Circular No. 01/2020/TT-BGTVT dated January 20, 2020 prescribing investigation into and reporting on marine casualties

• Official number: 01/2020/TT-BGTVT
• Legislation Type: Circular
• Organization: The Ministry of Transportation and Communications
• Signer: Nguyen Van Cong
• Issued Date: 20/01/2020

MINISTRY OF TRANSPORT --------	SOCIALIST REPUBLIC OF VIETNAM Independence – Freedom – Happiness --------------
No.: 01/2020/TT-BGTVT	Hanoi, January 20, 2020

CIRCULAR

 PRESCRIBING INVESTIGATION INTO AND REPORTING ON MARINE CASUALTIES

Pursuant to the Maritime Code of Vietnam No. 95/2015/QH13 dated November 25, 2015;

Pursuant to the Code of the International Standards and Recommended Practices for a Safety Investigation into a Marine Casualty or Marine Incident adopted by the International Maritime Organization (IMO);

Pursuant to the Government’s Decree No. 12/2017/ND-CP dated February 10, 2017 defining the functions, tasks, powers and organizational structure of the Ministry of Transport;

At the request of the Director of Transport Safety Department and the Director of Vietnam Maritime Administration;

The Minister of Transport promulgates a Circular prescribing the investigation into and reporting on marine casualties.

Chapter I

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Article 1. Scope

This Circular provides regulations on the investigation into and reporting on marine casualties.

Article 2. Regulated entities

1. This Circular applies to regulatory authorities, organizations and individuals (hereinafter referred to as “entities”) involving in the reporting and investigation into marine casualties in the following cases:

a) Marine casualties involving Vietnamese-flagged ships;

b) Marine casualties involving foreign-flagged ships while they are operating within the port waters, internal waters and territorial waters of Vietnam; exclusive economic zones of Vietnam if the casualty involves Vietnamese-flagged ships, offshore structures and equipment or causes environmental pollution.

2. Regulations herein also apply to the investigation into casualties involving public vessels or seaplanes within the port waters of Vietnam; inland waterway ships bearing VR-SB class notations, floating storage units, and mobile offshore drilling units within the port waters and territorial waters of Vietnam.

Article 3. Interpretation of terms

1. “marine casualty” means an event which has occurred directly in connection with the operations of a ship and resulted in any of the following consequences: the death or loss of, or serious injury to, a person; the involvement of a ship in a collision; severe structural damage to a ship; the loss, sinking, stranding or disabling of a ship; material damage to marine infrastructure facilities or severe damage to the environment.

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2. “marine incident” means an event, other than a marine casualty defined in Clause 1 of this Article, which has occurred directly in connection with the operations of a ship and endangered, or, if not corrected, would endanger the safety of the ship, its occupants or any other person or the environment.

Article 4. Classification of marine casualties

1. “very serious marine casualty” is a marine casualty that has resulted in any of the following:

a) the death or loss of a person;

b) the sinking or total loss of the ship;

c) the spill of 100 tonnes of oil or over, or 50 tonnes of toxic chemicals or over into the environment; or

d) the obstruction of the navigational channel for 48 hours or longer.

2. “serious marine casualty” is a marine casualty which does not qualify as a very serious marine casualty as defined in Clause 1 of this Article and has resulted in any of the following:

a) a fire, explosion or stranding of the ship for 24 hours or longer, or severe structural damage to the ship, rendering the ship unfit to proceed;

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c) the obstruction of the navigational channel for from 24 hours to less than 48 hours.

3. “less serious marine casualty” is a marine incident or marine casualty which qualifies as neither a very serious marine casualty defined in Clause 1 nor a serious casualty as defined in Clause 2 of this Article.

Article 5. Responsibility of the master, owner, agent and operator of the ship, and entities involved in a marine casualty

1. The master, owner, agent and operator of the ship, and entities involved in a marine casualty shall report the marine casualty to the relevant maritime administration or the Vietnam Maritime Administration or the Ministry of Transport in a timely and accurate manner in accordance with this Circular.

