46 Code of Federal Regulations Part 4
Marine Casualties and Investigations
(Revised OCT 1997)
Subpart 4.01--Authority and Scope of Regulations
Sec.
4.01-1 Scope of regulation.
4.01-3 Reporting exclusion.
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.
Subpart 4.04--Notice of Potential Vessel Casualty
4.04-1 Reports of potential vessel casualty.
4.04-3 Reports of lack of vessel communication.
4.04-5 Substance of reports.
Subpart 4.05--Notice of Marine Casualty and Voyage Records
4.05-1 Notice of marine casualty.
4.05-5 Substance of marine casualty notice.
4.05-10 Written report of marine casualty.
4.05-12 Alcohol or drug use by individuals directly involved in casualties.
4.05-15 Voyage records, retention of.
4.05-20 Report of accident to aid to navigation.
4.05-25 Reports when state of war exists.
4.05-30 Incidents involving hazardous materials.
4.05-35 Incidents involving nuclear vessels.
Subpart 4.06--Mandatory Chemical Testing Following Serious Marine
Incidents Involving Vessels in Commercial Service
4.06-1 Responsibilities of the marine employer.
4.06-5 Responsibilities of individuals directly involved in serious marine incidents.
4.06-10 Required specimens.
4.06-20 Specimen collection requirements.
4.06-30 Specimen collection in incidents involving fatalities.
4.06-40 Specimen handling and shipping.
4.06-50 Specimen analysis and follow-up procedures.
4.06-60 Submission of reports and test results.
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.
Subpart 4.09--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.
Subpart 4.11--Witnesses and Witness Fees
4.11-1 Employees of vessels controlled by Army or Navy as witnesses.
4.11-5 Coercion of witnesses.
4.11-10 Witness fees and allowances.
Subpart 4.12--Testimony by Interrogatories and Depositions
4.12-1 Application, procedure, and admissibility.
Subpart 4.13--Availability of Records
4.13-1 Public availability of records.
Subpart 4.19--Construction of Regulations and Rules of Evidence
4.19-1 Construction of regulations.
4.19-5 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
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.
Authority: 33 U.S.C. 1231; 43 U.S.C. 1333; 46 U.S.C. 2103, 2306,
6101, 6301, 6305; 50 U.S.C. 198; 49 CFR 1.46. Authority for subpart
4.40: 49 U.S.C. 1903(a)(1)(E); 49 CFR 1.46.
Source: CGD 74-119, 39 FR 33317, Sept. 17, 1974, unless otherwise noted.
Subpart 4.01--Authority and Scope of Regulations
Sec. 4.01-1 Scope of regulation.
The regulations in this part govern the reporting of marine
casualties, the investigation of marine casualties and the submittal of
reports designed to increase the likelihood of timely assistance to
vessels in distress. [CGD 85-015, 51 FR 19341, May 29, 1986]
Sec. 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 Sec. 4.05-1(d) or
Sec. 4.05-1(e).
(c) Vessels are excluded from the requirements of Sec. 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.
(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]
Effective Date Note: At 62 FR 51195, Sept. 30, 1997, Sec. 4.01-3 was
amended by adding paragraph (d), effective Oct. 30, 1997.
Subpart 4.03--Definitions
Sec. 4.03-1 Marine casualty or accident.
(a) The term marine casualty or accident shall mean any casualty or
accident involving any vessel other than public vessels if such casualty
or accident occurs upon the navigable waters of the United States, its
territories or possessions or any casualty or accident wherever such
casualty or accident may occur involving any United States' vessel which
is not a public vessel. (See Sec. 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]
Sec. 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 Sec. 4.03-1 which
is required by Sec. 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 Sec. 4.05-1(a)(7) of this
part, in excess of $100,000;
(4) Actual or constructive total loss of any vessel subject to
inspection under 46 U.S.C. 3301; or
(5) Actual or constructive total loss of any self-propelled vessel,
not subject to inspection under 46 U.S.C. 3301, of 100 gross tons or more.
