Statutory Authorization

Coast Guard, DHS

Pt. 4

remain unchanged, the information required by § 3.10–1(b) need not be resubmitted with the request.

4.05–35 Incidents involving nuclear vessels.
4.05–40 Alternate electronic means of reporting.

§ 3.10–10 Right of appeal.
Any person directly affected by a decision or action taken under this part,
by or on behalf of the Coast Guard,
may appeal therefrom in accordance
with subpart 1.03 of this chapter.

Subpart 4.06—Mandatory Chemical Testing Following Serious Marine Incidents
Involving Vessels in Commercial Service
4.06–1 Responsibilities of the marine employer.
4.06–5 Responsibilities of individuals directly involved in serious marine incidents.
4.06–10 Required specimens.
4.06–20 Specimen collection requirements.
4.06–30 Specimen collection in incidents involving fatalities.
4.06–40 Specimen handling and shipping.
4.06–50 Specimen analysis and follow-up
procedures.
4.06–60 Submission of reports and test results.

[CGD 88–033, 54 FR 50379, Dec. 6, 1989]

PART 4—MARINE CASUALTIES AND
INVESTIGATIONS
Subpart 4.01—Authority and Scope of
Regulations
Sec.
4.01–1
4.01–3

Scope of regulation.
Reporting exclusion.

Subpart 4.03—Definitions

Subpart 4.07—Investigations

4.03–1 Marine casualty or accident.
4.03–2 Serious marine incident.
4.03–4 Individual directly involved in a serious marine incident.
4.03–5 Medical facility.
4.03–6 Qualified medical personnel.
4.03–7 Chemical test.
4.03–10 Party in interest.
4.03–15 Commandant.
4.03–20 Coast Guard district.
4.03–25 District Commander.
4.03–30 Investigating officer.
4.03–35 Nuclear vessel.
4.03–40 Public vessels.
4.03–45 Marine employer.
4.03–50 Recreational vessel.
4.03–55 Law enforcement officer.

4.07–1 Commandant or District Commander
to order investigation.
4.07–5 Investigating officers, powers of.
4.07–7 Opening statement.
4.07–10 Report of investigation.
4.07–15 Recommendations, action on.
4.07–20 Transfer of jurisdiction.
4.07–25 Testimony of witnesses in other districts, depositions.
4.07–30 Testimony of witnesses under oath.
4.07–35 Counsel for witnesses and parties in
interest.
4.07–45 Foreign units of Coast Guard, investigation by.
4.07–55 Information to be furnished Marine
Board of Investigation.

Subpart 4.04—Notice of Potential Vessel
Casualty

Subpart 4.09—Marine Board of
Investigation

4.04–1 Reports of potential vessel casualty.
4.04–3 Reports of lack of vessel communication.
4.04–5 Substance of reports.

4.09–1 Commandant to designate.
4.09–5 Powers of Marine Board of Investigation.
4.09–10 Witnesses, payment of.
4.09–15 Time and place of investigation, notice of; rights of witnesses, etc.
4.09–17 Sessions to be public.
4.09–20 Record of proceedings.
4.09–25 U.S. Attorney to be notified.
4.09–30 Action on report.
4.09–35 Preferment of charges.

Subpart 4.05—Notice of Marine Casualty
and Voyage Records
4.05–1 Notice of marine casualty.
4.05–5 Substance of marine casualty notice.
4.05–10 Written report of marine casualty.
4.05–12 Alcohol or drug use by individuals
directly involved in casualties.
4.05–15 Voyage records, retention of.
4.05–20 Report of accident to aid to navigation.
4.05–25 Reports when state of war exists.
4.05–30 Incidents involving hazardous materials.

Subpart 4.11—Witnesses and Witness Fees
4.11–1 Employees of vessels controlled by
Army or Navy as witnesses.
4.11–5 Coercion of witnesses.
4.11–10 Witness fees and allowances.

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§ 4.01–1

46 CFR Ch. I (10–1–03 Edition)

Subpart 4.12—Testimony by Interrogatories
and Depositions

§ 4.01–3

4.12–1 Application, procedure, and admissibility.

Subpart 4.13—Availability of Records
4.13–1

Public availability of records.

Subpart 4.19—Construction of Regulations
and Rules of Evidence
4.19–1
4.19–5

Construction of regulations.
Adherence to rules of evidence.

Subpart 4.21—Computation of Time
4.21–1

Computation of time.

Subpart 4.23—Evidence of Criminal
Liability
4.23–1

Evidence of criminal liability.

Subpart
4.40—Coast
Guard—National
Transportation Safety Board Marine
Casualty Investigations

[CGD 76–170, 45 FR 77441, Nov. 24, 1980; 46 FR
19235, Mar. 30, 1981, as amended by CGD 76–
170, 47 FR 39684, Sept. 9, 1982; CGD 95–028, 62
FR 51195, Sept. 30, 1997; USCG–2000–7790, 65
FR 58458, Sept. 29, 2000]

4.40–1 Purpose.
4.40–3 Relationship to Coast Guard marine
investigation regulations and procedures.
4.40–5 Definitions.
4.40–10 Preliminary investigation by the
Coast Guard.
4.40–15 Marine casualty investigation by the
Board.
4.40–20 Cause or probable cause determinations from Board investigation.
4.40–25 Coast Guard marine casualty investigation for the Board.
4.40–30 Procedures for Coast Guard investigation.
4.40–35 Records of the Coast Guard and the
Board.

Subpart 4.03—Definitions
§ 4.03–1

Marine casualty or accident.

(a) The term marine casualty or accident shall mean any casualty or accident involving any vessel other than
public vessels if such casualty or accident occurs upon the navigable waters
of the United States, its territories or
possessions or any casualty or accident
wherever such casualty or accident
may occur involving any United
States’ vessel which is not a public vessel. (See § 4.03–40 for definition of Public
Vessel.)
(b) The term marine casualty or accident includes any accidental grounding,
or any occurrence involving a vessel
which results in damage by or to the
vessel, its apparel, gear, or cargo, or injury or loss of life of any person; and
includes among other things, collisions,
strandings,
groundings,
founderings, heavy weather damage,
fires, explosions, failure of gear and
equipment and any other damage
which might affect or impair the seaworthiness of the vessel.

AUTHORITY: 33 U.S.C. 1231; 43 U.S.C. 1333; 46
U.S.C. 2103, 2306, 6101, 6301, 6305; 50 U.S.C. 198;
49 CFR 1.46. Authority for subpart 4.40: 49
U.S.C. 1903(a)(1)(E); 49 CFR 1.46.
SOURCE: CGD 74–119, 39 FR 33317, Sept. 17,
1974, unless otherwise noted.

Subpart 4.01—Authority and
Scope of Regulations
§ 4.01–1

Reporting exclusion.

