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 seasfootnote.
5 The sovereignty of a coastal State extends beyond
its land and inland waters to the extent of its territorial seafootnote. 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.
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.