PAGENO="0001"
SEAMEN DOCUMENTATION AND TOWBOAT
MANNING
f~is. G0V7 D~~iTOR\1
HEARING I
SUBCOMMITTEE CIN RUT~ 5 ~92
COAST GUARD AND NAVATI~IB~RJ
OF THE
COMMITTEE ON
MERCHANT MARINE AND FISHERIES
HOUSE OF REPRESENTATIVES
ONE HUNDRED SECOND CONGRESS
SECOND SESSION
ON
H.R. 4394
A BILL TO EXPAND THE REQUIREMENT FOR MERCHANT
MARINER'S DOCUMENTS FOR PERSONNEL ON TUGS
H.R. 3942
A BILL TO ESTABLISH REQUIREMENTS FOR MANNING
AND WATCHES ON TOWING VESSELS
MARCH 17, 1992
Serial No. 102-67
Printed for the use of the Committee on Merchant Marine and Fisheries
4M 53:Io2~tj7
U.S. GOVERNMENT PRINTING OFFICE ~2(L~ I ~6
55-369 t WASHINGTON : 1992
For sale by the U.S. Government Printing Office
Superintendent of Documents, Congressional Sales Office, Washington, DC 20402
ISBN 0-16-038542-3
PAGENO="0002"
COMMITTEE ON MERCHANT MARINE AND FISHERIES
WALTER B JONES North Carolina Chairman
GERR~( E STUDDS Massachusetts ROBERT W DAVIS Michigan
CARROLL HUBBARD JR Kentucky DON YOUNG Alaska
WILLIAM J HUGHES New Jersey NORMAN F LENT New York
EARL HUTTO Florida JACK FIELDS Texas
W J (BILLY) TAUZIN Louisiana HERBERT H BATEMAN Virginia
THOMAS M. FOGLIETTA, Pennsylvania JIM SAXTON, New Jersey
DENNIS M. HERTEL, Michigan HELEN DELICH, BENTLEY, Maryland
WILLIAM 0 LIPINSKI Illinois HOWARD COBLE North Carolina
ROBERT A. BORSKI, Pennsylvania CURT WELDON, Pennsylvania
THOMAS R. CARPER, Delaware WALLY HERGER, California
ROBIN TALLON, South Carolina JAMES M. INHOFE, Oklahoma
SOLOMON P ORTIZ Texas PORTER J GOSS Florida
CHARLES E BENNETT Florida ARTHUR RAVENEL JR South Carolina
THOMAS J MANTON New York SONNY CALLAHAN Alabama
OWEN B PICKETT Virginia WAYNE P GILCHREST Maryland
GEORGE J HOCHBRUECKNER New York JOHN T DOOLITTLE California
STEPHEN J SOLARZ New York RANDY DUKE CUNNINGHAM California
FRANK PALLONE JR New Jersey
GREG LAUGHLIN Texas
NITA M LOWEY New York
JOLENE UNSOELD, Washington
GENE TAYLOR, Mississippi
GLENN M. ANDERSON, California
JACK REED, Rhode Island
WILLIAM J. JEFFERSON, Louisiana
ENI F.H. FALEOMAVAEGA,
American Samoa
H. MARTIN LANCASTER, North Carolina
LUCIEN E. BLACKWELL, Pennsylvania
EDMUND B. WELCH, Chief Counsel
MARY J. Krrsos, Chief Clerk
GEORGE D PENCE Minority Staff Director/Chief Counsel
SUBCOMMITTEE ON COAST GUARD AND NAVIGATION
W.J. (BILLY) TAUZIN, Louisiana, Chairman
ELIZABETH MEGGINSON, Staff Director/Counsel
RUSTY SAvolE, Professional Staff
HARRY BURROUGHS, Minority Professional Staff
JACK REED, Rhode Island
WILLIAM J. HUGHES, New Jersey
EARL HUTTO, Florida
THOMAS R. CARPER, Delaware
OWEN B. PICKETT, Virginia
GEORGE J. HOCHBRUECKNER, New York
FRANK PALLONE, JR., New Jersey
GREG LAUGHLIN, Texas
NITA M. LOWEY, New York
GENE TAYLOR, Mississippi
GLENN M. ANDERSON, California
GERRY E. STUDDS, Massachusetts
H. MARTIN LANCASTER, North Carolina
WALTER B. JONES, North Carolina
(Ex Officio)
JACK FIELDS, Texas
DON YOUNG, Alaska
HERBERT H. BATEMAN, Virginia
HOWARD COBLE, North Carolina
JAMES M. INHOFE, Oklahoma
PORTER J. GOSS, Florida
SONNY CALLAHAN, Alabama
WAYNE T. GILCHREST, Maryland
ROBERT W. DAVIS, Michigan (Ex Officio)
(II)
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CONTENTS
Page
Hearing held March 17, 1992 * 1
Text of
HR 3942 43
H.R. 4394 46
Statement of
Abercrombie Hon Neil a U S Representative from Hawaii 3
Prepared statement 3
