Circular No. 01/2020/TT-BGTVT on reporting and investigating maritime accidents

CIRCULAR
Regulations on Reporting and Investigating Marine Accidents
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Pursuant to the Vietnam Maritime Code No. 95/2015/QH13 dated November 25, 2015;

Pursuant to the International Convention for Safety of Life at Sea and other international standards and recommendations for marine accident investigation issued by the International Maritime Organization (IMO);

Pursuant to Decree No. 12/2017/NĐ-CP dated February 10, 2017, issued by the Government on the functions, tasks, powers, and organizational structure of the Ministry of Transport;

At the proposal of The Minister of Education and Training issues this Circular to regulate the assessment of learners studying the Literacy Program. Traffic safety and the Director of the Vietnam Maritime Administration;

The Minister of Transport issues this Circular on reporting and investigating marine accidents.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates regulations on reporting and investigating marine accidents.

Article 2. Applicability

1. This Circular applies to agencies, organizations, and individuals related to the reporting and investigation of marine accidents in the following cases:

a) Marine accidents involving Vietnamese vessels;

b) Marine accidents involving foreign vessels operating in: port waters, inland waters, and territorial seas of Vietnam; in Vietnam's exclusive economic zone when such accidents involve Vietnamese vessels, offshore structures or equipment, or cause environmental pollution.

2. These provisions of this Circular also apply to the investigation of accidents involving government service vessels, seaplanes in Vietnamese port waters; inland waterway vessels with VR-SB registration, floating storage units, mobile platforms in Vietnamese port waters and on Vietnamese waters.

Article 3. Explanation of Terms

1. A marine accident is an event directly related to vessel operations resulting in one of the following consequences: death, disappearance, serious injury of persons; collision of vessels; severe damage to vessel structure; disappearance, sinking, grounding, loss of maneuverability of vessels; severe damage to maritime infrastructure or serious environmental pollution. Marine accidents do not include intentional acts causing harm to people, vessels, maritime infrastructure, or the environment.

2. A marine incident is an occurrence directly related to vessel operations that is not a marine accident as defined in Clause 1 of this Article, posing danger or potential danger to vessel safety, human life, or the environment if not addressed.

Article 4. Classification of Levels of Marine Accidents

1. A particularly serious marine accident is a marine accident causing one of the following damages:

a) Causing death or disappearance of persons;

b) Causing a vessel to sink or disappear;

c) Releasing more than 100 tons of oil or more than 50 tons of toxic chemicals into the environment;

d) Disrupting maritime traffic on shipping lanes for 48 hours or more.

2. A serious marine accident is a marine accident not falling under the cases specified in Clause 1 of this Article and causing one of the following damages:

a) Causing a vessel to catch fire, explode, or run aground for 24 hours or more, damaging the vessel's structure affecting its seaworthiness;

b) Releasing between 20 tons and less than 100 tons of oil or between 10 tons and less than 50 tons of toxic chemicals into the environment;

c) Disrupting maritime traffic on shipping lanes for 24 hours to less than 48 hours.

3. A less serious marine accident is a marine incident or marine accident not covered by the cases specified in Clauses 1 and 2 of this Article.

Article 5. Responsibilities of the Master, Shipowner, Ship Manager, Ship Operator, and Related Organizations and Individuals in Marine Accidents

1. The Master, Shipowner, Ship Manager, Ship Operator, and related organizations and individuals in marine accidents shall promptly and accurately report the marine accident to the Maritime Port Authority or the Vietnam Maritime Administration or the Ministry of Transport in accordance with the provisions of this Circular.

2. The Master of the ship involved in a marine accident shall be responsible for organizing prompt, timely, and effective rescue operations appropriate to the safety conditions of the ship.

3. The Master and crew members of the ship involved in a marine accident shall be responsible for organizing the protection of the accident scene and voyage data recording equipment at the time of the marine accident and providing evidence related to the marine accident to the investigating authority.

4. The Master, crew members of the ship, and related organizations and individuals in marine accidents shall be responsible for providing full, truthful, and timely information to the investigating authority and shall fully bear responsibility under the law for the provided information.

5. In cases where a marine accident causes bodily injury to crew members, the Master, Shipowner, and employer, in addition to their obligation to report according to the provisions of this Circular, must also declare the marine labor accident in accordance with the law.

Chapter II
MARINE ACCIDENT REPORT

Article 6. Marine Accident Report

1. The marine accident report includes the Immediate Report, Detailed Report, and Periodic Report as prescribed in Appendices 1, 2, and 3 issued together with this Circular.

