Stat/Authority

Coast Guard, DHS

Pt. 16

well as by a record of the most recent
basic safety assessment and by instances where ship-specific familiarization has been achieved and maintained).
[CGD 95–062, 62 FR 34539, June 26, 1997, as
amended by USCG–2006–24371, 74 FR 11263,
Mar. 16, 2009]

§ 15.1109

Watches.

Each master of a vessel that operates
beyond the Boundary Line shall ensure
observance of the principles concerning
watchkeeping set out in STCW Regulation VIII/2 and section A-VIII/2 of the
STCW Code.
§ 15.1111

section as well as port rotations and
changes in the vessel’s itinerary.
[CGD 95–062, 62 FR 34539, June 26, 1997, as
amended by USCG–2006–24371, 74 FR 11263,
Mar. 16, 2009]

§ 15.1113

Vessel Security Officer (VSO).

After July 1, 2009, on board seagoing
vessel, all persons performing duties as
VSO must hold a valid endorsement as
Vessel Security Officer.
[USCG–2008–0028, 73 FR 29071, May 20, 2008]

PART 16—CHEMICAL TESTING
Subpart A—General

Work hours and rest periods.

(a) Each person assigned duty as officer in charge of a navigational or engineering watch, or duty as a rating
forming part of a navigational or engineering watch, on board any vessel
that operates beyond the Boundary
Line shall receive a minimum of 10
hours of rest in any 24-hour period.
(b) The hours of rest required under
paragraph (a) of this section may be divided into no more than two periods, of
which one must be at least 6 hours in
length.
(c) The requirements of paragraphs
(a) and (b) of this section need not be
maintained in the case of an emergency or drill or in other overriding
operational conditions.
(d) The minimum period of 10 hours
of rest required under paragraph (a) of
this section may be reduced to not less
than 6 consecutive hours as long as—
(1) No reduction extends beyond 2
days; and
(2) Not less than 70 hours of rest are
provided each 7-day period.
(e) The minimum period of rest required under paragraph (a) of this section
may
not
be
devoted
to
watchkeeping or other duties.
(f) Watchkeeping personnel remain
subject to the work-hour limits in 46
U.S.C. 8104 and to the conditions when
crew members may be required to
work.
(g) The Master shall post watch
schedules where they are easily accessible. They must cover each affected
member of the crew and must take into
account the rest requirements of this

Sec.
16.101
16.105
16.107
16.109
16.113
16.115

Purpose of regulations.
Definitions of terms used in this part.
Waivers.
Public Interest Exclusion (PIE).
Chemical drug testing.
Penalties.

Subpart B—Required Chemical Testing
16.201 Application.
16.203 Employer, MRO, and SAP responsibilities.
16.205 Implementation of chemical testing
programs.
16.210 Pre-employment
testing
requirements.
16.220 Periodic testing requirements.
16.230 Random testing requirements.
16.240 Serious marine incident testing requirements.
16.250 Reasonable cause testing requirements.
16.260 Records.

Subpart C [Reserved]
Subpart D—Employee Assistance Programs
16.401

Employee Assistance Program (EAP).

Subpart E—Management Information
System
16.500 Management Information System requirements.
APPENDIX A [RESERVED]
AUTHORITY: 46 U.S.C. 2103, 3306, 7101, 7301,
and 7701; Department of Homeland Security
Delegation No. 0170.1.
SOURCE: CGD 86–067, 53 FR 47079, Nov. 21,
1988, unless otherwise noted.

