[Title 46 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2011 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
Title 46
Shipping
________________________
Parts 1 to 40
Revised as of October 1, 2011
Containing a codification of documents of general
applicability and future effect
As of October 1, 2011
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 46:
Chapter I--Coast Guard, Department of Homeland
Security 3
Finding Aids:
Table of CFR Titles and Chapters........................ 487
Alphabetical List of Agencies Appearing in the CFR...... 507
List of CFR Sections Affected........................... 517
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 46 CFR 1.01-05
refers to title 46, part
1, section 01-05.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
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To determine whether a Code volume has been amended since its
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Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
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``[RESERVED]'' TERMINOLOGY
The term ``[Reserved]'' is used as a place holder within the Code of
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This material, like any other properly issued regulation, has the force
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What is a proper incorporation by reference? The Director of the
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(a) The incorporation will substantially reduce the volume of
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(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
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(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If
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CFR INDEXES AND TABULAR GUIDES
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An index to the text of ``Title 3--The President'' is carried within
that volume.
[[Page vii]]
The Federal Register Index is issued monthly in cumulative form.
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the revision dates of the 50 CFR titles.
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Raymond A. Mosley,
Director,
Office of the Federal Register.
October 1, 2011.
[[Page ix]]
THIS TITLE
Title 46--Shipping is composed of nine volumes. The parts in these
volumes are arranged in the following order: Parts 1-40, 41-69, 70-89,
90-139, 140-155, 156-165, 166-199, 200-499, and 500 to end. The first
seven volumes containing parts 1-199 comprise chapter I--Coast Guard,
DHS. The eighth volume, containing parts 200-- 499, includes chapter
II--Maritime Administration, DOT and chapter III--Coast Guard (Great
Lakes Pilotage), DHS. The ninth volume, containing part 500 to end,
includes chapter IV--Federal Maritime Commission. The contents of these
volumes represent all current regulations codified under this title of
the CFR as of October 1, 2011.
For this volume, Bonnie Fritts was Chief Editor. The Code of Federal
Regulations publication program is under the direction of Michael L.
White, assisted by Ann Worley.
[[Page 1]]
TITLE 46--SHIPPING
(This book contains parts 1 to 40)
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Part
chapter i--Coast Guard, Department of Homeland Security..... 1
[[Page 3]]
CHAPTER I--COAST GUARD, DEPARTMENT OF HOMELAND SECURITY
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Editorial Note: Nomenclature changes to chapter I appear at 69 FR
18803, Apr. 9, 2004.
SUBCHAPTER A--PROCEDURES APPLICABLE TO THE PUBLIC
Part Page
1 Organization, general course and methods
governing marine safety functions....... 5
2 Vessel inspections.......................... 14
3 Designation of oceanographic research
vessels................................. 41
4 Marine casualties and investigations........ 42
5 Marine investigation regulations--personnel
action.................................. 60
6 Waivers of navigation and vessel inspection
laws and regulations.................... 72
7 Boundary lines.............................. 75
8 Vessel inspection alternatives.............. 83
9 Extra compensation for overtime services.... 95
SUBCHAPTER B--MERCHANT MARINE OFFICERS AND SEAMEN
10 Merchant mariner credential................. 98
11 Requirements for officer endorsements....... 126
12 Requirements for rating endorsements........ 191
13 Certification of tankermen.................. 210
14 Shipment and discharge of merchant mariners. 225
15 Manning requirements........................ 231
16 Chemical testing............................ 253
SUBCHAPTER C--UNINSPECTED VESSELS
24 General provisions.......................... 262
25 Requirements................................ 273
26 Operations.................................. 284
27 Towing vessels.............................. 288
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28 Requirements for commercial fishing industry
vessels................................. 294
SUBCHAPTER D--TANK VESSELS
30 General provisions.......................... 341
31 Inspection and certification................ 370
32 Special equipment, machinery, and hull
requirements............................ 387
34 Firefighting equipment...................... 417
35 Operations.................................. 436
36 Elevated temperature cargoes................ 457
38 Liquefied flammable gases................... 459
39 Vapor control systems....................... 474
[[Page 5]]
SUBCHAPTER A_PROCEDURES APPLICABLE TO THE PUBLIC
PART 1_ORGANIZATION, GENERAL COURSE AND METHODS GOVERNING MARINE SAFETY
FUNCTIONS--Table of Contents
Subpart 1.0_Organization and General Flow of Functions
Sec.
1.01-05 Definitions of terms used in this part.
1.01-10 Organization.
1.01-15 Organization; Districts; National Maritime Center.
1.01-20 Suspension and revocation proceedings.
1.01-25 General flow of functions.
1.01-30 Judicial review.
1.01-35 OMB control numbers assigned pursuant to the Paperwork Reduction
Act.
Subpart 1.03_Rights of Appeal
1.03-10 Definition of terms used in this subpart.
1.03-15 General.
1.03-20 Appeals from decisions or actions of an OCMI.
1.03-25 Appeals from decisions or actions of a District Commander.
1.03-30 Appeals from decisions or actions of the Marine Safety Center.
1.03-35 Appeals from decisions or actions of a recognized classification
society acting on behalf of the Coast Guard.
1.03-40 Appeals from decisions or actions of the National Maritime
Center.
1.03-45 Appeals from decisions or actions involving documentation of
vessels.
1.03-50 Appeals from decisions or actions of the Director, Great Lakes
Pilotage.
Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46 U.S.C. 7701; 46 U.S.C.
Chapter 93; Pub. L. 107-296, 116 Stat. 2135; Department of Homeland
Security Delegation No. 0170.1; Sec. 1.01-35 also issued under the
authority of 44 U.S.C. 3507.
Source: CGD 88-033, 54 FR 50376, Dec. 6, 1989, unless otherwise
noted.
Subpart 1.01_Organization and General Flow of Functions
Sec. 1.01-05 Definitions of terms used in this part.
(a) The term Commandant means the Commandant of the Coast Guard.
(b) The term District Commander means an officer of the Coast Guard
designated as such by the Commandant to command all Coast Guard
activities within a district.
(c) The term Area Commander means an officer of the Coast Guard
designated as such by the Commandant to command all Coast Guard
activities within an Area.
(d) The term Credential means any or all of the following:
(1) Merchant mariner's document.
(2) Merchant mariner's license.
(3) STCW endorsement.
(4) Certificate of registry.
(5) Merchant mariner credential.
(e) The term Merchant mariner credential or MMC means the credential
issued by the Coast Guard under 46 CFR part 10. It combines the
individual merchant mariner's document, license, and certificate of
registry enumerated in 46 U.S.C. subtitle II part E as well as the STCW
endorsement into a single credential that serves as the mariner's
qualification document, certificate of identification, and certificate
of service.
[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by USCG-2006-24520,
71 FR 35818, June 22, 2006; USCG-2006-24371, 74 FR 11213, Mar. 16, 2009]
Sec. 1.01-10 Organization.
(a) The Commandant is the head of the agency and exercises overall
direction over the policy and administration of the Coast Guard.
(b) To carry out the regulatory and enforcement aspects of marine
safety, the staff officers designated in this paragraph are assigned to
the Commandant. The chain of military command is directly from the
Commandant to the District Commanders, except for marine safety
regulatory and enforcement matters within the area of responsibility of
Coast Guard Activities Europe. For Activities Europe, the chain of
command is from the Commandant to the Atlantic Area Commander. The staff
officers at Headquarters act only on the basis of the Commandant's
authority and direction.
(1) The Assistant Commandant for Marine Safety, Security, and
Stewardship (CG-5), under the general direction
[[Page 6]]
of the Commandant, directs, supervises, and coordinates the activities
of: The Commercial Regulations and Standards Directorate (CG-52),
consisting of the Office of Design and Engineering Standards (CG-521),
the Office of Operating and Environmental Standards (CG-522), and the
Office of Standards Evaluation and Development (CG-523); the Response
Policy Directorate (CG-53), consisting of the Office of Law Enforcement
(CG-531), the Office of Counterterrorism and Defense Operations (CG-
532), the Office of Incident Management and Preparedness (CG-533), the
Office of Search and Rescue (CG-534), and the Office of Contingency
Exercises (CG-535); the Prevention Policy Directorate (CG-54),
consisting of the Office of International and Domestic Port Security
(CG-541), the Office of Auxiliary and Boating Safety (CG-542), the
Office of Vessel Activities (CG-543), the Office of Port and Facility
Activities (CG-544), the Office of Investigations and Casualty Analysis
(CG-545); and the Marine Transportation and Systems Management
Directorate (CG-55), consisting of the Office of Bridge Programs (CG-
551), the Office of Marine Transportation Systems (CG-552), and the
Office of Navigation Systems (CG-553). The Deputy Commandant for
Operations (CG-DCO), under the general direction of the Commandant,
directs, supervises, and coordinates the activities of the Operations
Resource Management Directorate (CG-DCO-R), consisting of the Office of
Workforce Management (CG-DCO-R-1), the Office of Budget Development (CG-
DCO-R-2), the Office of Budget Execution (CG-DCO-R-3), and the Office of
Information Resources (CG-DCO-R-6). The Port Safety and Security
programs administered by the Chief, Office of Vessel Activities (CG-
543), and the Marine Environmental Response programs administered by the
Chief, Office of Incident Management and Preparedness (CG-533), are
guided by regulations contained in 33 CFR chapter I. The Assistant
Commandant for Marine Safety, Security, and Stewardship (CG-5) exercises
technical control over the Commanding Officer, National Maritime Center
(NMC), and, through the District Commander, supervises the
administration of the Marine Safety Division of District Offices and
Officers in Charge, Marine Inspection.
(i) The Director of Commercial Regulations and Standards (CG-52),
under the general direction and supervision of the Assistant Commandant
for Marine Safety, Security, and Stewardship (CG-5), establishes federal
policies for development of marine safety, security, and environmental
protection treaties, laws, and regulations; develops safety, security,
and environmental protection standards for the maritime industry;
integrates all marine safety, security, and environmental protection
regulatory programs; prepares legislation, regulations, and industry
guidance for new safety and environmental protection programs; and
maintains an active program for development of third party consensus
industry standards.
(A) The Chief, Office of Design and Engineering Standards (CG-521),
at Headquarters, under the direction of the Assistant Commandant for
Marine Safety, Security, and Stewardship (CG-5) and the Director of
Commercial Regulations and Standards (CG-52), manages the program for
defining the overall regulatory approach for vessels, offshore
structures, and other marine systems incorporating safety considerations
regarding the role of the human element; develops policies and
regulations on load line matters and supervises classification societies
authorized to assign load lines on behalf of the Coast Guard; oversees
the development and maintenance of programs that incorporate risk-based
methods in making safety determinations and policies; and oversees
technical research and development for safety and environmental
protection associated with marine vessels, structures and facilities.
(B) The Chief, Office of Operating and Environmental Standards (CG-
522), at Headquarters, under the direction of the Assistant Commandant
for Marine Safety, Security, and Stewardship (CG-5) and the Director of
Commercial Regulations and Standards (CG-52), coordinates and integrates
program standards for personnel qualification, vessel manning, vessel
and facility operations, cargo systems and handling,
[[Page 7]]
and environmental protection; develops and maintains standards,
regulations, and industry guidance for maritime industry operations to
prevent deaths, injuries, property damage, and environmental harm;
develops and maintains safety standards and regulations for commercial
fishing industry vessels and uninspected commercial vessels; and
develops and maintains health and safety standards and regulations for
U.S.-inspected vessels.
(C) The Chief, Office of Standards Evaluation and Development (CG-
523), at Headquarters, under the Direction of the Assistant Commandant
for Marine Safety, Security, and Stewardship (CG-5) and the Director of
Commercial Regulations and Standards (CG-52), coordinates the
development of new standards, programs, and regulations across all
technical and operational areas of marine safety and environmental
protection; provides comprehensive analytical support for all standards
assessment and development efforts; coordinates development of measures
of effectiveness for assessing regulatory programs and consensus
standards; and oversees the Coast Guard's rulemaking development
program.
(D) The Commanding Officer, Marine Safety Center, under the
Direction of the Assistant Commandant for Marine Safety, Security, and
Stewardship (CG-5) and the Director of Commercial Regulations and
Standards (CG-52), conducts reviews and approvals of plans,
calculations, and other materials concerning the design, construction,
alterations, and repair of commercial vessels to determine conformance
with the marine inspection laws, regulations, and implementing
directions, and administers the U.S. Tonnage Measurement program.
(ii) The Director of Prevention Policy (CG-54), under the general
direction and supervision of the Assistant Commandant for Marine Safety,
Security, and Stewardship (CG-5), acts as Program Manager for the Marine
Safety, Security, and Environmental Protection Programs; directs,
coordinates, and integrates the Coast Guard's marine safety and
environmental protection compliance programs, contingency planning,
response operations, and investigations programs; establishes and
coordinates field implementation policies and priorities for all marine
safety commands and units; serves as the focal point for field support
and technical guidance; and provides oversight of marine documentation
and marine personnel administration matters.
(A) The Chief, Office of Vessel Activities (CG-543), at
Headquarters, under the direction of the Assistant Commandant for Marine
Safety, Security, and Stewardship (CG-5) and the Director of Prevention
Policy (CG-54), administers and balances all marine safety and
environmental protection compliance programs, including direction of
Coast Guard activities and oversight of third parties and industry
programs; develops, publishes, and maintains program policies for vessel
compliance, interprets standards and regulations, and provides field
guidance for execution and enforcement; administers the marine
inspection program, commercial fishing vessel examination program, and
foreign vessel boarding program for the enforcement of commercial vessel
material and operational safety standards; and supervises the
administration of the manning of U.S. vessels and credentialing of U.S.
mariners.
(B) The Chief, Office of Incident Management and Preparedness (CG-
533), at Headquarters, under the Direction of the Assistant Commandant
for Marine Safety, Security, and Stewardship (CG-5) and the Director of
Response Policy (CG-53), coordinates and integrates field planning,
preparedness, and response operations for pollution incidents, natural
disasters, marine accidents, terrorism, and other threats to public
safety, the marine environment, or marine transportation and commerce;
develops, publishes, and maintains program policies for preparedness and
response, interprets laws and regulations, and provides field guidance
for execution; provides guidance regarding emergency authorities of the
Captain of the Port (COTP); and administers Office programs for ports
and waterway management, bridging compliance, and response efforts with
an active presence in the marine environment.
[[Page 8]]
(C) The Chief, Office of Investigations and Analyses (CG-545), at
Headquarters, under the direction of the Assistant Commandant for Marine
Safety, Security, and Stewardship (CG-5) and the Director of Prevention
Policy (CG-54), reviews investigations of marine casualties; manages,
develops policy for and evaluates domestic and international programs
and processes associated with investigations of marine casualties and
injuries; manages analysis of casualties and casualty data, civil
penalties and other remedial programs (including proceedings to suspend
or revoke Coast Guard credentials held by mariners); and manages marine
employer drug and alcohol testing programs.
(D) The Commanding Officer, Coast Guard National Maritime Center
(NMC), under technical control of the Assistant Commandant for Marine
Safety, Security, and Stewardship (CG-5), administers the mariner
credentialing program; evaluates merchant mariners for suitability for
service; issues merchant mariner credentials; evaluates and conducts
oversight of approved courses; and exercises operational and
administrative control over the 17 Regional Examination Centers.
(iii) The Director of Operations Resource Management (CG-DCO-R),
under the general direction and supervision of the Deputy Commandant for
Operations (CG-DCO), serves as Facility Manager for the marine safety
programs; coordinates and integrates financial, informational, and human
resources; plans, acquires, develops, and allocates resources for
development and execution of the Coast Guard's marine safety programs;
provides the focal point for all resource issues in support of the
Standards and Operations Directorates; and oversees the development and
management of the Coast Guard's direct user fee program.
(2) The Judge Advocate General and Chief Counsel of the Coast Guard
(CG-094), under the general direction of and in coordination with the
General Counsel, Department of Homeland Security, is the senior legal
advisor to the Commandant, Vice Commandant, and senior staff officers.
The Judge Advocate General advises on all cases and controversies
arising under the various authorities of the Coast Guard involving
alleged violations of international, maritime, navigation, and vessel
inspection laws, or regulations prescribed there under and published in
this chapter or in 33 CFR chapter I, and reviews appeals to the
Commandant from actions derived from these authorities. On completion of
such a review, the Judge Advocate General prepares a proposed action for
the Commandant's consideration or, in appropriate cases, takes final
action on behalf of, and as directed by, the Commandant.
[CGD 88-033, 54 FR 50376, Dec. 6, 1989]
Editorial Note: For Federal Register citations affecting Sec. 1.01-
10, see the List of CFR Sections Affected, which appears in the Finding
Aids section of the printed volume and at www.fdsys.gov.
Sec. 1.01-15 Organization; Districts; National Maritime Center.
(a) To assist the District Commander, and the Atlantic Area
Commander with respect to Activities Europe, in carrying out the
regulatory and enforcement aspects of marine safety, there is assigned
to each District Commander and to the Atlantic Area Commander a staff
officer designated as Chief, Marine Safety Division. The chain of
military command is from the District Commander to each Officer in
Charge, Marine Inspection, within the district and from the Atlantic
Area Commander to the Officer in Charge, Activities Europe. The Chief of
the Marine Safety Division is a staff officer assigned to the District
Commanders and Atlantic Area Commander, and acts only on the basis of
the authority and direction of the District Commanders, and the Atlantic
Area Commanders with respect to Activities Europe.
(1) The Chiefs, Marine Safety Division, in the District Offices,
under the supervision of their respective District Commanders, direct
the activities of their district relative to vessel, factory and
shipyard inspections; reports and investigations of marine casualties
and accidents; processing of violations of navigation and vessel
inspection laws; the credentialiing, shipment and discharge of seamen;
the investigation and institution of proceedings looking
[[Page 9]]
to suspension and revocation under 46 U.S.C. chapter 77 of credentials
held by persons; and all other marine safety regulatory activities
except those functions related to recreational boating when under the
supervision of the Chiefs, Boating Safety Division, in the District
Offices.
(2) Unless otherwise provided for, the Chiefs, Boating Safety
Division, in the District Offices, under the supervision of their
respective District Commanders, direct the activities in their districts
relative to administration of the law enforcement program applicable to
uninspected vessels used for recreational purposes and the imposition
and collection of penalties in connection therewith; maintain liaison
with Federal and State agencies having related interests; develop and
coordinate agreements and arrangements with Federal and State agencies
for cooperation in the enforcement of State and Federal laws related to
recreational boating; and review investigative reports of recreational
boating accidents.
(b) The Officers in Charge, Marine Inspection, in the Coast Guard
districts, under the supervision of the District Commanders, and the
Officer in Charge, Activities Europe, under the supervision of the
Atlantic Area Commander are in charge of the marine inspection offices
in the various ports and have command responsibilities with assigned
marine safety zones for the performance of duties with respect to the
inspection, enforcement and administration of navigation and vessel
inspection laws, and rules and regulations governing marine safety. The
Officer in Charge, Marine Inspection, has been designated and delegated
to give immediate direction to Coast Guard activities relating to marine
safety functions consisting of inspection of vessels in order to
determine that they comply with the applicable laws, rules, and
regulations relating to construction, equipment, manning and operation,
and to be satisfied that such vessels are in seaworthy condition for the
services in which such vessels are to be operated; shipyard inspections;
factory inspections of materials and equipment for vessels;
credentialing shipment and discharge of seaman; investigations of marine
casualties and accidents; investigations of violations of law;
negligence, misconduct, unskillfullness, incompetence or misbehavior of
persons holding credentials issued by the Coast Guard; initiations of
actions seeking suspension or revocation under 46 U.S.C. chapter 77 of
credentials held by persons, and presentation of cases at hearings
before Administrative Law Judges; and the enforcement of navigation,
vessel inspection and seaman laws in general.
(c) The Commanding Officer of the National Maritime Center has been
designated and delegated to:
(1) Give direction to Coast Guard activities relating to marine
safety functions consisting of the licensing, credentialing,
certificating, shipment and discharge of seamen;
(2) Refer to the processing Regional Examination Center (REC), the
Suspension and Revocation National Center of Expertise, or cognizant
OCMI potential violations of law, negligence, misconduct,
unskillfulness, incompetence or misbehavior of persons holding merchant
mariner's documents, licenses, certificates or credentials issued by the
Coast Guard, and recommend suspension or revocation under 46 U.S.C.
Chapter 77 when deemed appropriate; and
(3) Grant, withhold, suspend, or withdraw course approvals.
