StatA

§ 3.10–5

46 CFR Ch. I (10–1–10 Edition)

(b) The request should contain sufficient information to allow the Officer
in Charge, Marine Inspection, to make
this determination. At a minimum, the
following items must be submitted:
(1) A detailed description of the vessel, including its identification number, owner and charterer.
(2) A specific operating plan stating
precisely the intended use of the vessel.
(3) Any additional information as
may be requested by the Officer in
Charge, Marine Inspection.
(c) If designation is granted, it shall
be indicated as follows:
(1) For inspected vessels—indicated
on the certificate of inspection, valid
for its duration.
(2) For uninspected vessels—indicated by a letter of designation, which
shall be maintained on board the vessel
and remain in effect for two years from
date of issuance.
(d) All designations shall remain
valid for the period specified on the applicable document, provided all operating conditions remain unchanged
from the date of designation.
(e) In the event of a change in operating conditions, the owner, master, or
agent of the vessel shall advise the Officer in Charge, Marine Inspection who
issued the designation. After reviewing
the pertinent information concerning
the operational changes, the Officer in
Charge, Marine Inspection, shall determine if the vessel is still eligible to retain its designation as an oceanographic research vessel.

§ 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.
[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

Subpart 4.03—Definitions
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.
4.03–60 Noxious liquid substance (NLS).
4.03–65 Significant harm to the environment.
4.03–70 Tank vessel.
4.03–75 Merchant mariner credential and
credential.

Subpart 4.04—Notice of Potential Vessel
Casualty

[CGD 77–081, 46 FR 56202, Nov. 16, 1981, as
amended by CGD 95–028, 62 FR 51195, Sept. 30,
1997]

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

§ 3.10–5 Renewal of letter of designation.

erowe on DSK5CLS3C1PROD with CFR

Scope of regulation.
Reporting exclusion.

At least 60 days prior to the expiration date of the letter of designation or
certificate of inspection, a request for
renewal must be submitted in the same
manner as described in 3.10–1. However,
if the request for renewal is submitted
to the Officer in Charge, Marine Inspection, who made the initial determination and all operating conditions
remain unchanged, the information required by § 3.10–1(b) need not be resubmitted with the request.

Subpart 4.05—Notice of Marine Casualty
and Voyage Records
4.05–1 Notice of marine casualty.
4.05–2 Incidents involving foreign tank vessels.
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.

42

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00052

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 4.01–1

4.05–25 Reports when state of war exists.
4.05–30 Incidents involving hazardous materials.
4.05–35 Incidents involving nuclear vessels.
4.05–40 Alternate electronic means of reporting.

4.11–5 Coercion of witnesses.
4.11–10 Witness fees and allowances.

Subpart 4.12—Testimony by Interrogatories
and Depositions
4.12–1 Application, procedure, and admissibility.

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

Subpart 4.13—Availability of Records
4.13–1

4.06–1 Responsibilities of the marine employer.
4.06–3 Requirements for alcohol and drug
testing following a serious marine incident.
4.06–5 Responsibility of individuals directly
involved in serious marine incidents.
4.06–15 Accessibility of chemical testing devices.
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.
4.06–70 Penalties.

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

Subpart 4.07—Investigations
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.

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 4.09—Marine Board of
Investigation

AUTHORITY: 33 U.S.C. 1231; 43 U.S.C. 1333; 46
U.S.C. 2103, 2303a, 2306, 6101, 6301, and 6305; 50
U.S.C. 198; Department of Homeland Security Delegation No. 0170.1. Subpart 4.40
issued under 49 U.S.C. 1903(a)(1)(E).

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.
erowe on DSK5CLS3C1PROD with CFR

Public availability of records.

SOURCE: CGD 74–119, 39 FR 33317, Sept. 17,
1974, unless otherwise noted.

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

Scope of regulation.

