International Maritime Organization (IMO) Updated: 25.03.

2021
CIC Code

CODE OF THE INTERNATIONAL STANDARDS

AND RECOMMENDED PRACTICES FOR A SAFETY
INVESTIGATION INTO A MARINE CASUALTY
OR MARINE INCIDENT (2008 CASUALTY
INVESTIGATION CODE)

DOCUMENT HISTORY
This document is a consolidation of below listed documents. This document is meant purely as a
documentation tool and only the official IMO documents have legal validity. IMO has not sanctioned this
consolidation.

Changed
Entry into
Change to Note
force
By Date

Res.MSC.255(84) 16 May 2008 01 Jan 2010 - CIC Code

Res.MSC.390(94) 18 Nov 2014 - 15.2, 21.2.4 Amendment

The changes in the text are color coded corresponding to the colors in the table.

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FOREWORD

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.

Background

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.

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.

Treatment of Seafarers

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

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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.

Adoption of the Code

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.

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PART I
GENERAL PROVISIONS

CHAPTER 1 – PURPOSE

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.

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CHAPTER 2 – DEFINITIONS

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;

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.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.

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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

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.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.

2.22 A very serious marine casualty means a marine casualty involving the total loss of the ship or a death
or severe damage to the environment.

CHAPTER 3 – APPLICATION OF CHAPTERS IN PARTS II AND III

3.1 Part II of this Code contains mandatory standards for marine safety investigations. Some clauses apply
only in relation to certain categories of marine casualties and are mandatory only for marine safety
investigations into those marine casualties.

3.2 Clauses in Part III of this Code may refer to clauses in this part that apply only to certain marine
casualties. The clauses in Part III may recommend that such clauses be applied in marine safety
investigations into other marine casualties or marine incidents.

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PART II
MANDATORY STANDARDS

CHAPTER 4 – MARINE SAFETY INVESTIGATION AUTHORITY

4.1 The Government of each State shall provide the Organization with detailed contact information of
the marine safety investigation Authority(ies) carrying out marine safety investigations within their State.

CHAPTER 5 – NOTIFICATION

5.1 When a marine casualty occurs on the high seas or in an exclusive economic zone, the flag State of a
ship, or ships, involved, shall notify other substantially interested States as soon as is reasonably
practicable.

5.2 When a marine casualty occurs within the territory, including the territorial sea, of a coastal State,
the flag State, and the coastal State, shall notify each other and between them notify other substantially
interested States as soon as is reasonably practicable.

5.3 Notification shall not be delayed due to the lack of complete information.

5.4 Format and content: The notification shall contain as much of the following information as is readily
available:

.1 the name of the ship and its flag State;

.2 the IMO ship identification number;
.3 the nature of the marine casualty;
.4 the location of the marine casualty;
.5 time and date of the marine casualty;
.6 the number of any seriously injured or killed persons;
.7 consequences of the marine casualty to individuals, property and the environment; and
.8 the identification of any other ship involved.

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CHAPTER 6 – REQUIREMENT TO INVESTIGATE VERY SERIOUS

MARINE CASUALTIES

6.1 A marine safety investigation shall be conducted into every very serious marine casualty.

6.2 Subject to any agreement in accordance with chapter 7, the flag State of a ship involved in a very
serious marine casualty is responsible for ensuring that a marine safety investigation is conducted and
completed in accordance with this Code.

CHAPTER 7 – FLAG STATE’S AGREEMENT WITH ANOTHER

SUBSTANTIALLY INTERESTED STATE TO CONDUCT A MARINE SAFETY
INVESTIGATION

7.1 Without limiting the rights of States to conduct their own separate marine safety investigation, where
a marine casualty occurs within the territory, including territorial sea, of a State, the flag State(s) involved
in the marine casualty and the coastal State shall consult to seek agreement on which State or States will
be the marine safety investigating State(s) in accordance with a requirement, or a recommendation acted
upon, to investigate under this Code.

