Guidelines

To assist investigators in the implementation of the Code

Introduction

The contents of this section should be treated as guidelines to assist investigators co-operating in an investigation. Investigators should bear in mind the information required under the IMO marine casualties and incidents reporting system.

In following this Code, participating investigators must be guided by the requirements of the legal system of the State in which the investigation is being conducted. In particular, co-operating investigators must be guided by the requirements of national law over issues such as:

• providing formal notification of an investigation to interested parties;
• boarding ships and securing documents;
• arranging interviews with witnesses;
• the presence of legal advisers or other third parties during an interview.

1. Information generally required in all cases

1.1 Particulars of the ship

Name, IMO number, nationality, port of registry, call sign
Name and address of owners and operators, if applicable, also, if an overseas ship, of agents
Type of ship
Name and address of charterer, and type of charter
Deadweight, net and gross tonnages, and principal dimensions
Means of propulsion; particulars of engines
When, where and by whom built
Any relevant structural peculiarities
Amount of fuel carried, and position of fuel tanks
Radio (type, make)
Radar (number, type, make)
Gyro compass (make, model)
Automatic pilot (make, model)
Electronic positioning equipment (make, model) (GPS, Decca, etc.)
Life saving equipment (dates of survey/expiry)

1.2 Documents to be produced

(Note: Any documents that may have relevance to the investigation should be produced. Where possible original documents should be retained, otherwise authenticated and dated photocopies should be taken in accordance with 9.1.2 of the Code. A number of these documents will contain details sought under 1.1 of these Guidelines.)

Ship's register
Current statutory certificate
ISM Code certification
Classification society or survey authority certificates
Official log book
Crew list
Crew qualifications (see also 1.4 of these Guidelines)
Deck log book
Port log, log abstract and cargo log book
Engine movement book
Engine-room log book
Data logger print-out
Course recorder chart
Echo sounder chart
Oil record book
Soundings book
Night order book
Master's/Chief Engineer's Standing Orders
Company Standing Orders/Operations Manual
Company Safety Manual
Compass error book or records
Radar log book
Planned maintenance schedules
Repair requisition records
Articles of Agreement
Bar records - daily purchases - voyage receipts, etc.
Records of drug and alcohol tests
Passenger list
Radio log
Ship Reporting records
Voyage Plan
Charts and record of chart corrections
Equipmet/machinery manufacturer's operational/maintenance manuals
Any other documentation relevant to the inquiry

1.3 Particulars of voyage

Port at which voyage commenced and port at which it was to have ended, with dates
Detailsof cargo
Last port and date of departure
Draughts (forward, aft and midships) and any list
Port bound for at time of occurrence
Any incident during the voyage that may have a material bearing on the incident,
or unusual occurrence, whether or not it appears to be relevant to the incident
Plan view of ship’s layout including cargo spaces, slop tanks, bunker/fuel lube oil tanks (diagrams from IOPP Certificate)
Details of cargo, bunkers, fresh water and ballast and consumption

1.4 Particulars of personnel involved in incident

Full name
Age
Details of injury
Description of accident
Person supervising activity
First aid or other action on board
Capacity on board
Certificate of Competency/Licence:
grade;
date of issue;
issuing country/authority;
other Certificates of Competency held
Time spent on vessel concerned
Experience on similar vessels
Experience on other types of vessels
Experience in current capacity
Experience in other ranks
Number of hours spent on duty on that day and the previous days
Number of hours sleep in the 96 hours prior to the incident
Any other factors, on board or personal, that may have affected sleep
Whether smoker, and if so, quantity
Normal alcohol habit
Alcohol consumption immediately prior to incident or in the previous 24 hours
Whether under prescribed medication
Any ingested non-prescribed drugs
Records of drug and alcohol tests

1.5 Particulars of sea state, weather and tide

Direction and force of wind
Direction and state of sea and swell
Atmospheric conditions and visibility
State and height of tide
Direction and strength of tidal and other currents, bearing in mind local conditions