2. The master of the ship involved in the marine casualty shall organize rescue activities in a timely and effective manner depending safety conditions of the ship.

3. The master and crew of the ship involved in the marine casualty assume responsibility to protect the scene and voyage data recorder at the time of occurrence of the marine casualty, and provide evidence about the casualty to the investigation authority.

4. The master and crew of the ship and entities involved in the marine casualty shall sufficient, truthful and timely information to the investigation authority and also assume legal responsibility for the provided information.

5. With regard to a marine casualty which has resulted in physical damage to a seafarer, the master, owner and employer shall, in addition to the obligation to submit reports as prescribed herein, make statement of marine occupational accidents in accordance with law.

Chapter II

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Article 6. Marine casualty reports

1. Marine casualty reports include urgent reports, detailed reports and periodic reports as prescribed in Appendix 1, Appendix 2 and Appendix 3 enclosed herewith.

2. Marine casualty reports must contain truthful and accurate contents and submitted by the prescribed deadlines.

Article 7. Urgent reports

1. Urgent reports shall be made as follows:

a) Where a marine casualty occurs within the port waters and the territorial waters of Vietnam, the master or the person vested with the highest responsibility on the ship shall immediately send an urgent report to the nearest maritime administration. In case neither the master nor such person is able to make the urgent report, the owner or agent of the ship involved in the casualty shall make the report.

2. In case a marine casualty involves a Vietnamese-flagged ship operating within the territorial waters of another State, the master or the person vested with the highest responsibility on the ship or the ship owner shall submit report at the request of the coastal State in whose territory the casualty occurs and send an urgent report to the Vietnam Maritime Administration. In case of a very serious marine casualty, the master or the person vested with the highest responsibility on the ship or the ship owner shall also send a report to the diplomatic mission of Vietnam in that coastal State for assistance.

3. If a marine casualty involves a Vietnamese-flagged ship operating on the high seas, the master or the person vested with the highest responsibility on the ship or the ship owner shall submit an urgent report to Vietnam Maritime Administration.

4. The urgent report may be sent either directly or through any appropriate means of communications.

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6. Vietnam Maritime Administration shall notify the maritime authority of the flag State in case of marine casualty mentioned in Point b Clause 1 Article 2 hereof.

Article 8. Detailed reports

Following the urgent report, the master or the person vested with the highest responsibility on the ship shall submit a detailed report by the deadlines prescribed below:

1. In case the marine casualty occurs within the port waters or internal waters of Vietnam, the detailed report shall be sent to the maritime administration responsible for such waters within 24 hours from the occurrence of the casualty. If it is unable to send the detailed report within 24 hours as prescribed, it must be sent thereafter within 48 hours from the occurrence of the casualty.

2. In case the marine casualty occurs within the territorial waters or an exclusive economic zone of Vietnam as prescribed in Point b Clause 1 Article 2 hereof, after the casualty occurs and the ship is anchored in the port waters of Vietnam, the detailed report shall be sent to the maritime administration responsible for such port waters within 24 hours after the ship is anchored as instructed. If the ship is not anchored in the port waters of Vietnam after the marine casualty occurs, the detailed report shall be sent to Vietnam Maritime Administration within 48 hours after the ship or its crewmembers reach the first port.

3. In case the marine casualty involves a Vietnamese-flagged ship operating on the high seas or the territorial waters of another State, after the casualty occurs and the ship is anchored in the port waters of Vietnam, the detailed report shall be sent to the maritime administration responsible for such port waters within 24 hours after the ship is anchored as instructed. If the ship is not anchored in the port waters of Vietnam after the marine casualty occurs, the detailed report shall be sent to Vietnam Maritime Administration within 48 hours after the ship reaches the first port.