7.2 Without limiting the rights of States to conduct their own separate marine safety investigation, if a
marine casualty occurs on the high seas or in the exclusive economic zone of a State, and involves more
than one flag State, then the States shall consult to seek agreement on which State or States will be the
marine safety investigating State(s) in accordance with a requirement, or a recommendation acted upon,
to investigate under this Code.

7.3 For a marine casualty referred to in paragraph 7.1 or 7.2, agreement may be reached by the relevant
States with another substantially interested State for that State or States to be the marine safety
investigating State(s).

7.4 Prior to reaching an agreement, or if an agreement is not reached, in accordance with paragraph 7.1,
7.2 or 7.3, then the existing obligations and rights of States under this Code, and under other international
laws, to conduct a marine safety investigation, remain with the respective parties to conduct their own
investigation.

7.5 By fully participating in a marine safety investigation conducted by another substantially interested
State, the flag State shall be considered to fulfil its obligations under this Code, SOLAS regulation I/21 and
article 94, section 7 of the United Nations Convention on the Law of the Sea.

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CHAPTER 8 – POWERS OF AN INVESTIGATION

8.1 All States shall ensure that their national laws provide investigator(s) carrying out a marine safety
investigation with the ability to board a ship, interview the master and crew and any other person involved,
and acquire evidential material for the purposes of a marine safety investigation.

CHAPTER 9 – PARALLEL INVESTIGATIONS

9.1 Where the marine safety investigating State(s) is conducting a marine safety investigation under this
Code, nothing prejudices the right of another substantially interested State to conduct its own separate
marine safety investigation.

9.2 While recognizing that the marine safety investigating State(s) shall be able to fulfil obligations under
this Code, the marine safety investigating State(s) and any other substantially interested State conducting
a marine safety investigation shall seek to co-ordinate the timing of their investigations, to avoid conflicting
demands upon witnesses and access to evidence, where possible.

CHAPTER 10 – CO-OPERATION

10.1 All substantially interested States shall co-operate with the marine safety investigating State(s) to
the extent practicable. The marine safety investigating State(s) shall provide for the participation of the
substantially interested States to the extent practicable.

CHAPTER 11 – INVESTIGATION NOT TO BE SUBJECT TO

EXTERNAL DIRECTION

11.1 Marine safety investigating State(s) shall ensure that investigator(s) carrying out a marine safety
investigation are impartial and objective. The marine safety investigation shall be able to report on the
results of a marine safety investigation without direction or interference from any persons or organizations
who may be affected by its outcome.

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CHAPTER 12 – OBTAINING EVIDENCE FROM SEAFARERS

12.1 Where a marine safety investigation requires a seafarer to provide evidence to it, the evidence shall
be taken at the earliest practical opportunity. The seafarer shall be allowed to return to his/her ship, or be
repatriated at the earliest possible opportunity. The seafarers human rights shall, at all times, be upheld.

12.2 All seafarers from whom evidence is sought shall be informed of the nature and basis of the marine
safety investigation. Further, a seafarer from whom evidence is sought shall be informed, and allowed
access to legal advice, regarding:

.1 any potential risk that they may incriminate themselves in any proceedings subsequent
to the marine safety investigation;
.2 any right not to self-incriminate or to remain silent;
.3 any protections afforded to the seafarer to prevent the evidence being used against
them if they provide the evidence to the marine safety investigation.

CHAPTER 13 – DRAFT MARINE SAFETY INVESTIGATION REPORTS

13.1 Subject to paragraphs 13.2 and 13.3, where it is requested, the marine safety investigating State(s)
shall send a copy of a draft report to a substantially interested State to allow the substantially interested
State to make comment on the draft report.

13.2 Marine safety investigating State(s) are only bound to comply with paragraph 13.1 where the
substantially interested State receiving the report guarantees not to circulate, nor cause to circulate,
publish or give access to the draft report, or any part thereof, without the express consent of the marine
safety investigating State(s) or unless such reports or documents have already been published by the
marine safety investigating State(s).

