The Transport Safety Investigation Act 2003 forms the
basis of procedures followed by the Bureau. These are supplemented
by administrative guidelines and procedures recommended by
International Maritime Organisation (IMO).
Decision Guidelines for Accident/Incident Categorisation
The ATSB is resourced each year to undertake a finite number of
marine investigations. It is acknowledged, however, that an
occurrence with a large number of passenger fatalities or which
results in major pollution of the Great Barrier Reef or other
sensitive area would represent a major accident that may require
supplementary funding.
In categorising marine transport safety matters and selecting
which of those the ATSB should investigate, the decision-makers
must consider:
- The potential safety value that may be gained by conducting an
investigation;
- Obligations under international conventions;
- Recommendations stemming from IMO Assembly resolutions and
Committee circulars;
- The public profile of the occurrence;
- Whether the occurrence is part of an identifiable trend;
- 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; and
- The requirement under s21(2) of the TSI Act for the Executive
Director to publish reasons (justification) for discontinuing an
investigation where an investigation has already commenced.
The following broad hierarchy should also be taken into account
when making the decision to initiate and categorise an
investigation:
- On-board fatalities and/or serious passenger injuries;
- The pollution of environmentally sensitive areas;
- Ships subject to significant structural damage;
- Occurrences which disrupt, or have the potential to disrupt,
major port operations; and
- Occurrences that do not involve any of the above, but where the
requirements of the International Safety Management Code may
reasonably be anticipated to have been breached.
The decision to investigate will also have regard as to whether,
in the absence of an ATSB investigation, a credible safety
investigation by another organisation is likely.
In view of these considerations, initiation of a formal ATSB
investigation can only be made at or above Team Leader level after
discussion and agreement with the Deputy Director and/or Director
and Executive Director. Each investigation will be categorised on a
scale of 1 - 5 (see below).
Following the initial assessment of a marine transport safety
matter a decision will be made whether or not to conduct a field
investigation. Unless otherwise agreed by the Executive Director,
all occurrences will initially be categorised at level 4.
Subsequently an investigation may be upgraded or downgraded. The
decision to upgrade (and commit extra resources) or to downgrade
must be made at Deputy Director level or above after discussion
with the Director and/or Executive Director. Any decision to
discontinue an investigation must be endorsed by the Executive
Director.
In assessing initial and developing action on any marine
investigation due regard shall be had to the IMO requirements
relating to reports on marine casualties and incidents, MSC
Circ.953/MEPC Circ 372. This circular outlines the IMO reporting
requirements, based on very serious, serious and less serious
casualties and incidents.
For the purpose of reporting information to the Organisation,
ship casualties are classified as "very serious casualties",
"serious casualties", "less serious casualties" and "marine
incidents". Administrations are requested to submit data for all
"very serious casualties" and "serious casualties"1.
Where there are important lessons to be learned from "serious
casualties", "less serious casualties" and "marine incidents", full
investigation reports should be submitted along with the additional
information indicated in annex 3.
Level 1
- An accident involving one or more ships resulting in
large scale fatalities.
Level 2
- An accident involving major pollution of an area of
recognised environmental sensitivity such as the Great Barrier
Reef.
- The total loss of an Australian ship with loss of life.
- An accident involving multiple fatalities.
Level 3
- An accident involving one or more vessels involving a
fatality or serious injury.
- An accident involving one or more vessels that
resulted in pollution of the marine environment or potential
pollution of an area of particular environmental sensitivity.
- A failure of a structural member of a ship so as to render the
ship unseaworthy.
- The loss, presumed loss, or abandonment of a ship.
- A collision between two ships so that the watertight integrity
of one or both vessels is compromised.
- Fire aboard a ship that compromises the seaworthiness of a
ship.
- The failure of the main engine, steering gear, or electrical
generating system that renders the ship disabled, requiring
external assistance to bring the ship to a place of safety.
Level 4
- Collision of a ship with another ship or fishing vessel where
the damage to either vessel is significant. An accident
involving one or more vessels without fatalities or serious
injuries and without substantial property damage where
investigation is likely to contribute to mitigating future
accidents.
- A ship stranding or grounding.
- Fire aboard ship where the seaworthiness of the ship is not
affected
- Contact damage with a navigation aid or port
infrastructure.
- Loss of stability such that the ship and its crew are
imperilled.
- A ship or other vessel involved in a near collision, near
stranding.
- A serious breach of the ISM Code.
When a decision has been made to investigate, marine
investigations are initially categorised as Category 4. Following
any filed investigation, the level of investigation will be
assessed for the relative benefits to the maritime community and
the general public. Any decision to upgrade or downgrade will be
made on the recommendation of the Deputy Director in consultation
with the Director and/or the Executive Director.
Level 5
- An accident or serious incident where another
competent body will be conducting an investigation and available
resources do not warrant an ATSB investigation.
- An accident involving one or more vessels without
fatalities or significant pollution, where the potential safety
lessons do not, after initial review, justify the commitment of
investigative resources within available funds. Data will be filed
for statistical purposes.
- An accident involving contact with navigational or
port infrastructure, where the seaworthiness of the ship is not
compromised.
- An accident or serious incident involving a
minor breach of the ISM Code.
1 "Very serious
casualties" are casualties to ships which involve total loss of the
ship, loss of life, or severe pollution, the definition of which,
as agreed by the Marine Environment Protection Committee at its
thirty seventh session (MEPC 37/22, paragraph 5.8), is as
follows:
"Severe pollution" is a case of pollution which, as evaluated by
the coastal State(s) affected or the flag State, as appropriate,
produces a major deleterious effect upon the environment, or which
would have produced such an effect without preventive action.
"Serious casualties" are casualties to ships which do not qualify
as "very serious casualties" and which involve a fire, explosion,
collision, grounding, contact, heavy weather damage, ice damage,
hull cracking, or suspected hull defect, etc., resulting in:
- immobilization of main engines, extensive accommodation damage,
severe structural damage, such as penetration of the hull under
water, etc., rendering the ship unfit to proceed*, or
- pollution (regardless of quantity); and/or
- a breakdown necessitating towage or shore assistance.
"Less serious casualties" are casualties to ships which do not
qualify as "very serious casualties" or "serious casualties" and
for the purpose of recording useful information also include
"marine incidents" which themselves include "hazardous incidents"
and "near misses".
2 The ship is in a
condition, which does not correspond substantially with the
applicable conventions, presenting a danger to the ship and the
persons on board or an unreasonable threat of harm to the marine
environment.