2. The content of the marine accident report must be truthful, accurate, and submitted within the stipulated timeframe.

Article 7. Immediate Report

1. The Immediate Report shall be carried out as follows:

a) In the case of a marine accident occurring in the waters of Vietnamese ports and territorial seas, the Master or the highest-ranking person responsible on board the ship must immediately send the Immediate Report to the nearest Maritime Port Authority. If these persons cannot submit the Immediate Report, the Shipowner or the agent of the ship involved in the accident shall be responsible for reporting.

b) Upon receiving the Immediate Report or becoming aware of a marine accident, the nearest Maritime Port Authority shall immediately forward the Immediate Report or relevant information to the following authorities and organizations: the Maritime Port Authority managing the area where the accident occurred; the Vietnam Maritime Administration; the General Corporation for Marine Safety Assurance, if the accident damages or renders ineffective navigational aids or affects the safety of ships; the organization or individual managing or operating facilities or equipment if the accident damages or harms such facilities or equipment; the People's Committee of the province or centrally-administered city, if the accident causes or has the potential to cause environmental pollution or damage to aquatic resources.

2. In cases where a marine accident involving a Vietnamese ship occurs while operating in the waters of another country, the Master or the highest-ranking person responsible on board the ship or the Shipowner must report according to the requirements of the coastal state where the ship was involved in the accident and immediately send the Immediate Report to the Vietnam Maritime Administration. If the accident is particularly serious, the Master or the highest-ranking person responsible on board the ship or the Shipowner must inform the diplomatic representative of Vietnam in the coastal state where the ship was involved in the accident to seek assistance in resolving the issue.

3. In cases where a marine accident involving a Vietnamese ship occurs while operating in international waters, the Master or the highest-ranking person responsible on board the ship or the Shipowner must immediately send the Immediate Report to the Vietnam Maritime Administration.

4. The Immediate Report may be transmitted directly or sent through appropriate communication methods.

5. For particularly serious marine accidents, upon receiving the Immediate Report, the Vietnam Maritime Administration must immediately report to the Ministry of Transport.

6. The Vietnam Maritime Administration shall notify the maritime authority of the flag state of the ship in cases of marine accidents as specified in point b, Clause 1, Article 2 of this Circular.

Article 8. Detailed Report

Following the Urgent Report, the Master or the highest responsible person on board the ship must submit the Detailed Report within the time limit specified below:

1. In case of a maritime accident occurring in the waters of Vietnamese seaports and inland waterways, the Detailed Report must be submitted to the Port Maritime Administration managing that area within 24 hours from the time of the accident. If it is not possible to complete the Detailed Report within 24 hours, a supplementary report must be made but not later than 48 hours from the time of the accident.

2. In case of a maritime accident occurring in Vietnam's territorial sea and exclusive economic zone as defined in point b, Clause 1, Article 2 of this Circular, after the accident occurs, if the vessel docks at a Vietnamese seaport, the Detailed Report must be submitted to the Port Maritime Administration managing that area within 24 hours from the time the vessel arrives at the designated anchorage. If, after the accident, the vessel does not dock at a Vietnamese seaport, the Detailed Report must be submitted to the Vietnam Maritime Administration within 48 hours from the time the vessel or its crew reaches the first port of call.

3. In case of a maritime accident involving a Vietnamese ship operating in international waters and the waters of another country, after the accident occurs, if the vessel docks at a Vietnamese seaport, the Detailed Report must be submitted to the Port Maritime Administration managing that area within 24 hours from the time the vessel arrives at the designated anchorage. If, after the accident, the vessel does not dock at a Vietnamese seaport, the Detailed Report must be submitted to the Vietnam Maritime Administration within 48 hours from the time the vessel reaches the first port of call.

1. Every six months and annually, the Port Maritime Administration must prepare a written report and submit it to the Vietnam Maritime Administration regarding maritime accidents that have occurred according to the model prescribed in Appendix 3 issued together with this Circular.

2. Every six months and annually, the Vietnam Maritime Administration must prepare a written report and submit it to the Ministry of Transport regarding maritime accidents according to the model prescribed in Appendix 3 issued together with this Circular.

3. Reporting deadlines:

a) Deadline for submitting the six-month report: The Port Maritime Administration no later than June 16 each year and the Vietnam Maritime Administration no later than June 20 each year, the six-month report will be replaced by the annual report;

b) Deadline for submitting the annual report: The Port Maritime Administration no later than December 16 each year and the Vietnam Maritime Administration no later than December 20 each year.