The regulations in this part govern
the reporting of marine casualties, the
investigation of marine casualties and

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

43

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00053

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.01–3

46 CFR Ch. I (10–1–10 Edition)

the submittal of reports designed to increase the likelihood of timely assistance to vessels in distress.

involving a vessel and includes, but is
not limited to, the following:
(1) Any fall overboard, injury, or loss
of life of any person.
(2) Any occurrence involving a vessel
that results in—
(i) Grounding;
(ii) Stranding;
(iii) Foundering;
(iv) Flooding;
(v) Collision;
(vi) Allision;
(vii) Explosion;
(viii) Fire;
(ix) Reduction or loss of a vessel’s
electrical power, propulsion, or steering capabilities;
(x) Failures or occurrences, regardless of cause, which impair any aspect
of a vessel’s operation, components, or
cargo;
(xi) Any other circumstance that
might affect or impair a vessel’s seaworthiness, efficiency, or fitness for
service or route; or
(xii) Any incident involving significant harm to the environment.
(3) Any occurrences of injury or loss
of life to any person while diving from
a vessel and using underwater breathing apparatus.
(4) Any incident described in § 4.05–
1(a).

[CGD 85–015, 51 FR 19341, May 29, 1986]

§ 4.01–3

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.
[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]

[USCG–2000–6927, 70 FR 74675, Dec. 16, 2005]

§ 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

Subpart 4.03—Definitions

erowe on DSK5CLS3C1PROD with CFR

§ 4.03–1

Marine casualty or accident.

Marine casualty or accident means—
(a) Any casualty or accident involving any vessel other than a public vessel that—
(1) Occurs upon the navigable waters
of the United States, its territories or
possessions;
(2) Involves any United States vessel
wherever such casualty or accident occurs; or
(3) With respect to a foreign tank
vessel operating in waters subject to
the jurisdiction of the United States,
including the Exclusive Economic Zone
(EEZ), involves significant harm to the
environment or material damage affecting the seaworthiness or efficiency
of the vessel.
(b) The term ‘‘marine casualty or accident’’ applies to events caused by or

44

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00054

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 4.03–30

(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.

for evidence of dangerous drug or alcohol use.
[CGD 86–067, 53 FR 47077, Nov. 21, 1988]

§ 4.03–10

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.

§ 4.03–20

§ 4.03–25

Medical facility.

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

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.

§ 4.03–30

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.

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

erowe on DSK5CLS3C1PROD with CFR

District Commander.

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.

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.

§ 4.03–7

Coast Guard district.

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

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

§ 4.03–6

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.

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

§ 4.03–5

Party in interest.

Chemical test.

The term chemical test means a scientifically recognized test which analyzes an individual’s breath, blood,
urine, saliva, bodily fluids, or tissues

45

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00055

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.03–35

46 CFR Ch. I (10–1–10 Edition)
the column headed ‘‘IMO Annex II pollution category’’ in table 1 of part 153
of this chapter; and
(c) Each substance that is identified
as an NLS in a written permission
issued under § 153.900(d) of this chapter.

§ 4.03–35 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.

[USCG–2000–6927, 70 FR 74676, Dec. 16, 2005]

§ 4.03–65 Significant harm to the environment.
Significant harm to the environment
means—
(a) In the navigable waters of the
United States, a discharge of oil as set
forth in 40 CFR 110.3 or a discharge of
hazardous substances in quantities
equal to or exceeding, in any 24-hour
period, the reportable quantity determined in 40 CFR part 117;
(b) In other waters subject to the jurisdiction of the United States, including the EEZ—
(1) A discharge of oil in excess of the
quantities or instantaneous rate permitted in 33 CFR 151.10 or 151.13 during
operation of the ship; or
(2) A discharge of noxious liquid substances in bulk in violation of
§§ 153.1126 or 153.1128 of this chapter
during the operation of the ship; and
(c) In waters subject to the jurisdiction of the United States, including the
EEZ, a probable discharge of oil, hazardous substances, marine pollutants,
or noxious liquid substances. The factors you must consider to determine
whether a discharge is probable include, but are not limited to—
(1) Ship location and proximity to
land or other navigational hazards;
(2) Weather;
(3) Tide current;
(4) Sea state;
(5) Traffic density;
(6) The nature of damage to the vessel; and
(7) Failure or breakdown aboard the
vessel, its machinery, or equipment.

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

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

§ 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.