253

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00263

Fmt 8010

Sfmt 8010

Q:\46\46V1.TXT

ofr150

PsN: PC150

§ 16.101

46 CFR Ch. I (10–1–11 Edition)

Subpart A—General
§ 16.101 Purpose of regulations.
(a) The regulations in this part provide a means to minimize the use of intoxicants by merchant marine personnel and to promote a drug free and
safe work environment.
(b) These regulations prescribe the
minimum standards, procedures, and
means to be used to test for the use of
dangerous drugs.
(c) As part of a reasonable cause drug
testing program established pursuant
to this part, employers may test for
drugs in addition to those specified in
this part only with approval granted by
the Coast Guard under 49 CFR part 40
and for substances for which the Department of Health and Human Services has established an approved testing protocol and positive threshold.
§ 16.105 Definitions of terms used in
this part.
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.
Consortium/Third party administrator
(C/TPA) means a service agent who provides or coordinates the provision of a
variety of drug and alcohol testing
services to employers. C/TPAs typically perform administrative tasks
concerning the operation of the employers’ drug and alcohol testing programs. This term includes, but is not
limited to, groups of employers who
join together to administer, as a single
entity, the DOT drug and alcohol testing programs of its members.
Credential is a term used to refer to
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.
Crewmember means an individual who
is:
(1) Onboard a vessel acting under the
authority of a credential issued under
this subchapter, whether or not the individual is a member of the vessel’s
crew; or
(2) Engaged or employed onboard a
vessel owned in the United States that

is required by law or regulation to engage, employ, or be operated by an individual holding a credential issued
under this subchapter, except for the
following:
(i) Individuals on fish processing vessels who are primarily employed in the
preparation of fish or fish products, or
in a support position, and who have no
duties that directly affect the safe operation of the vessel;
(ii) Scientific personnel on an oceanographic research vessel;
(iii) Individuals on industrial vessels
who are industrial personnel, as defined in this chapter; and
(iv) Individuals not required under
part 15 of this subchapter who have no
duties that directly affect the safe operation of the vessel.
Dangerous drug means a narcotic
drug, a controlled substance, or a controlled-substance analog (as defined in
section 102 of the Comprehensive Drug
Abuse and Control Act of 1970 (21 U.S.C.
802)).
Drug test means a chemical test of an
individual’s urine for evidence of dangerous drug use.
Employer means a marine employer
or sponsoring organization.
Fails a chemical test for dangerous
drugs means that the result of a chemical test conducted in accordance with
49 CFR 40 was reported as ‘‘positive’’ by
a Medical Review Officer because the
chemical test indicated the presence of
a dangerous drug at a level equal to or
exceeding the levels established in 49
CFR part 40.
Marine employer means the owner,
managing operator, charterer, agent,
master, or person in charge of a vessel,
other than a recreational vessel.
Medical Review Officer (MRO) means a
person who is a licensed physician and
who is responsible for receiving and reviewing laboratory results generated
by an employer’s drug testing program
and evaluating medical explanations
for certain drug test results.
Operation means to navigate, steer,
direct, manage, or sail a vessel, or to
control, monitor, or maintain the vessel’s main or auxiliary equipment or
systems. Operation includes:
(a) Determining the vessel’s position,
piloting, directing the vessel along a
desired trackline, keeping account of

254

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00264

Fmt 8010

Sfmt 8010

Q:\46\46V1.TXT

ofr150

PsN: PC150

Coast Guard, DHS

§ 16.107

the vessel’s progress through the
water, ordering or executing changes in
course, rudder position, or speed, and
maintaining a lookout;
(b) Controlling, operating, monitoring, maintaining, or testing: the
vessel’s propulsion and steering systems; electric power generators; bilge,
ballast, fire, and cargo pumps; deck
machinery
including
winches,
windlasses, and lifting equipment; lifesaving equipment and appliances; firefighting systems and equipment; and
navigation and communication equipment; and
(c) Mooring, anchoring, and line handling; loading or discharging of cargo
or fuel; assembling or disassembling of
tows; and maintaining the vessel’s stability and watertight integrity.
Passes a chemical test for dangerous
drugs means the result of a chemical
test conducted in accordance with 49
CFR part 40 is reported as ‘‘negative’’
by a Medical Review Officer in accordance with that part.
Positive rate for random drug testing
means the number of verified positive
results for random drug tests conducted under this part plus the number
of refusals of random drug tests required by this part, divided by the
total number of random drug test results (i.e., positives, negatives, and refusals) under this part.
Refuse to submit means you refused to
take a drug test as set out in 49 CFR
40.191.
Serious marine incident means an
event defined in 46 CFR 4.03–2.
Service agent means any person or entity that provides services specified
under this part or 49 CFR part 40 to
employers and/or crewmembers in connection with DOT drug and alcohol
testing requirements. This includes,
but is not limited to, collectors, BATs
and STTs, laboratories, MROs, substance abuse professionals, and C/
TPAs. To act as service agents, persons
and organizations must meet the qualifications set forth in applicable sections of 49 CFR part 40. Service agents
are not employers for purposes of this
part.
Sponsoring organization is any company, consortium, corporation, association, union, or other organization with
which individuals serving in the ma-