Article 9. Periodic reports

1. Each maritime administration shall, on the basis of every six months and every year, make written reports on marine casualties using the form in Appendix 3 enclosed herewith, and send them to Vietnam Maritime Administration.

2. Vietnam Maritime Administration shall, on the basis of every six months and every year, make written reports on marine casualties using the form in Appendix 3 enclosed herewith, and send them to the Ministry of Transport.

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a) Six-month reports made by maritime administrations and Vietnam Maritime Administration shall be sent by June 16 and June 20 respectively of the current year; reports for the last 6 months may be replaced by annual reports;

b) Annual reports made by maritime administrations and Vietnam Maritime Administration shall be sent by December 16 and December 20 respectively of the current year.

Chapter III

INVESTIGATION INTO MARINE CASUALTIES

Article 10. Marine casualty investigation purposes and requirements

1. A marine casualty investigation means the identification of conditions, circumstances, causes or events that would cause a marine casualty in order to find out effective solutions for preventing similar marine casualties in the future.

2. A marine casualty investigation is not conducted to determine legal responsibility or liabilities of the parties.

3. A marine casualty investigation shall be conducted into every marine casualty in a lawful, timely, comprehensive and objective manner.

Article 11. Cases of marine casualty investigation

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2. The investigation into less serious marine casualties shall be conducted according to decision of the Director of the relevant maritime administration. The maritime administration shall send report on the marine casualty into which the investigation is not conducted to the Vietnam Maritime Administration.

Article 12. Organization of marine casualty investigation

1. Power to conduct marine casualty investigation

a) Directors of regional maritime administrations shall conduct investigations into marine casualties which have occurred within the port waters under their management and other marine casualties as assigned by the Director of Vietnam Maritime Administration;

b) If a marine casualty occurs in the port waters but the ship involved in the casualty is moved to a designated anchoring location in other port waters, the Director of Vietnam Maritime Administration shall assign the maritime administration in charge of the port waters where the casualty occurs or where the ship is anchored to conduct investigation into that marine casualty. When the ship is anchored in the port waters as instructed, Director of the maritime administration in charge of that port waters shall assign its qualified officials to examine the scene and collect evidence.

c) Director of Vietnam Maritime Administration shall decide to assign an appropriate maritime administration to conduct investigation into a marine casualty occurring outside the port waters of Vietnam.

2. After receiving information about a marine casualty occurring within the port waters under its management, depending on its conditions, Director of the maritime administration shall assign its qualified officials to examine the occurrence site and get on the ship for assessing the scene and working positions on the ship, and collect evidence serving the investigation. The performance of these tasks must be recorded in writing and avoid affecting the safe operation of the ship. Such record must be certified by a competent person on the ship. The officials are sent to the scene will be members of the investigation team prescribed in Clause 3 of this Article.

3. Director of the maritime administration that conducts the investigation shall issue a decision on establishment of an investigation team.

4. During the investigation, if a crime is suspected, Director of the relevant maritime administration must immediately notify a competent investigation authority and transfer all documents and evidence related to the marine casualty at the request of the investigation authority; photocopies or certified true copies of documents must be made before they are transferred to the investigation authority; the transfer of documents and evidence must be recorded in writing.

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6. Vietnam Maritime Administration shall notify the maritime authority of the flag States of the investigation into marine casualties involving foreign-flagged ships as prescribed in Clause 1 Article 2 hereof.

7. Director of the maritime administration may detain the ship for up to 05 days to serve the collection of evidence and investigation. The detention of the ship involved in a marine casualty occurring in the port waters for a longer period shall be decided by the Director of Vietnam Maritime Administration at the request of Director of the relevant maritime administration provided the extended period of detention shall not exceed 05 days. The extended detention of the ship involved in a marine casualty occurring outside the port waters shall be decided by the Minister of Transport at the request of the Vietnam Maritime Administration.

