Section E: Master and Crew
ACCIDENT REPORTS
Accident Reporting and Investigation Regulations See Section B for questions on MAIB
Which regulations govern accident reporting procedures for UK ships and other ships in UK waters?
The Accident Reporting and Investigation Regulations. The latest ARI Regulations came into force in October 1999.
To what accidents and ships do the 1999 ARI Regulations apply?
Accidents involving or occurring on board (1) UK ships and (2) non-UK ships in the UK or in UK territorial waters, except that the regulations on reporting accidents and serious injuries (Reg. 5) and preserving evidence (Reg. 7) do not apply to non-UK ships except when in UK ports or when carrying passengers to or from UK ports. The regulation on reporting accidents and serious injuries (Reg. 5) does not apply to pleasure vessels.
What are the main changes in the 1999 ARI Regulations that affect seafarers?
There is a new, broader definition of 'accident' which includes some of the events previously called 'dangerous occurrences'. The definitions of 'dangerous
occurrence', 'strands' and 'serious casualty' are removed. 'Serious injury' has been re-defined and no longer only applies to people employed or carried in a UK ship. Various regulations have been updated with reference to modern methods of communication, and statutory reporting times have accordingly been reduced.
Accidents
How do the ARI Regulations define an
accident? In three groups of event or occurrence. The first group includes accidents to persons, such as loss of life, major injury, loss of a person, and 'man-overboard' events. The second group includes events involving the ship itself. The third group includes occurrences which might be termed 'dangerous occurrences' (although not defined as such in the Regulations).
What is the first group of accidents as defined in the ARI Regulations, i. e. accidents to persons?
(1) Loss of life of any person on board; (2) major injury to any person on board; (3) a person is lost from a ship or ship's boat; or (4) a person falls overboard from a ship or ship's boat.
What is the second group of accidents as defined in the ARI Regulations, i. e. accidents involving the ship?
A ship (1) causes material damage; (2) is lost or presumed to be lost; (3) is abandoned; (4) is materially damaged by fire, explosion, weather or other cause; (5) grounds; (6) is in collision; (7) is disabled; or (8) causes serious harm to the environment.
What is the third group of accidents as defined in the ARI Regulations, i. e. the old 'dangerous occurrences'?
Any of the following occurrences, taking into account its circumstances, if it might have been liable to cause serious injury or to cause damage to the health of any person: There is (1 ) a collapse or bursting or any pressure vessel, pipeline or valve; (2) a collapse or failure of any lifting equipment, access equipment, hatch- cover, staging or boatswain's chair or any associated load-bearing parts; (3) a collapse of cargo, unintended movement of cargo or ballast sufficient to cause a list, or loss of cargo overboard; (4) a snagging of fishing gear which results in the vessel heeling to a dangerous angle; (5) a contact by a person with loose asbestos fibre except when full protective clothing is worn; or (6) an escape of any harmful substance or agent.
'Major injury' is included in the definition of accident in the ARI Regulations. What is the definition of a major injury?
(1 ) Any fracture, other than to the fingers, thumbs or toes; (2) any loss of a limb or part of a limb; (3) dislocation of the shoulder, hip, knee or spine; (4) loss of sight (whether temporary or permanent); (5) penetrating injury to the eye; or (6) any other injury leading to hypothermia or unconsciousness, or requiring
resuscitation, or requiring admittance to hospital or similar for more than 24 hours or if at sea
requiring confinement to bed for more than 24 hours. According to the ARI Regulations,
there is an accident when a ship grounds. How is 'grounds' defined in the Regulations?
Making involuntary contact with the ground, except for touching briefly so that no damage is caused.
What does 'disabled' mean under the
ARI Regulations? Not under command for a period of more than 12 hours, or for any lesser period if, as a result, the vessel needs assistance to reach port.
On-board investigation of accidents
Apart from sending a report to MAIB, what must you do as master when there is a personal injury on board?
Have an on-board investigation made (by the safety officer in the case of a ship with more than 5 crew).
Accident reports
Under the ARI Regulations, when and how should an accident be reported?
The master must send a report to the Chief Inspector of Marine Accidents by the quickest means available and within 24 hours.
Under the ARI Regulations, what information is required to be included in an accident report?