(d) The Commanding Officer of the National Maritime Center has the
same authority as an OCMI for the purpose of carrying out the marine
safety functions listed in paragraph (c) of this section pursuant to the
provisions of Subchapter B of this chapter.
(e) Applicants for merchant mariner's documents, licenses,
certificates or credentials may apply to the Coast Guard National
Maritime Center or any of the Regional Examination Centers. Applicants
may contact the National Maritime Center at 100 Forbes Drive,
Martinsburg, West Virginia 25404, or by telephone at 1-888-I-ASK-NMC (1-
888-427-5662). A list of Regional Examination Locations is available
through the Coast Guard Web site at http://www.uscg.mil.
(f) For descriptions of Coast Guard districts and marine inspection
zones, see 33 CFR part 3.
[CGD 88-033, 54 FR 50376, Dec. 6, 1989]
[[Page 10]]
Editorial Note: For Federal Register citations affecting Sec. 1.01-
15, see the List of CFR Sections Affected, which appears in the Finding
Aids section of the printed volume and at www.fdsys.gov.
Sec. 1.01-20 Suspension and revocation proceedings.
(a) The Commandant takes final agency action on each proceeding
concerned with revocation.
(b) The Commandant has delegated authority to the Vice Commandant in
33 CFR 1.01-40 to take final agency action under subparts I, J, and K of
part 5 of this chapter on each proceeding except on a petition or appeal
in a case on which an order of revocation has been issued.
(c) The Commandant assigns to his staff a Chief Administrative Law
Judge who is an Administrative Law Judge appointed under 5 U.S.C. 3105
and whose assignment is to:
(1) Act as adviser and special assistant to the Commandant on
matters concerning the administration of hearings conducted under 46
U.S.C. chapter 77;
(2) Conduct hearings under 46 U.S.C. chapter 77;
(3) Train new Administrative Law Judges assigned to conduct hearings
under 46 U.S.C. chapter 77;
(4) Review the written decisions and orders of each Administrative
Law Judge assigned to conduct a hearing under 46 U.S.C. chapter 77; and
(5) Act as adviser to the Chief Counsel in preparation of the final
action of proceedings conducted under subparts I, J, and K of part 5 of
this chapter.
(d) The Chief Counsel of the Coast Guard, under the general
direction and supervision of the Commandant, U.S. Coast Guard:
(1) Acts as an adviser and as a special assistant to the Commandant
in matters of law; and
(2) Prepares for the consideration of the Commandant or the Vice
Commandant, as appropriate, proposed decisions on cases on appeal or
review in suspension and revocation proceedings.
Sec. 1.01-25 General flow of functions.
(a) The Officer in Charge, Marine Inspection, has final authority
with respect to the functions described in Sec. 1.01-15(b) of this
subpart, subject to the rights of appeal set forth in subpart 1.03 of
this part.
(b)(1) The general course and method by which the functions (other
than those dealing with suspension and revocation of credentials
described in paragraph (c) of this section) concerning marine safety
activities are channeled, begins with the Officer in Charge, Marine
Inspection, at the local Sector Office. From this Officer the course is
to the Chief, Marine Safety Division, on the staff of the District
Commander, and then to the District Commander. From the District
Commander, the course is to the Chief of one of the offices with Marine
Safety and Environmental Protection at Headquarters.
(2) For Activities Europe, the course is from the Officer in Charge,
Activities Europe to the staff of the Atlantic Area Commander, then to
the Atlantic Area Commander, and then to the Chief of one of the offices
with Marine Safety and Environmental Protection at Headquarters.
(c) In proceedings involving the suspension or revocation of a Coast
Guard credential issued to an individual, the course and method by which
such proceedings are channeled are as follows:
(1) In the United States, the Commonwealth of Puerto Rico, Territory
of Guam, the Virgin Islands, and other possessions, the proceedings are
initiated by the issuance of a complaint against the holder of the Coast
Guard credential. A Coast Guard Investigating Officer, as defined in 46
CFR 5.15, causes the complaint to be served on the person described
therein (respondent) who is a holder of a Coast Guard credential. At a
hearing the Coast Guard submits evidence to support the allegations of
the complaint, while the respondent may submit evidence in rebuttal or
mitigation. The Administrative Law Judge renders a decision on the basis
of the evidence adduced at the hearing and the law. The Administrative
Law Judge's decision is given to the respondent.
(i) In a case where an appeal is made by either party (Coast Guard
or respondent), the notice of appeal is filed in accordance with the
procedures of 33 CFR 20.1001(a).
(ii) [Reserved]
[[Page 11]]
(2) [Reserved]
(d) In the performance of their duties, all Coast Guard
Administrative Law Judges are bound by law and the regulations in this
chapter or in 33 CFR chapter I. Statements of policy, clarification of
points of procedure, and general administrative instructions are
published in Administrative Law Judges' Circulars and Administrative Law
Judges' Internal Practices and Procedures Series. The Chief
Administrative Law Judge, located in the Office of the Commandant, U.S.
Coast Guard, maintains a complete file of these publications for reading
purposes during normal working hours.
[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by CGD 96-041, 61 FR
50725, Sept. 27, 1996; CGD 97-057, 62 FR 51040, 51041, Sept. 30, 1997;
USCG-2004-18884, 69 FR 58341, Sept. 30, 2004; USCG-2006-24520, 71 FR
35818, June 22, 2006, USCG-2006-25556, 72 FR 36329, July 2, 2007; USCG-
2006-24371, 74 FR 11214, Mar. 16, 2009; USCG-2009-0314, 74 FR 30937,
June 29, 2009]
Sec. 1.01-30 Judicial review.
(a) Nothing in this chapter shall be construed to prohibit any party
from seeking judicial review of any Commandant's decision or action
taken pursuant to the regulations in this part or part 5 of this chapter
with respect to suspension and revocation proceedings arising under 46
U.S.C. chapter 77.
(b) If the person found guilty of any offense fails to make a timely
appeal, the decision of the Administrative Law Judge is final and
binding on the person charged as of the date that the decision is
delivered to the person charged or his authorized representative.
Sec. 1.01-35 OMB control numbers assigned pursuant to the Paperwork
Reduction Act.
(a) Purpose. This section collects and displays the control numbers
assigned to information collection and record keeping requirements in
this subchapter by the Office of Management and Budget (OMB) pursuant to
the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). The Coast
Guard intends that this section comply with the requirements of 44
U.S.C. 3507(f) which requires agencies display a current control number
assigned by the Director of the OMB for each approved agency information
collection requirement.
(b) Display.
------------------------------------------------------------------------
46 CFR part or section where identified or
described Current OMB control No.
------------------------------------------------------------------------
Sec. 2.01............................... 1625-0002
Sec. 2.95-10............................ 1625-0035
Sec. 3.10............................... 1625-0014
Part 4.................................... 1625-0001
Part 6.................................... 1625-0002
------------------------------------------------------------------------
[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by USCG-2004-18884,
69 FR 58341, Sept. 30, 2004]
Subpart 1.03_Rights of Appeal
Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46 U.S.C. 7701; 46 U.S.C.
Chapter 93; Public Law 107-296, 116 Stat. 2135; Department of Homeland
Security Delegation No. 1070; Sec. 1.01-35 also issued under the
authority of 44 U.S.C. 3507.
Sec. 1.03-10 Definition of terms used in this subpart.
(a) The term recognized classification society means the American
Bureau of Shipping or other classification society recognized by the
Commandant.
(b) The term new vessel means:
(1) For vessels which require a Certificate of Inspection, a new
vessel is a vessel which has not received an initial Certificate of
Inspection.
(2) For vessels which do not require a Certificate of Inspection, a
new vessel is a vessel which has not received a Load Line assignment.
(c) The term existing vessel means a vessel which is not a new
vessel.
Sec. 1.03-15 General.
(a) Any person directly affected by a decision or action taken under
this chapter or under chapter III of this title, by or on behalf of the
Coast Guard, except for matters covered by subpart J of part 5 of this
chapter dealing with suspension-and-revocation hearings, shall follow
the procedures contained in this section when requesting that the
decision or action be reviewed, set aside, or revised.
(b) When requesting that a decision or action be reconsidered or
reviewed, as may be required by this subpart, such request must be made
within 30
[[Page 12]]
days after the decision is rendered or the action is taken.
(c) When making a formal appeal of a decision or action, as
permitted by this subpart, such appeal must be submitted in writing and
received by the authority to whom the appeal is required to be made
within 30 days after the decision or action being appealed, or within 30
days after the last administrative action required by this subpart. Upon
written request and for good cause, the 30 day time limit may be
extended by the authority to whom the appeal is required to be made.
(d) A formal appeal must contain a description of the decision or
action being appealed and the appellant's reason(s) why the decision or
action should be set aside or revised.
(e) When considering an appeal, the Commandant or a District
Commander may stay the effect of a decision or action being appealed
pending determination of the appeal.
(f) While a request for reconsideration or review or a formal appeal
is pending, the original decision or action remains in effect, unless
otherwise stayed under paragraph (e) of this section.
(g) The Commandant may delegate authority to act on administrative
appeals under this subpart to the Assistant Commandant for Marine Safety
and Environmental Protection, and appropriate office chiefs within
Marine Safety and Environmental Protection.
(h) Formal appeals made to the Commandant shall be addressed to:
(1) Commandant (CG-543) for appeals involving vessel inspection
issues, load line issues, and vessel manning issues;
(2) Commandant (CG-52) for appeals involving vessel plan review or
tonnage measurement issues;
(3) Commandant (CG-54) for all appeals involving suspension or
withdrawal of course approvals, all marine personnel issues appealed
from the National Maritime Center or from an OCMI through a District
Commander, and all appeals regarding the documentation of a vessel under
part 67 or part 68 of this title. All appeals regarding the
documentation of a vessel under part 67 or part 68 of this title must be
addressed to Commandant (CG-54d), Coast Guard Headquarters, 21002nd St.
SW., Stop 7581, Washington, DC 20593-7581, and a copy of each such
appeal must be sent to the National Vessel Documentation Center, 792 T J
Jackson Drive; Falling Waters, WV 25419;
(4) Commandant (CG-521), for appeals involving the recognition of a
classification society; or
(5) Commandant (CG-55) for appeals involving decisions or actions of
the Director, Great Lakes Pilotage.
(i) Failure to submit a formal appeal in accordance with the
procedures and time limits contained in this subpart results in the
decision or action becoming final agency action.
(j) Any decision made by the Commandant, or by the Assistant
Commandant for Marine Safety and Environmental Protection, or by an
office chief pursuant to authority delegated by the Commandant is final
agency action on the appeal.
[CGD 88-033, 54 FR 50376, Dec. 6, 1989]
Editorial Note: For Federal Register citations affecting Sec. 1.03-
15, see the List of CFR Sections Affected, which appears in the Finding
Aids section of the printed volume and at www.fdsys.gov.
Sec. 1.03-20 Appeals from decisions or actions of an OCMI.
Any person directly affected by a decision or action of an OCMI may,
after requesting reconsideration of the decision or action by the
cognizant OCMI, make a formal appeal of that decision or action, via the
office of the cognizant OCMI, to the District Commander of the district
in which the office of the cognizant OCMI is located, or in the case of
the Officer in Charge, Activities Europe, to the Atlantic Area
Commander, in accordance with the procedures contained in Sec. 1.03-15
of this subpart.
[USCG-2006-24520, 71 FR 35818, June 22, 2006]
Sec. 1.03-25 Appeals from decisions or actions of a District Commander.
Any person directly affected by a decision or action of a District
Commander made pursuant to Sec. 1.03-20 of this subpart, may make a
formal appeal of that decision or action, via the
[[Page 13]]
office of the cognizant District Commander, to the Commandant, in
accordance with the procedures contained in Sec. 1.03-15 of this
subpart.
Sec. 1.03-30 Appeals from decisions or actions of the Marine Safety
Center.
(a) Any person directly affected by a decision or action of the
Marine Safety Center involving tonnage measurement or which otherwise
affects a new vessel or plans for a vessel to be built may, after
requesting reconsideration of the decision or action by the Commanding
Officer, Marine Safety Center, make a formal appeal, of that decision or
action, via the Commanding Officer, Marine Safety Center, to the
Commandant, in accordance with the procedures contained in Sec. 1.03-15
of this subpart.
(b) Any person directly affected by a decision or action of the
Marine Safety Center not involving tonnage measurement but which
otherwise affects an existing vessel, prior to initiating a formal
appeal, must request review of that decision or action by the cognizant
OCMI. Following review by the cognizant OCMI, the decision or action
under review may be appealed to the District Commander, in accordance
with the procedures contained in Sec. 1.03-20 of this subpart.
[CGD 97-057, 62 FR 51040, Sept. 30, 1997, as amended by USCG-1998-4442,
63 FR 52188, Sept. 30, 1998]
Sec. 1.03-35 Appeals from decisions or actions of a recognized
classification society acting on behalf of the Coast Guard.
(a) Any person directly affected by a decision or action of a
recognized classification society performing plan review, tonnage
measurement, or load line assignment on behalf of the Coast Guard may,
after requesting reconsideration of the decision or action by the
classification society, make a formal appeal, via the classification
society headquarters, to the Commandant, in accordance with the
procedures contained in Sec. 1.03-15 of this subpart.
(b) Any person directly affected by a decision or action of a
recognized classification society acting as a marine inspector, as
defined in Sec. 30.10-43 of this chapter, on behalf of the Coast Guard,
prior to initiating a formal appeal, must request review of that
decision or action by the cognizant OCMI. Following review by the
cognizant OCMI, the decision or action under review may be appealed to
the District Commander, in accordance with the procedures contained in
Sec. 1.03-20 of this subpart.
[CGD 88-033, 54 FR 50376, Dec. 6, 1989, as amended by CGD 97-057, 62 FR
51041, Sept. 30, 1997]
Sec. 1.03-40 Appeals from decisions or actions of the National
Maritime Center.
Any person directly affected by a decision or action of an officer
or employee of the National Maritime Center (NMC) involving any of the
marine safety functions listed in Sec. 1.01-15(c) of this subpart may,
after requesting reconsideration of the decision or action by the NMC,
make a formal appeal of that decision or action, via the NMC, to the
Director of Prevention Policy, Commandant (CG-54), in accordance with
the procedures contained in Sec. 1.03-15 of this subpart. The decision
of the Director of Prevention Policy, Commandant (CG-54), on such an
appeal will constitute final agency action.
[USCG-2006-25535, 71 FR 48482, Aug. 21, 2006. Redesignated by USCG-2006-
25535, 72 FR 7930, Feb. 22, 2007; USCG-2008-0906, 73 FR 56507, Sept. 29,
2008]
Sec. 1.03-45 Appeals from decisions or actions involving documentation
of vessels.
Any person directly affected by a decision or action of an officer
or employee of the Coast Guard acting on or in regard to the
documentation of a vessel under part 67 or part 68 of this title, may
make a formal appeal of that decision or action to the Director of
Prevention Policy, Commandant (CG-54), in accordance with the procedures
contained in Sec. 1.03-15 of this subpart. The decision of the Director
of Prevention Policy, Commandant (CG-54), on such an appeal will
constitute final agency action.
[USCG-2006-25535, 72 FR 7930, Feb. 22, 2007, as amended by USCG-2008-
0906, 73 FR 56507, Sept. 29, 2008]
[[Page 14]]
Sec. 1.03-50 Appeals from decisions or actions of the Director,
Great Lakes Pilotage.
Any person directly affected by a decision or action of the
Director, Great Lakes Pilotage, may make a formal appeal of that
decision or action to Commandant (CG-5), in accordance with the
procedures contained in Sec. 1.03-15 of this subpart.
[USCG 2003-15137, 68 FR 37093, June 23, 2003, as amended by USCG-2008-
0906, 73 FR 56507, Sept. 29, 2008]
PART 2_VESSEL INSPECTIONS--Table of Contents
Subpart 2.01_Inspecting and Certificating of Vessels
Sec.
2.01-1 Applications for inspections.
2.01-3 Notification of inspection.
2.01-5 Certificate of inspection.
2.01-6 Certificates issued to foreign vessels.
2.01-7 Classes of vessels (including motorboats) examined or inspected
and certificated.
2.01-8 Application of regulations to vessels or tankships on an
international voyage.
2.01-10 Inspection requirements--domestic vessels.
2.01-13 Inspection requirements--foreign vessels.
2.01-15 Vessel repairs.
2.01-20 Suspension or revocation of certificates of inspection.
2.01-25 International Convention for Safety of Life at Sea, 1974.
2.01-30 Delegation of OCMI signature authority.
2.01-40 Passengers or persons in addition to crew on cargo or tank
vessels.
2.01-45 Excursion permit.
2.01-50 Persons other than crew on towing, oyster, or fishing steam
vessels.
2.01-60 Overtime compensation.
2.01-70 Right of appeal.
2.01-80 Vessel inspections in Alaska.
Subpart 2.10_Fees
2.10-1 Applicability.
2.10-5 Exemptions.
2.10-10 Waivers.
2.10-20 General requirements.
2.10-25 Definitions.
2.10-101 Annual vessel inspection fee.
2.10-105 Prepayment of annual vessel inspection fees.
2.10-115 Changes in vessel service.
2.10-120 Overseas inspection and examination fees.
2.10-125 Fees for examination of foreign tankships.
2.10-130 Fees for examination of foreign mobile offshore drilling units.
2.10-135 Penalties.
Subpart 2.20_Reports and Forms
2.20-40 Chief engineer's reports.
2.20-50 Repairs or alterations in lifesaving or fire prevention
equipment.
Subpart 2.45 [Reserved]
Subpart 2.50_Penalties
2.50-1 Penalty procedures.
Subpart 2.75_Approvals of Safety Equipment, Materials and Installations,
and Qualifications for Construction Personnel
2.75-1 Approvals.
2.75-5 Certificates of approval.
2.75-10 Procedures for obtaining approvals.
2.75-15 Requirements and tests.
2.75-25 Portable fire extinguishers.
2.75-40 Suspension of approval.
2.75-50 Withdrawals or terminations of approvals and appeals.
2.75-60 Hazardous ships' stores.
2.75-70 Welding procedure and performance qualifications.
Subpart 2.85_Load Lines
2.85-1 Assignment of load lines.
Subpart 2.90_Plans, Drawings or Blueprints
2.90-1 General requirements.
Subpart 2.95_Retention of Records by the Public
2.95-1 Certificates or documents issued by Coast Guard.
2.95-5 Certificates or documents issued by others.
2.95-10 Equipment or material required to be approved.
Authority: 33 U.S.C. 1903; 43 U.S.C. 1333; 46 U.S.C. 2110, 3103,
3205, 3306, 3307, 3703; 46 U.S.C. Chapter 701; E.O. 12234, 45 FR 58801,
3 CFR, 1980 Comp., p. 277; Department of Homeland Security Delegation
No. 0170.1. Subpart 2.45 also issued under the Act Dec. 27, 1950, Ch.
1155, secs. 1, 2, 64 Stat. 1120 (see 46 U.S.C. App. Note prec. 1).
Editorial Note: Nomenclature changes to part 2 appear at 74 FR
49223, Sept. 25, 2009.
Source: CGFR 65-50, 30 FR 16604, Dec. 30, 1965, unless otherwise
noted.
[[Page 15]]
Subpart 2.01_Inspecting and Certificating of Vessels
Sec. 2.01-1 Applications for inspections.
(a) Application forms. (1) Applications for inspections of vessels
required to be inspected under Subtitle II, Title 46 of the U.S. Code,
Title 46 and Title 33 U.S. Code, or under 50 U.S.C. 198 shall be made by
the master, owner, or agent on the following Coast Guard forms which are
obtainable from the Officer in Charge, Marine Inspection, at any local
U.S. Coast Guard Sector Office.
(i) CG-3752--Application for Inspection of U.S. Vessel.
(ii) CG-986--Application for Inspection of Foreign Vessel.
(2) These applications require information on name and type of
vessel, nature of employment and route in which to be operated, and
place where and date when the vessel may be inspected.
(b) To whom submitted. The completed form must be submitted to the
Officer in Charge, Marine Inspection, in the Marine Inspection Zone
within which the inspection is to be conducted.
(c) New vessels. Applications for inspection of new vessels must be
preceded by the submission of applicable drawings or prints in
accordance with the specific requirements in subchapters D (Tank
Vessels), E (Load Lines), F (Marine Engineering), H (Passenger Vessels),
I (Cargo and Miscellaneous Vessels), J (Electrical Engineering), K
(Small Passenger Vessels Carrying More Than 150 Passengers Or With
Overnight Accommodations For More Than 49 Passengers), L (Offshore
Supply Vessels), O (Certain Bulk Dangerous Cargoes), S (Subdivision and
Stability), and T (Small Passenger Vessels) of this chapter applicable
to that particular type of vessel or type of service in which the vessel
is proposed to be operated.
