Circular No. 27/2012/TT-BGTVT on reporting and investigating maritime accidents

CIRCULAR

Regulations on Reporting and Investigating Marine Accidents

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Pursuant to the Maritime Code of Vietnam dated June 14, 2005;

Pursuant to Decree No. 51/2008/NĐ-CP dated April 22, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Transport;

Pursuant to the Code on International Standards and Recommended Practices for Marine Casualty Investigation, adopted by the International Maritime Organization (IMO) in 2008.

Considering the proposal of the Director General of the Vietnam Maritime Administration and the Director of the Department of Transport Safety,

The Minister of Transport issues this Circular stipulating the reporting and investigation of marine accidents.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates regulations on reporting and investigating marine accidents.

Article 2. Applicability

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

1. Marine accidents involving Vietnamese vessels.

2. Marine accidents involving foreign vessels when operating in:

a) Port waters, inland waters, and territorial seas of Vietnam;

b) Vietnam's Exclusive Economic Zone in cases where the accident involves Vietnamese vessels, offshore structures or equipment, or causes environmental pollution.

3. Accidents occurring to public service vessels, fishing vessels, inland waterway vessels, seaplanes causing impacts on safety, security, and environmental pollution in port waters of Vietnam.

Article 3. Explanation of Terms

In this Circular, the following terms are understood as follows:

1. A marine accident is an incident caused by collision or other events related to vessels resulting in death, disappearance, injury, damage to cargo, baggage, property on board vessels, ports, and other structures, rendering vessels damaged, sunken, destroyed, burnt, grounded, or causing environmental pollution.

2. Vessels include sea-going vessels, public service vessels, fishing vessels, inland waterway vessels, seaplanes, and other watercraft.

3. A marine incident is an event directly related to vessel operations that poses danger, or if not addressed, will endanger the safety of vessels, people, or the environment.

4. Interested parties are organizations or individuals with legitimate interests related to the outcome of marine accident investigations.

Article 4. Classification of Levels of Marine Accidents

1. Particularly serious marine accidents are those causing any of the following damages:

a) Causing death or disappearance of persons;

b) Total loss of the vessel;

c) Spilling more than 100 tons of oil or more than 50 tons of toxic chemicals into the sea;

d) Blocking maritime traffic routes for 48 hours or longer.

2. Serious marine accidents are those not falling under the above categories and include any of the following:

a) Sea-going vessels being on fire, exploding, or aground for 24 hours or longer, affecting the vessel's structural integrity and seaworthiness;

b) Spilling less than 100 tons of oil or less than 50 tons of toxic chemicals into the sea;

c) Blocking maritime traffic routes for 24 to less than 48 hours.

3. Less serious marine accidents are incidents or accidents not covered by Clauses 1 and 2 of this Article.

Article 5. Responsibilities of the Master, Shipowner, Vessel Manager, and Other Organizations and Individuals Related to Marine Accidents

1. The master, shipowner, vessel manager, and other organizations and individuals related to marine accidents must promptly and accurately report marine accidents to the Port Maritime Office or the Vietnam Maritime Administration in accordance with this Circular.

2. The master must organize rescue operations quickly, timely, and effectively in accordance with the safety conditions of the vessel.

3. The master and crew members are 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 and crew members of the vessel, and other organizations and individuals related to marine accidents must provide full, truthful, and timely information to the investigating authority and bear full legal responsibility for the information provided.

Chapter II

MARINE ACCIDENT REPORT

Article 6. Marine Accident Report

1. Reports on marine accidents consist of Urgent Reports, Detailed Reports, and Periodic Reports as specified in Appendices I, II, and III of this Circular.

2. The content of reports on marine accidents must be truthful, accurate, and submitted within the prescribed deadlines.

Article 7. Immediate Report

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

a) In cases where marine accidents occur in port waters and Vietnam's territorial waters, the master or the highest-ranking person on board must immediately send an Urgent Report to the nearest Port Maritime Office. If these persons cannot submit the Urgent Report, the shipowner or the ship's agent must report it.

b) Upon receiving an Urgent Report or learning about a marine accident, the Port Maritime Office must immediately forward the Urgent Report or relevant information to the following authorities or organizations:

- Vietnam Maritime Administration;

- The organization ensuring maritime safety, if the accident damages or renders ineffective navigational aids or affects the safety of vessels;

- The organization or individual managing or operating structures or equipment, if the accident damages or harms such structures or equipment;

- The People's Committee of the province or city, if the accident causes or has the potential to cause environmental pollution or damage to fisheries resources.

2. In cases where marine accidents involve Vietnamese vessels operating in another country's territorial waters, the master or shipowner must report according to the requirements of the coastal state where the accident occurred and send an Urgent Report to the Vietnam Maritime Administration within 24 hours from the time of the accident. If the accident is particularly serious, the master or shipowner must inform the diplomatic representative of Vietnam in the coastal state where the accident occurred for assistance in resolving the issue.

