[House Hearing, 117 Congress]
[From the U.S. Government Publishing Office]




 
   A REVIEW OF COAST GUARD EFFORTS TO IMPROVE SMALL PASSENGER VESSEL 
                                 SAFETY

=======================================================================

                                (117-44)

                             FIELD HEARING

                               BEFORE THE

                            SUBCOMMITTEE ON
                COAST GUARD AND MARITIME TRANSPORTATION

                                 OF THE

                              COMMITTEE ON
                   TRANSPORTATION AND INFRASTRUCTURE
                        HOUSE OF REPRESENTATIVES

                    ONE HUNDRED SEVENTEENTH CONGRESS

                             SECOND SESSION

                               __________

               MARCH 21, 2022 (Santa Barbara, California)

                               __________

                       Printed for the use of the
             Committee on Transportation and Infrastructure
             
             
             
  [GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]           
             
             


     Available online at: https://www.govinfo.gov/committee/house-
     transportation?path=/browsecommittee/chamber/house/committee/
                             transportation
                             
                             
                         ______                       


             U.S. GOVERNMENT PUBLISHING OFFICE 
48-364PDF           WASHINGTON : 2022 
                           
                             
                             
                             
                             

             COMMITTEE ON TRANSPORTATION AND INFRASTRUCTURE

  PETER A. DeFAZIO, Oregon, Chair
SAM GRAVES, Missouri                 ELEANOR HOLMES NORTON,
ERIC A. ``RICK'' CRAWFORD, Arkansas    District of Columbia
BOB GIBBS, Ohio                      EDDIE BERNICE JOHNSON, Texas
DANIEL WEBSTER, Florida              RICK LARSEN, Washington
THOMAS MASSIE, Kentucky              GRACE F. NAPOLITANO, California
SCOTT PERRY, Pennsylvania            STEVE COHEN, Tennessee
RODNEY DAVIS, Illinois               ALBIO SIRES, New Jersey
JOHN KATKO, New York                 JOHN GARAMENDI, California
BRIAN BABIN, Texas                   HENRY C. ``HANK'' JOHNSON, Jr., 
GARRET GRAVES, Louisiana             Georgia
DAVID ROUZER, North Carolina         ANDRE CARSON, Indiana
MIKE BOST, Illinois                  DINA TITUS, Nevada
RANDY K. WEBER, Sr., Texas           SEAN PATRICK MALONEY, New York
DOUG LaMALFA, California             JARED HUFFMAN, California
BRUCE WESTERMAN, Arkansas            JULIA BROWNLEY, California
BRIAN J. MAST, Florida               FREDERICA S. WILSON, Florida
MIKE GALLAGHER, Wisconsin            DONALD M. PAYNE, Jr., New Jersey
BRIAN K. FITZPATRICK, Pennsylvania   ALAN S. LOWENTHAL, California
JENNIFFER GONZALEZ-COLON,            MARK DeSAULNIER, California
  Puerto Rico                        STEPHEN F. LYNCH, Massachusetts
TROY BALDERSON, Ohio                 SALUD O. CARBAJAL, California
PETE STAUBER, Minnesota              ANTHONY G. BROWN, Maryland
TIM BURCHETT, Tennessee              TOM MALINOWSKI, New Jersey
DUSTY JOHNSON, South Dakota          GREG STANTON, Arizona
JEFFERSON VAN DREW, New Jersey       COLIN Z. ALLRED, Texas
MICHAEL GUEST, Mississippi           SHARICE DAVIDS, Kansas, Vice Chair
TROY E. NEHLS, Texas                 JESUS G. ``CHUY'' GARCIA, Illinois
NANCY MACE, South Carolina           ANTONIO DELGADO, New York
NICOLE MALLIOTAKIS, New York         CHRIS PAPPAS, New Hampshire
BETH VAN DUYNE, Texas                CONOR LAMB, Pennsylvania
CARLOS A. GIMENEZ, Florida           SETH MOULTON, Massachusetts
MICHELLE STEEL, California           JAKE AUCHINCLOSS, Massachusetts
Vacancy                              CAROLYN BOURDEAUX, Georgia
                                     KAIALI`I KAHELE, Hawaii
                                     MARILYN STRICKLAND, Washington
                                     NIKEMA WILLIAMS, Georgia
                                     MARIE NEWMAN, Illinois
                                     TROY A. CARTER, Louisiana
                                ------                                7

        Subcommittee on Coast Guard and Maritime Transportation

                  SALUD O. CARBAJAL, California, Chair
RICK LARSEN, Washington              BOB GIBBS, Ohio
JAKE AUCHINCLOSS, Massachusetts,     RANDY K. WEBER, Sr., Texas
  Vice Chair                         MIKE GALLAGHER, Wisconsin
SEAN PATRICK MALONEY, New York       JEFFERSON VAN DREW, New Jersey
ALAN S. LOWENTHAL, California        NICOLE MALLIOTAKIS, New York
ANTHONY G. BROWN, Maryland           Vacancy
CHRIS PAPPAS, New Hampshire          SAM GRAVES, Missouri (Ex Officio)
PETER A. DeFAZIO, Oregon (Ex 
    Officio)
    



                                CONTENTS

                                                                   Page

Summary of Subject Matter and U.S. Coast Guard Chart: ``Fire 
  Safety SPV IR--2020 CGAA Crosswalk''...........................     v

                 STATEMENTS OF MEMBERS OF THE COMMITTEE

Hon. Salud O. Carbajal, a Representative in Congress from the 
  State of California, and Chair, Subcommittee on Coast Guard and 
  Maritime Transportation, opening statement.....................     1
    Prepared statement...........................................     3
Hon. Bob Gibbs, a Representative in Congress from the State of 
  Ohio, and Ranking Member, Subcommittee on Coast Guard and 
  Maritime Transportation, opening statement \\..........     4
Hon. Peter A. DeFazio, a Representative in Congress from the 
  State of Oregon, and Chair, Committee on Transportation and 
  Infrastructure, prepared statement.............................    45

                               WITNESSES

Rear Admiral John W. Mauger, Assistant Commandant for Prevention 
  Policy, U.S. Coast Guard, oral statement.......................     5
    Prepared statement...........................................     7
Hon. Jennifer Homendy, Chair, National Transportation Safety 
  Board, oral statement..........................................     9
    Prepared statement...........................................    11

                                APPENDIX

Questions from Hon. Salud O. Carbajal to Rear Admiral John W. 
  Mauger, Assistant Commandant for Prevention Policy, U.S. Coast 
  Guard..........................................................    47
Questions from Hon. Salud O. Carbajal to Hon. Jennifer Homendy, 
  Chair, National Transportation Safety Board....................    55

----------
\\ Hon. Bob Gibbs did not submit a prepared statement.

[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]


                             March 16, 2022

    SUMMARY OF SUBJECT MATTER

    TO:      LMembers, Subcommittee on Coast Guard and Maritime 
Transportation
    FROM:  LStaff, Subcommittee on Coast Guard and Maritime 
Transportation
    RE:      LHearing on ``A Review of Coast Guard Efforts to 
Improve Small Passenger Vessel Safety''
_______________________________________________________________________


                                PURPOSE

    The Subcommittee on Coast Guard and Maritime Transportation 
will meet on Monday, March 21, 2022, at 10:00 am PT at the City 
of Santa Barbara Council Chambers and virtually via Zoom to 
explore small passenger vessel safety in light of recent 
maritime casualties and to examine the effectiveness and 
implementation status of recent safety legislation. The 
Subcommittee will hear from the United States Coast Guard 
(Coast Guard) and the National Transportation Safety Board 
(NTSB).

                               BACKGROUND

    The passenger vessel industry contributes substantially to 
the economy as millions of passengers embark on such vessels 
each year.\1\ The safe carriage of passengers and operation of 
these vessels is critical to the maritime sector. Passenger 
vessels include ferries, dive boats, tour boats, overnight 
boats, and dinner boats, among others, that operate on domestic 
voyages and are typically classified by tonnage and number of 
passengers carried. These factors determine which Coast Guard 
regulations apply.\2\ Vessels classified under 100 gross tons 
that carry 150 or fewer passengers or that have overnight 
accommodations for 49 or fewer passengers are subject to the 
safety regulations in subchapter T of Title 46 Code of Federal 
Regulations (CFR).\3\ Subchapter T vessels are small passenger 
vessels defined under section 2101(45) of title 46, United 
States Code. Such vessels are required by law to be inspected 
if they carry more than six passengers, at least one of whom is 
a passenger for hire.\4\ Passenger vessels that do not require 
inspection are uninspected passenger vessels (UPVs) as defined 
in section 2101(51) of Title 46, United States Code. Such 
vessels carry less than 6 passengers for hire, not including 
the Master and paid crew. These are also referred to as ``six-
packs.'' SPV and UPVs are chartered vessels.
---------------------------------------------------------------------------
    \1\ Bureau of Transportation Statistics. Maritime Trade and 
Transportation by the Numbers. https://www.bts.gov/archive/
publications/by_the_numbers/maritime_trade_and_
transportation/index
    \2\ 46 CFR Chapter I.
    \3\ 46 CFR Subchapter T.
    \4\ Coast Guard. COMDTPUB P16700.4 NIVC 7-94. Navigation and Vessel 
Inspection Circular No. 7-94: Guidance on the Passenger Vessel Safety 
Act of 1993. September 30, 1994. https://www.dco.uscg.mil/Portals/9/
DCO%20Documents/5p/5ps/NVIC/1994/NVIC%207-94%20Full%20Version.pdf.
---------------------------------------------------------------------------
    The Coast Guard oversees the use of chartered vessels to 
ensure compliance with the appropriate passenger vessel 
regulations. Bareboat chartered vessels are passenger vessels 
that are chartered or rented to a person to oversee all aspects 
of the vessel's operation. In this case, the owner typically 
does not provide the crew (i.e. a Master with an appropriate 
license) but these vessels must be inspected by the Coast Guard 
if carrying more than 12 passengers.\5\ Chartered vessels are 
required to be inspected when the owner provides crew for the 
vessel to the customer and when they carry more than 6 
passengers.\6\ Since bareboat charters allow more passengers 
before being required to undergo inspection, they tend to have 
more requirements than other chartered vessels. To be 
classified as a bareboat charter the following conditions must 
be met: the owner shall not provide a master or crew; food, 
fuel and stores must be provided by the charterer; port changes 
and pilot fees paid by the charterer; and charterer has 
complete command, control, and possession of the vessel.\7\
---------------------------------------------------------------------------
    \5\ Id.
    \6\ Id.
    \7\ Id.
---------------------------------------------------------------------------
    Larger passenger vessels are typically subject to safety 
regulation under either subchapters K or H. Passenger vessels 
classified under 100 gross tons with more than 150 passengers 
and/or more than 49 overnight passengers fall under subchapter 
K regulations.\8\ Passenger vessels over 100 gross tons fall 
under subchapter H regulations.\9\ These regulations do not 
apply to foreign flagged vessels, like cruise vessels, whose 
country is a party to the Safety of Life At Sea (SOLAS) 
convention. Oversight of passenger vessels in the United States 
falls under the responsibility of the United States Coast Guard 
with the assistance of other U.S. agencies.\10\ The Coast Guard 
promulgates regulations and enforces them through regular 
inspections.
---------------------------------------------------------------------------
    \8\ 46 CFR Subchapter K.
    \9\ 46 CFR Subchapter H.
    \10\ Depending upon the vessel and requirement, this can include 
the Environmental Protection Agency, and Customs and Border Protection.
---------------------------------------------------------------------------

MARINE INSPECTIONS

    The Coast Guard's marine inspection program is integral to 
ensuring safety of passengers and crew onboard all vessels, 
including small passenger vessels. For decades, the Coast Guard 
has faced challenges maintaining an adequate staff of 
experienced marine safety personnel. According to the Coast 
Guard's staffing model, there was a shortage of over 400 marine 
inspectors in 2021.\11\ In January 2022, the Government 
Accountability Office (GAO) reported on steps taken by the 
Coast Guard to address its marine inspection workforce needs 
and found that the Coast Guard has developed action plans and 
implemented initiatives addressing marine inspection workforce 
gaps in four key areas--training and skills, technology, 
workforce staffing levels, and workforce structure.\12\ 
However, GAO also found that some of these initiatives face 
implementation challenges and the tools to assess staffing 
levels and skills have limitations.\13\ As a result, GAO has 
recommended ways to better predict--and meet--the Coast Guard's 
marine inspector needs through the use of better data 
collection, development of performance measures with targets, 
and implementation and assessment of a workforce improvement 
plan.\14\
---------------------------------------------------------------------------
    \11\ GAO. Coast Guard: Enhancements Needed to Strengthen Marine 
Inspection Workforce Planning Efforts. January 12, 2022. GAO-22-104465. 
https://www.gao.gov/products/gao-22-104465.
    \12\ Id.
    \13\ Id.
    \14\ Id.
---------------------------------------------------------------------------

MV CONCEPTION

    Early in the morning on September 2, 2019, an overnight 
dive boat, the MV Conception, caught fire off the coast of 
Santa Cruz Island, California, and sank, resulting in the 
deaths of 33 passengers and one crew member.\15\ The Conception 
was a small passenger vessel classified under subchapter T 
requirements but at the time was exempt from certain subchapter 
T requirements.
---------------------------------------------------------------------------
    \15\ Gregory Wallace, Rene Marsh. CNN. NTSB preliminary report says 
Conception dive boat did not have crewmember on roving overnight watch 
as required. September 12, 2019. https://www.cnn.com/2019/09/12/
politics/ntsb-report-conception-dive-boat-overnight-watch/index.html
---------------------------------------------------------------------------
    The regulations under this subchapter were significantly 
updated in 1996, and vessels constructed after 1996 are 
required to comply with all the current regulations. When 
referring to the post-1996 regulations, Coast Guard inspectors 
use the term ``New Subchapter T'' or, more simply, ``New T'' 
regulations, and when referring to the pre-1996 regulations, 
they use the term ``Old Subchapter T'' or ``Old T.'' Exemptions 
or ``grandfathering'' of certain passenger vessels from 
subchapter T requirements under title 46 CFR has occurred 
generally to allow older vessels to operate while gradually 
applying new regulations prospectively to newly built vessels. 
Passenger vessels with a keel laid date before March 10, 1996, 
are inspected under the ``Old T'' requirements, not the ``new 
T'' requirements published after 1994.\16\ Vessels constructed 
before 1996 are required to comply with portions of the current 
regulations, including those pertaining to inspections and 
certification, vessel control and other systems and equipment, 
and operations but exempt from other requirements of the 
updated subchapter T requirements.\17\ For regulations relating 
to construction and arrangement, lifesaving equipment, some 
fire protection equipment, machinery installation, and 
electrical installation, vessels that existed prior to 1996 are 
subject to those portions of Subchapter T regulations that were 
in force at the time the vessel was built, with certain 
exceptions.\18\ As a vessel built in 1981, the Conception was 
considered an existing vessel and therefore subject to portions 
of both the pre- and post-1996 regulations. At the time of the 
casualty, the Conception complied with Coast Guard requirements 
and had passed its recent inspection.\19\
---------------------------------------------------------------------------
    \16\ 46 CFR Subchapter T Sec.  175.118
    \17\ Id.
    \18\ Id.
    \19\ Information obtained directly from the U.S. Coast Guard.
---------------------------------------------------------------------------
    The NTSB report found that smoke alarms on the vessel only 
sounded locally and were not interconnected throughout the 
vessel. As a result, the crew above deck were not alerted.\20\ 
All 33 passengers and one crewmember died of smoke inhalation 
after they were trapped in the berthing area while a fire raged 
on the deck above.\21\ Both exits from the berthing area led to 
the fire and smoke-filled enclosed area above.\22\ The NTSB 
also found the absence of a required roving patrol on the 
Conception likely delayed the initial detection of the fire, 
allowed for its growth, and precluded firefighting and 
evacuation efforts which directly led to the high number of 
fatalities in the accident.\23\ As a result, the NTSB called on 
the Coast Guard to develop and implement an inspection program 
to verify that roving patrols are conducted--as required--for 
the safety of sleeping passengers and crew.\24\ The Coast Guard 
Marine Board Investigation's examination of the casualty is 
still underway and has been delayed due to the ongoing criminal 
investigation.\25\
---------------------------------------------------------------------------
    \20\ National Transportation Safety Board. Fire Aboard Small 
Passenger Vessel Conception. October 20, 2020. https://www.ntsb.gov/
investigations/Pages/DCA19MM047.aspx
    \21\ Id.
    \22\ Id.
    \23\ Id.
    \24\ Id.
    \25\ Information obtained from the U.S. Coast Guard.
---------------------------------------------------------------------------
    On January 1, 2021, Congress passed section 8441, 
Regulations for covered small passenger vessels, of the Elijah 
E. Cummings Coast Guard Authorization Act of 2020, P.L. 116-
283, which included new requirements for covered small 
passenger vessels--vessels that have overnight accommodations 
or cross the U.S. boundary line.\26\ These new requirements for 
covered passenger vessels include interconnected fire detection 
equipment and additional firefighting equipment, monitoring 
equipment to ensure wakefulness of the night watch, improved 
marine firefighting training programs, increased fire detection 
and suppression systems in unmanned areas, no less than two 
means of escape for all general areas available to passengers, 
consideration of the handling of flammable items such as 
rechargeable batteries, providing of egress plans and drills to 
passengers onboard, and integration of these requirements into 
safety management systems (SMS).\27\
---------------------------------------------------------------------------
    \26\ William A. Thornberry National Defense Authorization Act of 
2020, P.L. 116-283, https://www.congress.gov/116/plaws/publ283/PLAW-
116publ283.pdf
    \27\ Id. at page 1356.
---------------------------------------------------------------------------
    Marine SMSs are programs designed to identify hazards and 
reduce risk to ensure safety at sea, prevent injury or loss of 
life, and avoid damage to the environment and vessels. An SMS 
ensures that proper procedures are in place aboard a vessel 
during normal operations or in emergencies. Processes for 
conducting regular maintenance on the vessel and its equipment 
also are included. An SMS is also required to include an 
internal audit process, conducted by the vessel owner, to 
identify when the SMS is not followed and a system of 
corrective actions to address deficiencies.\28\ Prior to 
enactment of the Small Passenger Vessel Safety Act, SMSs were 
not required for small passenger vessels. As a result of the 
new law, the Coast Guard issued an advanced notice of proposed 
rulemaking which would require SMSs for small passenger 
vessels.\29\
---------------------------------------------------------------------------
    \28\ 86 FR 3899. https://www.federalregister.gov/documents/2021/01/
15/2021-01058/safety-management-systems-for-domestic-passenger-vessels.
    \29\ Id.
---------------------------------------------------------------------------
    In 2021, the NTSB released a ``Most Wanted List'' that 
identified recommended safety improvements across all modes of 
transportation. The ``Most Wanted List'' includes the below 
recommendations for small passenger vessels:

        ``Fires pose a catastrophic threat to passenger vessels, as we 
        saw in the Conception dive boat accident off the coast of 
        California in which 34 people died. Our investigations have 
        revealed that crew training and safety regulations for these 
        vessels vary, increasing the risk to passengers and crew. To 
        prevent needless deaths and mitigate injuries, passenger 
        vessels should have safety management systems, use voyage data 
        recorders, and provide adequate fire-detection and 
        extinguishing systems and enhanced emergency egress options. 
        Operators need to ensure their crews have enhanced training 
        that includes fire drills and firefighting techniques. We also 
        need to see more roving patrols on our waterways to ensure 
        passengers are being transported safely.'' \30\
---------------------------------------------------------------------------
    \30\ NTSB Most Wanted List: Improve Passenger and Fishing Vessel 
Safety. https://www.ntsb.gov/Advocacy/mwl/Pages/mwl-21-22/mwl-ms-
01.aspx.

    Many of these recommendations come as a result of prior 
NTSB investigations including the Conception investigation and 
closely align with the requirements under the Section 8441. On 
December 27, 2021, the Coast Guard issued an interim rule on 
the statutorily mandated requirements for fire safety on 
covered small passenger vessels.\31\ The Coast Guard has 
determined that the most appropriate way to meet the intent of 
the statute was to ensure that ``covered small passenger 
vessels'' were required to meet ``New T'' in the 
rulemaking.\32\ This interim rule is currently open to public 
comments until June 27, 2022.\33\
---------------------------------------------------------------------------
    \31\ 86 FR 73160 https://www.federalregister.gov/documents/2021/12/
27/2021-27549/fire-safety-of-small-passenger-vessels.
    \32\ Id.
    \33\ Id.
---------------------------------------------------------------------------

AMPHIBIOUS DUKW-TYPE VESSELS

    Amphibious DUKW-Type Vessels or ``duck'' boats are another 
type of passenger vessel of which the NTSB has identified 
safety recommendations as part of their ``Most Wanted List.'' 
On July 19, 2018, the Stretch Duck 7, a 33-foot-long, modified 
World War II-era duck boat passenger vessel, sank during a 
storm with heavy winds that moved rapidly on Table Rock Lake 
near Branson, Missouri. Of the 31 people aboard, 17 died.\34\ 
The NTSB determined the continued operation of waterborne tours 
after a severe thunderstorm warning was issued for Table Rock 
Lake, exposed the vessel to a derecho, resulting in flooding 
through a non-weathertight air intake hatch on the bow. 
Contributing to the sinking was the failure to maintain 
sufficient reserve buoyancy, an issue with all amphibious 
vessels.\35\ Contributing to the loss of life was the lack of 
emergency egress due to fixed canopies which impeded passenger 
escape.\36\ The Coast Guard investigation into the casualty is 
still underway and delayed due to the ongoing criminal case. 
The Coast Guard is in the process of revising the Navigation 
and Vessel Inspection Circular (NVIC) NO. 1-01 which provides 
guidance for duck boat operators and was last updated in 2000. 
In 2020, the Coast Guard released voluntary recommendations 
that duck boat owners remove all canopies from the vessels.\37\ 
No new mandatory requirements or rules for duck boats have been 
released by the Coast Guard since the NVIC 1-01 update in 
2000.\38\
---------------------------------------------------------------------------
    \34\ NTSB. Sinking of Amphibious Passenger Vessel Stretch Duck. 
https://www.ntsb.gov/investigations/Pages/DCA18MM028.aspx.
    \35\ Id.
    \36\ Id.
    \37\ Work Boat. MSIB: Recommendation for DUKW Passenger Vessel 
Canopy Removal. April 20, 2020. https://www.workboat.com/passenger-
vessels/coast-guard-recommends-duck-boats-remove-canopies
    \38\ Id.
---------------------------------------------------------------------------

                              WITNESS LIST

     LRear Admiral John W. Mauger, Assistant Commandant 
for Prevention Policy, United States Coast Guard
     LThe Honorable Jennifer Homendy, Chair, National 
Transportation Safety Board

                                                         Attachment
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]


                 Fire Safety SPV IR--2020 CGAA Crosswalk
------------------------------------------------------------------------
                                          Implementation Timeline, Notes
                                            & Regulatory Cites (Covered
                                              Vessels--Subchapter T/K
   2020 CGAA Section 8441(a)(n)(3)(A)       vessels on oceans/coastwise
                                                route, or overnight
                                          accommodations, 1130 vessels)
------------------------------------------------------------------------
i. Marine firefighting training programs  Within 90 days--03/28/2022
                                          Adds required crew training in
                                           the use and location of
                                           firefighting equipment,
                                           general firefighting
                                           knowledge, and training
                                           aspects. ``Monthly'' and
                                           ``new crew member'' training
                                           requirements are added. (46
                                           CFR 122.420(b) & 185.420(b)).
------------------------------------------------------------------------
ii. Interconnected fire detection         1 year--12/27/2022
 equipment and additional firefighting    Requires interconnected fire
 equipment.                                detection systems in all
                                           enclosed areas including
                                           accommodation spaces &
                                           machinery spaces. (46 CFR
                                           118.400(d)) & 181.405(c)).
------------------------------------------------------------------------
iii. Monitoring devices to ensure         Submit plan to OCMI within 90
 wakefulness of night watch (overnight     days--03/28/2022
 accommodations).                         Requires a monitoring device
                                           for the night watch that will
                                           ensure the wakefulness of
                                           crew, it must remain operable
                                           during the nighttime watch,
                                           and be arranged to ensure
                                           proper coverage of onboard
                                           spaces. (46 CFR 122.410(b) &
                                           185.410(b)).
------------------------------------------------------------------------
iv. Increased fire detection and          1 year--12/27/2022
 suppression systems.                     Required to be followed
                                           regardless of keel laid date.
                                           (46 CFR 118.500 & 181.500).
------------------------------------------------------------------------
v. No less than two independent avenues   2 years--12/27/2023
 of escape for all general areas          Amends the requirement for
 accessible to passengers (overnight       vessels with overnight
 passenger accommodations).                accommodations for passengers
                                           to meet two means of escape
                                           requirements, regardless of
                                           keel laid date. Adds
                                           requirements to ensure the
                                           two means of escape are
                                           unobstructed and the door,
                                           hatch, or scuttle is not
                                           located directly above, or
                                           dependent, on a berth. (46
                                           CFR 116.115(c), 116.500(o),
                                           177.115(c), 46 CFR
                                           177.500(n)).
------------------------------------------------------------------------
vi. Handling, storage, and operation of   Within 90 days--03/28/2022
 flammable items (lithium-ion batteries). Adds ``flammable items not
                                           covered by the regulations of
                                           this subchapter, such as
                                           rechargeable batteries,
                                           including lithium ion
                                           batteries utilized for
                                           commercial purposes, must be
                                           handled, stored, and operated
                                           in a way that mitigates the
                                           risk of hazardous
                                           conditions.'' (46 CFR 122.364
                                           &185.364).
------------------------------------------------------------------------
vii. Requirements for passenger           Within 90 days--03/38/2022
 emergency egress drills (overnight       Requires the master to conduct
 accommodations).                          passenger emergency egress
                                           drills prior to excursions;
                                           defines an excursion as
                                           anytime vessel gets underway
                                           or passengers remain
                                           overnight. Note:
                                           recordkeeping portions
                                           delayed pending review by
                                           OMB. (46 CFR 122.507 &
                                           185.507).
------------------------------------------------------------------------
viii. Provide all passengers a copy of    Within 90 days--03/38/2022
 emergency egress plan (overnight         Requires passenger safety bill
 accommodations).                          if the vessel has overnight
                                           accommodations for
                                           passengers, regardless of
                                           size. Note: recordkeeping
                                           portions delayed pending
                                           review by OMB. (46 CFR
                                           122.515 & 185.515).
------------------------------------------------------------------------
[Editor's note: This chart has been reformatted from its original
  version to fit this document. References to the date ``03/38/2022''
  are as they appear in the original chart.]