(b) A discharge of oil of 10,000 gallons or more into the navigable
waters of the United States, as defined in 33 U.S.C. 1321, whether or
not resulting from a marine casualty.
(c) A discharge of a reportable quantity of a hazardous substance
into the navigable waters of the United States, or a release of a
reportable quantity of a hazardous substance into the environment of the
United States, whether or not resulting from a marine casualty.
[CGD 86-067, 53 FR 47077, Nov. 21, 1988, as amended by CGD 97-057, 62 FR
51041, Sept. 30, 1997]
Sec. 4.03-4 Individual directly involved in a serious marine incident.
The term individual directly involved in a serious marine incident
is an individual whose order, action or failure to act is determined to
be, or cannot be ruled out as, a causative factor in the events leading
to or causing a serious marine incident.
[CGD 86-067, 53 FR 47077, Nov. 21, 1988]
Sec. 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.
[CGD 86-067, 53 FR 47077, Nov. 21, 1988]
Sec. 4.03-6 Qualified medical personnel.
The term qualified medical personnel means a physician, physician's
assistant, nurse, emergency medical technician, or other person
authorized under State or Federal law or regulation to collect blood and
urine specimens. [CGD 86-067, 53 FR 47077, Nov. 21, 1988]
Sec. 4.03-7 Chemical test.
The term chemical test means a scientifically recognized test which
analyzes an individual's breath, blood, urine, saliva, bodily fluids, or
tissues for evidence of dangerous drug or alcohol use.
[CGD 86-067, 53 FR 47077, Nov. 21, 1988]
Sec. 4.03-10 Party in interest.
The term party in interest shall mean any person whom the Marine
Board of Investigation or the investigating officer shall find to have a
direct interest in the investigation conducted by it and shall include
an owner, a charterer, or the agent of such owner or charterer of the
vessel or vessels involved in the marine casualty or accident, and all
licensed or certificated personnel whose conduct, whether or not
involved in a marine casualty or accident is under investigation by the
Board or investigating officer.
Sec. 4.03-15 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.
Sec. 4.03-20 Coast Guard district.
A Coast Guard district is one of the geographical areas whose
boundaries are described in 33 CFR part 3.
Sec. 4.03-25 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.
Sec. 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.
Sec. 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.[CGD 84-099, 52 FR 47534, Dec. 14, 1987]
Sec. 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]
Effective Date Note: At 62 FR 51195, Sept. 30, 1997, Sec. 4.03-40
was revised, effective Oct. 30, 1997. For the convenience of the user,
the superseded text is set forth as follows:
Sec. 4.03-40 Public vessels.
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 therefor 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.
Sec. 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]
Sec. 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]
Sec. 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.
[CGD 84-099, 52 FR 47534, Dec. 14, 1987]
Subpart 4.04--Notice of Potential Vessel Casualty
Source: CGD 85-015, 51 FR 19341, May 29, 1986, unless otherwise noted.
Sec. 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.
Sec. 4.04-3 Reports of lack of vessel communication.
The owner, charterer, managing operator or agent of a vessel that is
required to report to the United States flag Merchant Vessel Location
Filing System under the authority of section 212(A) of the Merchant
Marine Act, 1936 (46 App. U.S.C. 1122a), shall immediately notify the
Coast Guard if more 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.
(Information collection requirements approved by the Office of
Management and Budget under control number 2115-0551)
Sec. 4.04-5 Substance of reports.
The owner, charterer, managing operator or agent, notifying the
Coast Guard under Sec. 4.04-1 or Sec. 4.04-3, shall:
(a) Provided the name and identification number of the vessel, the
names of the individuals on board, and other information that may be
requested by the Coast Guard (when providing the names of the
individuals on board for a passenger vessel, the list of passengers need
only meet the requirements of 46 U.S.C. 3502); and
(b) Submit written confirmation of that notice to the Coast Guard
facility that the notice was given to within 24 hours.
(Information collection requirements approved by the Office of
Management and Budget under control number 2115-0551)
Subpart 4.05--Notice of Marine Casualty and Voyage Records
Sec. 4.05-1 Notice of marine casualty.
