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Procedure : 2005/0240(COD)
Document stages in plenary
Document selected : A6-0079/2007

Texts tabled :

A6-0079/2007

Debates :

PV 24/04/2007 - 11
CRE 24/04/2007 - 11

Votes :

PV 25/04/2007 - 11.4
CRE 25/04/2007 - 11.4
Explanations of votes

Texts adopted :

P6_TA(2007)0147

Texts adopted
WORD 119k
Wednesday, 25 April 2007 - Strasbourg Final edition
Investigation of accidents ***I
P6_TA(2007)0147A6-0079/2007
Resolution
 Consolidated text

European Parliament legislative resolution of 25 April 2007 on the proposal for a directive of the European Parliament and of the Council establishing the fundamental principles governing the investigation of accidents in the maritime transport sector and amending Directives 1999/35/EC and 2002/59/EC (COM(2005)0590 – C6-0056/2006 – 2005/0240(COD))

(Codecision procedure: first reading)

The European Parliament ,

–   having regard to the Commission proposal to the European Parliament and the Council (COM(2005)0590)(1) ,

–   having regard to Article 251(2) and Article 80(2) of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C6-0056/2006),

–   having regard to Rule 51 of its Rules of Procedure,

–   having regard to the report of the Committee on Transport and Tourism (A6-0079/2007),

1.  Approves the Commission proposal as amended;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend the proposal substantially or replace it with another text;

3.  Instructs its President to forward its position to the Council and Commission.

(1) Not yet published in OJ.


Position of the European Parliament adopted at first reading on 25 April 2007with a view to the adoption of Directive 2007/.../EC of the European Parliament and of the Council on establishing the fundamental principles governing the investigation of accidents in the maritime transport sector and amending Directives 1999/35/EC and 2002/59/EC
P6_TC1-COD(2005)0240

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission ,

Having regard to the opinion of the European Economic and Social Committee(1) ,

Having regard to the opinion of the Committee of the Regions(2) ,

Acting in accordance with the procedure laid down in Article 251 of the Treaty(3) ,

Whereas:

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

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

(3)  The European Parliament, in its resolution(4) on improving safety at sea, has urged the Commission to present a proposal for a directive on investigating shipping accidents.

(4)  Article 2 of the United Nations Convention on the Law of the Sea 1982 (UNCLOS)(5) establishes the right of coastal States to investigate the cause of any marine casualty occurring within their territorial seas which might pose a risk to life or to the environment, involve the coastal State's search and rescue authorities, or otherwise affect the coastal State.

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

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

(7)  The [draft] Code for the implementation of Mandatory IMO Instruments(6) recalls the obligation of flag States to ensure that marine safety investigations are conducted by suitably qualified investigators, competent in matters relating to marine casualties and incidents. The Code further requires flag States to be prepared to provide qualified investigators for that purpose, irrespective of the location of the casualty or incident.

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

(9)  Council Directive 1999/35/EC of 29 April 1999 on a system of mandatory surveys for the safe operation of regular ro-ro ferry and high-speed passenger craft services(7) requires Member States to define, in the framework of their respective internal legal systems, a legal status that will enable them and any other substantially interested Member State to participate, to cooperate in, or where provided for under the Code for the investigation of marine casualties, to conduct any marine casualty or incident investigation involving a ro-ro ferry or high-speed passenger craft.

(10)  Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 establishing a Community vessel traffic monitoring and information system (8) requires Member States to comply with the IMO Code for the Investigation of Marine Casualties and Incidents and ensure that the findings of the accident investigations are published as soon as possible after its conclusion.

(11)  Investigation of casualties and incidents involving seagoing vessels, or other vessels in port or other restricted maritime areas, should be carried out by, or under the control of, an independent body or entity endowed with permanent decision-making powers, in order to avoid any conflict of interest.

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

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

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

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

(16)  Regulation (EC) No 1406/2002 of the European Parliament and of the Council of 27 June 2002 (9) requires the European Maritime Safety Agency (hereinafter: "the Agency") to work with the Member States to develop technical solutions and provide technical assistance related to the implementation of Community legislation. In the field of accident investigation, the Agency has the specific task of facilitating cooperation between the Member States and the Commission in the development, with due regard to the different legal systems in the Member States, of a common methodology for investigating maritime accidents according to agreed international principles.