   A REVIEW OF COAST GUARD EFFORTS TO IMPROVE SMALL PASSENGER VESSEL 
                                 SAFETY

                              ----------                              


                         MONDAY, MARCH 21, 2022

                  House of Representatives,
                    Subcommittee on Coast Guard and
                           Maritime Transportation,
            Committee on Transportation and Infrastructure,
                                                    Washington, DC.
    The subcommittee met, pursuant to call, at 1:03 p.m., Santa 
Barbara City Hall, Council Chambers, 735 Anacapa St., Santa 
Barbara, California, and via Zoom, Hon. Salud O. Carbajal 
(Chair of the subcommittee) presiding.
    Members present in person: Mr. Carbajal and Mrs. 
Napolitano.
    Members present remotely: Mr. Larsen of Washington, Mr. 
Lowenthal, Mr. Gibbs, and Mr. Weber of Texas.
    Mr. Carbajal. Welcome, everyone. The subcommittee will come 
to order.
    I ask unanimous consent that the chair be authorized to 
declare a recess at any time during today's hearing.
    Without objection, so ordered.
    I also ask unanimous consent that Members not on the 
subcommittee be permitted to sit with the subcommittee at 
today's hearing and ask questions.
    Without objection, so ordered.
    As a reminder, please keep your microphones muted unless 
speaking. Should I hear any inadvertent background noise, I 
will request that the Member please mute their microphone.
    And to insert a document into the record, please have your 
staff email it to [email protected].
    Welcome, everyone. Good morning.
    And welcome again to today's important hearing on small 
passenger vessel safety.
    Before we get started, I want to take a minute to 
acknowledge the passing of my colleague, the Dean of the House 
and a member of this subcommittee, Congressman Don Young. He 
was a fierce advocate for the people of Alaska and over his 25 
terms, that is 50 years, serving in Congress, was a former 
chair of the Transportation and Infrastructure Committee--that 
is the overall governing committee of the subcommittee that I 
am a part of and that this hearing is for--and pushed for 
investments in our Nation's infrastructure. My thoughts are 
with his family.
    Moving on to today's hearing, it is taking place in my 
district, beautiful Santa Barbara, California. The location is 
also unfortunately significant for another reason. Twenty-seven 
miles south of here on September 2, 2019, 34 individuals 
tragically lost their lives. On that date the dive boat 
Conception caught fire while all the passengers were asleep. 
Because there was no interconnected fire alarm system on the 
vessel, the passengers and crew were not alerted to the fire as 
smoke filled the lower levels. A roving night watch was 
required by law to be awake. And if they were, they might have 
been able to alert the passengers. Unfortunately, that did not 
happen.
    I share my deepest condolences to the victims' families, 
some of whom have joined us here today. I cannot begin to 
understand the sorrow these families have gone through. Going 
forward, we must ensure that safety measures are adopted so 
that no other family must endure this pain.
    I hope Admiral Mauger and Chair Homendy can take the time 
to visit with the families who are in attendance today to hear 
their thoughts and worries, and also so that progress to make 
our waters safer can be made together.
    At this moment, I would like to ask for a moment of silence 
in honor of each of the 34 individuals who lost their lives.
    [A moment of silence is observed.]
    Mr. Carbajal. Today, I hope to hear how the Coast Guard has 
taken steps to address National Transportation Safety Board 
recommendations and implement regulations required in my bill, 
the Small Passenger Vessel Safety Act, which passed into law at 
the end of the 116th Congress as part of the Elijah E. Cummings 
Coast Guard Authorization Act of 2020.
    We need to know that the Coast Guard-inspected vessels will 
be as safe as possible for passengers, as well as crewmembers. 
At the time of the tragedy, the Conception was exempt from 
certain requirements that apply to newer vessels and was in 
compliance with those that did apply. Updated laws and 
regulations must be immediately implemented when deficiencies 
are identified.
    It is the responsibility of Congress to prioritize the 
lives and public safety of crews and passengers. This hearing 
is needed to evaluate the oversight of small passenger vessels 
and identify what is working and what needs improvement.
    The United States has a history of taking a reactionary 
approach to safety, creating maritime safety laws after 
tragedies, rather than preemptively strengthening safety 
requirements for a more robust industry, one that is 
effectively regulated and inspected.
    I share the NTSB's concerns that recent accidents on small 
passenger vessels demonstrate that poor preventative 
maintenance, lax fire prevention, and inadequate crew training 
all continue to be contributing factors leading to disasters. 
The Board also highlights the importance of safety management 
systems on all types of vessels to prepare crews for emergency 
scenarios. These important recommendations were policies that I 
included in my Small Passenger Vessel Safety Act, and recently 
the Coast Guard released new interim rules for overnight 
passenger vessels.
    These are important steps towards full implementation of 
improved safety standards, but I share concerns in the Coast 
Guard's response. It took nearly 1 year for the interim rules 
to be released after passage of the act, even though the 
National Transportation Safety Board provided these 
recommendations years before the Conception's tragedy.
    It took congressional action to force the Coast Guard's 
hand. This is of great concern to me. I expect the final rule 
to come out promptly and to address every requirement in my 
legislation, including requirements to document and monitor the 
training certifications of all crewmembers.
    Going forward, there is more work to be done, not just by 
the Coast Guard and NTSB, but by Congress as well.
    Included in the upcoming House Coast Guard Reauthorization 
Act is my other legislation, the Small Passenger Vessel 
Liability Fairness Act, which will update antiquated liability 
laws so that the victims and their families receive just 
compensation in the wake of such tragedies. No amount of 
compensation can bring back a loved one or make the pain go 
away, but it is necessary to hold the responsible parties 
accountable.
    We have also included a requirement that the Coast Guard 
respond to all NTSB recommendations, which I hope will help 
improve the working relationship and make the Coast Guard act 
quicker.
    Oversight of safety measures is vital to protecting lives 
and property. It is incumbent on the industry in conjunction 
with the Coast Guard to provide a safe, reliable experience for 
passengers. It is also the job of this committee to conduct 
proper oversight so that everyone who steps onto a vessel 
reaches the end of their voyage safely.
    [Mr. Carbajal's prepared statement follows:]

                                 
   Prepared Statement of Hon. Salud O. Carbajal, a Representative in 
Congress from the State of California, and Chair, Subcommittee on Coast 
                   Guard and Maritime Transportation
    Good morning, and welcome to today's important hearing on small 
passenger vessel safety. This hearing is taking place in my district, 
beautiful Santa Barbara, California. But the location is unfortunately 
significant for another reason. Twenty-seven miles south of here, on 
September 2, 2019, 34 individuals tragically lost their lives. On that 
date, the dive boat Conception caught fire while all the passengers 
were asleep. Because there was not an interconnected fire alarm system 
on the vessel, the passengers and crew were not alerted to the fire as 
smoke filled the lower levels. A roving night watch was required by law 
to be awake and if they were, they might have been able to alert the 
passengers. Unfortunately, that did not happen.
    I share my deepest condolences to the victims' families, some of 
whom have joined us here today. I cannot begin to understand the sorrow 
these families have gone through. Going forward, we must ensure that 
safety measures are adopted so that no other family must endure this 
pain. I hope Admiral Mauger and Chair Homendy take the time to visit 
with the families who are in attendance today, to hear their thoughts 
and worries, so that progress to make our waters safer can be made 
together.
    Today I hope to hear how the Coast Guard has taken steps to address 
National Transportation Safety Board recommendations and implement 
regulations required in my bill, the Small Passenger Vessel Safety Act, 
which passed into law at the end of the 116th Congress as part of the 
Elijah E. Cummings Coast Guard Authorization Act of 2020.
    We need to know that Coast Guard-inspected vessels will be as safe 
as possible for passengers as well as crew members. At the time of the 
tragedy, the Conception was exempt from certain requirements that apply 
to newer vessels and was in compliance with those that did apply. 
Updated laws and regulations must be immediately implemented when 
deficiencies are identified.
    It is the responsibility of Congress to prioritize the lives and 
safety of crew and passengers. This hearing is needed to evaluate the 
oversight of small passenger vessels, and identify what is working, and 
what needs improvement.
    The United States has a history of taking a reactionary approach to 
safety; creating maritime safety laws after tragedy rather than 
preemptively strengthening safety requirements for a more robust 
industry, one that is effectively regulated and inspected.
    I share the National Transportation Safety Board's concerns: recent 
accidents on small passenger vessels demonstrate that poor preventative 
maintenance, lax fire prevention and inadequate crew training all 
continue to be contributing factors leading to disaster. The Board also 
highlights the importance of Safety Management Systems on all types of 
vessels to prepare crews for emergency scenarios. These important 
recommendations were policies that I included in my Small Passenger 
Vessel Safety Act, and recently the Coast Guard released new interim 
rules for overnight passenger vessels. These are important steps toward 
full implementation of improved safety standards. But I share concerns 
in the Coast Guard response. It took nearly a year for the interim 
rules to be released after passage of the Act even though the National 
Transportation Safety Board provided these recommendations years before 
the Conception tragedy. It took congressional action to force the Coast 
Guard's hand. This is of great concern to me. I expect the final rule 
to come out promptly, and to address every requirement in my 
legislation, including a requirement to document and monitor the 
training certifications of all crew members.
    Going forward, there's more work to be done. Not just by the Coast 
Guard and NTSB, but by Congress as well. Included in the House Coast 
Guard Authorization Act is my legislation, the Small Passenger Vessel 
Liability Fairness Act, which will update antiquated liability laws so 
that victims and their families receive just compensation in the wake 
of tragedy. No amount of compensation can bring back a loved one or 
make the pain go away, but it is necessary to hold the responsible 
parties accountable. We've also included a requirement that the Coast 
Guard respond to all NTSB recommendations which I hope will help 
improve the working relationship and make Coast Guard act quicker.
    Oversight of safety measures is vital to protecting lives and 
property. It is incumbent on the industry, in conjunction with the 
Coast Guard, to provide a safe and reliable experience for passengers. 
It is the job of this committee to conduct proper oversight so that 
everyone who steps on a vessel reaches the end of their voyage safely.

    Mr. Carbajal. I now call on the ranking member of the 
subcommittee, Mr. Gibbs, for an opening statement.
    Mr. Gibbs. Thank you, Chairman Carbajal, and thank you for 
holding this important hearing today.
    Like you, I wish to express my condolences to Chairman Don 
Young's family, his passing Friday. Don was a very good friend. 
He was an icon on this committee. He was chairman of this 
committee years ago and also chairman of the Natural Resources 
Committee and the Dean of the House, the longest serving 
Member. So, we are really going to miss Don Young and all his 
humor and also his knowledge, historical knowledge. It is going 
to be greatly missed. So, my sympathies to his family and his 
wife.
    I know that small passenger vessel safety is particularly 
important to you, given the tragic dive boat fire that occurred 
in your district in 2019. You responded quickly after the fire. 
And as a result of your efforts, Congress enacted section 8441 
of the Elijah E. Cummings Coast Guard Authorization Act of 
2020, regulations for covered small passenger vessels. I look 
forward to hearing today about the Coast Guard's plans to 
implement section 8441.
    Today's hearing will also look at the regulation of vessels 
popularly known as duck boats. These vessels have been involved 
in several significant marine casualties including the 2018 
accident in the Table Rock Lake in Missouri. I am pleased that 
H.R. 6865, the Coast Guard Authorization Act of 2022, includes 
a provision to strengthen the regulation of these vessels. 
Chairman DeFazio sponsored H.R. 6865. Chairman Carbajal and I 
and the full committee ranking member, Sam Graves, are original 
cosponsors.
    The provision related to the duck boats is based on 
legislation introduced by Congressman Carson and Senator 
Hawley. Both are from Missouri. I commend them for their 
important work on this issue.
    As for small passenger vessels without overnight 
accommodations, I look forward to hearing what actions the 
Coast Guard is planning to improve duck boat safety.
    Mr. Chairman, I am sorry that my schedule didn't allow me 
to join you today in your district. But I am glad that you are 
holding this hearing. I look forward to the witnesses' 
testimony.
    And I yield back the balance of my time.
    [Mr. Gibbs did not submit a prepared statement.]
    Mr. Carbajal. Thank you, Mr. Gibbs.
    And thank you for joining us virtually, nonetheless. You 
are missing out on visiting paradise, but we will discuss that 
later.
    With that, let's move on to our witnesses.
    I would like to welcome all our witnesses. Today we have 
Rear Admiral John Mauger, Assistant Commandant for Prevention 
Policy for the United States Coast Guard, and the Honorable 
Jennifer Homendy, Chair of the National Transportation Safety 
Board.
    Thank you both for being here today, and I look forward to 
your testimony.
    Without objection, our witnesses' full statements will be 
included in the record. Since your written testimony has been 
made part of the record, the subcommittee requests that you 
limit your oral testimony to 5 minutes.
    With that, Admiral Mauger, you may proceed.

TESTIMONY OF REAR ADMIRAL JOHN W. MAUGER, ASSISTANT COMMANDANT 
  FOR PREVENTION POLICY, U.S. COAST GUARD; AND HON. JENNIFER 
      HOMENDY, CHAIR, NATIONAL TRANSPORTATION SAFETY BOARD

    Admiral Mauger. Good morning, Chairman Carbajal, Ranking 
Member Gibbs, and distinguished members of the subcommittee.
    Thank you for the opportunity to discuss passenger vessel 
safety and the Coast Guard's role in advancing a safe and 
secure U.S. maritime industry.
    On behalf of the Coast Guard, I express our deepest 
sympathies to the families and loved ones of those who perished 
in the tragedies on board the dive boat Conception and the 
amphibious passenger vessel Stretch Duck 7. I see many family 
members of those who have lost loved ones on board Conception 
here today and recognize the work that Advocacy 34 has done to 
honor their lives and prevent future tragedies.
    Passenger vessel safety is personal. The fleet of U.S. 
small passenger vessels carry our families and friends to work 
and school and provide once-in-a-lifetime adventures.
    The victims of these two casualties and their families are 
at the forefront of our minds here in the Coast Guard as we 
work to strengthen safety standards, enhance oversight, and 
ensure compliance so that loved ones are transported safely on 
small passenger vessels.
    The Coast Guard's approach to small passenger vessel safety 
is guided by our prevention concept of operations which 
includes standards, compliance, and assessment.
    The Coast Guard sets standards for the safe, secure, and 
sustainable operation of vessels, facilities, mariners, and the 
waterways. In the field, Coast Guard personnel verify 
compliance with those standards through plan review, 
inspection, and document verification. When accidents occur, 
Coast Guard marine casualty investigators conduct thorough 
investigations to learn from these casualties and improve our 
standards and compliance activities.
    In addition to conducting our own assessments, the Coast 
Guard looks to other leading safety organizations including the 
National Transportation Safety Board for insights and 
continuous improvement. The Coast Guard works closely with NTSB 
and values our strong relationship and the expertise and safety 
recommendations that NTSB provides.
    With tremendous support from Congress and the Elijah E. 
Cummings Coast Guard Authorization Act of 2020, the Coast Guard 
accelerated the development and publication of significant new 
safety regulations which address all of the contributing 
factors to the loss of life on board Conception.
    On March 28, just 1 week from today, the interim rule for 
fire protection on small passenger vessels will implement key 
safety provisions to address new requirements in the law. This 
rule substantially increases the safety of small passenger 
vessels by requiring increased fire detection, increased fire 
suppression, improved means of escape, safer handling of 
flammable items, additional crew training, and monitoring of 
night watches on board vessels.
    These changes, together with pending safety management 
system requirements, address all of the National Transportation 
Safety Board recommendations stemming from the fire on board 
Conception.
    These new requirements also reinforce that vessel safety is 
a shared responsibility between the owner-operator, the captain 
and crew, and the Coast Guard.
    The owner-operator sets the overall safety culture for the 
company and provides the captain and crew with resources to 
maintain, train, and equip the safe operation of their vessel.
    The captain and crew require training and credentials to 
perform their duties and are ultimately responsible for the 
safe operation of their vessels.
    The Coast Guard sets the standard, enforces compliance with 
those standards, and drives continuous improvement through 
assessments.
    In the immediate aftermath of the Conception fire, the 
Coast Guard implemented a new tiered approach to allocate our 
most experienced inspectors to the highest priority small 
passenger vessel safety inspection. The Coast Guard gathered 
data from previous inspections, investigations, and subject 
matter expertise and employed machine learning to gain new 
insights and prioritize the risks.
    Under this policy, every small passenger vessel is 
inspected annually, and the highest priority vessels are 
inspected more frequently by our most experienced inspectors. 
This change to our compliance policy has successfully 
identified and corrected deficiencies, thereby preventing 
serious consequences.
    Mr. Chairman, with the strong support of Congress in fiscal 
year 2020 through 2022, the Coast Guard is increasing the 
readiness of our marine inspection workforce. One hundred 
twenty-six new marine safety boats were added to the Coast 
Guard over the past 3 years. Eighty-seven of those are in the 
field. With funding provided through the CARES Act and 
subsequent fiscal year appropriations, the Service is 
transforming our mobile solutions to make our inspectors and 
investigators more capable.
    To better train the workforce, the Coast Guard is employing 
ready learning technology as part of the Marine Inspector 
Performance Support Architecture to ensure that marine 
inspectors have the knowledge and skills that are required to 
keep pace in this dynamically changing maritime industry.
    Mr. Chairman, passenger vessel safety is a Service priority 
and it is personal to each of us. Again, thank you, Mr. 
Chairman, for your oversight and for your support of the Coast 
Guard.
    I look forward to your questions.
    [Admiral Mauger's prepared statement follows:]

                                 
           Prepared Statement of Rear Admiral John W. Mauger,
      Assistant Commandant for Prevention Policy, U.S. Coast Guard
                              Introduction
    Good morning Chairman Carbajal, Ranking Member Gibbs, and 
distinguished members of the Subcommittee. Thank you for the 
opportunity to be here today to discuss the state of passenger vessel 
safety and the Coast Guard's role in regulating a safe, secure, and 
environmentally responsible U.S. maritime industry.
    I would like to begin by expressing the Service's sincere 
condolences to the family and friends of the victims and all those 
affected by the tragic loss of the dive boat CONCEPTION and the 
amphibious passenger vessel STRETCH DUCK 7. The Coast Guard continues 
to keep these unfortunate events in the forefront of our minds as we 
take specific actions to address contributing factors to these 
casualties and improve Coast Guard readiness to execute our Marine 
Safety mission.
    In my role as the Coast Guard's Assistant Commandant for Prevention 
Policy, I am responsible for setting standards for safety, security, 
and environmental stewardship for commercial vessels, facilities, and 
mariners; establishing programs to ensure compliance; and ensuring 
investigations are properly conducted when casualties occur. Today I 
will discuss the Coast Guard's role in regulating small passenger 
vessels and the critical safety enhancements we have made as we 
exercise our authorities to protect the public.
Small Passenger Vessels are vital to the Nation's Marine Transportation 
                                 System
    The transportation of cargo on water by the global maritime 
industry is the most economical, and efficient mode of transport. An 
estimated 90 percent of U.S. imports and exports move by ship through 
361 commercial ports, along 95,000 miles of shoreline and 25,000 miles 
of navigable river and coastal waterways. The Marine Transportation 
System, or ``MTS,'' supports $5.4 trillion in annual economic activity 
and more than 30.8 million jobs. A key component of our MTS is the 
active U.S. commercial fleet, comprised of over 19,000 cargo, towing, 
offshore supply, research, nautical school, barges, and passenger 
vessels.
    Small passenger vessels account for one-third of the U.S. 
commercial fleet and are essential to the MTS. Communities all across 
the nation depend on small passenger vessels to ferry employees to 
work, children to school, and support local economies. Small passenger 
vessels are also a source of enjoyment for millions of people each year 
and provide the opportunity to experience and appreciate the marine 
environment. The owners and operators of these vessels provide 
essential services to the American people. Protecting the lives of 
passengers and crew aboard these vessels is among the Coast Guard's 
most vital missions.
    The U.S. fleet of small passenger vessels also possesses the 
greatest diversity of vessel type, design, construction, age, and 
operation. In Camden, Maine, a two-masted schooner built in 1871 meets 
applicable requirements and holds a Coast Guard Certificate of 
Inspection. In Louisville, Kentucky a passenger vessel built in 1914 is 
propelled by steam. Meanwhile, in San Francisco, the Coast Guard is 
working with the maritime industry to inspect and certificate the first 
hydrogen fuel cell ferry--a promising technology to eliminate maritime 
pollution. The common regulations applicable to all small passenger 
vessels set a baseline standard for safe design, construction, and 
operation.
     Passenger Vessel Safety: The Prevention Concept of Operations
    As the lead federal maritime regulator, the Coast Guard ensures the 
safety, security and sustainability of the MTS through the execution of 
the Prevention Concept of Operations: Standards, Compliance, and 
Assessment. These three lines of effort guide all of our prevention 
activities, including passenger vessel safety. Our work begins by 
establishing clear expectations for the MTS. Regulations and standards 
provide minimum requirements for safety, security and sustainability 
and establish governance. The standards drive compliance activities, 
which systematically verify that the governance regime is working. 
Compliance inspections are critical to ensuring that the minimum 
standards are met, while also identifying and correcting potential 
issues before they can cause harm to passengers or mariners. Our 
assessment program includes both proactive and reactive activities to 
audit our work and investigate the root cause of casualties. 
Assessments provide feedback and drive continuous improvement to both 
compliance standards and compliance activities. Additionally, we also 
use external input from the National Transportation Safety Board 
(NTSB), Government Accountability Office and Congress to inform those 
efforts.
    Passenger vessel safety is a shared responsibility which relies on 
vessel owners and trained operators executing their operations in 
accordance with Coast Guard regulations. A vessel's master and crew are 
on the front lines of passenger vessel safety and are expected to 
comprehend the standards, recognize problems, take early corrective 
actions, and provide feedback to improve the system. The Coast Guard 
licensed master on every small passenger vessel is responsible for 
ensuring the vessel's condition and operation complies with Coast Guard 
regulations, which includes the training of unlicensed crewmembers. 
Additionally, the vessel's owner has an obligation to support the 
master in carrying out their responsibility to maintain and operate the 
vessel safely. Through annual inspections and routine engagement, such 
as unit industry days and regional and national association events, the 
Coast Guard actively promotes passenger vessel safety, communicates 
lessons learned and solicits feedback from the industry.
    When the existing safety framework fails to mitigate a casualty, 
the Coast Guard investigates the cause and assesses the need for new 
regulations or policy to prevent future occurrences. A vital component 
of this feedback loop is our collaboration with the NTSB. The Coast 
Guard and NTSB work side-by-side to investigate the most serious marine 
casualties. I appreciate the expertise, skill, and professionalism of 
the NTSB, and value the candor of their recommendations and perspective 
on ways to improve vessel safety.
  Small Passenger Vessel Safety Improvements following CONCEPTION fire
    In the aftermath of the dive boat CONCEPTION fire, the Coast Guard 
continues to utilize preliminary findings from the ongoing Coast Guard 
Marine Board of Investigation and the recommendations from NTSB's 
investigation to improve small passenger vessel safety. Immediately 
following the incident, my predecessor chartered a Small Passenger 
Vessel Safety Task Force to establish and implement key program 
enhancements. In addition to coordinating a special concentrated 
inspection on every overnight passenger vessel in the U.S. fleet, the 
Task Force leveraged ten years of vessel data, Subject Matter Expert 
feedback, and machine-based learning to assist our field commanders in 
determining which vessel inspections should be conducted by their most 
experienced Marine Inspectors. This initiative, still active today, 
resulted in the identification and correction of more than 1,000 safety 
deficiencies. As we improve our IT systems, we will continue to 
leverage technology to improve data management and analysis to inform 
resource allocation.
    We also appreciate the extensive Congressional support to 
expeditiously improve small passenger vessel safety. Last December, we 
issued an interim final rule to implement the requirements of the 
Elijah E. Cummings Coast Guard Authorization Act of 2020. Leveraging 
the authorities granted by Congress to exempt this regulation from 
specific provisions of the Administrative Procedures Act, the rule 
takes immediate actions to address critical safety gaps that the NTSB 
cited in their report of investigation as contributing factors to the 
fire and loss of life on CONCEPTION. The Act also adds additional 
safety requirements for small passenger vessels with overnight 
accommodations for passengers or operating on Oceans or Coastwise 
routes, excluding fishing vessels and ferries. Those requirements 
include passenger drills, additional crew training, improved fire 
detection and means of escape, and handling of flammable items. The 
Service will ensure these changes are fully implemented, continue to 
evaluate their impact and, if necessary, make additional changes in the 
eventual Final Rule to achieve the desired results.
                    Prevention Readiness Initiative
    The complexity and size of the MTS continues to grow as our nation 
seeks to increase capacity, while limiting environmental impact. Those 
drivers: more capacity, reduced environmental impact, and increased 
complexity are re-shaping the industry and placing greater demands on 
Coast Guard readiness.
    With Congressional oversight through the Marine Safety Performance 
Plan and specific legislation, including the Hamm Alert Maritime Safety 
Act of 2018, the Service has embarked on transforming the training and 
continued development of our Prevention workforce. Our comprehensive 
training and competency effort, known as the Marine Inspector 
Performance Support Architecture (MIPSA), aligns Marine Inspector 
workforce and performance requirements, bolsters individual training 
factors, and builds a sustainable and highly proficient marine 
inspection workforce. The Fiscal Year 2022 President's Budget builds on 
those efforts by adding 32 billets positioned at Sectors, Training 
Centers, and Force Readiness Command to ensure that our marine 
inspection workforce will continue to receive needed training as the 
industry evolves.
    In December 2020, the Coast Guard implemented the Prevention 
Program Readiness Initiative (PRI) to address challenges associated 
with changes in the maritime industry, and developed a detailed action 
plan to improve readiness over the next five years. The action plan, 
which focuses on improving proficiency, governance and technology while 
continuing to engage partners and execute a risk based approach to 
safety, security and sustainability, incorporates the external drivers 
along with internal and external stakeholder feedback, Congressional 
intent and oversight, and recommendations from Government 
Accountability Office reports. We also continue to refine training 
under MIPSA and leverage new technologies to augment or replace aging 
data systems.
    With your ongoing support, the Coast Guard will continue to 
transform the way the Service supports our enduring Prevention Concept 
of Operations through a technology and innovation forward approach. 
This will require continued investment to revitalize our Prevention 
workforce, effectively manage risk, improve knowledge management, and 
strengthen partnerships while continuously advancing our goals for a 
safe, secure, and environmentally responsible U.S. maritime industry.
                               Conclusion
    I appreciate the opportunity to testify before you today regarding 
small passenger vessel safety. This topic has the Service's utmost 
attention, and we will continue to make enhancements to our Prevention 
program to protect those on the water, keep pace with the maritime 
industry, and respond to new passenger vessel operations. I am 
confident in our ability to remain ``Always Ready'' to serve and 
protect the American people and our vital national interests in the 
MTS.