rine industry, or their employers, are
associated.
Stand-down means the practice of
temporarily removing a crewmember
from the performance of safety-sensitive functions based only on a report
from a laboratory to the MRO of a confirmed positive test for a drug or drug
metabolite, an adulterated test, or a
substituted test, before the MRO has
completed verification of the test result.
Substance Abuse Professional (SAP)
means a person who evaluates employees who have violated a DOT drug and
alcohol regulation and makes recommendations concerning education,
treatment, follow-up testing, and
aftercare.
Vessel owned in the United States
means any vessel documented or numbered under the laws of the United
States; and any vessel owned by a citizen of the United States that is not
documented or numbered by any nation.
[CGD 86–067, 53 FR 47079, Nov. 21, 1988; 53 FR
48367, Nov. 30, 1988, as amended by CGD 90–
014, 56 FR 31033, July 8, 1991; CGD 90–053, 58
FR 31107, May 28, 1993; CGD 93–051, 59 FR
28792, June 3, 1994; 59 FR 62226, Dec. 2, 1994;
CGD 91–223, 60 FR 4525, Jan. 23, 1995; USCG2000–7759, 66 FR 42967, Aug. 16, 2001; USCG2003–16414, 69 FR 6577, Feb. 11, 2004; USCG–
2006–24371, 74 FR 11263, Mar. 16, 2009]

§ 16.107

Waivers.

(a) To obtain a waiver from 49 CFR
40.21 or from this part you must send
your request for a waiver to the Commandant (CG–545).
(b) Employers for whom compliance
with this part would violate the domestic laws or policies of another country
may request an exemption from the
drug testing requirements of this part
by submitting a written request to
Commandant (CG–545), at the address
listed in § 16.500(a).
(c) An employer may request a waiver from the Coast Guard in order to
stand-down a crewmember following
the Medical Review Officer’s receipt of
a laboratory report of a confirmed positive test for a drug or drug metabolite,
an adulterated test, or a substituted
test pertaining to the crewmember.
Consistent with 49 CFR 40.21, the request for a waiver must include as a

255

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00265

Fmt 8010

Sfmt 8010

Q:\46\46V1.TXT

ofr150

PsN: PC150

§ 16.109

46 CFR Ch. I (10–1–11 Edition)

minimum: Information about the organization and the proposed written company policy concerning stand-down.
Specific elements required in the written waiver request are contained in 49
CFR 40.21(c).
[USCG-2000–7759, 66 FR 42967, Aug. 16, 2001, as
amended by USCG–2009–0702, 74 FR 49225,
Sept. 25, 2009]

§ 16.109 Public
(PIE).

Interest

Exclusion

Service agents are subject to Public
Interest Exclusion (PIE) actions in accordance with 49 CFR Part 40, subpart
R. The PIE is an action which excludes
from participation in DOT’s drug and
alcohol testing program any service
agent who, by serious noncompliance
with this part or with 49 CFR part 40,
has shown that it is not currently acting in a responsible manner.
[USCG-2000–7759, 66 FR 42968, Aug. 16, 2001]

§ 16.113

Chemical drug testing.

