NVIC 01-15: Marine casualty reporting guidance and interpretations

Commandant 2703 Martin Luther King Jr. Ave. United States Coast Guard SE Stop 7501, 20593-7501 Symbol: CG-INV Phone: (202) 372-1029 Fax: (202) 372-1996 COMDTPUB P16700.4 NVIC 01-15 21 JULY 2015 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-15 Subj: TITLE 46, CODE OF FEDERAL REGULATIONS (CFR), PART 4 MARINE CASUALTY REPORTING PROCEDURES GUIDE WITH ASSOCIATED STANDARD INTERPRETATIONS Ref: (a) Title 46, United States Code (U.S.C.), Chapter 61 and 63 (b) Title 46, Code of Federal Regulations (CFR), Part 4 (c) Marine Safety Manual, Volume V, Investigations and Enforcement, COMDTINST M16000.10A (d) MISLE Incident & Enforcement Process Guide

Marine Casualty Reporting Procedures Guide with Associated Standard Interpretations — PURPOSE. This circular provides guidance for the identification and reporting of marine

casualties to promote compliance with references (a) and (b). Additionally, this circular will clarify terminology and phrases within the regulatory context, draw attention to helpful regulatory citations and provide concise policy interpretations to assist involved parties in the casualty reporting process. It is impossible to outline every scenario that may apply to this subject within the highly dynamic and complex maritime environment; however, this circular is intended to serve as a common framework of understanding for both Coast Guard and maritime industry personnel.

Marine Casualty Reporting Procedures Guide with Associated Standard Interpretations — DISCLAIMER. This circular is not a substitute for applicable legal requirements, nor is itself a

rule. It is not intended to nor does it impose legally-binding requirements on any party. It represents the Coast Guard’s deliberations on this topic in an effort to assist all parties in applying proper statutory and regulatory requirements. This circular focused primarily upon 46 CFR Part 4 occurrences and is not intended to limit Captain of the Port (COTP) or Officer in Charge, Marine Inspection (OCMI) discretion in applying other appropriate regulatory standards within their respective areas of responsibility.

Marine Casualty Reporting Procedures Guide with Associated Standard Interpretations — ACTION.

a. Area, District, Sector Commanders, and Commanding Officers of units conducting marine casualty investigations should utilize the contents of this circular when conducting preliminary investigations to determine whether a reportable marine casualty has occurred. Reference (c) provides further guidance on subsequent investigative DISTRIBUTION – SDL No. 154 a b c d e f g h i j k l m n o p q r s t u v w x y z A B X X X X X C X X X X X X X D X E X X X F G H X NON-STANDARD DISTRIBUTION: NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-15 efforts. Field commanders should thoroughly vet and update all local policies, Quick Response Checklists (QRCs), informational brochures, and unit websites that include items related to marine casualties used by Coast Guard Command Centers, other Coast Guard units, or maritime stakeholders to ensure they are consistent with the information contained in this circular. In addition, Sector Prevention personnel shall audit local QRCs annually to ensure compliance with current regulatory requirements and Coast Guard policies. Internet release authorized. b. Owners, operators, charterers, masters, persons-in-charge, marine employers, marine industry personnel, agents, merchant mariners, and all other reporting parties defined in reference (b) (hereafter referred to as responsible industry parties) may use this circular to facilitate compliance with marine casualty reporting requirements.

Marine Casualty Reporting Procedures Guide with Associated Standard Interpretations — DIRECTIVES AFFECTED. None.

DIRECTIVES AFFECTED. None.

Marine Casualty Reporting Procedures Guide with Associated Standard Interpretations — BACKGROUND.

a. Historically, marine industry stakeholders have complied with the marine casualty reporting laws and regulations in references (a) and (b) and the Coast Guard has relied on reference (c) to interpret, carry out, and enforce those marine casualty reporting laws and regulations. Due to the complexity of the subject and inconsistent enforcement, the Coast Guard recognizes that additional guidance to clarify these requirements would benefit both Coast Guard field commanders and the marine industry. Such clarification furthers the Coast Guard’s goal of providing consistent national guidance regarding marine casualty reporting to all stakeholders. b. Information and data collected during marine casualty investigations are used by a wide audience for many purposes, including the enforcement of laws, the enhancement of prevention activities (e.g., safety alerts and recommendations), the development of standards, and the support of safety studies. Given this importance, it is critical that casualty information be properly captured and documented. In addition, minor incidents may also provide valuable leading indicator and trend analysis information critical for an effective Prevention program. c. This circular provides additional guidance to standardize the collection and reporting of marine casualty data by clarifying existing regulations, policies, and procedures. Specifically, enclosure (1) assists responsible parties with the evaluation of occurrences that would constitute a reportable marine casualty or hazardous condition and subsequently require action by both the Coast Guard and maritime industry stakeholders. The Coast Guard should be notified of a hazardous condition under 33 CFR 160.216 for certain types of incidents that do not reach the threshold of a reportable marine casualty.