(d) Foreign-built vessels. (1) Those foreign-built vessels which are
specifically authorized by public or private laws to engage in the
coastwise trade, and those foreign-built vessels which are documented to
engage in the foreign trade shall be inspected and certificated as
required by law and/or the regulations in this chapter which are
applicable to their class and employment.
(2) Foreign-built vessels are not permitted to engage in the U.S.
coastwise trade (domestic trade) unless specifically authorized by law.
Therefore, when foreign-built vessels are intended for use in the
coastwise trade as defined by the U.S. Customs Service, such vessels
will not be inspected and certificated unless specifically authorized by
law to engage in coastwise trade.
[CG FR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 79-023, 48
FR 51006, Nov. 4, 1983; CGD 91-030, 60 FR 13563, Mar. 13, 1995; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; CGD 95-028, 62 FR 51194, Sept. 30,
1997; USCG-2006-25556, 72 FR 36329, July 2, 2007]
Sec. 2.01-3 Notification of inspection.
(a) At least 30 days prior to the expiration of the Certification of
Inspection, a vessel's owner, charterer, managing operator, agent,
master or individual in charge shall notify the Coast Guard if the
vessel will be required to be reinspected for certification or will be
operated in such a manner as to not require a Certificate of Inspection.
(b) The notification required by paragraph (a) shall be in writing
and shall be submitted to the Officer in Charge, Marine Inspection for
the Marine Inspection or Sector Office of the port that:
(1) Will be reinspecting and Certificating the Vessel;
(2) Issued the vessel's current Certificate of Inspection if the
vessel's schedule is such that it is not known where the next
reinspection will take place; or
(3) Issued the vessel's current Certificate of Inspection if the
vessel will not be requiring reinspection for the issuance of a
Certificate of Inspection.
[CGD 85-015, 51 FR 19340, May 29, 1986, as amended by USCG-1999-4976, 65
FR 6498, Feb. 9, 2000; USCG-2006-25556, 72 FR 36329, July 2, 2007]
Sec. 2.01-5 Certificate of inspection.
(a) Issuance of certificates. Upon completion of the inspection of a
United States vessel, and on condition that the vessel and its equipment
are approved by the inspector, a certificate of one or more of the
following Coast Guard forms is issued by the Officer in Charge, Marine
Inspection:
[[Page 16]]
(1) CG-841--Certificate of Inspection.
(2) CG-854--Temporary Certificate of Inspection.
(b) Description of certificates. The certificates of inspection
issued to United States vessels describe the vessel, the route the
vessel may travel, the minimum manning requirements, the safety
equipment and appliances required to be on board, the total number of
persons that may be carried, and the names of the owners and operators.
The period of validity is stated on the certificate. The certificate may
be renewed by applying for inspection under Sec. 2.01-1.
(c) Amending certificates. When, because of a change in the
character of the vessel or vessel's route, equipment, etc., the vessel
does not comply with the requirements of the Certificate of Inspection
previously issued, an amended certificate may be issued at the
discretion of the Officer in Charge, Marine Inspection, to whom a
request is made.
[CGD 77-014, 44 FR 5316, Jan. 25, 1979, as amended by USCG-1999-4976, 65
FR 6498, Feb. 9, 2000; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004;
USCG-2010-0759, 75 FR 60000, Sept. 29, 2010]
Sec. 2.01-6 Certificates issued to foreign vessels.
(a) Issuance of a Certificate of Compliance (COC). Foreign vessels
of countries which are signatory to the International Convention for the
Safety of Life at Sea, 1974, are issued a Certificate of Compliance (CG-
3585) upon satisfactory completion of a compliance examination by the
Officer in Charge, Marine Inspection:
(1) A foreign passenger vessel that is registered in a country which
is signatory to the International Convention for the Safety of Life at
Sea, 1974, visits U.S. ports with U.S. citizens as passengers or embarks
passengers in U.S. ports, and holds a valid Passenger Ship Safety
Certificate;
(2) A foreign vessel that is suitable for carriage of hazardous
cargoes in bulk as defined in 46 CFR subchapter 0 and is in compliance
with Tankship Cargo Venting and Handling Systems and Minimum Pollution
Prevention Regulations and Transfer Procedures (33 CFR parts 155, 156,
157, and 159), and Navigation Safety Inspection Regulations (33 CFR part
164);
(3) A foreign Mobile Offshore Drilling Unit that complies with
standards listed in 33 CFR 143.207 and is engaged in U.S. Outer
Continental Shelf activities;
(4) A foreign vessel that is suitable for carriage of cargoes as
defined in 46 CFR subchapter D and is in compliance with Tankship Cargo
Venting and Handling Systems and Minimum Safety Standards (SOLAS 74--46
CFR part 35), Pollution Prevention Regulations and Transfer Procedures
(33 CFR parts 155, 156, 157, and 159), and Navigation Safety Regulations
(33 CFR part 164).
(b) Foreign vessels of countries which are non-signatory to the
International Convention for the Safety of Life at Sea, 1974, are issued
a Temporary Certificate of Inspection (CG-854) and a Certificate of
Inspection (CG-841), respectively, as described in Sec. 2.01-5. Any
amendments to these certificates shall be accomplished in accordance
with Sec. 2.01-5(c).
(c) Description of COC. CG-3585 describes the vessel's particulars,
type of vessel examined, type of certificate(s) required by the
International Convention for Safety of Life at Sea, 1974, the period of
validity, subsequent exams required to maintain the certificates
validity, the Officer in Charge, Marine Inspection zone where the exam
was completed in and if there are any deficiencies as to applicable
regulations at the time the vessel was examined. If there are
deficiencies issued, they are listed in the examination record section
of the COC.
[USCG-2010-0759, 75 FR 60000, Sept. 29, 2010]
Sec. 2.01-7 Classes of vessels (including motorboats) examined or
inspected and certificated.
(a) The regulations in this chapter concerning inspecting and
certificating vessels are applicable to vessels (including motorboats)
as indicated in the following table 2.01-7(a):
[[Page 17]]
[GRAPHIC] [TIFF OMITTED] TR04DE09.000
[[Page 18]]
[GRAPHIC] [TIFF OMITTED] TR04DE09.001
[[Page 19]]
[GRAPHIC] [TIFF OMITTED] TR04DE09.002
[[Page 20]]
[GRAPHIC] [TIFF OMITTED] TR04DE09.003
[[Page 21]]
[GRAPHIC] [TIFF OMITTED] TR04DE09.004
[[Page 22]]
[GRAPHIC] [TIFF OMITTED] TR04DE09.005
[[Page 23]]
[GRAPHIC] [TIFF OMITTED] TR04DE09.006
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(b) The specific application of regulations concerning inspecting
and certificating vessels is set forth in the specific subchapter
governing a particular class of vessels.
[[Page 25]]
(1) For passenger vessels see part 70 of subchapter H (Passenger
Vessels) of this chapter.
(2) For cargo and miscellaneous vessels see part 90 of subchapter I
(Cargo and Miscellaneous Vessels) of this chapter.
(3) For tank vessels see part 30 of subchapter D (Tank Vessels) of
this chapter.
(4) For small passenger vessels see part 114 of subchapter K (Small
Passenger Vessels Carrying More Than 150 Passengers or with Overnight
Accommodations for More Than 49 Passengers) and part 175 of subchapter T
(Small Passenger Vessels) of this chapter.
(5) For uninspected vessels see part 24 of subchapter C (Uninspected
Vessels) of this chapter.
(6) For vessels carrying certain bulk dangerous cargoes see
subchapter O of this chapter.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGFR 67-83, 33 FR
1102, Jan. 27, 1968; CGFR 70-10, 35 FR 3706, Feb. 25, 1970; CGD 73-96,
42 FR 49022, Sept. 26, 1977; CGD 86-033, 53 FR 36023, Sept. 16, 1988; 53
FR 46871, Nov. 21, 1988; CGD 90-008, 55 FR 30659, July 26, 1990; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; USCG-1999-5040, 67 FR 34760, May 15,
2002; USCG-2008-1107; 74 FR 63619, Dec. 4, 2009]
Sec. 2.01-8 Application of regulations to vessels or tankships on
an international voyage.
(a) Where, in various places or portions in this chapter,
requirements are stipulated specifically for vessels on an international
voyage or tankships on an international voyage, it is intended that
these requirements apply only to vessels or tankships, as applicable,
which are subject to the International Convention for Safety of Life at
Sea, 1974.
(b) For details regarding application of Convention requirements to
tankships, see Sec. 30.01-6 of this chapter; to passenger vessels, see
Sec. 70.05-10 of this chapter; to cargo ships other than tankships, see
Sec. 90.05-10 of this chapter; and to small passenger vessels, see
Sec. Sec. 115.900 and 176.900 of this chapter. (E.O. 11239, 30 FR 9671,
3 CFR, 1965 Supp.).
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 90-008, 55 FR
30659, July 26, 1990; USCG-1999-4976, 65 FR 6499, Feb. 9, 2000]
Sec. 2.01-10 Inspection requirements--domestic vessels.
(a) If during the inspection of a vessel made at the request of the
master, owner, or agent, the vessel or her equipment is found not to
conform to the requirements of law or regulations in this chapter, the
requirements which must be met will be listed on Form CG-835, Notice of
Merchant Marine Inspection Requirements, and given to the master of the
vessel.
(b) The Coast Guard, on its own initiative, may examine or inspect
or reinspect at any time any vessel subject to inspection under Subtitle
II, Title 46 of the U.S. Code, Title 46 and Title 33 U.S. Code. If
during such examination, inspection, or reinspection, any failure to
comply with any applicable requirement of law and/or applicable
regulations in this chapter, or any defects or imperfections become
apparent tending to render the navigation of the vessel unsafe, or that
repairs have become necessary, the Coast Guard will so notify the master
and state what is required.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 95-028, 62 FR
51194, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]
Sec. 2.01-13 Inspection requirements--foreign vessels.
(a) Foreign vessels registered in countries which are parties to the
effective International Convention for Safety of Life at Sea are
normally subject to the examination provided for in Chapter I of that
Convention. However, in the case of any vessel involving novel features
of design or construction, upon which that Convention is silent or which
involve potential unusual operating risks, a more extensive inspection
may be required when considered necessary to safeguard the life or
property in United States ports where such vessel may enter. In such a
case, pertinent plans and/or calculations may be required to be
submitted sufficiently in advance to permit evaluation before
inspection.
(b) Foreign vessels registered in countries which are not parties to
the effective International Convention for Safety of Life at Sea, or
foreign vessels
[[Page 26]]
registered in countries which are parties to the effective Convention
but which vessels are exempted from part or all of the Convention, may
under conditions specified in applicable inspection laws be subject to
inspection and certification as specified in regulations governing
specific categories of vessels.
(c) For details concerning application of regulations to foreign
vessels, see part 30 (Tank Vessels), part 70 (Passenger Vessels), part
90 (Cargo and Miscellaneous Vessels), Sec. 147.1 (Dangerous Cargoes),
part 148 (Bulk Solid Hazardous Materials), parts 153 and 154 (Certain
Bulk Dangerous Cargoes), and part 175 (Small Passenger Vessels) of this
chapter.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 73-96, 42 FR
49022, Sept. 26, 1977; CGD 97-057, 62 FR 51041, Sept. 30, 1997]
Sec. 2.01-15 Vessel repairs.
(a) No repairs or alterations affecting the safety of the vessel or
its machinery shall be made unless applicable requirements in this
chapter are met. The procedures to be followed in notifying the Coast
Guard about vessel repairs vary according to the type of vessel and
service in which engaged. The requirements are set forth in the
subchapter governing a particular class of vessels or in a subchapter
governing a particular subject as follows:
(1) For passenger vessels that are 100 gross tons or more, see
Sec. Sec. 71.55-1 and 71.60-1 of subchapter H (Passenger Vessels) of
this chapter.
(2) For small passenger vessels under 100 gross tons, see either
Sec. 176.700 of subchapter T (Small Passenger Vessels) or Sec. 115.700
of subchapter K (Small Passenger Vessels Carrying More than 150
Passengers or with Overnight Accommodations for more than 49 Passengers)
of this chapter.
(3) For cargo and miscellaneous vessels, see Sec. Sec. 91.45-1 and
91.50-1 of subchapter I (Cargo and Miscellaneous Vessels) of this
chapter.
(4) For tank vessels, see Sec. Sec. 31.10-25 and 35.01-1 of
subchapter D (Tank Vessels) of this chapter.
(5) For public nautical schoolships, see Sec. Sec. 167.30-1 and
167.30-10 of subchapter R (Nautical Schools) of this chapter.
(6) For oceanographic vessels, see Sec. Sec. 189.45-1 and 189.50-1
of subchapter U (Oceanographic Vessels) of this chapter.
(7) For repairs to a vessel after it has been surveyed, see Sec.
42.09-50 of subchapter E (Load Lines) of this chapter.
(8) For repairs to boilers, pressure vessels, and appurtenances, see
part 59 of subchapter F (Marine Engineering) of this chapter.
(9) For repairs to electrical installations or equipment, see
Sec. Sec. 111.05-5(e), 111.05-10(e), and 111.90-5 of subchapter J
(Electrical Engineering) of this chapter.
(10) For vessels carrying compressed gases regulated by subchapter O
(Certain Bulk Dangerous Cargoes), see Sec. 151.50 30(c) of this
chapter.
(11) For repairs to a vessel that affects its subdivision or
stability, see Sec. 170.005 of this chapter.
(b) If repairs to a vessel are necessary, such a vessel may be
permitted to proceed to another port for repairs, if, in the opinion of
the marine inspector, it can be done with safety. The permit is granted
by the Officer in Charge, Marine Inspection, upon request in writing by
the master or owner of the vessel and is issued on Coast Guard Form CG-
948, Permit to Proceed to Another Port for Repairs. The requirements for
such permits are set forth in the subchapter governing a particular
class of vessels as follows:
(1) For passenger vessels that are 100 gross tons or more, see
subpart 71.05 of subchapter H (Passenger Vessels) of this chapter.
(2) For small passenger vessels under 100 gross tons, see subpart B
of subchapter T (Small Passenger Vessels) of this chapter.
(3) For cargo and miscellaneous vessels, see subpart 91.05 of
subchapter I (Cargo and Miscellaneous Vessels) of this chapter.
(4) For tank vessels, see Sec. 31.10-35 of subchapter D (Tank
Vessels) of this chapter.
(5) For public nautical schoolships, see Sec. 167.30-5 of
subchapter R (Nautical Schools) of this chapter.
[[Page 27]]
(6) For oceanographic vessels, see subpart 189.05 of subchapter U
(Oceanographic Vessels) of this chapter.
[CGFR 68-126, 34 FR 9010, June 5, 1969, as amended by CGD 73-96, 42 FR
49023, Sept. 26, 1977; CGD 79-023, 48 FR 51006, Nov. 4, 1983; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept.
30, 2004]
Sec. 2.01-20 Suspension or revocation of certificates of inspection.
Under the authority if 46 U.S.C. 3313 and 46 U.S.C. 3710, a
certificate of inspection issued to a vessel may be suspended or revoked
if a vessel is found not to comply with the terms of its certificate or
fails to meet a standard required by this chapter.
[CGD 95-028, 62 FR 51195, Sept. 30, 1997, as amended by USCG-1998-4442,
63 FR 52188, Sept. 30, 1998; USCG-2004-18884, 69 FR 58341, Sept. 30,
2004]
Sec. 2.01-25 International Convention for Safety of Life at Sea, 1974.
(a) Certificates required. (1) The International Convention for
Safety of Life at Sea, 1974, requires one or more of the following
certificates to be carried on board certain passenger, cargo or
tankships engaged in international voyages:
(i) Passenger Ship Safety Certificate.
(ii) Cargo Ship Safety Construction Certificate.
(iii) Cargo Ship Safety Equipment Certificate.
(iv) Cargo Ship Safety Radio Certificate.
(v) Nuclear Passenger Ship Safety Certificate.
(vi) Nuclear Cargo Ship Safety Certificate.
(vii) Safety Management Certificate.
(viii) International Ship Security Certificate.
(ix) High-Speed Craft Safety Certificate
(2) The U.S. Coast Guard will issue through the Officer In Charge,
Marine Inspection, the following certificates after performing an
inspection or safety management audit of the vessel's systems and
determining the vessel meets the applicable requirements:
(i) Passenger Ship Safety Certificate.
(ii) Cargo Ship Safety Construction Certificate, except when issued
to cargo ships by a Coast Guard recognized classification society at the
option of the owner or agent.
(iii) Cargo Ships Safety Equipment Certificate.
(iv) Exemption Certificate.
(v) Nuclear Passenger Ship Safety Certificate.
(vi) Nuclear Cargo Ship Safety Certificate.
(vii) Safety Management Certificate, except when issued by a
recognized organization authorized by the Coast Guard.
(viii) International Ship Security Certificate (ISSC).
(ix) High-Speed Craft Safety Certificate
(3) When authorized by the Commandant, U.S. Coast Guard, an
authorized classification society may issue international convention
certificates as permitted under part 8, subpart C, of this title.
(4) The Federal Communications Commission will issue the following
certificates:
(i) Cargo Ship Safety Radio Certificate.
(ii) Exemption Certificate.
(b) Applications. (1) The application for inspection and issuance of
a certificate or certificates is made on the appropriate form listed in
Sec. 2.01-1, or by letter, to the Officer in Charge, Marine Inspection,
in or nearest the port at which the inspection is to be made and shall
be signed by the master or agent of the vessel. The certificates
previously issued are surrendered at the time the inspection is
performed. Further details are set forth in subchapter D (Tank Vessels),
subchapter H (Passenger Vessels), subchapter I (Cargo and Miscellaneous
Vessels), subchapter K (Small Passenger Vessels Carrying more than 150
Passengers or with overnight accommodations for more than 49
Passengers), subchapter L (Offshore Supply Vessels), subchapter O
(Certain Bulk Dangerous Cargoes), subchapter T (Small Passenger
Vessels), and Subchapter U (Oceanographic Research Vessels), of this
chapter.
(2) For vessels other than passenger vessels, you must contact the
local office of the Federal Communications Commission to apply for the
inspection concerning the issuance of a Cargo Ship Safety Radio
Certificate.
[[Page 28]]
(c) Certificates issued. (1) If a vessel meets the applicable
requirements of the Convention, it shall be issued appropriate
certificates listed in paragraph (a) of this section. These certificates
describe the vessel and state the vessel is in compliance with the
applicable requirements of the Convention.
(2) A Convention certificate may be withdrawn, revoked or suspended
at any time when it is determined the vessel is no longer in compliance
with applicable requirements. (See Sec. 2.01-70 for appeal procedures.)
(d) CG-969--Notice of Receipt of Application for Passenger Ship
Safety Certificate. (1) The Passenger Ship Safety Certificate is issued
by the Commandant after determining all applicable requirements of the
Convention have been met. In the event the completion of the
certification of any passenger vessel cannot be effected prior to the
sailing of the passenger ship on a foreign voyage, or in any case where
the Passenger Ship Safety Certificate is not received from the
Commandant before the ship sails on a foreign voyage, the Officer in
Charge, Marine Inspection, will issue a completed Form CG-969,
describing the passenger ship and certifying that an application for a
Passenger Ship Safety Certificate is being processed, and that in his
opinion the vessel meets applicable requirements of the Convention
administered by the Coast Guard.
(2) The completed Form CG-969 may be exhibited in explanation of the
failure of the passenger ship to have on board a current Passenger Ship
Safety Certificate. This completed form CG-969 may be accepted as prima
facie evidence that the passenger ship described therein is in
compliance with the applicable requirements of the Convention.
(e) Exempted vessel. (1) A vessel may be exempted by the Commandant
from complying with certain requirements of the Convention under his
administration upon request made in writing to him and transmitted via
the Officer in Charge, Marine Inspection. In such case the exemptions
are stated in the Exemption Certificate, which is issued by the
Commandant through the appropriate Officer in Charge, Marine Inspection.
(2) The Federal Communications Commission issues the Exemption
Certificate, which modifies the Cargo Ship Safety Radio Certificate.
(f) Availability of Certificates. The Convention certificates must
be on board the vessel and readily available for examination at all
times.
(g) Foreign flag vessels. At the request of the government of a
country in which is registered a vessel engaged in an international
voyage, such a vessel may be issued the applicable certificate or
certificates listed in paragraph (a) of this section. The certificate
will be issued only after inspection has been made by the issuing
agency, providing the vessel is found to comply with the requirements of
the Convention.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965]
Editorial Note: For Federal Register citations affecting Sec. 2.01-
25, see the List of CFR Sections Affected, which appears in the Finding
Aids section of the printed volume and at www.fdsys.gov.