So far as is practicable and possible, the following: (a) ship's name and IMO, official or fishing vessel number; (b) name and address of owners; (c) name of the master, skipper or other person in charge; (d) date and time of the accident; (e) where from and where bound; (f) latitude and longitude or geographical position in which the accident occurred; (g) part of ship where accident occurred if on board; (h) weather conditions; (i) name and port of registry of any other ship involved; (j) number of people killed or injured, together with their names, addresses and gender; (k) brief details of the accident, including, where known, the sequence of events leading to the accident, extent of damage and whether accident caused pollution or hazard to navigation.
Where a ship is lost, presumed lost or abandoned, who should make the report to the MAIB?
The owner, the master or a senior surviving officer, as soon as practicable by the quickest means available. In other words, this duty could fall on the chief officer, were he to survive while the master did not. )
As well as direct to the MAIB, to whom could a master make an accident report?
Any MCA Marine Office or HM Coast Guard.
As well as making a report to MAIB, what must the master ensure in connection with every accident?
That, so far as is reasonably practicable, the circumstances of every accident (including a serious injury) are examined.
Is the initial report to the MAIB the only
one the master will have to make? Not necessarily. In the case of 'serious injuries', the master must send a report (whether requested or not) within 14 days to MAIB. In the case of all other accidents, on the request of the MAIB the master must provide an additional report, giving the findings of the examination of the accident's circumstances and stating any measures taken or proposed to prevent a recurrence.
Are there any cases in which the requirement under Reg. 5 to report accidents and serious injuries to the MAIB does not apply?
Yes. The requirements of Reg. 5 do not apply to (1 ) an accident when the person killed or injured is a stevedore or shore-based worker and the accident occurs in a UK port, or (2) to an accident which occurs in a UK shipyard.
Reports of accidents to shore-based workers and accidents in UK shipyards
In the case of accidents occurring in UK ports to stevedores or shore- based workers, or accidents occurring in UK shipyards, who is the
appropriate body to report to?
The Health and Safety Executive (HSE).
Whilst in drydock in Falmouth, a shipyard worker slips on a patch of oil on the deck of your ship and falls, breaking his leg. Who should report this incident, and to whom?
The worker's employer should report it to the Health and Safety Executive. It would not be necessary for me, as master, to report to the MAIB.
Preservation of evidence following accidents
What must the master do with respect to evidence following an accident?
So far as is practicable, he must ensure that all charts, log books, voyage data and other records, electronic and magnetic recording and video tapes and all documents which might reasonably be considered pertinent to the accident are kept and that no alteration is made to recordings or entries in them. He must also ensure that any equipment which might reasonably be considered pertinent to the investigation of the accident is so far as practicable left undisturbed.
For how long must the master ensure that pertinent evidence (e. g. a chart) or equipment remains undisturbed after an accident?
Until (a) notification is received from the MAIB that no investigation is to take place, or (b) unless notified of a decision to investigate, for 28 days after receipt by the MAIB of the accident report, or (c) until the Chief Inspector of Accidents or the inspector carrying out the investigation indicates that he no longer requires them.
Reporting of serious injuries
What is a 'serious injury'? Any injury, other than a major injury, to a person employed or carried in a ship which occurs on board or during access which results in
incapacity for more than 3 consecutive days excluding the day of the accident, or as a result of which the person concerned is put ashore and the ship sails without that person, unless the incapacity is known or advised to be of 3 consecutive days or less, excluding the day of the accident.
What is the reason for distinguishing
between 'major' and 'serious' injuries? To avoid setting a requirement for urgent reporting when it is not really needed. A serious injury does not have to be reported as quickly as a major injury.
When and how should a serious injury
be reported? Within 14 days of its happening, or, if the ship is at sea, within 14 days of the next arrival in port. Provided it can be completed within 14 days, a report of the on-board investigation on form IRF is sufficient. If this cannot be
completed in 14 days, a brief report within 14 days is required with an estimated date for provision of the full report.
What is an IRF, and when should it be
used? An Incident Report Form, the official form for amplifying an initial report to the MAIB of an accident or serious injury. In the case of a serious injury the IRF must be sent within 14 days. It may also be used for reporting a hazardous incident, although such a report is not required by law.