[USCG–2000–6927, 70 FR 74676, Dec. 16, 2005]

erowe on DSK5CLS3C1PROD with CFR

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

§ 4.03–70 Tank vessel.
Tank vessel means a vessel that is
constructed or adapted to carry, or
that carries, oil, hazardous substances,
marine pollutants, or noxious liquid
substances, in bulk as cargo or cargo
residue.

§ 4.03–60 Noxious
liquid
substance
(NLS).
Noxious
liquid
substance
(NLS)
means—
(a) Each substance listed in 33 CFR
151.47 or 151.49;
(b) Each substance having an ‘‘A,’’
‘‘B,’’ ‘‘C,’’ or ‘‘D’’ beside its name in

[USCG–2000–6927, 70 FR 74676, Dec. 16, 2005]

46

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00056

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 4.05–1
(46 App. U.S.C. 1122a), shall immediately notify the Coast Guard if more
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.

§ 4.03–75 Merchant mariner credential
and credential.
The following definitions apply to
this part:
Credential means any or all of the following:
(1) Merchant mariner’s document.
(2) Merchant mariner’s license.
(3) STCW endorsement.
(4) Certificate of registry.
(5) Merchant mariner credential.
Merchant mariner credential or MMC
means the credential issued by the
Coast Guard under 46 CFR part 10. It
combines the individual merchant
mariner’s document, license, and certificate of registry enumerated in 46
U.S.C. subtitle II part E as well as the
STCW endorsement into a single credential that serves as the mariner’s
qualification document, certificate of
identification, and certificate of service.

(Information collection requirements approved by the Office of Management and
Budget under control number 1625–0048)
[CGD 85–015, 51 FR 19341, May 29, 1986, as
amended by USCG–2006–25697, 71 FR 55745,
Sept. 25, 2006]

§ 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.

[USCG–2006–24371, 74 FR 11214, Mar. 16, 2009]

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

erowe on DSK5CLS3C1PROD with CFR

§ 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.

(Information collection requirements approved by the Office of Management and
Budget under control number 1625–0048)
[CGD 85–015, 51 FR 19341, May 29, 1986, as
amended by USCG–2006–25697, 71 FR 55745,
Sept. 25, 2006]

Subpart 4.05—Notice of Marine
Casualty and Voyage Records
§ 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
Sector 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

§ 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

47

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00057

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.05–2

46 CFR Ch. I (10–1–10 Edition)
apply to foreign tank vessels operating
on the navigable waters of the United
States, its territories, or possessions. A
written marine casualty report must
be submitted under § 4.05–10 of this
chapter.
(b) Outside the U.S. navigable waters
and within the Exclusive Economic Zone
(EEZ). The owner, agent, master, operator, or person in charge of a foreign
tank vessel involved in a marine casualty must report under procedures detailed in 33 CFR 151.15, immediately
after addressing resultant safety concerns, whenever the marine casualty
involves, or results in—
(1) Material damage affecting the
seaworthiness or efficiency of the vessel; or
(2) An occurrence involving significant harm to the environment as a result of a discharge, or probable discharge, resulting from damage to the
vessel or its equipment. The factors
you must consider to determine whether a discharge is probable include, but
are not limited to—
(i) Ship location and proximity to
land or other navigational hazards;
(ii) Weather;
(iii) Tide current;
(iv) Sea state;
(v) Traffic density;
(vi) The nature of damage to the vessel; and
(vii) Failure or breakdown aboard the
vessel, its machinery, or equipment.

meets any criterion of paragraphs (a)
(3) through (8);
(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 seaworthiness 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.
(8) An occurrence involving significant harm to the environment as defined in § 4.03–65.
(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.
(c) Except as otherwise required
under this subpart, if the marine casualty exclusively involves an occurrence or occurrences described by paragraph (a)(8) of this section, a report
made pursuant to 33 CFR 153.203, 40
CFR 117.21, or 40 CFR 302.6 satisfies the
immediate notification requirement of
this section.

[USCG–2000–6927, 70 FR 74676, Dec. 16, 2005]

§ 4.05–5 Substance of marine casualty
notice.
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.

