IMO TA311E INSTRUCTOR-2000 MARINE ACCIDENT AND INCIDENT INVESTIGATION INSTRUCTOR MANUAL.pdf

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1、MODEL COURSE I 3,sia MARINE ACCIDENT AND INCIDENT INVESTIGATION INSTRUCTOR MANUAL IMO I International Maritime Organization Model Course No: 3.11 Marine Accident and Incident I nvest i gat i on Instructor Manual IMO First published in 1988 by the 4 Albert Embankment, London SE1 7SR INTERNATIONAL MAR

2、ITIME ORGANIZATION Revised edition 2000 Printed by Ashford Open Learning Ltd 2 4 6 8 10 9 7 5 3 ISBN 92-801 -5095-2 IMO PUBLICATION Sales number TA31 1 E Copyright O IMO 2000 All rights reserved. No part of this publication may, for sales purposes, be produced, stored in a retrieval system or transm

3、itted in any form or by any means, electronic, electrostatic, magnetic tape, mechanical, photocopying or otherwise, without prior permission in writing from the International Maritime Organization. Foreword Introduction Purpose of the model courses Use of the model course Lesson plans Presentation E

4、valuation of trainee progress Implementation Learn i ng Object ives Course aims Course Outline Guidance Notes Exercises Exercise 5.1 Exercise 1 O. 1 Exercise 10.2 Course Timetable S y I la bus CONTENTS V 1 3 11 15 21 47 51 iii iv Foreword Since its inception the International Maritime Organization h

5、as recognized the importance of human resources to the development of the maritime industry and has given the highest priority to assisting developing countries in enhancing their maritime training capabilities through the provision or improvement of training facilities at national and regional leve

6、ls. IMO has also responded to the needs of developing countries for postgraduate training for senior personnel in administration, ports, shipping companies and maritime training institutes by establishing the World Maritime University in Malm, Sweden, in 1983. Following the earlier adoption of the I

7、nternational Convention on Standards of Training Certification and Watchkeeping for Seafarers, 1978, a number of IMO Member Governments had suggested that IMO should develop model training courses to assist in the implementation of the Convention and in achieving a more rapid transfer of information

8、 and skills regarding new developments in maritime technology. IMO training advisers and consultants also subsequently determined from their visits to training establishments in developing countries that the provision of model courses could help instructors improve the quality of their existing cour

9、ses and enhance their effectiveness in meeting the requirements of the Convention and implementing the associated Conference and IMO Assembly resolutions. In addition, it was appreciated that a comprehensive set of short courses in various fields of maritime training would supplement the instruction

10、 provided by maritime academies and allow administrators and technical specialists already employed in maritime administrations, ports and shipping companies to improve their knowledge and skills in certain specialized fields. IMO has therefore developed the current series of model courses in respon

11、se to these generally identified needs and with the generous assistance of Norway. These model courses may be used by any training institution and the Organization is prepared to assist developing countries in implementing any course when the requisite financing is available W. A. ONEIL Secretary Ge

12、neral V Introduction Purpose of the model courses The purpose of the IMO model courses is to assist maritime training institutes and their teaching staff in organizing and introducing new training courses, or in enhancing, updating or supplementing existing training material where the quality and ef

13、fectiveness of the training courses may thereby be improved. It is not the intention of the model course program to present instructors with a rigid “ieaching package” which they are expected to “follow blindly”. Nor is it the intention to substitute audiovisual or “programmed” material for the inst

14、ructors presence. As in all training endeavours, the knowledge, skills and dedication of the instructor are the key components in the transfer of knowledge and skills to those being trained through IMO model course material. Because educational systems and the cultural backgrounds of trainees in mar

15、itime subjects vary considerably from country to country, the model course material has been designed to identify the basic entry requirements and trainee target group for each course in universally applicable terms, and to specify clearly the technical content and levels of knowledge and skill nece

16、ssary to meet the technical intent of IMO conventions and related recommendations. H Use of the model course To use the model course the instructor should review the guidelines, the course plan and detailed syllabus, taking into account the information provided under the entry standards specified in