Brady John F Executive Director of Congressional & Legislative Affairs
District 2, Marine Engineers Beneficial Association-Association Mari-
time Officers (prepared statement) ................................................................... 255
Faber, Gary, Vice President, Operations-Pacific, Crowley Maritime Corpo-
ration 34
Prepared statement ................................................................................. 66
Farrell Joseph President American Waterways Operators 32
Prepared statement ................................................................................... 80
Fields Hon Jack a U S Representative from Texas 5
Gouveia John M Regional Director Inlandboatmen s Union of the Pacif
ic (prepared statement) 70
Grady Captain Frederic J Chief Merchant Vessel Personnel Division
U.S. Coast Guard ~ 5
Prepared statement ~ 51
Grill, Philip M., Vice President, Government Relations, Matson Naviga-
tion Company (prepared statement) ............................................................. 252
Jones, Hon. Walter B., a U.S. Representative from North Carolina, and
Chairman, Committee on Merchant Marine and Fisheries ......................... 24
Mink, Hon. Patsy T., a U.S. Representative from Hawaii ............................... 48
Offshore Marine Service Association (prepared statement) 73
Sacco Joseph Vice President Seafarers International Union of North
America AFL-CIO 26
Prepared statement 171
Studds Hon Gerry a U S Representative from Massachusetts and
Chairman Subcommittee on Fisheries and Wildlife Conservation and
the Environment 2
Tauzin Hon Billy a U S Representative from Louisiana and Chairman
Subcommittee on Coast Guard and Navigation 1
Walton John Executive Assistant to the President International Organi
zation of Masters Mates and Pilots ILA AFL-CIO 29
Prepared statement 62
Additional material supplied
Abercrombie Hon Neil
Article by Christopher Neil They huffed and puffed but tug still
stuck 264
Article by Christopher Neil Stranded tug awaits Saturdays tide 265
Court Case Civ No 89 609 RE in re Sause Brothers Ocean Towing 266
Farrell Joseph Compliance with Department of Transportation Coast
Guard Drug Testing Rules an AWO Guide For Marine Employers 84
Grad?r Captain Frederic J (U S Coast Guard)
Documenting Seamen on Uninspected Towing Vessels 10
"Oil Pollution Act Manning and Qualifications of Crew" ........................ 21
Cost of Expanding Requirements for Personnel 25
Inlandboatmen s Union of the Pacific Petitions in support of H R 3942 285
McSweeney, Daniel J.: Petitions in support of H.R. 3942 ................................ 258
Sacco, Joseph:
Appendix A: Statistical annex 181
(III)
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IV Page
Additional material supplied-Continued
Sacco, Joseph-Continued
Appendix B: Newspaper articles 189
Appendix C: Summary of National Transportation Safety Board Acci-
dent Reports 234
Appendix D: Characteristics of the U.S. Flag fleet, including Inland
Waterway Vessels 240
Appendix E: Characteristics of the Inland Waterways 245
Communications submitted:
Brower, Nicholas V.: Letter of March 12, 1992, to Hon. Jolene Unsoeld 284
Disley, Henry: Letter of January 17, 1992, to Hon. Nancy Pelosi 295
Franco, Joseph, Jr. (ILWU Local 142): Letter of February 24, 1992, to Rep.