(a) Immediately after the addressing of resultant safety concerns,
the owner, agent, master, operator, or person in charge, shall notify
the nearest Marine Safety Office, Marine Inspection Office or Coast
Guard Group Office whenever a vessel is involved in a marine casualty
consisting in--
(1) An unintended grounding, or an unintended strike of (allison
with) a bridge;
(2) An intended grounding, or an intended strike of a bridge, that
creates a hazard to navigation, the environment, or the safety of a
vessel, or that meets any criterion of paragraphs (a) (3) through (7);
(3) A loss of main propulsion, primary steering, or any associated
component or control system that reduces the maneuverability of the vessel;
(4) An occurrence materially and adversely affecting the vessel's
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 property-damage in excess of $25,000, this
damage including the cost of labor and material to restore the property
to its condition before the occurrence, but not including the cost of
salvage, cleaning, gas-freeing, drydocking, or demurrage.
(b) Notice given as required by 33 CFR 160.215 satisfies the
requirement of this section if the marine casualty involves a hazardous
condition as defined by 33 CFR 160.203. [CGD 94-030, 59 FR 39471, Aug. 3, 1994]
Sec. 4.05-5 Substance of marine casualty notice.
The notice required in Sec. 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 76-170, 45 FR 77441, Nov. 24, 1980]
Sec. 4.05-10 Written report of marine casualty.
(a) The owner, agent, master, operator, or person in charge shall,
within five days, file a written report of any marine casualty. This
written report is in addition to the immediate notice required by
Sec. 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 Sec. 4.05-1(a). [CGD 94-030, 59 FR 39471, Aug. 3, 1994]
Sec. 4.05-12 Alcohol or drug use by individuals directly involved in casualties.
(a) For each marine casualty required to be reported by Sec. 4.05-
10, the marine employer shall determine whether there is any evidence of
alcohol or drug use by individuals directly involved in the casualty.
(b) The marine employer shall include in the written report, Form
CG-2692, submitted for the casualty information which:
(1) Identifies those individuals for whom evidence of drug or
alcohol use, or evidence of intoxication, has been obtained; and,
(2) Specifies the method used to obtain such evidence, such as
personal observation of the individual, or by chemical testing of the individual.
(c) An entry shall be made in the official log book, if carried,
pertaining to those individuals for whom evidence of intoxication is
obtained. The individual must be informed of this entry and the entry
must be witnessed by a second person.
(d) If an individual directly involved in a casualty refuses to
submit to, or cooperate in, the administration of a timely chemical
test, when directed by a law enforcement officer or by the marine
employer, this fact shall be noted in the official log book, if carried,
and in the written report (Form CG-2692), and shall be admissible as
evidence in any administrative proceeding. [CGD 84-099, 52 FR 47534, Dec. 14, 1987]
Sec. 4.05-15 Voyage records, retention of.
(a) The owner, agent, master, or person in charge of any vessel
involved in a marine casualty shall retain such voyage records as are
maintained by the vessel, such as both rough and smooth deck and engine
room logs, bell books, navigation charts, navigation 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.
Sec. 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 Sec. 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]
Sec. 4.05-25 Reports when state of war exists.
During the period when a state of war exists between the United
States and any foreign nation, communications in regard to casualties
or accidents shall be handled with caution and the reports shall not be
made by radio or by telegram.
Sec. 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]
Sec. 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]
Subpart 4.06--Mandatory Chemical Testing Following Serious Marine
Incidents Involving Vessels in Commercial Service
Source: CGD 86-067, 53 FR 47078, Nov. 21, 1988, unless otherwise noted.
Sec. 4.06-1 Responsibilities of the marine employer.
(a) At the time of occurrence of a marine casualty, a discharge of
oil into the navigable waters of the United States, a discharge of a
hazardous substance into the navigable waters of the United States, or a
release of a hazardous substance into the environment of the United
States, the marine employer shall make a timely, good faith
determination as to whether the occurrence currently is, or is likely to
become, a serious marine incident.