Chapter III
INVESTIGATION OF MARITIME ACCIDENTS

Article 10. Purpose and requirements for investigating maritime accidents

1. Investigating a maritime accident involves determining the conditions, circumstances, causes, or potential causes leading to the accident in order to take effective measures to prevent and mitigate similar accidents.

2. Investigating a maritime accident does not determine the responsibility or legal obligations of the parties involved.

3. Maritime accidents must be investigated in accordance with regulations, promptly, comprehensively, and impartially.

Article 11. Cases for investigating maritime accidents

1. Serious and very serious maritime accidents must be investigated.

2. Less serious maritime accidents may be investigated or not investigated at the discretion of the Director of the Port Maritime Administration. In cases where an investigation is not conducted, the Port Maritime Administration must report to the Vietnam Maritime Administration.

Article 12. Marine accident investigation organization

1. Authority for marine accident investigation

a) The Director of the Port Maritime Administration in the area shall be responsible for organizing the investigation of marine accidents occurring within the port waters under their management and other marine accidents assigned by the Director General of the Vietnam Maritime Administration;

b) In cases where a marine accident occurs in port waters and the involved vessel continues its journey to a designated anchorage location in another port water area, the Director General of the Vietnam Maritime Administration decides to assign the investigation of that marine accident to the Port Maritime Administration where the accident occurred or where the vessel is anchored. When the vessel arrives at the designated anchorage location in the port waters under the area's management, the Director of the Port Maritime Administration must immediately dispatch personnel with expertise to board the vessel to inspect the scene and collect evidence.

c) The Director General of the Vietnam Maritime Administration decides to assign the investigation of marine accidents occurring outside Vietnamese port waters to a suitable Port Maritime Administration.

2. Upon receiving information about a marine accident occurring in port waters under their management, under permissible conditions, the Director of the Port Maritime Administration must dispatch personnel with expertise to the accident scene immediately, board the vessel to inspect the scene, examine work positions, and collect necessary evidence for the investigation. During these activities, it is essential to prepare minutes and have the presence and confirmation of authorized persons on the vessel, while avoiding any impact on the safe operation of the vessel. The person dispatched to the scene will be a member of the Marine Accident Investigation Team as stipulated in Clause 3 of this Article.

3. The Director of the Port Maritime Administration who organizes the investigation of marine accidents shall issue a decision to establish the Marine Accident Investigation Team.

4. During the investigation of marine accidents, if signs indicating criminal offenses are discovered, the Director of the Port Maritime Administration shall notify the competent investigative authority and transfer relevant case files, documents, and evidence related to the marine accident according to the requirements of the competent investigative authority; before transferring, the case files and documents must be photocopied or certified copies made for retention to serve the investigation of marine accidents; the transfer of case files, documents, and evidence must be recorded in a handover protocol.

5. For marine accidents where other authorities conduct investigations within their jurisdiction, the investigation of marine accidents shall still be carried out in accordance with the provisions of this Circular.

6. The Vietnam Maritime Administration shall inform the maritime authorities of the flag state of foreign vessels about the investigation of marine accidents as stipulated in Clause 1 of Article 2 of this Circular.

7. The Director of the Port Maritime Administration may temporarily detain a vessel for no more than five days to gather evidence for the investigation. If detention exceeds this period in cases of accidents occurring in port waters, the Director General of the Vietnam Maritime Administration shall decide based on the proposal of the Director of the Port Maritime Administration, with an extension period not exceeding five days; in cases of accidents occurring outside port waters, the extension period for detaining the vessel shall be decided by the Minister of Transport upon the recommendation of the Vietnam Maritime Administration.

Article 13. Agreement on Marine Accident Investigation

In cases where necessary, the Vietnam Maritime Administration shall agree on marine accident investigation as follows:

1. For marine accidents involving foreign-flagged vessels, the Vietnam Maritime Administration shall agree with the maritime authority of the flag state regarding the investigation of the marine accident in accordance with actual conditions and circumstances, and the location where the marine accident occurred.

2. For marine accidents involving Vietnamese-flagged vessels occurring abroad, the Vietnam Maritime Administration shall agree with the coastal state's maritime authority regarding the investigation of the marine accident in accordance with actual conditions and circumstances, and the location where the marine accident occurred.

3. In cases where agreement cannot be reached with the maritime authority of the flag state or the coastal state, the marine accident shall be independently investigated according to the provisions of this Circular.

