of the final or interim report to the Commission. The safety investigation authority shall take into account any technical observations of the Commission on final reports provided that those observations do not affect the substance of the findings, in order to improve the quality of the accident report in the way most conducive to achieving the objective of this Directive. 4. The Commission is empowered to adopt delegated acts in accordance with Article 20 in order to amend the following parts of Annex I to this Directive: ‘2. Factual information’, ‘3. Narrative’ and ‘4. Analysis’.
Article 15 Safety recommendations
1. Member States shall ensure that safety recommendations made by the investigative bodies are duly taken into account by the addressees and, where appropriate, be given an adequate follow-up in accordance with Community and international law. 2. Where appropriate, an investigative body 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. 3. A safety recommendation shall in no circumstances determine liability or apportion blame for a casualty.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 15 Safety recommendations):
1. Member States shall ensure that safety recommendations made by the safety investigation authorities are duly taken into account by the addressees, in particular with a view to preventing future accidents, and, where appropriate, are given an adequate follow-up in accordance with Union and international law. 2. Where appropriate, a safety 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. 3. A safety recommendation shall in no circumstances determine liability or apportion blame for a casualty.
Article 16 Early alert system
Without prejudice to its right to give an early alert, the investigative body of a Member State shall, at any stage of a safety investigation, if it takes the view that urgent action is needed at Community level to prevent the risk of new casualties, inform the Commission without delay of the need to give an early alert. If necessary, the Commission shall issue a note of warning for the attention of the responsible authorities in all the other Member States, the shipping industry, and to any other relevant party.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 16 Early alert system):
Without prejudice to its right to give an early alert, the safety investigation authority 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. If necessary, the Commission shall issue a note of warning for the attention of the responsible authorities in all the other Member States, the shipping industry, and to any other relevant party.
Article 17 European database for marine casualties
1. Data on marine casualties and incidents shall be stored and analysed by means of a European electronic database to be set up by the Commission, which shall be known as the European Marine Casualty Information Platform (EMCIP). 2. Member States shall notify the Commission of the entitled authorities that will have access to the database. 3. The investigative bodies of the Member States shall notify the Commission on marine casualties and incidents in accordance with the format in Annex II. They shall also provide the Commission with data resulting from safety investigations in accordance with the EMCIP database scheme. 4. The Commission and the Member States shall develop the database scheme and a method for the notification of data within the appropriate timescale.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 17 European database for marine casualties):
1. Data on marine casualties and incidents shall be stored and analysed by means of a European electronic database to be set up by the Commission, which shall be known as the European Marine Casualty Information Platform (EMCIP). 2. Member States shall notify the Commission of the entitled authorities that will have access to the database. 2a. Member States shall notify to EMCIP all marine casualties and incidents in accordance with the format in Annex II and, when a safety investigation is carried out, provide data resulting from that safety investigation in accordance with the EMCIP database scheme. In the case of fishing vessels of less than 15 metres in length only the reporting of very serious marine casualties is required. If very serious marine casualties involving fishing vessels of less than 15 metres are not investigated, the reasons for not doing so shall be reported to EMCIP. 3. The safety investigation authorities shall notify all very serious 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 inform the competent national authorities. 4. The Commission and the Member States shall develop the database scheme and a method for the notification of data within the appropriate timescale. 5. The Commission is empowered to adopt delegated acts in accordance with Article 20 to amend Annex II to this Directive, to update the list of marine casualty or incident notification data to take into account changes by the IMO to the IMO Casualty Investigation Code.
Article 18 Fair treatment of seafarers
In accordance with their national law, Member States shall take into account the relevant provisions of the IMO guidelines on the fair treatment of seafarers in the event of a maritime accident in the waters under their jurisdiction.
Article 19 Committee
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 the Council ( 11 ) . 2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at two months. 3. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (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 ( 4 ). That Committee shall be a committee within the meaning of Regulation (EU) No 182/2011 of the European Parliament and of the Council ( 5 ). 2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Article 20 Amending powers
The Commission may update definitions in this Directive, and the references made to Community acts and to IMO instruments in order to bring them into line with Community or IMO measures which have entered into force, subject to observance of the limits of this Directive. Those measures, designed to amend non-essential elements of this Directive, inter alia, by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 19(3). Acting in accordance with the same procedure, the Commission may also amend the Annexes. Amendments to the IMO Code for the Investigation of Marine Casualties and Incidents may be excluded from the scope of this Directive pursuant to Article 5 of Regulation (EC) No 2099/2002.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Article 21 Additional measures
Nothing contained in this Directive shall prevent a Member State from taking additional measures on maritime safety which are not covered by it, provided that such measures neither infringe this Directive nor in any way adversely affect the attainment of its objective, nor jeopardise the achievement of its objective.
Article 22 Penalties
Member States shall lay down the rules on penalties applicable to infringements of the national provisions adopted pursuant to this Directive and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive.
Article 23 Implementation report
The Commission shall, every five years, submit a report to the European Parliament and the Council on the implementation of, and compliance with, this Directive, and, if necessary, propose further measures in the light of the recommendations set out therein.
Amendment rationale: 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 Council 1 . 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 r egulatory f itness and p erformance p rogramme (REFIT) and b etter r egulation agenda, the Commission carried out an ex-post evaluation 2 and m aritime t ransport f itness c heck 3 in 2018 . These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it require s 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 a ny 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 th at 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 Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation. The International Maritime Organi z ation ( IMO) subsequently developed the Casualty Investigation Code 5 . 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 these AIBs are notified of marine casualties and incidents 6 . 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 Agency 8 (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: – The protection of f ishing vessels, their crew and the environment. Smaller fishing vessels of less than 15 met res in length are not included within the current scope of the Directive , meaning that accidents involving f atalities 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 e nhance 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 d efinitions and references to relevant EU legislation and IMO Regulations in order to ensure clarity and consistency .
Revised version (Article 23 Implementation review):
The Commission shall by 27 June 2032 submit a report to the European Parliament and to the Council on the implementation of, and compliance with, this Directive, and, if necessary, shall propose further measures in the light of the recommendations set out therein, including considering the possibility of including mandatory safety investigation for fishing vessels of less than 15 meters in length in the scope of this Directive and the impact thereof on the workload of the safety investigation authorities.
Article 24 Amendments to existing acts
1. Article 12 of Directive 1999/35/EC shall be deleted. 2. Article 11 of Directive 2002/59/EC shall be deleted.
Article 25 Transposition
1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 17 June 2011. When Member States adopt those measures, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made. 2. Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.
Article 26 Entry into force
This Directive shall enter into force on the 20th day following its publication in the Official Journal of the European Union .
Article 27 Addressees
This Directive is addressed to the Member States.