    Mr. Carbajal. Thank you, Admiral Mauger.
    Next, we will proceed to Chair Homendy. You may proceed.
    Ms. Homendy. Thank you, Chairman Carbajal, Ranking Member 
Gibbs, and members of the subcommittee. It is an honor to 
appear here today.
    Admiral Mauger, thank you for your commitment to safety. 
And on behalf of the NTSB, we greatly appreciate the Coast 
Guard's collaboration with us in our investigations which we 
carry out with mutual respect and the goal of improving safety 
on our Nation's waterways.
    I would also like to take a moment to once again offer my 
sincerest condolences to those who have lost loved ones in the 
tragedies that we will discuss today. I especially want to 
acknowledge the families of those who perished on the 
Conception, many of whom are here in this room or watching 
remotely today. I can't imagine all that you have been through 
since September 2019. I greatly admire your strength, your 
courage, and your commitment to ensuring no one else loses a 
loved one in another tragedy on our waterways.
    The Conception investigation was my first marine 
investigation as a Board Member. The experience deepened my 
commitment to improve marine safety. In my first meeting with 
the victims' families, I gave them the only promise we at the 
NTSB have to give: that we would investigate and issue safety 
recommendations aimed at preventing similar suffering for other 
families. And then we would vigorously work, I would vigorously 
work to ensure those safety recommendations are implemented.
    I want to thank you, Chairman Carbajal, your colleagues in 
the California delegation, and the members and staff of this 
subcommittee for your efforts to enact legislation that address 
our recommendations to improve marine safety, many of which 
stem from the Conception investigation.
    Unfortunately, the Conception isn't the only deadly 
passenger vessel tragedy in recent history. Since 1999, we have 
investigated three accidents involving passenger ferries in New 
York, a deadly fire on the small passenger vessel Island Lady 
in Florida, and duck boat accidents in Arkansas, Pennsylvania, 
and Missouri.
    Including the Conception, a total of 86 people died in 
these tragedies, 86 lives lost unnecessarily, 86 people who 
have left behind bereaved families and friends. That is a lot 
of lives impacted.
    Following these investigations, we issued multiple 
recommendations to the U.S. Coast Guard and the maritime 
industry aimed at closing known safety gaps. And we included 
passenger vessel safety on our Most Wanted List of 
transportation safety improvements. There are currently 19 open 
NTSB recommendations regarding small passenger vessels.
    One of those recommendations would require operators to 
implement a preventative maintenance program. We issued it 20 
years ago. Another would require operators to implement a 
safety management system, which we also issued 20 years ago. We 
reiterated that in 2012, again in 2018, and again in 2020, 
following numerous tragedies. We are pleased the Coast Guard 
has issued a rulemaking to move SMS forward.
    For two decades, we have also recommended that the Coast 
Guard address significant safety issues with duck boats. Had 
those recommendations been acted upon following the sinking of 
Miss Majestic in 1999, the tragedy in Branson and the 17 lives 
lost likely would not have occurred.
    Thank you for including provisions to address this in the 
Coast Guard authorization bill that the House is considering, 
and thank you to the Coast Guard for moving forward with our 
recommendations on fire safety and emergency egress in an 
interim final rule.
    But it shouldn't take an act of Congress to address known 
safety issues with duck boats or any other vessel.
    A few weeks ago, I spoke before the passenger vessel 
association. I was asked what keeps me up at night. It is the 
next mother, father, sister, brother, son, or daughter who 
loses their life in a tragedy we investigate. It is knowing 
that we have previously investigated a similar tragedy. And it 
is knowing that it was preventable, had our recommendations 
been implemented.
    I want to close by thanking those who dedicate their lives 
and livelihoods to improving marine safety and who inspire me 
every day to do all I can to support them and their efforts, 
our Office of Marine Safety. With me today is the director of 
the office, Morgan Turrell, and Adam Tucker, who is the 
investigator in charge of the Conception investigation.
    Thank you, Chairman Carbajal, thank you Ranking Member 
Gibbs, and thank you to the subcommittee members for your 
continued support of the NTSB and your continued work to 
improve marine safety, as well as safety in other modes of 
transportation.
    [Ms. Homendy's prepared statement follows:]

                                 
          Prepared Statement of Hon. Jennifer Homendy, Chair,
                  National Transportation Safety Board
    Good morning, Chairman Carbajal, Ranking Member Gibbs, and members 
of the subcommittee. Thank you for inviting the National Transportation 
Safety Board (NTSB) to testify, discuss our marine accident 
investigations and the lessons we have learned from those 
investigations, and reiterate how critical it is for our federal agency 
partners, our partners in industry, and for the Congress to heed those 
lessons learned and take action to help avoid future accidents.
    As you know, the NTSB is an independent federal agency charged by 
Congress with investigating every civil aviation accident in the United 
States and significant events in other modes of transportation--
highway, rail, marine, pipeline, and commercial space. We determine the 
probable cause of the events we investigate, and issue safety 
recommendations aimed at preventing future occurrences. In addition, we 
conduct special transportation safety studies and special 
investigations, and coordinate the resources of the federal government 
and other organizations to assist victims and their family members who 
have been impacted by major transportation disasters. We also serve as 
the appellate authority for enforcement actions involving aviation and 
mariner certificates issued by the Federal Aviation Administration 
(FAA) and the United States Coast Guard, and we also adjudicate appeals 
of civil penalty actions taken by the FAA.
    The NTSB does not have authority to promulgate operating standards, 
nor do we certificate organizations, individuals, or equipment. 
Instead, we advance safety through our safety recommendations. Those 
recommendations are issued to any entity that can improve safety, 
including the United States Coast Guard (USCG).\1\ Our goal is to 
identify issues and advocate for safety improvements that, if 
implemented, would prevent tragedies and injuries, and save lives.
---------------------------------------------------------------------------
    \1\ There are currently 93 open safety recommendations to the USCG, 
32 of them with the status ``Open--Unacceptable Response.'' Of the 93 
recommendations, 24 are associated with our Most Wanted List of 
Transportation Safety Improvements item, ``Improve Passenger and 
Fishing Vessel Safety,'' and 8 of those are currently classified 
``Open--Unacceptable Response.'' These recommendations are included in 
the appendix to this testimony.
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                   Marine Safety and Reauthorization
    Before we get too far, I do want to thank the Coast Guard for 
collaborating with us to investigate marine casualties and improve 
marine safety. We conduct our marine safety investigations concurrent 
with the USCG's, and we often reach the same conclusions; on the 
occasions when we reach different conclusions, we regularly make 
recommendations to address identified issues in the USCG's regulations 
and processes. Either way, we approach these investigations with mutual 
respect and with the goal of improving safety on our nation's 
waterways.
    We have a broad mandate when it comes to marine safety. The NTSB 
investigates ``major marine casualties,'' \2\ which can be anywhere in 
the world if a US-flagged vessel is involved. Our work touches vessels 
owned by the US government as well as private vessels. We also 
investigate select catastrophic marine casualties involving foreign-
flagged vessels in international waters, especially if US citizens are 
on board.
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    \2\ Defined in 49 Code of Federal Regulations 850.5 as 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 as $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.''
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    Our current authorization expires at the end of this fiscal year. 
We have transmitted to Congress a reauthorization proposal to provide 
more resources and flexibilities which will allow us to hire, invest in 
our workforce in terms of training and development, and purchase 
equipment. Even as we have seen tremendous growth and change in 
transportation over the last two decades, the agency is the same size 
as it was in 1998. In just the last ten years, the NTSB's Office of 
Marine Safety has dramatically increased its number of investigations. 
Before 2012, the office investigated and developed six reports annually 
on average. Subsequently, the office has been investigating all major 
marine casualties. Now, the caseload is over 40 per year, and at times 
over 50, while the cases have also grown more complex. However, our 
marine investigative staff has not grown with that increase, and we 
currently have 11 marine investigators. It is critical to have 
additional resources to respond to casualties without impacting 
timeliness, quality, and our independence. Our reauthorization proposal 
to Congress included a request for resources and hiring flexibilities 
to increase the number of investigators in our Office of Marine Safety, 
as well as in our other modes. These resources will allow us to hire 
professionals with the needed skills, purchase the equipment necessary 
for those skilled professionals to do their jobs, and invest in staff 
training and development. Our workforce is our greatest asset and is 
essential to our mission.
                    The Conception: Lessons Learned
    I want to thank you, Chairman Carbajal, your colleagues in the 
California delegation, and the members of this committee for your 
commitment to marine safety and for enacting small passenger vessel 
safety provisions as part of the Elijah E. Cummings Coast Guard 
Authorization Act of 2020.\3\ This legislation addressed 11 NTSB 
recommendations to improve small passenger vessel safety. Of those, 7 
were made to the USCG as a result of our investigation of the September 
2, 2019, fire and resulting sinking of the Conception here, near Santa 
Cruz Island, California. The Conception was a 75-foot commercial diving 
vessel on its last night of a 3-day diving trip with 39 people on 
board. The vessel caught fire while anchored in Platts Harbor, and 33 
passengers and one crewmember died, making this the largest loss of 
life in a US marine casualty in decades and the greatest maritime loss 
of life in California in more than 150 years.
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    \3\ Enacted as part of the National Defense Authorization Act for 
Fiscal Year 2021 (PL116-283, Division G, sec. 8441).
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    We determined the probable cause of the accident was the failure of 
the operator, Truth Aquatics, Incorporated, to provide effective 
oversight of its vessel and crewmember operations. The lack of both 
oversight and adherence to certain safety requirements allowed a fire 
of unknown cause to grow, undetected. In addition, the lack of a USCG 
regulatory requirement for smoke detection in all accommodation spaces 
and inadequate emergency escape arrangements from the vessel's bunkroom 
contributed to the undetected growth of the fire and the high loss of 
life.
    The Conception investigation was my first maritime investigation as 
an NTSB Board member, and the experience deepened my commitment to 
improving marine safety. During my time on scene, I met with the 
families of those on board the vessel and gave them the only promise we 
at the NTSB have to give: that we would find out what caused the fire 
aboard the Conception, to prevent similar suffering for other families.
    Today, I will share some of the lessons learned from our 
investigation of the Conception accident and the roughly 50 marine 
accidents that we typically investigate annually. In particular, I will 
focus on the importance of safety management systems (SMSs); fire 
safety aboard small passenger vessels; safety issues unique to 
amphibious vessels, known as DUKW boats; and adequate options for 
emergency escapes in all cases. Additionally, although beyond the scope 
of this hearing, we have made equally important recommendations to the 
USCG to improve fishing vessel safety. These recommendations, which are 
included in the appendix, remain open because the USCG has taken 
unsatisfactory or no action to address them.
    The NTSB has made multiple recommendations to the USCG and the 
maritime industry that must be implemented to close known safety gaps 
and to avoid another tragedy like the Conception. These recommendations 
specifically address:
      inadequate company oversight;
      voyage data recorders;
      insufficient regulations for means of emergency egress;
      lack of regulations requiring fire and smoke detection in 
machinery and all accommodation spaces of small passenger vessels;
      neglected nighttime roving patrols;
      insufficient reserve buoyancy; and
      insufficient watertight integrity of vessels.
                       Safety Management Systems
    For two decades, the NTSB has advocated for all passenger vessel 
operators to implement an SMS: a comprehensive, documented system to 
enhance safety. This call to action was first on our Most Wanted List 
of Transportation Safety Improvements over 10 years ago, and is again 
on our current list under ``Improve Passenger and Fishing Vessel 
Safety.'' \4\ In fact, the NTSB has recommended SMSs in all modes of 
transportation--aviation, rail and transit, pipelines, marine, even 
manufacturers. In 2015, the Federal Aviation Administration (FAA) 
required commercial airliners to develop a comprehensive SMS to improve 
safety for the flying public, and this mandate has contributed to the 
remarkable record of safety in commercial passenger aviation. In fact, 
in 7 of the last 10 years, there have been no major commercial airline 
passenger fatalities. The number of accidents, the number of 
fatalities, and the fatality rate across the aviation industry have 
also decreased.
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    \4\ 2021-2022 Most Wanted List of Transportation Safety 
Improvements. Improve Passenger and Fishing Vessel Safety. Washington, 
DC: NTSB.
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    As an example, the FAA requires commercial airlines to develop and 
implement an SMS with four components:
      A safety policy that outlines the methods, processes, and 
organizational structure needed to support safe operations.
      A safety risk management process to constantly identify 
new hazards and control risk.
      Safety assurance methods, such as audits, to evaluate if 
the desired safety outcomes are being achieved.
      Safety promotion, also known as safety culture, which is 
a less tangible--but no less vital--aspect of a successful SMS.

    For marine passenger vessels, regardless of a company's size, an 
SMS ensures that each crewmember is given standard and clear procedures 
for routine and emergency operations. An SMS specifies crewmember 
duties and responsibilities, as well as delineates supervisory and 
subordinate chains of command, so that each crewmember understands what 
to do during critical vessel operations and emergency scenarios. 
Developing an SMS includes creating plans for crewmember responses to a 
range of possible emergency situations. SMSs also include procedures 
for performing and tracking preventive maintenance, as well as for crew 
training, emergency preparedness, documentation and oversight, and 
other actions that prioritize safe operations.
    Since 2012, following the allision of the passenger ferry Andrew J. 
Barberi with a terminal at Staten Island, New York, the NTSB has 
recommended the USCG require all operators of US-flagged passenger 
vessels to implement an SMS, taking into account the characteristics, 
methods of operation, and nature of service of these vessels, and, with 
respect to ferries, the sizes of the ferry systems within which the 
vessels operate.\5\ This is consistent with requirements imposed by the 
International Maritime Organization (IMO). In 2010, Congress mandated 
that the USCG develop appropriate SMS regulations for all US-flagged 
passenger vessels. As a result of the Conception investigation, we 
reiterated this recommendation, and the USCG published an advance 
notice of proposed rulemaking (ANPRM), ``Safety Management Systems for 
Domestic Passenger Vessels,'' in January 2021.\6\ The Board submitted 
comments to the ANPRM and subsequently updated the status of this 
safety recommendation to ``Open--Acceptable Response.'' \7\
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    \5\ Safety Recommendation M-12-3.
    \6\ Safety Management Systems for Domestic Passenger Vessels. 89 
Federal Register (FR) 3899.
    \7\ NTSB Comments on USCG-2020-0123.
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    The NTSB's investigation of the Andrew J. Barberi was hampered by a 
lack of voyage data recorder (VDR) information. A VDR is a fire- and 
crash-protected recorder that captures critical vessel information as 
well as audio from the bridge environment. This information can be 
accessed by investigators following accidents and reviewed by vessel 
operators as part of their SMS programs to help prevent accidents. In 
2014, we recommended that the USCG require installation of VDRs on new 
and existing ferry vessels, where technically feasible, and develop a 
standard for smaller ferry vessels.\8\ These recommendations are 
currently classified ``Open--Unacceptable Response.''
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    \8\ Safety Recommendations M-14-3, -4, and -5.
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    Further, we have recommended that the USCG require that companies 
operating domestic passenger vessels develop and implement a preventive 
maintenance program for all systems affecting the safe operation of 
their vessels, including the hull and the mechanical and electrical 
systems.\9\ We generally expect recommended actions to be completed in 
5 years, but this has languished for 20 years and, therefore, is in an 
unacceptable status. This is our oldest open marine safety 
recommendation. We have kept it open because the USCG has informed us 
since 2012 that it would include this action as a component of a 
broader requirement for SMS.
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    \9\ Safety Recommendation M-02-5.
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    We continue to believe that an SMS is an essential tool for 
enhancing safety on board all US passenger vessels, and that the USCG 
is the appropriate authority to require such systems. We fully support 
the requirement mandated by Congress. We also believe that an SMS is 
not a substitute for important safety regulations that are issued by 
the USCG. Safety regulations need to be implemented and an SMS enhances 
the impact of those regulations.
                Fire Safety for Small Passenger Vessels
    As a result of the Conception disaster, we issued seven new safety 
recommendations specifically related to fire safety and egress. All 
seven were addressed by the Elijah E. Cummings Coast Guard 
Authorization Act of 2020 and are currently classified ``Open--
Acceptable Response.''
    To ensure fire safety aboard small passenger vessels, redundancy is 
critical. First, we made several recommendations to the USCG to update 
its regulations regarding accommodation spaces in all passenger 
vessels, including those constructed prior to 1996. We recommended that 
they require all accommodation spaces, for new vessels and those 
currently in service, have smoke detectors''.\10\ Second, we 
recommended that the USCG develop and implement an inspection procedure 
to ensure that operators are conducting ``roving patrols'' as required 
by regulations and which has been codified in US law since 1871.\11\ 
The current statute states that ``the owner, operator, or charterer of 
a vessel carrying passengers during the nighttime shall keep a suitable 
number of watchmen in the vicinity of cabins or staterooms and on each 
deck to guard against and give alarm in case of fire or other danger.'' 
\12\ This was not the practice on Conception, other vessels owned by 
Truth Aquatics, nor, according to interviews, other dive boats in 
Southern California.
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    \10\ Safety Recommendations M-20-14, -15, and -16.
    \11\ Safety Recommendation M-20-17.
    \12\ 46 United States Code (USC) 8102.
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    Even if a fire breaks out, loss of life is still preventable with 
adequate options for and awareness of emergency egress. The Conception 
had two means of escape from the bunkroom: spiral stairs forward and an 
escape hatch aft, accessible from either port or starboard aisles by 
climbing into one of the top aftermost inboard bunks. However, both 
paths led to the salon, which was filled with heavy smoke and fire, and 
the salon compartment was the only escape path to exterior (weather) 
decks. Therefore, because there was fire in the salon, the passengers 
and one crewmember housed below were trapped and were not able to 
escape. If regulations had required the escape hatch to exit to a space 
other than the salon, optimally directly to the weather deck, the 
passengers and crewmember in the bunkroom would have likely been able 
to escape. For those reasons, we recommended that the USCG update its 
regulations for small passenger vessels with overnight accommodations, 
including those constructed prior to 1996, to require a secondary means 
of escape into a different space so a single fire will not affect both 
escape paths and to ensure there are no obstructions to egress.\13\ 
These recommendations are currently classified ``Open--Acceptable 
Response,'' because we understand that the Coast Guard has initiated a 
rulemaking project to implement the recommendations for all small 
passenger vessels with overnight accommodations, including vessels 
constructed prior to 1996.
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    \13\ Safety Recommendations M-20-18, -19, and -20.
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    In addition to fire safety in vessels with accommodation spaces, 
prior to the Conception tragedy, we issued two recommendations to the 
USCG regarding unmanned spaces. We recommended that they require fire-
detection systems in unoccupied spaces with machinery or other 
potential heat sources on board small passenger vessels, and for them 
to issue a marine safety information bulletin regarding the need to use 
only approved material and components in fuel tank level-indicator 
systems.\14\ The USCG has issued the bulletin and the recommendation 
has been closed successfully, but further action is needed to require 
additional fire detectors.
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    \14\ Safety Recommendations M-18-13 and -14.
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    Again, we appreciate Congress addressing these safety issues in 
legislation, and for the cooperation and partnership of the USCG. We 
look forward to the USCG issuing a final rule to implement our 
recommendations and improve safety.\15\ Until that time, the 
recommendations will remain open. In the meantime, operators of vessels 
with overnight accommodations can act now to improve the safety of 
their passengers and crew. They can start with the following even 
before the USCG completes rulemaking:
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    \15\ Fire Safety of Small Passenger Vessels. 86 FR 73160.
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      Install smoke detectors in sleeping quarters and ensure 
they are interconnected so when one detector goes off, they all do. The 
Conception crewmember who discovered the fire could not hear the fire 
alarm from the crew berthing on the upper deck.
      Ensure that the primary and secondary emergency escape 
paths do not lead to the same space, which can be blocked by a single 
hazard. The Conception had two means of escape from the lower deck 
bunkroom, but both led into the salon, which was filled with heavy 
smoke and fire. Tragically, the salon compartment was the only escape 
path to the weather deck. Because there was fire in the salon, the 
passengers were trapped.
      Keep the escape routes unobstructed at all times.
      Remind crewmembers to perform roving patrols and why they 
are so important. Our investigation found that the Conception fire was 
uncontrollable by the time it was discovered because the crewmember, 
who ultimately died, was asleep in the bunkroom.
      Amphibious Passenger Vessel Safety: The Importance of Action
    Unfortunately, we know that the consequences of failing to address 
the lessons learned from our safety investigations can be further 
tragedies. Almost 20 years after the sinking of an amphibious passenger 
vessel that killed 13 people in Arkansas, we investigated the sinking 
of a DUKW amphibious passenger vessel, Stretch Duck 7, on Table Rock 
Lake near Branson, Missouri.\16\ We discovered that long-known safety 
issues caused the sinking and resulted in the loss of 17 lives. I want 
to thank you for addressing these safety issues in H.R. 6865, the Coast 
Guard Authorization Act of 2022.
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    \16\ Sinking of Amphibious Passenger Vessel Stretch Duck 7, Table 
Rock Lake, near Branson, Missouri, July 19, 2018. (NTSB, MAR 20/01).
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    DUKW amphibious vehicles were designed and built in the 1940s for 
military use during World War II; some were later converted for 
commercial service.\17\ They are unique vessels with special challenges 
that must be addressed to ensure passenger safety.
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    \17\ DUKW (pronounced ``duck'') is an acronym that signifies the 
characteristics of the WWII amphibious vessel: D = 1942 (the year of 
design); U = utility; K = front-wheel drive; and W = two rear-driving 
axles. DUKW vessels are also referred to as vehicles due to their dual 
function of being operated on land and in water.
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    Five minutes into its voyage on July 19, 2018, the Stretch Duck 7, 
with 31 passengers aboard, encountered a severe storm known as a 
derecho. While trying to reach land, 7 minutes into the voyage, the 
vessel took on water and sank approximately 250 feet away from the exit 
ramp. Passengers were caught by the vessel's canopy as it sank. Only a 
few of the surviving passengers stated that they were able to float 
free without encountering any obstructions. Several hours prior to the 
accident, the National Weather Service had issued a severe thunderstorm 
watch for the area, followed by a severe thunderstorm warning a minute 
before the vessel departed.
    NTSB investigators found that the accident vessel was originally 
constructed with a low freeboard, an open hull, and no subdivision or 
flotation, resulting in a design without adequate reserve buoyancy. We 
determined the probable cause of the sinking was the operator's 
continued operation of waterborne tours after a severe thunderstorm 
warning was issued for Table Rock Lake, exposing the vessel to a 
derecho, which resulted in waves flooding through a non-weathertight 
air intake hatch on the bow. Contributing to the sinking was the USCG's 
failure to require sufficient reserve buoyancy in amphibious passenger 
vessels. Contributing to the loss of life was the Coast Guard's 
ineffective action to address emergency egress on amphibious passenger 
vessels with fixed canopies, such as the Stretch Duck 7, which impeded 
passenger escape.
    As noted, these safety issues were not new when the Stretch Duck 7 
sank. They were identified after the 1999 sinking of the Miss Majestic, 
another DUKW amphibious passenger vessel, on Lake Hamilton, near Hot 
Springs, Arkansas.\18\ As a result of that sinking, 13 passengers died. 
Survivors of the Miss Majestic accident confirmed that the vehicle sank 
less than a minute after the deck edge at the stern was submerged, 
leaving insufficient opportunity for passengers to escape. Vessel 
maintenance, reserve buoyancy, and survivability--specifically, 
impediments to passenger egress caused by the vessel's canopy--were 
among the major safety issues identified by our investigation of the 
Miss Majestic accident.
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    \18\ Sinking of the Amphibious Passenger Vehicle Miss Majestic, 
Lake Hamilton, Near Hot Springs, Arkansas, May 1, 1999. (NTSB, MAR 02/
01).
---------------------------------------------------------------------------
    As a result of the Miss Majestic sinking, we recommended that the 
USCG require greater stability and reserve buoyancy in amphibious 
passenger vessels.\19\ Further, until the goals of that recommendation 
were achieved, we urged the USCG to require--among other measures--that 
canopies be removed from waterborne vessels, or that such vessels have 
installed a USCG-approved canopy that does not restrict horizontal or 
vertical escape by passengers in the event of sinking.\20\ These 
recommendations were closed unacceptably in 2003 and 2007, 
respectively. Regrettably, had these recommendations been implemented, 
a future tragedy could have been avoided.
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    \19\ Safety Recommendation M-02-1.
    \20\ Safety Recommendation M-02-2.
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    More than 15 years later, because of the Stretch Duck 7, we 
recommended again that amphibious passenger vessels have sufficient 
reserve buoyancy so they remain upright and afloat in the event of 
damage or flooding, and that for DUKW vessels without sufficient 
reserve buoyancy, that they require the removal of canopies, side 
curtains, and their associated framing during waterborne operations to 
improve emergency egress in the event of sinking.\21\ The USCG has not 
been able to identify a feasible solution to achieve the necessary 
level of reserve buoyancy, and contracted with the National Academy of 
Sciences (NAS) to conduct an independent review of potential 
modifications. The USCG has also issued a marine safety information 
bulletin recommending removal of canopies as an initial step.\22\ For 
these reasons, both recommendations remain classified ``Open--
Acceptable Response.''
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    \21\ Safety Recommendations M-19-15 and -16.
    \22\ US Coast Guard Marine Safety Information Bulletin. 
Recommendation for DUKW Passenger Vessel Canopy Removal. Washington, 
DC: 2020. MSIB-15-20.
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    In 2015, we investigated a highway crash of a DUKW in Seattle, 
Washington.\23\ As a result, we recommended the USCG amend its 
Navigation and Vessel Inspection Circular (NVIC) 1--01, a guidance 
document that relies on voluntary compliance, to ensure passengers 
unbuckle before waterborne operations and the crew confirms that 
passengers have complied.\24\ Following the Stretch Duck 7 sinking, we 
recommended reviewing and revising the NVIC.\25\ Although the USCG has 
communicated to us it will make the recommended revisions, the NVIC has 
not been updated; therefore, these recommendations remain classified 
``Open--Acceptable Response.''
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    \23\ Amphibious Passenger Vehicle DUCK 6 Lane Crossover Collision 
with Motorcoach on State Route 99, Aurora Bridge, Seattle, Washington, 
September 24, 2015. (NTSB, HAR-16/02)
    \24\ Safety Recommendation M-16-26.
    \25\ Safety Recommendation M-20-2.
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    Lastly, the benefits of these safety improvements are not realized 
if crews have insufficient awareness. Accordingly, we have recommended 
that the USCG review and revise training, especially as it relates to 
severe weather.\26\ Each of these recommendations is on our 2021-2022 
Most Wanted List. Again, thank you for addressing these issues in the 
pending Coast Guard authorization.
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    \26\ Safety Recommendation M-20-3.
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                               Conclusion
    The loss of 34 lives on the Conception, less than 100 feet from 
shore, shook this community and the country. It reminds us that the 
potential for catastrophe is always present, including on small 
passenger vessels, and we must do what we can to prevent needless 
deaths and mitigate injuries. Passenger vessels should have SMSs and 
provide adequate fire detection and extinguishing systems and enhanced 
emergency egress options. Inaction can lead to further tragedy, as we 
saw with the Stretch Duck 7 almost 20 years after the Miss Majestic 
sinking. We recognize the progress that has been made, yet, there 
remains room for improvement. The NTSB stands ready to work with you 
and this Committee to continue improving passenger vessel safety.
    Thank you again for the opportunity to testify today. I am happy to 
answer your questions.
                                Appendix

