Circular No. 34/2015/TT-BGTVT on reporting and investigating maritime accidents

CIRCULAR

Rules on reporting and investigating maritime accidentsi

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Based on the Maritime Code of Vietnam dated June 14, 2005;

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);

Based on Decree No. 107/2012/NĐ-CP dated December 20, 2012 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Transport;

Article 1. Amending and supplementing some articles of Circular No. 34/2015/TT-BGTVT dated July 24, 2015 issued by the Minister of Transport on reporting and investigating maritime accidents

The Minister of Transport issues this Circular to regulate reporting and investigating maritime 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) Maritime accidents involving foreign merchant ships when operating in: port waters, inland waters, and territorial seas of Vietnam; Vietnam's exclusive economic zone in cases where such accidents involve Vietnamese vessels, offshore facilities and equipment, or cause environmental pollution.

2. The provisions of this Circular shall also apply for investigating accidents involving coast guard vessels, fishing vessels, inland waterway vessels, seaplanes in Vietnamese port waters and inland waterway vessels with VR-SB class operating in Vietnamese waters.

Article 3. Explanation of Terms

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

1. A maritime accident is an accident caused by collision or other incidents directly related to the operation of merchant ships resulting in death, disappearance, injury; damage to cargo, luggage, property on board merchant ships, ports, and other facilities and equipment; causing merchant ships to be damaged, sunk, destroyed, burned, exploded, grounded, lose maneuverability, or cause environmental pollution.

2. A maritime incident is an event directly related to the operation of merchant ships that does not include the incidents specified in Clause 1 of this Article, which poses danger, or if not remedied, will pose danger to the safety of ships, people, or the environment;

3. A vessel with VR-SB class is an inland waterway vessel operating coastal routes as prescribed by the Ministry of Transport.

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 total loss of the merchant ship;

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 maritime accident is a maritime accident not falling under the cases specified in Clause 1 of this Article and is one of the following cases:

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) Causing less than 100 tons of oil or less than 50 tons of toxic chemicals to spill into the environment;

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

3. A minor maritime accident is a maritime incident or a maritime accident occurring in cases not specified in Clauses 1 and 2 of this Article.

Article 5. Responsibilities of the master, owner, manager, operator of the vessel, and organizations and individuals related to maritime accidents

1. The master, owner, manager, operator of the vessel, and organizations and individuals related to maritime accidents have the responsibility to report maritime accidents promptly and accurately to the Port Maritime Office or the Vietnam Maritime Administration 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 merchant ship involved in the maritime accident have the responsibility to organize the protection of the accident scene and voyage data recording equipment at the time of the maritime accident and provide evidence related to the maritime accident to the investigation authority.

4. The master, crew members of the merchant ship, and organizations and individuals related to the maritime accident have the responsibility to provide full, truthful, and timely information to the investigation authority and are fully responsible under the law for the information provided.

5. In cases where a maritime accident causes personal injury to crew members, the master, owner, employer, in addition to the reporting obligations under this Circular, must promptly and accurately notify the labor inspection agency of the locality where the employer has its main office.

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 cases where a maritime accident occurs in port waters and Vietnamese waters, the master or the highest-ranking person in charge on the merchant ship must immediately send an Urgent Report to the nearest Port Maritime Office. If these persons cannot submit the Urgent Report, the owner or agent of the merchant ship involved in the accident must report.

b) Upon receiving an Urgent Report or learning about a maritime accident, the Port Maritime Office has the responsibility to immediately forward the Urgent Report or relevant information to the following agencies and organizations: the Vietnam Maritime Administration; the organization ensuring maritime safety, if the accident damages or renders ineffective navigational aids or affects the safety of ships; the organization or individual managing or operating facilities and equipment if the accident damages or harms these facilities and equipment; the People's Committee of the province or centrally governed city, if the accident causes or may cause environmental pollution or damage to fisheries resources.

2. In cases where a maritime accident involves a Vietnamese merchant ship operating in another country's waters, the master or owner must report according to the requirements of the coastal state where the ship was involved in the accident and immediately send an Urgent Report to the Vietnam Maritime Administration. If the accident is particularly serious, the master or owner must inform the diplomatic representative of Vietnam in the coastal state where the ship was involved in the accident to seek support for resolution.