13.3 The marine safety investigating State(s) are not bound to comply with paragraph 13.1 if:

.1 the marine safety investigating State(s) request that the substantially interested State
receiving the report to affirm that evidence included in the draft report will not be
admitted in civil or criminal proceedings against a person who gave the evidence; and
.2 the substantially interested State refuses to provide such an affirmation.

13.4 The marine safety investigating State(s) shall invite the substantially interested States to submit
their comments on the draft report within 30 days or some other mutually agreed period. The marine
safety investigating State(s) shall consider the comments before preparing the final report and where the
acceptance or rejection of the comments will have direct impact on the interests of the State that

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submitted them, the marine safety investigating State(s) shall notify the substantially interested State of
the manner in which the comments were addressed. If the marine safety investigating State(s) receives no
comments after the 30 days or the mutually agreed period has expired, then it may proceed to finalize the
report.

13.5 The marine safety investigating State(s) shall seek to fully verify the accuracy and completeness of
the draft report by the most practical means.

CHAPTER 14 – MARINE SAFETY INVESTIGATION REPORTS

14.1 The marine safety investigating State(s) shall submit the final version of a marine safety investigation
report to the Organization for every marine safety investigation conducted into a very serious marine
casualty.

14.2 Where a marine safety investigation is conducted into a marine casualty or marine incident, other
than a very serious marine casualty, and a marine safety investigation report is produced which contains
information which may prevent or lessen the seriousness of marine casualties or marine incidents in the
future, the final version shall be submitted to the Organization.

14.3 The marine safety investigation report referred in paragraphs 14.1 and 14.2 shall utilize all the
information obtained during a marine safety investigation, taking into account its scope, required to
ensure that all the relevant safety issues are included and understood so that safety action can be taken
as necessary.

14.4 The final marine safety investigation report shall be made available to the public and the shipping
industry by the marine safety investigating State(s), or the marine safety investigating State(s) shall
undertake to assist the public and the shipping industry with details, necessary to access the report, where
it is published by another State or the Organization.

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PART III
RECOMMENDED PRACTICES

CHAPTER 15 – ADMINISTRATIVE RESPONSIBILITIES

15.1 States should ensure that marine safety investigating Authorities have available to them sufficient
material and financial resources and suitably qualified personnel to enable them to facilitate the State’s
obligations to undertake marine safety investigations into marine casualties and marine incidents under
this Code.

15.2 Any investigator forming part of a marine safety investigation should be appointed on the basis of
the skills outlined in resolution A.1070(28) for investigators.

15.3 However, paragraph 15.2 does not preclude the appropriate appointment of investigators with
necessary specialist skills to form part of a marine safety investigation on a temporary basis, neither does
it preclude the use of consultants to provide expert advice on any aspect of a marine safety investigation.

15.4 Any person who is an investigator, in a marine safety investigation, or assisting a marine safety
investigation, should be bound to operate in accordance with this Code.

CHAPTER 16 – PRINCIPLES OF INVESTIGATION

16.1 Independence: A marine safety investigation should be unbiased to ensure the free flow of
information to it.

16.1.1 In order to achieve the outcome in paragraph 16.1, the investigator(s) carrying out a marine safety
investigation should have functional independence from:

.1 the parties involved in the marine casualty or marine incident;

.2 anyone who may make a decision to take administrative or disciplinary action against
an individual or organization involved in a marine casualty or marine incident; and
.3 judicial proceedings.

16.1.2 The investigator(s) carrying out a marine safety investigation should be free of interference from
the parties in .1, .2 and .3 of paragraph 16.1.1 with respect to:

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.1 the gathering of all available information relevant to the marine casualty or marine
incident, including voyage data recordings and vessel traffic services recordings;
.2 analysis of evidence and the determination of causal factors;
.3 drawing conclusions relevant to the causal factors;
.4 distributing a draft report for comment and preparation of the final report; and
.5 if appropriate, the making of safety recommendations.

16.2 Safety focused: It is not the objective of a marine safety investigation to determine liability, or
apportion blame. However, the investigator(s) carrying out a marine safety investigation should not refrain
from fully reporting on the causal factors because fault or liability may be inferred from the findings.