Marine Casualty Reporting Procedures Guide with Associated Standard Interpretations — DISCUSSION. The purpose of marine casualty reporting is to assist the Coast Guard in

responding to marine casualties and conducting timely investigations. Prompt reporting of marine casualties and hazardous conditions enables the Coast Guard to properly respond to incidents and assist parties in need. It also helps the Coast Guard to determine the contributing factors for each incident and use the lessons learned to promote the safety of life and property throughout the maritime domain.

Marine Casualty Reporting Procedures Guide with Associated Standard Interpretations — COTP AND OCMI PROCEDURES. A “marine casualty or accident” as defined in 46 CFR

4.03-1 is broadly defined to capture a wide variety of occurrences. The statutes and regulations NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-15 provide the Coast Guard the authority and jurisdiction to investigate a wide range of occurrences irrespective of reporting requirements. These occurrences include both commercial and recreational vessel activities. Required reporting for vessels are specifically defined in both 33 CFR Part 173 (state-registered vessels not subject to inspection) and 46 CFR Part 4 (US flagged vessels anywhere in the world and foreign-flagged vessels within US jurisdiction). COTPs and OCMIs shall use the following procedures when responding to all reports of potential or actual “marine casualties or accidents.” a. Notification Phase: When Coast Guard Command Center watch standers or other Coast Guard personnel receive information regarding a potential “marine casualty or accident”

(e.g., radio or cell phone call, third-party report, or written Report of Marine Accident, Injury or Death (CG-2692)), the receiving unit shall immediately pass the information to a qualified Coast Guard Investigating Officer (IO) for the Evaluation Phase at the appropriate Sector or Marine Safety Unit (MSU) office. The receiving unit shall document the notification in the Coast Guard’s Marine Information for Safety and Law Enforcement (MISLE) data system in accordance with references (c) and (d). At no time shall a written CG-2692 be requested unless the reported occurrence is determined by a qualified IO to be a reportable marine casualty. b. Evaluation Phase: Upon receiving a report of a potential “marine casualty or accident,” the Coast Guard IO shall immediately commence an evaluation of the facts to determine whether the occurrence is a reportable marine casualty and whether further Coast Guard action is necessary. As appropriate, qualified marine inspectors should also be contacted and consulted to determine if vessel operational controls are necessary. In most cases, vessel operational control actions should not be based solely upon an initial marine casualty report. Vessel control actions should be determined after careful consideration by a qualified Prevention Officer who has conducted a risk assessment based upon the consideration of redundant equipment and/or equivalent levels of safety. c. Action Phase:

(1) Upon determining that an occurrence is a reportable marine casualty or, by policy, requires further action, an Investigating Officer shall conduct an investigation per reference (c).

(2) Upon completing a preliminary investigation and determining an occurrence is either not a reportable marine casualty or meets Coast Guard policy exclusion for further action, no further investigative effort is required per reference (c). The IO shall ensure the MISLE preliminary investigation activity contains copies of all documents received relevant to the occurrence. If a non-reportable marine casualty is of investigative value to the Coast Guard and an investigation is conducted, an Incident Investigation Activity shall be opened in accordance with reference (c). However, IOs shall not request a CG-2692 when conducting an investigation of a non- reportable marine casualty.

Marine Casualty Reporting Procedures Guide with Associated Standard Interpretations — MARITIME INDUSTRY RESPONSIBILITIES. Per reference (b), the owner, agent,

master, operator, or person in charge (collectively referred to here as the “responsible industry party”) must determine whether an occurrence meets the criteria for notifying the Coast Guard. Enclosure (1) provides assistance to responsible industry parties in making such a determination. If a responsible industry party determines an occurrence meets the