               Open Safety Recommendations issued to the U.S. Coast Guard (as of March 8th, 2022)
----------------------------------------------------------------------------------------------------------------
                                                                Most Wanted List (2021-
             Rec. Number                        Status                    22)              Recommendation Text
----------------------------------------------------------------------------------------------------------------
A-14-069.............................  Open-                                             Work with the US
                                       Acceptable Response....                            Department of the
                                                                                          Interior, Bureau of
                                                                                          Safety and
                                                                                          Environmental
                                                                                          Enforcement to
                                                                                          identify and develop
                                                                                          comprehensive systems
                                                                                          and procedures to
                                                                                          mitigate the risk of
                                                                                          ingestion of raw gas
                                                                                          discharges, such as
                                                                                          methane, by
                                                                                          helicopters operating
                                                                                          in the vicinity of
                                                                                          offshore oil
                                                                                          platforms.
----------------------------------------------------------------------------------------------------------------
A-14-070.............................  Open-                                             After appropriate
                                       Acceptable Response....                            mitigations are
                                                                                          developed as
                                                                                          recommended in Safety
                                                                                          Recommendation A-14-
                                                                                          69, require mobile
                                                                                          offshore oil platform
                                                                                          operators to implement
                                                                                          these systems and
                                                                                          procedures.
----------------------------------------------------------------------------------------------------------------
M-02-005.............................  Open-                    Yes....................  Require that companies
                                       Unacceptable Response..                            operating domestic
                                                                                          passenger vessels
                                                                                          develop and implement
                                                                                          a preventive
                                                                                          maintenance program
                                                                                          for all systems
                                                                                          affecting the safe
                                                                                          operation of their
                                                                                          vessels, including the
                                                                                          hull and the
                                                                                          mechanical and
                                                                                          electrical systems.
----------------------------------------------------------------------------------------------------------------
M-09-004.............................  Open-                                             Require mariners to
                                       Unacceptable Response..                            report to the Coast
                                                                                          Guard, in a timely
                                                                                          manner, any
                                                                                          substantive changes in
                                                                                          their medical status
                                                                                          or medication use that
                                                                                          occur between required
                                                                                          medical evaluations.
                                                                                          (Supersedes M-05-005)
----------------------------------------------------------------------------------------------------------------
M-11-012.............................  Open-                                             Establish a structured
                                       Acceptable Response....                            data monitoring
                                                                                          program for your small
                                                                                          boats that reviews all
                                                                                          available data sources
                                                                                          to identify deviation
                                                                                          from established
                                                                                          guidance and
                                                                                          procedures.
----------------------------------------------------------------------------------------------------------------
M-11-013.............................  Open-                                             Conduct a ports and
                                       Unacceptable Response..                            waterways safety
                                                                                          assessment for the
                                                                                          Sabine-Neches
                                                                                          Waterway, determine
                                                                                          from that whether the
                                                                                          risk is unacceptable,
                                                                                          and if so, develop
                                                                                          risk mitigation
                                                                                          strategies.
----------------------------------------------------------------------------------------------------------------
M-11-023.............................  Open-                    Yes....................  Establish standards for
                                       Unacceptable Response..                            new and existing
                                                                                          commercial fishing
                                                                                          industry vessels of 79
                                                                                          feet or less in length
                                                                                          that (1) address
                                                                                          intact stability,
                                                                                          subdivision, and
                                                                                          watertight integrity
                                                                                          and (2) include
                                                                                          periodic reassessment
                                                                                          of the vessels'
                                                                                          stability and
                                                                                          watertight integrity.
----------------------------------------------------------------------------------------------------------------
M-11-024.............................  Open-                    Yes....................  Require all owners,
                                       Unacceptable Response..                            masters, and chief
                                                                                          engineers of
                                                                                          commercial fishing
                                                                                          industry vessels to
                                                                                          receive training and
                                                                                          demonstrate competency
                                                                                          in vessel stability,
                                                                                          watertight integrity,
                                                                                          subdivision, and use
                                                                                          of vessel stability
                                                                                          information regardless
                                                                                          of plans for
                                                                                          implementing the other
                                                                                          training provisions of
                                                                                          the 2010 Coast Guard
                                                                                          Authorization Act.
----------------------------------------------------------------------------------------------------------------
M-11-027.............................  Open-                    Yes....................  Require all crewmembers
                                       Unacceptable Response..                            to provide
                                                                                          certification of
                                                                                          completion of safety
                                                                                          training before
                                                                                          getting under way on
                                                                                          commercial fishing
                                                                                          industry vessels, such
                                                                                          training to include
                                                                                          both prevention of and
                                                                                          proper response to
                                                                                          emergency situations
                                                                                          as well as actual use
                                                                                          of emergency
                                                                                          equipment.
----------------------------------------------------------------------------------------------------------------
M-12-003.............................  Open-                    Yes....................  Require all operators
                                       Acceptable Response....                            of U.S.flag passenger
                                                                                          vessels to implement
                                                                                          safety management
                                                                                          systems, taking into
                                                                                          account the
                                                                                          characteristics,
                                                                                          methods of operation,
                                                                                          and nature of service
                                                                                          of these vessels, and,
                                                                                          with respect to
                                                                                          ferries, the sizes of
                                                                                          the ferry systems
                                                                                          within which the
                                                                                          vessels operate.
                                                                                          (Supersedes Safety
                                                                                          Recommendation M-05-
                                                                                          006)
----------------------------------------------------------------------------------------------------------------
M-12-008.............................  Open-                                             Align your standards
                                       Acceptable Response....                            for postaccident
                                                                                          toxicological testing
                                                                                          of Coast Guard
                                                                                          military personnel
                                                                                          with the requirements
                                                                                          specified in 46 Code
                                                                                          of Federal Regulations
                                                                                          4.06-3.
----------------------------------------------------------------------------------------------------------------
M-12-009.............................  Open-                                             Align your standards
                                       Acceptable Response....                            for postaccident
                                                                                          toxicological testing
                                                                                          of Coast Guard
                                                                                          civilian personnel,
                                                                                          seeking appropriate
                                                                                          legislative authority
                                                                                          if necessary, with the
                                                                                          requirements specified
                                                                                          in 46 Code of Federal
                                                                                          Regulations 4.06-3.
----------------------------------------------------------------------------------------------------------------
M-12-010.............................  Open-                                             Disseminate guidance
                                       Acceptable Response....                            within the Coast Guard
                                                                                          so that commanding
                                                                                          officers have
                                                                                          unambiguous
                                                                                          instruction detailing
                                                                                          the requirements for
                                                                                          timely drug and
                                                                                          alcohol testing of
                                                                                          Coast Guard military
                                                                                          and civilian personnel
                                                                                          whose work performance
                                                                                          may be linked to a
                                                                                          serious marine
                                                                                          incident.
----------------------------------------------------------------------------------------------------------------
M-13-002.............................  Open-                                             Work with the US
                                       Acceptable Response....                            Department of State to
                                                                                          develop a written
                                                                                          agreement between the
                                                                                          government of Mexico,
                                                                                          the US Coast Guard,
                                                                                          and the National
                                                                                          Transportation Safety
                                                                                          Board that will ensure
                                                                                          mutuality with regard
                                                                                          to: timely accident
                                                                                          notification;
                                                                                          expeditious access to
                                                                                          accident sites;
                                                                                          unimpeded ability to
                                                                                          gather evidence,
                                                                                          interview witnesses,
                                                                                          and establish facts;
                                                                                          logistical assistance
                                                                                          on scene; and
                                                                                          continuing liaison so
                                                                                          that problems and
                                                                                          differences are
                                                                                          minimized and promptly
                                                                                          resolved.
----------------------------------------------------------------------------------------------------------------
M-13-007.............................  Open-                                             Develop procedures to
                                       Acceptable Response....                            identify bridges
                                                                                          having chronic
                                                                                          navigation lighting
                                                                                          problems and work with
                                                                                          the states that own
                                                                                          those bridges to
                                                                                          rectify underlying
                                                                                          problems in a timely
                                                                                          manner.
----------------------------------------------------------------------------------------------------------------
M-13-008.............................  Open-                                             Review the process and
                                       Acceptable Response....                            means of delivering
                                                                                          broadcast notices to
                                                                                          mariners and identify
                                                                                          and implement methods
                                                                                          for providing timely
                                                                                          and easily accessible
                                                                                          navigation information
                                                                                          to mariners.
----------------------------------------------------------------------------------------------------------------
M-14-001.............................  Open-                                             Develop and implement
                                       Acceptable Response....                            human factors
                                                                                          standards for the
                                                                                          design of critical
                                                                                          vessel controls for US-
                                                                                          flag ships to include
                                                                                          clearly identifiable
                                                                                          and understandable
                                                                                          audible alerts and
                                                                                          displays indicating
                                                                                          which mode is engaged.
----------------------------------------------------------------------------------------------------------------
M-14-003.............................  Open-                    Yes....................  Require installation of
                                       Unacceptable Response..                            voyage data recorders
                                                                                          that meet the
                                                                                          International Maritime
                                                                                          Organization's
                                                                                          performance standard
                                                                                          for voyage data
                                                                                          recorders on new ferry
                                                                                          vessels subject to 46
                                                                                          Code of Federal
                                                                                          Regulations
                                                                                          Subchapters H and K.
                                                                                          (Supersedes Safety
                                                                                          Recommendations M-10-
                                                                                          005 and M-10-006)
----------------------------------------------------------------------------------------------------------------
M-14-004.............................  Open-                    Yes....................  Require installation of
                                       Unacceptable Response..                            voyage data recorders
                                                                                          that meet the
                                                                                          International Maritime
                                                                                          Organization's
                                                                                          performance standard
                                                                                          for simplified voyage
                                                                                          data recorders on
                                                                                          existing ferry vessels
                                                                                          subject to 46 Code of
                                                                                          Federal Regulations
                                                                                          Subchapters H and K.
                                                                                          (Supersedes Safety
                                                                                          Recommendations M-10-
                                                                                          005 and M-10-006)
----------------------------------------------------------------------------------------------------------------
M-14-005.............................  Open-                    Yes....................  Develop a US voyage
                                       Unacceptable Response..                            data recorder standard
                                                                                          for ferry vessels
                                                                                          subject to 46 Code of
                                                                                          Federal Regulations
                                                                                          Subchapter T and
                                                                                          require the
                                                                                          installation of such
                                                                                          equipment where
                                                                                          technically feasible.
                                                                                          (Supersedes Safety
                                                                                          Recommendations M-10-
                                                                                          005 and M-10-006)
----------------------------------------------------------------------------------------------------------------
M-15-008.............................  Open-                                             Revise your existing
                                       Acceptable Response....                            guidance to define
                                                                                          inspection
                                                                                          requirements clearly,
                                                                                          including the
                                                                                          frequency of
                                                                                          inspection, for each
                                                                                          bridge in your
                                                                                          jurisdiction.
----------------------------------------------------------------------------------------------------------------
M-15-009.............................  Open-                                             Evaluate the activities
                                       Acceptable Response....                            and performance of
                                                                                          each branch office in
                                                                                          the bridge program to
                                                                                          identify areas that
                                                                                          need improvement; then
                                                                                          take the actions
                                                                                          necessary to ensure
                                                                                          the effectiveness of
                                                                                          existing policy,
                                                                                          procedures, and
                                                                                          regulations related to
                                                                                          drawbridge operations
                                                                                          and the overall safety
                                                                                          of navigation.
----------------------------------------------------------------------------------------------------------------
M-16-004.............................  Open-                                             Address the risks
                                       Acceptable Response....                            associated with watch
                                                                                          stander fatigue by
                                                                                          implementing
                                                                                          Commandant Instruction
                                                                                          3500.2, Crew Endurance
                                                                                          Management, issued on
                                                                                          March 30, 2006, in all
                                                                                          operational units.
----------------------------------------------------------------------------------------------------------------
M-16-005.............................  Open-                                             Revise and align Title
                                       Unacceptable Response..                            33 Code of Federal
                                                                                          Regulations Part 161,
                                                                                          the Vessel Traffic
                                                                                          Service [VTS] National
                                                                                          Standard Operating
                                                                                          Procedures Manual, VTS
                                                                                          center internal
                                                                                          operating procedure
                                                                                          manuals, and training
                                                                                          curricula, as
                                                                                          necessary, to ensure
                                                                                          that VTS authority is
                                                                                          consistently applied
                                                                                          across the US Coast
                                                                                          Guard VTS system.
----------------------------------------------------------------------------------------------------------------
M-16-006.............................  Open-                                             Incorporate additional
                                       Unacceptable Response..                            training that
                                                                                          emphasizes realistic
                                                                                          vessel traffic service
                                                                                          (VTS) simulation
                                                                                          exercises, including
                                                                                          detecting and
                                                                                          responding to unsafe
                                                                                          traffic situations, in
                                                                                          your initial training
                                                                                          and proficiency
                                                                                          requirements for all
                                                                                          VTS watchstanders in
                                                                                          the US Coast Guard VTS
                                                                                          system.
----------------------------------------------------------------------------------------------------------------
M-16-007.............................  Open-                                             Require standard on-the-
                                       Unacceptable Response..                            job training (OJT)
                                                                                          mentor selection
                                                                                          criteria, including
                                                                                          appropriate vessel
                                                                                          traffic service
                                                                                          operator work
                                                                                          experience levels and
                                                                                          instructor training
                                                                                          requirements, for all
                                                                                          OJT mentors.
----------------------------------------------------------------------------------------------------------------
M-16-008.............................  Open-                                             Require all vessel
                                       Unacceptable Response..                            traffic service (VTS)
                                                                                          watch supervisors to
                                                                                          achieve a VTS operator
                                                                                          qualification and
                                                                                          complete a minimum
                                                                                          work experience
                                                                                          requirement as an
                                                                                          operator before
                                                                                          serving as a
                                                                                          supervisor.
----------------------------------------------------------------------------------------------------------------
M-16-009.............................  Open-                                             Modify your Vessel
                                       Unacceptable Response..                            Traffic Service [VTS]
                                                                                          National Standard
                                                                                          Operating Procedures
                                                                                          Manual, VTS center
                                                                                          internal operating
                                                                                          procedure manuals, and
                                                                                          training curricula, as
                                                                                          necessary, to ensure
                                                                                          that VTS watchstanders
                                                                                          share a common
                                                                                          understanding of how
                                                                                          to identify and
                                                                                          respond to situations
                                                                                          requiring navigational
                                                                                          assistance.
----------------------------------------------------------------------------------------------------------------
M-16-011.............................  Open-                                             Conduct or sponsor
                                       Unacceptable Response..                            research, with input
                                                                                          from appropriate
                                                                                          subject matter
                                                                                          experts, to develop
                                                                                          more effective
                                                                                          procedures or methods
                                                                                          for monitoring vessel
                                                                                          communications on the
                                                                                          bridge-to-bridge radio
                                                                                          frequency to identify
                                                                                          and address developing
                                                                                          unsafe situations in
                                                                                          vessel traffic service
                                                                                          areas.
----------------------------------------------------------------------------------------------------------------
M-16-012.............................  Open-                                             Once the research
                                       Unacceptable Response..                            recommended in Safety
                                                                                          Recommendation M-16-11
                                                                                          is completed, revise
                                                                                          your Vessel Traffic
                                                                                          Service [VTS] National
                                                                                          Standard Operating
                                                                                          Procedures Manual, VTS
                                                                                          center internal
                                                                                          operating procedure
                                                                                          manuals, and training
                                                                                          curricula, as
                                                                                          necessary.
----------------------------------------------------------------------------------------------------------------
M-16-013.............................  Open-                                             Work with the American
                                       Unacceptable Response..                            Pilots' Association
                                                                                          and the American
                                                                                          Waterways Operators to
                                                                                          conduct or sponsor
                                                                                          research to evaluate
                                                                                          and determine the
                                                                                          feasibility and
                                                                                          benefits of
                                                                                          professional mariner
                                                                                          representation on the
                                                                                          watchfloor at each of
                                                                                          the US Coast Guard
                                                                                          vessel traffic service
                                                                                          (VTS) centers, and
                                                                                          establish such
                                                                                          representation at VTS
                                                                                          centers, as
                                                                                          appropriate, based on
                                                                                          the findings of that
                                                                                          research.
----------------------------------------------------------------------------------------------------------------
M-16-014.............................  Open-                                             Revise your Vessel
                                       Unacceptable Response..                            Traffic Service [VTS]
                                                                                          National Standard
                                                                                          Operating Procedures
                                                                                          Manual, VTS center
                                                                                          internal operating
                                                                                          procedure manuals,
                                                                                          training curricula,
                                                                                          and VTS user manuals,
                                                                                          as necessary, to
                                                                                          ensure that VTS
                                                                                          watchstanders use
                                                                                          standard VTS
                                                                                          communication phrasing
                                                                                          and message markers
                                                                                          from the International
                                                                                          Maritime Organization
                                                                                          Standard Marine
                                                                                          Communication Phrases
                                                                                          during radio
                                                                                          communications with
                                                                                          mariners when
                                                                                          appropriate.
----------------------------------------------------------------------------------------------------------------
M-16-015.............................  Open-                                             Work with the Radio
                                       Unacceptable Response..                            Technical Commission
                                                                                          for Maritime Services
                                                                                          and the American
                                                                                          Waterways Operators to
                                                                                          modify regulations,
                                                                                          procedures, and
                                                                                          equipment standards,
                                                                                          as necessary, to
                                                                                          ensure that vessels
                                                                                          engaged in towing
                                                                                          operations broadcast
                                                                                          accurate automatic
                                                                                          identification system
                                                                                          information regarding
                                                                                          tow size and tow
                                                                                          configuration as well
                                                                                          as vessel size.
----------------------------------------------------------------------------------------------------------------
M-16-016.............................  Open-                                             Develop a continuous
                                       Unacceptable Response..                            risk assessment
                                                                                          program to evaluate
                                                                                          and mitigate safety
                                                                                          risks for each vessel
                                                                                          traffic service (VTS)
                                                                                          area in the US Coast
                                                                                          Guard VTS system that
                                                                                          includes input from
                                                                                          port and waterway
                                                                                          stakeholders.
----------------------------------------------------------------------------------------------------------------
M-16-017.............................  Open-                                             Develop a program for
                                       Unacceptable Response..                            conducting periodic
                                                                                          risk assessments of
                                                                                          the entire US Coast
                                                                                          Guard vessel traffic
                                                                                          service system that
                                                                                          includes input from
                                                                                          port and waterway
                                                                                          stakeholders to
                                                                                          evaluate and mitigate
                                                                                          system-wide safety
                                                                                          risks.
----------------------------------------------------------------------------------------------------------------
M-16-018.............................  Open-                                             Develop or revise, as
                                       Unacceptable Response..                            necessary, your
                                                                                          definitions of the
                                                                                          activity and incident
                                                                                          data collected by
                                                                                          vessel traffic service
                                                                                          (VTS) centers as
                                                                                          necessary to ensure
                                                                                          standardized and
                                                                                          routine reporting
                                                                                          across the entire US
                                                                                          Coast Guard VTS
                                                                                          system.
----------------------------------------------------------------------------------------------------------------
M-16-019.............................  Open-                                             Establish a program to
                                       Unacceptable Response..                            periodically analyze
                                                                                          the activity and
                                                                                          incident data
                                                                                          collected by vessel
                                                                                          traffic service (VTS)
                                                                                          centers to assess the
                                                                                          safety performance of
                                                                                          each VTS center and
                                                                                          the entire US Coast
                                                                                          Guard VTS system.
----------------------------------------------------------------------------------------------------------------
M-16-021.............................  Open-                                             Establish a program to
                                       Unacceptable Response..                            periodically review
                                                                                          each of the 12-vessel
                                                                                          traffic service (VTS)
                                                                                          areas and seek input
                                                                                          from port and waterway
                                                                                          stakeholders to
                                                                                          identify areas of
                                                                                          increased vessel
                                                                                          conflicts or accidents
                                                                                          that could benefit
                                                                                          from the use of
                                                                                          routing measures or
                                                                                          VTS special areas, and
                                                                                          establish such
                                                                                          measures where
                                                                                          appropriate.
----------------------------------------------------------------------------------------------------------------
M-16-026.............................  Open-                                             Amend Navigation and
                                       Acceptable Response....                            Vessel Inspection
                                                                                          Circular 1-01 to
                                                                                          ensure that (1)
                                                                                          amphibious passenger
                                                                                          vehicle (APV)
                                                                                          operators tell
                                                                                          passengers that seat
                                                                                          belts must not be worn
                                                                                          while the vessel/
                                                                                          vehicle is operated in
                                                                                          the water and (2)
                                                                                          before the APV enters
                                                                                          the water or departs
                                                                                          the dock, the master
                                                                                          or other crewmember
                                                                                          visually checks that
                                                                                          each passenger has
                                                                                          unbuckled his or her
                                                                                          seat belt.
----------------------------------------------------------------------------------------------------------------
M-17-001.............................  Open-                                             Establish a process
                                       Acceptable Response....                            whereby, at regular
                                                                                          intervals, all harbor
                                                                                          safety committees
                                                                                          identify the safety
                                                                                          risks posed by the
                                                                                          interaction of
                                                                                          commercial and
                                                                                          recreational vessels
                                                                                          in their respective
                                                                                          geographic areas;
                                                                                          where necessary,
                                                                                          develop and implement
                                                                                          practices to mitigate
                                                                                          those risks; and share
                                                                                          successful practices
                                                                                          among all harbor
                                                                                          safety committees.
----------------------------------------------------------------------------------------------------------------
M-17-002.............................  Open-                                             Seek statutory
                                       Acceptable Response....                            authority that
                                                                                          requires all
                                                                                          recreational boat
                                                                                          operators on waters
                                                                                          subject to the
                                                                                          jurisdiction of the
                                                                                          United States to
                                                                                          demonstrate completion
                                                                                          of an instructional
                                                                                          course or an
                                                                                          equivalent that meets
                                                                                          the National
                                                                                          Association of State
                                                                                          Boating Law
                                                                                          Administrators
                                                                                          standards.
----------------------------------------------------------------------------------------------------------------
M-17-003.............................  Open-                                             Work with the National
                                       Acceptable Response....                            Association of State
                                                                                          Boating Law
                                                                                          Administrators and the
                                                                                          National Water Safety
                                                                                          Congress to review and
                                                                                          update A Guide to
                                                                                          Multiple Use Waterway
                                                                                          Management at regular
                                                                                          intervals.
----------------------------------------------------------------------------------------------------------------
M-17-006.............................  Open-                                             Ensure that, at all
                                       Acceptable Response....                            times, at least one
                                                                                          crewmember on board
                                                                                          each type of response
                                                                                          boat is adequately
                                                                                          trained in the types
                                                                                          of medical emergencies
                                                                                          expected in a marine
                                                                                          environment and
                                                                                          qualified in the use
                                                                                          of all first-aid and/
                                                                                          or trauma equipment
                                                                                          carried on board.
----------------------------------------------------------------------------------------------------------------
M-17-007.............................  Open-                                             Develop a standard for
                                       Acceptable Response....                            the contents of First-
                                                                                          Aid and Trauma (FAT)
                                                                                          kits for each type of
                                                                                          Coast Guard response
                                                                                          vessel.
----------------------------------------------------------------------------------------------------------------
M-17-017.............................  Open-                                             In collaboration with
                                       Acceptable Response....                            the National Weather
                                                                                          Service, provide
                                                                                          timely broadcasts of
                                                                                          the Tropical Cyclone
                                                                                          Forecast/Advisories,
                                                                                          Intermediate Public
                                                                                          Advisories, and
                                                                                          Tropical Cyclone
                                                                                          Updates to mariners in
                                                                                          all regions via medium-
                                                                                          frequency navigational
                                                                                          TELEX (NAVTEX), high-
                                                                                          frequency voice
                                                                                          broadcasts (HF VOBRA),
                                                                                          and high-frequency
                                                                                          simplex teletype over
                                                                                          radio (HF SITOR), or
                                                                                          appropriate radio
                                                                                          alternatives (and
                                                                                          appropriate future
                                                                                          technology).
----------------------------------------------------------------------------------------------------------------
M-17-022.............................  Open-                                             Propose to the
                                       Unacceptable Response..                            International Maritime
                                                                                          Organization that
                                                                                          design maximum
                                                                                          operating angles of
                                                                                          inclination for main
                                                                                          propulsion and other
                                                                                          critical machinery be
                                                                                          included in damage
                                                                                          control documents,
                                                                                          stability instruments
                                                                                          and booklets, and in
                                                                                          the safety management
                                                                                          systems for all
                                                                                          applicable vessels.
----------------------------------------------------------------------------------------------------------------
M-17-023.............................  Open-                                             Propose to the
                                       Unacceptable Response..                            International Maritime
                                                                                          Organization that all
                                                                                          watertight access
                                                                                          doors and access hatch
                                                                                          covers normally closed
                                                                                          at sea be provided
                                                                                          with open/close
                                                                                          indicators both on the
                                                                                          bridge and locally.
----------------------------------------------------------------------------------------------------------------