Sec. 2.01-30 Delegation of OCMI signature authority.
The Officer in Charge, Marine Inspection, may redelegate signature
authority for documents issued under this subpart to: one individual on
his or her staff; and each Marine Safety Unit Commanding Officer within
his or her Sector.
[USCG-2009-0702, 74 FR 49223, Sept. 25, 2009]
Sec. 2.01-40 Passengers or persons in addition to crew on cargo
or tank vessels.
(a) Under the authority of 46 U.S.C. 3304, a documented vessel
transporting cargo may be allowed by its certificate of inspection to
carry not more than 12 individuals in addition to the crew on
international voyages and not more than 16 individuals in addition to
the crew on other voyages.
(b) The application for permission to carry persons in addition to
the crew may be included in the application described in Sec. 2.01-1.
If granted it is endorsed on the certificate of inspection.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 95-028, 62 FR
51195, Sept. 30, 1997]
[[Page 29]]
Sec. 2.01-45 Excursion permit.
(a) Under 46 U.S.C. 2113, the Coast Guard may issue a permit to the
owner, operator, or agent of a passenger vessel, allowing the vessel to
engage in excursions that carry additional numbers of passengers, extend
an existing route, or both. Details concerning the application process
for excursion permits for inspected passenger vessels are contained in
Sec. Sec. 71.10, 115.204, or 176.204 of this chapter. Details
concerning the application process for special permits for uninspected
passenger vessels are contained in Sec. 26.03-6 of this chapter.
(b) For Marine Events of National Significance, as determined by the
Commandant, U.S. Coast Guard, a vessel may be permitted to engage in
these events while carrying passengers-for-hire for the duration of the
event. Event sponsors must request this determination in writing from
the Commandant (CG-54) at least 1 year prior to the event. Details
concerning the application process for special permits for Marine Events
of National Significance are contained in Sec. 26.03-8 of this chapter.
(c) The application for an excursion permit is made by the master,
owner, or agent of the vessel to the Officer in Charge, Marine
Inspection, on Coast Guard Form CG-950, Application for Excursion
Permit. If, after inspection, permission is granted, it is given on
Coast Guard form CG-949, Permission to Carry Excursion Party. The permit
describes the vessel, the route over which and the period during which
the excursions may be made, and the safety equipment required for the
additional persons indicated.
[USCG-1999-5040, 67 FR 34767, May 15, 2002]
Sec. 2.01-50 Persons other than crew on towing, oyster, or fishing
steam vessels.
(a) A steam vessel engaged in towing, oyster dredging and planting,
and fishing may be permitted to carry persons in addition to its crew.
(b) The application for a permit to carry such persons may be
included in the application described in Sec. 2.01-1. If granted it is
endorsed on the certificate of inspection.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 95-028, 62 FR
51195, Sept. 30, 1997]
Sec. 2.01-60 Overtime compensation.
(a) General. Extra compensations for overtime services performed by
inspectors of vessels and their assistants who may be required to remain
on duty between the hours of 5:00 p.m. and 8:00 a.m. or on Sundays or
holidays to perform services in connection with the inspection of
vessels or their equipment, supplying or signing on or discharging crews
of vessels is authorized by 46 U.S.C. 2111 and regulations in part 9 of
this chapter, together with the method of computing such extra
compensation.
(b) Application and certification of time. Application for the
performance of such overtime services and certification of services
performed is made by the master, owner, or agent of a vessel to the
Officer in Charge, Marine Inspection, on Form CG-830, Application for
and Certificate of Overtime Service.
(c) Collection. The bill for the collection of the overtime
compensation is submitted by the Officer in Charge, Marine Inspection to
the master, owner, or agent on whose vessel overtime services are
performed on Form CG-832, Bill for Collection Overtime Services. Payment
is made to the Collector of Customs of the port designated.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 97-057, 62 FR
51041, Sept. 30, 1997; USCG-2000-7790, 65 FR 58458, Sept. 29, 2000]
Sec. 2.01-70 Right of appeal.
Any person directly affected by a decision or action taken under
this part, by or on behalf of the Coast Guard, may appeal therefrom in
accordance with subpart 1.03 of this chapter.
[CGD 88-033, 54 FR 50379, Dec. 6, 1989]
Sec. 2.01-80 Vessel inspections in Alaska.
(a) The waters of southeastern Alaska inside of the general trend of
the shore from Cape Spencer, southeasterly to Cape Muzon, and thence
easterly to Sitklan Island, shall be considered as
[[Page 30]]
bays, sounds, and lakes other than the Great Lakes, for the purpose of
administering the vessel inspection laws and applicable regulations in
this chapter.
Subpart 2.10_Fees
Source: CGD 91-030, 60 FR 13563, Mar. 13, 1995, unless otherwise
noted.
Sec. 2.10-1 Applicability.
(a) This subpart establishes vessel inspection fees for all vessels
required to have a Certificate of Inspection and vessel examination fees
for all foreign vessels required to have a Certificate of Compliance.
(b) The fees in this subpart do not apply to:
(1) Vessels being inspected for the initial issuance of a
Certificate of Inspection;
(2) Foreign passenger vessels;
(3) Training vessels operated by State maritime academies;
(4) Public vessels of the United States except for Maritime
Administration vessels; and
(5) Publicly owned ferries.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR
19232, Apr. 21, 1997; USCG-2010-0759, 75 FR 60001, Sept. 29, 2010]
Sec. 2.10-5 Exemptions.
(a) Vessels owned or operated by a non-profit organization may be
exempted from payment of the fees required by this subpart, only if the
vessel is used exclusively for one or more of the following:
(1) Training youth in boating, seamanship, or navigation skills;
(2) Educating youth in a course of marine environmental studies;
(3) Providing excursions for persons with disabilities as defined
under the Americans with Disabilities Act (ADA) [42 U.S.C. 12102(2)]; or
(4) Providing medical services.
(b) Vessels owned or operated by the Federal government or the
government of any State or political subdivision thereunder may be
exempted from the fees required by this subpart provided the vessel is
used exclusively for one or more of the purposes listed in paragraph (a)
of this section.
(c) The term used exclusively in paragraphs (a) and (b) of this
section does not preclude:
(1) The carriage of adult volunteers or crew, or
(2) The vessel's use for fundraising activities without regard to
the age of the participants aboard the vessel, provided revenues raised
are for the operation and maintenance of the vessel and that such
fundraising activities do not exceed one day of fundraising for each
month of the vessel's operating season.
(d) Vessel owners or operators may submit a written request for
exemption to the Officer in Charge, Marine Inspection, of the Marine
Inspection Zone in which the vessel normally operates. The exemption
request must provide the vessel name, the vessel identification number,
and evidence that the organization and the vessel meet the criteria set
forth in this section. The Officer in Charge, Marine Inspection will
endorse and forward the request to Commandant (CG-DCO-83) for decision.
[CGD 96-067, 62 FR 19232, Apr. 21, 1997, as amended by CDG 96-067, 63 FR
59474, Nov. 4, 1998; USCG-2010-0759, 75 FR 60001, Sept. 29, 2010]
Sec. 2.10-10 Waivers.
The Commandant (CG-DCO-83) will waive collection of vessel
inspection fees in this subpart for a Federally-owned or operated vessel
if the fee would be directly paid by an agency acting as the vessel
owner using Federal appropriated funds. By October 1 of each year,
Federal agencies shall provide Commandant (CG-DCO-83) with a list of the
names and vessel identification numbers of vessels for which a fee
waiver is requested.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996; USCG-
2010-0759, 75 FR 60001, Sept. 29, 2010]
Sec. 2.10-20 General requirements.
(a) Unless otherwise specified, vessel owners must pay the fees
required by this subpart before inspection or examination services are
provided.
(b) Fees required by this subpart must be paid in U.S. currency by
check or money order, drawn on a U.S. bank, and made payable to the U.S.
Treasury.
[[Page 31]]
Payment may also be made by credit card or wire transfer.
(c) All payments must be accompanied by the vessel name and its
vessel identification number.
(d) Unless otherwise specified, fees required by this subpart must
be mailed to the following addresses:
(1) For COI and COC Inspections:
(i) For payment by credit card, U.S. Coast Guard Finance Center
(OGR), 1430A Kristina Way, Chesapeake, VA 23326.
(ii) For payment by check, made payable to U.S. Treasury, with
delivery by postal service, USCG Inspection Fees, P.O. Box 531030,
Atlanta, GA 30353-1030.
(iii) For payment by check, made payable to U.S. Treasury, with
delivery by overnight courier, USCG Vessel Inspection Fees, Bank of
America, Lockbox Number 531030 (COI), 1075 Loop Road, Atlanta, GA 30337-
6002.
(2) For Overseas Inspection Fees:
(i) For payment by credit card, U.S. Coast Guard Finance Center
(OGR), 1430A Kristina Way, Chesapeake, VA 23326.
(ii) For payment by check, made payable to U.S. Treasury, with
delivery by postal service, USCG User Fees, P.O. Box 531769, Atlanta, GA
30353-1769.
(iii) For payment by check, made payable to U.S. Treasury, with
delivery by overnight courier, USCG User Fees, Bank of America, Lockbox
Number 531769 (USF), 1075 Loop Road, Atlanta, GA 30337-6002.
(e) For purposes of this subpart, the address for Commandant (CG-
DCO-83) is: Commandant (CG-DCO-83), United States Coast Guard, 2100 2nd
St. SW., Stop 7681, Washington, DC 20593-7681.
(f) Information concerning a vessel's user fee anniversary date may
be obtained from any Coast Guard Coast Guard Sector, Officer in Charge,
Marine Inspection, or Marine Safety Detachment.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996; USCG-
2010-0759, 75 FR 60001, Sept. 29, 2010; USCG-2011-0618, 76 FR 60753,
Sept. 30, 2011]
Sec. 2.10-25 Definitions.
The following definitions apply to this subpart:
Drill ship MODU means a mobile offshore drilling unit with a ship
shape displacement hull intended for operation in the floating
condition.
Ferry means a vessel that is used on a regular schedule--
(1) To provide transportation only between places that are not more
than 300 miles apart; and
(2) To transport only--
(i) Passengers; or
(ii) Vehicles, or railroad cars, that are being used, or have been
used, in transporting passengers or goods.
Freight barge means a non-self-propelled vessel carrying freight for
hire.
Freight ship means a self-propelled freight vessel.
Freight vessel means a motor vessel of more than 15 gross tons that
carries freight for hire, except an oceanographic research vessel or an
offshore supply vessel.
Industrial vessel means a vessel which, by reason of its special
outfit, purpose, design, or function engages in certain industrial
ventures. For the purposes of this subpart, this classification includes
such vessels as dredges, cable layers, derrick barges, and construction
and wrecking barges, but does not include vessels which carry passengers
or freight for hire, OSVs, oceanographic research vessels, or vessels
engaged in the fisheries.
Liquefied gas tankship means a self-propelled vessel equipped with
cargo tanks primarily designed to carry liquefied or compressed gases in
bulk.
Mobile offshore drilling unit (MODU) means a vessel capable of
engaging in drilling operations for the exploration or exploitation of
subsea resources that is: seagoing and 300 or more gross tons and self-
propelled by machinery; Seagoing and 100 or more gross tons and non-
self-propelled; or more than 65 feet in length and propelled by steam.
Nautical school vessel means a vessel operated by or in connection
with a nautical school or an educational institution under section 13 of
the Coast Guard Authorization Act of 1986, Public Law 99-640.
Non-profit organization means an organization under Internal Revenue
Code (I.R.C.) section 501(c) which is exempt for the purposes of federal
income taxation.
[[Page 32]]
Oceanographic research vessel means a vessel that is being employed
only in instruction in oceanography or limnology, or both, or only in
oceanographic or limnological research, including those studies about
the sea such as seismic, gravity meter, and magnetic exploration and
other marine geophysical or geological surveys, atmospheric research,
and biological research.
Offshore supply vessel or OSV means a vessel that--
(1) Is propelled by machinery other than steam;
(2) Does not meet the definition of a passenger-carrying vessel in
46 U.S.C. 2101(22) or 46 U.S.C. 2101(35);
(3) Is more than 15 but less than 500 gross tons (as measured under
the Standard, Dual, or Simplified Measurement System under part 69,
subpart C, D or E of this chapter) or less than 6,000 gross tons (as
measured under the Convention Measurement System under part 69, subpart
B of this chapter); and
(4) Regularly carries goods, supplies, individuals in addition to
the crew, or equipment in support of exploration, exploitation, or
production of offshore mineral or energy resources.
Passenger barge means a non-self-propelled passenger vessel,
including a prison barge or a barge which carries occupied recreational
vehicles.
Passenger ship means a self-propelled passenger vessel.
Passenger vessel means a vessel of at least 100 gross tons:
(1) Carrying more than 12 passengers, including at least one
passenger for hire;
(2) That is chartered and carrying more than 12 passengers;
(3) That is a submersible vessel carrying at least one passenger for
hire; or
(4) That is a ferry carrying a passenger.
Political subdivision means a county, district, parish, township,
city or similar governmental entity established within a State.
Publicly owned means, owned by (1) the federal government, or (2)
the government of any State or political subdivision thereunder.
Sailing school vessel means a vessel of less than 500 gross tons,
carrying more than 6 individuals who are sailing school instructors or
sailing school students, principally equipped for propulsion by sail
even if the vessel has an auxiliary means of propulsion, and owned or
demise chartered and operated by a qualified organization during such
times as the vessel is operated exclusively for the purposes of sailing
instruction.
Sea-going towing vessel means a sea-going commercial vessel engaged
in or intending to engage in the service of pulling, pushing or hauling
alongside, or any combination of pulling, pushing or hauling alongside.
Self-elevating MODU means a mobile offshore drilling unit with
movable legs capable of raising its hull above the surface of the sea.
Semi-submersible MODU means a mobile offshore drilling unit with the
main deck connected to an underwater hull by columns or caissons, that
is intended for drilling operations in the floating condition.
Small passenger vessel means a vessel of less than 100 gross tons:
(1) Carrying more than 6 passengers, including at least 1 passenger
for hire;
(2) That is chartered with the crew provided or specified by the
owner or the owner's representative and carrying more than 6 passengers;
(3) That is chartered with no crew provided or specified by the
owner or the owner's representative and carrying more than 12
passengers;
(4) That is a submersible vessel carrying at least one passenger for
hire; or
(5) That is a ferry carrying more than 6 passengers.
State means a State of the United States, Guam, Puerto Rico, the
Virgin Islands, American Samoa, the District of Columbia, the Northern
Mariana Islands and any other territory or possession of the United
States.
Submersible MODU means a mobile offshore drilling unit intended for
drilling operations in the bottom-bearing condition, having the main
deck connected to an underwater hull or pontoons by way of columns or
caissons.
Submersible vessel means a vessel that is capable of operating below
the surface of the water.
Tank barge means any tank vessel not equipped with means of
propulsion.
[[Page 33]]
Tank vessel means a vessel that is constructed or adapted to carry,
or that carries, oil or hazardous material in bulk as cargo or cargo
residue.
Tankship means any tank vessel propelled by power or sail, including
an integrated tug and barge designed to operate together only in the
pushing mode.
User fee anniversary date means the date on which a vessel's annual
inspection fee is due each year. Once established by the Coast Guard, a
vessel's user fee anniversary date remains fixed for as long as the
vessel remains in service.
Vessel identification number (VIN) means a U.S. official number, a
number assigned by a State, a number assigned by the Coast Guard, or a
Lloyd's Register of Shipping identification number issued to a U.S. or
foreign commercial vessel for purposes of vessel identification. For
U.S. vessels, VIN means the number listed on the Certificate of
Inspection. For foreign vessels, VIN means either the Lloyd's Register
of Shipping identification number or the number assigned by the Coast
Guard.
Youth means an individual 21 years of age or younger.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR
19232, Apr. 21, 1997; CGD 97-057, 62 FR 51041, Sept. 30, 1997; CDG 96-
067, 63 FR 59474, Nov. 4, 1998; USCG-2008-1107; 74 FR 63628, Dec. 4,
2009]
Sec. 2.10-101 Annual vessel inspection fee.
(a)(1) Unless otherwise provided by this subpart, each vessel
required to have a Certificate of Inspection is subject to the annual
vessel inspection fee listed in table 2.10-101 for its vessel category.
(2) A vessel certificated for more than one service must pay only
the higher of the two applicable fees in table 2.10-101 of this section.
(b) The vessel owner or operator must pay the annual vessel
inspection fee each year on or before the vessel's user fee anniversary
date, unless the fee has been prepaid under Sec. 2.10-105 of this
subpart.
(c) Payment of the annual vessel inspection fee entitles a vessel to
all inspection services related to compliance with its Certificate of
Inspection, including but not limited to the inspection for renewal of
the Certificate of Inspection, reinspections (annual and periodic
inspections), hull (drydock) inspections, deficiency inspections, damage
surveys, repair and modification inspections, change in vessel service
inspections, permit to proceed inspections, drydock extension
inspections, and all inspections required for the issuance of
international certificates.
(d) Entitlement to inspection services for the current year remains
with the vessel if it is sold. The entitlement to inspection services
may not be transferred to any other vessel.
Table 2.10-101--Annual Vessel Inspection Fees for U.S. and Foreign
Vessels Requiring a Certificate of Inspection
------------------------------------------------------------------------
Any inspected vessel not listed in this table................ $1,030
Freight Barges:
Length not greater than 150 feet......................... 495
More than 150 feet but not more than 300 feet............ 610
More than 300 feet....................................... 955
Freight Ships:
Length not greater than 100 feet......................... 1,425
More than 100 feet but no more than 300 feet............. 1,870
More than 300 feet....................................... 5,410
Industrial Vessels:
Length not greater than 200 feet......................... 1,435
More than 200 feet....................................... 2,550
Mobile Offshore Drilling Units (MODUs):
Drill ship MODUs......................................... 6,710
Submersible MODUs........................................ 4,695
Self-elevating MODUs..................................... 4,695
Semi-submersible MODUs................................... 8,050
Nautical School Vessels:
[[Page 34]]
Length not greater than 100 feet......................... 835
More than 100 feet but not more than 200 feet............ 1,450
More than 200 feet....................................... 7,205
Oceanographic Research Vessels:
Length not greater than 170 feet......................... 840
More than 170 feet but not more than 240 feet............ 1,980
More than 240 feet....................................... 3,610
Offshore Supply Vessels:
Length not greater than 140 feet......................... 1,135
More than 140 feet....................................... 1,470
Offshore Supply Vessels: Alternate Reinspection Program *:
Length not greater than 140 feet......................... 940
More than 140 feet....................................... 1,260
Passenger Barges:
Less than 100 gross tons and:
Less than 65 feet in length.......................... 300
65 feet or more in length............................ 600
100 gross tons or more and:
Certified for fewer than 150 passengers.............. 2,215
Certified for 150 or more passengers................. 2,525
Passenger Ships:
Length not greater than 250 feet:
Certified for fewer than 150 passengers.............. 3,600
Certified for 150 or more passengers................. 4,050
More than 250 feet but not more than 350 feet............ 5,330
More than 350 feet but not more than 450 feet............ 6,835
More than 450 feet....................................... 14,650
Sailing School Vessels:
Length not greater than 30 feet.......................... 530
More than 30 feet but not more than 65 feet.............. 560
More than 65 feet........................................ 980
Sea-going Towing Vessels..................................... 2,915
Small Passenger Vessels:
Less than 65 feet in length.............................. 300
65 feet or more in length................................ 600
Tank Barges.................................................. 500
Tankships:
Length not greater than 100 feet......................... 1,295
More than 100 feet but not more than 300 feet............ 2,310
More than 300 feet....................................... 5,805
Liquefied Gas Tankships...................................... 12,120
------------------------------------------------------------------------
* Note: Eligibility for the reduced annual vessel inspection fee for
Offshore Supply Vessels is contingent upon the vessel's continued
acceptance in the alternative reinspection program by the cognizant
Officer in Charge, Marine Inspection.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-067, 62 FR
19232, Apr. 21, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004;
USCG-2010-0759, 75 FR 60001, Sept. 29, 2010]
Sec. 2.10-105 Prepayment of annual vessel inspection fees.
(a) Vessel owners may prepay the annual vessel inspection fee for
any period of not less than three years, and not more than the design
life or remaining expected service life of the vessel.