(a) Vessels subject to 33 CFR 173.51
are excluded from the requirements of
subpart 4.05.
(b) Vessels which report diving accidents under 46 CFR 197.484 regarding
deaths, or injuries which cause incapacitation for greater than 72 hours,
are not required to give notice under
§ 4.05–1(a)(5) or § 4.05–1(a)(6).
(c) Vessels are excluded from the requirements of § 4.05–1(a)(5) and (a)(6)
with respect to the death or injury of
shipyard or harbor workers when such
accidents are not the result of either a
vessel casualty (e.g., collision) or a vessel equipment casualty (e.g., cargo
boom failure) and are subject to the reporting requirements of Occupational
Safety and Health Administration
(OSHA) under 29 CFR 1904.
(d) Except as provided in subpart 4.40,
public vessels are excluded from the requirements of this part.

Scope of regulation.

The regulations in this part govern
the reporting of marine casualties, the
investigation of marine casualties and
the submittal of reports designed to increase the likelihood of timely assistance to vessels in distress.
[CGD 85–015, 51 FR 19341, May 29, 1986]

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Coast Guard, DHS

§ 4.03–15

(c) The term marine casualty or accident also includes occurrences of loss of
life or injury to any person while diving from a vessel and using underwater
breathing apparatus.

act is determined to be, or cannot be
ruled out as, a causative factor in the
events leading to or causing a serious
marine incident.
[CGD 86–067, 53 FR 47077, Nov. 21, 1988]

[CGD 74–119, 39 FR 33317, Sept. 17, 1974, as
amended by CGD 76–170, 45 FR 77441, Nov. 24,
1980]

§ 4.03–5

Medical facility.

The term medical facility means an
American hospital, clinic, physician’s
office, or laboratory, where blood and
urine specimens can be collected according to recognized professional
standards.

§ 4.03–2 Serious marine incident.
The term serious marine incident includes the following events involving a
vessel in commercial service:
(a) Any marine casualty or accident
as defined in § 4.03–1 which is required
by § 4.05–1 to be reported to the Coast
Guard and which results in any of the
following:
(1) One or more deaths;
(2) An injury to a crewmember, passenger, or other person which requires
professional medical treatment beyond
first aid, and, in the case of a person
employed on board a vessel in commercial service, which renders the individual unfit to perform routine vessel
duties;
(3) Damage to property, as defined in
§ 4.05–1(a)(7) of this part, in excess of
$100,000;
(4) Actual or constructive total loss
of any vessel subject to inspection
under 46 U.S.C. 3301; or
(5) Actual or constructive total loss
of any self-propelled vessel, not subject
to inspection under 46 U.S.C. 3301, of
100 gross tons or more.
(b) A discharge of oil of 10,000 gallons
or more into the navigable waters of
the United States, as defined in 33
U.S.C. 1321, whether or not resulting
from a marine casualty.
(c) A discharge of a reportable quantity of a hazardous substance into the
navigable waters of the United States,
or a release of a reportable quantity of
a hazardous substance into the environment of the United States, whether
or not resulting from a marine casualty.

[CGD 86–067, 53 FR 47077, Nov. 21, 1988]

§ 4.03–6

Qualified medical personnel.

The term qualified medical personnel
means a physician, physician’s assistant, nurse, emergency medical technician, or other person authorized under
State or Federal law or regulation to
collect blood and urine specimens.
[CGD 86–067, 53 FR 47077, Nov. 21, 1988]

§ 4.03–7

Chemical test.

The term chemical test means a scientifically recognized test which analyzes an individual’s breath, blood,
urine, saliva, bodily fluids, or tissues
for evidence of dangerous drug or alcohol use.
[CGD 86–067, 53 FR 47077, Nov. 21, 1988]

§ 4.03–10

Party in interest.

The term party in interest shall mean
any person whom the Marine Board of
Investigation or the investigating officer shall find to have a direct interest
in the investigation conducted by it
and shall include an owner, a
charterer, or the agent of such owner
or charterer of the vessel or vessels involved in the marine casualty or accident, and all licensed or certificated
personnel whose conduct, whether or
not involved in a marine casualty or
accident is under investigation by the
Board or investigating officer.

[CGD 86–067, 53 FR 47077, Nov. 21, 1988, as
amended by CGD 97–057, 62 FR 51041, Sept. 30,
1997]

§ 4.03–15

§ 4.03–4 Individual directly involved in
a serious marine incident.
The term individual directly involved
in a serious marine incident is an individual whose order, action or failure to

Commandant.

The Commandant, U.S. Coast Guard,
is that officer who acts as chief of the
Coast Guard and is charged with the
administration of the Coast Guard.

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§ 4.03–20
§ 4.03–20

46 CFR Ch. I (10–1–03 Edition)
Coast Guard district.

§ 4.03–45 Marine employer.
Marine employer means the owner,
managing operator, charterer, agent,
master, or person in charge of a vessel
other than a recreational vessel.

A Coast Guard district is one of the
geographical areas whose boundaries
are described in 33 CFR part 3.
§ 4.03–25

District Commander.

[CGD 84–099, 52 FR 47534, Dec. 14, 1987]

The District Commander is the chief
of a Coast Guard district and is
charged with the administration of all
Coast Guard responsibilities and activities within his respective district, except those functions of administrative
law judges under the Administrative
Procedure Act (60 Stat. 237, 5 U.S.C.
1001 et seq.) and activities of independent units of the Coast Guard, such
as the Coast Guard Yard and the Coast
Guard Academy.
§ 4.03–30

§ 4.03–50 Recreational vessel.
Recreational vessel means a vessel
meeting the definition in 46 U.S.C.
2101(25) that is then being used only for
pleasure.
[CGD 84–099, 52 FR 47534, Dec. 14, 1987]

§ 4.03–55 Law enforcement officer.
Law enforcement officer means a Coast
Guard commissioned, warrant or petty
officer; or any other law enforcement
officer authorized to obtain a chemical
test under Federal, State, or local law.

Investigating officer.

An investigating officer is an officer
or employee of the Coast Guard designated by the Commandant, District
Commander or the Officer in Charge,
Marine Inspection, for the purpose of
making investigations of marine casualties and accidents or other matters
pertaining to the conduct of seamen.
An Officer in Charge, Marine Inspection, is an investigating officer without
further designation.
§ 4.03–35

[CGD 84–099, 52 FR 47534, Dec. 14, 1987]

Subpart 4.04—Notice of Potential
Vessel Casualty
SOURCE: CGD 85–015, 51 FR 19341, May 29,
1986, unless otherwise noted.

§ 4.04–1 Reports of potential vessel casualty.
A vessel owner, charterer, managing
operator or agent shall immediately
notify either of the following Coast
Guard officers if there is reason to believe a vessel is lost or imperiled.
(a) The Coast Guard district rescue
coordination center (RCC) cognizant
over the area the vessel was last operating in; or
(b) The Coast Guard search and rescue authority nearest to where the vessel was last operating.
Reasons for belief that a vessel is in
distress include, but are not limited to,
lack of communication with or nonappearance of the vessel.

Nuclear vessel.

