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Coast Guard Regulations 46 CFR part 4 Marine Casulalty Regulations
Subpart 4.01--Authority and Scope of Regulations
4.01-1 Scope of regulation.
4.01-3 Reporting exclusion.
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.
4.04-1 Reports of potential vessel casualty.
4.04-3 Reports of lack of vessel communication.
4.04-5 Substance of reports.
4.05-1 Notice of marine casualty.
4.05-5 Substance of marine casualty notice.
4.05-10 Written report of marine casualty.
4.05-12 Alcohol or drug use by individuals directly involved in casualties.
4.05-15 Voyage records, retention of.
4.05-20 Report of accident to aid to navigation.
4.05-25 Reports when state of war exists.
4.05-30 Incidents involving hazardous materials.
4.05-35 Incidents involving nuclear vessels.
4.05-40 Alternate electronic means of reporting.
4.06-1 Responsibilities of the marine employer.
4.06-5 Responsibilities of individuals directly involved in serious marine incidents.
4.06-10 Required specimens.
4.06-20 Specimen collection requirements.
4.06-30 Specimen collection in incidents involving fatalities.
4.06-40 Specimen handling and shipping.
4.06-50 Specimen analysis and follow-up procedures.
4.06-60 Submission of reports and test results.
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.
4.09-1 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.
4.11-1 Employees of vessels controlled by Army or Navy as witnesses.
4.11-5 Coercion of witnesses.
4.11-10 Witness fees and allowances.
4.12-1 Application, procedure, and admissibility.
4.13-1 Public availability of records.
4.19-1 Construction of regulations.
4.19-5 Adherence to rules of evidence.
4.21-1 Computation of time.
4.23-1 Evidence of criminal liability.
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 4.01 Authority and Scope of Regulations
(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(d) or 4.05-1(e).
(c) Vessels are excluded from the requirements of 4.05.1(d) and (e) 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.
[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]
SUBPART 4.03 Definitions
(a) The term marine casualty or accident shall mean any casualty or accident involving any vessel other than public vessels if such casualty or accident occurs upon the navigable waters of the United States, its territories or possessions or any casualty or accident wherever such casualty or accident may occur involving any United States’ vessel which is not a public vessel. (See 4.03-40 for definition of Public Vessel.)
(b) The term marine casualty or accident includes any accidental grounding, or any occurrence involving a vessel which results in damage by or to the vessel, its apparel, gear, or cargo, or injury or loss of life of any person; and includes among other things, collisions, strandings, groundings, founderings, heavy weather damage, fires, explosions, failure of gear and equipment and any other damage which might affect or impair the seaworthiness of the vessel.
(c) The term marine casualty or accident also includes occurrences of loss of life or injury to any person while diving from a vessel and using underwater breathing apparatus.
[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 76-170, 45 FR 77441, Nov. 24, 1980]
(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:
(3) Damage to property, as defined in 4.05-1(f) of this part, in excess of $100,000;
4.03-5 Medical facility
The term medical facility means an American hospital, clinic, physician’s office, or laboratory, where blood and urine specimens can be collected according to recognized professional standards.
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.
The term chemical test means a scientifically recognized test which analyzes an individual’s breath, blood, urine, saliva, bodily fluids, or tissues for evidence of dangerous drug or alcohol use.
4.03-15 Commandant
Except as provided in subpart 4.40 vessels within the statutory exemptions of Title LII of the Revised Statutes of the United States (R.S. 4399-4500) (as amended) relating to the inspection of vessels, are public vessels, and therefore not subject to the regulations in this part. To be deemed public vessels such vessels must:
(a) Be used for a public purpose, not in trade or commercial service; and,
(b) Be owned outright by the United States; it is not sufficient that the United States holds the vessel under a bareboat charter.
[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 76-149, 42 FR 61200, Dec. 1, 1977]
SUBPART 4.04 Notice of Potential Vessel Casualty
(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 2115-0551)
The owner, charterer, managing operator or agent, notifying the Coast Guard under 4.04-1 or 4.04-3, shall:
(b) Submit written confirmation of that notice to the Coast Guard facility that the notice was given to within 24 hours. (Information collection requirements approved by the Office of Management and Budget under control number 2115-0551)
SUBPART 4.05 Notice of Marine Casualty and Voyage Records
(a) Immediately after the addressing of resultant safety concerns, the owner, agent, master, operator, or person in charge, shall notify the nearest Marine Safety Office, Marine Inspection Office or Coast Guard Group Office whenever a vessel is involved in a marine casualty consisting in-
(2) An intended grounding, or an intended strike of a bridge, that creates a hazard to navigation, the environment, or the safety of a vessel, or that meets any criterion of paragraphs (a) (3) through (7);
[CGD 94-030, 59 FR 39471, Aug. 3, 1994]
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.
(a) The owner, agent, master, operator, or person in charge shall, within five days, file a written report of any marine casualty. This written report is in addition to the immediate notice required by 4.05-1. This written report must be delivered to a Coast Guard Marine Safety Office or Marine Inspection Office. It must be provided on Form CG-2692 (Report of Marine Accident, Injury or Death), supplemented as necessary by appended Forms CG-2692A (Barge Addendum) and CG-2692B (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 notice required by paragraph (a) of this section suffices as the notice required by 4.05-1(a).
(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.
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.
(b) When a marine employer determines that a casualty or incident is, or is likely to become, a serious marine incident, the marine employer shall take all practicable steps to have each individual engaged or employed on board the vessel who is directly involved in the incident chemically tested for evidence of drug and alcohol use.
