EUROPEAN COMMISSION

Brussels, 1.6.2023

COM(2023) 270 final

2023/0164(COD)

Proposal for a

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

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

(Text with EEA relevance)

{SEC(2023) 201 final} - {SWD(2023) 145 final} - {SWD(2023) 146 final}

EXPLANATORY MEMORANDUM

1.CONTEXT OF THE PROPOSAL

•Reasons for and objectives of the proposal

As part of its regulatory fitness and performance programme (REFIT) and better regulation agenda, the Commission carried out an ex-post evaluation 2 and maritime transport fitness check 3 in 2018. These concluded that, even though the Directive has largely achieved its objectives and provided EU added value, it requires updating and some improvement. The general objective of the revision of the Directive is to improve maritime safety and the protection of the marine environment. The current EU regulatory framework should be updated in order to (i) maintain EU rules where necessary and proportionate; (ii) ensure their correct implementation; and (iii) eliminate any potential overlap of obligations and inconsistencies between related pieces of legislation. The overarching objective is to provide for a clear, simple and up-to-date legal framework that increases the overall level of safety.

For ships engaged in international voyages, which include voyages between Member States, international conventions and certain EU rules apply. The obligation to investigate marine casualties or navigation incidents finds its origin in the United Nations Convention on the Law of the Sea 4 (UNCLOS) that imposes an obligation on the flag State to conduct an investigation.

The International Maritime Organization (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.

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

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

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

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

•Consistency with existing policy provisions in the policy area

•Consistency with other EU policies

The proposal forms part of the Commission's REFIT programme and delivers on its Better Regulation agenda by ensuring that the existing legislation is simple and clear, does not create unnecessary burden and keeps pace with evolving political, societal and technological developments. This proposal for an amendment as well as those for the other maritime safety Directives are also part of and have significant interaction with the larger maritime safety acquis which includes elements such as the EU vessel traffic monitoring and information system (SafeSeaNet) 11 , the EMSA founding Regulation 12 , the fishing vessel safety Directive 13 , the EU legislation relating to Recognised Organisations 14 , the Marine Strategy Framework Directive 15 and other EU environmental legislation 16 .

This proposal is consistent with and contributes to the EU climate neutrality objective by 2050 as set out in Article 2(1) of Regulation (EU) 2021/1119 17 of the European Parliament and of the Council which establishes the EU framework for achieving climate neutrality.

2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

•Legal basis

•Subsidiarity (for non-exclusive competence)

As international accident investigation instruments in the maritime transport sector are an exclusive EU competence according to Article 3(2) TFEU, the subsidiarity principle does not apply, either to those instruments or to EU rules implementing those agreements. Even if this were not the case, Member States acting individually would not be able to tackle all the identified problems and, if they were to do so, it would lead to fragmentation of legislation and potential distortion of the internal market. To avoid such a fragmented legal framework, there is a need for EU action.

•Proportionality

•Choice of the instrument

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

•Ex-post evaluations/fitness checks of existing legislation

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

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

•Stakeholder consultations

•Collection and use of expertise

•Impact assessment

4.BUDGETARY IMPLICATIONS

5.OTHER ELEMENTS

•Monitoring, evaluation and reporting arrangements

The implementation can be monitored by means of Commission and/or EMSA monitoring of EMCIP database to verify that investigations are being carried out in a timely and effective manner and that the marine casualty or incident notification data as provided for in Annex II of the Directive and the safety investigation reports are uploaded to the database. EMSA also carries out cycles of visits to Member States to verify operations on the ground as part of EMSA’s support role to the Commission 19 . Member States will have to have a quality management system (QMS) to certify its organisation, policies, processes, resources and documentation are appropriate to achieve its objectives. This will have to be certified and subsequently subject to periodic audit. Investigation authorities will have to share with Commission/EMSA the results of the annual audits carried out by the accredited body such that the investigation authority can retain its QMS certification.

Given that the full cycle of envisaged EMSA implementation visits is scheduled to last 5 years 20 , it is proposed that the evaluation cycle of the Directive is set at ten-year intervals.