The term nuclear vessel means any
vessel in which power for propulsion, or
for any other purpose, is derived from
nuclear energy; or any vessel handling
or processing substantial amounts of
radioactive material other than as
cargo.
[CGD 84–099, 52 FR 47534, Dec. 14, 1987]

§ 4.03–40

Public vessels.

Public vessel means a vessel that—
(a) Is owned, or demise chartered,
and operated by the U.S. Government
or a government of a foreign country,
except a vessel owned or operated by
the Department of Transportation or
any corporation organized or controlled by the Department (except a
vessel operated by the Coast Guard or
Saint Lawrence Seaway Development
Corporation); and
(b) Is not engaged in commercial
service.

§ 4.04–3 Reports of lack of vessel communication.
The owner, charterer, managing operator or agent of a vessel that is required to report to the United States
flag Merchant Vessel Location Filing
System under the authority of section
212(A) of the Merchant Marine Act, 1936
(46 App. U.S.C. 1122a), shall immediately notify the Coast Guard if more

[CGD 95–028, 62 FR 51195, Sept. 30, 1997]

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Coast Guard, DHS

§ 4.05–10

than 48 hours have passed since receiving communication from the vessel.
This notification shall be given to the
Coast Guard district RCC cognizant
over the area the vessel was last operating in.

worthiness or fitness for service or
route, including but not limited to fire,
flooding, or failure of or damage to
fixed fire-extinguishing systems, lifesaving equipment, auxiliary power-generating equipment, or bilge-pumping
systems;
(5) A loss of life;
(6) An injury that requires professional medical treatment (treatment
beyond first aid) and, if the person is
engaged or employed on board a vessel
in commercial service, that renders the
individual unfit to perform his or her
routine duties; or
(7) An occurrence causing propertydamage in excess of $25,000, this damage including the cost of labor and material to restore the property to its
condition before the occurrence, but
not including the cost of salvage,
cleaning, gas-freeing, drydocking, or
demurrage.
(b) Notice given as required by 33
CFR 160.215 satisfies the requirement of
this section if the marine casualty involves a hazardous condition as defined
by 33 CFR 160.203.

(Information collection requirements approved by the Office of Management and
Budget under control number 2115–0551)

§ 4.04–5 Substance of reports.
The owner, charterer, managing operator or agent, notifying the Coast
Guard under § 4.04–1 or § 4.04–3, shall:
(a) Provided the name and identification number of the vessel, the names of
the individuals on board, and other information that may be requested by
the Coast Guard (when providing the
names of the individuals on board for a
passenger vessel, the list of passengers
need only meet the requirements of 46
U.S.C. 3502); and
(b) Submit written confirmation of
that notice to the Coast Guard facility
that the notice was given to within 24
hours.
(Information collection requirements approved by the Office of Management and
Budget under control number 2115–0551)

[CGD 94–030, 59 FR 39471, Aug. 3, 1994]

§ 4.05–5 Substance of marine casualty
notice.

Subpart 4.05—Notice of Marine
Casualty and Voyage Records

The notice required in § 4.05–1 must
include the name and official number
of the vessel involved, the name of the
vessel’s owner or agent, the nature and
circumstances of the casualty, the locality in which it occurred, the nature
and extent of injury to persons, and the
damage to property.

§ 4.05–1 Notice of marine casualty.
(a) Immediately after the addressing
of resultant safety concerns, the
owner, agent, master, operator, or person in charge, shall notify the nearest
Marine Safety Office, Marine Inspection Office or Coast Guard Group Office
whenever a vessel is involved in a marine casualty consisting in—
(1) An unintended grounding, or an
unintended strike of (allison with) a
bridge;
(2) An intended grounding, or an intended strike of a bridge, that creates
a hazard to navigation, the environment, or the safety of a vessel, or that
meets any criterion of paragraphs (a)
(3) through (7);
(3) A loss of main propulsion, primary steering, or any associated component or control system that reduces
the maneuverability of the vessel;
(4) An occurrence materially and adversely affecting the vessel’s sea-

[CGD 76–170, 45 FR 77441, Nov. 24, 1980]

§ 4.05–10 Written report of marine casualty.
(a) The owner, agent, master, operator, or person in charge shall, within
five days, file a written report of any
marine casualty required to be reported under § 4.05–1. This written report is in addition to the immediate
notice required by § 4.05–1. This written
report must be delivered to a Coast
Guard Marine Safety Office or Marine
Inspection Office. It must be provided
on Form CG–2692 (Report of Marine Accident, Injury or Death), supplemented
as necessary by appended Forms CG–
2692A (Barge Addendum) and CG–2692B

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§ 4.05–12

46 CFR Ch. I (10–1–03 Edition)

(Report of Required Chemical Drug and
Alcohol Testing Following a Serious
Marine Incident).
(b) If filed without delay after the occurrence of the marine casualty, the
report required by paragraph (a) of this
section suffices as the notice required
by § 4.05–1(a).

work books, compass deviation cards,
gyro records, stowage plans, records of
draft, aids to mariners, night order
books, radiograms sent and received,
radio logs, crew and passenger lists, articles of shipment, official logs and
other material which might be of assistance in investigating and determining the cause of the casualty. The
owner, agent, master, other officer or
person responsible for the custody
thereof, shall make these records available upon request, to a duly authorized
investigating officer, administrative
law judge, officer or employee of the
Coast Guard.
(b) The investigating officer may
substitute photostatic copies of the
voyage records referred to in paragraph
(a) of this section when they have
served their purpose and return the
original records to the owner or owners
thereof.

[CGD 94–030, 63 FR 19192, Apr. 17, 1998]

§ 4.05–12 Alcohol or drug use by individuals directly involved in casualties.
(a) For each marine casualty required to be reported by § 4.05–10, the
marine employer shall determine
whether there is any evidence of alcohol or drug use by individuals directly
involved in the casualty.
(b) The marine employer shall include in the written report, Form CG–
2692, submitted for the casualty information which:
(1) Identifies those individuals for
whom evidence of drug or alcohol use,
or evidence of intoxication, has been
obtained; and,
(2) Specifies the method used to obtain such evidence, such as personal
observation of the individual, or by
chemical testing of the individual.
(c) An entry shall be made in the official log book, if carried, pertaining to
those individuals for whom evidence of
intoxication is obtained. The individual must be informed of this entry
and the entry must be witnessed by a
second person.
(d) If an individual directly involved
in a casualty refuses to submit to, or
cooperate in, the administration of a
timely chemical test, when directed by
a law enforcement officer or by the marine employer, this fact shall be noted
in the official log book, if carried, and
in the written report (Form CG–2692),
and shall be admissible as evidence in
any administrative proceeding.

§ 4.05–20 Report of accident to aid to
navigation.
Whenever a vessel collides with a
buoy, or other aid to navigation under
the jurisdiction of the Coast Guard, or
is connected with any such collision, it
shall be the duty of the person in
charge of such vessel to report the accident to the nearest Officer in Charge,
Marine Inspection. No report on Form
CG–2692 is required unless one or more
of the results listed in § 4.05–1 occur.
[CGD 74–119, 39 FR 33317, Sept. 17, 1974, as
amended by CGD 88–070, 53 FR 34533, Sept. 7,
1988]

§ 4.05–25
ists.