(c) The determination of which individuals are directly involved in a serious marine incident is to be made by the marine employer. A law enforcement officer may determine that additional individuals are directly involved in the serious marine incident. In such cases, the marine employer shall take all practicable steps to have these individuals tested in accordance with paragraph (b) of this section.
(d) The requirements of this subpart shall not prevent vessel personnel who are required to be tested from performing duties in the aftermath of a serious marine incident when their performance is necessary for the preservation of life or property or the protection of the environment.
(a) Any individual engaged or employed on board a vessel who is determined to be directly involved in a serious marine incident shall provide blood, breath or urine specimens for chemical tests required by 4.06-10 when directed to do so by the marine employer or a law enforcement officer.
(b) If the individual refuses to provide blood, breath or urine specimens, this refusal shall be noted on Form CG-2692B and in the vessel’s official log book, if one is required.
(c) No individual may be forcibly compelled to provide specimens for chemical tests required by this part; however, refusal is considered a violation of regulation and could subject the individual to suspension and revocation proceedings under part 5 of this chapter and removal from any duties which directly affect the safety of the vessel’s navigation or operations.
Each individual required to submit to chemical testing shall, as soon as practicable, provide the following specimens for chemical testing:
(a) Urine specimens, collected in accordance with 4.06-20 and part 16 of this chapter.
(b) Blood or breath specimens, or both, collected in accordance with 4.06-20.
(a) All inspected vessels certificated for unrestricted ocean routes, and all inspected vessels certificated for restricted overseas routes, are required to have on board at all times a breath testing device capable of determining the presence of alcohol in a person’s system. The breath testing device shall be used in accordance with procedures specified by the manufacturer.
(b) The marine employer shall ensure that urine specimen collection and shipping kits meeting the requirements of 49 CFR Part 40 of this part are readily available for use following serious marine incidents. The specimen collection and shipping kits need not be maintained aboard each vessel if they can otherwise be readily obtained within 24 hours from the time of the occurrence of the serious marine incident.
(c) The marine employer shall ensure that specimens required by 4.06-10 are collected as soon as practicable following the occurrence of a serious marine incident.
(d) When obtaining blood, breath, and urine specimens, the marine employer shall ensure that the collection process is supervised by either qualified collection personnel, the marine employer, a law enforcement officer, or the marine employer’s representative.
(e) Chemical tests of an individual’s breath for the presence of alcohol using a breath testing device may be conducted by any individual trained to conduct such tests. Blood specimens shall be taken only by qualified medical personnel.
(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 part 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.
(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.
[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by CGD 90-053, 58 FR 31107, May 28, 1993]
(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 Serous Marine Incident).
(b) When the serious marine incident requires the submission of Form CG-2692 (Report of Marine Casualty, Injury or Death) to the Coast Guard in accordance with 4.05-10, the report required by paragraph (a) of this section shall be appended to Form CG-2692.
(c) In incidents involving discharges of oil or hazardous substances as described in 4.03-2 (b) and (c) of this part, when Form CG-2692 is not required to be submitted, the report required by paragraph (a) of this section shall be submitted to the Coast Guard Officer in Charge, Marine Inspection, having jurisdiction over the location where the discharge occurred or nearest the port of first arrival following the discharge.
SUBPART 4.07 Investigations
(a) An investigating officer investigates each marine casualty or accident reported under 4.05-1 and 4.05-10.
[CGFR 65-50, 30 FR 17099, Dec. 30, 1965, as amended by CGD-104R, 37 FR 14234, July 18, 1972]
(a) At the conclusion of the investigation the investigating officer shall 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 indorsement stating:
(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 District Activities 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 Activities 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.
[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 75-196, 41 FR 18655, May 6, 1976]
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.
SUBPART 4.09 Marine Board of Investigation
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 Preferment of charges
SUBPART 4.11 Witnesses and Witness Fees
4.11-10 Witness fees and allowances
Witness fees and allowances are paid in accordance with 46 CFR 5.17.1
[CGD 79-080, 45 FR 2046, Jan. 10, 1980; 61 FR 50721, Sept. 27, 1996]
SUBPART 4.12 Testimony by Interrogatories and Depositions
[Amended 61 FR 50721, Sept. 27, 1996]
SUBPART 4.13 Availability of Records
SUBPART 4.19 Construction of Regulations and Rules of Evidence
SUBPART 4.21 Computation of Time
SUBPART 4.23 Evidence of Criminal Liability
If as a result of any investigation or other proceeding conducted hereunder, evidence of criminal liability on the part of any licensed officer or certificated person or any other person is found, such evidence shall be referred to the U.S. Attorney General.
SUBPART 4.40 Coast Guard-National Transportation Safety Board Marine Casualty Investigations
(a) The Coast Guard’s responsibility to investigate marine casualties is not eliminated nor diminished by the regulations in this subpart.
(b) In those instances where the National Transportation Safety Board conducts an investigatio in which the Coast Guard also has responsibility under R.S. 4450 (46 U.S.C. 239), the proceedings are conducted independently but so as to avoid duplication as much as possible.
(a) Act means title III of Public Law 93-633, the Independent Safety Board Act of 1974, (49 U.S.C. 1901, et seq.).
(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.
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.
(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).
(a) The Coast Guard conducts an investigation under 4.40-25 using the procedures in 46 CFR 4.01-1 through 4.23-1.
(b) The Board may designate a person or persons to participate in every phase of an investigation, including on scene investigation, that is conducted under the provisions of subpart 4.40-25 of this part.
(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.