(a) Drug testing programs required
by this part must be conducted in accordance with 49 CFR part 40, Procedures for Transportation Workplace
Testing Programs. This subpart summarizes the responsibilities of documented and licensed mariners, marine
employers, MRO, SAP and other chemical testing service providers in 49 CFR
part 40. The regulations in 49 CFR part
40 should be consulted to determine the
specific procedures which must be established and utilized. Drug testing
programs required by this part must
use only drug testing laboratories certified by the Department of Health and
Human Services (DHHS).
(b) Each specimen collected in accordance with this part will be tested,
as provided in 49 CFR 40.85, for the following:
(1) Marijuana;
(2) Cocaine;
(3) Opiates;
(4) Phencyclidine (PCP); and
(5) Amphetamines.
[USCG-2000–7759, 66 FR 42968, Aug. 16, 2001]
EDITORIAL NOTE: At 74 FR 11264, Mar. 16,
2009, § 16.113 was amended; however, the
amendment could not be incorporated due to
inaccurate amendatory instruction.

§ 16.115

Penalties.

Violation of this part is subject to
the civil penalties set forth in 46 U.S.C.
2115. Any person who fails to implement or conduct, or who otherwise
fails to comply with the requirements
for chemical testing for dangerous
drugs as prescribed under this part, is
liable to the United States Government
for a civil penalty of not more than
$5,000 for each violation. Each day of a
continuing violation will constitute a
separate violation.
[USCG-2000–7759, 66 FR 42968, Aug. 16, 2001]

Subpart B—Required Chemical
Testing
§ 16.201

Application.

(a) Chemical testing of personnel
must be conducted as required by this
subpart and in accordance with the
procedures detailed in 49 CFR part 40.
(b) If an individual fails a chemical
test for dangerous drugs under this
part, the individual will be presumed to
be a user of dangerous drugs.
(c) If an individual holding a credential fails a chemical test for dangerous
drugs, the individual’s employer, prospective employer, or sponsoring organization must report the test results in
writing to the nearest Coast Guard Officer in Charge, Marine Inspection
(OCMI). The individual must be denied
employment as a crewmember or must
be removed from duties which directly
affect the safe operation of the vessel
as soon as practicable and is subject to
suspension and revocation proceedings
against his or her credential under 46
CFR part 5.
(d) If an individual who does not hold
a credential fails a chemical test for
dangerous drugs, the individual shall
be denied employment as a crewmember or removed from duties which
directly affect the safe operation of the
vessel as soon as possible.
(e) An individual who has failed a required chemical test for dangerous
drugs may not be re-employed aboard a
vessel until the requirements of paragraph (f) of this section and 46 CFR
Part 5, if applicable, have been satisfied.

256

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00266

Fmt 8010

Sfmt 8010

Q:\46\46V1.TXT

ofr150

PsN: PC150

Coast Guard, DHS

§ 16.220

(f) Before an individual who has
failed a required chemical test for dangerous drugs may return to work
aboard a vessel, the MRO must determine that the individual is drug-free
and the risk of subsequent use of dangerous drugs by that person is sufficiently low to justify his or her return
to work. In addition, the individual
must agree to be subject to increased
unannounced testing—
(1) For a minimum of six (6) tests in
the first year after the individual returns to work as required in 49 CFR
part 40; and
(2) For any additional period as determined by the MRO up to a total of
60 months.
[CGD 86–607, 53 FR 47049, November 11, 1988,
as amended by CGD 90–014, 56 FR 31034, July
8, 1991; USCG-2000–7759, 66 FR 42968, Aug. 16,
2001; USCG–2006–24371, 74 FR 11264, Mar. 16,
2009]