Reports when state of war ex-

During the period when a state of war
exists between the United States and
any foreign nation, communications in
regard to casualties or accidents shall
be handled with caution and the reports shall not be made by radio or by
telegram.

[CGD 84–099, 52 FR 47534, Dec. 14, 1987]

§ 4.05–30 Incidents
involving
ardous materials.

§ 4.05–15 Voyage records, retention of.
(a) The owner, agent, master, or person in charge of any vessel involved in
a marine casualty shall retain such
voyage records as are maintained by
the vessel, such as both rough and
smooth deck and engine room logs, bell
books, navigation charts, navigation

When a casualty occurs involving
hazardous materials, notification and a
written report to the Department of
Transportation may be required. See 49
CFR 171.15 and 171.16.
[CGD 76–170, 45 FR 77441, Nov. 24, 1980]

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Coast Guard, DHS

§ 4.06–5
ous marine incident is to be made by
the marine employer. A law enforcement officer may determine that additional individuals are directly involved
in the serious marine incident. In such
cases, the marine employer shall take
all practicable steps to have these individuals tested in accordance with paragraph (b) of this section.
(d) The requirements of this subpart
shall not prevent vessel personnel who
are required to be tested from performing duties in the aftermath of a serious marine incident when their performance is necessary for the preservation of life or property or the protection of the environment.
(e) The marine employer shall ensure
that all individuals engaged or employed on board a vessel are fully indoctrinated in the requirements of this
subpart, and that appropriate vessel
personnel are trained as necessary in
the practical applications of these requirements.

§ 4.05–35 Incidents involving nuclear
vessels.
The master of any nuclear vessel
shall immediately inform the Commandant in the event of any accident
or casualty to the nuclear vessel which
may lead to an environmental hazard.
The master shall also immediately inform the competent governmental authority of the country in whose waters
the vessel may be or whose waters the
vessel approaches in a damaged condition.
[CGD 84–099, 52 FR 47534, Dec. 14, 1987]

§ 4.05–40 Alternate electronic means of
reporting.
The Commandant may approve alternate electronic means of submitting
notices and reports required under this
subpart.
[USCG–1999–6216, 64 FR 53223, Oct. 1, 1999]

Subpart 4.06—Mandatory Chemical Testing Following Serious
Marine Incidents Involving
Vessels in Commercial Service

[CGD 86–067, 53 FR 47078, Nov. 21, 1988, as
amended by USCG–2000–7759, 66 FR 42967,
Aug. 16, 2001]

SOURCE: CGD 86–067, 53 FR 47078, Nov. 21,
1988, unless otherwise noted.

§ 4.06–5 Responsibilities of individuals
directly involved in serious marine
incidents.

§ 4.06–1 Responsibilities of the marine
employer.
(a) At the time of occurrence of a marine casualty, a discharge of oil into
the navigable waters of the United
States, a discharge of a hazardous substance into the navigable waters of the
United States, or a release of a hazardous substance into the environment
of the United States, the marine employer shall make a timely, good faith
determination as to whether the occurrence currently is, or is likely to become, a serious marine incident.
(b) When a marine employer determines that a casualty or incident is, or
is likely to become, a serious marine
incident, the marine employer shall
take all practicable steps to have each
individual engaged or employed on
board the vessel who is directly involved in the incident chemically tested for evidence of drug and alcohol use.
(c) The determination of which individuals are directly involved in a seri-

(a) Any individual engaged or employed on board a vessel who is determined to be directly involved in a serious marine incident shall provide
blood, breath or urine specimens for
chemical tests required by § 4.06–10
when directed to do so by the marine
employer or a law enforcement officer.
(b) If the individual refuses to provide blood, breath or urine specimens,
this refusal shall be noted on Form CG–
2692B and in the vessel’s official log
book, if one is required.
(c) No individual may be forcibly
compelled to provide specimens for
chemical tests required by this part;
however, refusal is considered a violation of regulation and could subject the
individual to suspension and revocation proceedings under part 5 of this
chapter and removal from any duties
which directly affect the safety of the
vessel’s navigation or operations.

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§ 4.06–10
§ 4.06–10

46 CFR Ch. I (10–1–03 Edition)
Required specimens.

§ 4.06–30 Specimen collection in incidents involving fatalities.
(a) When an individual engaged or
employed on board a vessel dies as a result of a serious marine incident, blood
and urine specimens must be obtained
from the remains of the individual for
chemical testing, if practicable to do
so. The marine employer shall notify
the appropriate local authority, such
as the coroner or medical examiner, as
soon as possible, of the fatality and of
the requirements of this subpart. The
marine employer shall provide the
specimen collection and shipping kit
and request that the local authority
assist in obtaining the necessary specimens. When the custodian of the remains is a person other than the local
authority, the marine employer shall
request the custodian to cooperate in
obtaining the specimens required under
this part.
(b) If the local authority or custodian
of the remains declines to cooperate in
obtaining the necessary specimens, the
marine employer shall provide an explanation of the circumstances on
Form CG–2692B (Report of Required
Chemical Drug and Alcohol Testing
Following a Serious Marine Incident).

Each individual required to submit to
chemical testing shall, as soon as practicable, provide the following specimens for chemical testing:
(a) Urine specimens, collected in accordance with § 4.06–20 and part 16 of
this chapter.
(b) Blood or breath specimens, or
both, collected in accordance with
§ 4.06–20.
§ 4.06–20 Specimen collection requirements.
(a) All inspected vessels certificated
for unrestricted ocean routes, and all
inspected vessels certificated for restricted overseas routes, are required
to have on board at all times a breath
testing device capable of determining
the presence of alcohol in a person’s
system. The breath testing device shall
be used in accordance with procedures
specified by the manufacturer.
(b) The marine employer shall ensure
that urine specimen collection and
shipping kits meeting the requirements
of 49 CFR part 40 are readily available
for use following serious marine incidents. The specimen collection and
shipping kits need not be maintained
aboard each vessel if they can otherwise be readily obtained within 24
hours from the time of the occurrence
of the serious marine incident.
(c) The marine employer shall ensure
that specimens required by § 4.06–10 are
collected as soon as practicable following the occurrence of a serious marine incident.
(d) When obtaining blood, breath, and
urine specimens, the marine employer
shall ensure that the collection process
is supervised by either qualified collection personnel, the marine employer, a
law enforcement officer, or the marine
employer’s representative.
(e) Chemical tests of an individual’s
breath for the presence of alcohol using
a breath testing device may be conducted by any individual trained to
conduct such tests. Blood specimens
shall be taken only by qualified medical personnel.

