1. Marine Casualty Investigations CWO Josh Nix

2. Regulations/References
Title 46 United States Code, Chapter 61 – Reporting Marine Casualties
Title 46 United States Code, Chapter 63 – Investigating Marine Casualties
Title 46 Code of Federal Regulations (CFR), Part 4
Marine Safety Manual, Volume V, Investigations and Enforcement
NVIC 01-15
Sector Buffalo Marine Casualty Brochure
This is a list of the regulations and references that govern marine casualty investigations.
The USC – The US Code Chapter 61 and 63 outline the reporting requirements and gives the Coast Guard the authority to investigate Marine Casualties
The CFR – The CFR is where you will find the regulations that govern marine casualties and investigations. This is what we use on a day to day basis when conducting investigations into marine casualties
Marine Safety Manual – Gives the Coast Guard and industry guidance on the investigation process

3. 46 CFR Part 4
We talked about this in the homeport presentation. You can access CFRs using the useful links on homeport, which will direct you to the website.
Part 4 of the CFR is where all of our regulations for marine casualty reporting and investigation reside

4. Marine Safety Manual Vol V
Again, this can be found under useful links on Homeport – Marine Safety Manuals - Provides guidance on the investigation and enforcement of marine casualties. A lot easier read than the CFRs. Plain English

5. Marine Casualty Brochure
Great tool for Marine Casualties. Lists out what the casualties are and reporting requirements. It also goes over Serious Marine Incident Drug Testing requirements.
I recommend you print these out and put on your vessel as a reference guide

6. NVIC 01-15
Purpose:
To provide guidance for the identification and reporting of marine casualties.
To provide clarification for terminology and phrases used within the regulations
Intended to serve as a common framework of understanding for both Coast Guard and maritime industry personnel.
- This is contained on your CD. We also covered it last year in more detail
We will touch on a few of the items in the NVIC further in this presentation
The NVIC came out July 21, 2015 -

7. Reporting Marine Casualty
SECTOR BUFFALO 24HR COMMAND CENTER
Direct Phone Lines:
(716)
(716)
Fax:
(716)
VHF:
Channel 16
In a couple of minutes we will go over what casualties are reportable and serious marine incidents (SMI)
Immediate Reporting - The purpose of immediate reporting is to assist the Coast Guard in responding to marine casualties and conducting timely investigations. It also allows the Coast Guard to properly respond to incidents and assist parties in need.
Immediate Reporting – 46 CFR – after the addressing of resultant safety concerns - interpreted to mean as soon as practicable without delay.
Example of Non –Compliance:
“A crew member on a passenger vessel slips and breaks an arm during an excursion. The master fails to report the incident until completing a 40min transit back to port. When the Coast Guard IOs arrive on scene several witnesses have departed the vessel, impeding the ability to conduct an investigation”
Do not confuse this with the requirement to follow up with a 2692 within 5 days of the incident.
Recommend Posting on Vessels

8. 2692s CG 2692 – General Report for Marine Casualty
CG 2692A – Barge Addendum
CG 2692B – Chemical Testing Following a SMI
CG 2692C – Personnel Casualty Addendum
CG 2692D – Witness Addendum
Posted on our Homeport Page
In March of 2016, the Coast Guard came out with new 2692s for reporting marine casualties. We did this to eliminate unnecessary fields. The older versions of the 2692 required a lot of information that wasn’t necessarily relevant to all marine casualties. Especially those small incidents.
You have the 2692, which is the general form for reporting a marine casualty.
Then you have addendums A – D (as applicable). These are not stand-alone forms. They must be submitted along with the 2692
A – Information related to a barge casualty
B – Chemical Testing following SMI – All the relevant information in regards to chemical testing following a Serious Marine Incident
C - Personnel Casualty – Information on the injured crewmember or passenger – Make sure we have a good contact for the injured person. Phone and Address.
D – Witness Addendum – Contact information for involved crewmembers and witnesses.

9. Marine Casualty
Any casualty or accident involving any vessel, other than a public vessel, that occurs upon the navigable waters of the U.S., its territories, or possessions.
Involves a US Vessel wherever such casualty or accident occurs
Marine Casualty or Accident – applies to events caused by or involving a vessel.
There are a few levels of marine casualties that you need to be aware of as an owner/operator because depending on the casualty, it will depend on the reporting requirements:
Marine Casualty – Listed in 46 CFR (a)
Reportable Marine Casualty – As per 46 CFR
Serious Marine Incident –
Some examples of a marine casualty

10. Groundings

11. Flooding / Fire

12. Collisions

13. Allisions
Colliding with a fixed object such as a bridge or Aid to navigation

14. Pollution
Again, these are just a few. You also have explosions, reductions or loss of a vessel’s electrical power, propulsion or steering. Injuries beyond first aid, which we will cover more in a few minutes.

