1. Marine Investigations
LT Peter Fransson
Chief, Investigations Division
Sector Northern New England

2. Updates Expanded Guidance for Marine Casualty Reporting (NVIC 01-15)
Homeport Updates
Investigations Information and Guidance
Drug and Alcohol Program Information 2

3. NVIC 01-15
Released on 21 July 2015
Promulgated to provide additional instruction to the Marine Industry and the Coast Guard for standardization of marine casualty reports
Provide instruction for immediate reporting and advise the marine industry of obligation to report both marine casualties and hazardous conditions to the Coast Guard.
Further expanded on criteria of first aid, “bump and go” groundings, loss of propulsion, and maneuverability (loss of steering). 3

4. Immediate Reporting of Hazardous Conditions & Marine Casualties
Responsible parties involved in a marine casualty must make all efforts to notify the Coast Guard.
This “immediate” notification allows Coast Guard to act as necessary to reduce risk on the waterway, dispatch resources, put in place vessel control measures and begin an investigation when time is a critical factor.
Initial Notifications shall be made to the Command Center in the OCMI Zone with which your vessel(s) are operating.
Maritime industry are encouraged not to make notifications to duty USCG inspectors or duty USCG investigators without first providing initial notification through the Command Center.
Tugs hold wreckage of the DM 932 barge after ship collision.
Mississippi River 4

5. Reports of Injuries (Involving Passengers & Crew)
When an injury involves a passenger:
All injuries of passengers that exceed first aid care shall be immediately reported to the Coast Guard and documented with a CG-2692.
When an injury involves a crewmember:
All injuries sustained that both 1) exceed first aid care and 2) render the crewmember unfit to perform duties shall be documented with a CG-2692.
Injuries that require a CG-2692, also meet the criteria of a serious marine incident, which requires drug and alcohol testing of all personnel engaged or employed deemed “directly involved” in the incident. 5

6. -referenced from page 12, NVIC 1-15

8. “Bump and Go” Groundings (1 of 2)
Grounding was only momentary (e.g., reversing engines frees the grounded vessel on the first attempt, no assist vessel is needed to free the vessel, all towing connections remain intact) and that the grounding did not result in any other marine casualty criteria (i.e. pollution, injury, etc).
Initial notifications of “bump and go” groundings must still be made to the Coast Guard Command Center as notice of a hazardous condition per 33 CFR Part 8

9. “Bump and Go” Groundings (2 of 2)
A Coast Guard Investigating Officer shall review each reported “bump and go” grounding in order to confirm that it meets the criteria to be excluded from the grounding casualty reporting requirements under 46 CFR 4.05.
The Coast Guard response to a claim of a “bump and go” grounding is at the discretion of the cognizant OCMI/COTP 9

10. Loss of Propulsion (Primary Propulsion and associated system components)
Loss of propulsion means unexpectedly, even momentarily.
Additionally, voluntary shutdown is considered a loss and must be reported.
These components are the ones that the vessel routinely needs to operate.
- If you need thrusters to operate in a particular vessel specific operation they would count.
- Renders your vessel incapable of maintaining safe speed and steerage and /or adversely impacts vessel operations.
Commuter ferry and dock allision
Seastreak Wall Street
New York Harbor, January 2013 10

11. (Steering Gear and associated components)
Loss of Steering
(Steering Gear and associated components)
Handled on a case by case basis, for instance (if while underway):
- If you lose function of one steering pump on a two pump system, it would be considered an inspections issue.
If you lost function of both steering pumps, it’s considered a casualty.
- If you had need to operate the steering by secondary or emergency means (i.e., loss of bridge remote control), it’s considered a casualty.
Dual Ram Steering Gear System

12. Loss of Maneuverability (Reduction in Propulsion/Steering)
Reduces the maneuverability of the vessel
Interpreted as an occurrence that renders - a vessel incapable of maintaining safe speed and steerage for the prevailing or anticipated conditions (e.g., weather, other vessel traffic, tidal influences) and/or adversely impacts specific vessel operations (e.g., mooring, towing, anchoring, and dynamic positioning).
Tug pushing a pressure barge on one of America’s waterways. 12

13. Materially and Adversely… affect the vessels fitness for service or route. U.S. Vessels (1 of 2)
Materially or Adversely = A physical condition that requires a “work around”.
Seaworthy is properly equipped and constructed for the conditions reasonably expected to be encountered.
All based on the “Route Permitted and Conditions of Operation” in the COI. 13

14. Materially and Adversely… affect the vessels fitness for service or route. U.S. Vessels (2 of 2)
Should an occurrence result in the material condition on the vessel becoming such that it requires the temporary or permanent reduction or restriction in the vessel’s operating parameters or route as compared to what is permitted in its COI, then the occurrence is considered to have met this criterion.