(b) When a marine employer determines that a casualty or incident
is, or is likely to become, a serious marine incident, the marine
employer shall take all practicable steps to have each individual
engaged or employed on board the vessel who is directly involved in the
incident chemically tested for evidence of drug and alcohol use.
(c) The determination of which individuals are directly involved in
a 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.
(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.
(f) Each marine employer shall implement the testing requirements of
this subpart in accordance with the implementation schedule provided in
46 CFR 16.205 and 16.207. (Note: 46 USC 2115: The maximum civil penalty
for failure to comply with the drug and alcohol testing requirements has been
increased from $1,000 to $5,000 per violation.)
Sec. 4.06-5 Responsibilities 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 a serious marine incident shall
provide blood, breath or urine specimens for chemical tests required by
Sec. 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.
Sec. 4.06-10 Required specimens.
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 Sec. 4.06-20 and
part 16 of this chapter.
(b) Blood or breath specimens, or both, collected in accordance with
Sec. 4.06-20. (Note: Alcohol testing for crewmembers or other persons responsible
for the operation or other safety sensitive functions of the vessel or vessels
involved in such casualty is conducted no later than two hours after the casualty
occurs, unless such testing cannot be completed within that time due to safety
concerns directly related to the casualty.)
Sec. 4.06-20 Specimen collection requirements.
(a) All inspected vessels certificated for unrestricted ocean
routes, and all inspected vessels certificated for restricted overseas
routes, are required to have on board at all times a breath testing
device capable of determining the presence of alcohol in a person's
system. The breath testing device shall be used in accordance with
procedures specified by the manufacturer.
(b) The marine employer shall ensure that urine specimen collection
and shipping kits meeting the requirements of Sec. 16.330 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
Sec. 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.
Sec. 4.06-30 Specimen collection in incidents involving fatalities.
(a) When an individual engaged or employed on board a vessel dies as
a result of a serious marine incident, blood and urine specimens must be
obtained from the remains of the individual for chemical testing, if
practicable to do so. The marine employer shall notify the appropriate
local authority, such as the coroner or medical examiner, as soon as
possible, of the fatality and of the requirements of this subpart. The
marine employer shall provide the specimen collection and shipping kit
and request that the local authority assist in obtaining the necessary
specimens. When the custodian of the remains is a person other than the
local authority, the marine employer shall request the custodian to
cooperate in obtaining the specimens required under this part.
(b) If the local authority or custodian of the remains declines to
cooperate in obtaining the necessary specimens, the marine employer
shall provide an explanation of the circumstances on Form CG-2692B
(Report of Required Chemical Drug and Alcohol Testing Following a
Serious Marine Incident).
Sec. 4.06-40 Specimen handling and shipping.
(a) The marine employer shall ensure that blood specimens collected
in accordance with Secs. 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 Sec. 16.310 of this part and the chain of
custody requirements of Sec. 16.320 are complied with. The marine
employer shall ensure that urine specimens required by Secs. 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.
Sec. 4.06-50 Specimen analysis and follow-up procedures.
(a) Each laboratory will provide prompt analysis of specimens
collected under this subpart, consistent with the need to develop all
relevant information and to produce a complete analysis report.
(b) Reports shall be sent to the Medical Review Officer meeting the
requirements of 49 CFR 40.33, 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
40.33 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 90-053, 58 FR
31107, May 28, 1993]
Sec. 4.06-60 Submission of reports and test results.
(a) Whenever an individual engaged or employed on a vessel is
identified as being directly involved in a serious marine incident, the
marine employer shall complete Form CG-2692B (Report of Required
Chemical Drug and Alcohol Testing Following a Serious Marine Incident).
(b) When the serious marine incident requires the submission of Form
CG-2692 (Report of Marine Casualty, Injury or Death) to the Coast Guard
in accordance with Sec. 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 Sec. 4.03-2 (b) and (c) of this part, when Form CG-2692
is not required to be submitted, the report required by paragraph (a) of
this section shall be submitted to the Coast Guard Officer in Charge,
Marine Inspection, having jurisdiction over the location where the
discharge occurred or nearest the port of first arrival following the
discharge.