§ 4.06–40 Specimen handling and shipping.
(a) The marine employer shall ensure
that blood specimens collected in accordance with §§ 4.06–20 and 4.06–30 are
promptly shipped to a testing laboratory qualified to conduct tests on such
specimens. A proper chain of custody
must be maintained for each specimen
from the time of collection through the
authorized disposition of the specimen.
Blood specimens must be shipped to
the laboratory in a cooled condition by
any means adequate to ensure delivery
within twenty-four (24) hours of receipt
by the carrier.
(b) The marine employer shall ensure
that the urine specimen collection procedures of § 16.113 of this chapter and
the chain of custody requirements of 49
CFR part 40, subpart D, are complied
with. The marine employer shall ensure that urine specimens required by
§§ 4.06–20 and 4. 06–30 are promptly
shipped to a laboratory complying with
the requirements of 49 CFR part 40.
Urine specimens must be shipped by an

[CGD 86–067, 53 FR 47078, Nov. 21, 1988, as
amended by USCG–2000–7759, 66 FR 42967,
Aug. 16, 2001]

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Coast Guard, DHS

§ 4.07–1
by paragraph (a) of this section shall be
appended to Form CG–2692.
(c) In incidents involving discharges
of oil or hazardous substances as described in § 4.03–2 (b) and (c) of this
part, when Form CG–2692 is not required to be submitted, the report required by paragraph (a) of this section
shall be submitted to the Coast Guard
Officer in Charge, Marine Inspection,
having jurisdiction over the location
where the discharge occurred or nearest the port of first arrival following
the discharge.
(d) Upon receipt of the report of
chemical test results, the marine employer shall submit a copy of the test
results for each person listed on the
CG–2692B to the Coast Guard Officer in
Charge, Marine Inspection to whom the
CG–2692B was submitted.
(e) The Commandant may approve alternate electronic means of submitting
reports and test results as required
under paragraphs (a) through (d) of this
section.

expeditious means, but need not be
shipped in a cooled condition for overnight delivery.
[CGD 86–067, 53 FR 47078, Nov. 21, 1988, as
amended by USCG–2000–7759, 66 FR 42967,
Aug. 16, 2001]

§ 4.06–50 Specimen analysis and follow-up procedures.
(a) Each laboratory will provide
prompt analysis of specimens collected
under this subpart, consistent with the
need to develop all relevant information and to produce a complete analysis report.
(b) Reports shall be sent to the Medical Review Officer meeting the requirements of 49 CFR 40.121, as designated by the marine employer submitting the specimen for testing.
Wherever a urinalysis report indicates
the presence of a dangerous drug or
drug metabolite, the Medical Review
Officer shall review the report as required by 49 CFR part 40, subpart G,
and submit his or her findings to the
marine employer. Blood test reports indicating the presence of alcohol shall
be similarly reviewed to determine if
there is a legitimate medical explanation.
(c) Analysis results which indicate
the presence of alcohol, dangerous
drugs, or drug metabolites shall not be
construed by themselves as constituting a finding that use of drugs or alcohol was the probable cause of a serious marine incident.

[CGD 86–067, 53 FR 47078, Nov. 21, 1988, as
amended by CGD 97–057, 62 FR 51041, Sept. 30,
1997; USCG–1999–6216, 64 FR 53223, Oct. 1, 1999]

Subpart 4.07—Investigations
§ 4.07–1 Commandant or District Commander to order investigation.
(a) The Commandant or District
Commander upon receipt of information of a marine casualty or accident,
will immediately cause such investigation as may be necessary in accordance
with the regulations in this part.
(b) The investigations of marine casualties and accidents and the determinations made are for the purpose of
taking appropriate measures for promoting safety of life and property at
sea, and are not intended to fix civil or
criminal responsibility.
(c) The investigation will determine
as closely as possible:
(1) The cause of the accident;
(2) Whether there is evidence that
any failure of material (either physical
or design) was involved or contributed
to the casualty, so that proper recommendations for the prevention of
the recurrence of similar casualties
may be made;
(3) Whether there is evidence that
any act of misconduct, inattention to

[CGD 86–067, 53 FR 47078, Nov. 21, 1988, as
amended by CGD 90–053, 58 FR 31107, May 28,
1993; USCG–2000–7759, 66 FR 42967, Aug. 16,
2001]

§ 4.06–60 Submission of reports and
test results.
(a) Whenever an individual engaged
or employed on a vessel is identified as
being directly involved in a serious marine incident, the marine employer
shall complete Form CG–2692B (Report
of Required Chemical Drug and Alcohol
Testing Following a Serious Marine Incident).
(b) When the serious marine incident
requires the submission of Form CG–
2692 (Report of Marine Casualty, Injury
or Death) to the Coast Guard in accordance with § 4.05–10, the report required

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§ 4.07–5

46 CFR Ch. I (10–1–03 Edition)
submit to the Commandant via the Officer in Charge, Marine Inspection, and
the District Commander, a full and
complete report of the facts as determined by his investigation, together
with his opinions and recommendations in the premises. The Officer in
Charge, Marine Inspection, and the
District Commander shall forward the
investigating officer’s report to the
Commandant with an endorsement
stating:
(1) Approval or otherwise of the findings of fact, conclusions and recommendations;
(2) Any action taken with respect to
the recommendations;
(3) Whether or not any action has
been or will be taken under part 5 of
this subchapter to suspend or revoke licenses or certificates; and,
(4) Whether or not violations of laws
or regulations relating to vessels have
been reported on Form CG–2636, report
of violation of navigation laws.
(b) At the conclusion of the investigation, the investigating officer shall
submit the report described in paragraph (a) of this section, to the Commandant via the Merchant Marine Detail Officer or the Officer in Charge,
Marine Inspection, and the Commander, Coast Guard MIO Europe for a
European port or Commander, Fourteenth Coast Guard for an Asian or Pacific port. The Merchant Marine Detail
Officer or the Officer in Charge, Marine
Inspection, and Commander, Coast
Guard MIO Europe or Commander,
Fourteenth Coast Guard District shall
forward the investigating officer’s report to the Commandant with the endorsement described in paragraphs (a)
(1) through (4) of this section.

duty, negligence or willful violation of
the law on the part of any licensed or
certificated person contributed to the
casualty, so that appropriate proceedings against the license or certificate of such person may be recommended and taken under 46 U.S.C.
6301;
(4) Whether there is evidence that
any Coast Guard personnel or any representative or employee of any other
government agency or any other person caused or contributed to the cause
of the casualty; or,
(5) Whether the accident shall be further investigated by a Marine Board of
Investigation in accordance with regulations in subpart 4.09.
[CGD 74–119, 39 FR 33317, Sept. 17, 1974, as
amended by CGD 97–057, 62 FR 51041, Sept. 30,
1997]

§ 4.07–5 Investigating officers, powers
of.
(a) An investigating officer investigates each marine casualty or accident reported under §§ 4.05–1 and 4.05–10.
(b) Such investigating officer shall
have the power to administer oaths,
subpoena witnesses, require persons
having knowledge of the subject matter of the investigation to answer questionnaires and require the production
of relevant books, papers, documents
and other records.
(c) Attendance of witnesses or the
production of books, papers, documents
or any other evidence shall be compelled by a similar process as in the
United States District Court.
[CGFR 65–50, 30 FR 17099, Dec. 30, 1965, as
amended by CGD–104R, 37 FR 14234, July 18,
1972]

§ 4.07–7 Opening statement.
The investigating officer or the
Chairman of a Marine Board of Investigation shall open the investigation
by announcing the statutory authority
for the proceeding and he shall advise
parties in interest concerning their
rights to be represented by counsel, to
examine and cross-examine witnesses,
and to call witnesses in their own behalf.