Article 14. Marine Accident Investigation Team and Members of the Marine Accident Investigation Team

1. Marine Accident Investigation Team

a) The Marine Accident Investigation Team must have a Team Leader directly in charge and at least one Deputy Team Leader assisting the Team Leader, and one team member appointed by the Port Director based on their authority;

b) In cases where necessary, the Director of the Vietnam Maritime Administration may supplement persons with relevant expertise to participate in the Marine Accident Investigation Team. The Port Director shall establish the Marine Accident Investigation Team based on the instructions from the Director of the Vietnam Maritime Administration.

2. Members of the Marine Accident Investigation Team must meet the following conditions: they must be a ship captain, chief engineer, or specialist in controlling ships, operating ship machinery, maintaining ship machinery, shipbuilding, ship electrical and automatic systems, maritime law, or equivalent professions; they must have at least five years of practical experience in their profession and have completed training courses on marine accident investigation.

Article 15. Duties and Authorities of the Marine Accident Investigation Team

1. Develop an investigation plan, prepare a budget for investigation expenses, and conduct the marine accident investigation in accordance with the provisions of this Circular and other related laws. The investigation plan must be approved by the Port Director. Report in writing about the investigation process and results to the Port Director who established the Marine Accident Investigation Team.

2. Notify in writing the ship captain or the highest responsible person on board, the ship owner, and the ship agent about the commencement of the marine accident investigation. The notification content includes the following main information:

a) The marine accident being investigated;

b) The time and place of the start of the investigation;

c) The name and contact address of the Marine Accident Investigation Team;

d) The rights and obligations of the parties involved in the marine accident investigation.

3. Use necessary equipment and devices to serve the marine accident investigation.

4. Require parties related to the marine accident to take measures to preserve the scene and protect relevant evidence according to the requirements of the marine accident investigation.

5. Require individuals related to the marine accident to provide written reports on issues they know about the conditions, circumstances, and development of the marine accident and related subjects. If necessary, before conducting interrogations, inform them of the time and place of the interrogation.

6. Require the ship captain and responsible persons to provide copies of the ship's logs, nautical charts of the area where the ship was located, and other necessary records and documents about the ship and its equipment.

7. Require classification societies, ship owners, ship agents, maritime information organizations, maritime search and rescue centers, vessel traffic management system control centers, maritime safety assurance organizations, pilots, and other relevant agencies, organizations, or individuals to provide necessary information to serve the marine accident investigation.

8. Inspect and collect copies of registration, inspection, insurance certificates of the ship, other necessary documents, and professional certificates of crew members to serve the marine accident investigation.

9. Record audio, take photographs, film, survey, request expert opinions, and perform other tasks deemed necessary for the marine accident investigation.

10. Compile, verify, analyze, evaluate, and propose conclusions on the causes of the marine accident. If necessary, propose that the Port Director decide to seek opinions from classification societies, technical supervision organizations, or relevant specialized agencies.

11. Prepare the Marine Accident Investigation Report.

12. Store and preserve files, documents, and physical evidence related to the marine accident in accordance with regulations.

13. Organize the translation of the Draft Marine Accident Investigation Report and the Marine Accident Investigation Report into English for particularly serious marine accidents and marine accidents involving foreign-flagged vessels.

14. Conduct a re-investigation of the marine accident in accordance with Article 20 of this Circular.

Article 16. Time limit for investigating maritime accidents

1. For maritime accidents occurring within Vietnam's port waters, the investigation period shall not exceed sixty days from the date of the maritime accident; for maritime accidents occurring outside Vietnam's port waters, the investigation period shall not exceed sixty days from the date of being assigned to investigate the maritime accident.

2. In complex cases, if the investigation of a maritime accident cannot be completed within the time limit prescribed in Clause 1 of this Article, based on the proposal of the Head of the Maritime Accident Investigation Team, the Director of the Port Maritime Office must promptly report in writing to the Director General of the Vietnam Maritime Administration for consideration and decision to extend the investigation period.

Article 17. Procedure for conducting investigations of maritime accidents

1. Establish the Maritime Accident Investigation Team.

2. Prepare the Investigation Plan for Maritime Accidents.

3. Prepare the budget estimate for investigating maritime accidents.

4. Notify relevant parties about the commencement of the investigation.

5. Interview crew members and witnesses; compile collected information. If necessary, additional inspections and interviews may be conducted to clarify any unresolved issues.

6. Based on the provisions of maritime laws, analyze the collected information, including conclusions from material and trace evidence related to the maritime accident.