Reporting of hazardous incidents
What kind of incidents are not required by the Regulations to be reported to MAIB?
Hazardous incidents. What is a 'hazardous incident' defined
as? Any event, other than an accident, associated with the operation of a ship which involves circumstances indicating that an accident nearly occurred. What examples can you give of events
that would be regarded by MAIB as 'hazardous incidents'?
(1) Navigational or engineering incidents causing hazard; (2) failure of procedures in shipboard operations; (3) material defects; (4) fatigue; and (5) human failures.
What is the MAIB's advice on the
reporting of hazardous incidents? Although there is no requirement to report hazardous incidents, owners, masters, skippers and others are strongly urged to report them voluntarily, since useful lessons can be learned. The critical question in deciding whether or not to report an incident is whether it had the potential to lead to an
accident. The report may be on an IRF or in narrative form. What example can you give of a
hazardous incident that may be worth reporting?
A temporary steering failure in mid-ocean where there is no threat to safety. In a different location, e. g. a crowded fairway, the same incident may have led to an accident.
CONDUCT and DISCIPLINE
Code of Conduct for the Merchant Navy
When is observance of the Code of Conduct for the Merchant Navy part of a seaman's contractual terms and conditions?
When he has signed a BSF Crew Agreement; this incorporates the MN Code
of Conduct by reference. The MN Code of Conduct may also be used under
an NFD Crew Agreement if the Code is incorporated into the agreement by reference. This requires the insertion of an additional clause to this effect, approved by the MCA.
Discipline where MN Code of Conduct does not apply
How can discipline be maintained when the MN Code of Conduct is not incorporated into the terms of the Crew Agreement, e. g. an NFD agreement?
Another code of conduct, or company disciplinary rules, approved by the MCA, may be incorporated by reference into the agreement. (An additional clause to this effect is required. ) Each person signing the agreement should be given access to any code or rules so used.
'Serious' or 'dismissal' (Paragraph 9) breaches
What are the most serious acts of misconduct under the Merchant Navy Code of Conduct?
The Paragraph 9 offences, or 'dismissal' offences. These are: (1) assault; (2) wilful damage to the ship or any property on board; (3) theft, or possession of stolen property; (4) possession of offensive weapons; (5) persistent or wilful failure to perform duty; (6) unlawful possession or distribution of drugs; (7) conduct endangering the ship or persons on board; (8) combination with others to impede the progress of the voyage or the navigation of the ship; (9) disobedience of orders relating to the safety of the ship or of any person on board; (10) being asleep on duty or failing to remain on duty if this prejudiced the safety of the ship or any person on board; (11) incapacity through drink or drugs to carry out duty to the prejudice of safety of the ship or of any person on board; (12) to smoke, use a naked light or unapproved electric torch in any part of a ship carrying dangerous cargo or stores where smoking or the use of naked lights or unapproved torches is prohibited; (13) intimidation, coercion and/or interference with the work of other employees; (14) behaviour seriously detracting from the safe and/or efficient working of the ship; (15) conduct of a sexual nature, or other conduct based on sex affecting the dignity of women and men at work which is unwanted, unreasonable and offensive to the recipient; (16) behaviour seriously
detracting from the social well-being of any other person on board; (17) causing or allowing unauthorised persons to be on board whilst at sea; (18) repeated commissions of lesser breaches listed in Paragraph 11 after warnings have been given in accordance with the procedures in Paragraph 10.
'Lesser' (Paragraph 11) breaches
What are the lesser' acts of
misconduct under Paragraph 11 of the Merchant Navy Code of Conduct?
(1) Paragraph 9 breaches, but not justifying dismissal in the particular case; (2) minor acts of negligence, neglect of duty, disobedience and assault; (3) unsatisfactory work performance; (4) poor time keeping; (5) stopping work before the authorised time; (6) failure to report to work without satisfactory reason; (7) absence from the place of duty or from the ship without leave; (8) offensive or disorderly behaviour. Some companies add breaches related to special trading patterns, etc.
Can a company add other offences to
those in Paragraphs 9 and 11? Yes, but any added clauses must be agreed with seafarers' trades unions and approved by the MCA, and reference would have to be made to their addition in the Crew Agreement.