[CGD 74–119, 39 FR 33317, Sept. 17, 1974, as
amended by CGD 75–196, 41 FR 18655, May 6,
1976; CGD 97–057, 62 FR 51042, Sept. 30, 1997]

§ 4.07–15

Recommendations, action on.

Where the recommendations of an investigating officer are such that their
accomplishment is within the authority of the District Commander or any
of the personnel under his command,
immediate steps shall be taken to put
them into effect and his forwarding endorsement shall so indicate.

§ 4.07–10 Report of investigation.
(a) At the conclusion of the investigation the investigating officer shall

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§ 4.09–5
Guard shall be in accordance with the
regulations in this part and all actions
taken in connection with the investigations of such marine casualties entered
in the official log(s) of the vessel(s)
concerned.

§ 4.07–20 Transfer of jurisdiction.
When it appears to the District Commander that it is more advantageous
to conduct an investigation in a district other than in the district where
the casualty was first reported, that officer shall transfer the case to the
other district together with any information or material relative to the casualty he may have.

§ 4.07–55 Information to be furnished
Marine Board of Investigation.
When a Marine Board of Investigation is convened in accordance with
§ 4.09–1, the investigating officer shall
immediately furnish the board with all
testimony, statements, reports, documents, papers, a list of witnesses including those whom he has examined,
other material which he may have
gathered, and a statement of any findings of fact which he may have determined. The preliminary investigation
shall cease forthwith and the aforementioned material shall become a
part of the Marine Board of Investigation’s record.

§ 4.07–25 Testimony of witnesses in
other districts, depositions.
When witnesses are available in a district other than the district in which
the investigation is being made, testimony or statements shall be taken
from witnesses in the other districts by
an investigating officer and promptly
transmitted to the investigating officer conducting the investigation. Depositions may be taken in the manner
prescribed by regulations in subpart
4.12.
§ 4.07–30 Testimony of witnesses under
oath.
(a) Witnesses to marine casualties or
accidents appearing before an investigating officer may be placed under
oath and their testimony may be reduced to writing.
(b) Written statements and reports
submitted as evidence by witnesses
shall be sworn to before an officer authorized to administer oaths and such
statements and/or reports shall be
signed.

Subpart 4.09—Marine Board of
Investigation
§ 4.09–1

Commandant to designate.

If it appears that it would tend to
promote safety of life and property at
sea or would be in the public interest,
the Commandant may designate a Marine Board of Investigation to conduct
an investigation.
[CGD 76–170, 45 FR 77441, Nov. 24, 1980]

§ 4.07–35 Counsel for witnesses and
parties in interest.
(a) All parties in interest shall be allowed to be represented by counsel, to
examine and cross-examine witnesses
and to call witnesses in their own behalf.
(b) Witnesses who are not parties in
interest may be assisted by counsel for
the purpose of advising such witnesses
concerning their rights; however, such
counsel will not be permitted to examine or cross-examine other witnesses or
otherwise participate in the investigation.

§ 4.09–5 Powers of Marine Board of Investigation.
Any Marine Board of Investigation so
designated shall have the power to administer oaths, summon witnesses, require persons having knowledge of the
subject matter of the investigation to
answer questionnaires, and to require
the production of relevant books, papers, documents or any other evidence.
Attendance of witnesses or the production of books, papers, documents or
any other evidence shall be compelled
by a similar process as in the United
States District Court. The chairman
shall administer all necessary oaths to
any witnesses summoned before said
Board.

§ 4.07–45 Foreign units of Coast Guard,
investigation by.
Investigations of marine casualties
conducted by foreign units of the Coast

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§ 4.09–10
§ 4.09–10

46 CFR Ch. I (10–1–03 Edition)
mandant will require to be placed into
effect such recommendations as he
may deem necessary for the better improvement and safety of life and property at sea.

Witnesses, payment of.

Any witness subpoenaed under § 4.09–
5 shall be paid such fees for his travel
and attendance as shall be certified by
the chairman of a Marine Board of Investigation or an investigating officer,
in accordance with § 4.11–10.

§ 4.09–35

§ 4.09–15 Time and place of investigation, notice of; rights of witnesses,
etc.
Reasonable notice of the time and
place of the investigation shall be
given to any person whose conduct is
or may be under investigation and to
any other party in interest. All parties
in interest shall be allowed to be represented by counsel, to cross-examine
witnesses, and to call witnesses in
their own behalf.
§ 4.09–17

Sessions to be public.

(a) All sessions of a Marine Board of
Investigation for the purpose of obtaining evidence shall normally be open to
the public, subject to the provision
that the conduct of any person present
shall not be allowed to interfere with
the proper and orderly functioning of
the Board. Sessions will not be open to
the public when evidence of a classified
nature or affecting national security is
to be received.
§ 4.09–20

Subpart 4.11—Witnesses and
Witness Fees
§ 4.11–1 Employees of vessels controlled by Army or Navy as witnesses.
No officer, seaman, or other employee of any public vessel controlled
by the Army or Navy (not including
the Coast Guard) of the United States,
shall be summoned or otherwise required to appear as a witness in connection with any investigation or other
proceeding without the consent of the
Government agency concerned.

Record of proceedings.

The testimony of witnesses shall be
transcribed and a complete record of
the proceedings of a Marine Board of
Investigation shall be kept. At the conclusion of the investigation a written
report shall be made containing findings of fact, opinions, and recommendations to the Commandant for
his consideration.
§ 4.09–25

§ 4.11–5

Coercion of witnesses.

Any attempt to coerce any witness or
to induce him to testify falsely in connection with a shipping casualty, or to
induce any witness to leave the jurisdiction of the United States, is punishable by a fine of $5,000.00 or imprisonment for one year, or both such fine
and imprisonment.

U.S. Attorney to be notified.

The recorder of a Marine Board of Investigation shall notify the United
States Attorney for the District in
which the Marine Board of Investigation is being conducted of the nature of
the casualty under investigation and
time and place the investigation will
be made.
§ 4.09–30

Preferment of charges.

(a) If in the course of an investigation by a Marine Board there appears
probable cause for the preferment of
charges against any licensed or certificated personnel, the Marine Board
shall, either during or immediately following the investigation and before the
witnesses have dispersed, apprise the
District Commander of such evidence
for possible action in accordance with
part 5 of this subchapter, without waiting for the approval of the report by
the Commandant. Such action or proceedings shall be independent and
apart from any other action which may
be later ordered by the Commandant or
taken by other authorities.

