Anatomy of a Marine Casualty Investigation( continued from page 17)
also often include cooperation between the Coast Guard and NTSB, which increases the complement of skills investigating the casualty. The NTSB and USCG will, however, issue separate reports.
Like the NTSB, the USCG’ s primary mission when investigating marine casualties is to determine the root cause( s) and to use the information gathered during the investigative process to consider promulgating new rules or advisories to prevent further casualties. Unlike the NTSB, the USCG will also determine if there were acts of negligence, misconduct, or other violations of federal law that contributed to or caused the casualty. And, if so, the USCG may refer the matter to the DOJ to determine if criminal charges are warranted.
Like the NTSB, the USCG will also designate parties-in-interest, which are typically individuals or entities that have a direct interest in the outcome of the investigation, i. e., owners, operators, licensed mariners, and others whose actions are under investigation. In a joint investigation, the USCG and NTSB will agree on the parties-in-interest. Unlike in an NTSB investigation, a party-in-interest in a USCG investigation may be represented by counsel at all stages, including when giving testimony. From the USCG’ s perspective, the primary role of a party-in-interest is to help the USCG gather the relevant facts. The USCG will request documents, access to computers and electronic data, and witnesses to testify. If an entity or witness is not voluntarily cooperating, the USCG has the authority to issue administrative subpoenas to require the production of documents and information and to summon witnesses for testimony. Testimony at a formal hearing, like a Marine Board of Investigation hearing, is usually open to the public unless it involves classified materials or affects national security.
After gathering all relevant information, including testimony given at the public hearing, the USCG will analyze the evidence to determine, as best as possible, what caused the accident. At the completion of the investigation, a Report of Investigation will be prepared by the LIO and his or her team. The Report will contain findings of fact, causal analysis, conclusions, and safety recommendations. Unlike the NTSB, a party-in-interest in a USCG investigation is not typically given an opportunity to comment on the Report until after it is finalized and submitted to the commandant of the Coast Guard for review and approval. The Report is released to the public once approved by the Commandant of the USCG.
Conclusion Marine investigations by federal investigative bodies can both aid and complicate a party’ s efforts to investigate the cause of a casualty. The existence of one or both of an NTSB and USCG investigation also can create separate compliance and cooperation obligations on the part of the various interested parties. It is critical, therefore, that an interested party understand both the similarities and differences between an NTSB investigation and a USCG investigation, as each has differing goals and different potential consequences for the parties.
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