3. In cases where a maritime accident involves a Vietnamese merchant ship operating in the high seas, the master or owner must immediately send an Urgent 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 cases where a maritime accident occurs in port waters and inland waters of Vietnam, the detailed report must be sent to the Port Maritime Office in that area within 24 hours from the time of the accident.

2. In cases where a maritime accident occurs in Vietnam's territorial sea and exclusive economic zone as specified in point b, Clause 1, Article 2 of this Circular, after the accident, if the ship enters anchorage in Vietnamese port waters, the detailed report must be sent to the Port Maritime Office in that area within 24 hours from the time the ship arrives at the designated anchorage position. In cases where the ship does not enter anchorage in Vietnamese port waters after the accident, the detailed report must be sent to the Vietnam Maritime Administration within 48 hours from the time the ship or its crew reaches the first port of call.

3. In the case of maritime accidents involving Vietnamese ships when operating at sea or in the waters of another country, after the accident occurs, if the ship docks at a Vietnamese port area, a detailed report must be submitted to the Maritime Port Authority in that area within twenty-four hours from the time the ship arrives at the designated anchorage point. If, after the accident, the ship does not dock at a Vietnamese port area, a detailed report must be sent to the Vietnam Maritime Administration within forty-eight hours from the time the ship arrives at its first port of call.

Article 9. Periodic Reports

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

3. Reporting deadlines:

a) The deadline for submitting monthly reports: The Maritime Port Authority must submit no later than the 16th day of each month, and the Vietnam Maritime Administration must submit no later than the 20th day of each month.

b) The deadline for submitting semi-annual reports: The Maritime Port Authority must submit no later than June 16th of each year, and the Vietnam Maritime Administration must submit no later than June 20th of each year; the semi-annual report for the second half of the year will replace the annual report.

c) The deadline for submitting annual reports: The Maritime Port Authority must submit no later than December 16th of each year, and the Vietnam Maritime Administration must submit 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 in order to take effective measures to prevent and limit 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. 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 Authority. In cases where an investigation is not conducted, the Maritime Port Authority must report to the Vietnam Maritime Administration.

Article 12. Marine accident investigation organization

1. Authority for marine accident investigation

a) The Director of the Maritime Port Authority in the relevant area is responsible for organizing the investigation of maritime accidents occurring in port waters and other maritime accidents assigned by the Director of the Vietnam Maritime Administration.

b) In the event of a maritime accident occurring in port waters, if the ship involved continues its journey to another anchorage location in port waters, the Director of the Vietnam Maritime Administration decides to assign the investigation of the maritime accident to the Maritime Port Authority where the accident occurred or where the ship is anchored.

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 maritime accident in port waters under their management, the Director of the Maritime Port Authority must immediately dispatch personnel with specialized expertise to the accident site and board the ship to inspect the scene, examine work positions, and collect necessary evidence for the investigation. When conducting these tasks, it is essential to create a record and have the confirmation of authorized persons on the ship, while avoiding any impact on the safe operation of the ship. The person dispatched to the scene will be a member of the Maritime 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 maritime accidents, if signs indicating criminal offenses are discovered, the Director of the Maritime Port Authority must notify the competent investigative authority and transfer all related files, documents, and evidence to the investigative authority upon request; before transferring, copies of the files and documents must be made for preservation to serve the investigation of the maritime accident; the transfer of 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 Maritime Port Authority may temporarily detain a ship 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 Authority.

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 ships, the Vietnam Maritime Administration shall negotiate with the maritime authorities of the flag state of the ship regarding the investigation of the maritime accident in accordance with actual conditions and circumstances of the accident.

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

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 Maritime Accident Investigation Team must consist of at least three members, directly led by a team leader, assisted by a deputy team leader, and team members appointed by the Director of the Maritime Port Authority within their authority.

b) In cases where necessary, the Director of the Vietnam Maritime Administration may decide to mobilize suitable experts to participate in the Maritime Accident Investigation Team. The Director of the Maritime Port Authority will establish the Maritime Accident Investigation Team based on the mobilization decision of the Director of the Vietnam Maritime Administration.