16.3 Co-operation: Where it is practicable and consistent with the requirements and recommendations
of this Code, in particular chapter 10 on Co-operation, the marine safety investigating State(s) should seek
to facilitate maximum co-operation between substantially interested States and other persons or
organizations conducting an investigation into a marine casualty or marine incident.

16.4 Priority: A marine safety investigation should, as far as possible, be afforded the same priority as
any other investigation, including investigations by a State for criminal purposes being conducted into the
marine casualty or marine incident.

16.4.1 In accordance with paragraph 16.4 investigator(s) carrying out a marine safety investigation should
not be prevented from having access to evidence in circumstances where another person or organization
is carrying out a separate investigation into a marine casualty or marine incident.

16.4.2 The evidence for which ready access should be provided should include:

.1 survey and other records held by the flag State, the owners, and classification societies;
.2 all recorded data, including voyage data recorders; and
.3 evidence that may be provided by government surveyors, coastguard officers, vessel
traffic service operators, pilots or other marine personnel.

16.5 Scope of a marine safety investigation: Proper identification of causal factors requires timely and
methodical investigation, going far beyond the immediate evidence and looking for underlying conditions,
which may be remote from the site of the marine casualty or marine incident, and which may cause other
future marine casualties and marine incidents. Marine safety investigations should therefore be seen as a
means of identifying not only immediate causal factors but also failures that may be present in the whole
chain of responsibility.

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CHAPTER 17 – INVESTIGATION OF MARINE CASUALTIES (OTHER THAN

VERY SERIOUS CASUALTIES) AND MARINE INCIDENTS

17.1 A marine safety investigation should be conducted into marine casualties (other than very serious
marine casualties - which are addressed in chapter 6 of this Code) and marine incidents, by the flag State
of a ship involved, if it is considered likely that a marine safety investigation will provide information that
can be used to prevent marine casualties and marine incidents in the future.

17.2 Chapter 7 contains the mandatory requirements for determining who the marine safety
investigating State(s) are for a marine casualty. Where the occurrence being investigated in accordance
with this chapter is a marine incident, chapter 7 should be followed as a recommended practice as if it
referred to marine incidents.

CHAPTER 18 – FACTORS THAT SHOULD BE TAKEN INTO ACCOUNT

WHEN SEEKING AGREEMENT UNDER CHAPTER 7 OF PART II

18.1 When the flag State(s), a coastal State (if involved) or other substantially interested States are
seeking to reach agreement, in accordance with chapter 7 of Part II on which State or State(s) will be the
marine safety investigating State(s) under this Code, the following factors should be taken into account:

.1 whether the marine casualty or marine incident occurred in the territory, including
territorial sea, of a State;
.2 whether the ship or ships involved in a marine casualty or marine incident occurring on
the high seas, or in the exclusive economic zone, subsequently sail into the territorial
sea of a State;
.3 the resources and commitment required of the flag State and other substantially
interested States;
.4 the potential scope of the marine safety investigation and the ability of the flag State
or another substantially interested State to accommodate that scope;
.5 the need of the investigator(s) carrying out a marine safety investigation to access
evidence and consideration of the State or States best placed to facilitate that access
to evidence;
.6 any perceived or actual adverse effects of the marine casualty or marine incident on
other States;
.7 the nationality of the crew, passengers and other persons affected by the marine
casualty or marine incident.

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CHAPTER 19 – ACTS OF UNLAWFUL INTERFERENCE

19.1 If in the course of a marine safety investigation it becomes known or is suspected that an offence is
committed under article 3, 3bis, 3ter or 3quarter of the Convention for the Suppression of Unlawful Acts
Against the Safety of Maritime Navigation, 1988, the marine safety investigation Authority should
immediately seek to ensure that the maritime security Authorities of the State(s) concerned are informed.