Neil Abercrombie 294
Haistead, Captain Raymond A.: Letter of March 13, 1990, to Sen. Brock
Adams 278
Larson Captain Walter E Letter of March 7 1990 to Hon Brock Adams 271
Lowery, Captain William W.: Letter of March 8, 1990, to Rep. Jolene
Unsoeld 277
Lundeberg, Gunnar: Open letter of January 24, 1992, on H.R. 3942 293
McSweeney, Daniel J.: Letter to Representative Tauzin with petitions 00
Rasmussen, Captain Birger R.:
Letter of March 1, 1990, to Hon. Brock Adams 275
Letter to the Commander, 13th Coast Guard District 280
Rasmussen, John J.: Letter of May 29, 1990, to Hon. Brock Adams 276
Rodrigues Gary W Letter of January 15 1992 to Hon Daniel K Akaka 292
Saylor, Ron E.: Letter of March 12, 1990, to Hon. Robert Packwood 279
Schmidt Hardy Letter of September 17 1991 to Dear Sirs 282
Sorensen Viggo Letter of March 5 1990 to Hon Brock Adams 274
Williams, Perry L.: Letter of May 14, 1990, to Hon. Brock Adams 273
PAGENO="0005"
SEAMEN DOCUMENTATION AND TOWBOAT
MANNING
TUESDAY, MARCH 17, 1992
HOUSE OF REPRESENTATIVES,
SUBCOMMITTEE ON COAST GUARD AND NAVIGATION,
COMMITTEE ON MERCHANT MARINE AND FISHERIES,
Washington, DC.
The Subcommittee met, pursuant to call, at 10 a.m., in room
1334, Longworth House Office Building, Hon. W.J. (Billy) Tauzin
(Chairman of the Subcommittee) presiding.
Members present: Representatives Tauzin, Laughlin, Anderson,
Studds, Bateman, and Goss.
Also Present: Representative Abercrombie.
Staff present: Elizabeth Megginson, Staff Director; Rusty Savoie,
Professional Staff; Bill Wright, Professional Staff; Laurie Wilker-
son, Counsel; Catherine Gibbens, Clerk; George Pence, Minority
Staff Director/Chief Counsel; Harry Burroughs, Minority Profes-
sional Staff Margherita Woods, Chief Minority Clerk; Rebecca Dye,
Minority Counsel; Sherry Steele, Minority Professional Staff Ed
Welch, Chief Counsel; Cyndy Wilkinson, Counsel; Greg Lambert,
Counsel; Melanie Barber, Counsel; Sue Waldron, Press Secretary;
John Cullather, Professional Staff; and Jeffrey Pike, Staff Director,
Subcommittee on Fisheries and Wildlife Conservation and the En-
vironment.
STATEMENT OF HON. BILLY TAUZIN, A U.S. REPRESENTATIVE
FROM LOUISIANA, AND CHAIRMAN, SUBCOMMITTEE ON COAST
GUARD AND NAVIGATION
Mr. TAUZIN. The Committee will please come to order. The Sub-
committee meets today to receive testimony on two bills dealing
with maritime safety and merchant mariner requirements.
Among the many areas of oversight responsibility of the Subcom-
mittee on Coast Guard and Navigation is Coast Guard enforced
maritime labor standards. This Subcommittee takes very seriously
the concerns of the industry regarding safety; the concerns of
vessel operators and labor representatives alike.
On March 5, 1992, Chairman Jones introduced H.R. 4394, a bill
to expand the requirements of documented seamen.