1.6 Particulars of the incident

Type of incident
Date, time and place of incident
Details of incident and of the events leading up to it and following it
Details of the performnce of relevant equipment with special regard to any malfunction
Persons on bridge
Persons in engine-room
Whereabouts of the master and chief engineer
Mode of steering (auto or manual)
Extracts from all relevant ship and, if applicable, shore documents including details of entries in official, bridge,
scrap/rough and engine-room log books, data log printout, computer printouts, course and engine speed recorder, radar log, etc.
Details of communications made between vessel and radio stations, SAR centres and control centres, etc., with transcript of tape recordings where available
Details of any injuries/fatalities
Voyage data recorder information (if fitted) for analysis

1.7 Assistance after the incident

If assistance was summoned, what form and by what means
If assistance was offered or given, by whom and of what nature, and whether it was effective and competent
If assistance was offered and refused, the reason for refusal

1.8 Authentication of documents

The master should be asked to authenticate all documents and to sign all copies taken of documents as being true copies, also to authenticate relevant dates and times.

1.9 Engine-room orders

In all cases where a collision or a stranding is the subject of an investigation, and the movements of the engine are involved, the master or officer on watch and other persons in a position to speak with knowledge are to be asked whether the orders to the engine-room were promptly carried out. If there is any doubt on the matter, the investigator shall refer to it in his report.

1.10 External sources of information

Investigators should consider independent corroborating information from external sources such as radar or voice recordings from vessel traffic systems, shore radar and radio surveillance systems, marine rescue co-ordination centres, coroners and medical records.

2. Additional information required in specific cases

2.1 Fire/Explosion

(Investigators should bear in mind the IMO Fire Casualty Record.)

How was the ship alerted to the fire?
How was the individual alerted to the fire?
Where did it start?
How did it start (if known)?
What was the immediate action taken?
Condition of fire-fighting equipment, supported by dates of survey/examination
Extinguishers available:
Type available in the vicinity;
Types available on the ship;
Types used
Hoses available/used
Pumps available/used
Was water immediately available?
Were ar vents closed off to the space?
What was the nature of the material on fire and surrounding the fire?
Fire retardant specification of bulkheads surrounding the fire
Restrictions caused by (a) smoke, (b) heat, (c) fumes
Freedom of access
Access availability for fire fighting equipment
Preparedness of crew - Frequency, duration, content and locations of fire musters and drills
Response by land-based fire-fighting brigades

2.2 Collision

Investigators should bear in mind the IMO Damage cards and intact stability reporting format

General

Local or other special rules for navigation
Obstructions, if any, to manoeuvring, e.g. by a third vessel, shallow or narrow waters, beacon, buoy, etc.
Circumstances affecting visibility and audibility, e.g. state of the sun, dazzle of shore lights, strength of wind, ship-board
noise and whether any door or window could obstruct look-out and/or audibility
Geographical plot
Possibilities of interaction
Name, IMO number, nationality and other details of other vessel

For each ship:

Time, position, course and speed (and method by which established), when presence of other ship first became known
Details of all subsequent alterations of course and speed up to collision by own ship
Bearing, distance and heading of other ship, if sighted visually, time of sighting, and subsequent alterations
Bearing and distance of other ship, if observed by radar, timing of observations and subsequent alterations of bearing
If other ship was plotted and by what method (auto-plot, reflection plotter, etc.), and copy of plot, if available
Check performance of equipment
Course recorder
Lights/day signals carried and operated in ship, and those seen in other ship
Sound signals, including fog signals, made by ship and when, and those heard from other ship and when
If a listening watch was kept on VHF radio channel 16, or other frequency, and any messages sent, received or overheard
Number of radars carried on ship, number operational at time of casualty, together with ranges used on each radar
Whether steering by hand or automatic
Check that steering was operating correctly
Details of look-out
The parts of each ship which first came into contact and the angle between ships at that time
Nature and extent of damage
Compliance with statutory requirement to give name and nationality to other ship and to stand by after collision