(17)  In accordance with Regulation (EC) No 1406/2002, the Agency must facilitate cooperation in the provision of support given by the Member States in investigations into serious maritime accidents, and in analysing existing accident investigation reports. The Agency must also, in the light of the conclusions drawn from the analyses, incorporate into the joint methodology any elements arising therefrom which may be of use in the prevention of fresh disasters and the improvement of maritime safety in the EU.

(18)  The IMO guidelines on the fair treatment of seafarers in the event of a maritime accident reduce the risk of captains and crews attracting criminal sanctions. They could give them more confidence in investigation methods, and should therefore be used by the Member States.

(19)  The safety recommendations resulting from a casualty or incident safety investigation should be duly taken into account by the Member States and the Community .

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

(21)  Since the objective of this Directive , namely to improve marine safety in the Community and thereby reduce the risk of future marine casualties, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale or the effects of the action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve this objective .

(22)  The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(10) ,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Subject-matter

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

   a) facilitating the expeditious holding of safety investigations into, and proper analyses of, marine casualties and incidents and
   b) ensuring the timely and accurate reporting of safety investigations and proposals for remedial action.

Investigations under this Directive shall not be concerned with determining liability nor apportioning blame.

Article 2

Scope

1.  In accordance with the obligations of Member States under the UNCLOS, this Directive shall apply to marine casualties, incidents and distress alerts that:

   a) involve ships flying the flag of one of the Member States; or
   b) occur within areas over which Member States are entitled to exercise jurisdiction; or
   c) involve other substantial interests of the Member States.

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

   a) 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, 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 24 metres;
   e) fixed offshore drilling units.

Article 3

Definitions

For the purposes of this Directive:

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

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

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

   a) "marine casualty";
   b) "very serious casualty";
   c) "marine incident";
   d) "marine casualty or incident safety investigation";

e)   "substantially interested State".

3.  The terms "serious casualty" and "less serious casualty" shall be understood in accordance with the updated definitions contained in Circular 953 of the IMO MSC .

4.  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.

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

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

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

8.  "Safety recommendation" means any proposal made, including for the purposes of registration and control, by either of the following:

   a) the investigative body of the State conducting, or leading, the marine casualty or incident safety investigation on the basis of information derived from that investigation; or, where appropriate;
   b) the Commission, acting with the assistance of the Agency and on the basis of an abstract data analysis and the results of the investigations carried out .

Article 4

Status of safety investigations

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

   a) are independent of criminal or other investigations held to determine liability or apportion blame, allowing only the conclusions or recommendations resulting from investigations initiated under this Directive to contribute to other parallel investigations; and
   b) are not precluded, suspended or delayed by reason of such investigations.

Furthermore, Member States shall ensure that, in the course of such investigations, witness statements and other information provided by witnesses is not obtained by third country authorities, thus preventing such statements and information from being used in criminal investigations in such countries.

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

   a) cooperation and mutual assistance in marine casualty or incident safety investigations led by other Member States, or the delegation to another Member State of the task of leading such an investigation in accordance with the provisions of this Directive;
   b) coordination, in close cooperation with the Commission, of the activities of their respective investigative bodies to the extent necessary to attain the objectives of this Directive; and
   c) rapid alert measures in the event of a casualty or incident.

Article 5

Obligation to investigate

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

   a) involving a ship flying its flag, irrespective of the location of the casualty; or
   b) occurring within the areas over which it is entitled to exercise jurisdiction, irrespective of the flag of the ship or ships involved in the casualty; or
   c) involving a substantial interest of the Member State, irrespective of the location of the casualty and of the flag of the ship or ships involved.

2.  In addition to investigating serious and very serious casualties, the investigative body referred to in Article 8 shall, having established the initial facts of the case, decide whether or not a safety investigation of a less serious casualty, marine incident or a distress alert shall be undertaken.

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

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

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

Article 6

Obligation to report

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

Article 7

Joint safety investigations

1.  In cases of serious and very serious casualties involving a substantial interest for two or more Member States, the Member States concerned shall rapidly agree which of them is to be the lead investigating Member State. Should the Member States concerned not determine which Member State is to lead the investigation, they shall immediately implement a Commission recommendation on the matter, based on an opinion of the Agency.

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

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

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

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

Article 8

Investigative bodies

1.  Member States shall ensure that marine casualty or incident safety investigations are conducted under the responsibility of an investigative body or entity (hereinafter referred to as "investigative body"), endowed with the necessary permanent powers and composed of investigators who are suitably qualified in matters relating to marine casualties and incidents.