(b) To prepay the annual vessel inspection fee for a period of three
or more years, the owner must submit a written request to Commandant
(CG-DCO-83) specifying the vessel identification number and the period
for which prepayment is to be made.
(c) The total of the annual fees for the requested prepayment period
will be discounted to its net present value using the following formula:
[GRAPHIC] [TIFF OMITTED] TR13MR95.000
[[Page 35]]
Where:
PV is the Present Value of the series of annual user fees to be prepaid
(the net amount to be prepaid)
RO is the published user fee of the vessel
i is the interest rate for 10-year Treasury notes at the time of
prepayment calculation
[pi] is the rate of inflation (based on projected military personnel
costs at the time of prepayment calculation)
n is the total number of years to be prepaid
t is the number of years after prepayment of the fee, for each annual
increment (t=0, 1, 2, 3 ... n)
(d) When the annual vessel inspection fee has been prepaid, the
entitlement to inspection services for the prepayment period attaches to
the vessel and remains with the vessel if it is sold. The entitlement to
inspection services may not be transferred to any other vessel.
(e) If a vessel is removed from Coast Guard certification and the
vessel owner surrenders the vessel's Certificate of Inspection, the
owner may request a refund of the remaining prepayment amount. The
annual vessel inspection fee will not be refunded for the year in which
the Certificate of Inspection is surrendered. The request for refund
must be submitted to the Officer in Charge, Marine Inspection to whom
the Certificate of Inspection is surrendered. The Officer in Charge,
Marine Inspection will endorse and forward the request to Commandant
(CG-DCO-83) for decision.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996; USCG-
1999-6216, 64 FR 53223, Oct. 1, 1999; USCG-2010-0759, 75 FR 60001, Sept.
29, 2010]
Sec. 2.10-115 Changes in vessel service.
(a) If a vessel certificated for a single service, changes service,
the annual vessel inspection fee is not adjusted during the year in
which a change in service occurs. The annual vessel inspection fee for
the new vessel category is payable on the vessel's user fee anniversary
date immediately following the date of the change in service.
(b) If a change in service occurs and the annual vessel inspection
fee has been prepaid, Commandant (CG-DCO-83) will recalculate the
prepayment amount based on the new vessel category and advise the owner
of available prepayment options.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 95-072, 60 FR
50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27, 1996; USCG-
2004-18884, 69 FR 58341, Sept. 30, 2004 ; USCG-2010-0759, 75 FR 60000,
Sept. 29, 2010]
Sec. 2.10-120 Overseas inspection and examination fees.
(a) In addition to any other fee required by this subpart, an
overseas inspection and examination fee of $4,585 must be paid for each
vessel inspection and examination conducted outside the United States
and its territories. This fee does not apply to vessel inspections and
examinations conducted in Canada, Mexico, or the British Virgin Islands.
(b) The overseas inspection and examination fee for each vessel must
accompany each request to the cognizant Officer in Charge, Marine
Inspection for an overseas inspection or examination.
Sec. 2.10-125 Fees for examination of foreign tankships.
Each foreign tankship of a country party to the International
Convention for the Safety of Life at Sea, 1974 as amended, must pay:
(a) For examination for the issuance of a Certificate of Compliance
under Sec. 2.01-6(a)(2)(i) of this part, or examination for the annual
endorsement to a Certificate of Compliance, a fee of $1,100.
(b) For examination for the issuance of a Tank Vessel Examination
Letter under Sec. 2.01-6(a)(3) of this part, a fee of $1,100.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by USCG-2010-0759,
75 FR 60001, Sept. 29, 2010]
Sec. 2.10-130 Fees for examination of foreign mobile offshore
drilling units.
Each foreign mobile offshore drilling unit must pay:
(a) For examination for the issuance of a Certificate of Compliance
indicating compliance with the design and equipment standards of either
the documenting nation or the International Maritime Organization Code
for Construction and Equipment of Mobile Offshore Drilling Units, a fee
of $1,830.
[[Page 36]]
(b) For examination for the issuance of a Certificate of Compliance
indicating compliance with the design and equipment standards of 46 CFR
part 108, the inspection fee listed in table 2.10-101 of this subpart
for the same type of mobile offshore drilling unit.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by USCG-2010-0759,
75 FR 60001, Sept. 29, 2010]
Sec. 2.10-135 Penalties.
(a) A vessel owner or operator who fails to pay a fee or charge
established under this subpart is liable to the United States Government
for a civil penalty.
(b) In addition to the fees established in this subpart, the Coast
Guard may recover collection and enforcement costs associated with
delinquent payments of, or failure to pay, a fee. Coast Guard inspection
and examination services may also be withheld pending payment of
outstanding fees owed to the Coast Guard for inspection and examination
services provided.
(c) Each District Commander or Officer in Charge Marine Inspection
may request the Secretary of the Treasury, or the authorized
representative thereof, to withhold or revoke the clearance required by
46 U.S.C. app. 91 of a vessel for which a fee or charge established
under this part has not been paid or until a bond is posted for the
payment.
[CGD 91-030, 60 FR 13563, Mar. 13, 1995, as amended by CGD 96-052, 62 FR
16703, Apr. 8, 1997]
Subpart 2.20_Reports and Forms
Sec. 2.20-40 Chief engineer's reports.
(a) Repairs to boilers and pressure vessels. The chief engineer is
required to report any repairs to boilers or unfired pressure vessels in
accordance with Sec. Sec. 33.25-5, 78.33-1, and 97.30-1 of this
chapter.
(b) The chief engineer of any vessel is required to report any
accident to a boiler, unfired pressure vessel, or machinery tending to
render the further use of the item unsafe until repairs are made by
Sec. Sec. 35.25-5, 78.33-5, and 97.30-5 of this chapter.
(c) When fusible plugs in boilers are renewed at a time other than
the inspection for certification and there is no marine inspector in
attendance at the renewal, the chief engineer must report the renewal of
the fusible plugs by letter to the OCMI who issued the certificate of
inspection. This letter report must contain the following information:
(1) Name and official number of vessel.
(2) Date of renewal of fusible plugs.
(3) Number and location of fusible plugs renewed in each boiler.
(4) Manufacturer and heat number of each plug.
(5) Reason for renewal.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGFR 68-82, 33 FR
18804, Dec. 18, 1968; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]
Sec. 2.20-50 Repairs or alterations in lifesaving or fire prevention
equipment.
No repairs or alterations shall be made to any lifesaving or fire-
detecting or fire-extinguishing equipment, except in an emergency,
without advance notice to the Officer in Charge, Marine Inspection. See
Sec. Sec. 78.33-10 and 97.30-10 of this chapter.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 97-057, 62 FR
51041, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]
Subpart 2.45 [Reserved]
Subpart 2.50_Penalties
Sec. 2.50-1 Penalty procedures.
Civil and criminal penalty procedures appear in 33 CFR part 1. Civil
monetary penalty amounts are set forth in 33 CFR part 27.
[CGD 96-052, 62 FR 16703, Apr. 8, 1997]
Subpart 2.75_Approvals of Safety Equipment, Materials and Installations,
and Qualifications for Construction Personnel
Sec. 2.75-1 Approvals.
(a) Certain navigation and vessel inspection laws, or regulations in
this chapter or in 33 CFR chapter I, require
[[Page 37]]
the Commandant's approval before specific types of safety equipment,
materials, or installations may be installed or used on vessels subject
to Coast Guard inspection, or on other described vessels, motorboats,
artificial islands, and fixed structures.
(b) The Commandant's approvals are issued to persons, partnerships,
companies, or corporations who offer for sale specific items of safety
equipment, materials, or installations, or intend them for their own or
others' use. These approvals are intended to provide a control over the
quality of such approved items. The Commandant's approvals apply only to
those items constructed or installed in accordance with applicable
requirements, and the details as described in the documents granting
specific approval. If a specific item when manufactured does not comply
with these details, then it is not considered to be approved and the
approval issued does not apply to such modified item. For example, if an
item is manufactured with changes in design or material not previously
approved, the approval does not apply to such modified item. The failure
to comply with applicable requirements and details specified in the
approval subjects the holder to immediate suspension of approval as
described in Sec. 2.75-40, and if necessary, to a public hearing
seeking withdrawal of approval and removal of all such items from use or
installation as provided in Sec. 2.75-50.
(c) The Commandant's approvals are issued to qualified holders in
the form of certificates of approval (Form CGHQ-10030), by appropriate
description and identification in documents filed with the Office of the
Federal Register and published in the Federal Register, or by letters,
or by appropriate markings on drawings, plans, etc. Under the direction
of the Commandant, the Assistant Commandant for Marine Safety, Security
and Stewardship is delegated the authority to exercise the necessary
actions relating to the granting, suspension, cancellation or revocation
of approvals for special items of safety equipment, materials or
installations required by law in regulation in this chapter or in 33 CFR
chapter I to have the Commandant's approval. The authority delegated to
the Assistant Commandant for Marine Safety, Security and Stewardship may
be further delegated by him.
(d) The approvals granted to holders qualifying under the
regulations in this chapter or in specifications, copies of which may be
obtained from the Commandant (CG-521), and to which official Coast Guard
numbers are assigned, will be in the form of certificates of approval.
Unless specifically provided otherwise, the approval shall be valid for
a period of five years from the date on the certificate of approval, but
subject to suspension and/or cancellation if it is found the item
offered, sold, or used as Coast Guard approved differs in any detail
from the item as described in the certificate of approval and referenced
material.
(e) A specific Commandant's approval granted to anyone, which is
described in a certificate of approval, or a letter, or marked plans,
etc., cannot be transferred to another without a specific prior
authorization from the Commandant. Such a transfer without the
Commandant's authorization normally terminates such approval.
(f) A listing of current and formerly approved equipment and
materials may be found on the internet at: http://cgmix.uscg.mil/
equipment. Each OCMI may be contacted for information concerning
approved equipment.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 95-
072, 60 FR 50459, Sept. 29, 1995; CGD 93-055, 61 FR 13927, Mar. 28,
1996; CGD 96-041, 61 FR 50725, Sept. 27, 1996; CGD 97-057, 62 FR 51041,
Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004; USCG-2010-
0759, 75 FR 60001, Sept. 29, 2010]
Sec. 2.75-5 Certificates of approval.
(a) The Assistant Commandant for Marine Safety, Security and
Environmental Protection or his delegate, will issue a certificate of
approval to the manufacturer or party named therein and certify that
such manufacturer or party has submitted satisfactory evidence that the
item described therein complies with the applicable laws and
regulations, which are outlined on the reverse side of the certificate.
(b) The approval shall be in effect for a period of 5 years from the
date on the certificate of approval unless canceled
[[Page 38]]
or suspended by proper authority, or otherwise specifically stated in
the certificate.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 96-
041, 61 FR 50725, Sept. 27, 1996; CGD 97-057, 62 FR 51041, Sept. 30,
1997; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]
Sec. 2.75-10 Procedures for obtaining approvals.
(a) The requirements for obtaining approvals of items covered by
specifications and bearing official Coast Guard approval numbers are set
forth in parts 159 through 164 of this chapter. For other items, the
requirements are described in the regulations governing such items.
(b) Unless otherwise specified, correspondence concerning approvals
should be addressed to the Commandant (CG-521), 2100 2nd St., SW., Stop
7126, Washington, DC 20593-7126. When plans, drawings, test data, etc.,
are required to be submitted by the manufacturer, the material being
transmitted with the application should be clearly identified.
[CGD 76-048, 44 FR 73043, Dec. 17, 1979, as amended by CGD 82-063b, 48
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 95-
072, 60 FR 50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27,
1996]
Sec. 2.75-15 Requirements and tests.
(a) Approved items described in certificates of approval are usually
required to meet specific requirements and/or tests, prior to obtaining
the approval. Additional factory tests to determine that proper
uniformity and quality controls are followed during the manufacture of
the specific items may be required. These requirements governing the
manufacturer in particular are set forth in the regulations in this
chapter or in specifications, copies of which may be obtained from the
Commandant (CG-521). If the requirements are met, a certificate of
approval will be issued.
(b) When the specific item described in an application, together
with accompanying drawings, plans, etc., does not meet applicable
requirements or fails to meet specified tests, the applicant will be
notified accordingly. The Coast Guard may suggest changes in order for
the item to qualify and permit the issuance of an approval.
(c) For items not covered by specification requirements in parts 160
to 164, inclusive (subchapter Q--Specifications) of this chapter, the
requirements in the navigation and vessel inspection laws, and
applicable regulations in this chapter or in 33 CFR chapter I apply and
shall be met before approvals may be issued.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48
FR 4781, Feb. 3, 1983; CGD 88-070, 53 FR 34533, Sept. 7, 1988; CGD 95-
072, 60 FR 50459, Sept. 29, 1995; CGD 96-041, 61 FR 50725, Sept. 27,
1996]
Sec. 2.75-25 Portable fire extinguishers.
(a) The portable fire extinguishers listed and labeled as marine
type by a recognized laboratory, as provided in subpart 162.028 of part
162 of subchapter Q (Specifications) of this chapter, will be accepted
as approved for use on merchant vessels, motorboats, etc., whenever
required by the regulations in this chapter, and for use on artificial
islands and fixed structures on the Outer Continental Shelf whenever
required by the regulations in 33 CFR parts 140 to 146, inclusive.
(b) The procedures for manufacturers to follow and the requirements
governing portable fire extinguishers to qualify being listed and
labeled as marine type by a recognized laboratory are set forth in
subpart 162.028 of part 162 of subchapter Q (Specifications) of this
chapter.
(c) The procedures for a laboratory to qualify as a recognized
laboratory and to be listed in Sec. 162.028-5 of subchapter Q
(Specifications) of this chapter are as follows:
(1) The laboratory shall submit an informal application in writing
on its usual letterhead paper to the Commandant (CG-52), United States
Coast Guard, Washington, DC 20593, requesting recognition and listing,
as a recognized laboratory.
(2) Accompanying the informal application, as identified enclosures,
shall be:
(i) A certification that it is a laboratory which has been and is
regularly engaged in the examination, testing,
[[Page 39]]
and evaluation of portable fire extinguishers.
(ii) A certification that it has an established factory inspection,
listing, and labeling program, together with a complete description of
it and how it works.
(iii) A description of its facilities used in the examination,
testing, and evaluation of portable fire extinguishers, together with
its name (if different from that of submitter), and location (city,
street, and state).
(iv) A list of the names and home and office addresses of its
principal officers and its managing directors (if any).
(v) A description of its special standards for listing and labeling
portable fire extinguishers as marine type, as contemplated by the
specification in subpart 162.028 of part 162 of subchapter Q
(Specifications) of this chapter.
(3) If the Commandant finds that a laboratory qualifies as a
recognized laboratory, and it is subject to Coast Guard jurisdiction,
the approval and listing will be published in the Federal Register and
will be in effect until suspended, canceled or terminated by proper
authority. The failure of a recognized laboratory to maintain its
established factory inspection, listing and labeling program as approved
by the Commandant shall be cause for terminating a listing as a
recognized laboratory.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 82-063b, 48
FR 4781, Feb. 3, 1983]
Sec. 2.75-40 Suspension of approval.
(a) Whenever it is determined that a specific item is not in
compliance with the applicable laws, rules, and regulations, and the
requirements specified in the approval issued by the Coast Guard, the
District Commander or the Officer in Charge, Marine Inspection, will
immediately notify the holder of the approval wherein the specific item
fails to meet applicable requirements. If the defects, deficiencies or
variations in the item are deemed important, such officer is authorized
and may immediately suspend the approval, may require the holder to
surrender the certificate of approval (if any), and may direct the
holder to cease claiming the defective items are Coast Guard approved,
pending a final decision from the Commandant in the matter.
(b) The procedures for appealing the temporary suspension shall be
those described in Sec. 2.01-70.
Sec. 2.75-50 Withdrawals or terminations of approvals and appeals.
(a) The Commandant may withdraw approval for any item which is found
not to be in compliance with the conditions of approval, found to be
unsuitable for its intended purpose, or does not meet the requirements
of applicable regulations.
(b) Approvals of equipment are terminated when the manufacturer is
no longer in business, or when the item is no longer being manufactured,
or when the approval expires.
(c) Any person directly affected by a decision to deny, withdraw, or
terminate an approval may appeal the decision to Director of Commercial
Regulations & Standards (CG-52) as provided in Sec. 1.03-15 of this
chapter.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 93-055, 61 FR
13927, Mar. 28, 1996; CGD 96-041, 61 FR 50725, Sept. 27, 1996; CGD 97-
057, 62 FR 51041, Sept. 30, 1997; USCG-2004-18884, 69 FR 58341, Sept.
30, 2004]
Sec. 2.75-60 Hazardous ships' stores.
Hazardous ships' stores, as defined in Sec. 147.3 of this chapter,
must not be brought on board or used on any vessel unless they meet the
requirements of part 147 of this chapter.
[CGD 84-044, 53 FR 7748, Mar. 10, 1988]
Sec. 2.75-70 Welding procedure and performance qualifications.
(a) Welding procedures and welder performance utilized in the
fabrication of vessels and their various systems and components subject
to Coast Guard inspection shall be qualified as required by the
applicable subchapter. For applicable requirements see Sec. Sec. 32.60-
1(a) of subchapter D (Tank Vessels), Sec. 72.01-15 of subchapter H
(Passenger Vessels), Sec. 92.01-10 of subchapter I (Cargo and
Miscellaneous Vessels), or Sec. 190.01-10 of subchapter U
(Oceanographic Vessels) of this chapter. See part 57 of subchapter F
(Marine Engineering) for requirements for the welding of pressure
piping, boilers, pressure vessels, and nonpressure vessel type
[[Page 40]]
tanks, and associated secondary barriers as defined in Sec. 38.05-4 of
subchapter D (Tank Vessels) of this chapter.
[CGFR 68-82, 33 FR 18804, Dec. 18, 1968]
Subpart 2.85_Load Lines
Sec. 2.85-1 Assignment of load lines.
Most U.S. vessels, and foreign vessels in U.S. waters are required
to have load line assignments in accordance with 46 U.S.C. Chapter 51.
The load lines marks, when placed on a vessel, indicate the maximum
draft to which such vessel can be lawfully submerged, in the various
circumstances and seasons applicable to such vessel. See subchapter E
(Load Lines) of this chapter for applicable details governing assignment
and marking of load lines.
[CGD 95-028, 62 FR 51195, Sept. 30, 1997, as amended by USCG-1998-4442,
63 FR 52188, Sept. 30, 1998; USCG-2004-18884, 69 FR 58341, Sept. 30,
2004]
Subpart 2.90_Plans, Drawings or Blueprints
Sec. 2.90-1 General requirements.
(a) Drawings, blueprints or plans showing the details of
construction of vessels subject to inspection or installations thereon
are required to be submitted for approval in accordance with applicable
regulations in this chapter, information as to which may be obtained at
any local Marine Inspection Office.
(b) The requirements for passenger vessel construction are in parts
43-46, 70-78, of this chapter.
(c) The requirements for tank vessel construction are in parts 30-
39, 43-45, of this chapter.
(d) The requirements for cargo and miscellaneous vessel construction
are in parts 43-45, 90-97, of this chapter.
(e) The requirements for marine engineering installations or
equipment are in parts 50-69 of this chapter.
(f) The requirements for electrical engineering installations or
equipment are in parts 110-113 of this chapter.
(g) The requirements for items to be manufactured under specific
approval by the Commandant are in parts 160-164 of this chapter.
(h) The requirements for vessels carrying certain bulk dangerous
cargoes are in parts 148, 151, 153, and 154 of this chapter.
(i) The requirements for subdivision and stability plans and
calculations are in part 170 of this chapter.
[CGFR 65-50, 30 FR 16604, Dec. 30, 1965, as amended by CGD 73-96, 42 FR
49203, Sept. 26, 1977; CGD 79-023, 48 FR 51006, Nov. 4, 1983]
Subpart 2.95_Retention of Records by the Public
Sec. 2.95-1 Certificates or documents issued by Coast Guard.
(a) Certificates or documents issued to the public, as required by
laws, rules, or regulations, shall be retained for the applicable period
of time, as follows:
(1) If the certificate or document specifies a definite period of
time for which it is valid, it shall be retained for so long as it is
valid unless it is required to be surrendered; or,
(2) If the certificate or document does not specify a definite
period of time for which it is valid, it shall be retained for that
period of time such certificate or document is required for operation of
the vessel; or,
(3) If the certificate or document is evidence of a person's
qualifications, it shall be retained for so long as it is valid unless
it is required to be surrendered.
(b) Nothing in this section shall be construed as preventing the
Coast Guard from canceling, suspending, or withdrawing any certificate
or document issued at any time.