M-17-024.............................  Open-                                             Propose to the
                                       Acceptable Response....                            International Maritime
                                                                                          Organization that on
                                                                                          new and existing
                                                                                          vessels, seawater
                                                                                          supply piping below
                                                                                          the waterline in all
                                                                                          cargo holds be
                                                                                          protected from impact.
----------------------------------------------------------------------------------------------------------------
M-17-025.............................  Open-                                             Propose to the
                                       Acceptable Response....                            International Maritime
                                                                                          Organization to
                                                                                          require that new cargo
                                                                                          vessels be equipped
                                                                                          with bilge high-level
                                                                                          alarms in all cargo
                                                                                          holds that send
                                                                                          audible and visible
                                                                                          indication to a manned
                                                                                          location.
----------------------------------------------------------------------------------------------------------------
M-17-026.............................  Open-                                             Propose to the
                                       Acceptable Response....                            International Maritime
                                                                                          Organization to
                                                                                          require that existing
                                                                                          cargo vessels be
                                                                                          retrofitted with bilge
                                                                                          high-level alarms in
                                                                                          all cargo holds that
                                                                                          send audible and
                                                                                          visible indication to
                                                                                          a manned location.
----------------------------------------------------------------------------------------------------------------
M-17-027.............................  Open-                                             Propose to the
                                       Acceptable Response....                            International Maritime
                                                                                          Organization that any
                                                                                          opening that must
                                                                                          normally be kept open
                                                                                          for the effective
                                                                                          operation of the ship
                                                                                          must also be
                                                                                          considered a
                                                                                          downflooding point,
                                                                                          both in intact and
                                                                                          damage stability
                                                                                          regulations and in
                                                                                          load line regulations
                                                                                          under the
                                                                                          International
                                                                                          Convention on Load
                                                                                          Lines.
----------------------------------------------------------------------------------------------------------------
M-17-029.............................  Open-                                             Propose to the
                                       Unacceptable Response..                            International Maritime
                                                                                          Organization that
                                                                                          existing cargo vessels
                                                                                          operating under the
                                                                                          International
                                                                                          Convention for the
                                                                                          Safety of Life at Sea
                                                                                          be required to have
                                                                                          damage control plans
                                                                                          and booklets on board
                                                                                          that meet current
                                                                                          standards.
----------------------------------------------------------------------------------------------------------------
M-17-030.............................  Open-                                             Propose to the
                                       Unacceptable Response..                            International Maritime
                                                                                          Organization that
                                                                                          damage control plans
                                                                                          and booklets required
                                                                                          by the International
                                                                                          Convention for the
                                                                                          Safety of Life at Sea
                                                                                          be class-approved.
----------------------------------------------------------------------------------------------------------------
M-17-031.............................  Open-                                             Publish policy guidance
                                       Acceptable Response....                            to approved maritime
                                                                                          training schools
                                                                                          offering bridge
                                                                                          resource management
                                                                                          courses to promote a
                                                                                          cohesive team
                                                                                          environment and
                                                                                          improve the decision-
                                                                                          making process, and
                                                                                          specifically include
                                                                                          navigational and storm-
                                                                                          avoidance scenarios.
----------------------------------------------------------------------------------------------------------------
M-17-032.............................  Open-                                             Require recurring
                                       Acceptable Response....                            bridge resource
                                                                                          management training
                                                                                          for all deck officers
                                                                                          when renewing their
                                                                                          credentials.
----------------------------------------------------------------------------------------------------------------
M-17-033.............................  Open-                                             Require that all deck
                                       Acceptable Alternate                               officers, at both
                                       Response.                                          operational and
                                                                                          management levels,
                                                                                          take a Coast Guard-
                                                                                          approved advanced
                                                                                          meteorology course to
                                                                                          close the gap for
                                                                                          mariners initially
                                                                                          credentialed before
                                                                                          1998.
----------------------------------------------------------------------------------------------------------------
M-17-034.............................  Open-                                             Publish policy guidance
                                       Acceptable Response....                            to approved maritime
                                                                                          training schools
                                                                                          offering management-
                                                                                          level training in
                                                                                          advanced meteorology,
                                                                                          or in an appropriate
                                                                                          course, to ensure that
                                                                                          the curriculum
                                                                                          includes the following
                                                                                          topics:
                                                                                          characteristics of
                                                                                          weather systems
                                                                                          including tropical
                                                                                          revolving storms;
                                                                                          advanced
                                                                                          meteorological
                                                                                          concepts; importance
                                                                                          of sending weather
                                                                                          observations; ship
                                                                                          maneuvering using
                                                                                          advanced simulators in
                                                                                          heavy weather; heavy-
                                                                                          weather preparations;
                                                                                          use of technology to
                                                                                          transmit and receive
                                                                                          weather forecasts
                                                                                          (such as navigational
                                                                                          telex or weather-
                                                                                          routing providers);
                                                                                          ship-routing services
                                                                                          (capabilities and
                                                                                          limitations); and
                                                                                          launching of lifeboats
                                                                                          and liferafts in heavy
                                                                                          weather.
----------------------------------------------------------------------------------------------------------------
M-17-035.............................  Open-                                             Provide policy guidance
                                       Acceptable Response....                            to approved maritime
                                                                                          training schools
                                                                                          offering operational-
                                                                                          level training in
                                                                                          meteorology to ensure
                                                                                          that the curriculum
                                                                                          includes the following
                                                                                          topics:
                                                                                          characteristics of
                                                                                          weather systems,
                                                                                          weather charting and
                                                                                          reporting, importance
                                                                                          of sending weather
                                                                                          observations, sources
                                                                                          of weather
                                                                                          information, and
                                                                                          interpreting weather
                                                                                          forecast products.
----------------------------------------------------------------------------------------------------------------
M-17-036.............................  Open-                                             Require that vessels in
                                       Unacceptable Response..                            ocean service (500
                                                                                          gross tons or over) be
                                                                                          equipped with properly
                                                                                          operating
                                                                                          meteorological
                                                                                          instruments, including
                                                                                          functioning
                                                                                          barometers,
                                                                                          barographs, and
                                                                                          anemometers.
----------------------------------------------------------------------------------------------------------------
M-17-037.............................  Open-                                             Revise Title 46 Code of
                                       Acceptable Response....                            Federal Regulations
                                                                                          170.110 (stability
                                                                                          booklet) to require
                                                                                          (1) stability
                                                                                          instructions,
                                                                                          guidance, or data on
                                                                                          wind velocity used to
                                                                                          calculate weather
                                                                                          criteria; (2) list of
                                                                                          closures that must be
                                                                                          made to prevent
                                                                                          unintentional
                                                                                          flooding; (3) list of
                                                                                          closures that must be
                                                                                          made for an opening
                                                                                          not to be considered a
                                                                                          downflooding point;
                                                                                          and (4) righting arm
                                                                                          curve (metacentric
                                                                                          height) table to note
                                                                                          the angle at which
                                                                                          initial downflooding
                                                                                          occurs; also, add a
                                                                                          windheel table for
                                                                                          vessel full load
                                                                                          displacement or the
                                                                                          condition of greatest
                                                                                          vulnerability to
                                                                                          windheel.
----------------------------------------------------------------------------------------------------------------
M-17-038.............................  Open-                                             Update the guidance in
                                       Unacceptable Response..                            Navigation and
                                                                                          Inspection Circular 4-
                                                                                          77 (Shifting Weights
                                                                                          or Counter Flooding
                                                                                          During Emergency
                                                                                          Situations), based on
                                                                                          the circumstances of
                                                                                          the El Faro accident,
                                                                                          to include a warning
                                                                                          that actions by ship
                                                                                          personnel intended to
                                                                                          correct a list can
                                                                                          produce dangerous
                                                                                          results if roll-on/
                                                                                          roll-off cargo is
                                                                                          already adrift and
                                                                                          water has reduced the
                                                                                          coefficients of
                                                                                          friction for lashed
                                                                                          cargo.
----------------------------------------------------------------------------------------------------------------
M-17-039.............................  Open-                                             Conduct a complete
                                       Acceptable Response....                            review of the
                                                                                          Alternate Compliance
                                                                                          Program to assess the
                                                                                          adequacy and
                                                                                          effectiveness of the
                                                                                          program.
----------------------------------------------------------------------------------------------------------------
M-17-040.............................  Open-                                             Review and implement
                                       Acceptable Response....                            training of Coast
                                                                                          Guard inspectors and
                                                                                          accredited
                                                                                          classification society
                                                                                          surveyors to ensure
                                                                                          that they are properly
                                                                                          qualified and
                                                                                          supported to perform
                                                                                          effective, accurate,
                                                                                          and transparent vessel
                                                                                          inspections, meeting
                                                                                          all statutory and
                                                                                          regulatory
                                                                                          requirements.
----------------------------------------------------------------------------------------------------------------
M-17-041.............................  Open-                                             Review and implement
                                       Acceptable Alternate                               training of Coast
                                       Response.                                          Guard inspectors and
                                                                                          accredited
                                                                                          classification society
                                                                                          surveyors to ensure
                                                                                          that they are properly
                                                                                          qualified and
                                                                                          supported to perform
                                                                                          effective, accurate,
                                                                                          and transparent vessel
                                                                                          inspections, meeting
                                                                                          all statutory and
                                                                                          regulatory
                                                                                          requirements.
----------------------------------------------------------------------------------------------------------------
M-17-043.............................  Open-Await Response.                              Require that open
                                                                                          lifeboats on all US-
                                                                                          inspected vessels be
                                                                                          replaced with enclosed
                                                                                          lifeboats that meet
                                                                                          current regulatory
                                                                                          standards and freefall
                                                                                          lifeboats, where
                                                                                          practicable.
----------------------------------------------------------------------------------------------------------------
M-17-044.............................  Open-                                             To prevent future
                                       Acceptable Response....                            errors in converting
                                                                                          position data such as
                                                                                          occurred in the El
                                                                                          Faro accident, work
                                                                                          with manufacturers of
                                                                                          Global Maritime
                                                                                          Distress and Safety
                                                                                          System equipment,
                                                                                          communication
                                                                                          providers, and land
                                                                                          earth stations to
                                                                                          remove ambiguity from
                                                                                          the Inmarsat-C
                                                                                          distress alert
                                                                                          position reports.
----------------------------------------------------------------------------------------------------------------
M-17-045.............................  Open-                    Yes....................  Require that all
                                       Unacceptable Response..                            personnel employed on
                                                                                          vessels in coastal,
                                                                                          Great Lakes, and ocean
                                                                                          service be provided
                                                                                          with a personal
                                                                                          locator beacon to
                                                                                          enhance their chances
                                                                                          of survival.
----------------------------------------------------------------------------------------------------------------
M-17-046.............................  Open-                                             Modify guidance and
                                       Unacceptable Response..                            training for marine
                                                                                          inspectors to ensure
                                                                                          that voyage data
                                                                                          recorder annual
                                                                                          performance tests
                                                                                          include the
                                                                                          replacement of locator
                                                                                          beacons prior to
                                                                                          expiration and that
                                                                                          audio used to evaluate
                                                                                          quality is recorded
                                                                                          while a ship is under
                                                                                          way using its main
                                                                                          propulsion unit.
----------------------------------------------------------------------------------------------------------------
M-17-047.............................  Open-                                             Propose to the
                                       Acceptable Response....                            International Maritime
                                                                                          Organization to amend
                                                                                          resolution MSC.333(90)
                                                                                          to specify that
                                                                                          ``normal operations''
                                                                                          are defined as when a
                                                                                          ship is under way
                                                                                          using its main
                                                                                          propulsion unit and to
                                                                                          assess voyage data
                                                                                          recorder problems,
                                                                                          including not
                                                                                          capturing both sides
                                                                                          of internal phone
                                                                                          calls on the bridge
                                                                                          electric telephone and
                                                                                          unrecorded very-high-
                                                                                          frequency
                                                                                          communications, and
                                                                                          identify steps to
                                                                                          remedy them.
----------------------------------------------------------------------------------------------------------------
M-17-048.............................  Open-                                             If the actions
                                       Acceptable Alternate                               recommended to the
                                       Response.                                          National Oceanic and
                                                                                          Atmospheric
                                                                                          Administration in
                                                                                          Safety Recommendation
                                                                                          M-17-52 establish that
                                                                                          the automatic
                                                                                          identification system
                                                                                          (AIS) is a viable
                                                                                          means by which to
                                                                                          relay (with acceptable
                                                                                          time delay)
                                                                                          meteorological and
                                                                                          oceanographic data and
                                                                                          metadata from vessels
                                                                                          at sea for use by
                                                                                          global meteorological
                                                                                          authorities, propose
                                                                                          to the International
                                                                                          Maritime Organization
                                                                                          that vessels required
                                                                                          to use AIS also be
                                                                                          equipped with
                                                                                          meteorological and
                                                                                          oceanographic sensors
                                                                                          including, at a
                                                                                          minimum, sensors for
                                                                                          barometric pressure
                                                                                          and sea-surface
                                                                                          temperature that will
                                                                                          automatically
                                                                                          disseminate the data
                                                                                          at high-temporal
                                                                                          resolution via AIS.
----------------------------------------------------------------------------------------------------------------
M-17-049.............................  Open-                                             Propose to the
                                       Acceptable Alternate                               International Maritime
                                       Response.                                          Organization that
                                                                                          vessels under
                                                                                          regulations of the
                                                                                          International
                                                                                          Convention for the
                                                                                          Safety of Life at Sea
                                                                                          that are not already
                                                                                          automatically
                                                                                          disseminating
                                                                                          meteorological and
                                                                                          oceanographic data by
                                                                                          other means be
                                                                                          required to manually
                                                                                          disseminate such data
                                                                                          while at sea via the
                                                                                          automatic
                                                                                          identification system
                                                                                          or the Voluntary
                                                                                          Observing Ship program
                                                                                          at the times of 0000
                                                                                          coordinated universal
                                                                                          time (UTC), 0600 UTC,
                                                                                          1200 UTC, and 1800
                                                                                          UTC.
----------------------------------------------------------------------------------------------------------------
M-18-001.............................  Open-                                             Require operators to
                                       Acceptable Alternate                               perform full function
                                       Response.                                          tests of quick-closing
                                                                                          valves during
                                                                                          inspections and
                                                                                          examinations, ensuring
                                                                                          that the associated
                                                                                          systems shut down as
                                                                                          designed and intended.
----------------------------------------------------------------------------------------------------------------
M-18-002.............................  Open-                    Yes....................  Evaluate the
                                       Acceptable Response....                            feasibility of
                                                                                          creating a passenger
                                                                                          vessel safety
                                                                                          specialist billet at
                                                                                          each sector that has
                                                                                          the potential for a
                                                                                          search and rescue
                                                                                          activity characterized
                                                                                          by the need for
                                                                                          immediate assistance
                                                                                          to a large number of
                                                                                          persons in distress,
                                                                                          and staff sector-level
                                                                                          billets, as
                                                                                          appropriate, based on
                                                                                          the findings of that
                                                                                          evaluation.
----------------------------------------------------------------------------------------------------------------
M-18-013.............................  Open-                    Yes....................  Require fire detection
                                       Acceptable Response....                            systems in unmanned
                                                                                          spaces with machinery
                                                                                          or other potential
                                                                                          heat sources on board
                                                                                          small passenger
                                                                                          vessels.
----------------------------------------------------------------------------------------------------------------
M-19-006.............................  Open-                                             In collaboration with
                                       Acceptable Response....                            the Corps of
                                                                                          Engineers, develop a
                                                                                          policy to ensure
                                                                                          fleeting areas are
                                                                                          maintained in
                                                                                          compliance with permit
                                                                                          requirements.
----------------------------------------------------------------------------------------------------------------
M-19-007.............................  Open-                                             Develop a regulated
                                       Acceptable Response....                            navigation area for
                                                                                          the Pittsburgh region
                                                                                          that would ensure the
                                                                                          integrity of fleeting
                                                                                          areas and include
                                                                                          detailed requirements
                                                                                          for barge moorings
                                                                                          during highwater and
                                                                                          ice conditions.
----------------------------------------------------------------------------------------------------------------
M-19-015.............................  Open-                                             Require DUKW amphibious
                                       Acceptable Response....                            passenger vessels
                                                                                          (commonly referred to
                                                                                          as original and/or
                                                                                          ``stretch'' DUKWs) to
                                                                                          have sufficient
                                                                                          reserve buoyancy
                                                                                          through passive means,
                                                                                          so that they remain
                                                                                          upright and afloat
                                                                                          with a full complement
                                                                                          of passengers and
                                                                                          crewmembers in the
                                                                                          event of damage or
                                                                                          flooding.
----------------------------------------------------------------------------------------------------------------
M-19-016.............................  Open-                                             For DUKW amphibious
                                       Acceptable Response....                            passenger vessels
                                                                                          without sufficient
                                                                                          reserve buoyancy
                                                                                          (commonly referred to
                                                                                          as original and/or
                                                                                          ``stretch'' DUKWs),
                                                                                          require the removal of
                                                                                          canopies, side
                                                                                          curtains, and their
                                                                                          associated framing
                                                                                          during waterborne
                                                                                          operations to improve
                                                                                          emergency egress in
                                                                                          the event of sinking.
----------------------------------------------------------------------------------------------------------------
M-20-001.............................  Open-                    Yes....................  Require that amphibious
                                       Acceptable Response....                            passenger vessels
                                                                                          equipped with forward
                                                                                          hatches enable
                                                                                          operators to securely
                                                                                          close them during
                                                                                          waterborne operations
                                                                                          to prevent water
                                                                                          ingress.
----------------------------------------------------------------------------------------------------------------
M-20-002.............................  Open-                    Yes....................  Review the
                                       Acceptable Response....                            circumstances of the
                                                                                          Stretch Duck 7 sinking
                                                                                          and other amphibious
                                                                                          passenger vessel
                                                                                          accidents, and revise
                                                                                          Navigation and Vessel
                                                                                          Inspection Circular
                                                                                          (NVIC) 1-01 to address
                                                                                          the issues found in
                                                                                          these accidents,
                                                                                          including operations
                                                                                          during imminent severe
                                                                                          weather and emergency
                                                                                          egress during rapid
                                                                                          sinking.
----------------------------------------------------------------------------------------------------------------
M-20-003.............................  Open-                    Yes....................  Examine existing
                                       Acceptable Alternate                               training and knowledge
                                       Response.                                          requirements for
                                                                                          understanding and
                                                                                          applying fundamental
                                                                                          weather principles to
                                                                                          waterborne operations
                                                                                          for Coast Guard-
                                                                                          credentialed masters
                                                                                          who operate small
                                                                                          passenger vessels;
                                                                                          and, if warranted,
                                                                                          require additional
                                                                                          training requirements
                                                                                          for these ratings on
                                                                                          recognition of
                                                                                          critical weather
                                                                                          situations in pre-
                                                                                          departure planning and
                                                                                          while under way.
----------------------------------------------------------------------------------------------------------------
M-20-014.............................  Open-                                             Revise Title 46 Code of
                                       Acceptable Response....                            Federal Regulations
                                                                                          Subchapter T to
                                                                                          require that newly
                                                                                          constructed vessels
                                                                                          with overnight
                                                                                          accommodations have
                                                                                          smoke detectors in all
                                                                                          accommodation spaces.
----------------------------------------------------------------------------------------------------------------
M-20-015.............................  Open-                                             Revise Title 46 Code of
                                       Acceptable Response....                            Federal Regulations
                                                                                          Subchapter T to
                                                                                          require that all
                                                                                          vessels with overnight
                                                                                          accommodations
                                                                                          currently in service,
                                                                                          including those
                                                                                          constructed prior to
                                                                                          1996, have smoke
                                                                                          detectors in all
                                                                                          accommodation spaces.
----------------------------------------------------------------------------------------------------------------
M-20-016.............................  Open-                                             Revise Title 46 Code of
                                       Acceptable Response....                            Federal Regulations
                                                                                          Subchapter T and
                                                                                          Subchapter K to
                                                                                          require all vessels
                                                                                          with overnight
                                                                                          accommodations,
                                                                                          including vessels
                                                                                          constructed prior to
                                                                                          1996, have
                                                                                          interconnected smoke
                                                                                          detectors, such that
                                                                                          when one detector
                                                                                          alarms, the remaining
                                                                                          detectors also alarm.
----------------------------------------------------------------------------------------------------------------
M-20-017.............................  Open-                                             Develop and implement
                                       Acceptable Response....                            an inspection
                                                                                          procedure to verify
                                                                                          that small passenger
                                                                                          vessel owners,
                                                                                          operators, and
                                                                                          charterers are
                                                                                          conducting roving
                                                                                          patrols as required by
                                                                                          Title 46 Code of
                                                                                          Federal Regulations
                                                                                          Subchapter T.
----------------------------------------------------------------------------------------------------------------
M-20-018.............................  Open-                                             Revise Title 46 Code of
                                       Acceptable Response....                            Federal Regulations
                                                                                          Subchapter T to
                                                                                          require newly
                                                                                          constructed small
                                                                                          passenger vessels with
                                                                                          overnight
                                                                                          accommodations to
                                                                                          provide a secondary
                                                                                          means of escape into a
                                                                                          different space than
                                                                                          the primary exit so
                                                                                          that a single fire
                                                                                          should not affect both
                                                                                          escape paths.
----------------------------------------------------------------------------------------------------------------
M-20-019.............................  Open-                                             Revise Title 46 Code of
                                       Acceptable Response....                            Federal Regulations
                                                                                          Subchapter T to
                                                                                          require all small
                                                                                          passenger vessels with
                                                                                          overnight
                                                                                          accommodations,
                                                                                          including those
                                                                                          constructed prior to
                                                                                          1996, to provide a
                                                                                          secondary means of
                                                                                          escape into a
                                                                                          different space than
                                                                                          the primary exit so
                                                                                          that a single fire
                                                                                          should not affect both
                                                                                          escape paths.
----------------------------------------------------------------------------------------------------------------
M-20-020.............................  Open-                                             Review the suitability
                                       Acceptable Response....                            of Title 46 Code of
                                                                                          Federal Regulations
                                                                                          Subchapter T
                                                                                          regulations regarding
                                                                                          means of escape to
                                                                                          ensure there are no
                                                                                          obstructions to egress
                                                                                          on small passenger
                                                                                          vessels constructed
                                                                                          prior to 1996 and
                                                                                          modify regulations
                                                                                          accordingly.
----------------------------------------------------------------------------------------------------------------
M-21-005.............................  Open-Await Response.                              Conduct a study to
                                                                                          evaluate the effects
                                                                                          of icing, including
                                                                                          asymmetrical
                                                                                          accumulation, on crab
                                                                                          pots and crab pot
                                                                                          stacks and disseminate
                                                                                          findings of the study
                                                                                          to industry, by means
                                                                                          such as a safety
                                                                                          alert.
----------------------------------------------------------------------------------------------------------------
M-21-006.............................  Open-Await Response.                              Based on the findings
                                                                                          of the study
                                                                                          recommended in Safety
                                                                                          Recommendation M-21-
                                                                                          05, revise regulatory
                                                                                          stability calculations
                                                                                          for fishing vessels to
                                                                                          account for the
                                                                                          effects of icing,
                                                                                          including asymmetrical
                                                                                          accumulation, on a
                                                                                          crab pot or pot stack.
----------------------------------------------------------------------------------------------------------------
M-21-007.............................  Open-Await Response.                              Revise Title 46 Code of
                                                                                          Federal Regulations
                                                                                          28.530 to require that
                                                                                          stability instructions
                                                                                          include the icing
                                                                                          amounts used to
                                                                                          calculate stability
                                                                                          criteria.
----------------------------------------------------------------------------------------------------------------
M-21-008.............................  Open-Await Response.                              Develop an oversight
                                                                                          program to review the
                                                                                          stability instructions
                                                                                          of commercial fishing
                                                                                          vessels that are not
                                                                                          required to possess a
                                                                                          load line certificate
                                                                                          for accuracy and
                                                                                          compliance with
                                                                                          regulations.
----------------------------------------------------------------------------------------------------------------
M-21-015.............................  Open-Await Response.                              Propose to the
                                                                                          International Maritime
                                                                                          Organization to
                                                                                          eliminate
                                                                                          International Maritime
                                                                                          Dangerous Goods Code
                                                                                          special provision 961
                                                                                          for used and damaged
                                                                                          flammable-liquid-
                                                                                          powered vehicles
                                                                                          transported by roll-on/
                                                                                          roll-off vehicle
                                                                                          carriers.
----------------------------------------------------------------------------------------------------------------