§ 16.203 Employer, MRO, and SAP responsibilities.
(a) Employers. (1) Employers must ensure that they and their crewmembers
meet the requirements of this part.
(2) Employers are responsible for all
the actions of their officials, representatives, and agents in carrying out the
requirements of this part.
(3) All agreements and arrangements,
written or unwritten, between and
among employers and service agents
concerning the implementation of DOT
drug testing requirements are deemed,
as a matter of law, to require compliance with all applicable provisions of
this part and DOT agency drug testing
regulations. Compliance with these
provisions is a material term of all
such agreements and arrangements.
(b) Medical Review Officer (MRO). (1)
Individuals performing MRO functions
must meet the training requirements
and follow the procedures in 49 CFR
Part 40.
(2) MROs may report chemical drug
test results to the Coast Guard for unemployed, self-employed, or individual
mariners.
(c) Substance Abuse Professional (SAP).
Individuals performing SAP functions
must meet the training requirements
and follow the procedures in 49 CFR
Part 40.
[USCG-2000–7759, 66 FR 42968, Aug. 16, 2001]

§ 16.205 Implementation
testing programs.

of

chemical

(a) When a vessel owned in the
United States is operating in waters
that are not subject to the jurisdiction
of the United States, the testing requirements of §§ 16.210 and 16.230 do not
apply to a citizen of a foreign country
engaged or employed as pilot in accordance with the laws or customs of that
foreign country.
(b) Upon written request of an employer, Commandant (CG–545) will review the employer’s chemical testing
program to determine compliance with
the provisions of this part.
[CGD 90–014, 56 FR 60930, Nov. 29, 1991, as
amended by 59 FR 62226, Dec. 2, 1994; CGD 95–
072, 60 FR 50461, Sept. 29, 1995; CGD 96–041, 61
FR 50726, Sept. 27, 1996; CGD 95–028, 62 FR
51196, Sept. 30, 1997; USCG–2009–0702, 74 FR
49225, Sept. 25, 2009]

§ 16.210 Pre-employment
quirements.

testing

(a) No marine employer shall engage
or employ any individual to serve as a
crewmember unless the individual
passes a chemical test for dangerous
drugs for that employer.
(b) An employer may waive a pre-employment test required for a job applicant by paragraph (a) of this section if
the individual provides satisfactory
evidence that he or she has:
(1) Passed a chemical test for dangerous drugs, required by this part,
within the previous six months with no
subsequent positive drug tests during
the remainder of the six-month period;
or
(2) During the previous 185 days been
subject to a random testing program
required by § 16.230 for at least 60 days
and did not fail or refuse to participate
in a chemical test for dangerous drugs
required by this part.
[CGD 90–053, 58 FR 31107, May 28, 1993, as
amended by CGD 93–051, 59 FR 28792, June 3,
1994]

§ 16.220

Periodic testing requirements.

(a) Except as provided by paragraph
(c) of this section and § 10.227(e) of this
chapter, an applicant must pass a
chemical test for dangerous drugs for—
(1) An original issuance of a license,
COR, MMD, or MMC;

257

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00267

Fmt 8010

re-

Sfmt 8010

Q:\46\46V1.TXT

ofr150

PsN: PC150

§ 16.230

46 CFR Ch. I (10–1–11 Edition)

(2) The first issuance, raise of grade,
or renewal of an officer endorsement on
a merchant mariner credential;
(3) A raise of grade of a license or
COR;
(4) The first endorsement as an able
seaman, lifeboatman, qualified member
of
the
engine
department,
or
tankerman; or
(5) A reissuance of a credential with
a new expiration date. The applicant
must provide the results of the test to
the Coast Guard Regional Examination
Center (REC) at the time of submitting
an application. The test results must
be completed and dated not more than
185 days before submission of the application.
(b) Unless excepted under paragraph
(c) of this section, each pilot required
by this subchapter to receive an annual
physical examination must pass a
chemical test for dangerous drugs as a
part of that examination, and provide
the results to the Coast Guard. Applicants need not submit additional copies of their annual chemical test for
dangerous drugs pursuant to paragraph
(a) of this section if the applicant submitted passing results of a chemical
test for dangerous drugs to the Coast
Guard within 12 months of the date of
application.
(c) An applicant need not submit evidence of passing a chemical test for
dangerous drugs required by paragraph
(a) or (b) of this section if he or she
provides satisfactory evidence that he
or she has—
(1) Passed a chemical test for dangerous drugs required by this part
within the previous six months with no
subsequent positive chemical tests during the remainder of the 6-month period; or
(2) During the previous 185 days been
subject to a random testing program
required by § 16.230 for at least 60 days
and did not fail or refuse to participate
in a chemical test for dangerous drugs
required by this part.
(d) Except as provided by paragraph
(b) of this section, an applicant is required to provide the results of only
one chemical test for dangerous drugs