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

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

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

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

   a) to have free access to any relevant area or casualty site as well as to any ship, wreck or structure including cargo, equipment or debris;
   b) to ensure immediate listing of evidence and controlled search for and removal of wreckage, debris or other components or substances for examination or analysis;
   c) to require examination or analysis of the items referred to in point (b), and have free access to the results of such examinations or analysis;
   d) to have free access to, copy and have use of any relevant information and recorded data, including voyage data recorder (VDR) data, pertaining to a ship, voyage, cargo, crew or any other person, object, condition or circumstance;
   e) to have free access to the results of examinations of the bodies of victims or of tests made on samples taken from the bodies of victims;
   f) to require and have free access to the results of examinations of, or tests made on samples taken from, people involved in the operation of a ship or any other relevant person;
   g) to examine witnesses in the absence of any person whose interests the investigators consider to hamper the safety investigation;
   h) to obtain survey records and relevant information held by the flag State, the owners, classification societies or any other relevant party, whenever those parties or their representatives are established in the Member State;
   i) to call for the assistance of the relevant authorities in the respective States, including flag-State and port-State surveyors, coastguard officers, vessel traffic service operators, search and rescue teams, pilots or other port or maritime personnel.

5.  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.

Article 9

Non-disclosure of records

Member States shall ensure that the following records are not made available for purposes other than the safety investigation:

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

Article 10

Permanent cooperation framework

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

2.  The rules of procedure of the permanent cooperation framework and the organisation arrangements required thereof shall be decided in accordance with the procedure referred to in Article 19(2).

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

   a) share installations, facilities and equipment for the technical investigation of wreckage and ship's equipment and other objects relevant to the safety investigation, including the extraction and evaluation of information from voyage data recorders and other electronic devices;
   b) provide each other with the technical cooperation or expertise needed to undertake specific tasks;
   c) acquire and share information relevant for analysing casualty data and making appropriate safety recommendations at Community level;
   d) draw up common principles for the follow-up of safety recommendations and for the adaptation of investigative methods to the development of technical and scientific progress;
   e) establish confidentiality rules for the sharing of witness evidence and the processing of data;
   f) organise, where appropriate, relevant training activities for individual investigators;
   g) promote cooperation with the investigative bodies or entities of third countries and with the international maritime accidents investigation organisations in the fields covered by this Directive.

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

Article 11

Costs

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

Article 12

Cooperation with substantially interested third countries

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

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

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

Article 13

Preservation of evidence

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

   a) to save all information from charts, log books, electronic and magnetic recording and video tapes, including information from voyage data recorders and other electronic devices relating to the period preceding, during and after an accident;
   b) to prevent the overwriting or other alteration of such information;
   c) to prevent interference with any other equipment which might reasonably be considered pertinent to the investigation of the accident;
   d) to collect and preserve all evidence expeditiously for the purposes of the marine casualty or incident safety investigations.

Article 14

Accident reports

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

2.  Investigative bodies shall make every effort to make a report available to the public, and especially to the entire maritime sector, the latter of which shall receive specific conclusions and recommendations, when required, within 12 months of the day of the casualty. If it is not possible to produce the final report within that time, an interim report shall be published within 12 months from the date of the casualty.

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

4.  Every three years, the Commission shall send a report providing information to the European Parliament setting out the degree of implementation of, and compliance with, the provisions of this Directive, as well as any further steps considered necessary in the light of the recommendations set out in the report.

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, acted upon in accordance with Community and international law. The Commission shall, acting with the assistance of the Agency, incorporate into the joint methodology the conclusions of the accident reports and the safety recommendations contained therein.

2.  Where appropriate, an investigative body or the Commission shall, acting with the assistance of the Agency, make safety recommendations on the basis of an abstract data analysis and of the results of any investigations carried out .

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

Article 16

Early warning system

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

The Commission shall immediately examine the matter and, if necessary, issue a note of warning for the attention of the responsible authorities in all the other Member States, the shipping industry, and 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 to the Commission 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 marine casualty or incident safety investigations in accordance with the EMCIP database schema.

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

Article 18

Fair treatment of seafarers

The Member States shall comply with the IMO guidelines on the fair treatment of seafarers in the event of a maritime accident .

Article 19

Committee

1.  The Commission shall be assisted by the Committee on Safe Seas and the Prevention of Pollution from Ships (COSS) instituted by Article 3 of Regulation (EC) No 2099/2002 of the European Parliament and the Council of 5 November 2002 (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.