Dealing with breaches
How should a 'lesser' (Paragraph 11) breach of the Merchant Navy Code of Conduct be dealt with?
(1) By an informal warning administered at an appropriate level lower than that of master (e. g. a petty officer or a junior officer). If the PO or officer is satisfied that no further action is called for, or that the breach, although proved, calls only for an informal warning, he should give such a warning and the matter should be regarded as closed. No formal records should be kept. If the master is informed, the matter should not be recorded in the OLB. (2) Alternatively by a formal warning by the Head of Department (HoD) (e. g. the mate or chief engineer), recorded on a company disciplinary document if desired, but not in the OLB. Where a breach is more serious (but not listed under Para. 9), or is a repetition of a lesser breach, a Head of Department's formal warning should be given and, if required, recorded on a company' disciplinary document, but not in the OLB. (3) Alternatively the matter may be referred to the master, in which case it must be recorded in the OLB. The master could give a formal warning or a written reprimand.
When a seafarer receives a formal warning from his Head of Department or the master, what should he be advised of?
The likely consequences of a further breach.
How would you, as master, deal with an alleged serious (Paragraph 9) breach of the Merchant Navy Code of Conduct that was referred to you?
(1) I would deal with it as soon as possible, and in person. (2) I would first convene a formal hearing in my office, with accuser and accused present. (3) I would tell the seafarer that he may be accompanied by a friend who can advise him and speak on his behalf (like a solicitor or counsel in court), and that he (or his friend) may call any witnesses he chooses and question them on their evidence. (4) When ready to start, I would inform the seafarer of the alleged breach (referring to the particular paragraph and sub-paragraph of the MN Code of Conduct) and ask him if he admits or denies the allegation. (If he admitted it, there would be no need for any evidence to be called, except in mitigation, or for cross-examination. ) (5) I would tell the seafarer he may make any statement he wishes in answer to the alleged breach, including comments on evidence produced against him. (6) I would hear all the evidence (against and in defence of the seafarer) and any cross-examination of the evidence. (7) Then, after considering the evidence, I would orally inform the seafarer whether or not I found that he had committed the alleged breach. (8) If I did so find, I would impose a sanction which I considered reasonable in all the circumstances, taking into account his record on the ship and any other relevant factors. (9) I would record all statements (e. g. responses to questions and evidence heard) in the Official Log Book.
What sanctions may you, as master, impose under the Merchant Navy Code of Conduct, if you find a seafarer guilty of a Paragraph 9 (serious) breach of the Code?
(1 ) A formal (oral) warning recorded in the OLB; (2) a written reprimand, also recorded in the OLB; or (3) dismissal from the ship, either immediately (if in a UK or overseas port), or at the next port.
In what circumstances could you arrange for the dismissal of a seafarer and his repatriation to the UK from an overseas port of call?
If I found (after a properly conducted hearing) that he had breached Paragraph 9 of the MN Code of Conduct and I decided that his continued presence on board would be detrimental to the efficient and safe running of the ship or to the maintenance of harmonious personal relations on board. If you dismissed a seafarer and
repatriated him to the UK from an overseas port, how could you help the employer recover some of the
repatriation costs?
If the Crew Agreement was a BSF Agreement, or an additional clause had been inserted in an NFD agreement allowing it, I could deduct a sum from the man's wages equal to the actual cost of his repatriation, or one week's pay, whichever was the lower sum.
Importance of correct disciplinary procedure
What precautions would you take when holding a hearing of a disciplinary case, to protect the employer's legal position?
I would ensure, especially where dismissal was my chosen sanction, that the hearing was conducted exactly as laid down in the MN Code of Conduct, i. e. in accordance with the principles of natural justice. I would ensure that I made a formally-announced finding that the seafarer had committed a serious breach of the Code listed in Paragraph 9 and that the man was given copies of all the statements made in the OLB, and that he signed acknowledging receipt of them.
Why is it so important to follow the procedures laid down in the Merchant Navy Code of Conduct?
Because failure to do so could allow a dismissed seafarer to convince an Industrial Tribunal that he had been unfairly dismissed.
What would you write in the Official Log Book concerning a disciplinary case?