Sec. 2.95-5 Certificates or documents issued by others.
(a) Certificates or documents issued by other public agencies or
private organizations, which are accepted as prima facie evidence of
compliance with requirements administered by the Coast Guard, shall be
retained for the applicable period of time as follows:
(1) If the certificate or document specifies a definite period of
time for which it is valid, it shall be retained for so long as it is
valid unless it is required to be surrendered; or
(2) If the certificate or document does not specify a definite
period of
[[Page 41]]
time for which it is valid, it shall be retained for the period of time
such certificate or document is required for operation of the vessel;
or,
(3) If the certificate or documents is evidence of a person's
qualifications, it shall be retained for so long as it is valid unless
it is required to be surrendered.
Sec. 2.95-10 Equipment or material required to be approved.
(a) The manufacturer of any equipment or material, which must also
be approved by or found satisfactory for use by the Commandant, shall
keep the required drawings, plans, blueprints, specifications,
production models (if any), qualification tests, and related
correspondence containing evidence that the Coast Guard has found such
equipment or material satisfactory, during the period of time the
approval or listing is valid. Most of the specifications containing
detailed descriptions of records required to be retained by the public
are in parts 160 to 164, inclusive in subchapter Q (Specifications) of
this chapter.
PART 3_DESIGNATION OF OCEANOGRAPHIC RESEARCH VESSELS--Table of Contents
Subpart 3.01_Authority and Purpose
Sec.
3.01-1 Purpose of regulations.
Subpart 3.03_Application
3.03-1 Vessels subject to the requirements of this part.
Subpart 3.05_Definition of Terms Used in This Part
3.05-1 Letter of designation.
3.05-3 Oceanographic research vessel.
Subpart 3.10_Designation
3.10-1 Procedures for designating oceanographic research vessels.
3.10-5 Renewal of letter of designation.
3.10-10 Right of appeal.
Authority: 46 U.S.C. 2113, 3306; Department of Homeland Security
Delegation No. 0170.1.
Source: CGD 77-081, 46 FR 56202, Nov. 16, 1981, unless otherwise
noted.
Subpart 3.01_Authority and Purpose
Sec. 3.01-1 Purpose of regulations.
The purpose of the regulations in this part is to establish standard
procedures for the designation of certain vessels as oceanographic
research vessels as defined in 46 U.S.C. 2101(18).
[CGD 77-081, 46 FR 56202, Nov. 16, 1981, as amended by CGD 95-028, 62 FR
51195, Sept. 30, 1997]
Subpart 3.03_Application
Sec. 3.03-1 Vessels subject to the requirements of this part.
The regulations in this part are applicable to U.S. flag vessels
desiring designation as oceanographic research vessels in accordance
with 46 U.S.C. 2101(18).
[CGD 77-081, 46 FR 56202, Nov. 16, 1981, as amended by CGD 95-028, 62 FR
51195, Sept. 30, 1997; USCG-2005-22329, 70 FR 57183, Sept. 30, 2005]
Subpart 3.05_Definition of Terms Used in This Part
Sec. 3.05-1 Letter of designation.
A letter issued by an Officer in Charge, Marine Inspection,
designating an uninspected vessel as an oceanographic research vessel.
Sec. 3.05-3 Oceanographic research vessel.
``An oceanographic research vessel is a vessel which the U.S. Coast
Guard finds is employed exclusively in one or more of the following:
(a) Oceanographic instruction;
(b) Limnologic instruction;
(c) Oceanographic research; or,
(d) Limnologic research.''
Subpart 3.10_Designation
Sec. 3.10-1 Procedures for designating oceanographic research vessels.
(a) Upon written request by the owner, master, or agent of a vessel,
a determination will be made by the Officer in Charge, Marine
Inspection, of the zone in which the vessel is located, whether the
vessel may be designated as an oceanographic research vessel.
[[Page 42]]
(b) The request should contain sufficient information to allow the
Officer in Charge, Marine Inspection, to make this determination. At a
minimum, the following items must be submitted:
(1) A detailed description of the vessel, including its
identification number, owner and charterer.
(2) A specific operating plan stating precisely the intended use of
the vessel.
(3) Any additional information as may be requested by the Officer in
Charge, Marine Inspection.
(c) If designation is granted, it shall be indicated as follows:
(1) For inspected vessels--indicated on the certificate of
inspection, valid for its duration.
(2) For uninspected vessels--indicated by a letter of designation,
which shall be maintained on board the vessel and remain in effect for
two years from date of issuance.
(d) All designations shall remain valid for the period specified on
the applicable document, provided all operating conditions remain
unchanged from the date of designation.
(e) In the event of a change in operating conditions, the owner,
master, or agent of the vessel shall advise the Officer in Charge,
Marine Inspection who issued the designation. After reviewing the
pertinent information concerning the operational changes, the Officer in
Charge, Marine Inspection, shall determine if the vessel is still
eligible to retain its designation as an oceanographic research vessel.
[CGD 77-081, 46 FR 56202, Nov. 16, 1981, as amended by CGD 95-028, 62 FR
51195, Sept. 30, 1997]
Sec. 3.10-5 Renewal of letter of designation.
At least 60 days prior to the expiration date of the letter of
designation or certificate of inspection, a request for renewal must be
submitted in the same manner as described in 3.10-1. However, if the
request for renewal is submitted to the Officer in Charge, Marine
Inspection, who made the initial determination and all operating
conditions remain unchanged, the information required by Sec. 3.10-1(b)
need not be resubmitted with the request.
Sec. 3.10-10 Right of appeal.
Any person directly affected by a decision or action taken under
this part, by or on behalf of the Coast Guard, may appeal therefrom in
accordance with subpart 1.03 of this chapter.
[CGD 88-033, 54 FR 50379, Dec. 6, 1989]
PART 4_MARINE CASUALTIES AND INVESTIGATIONS--Table of Contents
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.
4.03-60 Noxious liquid substance (NLS).
4.03-65 Significant harm to the environment.
4.03-70 Tank vessel.
4.03-75 Merchant mariner credential and credential.
Subpart 4.04_Notice of Potential Vessel Casualty
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.
4.05-2 Incidents involving foreign tank vessels.
4.05-5 Substance of marine casualty notice.
4.05-10 Written report of marine casualty.
4.05-12 Alcohol or drug use by individuals directly involved in
casualties.
4.05-15 Voyage records, retention of.
4.05-20 Report of accident to aid to navigation.
[[Page 43]]
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.
Subpart 4.06_Mandatory Chemical Testing Following Serious Marine
Incidents Involving Vessels in Commercial Service
4.06-1 Responsibilities of the marine employer.
4.06-3 Requirements for alcohol and drug testing following a serious
marine incident.
4.06-5 Responsibility of individuals directly involved in serious marine
incidents.
4.06-15 Accessibility of chemical testing devices.
4.06-20 Specimen collection requirements.
4.06-30 Specimen collection in incidents involving fatalities.
4.06-40 Specimen handling and shipping.
4.06-50 Specimen analysis and follow-up procedures.
4.06-60 Submission of reports and test results.
4.06-70 Penalties.
Subpart 4.07_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, 2303a,
2306, 6101, 6301, and 6305; 50 U.S.C. 198; Department of Homeland
Security Delegation No. 0170.1. Subpart 4.40 issued under 49 U.S.C.
1903(a)(1)(E).
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
[[Page 44]]
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(a)(5)
or Sec. 4.05-1(a)(6).
(c) Vessels are excluded from the requirements of Sec. 4.05-1(a)(5)
and (a)(6) with respect to the death or injury of shipyard or harbor
workers when such accidents are not the result of either a vessel
casualty (e.g., collision) or a vessel equipment casualty (e.g., cargo
boom failure) and are subject to the reporting requirements of
Occupational Safety and Health Administration (OSHA) under 29 CFR 1904.
(d) Except as provided in subpart 4.40, public vessels are excluded
from the requirements of this part.
[CGD 76-170, 45 FR 77441, Nov. 24, 1980; 46 FR 19235, Mar. 30, 1981, as
amended by CGD 76-170, 47 FR 39684, Sept. 9, 1982; CGD 95-028, 62 FR
51195, Sept. 30, 1997; USCG-2000-7790, 65 FR 58458, Sept. 29, 2000]
Subpart 4.03_Definitions
Sec. 4.03-1 Marine casualty or accident.
Marine casualty or accident means--
(a) Any casualty or accident involving any vessel other than a
public vessel that--
(1) Occurs upon the navigable waters of the United States, its
territories or possessions;
(2) Involves any United States vessel wherever such casualty or
accident occurs; or
(3) With respect to a foreign tank vessel operating in waters
subject to the jurisdiction of the United States, including the
Exclusive Economic Zone (EEZ), involves significant harm to the
environment or material damage affecting the seaworthiness or efficiency
of the vessel.
(b) The term ``marine casualty or accident'' applies to events
caused by or involving a vessel and includes, but is not limited to, the
following:
(1) Any fall overboard, injury, or loss of life of any person.
(2) Any occurrence involving a vessel that results in--
(i) Grounding;
(ii) Stranding;
(iii) Foundering;
(iv) Flooding;
(v) Collision;
(vi) Allision;
(vii) Explosion;
(viii) Fire;
(ix) Reduction or loss of a vessel's electrical power, propulsion,
or steering capabilities;
(x) Failures or occurrences, regardless of cause, which impair any
aspect of a vessel's operation, components, or cargo;
(xi) Any other circumstance that might affect or impair a vessel's
seaworthiness, efficiency, or fitness for service or route; or
(xii) Any incident involving significant harm to the environment.
(3) Any occurrences of injury or loss of life to any person while
diving from a vessel and using underwater breathing apparatus.
(4) Any incident described in Sec. 4.05-1(a).
[USCG-2000-6927, 70 FR 74675, Dec. 16, 2005]
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
[[Page 45]]
(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.
[[Page 46]]
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]
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]
Sec. 4.03-60 Noxious liquid substance (NLS).
Noxious liquid substance (NLS) means--
(a) Each substance listed in 33 CFR 151.47 or 151.49;
(b) Each substance having an ``A,'' ``B,'' ``C,'' or ``D'' beside
its name in the column headed ``IMO Annex II pollution category'' in
table 1 of part 153 of this chapter; and
(c) Each substance that is identified as an NLS in a written
permission issued under Sec. 153.900(d) of this chapter.
[USCG-2000-6927, 70 FR 74676, Dec. 16, 2005]
Sec. 4.03-65 Significant harm to the environment.
Significant harm to the environment means--
(a) In the navigable waters of the United States, a discharge of oil
as set forth in 40 CFR 110.3 or a discharge of hazardous substances in
quantities equal to or exceeding, in any 24-hour period, the reportable
quantity determined in 40 CFR part 117;
(b) In other waters subject to the jurisdiction of the United
States, including the EEZ--
(1) A discharge of oil in excess of the quantities or instantaneous
rate permitted in 33 CFR 151.10 or 151.13 during operation of the ship;
or
(2) A discharge of noxious liquid substances in bulk in violation of
Sec. Sec. 153.1126 or 153.1128 of this chapter during the operation of
the ship; and
(c) In waters subject to the jurisdiction of the United States,
including the EEZ, a probable discharge of oil, hazardous substances,
marine pollutants, or noxious liquid substances. The factors you must
consider to determine whether a discharge is probable include, but are
not limited to--
(1) Ship location and proximity to land or other navigational
hazards;
(2) Weather;
(3) Tide current;
(4) Sea state;
(5) Traffic density;
(6) The nature of damage to the vessel; and
(7) Failure or breakdown aboard the vessel, its machinery, or
equipment.
[USCG-2000-6927, 70 FR 74676, Dec. 16, 2005]
Sec. 4.03-70 Tank vessel.
Tank vessel means a vessel that is constructed or adapted to carry,
or that carries, oil, hazardous substances, marine pollutants, or
noxious liquid substances, in bulk as cargo or cargo residue.
[USCG-2000-6927, 70 FR 74676, Dec. 16, 2005]
[[Page 47]]
Sec. 4.03-75 Merchant mariner credential and credential.
The following definitions apply to this part:
Credential means any or all of the following:
(1) Merchant mariner's document.
(2) Merchant mariner's license.
(3) STCW endorsement.
(4) Certificate of registry.
(5) Merchant mariner credential.
Merchant mariner credential or MMC means the credential issued by
the Coast Guard under 46 CFR part 10. It combines the individual
merchant mariner's document, license, and certificate of registry
enumerated in 46 U.S.C. subtitle II part E as well as the STCW
endorsement into a single credential that serves as the mariner's
qualification document, certificate of identification, and certificate
of service.
[USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]
Subpart 4.04_Notice of Potential Vessel Casualty
Source: CGD 85-015, 51 FR 19341, May 29, 1986, unless otherwise
noted.
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 1625-0048)
[CGD 85-015, 51 FR 19341, May 29, 1986, as amended by USCG-2006-25697,
71 FR 55745, Sept. 25, 2006]
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 1625-0048)
[CGD 85-015, 51 FR 19341, May 29, 1986, as amended by USCG-2006-25697,
71 FR 55745, Sept. 25, 2006]
Subpart 4.05_Notice of Marine Casualty and Voyage Records
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 Sector Office, Marine Inspection Office or Coast Guard Group
Office whenever a vessel is involved in a marine casualty consisting
in--
(1) An unintended grounding, or an unintended strike of (allison
with) a bridge;
(2) An intended grounding, or an intended strike of a bridge, that
creates a hazard to navigation, the environment, or the safety of a
vessel, or that
[[Page 48]]
meets any criterion of paragraphs (a) (3) through (8);
(3) A loss of main propulsion, primary steering, or any associated
component or control system that reduces the maneuverability of the
vessel;
(4) An occurrence materially and adversely affecting the vessel's
seaworthiness or fitness for service or route, including but not limited
to fire, flooding, or failure of or damage to fixed fire-extinguishing
systems, lifesaving equipment, auxiliary power-generating equipment, or
bilge-pumping systems;
(5) A loss of life;
(6) An injury that requires professional medical treatment
(treatment beyond first aid) and, if the person is engaged or employed
on board a vessel in commercial service, that renders the individual
unfit to perform his or her routine duties; or
(7) An occurrence causing 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.
(8) An occurrence involving significant harm to the environment as
defined in Sec. 4.03-65.
(b) Notice given as required by 33 CFR 160.215 satisfies the
requirement of this section if the marine casualty involves a hazardous
condition as defined by 33 CFR 160.204.
(c) Except as otherwise required under this subpart, if the marine
casualty exclusively involves an occurrence or occurrences described by
paragraph (a)(8) of this section, a report made pursuant to 33 CFR
153.203, 40 CFR 117.21, or 40 CFR 302.6 satisfies the immediate
notification requirement of this section.
[CGD 94-030, 59 FR 39471, Aug. 3, 1994, as amended by USCG-2000-6927, 70
FR 74676, Dec. 16, 2005; USCG-2006-25556, 72 FR 36330, July 2, 2007;
USCG-2011-0618, 76 FR 60754, Sept. 30, 2011]
Sec. 4.05-2 Incidents involving foreign tank vessels.
(a) Within the navigable waters of the United States, its
territories, or possessions. The marine casualty reporting and
investigation criteria of this part apply to foreign tank vessels
operating on the navigable waters of the United States, its territories,
or possessions. A written marine casualty report must be submitted under
Sec. 4.05-10 of this chapter.
(b) Outside the U.S. navigable waters and within the Exclusive
Economic Zone (EEZ). The owner, agent, master, operator, or person in
charge of a foreign tank vessel involved in a marine casualty must
report under procedures detailed in 33 CFR 151.15, immediately after
addressing resultant safety concerns, whenever the marine casualty
involves, or results in--
(1) Material damage affecting the seaworthiness or efficiency of the
vessel; or
(2) An occurrence involving significant harm to the environment as a
result of a discharge, or probable discharge, resulting from damage to
the vessel or its equipment. The factors you must consider to determine
whether a discharge is probable include, but are not limited to--
(i) Ship location and proximity to land or other navigational
hazards;
(ii) Weather;
(iii) Tide current;
(iv) Sea state;
(v) Traffic density;
(vi) The nature of damage to the vessel; and
(vii) Failure or breakdown aboard the vessel, its machinery, or
equipment.
[USCG-2000-6927, 70 FR 74676, Dec. 16, 2005]
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
[[Page 49]]
marine casualty required to be reported under Sec. 4.05-1. 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 Sector Office or
Marine Inspection Office. It must be provided on Form CG-2692 (Report of
Marine Accident, Injury or Death), supplemented as necessary by appended
Forms 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 report required by paragraph (a) of this section suffices
as the notice required by Sec. 4.05-1(a).
[CGD 94-030, 63 FR 19192, Apr. 17, 1998, as amended by USCG-2006-25556,
72 FR 36330, July 2, 2007]
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
[[Page 50]]
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]
Sec. 4.05-40 Alternate electronic means of reporting.
The Commandant may approve alternate electronic means of submitting
notices and reports required under this subpart.
[USCG-1999-6216, 64 FR 53223, Oct. 1, 1999]
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 as
required in this part.
(c) The marine employer determines which individuals are directly
involved in a serious marine incident (SMI). A law enforcement officer
may determine that additional individuals are directly involved in the
SMI. In these cases, the marine employer must take all practical steps
to have these additional individuals tested according to this part.
(d) The requirements of this subpart do not prevent personnel who
are required to be tested from performing duties in the aftermath of an
SMI when their performance is necessary to respond to safety concerns
directly related to the incident.
(e) The marine employer shall ensure that all individuals engaged or
employed on board a vessel are fully indoctrinated in the requirements
of this subpart, and that appropriate vessel personnel are trained as
necessary in the practical applications of these requirements.
[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by USCG-2000-7759,
66 FR 42967, Aug. 16, 2001; USCG-2001-8773, 70 FR 75960, Dec. 22, 2005]
Sec. 4.06-3 Requirements for alcohol and drug testing following a
serious marine incident.
When a marine employer determines that a casualty or incident is, or
is likely to become, an SMI, the marine employer must ensure that the
following alcohol and drug testing is conducted:
(a) Alcohol testing. (1) Alcohol testing must be conducted on each
individual engaged or employed on board the vessel who is directly
involved in the SMI.
(i) The alcohol testing of each individual must be conducted within
2 hours of when the SMI occurred, unless precluded by safety concerns
directly related to the incident.
[[Page 51]]
(ii) If safety concerns directly related to the SMI prevent the
alcohol testing from being conducted within 2 hours of the occurrence of
the incident, then alcohol testing must be completed as soon as the
safety concerns are addressed.
(iii) Alcohol testing is not required to be conducted more than 8
hours after the occurrence of the SMI.
(2) Alcohol-testing devices must be used according to the procedures
specified by the manufacturer of the testing device and by this part.
(3) If the alcohol testing required in paragraphs (a)(1)(i) and
(a)(1)(ii) of this section is not conducted, the marine employer must
document on form CG-2692B the reason why the testing was not conducted.
(4) The marine employer may use alcohol-testing results from tests
conducted by Coast Guard or local law enforcement personnel to satisfy
the alcohol testing requirements of this part only if the alcohol
testing meets all of the requirements of this part.
(b) Drug testing. (1) Drug testing must be conducted on each
individual engaged or employed on board the vessel who is directly
involved in the SMI.
(i) The collection of drug-test specimens of each individual must be
conducted within 32 hours of when the SMI occurred, unless precluded by
safety concerns directly related to the incident.
(ii) If safety concerns directly related to the SMI prevent the
collection of drug-test specimens from being conducted within 32 hours
of the occurrence of the incident, then the collection of drug-test
specimens must be conducted as soon as the safety concerns are
addressed.
(2) If the drug-test specimens required in paragraphs (b)(1)(i) and
(b)(1)(ii) of this section were not collected, the marine employer must
document on form CG-2692B the reason why the specimens were not
collected.
[USCG-2001-8773, 70 FR 75960, Dec. 22, 2005]
Sec. 4.06-5 Responsibility of individuals directly involved in
serious marine incidents.
(a) Any individual engaged or employed on board a vessel who is
determined to be directly involved in an SMI must provide a blood,
breath, saliva, or urine specimen for chemical testing when directed to
do so by the marine employer or a law enforcement officer.
(b) If the individual refuses to provide a blood, breath, saliva, or
urine specimen, this refusal must be noted on form CG-2692B and in the
vessel's official log book, if a log book is required. The marine
employer must remove the individual as soon as practical from duties
that directly affect the safe operation of the vessel.
(c) Individuals subject to alcohol testing after an SMI are
prohibited from consuming alcohol beverages for 8 hours following the
occurrence of the SMI or until after the alcohol testing required by
this part is completed.