17、 the course framework. The actual level of knowledge and skills and prior technical education of the trainees should be kept in mind during this review, and any areas within the detailed syllabus which may cause difficulties because of differences between the actual trainee entry level and that assu

18、med by the course designer should be identified. To compensate for such differences, the instructor is expected to delete from the course, or reduce the emphasis on, items dealing with knowledge or skills already attained by the trainees. He should also identify any academic knowledge, skills or tec

19、hnical training which they may not have acquired. By analysing the detailed syllabus and the academic knowledge required to allow training in the technical area to proceed, the instructor can design an appropriate pre-entry course or, alternatively, insert the elements of academic knowledge required

20、 to support the technical training elements concerned at appropriate points within the technical course. Adjustment of the course objectives, scope and content may also be necessary if in your maritime industry the trainees completing the course are to undertake duties which differ from the course o

21、bjectives specified in the model course. Within the course plan the course designers have indicated their assessment of the time which should be allotted to each learning area. However, it must be appreciated that these allocations are arbitrary and assume that the trainees have fully met all the en

22、try requirements of the course. The instructor should therefore review these assessments and may need to reallocate the time required to achieve each specific learning objective. 1 MARINE ACCIDENT AND INCIDENT INVESTIGATION Lesson plans Having adjusted the course content to suit the trainee intake a

23、nd any revision of the course objectives, the instructor should draw up lesson plans based on the detailed syllabus. The detailed syllabus contains specific references to the textbooks or teaching material proposed to be used in the course. An example of a lesson plan is shown in the instructor manu

24、al on page 61. Where no adjustment has been found necessary in the learning objectives of the detailed syllabus, the lesson plans may simply consist of the detailed syllabus with keywords or other reminders added to assist the instructor in making his presentation of the material. Presentation The p

25、resentation of concepts and methodologies must be repeated in various ways until the instructor is satisfied that the trainee has attained each specific learning objective. The syllabus is laid out in learning objective format and each objective specifies what the trainee must be able to do as the l

26、earning outcome. Evaluation or assessment of trainee progress Guidance on evaluation or assessment of trainees is given in Part E of the course. Implementation For the course to run smoothly and to be effective, considerable attention must be paid to the availability and use of: O properly qualified

27、 instructors O support staff O rooms and other spaces O equipment O textbooks, technical papers O other reference material Thorough preparation is the key to successful implementation of the course. IMO has produced a booklet entitled “Guidance on the implementation of IMO model courses”, which deal

28、s with this aspect in greater detail.* *This booklet is included as an attachment to this course. 2 Learn i ng Object ives Learning Objectives 1 Course Introduction Following this module the participants will understand the aims and objectives of the course and they will have some idea of the backgr

29、ound of all other participants. Course Aims The aim of this course is to introduce students to: O the purpose and objectives of marine incident investigation O provisions under UNCLOS, IMO and IL0 conventions, and . IO Resolutions rela to the investigation of marine casualties O the Code for Investi

30、gation of Marine Casualties and Incidents O technical and formal Investigation 0 procedures techniques of collecting, analysing and reporting on marine casualties and incidents O human factors and case studies The main reference materials will be: O IMO Res. A.849 (20) and the Code for the Investiga

31、tion of Marine Casualties and Incidents O IMO Res. A.884 (21) amendments to the Code for the Investigation of Marine Casualties and Incidents O MSC/Circ. 827 (MEPWCirc.333) O a summary of the Herald of Free Enterprise O basic scenario papers O course notes O Canadian Coast Guard Material on procedur

32、es The three most time consuming modules will be 9 and 10. Short video clips of marine accidents can be used in witness interviews. Text Aids 1 1 .i 1.2 Course structure Aims of the course I 1.3 Introducing Course participants and lecturers 1 Course notes 1 Group activity I Learning Objectives _ 2 I

33、nternational Shipping. Ship casualties and public perception Following this module, participants will have an understanding of the impact that serious accidents have on the general public and how parts of the marine industry are perceived. They will also understand the global casualty rate and total

34、 loss rate. 2.1 2.2 2.3 Lloyds Casualty Reports/Returns (Graphs) 2.4 Marine Accidents as seen by the public and the media Ship safety issues (Bulk carrier and ferry losses, and the IMO response) Bird the purpose MSC 69/13/1 Guidelines on investigation of Human Factors in Maritime Casualties and Inci