(d) Upon receipt of the report of chemical test results, the marine
employer shall submit a copy of the test results for each person listed
on the CG-2692B to the Coast Guard Officer in Charge, Marine Inspection
to whom the CG-2692B was submitted.
[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by CGD 97-057, 62 FR
51041, Sept. 30, 1997]
Subpart 4.07--Investigations
Sec. 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 the law on the
part of any licensed or certificated person contributed to the casualty,
so that appropriate proceedings against the license or certificate of
such person may be recommended and taken under 46 U.S.C. 6301;
(4) Whether there is evidence that any Coast Guard personnel or any
representative or employee of any other government agency or any other
person caused or contributed to the cause of the casualty; or,
(5) Whether the accident shall be further investigated by a Marine
Board of Investigation in accordance with regulations in subpart 4.09.
[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 97-057, 62
FR 51041, Sept. 30, 1997]
Sec. 4.07-5 Investigating officers, powers of.
(a) An investigating officer investigates each marine casualty or
accident reported under Secs. 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]
Sec. 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.
Sec. 4.07-10 Report of investigation.
(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 endorsement stating:
(1) Approval or otherwise of the findings of fact, conclusions and
recommendations;
(2) Any action taken with respect to the recommendations;
(3) Whether or not any action has been or will be taken under part 5
of this subchapter to suspend or revoke licenses or certificates; and,
(4) Whether or not violations of laws or regulations relating to
vessels have been reported on Form CG-2636, report of violation of
navigation laws.
(b) At the conclusion of the investigation, the investigating
officer shall submit the report described in paragraph (a) of this
section, to the Commandant via the Merchant Marine Detail Officer or the
Officer in Charge, Marine Inspection, and the Commander, Coast Guard MIO
Europe for a European port or Commander, Fourteenth Coast Guard for an
Asian or Pacific port. The Merchant Marine Detail Officer or the Officer
in Charge, Marine Inspection, and Commander, Coast Guard MIO Europe or
Commander, Fourteenth Coast Guard District shall forward the
investigating officer's report to the Commandant with the endorsement
described in paragraphs (a) (1) through (4) of this section.
[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]
Sec. 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.
Sec. 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.
Sec. 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.
Sec. 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.
Sec. 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.
Sec. 4.07-45 Foreign units of Coast Guard, investigation by.
Investigations of marine casualties conducted by foreign units of
the Coast 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.
Sec. 4.07-55 Information to be furnished Marine Board of Investigation.
When a Marine Board of Investigation is convened in accordance with
Sec. 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
Sec. 4.09-1 Commandant to designate.
If it appears that it would tend to promote safety of life and
property at sea or would be in the public interest, the Commandant may
designate a Marine Board of Investigation to conduct an investigation.
[CGD 76-170, 45 FR 77441, Nov. 24, 1980]
Sec. 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.
Sec. 4.09-10 Witnesses, payment of.
Any witness subpoenaed under Sec. 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 Sec. 4.11-10.
Sec. 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.
Sec. 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.
Sec. 4.09-20 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.
Sec. 4.09-25 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.
Sec. 4.09-30 Action on report.
Upon approval of the report of a Marine Board of Investigation the
Commandant 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.
Sec. 4.09-35 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.
Subpart 4.11--Witnesses and Witness Fees
Sec. 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.
Sec. 4.11-5 Coercion of witnesses.
Any attempt to coerce any witness or to induce him to testify
falsely in connection with a shipping casualty, or to induce any witness
to leave the jurisdiction of the United States, is punishable by a fine
of $5,000.00 or imprisonment for one year, or both such fine and imprisonment.
Sec. 4.11-10 Witness fees and allowances.
Witness fees and allowances are paid in accordance with 46 CFR 5.401.
[CGD 79-080, 45 FR 2046, Jan. 10, 1980, as amended by CGD 96-041, 61 FR
50726, Sept. 27, 1996]
Subpart 4.12--Testimony by Interrogatories and Depositions
Sec. 4.12-1 Application, procedure, and admissibility.