§ 4.11–10

Witness fees and allowances.

Witness fees and allowances are paid
in accordance with 46 CFR 5.401.

Action on report.

[CGD 79–080, 45 FR 2046, Jan. 10, 1980, as
amended by CGD 96–041, 61 FR 50726, Sept. 27,
1996]

Upon approval of the report of a Marine Board of Investigation the Com-

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§ 4.19–5
the list of interrogatories and cross-interrogatories (if any) shall be forwarded to the officer designated to
take such deposition. This officer will
cause the subpoena to be served personally on the witness. After service the
subpoena shall be endorsed and returned to the investigating officer or
Marine Board of Investigation.
(f) When the deposition has been duly
executed it shall be returned to the investigating officer or Marine Board of
Investigation. As soon as practicable
after the receipt of the deposition the
investigating officer or Marine Board
of Investigation shall present it to the
parties for their examination. The investigating officer or Marine Board of
Investigation shall rule on the admissibility of the deposition or any part
thereof and of any objection offered by
either party thereto.

Subpart 4.12—Testimony by
Interrogatories and Depositions
§ 4.12–1 Application, procedure, and
admissibility.
(a) Witnesses shall be examined orally, except that for good cause shown,
testimony may be taken by deposition
upon application of any party in interest or upon the initiative of the investigating officer or Marine Board of Investigation.
(b) Applications to take depositions
shall be in writing setting forth the
reasons why such deposition should be
taken, the name and address of the witness, the matters concerning which it
is expected the witness will testify, and
the time and place proposed for the
taking of the deposition. Such application shall be made to an investigating
officer or the Marine Board of Investigation prior to or during the course
of the proceedings.
(c) The investigating officer or Marine Board of Investigation, shall, upon
receipt of the application, if good cause
is shown, make and serve upon the parties an order which will specify the
name of the witness whose deposition
is to be taken, the name and place of
the taking of such deposition and shall
contain a designation of the officer before whom the witness is to testify.
Such deposition may be taken before
any officer authorized to administer
oaths by the laws of the United States.
(d) The party desiring the deposition
may submit a list of interrogatories to
be propounded to the absent witness;
then the opposite party after he has
been allowed a reasonable time for this
purpose, may submit a list of cross-interrogatories. If either party objects to
any question of the adversary party,
the matter shall be presented to the investigating officer or Marine Board of
Investigation for a ruling. Upon agreement of the parties on a list of interrogatories and cross-interrogatories (if
any) the investigating officer or Marine Board of Investigation may propound such additional questions as
may be necessary to clarify the testimony given by the witness.
(e) The subpoena referred to in subpart F of this subchapter together with

[CGD 74–119, 39 FR 33317, Sept. 17, 1974, as
amended by CGD 96–041, 61 FR 50726, Sept. 27,
1996]

Subpart 4.13—Availability of
Records
§ 4.13–1

Public availability of records.

Coast Guard records are made available to the public in accordance with 49
CFR part 7.
[CGD 73–43R, 40 FR 13501, Mar. 27, 1975]

Subpart 4.19—Construction of
Regulations and Rules of Evidence
§ 4.19–1

Construction of regulations.

The regulations in this part shall be
liberally construed to insure just,
speedy, and inexpensive determination
of the issues presented.
§ 4.19–5 Adherence
dence.

to

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As hearings under this part are administrative in character, strict adherence to the formal rules of evidence is
not imperative. However, in the interest of orderly presentation of the facts
of a case, the rules of evidence should
be observed as closely as possible.

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§ 4.21–1

46 CFR Ch. I (10–1–03 Edition)
(b) In those instances where the National Transportation Safety Board
conducts an investigation in which the
Coast Guard also has responsibility
under 46 U.S.C. Chapter 63, the proceedings are conducted independently
but so as to avoid duplication as much
as possible.

Subpart 4.21—Computation of
Time
§ 4.21–1

Computation of time.

The time, within which any act, provided by the regulation in this subchapter, or an order of the Marine
Board of Investigation is to be done,
shall be computed by excluding the
first day and including the last unless
the last day is Sunday or a legal holiday, in which case the time shall extend to and include the next succeeding
day that is not a Sunday or legal holiday: Provided, however, That where the
time fixed by the regulations in this
subchapter or an order of the Board is
five days or less all intervening Sundays or legal holidays, other than Saturdays, shall be excluded.

[CGD 76–149, 42 FR 61200, Dec. 1, 1977, as
amended by CGD 95–028, 62 FR 51195, Sept. 30,
1997]

§ 4.40–5 Definitions.
As used in this subpart:
(a) Act means title III of Public Law
93–633, the Independent Safety Board
Act of 1974, (49 U.S.C. 1131).
(b) Board means the National Transportation Safety Board.
(c) Chairman means the Chairman of
the National Transportation Safety
Board.
(d) Major marine casualty means a casualty involving a vessel, other than a
public vessel, that results in:
(1) The loss of six or more lives:
(2) The loss of a mechanically propelled vessel of 100 or more gross tons;
(3) Property damage initially estimated at $500,000 or more; or
(4) Serious threat, as determined by
the Commandant and concurred in by
the Chairman, to life, property, or the
environment by hazardous materials.
(e) Public vessel means a vessel owned
by the United States, except a vessel to
which the Act of October 25, 1919, c.82,
(41 Stat. 305, 46 U.S.C. 363) applies.
(f) Vessel of the United States means a
vessel:
(1) Documented or required to be documented under the laws of the United
States;
(2) Owned in the United States; or
(3) Owned by a citizen or resident of
the United States and not registered
under a foreign flag.

Subpart 4.23—Evidence of
Criminal Liability
§ 4.23–1

Evidence of criminal liability.

If as a result of any investigation or
other proceeding conducted hereunder,
evidence of criminal liability on the
part of any licensed officer or certificated person or any other person is
found, such evidence shall be referred
to the U.S. Attorney General.

Subpart 4.40—Coast Guard—National Transportation Safety
Board Marine Casualty Investigations
SOURCE: CGD 76–149, 42 FR 61200, Dec. 1,
1977, unless otherwise noted.

§ 4.40–1

Purpose.

This subpart prescribes the joint regulations of the National Transportation Safety Board and the Coast
Guard for the investigation of marine
casualties.

[CGD 76–149, 42 FR 61200, Dec. 1, 1977, as
amended by CGD 95–028, 62 FR 51195, Sept. 30,
1997]

[CGD 82–034, 47 FR 45882, Oct. 14, 1982]

§ 4.40–10 Preliminary investigation by
the Coast Guard.
(a) The Coast Guard conducts the
preliminary investigation of marine
casualties.
(b) The Commandant determines
from the preliminary investigation
whether:

§ 4.40–3 Relationship to Coast Guard
marine investigation regulations
and procedures.
(a) The Coast Guard’s responsibility
to investigate marine casualties is not
eliminated nor diminished by the regulations in this subpart.