CHAPTER 20 – NOTIFICATION TO PARTIES INVOLVED AND

COMMENCEMENT OF AN INVESTIGATION

20.1 When a marine safety investigation is commenced under this Code, the master, the owner and
agent of a ship involved in the marine casualty or marine incident being investigated, should be informed
as soon as practicable of:

.1 the marine casualty or marine incident under investigation;

.2 the time and place at which the marine safety investigation will commence;
.3 the name and contact details of the marine safety investigation Authority(ies);
.4 the relevant details of the legislation under which the marine safety investigation is
being conducted;
.5 the rights and obligations of the parties subject to the marine safety investigation; and
.6 the rights and obligations of the State or States conducting the marine safety
investigation.

20.2 Each State should develop a standard document detailing the information in paragraph 20.1 that
can be transmitted electronically to the master, the agent and the owner of the ship.

20.3 Recognizing that any ship involved in a marine casualty or marine incident may continue in service,
and that a ship should not be delayed more than is absolutely necessary, the marine safety investigating
State(s) conducting the marine safety investigation should start the marine safety investigation as soon as
is reasonably practicable, without delaying the ship unnecessarily.

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CHAPTER 21 – CO-ORDINATING AN INVESTIGATION

21.1 The recommendations in this chapter should be applied in accordance with the principles in
chapters 10 and 11 of this Code.

21.2 The marine safety investigating State(s) should ensure that there is an appropriate framework
within the State for:

.1 the designation of investigators to the marine safety investigation including an

investigator to lead the marine safety investigation;
.2 the provision of a reasonable level of support to members of the marine safety
investigation;
.3 the development of a strategy for the marine safety investigation in liaison with other
substantially interested States;
.4 ensuring the methodology followed during the marine safety investigation is consistent
with that recommended in resolution A.1075(28), as amended;
.5 ensuring the marine safety investigation takes into account any recommendations or
instruments published by the Organization or International Labour Organization,
relevant to conducting a marine safety investigation; and
.6 ensuring the marine safety investigation takes into account the safety management
procedures and the safety policy of the operator of a ship in terms of the ISM Code.

21.3 The marine safety investigating State(s) should allow a substantially interested State to participate
in aspects of the marine safety investigation relevant to it, to the extent practicable.

21.3.1 Participation should include allowing representatives of the substantially interested State to:

.1 interview witnesses;
.2 view and examine evidence and make copies of documents;
.3 make submissions in respect of the evidence, comment on and have their views
properly reflected in the final report; and
.4 be provided with the draft and final reports relating to the marine safety investigation.

21.4 To the extent practical, substantially interested States should assist the marine safety investigating
State(s) with access to relevant information for the marine safety investigation. To the extent practical,
the investigator(s) carrying out a marine safety investigation should also be afforded access to Government
surveyors, coastguard officers, ship traffic service operators, pilots and other marine personnel of a
substantially interested State.

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21.5 The flag State of a ship involved in a marine casualty or marine incident should help to facilitate the
availability of the crew to the investigator(s) carrying out the marine safety investigation.

CHAPTER 22 – COLLECTION OF EVIDENCE

22.1 A marine safety investigating State(s) should not unnecessarily detain a ship for the collection of
evidence from it or have original documents or equipment removed unless this is essential for the
purposes of the marine safety investigation. Investigators should make copies of documents where
practicable.

22.2 Investigator(s) carrying out a marine safety investigation should secure records of interviews and
other evidence collected during a marine safety investigation in a manner which prevents access by
persons who do not require it for the purpose of the investigation.

22.3 Investigator(s) carrying out the marine safety investigation should make effective use of all recorded
data including voyage data recorders if fitted. Voyage data recorders should be made available for
downloading by the investigator(s) carrying out a marine safety investigation or an appointed
representative.

22.3.1 In the event that the marine safety investigating State(s) do not have adequate facilities to read a
voyage data recorder, States with such a capability should offer their services having due regard to the:

.1 available resources;
.2 capabilities of the readout facility;
.3 timeliness of the readout; and
.4 location of the facility.