•Explanatory documents (for directives)

•Detailed explanation of the specific provisions of the proposal

2023/0164 (COD)

Proposal for a

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

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

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee 21 ,

Having regard to the opinion of the Committee of the Regions 22 ,

Acting in accordance with the ordinary legislative procedure,

Whereas:

(1)Directive 2009/18/EC of the European Parliament and of the Council 23 establishes the fundamental principles governing the investigation of accidents in the maritime transport sector and provides for a system of safety investigations. Maritime accidents falling within the scope of that Directive are investigated by independent investigative bodies established in the Member States to improve maritime safety, as well as to protect the marine environment, by learning from past accidents to prevent their reoccurrence in the future.

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

(3)Directive 2009/18/EC refers to a number legal texts adopted by the International Maritime Organization (IMO) which have been abrogated, amended or revised since its entry into force. The ‘IMO Code for the Investigation of Marine Casualties and Incidents’ (IMO Resolution A.849(20) of 27 November 1997) which has been revoked by the ‘Code of the International Standards and Recommended practices for a Safety Investigation into a Marine Casualty or Marine Incident (Casualty Investigation Code)’ (Resolution MSC 255(84) of 16 May 2008) with Resolution A.1075(28) Guidelines to Assist Investigators in the Implementation of the Casualty Investigation Code MSC.255(84)). 

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

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

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

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

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

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

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

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

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

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

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

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

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

(17)Directive 2009/18/EC should therefore be amended accordingly,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Amendments to Directive 2009/18/EC

Directive 2009/18/EC is amended as follows:

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

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

(2)Article 2 (2) is amended as follows

(a)point (b) is replaced by the following:

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

(b)Point (d) is deleted 

(3)Article 3 is replaced by the following:

‘Article 3

Definitions

For the purposes of this Directive:

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

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

3.the following terms shall be understood in accordance with the definitions contained in the IMO Casualty Investigation Code:

(a)‘marine casualty’;

(b)‘very serious marine casualty’;

(c)‘marine incident’;

(d)‘marine safety investigation’;

(e)‘marine safety investigation Authority’;

(f)‘marine safety investigating State’;

(g)‘substantially interested State’;

(h)‘serious injury’;

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

5.the terms ‘ro-ro ferry’ and ‘high-speed passenger craft’ shall be understood in accordance with the definitions contained in Article 2 of Directive (EU) 2017/2110 25 ;

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

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

(a)the investigation authority 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;

8.‘length of a fishing vessel’ shall be understood in accordance with the definition contained in Article 2 of Regulation (EU) 2017/1130 26 ;

9. ‘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.’

(4)Article 4 is amended as follows:

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

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

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

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

(5)Article 5 is replaced by the following:

‘Article 5

Obligation to investigate

1.Each Member State shall ensure that a safety investigation is carried out by the investigation authority referred to in Article 8 after very serious marine casualties:

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

(b)occurring within its territorial sea and internal waters as defined in UNCLOS, irrespective of the flag of the ship or ships involved in the casualty; or

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

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

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

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

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

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

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

7.A safety investigation shall be started without delay after the marine casualty or incident occurs and, in any event, no later than two months after its occurrence.

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

(6)Article 6 is replaced by the following:

‘Article 6

Obligation to notify

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

(7)Article 7 is amended as follows:

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

‘The conduct of parallel safety investigations into the same marine casualty or incident shall be strictly limited to exceptional cases. In such cases, Member States shall notify the Commission of the reasons for conducting such parallel investigations. Member States conducting parallel safety investigations shall cooperate with each other. In particular, the investigation authorities 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.’

(b)the following paragraph 1a is inserted:

‘1a.During the conduct of the marine safety investigation, substantially interested States should assist to the extent practical, the marine safety investigating Member State(s) with access to relevant information for the marine safety investigation. The investigator or investigators carrying out a marine safety investigation should also be granted access to Government surveyors, coastguard officers, ship traffic service operators, pilots and other marine personnel of the substantially interested State.’ 

