Resolution MSC.255(84)
ADOPTION OF THE CODE OF THE INTERNATIONAL STANDARDS AND RECOMMENDED PRACTICES
FOR A SAFETY INVESTIGATION INTO A MARINE CASUALTY OR MARINE INCIDENT
(CASUALTY INVESTIGATION CODE)
(adopted on 16 May 2008)
THE MARITIME SAFETY COMMITTEE,
RECALLING
Article 28(b) of the Convention on the International Maritime Organization
concerning the function of the Committee,
NOTING with
concern that, despite the best endeavours of the Organization, casualties and
incidents resulting in loss of life, loss of ships and pollution of the marine
environment continue to occur,
NOTING ALSO
that the safety of seafarers and passengers and the protection of the marine
environment can be enhanced by timely and accurate reports identifying the
circumstances and causes of marine casualties and incidents,
NOTING
FURTHER the importance of the United Nations Convention on the Law of the Sea,
done at Montego Bay on 10 December 1982, and of the customary international law
of the sea,
NOTING IN
ADDITION the responsibilities of flag States under the provisions of the
International Convention for the Safety of Life at Sea, 1974 (regulation I/21)
(hereinafter referred to as "the Convention"), the International
Convention on Load Lines, 1966 (article 23) and the International Convention
for the Prevention of Pollution from Ships, 1973 (article 12), to conduct
casualty investigations and to supply the Organization with relevant findings,
CONSIDERING
the need to ensure that all very serious marine casualties are investigated,
CONSIDERING
ALSO the Guidelines on fair treatment of seafarers in the event of a maritime
accident (resolution A.987(24)),
ACKNOWLEDGING
that the investigation and proper analysis of marine casualties and incidents
can lead to greater awareness of casualty causation and result in remedial
measures, including better training, for the purpose of enhancing safety of
life at sea and protection of the marine environment,
RECOGNIZING
the need for a code to provide, as far as national laws allow, a standard
approach to marine casualty and incident investigation with the objective of
preventing marine casualties and incidents in the future,
RECOGNIZING
ALSO the international nature of shipping and the need for co-operation between
Governments having a substantial interest in a marine casualty or incident for
the purpose of determining the circumstances and causes thereof,
NOTING
resolution MSC.257(84) by which it adopted amendments to chapter XI-1 of the
Convention to make parts I and II of the Code of the International Standards
and Recommended Practices for a Safety Investigation into a Marine Casualty or
Marine Incident mandatory under the Convention,
HAVING
CONSIDERED, at its eighty-fourth session, the text of the proposed Casualty
Investigation Code,
ADOPTS the
Code of the International Standards and Recommended Practices for a Safety
Investigation into a Marine Casualty or Marine Incident (Casualty Investigation
Code), set out in the Annex to the present resolution;
INVITES
Contracting Governments to the Convention to note that the Code will take
effect on 1 January 2010 upon entry into force of the amendments to regulation
XI-1/6 of the Convention;
REQUESTS
the Secretary-General of the Organization to transmit certified copies of the
present resolution and the text of the Code contained in the Annex to all
Contracting Governments to the Convention;
FURTHER
REQUESTS the Secretary-General of the Organization to transmit copies of the
present resolution and the text of the Code contained in the Annex to all
Members of the Organization which are not Contracting Governments to the
Convention.
Annex.
CODE OF THE INTERNATIONAL STANDARDS AND RECOMMENDED PRACTICES FOR A SAFETY
INVESTIGATION INTO A MARINE CASUALTY OR MARINE INCIDENT (CASUALTY INVESTIGATION
CODE)
1. This Code incorporates and builds on the best practices in marine
casualty and marine incident investigation that were established by the Code
for the Investigation of Marine Casualties and Incidents, adopted in November
1997 by the International Maritime Organization (the Organization), by
resolution A.849(20). The Code for the Investigation of Marine Casualties and Incidents sought to promote co-operation
and a common approach to marine casualty and marine incident investigations
between States.
2. The Organization has encouraged
co-operation and recognition of mutual interest through a number of
resolutions. The first was resolution A.173(ES.IV) (Participation in Official
Inquiries into Maritime Casualties) adopted in November 1968. Other resolutions
followed including: resolution A.322(IX) (The Conduct of Investigations into
Casualties) adopted in November 1975; resolution A.440(XI) (Exchange of
Information for Investigations into Marine Casualties) and resolution A.442(XI)
(Personnel and Material Resource Needs of Administrations for the Investigation
of Casualties and the Contravention of Conventions), both adopted in November
1979; resolution A.637(16) (Co-operation in Maritime Casualty Investigations)
adopted in 1989.
3. These
individual resolutions were amalgamated and expanded by the Organization with
the adoption of the Code for the Investigation of Marine Casualties and
Incidents. Resolution A.884(21) (Amendments to the Code for the Investigation
of Marine Casualties and Incidents resolution A.849(20)), adopted in November
1999, enhanced the Code by providing guidelines for the investigation of human
factors.