2. Members of the Maritime Accident Investigation Team must possess sufficient professional expertise, vocational training, and legal knowledge, having completed relevant training courses and vocational training on maritime accident investigations.

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

1. Develop an investigation plan and budget estimate for the implementation of maritime accident investigations in accordance with this Circular and other relevant laws. The investigation plan must be approved by the Director of the Maritime Port Authority. A written report on the progress and results of the maritime accident investigation must be submitted to the Director of the Maritime Port Authority who established the Maritime Accident Investigation Team.

2. Notify the captain or highest-ranking officer on the ship, the ship owner, and the ship agent in writing about the commencement of the maritime 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. Request individuals related to the maritime accident to provide written statements about the conditions, circumstances, and developments of the maritime accident and those involved. In cases where questioning is necessary, they must be informed in advance of the time and place of the questioning.

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. Request the organization responsible for classification and technical supervision of vessels, ship owners, marine agency representatives, maritime information organizations, maritime search and rescue coordination centers, vessel traffic management system control centers, ensuring maritime safety, marine pilots, and other relevant agencies, organizations, and individuals to provide necessary information for the investigation of maritime accidents.

8. Examine and collect copies of registration certificates, inspection certificates, insurance policies of vessels, other necessary documents related to the accident, and professional certificates of crew members to serve the investigation of maritime accidents.

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, assess, and propose conclusions on the causes of maritime accidents.

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 Investigation Report and the Investigation Report into English for particularly serious maritime accidents and those involving foreign-flagged vessels.

14. Re-investigate maritime accidents according to Article 20 of this Circular.

Article 16. Time limit for investigating maritime accidents

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

2. In complex cases, if the investigation of a maritime accident cannot be completed within the time limit specified in Clause 1 of this Article, based on the proposal of the Head of the Accident Investigation Team, the Director of the Marine 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. 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 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 Preliminary Investigation Report on a maritime accident, the Investigation Team sends a copy of the draft to the ship owner, manager, operator, 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 report from the Investigation Team, the Vietnam Maritime Administration sends a copy of the draft report to the flag state maritime authority for comments.

2. The flag state maritime authority, ship owner, manager, and operator shall not disseminate, publish, or allow access to the draft report or any part thereof without the consent of the Vietnam Maritime Administration.

3. Within thirty days from the date of sending the draft report, the flag state maritime authority, ship owner, manager, and operator shall submit their comments on the draft report. Beyond this deadline, if no comments are received, the Investigation Team will proceed with submitting the Investigation Report for signature and publication by the Director of the Marine Port 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 about the nationality, ship owner, management company, and operator of the vessel as stated 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 Investigation Report on a maritime accident must be sent to the flag state maritime authority, ship owner, manager, and operator, and the Vietnam Maritime Administration no later than the end of the investigation period. Copies of the Investigation Report may be provided to other individuals or entities directly related to the accident upon written request.

3. One set (photocopy) of the file and two copies of the Investigation Report related to particularly serious accident investigations shall be submitted to the Vietnam Maritime Administration.

4. For particularly serious maritime accidents, the Vietnam Maritime Administration is responsible for sending the report to the Ministry of Transport and the International Maritime Organization (IMO).

5. The Investigation Report on a maritime accident shall be publicly disseminated by the Vietnam Maritime Administration on its official website.

Article 20. Reinvestigation of Maritime Accidents

In cases where new evidence is provided or obtained that fundamentally changes the cause of the maritime accident, the Director of the Marine Port Office decides to re-investigate 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

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, 2015, and replaces Circular No. 27/2012/TT-BGTVT dated July 20, 2012, issued by the Minister of Transport on reporting and investigating maritime accidents.

Article 24. Implementation Organization

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

2. The Heads of the Office, Inspectorate, Departments, Vietnam Maritime Administration, Vietnam Inland Waterway Administration, Heads of relevant agencies, organizations, and individuals are responsible for implementing this Circular./.