7. Draft the Investigation Report on Maritime Accidents and send it to relevant parties for comments in accordance with Article 18 of this Circular.

8. Publish the Investigation Report on Maritime Accidents.

Article 18. Draft Investigation Report on Maritime Accidents

1. After drafting the Draft Investigation Report on Maritime Accidents, the Investigation Team sends a copy of the Draft to the ship owner, ship manager, ship operator involved, the Vietnam Inland Waterway Administration (if the accident involves inland waterway vessels), and the Vietnam Maritime Administration for comments on the Draft Report. Upon receiving the Draft Investigation Report on Maritime Accidents from the Investigation Team, the Vietnam Maritime Administration sends a copy of the Draft Report to the Flag State Maritime Authority for comments (for maritime accidents involving foreign-flagged ships).

2. The Flag State Maritime Authority, ship owner, ship manager, ship operator involved may not disseminate, publish, or allow access to the Draft Report or any part thereof without the consent of the Maritime Accident Investigation Team, the Director of the Port Maritime Office, or the Vietnam Maritime Administration.

3. Within thirty days or within a mutually agreed timeframe between the Investigation Team and the relevant parties but not exceeding thirty days, from the date of sending the Draft Report, the Flag State Maritime Authority, ship owner, ship manager, ship operator involved provide comments on the Draft Report. Beyond this deadline, if no comments have been received, the Investigation Team proceeds to submit the Investigation Report on Maritime Accidents for signature and publication by the Director of the Port Maritime Office.

Article 19. Investigation Report on Maritime Accidents

1. The Investigation Report on Maritime Accidents includes the following main information:

a) Summary of the basic elements of the maritime accident and clearly state the number of deaths, missing persons, injuries, or environmental pollution status;

b) Information on the nationality, ship owner, ship management company, ship operating company listed in the safety management certificate and classification organization;

c) Main parameters of the ship, engine; information on the working and rest hours of the crew and tasks performed before the maritime accident occurred;

d) Detailed description of the circumstances leading to the maritime accident;

đ) Analysis, argumentation, and proof of factors leading to the cause of the maritime accident;

e) Recommendations for measures to prevent similar maritime accidents.

2. The Maritime Accident Investigation Team must submit the Investigation Report on Maritime Accidents to the Flag State Maritime Authority, ship owner, ship manager, ship operator involved, and the Vietnam Maritime Administration no later than the end date of the maritime accident investigation period. A copy of the Investigation Report on Maritime Accidents may be provided to other individuals or entities directly related to the accident upon written request.

3. The Maritime Accident Investigation Team must submit a set of copies of the file (if requested) and two copies of the Investigation Report related to the investigation of serious maritime accidents to the Vietnam Maritime Administration.

4. For serious and very serious maritime accidents, the Vietnam Maritime Administration is responsible for submitting to the Ministry of Transport and the International Maritime Organization immediately after concluding the investigation of the maritime accident.

5. The Investigation Report on Maritime Accidents is publicly disseminated on the Vietnam Maritime Administration’s website.

Article 20. Reinvestigation of Maritime Accidents

In cases where new evidence is provided or collected which fundamentally changes the cause of the maritime accident, the Director of the Marine Port Authority shall decide to conduct a reinvestigation of the accident.

Article 21. Complaints, Allegations, and Resolution of Complaints and Allegations

Any complaints or allegations (if any) related to the investigation of maritime accidents shall be resolved in accordance with the laws on the resolution of complaints and allegations.

Article 22. Funding for Investigation of Maritime Accidents

The funding for investigating maritime accidents shall be implemented in accordance with the provisions of the law.

Article 23. Effectiveness of Implementation

This Circular takes effect from March 15, 2020. Circular No. 34/2015/TT-BGTVT dated July 24, 2015 of the Minister of Transport on reporting and investigating maritime accidents and Circular No. 39/2017/TT-BGTVT dated November 7, 2017 amending and supplementing certain articles of Circular No. 34/2015/TT-BGTVT dated July 24, 2015 of the Minister of Transport on reporting and investigating maritime accidents are hereby abolished.

Article 24. Implementation Organization

1. The Vietnam Maritime Administration shall be responsible for implementing this Circular.

2. The Heads of the Ministry's Office, the Inspectorate, the Department Heads, the Directors of the Vietnam Maritime Administration, the Director of the Vietnam Inland Waterway Administration, the Heads of agencies, organizations, and individuals concerned shall be responsible for enforcing this Circular./.