when multiple transactions are covered
by or requested in a single application.
[CGD 91–223, 60 FR 4525, Jan. 23, 1995, as
amended by USCG–2006–24371, 74 FR 11264,
Mar. 16, 2009]

§ 16.230 Random testing requirements.
(a) Marine employers shall establish
programs for the chemical testing for
dangerous drugs on a random basis of
crewmembers on inspected vessels who:
(1) Occupy a position, or perform the
duties and functions of a position, required by the vessel’s Certificate of Inspection;
(2) Perform the duties and functions
of patrolmen or watchmen required by
this chapter; or,
(3) Are specifically assigned the duties of warning, mustering, assembling,
assisting, or controlling the movement
of passengers during emergencies.
(b) Marine employers shall establish
programs for the chemical testing for
dangerous drugs on a random basis of
crewmembers on uninspected vessels
who:
(1) Are required by law or regulation
to hold a license issued by the Coast
Guard in order to perform their duties
on the vessel;
(2) Perform duties and functions directly related to the safe operation of
the vessel;
(3) Perform the duties and functions
of patrolmen or watchmen required by
this chapter; or,
(4) Are specifically assigned the duties of warning, mustering, assembling,
assisting, or controlling the movement
of passengers during emergencies.
(c) The selection of crewmembers for
random drug testing shall be made by a
scientifically valid method, such as a
random number table or a computerbased random number generator that is
matched with crewmembers’ Social Security numbers, payroll identification
numbers, or other comparable identifying numbers. Under the testing frequency and selection process used, each
covered crewmember shall have an
equal chance of being tested each time
selections are made and an employee’s
chance of selection shall continue to
exist throughout his or her employment. As an alternative, random selection may be accomplished by periodically selecting one or more vessels and

258

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00268

Fmt 8010

Sfmt 8010

Q:\46\46V1.TXT

ofr150

PsN: PC150

Coast Guard, DHS

§ 16.230

testing all crewmembers covered by
this section, provided that each vessel
subject to the marine employer’s test
program remains equally subject to selection.
(d) Marine employers may form or
otherwise use sponsoring organizations, or may use contractors, to conduct the random chemical testing programs required by this part.
(e) Except as provided in paragraph
(f) of this section, the minimum annual
percentage rate for random drug testing shall be 50 percent of covered crewmembers.
(f) The annual rate for random drug
testing may be adjusted in accordance
with this paragraph.
(1) The Commandant’s decision to increase or decrease the minimum annual percentage rate for random drug
testing is based on the reported random positive rate for the entire industry. All information used for this determination is drawn from the drug
MIS reports required by this part. In
order to ensure reliability of the data,
the Commandant considers the quality
and completeness of the reported data,
may obtain additional information or
reports from marine employers, and
may make appropriate modifications
in calculating the industry random
positive rate. Each year, the Commandant will publish in the FEDERAL
REGISTER the minimum annual percentage rate for random drug testing of
covered crewmembers. The new minimum annual percentage rate for random drug testing will be applicable
starting January 1 of the calendar year
following publication.
(2) When the minimum annual percentage rate for random drug testing is
50 percent, the Commandant may lower
this rate to 25 percent of all covered
crewmembers if the Commandant determines that the data received under
the reporting requirements of 46 CFR
16.500 for two consecutive calendar
years indicate that the positive rate is
less than 1.0 percent.
(3) When the minimum annual percentage rate for random drug testing is
25 percent, and the data received under
the reporting requirements of 46 CFR
16.500 for any calendar year indicate
that the positive rate is equal to or
greater than 1.0 percent, the Com-