On November 26th, 1991, Congressman Abercrombie introduced
H.R. 3942, a bill to establish requirements for manning and watch-
es on towing vessels.
(1)
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2
Currently, engineers, deck hands and cooks on vessels in the
inland waterway system are not required to be licensed by the
United States Coast Guard.
Given the increased automation of pilot houses and engine rooms
over the last two decades, standards of manning in both areas have
lessened.
We will hear testimony on both issues at today's hearing.
We welcome representatives of the Coast Guard, the Seafarers
International Union, the International Organization of Masters,
Mates and Pilots, the American Waterways Operators, and Crow-
ley Maritime Corporation. Additional testimony has been requested
for the record from each of the other nationally organized mari-
time labor groups and the Offshore Marine Service Association
We are pleased today to welcome back a former Subcommittee
Member, Congressman Neil Abercrombie I want to welcome you
and offer my appreciation to all of you for your attendance today
and appreciate those who are coming forward with testimony I un
derstand Mr. Fields is not here but I am sure he has a statement
for the record. Mr. Bateman.
Mr. BATEMAN. Yes, Mr. Chairman. Our colleague, Mr. Fields, is
being delayed in route from Houston He does have a prepared
statement. I would ask unanimous consent that it be included.
Mr TAUZIN Without objection, his statement and the written
prepared statements of all Members will be filed into the record
Congressman Studds
STATEMENT OF HON GERRY E STUDDS, A U S REPRESENTATIVE
FROM MASSACHUSETTS
Mr. STUDDS. I want to thank you very briefly for holding the
hearing. I am going to have to leave because of conflicting obliga-
tions of my own. I do want to say that I think for the past decade,
the full Committee and particularly this Subcommittee have
worked very hard to improve maritime safety.
We have done that to protect the public. The Oil Pollution Act is
an example of where we really have made a genuine difference
H R 4394 is intended to insure, as you know and as you said, the
safe operation of tugs, boats and barges in the inland waterways I
think what we are going to hear today is that, in spite of the ef
forts involved in the industry, the vast majority of the casualties do
seem to be attributable to personnel error, although the tests for
drugs does not strike me as an unreasonable proposition in that
setting.
I thank the gentleman. I apologize again for not being able to
stay.
Mr TAUzIN Any more opening statements9
Mr. BATEMAN. No opening statement but like my colleague from
Massachusetts, I am going to have to leave in a few minutes for
another Subcommittee meeting.
Mr. TAUZIN. You mean I got here just in time to say goodbye to
you guys?
Mr. BATEMAN. I will be here as long as I can, Mr. Chairman, but
please excuse me when I have to leave.
Mr. TAUZIN. Mr. Abercrombie.
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3
STATEMENT OF HON. NEIL ABERCROMBIE, A U.S.
REPRESENTATIVE FROM HAWAII
Mr ABERCROMBIE Thank you very much, Mr Chairman It is a
pleasure to be here. I have a statement which I will submit.
I think under the circumstances we should get right to the testi
mony Suffice to say, Mr Chairman, I do believe this is a question
of the value we are going to put on people's lives Plain and simple
that is what it comes down to and the value we put on the capacity
of the human dimension to operate in what otherwise seems to be
an era of technological marvel
When we honestly believe that there is a substitute for a real
human being constantly in charge while at sea, then these bills
really aren't necessary If we actually think that the technology
somehow will substitute for the human being then we needn't
bother about it and if we think that we can permit the chance, the
taking of a chance on anyone's life or lives, let alone the cargo and
the ships themselves, then we needn't have the bills either.
But if we consider both of them valuable, then I think we have to
take up the issues embodied in these bills and if there are some
problems and some difficulties in implementing them, we should
deal with them forthrightly.
If this is a question of cost, it is the question of the cost of human
lives and I think if there is a value that can be put on that that
anyone is willing to substitute themselves for, then they can step
up and volunteer.
But I have an idea that it would be very difficult for someone to
indicate that someone else should take the chance on their lives
while they stand in the background and wish them good luck.