Article 13. Agreement to conduct a marine casualty investigation

When necessary, Vietnam Maritime Administration shall reach an agreement to conduct marine casualty investigation as follows:

1. With regard to a marine casualty involving a foreign-flagged ship, Vietnam Maritime Administration shall reach an agreement to conduct the marine casualty investigation with the maritime authority of the State whose flag the ship is entitled to fly in a way that is suitable for actual conditions, circumstances, and occurrence site of the casualty.

2. With regard to a marine casualty involving a Vietnamese-flagged ship operating overseas, Vietnam Maritime Administration shall reach an agreement to conduct the marine casualty investigation with the maritime authority of the coastal State in a way that is suitable for actual conditions, circumstances, and occurrence site of the casualty.

3. In case of failure to reach an agreement with the maritime authority of the flag State or the coastal State, the marine casualty investigation shall be independently conducted in accordance with this Circular.

Article 14. Investigation team and members thereof

1. Investigation team

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b) Where necessary, Director of Vietnam Maritime Administration shall appoint experts in relevant fields to join the investigation team. Director of the maritime administration shall issue decide the establishment of the investigation team according to instructions of the Director of Vietnam Maritime Administration.

2. Members of the investigation team are required to meet the following requirements: they must be masters, chief engineers or engineers in ship operation, marine engine operation, shipbuilding, marine power and marine automatic power, maritime law or similar major, have at least 05 years of practical experience in their studied majors, and have completed training and drilling courses in marine casualty investigation.

Article 15. Duties and powers of investigation team

1. Develop investigation plan, and make cost estimates in accordance with this Circular and relevant laws. The investigation plan requires an approval from Director of maritime administration. Submit reports on the investigation process and results to Director of the maritime administration that established the investigation team.

2. Send written notification to the master or the person vested with highest responsibility on the ship, the owner and agent of the ship of the marine casualty investigation. The notification shall contain the following:

a) The marine casualty into which the investigation is conducted;

b) Time and location of the investigation;

c) Name and address of the investigation team;

d) Rights and obligations of parties to the marine casualty investigation.

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4. Request the parties involved in the marine casualty to protect the scene and evidence according to marine casualty investigation requirements.

5. Request the persons involved in the marine casualty to make written reports on conditions, circumstances and developments of the casualty, and entities involved in the casualty. In case such persons have to be interviewed, they must be notified in advance of the time and location of the interview.

6. Request the master or the person vested with highest responsibility to provide copies of the ship logs, nautical chart of the area where the marine casualty has occurred, and other records and documents about the ship and equipment thereon.

7. Request the organization in charge of classification and technical inspection of the ship, the ship owner, agent, maritime information provider, maritime search and rescue coordination center, vessel traffic service centers, maritime safety organizations, pilots and relevant entities to provide information necessary for the marine casualty investigation.

8. Examine and collect copies of documents about registration, inspection and insurance of the ship, other relevant documents and certificates of crewmembers to service the marine casualty investigation.

9. Make audio and video recordings, surveys, request for experts’ advice and perform other tasks that are deemed necessary for the marine casualty investigation.

10. Carry out verification, analysis, assessment and proposed conclusion about the causes of the marine casualty. Where necessary, request the Director of the maritime administration to make decision to request for advice of the organization in charge of classification and technical inspection of the ship or other relevant specialized agencies.

11. Make report on the marine casualty investigation.

12. Retain documents and evidence related to the marine casualty as prescribed.

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14. Consider re-opening the marine casualty investigation according to Article 20 hereof.

Article 16. Time limit for a marine casualty investigation

1. The investigation into a marine casualty occurring within the port waters of Vietnam must be completed within 60 days from the occurrence date. The maximum time limit for the investigation into a marine casualty occurring outside the port waters of Vietnam is 60 days from the day on which the investigation is assigned.