mandant will increase the minimum
annual percentage rate for random
drug testing to 50 percent of all covered
crewmembers.
(g) Marine employers shall randomly
select a sufficient number of covered
crewmembers for testing during each
calendar year to equal an annual rate
not less than the minimum annual percentage rate for random drug testing
determined by the Commandant. If the
marine employer conducts random
drug testing through a consortium, the
number of crewmembers to be tested
may be calculated for each individual
marine employer or may be based on
the total number of covered crewmembers covered by the consortium
who are subject to random drug testing
at the same minimum annual percentage rate under this part or any DOT
drug testing rule.
(h) Each marine employer shall ensure that random drug tests conducted
under this part are unannounced and
that the dates for administering random tests are spread reasonably
throughout the calendar year.
(i) If a given covered crewmember is
subject to random drug testing under
the drug testing rules of more than one
DOT agency for the same marine employer, the crewmember shall be subject to random drug testing at the percentage rate established for the calendar year by the DOT agency regulating more than 50 percent of the
crewmember’s function.
(j) If a marine employer is required
to conduct random drug testing under
the drug testing rules of more than one
DOT agency, the marine employer
may—
(1) Establish separate pools for random selection, with each pool containing the covered crewmembers who
are subject to testing at the same required rate; or
(2) Randomly select such crewmembers for testing at the highest percentage rate established for the calendar year by any DOT agency to
which the marine employer is subject.
(k) An individual may not be engaged
or employed, including self-employment, on a vessel in a position as master, operator, or person in charge for
which a credential is required by law or

259

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00269

Fmt 8010

Sfmt 8010

Q:\46\46V1.TXT

ofr150

PsN: PC150

§ 16.240

46 CFR Ch. I (10–1–11 Edition)

regulation unless all crewmembers covered by this section are subject to the
random testing requirements of this
section.
[CGD 90–014, 56 FR 31034, July 8, 1991, as
amended by 59 FR 62227, Dec. 2, 1994; USCG–
2006–24371, 74 FR 11264, Mar. 16, 2009]
EDITORIAL NOTE: At 74 FR 11264, Mar. 16,
2009, § 16.230 was amended; however, a portion
of the amendment could not be incorporated
due to inaccurate amendatory instruction.

§ 16.240 Serious marine incident testing requirements.
The marine employer shall ensure
that all persons directly involved in a
serious marine incident are chemically
tested for evidence of dangerous drugs
and alcohol in accordance with the requirements of 46 CFR 4.06.
§ 16.250 Reasonable cause testing requirements.
(a) The marine employer shall require any crewmember engaged or employed on board a vessel owned in the
United States that is required by law
or regulation to engage, employ or be
operated by an individual holding a
credential issued under this subchapter, who is reasonably suspected of
using a dangerous drug to be chemically tested for dangerous drugs.
(b) The marine employer’s decision
to test must be based on a reasonable
and articulable belief that the individual has used a dangerous drug based
on direct observation of specific, contemporaneous physical, behavioral, or
performance indicators of probable use.
Where practicable, this belief should be
based on the observation of the individual by two persons in supervisory
positions.
(c) When the marine employer requires testing of an individual under
the provisions of this section, the individual must be informed of that fact
and directed to provide a urine specimen as soon as practicable. This fact
shall be entered in the vessel’s official
log book, if one is required.
(d) If an individual refuses to provide
a urine specimen when directed to do
so by the employer under the provisions of this section, this fact shall be

entered in the vessel’s official log
book, if one is required.
[CGD 86–067, 53 FR 47079, Nov. 21, 1988, as
amended by USCG–2006–24371, 74 FR 11264,
Mar. 16, 2009]