Article 20

Amending powers

The Commission may update definitions in this Directive, and the references made to Community acts and to IMO instruments, in accordance with the procedure referred to in Article 19(2) in order to bring them into line with Community or IMO measures which have entered into force, subject to observance of the limits of this Directive.

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

Article 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 this Directive, provided that such measures do not infringe this Directive or in any way adversely affect its attainment, nor jeopardise the realisation of the objectives of the Union .

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

Amendments to existing acts

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

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

Article 24

Transposition

1.  Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by ... (12) at the latest. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

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

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

Article 25

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 26

Addressees

This Directive is addressed to the Member States.

Done at

For the European Parliament For the Council

The President The President

ANNEX I

Safety investigation report format and content

Foreword

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

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

1.  Summary

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

2.  Factual information

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

These sections include, at least, the following information:

2.1  Ship particulars

–  Ship flag/register,

–  Ship identification,

–  Ship main characteristics,

–  Ownership and management,

–  Construction details,

–  Minimum safe manning,

–  Authorised cargo.

2.2  Voyage particulars

–  Ports of call,

–  Type of voyage,

–  Cargo information,

–  Manning.

2.3  Marine casualty or incident information

–  Type of marine casualty or incident,

–  Date and time,

–  Position and location of the marine casualty or incident,

–  External and internal environment,

–  Ship operation and voyage segment,

–  Place on board,

–  Human factors data,

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

2.4  Shore authority involvement and emergency response

–  Who was involved,

–  Means used,

–  Speed of response,

–  Actions taken,

–  Results achieved.

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

3.  Narrative

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

4.  Analysis

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

These sections should cover issues such as:

–   accidental event context and environment,

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

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

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

5.  Conclusions

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

6.  Safety recommendations

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

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

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

7.  Appendices

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

   photographs, moving images, audio recordings, charts, drawings,
   applicable standards,
   technical terms and abbreviations used,
   special safety studies,
   miscellaneous information.

ANNEX II

MARINE CASUALTY OR INCIDENT NOTIFICATION DATA

(Part of the European Marine Casualty Information Platform)

01.  Member Sate responsible / contact person

02.  Member Sate investigator

03.  Member State role

04.  Coastal state affected

05.  Number of substantially interested states

06.  Substantially interested states

07.  Notification entity

08.  Time of the notification

09.  Date of the notification

10.  Name of the ship

11.  IMO number/ distinctive letters

12.  Ship flag

13.  Type of marine casualty or incident

14.  Type of ship

15.  Date of the marine casualty or incident

16.  Time of the marine casualty or incident

17.  Position - Latitude

18.  Position - Longitude

19.  Location of the marine casualty or incident

20.  Port of departure

21.  Port of destination

22.  Traffic separation scheme

23.  Voyage segment

24.  Ship operation

25.  Place on board

26.  Lives lost:

· Crew

· Passengers

· Other

27.  Serious injuries:

· Crew

· Passengers

· Other

28.  Pollution

29.  Ship damage

30.  Cargo damage

31.  Other damage

32.  Brief description of the marine casualty or incident

Note: Underlined numbers mean that data should be provided for each ship if more than one is involved in the marine casualty or incident.

(1)1 OJ C 318, 23.12.2006, p. 195 .
(2)2 OJ C 229, 22.9.2006, p. 38 .
(3)3 Position of the European Parliament of 25 April 2007 .
(4)4 OJ C 104 E, 30.4.2004, p. 730 .
(5) Final Act of the Third United Nations Conference on the Law of the Sea 1973-1982, Class Nr. 341.45 L 412 1997.
(6) Version IMO FSI 13/WP.3 of 9 March 2005.
(7) OJ L 138, 1.6.1999, p. 1. Directive as amended by Directive 2002/84/EC of the European Parliament and of the Council (OJ L 324, 29.11.2002, p. 53).
(8) OJ L 208, 5.8.2002, p. 10.
(9) OJ L 208, 5.8.2002, p. 1. Regulation as last amended by Regulation (EC) No 1891/2006 (OJ L 394, 30.12.2006, p. 1).
(10) OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision 2006/512/EC (OJ L 200, 22.7.2006, p. 11).
(11) OJ L 324, 29.11.2002, p. 1. Regulation as last amended by Commission Regulation (EC) No 93/2007 (OJ L 22, 31.1.2007, p. 12).
(12)* OJ: please insert date.

Last updated: 8 February 2011Legal notice