4. The
International Convention for the Safety of Life at Sea (SOLAS), 1948, included
a provision requiring flag State Administrations to conduct investigations into
any casualty suffered by a ship of its flag if an investigation may assist in
identifying regulatory issues as a contributing factor. This provision was
retained in the 1960 and 1974 SOLAS Conventions. It was also included in the
International Convention on Load Lines, 1966. Further, flag States are required
to inquire into certain marine casualties and marine incidents occurring on the
high seas*.
________________
* Reference is made to the United Nations Convention
on the Law of the Sea (UNCLOS), article 94(7) or requirements of international
and customary laws.
5. The
sovereignty of a coastal State extends beyond its land and inland waters to the
extent of its territorial sea**. This jurisdiction gives the coastal State an
inherent right to investigate marine casualties and marine incidents connected
with its territory. Most national Administrations have legal provisions to
cover the investigation of a shipping incident within its inland waters and
territorial sea, regardless of the flag.
______________
** Reference is made to the United Nations Convention
on the Law of the Sea (UNCLOS), article 2 or requirements of international and
customary laws.
6. Most
recently, the International Labour Organization’s Maritime Labour Convention,
2006 (which has not yet come into force), provides a provision for the
investigation of some serious marine casualties as well as setting out working
conditions for seafarers. Recognizing the need for special protection for
seafarers during an investigation, the Organization adopted, in December 2005,
the "Guidelines on Fair Treatment of Seafarers in the Event of a Maritime
Accident" through resolution A.987(24). The Guidelines were promulgated by
the IMO and the ILO on 1 July 2006.
7. Since
the adoption of the first SOLAS Convention, there have been extensive changes
in the structure of the international maritime industry and changes in
international law. These changes have potentially increased the number of
States with an interest in the process and outcomes of marine safety
investigations, in the event of a marine casualty or marine incident,
increasing the potential for jurisdictional and other procedural differences between
affected States.
8. This
Code, while it specifies some mandatory requirements, recognizes the variations
in international and national laws in relation to the investigation of marine
casualties and marine incidents. The Code is designed to facilitate objective
marine safety investigations for the benefit of flag States, coastal States,
the Organization and the shipping industry in general.
1.1 The
objective of this Code is to provide a common approach for States to adopt in
the conduct of marine safety investigations into marine casualties and marine
incidents. Marine safety investigations do not seek to apportion blame or
determine liability. Instead a marine safety investigation, as defined in this
Code, is an investigation conducted with the objective of preventing marine
casualties and marine incidents in the future. The Code envisages that this aim
will be achieved through States:
.1 applying
consistent methodology and approach, to enable and encourage a broad ranging
investigation, where necessary, in the interests of uncovering the causal
factors and other safety risks; and
.2 providing
reports to the Organization to enable a wide dissemination of information to
assist the international marine industry to address safety issues.
1.2 A
marine safety investigation should be separate from, and independent of, any
other form of investigation. However, it is not the purpose of this Code to
preclude any other form of investigation, including investigations for action
in civil, criminal and administrative proceedings. Further, it is not the
intent of the Code for a State or States conducting a marine safety
investigation to refrain from fully reporting on the causal factors of a marine
casualty or marine incident because blame or liability, may be inferred from
the findings.
1.3 This
Code recognizes that under the Organization’s instruments, each flag State has
a duty to conduct an investigation into any casualty occurring to any of its
ships, when it judges that such an investigation may assist in determining what
changes in the present regulations may be desirable, or if such a casualty has
produced a major deleterious effect upon the environment. The Code also takes
into account that a flag State shall* cause an inquiry to be held, by or before
a suitably qualified person or persons into certain marine casualties or marine
incidents of navigation on the high seas. However, the Code also recognizes
that where a marine casualty or marine incident occurs within the territory,
including the territorial sea, of a State, that State has a right** to
investigate the cause of any such marine casualty or marine incident which
might pose a risk to life or to the environment, involve the coastal State’s
search and rescue authorities, or otherwise affect the coastal State.
______________
* Reference is made to the United Nations Convention
on the Law of the Sea (UNCLOS), article 94 or requirements of international and
customary laws.
** Reference is made to the United Nations Convention
on the Law of the Sea (UNCLOS), article 2 or requirements of international and
customary laws.
When the
following terms are used in the mandatory standards and recommended practices
for marine safety investigations they have the following meaning.
2.1 An
agent means any person, natural or legal, engaged on behalf of the owner,
charterer or operator of a ship, or the owner of the cargo, in providing
shipping services, including managing arrangements for the ship being the
subject of a marine safety investigation.
2.2 A
causal factor means actions, omissions, events or conditions, without which:
.1 the marine
casualty or marine incident would not have occurred; or
.2 adverse
consequences associated with the marine casualty or marine incident would
probably not have occurred or have been as serious;
.3 another action,
omission, event or condition, associated with an outcome in .1 or .2, would
probably not have occurred.
2.3 A
coastal State means a State in whose territory, including its territorial sea,
a marine casualty or marine incident occurs.
2.4
Exclusive economic zone means the exclusive economic zone as defined by article
55 of the United Nations Convention on the Law of the Sea.
2.5 Flag
State means a State whose flag a ship is entitled to fly.