2. If the investigation into a marine casualty which is so complicated cannot be completed within the time limit prescribed in Clause 1 of this Article, at the request of the investigation team leader, Director of the relevant maritime administration shall promptly send a written report to Director of Vietnam Maritime Administration for making decision on extension of the investigation time limit.

Article 17. Procedures for marine casualty investigation

1. Establish the investigation team.

2. Develop the investigation plan.

3. Make cost estimate.

4. Notify relevant parties of the marine casualty investigation.

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6. Pursuant to regulations on maritime, carry out the analysis of collected information, including conclusions about analyses of exhibits and traces related to the marine casualty.

7. Make a draft report on the marine casualty investigation and send it to relevant parties according to Article 18 hereof.

8. Publish the report on the marine casualty investigation.

Article 18. Draft report on marine casualty investigation

1. After making a draft report on marine casualty investigation, the investigation team shall send a copy of the draft report to the owner, agent and/or operator of the ship, Vietnam Inland Waterways Administration (if the casualty involves inland waterway ships) and Vietnam Maritime Administration for comments. After receiving the draft report, Vietnam Maritime Administration shall send a copy thereof to the maritime authority of the State whose flag the ship is entitled to fly for comments (if the casualty involves a foreign-flagged ship).

2. The maritime authority of the flag State, the owner, agent or operator of the ship is not allowed to publish or grant access to the draft report or any part thereof without the consent of the investigation team, Director of the relevant maritime administration or Vietnam Maritime Administration.

3. Within 30 days or another time limit as agreed upon between the investigation team and relevant parties, which shall not be longer than 30 days from the day on which the draft report is sent, the maritime authority of the flag State, the owner, agent or operator of the ship shall send comments about the draft report. If no comments are received after the aforesaid time limit, the investigation team shall submit the report on marine casualty investigation to Director of maritime administration for signing and publishing.

Article 19. Report on marine casualty investigation

1. A report on marine casualty investigation shall contain the following information:

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b) The identity of the flag State, owner, agent, operator as identified in the safety management certificate, and the classification organization;

c) The details of main dimensions and engines of the ship; a description of work routine of crewmembers and other matters performed on the ship before the occurrence of the casualty;

d) A narrative detailing the circumstances of the marine casualty;

dd) Analysis and comment on the causal factors of the marine casualty;

e) Recommendations with a view to preventing similar marine casualties in the future.

2. The investigation team shall send the report on marine casualty investigation to the maritime authority of the flag State, the owner, agent or operator of the ship and Vietnam Maritime Administration by the deadline for the marine casualty investigation. Copies of the report on marine casualty investigation may be provided to other individuals or legal entities directly involved in the casualty at their written request.

3. The investigation team shall send a set of photocopies (if requested) and two copies of the report on investigation into a very serious marine casualty to Vietnam Maritime Administration.

4. With regard to serious marine casualties and very serious marine casualties, Vietnam Maritime Administration shall send reports to the Ministry of Transport and IMO immediately after reaching conclusions about the casualty.

5. Vietnam Maritime Administration shall publish the report on marine casualty investigation on its website.

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When new evidence is presented or collected which may materially alter the analysis of causes of a marine casualty, Director of the relevant maritime administration shall decide to re-open the investigation into that marine casualty.

Article 21. Complaints, denunciations and settlement thereof

Any complaints and denunciations against the marine casualty investigation shall be settled in accordance with regulations of the law on settlement of complaints and denunciations.

Article 22. Funding for marine casualty investigation

Funding for a marine casualty investigation shall be provided in accordance with law.

Article 23. Effect

This Circular comes into force from March 15, 2020. The Circular No. 34/2015/TT-BGTVT dated July 24, 2015 and the Circular No. 39/2017/TT-BGTVT dated November 07, 2017 of the Minister of Transport are abrogated.

Article 24. Implementation

1. Vietnam Maritime Administration shall organize the implementation of this Circular.

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PP. MINISTER
DEPUTY MINISTER




Nguyen Van Cong