2.3 Grounding

Details of voyage plan, or evidence of voyage planning
Last accurate position and how obtained
Subsequent opportunities for fixing position or position lines, by celestial or terrestrial observations, GPS, radio, radar or otherwise,
or by lines of soundings and, if not taken, why not
Chart datum comparison to WGS datum
Subsequent weather and tidal or other currents experienced
Effect on compass of any magnetic cargo, electrical disturbance or local attraction
Radar/s in use, respective ranges used, and evidence of radar performance monitoring and logging
Charts, sailing directions and relevant notices to mariners held, if corrected to date, and if any warnings they contain had been observed
Depth sounding taken, when and by what means
Tank soundings taken, when and by what means
Draught of ship before grounding and how determined
Position of grounding and how determined
Cause and nature of any engine or steering failure before the grounding
Readiness of anchors, their use and effectiveness
Nature and extent of damage
Action taken, and movements of ship, after grounding
(Note: information as in cases of foundering may also be required)

2.4 Foundering

(Investigators should bear in mind the IMO damage cards and intact stability reporting format.)

Draught and freeboard on leaving last port and changes consequent upon consumption of stores and fuel
Freeboard appropriate to zone and date
Loading procedures, hull stresses
Particulars of any alterations to hull or equipment, since survey, and by whom such alterations sanctioned
Condition of ship, possible effects on seaworthiness
Stability data and when determined
Factors affecting stability, e.g. structural alterations, nature, weight, distribution and shift of any cargo and ballast, free
surface in tanks or of loose water in ship
Subdivision by watertight bulkheads
Position of, and watertight integrity of, hatches, scuttles, ports and other openings
Number and capacity of pumps and their effectiveness; the position of suctions
Cause and nature of water first entering ship
Other circumstances leading up to foundering
Measures taken to prevent foundering
Position where ship foundered and how established
Life-saving appliances provided and used, and any difficulties experienced in their use

2.5 Pollution resulting from an incident

(Investigators should bear in mind IMO reporting of incidental spillages of liquids, 50 tonnes or more, and reporting
of information from investigation of incidents involving dangerous goods or marine pollutants in packaged form.)

Type of pollutant.
UN number/IMO hazard class (if applicable).
Type of packaging (if applicable).
Quantity on board.
Quantity lost.
Method of stowage and securing.
Where stowed and quantities in each compartment/container.
Tanks/spaces breached.
Tanks/spaces liable to be breached.
Action taken to prevent further loss.
Action taken to mitigate pollution.
Dispersant/neutraliser used, if any.
Restricting boom used, if any.

3. Securing of physical evidence

3.1 Occasions may arise where physical evidence may be available and which will require scientific examination. Some examples are oil, paint/scale, pieces of equipment and machinery, pieces of structure.

3.2 Before removal, such evidence should first be photographed in situ. The sample should then be photographed on a clear background before being placed in an appropriate clean container(s), glass bottle, plastic bag, tin container, etc. The container should be sealed and clearly labelled, showing contents, name of vessel, location from which the evidence was taken, the date and the name of the investigator. For items of equipment and machinery, copies of the relevant certificates should be obtained.

3.3 Where paint samples are being taken for identification purposes in collision cases, a sample of paint from the ship's paint drum should also be obtained if possible.

3.4 Advice should be sought on the correct container to use. For example, plastic bags are suitable for paint samples, but are not suitable in investigations of fires where materials may need to be tested for accelerant, in which case sealable tin cans are preferred.

4. Voyage data recorders

Where information from a voyage data recorder (VDR) is available, in the event that the State conducting the investigation into a casualty or serious incident does not have appropriate facilities for readout of the VDR, it should seek and use the facilities of another State, giving consideration to the following:

1. the capabilities of the readout facility;
2. the timeliness of the availability of the facility; and
3. the location of the readout facility.

5. Other sources of information

Investigators should bear in mind that other Government agencies, such as customs, quarantine and State Authorities, may have useful information relating to crew lists, the general condition of the ship, stores lists (including alcohol on board), ship certificates, etc. Port authorities and independent surveyors may also hold information of use to an investigation.

Human Activity Data Form

Investigation : Rank :

Name : Training/Courses :

Qualifications :

Address :

Phone : Facsimile :

Managers :

Phone : Facsimile :

Joined ship : Place joined :

Travel time :

TABLE OF PREVIOUS 96 HOURS ACTIVITY (D-X day of Casualty)