(d) No individual may be compelled to provide specimens for alcohol
and drug testing required by this part. However, refusal to provide
specimens is a violation of this subpart and may subject the individual
to suspension and revocation proceedings under part 5 of this chapter, a
civil penalty, or both.
[USCG-2001-8773, 70 FR 75961, Dec. 22, 2005]
Sec. 4.06-15 Accessibility of chemical testing devices.
(a) Alcohol testing. (1) The marine employer must have a sufficient
number of alcohol testing devices readily accessible on board the vessel
to determine the presence of alcohol in the system of each individual
who was directly involved in the SMI.
(2) All alcohol testing devices used to meet the requirements of
this part must be currently listed on either the Conforming Products
List (CPL) titled ``Modal Specifications for Devices To Measure Breath
Alcohol'' or ``Conforming Products List of Screening Devices To Measure
Alcohol in Bodily Fluids,'' which are published periodically in the
Federal Register by National Highway Traffic Safety Administration
(NHTSA).
(3) The alcohol testing devices need not be carried on board each
vessel if obtaining the devices and conducting the required alcohol
tests can be accomplished within 2 hours from the time of occurrence of
the SMI.
[[Page 52]]
(b) Drug testing. (1) The marine employer must have a sufficient
number of urine-specimen collection and shipping kits meeting the
requirements of 49 CFR part 40 that are readily accessible for use
following SMIs.
(2) The specimen collection and shipping kits need not be carried on
board each vessel if obtaining the kits and collecting the specimen can
be completed within 32 hours from the time of the occurrence of the SMI.
[USCG-2001-8773, 70 FR 75961, Dec. 22, 2005]
Sec. 4.06-20 Specimen collection requirements.
(a) Alcohol testing. (1) When conducting alcohol testing required in
Sec. 4.06-3(a), an individual determined under this part to be directly
involved in the SMI must provide a specimen of their breath, blood, or
saliva to the marine employer as required in this subpart.
(2) Collection of an individual's blood to comply with Sec. 4.06-
3(a) must be taken only by qualified medical personnel.
(3) Collection of an individual's saliva or breath to comply with
Sec. 4.06-3(a) must be taken only by personnel trained to operate the
alcohol-testing device in use and must be conducted according to this
subpart.
(b) Drug testing. (1) When conducting drug testing required in Sec.
4.06-3(b), an individual determined under this part to be directly
involved in the SMI must provide a specimen of their urine according to
46 CFR part 16 and 49 CFR part 40.
(2) Specimen collection and shipping kits used to conduct drug
testing must be used according to 49 CFR part 40.
[USCG-2001-8773, 70 FR 75961, Dec. 22, 2005]
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 Sec. Sec. 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. 16.113 of this chapter and the chain of
custody requirements of 49 CFR part 40, subpart D, are complied with.
The marine employer shall ensure that urine specimens required by
Sec. Sec. 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.
[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by USCG-2000-7759,
66 FR 42967, Aug. 16, 2001]
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
[[Page 53]]
need to develop all relevant information and to produce a complete
analysis report.
(b) Reports shall be sent to the Medical Review Officer meeting the
requirements of 49 CFR 40.121, as designated by the marine employer
submitting the specimen for testing. Wherever a urinalysis report
indicates the presence of a dangerous drug or drug metabolite, the
Medical Review Officer shall review the report as required by 49 CFR
part 40, subpart G, and submit his or her findings to the marine
employer. Blood test reports indicating the presence of alcohol shall be
similarly reviewed to determine if there is a legitimate medical
explanation.
(c) Analysis results which indicate the presence of alcohol,
dangerous drugs, or drug metabolites shall not be construed by
themselves as constituting a finding that use of drugs or alcohol was
the probable cause of a serious marine incident.
[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by CGD 90-053, 58 FR
31107, May 28, 1993; USCG-2000-7759, 66 FR 42967, Aug. 16, 2001]
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.
(e) The Commandant may approve alternate electronic means of
submitting reports and test results as required under paragraphs (a)
through (d) of this section.
[CGD 86-067, 53 FR 47078, Nov. 21, 1988, as amended by CGD 97-057, 62 FR
51041, Sept. 30, 1997; USCG-1999-6216, 64 FR 53223, Oct. 1, 1999]
Sec. 4.06-70 Penalties.
Violation of this part is subject to the civil penalties set forth
in 46 U.S.C. 2115.
[USCG-2001-8773, 70 FR 75961, Dec. 22, 2005]
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
[[Page 54]]
the law on the part of any person holding a Coast Guard credential
contributed to the casualty, so that appropriate proceedings against the
credential of such person may be recommended and taken under 46 U.S.C.
6301;
(4) Whether there is evidence that any Coast Guard personnel or any
representative or employee of any other government agency or any other
person caused or contributed to the cause of the casualty; or,
(5) Whether the accident shall be further investigated by a Marine
Board of Investigation in accordance with regulations in subpart 4.09.
[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 97-057, 62
FR 51041, Sept. 30, 1997; USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]
Sec. 4.07-5 Investigating officers, powers of.
(a) An investigating officer investigates each marine casualty or
accident reported under Sec. Sec. 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 credentials; and,
(4) Whether or not violations of laws or regulations relating to
vessels have been reported on Form CG-2636, report of violation of
navigation laws.
(b) At the conclusion of the investigation, the investigating
officer shall submit the report described in paragraph (a) of this
section, to the Commandant via the Merchant Marine Detail Officer or the
Officer in Charge, Marine Inspection, and the Commander, Coast Guard MIO
Europe for a European port or Commander, Fourteenth Coast Guard for an
Asian or Pacific port. The Merchant Marine Detail Officer or the Officer
in Charge, Marine Inspection, and Commander, Coast Guard MIO Europe or
Commander, Fourteenth Coast Guard District shall forward the
investigating officer's report to the Commandant with the endorsement
described in paragraphs (a) (1) through (4) of this section.
[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 75-196, 41
FR 18655, May 6, 1976; CGD 97-057, 62 FR 51042, Sept. 30, 1997; USCG-
2006-24371, 74 FR 11214, Mar. 16, 2009]
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.
[[Page 55]]
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.
[[Page 56]]
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]
[[Page 57]]
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.
[[Page 58]]
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.
[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by USCG-2004-18884,
69 FR 58341, Sept. 30, 2004]
Subpart 4.40_Coast Guard_National Transportation Safety Board Marine
Casualty Investigations
Source: CGD 76-149, 42 FR 61200, Dec. 1, 1977, unless otherwise
noted.
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]
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]
Sec. 4.40-10 Preliminary investigation by the Coast Guard.
(a) The Coast Guard conducts the preliminary investigation of marine
casualties.
[[Page 59]]
(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 an on scene investigation,
that is conducted under the provisions of subpart 4.40-25 of this part.
(c) Consistent with Coast Guard responsibility to direct the course
of the investigation, the person or persons designated by the Board
under paragraph (b) of this section may:
(1) Make recommendations about the scope of the investigations.
(2) Call and examine witnesses.
(3) Submit or request additional evidence.
(d) The Commandant provides a record of the proceedings to the Board
of an investigation of a major marine casualty under paragraph (a) of
this section.
(e) The Board, under the Act, makes its determination of the facts,
conditions, circumstances, and the cause or
[[Page 60]]
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; USCG-2004-18884, 69 FR 58341, Sept. 30, 2004]
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 Sec. Sec. 4.40-20 and 4.40-30
are available to the public under 49 CFR part 801.
PART 5_MARINE INVESTIGATION REGULATIONS_PERSONNEL ACTION--
Table of Contents
Subpart A_Purpose
Sec.
5.3 Purpose of regulations.
5.5 Purpose of administrative actions.
Subpart B_Definitions
5.11 Officer in Charge, Marine Inspection.
5.15 Investigating Officer.
5.19 Administrative Law Judge.
5.27 Misconduct.
5.29 Negligence.
5.31 Incompetence.
5.33 Violation of law or regulation.
5.35 Conviction for a dangerous drug law violation, use of, or addiction
to the use of dangerous drugs.
5.40 Credential and merchant mariner credential.
Subpart C_Statement of Policy and Interpretation
5.51 Construction of regulations.
5.55 Time limitations for service of a complaint.
5.57 Acting under authority of Coast Guard credential or endorsement.
5.59 Offenses for which revocation of credentials or endorsements is
mandatory.
5.61 Acts or offenses for which revocation of credentials is sought.
5.65 Commandant's decisions in appeal or review cases.
5.67 Physician-patient privilege.
5.69 Evidence of criminal liability.
5.71 Maritime labor disputes.
Subpart D_Investigations
5.101 Conduct of investigations.
5.103 Powers of investigating officer.
5.105 Course of action available.
5.107 Service of complaints.
Subpart E_Deposit or Surrender of Coast Guard Credential or Endorsement
5.201 Voluntary deposits in event of mental or physical incompetence.
5.203 Voluntary surrender to avoid hearing.
5.205 Return or issuance of a credential or endorsement.
Subpart F_Subpoenas
5.301 Issuance of subpoenas.
5.303 Service of subpoenas on behalf of the respondent.
5.305 Quashing a subpoena.
5.307 Enforcement.
5.309 Proof of service
Subpart G_Witness Fees
5.401 Payment of witness fees and allowances.
Subpart H_Hearings
5.501 General.
5.521 Verification of credential or endorsement.
5.567 Order.
5.569 Selection of an appropriate order.
Subpart I [Reserved]
Subpart J_Appeals
5.701 Appeals in general.
5.707 Stay of effect of decision and order of Administrative Law Judge
on appeal to the Commandant; temporary credential or
endorsement.
5.713 Appeals to the National Transportation Safety Board.
5.715 Stay of effect of Decision of the Commandant on Appeal: Temporary
credential and/or endorsement pending appeal to National
Transportation Safety Board.
Subpart K_Review of Administrative Law Judge's Decisions in Cases Where
Charges Have Been Found Proved
5.801 Commandant's review.
5.803 Record for decision on review.
5.805 Action on review.
5.807 Commandant's Decision on Review.
[[Page 61]]
Subpart L_Issuance of New Credential or Endorsement After Revocation or
Surrender
5.901 Time limitations.
5.903 Application procedures.
5.905 Commandant's decision on application.
Authority: 46 U.S.C. 2103, 7101, 7301, 7701; Department of Homeland
Security Delegation No. 0170.1.
Source: CGD 82-002, 50 FR 32184, Aug. 9, 1985, unless otherwise
noted.
Subpart A_Purpose
Sec. 5.3 Purpose of regulations.
The regulations in this part establish policies for administrative
actions against mariners' credentials or endorsements issued by the
Coast Guard.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64
FR 28075, May 24, 1999; USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]
Sec. 5.5 Purpose of administrative actions.
The administrative actions against a license, certificate, merchant
mariner credential, endorsement, or document are remedial and not penal
in nature. These actions are intended to help maintain standards for
competence and conduct essential to the promotion of safety at sea.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371,
74 FR 11214, Mar. 16, 2009]
Subpart B_Definitions
Sec. 5.11 Officer in Charge, Marine Inspection.
Officer in Charge, Marine Inspection (OCMI) for the purposes of part
5 means the officer or individual so designated at one of the Regional
Examination Centers, or any person so designated by the Commandant.
[USCG-2006-25535, 71 FR 48482, Aug. 21, 2006]
Sec. 5.15 Investigating Officer.
An investigating officer is a Coast Guard official designated by the
Commandant, a District Commander, or the Officer in Charge, Marine
Inspection, for the purpose of conducting investigations of marine
casualties or matters pertaining to the conduct of persons applying for
or holding merchant mariner's documents, licenses, certificates or
credentials issued by the Coast Guard. An Officer in Charge, Marine
Inspection is an investigating officer without further designation.
[USCG-2006-25535, 71 FR 48482, Aug. 21, 2006]
Sec. 5.19 Administrative Law Judge.
(a) An Administrative Law Judge shall mean any person designated by
the Commandant pursuant to the Administrative Procedure Act (5 U.S.C.
556(b) for the purpose of conducting hearings arising under 46 U.S.C.
7703 or 7704.
(b) The Commandant has delegated to Administrative Law Judges the
authority to admonish, suspend, with or without probation, or revoke a
credential or endorsement issued to a person by the Coast Guard under
any navigation or shipping law.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2004-18884,
69 FR 58341, Sept. 30, 2004; USCG-2006-24371, 74 FR 11214, Mar. 16,
2009]
Sec. 5.27 Misconduct.
Misconduct is human behavior which violates some formal, duly
established rule. Such rules are found in, among other places, statutes,
regulations, the common law, the general maritime law, a ship's
regulation or order, or shipping articles and similar sources. It is an
act which is forbidden or a failure to do that which is required.
Sec. 5.29 Negligence.
Negligence is the commission of an act which a reasonable and
prudent person of the same station, under the same circumstances, would
not commit, or the failure to perform an act which a reasonable and
prudent person of the same station, under the same circumstances, would
not fail to perform.
Sec. 5.31 Incompetence.
Incompetence is the inability on the part of a person to perform
required duties, whether due to professional deficiencies, physical
disability, mental incapacity, or any combination thereof.
[[Page 62]]
Sec. 5.33 Violation of law or regulation.
Where the proceeding is based exclusively on that part of title 46
U.S.C. section 7703, which provides as a basis for suspension or
revocation, a violation or failure to comply with 46 U.S.C. subtitle II,
a regulation prescribed under that subtitle, or any other law or
regulation intended to promote marine safety or protect navigable
waters, the complaint must state the specific statute or regulation by
title and section number, and the particular manner in which it was
allegedly violated.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64
FR 28075, May 24, 1999; USCG-2004-18884, 69 FR 58342, Sept. 30, 2004]
Sec. 5.35 Conviction for a dangerous drug law violation, use of, or
addiction to the use of dangerous drugs.
Where the proceeding is based exclusively on the provisions of title
46, U.S.C. 7704, the complaint will allege conviction for a dangerous
drug law violation or use of dangerous drugs or addiction to the use of
dangerous drugs, depending upon the circumstances and will allege
jurisdiction by stating the elements as required by title 46, U.S.C.
7704, and the approximate time and place of the offense.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64
FR 28075, May 24, 1999]
Sec. 5.40 Credential and merchant mariner credential.
Credential means any or all of the following:
(1) Merchant mariner's document.
(2) Merchant mariner's license.
(3) STCW endorsement.
(4) Certificate of registry.
(5) Merchant mariner credential.
Merchant mariner credential or MMC means the credential issued by
the Coast Guard under 46 CFR part 10. It combines the individual
merchant mariner's document, license, and certificate of registry
enumerated in 46 U.S.C. subtitle II part E as well as the STCW
endorsement into a single credential that serves as the mariner's
qualification document, certificate of identification, and certificate
of service.
[USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]
Subpart C_Statement of Policy and Interpretation
Sec. 5.51 Construction of regulations.
The regulations in this part shall be construed so as to obtain a
just, speedy, and economical determination of the issues presented.
Sec. 5.55 Time limitations for service of a complaint.
(a) The time limitations for service of a complaint upon the holder
of a credential are as follows:
(1) When based exclusively on 46 U.S.C. 7704, service shall be
within 10 years after the date of conviction, or at anytime if the
person charged is a user of or addicted to the use of a dangerous drug.
(2) For one of the misconduct offenses specified in Sec. 5.59(a) or
Sec. 5.61(a), service shall be within five years after commission of
the offense alleged therein.
(3) For an act or offense not otherwise provided for, the service
shall be within three years after the commission of the act or offense
alleged therein.
(b) When computing the period of time specified in paragraphs (a)
(2) and (3) of this section there shall be excluded any period or
periods of time when the respondent could not attend a hearing or be
served charges by reason of being outside of the United States or by
reason of being in prison or hospitalized.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64
FR 28075, May 24, 1999; USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]
Sec. 5.57 Acting under authority of Coast Guard credential or endorsement.
(a) A person employed in the service of a vessel is considered to be
acting under the authority of a credential or endorsement when the
holding of such credential or endorsement is:
(1) Required by law or regulation; or
(2) Required by an employer as a condition for employment.
[[Page 63]]
(b) A person is considered to be acting under the authority of the
credential or endorsement while engaged in official matters regarding
the credential or endorsement. This includes, but is not limited to,
such acts as applying for renewal, taking examinations for raises of
grade, requesting duplicate or replacement credentials, or when
appearing at a hearing under this part.
(c) A person does not cease to act under the authority of a
credential or endorsement while on authorized or unauthorized shore
leave from the vessel.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371,
74 FR 11214, Mar. 16, 2009]
Sec. 5.59 Offenses for which revocation of credentials or endorsements
is mandatory.
An Administrative Law Judge enters an order revoking a respondent's
credential or endorsement when--
(a) A charge of misconduct for wrongful possession, use, sale, or
association with dangerous drugs is found proved. In those cases
involving marijuana, the Administrative Law Judge may enter an order
less than revocation when satisfied that the use, possession or
association, was the result of experimentation by the respondent and
that the respondent has submitted satisfactory evidence that he or she
is cured of such use and that the possession or association will not
recur.
(b) The respondent has been a user of, or addicted to the use of, a
dangerous drug, or has been convicted for a violation of the dangerous
drug laws, whether or not further court action is pending, and such
charge is found proved. A conviction becomes final when no issue of law
or fact determinative of the respondent's guilt remains to be decided.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371,
74 FR 11215, Mar. 16, 2009]
Sec. 5.61 Acts or offenses for which revocation of credentials is sought.
(a) An investigating officer seeks revocation of a respondent's
credential or endorsements when one of the following acts or offenses is
found proved:
(1) Assault with a dangerous weapon.
(2) Misconduct resulting in loss of life or serious injury.
(3) Rape or sexual molestation.
(4) Murder or attempted murder.
(5) Mutiny.
(6) Perversion.
(7) Sabotage.
(8) Smuggling of aliens.
(9) Incompetence.
(10) Interference with master, ship's officers, or government
officials in performance of official duties.
(11) Wrongful destruction of ship's property.
(b) An investigating officer may seek revocation of a respondent's
credential or endorsements when the circumstances of an act or offense
found proved or consideration of the respondent's prior record indicates
that permitting such person to serve under the credential or
endorsements would be clearly a threat to the safety of life or
property, or detrimental to good discipline.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371,
74 FR 11215, Mar. 16, 2009]
Sec. 5.65 Commandant's decisions in appeal or review cases.
The decisions of the Commandant in cases of appeal or review of
decisions of Administrative Law Judges are officially noticed and the
principles and policies enunciated therein are binding upon all
Administrative Law Judges, unless they are modified or rejected by
competent authority.
Sec. 5.67 Physician-patient privilege.
For the purpose of these proceedings, the physician-patient
privilege does not exist between a physician and a respondent.
Sec. 5.69 Evidence of criminal liability.
Evidence of criminal liability discovered during an investigation or
hearing conducted pursuant to this part will be referred to the Attorney
General's local representative or other appropriate law enforcement
authority having jurisdiction over the matter.
Sec. 5.71 Maritime labor disputes.
Under no circumstances will the Coast Guard exercise its authority
for the purpose of favoring any party to a
[[Page 64]]
maritime labor controversy. However, if the situation affecting the
safety of the vessel or persons on board is presented, the matter shall
be thoroughly investigated and when a violation of existing statutes or
regulations is indicated, appropriate action will be taken.
Subpart D_Investigations
Sec. 5.101 Conduct of investigations.
(a) Investigations may be initiated in any case in which it appears
that there are reasonable grounds to believe that the holder of a
credential or endorsement issued by the Coast Guard may have:
(1) Committed an act of incompetency, misconduct, or negligence
while acting under the authority of a credential or endorsement;
(2) Violated or failed to comply with subtitle II of title 46,
U.S.C., a regulation prescribed under this subtitle, or any other law or
regulations intended to promote marine safety or to protect the
navigable waters, while acting under the authority of a credential or
endorsement;
(3) Been convicted of a dangerous drug law violation, or has been a
user of, or addicted to the use of, a dangerous drug, so as to be
subject to the provisions of 46 U.S.C. 7704.
(b) In order to promote full disclosure and facilitate
determinations as to the cause of marine casualties, no admission made
by a person during an investigation under this part or part 4 of this
title may be used against that person in a proceeding under this part,
except for impeachment.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371,
74 FR 11215, Mar. 16, 2009]
Sec. 5.103 Powers of investigating officer.
During an investigation, the investigating officer may administer
oaths, issue subpoenas in accordance with subpart F of this title, and
require persons having knowledge of the subject matter of the
investigation to answer questions.
Sec. 5.105 Course of action available.