§ 16.260 Records.
(a) Employers must maintain records
of chemical tests as provided in 49 CFR
40.333 and must make these records
available to Coast Guard officials upon
request.
(b) The records shall be sufficient to:
(1) Satisfy the requirements of
§§ 16.210(b) and 16.220(c) of this part.
(2) Identify the total number of individuals chemically tested annually for
dangerous drugs in each of the categories of testing required by this part
including the annual number of individuals failing chemical tests and the
number and types of drugs for which
individuals tested positive.
[CGD 86–067, 53 FR 47079, Nov. 21, 1988, as
amended by CGD 91–223, 60 FR 4526, Jan. 23,
1995; USCG-2000–7759, 66 FR 42968, Aug. 16,
2001]

Subpart C [Reserved]
Subpart D—Employee Assistance
Programs
§ 16.401 Employee Assistance Program
(EAP).
The employer shall provide an Employee Assistance Program (EAP) for
all crewmembers. The employer may
establish the EAP as a part of its internal personnel services or the employer
may contract with an entity that will
provide EAP services to a crewmember.
Each EAP must include education and
training on drug use for crewmembers
and the employer’s supervisory personnel as provided below:
(a) EAP education program: Each EAP
education program must include at
least the following elements: display
and distribution of informational material; display and distribution of a
community service hot-line telephone
number for crewmember assistance,
and display and distribution of the employer’s policy regarding drug and alcohol use in the workplace.
(b) EAP training program: An EAP
training program must be conducted

260

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00270

Fmt 8010

Sfmt 8010

Q:\46\46V1.TXT

ofr150

PsN: PC150

Coast Guard, DHS

§ 16.500

for the employer’s crewmembers and
supervisory personnel. The training
program must include at least the following elements: the effects and consequences of drug and alcohol use on
personal health, safety, and work environment; the manifestations and behavioral cues that may indicate drug
and alcohol use and abuse; and documentation of training given to crewmembers and the employer’s supervisory personnel. Supervisory personnel must receive at least 60 minutes
of training.

Subpart E—Management
Information System
§ 16.500 Management Information System requirements.
(a) Data collection. (1) All marine employers must submit drug testing program data required by 49 CFR 40.26 and
Appendix H to 49 CFR part 40.
(2) The provisions in 49 CFR part 40
for alcohol testing do not apply to the
Coast Guard or to marine employers,
and alcohol testing data is not required
or permitted to be submitted by this
section.
(b) Data reporting. (1) By March 15 of
the year following the collection of the
data in paragraph (a) of this section,
marine employers must submit the
data on the form titled U.S. Department of Transportation Drug and Alcohol Testing MIS Data Collection Form

(OMB Number: 2105–0529) by mail to
Commandant (CG–545), 2100 2nd St.
SW., Stop 7581, Washington, DC 20593–
7581
or
by
Internet
at
http://
www.uscg.mil/hq/g-m/moa/dapip.htm.
(2) The DOT Drug and Alcohol Testing MIS form can be downloaded and
printed from http://www.uscg.mil/hq/g-m/
moa/dapip.htm or may be obtained from
any Sector Office.
(3) A consortium or other employer
representative may submit data for a
marine employer. Reports may contain
data for more than one marine employer. Each report, however, must list
the marine employers included in the
report.
(4) Marine employers must ensure
that data submitted by a consortium
or other employer representative under
paragraph (b)(3) of this section is correct.
(c) After filing 3 consecutive annual
MIS reports since January 1, 1996, required by paragraph (b) of this section,
marine employers with 10 or fewer covered employees may stop filing the annual report each succeeding year during which they have no more than 10
covered employees.
[USCG-1998–4469, 64 FR 22559, Apr. 27, 1999; 64
FR 31989, June 15, 1999, as amended by USCG2003–16414, 69 FR 6578, Feb. 11, 2004; USCG–
2006–25556, 72 FR 36330, July 2, 2007; USCG–
2009–0702, 74 FR 49225, Sept. 25, 2009]

APPENDIX A [RESERVED]

261

VerDate Mar<15>2010

13:21 Nov 01, 2011

Jkt 223193

PO 00000

Frm 00271

Fmt 8010

Sfmt 8002

Q:\46\46V1.TXT

ofr150

PsN: PC150