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§ 4.40–30

(1) The casualty is a major marine
casualty; or
(2) The casualty involves a public and
a non-public vessel and at least one fatality or $75,000 in property damage; or
(3) The casualty involves a Coast
Guard and a non-public vessel and at
least one fatality or $75,000 in property
damage; or
(4) The casualty is a major marine
casualty which involves significant
safety issues relating to Coast Guard
safety functions, e.g., search and rescue, aids to navigation, vessel traffic
systems, commercial vessel safety, etc.
(c) The Commandant notifies the
Board of a casualty described in paragraph (b) of this section.

termines cause or probable cause and
issues a report of that determination.
§ 4.40–25 Coast Guard marine casualty
investigation for the Board.
(a) If the Board does not conduct an
investigation under § 4.40–15 (a), (b) (2)
or (3), the Coast Guard, at the request
of the Board, may conduct an investigation under the Act unless there is
an allegation of Federal Government
misfeasance or nonfeasance.
(b) The Board will request the Coast
Guard to conduct an investigation
under paragraph (a) of this section
within 48 hours of receiving notice
under § 4.40–10(c).
(c) The Coast Guard will advise the
Board within 24 hours of receipt of a request under paragraph (b) of this section whether the Coast Guard will conduct an investigation under the Act.

[CGD 76–149, 42 FR 61200, Dec. 1, 1977, as
amended by CGD 82–034, 47 FR 45882, Oct. 14,
1982]

§ 4.40–15 Marine casualty investigation
by the Board.
(a) The Board may conduct an investigation under the Act of any major
marine casualty or any casualty involving public and non-public vessels.
Where the Board determines it will
convene a hearing in connection with
such an investigation, the Board’s
rules of practice for transportation accident hearings in 49 CFR part 845 shall
apply.
(b) The Board shall conduct an investigation under the Act when:
(1) The casualty involves a Coast
Guard and a non-public vessel and at
least one fatality or $75,000 in property
damage; or
(2) The Commandant and the Board
agree that the Board shall conduct the
investigation, and the casualty involves a public and a non-public vessel
and at least one fatality or $75,000 in
property damage; or
(3) The Commandant and the Board
agree that the Board shall conduct the
investigation, and the casualty is a
major marine casualty which involves
significant safety issues relating to
Coast Guard safety functions.

[CGD 82–034, 47 FR 45882, Oct. 14, 1982]

§ 4.40–30 Procedures for Coast Guard
investigation.
(a) The Coast Guard conducts an investigation under § 4.40–25 using the
procedures in 46 CFR 4.01–1 through
4.23–1.
(b) The Board may designate a person
or persons to participate in every phase
of an investigation, including on scene
investigation, that is conducted under
the provisions of subpart 4.40–25 of this
part.
(c) Consistent with Coast Guard responsibility to direct the course of the
investigation, the person or persons
designated by the Board under paragraph (b) of this section may:
(1) Make recommendations about the
scope of the investigations.
(2) Call and examine witnesses.
(3) Submit or request additional evidence.
(d) The Commandant provides a
record of the proceedings to the Board
of an investigation of a major marine
casualty under paragraph (a) of this
section.
(e) The Board, under the Act, makes
its determination of the facts, conditions, circumstances, and the cause or
probable cause of a major marine casualty using the record of the proceedings provided by the Commandant
under paragraph (d) of this section, and

[CGD 82–034, 47 FR 45882, Oct. 14, 1982]

§ 4.40–20 Cause or probable cause determinations from Board investigation.
After an investigation conducted by
the Board under § 4.40–15, the Board de-

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§ 4.40–35

46 CFR Ch. I (10–1–03 Edition)

any additional evidence the Board may
acquire under its own authority.
(f) An investigation by the Coast
Guard under this section is both an investigation under the Act and under 46
U.S.C. Chapter 63.

5.103
5.105
5.107

Powers of investigating officer.
Course of action available.
Service of complaints.

[CGD 76–149, 42 FR 61200, Dec. 1, 1977, as
amended by CGD 95–028, 62 FR 51195, Sept. 30,
1997]

5.201 Voluntary deposits in event of mental
or physical incompetence.
5.203 Voluntary surrender to avoid hearing.
5.205 Return or issuance of a license, certificate of registry, or merchant mariners
document.

Subpart E—Deposit or Surrender of License,
Certificate or Document

§ 4.40–35 Records of the Coast Guard
and the Board.
(a) Records of the Coast Guard made
under § 4.40–30 are available to the public under 49 CFR part 7.
(b) Records of the Board made under
§§ 4.40–20 and 4.40–30 are available to the
public under 49 CFR part 801.

Subpart F—Subpoenas
5.301 Issuance of subpoenas.
5.303 Service of subpoenas on behalf of the
respondent.
5.305 Quashing a subpoena.
5.307 Enforcement.
5.309 Proof of service

PART 5—MARINE INVESTIGATION
REGULATIONS—PERSONNEL ACTION

Subpart G—Witness Fees
5.401 Payment of witness fees and allowances.

Subpart A—Purpose
Subpart H—Hearings

Sec.
5.3 Purpose of regulations.
5.5 Purpose of administrative actions.

5.501 General.
5.521 Verification of license, certificate or
document.
5.567 Order.
5.569 Selection of an appropriate order.

Subpart B—Definitions
5.15
5.19
5.27
5.29
5.31
5.33
5.35

Investigating Officer.
Administrative Law Judge.
Misconduct.
Negligence.
Incompetence.
Violation of law or regulation.
Conviction for a dangerous drug law
violation, use of, or addiction to the use
of dangerous drugs.

Subpart I [Reserved]
Subpart J—Appeals
5.701 Appeals in general.
5.707 Stay of effect of decision and order of
Administrative Law Judge on appeal to
the Commandant; temporary license, certificate, or document.
5.713 Appeals to the National Transportation Safety Board.
5.715 Stay of effect of Decision of the Commandant on Appeal: Temporary document and/or license pending appeal to
National Transportation Safety Board.

Subpart C—Statement of Policy and
Interpretation
5.51
5.55

Construction of regulations.
Time limitations for service of a complaint.
5.57 Acting under authority of license, certificate or document.
5.59 Offenses for which revocation of licenses, certificates or documents is mandatory.
5.61 Acts or offenses for which revocation of
licenses, certificates, or documents is
sought.
5.65 Commandant’s decisions in appeal or
review cases.
5.67 Physician–patient privilege.
5.69 Evidence of criminal liability.
5.71 Maritime labor disputes.

Subpart K—Review of Administrative Law
Judge’s Decisions in Cases Where
Charges Have Been Found Proved
5.801
5.803
5.805
5.807

Subpart L—Issuance of New Licenses, Certificates or Documents After Revocation or Surrender

Subpart D—Investigations
5.101

Commandant’s review.
Record for decision on review.
Action on review.
Commandant’s Decision on Review.

5.901
5.903

Conduct of investigations.

Time limitations.
Application procedures.

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