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MINISTRY OF
TRANSPORT OF VIETNAM
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 05/VBHN-BGTVT
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Hanoi, March 2,
2021
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CIRCULAR
PRESCRIBING
INVESTIGATION INTO AND REPORTING ON MARINE CASUALTIES
Circular No. 01/2020/TT-BGTVT dated January 20,
2020 of the Minister of Transport prescribing investigation into and reporting
on marine causalities, coming into force as of March 15, 2020, amended by:
Circular No. 34/2020/TT-BGTVT dated December 23,
2020 of the Minister of Transport on amendments to Circulars on
maritime-related periodic reporting, coming into force as of February 15, 2021,
amended by:
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;
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Chapter I
GENERAL PROVISIONS
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.
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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.
However, a marine casualty does not include a
deliberate act with the intention to cause harm to the safety of an individual,
a ship, marine infrastructure facilities or the environment.
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.
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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;
b) the spill of from 20 tonnes to less than 100
tonnes of oil, or from 10 tonnes to less than 50 tonnes of toxic chemicals into
the environment; or
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.
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Chapter II
REPORTING ON MARINE CASUALTIES
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.
b) When receiving the urgent report or any
information on the marine casualty, the nearest maritime administration shall
immediately provide the received report or information to the following: the
maritime administration responsible for the waters where the casualty occurs;
the Vietnam Maritime Administration; Vietnam Maritime Safety Corporation if the
casualty causes damage to or disables aids to navigation or adversely affects
the maritime safety of ships; managers or operators of structures, facilities
and/or equipment damaged by the casualty; the Provincial People's Committee if
the casualty causes or would cause the pollution of marine environment or
damage to aquatic resources.
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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.
5. With regard to a very serious marine casualty,
the Vietnam Maritime Administration shall, after receiving the urgent report,
immediately submit a report to the Ministry of Transport.
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.
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Each maritime administration shall, on the basis of
every six months and every year, send written reports on marine casualties to
Vietnam Maritime Administration and Vietnam Maritime Administration shall send
a consolidated report on marine causalities as follows:
1. Report name: Periodic
report on marine causalities;
2. Content: Information on
marine causalities prescribed in Appendix 3 issued herewith;
3. Method of sending and
receiving reports: Reports are presented in the form of paper documents or
electronic documents. A report shall be sent to the receiving agency by one of
the following methods: in person, by post, fax, email, or another method as per
the law;
4. Reporting frequency: Every
6 months and annually:
5. Report submission
deadlines: Deadline for 6-month reports: Before June 17 every year, each
maritime administration shall report to the Vietnam Maritime Administration.
Before June 22 every year, the Vietnam Maritime Administration shall report to
the Ministry of Transport. The report for the last 6 months of the year is
replaced by the annual report; deadline for submitting annual reports: Before
December 17 of each year, the maritime administration shall report to the
Vietnam Maritime Administration. Before December 22 every year, the Vietnam
Maritime Administration shall report to the Ministry of Transport.
6. Closing time for reporting
data: For a 6-month report, it commences from December 15 of the year before
the reporting period to June 14 of the reporting period. For an annual report,
it commences from December 15 of the year before the reporting period to
December 14 of the reporting period;
7. Report form: According to
the provisions in Appendix 3 issued together with this Circular.
Chapter III
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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
1. A marine casualty
investigation shall be conducted into every serious marine casualty and very
serious marine casualty.
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
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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.
5. With regard to a marine
casualty investigated by other authorities within their competence, the marine
casualty investigation shall be also conducted in accordance with this
Circular.
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
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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
a) An investigation team consists of a team leader
and at least 01 deputy team leader and 01 member appointed by Director of the
relevant maritime administration within his/her competence;
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
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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.
3. Use necessary equipment and
devices for the investigation.
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.
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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.
13. Make English translations
of draft reports and reports on investigations into very serious marine
casualties and other marine casualties involving foreign-flagged ships.
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.
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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.
5. Interview crewmembers and
witnesses; consolidate collected information. Where necessary, additional
examinations and interviews may be carried out to clarify questionable issues.
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.
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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. 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:
a) A summary outlining the basic facts of the
marine casualty and stating whether any deaths, missing persons, injuries or
pollution of marine environment occurred as a result;
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;
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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.
Article 20. Re-opening a marine casualty
investigation
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.
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Funding for a marine casualty investigation shall
be provided in accordance with law.
Article 23. Entry in force[3]
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.
2. Chief of Office, Chief
Inspector, Directors of Departments, Director of Vietnam Maritime Administration,
Director of Vietnam Inland Waterways Administration, heads of relevant agencies
and organizations, and relevant individuals shall implement this Circular./.
AUTHENTICATION
OF CONSOLIDATED DOCUMENT
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[1] Circular No.
34/2020/TT-BGTVT on amendments to Circulars on maritime-related periodic
reporting, with the following legal bases for promulgation:
“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;
Pursuant to the
Government’s Decree No. 09/2019/ND-CP dated January 24, 2019 on reporting by
State administrative agencies;
At the request of
the Chief of the Ministry Office and Director of Vietnam Maritime
Administration;
Minister of
Transport promulgates Circular on amendments to Circulars on maritime-related
periodic reporting.”
[2] This Article is
amended by Article 4 of Circular No. 34/2020/TT-BGTVT dated December 23, 2020
of the Minister of Transport on amendments to Circulars on marine-related
periodic reporting, coming into force as of February 15, 2021:
[3]Article 5 and
Article 6 of Circular No. 34/2020/TT-BGTVT dated December 23, 2020 of the
Minister of Transport on amendments to Circulars on marine-related periodic
reporting, coming into force as of February 15, 2021, stipulate as follows:
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This Circular
comes into force as of February 15, 2021.
Article 6.
Implementation
Chief of Ministry
Office, Chief Inspector, Directors of Departments, Director of Vietnam Maritime
Administration, Director of Port Authorities, heads of relevant agencies and
organizations, and relevant individuals shall implement this Circular”.