[CGD 94–030, 59 FR 39471, Aug. 3, 1994, as
amended by USCG–2000–6927, 70 FR 74676,
Dec. 16, 2005; USCG–2006–25556, 72 FR 36330,
July 2, 2007]

erowe on DSK5CLS3C1PROD with CFR

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

§ 4.05–2 Incidents involving foreign
tank vessels.
(a) Within the navigable waters of the
United States, its territories, or possessions. The marine casualty reporting
and investigation criteria of this part

§ 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

48

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00058

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 4.05–25

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 Sector 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 CG2692A (Barge Addendum) and CG-2692B
(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).

and shall be admissible as evidence in
any administrative proceeding.
[CGD 84–099, 52 FR 47534, Dec. 14, 1987]

§ 4.05–15

[CGD 94–030, 63 FR 19192, Apr. 17, 1998, as
amended by USCG–2006–25556, 72 FR 36330,
July 2, 2007]

erowe on DSK5CLS3C1PROD with CFR

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
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.

§ 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 CG2692, 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),

§ 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

49

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00059

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.05–30

46 CFR Ch. I (10–1–10 Edition)

be handled with caution and the reports shall not be made by radio or by
telegram.

rence 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
as required in this part.
(c) The marine employer determines
which individuals are directly involved
in a serious marine incident (SMI). A
law enforcement officer may determine
that additional individuals are directly
involved in the SMI. In these cases, the
marine employer must take all practical steps to have these additional individuals tested according to this part.
(d) The requirements of this subpart
do not prevent personnel who are required to be tested from performing duties in the aftermath of an SMI when
their performance is necessary to respond to safety concerns directly related to the incident.
(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.

§ 4.05–30 Incidents
involving
hazardous materials.
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]

§ 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]

[CGD 86–067, 53 FR 47078, Nov. 21, 1988, as
amended by USCG-2000–7759, 66 FR 42967,
Aug. 16, 2001; USCG–2001–8773, 70 FR 75960,
Dec. 22, 2005]

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

§ 4.06–3 Requirements for alcohol and
drug testing following a serious marine incident.
When a marine employer determines
that a casualty or incident is, or is
likely to become, an SMI, the marine
employer must ensure that the following alcohol and drug testing is conducted:
(a) Alcohol testing. (1) Alcohol testing
must be conducted on each individual
engaged or employed on board the vessel who is directly involved in the SMI.
(i) The alcohol testing of each individual must be conducted within 2
hours of when the SMI occurred, unless
precluded by safety concerns directly
related to the incident.

erowe on DSK5CLS3C1PROD with CFR

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

§ 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 occur-

50

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00060

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 4.06–15

(ii) If safety concerns directly related
to the SMI prevent the alcohol testing
from being conducted within 2 hours of
the occurrence of the incident, then alcohol testing must be completed as
soon as the safety concerns are addressed.
(iii) Alcohol testing is not required to
be conducted more than 8 hours after
the occurrence of the SMI.
(2) Alcohol-testing devices must be
used according to the procedures specified by the manufacturer of the testing
device and by this part.
(3) If the alcohol testing required in
paragraphs (a)(1)(i) and (a)(1)(ii) of this
section is not conducted, the marine
employer must document on form CG–
2692B the reason why the testing was
not conducted.
(4) The marine employer may use alcohol-testing results from tests conducted by Coast Guard or local law enforcement personnel to satisfy the alcohol testing requirements of this part
only if the alcohol testing meets all of
the requirements of this part.
(b) Drug testing. (1) Drug testing must
be conducted on each individual engaged or employed on board the vessel
who is directly involved in the SMI.
(i) The collection of drug-test specimens of each individual must be conducted within 32 hours of when the SMI
occurred, unless precluded by safety
concerns directly related to the incident.
(ii) If safety concerns directly related
to the SMI prevent the collection of
drug-test specimens from being conducted within 32 hours of the occurrence of the incident, then the collection of drug-test specimens must be
conducted as soon as the safety concerns are addressed.
(2) If the drug-test specimens required in paragraphs (b)(1)(i) and
(b)(1)(ii) of this section were not collected, the marine employer must document on form CG–2692B the reason
why the specimens were not collected.