Thank you very much
[The statement of Neil Abercrombie follows]
STATEMENT OF HON NEIL ABERCROMBIE A U S REPRESENTATIVE FROM HAWAII
Mr. Chairman, thank YOU for permitting me to participate in today's hearing on
tow boat staffing and merchant mariner documentation As a former Member of the
Merchant Marine and Fisheries Committee I can assure my interest in the man
time industry has not diminished in the least since I left the Committee As a
matter of fact the more I learn about the issues affecting the industry the more I
want to work cooperatively with the various groups to ensure we have the strongest
maritime in the world
Mr Chairman on November 26 1991 I introduced legislation which addresses
the serious abuse of marine safety As is the case in many areas the tow boats in
the Hawaiian Islands are currently running with only one staffer on the bridge and
at times no one in the engine rooms As you can imagine this can-and has-cre
ated some hazardous situations Although the majority of boats are equipped with
an automatic pilot these pilots can and often do malfunction In addition the
person on watch in the wheelhouse has the responsibility to navigate the ship and
transmit radio messages On some of these vessels the chart room and radio room
are away from the bridge Consequently there are times when the person on watch
has to leave his position
Through reduced manning we have been forced into a position where our crews
are reacting to emergencies rather than taking action to prevent them My legisla
tion H R 3942 stems from my concern that a one person watch may not be suffi
cient to comply with the lookout requirements under the navigation rules They
state every vessel shall at all times maintain a proper lookout by sight and hear
ing as well as by all available means appropriate in the prevailing circumstances
and conditions so as to make a full appraisal of the situation and of the risk of colli
sion It is my firm believe that electronics were never meant to replace the exper
tise of a qualified seaman Assist yes but replace no
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4
For the last several years, staffing of tow boats has been systematically reduced to
the point of jeopardizing our crew and our environment. The Masters, Mates &
Pilots stated before the Marine Board of the National Research Council, "It is our
strong belief that reductions in manning have had and will have a direct negative
effect on vessel operational safety... Automation onboard modern ships has not yet
reached the point where the necessity for maintaining the three watch system no
longer exists."
Some owners believe the money saved by having smaller crews than required by
law is greater than the cost of any violation penalty they may incur. However, what
cost does one attach to the loss of a crew member's life? Please, let's work together
to avoid such senseless and utterly avoidable incidents. I have read many letters
from mates, captains, and engineers who have pleaded for changes to be made. I
quote:
J. Mortimer, 1st Mate Tug Moana Holo, "I am aware that adding another man to
the crew adds a tremendous cost to the company, however, in my professional opin-
ion as a seaman the possibility of loss of life and/or damage to company equipment
far outweighs the added cost of an extra man onboard."
Birger R. Rasmussen, Assistant Branch Agent of the International Organization
of Masters, Mates & Pilots, Pacific Maritime Region, "No amount of schooling,
training, safety seminars, or automation can prepare a person to act and make im-
portant decisions when that person is overworked and fatigued. . . . The Coast Guard
has, by accommodating the shipowners' wishes of not have (sic) manning rules for
uninspected vessels, increased the risk of accidents, injury, and even death of
seamen."
Ron E. Saylor, licensed Deck Officer, ". . . we have to be very concerned about run-
ning the vessel as safe as possible. That is why a three-way system was established
in the first place. So that the Master and Mates (sic) decisions were not impaired by
fatigue. Now to go backwards is ludicrous at best."
Raymond A. Halstead, tugboat captain, "All of my peers feel as I do, that due to
fatigue and undermanning an accident is now a great probability. For the first time
in all my years in the industry, I now find myself wondering only when it will
happen."
William W. Lowery, tow boat captain, "Safe manning levels is the beginning
toward safety on the oceans. . . . The MIND is the best weapon against accidents,
and a rested mind is the best mind to make split second decisions that might avert a
disaster."
