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Commission Regulation (EU) No 1286/2011 of 9 December 2011 adopting a common methodology for investigating marine casualties and incidents developed pursuant to Article 5(4) of Directive 2009/18/EC of the European Parliament and of the Council (Text with EEA relevance)
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Version Superseded: 31/12/2020
Point in time view as at 09/12/2011.
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The purpose of safety investigations into marine accidents is to reduce the risk of future casualties and incidents and reduce their serious consequences including loss of life, loss of ships and pollution of the marine environment.
The purpose of this document is to provide a common methodology for investigative bodies of the Member States to conduct marine safety investigations in accordance with Directive 2009/18/EC. It is based on the scope and definitions of Directive 2009/18/EC, taking into account the IMO instruments referred to in the Directive.
The methodology aims to establish common approach in principle applicable in all investigations carried out in accordance with the Directive and it outlines the characteristics of a good safety investigation. It is not a check list. The investigators shall exercise their professional judgment and training to take into account the circumstances of each case.
In this way, through application of this common methodology and an objective and systemic approach to the investigation, the investigative body should best be able to draw lessons from each accident and so enhance maritime safety.
Proper identification of the causes of a marine casualty or incident requires timely and methodical investigation, going beyond the immediate evidence and looking for underlying conditions which may cause other future occurrences. Investigation may therefore be seen as a means of identifying not only immediate causes, but also issues in the total environment from regulation and policy through to implementation.
the overall events,
key timings,
the personnel involved, and
the category of the event.
In addition to the factors listed in Article 5(2) of Directive 2009/18/EC, the following may amongst others also be considered in deciding which non very serious casualties or incidents to investigate:
the potential safety value that may be gained by conducting an investigation
the public profile of the casualty
whether the casualty is part of an identifiable trend
the potential consequences of the casualty
the extent of resources available and projected to be available in the event of conflicting priorities and the extent of any investigation backlog
any risks associated with not investigating
serious injuries occurring on-board to crew and/or passengers
the pollution of environmentally sensitive areas
ships subject to significant structural damages
casualties which disrupt, or have the potential to disrupt, major port operations
Where an investigation is to be carried out, the investigative bodies shall take immediate action as far as practicable to ensure preservation of evidence, coordination with other substantially interested parties and the appointment of a lead investigating state.
Potential witnesses may include, among others:
persons directly involved in the marine casualty or incident and its consequences
eyewitnesses to the marine casualty or incident
emergency response personnel
company personnel, port officials, designers, repair personnel technical experts
If it is not possible to speak directly with some witnesses, the lead investigative body shall take steps to gain the evidence by other means.
Evidence may be obtained from them through telephone interviews or by asking other trained safety investigators to conduct the interview on behalf of the lead investigative State. In the latter case, the person conducting the interview will need to be carefully briefed by the investigator carrying out the investigation. Many key witnesses may need to be re-interviewed perhaps more than once.
In that respect, the investigators shall take into account the variable value of the evidences they have collected and shall consider how best to resolve any ambiguities or conflicts of evidence.
Necessary
Likely to be effective
Practicable
Relevant
Targeted
Stated in a clear, concise and direct manner
Stated so that it can be the basis for corrective action plans, highlighting the safety gap that needs to be addressed.
The investigative bodies shall endeavour to ascertain details of action taken in response to safety recommendations.
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