    Mr. Carbajal. Thank you, Ms. Homendy.
    We will now move on to Member questions. Each Member will 
be recognized for 5 minutes, and I will start by recognizing 
myself.
    Admiral Mauger, given that the investigations often result 
in similar recommendations, why has the NTSB been more 
expedient than the Coast Guard in investigating the Conception 
incident? I understand the Coast Guard's own investigation 
still hasn't come to a conclusion. I understand there is a 
number of reasons for that. But if you could comment on that, 
that would be great.
    Admiral Mauger. Mr. Chairman, the Coast Guard and NTSB work 
very closely together when there is a major marine casualty to 
make sure that we bring the expertise of both organizations to 
bear on determining the facts and the primary cause for that 
casualty. But then we have different responsibilities in terms 
of the investigations that we carry out.
    One of the responsibilities that the Coast Guard has to 
determine through our investigations is whether or not there is 
any evidence of potential criminal activity as well. And when 
there is evidence of potential criminal activity, then we work 
very closely with the Department of Justice and the Federal law 
enforcement agencies to refer our investigation to those 
organizations for further consideration and prosecution.
    In the case of Conception and Stretch Duck 7, our casualty 
investigation information was referred to the Department of 
Justice and is awaiting their results on the criminal 
prosecution of both of those cases.
    But we are not waiting to make sure that the lessons that 
we learned from our investigation are applied. In the time 
following both the Conception casualty and the Stretch Duck 7 
casualty, we released policy statements, we changed our 
compliance procedures, and we set about developing new safety 
regulations that come into effect next week that make sure that 
we strengthen the safety standards, even though our casualty 
investigation hasn't yet been concluded.
    Mr. Carbajal. Thank you.
    Admiral Mauger, in its investigation of the Conception 
incident, the NTSB reiterated its recommendations to the Coast 
Guard that it require all operators of U.S.-flag passenger 
vessels to implement a safety management system. And last year, 
the Coast Guard issued a proposed rulemaking SMS requirement 
for all passenger vessels.
    Since it has been 2\1/2\ years since the Conception 
tragedy, when can we expect implementation?
    Admiral Mauger. Mr. Chairman, safety management systems are 
a key portion of that safety responsibility. As I mentioned in 
my opening statement, safety is a shared responsibility between 
the owner, the operator of the vessel, the captain and crew on 
board, and the Coast Guard. And the owner-operator is 
responsible for setting that safety culture and providing those 
resources to the captain and crew to do their job. And that is 
what safety management systems are intended to provide.
    Last January, we released an advance notice of proposed 
rulemaking, describing our intent to issue safety management 
system regulations for passenger vessels. Through the public 
comment period for that rulemaking, we received over 134 
comments. Some of the questions that we had asked were: What 
were the benefits that industry members had seen for that? What 
were benefits the public had seen from the implementation of 
those safety management systems? How were they implemented? How 
did they check compliance? What were the costs associated with 
all those?
    And so, with the 134 responses, we have got a wide range of 
comments ranging from implementation in excess of half a 
million dollars to implementation that was only in the tens of 
thousands of dollars to implement.
    And so, we are working through--and then the passenger 
vessel industry, as well, is a very diverse industry. We are 
working through very carefully to make sure that we take all of 
that input into effect and put that together in a policy 
statement that will come out as a notice of proposed 
rulemaking. We are working very diligently to get that out as 
quickly as possible.
    Mr. Carbajal. Thank you.
    Ms. Homendy, you spoke a lot about the importance of SMS on 
all vessels in your testimony.
    Would you care to comment on the Coast Guard's response?
    Ms. Homendy. Yes. On SMS, I do understand rulemaking can be 
difficult. But in the meantime, we continue to see tragedies 
which have taken lives. So, moving forward in an expeditious 
manner is important. But while the Coast Guard is moving 
forward, there is nothing preventing the passenger vessel 
industry from implementing SMS voluntarily. And they should.
    And we have seen incredible benefits in other modes of 
transportation including aviation where they have implemented 
safety management systems successfully. In fact, in commercial 
aviation--and I am sure Mr. Larsen can echo this--we have had, 
over the past 7 of the past 10 years in commercial passenger 
aviation, zero deaths. And that is what we want to see. That is 
the goal in small passenger vessel operations as well.
    Mr. Carbajal. Thank you.
    Chair Homendy, in your testimony, you provided an appendix 
which included the status of Coast Guard responses to NTSB 
recommendations. This is extremely helpful to see. So, I thank 
you for that information.
    Could you explain what the NTSB considers an ``unacceptable 
response'' from the Coast Guard?
    Ms. Homendy. Yes. Thank you for the question, Mr. Chairman.
    An ``unacceptable response'' would be one that does not 
address our recommendation or fails to address it completely. 
We have, right now, 19 small passenger vessel recommendations 
that are open. Four of those are ``open--unacceptable.'' Those 
are around voyage data recorders which, without voyage data 
recorders, if you use aviation as an example, it would be like 
conducting an investigation without a black box.
    And that information is critical not just for NTSB's 
investigation, but it is critical for the operator to know what 
happened after an accident occurs. That information is key.
    So, we have four. Those 4 are ``open--unacceptable'' right 
now, and the rest of those 19 are ``open--acceptable.'' 
Overall, we have 93 open recommendations to the Coast Guard. 
About 34 percent are ``unacceptable'' right now.
    Mr. Carbajal. Thank you.
    Chair Homendy, would you send your family out on an ``old 
T'' overnight passenger vessel similar to the Conception?
    Ms. Homendy. I have a daughter who is 14 and a husband, and 
I would not. The Conception was designed so it had an emergency 
egress and then the main entrance to the bunk area that both 
ended up into the same area which was engulfed in flames. I 
would not.
    Mr. Carbajal. Thank you for your candid response, and I 
think that speaks volumes. So, thank you for answering that 
question.
    With that, I am now going to move on to Ranking Member 
Gibbs for his questions. And I just want to remind everyone 
that we will have a second round of questions that I will be 
leading after we finish this round.
    So, with that, Representative Gibbs.
    Mr. Gibbs. Thank you, Chairman.
    Admiral Mauger, it is always preferable for the Coast 
Guard's marine casualty reports on final action memos from the 
Commandant before we move any legislation to improve on marine 
safety.
    We had the final action memo related to the El Faro 
accident before we moved on the legislation. That related to 
that accident. However, we still do not have a marine casualty 
investigation on the Commandant's final action memo for either 
the 2018 duck boat accident in Missouri or the 2019 Conception 
dive boat fire which occurred in the chairman's district.
    When do you expect these investigations to be available for 
the subcommittee to review?
    Admiral Mauger. Thank you, Ranking Member.
    Our investigations are right now coordinated with the 
Department of Justice, pending the results of their actions 
with regard to criminal matters associated with both Stretch 
Duck 7 and Conception.
    But in the meantime, we are not waiting to identify any of 
those safety lessons learned from either of those accidents and 
take action on those safety lessons learned.
    And so, we have looked to the National Transportation 
Safety Board and to our own investigators to learn what we can 
from those casualties and then implement regulations or 
implement policies and regulations to address those particular 
issues.
    All of the provisions that were included in the Elijah E. 
Cummings Coast Guard Authorization Act of 2020, for example, 
have been incorporated into our regulations for small passenger 
vessel fire safety which takes effect on Monday next week.
    Mr. Gibbs. That's good. It sounds like you have moved on 
the safety. Just waiting for DOJ for any liability or criminal 
activity. So, I appreciate that answer.
    Also, Admiral, I think this is already addressed. You said 
it here, next Monday--March 28th, I think that is next week--
new rules to be for the small passenger vessel. I am looking 
through here on this chart. I assume it is a typo. I just bring 
this up just so they can correct it.
    So, on some of those requirements in the chart, they say 3/
28/2022 but some say 3/38. So, you might want to correct that 
typo. I don't think there are 38 days in March. That was tongue 
in cheek there.
    Anyway, also GAO, Admiral, issued a report January 12th of 
this year, ``Enhancements Needed to Strengthen Marine 
Inspection Workforce Planning Efforts.'' GAO made five 
recommendations regarding marine inspection workforce planning. 
I understand these recommendations remain open.
    When does the Coast Guard intend to respond to the GAO's 
recommendations?
    Admiral Mauger. Thank you, Ranking Member.
    We appreciate the oversight from Congress and the support 
that has been provided to strengthen our marine inspection 
program. And so, the GAO report identified a number of areas 
where we can take further improvements by collecting additional 
data and reporting on additional data. And so, we continue to 
evaluate that and will look forward to responding to GAO as 
quickly as possible with a detailed plan for how we are going 
to address those recommendations.
    We have incorporated many of the ideas identified in the 
GAO report already into our prevention readiness initiative. As 
you know, the Commandant has really been focused on the 
readiness of the Coast Guard workforce in general.
    And so, with the Commandant's support, the Coast Guard has 
published a prevention readiness initiative which is really 
aimed at making sure that we have the people and the governance 
and the technology to enable our inspectors and investigators 
and marine safety personnel to be as capable as they can 
because their work is just so important.
    Thank you.
    Mr. Gibbs. I think, Mr. Chairman, I have got a couple more 
questions. But I will wait for the second round since my time 
is running low here.
    I'll hold on for the second round, so I'll yield back at 
this time. Thank you.
    Mr. Carbajal. Thank you, Representative Gibbs.
    We will now move on to Representative Larsen.
    Mr. Larsen of Washington. Thank you, Mr. Chair.
    First off, I do want to express my condolences, as well, to 
the families of the victims of the Conception, as well as of 
the duck boat incident in Missouri. We had our own incident, 
duck boat incident, here in Washington State in Seattle. And my 
first question is for Chair Homendy on that issue.
    Your testimony references the investigation of a duck boat 
crash in Seattle in 2015. That investigation led to the 
recommendation that the Coast Guard amend its Navigation and 
Vessel Inspection Circular 1-01 to ensure passengers unbuckle 
before waterborne operations, and the crew confirms passengers 
have complied.
    Now, that recommendation has not yet been followed by the 
Coast Guard but you classify that as ``open--acceptable 
response.'' So, I was wondering, Chair, is the failure to 
implement a recommendation an acceptable response? Can you 
explain how the NTSB approaches that? How should we read that?
    Ms. Homendy. Yes. Thank you for the question, Chairman 
Larsen.
    When we consider a recommendation status change, that does 
come to the Board. And the Board considers staff 
recommendations. When we look at all the factors, we look at: 
Is there an opportunity, or has the Coast Guard moved in the 
direction in any way of implementing that recommendation or 
signaled that they may implement that recommendation? We don't 
want to close it or close it ``unacceptable'' if there is a 
possibility that that could move forward.
    One thing to keep in mind is our reporting to the 
committee, often you won't know when something is ``closed--
unacceptable'' but you will continue to be notified when 
something remains ``open--unacceptable'' or ``open--
acceptable.'' So, we want to keep that open if there is any 
possibility of moving forward on a recommendation. Otherwise, 
it stops communication on that recommendation, especially with 
the Coast Guard. So, we try to keep it open to move things 
forward.
    Mr. Larsen of Washington. All right. Your testimony also 
states NTSB has recommended that Coast Guard require all 
companies operating domestic passenger vehicles develop and 
implement a preventive maintenance program for all systems 
affecting the safe operation. That recommendation has been open 
for 20 years, I think is what it shows.
    What has been the impediment in having that recommendation 
implemented?
    Ms. Homendy. Great question. And the reason why we have 
kept that one open for 20 years is the Coast Guard has 
indicated that they may consider preventative maintenance as 
part of the SMS program or SMS rulemaking that they are moving 
forward. So, we are keeping that open.
    The official response that we have heard from the Coast 
Guard is that they had not intended to move that forward, but 
we are keeping it open in hopes they do move that forward as 
part of the SMS.
    Mr. Larsen of Washington. We will track that.
    Ms. Homendy. As far as why they have not implemented it, 
possibly Admiral Mauger can discuss further.
    Mr. Larsen of Washington. All right. Well, we will track 
that. I have a different question for the admiral right now if 
you don't mind.
    Admiral, you mentioned the use of machine learning and 
artificial intelligence tools in order to improve the 
targeting, if you will, of what your inspectors look at. Can 
you tell us what Coast Guard is doing to do the quality 
assurance on those algorithms to ensure that the algorithms 
that you are using in your machine learning actually spit out 
the best areas for the Coast Guard to target for inspections?
    Admiral Mauger. Congressman Larsen, what we have been able 
to do is, first of all, we assembled a panel of experts, 
collected information both from our own investigations and from 
the NTSB investigations, and then the information that is 
recorded in our internal databases of every inspection 
investigation that have been conducted by the Coast Guard.
    And then we used the machine learning to identify which of 
those parameters were really key in identifying those risk 
drivers.
    And then to sort of validate that model, we sent folks out 
into the field. We used our field inspectors to follow up and 
conduct the inspections and look at those factors with specific 
guidance and then bring that information back into our 
database.
    And so, through that targeting process that we have been 
able to do, we have been able to correct a number of 
deficiencies and have put our most experienced inspectors on 
the highest risk or highest priority vessels and have put them 
on there more frequently than we otherwise would have. And so, 
it seems----
    Mr. Larsen of Washington [interrupting]. Thank you.
    Admiral Mauger [continuing]. From the information that we 
have collected, it is working.
    Mr. Larsen of Washington. Thank you. I have run out of 
time.
    But, Mr. Chair, I just don't want us to rely on the 
algorithms to produce the responses. We need to be sure we keep 
people in the loop on these, as well, and that was the purpose 
of my question, Mr. Chair.
    Thank you. I yield back. Oh, I have no time to yield back.
    So, Mr. Chairman, please. Thank you.
    Mr. Carbajal. Thank you, Mr. Larsen.
    Next, we will go to Representative Weber.
    Mr. Weber of Texas. Mr. Chairman, go ahead and pass me by 
right now.
    Mr. Carbajal. Thank you. We will now then move on to 
Representative Lowenthal.
    Mr. Lowenthal. Thank you, Mr. Chairman. Thank you for 
holding this hearing. I, too, wish to send my condolences to 
the families of those that died in the tragic accident in Santa 
Barbara. And I also want to send my condolences to the family 
of the Dean of the House of Representatives, Don Young.
    My first question is to Admiral Mauger. In 2014, Admiral, 
the NTSB recommended that the Coast Guard require installation 
of voyage data recorders, or VDRs, that meet the international 
IMO standard for voyage data recorders on new and existing 
ferry vessels. Chair Homendy just talked about and reiterated 
that recommendation.
    Voyage data recorders aid in investigating and analyzing 
the causes of accidents and identify remedial actions to help 
prevent future occurrences. Thus, the overall benefit of the 
system is enhanced passenger safety resulting in more lives 
saved.
    However, the Coast Guard's response to this recommendation 
is currently classified as ``open--unacceptable response.'' 
Again, Chair Homendy talked about that. The Coast Guard has 
indicated that an economic analysis shows that the benefits do 
not outweigh the costs.
    Admiral Mauger, can you elaborate on the reasoning behind 
the Coast Guard's nonconcurrence?
    Admiral Mauger. Congressman, as part of any rulemaking that 
the Coast Guard undertakes, unless it is specifically directed 
not to by Congress, the Coast Guard is required by Federal 
regulations to conduct an economic cost-benefit analysis for 
that rulemaking.
    And so, in the case of voyage data recorders and the work 
that was done and the standard that was referenced there, we 
determined that for many of these small businesses, it would 
have a significant economic impact.
    That said, as marine safety professionals, we want to have 
every available information to us to determine the cause and 
contributing factors to a casualty and want to make sure that 
we can do our best to learn from those and move forward.
    And so, technology is changing very rapidly. Cell phones 
and small electronics have the ability to track speed and 
location and record information. And so, we are looking to see 
if there is another technological solution to voyage data 
recorders that might help to ensure safe operations, while also 
providing information post-casualty that we can rely on.
    Mr. Lowenthal. Thank you, Admiral.
    I have another question that is related. Can you explain 
why the Coast Guard supports the IMO's efforts for VDR 
requirements on vessels traveling on international voyages but 
does not support a VDR requirement domestically, specifically 
for passenger ferries which transport millions of passengers 
each year? Why do you support this on international voyages but 
not on domestic voyages?
    Admiral Mauger. Congressman Lowenthal, the rules that are 
in effect have been applied to international operating vessels, 
as you have identified. These vessels travel worldwide and can 
be far out of the reach of marine safety law enforcement 
agencies or marine safety agencies. And so, being able to see 
what happens no matter where they are operating is very 
important. There are also lots of lives and cargo at stake in 
those operations as well. And so, having the VDR for those 
international traveling vessels is something that has been a 
key part of the international regulations.
    We will continue to look to see what can be done here 
domestically, albeit with a different standard, to make sure 
that we have the benefits of that information.
    Mr. Lowenthal. Thank you, Admiral.
    I will follow up on these questions in the second round.
    And I yield back.
    Mr. Carbajal. Thank you, Representative Lowenthal.
    Next we will go to Represent Napolitano.
    Mrs. Napolitano. Thank you, Chairman Carbajal.
    My condolences to my friend's family, especially his wife 
Anne, for the passing of Don Young.
    And to the families, keep up your voices. We represent you. 
We need your input, definitely.
    Thank you, Mr. Chairman, for holding this critical hearing 
and I'm grateful for your incredible leadership on this 
subcommittee and the great work you have done in the Coast 
Guard. We must ensure that boaters, families, and customers are 
protected in secure vessels that are operating safely.
    Chairwoman Homendy, it is great to see you again. I recall 
you being in my district 15 years ago to discuss rail safety. 
And since we have implemented Positive Train Control, which has 
created a safety for railroad, since that time, no more 
hairline cracks in the rail. And that has proven to avoid 
accidents such as the one we had several years back.
    We are here again in California due to tragic accidents in 
the maritime industry, but my concern is: Do you have enough 
inspectors to do the job? Is the budget there for you to do 
that job? And is there anything we can do, maybe provide more 
policy, to speed up the response from the Coast Guard on the 
length of time it takes to respond to some of the 
recommendations the NTSB has?
    Ms. Homendy. Thank you for your questions.
    And it has been an absolute pleasure working with you, 
Chair Napolitano, over the years on rail safety, grade crossing 
safety, and a number of safety issues.
    With respect to the NTSB, we submitted a proposal for 
reauthorization. Our authorization expires at the end of this 
year. So, we are up for reauthorization.
    The size of our agency, frankly, has not grown since 1998. 
Yet requirements have grown. Right now, in our agency, 30 
percent of our workforce is retirement eligible--30 percent. In 
the next 5 years, that grows to 50 percent. That shows the 
commitment of our agency workforce to stay and work on safety 
issues, even if they take 50 years like PTC did. But they need 
additional resources. Our Office of Marine Safety has 11 
investigators; our Railroad, Pipeline, and Hazardous Materials 
Investigations Office, also 11 investigators. Our Highway 
Safety Office is in the 20s for investigators. So, we need 
resources.
    We have a number of challenges. Transportation is growing. 
New technologies are emerging. That creates complexities, and 
so, we would need additional resources from Congress to help 
make that happen.
    We did submit a proposal to increase our authorization 
levels, about $10 to $15 million annually over the next 5 
years, which would grow from about $129 million to about $170 
million or $175 million at the end of fiscal year 2027. So, we 
would greatly appreciate your support on that.
    With respect to recommendations, when the Coast Guard was 
removed from DOT, there was no longer a requirement for the 
Coast Guard to respond to the NTSB within 90 days of issuance 
of a recommendation. Currently we have one recommendation where 
we received an initial response but haven't heard anything from 
them for 5 years. And so, creating more timely responses would 
be helpful. And I know that is actually in the Coast Guard 
reauthorization bill that is currently before the subcommittee 
and the committee, and we would greatly appreciate that.
    One thing that is not in there, which we would appreciate 
you including, is the Secretary of Transportation is also 
required to report annually on the recommendations in our Most 
Wanted List that have not been implemented. That does not apply 
to the Coast Guard right now also because that occurred after 
they were removed from DOT. So, we would appreciate your 
consideration of that as well.
    Mrs. Napolitano. I am sure Mr. Carbajal will make sure that 
goes into the record.
    I think I will yield. Thank you.
    Mr. Carbajal. Thank you, Representative Napolitano.
    I will now recognize each Member again for an additional 5 
minutes of questions.
    I will start by recognizing myself, and I will start with 
Chair Homendy.
    Do you have concerns with the Coast Guard's current steps 
to implement requirements from section 8441 of the Elijah E. 
Cummings Coast Guard Authorization Act of 2020?
    Ms. Homendy. Thank you for the question, sir. I had to 
track which one was the section, the section number. I 
apologize for that.
    No. I appreciate the Coast Guard's efforts to move that 
forward. I appreciate your action to include that in the 
legislation, and I do appreciate they are moving that forward 
on a timely basis.
    So, thank you.
    Mr. Carbajal. Proceeding from the perspective of NTSB, does 
the Coast Guard have the resources it needs to enforce the 
compliance of small passenger vessel safety regulations? I know 
you touched on it from a global perspective, from the scope of 
all the responsibility you have, from aviation, rail, marine 
safety. But specifically for marine safety, since today we are 
focusing on that, if you could elaborate, I would appreciate 
it.
    Ms. Homendy. For the Coast Guard resources?
    Mr. Carbajal. Yes.
    Ms. Homendy. Yes, I mean, the Coast Guard has been an 
incredible partner with NTSB. And, frankly, they need more 
resources as well. They have incredible personnel who are 
dedicated to safety, and their leadership has really worked 
well with the NTSB including Admiral Buschman, Admiral Mauger, 
and then Captain Neubauer who works with us on our safety 
recommendations and on our investigations. So, we appreciate 
the safety partnership.
    Mr. Carbajal. Admiral Mauger, that was an opportunity for 
somebody to advocate for more resources for your department so 
you wouldn't have to do it.
    Ms. Homendy [to Admiral Mauger]. You can advocate for my 
resources, though, next, if you would like.
    [Laughter.]
    Mr. Carbajal. Moving on, Chair Homendy, to what extent does 
the Coast Guard work with the NTSB to respond to the issues 
identified during accident investigations? Does the 
collaboration also include the development and training 
curriculum that covers accident investigations and the 
consequences of poor inspections or inspection practices?
    Ms. Homendy. Yes, sir. When we conduct any investigation, 
we look at investigations from a very broad perspective. And 
that, of course, includes training and inspection as well.
    Mr. Carbajal. Thank you.
    Admiral Mauger, according to the 2022 GAO report on the 
Coast Guard's marine inspection program, the Coast Guard's own 
analysis indicated that it had about 24 percent fewer marine 
inspectors with the advanced qualifications than it needed to 
conduct its work.
    How does the Coast Guard plan to complete its inspections, 
given the policy that these inspections be conducted by marine 
inspectors with advanced qualifications?
    Admiral Mauger. Mr. Chairman, we work very closely to make 
sure that we have prioritized and allocated our resources to 
the most pressing needs. And so, right after Conception, we 
released an inspection policy, a revised inspection policy, 
that put our most experienced inspectors on those vessels that 
were presented the greatest risk. And we did so, making sure 
that they were on there more than just once a year.
    As we go forward, it is a combination of making sure that 
we have the people. Over the course of the last 3 years, we 
have, with congressional support, we have added 126 people to 
the marine safety program. Eighty-seven of those are out in the 
field, and we have added about $18 million as well.
    But as we go forward, we will continue to build on those 
requests because the industry that we operate in just is 
getting increasingly more complex and more congested every day. 
So, it is important that we stay after that.
    Mr. Carbajal. Thank you.
    Admiral Mauger, the NTSB's investigation of the Conception 
incident found that the vessel and other vessels of the 
operating company were regularly operating in contravention of 
the regulations and the vessel certificate of inspection, which 
required a roving patrol at night and while passengers were in 
their bunks.
    The NTSB recommended that the Coast Guard develop and 
implement a means to verify that small passenger vessel owners, 
operators, and charterers are conducting roving patrols as 
required by 46 CFR Subchapter T and my bill, the Small 
Passenger Vessel Safety Act, which required devices to ensure 
crews on the watch are awake. The Coast Guard previously 
indicated the requirements of the vessels will take effect on 
or around March 28.
    Can you comment on where this stands and if we expect 
vessels to have the technology operational next week?
    Admiral Mauger. So, under the regulations, Mr. Chairman, 
they are required to submit their plans for how they will come 
into compliance with the roving watches and the recording of 
their watches. They are required to submit those plans next 
week. And so, we will work very closely with the different 
small passenger vessel operators to make sure that those plans 
meet both the intent of the regulation and the safety 
recommendations that have found.
    In the interim, though, we have also deployed or conducted 
operations where we have gone out and checked throughout the 
summer, last summer, to make sure that vessels did have 
somebody awake and alert and were standing proper watches while 
they were underway, conducting their operations. And so, that 
was a change from previous practice in this area.
    Mr. Carbajal. Thank you, Admiral.
    We will now move on to Representative Gibbs.
    Mr. Gibbs. Thank you, Chairman.
    Admiral, there's a concern out there about the IT failing--
IT infrastructure the Coast Guard has, and it has really placed 
particular constraints on the marine inspectors because they 
have been unable to implement those IT solutions. I guess a lot 
of the inspector's work is done largely away from the office 
and could benefit from more robust mobile computing 
capabilities.
    What efforts are being undertaken as part of the Coast 
Guard's IT revolution to improve mobile IT resources for the 
marine inspectors?
    Admiral Mauger. Ranking Member, with support from this 
subcommittee and from Congress through appropriations under the 
CARES Act and through our fiscal year appropriations, Congress 
has appropriated funds to allow us to really transform our 
information technology backbone. And that's really important to 
our marine safety program because, as we talked about earlier 
in this hearing, we use the information that's collected during 
those inspections and investigations to conduct targeting and 
risk assessments and drive our policies and procedures forward 
to ensure their safety.
    And so, with the money appropriated under the CARES Act, we 
have made investments in strengthening the overall IT 
architecture and then have rolled out new mobile technology as 
well, including the mobile inspect app, which allows our 
inspectors to enter the results of their inspection while they 
are out in the field. We look forward to continuing to build 
out that capability as well going forward.
    Mr. Gibbs. Well, that is good to hear, Admiral. I guess, in 
future hearings, you can update us on the progress of that and 
how it's rolling out and how it's improved efficiencies and all 
that, so I appreciate that.
    Also, Admiral, the committee has been requested from the 
industry to double the time between inspection of the LNG 
tankers due to problems with scheduling of those inspections. 
We are told that is due to the limited availability of the 
inspectors. Pursuant to those requirements, the National 
Defense Authorization Act, the Coast Guard has set aside 64 
billets, including 24 new billets to investigate and prosecute 
sexual assault and sexual harassment in the Coast Guard.
    How many new marine inspection billets does the Coast Guard 
intend to create?
    Admiral Mauger. So, the fiscal year 2022 appropriation 
included a number of new inspection billets. We have a new 
training program that allows folks that come into the Coast 
Guard as enlisted members to become warrant officers and become 
marine inspectors through that program. So, we have added about 
a dozen additional billets to train and develop those.
    We have also added a number of billets to the field, about 
two dozen billets, to improve the training of our marine 
inspectors out there in the field. So, this is an issue we take 
very seriously. We have a prevention readiness initiative that 
was developed under the direction of Admiral Schultz to make 
sure that we continue to develop and grow the capacity and 
capability that we need to oversee the safety within this 
industry.
    Mr. Gibbs. OK. Because I know, like I said, the industry is 
really concerned about inspection timing. So, I appreciate that 
and appreciate all the work you are doing and also Chair 
Homendy.
    Mr. Chairman, I yield back. I don't have any more 
questions. Thank you.
    Mr. Carbajal. Thank you, Ranking Member Gibbs.
    Next, we will move on to the chairman of the Aviation 
Subcommittee, Mr. Rick Larsen.
    Mr. Larsen of Washington. Thank you, Chair. I appreciate 
the opportunity to participate even remotely from just north of 
you in Washington State. I am glad to be on today. I am glad 
you invited me, let me know about it.
    I wanted to follow up with the admiral with regards to the 
question I had for Chair Homendy. I am just reading from my 
notes here about the one recommendation that has been open for 
20 years.
    The NTSB testimony recommended that the Coast Guard require 
all companies operating domestic passenger vessels develop and 
implement a preventive maintenance program for all systems 
affecting the safe operation of those vessels. That has been 
open for 20 years.
    Can you walk through--you weren't doing this 20 years ago, 
but you are doing it now. Can you walk through a little bit how 
a recommendation can go for 20 years instead of closed and 
being successfully implemented? The admiral.
    Admiral Mauger. Congressman Larsen, safety on board is a 
responsibility of the owner-operator, the captain and crew and 
the Coast Guard. So, the owner-operator is really responsible 
for setting that safety culture, providing the resources and 
training that the captain and crew need to do their job, and 
following through with effective management and oversight of 
the vessel.
    So, from that perspective, programs like preventative 
maintenance or safety management systems are really an 
important part of that overall network and framework of safety 
on board the vessels. We are also required, though, as I 
mentioned previously, when we issue regulations, we are 
required by Federal regulation or Federal mandates to take into 
account cost-benefit for implementation of those policies. And 
so, this is something that we have been working at and 
continuing to look for opportunities to understand, 
particularly as technology and policies adapt but as we learn 
more too, to implement this. So, we have wanted to keep this 
open and continue to continue to work at this and appreciate 
the NTSB's continued emphasis on this point.
    Mr. Larsen of Washington. I think Representative Gibbs 
asked my questions about the--kind of how you develop your 
inspectors because you are targeting your most experienced 
inspectors on some things, but you need to ensure that you have 
a pipeline of folks to fill those roles as those inspectors 
either leave the Coast Guard or get their next job or so on.
    Is there anything more you wanted to say to address that, 
the pipeline of inspectors and ensure a qualified inspector 
pipeline?
    Admiral Mauger. Congressman Larsen, we want to make sure 
that we have a strong inspection workforce to be able to carry 
out this really important safety mission. And so, we have 
worked very closely with Congress over the course of the past 
10 years through the Marine Safety Performance Plan to report 
out on statistics and report out on the status of our 
inspection workforce. In the last 3 years, that has translated 
into additional people doing this work. So, we have added 126 
billets over the last 3 years. Eighty-seven of those are out in 
the field, and they are doing the prevention work that needs to 
be done.
    One of the important pieces that we have added into that as 
part of our overall readiness initiative is this program called 
the Enlisted Marine Inspector Training Program, where we 
transition members from their enlisted career into an officer 
career through a focused mentorship and apprenticeship in 
marine inspections. This has gotten a lot of great support from 
the members within the Coast Guard who are excited to be able 
to carry out those opportunities. And we expect that it will 
have a real benefit for both us and the industry as we are 
bringing, creating the opportunity for more marine inspectors 
earlier in their career, which means that they should be able 
to stick around for longer in their career.
    So, we really appreciate the support from Congress on both 
of those initiatives.
    Mr. Larsen of Washington. Thank you.
    Chair, if you will just indulge one question for Chair 
Homendy about aviation. There was a crash this morning--
yesterday, in China, of a 737-800.
    And if the Chair could just remind us what NTSB's role 
plays when a U.S.-made airplane crashes in a foreign country 
and what you are going to be doing in that regard.
    Ms. Homendy. Yes. Thank you for the question.
    We are currently speaking with the State Department and 
others as the situation develops. But under Annex 13, we would 
be technical advisors for the investigation. And so, with 
respect to that particular accident, we will have more 
information as the day goes on. So, if you are interested, I 
would be happy to have a further conversation with you to let 
you know what we intend to do.
    Mr. Larsen of Washington. I appreciate that. Thank you.
    Thank you, Mr. Chair.
    Mr. Carbajal. Thank you.
    Now, we will move on to the distinguished gentleman, Mr. 
Lowenthal. I just want to say that Mr. Lowenthal has been a 
great mentor. I am disappointed that he will be leaving us at 
the end of this term.
    In addition to being on this subcommittee, Mr. Lowenthal 
sits on the Natural Resources Committee and is the chairman of 
the Energy and Mineral Resources Subcommittee. But again, you 
are going to be a big loss to our Congress, Mr. Lowenthal, and 
I really appreciate you taking the time and being in our 
hearing today.
    You're next.
    Mr. Lowenthal. Thank you, Representative Carbajal, Salud, 
really, for those kind, kind words. I am going to be around for 
a while, so we will have plenty of time to talk about the 
future.
    In my last questions, I asked Admiral Mauger, could he 
explain the Coast Guard's ``open--unacceptable response'' to 
the fact that the Coast Guard supports the IMO's efforts for 
VDR requirements on vessels traveling on international voyages 
but does not support a VDR requirement domestically, 
specifically for passenger ferries, which transport millions of 
passengers each year. And I thank the Admiral for his response.
    But I would like to ask Chair Homendy: In your opinion, 
Chair Homendy, is there any significant difference between 
international voyages and domestic voyages that would warrant 
this disparity in the Coast Guard's reasoning?
    Ms. Homendy. There is not.
    Mr. Lowenthal. Well, that's a really complete answer.
    Ms. Homendy. There's no difference. And, Congressman, just 
to add to that, Admiral Mauger had mentioned additional 
information from cell phones and iPads. There is a big 
difference between a cell phone and an iPad and a voyage data 
recorder. This was a recommendation we issued a number of years 
ago.
    And, like I said, it is like investigating a plane crash 
without a black box. This is critical information, not just to 
our safety investigation, but it is critical information to 
parties to the investigation. The parties to the investigation, 
which would include companies and others, and they would get 
access to that information early on so that they could take 
measures to improve safety early.
    And so, that's why we think it's critical to have voyage 
data recorders. I think in order to move that forward, Congress 
is going to have to require it. We have not seen progress with 
the Coast Guard on this issue. And the response has focused on 
the cost-benefit analysis. From NTSB's standpoint, lives are 
priceless. And all lives--we should do everything we can to 
save lives and to prevent tragedy. So, we currently are working 
to continue to push VDRs and will continue to do that, and hope 
that Coast Guard takes action.
    Mr. Lowenthal. Thank you for that very complete answer.
    Admiral Mauger, when it comes specifically to passenger 
ferry vessels, what resources unique to vessel safety of this 
class of vessels is the Coast Guard most efficient in that 
would aid in its inspection of these vehicles?
    Admiral Mauger. Congressman Lowenthal, in terms of the 
passenger vessel ferry industry, as you mentioned in your 
remarks, these are vessels that carry really millions of 
passengers to work or school every day. And so, the inspection 
that's required for those vessels still complies with our 
regulations, but it really relies on that good field-level 
working cooperation between the Coast Guard and the ferry 
operations where they occur in the Nation.
    In terms of how we roll that out at the national level, 
it's really about getting more inspectors that are properly 
trained and outfitted with the right capability to do their 
job. Our prevention readiness initiative is increasing the 
number of inspectors we have, is modernizing their training 
system so that they can be more effective at their job, and 
providing them with the technology that they need to be able to 
enter and conduct their exams on board those vessels.
    Mr. Lowenthal. Thank you, Admiral.
    With that, I am going to yield back to the distinguished 
chair, Chair Carbajal.
    Mr. Carbajal. Thank you, Mr. Lowenthal.
    With that, we will go to Representative Napolitano, who I 
failed to mention earlier. She is the chairwoman of the 
Committee on Transportation and Infrastructure's Water 
Resources and Environment Subcommittee. If you noticed, many of 
my colleagues that joined us today also happen to be in leading 
roles on other subcommittees, and I am very grateful for all of 
them taking the time to be part of our subcommittee hearing 
today, not just those that serve on my subcommittee, but that 
go above and beyond and have a relationship to our 
subcommittee.
    Chairwoman Napolitano.
    Mrs. Napolitano. Thank you, Chairman Carbajal.
    Admiral, the Coast Guard is underrecognized, as far as I am 
concerned, in Congress, many of the agencies. You are critical 
to a lot of our safety.
    What about the funding that you are receiving? I know 
sometimes we ask, and we get some answers based on the 
administration side of it, but what do you really need to be 
able to do a job that you are required to do, especially in 
training the officers and making sure that we have enough 
personnel? Like you are saying, is there a difference between 
those that operate the vessels for work and school versus 
tourism? How do you differentiate? How are you able to 
prioritize any of these areas?
    Admiral Mauger. Congresswoman, thank you for those kind 
comments about the Coast Guard. The Coast Guard is committed to 
Safety of Life at Sea. We work very hard to make sure that we 
have the standards, the compliance activities, and learn from 
every accident to improve those standards and compliance 
activities.
    In order to continue to move forward, this is an 
increasingly complex maritime system that we operate in. There 
are more vessels coming into the U.S., as you know, down in 
your district, bringing cargo. It's absolutely necessary for 
our economy and for our Nation, but it makes it a complex 
environment for us to work in. And that's why we have really 
focused on the readiness of our workforce.
    And so, over the course of the past 10 years, we have been 
submitting a Marine Safety Performance Plan to the subcommittee 
to keep them apprised of our efforts in building that, but 
under this Commandant, really dialed in on the readiness of the 
people. And that's making sure that we have the right people 
and the right technology and the right governance to do that 
work.
    So, that has resulted, in just the last 3 years, 126 
billets coming in to do this work; 87 of those will be out in 
the field. And they're getting after all elements of it from 
improving our ability to conduct inspections, making sure that 
we are addressing things like cybersecurity, and then also the 
improvements of the training of our workforce, too. So, there 
are a number of improvements made. We will continue to keep the 
subcommittee apprised and continue to work on it.
    Mrs. Napolitano. But what about the budget, sir? Be honest.
    Admiral Mauger. Congresswoman, our readiness is wrapped up 
in the budget that the President submits to Congress each year. 
And so, we will continue to keep this subcommittee apprised of 
our progress towards that prevention readiness initiative and 
getting after that.
    Mrs. Napolitano. Great. Well, as far as implementing a 
recommendation from the NTSB, I understand the reticence of the 
marine vessels' compliance with the regs; they would be brought 
kicking and screaming just like they did with the railroads on 
the Positive Train Control. But it saved many lives, and it's 
worth it. And I hope the public recognizes that it is important 
for them to understand why the regs are there and that it is 
costing the vessels money, and thereby it increases the charge 
for operating on these recreation/tourism areas. But I don't 
think that we should be penny-pinching when it comes to safety.
    Chairwoman Homendy, we are again, in California, due to 
tragic accidents, and this time, of course, is the maritime, as 
explained. What tools, infrastructure, and regulations are 
needed to address maritime safety in the way we have been 
successful with the railroad industry?
    Ms. Homendy. Thank you for the question, Chair Napolitano. 
There are many chairs here today. That's why I keep referencing 
that. But thank you.
    And it's implementing our recommendations. We have 93 open 
recommendations to the Coast Guard, and it's implementing our 
recommendations in moving forward.
    One we that haven't discussed today is personal locator 
beacons. We have a recommendation that came out of El Faro and 
others to have personal locator beacons. And we are aware of 
marine accidents where crewmembers and others were--we were 
able to--or the Coast Guard was able to find them because they 
had personal locator beacons. These are $300 GPS units that 
were provided or used by crewmembers. And we have recommended 
that that be mandated so that crewmembers are provided those 
personal locator beacons just in case there is an accident, and 
they can be located in waterways.
    Mrs. Napolitano. Is there a reason, Admiral, that this is 
not implemented?
    Admiral Mauger. Congresswoman, we are working very closely. 
This is another area where technology is emerging very quickly. 
You mentioned in your remarks about that comparison between 
cost and safety, and there shouldn't be a price on safety. 
Under those Federal regulations that we are required to comply 
with, we do have to make that economic analysis unless Congress 
directs us not to.
    Under the leadership of this subcommittee, through the 
Elijah E. Cummings Coast Guard Authorization Act of 2020, 
Congress directed the implementation of these important fire 
safety regulations that are kind of coming into effect next 
Monday. And they did so in a way that allowed us to move as 
quickly as possible by bypassing the APA or provisions of the 
APA for the development and implementation of the interim final 
rule. So, that is one of the solutions and ways that Congress 
has been very helpful in helping us move forward on this 
important issue.
    Mrs. Napolitano. Well, I hope it doesn't take forever to 
implement some of these lifesaving techniques and 
infrastructure, because it depends on who is on that boat whose 
life you may save.
    Thank you, Mr. Chair.
    Mr. Carbajal. Thank you, Representative Napolitano.
    This concludes our hearing. I want to thank the city of 
Santa Barbara for making this hearing room available to us.
    I would like to thank the witnesses for your testimony and 
the answers to our questions.
    Again, I want to recognize the families that are here who 
have gone through so much. Thank you for being here.
    I ask unanimous consent that the record of today's hearing 
remain open until such time as our witnesses have provided 
answers to any questions that may be submitted to them in 
writing. I also ask unanimous consent that the record remain 
open for 15 days for additional comments and information 
submitted by Members or witnesses to be included in the record 
of today's hearing.
    Without objection, so ordered.
    The subcommittee stands adjourned.
    [Whereupon, at 2:25 p.m., the subcommittee was adjourned.]



