Marine Casualties or Accidents, Investigations and Enforcement

1. Marine Casualties or Accidents,Investigations and Enforcement Mr. Jesse Garrant Senior Investigating Officer U.S. Coast Guard Sector Buffalo

2. Agenda… • What is a Marine Casualty or Accident? • What are Reportable Marine Casualties? • What is a Serious Marine Incident (SMI)? • Alcohol and drug testing requirements following a SMI? • Why does the Coast Guard investigate marine casualties? • Potential enforcement action for non-compliance with regulations. • Lesson Learned

3. What is a Marine Casualty or Accident?Title 46 Code of Federal Regulations Part 4.03-1 Any casualty or accident involving any vessel, other than a public vessel, that occurs upon the navigable waters of the U.S., its territories, or possessions. For U.S. vessels, wherever such casualty or accident occurs. What is a public vessel? A public vessel is a vessel owned by the United States and includes a U.S. Coast Guard Vessel.

4. Examples of Marine Casualties and Accidents Collisions Allisions

5. Other Examples… Groundings Flooding / Fire

6. Other Examples… Fall Overboard, Injury or Loss of Life Pollution

7. Reduction or loss of vessel’s power, propulsion, or steering Occurrences that impair any aspect of a vessel’s operation Circumstance that affect a vessel’s seaworthiness Other Examples

8. What is a Reportable Marine Casualty?Title 46 Code of Federal Regulations Part 4.05-1U.S. Coast Guard Navigation and Vessel Inspection Circular (NVIC) NO. 01-15, dated July, 21, 2015 • Unintended grounding or strike of a bridge (allision); • Intended grounding or bridge allision that creates a hazard to navigation, the environment, or the vessel; • Loss of main propulsion, primary steering or any associated component that reduced maneuverability of the vessel; • Occurrence materially and adversely affecting the vessel’s seaworthiness or fitness for service or route (e.g. fire, flooding, fixed fire-extinguishing systems, lifesaving equipment, etc.); • Loss of life; • Injury requiring professional medical treatment (beyond 1st Aid); • An occurrence causing property damage in excess of $25,000 (new threshold of $75,000 effective April 18, 2018); and • Significant harm to the environment.

9. Casualty Reporting Requirements • IMMEDIATELY following addressing of resultant safety concerns, the owner, agent, master, operator, or person in charge shall verbally notify the nearest U.S. Coast Guard Sector Office or Marine Inspection Office (Title 46 Code of Federal Regulations Part 4.05-1) • The vessel owner, agent, master, operator, or person in charge must submit a written report to the U.S. Coast Guard Sector Office within FIVE DAYS on form CG-2692. (Title 46 Code of Federal Regulations Part 4.05-10) U.S. Coast Guard Sector Buffalo Command Center (716) 843-9525 / 9527 ~ 24-Hours a Day

10. CG-2692 (CG-2692A, CG-2692B, CG-2692C, and CG-2692D)

11. What is a Serious Marine Incident?Title 46 Code of Federal Regulations Part 4.03-2 • One or more deaths; • Injury to a crewmember, passenger or other person beyond 1st Aid; • Property damage in excess of $100,000 (new threshold of $200,000 effective April 18, 2018) • Loss (actual or constructive) of any vessel subject to CG inspection; • Loss (actual or constructive) of any self-propelled vessel not subject to CG inspection of 100 gross tons or more; • Discharge of oil of 10,000+ gallons into U.S. navigable waters; and • Discharge of a reportable quantity of a hazardous substance into U.S. navigable waters. AND

12. Post Serious Marine Incident Chemical TestingTitle 46 Code of Federal Regulations Part 4.06 • Required of those directly involved in a Serious Marine Incident (SMI) • Determination is to be made by the marine employer • 2 hours for Alcohol Testing (If safety concerns prevent testing, it must be completed as soon as safety concerns are addressed, but not more than 8 hours after SMI) • 32 hours for Drug Testing (must be collected within 32 hours of SMI, unless precluded by safety concerns directly related to incident - collected as soon as the safety concerns are addressed.) • Documented on form CG-2692B

13. Why do we Investigate Marine Casualties? • Prevention through investigation – • Intended to uncover the causes of incidents, document the events and their causes, and initiate the necessary corrective actions to prevent recurrence. • Safeguard lives at sea and the environment. • Determine if misconduct or negligence of a mariner contributed to the incident. • Detect and suppress federal law violations. Compliance with laws and principals protecting lives and the environment is the Coast Guard’s objective, not punishment.

14. Enforcement Options • Letter of Warning in lieu of Civil Penalty or Suspension and Revocation • Notice of Violation (NOV) – “Ticket” • Civil Penalty • Suspension and Revocation Proceedings (for credentialed mariners) • Examples of maximum penalties: Failure to give immediate notice of a reportable marine casualty ($37,561); failure to report in writing ($37,561); failure of a marine employer to determine whether there is any evidence of alcohol or drug use by individuals directly involved • in a marine casualty ($7,370). • Factors that are considered: • Gravity • Culpability • History • Coast Guard Policy • Mitigating/aggravating circumstances • Each situation is different!

15. Suction ball-valve for firefighting pump Lesson Learned Zerk fitting for lubrication or draining Note: Be aware of the hazards and ways to mitigate them. Option for consideration: Implement checklists for winterizing vessel systems

16. Questions or unsure of requirements? PLEASE contact: Jesse Garrant Senior Investigating Officer U.S. Coast Guard Sector Buffalo (716) 843-9349 Jesse.J.Garrant@uscg.mil To report a Marine Casualty: U.S. Coast Guard Sector Buffalo Command Center (716) 843-9525 / 9527 ~ 24-Hours a Day