During an investigation, the investigating officer may take
appropriate action as follows:
(a) Issue complaint.
(b) Accept voluntary surrender of a credential or endorsement.
(c) Accept voluntary deposit of a credential or endorsement.
(d) Refer the case to others for further action. The investigating
officer may refer the case to the Commandant or to an Officer in Charge,
Marine Inspection, at any port for completion of administrative action
if an adequate basis for action is found and the person under
investigation and/or witnesses are not locally available.
(e) Give a written warning. The investigating officer may give a
warning to any person holding a credential or endorsement. Refusal to
accept the written warning will normally result in a withdrawal of the
warning and the preferral of charges. An unrejected warning will become
a part of the person's record.
(f) Close the case.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64
FR 28075, May 24, 1999; USCG-2006-24371, 74 FR 11215, Mar. 16, 2009]
Sec. 5.107 Service of complaints.
(a) When the investigating officer determines that an S&R proceeding
is appropriate, he or she shall prepare and serve a complaint in
accordance with 33 CFR part 20.
(b) When the investigating officer serves the complaint, he or she
shall also advise the respondent--
(1) Of the nature of S&R proceedings and their possible results;
(2) Of the right to be represented at the hearing by another person,
who may, but need not, be a lawyer;
(3) Of the right to obtain witnesses, records, and other evidence by
subpoena; and
(4) That failure or refusal to answer the complaint or to appear at
the time, date, and place specified for the hearing may result in a
finding of default, which will constitute an admission of the facts
alleged in the complaint and
[[Page 65]]
the waiver of his or her right to a hearing.
[USCG-1998-3472, 64 FR 28075, May 24, 1999]
Subpart E_Deposit or Surrender of Coast Guard Credential or Endorsement
Sec. 5.201 Voluntary deposits in event of mental or physical
incompetence.
(a) A holder may deposit a credential or endorsement with the Coast
Guard in any case where there is evidence of mental or physical
incompetence. A voluntary deposit is accepted on the basis of a written
agreement, the original of which will be given to the holder, which
specifies the conditions upon which the Coast Guard will return the
credential or endorsement to the holder.
(b) Where the mental or physical incompetence of a holder of a
credential or endorsement is caused by use of or addiction to dangerous
drugs, a voluntary deposit will only be accepted contingent on the
following circumstances:
(1) The holder is enrolled in a bona fide drug abuse rehabilitation
program;
(2) The holder's incompetence did not cause or contribute to a
marine casualty,
(3) The incompetence was reported to the Coast Guard by the
individual or any other person and was not discovered as a result of a
Federal, State or local government investigation; and
(4) The holder has not voluntarily deposited or surrendered a
credential or endorsement, or had a credential or endorsement revoked
for a drug related offense on a prior occasion.
(c) Where the mental or physical incompetence of a holder of a
credential or endorsement is caused by use or addiction to alcohol, a
voluntary deposit will only be accepted contingent on the following
circumstances:
(1) The holder is enrolled in a bona fide alcohol abuse
rehabilitation program;
(2) The holder's incompetence did not cause or contribute to a
marine casualty; and
(3) The incompetence was reported to the Coast Guard by the
individual or any other person and was not discovered as a result of a
Federal, State, or local government investigation.
(d) Where the conditions of paragraphs (b) and (c) of this section
are not met, the holder may only surrender such credential or
endorsement in accordance with Sec. 5.203.
[CGD 84-099, 52 FR 47535, Dec. 14, 1987, as amended by USCG-2006-24371,
74 FR 11215, Mar. 16, 2009]
Sec. 5.203 Voluntary surrender to avoid hearing.
(a) Any holder may surrender a credential or endorsement to the
Coast Guard in preference to appearing at a hearing.
(b) A holder voluntarily surrendering a credential or endorsement
shall sign a written statement containing the stipulations that:
(1) The surrender is made voluntarily in preference to appearing at
a hearing;
(2) All rights to the credential or endorsement surrendered are
permanently relinquished; and,
(3) Any rights with respect to a hearing are waived.
(c) A voluntary surrender of a credential or endorsement to an
investigating officer in preference to appearing at a hearing is not to
be accepted by an investigating officer unless the investigating officer
is convinced that the holder fully realizes the effect of such
surrender.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371,
74 FR 11215, Mar. 16, 2009]
Sec. 5.205 Return or issuance of a credential or endorsement.
(a) A person may request the return of a voluntarily deposited
credential or endorsement at any time, provided he or she can
demonstrate a satisfactory rehabilitation or cure of the condition which
caused the incompetence; has complied with any other conditions of the
written agreement executed at the time of deposit; and complies with the
physical and professional requirements for issuance of a credential or
endorsement.
(b) Where the voluntary deposit is based on incompetence due to drug
[[Page 66]]
abuse, the deposit agreement shall provide that the credential or
endorsement will not be returned until the person:
(1) Successfully completes a bona fide drug abuse rehabilitation
program;
(2) Demonstrates complete non-association with dangerous drugs for a
minimum of six months after completion of the rehabilitation program;
and
(3) Is actively participating in a bona fide drug abuse monitoring
program.
(c) Where the voluntary deposit is based on incompetence due to
alcohol abuse, the deposit agreement shall provide that the credential
or endorsement will not be returned until the person:
(1) Successfully completes a bona fide alcohol abuse rehabilitation
program; and
(2) Is actively participating in a bona fide alcohol abuse
monitoring program.
(d) The voluntary surrender of a credential or endorsement is the
equivalent of revocation of such papers. A holder who voluntarily
surrenders a credential or endorsement must comply with provisions of
Sec. Sec. 5.901 and 5.903 when applying for the issuance of a new
credential or endorsement.
[CGD 84-099, 52 FR 47535, Dec. 14, 1987, as amended by USCG-2006-24371,
74 FR 11215, Mar. 16, 2009]
Subpart F_Subpoenas
Sec. 5.301 Issuance of subpoenas.
(a) Every subpoena shall command the person to whom it is directed
to appear at a specified time and place to give testimony or to produce
books, papers, documents, or any other evidence, which shall be
described with such particularity as necessary to identify what is
desired.
(b) The investigating officer may issue subpoenas for the attendance
of witnesses or for the production of books, papers, documents, or any
other relevant evidence needed by the investigating officer or by the
respondent.
(c) After charges have been served upon the respondent the
Administrative Law Judge may, either on the Administrative Law Judge's
own motion or the motion of the investigating officer or respondent,
issue subpoenas for the attendance and the giving of testimony by
witnesses or for the production of books, papers, documents, or any
other relevant evidence.
Sec. 5.303 Service of subpoenas on behalf of the respondent.
Service of subpoenas issued on behalf of the respondent is the
responsibility of the respondent. However, if the Administrative Law
Judge finds that the respondent or respondent's counsel is physically
unable to effect the service, despite diligent and bona fide attempts to
do so, and if the Administrative Law Judge further finds that the
existing impediment to the service of the subpoena is peculiarly within
the authority of the Coast Guard to overcome, the Administrative Law
Judge will have the subpoena delivered to an investigating officer
participating in the case for the purpose of effecting service.
Sec. 5.305 Quashing a subpoena.
Any person subpoenaed to appear to produce evidence at a hearing may
request that the subpoena be quashed or modified using the procedures in
33 CFR 20.609.
[USCG-1998-3472, 64 FR 28075, May 24, 1999]
Sec. 5.307 Enforcement.
Upon application and for good cause shown, or upon its own
initiative, the Coast Guard will seek judicial enforcement of subpoenas
issued by investigating officers or Administrative Law Judges. This is
done by making application to the United States District Court, through
the office of the appropriate U.S. Attorney, to issue an order
compelling the attendance of, and/or giving of testimony by, witnesses,
or for the production of books, papers, documents, or any other relevant
evidence.
Sec. 5.309 Proof of service.
(a) The person serving a subpoena shall make a written statement
setting forth the date, time and manner of service and shall return such
report with or on a copy of the subpoena to the investigating officer or
Administrative Law Judge who issued it. In case of failure to make
service of a subpoena, the person assigned to serve
[[Page 67]]
such subpoena shall make a written statement setting forth the reasons
the subpoena was not served. The statement should be placed on the
subpoena or attached to it and returned to the investigating office or
Administrative Law Judge who issued the subpoena.
(b) When service of a subpoena is made by certified mail with return
receipt to be signed by the addressee only, the person mailing the
subpoena shall make a written statement on a copy of the subpoena or
attached to it, setting forth the date, time and location of the post
office where mailed, the post office number assigned thereto. If
delivered, the receipt requested shall be returned, by the person
receiving the receipt, to the investigating officer or Administrative
Law Judge who issued the subpoena. In case the subpoena is not
delivered, any information reported by the post office regarding non-
delivery shall be given to the investigating officer or Administrative
Law Judge who issued the subpoena.
Subpart G_Witness Fees
Sec. 5.401 Payment of witness fees and allowances.
(a) Duly subpoenaed witnesses, other than Federal government
employees, may apply for payment of their attendance as witnesses at an
investigation or hearing conducted pursuant to this part by submitting a
request for payment (Standard Form 1157) accompanied by any necessary
receipts.
(b) Fees and allowances will be paid as provided by 28 U.S.C. 1821,
except that a person called to testify as an expert witness may be paid
a higher fee to be fixed by the District Commander.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985; 50 FR 35228, Aug. 30, 1985]
Subpart H_Hearings
Sec. 5.501 General.
A hearing concerning the suspension or revocation of a merchant
mariner's credential or endorsement is a formal adjudication under the
Administrative Procedure Act (APA) (5 U.S.C. 551, et seq.). It is
presided over by, and conducted under the exclusive control of, an ALJ
in accordance with applicable requirements in the APA, the rules in this
part, and the rules of administrative practice at 33 CFR part 20. The
ALJ shall regulate and conduct the hearing so as to bring out all the
relevant and material facts and to ensure a fair and impartial hearing.
[USCG-1998-3472, 64 FR 28075, May 24, 1999, as amended by USCG-2006-
24371, 74 FR 11215, Mar. 16, 2009]
Sec. 5.521 Verification of credential or endorsement.
(a) The Administrative Law Judge shall require the respondent to
produce and present at the opening of the hearing, and on each day the
hearing is in session thereafter, all valid credentials issued by the
Coast Guard to the respondent. In the event that the respondent alleges
that credential has been lost, misplaced, stolen, destroyed, or is
otherwise beyond his ability to produce, the respondent shall execute a
lost document affidavit (Form CG-4363). The Administrative Law Judge
shall warn the respondent that a willful misstatement of any material
item in such affidavit is punishable as a violation of a Federal
criminal statute. (See 18 U.S.C. 1001).
(b) When a hearing is continued or delayed, the Administrative Law
Judge returns the credential to the respondent: unless a prima facie
case has been established that the respondent committed an act or
offense which shows that the respondent's service on a vessel would
constitute a definite danger to public health, interest or safety at
sea.
[CGD82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 97-057, 62 FR
51042, Sept. 30, 1997; USCG-2006-24371, 74 FR 11215, Mar. 16, 2009]
Sec. 5.567 Order.
(a) The Administrative Law Judge enters an order which recites the
disposition of the case. When the finding is not proved, the
Administrative Law Judge issues an order dismissing the proceeding with
or without prejudice to refile. When the finding is proved, the
Administrative Law Judge may order an admonition, suspension with or
without probation, or revocation.
(b) The order is directed against all credentials or endorsements,
except
[[Page 68]]
that in cases of negligence or professional incompetence, the order is
made applicable to specific credentials or endorsements. If the
Administrative Law Judge determines that the respondent is
professionally incompetent in the grade of the license, certificate or
document held, but is considered competent in a lower grade, the
credential or endorsement may be revoked and the issuance of one of a
lower grade ordered.
(c) An order must specify whether the credential or endorsement
affected is:
(1) Revoked;
(2) Suspended outright for a specified period after surrender;
(3) Suspended for a specified period, but placed on probation for a
specific period; or
(4) Suspended outright for a specified period, followed by a
specified period of suspension on probation.
(d) The order will normally state, that the credential or
endorsement is to be surrendered to the Coast Guard immediately, if the
order is one of revocation or includes a period of outright suspension.
In cases involving special circumstances, the order may provide for
surrender on a certain date.
(e) The time of any period of outright suspension ordered does not
commence until the credential or endorsement is surrendered to the Coast
Guard. The time of any period of suspension on probation begins at the
end of any period of outright suspension or the effective date of the
order if there is no outright suspension.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-1998-3472, 64
FR 28075, May 24, 1999; USCG-2006-24371, 74 FR 11215, Mar. 16, 2009]
Sec. 5.569 Selection of an appropriate order.
(a) This section addresses orders in a general manner. The selection
of an appropriate order is the responsibility of the Administrative Law
Judge, subject to appeal and review. The investigating officer and the
respondent may suggest an order and present argument in support of this
suggestion during the presentation of aggravating or mitigating
evidence.
(b) Except for acts or offenses for which revocation is mandatory,
factors which may affect the order include:
(1) Remedial actions which have been undertaken independently by the
respondent;
(2) Prior record of the respondent, considering the period of time
between prior acts and the act or offense for which presently charged is
relevant; and
(3) Evidence of mitigation or aggravation.
(c) After an order of revocation is entered, the respondent will be
given an opportunity to present relevant material on the record for
subsequent consideration by the special board convened in the event an
application is filed in accordance with subpart L of this part.
(d) Table 5.569 is for the information and guidance of
Administrative Law Judges and is intended to promote uniformity in
orders rendered. This table should not affect the fair and impartial
adjudication of each case on its individual facts and merits. The orders
are expressed by a range, in months of outright suspension, considered
appropriate for the particular act or offense prior to considering
matters in mitigation or aggravation. For instance, without considering
other factors, a period of two to four months outright suspension is
considered appropriate for failure to obey a master's written
instructions. An order within the range would not be considered
excessive. Mitigating or aggravating factors may make an order greater
or less than the given range appropriate. Orders for repeat offenders
will ordinarily be greater than those specified.
Table 5.569--Suggested Range of an Appropriate Order
------------------------------------------------------------------------
Type of offense Range of order (in months)
------------------------------------------------------------------------
Misconduct:
Failure to obey master's/ship 1-3.
officer's order.
Failure to comply with U.S. law or 1-3.
regulations.
Possession of intoxicating liquor.. 1-4.
Failure to obey master's written 2-4.
instruction.
Improper performance of duties 2-5.
related to vessel safety.
[[Page 69]]
Failure to join vessel (required 2-6.
crew member).
Violent acts against other persons 2-6.
(without injury).
Failure to perform duties related 3-6.
to vessel safety.
Theft.............................. 3-6.
Violent acts against other persons 4-Revocation.
(injury).
Use, possession, or sale of Revocation (Note: see Sec.
dangerous drugs. 5.59).
Negligence:
Negligently performing duties 2-6.
related to vessel navigation.
Negligently performing non- 1-3.
navigational duties related to
vessel safety.
Neglect of vessel navigation duties 3-6.
Neglect of non-navigational safety 2-4.
related duties.
Incompetence......................... The only proper order for a
charge of incompetence found
proved is revocation.
Violation of Regulation:
Refusal to take chemical drug test. 12-24
Refusal to take required alcohol 12-24
test.
Dangerous drugs (46 U.S.C. 7704)..... The only proper order for a
charge under 46 U.S.C. 7704
found proved is revocation.
------------------------------------------------------------------------
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by CGD 86-067, 53 FR
47079, Nov. 21, 1989; USCG-2000-7759, 66 FR 42967, Aug. 16, 2001]
Subpart I [Reserved]
Subpart J_Appeals
Sec. 5.701 Appeals in general.
A party may appeal the decision of an ALJ under the procedures in
subpart J of 33 CFR part 20. A party may appeal only the following
issues:
(a) Whether each finding of fact rests on substantial evidence.
(b) Whether each conclusion of law accords with applicable law,
precedent, and public policy.
(c) Whether the ALJ committed any abuses of discretion.
(d) The ALJ's denial of a motion for his or her disqualification.
[USCG-1998-3472, 64 FR 28075, May 24, 1999]
Sec. 5.707 Stay of effect of decision and order of Administrative
Law Judge on appeal to the Commandant; temporary credential
or endorsement.
(a) A person who has appealed from a decision suspending outright or
revoking a credential or endorsement, except for revocation resulting
from an offense enumerated in Sec. 5.59, may file a written request for
a temporary credential or endorsement. This request must be submitted to
the Administrative Law Judge who presided over the case, or to any
Officer in Charge, Marine Inspection for forwarding to the
Administrative Law Judge.
(b) Action on the request is taken by the ALJ unless the hearing
transcript has been forwarded to the Commandant, in which case, the
Commandant will make the final action.
(c) A determination as to the request will take into consideration
whether the service of the individual is compatible with the
requirements for safety at sea and consistent with applicable laws. If
one of the offenses enumerated in Sec. 5.61(a) has been found proved,
the continued service of the appellant will be presumed not compatible
with safety at sea, subject to rebuttal by the appellant. A temporary
credential or endorsement may be denied for that reason alone.
(d) All temporary credentials or endorsements will provide that they
expire not more than six months after issuance or upon service of the
Commandant's decision on appeal, whichever occurs first. If a temporary
credential or endorsement expires before the Commandant's decision is
rendered, it may be renewed, if authorized by the Commandant.
(e) If the request for a temporary credential or endorsement is
denied by the Administrative Law Judge, the individual may appeal the
denial, in writing, to the Commandant within 30 days after notification
of such denial. Any decision by the Commandant to deny is the final
agency action.
(f) Copies of the temporary credential issued become a part of the
record on appeal.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2004-18884,
69 FR 58342, Sept. 30, 2004; USCG-2006-24371, 74 FR 11215, Mar. 16,
2009]
[[Page 70]]
Sec. 5.713 Appeals to the National Transportation Safety Board.
(a) The rules of procedure for appeals to the National
Transportation Safety Board from decisions of the Commandant, U.S. Coast
Guard, affirming orders of suspension or revocation of credentials or
endorsements are in 49 CFR part 825. These rules give the party
adversely affected by the Commandant's decision 10 days after service
upon him or his attorney of the Commandant's decision to file a notice
of appeal with the Board.
(b) In all cases under this part which are appealed to the National
Transportation Safety Board under 49 CFR part 825, the Chief Counsel of
the Coast Guard is designated as the representative of the Commandant
for service of notices and appearances. Communications should be
addressed to Commandant (CG-094), U.S. Coast Guard, 2100 2nd St. SW.,
Stop 7121, Washington, DC 20593-7121.
(c) In cases before the National Transportation Safety Board the
Chief Counsel of the Coast Guard may be represented by others designated
of counsel.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371,
74 FR 11215, Mar. 16, 2009; USCG-2009-0702, 74 FR 49224, Sept. 25, 2009]
Sec. 5.715 Stay of effect of Decision of the Commandant on Appeal:
Temporary credential and/or endorsement pending appeal to National
Transportation Safety
Board.
(a) A Decision of the Commandant on Appeal affirming an order of
revocation, except a revocation resulting from an offense enumerated
under Sec. 5.59 or suspension that is not placed entirely on probation,
which is appealed to the National Transportation Safety Board, may be
stayed if, in the Commandant's opinion, the service of the appellant on
board a vessel at that time or for the indefinite future would be
compatible with the requirements of safety at sea and consistent with
applicable laws. If one of the offenses enumerated in Sec. 5.61(a) has
been found proved, the continued service of the appellant will be
presumed not compatible with safety at sea, subject to rebuttal by the
appellant; in cases of offenses under Sec. 5.61(a), a temporary
credential and/or endorsement may be denied for that reason alone.
(b) A stay of the effect of the Decision of the Commandant on Appeal
may be granted by the Commandant upon application by the respondent
filed with the notice served on the Commandant under 49 CFR 825.5(b).
(c) An Officer in Charge, Marine Inspection, on presentation of an
original stay order, issues a temporary credential and/or endorsement as
specified in the stay order. This credential and/or endorsement is
effective for not more than six months, renewable until such time as the
National Transportation Safety Board has completed its review.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2006-24371,
74 FR 11215, Mar. 16, 2009]
Subpart K_Review of Administrative Law Judge's Decisions in Cases Where
Charges Have Been Found Proved
Sec. 5.801 Commandant's review.
Any decision of an Administrative Law Judge, in which there has been
a finding of proved, may be called up for review by the Commandant
without procedural formality.
Sec. 5.803 Record for decision on review.
The transcript of the hearing, together with all papers and exhibits
filed, shall constitute the record for consideration and review.
[CGD 82-002, 50 FR 32184, Aug. 9, 1985, as amended by USCG-2004-18884,
69 FR 58342, Sept. 30, 2004]