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CHAPTER 23 – CONFIDENTIALITY OF INFORMATION

23.1 States should ensure that investigator(s) carrying out a marine safety investigation only disclose
information from a marine safety record where:

.1 it is necessary or desirable to do so for transport safety purposes and any impact on

the future availability of safety information to a marine safety investigation is taken
into account; or
.2 as otherwise permitted in accordance with this Code.

23.2 States involved in marine safety investigation under this Code should ensure that any marine safety
record in its possession is not disclosed in criminal, civil, disciplinary or administrative proceedings unless:

.1 the appropriate authority for the administration of justice in the State determines
that any adverse domestic or international impact that the disclosure of the
information might have on any current or future marine safety investigations is
outweighed by the public interest in the administration of justice; and
.2 where appropriate in the circumstances, the State which provided the marine safety
record to the marine safety investigation authorizes its disclosure.

23.3 Marine safety records should be included in the final report, or its appendices, only when pertinent
to the analysis of the marine casualty or marine incident. Parts of the record not pertinent, and not
included in the final report, should not be disclosed.

23.4 States need only supply information from a marine safety record to a substantially interested State
where doing so will not undermine the integrity and credibility of any marine safety investigation being
conducted by the State or States providing the information.

23.4.1 The State supplying the information from a marine safety record may require that the State
receiving the information undertake to keep it confidential.

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CHAPTER 24 – PROTECTION FOR WITNESSES AND

INVOLVED PARTIES

24.1 If a person is required by law to provide evidence that may incriminate them, for the purposes of a
marine safety investigation, the evidence should, so far as national laws allow, be prevented from
admission into evidence in civil or criminal proceedings against the individual.

24.2 A person from whom evidence is sought should be informed about the nature and basis of the
investigation. A person from whom evidence is sought should be informed, and allowed access to legal
advice, regarding:

.1 any potential risk that they may incriminate themselves in any proceedings subsequent
to the marine safety investigation;
.2 any right not to self-incriminate or to remain silent;
.3 any protections afforded to the person to prevent the evidence being used against
them if they provide the evidence to the marine safety investigation.

CHAPTER 25 – DRAFT AND FINAL REPORT

25.1 Marine safety investigation reports from a marine safety investigation should be completed as
quickly as practicable.

25.2 Where it is requested, and where practicable, the marine safety investigating State(s) should send
a copy of a draft marine safety investigation report for comment to interested parties. However, this
recommendation does not apply where there is no guarantee that the interested party will not circulate,
nor cause to circulate, publish or give access to the draft marine safety investigation report, or any part
thereof, without the express consent of the marine safety investigating State(s).

25.3 The marine safety investigating State(s) should allow the interested party 30 days or some other
mutually agreed time to submit their comments on the marine safety investigation report. The marine
safety investigating State(s) should consider the comments before preparing the final marine safety
investigation report and where the acceptance or rejection of the comments will have direct impact on
the interests of the interested party that submitted them, the marine safety investigating State(s) should
notify the interested party of the manner in which the comments were addressed. If the marine safety
investigating State(s) receives no comments after the 30 days or the mutually agreed period has expired,
then it may proceed to finalize the marine safety investigation report.

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25.4 Where it is permitted by the national laws of the State preparing the marine safety investigation
report, the draft and final report should be prevented from being admissible in evidence in proceedings
related to the marine casualty or marine incident that may lead to disciplinary measures, criminal
conviction or the determination of civil liability.

25.5 At any stage during a marine safety investigation interim safety measures may be recommended.

25.6 Where a substantially interested State disagrees with the whole or a part of a final marine safety
investigation report, it may submit its own report to the Organization.

CHAPTER 26 – RE-OPENING AN INVESTIGATION

26.1 Marine safety investigating State(s) which have completed a marine safety investigation, should
reconsider their findings and consider re-opening the investigation when new evidence is presented which
may materially alter the analysis and conclusions reached.

26.2 When significant new evidence relating to any marine casualty or marine incident is presented to
the marine safety investigating State(s) that have completed a marine safety investigation, the evidence
should be fully assessed and referred to other substantially interested States for appropriate input.

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