                       Submissions for the Record

                              ----------                              

   Prepared Statement of Hon. Peter A. DeFazio, a Representative in 
      Congress from the State of Oregon, and Chair, Committee on 
                   Transportation and Infrastructure
    Although I'm not able to join you, I want to thank Mr. Carbajal for 
organizing today's gathering. There is no better way to ensure that 
government entities, who are tasked with protecting lives and promoting 
safety, are held accountable than to discuss such matters in a public 
space, particularly when active stakeholders are invited into the 
process. To the family members of the victims of the CONCEPTION tragedy 
that are listening today, I offer my condolences for your loss and 
commend your bravery and empathy in engaging in these issues for the 
benefit of others.
    Today's witnesses are subject matter experts on small passenger 
vessel safety. Specifically, they have invested significant time 
investigating, reporting on, and learning from maritime disasters 
including, but unfortunately not limited to, the CONCEPTION fire. 
Admiral John Mauger, Assistant Commandant for Prevention Policy for the 
Coast Guard, is responsible for the development of national policy, 
standards, and programs promoting marine safety, security, and 
environmental stewardship. The Honorable Jennifer Homendy is Chair of 
the National Transportation Safety Board, an independent federal agency 
charged with investigating maritime, aviation, and rail incidents that 
resulted in loss of life. The Coast Guard and NTSB work together to 
review transportation disasters to produce and implement 
recommendations that save future lives. Today's hearing is a step in 
that process.
    In addition to fire safety recommendations, I expect the 
subcommittee will discuss buoyancy requirements for DUKW-type boats--
those vessels that travel on both land and water--as well as Coast 
Guard vessel inspector training needs, marine hazards communication, 
and vessel-specific emergency response planning requirements. As the 
Coast Guard develops its final rule on the new small passenger vessel 
safety requirements, and as Congress creates and considers the Don 
Young Coast Guard Authorization Act of 2022 and the National Defense 
Authorization Act of 2023, I see ample opportunity to write the 
recommendations we are discussing today into law so that improved 
safety standards can be enforced both at sea and, if necessary, in the 
courtroom.
    I thank my colleagues, the witnesses, and the audience for their 
attention to this cause and their participation in this hearing.



                                Appendix

                              ----------                              


 Questions from Hon. Salud O. Carbajal to Rear Admiral John W. Mauger, 
      Assistant Commandant for Prevention Policy, U.S. Coast Guard

Safety Regulation Violations
    Question 1.a. In the case of the Conception, a previous captain 
testified in an interview that the owner regularly did not require an 
overnight watch. What should captain or crew do when faced with an 
owner or captain that violates safety regulations (no night watch/
faulty fire detection & suppression systems)?
    Answer. When a captain or crew is faced with an owner or captain 
that violates, or directs them to violate, safety regulations, they 
should notify the nearest Coast Guard Sector, Coast Guard Marine Safety 
Unit, or Coast Guard Marine Safety Detachment to report the violation. 
If the violation creates an emergency, requires immediate attention, or 
results in a marine casualty, the captain or crew should contact the 
Coast Guard via VHF Ch. 16 or via the local Coast Guard Sector Command 
Center 24-hr emergency number.
    Furthermore, 46 U.S.C. Sec.  3315, ``requires an individual holding 
a license issued by the Coast Guard to assist inspection authorities 
and to make defects and imperfections known to those authorities. 
Anyone licensed also has a duty to report any marine casualty producing 
serious injury to the vessel, its equipment, or individuals on board 
the vessel. These licensed individuals who have this statutorily-
imposed duty to disclose are also protected by prohibiting any 
government official from disclosing the identity or source of the 
information except as authorized by the Secretary.''

    Question 1.b. Does the Coast Guard have a reporting system set up 
to take reports from captain or crew about deficient safety standards 
on a vessel they are expected to work on?
    Answer. The contact information for every Coast Guard Sector is 
available online via USCG Homeport and uscg.mil. Additionally, Coast 
Guard Sector Command Centers nationwide are staffed 24-hours a day and 
are available to take reports over the phone and via VHF radio channels 
16/22A when vessels are underway. These reports will be provided to a 
Coast Guard Marine Inspector and/or Coast Guard Marine Casualty 
Investigator for review and action, as appropriate.
Inspection Enforcement
    Question 2. Up until the Conception, night watch requirements had 
not been enforced. In the case of the Conception, the annual inspection 
was done by one inspector, against regulation that has mandated two 
inspectors for several years. What is the Coast Guard doing to address 
these failures, and in the case of the annual inspections, the specific 
chain of command failures that allowed this violation for 2-3 years?
    Answer. The requirement for a fire patrolmen to guard against and 
give alarm in case of fire or other danger has been in place and 
enforced by the Coast Guard for decades. In response to the loss of the 
M/V CONCEPTION, the Assistant Commandant for Prevention Policy 
chartered the Small Passenger Vessel Safety Task Force to review 
applicable inspections policies and procedures. An outcome of this Task 
Force is the Small Passenger Vessel (SPV) Risk Based Inspections 
program, which requires more experienced marine inspectors to inspect 
higher consequence vessels (``Tier I''), and mandates notifications and 
reporting of results to the Officer in Charge, Marine Inspections 
(OCMI) following annual inspections. Steps were also taken to improve 
the verification of night watchman requirements. The Coast Guard does 
not have any regulation mandating two inspectors for a vessel 
inspection.

    Question 3. When Coast Guard inspectors conduct annual, biannual, 
and five-year inspections and certifications of small vessels like the 
Conception, what is done to ensure they follow the regulations, 
protocols, and safety checklists that the Coast Guard has in place?
    Answer. Upon completion of each inspection, Marine Inspectors 
document their findings in the Marine Information for Safety and Law 
Enforcement (MISLE) database. Procedures established since the loss of 
the CONCEPTION now require that their work go through a two-tiered 
review process by their supervisors.

    Question 4. Is there any documentation from the Coast Guard that 
the inspectors checked the wiring for the outlets to Conception to 
assure compliance with safety standards?
    Answer. The MISLE database contains a series of system checks for 
which the Marine Inspector acknowledges were completed. These various 
systems are inspected per Coast Guard policy and guidance.
Tracking Deficiencies
    Question 5.a. How does the Coast Guard track deficiencies of the 
inspection program such as a lack of night watch enforcement and no 
chain of command repercussions for one inspector inspecting a vessel?
    Answer. The Coast Guard tracks identified deficiencies and reports 
of violations in a database records program called MISLE. Through the 
Coast Guard's Mission Management System (MMS), field units conduct 
internal review of MISLE activities to identify and correct any 
deficient actions, and Coast Guard Headquarters (CGHQ) conducts 
external MMS audits to identify non-conformities. The Coast Guard does 
not have any policy that requires two marine inspectors for a vessel 
inspection.

    Question 5.b. These may not even be in databases, so how would they 
ever be able to be prioritized by algorithms?
    Answer. Marine inspectors are required to document all found 
deficiencies in the MISLE database. All licensed mariners are required 
by law (46 USC 3315) to report known deficiencies to their local marine 
inspectors during an inspection.
Report Release
    Question 6. Why does the Coast Guard need to wait to release their 
investigation report when other federal agencies have released or 
partially released their reports?
    Answer. Pursuant to 46 C.F.R. Sec.  4.23, the Coast Guard referred 
evidence of potential criminal liability to the U.S. Department of 
Justice (DOJ) very early on in the marine casualty investigation. In 
response to an inquiry from Coast Guard, DOJ preferred that potential 
witnesses did not testify at public hearings.

    Question 7. The Coast Guard has been conducting their own 
investigation, but has still not released it. Was the U.S. Coast Guard 
allowed access to all the evidence before it was being discarded? Were 
they allowed to see the subpoenaed evidence from the Truth Aquatics 
office and remaining vessels? The recovered hull of the Conception 
before it was cleaned up and the recovered debris and recovered items 
were discarded?
    Answer. Yes. Special Agents with the Coast Guard Investigative 
Service were allowed access to the physical evidence.
Rulemaking Timeline
    Question 8. The Advance Notice of Proposed Rulemaking for Safety 
Management Systems for Domestic Passenger Vessels was issued on January 
14, 2021, and the comment period ended on June 1, 2021. Only 113 
comments were posted in the docket to this notice. During the hearing, 
Rear Admiral John Mauger, I asked when we can expect this regulation to 
be moved forward into a proposed rulemaking. Can you provide a clearer 
timeline on when we can expect this regulation to be moved forward?
    Answer. As detailed in the Unified Agenda, the Coast Guard is 
actively working on the Notice of Proposed Rulemaking (NPRM) for the 
Safety Management Systems (SMS) for Domestic Passenger Vessels 
rulemaking. The NPRM will include our responses to the public comments 
on the Advance Notice of Proposed Rulemaking for Safety Management 
Systems for Domestic Passenger Vessels, published on January 15, 2021. 
We extended the comment period to June 1, 2021 at the request of a 
commenter. The Coast Guard anticipates publishing the NPRM next year.
Higher Qualified Inspectors
    Question 9.a. Rear Admiral Mauger, you talked about Most 
Experienced or Higher Qualified Inspectors. What are the 
qualifications/experience of these Higher Qualified Inspectors?
    Answer. The Coast Guard uses the Apprentice-Journeyman-Master (AJM) 
model for determining competency levels of Marine Inspectors (MI). 
Coast Guard ``Master'' Marine Inspectors are called Advanced Journeyman 
Marine Inspectors. Advanced Journeyman Marine Inspectors (AJMI) have 
obtained at least 5 MI qualifications and have at least 6 years of 
experience conducting inspections in the field.

    Question 9.b. Were Higher Qualified Inspectors in use in this way 
during and before 2019 or is this a new designation? And if Higher 
Qualified Inspectors were in practice during and before 2019, in what 
years were Higher Qualified Inspectors present during inspections of 
passenger vessels owned and operated by Truth Aquatics?
    Answer. The AJM model has been used since 2011. AJM includes a 
combination of qualifications and time-based experience. The standard 
for authorizing a marine inspector to complete an inspection on a 
particular vessel is based on documented qualification earned through a 
combination of on-the-job training, classroom work or online training, 
knowledge and performance checks by senior inspectors, and a final 
interview board. This was the model for all vessels, including the 
CONCEPTION, before 2019. However, prior to the CONCEPTION tragedy the 
Coast Guard did not require a heightened competency level to conduct 
inspections. In 2021, the Coast Guard implemented the SPV Risk Based 
Inspection program, which included requirements for AJMIs to complete 
certain inspections. This requirement ensures more experienced 
inspectors are assigned to these inspections.

    Question 10. How long has the Coast Guard been without highly 
qualified inspectors? Please confirm the number of highly qualified 
inspectors the Coast Guard currently has and the number in the training 
program you referenced to become highly qualified inspectors.
    Answer. The Coast Guard began designating individuals in 2011 as a 
result of the 2010 Marine Safety Enhancement Plan.
    The Coast Guard has a total of 410 members with the AJMI competency 
designation and 137 of those individuals are assigned to operational 
units. The remaining 237 members are in senior leadership positions or 
in staff assignments and do not currently perform marine inspections on 
routine basis, but may be in a position to supervise these inspections. 
There are 241 Journeyman Marine Inspectors and 423 Apprentice Marine 
Inspectors who are working towards obtaining the required qualification 
or experience required before they are eligible for the AJMI 
competency.
Small Vessel Compliance
    Question 11. How is the Coast Guard working to ensure that crews on 
small passenger vessels are complying with the requirements to maintain 
an overnight watch?
    Answer. After the loss of the M/V CONCEPTION, the Coast Guard 
initiated a nationwide concentrated inspection direction to review each 
vessel that conducts overnight operations. Each OCMI selects 
experienced marine inspectors to re-inspect each vessel and review 
their Certificate of Inspection and vessel operations to ensure that a 
roving watch was implemented. Some Coast Guard Sectors tasked law 
enforcement vessels to conduct operations to perform at-sea night 
approaches or boardings to confirm compliance with roving watch 
requirements.
Implementation Date
    Question 12. Regarding the implementation of a monitoring device to 
ensure a roving watch is on duty, you stated that plans from vessel 
owners were to be submitted by March 28, 2022, but gave no projected 
implementation date. Why the delay and when will this life saving 
requirement be implemented?
    Answer. The delay allows operators the flexibility to choose an 
arrangement of devices that would meet the requirements set forth in 46 
C.F.R. Sec. Sec.  122.410(b) and 185.410(b), while allowing the Coast 
Guard the necessary time to evaluate technology capable of achieving 
the requirements. Within the interim final rule, we welcomed public 
comments on the types of systems that are preferable or already in use, 
if any. Upon conclusion of the comment period on June 27, 2022, the 
Coast Guard is considering all comments in regards to the monitoring 
device, and will determine a reasonable implementation timeline.
Civilian Inspectors
    Question 13.a. Were/are civilian contracted inspectors being used 
by the U.S. Coast Guard? If so, how many in the past and currently?
    Answer. The Coast Guard does not use contracted civilians to 
conduct statutory inspections. As required in 14 U.S.C. Sec.  312(b), 
the Coast Guard utilizes officer, member, or civilian employees of the 
Coast Guard to conduct marine inspections. There are currently 145 
civilians in Apprentice, Journeyman, or Advanced Journeyman billets, of 
which 12 are Advanced Journeyman and 118 are Journeyman.

    Question 13.b. Does the Coast Guard plan on expanding its workforce 
of civilian marine inspectors?
    Answer. The proposal following the 2010 Marine Safety Enhancement 
Plan was to grow the Coast Guard's civilian inspector workforce to 30 
percent of the total marine inspector workforce. To date, the Coast 
Guard civilian workforce constitutes approximately 28 percent of the 
marine inspections workforce. The Coast Guard routinely analyzes 
workforce capabilities based on workload. The requirement for a more 
experienced inspector to conduct high consequence SPVs has been added 
to the workforce analysis. Training, billet assignment, and resource 
proposals will be adjusted to meet the increased need.
Inspections
    Question 14. Do Coast Guard Inspectors inspect the same vessel(s) 
multiple years in a row?
    Answer. Each OCMI will assign marine inspectors per qualification 
and proficiency requirements, as necessary to accommodate staffing, 
workload, transfers and other constraints. OCMIs are encouraged to vary 
inspectors annually, or send multiple inspectors pending resource 
availability and training needs.
Board Investigation Review
    Question 15. Will the Marine Board Investigation be available for 
review prior to the trial of Captain Jerry Boylan or only after the 
conclusion? If not until after, how long after the conclusion of the 
trial of Captain Boylan do you expect it will be before the Coast Guard 
will release the findings of the Marine Board Investigation?
    Answer. The Marine Board of Investigation's (MBI) final report will 
not be available until the criminal proceedings have been adjudicated.
    The MBI is unable to provide an estimated timeframe for completion. 
Once the criminal cases are adjudicated, the MBI will likely hold 
public hearings to gather additional evidence that was outside the 
scope of the criminal investigation.
Vision Inspection
    Question 16. How was it possible for the Vision, sister ship to the 
Conception owned by Truth Aquatics, Inc. at that time, to pass 
inspection on April 4, 2019, with no deficiencies, but when re-
inspected on September 6, 2019, after the Conception disaster, 26 
deficiencies were found, many relating to major electrical hazards?
    Answer. A team of four MIs conducted the inspection of the VISION 
on September 6, 2019 (versus one in April 2019), and were following 
CGHQ directed concentrated inspection guidance that focused on fire 
detection and firefighting equipment, means of escape, crew training 
(including roving patrol requirements), passenger safety orientation, 
and electrical installations.