15. Reportable Marine Casualties
Unintended grounding or bridge allision
Intended grounding or bridge allision that creates a hazard to navigation, the environment, or the vessel
Loss of main propulsion or primary steering
Occurrence adversely affecting the vessel’s seaworthiness
Injury requiring professional medical treatment (beyond 1st Aid)
Loss of life
Property damage > $25K
Significant harm to the environment
We talked about what is a marine casualty. The next level would be reportable marine casualties as listed in 46 CFR and further interpreted in tables in NVIC 01-15
Highlight the unintended grounding – Bump and Go interpretation
Injury Beyond First Aid – The NVIC references OSHA’s definition of first aid. Anything beyond that would be a reportable marine casualty
If in doubt of whether a casualty or accident is a marine casualty. Reach out to our command center and they will notify a qualified IO to make the determination.

16. “Bump and Go” Grounding
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(*).
Initial notifications of “bump and go” groundings must still be made to the appropriate Coast Guard Command Center as a hazardous condition per 33 CFR Part
Highlight. Even though we have interpreted these types of grounding as not reportable for under marine casualty reporting, you must still report this to our command center as a hazardous condition. We will then make the determination if it meets this definition.

17. Injuries / Death
For an injury to be reportable, it has to be an injury that requires medical treatment (Treatment Beyond First Aid)
If the person is engaged or employed on board a vessel, that renders the individual unfit to perform his or her routine duties.
NVIC Included and revised language for "professional medical treatment" beyond first-aid and added the full OSHA definitions to facilitate injury reporting determinations.
Medical Treatment is anything beyond the definition provided by OSHA and included in the NVIC.
The NVIC does a really good job on page 12 of outlining the specifics. Again, if in doubt, report it.

18. Serious Marine Incidents (SMI)
One or more deaths
In injury to a crewmember or passenger beyond first aid
Loss (actual or constructive) of any CG inspected vessel
Loss (actual or constructive) of any self-propelled vessel +100GT
Property damage in excess of $100,000
Discharge of oil of 10,000+ gallons into U.S. navigable water
Discharge of a reportable quantity of a hazardous substance into U.S. navigable waters
We talked about what is a marine casualties and reportable marine casualties. Serious Marine Incidents are reportable marine casualties which result in any of the following
One or more death
Injury beyond first aid
Loss of an inspected vessel
Loss of an uninspected vessel more than 100 gt
Property damage of 100,000
Discharge of oil of 10,000 gallons or more
Discharge of a RQ of a hazardous substance
The big thing that you need to understand is that once you have determined that a reportable marine casualty meets any of the items we just discussed, alcohol and drug testing must take place for crewmembers directly involved. This is defined as an individual whose order, action or failure to act is determined to be, or cannot be ruled out as, a causative factor in the events leading to or causing a SMI. This is a determination that needs to be made by the company or master. If there is a doubt, have that discussion with the Investigating Officer during your initial report.
I am not going to beat you up with the DAPI stuff today because I know we cover this on every annual exam.
2 hours for alcohol testing unless safety concerns prevent, up to 8 hours in those cases
32 hours for drug testing
AND

19. MIS Annual Reporting 46 CFR 16.500
Requirement to submit a MIS Report by March 15 each year.
Online system issue.
Notes:
This can be handled by your consortium. You want to ensure they are submitting this for you.
For those of you that use this system, there was recently an issue with the database and they are in the process of rebuilding. No one will be penalized for late reports due to this issue. Once you request and username/password into the system, you will be put in a queue so once the system is back online you can submit.

20. Proposed Rule Making
Jan 23, 2017 – Proposed rulemaking to amend the monetary property threshold amount for reporting a marine casualty and serious marine incident (SMI).
Current Prices:
Marine Casualty - $25,000
SMI - $100,000
Proposed Change in Price
Marine Casualty - $72,000
SMI - $200,000
These dollar amounts haven’t been changed since the early 80s
This would account for inflation and prevent minor casualties from being report.
Again, this is only a proposed rulemaking. This is not final, but I wanted to bring it up for your awareness. If it does change, we will send out information to keep you posted.

21. Summary Initial Immediate Reporting Requirements New 2692 Forms
Take a look at the references talked about today. CFR, MSM, NVIC
Initial Immediate Reporting Requirements
New 2692 Forms
Levels of Casualties – Marine Casualty, Reportable, SMI
If you are in doubt regarding a Marine Casualty call the local Coast Guard and report the incident.
Things we covered today.
Please take a look and familiarize yourself with the CFR, MSM and NVIC
Immediate Reporting Requirements
The new 2692 forms, which can be found on our Homeport page
Levels of Casualties

22. Questions