2.6 High
seas means the high seas as defined in article 86 of the United Nations
Convention on the Law of the Sea.
2.7
Interested party means an organization, or individual, who, as determined by
the marine safety investigating State(s), has significant interests, rights or
legitimate expectations with respect to the outcome of a marine safety
investigation.
2.8
International Safety Management (ISM) Code means the International Management
Code for the Safe Operation of Ships and for Pollution Prevention as adopted by
the Organization by resolution A.741(18), as amended.
2.9 A
marine casualty means an event, or a sequence of events, that has resulted in
any of the following which has occurred directly in connection with the
operations of a ship:
.1 the death of,
or serious injury to, a person;
.2 the loss of a
person from a ship;
.3 the loss,
presumed loss or abandonment of a ship;
.4 material damage
to a ship;
.5 the stranding
or disabling of a ship, or the involvement of a ship in a collision;
.6 material damage
to marine infrastructure external to a ship, that could seriously endanger the
safety of the ship, another ship or an individual; or
.7 severe damage
to the environment, or the potential for severe damage to the environment,
brought about by the damage of a ship or ships.
However, a
marine casualty does not include a deliberate act or omission, with the
intention to cause harm to the safety of a ship, an individual or the
environment.
2.10 A
marine incident means an event, or sequence of events, other than a marine
casualty, which has occurred directly in connection with the operations of a
ship that endangered, or, if not corrected, would endanger the safety of the
ship, its occupants or any other person or the environment.
However, a
marine incident does not include a deliberate act or omission, with the
intention to cause harm to the safety of a ship, an individual or the
environment.
2.11 A
marine safety investigation means an investigation or inquiry (however referred
to by a State), into a marine casualty or marine incident, conducted with the
objective of preventing marine casualties and marine incidents in the future.
The investigation includes the collection of, and analysis of, evidence, the
identification of causal factors and the making of safety recommendations as
necessary.
2.12 A
marine safety investigation report means a report that contains:
.1 a summary
outlining the basic facts of the marine casualty or marine incident and stating
whether any deaths, injuries or pollution occurred as a result;
.2 the identity of
the flag State, owners, operators, the company as identified in the safety
management certificate, and the classification society (subject to any national
laws concerning privacy);
.3 where relevant
the details of the dimensions and engines of any ship involved, together with a
description of the crew, work routine and other matters, such as time served on
the ship;
.4 a narrative
detailing the circumstances of the marine casualty or marine incident;
.5 analysis and
comment on the causal factors including any mechanical, human and
organizational factors;
.6 a discussion of
the marine safety investigation’s findings, including the identification of
safety issues, and the marine safety investigation’s conclusions; and
.7 where
appropriate, recommendations with a view to preventing future marine casualties
and marine incidents.
2.13 Marine
safety investigation Authority means an Authority in a State, responsible for
conducting investigations in accordance with this Code.
2.14 Marine
safety investigating State(s) means the flag State or, where relevant, the
State or States that take the responsibility for the conduct of the marine
safety investigation as mutually agreed in accordance with this Code.
2.15 A
marine safety record means the following types of records collected for a
marine safety investigation:
.1 all statements
taken for the purpose of a marine safety investigation;
.2 all
communications between persons pertaining to the operation of the ship;
.3 all medical or
private information regarding persons involved in the marine casualty or marine
incident;
.4 all records of
the analysis of information or evidential material acquired in the course of a
marine safety investigation;
.5 information
from the voyage data recorder.
2.16 A
material damage in relation to a marine casualty means:
.1 damage that:
.1.1 significantly
affects the structural integrity, performance or operational characteristics of
marine infrastructure or a ship; and
.1.2 requires
major repair or replacement of a major component or components; or
.2 destruction of
the marine infrastructure or ship.
2.17 A
seafarer means any person who is employed or engaged or works in any capacity
on board a ship.
2.18 A
serious injury means an injury which is sustained by a person, resulting in
incapacitation where the person is unable to function normally for more than 72
hours, commencing within seven days from the date when the injury was suffered.
2.19 A
severe damage to the environment means damage to the environment which, as
evaluated by the State(s) affected, or the flag State, as appropriate, produces
a major deleterious effect upon the environment.
2.20
Substantially interested State means a State:
.1 which is the
flag State of a ship involved in a marine casualty or marine incident; or
.2 which is the
coastal State involved in a marine casualty or marine incident; or
.3 whose
environment was severely or significantly damaged by a marine casualty
(including the environment of its waters and territories recognized under
international law); or
.4 where the
consequences of a marine casualty or marine incident caused, or threatened,
serious harm to that State or to artificial islands, installations, or
structures over which it is entitled to exercise jurisdiction; or
.5 where, as a
result of a marine casualty, nationals of that State lost their lives or
received serious injuries; or
.6 that has
important information at its disposal that the marine safety investigating
State(s) consider useful to the investigation; or
.7 that for some
other reason establishes an interest that is considered significant by the
marine safety investigating State(s).
2.21
Territorial sea means territorial sea as defined by Section 2 of Part II of the
United Nations Convention on the Law of the Sea.