(a) Witnesses shall be examined orally, except that for good cause
shown, testimony may be taken by deposition upon application of any
party in interest or upon the initiative of the investigating officer or
Marine Board of Investigation.
(b) Applications to take depositions shall be in writing setting
forth the reasons why such deposition should be taken, the name and
address of the witness, the matters concerning which it is expected the
witness will testify, and the time and place proposed for the taking of
the deposition. Such application shall be made to an investigating
officer or the Marine Board of Investigation prior to or during the
course of the proceedings.
(c) The investigating officer or Marine Board of Investigation,
shall, upon receipt of the application, if good cause is shown, make and
serve upon the parties an order which will specify the name of the
witness whose deposition is to be taken, the name and place of the
taking of such deposition and shall contain a designation of the officer
before whom the witness is to testify. Such deposition may be taken
before any officer authorized to administer oaths by the laws of the
United States.
(d) The party desiring the deposition may submit a list of
interrogatories to be propounded to the absent witness; then the
opposite party after he has been allowed a reasonable time for this
purpose, may submit a list of cross-interrogatories. If either party
objects to any question of the adversary party, the matter shall be
presented to the investigating officer or Marine Board of Investigation
for a ruling. Upon agreement of the parties on a list of interrogatories
and cross-interrogatories (if any) the investigating officer or Marine
Board of Investigation may propound such additional questions as may be
necessary to clarify the testimony given by the witness.
(e) The subpoena referred to in subpart F of this subchapter
together with the list of interrogatories and cross-interrogatories (if
any) shall be forwarded to the officer designated to take such
deposition. This officer will cause the subpoena to be served personally
on the witness. After service the subpoena shall be endorsed and
returned to the investigating officer or Marine Board of Investigation.
(f) When the deposition has been duly executed it shall be returned
to the investigating officer or Marine Board of Investigation. As soon
as practicable after the receipt of the deposition the investigating
officer or Marine Board of Investigation shall present it to the parties
for their examination. The investigating officer or Marine Board of
Investigation shall rule on the admissibility of the deposition or any
part thereof and of any objection offered by either party thereto.
[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
Sec. 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
Sec. 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.
Sec. 4.19-5 Adherence to rules of evidence.
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.
Subpart 4.21--Computation of Time
Sec. 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.
Subpart 4.23--Evidence of Criminal Liability
Sec. 4.23-1 Evidence of criminal liability.
If as a result of any investigation or other proceeding conducted
hereunder, evidence of criminal liability on the part of any licensed
officer or certificated person or any other person is found, such
evidence shall be referred to the U.S. Attorney General.
Subpart 4.40--Coast Guard--National Transportation Safety Board Marine
Casualty Investigations
Source: CGD 76-149, 42 FR 61200, Dec. 1, 1977, unless otherwise noted.
Sec. 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 82-034, 47 FR 45882, Oct. 14, 1982]
Sec. 4.40-3 Relationship to Coast Guard marine investigation
regulations and procedures.
(a) The Coast Guard's responsibility to investigate marine
casualties is not eliminated nor diminished by the regulations in this
subpart.
(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.
[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 95-028, 62 FR
51195, Sept. 30, 1997]
Effective Date Note: At 62 FR 51195, Sept. 30, 1997, Sec. 4.40-3 was
amended by removing the words ``R.S. 4450 (46 U.S.C. 239)'' and
replacing them with ``46 U.S.C. Chapter 63'', effective Oct. 30, 1997.
Sec. 4.40-5 Definitions.
As used in this subpart:
(a) Act means title III of Public Law 93-633, the Independent Safety
Board Act of 1974, (49 U.S.C. 1131).
(b) Board means the National Transportation Safety Board.
(c) Chairman means the Chairman of the National Transportation Safety Board.
(d) Major marine casualty means a casualty involving a vessel, other
than a public vessel, that results in:
(1) The loss of six or more lives:
(2) The loss of a mechanically propelled vessel of 100 or more gross tons;
(3) Property damage initially estimated at $500,000 or more; or
(4) Serious threat, as determined by the Commandant and concurred in
by the Chairman, to life, property, or the environment by hazardous materials.