15. Casualty Reporting & Evaluation
When the Coast Guard receives report of a potential marine casualty, accident, and hazardous condition:
A qualified Coast Guard Investigating Officer (IO) will evaluate reports of hazardous conditions and marine casualties.
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.
IO will evaluate the facts and determine whether further Coast Guard action is necessary. If so an investigation is started.
Coast Guard Marine Casualty Investigator at work 15

16. Definition of Hazardous Condition
“…any condition that may adversely affect the safety of any vessel, bridge, structure, or shore area or the environmental quality of any port, or navigable waterway of the United States. It may, but need not, involve collision, allision, fire, explosion, grounding, leaking, damage, injury or illness of a person aboard, or manning-shortage.” – 33 CFR 16

17. Additional Reporting Obligations
In addition to providing notice of marine casualty, regulations require reporting hazardous conditions and inspections related issues.
Reports of Hazardous conditions are to be reported to Sector Northern New England’s Command Center.
Sector NNE Command Center: (207)
Typical USCG Sector Command Center 17

18. Reporting Inspections related issues
Inspection related problems shall be reported to Sector Northern New England OCMI.
“The owner, managing operator, or master shall report damage to a boiler, unfired pressure vessel, or machinery that renders further use of the item unsafe until repairs are made, to the OCMI at the port in which the casualty occurred or nearest the port or first arrival, as soon as practicable after the damage occurs.” - 46 CFR

19. FINAL POINTS REGARDING USCG NOTIFICATIONS
***WRAP-UP***
FINAL POINTS REGARDING USCG NOTIFICATIONS
Is it a reportable casualty based upon criteria listed in
46 CFR and expanded guidance from NVIC 01-15?
If “Yes,” notify Command Center immediately as required.
If “No,” validate whether it’s a hazardous condition.
2) Does it meet the criteria of hazardous condition?
If “No,” is it an inspections issue?
3) Is it an inspections issue?
If “Yes,” notify Sector Northern New England OCMI. 19

20. Questions, Comments, Concerns?

21. Drug and Alcohol Program
LT Peter Fransson
Chief, Investigations Division
Sector Northern New England

22. References Regulatory Authorities
46 CFR Parts 4 and 16
49 CFR Part 40
33 CFR Part 95
Commandant Instruction (Enforcement of the Chemical Testing Regulations, 1995)
Marine Employers Drug Testing Guidance, USCG Office of Investigations & Casualty Analysis, 2009
DOT Office of Drug & Alcohol Policy & Compliance (ODAPC) website: 22

23. Purpose
“The intent of the regulations is to provide a means to minimize the use of intoxicants by merchant marine personnel and to promote a drug free and safe work environment.” – COMDTINST 23

24. Applicability
Required for vessels that require a licensed operator as well as crewmembers aboard that serve in a safety sensitive position.
Safety Sensitive duties include:
Directing / mustering of passengers in emergencies
Passing out lifejackets
Controlling / Operating lifesaving equipment
Controlling / Operating firefighting equipment 24

25. Deciding how to run a successful program
Wholly operated by the company – All work done in-house w/ dedicated personnel
Burden to run the program rests on company resources
Use of Consortiums & Third Party Administrators (C/TPAs)
Alleviates the Marine Employer of many of the burdens involved in running a Chemical Testing Program (i.e., Consortium handles random selection of employees for testing, Third Party Administrators ensure for proper collection IAW 49 CFR 40), may also ensure for recordkeeping.
Service Agents may not serve as “designated employee representatives (DER).” 25

26. USCG Company Audits of Drug & Alcohol Chemical Testing Program
The Coast Guard is encouraged to conduct company audits to ensure companies are meeting the DOT/USCG chemical testing program requirements.
Audits are voluntary in nature.
Serve to identify issues with a program and make valid course correction for regulatory compliance
Audits cover training, recordkeeping, evaluating valid methods for testing, evaluation of T/CPA, SAP, EAP, etc. Provide information on new threats for health and safety (abuse of prescription medications, synthetic, & designer drugs). 26