3. In cases where marine accidents involve Vietnamese vessels operating in international waters, the master or shipowner must send an Urgent Report to the Vietnam Maritime Administration within 24 hours from the time of the accident.

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 flag state administration of the vessel in cases of marine accidents as specified in point a of Clause 2 of Article 2 of this Circular.

Article 8. Detailed Report

Following the Urgent Report, the master must submit a Detailed Report within the timeframes specified below:

1. For marine accidents occurring in port waters and inland waters, the Detailed Report must be sent to the Port Maritime Office in the relevant area within 24 hours from the time of the accident.

2. In the case of maritime accidents occurring in territorial waters and exclusive economic zones as stipulated in point b, Clause 2, Article 2 of this Circular, after the accident occurs, if the vessel docks at a Vietnamese seaport area, a detailed report must be submitted to the Maritime Port Office in that area within 24 hours from the time the vessel arrives at the designated anchorage position. If, after the accident, the vessel does not dock at a Vietnamese seaport area, a detailed report must be sent to the Vietnam Maritime Administration within 48 hours from the time the vessel or its crew arrives at the first port of call.

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

Article 9. Periodic Reports

Periodic reports shall be carried out as follows:

1. Monthly and annually, the Maritime Port Office 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 III of this Circular.

2. Monthly, 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 III of this Circular within the deadlines set forth below:

a) Deadline for submitting monthly report: no later than the 20th day of each month;

b) Deadline for submitting six-monthly report: no later than June 20th of each year;

c) Deadline for submitting annual report: no later than December 20th of each year.

Chapter III

INVESTIGATION OF MARITIME ACCIDENTS

Article 10. Purpose and requirements for investigating maritime accidents

1. Investigation of maritime accidents is the process of determining the conditions, circumstances, causes, or potential causes of maritime accidents with the aim of implementing effective measures to prevent and limit similar accidents.

2. The investigation of maritime accidents does not aim to determine liability or legal obligations.

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

Article 11. Cases for investigating maritime accidents

1. Particularly serious maritime accidents must be investigated.

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

Article 12. Authority to investigate maritime accidents

1. The Vietnam Maritime Administration is the lead agency responsible for organizing investigations of maritime accidents as prescribed in this Circular.

2. The Director of the Maritime Port Office has the responsibility to organize the investigation of maritime accidents occurring in seaport areas and other maritime accidents assigned by the Director of the Vietnam Maritime Administration.

3. Upon receiving information about maritime accidents occurring in seaport areas under their management, the Director of the Maritime Port Office must immediately dispatch personnel with relevant expertise to the accident site and 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 ensure the presence and confirmation of authorized persons on board 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 Maritime Accident Investigation Team as specified in Clause 5 of this Article.

4. The Director of the Vietnam Maritime Administration decides to organize the investigation of maritime accidents occurring outside Vietnamese seaport areas; in cases deemed necessary, they decide to organize the investigation of maritime accidents occurring in Vietnamese seaport areas.

5. The agency organizing the investigation of maritime accidents is responsible for issuing a decision to establish the Maritime Accident Investigation Team.

6. During the investigation of maritime accidents, if signs indicating criminal offenses are discovered, the Director of the Maritime Port Office or the Director of the Vietnam Maritime Administration must notify the competent investigative authority and transfer related files, documents, and evidence to the investigative authority upon request; before transferring, copies or photocopies of the files and documents must be made for record-keeping purposes for the investigation of maritime accidents; the transfer of files, documents, and evidence must be documented in a handover protocol as prescribed.

7. For maritime accidents where other agencies conduct investigations within their jurisdiction, the investigation of maritime accidents shall still be carried out in accordance with this Circular.

8. The Vietnam Maritime Administration shall inform the flag state authorities of foreign vessels about the investigation of maritime accidents as stipulated in Clause 2, Article 2.

9. The Director of the Maritime Port Office may temporarily detain a vessel for no more than five working days to gather evidence for the investigation. Detention beyond this period will be decided by the Director of the Vietnam Maritime Administration based on the proposal of the Director of the Maritime Port Office.

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 maritime accidents involving foreign vessels, the Vietnam Maritime Administration shall negotiate with the maritime authority of the flag state regarding the investigation of maritime accidents in accordance with actual conditions and circumstances of the accident location.

2. For maritime accidents involving Vietnamese vessels occurring abroad, the Vietnam Maritime Administration shall negotiate with the maritime authority of the coastal state regarding the investigation of maritime accidents in accordance with actual conditions and circumstances of the accident location.

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. Maritime Accident Investigation Team and Members of the Investigation Team

1. The Maritime Accident Investigation Team must consist of a minimum of three people directly led by a team leader, assisted by a deputy team leader, and team members appointed by the Director of the Maritime Port Office or the Director of the Vietnam Maritime Administration within their respective jurisdictions.