SMI must provide a blood, breath, saliva, or urine specimen for chemical
testing when directed to do so by the
marine employer or a law enforcement
officer.
(b) If the individual refuses to provide a blood, breath, saliva, or urine
specimen, this refusal must be noted on
form CG–2692B and in the vessel’s official log book, if a log book is required.
The marine employer must remove the
individual as soon as practical from duties that directly affect the safe operation of the vessel.
(c) Individuals subject to alcohol
testing after an SMI are prohibited
from consuming alcohol beverages for 8
hours following the occurrence of the
SMI or until after the alcohol testing
required by this part is completed.
(d) No individual may be compelled
to provide specimens for alcohol and
drug testing required by this part.
However, refusal to provide specimens
is a violation of this subpart and may
subject the individual to suspension
and revocation proceedings under part
5 of this chapter, a civil penalty, or
both.
[USCG–2001–8773, 70 FR 75961, Dec. 22, 2005]

§ 4.06–15 Accessibility of chemical testing devices.
(a) Alcohol testing. (1) The marine employer must have a sufficient number
of alcohol testing devices readily accessible on board the vessel to determine the presence of alcohol in the system of each individual who was directly involved in the SMI.
(2) All alcohol testing devices used to
meet the requirements of this part
must be currently listed on either the
Conforming Products List (CPL) titled
‘‘Modal Specifications for Devices To
Measure Breath Alcohol’’ or ‘‘Conforming Products List of Screening Devices To Measure Alcohol in Bodily
Fluids,’’ which are published periodically in the FEDERAL REGISTER by National Highway Traffic Safety Administration (NHTSA).
(3) The alcohol testing devices need
not be carried on board each vessel if
obtaining the devices and conducting
the required alcohol tests can be accomplished within 2 hours from the
time of occurrence of the SMI.

erowe on DSK5CLS3C1PROD with CFR

[USCG–2001–8773, 70 FR 75960, Dec. 22, 2005]

§ 4.06–5 Responsibility of individuals
directly involved in serious marine
incidents.
(a) Any individual engaged or employed on board a vessel who is determined to be directly involved in an

51

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00061

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.06–20

46 CFR Ch. I (10–1–10 Edition)

(b) Drug testing. (1) The marine employer must have a sufficient number
of urine-specimen collection and shipping kits meeting the requirements of
49 CFR part 40 that are readily accessible for use following SMIs.
(2) The specimen collection and shipping kits need not be carried on board
each vessel if obtaining the kits and
collecting the specimen can be completed within 32 hours from the time of
the occurrence of the SMI.

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).

[USCG–2001–8773, 70 FR 75961, Dec. 22, 2005]

§ 4.06–20 Specimen collection requirements.
(a) Alcohol testing. (1) When conducting alcohol testing required in
§ 4.06–3(a), an individual determined
under this part to be directly involved
in the SMI must provide a specimen of
their breath, blood, or saliva to the
marine employer as required in this
subpart.
(2) Collection of an individual’s blood
to comply with § 4.06–3(a) must be
taken only by qualified medical personnel.
(3) Collection of an individual’s saliva or breath to comply with § 4.06–3(a)
must be taken only by personnel
trained to operate the alcohol-testing
device in use and must be conducted
according to this subpart.
(b) Drug testing. (1) When conducting
drug testing required in § 4.06–3(b), an
individual determined under this part
to be directly involved in the SMI must
provide a specimen of their urine according to 46 CFR part 16 and 49 CFR
part 40.
(2) Specimen collection and shipping
kits used to conduct drug testing must
be used according to 49 CFR part 40.

§ 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
expeditious means, but need not be
shipped in a cooled condition for overnight delivery.

erowe on DSK5CLS3C1PROD with CFR

[USCG–2001–8773, 70 FR 75961, Dec. 22, 2005]

§ 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

[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

52

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00062

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 4.07–1
est 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.

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]

§ 4.06–70

[USCG–2001–8773, 70 FR 75961, Dec. 22, 2005]

Subpart 4.07—Investigations

[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]

§ 4.07–1 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
duty, negligence or willful violation of

§ 4.06–60 Submission of reports and
test results.

erowe on DSK5CLS3C1PROD with CFR

Penalties.

Violation of this part is subject to
the civil penalties set forth in 46 U.S.C.
2115.