    Question 17. I reviewed the inspection of the Conception and the 
Vision from February 2019. This was their annual inspection. The 
Conception was also dry docked. They had the same inspector for the 
past 5 years and the same dry dock inspector for the past 4 years. The 
MV Vision was also inspected in April 2019 and she also had no 
deficiencies. She was re-inspected on September 6, 2019, two days after 
the Conception disaster. She had 26 deficiencies. I can only assume the 
MV Conception had the same quality inspection the previous spring time. 
How do you explain this?
    Answer. The Coast Guard notes that a Captain of the Port (COTP) 
Order was issued to the M/V VISION on September 6, 2019, four days 
after the CONCEPTION tragedy. The COTP Order prohibited vessel 
operations until a satisfactory Coast Guard inspection was completed. 
This inspection was later conducted on October 2, 2019, as part of a 
Coast Guard concentrated inspection campaign. The April 2019 
inspections of VISION and CONCEPTION were conducted by a single Coast 
Guard MI, which is a practice used at smaller Marine Safety Offices 
that are billeted with as few as a single qualified MI and consistent 
with Coast Guard regulations. A standard inspection starts with a 
review of documentation, testing of vessel machinery and crew 
knowledge. As the MI proceeds through the vessel, they will expand 
their inspection to look at any new or modified systems.
Examining Wreckage
    Question 18. Is the Coast Guard examining the recovered battery 
husks and electronic equipment to determine what role they played in 
the fire?
    Answer. The MBI does not have access to the physical evidence. 
However, the MBI is relying on the analysis of fire investigators from 
the Bureau of Alcohol, Tobacco, Firearms, and Explosives.
Lithium-ion Batteries
    Question 19.a. Before the fire involving the Conception, were any 
inspectors aware that a fire occurred previously on the Vision in 
October 2018 involving a lithium ion battery powered flashlight that 
was charging in the salon?
    Answer. The evidence collected by the MBI indicates that the M/V 
VISION incident was never reported to the Coast Guard, because the 2018 
incident did not reach the threshold of a reportable marine casualty 
under 46 C.F.R. Sec.  4.05, and so Truth Aquatics was not required to 
report it to the Coast Guard.

    Question 19.b. What was done to investigate this as a potential 
cause after the Conception fire occurred?
    Answer. The MBI is investigating the possibility that a lithium-ion 
battery may have been the source of the fire. The National 
Transportation Safety Board (NTSB) also conducted an independent 
investigation into the incident, and their final Marine Accident Report 
determined that the unattended charging of the lithium-ion batteries 
could have been the ignition source of the fire.

    Question 20. Did the Coast Guard become aware of information from 
any federal agency involved in the investigation of the Conception 
suggesting that lithium ion batteries or lithium ion powered devices 
caused or contributed to the fire? If so, what information did you 
obtain and from whom?
    Answer. Yes. The NTSB's Marine Accident Report for the CONCEPTION 
fire concluded that the unattended charging of lithium-ion batteries 
was one of several possible ignition sources of the fire.

    Question 21. Lithium battery fires have proven to be dangerous and 
deadly. Has the Coast Guard come up with any requirements for vessel 
owners as far as fire suppression of these type of fires?
    Answer. The Coast Guard has published CG-CVC Policy Letter 20-03 
providing guidance to OCMIs and MIs on how to evaluate the use of 
lithium-ion batteries aboard SPVs in their ports, and to assess whether 
the storage, charging, or use of these batteries creates potentially 
hazardous conditions.

    Question 22. Are there plans to require fire suppression training 
for the owners of small passenger vessels in regard to lithium battery 
fires? These fires seem to be unique in how they burn faster and hotter 
and pose challenges for those putting them out.
    Answer. At this time, the Coast Guard has instructed OCMIs and MIs 
to assess the storage, charging, or use of lithium-ion batteries aboard 
SPVs in their ports. MIs have been directed to restrict the operations 
of any company failing to mitigate or properly manage severe unsafe 
electrical or fire hazards found aboard their vessels.
New Small Vessel Regulations
    Question 23. It's my understanding that on March 28, 2022, the U.S. 
Coast Guard is issuing new small vessel regulations. I appreciate this 
and the Coast Guard's effort, but it appears that regulations are only 
a small portion of the problem. How can the victims' families be 
reassured that not only these new regulations and existing ones will be 
vigorously and completely enforced, like if someone's life depended on 
it?
    Answer. The Coast Guard is responsible for setting the standards 
for safety, security, and environmental stewardship for commercial 
vessels and mariners, ensuring compliance with those standards, and 
conducting investigations of violations and accidents. We keep the 
family and friends of the 34 victims aboard the CONCEPTION in the 
forefront of our minds as we continue to make enhancements to our 
marine safety program, to help the maritime industry avoid future 
preventable tragedies. We have improved our targeting of SPVs for 
enhanced oversight, which has proven effective in identifying and 
remedying unsafe conditions on passenger vessels. We continue to seek 
regulatory enhancements to improve the material and operational safety 
of SPVs. We also continue to improve our marine inspector knowledge and 
proficiency through an expansive revision of our training program. 
Lastly, we will assess the implementation of any additional safety or 
oversight recommendations that result from the CONCEPTION casualty 
investigation.
Vessel App
    Question 24. At approximately the one hour and four-minute mark of 
the meeting on the 21st of March, you stated that there is a mobile 
inspection app that your inspectors use. Have there been any thoughts 
or discussions regarding an app for small passenger vessel employees? 
For instance, you could have every owner fill out their vessel's 
information in an app. When they hire an employee (cook, deckhand, etc) 
the owner is to add that person to his/her app page. That person is 
then emailed a link to set up their own private user/employee account 
linked to the owner/vessel. When the employee signs into their private 
account, they are first asked if they were provided with safety 
training, with boxes of easily clickable topics. They also fill out the 
date/time and with whom they received their safety training from. This 
information would then be sent to that person for confirmation. Upon 
completion of their safety training, they would be required while at 
sea to access the app. Daily they would be asked: ``Who will be 
providing fire watch/roving patrol duties tonight?'' A drop-down menu 
could appear, and an employee would be selected. Another question could 
be: ``Have you seen anything regarding safety or other issues (i.e., 
sparks, smoke, unsafe practices) aboard the vessel?'', with a follow up 
question regarding if the employee had reported it to the captain. The 
next day the employee could be asked if indeed that person they listed 
the day before provided fire watch. They are also required to certify 
every day that to the best of their knowledge that all their answers 
were truthful. If there were any ``no'' answers or concerns, it would 
alert the safety inspector. I took note that 4G networks now reach up 
to 60 miles off coast since 2020, I would imagine that a lot of small 
passenger vessels fall within these parameters. The cost benefit 
analysis I believe would be positive. It would also provide data to 
safety inspectors out in the field in real time, as to where their 
priorities should be focused. If the app is set up to be user friendly, 
it would take minimal effort and time for the employee to log in their 
answers daily. Has something like this ever been discussed?
    Answer. The Coast Guard is not considering development or 
implementation of a mobile application for SPV employees as described. 
Commercial entities offer vessel and crew management software 
solutions.
Preventative Maintenance System
    Question 25. Why would a preventative maintenance system NOT be 
considered part of a safety management system?
    Answer. The Coast Guard is evaluating the inclusion of preventative 
maintenance requirements in its Safety Management Systems for Domestic 
Passenger Vessels rulemaking under the requirements detailed in 46 
U.S.C. Sec.  3203(a).
Potential Regulations
    Question 26. What non-monetary considerations does the Coast Guard 
utilize to evaluate potential regulations? How are those non-monetary 
considerations weighed in the evaluation?
    Answer. When reviewing and evaluating potential regulations on this 
subject, the Coast Guard would consider NTSB recommendations, Federal 
Advisory Committee recommendations and input, and any other public 
comment received. In addition, the Coast Guard's evaluation of 
potential regulations is guided by International Maritime Organization 
(IMO) agreements and direction provided by the Coast Guard's Marine 
Safety and Security Council. The Coast Guard evaluates all data, 
information and recommendations from other entities regardless of 
whether they are monetary or non-monetary.
Safety Requirement Costs
    Question 27. What parameters are used to determine if safety 
measures are too burdensome to require? What mathematical formula/s are 
used to calculate Corporate/Owner financial cost? What considerations 
are used to determine these costs?
    Answer. Executive Order (EO) 12866 and OMB Circular A-4 direct 
regulatory agencies such as the Coast Guard to maximize net benefits of 
potential regulations. EO 12866 states that ``In choosing among 
alternative regulatory approaches, agencies should select those 
approaches that maximize net benefits (including potential economic, 
environmental, public health and safety, and other advantages; 
distributive impacts; and equity), unless a statute requires another 
regulatory approach.'' The regulatory aim of the Coast Guard is to 
maximize net benefits, i.e., satisfying the safety objectives in the 
least burdensome way possible.
    The Coast Guard maximizes net benefits by estimating and 
aggregating the individual financial costs and comparing those to the 
benefits estimated for each provision to determine the net benefits or 
costs of the rule as a whole. Reviewing several alternatives--with 
safety measures that include differing costs and benefits--also assist 
to maximize the net benefits.

    Question 28. What demarcation renders a safety requirement 
beneficial or detrimental (rejected)?
    Answer. The effectiveness of a proposed safety requirement is 
measured by assessing net benefits from the calculations of the 
estimated costs and benefits. However, the utilization of cost-benefit 
analysis (as outlined by EO 12866 and OMB Circular A-4) is only one 
tool used in assessing whether an agency should implement a new safety 
measure. To perform this analysis, we estimate the costs and benefits 
for each provision of a proposed or final rule and leverage Subject 
Matter Experts within the Coast Guard or industry to determine the 
effectiveness of any safety measure. No singular line or demarcation 
dictates whether a safety requirement would be implemented or would not 
be implemented (rejected).

    Question 29.a. What is the numerical amount at which safety 
measures are rejected as requirements?
    Answer. There is no specific number at which a safety measure is 
rejected as a requirement. Absent a Congressional mandate, the Coast 
Guard, like all federal regulatory agencies, evaluates and assesses all 
information, analyses, risks assessments, historical accidents and 
public comments in the development and implementation of safety 
measures.

    Question 29.b. Which economic costs are considered?
    Answer. Regulatory agencies are required to consider all economic 
costs as part of any regulation as guided by EO 12866 and OMB Circular 
A-4. Some examples of potential costs are equipment/material costs, 
installation costs, maintenance costs, cost of time for installation/
maintenance of equipment, training costs, cost of time for training, 
additional staff costs, opportunity cost if business models change, and 
lost revenue from changes to activity.

    Question 29.c. What formula/s are used to calculate economic costs?
    Answer. There are no specific formulas used to calculate economic 
costs in a regulatory analysis for a rulemaking. Most of our regulatory 
analyses use basic arithmetic. We follow the principles and guidance of 
EO 12866 and Circular A-4. In addition, our regulatory analyses provide 
transparency so that a reader can replicate the math.

    Question 30. Which entities provide data for the above 
calculations?
    Answer. Regulatory agencies are required to use the best, most 
readily available information when considering regulations. EO 13563 
states, ``Each agency is directed to use the best available techniques 
to quantify anticipated present and future benefits and costs as 
accurately as possible.'' The Coast Guard gathers data from industry, 
subject matter experts, public databases, public comments, and any 
other source that is reputable and readily available.

    Question 31. For instances yielding rejections of key safety 
measures due to cost, is there a process for developing alternative 
solutions that can be required?
    Answer. Regulatory analyses are required to consider alternatives 
as part of the rulemaking process. The alternatives considered may be 
more or less stringent than the regulation. In the development of a 
rulemaking, the Coast Guard leverages the public comment period of a 
proposed rule to receive additional information and data that would 
assist the Coast Guard in assessing or implementing any alternative 
solutions.
Black Box Instrument
    Question 32. How much does a ``black box'' type instrument cost the 
Owner/Operator? What source/s were used to provide that cost? What 
affordable measures could provide similar data and benefits?
    Answer. There are currently two types of ``black box'' type 
instruments that are used by large commercial vessels that make 
international trips: the Voyage Data Recorder (VDR) and the simplified 
Voyage Data Recorder (SVDR). They are very similar in that they both 
have the same specifications, with the exception that the SVDR records 
less information. They differ in that the VDR records all items below, 
and SVDR only what is marked SVDR. In the Coast Guard's VDR Report to 
the House Committee on Transportation and Infrastructure (``Voyage Data 
Recorder: A Cost Benefit Analysis'', Report to Congress April 28, 
2022), we concentrated on VDRs as opposed to SVDRs due to fact that our 
in-scope vessels used these primarily.
    VDR costs incorporate not just the device itself, but also 
installation, maintenance, and testing costs. Installation costs could 
be significant due to all the wiring required to connect the input 
devices (i.e., radar, wireless set, inputs from voice microphones, 
etc.). There are also maintenance and testing costs associated with 
VDRs, but these are small relative to the cost of the purchasing and 
installing the VDR. Our outreach to several industry groups (including 
manufacturers and installers) provided price ranges for VDRs. New VDR 
system for large commercial IMO vessels in 2019 ranged from $22,562 
(minimum), to $45,781 (median), to $69,000 (maximum). With an average 
VDR lifespan of 13 years, cost calculations factor in depreciation.
    There are currently two alternatives to VDRs: The SVDR and the Rose 
Point Electronic Charting System, a proprietary system produced by the 
company Rose Point. The SVDR records less data than a VDR, implying a 
slightly lower cost black box due to the reduced costs associated with 
wiring the needed inputs (as the SVDR measures less data than the VDR). 
The Rose Point Electronic Charting System is a software application 
that provides a vessel with the ability to record a variety of data 
such as position, radar imagery, etc., similar to what VDRs and SVDRs 
are able to record. Unlike SVDR, a VDR is recoverable under the worst 
conditions (i.e. recovery from ocean depths, or survivability from 
extreme damage, even if the vessel is otherwise badly damaged, but does 
not sink).
Warning Systems
    Question 33. What warning signage and/or systems for direct 
passenger communication, education, and knowledge has the Coast Guard 
actively put into place, will be putting into place, and considering 
putting into place?
    Answer. 46 C.F.R. Sec. Sec.  122.506 and 185.506 require all SPVs 
to conduct a passenger safety orientation detailing the location of 
emergency exits, stowage of life jackets and how to don a lifejacket, 
and the location of the vessel's emergency procedures and instructions. 
Furthermore, 46 C.F.R. Parts 122 and 185 have additional requirements 
for emergency instruction placards and emergency signage. The Coast 
Guard currently has no rulemaking projects on the Unified Agenda, nor 
policy documents for changes to these requirements.
NTSB Concerns
    Question 34. What has the Coast Guard put into place to address the 
NTSB concern about escape area options and what are the Coast Guard 
plans to address this more fully in the future?
    Answer. The NTSB made recommendations to review the suitability of 
Subchapter T regulations regarding the means of escape for vessels 
constructed prior to 1996. The December 2021 Interim Final Rule with 
request for public comment for Fire Safety of Small Passenger Vessels 
implemented new applicability provisions in 46 C.F.R. Sec. Sec.  
116.115(c) and 177.115(c), requiring vessels regulated by Subchapter T 
or K that have overnight accommodations for passengers, regardless of 
build date, to comply with the requirements for means of escape in 
Sec. Sec.  116.500 and 177.500. Also included within the Interim Final 
Rule are provisions that prevent a door, hatch, or scuttle utilized as 
an avenue of escape to be located directly above or dependent on a 
berth, for vessels regulated by Subchapter T or K that have overnight 
accommodations for passengers, as outlined in revised Sec. Sec.  
116.500(o) and 177.500(n).
Kitchen and Dining Areas
    Question 35. It is common knowledge kitchen and dining areas pose 
high danger threats. Clearly there needs to be an escape strategy 
circumventing that area. What has been done and what will be done to 
warn passengers of, and hopefully protect them from, such danger?
    Answer. Current SPV regulations do not specifically require that a 
means of escape circumvent kitchen and dining areas. However, 46 C.F.R. 
Sec. Sec.  116.500 and 177.500 require that each passenger-accessible 
space must have two means of escape. Due to the design of most vessels, 
one of those means of escape likely circumvents a kitchen and/or dining 
space. Furthermore, additional safety measures are in place for cooking 
equipment due to the recognized potential hazard.
Public Site
    Question 36. Is there a site for the public to read about the Coast 
Guard steps being taken and their current status as related to these 
laws?
    Answer. Yes. The most current Coast Guard safety regulations can be 
found at https://www.govinfo.gov/app/collection/cfr/2021/. The status 
of rulemaking projects being undertaken by the Coast Guard are listed 
on the Unified Agenda and can be viewed here: https://www.reginfo.gov/
public/do/eAgendaMain.
Most Important Knowledge
    Question 37. As an esteemed safety and protective entity 
specialized in this area, based on the 9/2/19 tragedy, what does the 
Coast Guard see as the most important safety tools and knowledge to 
provide passengers and the public their tragedies affect?
    Answer. The Coast Guard provides updates to the public, including 
mariners, regarding safety best practices through Marine Safety 
Information Bulletins (MSIB). These can be found here: https://
www.dco.uscg.mil/Featured-Content/Mariners/Marine-Safety-Information-
Bulletins-MSIB/.
    As an example, the Coast Guard released the following MSIB after 
the CONCEPTION marine casualty: https://www.dco.uscg.mil/Portals/9/
DCO%20Documents/5p/MSIB/2019/MSIB_008_19.pdf?ver=2019-09-10-115632-287.
    The Coast Guard Maritime Commons website is also a great resource 
for passengers and mariners alike: https://mariners.coastguard.blog.
    The public may view Coast Guard vessel compliance information and 
policy by visiting the Office of Commercial Vessel website at: https://
www.dco.uscg.mil/Our-Organization/Assistant-Commandant-for-Prevention-
Policy-CG-5P/Inspections-Compliance-CG-5PC-/Commercial-Vessel-
Compliance/.
    Finally, the public may find contact information for the local 
Captain of the Port/OCMI by visiting the Port Directory at https://
homeport.uscg.mil.

Questions from Hon. Salud O. Carbajal to Hon. Jennifer Homendy, Chair, 
                  National Transportation Safety Board

    Introduction to responses from Hon. Jennifer Homendy, Chair, 
National Transportation Safety Board: Thank you again for the 
opportunity to discuss our marine accident investigations and the 
lessons we have learned from those investigation. I am pleased to 
answer the additional questions posed by Representative Carbajal, 
below.
    As I emphasized in my testimony, in just the last ten years, the 
NTSB's Office of Marine Safety has dramatically increased its number of 
investigations. Before 2012, the office investigated and developed six 
reports annually on average. Now, the caseload is over 40 per year, and 
at times over 50, while the cases have also grown more complex. 
However, our marine investigative staff has not grown with that 
increase, and we currently have 11 marine investigators. It is critical 
to have additional resources to respond to casualties without impacting 
timeliness, quality, and our independence. Our reauthorization proposal 
to Congress included a request for resources and hiring flexibilities 
to increase the number of investigators in our Office of Marine Safety, 
as well as in our other modes. These resources will allow us to hire 
professionals with the needed skills, purchase the equipment necessary 
for those skilled professionals to do their jobs, and invest in staff 
training and development. Our workforce is our greatest asset and is 
essential to our mission.

    Question 1. Why was the NTSB stopped from completing their 
investigation that did not include crew interviews?
    Answer. The NTSB was not stopped from completing any aspect of the 
safety investigation. NTSB investigators interviewed three of the five 
surviving crewmembers and received needed information regarding the 
vessel's history, operations, systems, and maintenance.
    There are always unique challenges that come with concurrent safety 
and criminal investigations. Criminal investigations can impact the 
timeliness of the NTSB's reports and issuing timely and accurate 
reports improves safety. However, the NTSB is committed to working with 
our law enforcement partners, to ensure that both criminal and safety 
investigations are addressed.
    In the case of the Conception, the NTSB was unable to speak with 
the captain of the vessel due to the ongoing criminal investigation. 
That interview could have provided additional information regarding the 
vessel's history, operations, systems, and maintenance.

    Question 2. When the vessel and debris were salvaged and taken to 
Port Hueneme, the NTSB was prevented from entering and assisting for 
weeks. Why?
    Answer. NTSB investigators were not prevented from entering and 
assisting at the examination site at Port Hueneme. NTSB investigators 
were present when the Conception's hull arrived at the site and was 
offloaded on September 13, 2019. Following the placement of the hull, 
NTSB investigators were informed that it would take multiple days to 
construct securing apparatus and scaffolding around the hull. Based on 
this information, NTSB investigators departed Santa Barbara and 
returned on September 25 and 26 after being informed the scaffolding 
and securing apparatus was in place.

    Question 3. Without complete access to all the evidence from the 
salvaged vessel, salvaged and recovered debris, was the NTSB able to 
complete the investigation?
    Answer. The NTSB evaluated all available evidence from the salvaged 
vessel, recovered debris, and testimony in completing its 
investigation.

    Question 4. The NTSB speculated that they would be able to 
determine the cause of the fire through their investigation. This was 
even told to the victims' families. They also speculated that the fire 
was so fast, so hot and so furious that it most likely was a ``lithium 
ion'' battery. On February 13, 2020 the FBI provided the NTSB 
investigators a hard drive with scans of documents and photos taken 
from the FBI Evidence Response Team. Did the NTSB ever get an 
opportunity to inspect the electronics, batteries, and chargers that 
were recovered? It seems that this part of the investigation would have 
been exhaustive and extensive. The NTSB report seems to be lacking in 
this coverage. How was the NTSB able to complete their investigation 
without this? It's my understanding that the investigation should have 
been complete, inclusive after all 34 people died and it's also a part 
of a criminal investigation / prosecution.
    When the NTSB did return to the Conception hull the next time, they 
found that the salvaged hull of the Conception was pretty much all 
cleaned up for them. It appears someone decided all the remaining 
debris wasn't of any value and discarded. Is this true and how can we 
ensure the NTSB has the ability in the future to review, preserve the 
integrity of evidence, and investigate after other investigators (i.e. 
Department of Justice or the Coast Guard) have had a chance to review?
    Answer. NTSB investigators had an opportunity to inspect the 
remains of all chargers, electronics, and batteries that were recovered 
and processed by the Federal Bureau of Investigation (FBI) Evidence 
Response Team.
    During the investigation, NTSB investigators were in constant 
communication with the U.S. Coast Guard (USCG), FBI, and the Bureau of 
Alcohol, Tobacco, and Firearms (ATF) regarding the wreckage. Before the 
NTSB returned to the wreckage examination site, debris and materials 
from inside the hull were removed and processed by fire and evidence 
experts with the FBI and ATF. Their efforts allowed NTSB investigators 
to more efficiently review the wreckage. The NTSB maintains open 
communication with other investigative agencies and will continue to do 
so to ensure that the investigative needs of both the safety and 
criminal investigations are met.
    Lithium-ion batteries were one of many possible sources of the fire 
that investigators analyzed. The area where the fire was reported to 
have been first observed was destroyed, leaving minimal evidence to be 
examined. Since the boat, particularly the salon and aft deck area, was 
so consumed by fire, we could not conclude based on the physical 
evidence that the batteries initiated the fire or whether the batteries 
were exposed to the fire.

    Question 5. Chair Homendy: ``The NTSB investigated the accident 
under the authority of Title 49 United States Code (USC) 1131(a)(1)(E). 
. . . and there was no request from either the Attorney General or any 
other federal agency to the NTSB to relinquish investigative priority 
under 49 USC 1131(a)(2)(B). Accordingly, the NTSB retained 
investigative priority for the Conception accident throughout.'' Chair 
Homendy, you were never allowed to visit and inspect the vessel when 
they were first brought into Port Hueneme; the vessel was, ``At the 
examination site, NTSB investigators found that most loose items 
contained within the hull of the Conception had been removed, and items 
determined by law enforcement investigators to be non-relevant were 
placed into large plastic bags for disposal.''
    Furthermore: The owner of Truth Aquatics, who was permitted to 
inspect the wreckage at a later date with the insurance investigators, 
advised the NTSB during the technical review of the fire and explosions 
factual report that there were ``many parts of the upper deck. . . . 
discovered during [Truth Aquatics'] site visit in piles and plastic 
bags off to the side.'' When the items were confiscated by the U.S. 
Attorney General and FBI from the Truth Aquatics office, you were not 
allowed to participate, the information seized was scanned and 
photographed and shared the following year. The electronics, lithium 
batteries, chargers, cell phone, computers, underwater video cameras, 
underwater cameras, strobes, dive computers, etc. Any electronic items, 
and especially those with rechargeable batteries, you were never 
allowed to examine, inspect, touch, or send off to your experts for an 
independent examination.
    Does this occur often that you are not allowed to participate in 
the inspection of the vessel, involved in gathering evidence from the 
office or sister vessels, and not allowed to inspect the electronic 
evidence?
    Answer. Every maritime safety investigation conducted by the NTSB 
is done concurrently with the USCG Each agency cooperates during the 
fact-finding portion, and then does its own analysis and report. At the 
initial notification, one agency is designated as the lead. In this 
case, the NTSB was made the lead investigative agency for the safety 
investigation. When there is the possibility of a criminal prosecution, 
as in this case, the NTSB works alongside the FBI, ATF, and USCG. NTSB 
investigators were present when the wreckage and belongings were 
recovered.
    There are always unique challenges that come with concurrent safety 
and criminal investigations. The NTSB continues to work closely with 
the DOJ to ensure that the needs of both investigations are met. The 
NTSB was not stopped from completing any aspect of this safety 
investigation.

    Question 6. Why would a preventative maintenance system NOT be 
considered part of a safety management system?
    Answer. A preventative maintenance system is typically an element 
of a safety management program and is required for safety management 
systems that are certified under the International Safety Management 
Code.
    Since 2002, the NTSB has been urging the USCG to address preventive 
maintenance programs and safety management systems. We have issued two 
safety recommendations:

        M-02-5: Require that companies operating domestic passenger 
        vessels develop and implement a preventive maintenance program 
        for all systems affecting the safe operation of their vessels, 
        including the hull and the mechanical and electrical systems. 
        (Open--Unacceptable Response)

        M-12-3: Require all operators of U.S.-flag passenger vessels to 
        implement safety management systems, taking into account the 
        characteristics, methods of operation, and nature of service of 
        these vessels, and, with respect to ferries, the sizes of the 
        ferry systems within which the vessels operate. (Open--
        Acceptable Response)

    For two decades, the NTSB has advocated for all passenger vessel 
operators to implement a safety management system, and it has been on 
our Most Wanted list for a decade. The NTSB has been waiting twelve 
years for the Coast Guard to issue regulations that would require 
passenger vessel operators to implement safety management systems, a 
comprehensive, documented system to enhance safety.
    For marine passenger vessels, regardless of a company's size, an 
SMS ensures that each crewmember is given standard and clear procedures 
for routine and emergency operations. An SMS specifies crewmember 
duties and responsibilities, as well as delineates supervisory and 
subordinate chains of command, so that each crewmember understands what 
to do during critical vessel operations and emergency scenarios. 
Developing an SMS includes creating plans for crewmember responses to a 
range of possible emergency situations. SMSs also include procedures 
for performing and tracking preventive maintenance, as well as for crew 
training, emergency preparedness, documentation and oversight, and 
other actions that prioritize safe operations.