35、dents Learning Objectives 4 International Conventions, requirements and recommendations Following this module participants will have an appreciation of the international regime of Conventions, Resolutions and codes which require administrations to undertake investigations. There will be particular e

36、mphasis on the relationship between the Code and HFWG2. 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 Protection of seafarers and the environment Flag State, UNCLOS Art 94, para 7 Coastal State, UNCLOS Art 2 IL0 Conventions 147 and 134 groups will list the advantages and disadvantages of safety investigations

37、 and prosecutions raised by the Piper Alpha video and the videos seen in this training section. 3.5 Groups will consider what the objectives of an investigation should be. 4 International Obligations in Casualty Investigations (Total 4.5 hours) This training activity will outline the international r

38、equirements to investigate marine casualties and incidents including: o IMO Charter o United Nations Convention on the Law of the Sea o IMO Conventions o IL0 Conventions o IMO Resolutions and Circulars, particularly Resolution A.849(20) Group Activity 4.8 Individuals will be asked to assess how thei

39、r administration meets Res. A.847(20). 5 Setting up an investigation (Total 8 hours) This training area will: o explain the requirement for a mechanism to set up an investigation o explore the different types of investigation and the respective roles of the State invest i gat or 0 reiterate the need

40、 for an international approach to casualty investigations 0 emphasise the international nature of shipping accidents 0 explain the need for procedures and planning consistent with natural justice and national law 16 GUIDANCE NOTES The Learning Objective will demonstrate how Res. A 849(20) meets thes

41、e objectives. Group Activities 5.1 Given a scenario, groups will be required to determine jurisdictional issues as representatives of the flag state(s), coastal State(s) and substantially interested State(s). (A possible scenario is attached under exercise 5.1) 5.3 Groups will identify the qualifica

42、tions and qualities required of an investigator to meet the objectives of Res. A.849 (20). 5.4 Groups will identify all those parties that may have an interest in a marine casualty or incident. 5.7 Groups will discuss procedures and list the powers with which an investigator should be vested. 5.8 Ba

43、sed on a scenario, the groups will be asked to identify those administrations and bodies who may have an interest in the incident. 5.10 Groups will identify and list the basic equipment required by a casualty investigator. 5.1 1 Groups will identify health and safety issues to protect the investigat

44、or in hidher work. 5.12 Groups will assess how their existing national legislation assists or hinders the setting up of casualty or incident investigations. 6 An Introduction to interviewing (Total 16.5 hours) This training area will stress the essential nature of the interview in any investigation

45、and introduce the participants to basic interviewing techniques. Group Activities. 6.2 Based on scenarios, groups (one on one or two on one) will practise sections 6.1 and 6.2 of this unit. 6.6 Based on case studies, groups (as above) will put into practice the concepts of 6.1 to 6.6. 6.1 1 Based on

46、 video clips, groups will practice their interview techniques. 7 Elements of casualties (Total 7 hours) This module is based on the work of Professor James Reason and others. It will describe modern thinking on the causes of accidents, looking at multi factor accidents, root cause and active and und

47、erlying (or latent) factors. and involves extensive reference to the IMOALO “Investigation of Human Factors” annex to Res. A 849(20). Exercises will be centred on the video “Course Zero” and a case study of the ferry Herald of Free Enterprise. Group Activities 7.2 Based on an edited version of “Cour

48、se Zero” and a case study of the capsize of the Herald of Free Enterprise, the group will assess the causal factors relating to the casualty. 17 MARINE ACCIDENT AND INCIDENT INVESTIGATION 7.5 Using the Heraldcase study groups will identify elements of the causal chain against the Reason model “Traje

49、ctory of Accident Opportunity”, identify latenthnderlying failures and active failures. Each group will present an analysis of one or two aspects of the casualty in terms of underlying factors, active factors, equipment issues, human factors. 8 Human factors (Total 9 hours) The purpose of this training area is to introduce trainees to some concepts of shipboard life and human performance and human physiology which impacts on performance including; o individual performance o perceptions o fatigue The training area will be based on the 22 minute video “Counting the cost” and the