John J. Rasmussen, professional seaman, "It is sad that the companies now is (sic)
competing by cutting down on the manning, and that will not be changed unless we
get a manning law that clearly states how many people and in which capacity there
must be manning the vessels."
Viggo Sorensen Chief Mate we now have vessels plying the waters as time
bombs waiting for a major accident to happen... Cuts in manning is (sic), in my
opinion, not progress but gambling with the lives of seamen and with the environ-
ment."
Perry L. Williams, Chief Mate and Relief Captain, "Add up all the interruptions
to our short rest periods and you will find that we are overworked and tired. We are
required to make split-second decisions that can mean the difference between a suc-
cessful maneuver or a major disaster."
Walter E. Larson, Captain, "The companies (sic) rationale [to reduced manning] is
that they would love to have fully manned vessels operating with the three watch
system, thus everyone working eight hours a day but the demands of being competi-
tive prevent this. The answer to me seems fairly obvious that we must have en-
forced regulations, where all vessels have safe manning."
Hardy Schmidt, Master, "I feel that it is more than coincidence that these acci-
dents have occurred since towing companies have decided to man vessels in a sub-
legal manner... I think the one thing that we all learned from the Exxon Valdez
accident was that prevention is the best contingency plan."
Let's listen to the wisdom of these professionals and put the priority back on our
crew. Without them, there would be no industry.
Mr. Chairman, I commend your efforts on behalf of the marine industry and
thank the Subcommittee for its consideration of potential solutions to the current
abuse of marine safety. Let's not rely on Murphy's Law any longer. Thank you.
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5
STATEMENT OF HON. JACK FIELDS, A U.S. REPRESENTATIVE FROM TEXAS
Mr. Chairman, I would like to compliment you for scheduling this hearing on two
pieces of legislation which are purportedly designed to help improve safety on our
nation's waterways.
While this is the first time we have conducted a hearing on either of these issues,
it is clear that there is widespread support on this Subcommittee for doing whatever
we can to ensure the safe transportation of our waterborne commodities.
The first bill before us today, H.R. 4394, was recently introduced by the distin-
guished Chairman of our Committee, the Honorable Walter B. Jones. This legisla-
tion would require persons working on merchant vessels in excess of five gross tons
to obtain an appropriate Coast Guard merchant mariners document.While it is un-
clear how many people will be affected by this proposal, it is intended to improve
safety by subjecting these seamen to periodic drug tests and criminal background
reviews.
During the course of this hearing, it is my hope that we can ascertain how many
accidents are the direct result of "undocumented workers", how much it would cost
to implement these new requirements and what is the rationale for moving this leg-
islation before rather than after the Coast Guard completes a study to determine
the need for new statutory provisions.
Mr. Chairman, the second bill before us was introduced on November 26th by
Congressman Neil Abercrombie of Hawaii. This measure, which is strongly support-
ed by the International Organization of Masters, Mates and Pilots, would establish
requirements for manning and watches on uninspected towing vessels.
In their correspondence to me, the MM&P has noted that "the present manning
levels in the towing industry are extremely dangerous and place every master and
mate, who work long hours and are under considerable stress, in extreme jeopardy."
Mr. Chairman, I look forward to receiving the Coast Guard's assessment of H.R.
3942 and I would remind my colleagues that one of the lessons we learned from the
Exxon Valdez is that crew fatigue is an important factor in marine casualties.
Mr. Chairman, I am anxious to hear from our distinguished witnesses and again
compliment you for convening this hearing.
Thank you, Mr. Chairman.
Mr. TAUZIN. Thank you, Mr. Abercrombie. Any other opening
statements? Before Chairman Studds leaves, let the chair also ac-
knowledge the great work he has done as former Chairman of the
Subcommittee and he continues to do on the Committee.
His compliments to this Committee are returned in full measure
and we will, as I said, carry this hearing on in your absence with
the thoughts you have left us with.
Mr. STUDDS. I can stay longer if you want to pursue that line.