(e) Public vessel means a vessel owned by the United States, except
a vessel to which the Act of October 25, 1919, c.82, (41 Stat. 305, 46
U.S.C. 363) applies.
(f) Vessel of the United States means a vessel:
(1) Documented or required to be documented under the laws of the United States;
(2) Owned in the United States; or
(3) Owned by a citizen or resident of the United States and not
registered under a foreign flag.
[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 95-028, 62 FR
51195, Sept. 30, 1997]
Effective Date Note: At 62 FR 51195, Sept. 30, 1997, Sec. 4.40-5(a)
was amended in the definition of ``Act'' by replacing ``49 U.S.C.
1901, et seq.'' with ``49 U.S.C. 1131'', effective Oct. 30, 1997.
Sec. 4.40-10 Preliminary investigation by the Coast Guard.
(a) The Coast Guard conducts the preliminary investigation of marine
casualties.
(b) The Commandant determines from the preliminary investigation whether:
(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.
[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 82-034, 47 FR
45882, Oct. 14, 1982]
Sec. 4.40-15 Marine casualty investigation by the Board.
(a) The Board may conduct an investigation under the Act of any
major marine casualty or any casualty involving public and non-public
vessels. Where the Board determines it will convene a hearing in
connection with such an investigation, the Board's rules of practice for
transportation accident hearings in 49 CFR part 845 shall apply.
(b) The Board shall conduct an investigation under the Act when:
(1) The casualty involves a Coast Guard and a non-public vessel and
at least one fatality or $75,000 in property damage; or
(2) The Commandant and the Board agree that the Board shall conduct
the investigation, and the casualty involves a public and a non-public
vessel and at least one fatality or $75,000 in property damage; or
(3) The Commandant and the Board agree that the Board shall conduct
the investigation, and the casualty is a major marine casualty which
involves significant safety issues relating to Coast Guard safety functions.
[CGD 82-034, 47 FR 45882, Oct. 14, 1982]
Sec. 4.40-20 Cause or probable cause determinations from Board investigation.
After an investigation conducted by the Board under Sec. 4.40-15,
the Board determines cause or probable cause and issues a report of that
determination.
Sec. 4.40-25 Coast Guard marine casualty investigation for the Board.
(a) If the Board does not conduct an investigation under Sec. 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 Sec. 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 82-034, 47 FR 45882, Oct. 14, 1982]
Sec. 4.40-30 Procedures for Coast Guard investigation.
(a) The Coast Guard conducts an investigation under Sec. 4.40-25
using the procedures in 46 CFR 4.01-1 through 4.23-1.
(b) The Board may designate a person or persons to participate in
every phase of an investigation, including on scene investigation, that
is conducted under the provisions of subpart 4.40-25 of this part.
(c) Consistent with Coast Guard responsibility to direct the course
of the investigation, the person or persons designated by the Board
under paragraph (b) of this section may:
(1) Make recommendations about the scope of the investigations.
(2) Call and examine witnesses.
(3) Submit or request additional evidence.
(d) The Commandant provides a record of the proceedings to the Board
of an investigation of a major marine casualty under paragraph (a) of
this section.
(e) The Board, under the Act, makes its determination of the facts,
conditions, circumstances, and the cause or probable cause of a major
marine casualty using the record of the proceedings provided by the
Commandant under paragraph (d) of this section, and 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.
[CGD 76-149, 42 FR 61200, Dec. 1, 1977, as amended by CGD 95-028, 62 FR
51195, Sept. 30, 1997]
Effective Date Note: At 62 FR 51195, Sept. 30, 1997, Sec. 4.40-30(f)
was amended by removing the words ``R.S. 4450 (46 U.S.C. 239)'' and
replacing them with ``46 U.S.C. Chapter 63'', effective Oct. 30, 1997.
Sec. 4.40-35 Records of the Coast Guard and the Board.
(a) Records of the Coast Guard made under Sec. 4.40-30 are available
to the public under 49 CFR part 7.
(b) Records of the Board made under Secs. 4.40-20 and 4.40-30 are
available to the public under 49 CFR part 801.