(8)Article 8 is replaced by the following:

‘Article 8

Marine safety investigation Authorities

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

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

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

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

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

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

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

(a)have 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, vessel traffic service recordings, 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 investigation authority shall be enabled to respond immediately on being notified at any time of a casualty, and to obtain sufficient resources to carry out its functions independently. Its investigators shall be afforded status giving them the necessary guarantees of independence.

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

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

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

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

(10)Article 10 is amended as follows:

(a)paragraph 1 is replaced by the following:

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

(b)paragraph 3 is amended as follows:

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

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

‘(a) Enable investigation authorities to share installations, facilities and equipment for the technical investigation of wreckage and ship’s equipment and other objects relevant to the safety investigations, including the extraction and evaluation of information from VDRs and other electronic devices.’

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

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

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

(11)Article 14 is replaced by the following:

‘Article 14

Accident reports

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

2.Investigation authorities shall make every effort to make the report referred to in paragraph 1, including its conclusions and any possible recommendations, available to the public, and especially to the maritime sector, within 12 months of the date of the casualty. If it is not possible to produce the final report within that time, an interim report shall be published within 12 months of the date of the casualty.

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

(12)Article 15 is amended as follows:

(a)paragraph 1 is replaced by the following:

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

(b)paragraph 2 is replaced by the following:

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

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

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

(14)Article 17 is amended as follows:

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

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

(b)paragraph 3 is replaced by the following:

‘3.The investigation authorities of the Member States 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 also report thereon to EMCIP.’

(15)the following new Article 17a is inserted:

‘Article 17a

Training and operational support

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

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

(16)Article 19 is replaced by the following:

‘Article 19

Committee procedure

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

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

(17)in Article 20 the fourth paragraph is replaced by the following: 

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

(18)Article 23 is replaced by the following:

‘Article 23

Implementation review

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

(19)in Article 24, the following paragraph 3 is added: 

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

Article 2

Transposition

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

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

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

Article 3

Entry into force

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

Article 4

Addressees

This Directive is addressed to the Member States.

Done at Brussels,

LEGISLATIVE FINANCIAL STATEMENT 'AGENCIES'

1.FRAMEWORK OF THE PROPOSAL/INITIATIVE 

1.1.Title of the proposal/initiative

1.2.Policy area(s) concerned

1.3.The proposal relates to 

◻ a new action

◻ a new action following a pilot project/preparatory action 27  

☑ the extension of an existing action 

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

1.4.Objective(s)

1.4.1.General objective(s) 

1.4.2.Specific objective(s) 

1.4.3.Expected result(s) and impact

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

1.4.4.Indicators of performance 

Specify the indicators for monitoring progress and achievements.

1.5.Grounds for the proposal/initiative 

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

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

1.5.3.Lessons learned from similar experiences in the past

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

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

1.6.Duration and financial impact of the proposal/initiative

◻ limited duration

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

–◻    Financial impact from YYYY to YYYY

☑ unlimited duration

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

–followed by full-scale operation.

1.7.Method(s) of budget implementation planned 28  

◻ Direct management by the Commission through

–◻    executive agencies

◻ Shared management with the Member States

☑ Indirect management by entrusting budget implementation tasks to:

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

◻the EIB and the European Investment Fund;

☑ bodies referred to in Articles 70 and 71;

◻ public law bodies;

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

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

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

Comments

2.MANAGEMENT MEASURES 

2.1.Monitoring and reporting rules 

Specify frequency and conditions.

2.2.Management and control system(s) 

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

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

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

2.3.Measures to prevent fraud and irregularities 

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

3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE 

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

·Existing budget lines

In order of multiannual financial framework headings and budget lines.

·New budget lines requested

In order of multiannual financial framework headings and budget lines.