(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 CG2692 (Report of Marine Casualty, Injury
or Death) to the Coast Guard in accordance with § 4.05–10, the report required
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 near-

53

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00063

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.07–5

46 CFR Ch. I (10–1–10 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
credentials; 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.

the law on the part of any person holding a Coast Guard credential contributed to the casualty, so that appropriate proceedings against the credential 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; USCG–2006–24371, 74 FR 11214, Mar. 16,
2009]

§ 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]

erowe on DSK5CLS3C1PROD with CFR

§ 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;
USCG–2006–24371, 74 FR 11214, Mar. 16, 2009]

§ 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

54

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00064

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 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

[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.

erowe on DSK5CLS3C1PROD with CFR

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.

§ 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

55

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00065

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.09–10
§ 4.09–10

46 CFR Ch. I (10–1–10 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

erowe on DSK5CLS3C1PROD with CFR

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-

56

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00066

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 4.19–5
terrogatories (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

erowe on DSK5CLS3C1PROD with CFR

§ 4.12–1 Application,
admissibility.

procedure,

and

(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
the list of interrogatories and cross-in-

[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

rules

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00067

evi-

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.

57

VerDate Mar<15>2010

of

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.21–1

46 CFR Ch. I (10–1–10 Edition)
eliminated nor diminished by the regulations in this subpart.
(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

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.
[CGD 74–119, 39 FR 33317, Sept. 17, 1974, as
amended by USCG-2004–18884, 69 FR 58341,
Sept. 30, 2004]

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]

erowe on DSK5CLS3C1PROD with CFR

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.

§ 4.40–10 Preliminary investigation by
the Coast Guard.

§ 4.40–3 Relationship to Coast Guard
marine investigation regulations
and procedures.
(a) The Coast Guard’s responsibility
to investigate marine casualties is not

(a) The Coast Guard conducts the
preliminary investigation of marine
casualties.

58

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00068

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

Coast Guard, DHS

§ 4.40–30

(b) The Commandant determines
from the preliminary investigation
whether:
(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.

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

erowe on DSK5CLS3C1PROD with CFR

§ 4.40–15 Marine casualty investigation
by the Board.

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

(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.

§ 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 an 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

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

59

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00069

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191

§ 4.40–35

46 CFR Ch. I (10–1–10 Edition)
5.67 Physician-patient privilege.
5.69 Evidence of criminal liability.
5.71 Maritime labor disputes.

probable cause of a major marine casualty using the record of the proceedings provided by the Commandant
under paragraph (d) of this section, and
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.

Subpart D—Investigations
5.101
5.103
5.105
5.107

Subpart E—Deposit or Surrender of Coast
Guard Credential or Endorsement

[CGD 76–149, 42 FR 61200, Dec. 1, 1977, as
amended by CGD 95–028, 62 FR 51195, Sept. 30,
1997; USCG-2004–18884, 69 FR 58341, Sept. 30,
2004]

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 credential or
endorsement.

§ 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 credential or endorsement.
5.567 Order.
5.569 Selection of an appropriate order.

Subpart B—Definitions
5.11
5.15
5.19
5.27
5.29
5.31
5.33
5.35

Officer in Charge, Marine Inspection.
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.
5.40 Credential and merchant mariner credential.

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 credential
or endorsement.
5.713 Appeals to the National Transportation Safety Board.
5.715 Stay of effect of Decision of the Commandant on Appeal: Temporary credential and/or endorsement pending appeal
to
National
Transportation
Safety
Board.

Subpart C—Statement of Policy and
Interpretation
5.51
5.55

erowe on DSK5CLS3C1PROD with CFR

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

Construction of regulations.
Time limitations for service of a complaint.
5.57 Acting under authority of Coast Guard
credential or endorsement.
5.59 Offenses for which revocation of credentials or endorsements is mandatory.
5.61 Acts or offenses for which revocation of
credentials is sought.
5.65 Commandant’s decisions in appeal or
review cases.

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

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

60

VerDate Mar<15>2010

11:28 Nov 15, 2010

Jkt 220191

PO 00000

Frm 00070

Fmt 8010

Sfmt 8010

Y:\SGML\220191.XXX

220191