28. Common Issues
Improperly conducting testing under wrong regulatory authority in 46 CFR 16 (i.e. improperly testing under false pretenses for periodic testing, reasonable suspicion, invalid random selections).
Improper record keeping (i.e. not maintaining pre-employment negatives, not keeping positive tests for five years, not keeping negative tests for one year.)
Background Checks w/ former DOT employers not conducted or attempts not kept on record.
Administrative issues with Federal Drug Testing Custody & Control Form (FCC). 28

29. 46 CFR 16 – Required Chemical Testing
Requires marine employers to test with regard to the following circumstances:
Pre-employment
Random
Reasonable Suspicion
Serious Marine Incident
Periodic (*Not to be used by Marine Employer) 29

30. 46 CFR – Pre-employment
“No marine employer shall engage or employ any individual to serve as a crewmember unless the individual passes a chemical test for dangerous drugs for that employer.”
Requirement may be waived by employer if:
(a) participant is part of a random drug testing program within the last 185 days for at least 60 days, or,
(b) passed a chemical test required by this part within the last 6 months without a subsequent positive test. 30

31. 46 CFR Random
Rate is 25% as per 2016 DOT Random Testing Rates
As applicable by either company pool, or if in a consortium, 25% of consortium pool.
Conducted by a scientifically valid random method (i.e., random number table or a computer based random number generator matched with crewmembers’ SSN#s, payroll ID #s, or other comparable ID numbers).
Alternatively, random selection may be accomplished by periodically selecting one or more vessels and testing all crewmembers, provided each vessel is equally subject to selection.
Tests are unannounced and are spread reasonably throughout the calendar year. 31

32. 46 CFR 16.250 – Reasonable Suspicion
“The marine employer’s decision to test must be based on a reasonable and articulable belief that the individual has used a dangerous drug based on direct observation of specific, contemporaneous physical, behavioral, or performance indicators of probable use.”
“When practicable, this belief should be based on the observation of the individual by two persons in supervisory positions.”
The individual shall be notified, and it shall be noted, participation or refusal, in the vessel’s official logbook, if one is required. 32

33. 46 CFR 16.240 – Serious Marine Incident
Serious Marine Incidents are marine casualties that result in:
One or more deaths
An injury to a crewmember, requiring medical treatment beyond first aid / renders unfit for duty
Damage >$100K
Actual/Constructive total loss of any self propelled vessel
Discharge of oil > 10,000 gallons
Discharge of a reportable quantity (RQ) of hazardous substance. 33

34. 46 CFR 16.240 – Serious Marine Incident (continued)
Casualties that require the chemical testing of individuals directly involved in a serious marine incident.
Those “whose order, action or failure to act is determined to be, or cannot be ruled out as a factor”
These individuals must undergo:
Alcohol testing within two hours, no later than eight
D.O.T. Drug testing (Post Casualty) within thirty-two hours 34

35. 46 CFR – Periodic
Again, criteria that does not apply to marine employers, used for the following:
Initial issuance of merchant mariner’s credential
Upgrade or renewal of merchant marine’s credential
Not required if:
(a) participant is part of a random drug testing program within the last 185 days for at least 60 days, or,
(b) passed a chemical test required by this part within the last 6 months without a subsequent positive test. 35

36. Problems in Drug Tests
49 Part 40 provides instructions when problems arise in drug testing.
Examples of possible problems include use of prosthesis, dilute samples, and shy-bladder syndrome just to name a few.
Designated Employee Representatives should be familiar with 49 Part 40 as they have a responsibility to ensure the proper actions are taken when problems arise. 36

37. Management Information System (MIS) Reporting
Due every March 15th.
Can be faxed, mailed, or filed electronically (preferred means).
Consortiums or Third Party Administrators may file these reports on behalf of the Marine Employer.
After filing 3 consecutive annual MIS reports, marine employers with less than 10 or fewer covered employees may stop filling the annual report each succeeding year during which they have no more than 10 covered employees. 37

38. Questions, Comments, Concerns?

39. Contact Info
LT Peter Fransson
Desk: (207)
Fax: (207)