3.2.Estimated impact on expenditure 

3.2.1.Summary of estimated impact on expenditure 

EUR million (to three decimal places)

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

EUR million (to three decimal places)

EUR million (to three decimal places)

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

3.2.2.Estimated impact on EMSA’s appropriations 

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

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

Amounts in EUR million (to three decimal places)

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

3.2.3.Estimated impact on EMSA’s human resources 

3.2.3.1.Summary

–◻    The proposal/initiative does not require the use of appropriations of an administrative nature

–☑    The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:

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

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

Staff requirements (FTE):

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

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

3.2.3.2.Estimated requirements of human resources for the parent DG

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

–◻    The proposal/initiative requires the use of human resources, as explained below:

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

The human resources required will be met by staff from the DG who are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.

Description of tasks to be carried out:

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

3.2.4.Compatibility with the current multiannual financial framework 

–☑    The proposal/initiative is compatible with the current multiannual financial framework.

–☑    The proposal/initiative will entail reprogramming of the relevant heading in the multiannual financial framework.

–◻    The proposal/initiative requires application of the flexibility instrument or revision of the multiannual financial framework 37 .

3.2.5.Third-party contributions 

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

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

EUR million (to three decimal places)

3.3.Estimated impact on revenue 

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

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

on own resources

on other revenue

please indicate, if the revenue is assigned to expenditure lines

EUR million (to three decimal places)

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

Specify the method for calculating the impact on revenue.

(1)    OJ L 131, 28.5.2009, p. 114

(2)    SWD(2018) 232 final

(3)    SWD(2018) 228 final

(4)     https://www.un.org/depts/los/convention_agreements/convention_overview_convention.htm

(5)    Code of International Standards and Recommended Practices for a Safety Investigation into a Marine Casualty or Marine Incident (Casualty Investigation Code)

(6)    This obligation covers casualties and incidents that involve ships flying the flag of one of the Member States; or occur within Member States' territorial seas and internal waters; or involve other substantial interests of the Member States. The territorial sea, is a belt of coastal waters extending at most 12 nautical miles (22 km) from the baseline (usually the mean low-water mark) of a coastal state. Internal waters are those waters on the landward side of the baseline of a nation's territorial waters. Internal waters can include rivers and canals as well as ports and harbours.(Article 6 of the AI Directive)

(7)    As defined by the IMO Code for the Investigation of Marine Casualties and Incidents – referred to in Article 3(2)(b) of the AI Directive .

(8)     www.emsa.europa.eu

(9)    OJ L 131, 28.5.2009, p.57

(10)    OJ L 131, 28.5.2009, p.132

(11)    Directive 2002/59/EC establishing a Community vessel traffic monitoring and information system (OJ L 208, 5.8.2002, p. 10)

(12)    OJ L 208, 5.8.2002, p. 1

(13)    OJ L 34, 9.2.1998, p. 1

(14)    Regulation (EC) No 391/2009 on common rules and standards for ship inspection and survey organisations (OJ L 131, 28.5.2009, p.11) and Directive 2009/15/EC on common rules and standards for ship inspection and survey organisations and for the relevant activities of maritime administrations (OJ L131, 28.5.2009, p.47)

(15)    OJ L 164, 25.6.2008, p. 19

(16)    Such as Directive 92/43/EEC (the “Habitats Directive”), Directive 2009/147/EC (the ‘EU Birds Directive’), Directive (EU) 2019/904 (Single use Plastics Directive) 

(17)    OJ L 243, 9.7.2021, p. 1

(18)    SWD(2023)145

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

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

(21)    OJ C , , p. .

(22)    OJ C , , p. .

(23)    OJ L 131, 28.5.2009, p. 114

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

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

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

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

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

(29)    Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.

(30)    EFTA: European Free Trade Association.

(31)    Candidate countries and, where applicable, potential candidates from the Western Balkans.

(32)    Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.).

(33)    As described in point 1.4.2. ‘Specific objective(s)…’

(34)    AC = Contract Staff; AL = Local Staff; END = Seconded National Expert; INT = agency staff; JPD = Junior Professionals in Delegations.

(35)    Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).

(36)    Mainly for the EU Cohesion Policy Funds, the European Agricultural Fund for Rural Development (EAFRD) and the European Maritime Fisheries and Aquaculture Fund (EMFAF).

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

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