2. Members of the Maritime Accident Investigation Team must possess the necessary professional skills, expertise, and legal knowledge obtained through specialized training courses and maritime accident investigation training.

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

1. Develop a plan for investigation, prepare a budget for investigation expenses to conduct maritime accident investigations in accordance with the provisions of this Circular and other relevant laws. The investigation plan must be approved by the Director of the Maritime Port Office or the Director of the Vietnam Maritime Administration. Submit a written report on the investigation process and results to the competent authority that established the Maritime Accident Investigation Team.

2. Notify in writing the ship's captain, ship owner, and ship agent about the commencement of the maritime accident investigation. The notification shall include 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 Maritime Accident Investigation Team;

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

3. Use necessary equipment to serve the maritime accident investigation.

4. Require parties involved in the maritime accident to take measures to maintain the scene and protect related evidence according to the requirements of the maritime accident investigation.

5. Require persons involved in the maritime accident to provide written statements regarding the conditions, circumstances, and developments of the maritime accident and the related subjects. In case of necessity, they must be informed in advance about the time and place of questioning. When necessary, the ship owner or the person managing the vessel may be required to arrange interpreters to assist with the interview.

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

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

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

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

10. Compile, verify, analyze, assess, and propose conclusions on the causes of maritime accidents.

11. Prepare the Maritime Accident Investigation Report.

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

Article 16. Time limit for investigating maritime accidents

1. For maritime accidents occurring in Vietnamese waters, the investigation period shall not exceed sixty working days from the date of the accident.

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

Article 17. Procedures for conducting maritime accident investigations

1. Establish the Maritime Accident Investigation Team;

2. Develop the Investigation Plan;

3. Prepare the investigation budget;

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

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

6. Based on the regulations on maritime safety, analyze the collected information, including conclusions from material and trace evidence appraisals related to the maritime accident;

7. Draft the Maritime Accident Investigation Report and send it to the 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 Maritime Accident Investigation Report, the Investigation Team sends a draft copy to the flag state government, ship owner, vessel operator, and the Vietnam Maritime Administration for comments on the draft report.

2. The Maritime Accident Investigation Team shall apply Clause 1 of this Article only if the flag state government, ship owner, and vessel operator commit not to disseminate, publish, or allow access to the draft report or any part thereof without the consent of the Investigation Team.

3. Within thirty days from the date of sending the draft, the flag state government, ship owner, and vessel operator shall provide comments on the draft. If no comments are received beyond this deadline, the Investigation Team will finalize the Maritime Accident Investigation Report.

Article 19. Investigation Report on Maritime Accidents

1. The Maritime Accident Investigation Report 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, and management company/knowledgeable entity as stated in the safety management certificate and classification society;

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) Administrative measures within the jurisdiction of the port director or recommendations for measures to be considered and decided by the competent authority for violations exceeding the jurisdiction of the port director;

g) Recommendations for measures to prevent similar maritime accidents.

2. The Maritime Accident Investigation Report must be sent to each relevant party one copy no later than the end date of the maritime accident investigation. Copies of the Maritime Accident Investigation Report may be provided to other individuals or legal entities directly related to the accident upon written request.

3. Related files concerning particularly serious maritime accident investigations shall be sent to the Vietnam Maritime Administration.

4. For particularly serious maritime accidents, the Maritime Accident Investigation Report must be translated into English by the Investigation Team; the Vietnam Maritime Administration is responsible for submitting it to the Ministry of Transport and the International Maritime Organization (IMO).

5. The Maritime Accident Investigation Report shall be publicly announced by the Vietnam Maritime Administration.

Article 20. Reinvestigation of Maritime Accidents

In cases where new evidence is provided or obtained which fundamentally changes the cause of the maritime accident, the Director of the Vietnam Maritime Administration decides to re-investigate the incident.

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

Complaints and reports (if any) related to the maritime accident investigation shall be resolved in accordance with the law on handling complaints and reports.

Article 22. Funding for Investigation of Maritime Accidents

Funds for investigating maritime accidents shall be sourced from the non-recurring expenses of the Marine Port Office.

Chapter IV

IMPLEMENTING PROVISIONS

Article 23. Effectiveness of Implementation

This Circular takes effect from September 15, 2012, and replaces Circular No. 17/2009/TT-BGTVT dated August 11, 2009, issued by the Minister of Transport on marine accident reporting and investigation.

Article 24. Implementation Organization

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

2. The Director of the Ministry's Office, the Inspector General of the Ministry, the Heads of relevant Departments under the Ministry of Transport, the Director of the Vietnam Maritime Administration, the Heads of agencies, units, and related individuals are responsible for implementing this Circular./.