Mr. TAUZIN. We are pleased to welcome this morning our first
witness, Captain Fred Grady, the Chief of the Merchant Vessel
Personnel Division, United States Coast Guard. Captain, we look
forward to your testimony. Your written statement is a part of our
record and we would appreciate it if you would summarize for us so
we can get into a discussion with you of the issues. Captain Grady.
STATEMENT OF CAPTAIN FREDERIC J. GRADY, CHIEF, MER-
CHANT VESSEL PERSONNEL DIVISION, UNITED STATES COAST
GUARD
Captain GRADY. Thank you, good morning, Mr. Chairman and
distinguished Members of the Subcommittee. I am Captain Fred-
eric Grady, Chief of the Merchant Vessel Personnel Division, at
Coast Guard Headquarters. Accompanying me is Commander Chip
Boothe, United States Coast Guard. He is Chief of the Vessel Man-
ning Branch, Coast Guard Headquarters.
United States Code, Section 8701 requires that vessels of 100
gross tons operating in oceans or harbors have merchant mariners
aboard who hold merchant mariner's documents. Vessels of less
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6
than 100 tons on oceans or in harbor service do not have to have
documented seamen, nor do tugs operating on rivers, regardless of
their size.
H.R. 4394 would require personnel on these smaller ocean and
harbor tugs to hold merchant mariner's documents and will re
quire those personnel serving on river vessels to hold merchant
mariner's documents. All towing vessels over 26 feet, however, are
required to be operated by licensed personnel, regardless of where
the vessel is operating, whether it be oceans, harbors, or rivers
Every towing vessel over 26 feet is operated by licensed person-
nel All persons on tug boats, tow boats-depending upon the
waters, the terminology varies-are required, whether they are
documented or not, to be subject to pre employment drug testing,
reasonable cause drug and alcohol testing, post casualty drug and
alcohol testing, and random drug testing if they are in a safety-sen-
sitive position
Whether or not they hold a merchant mariner's document has
no influence. The only difference between the undocumented
seaman and the documented seaman is that when the individual
who holds a document applies for a rating that is something above
the entry level, the person is subject to a physical and that physi
cal must include a drug test, which we call periodic drug testing If
that individual were to renew that document, he would again be
subject to a periodic drug test Again, a drug test accompanies a
Coast Guard required physical
Applicants for a merchant mariner's document must travel to a
regional exam center, of which there are 17 throughout the coun
try, and present themselves in order to apply for a merchant mari-
ner's document. They must present evidence of citizenship and
commitment of employment, or evidence of prior military sea serv-
ice, and be fingerprinted so that we may use those fingerprints to
obtain an FBI criminal record check.
That criminal record check is used solely to determine whether
or not a person has been involved in drugs. Other conduct and
other convictions do not have a bearing on the issuance of a mer
chant mariner's document So the record check is just used to de
termine if there has been a conviction of violations of dangerous
drug laws.
Also, as a result of OPA-90 we now have access to the National
Driver's Register (NDR) to see if there have been any convictions of
any reportable offenses. H.R. 4394 would make criminal records
available to us that we do not have access to in regard to the unli
censed and undocumented seaman, make the availability of NDR
records, and would provide sanctions through the Coast Guard's au-
thority to suspend or revoke an issued merchant mariner's docu-
ment.
As far as statistics go, the statistics-I think some of the other
witnesses are using Coast Guard statistics-indicate that 58 per-
cent of the accidents on towing vessels are attributed to human fac-
tors. However, the statistics do not discriminate between the li-
censed people and unlicensed, so I don't know how many undocu-
mented people may have caused or contributed to casualties. How-
ever, the fact is 93 percent of the casualties occurred on board
PAGENO="0011"
7
towing vessels that are required or at the time were required to
have a licensed operator.
The other 7 percent are miscellaneous casualties that we could
not place in a category or were towing vessels that at the time of
the casualty did not require a licensed operator to be on board,
such as when it was moored or out of service, and then a few of
these would be attributed to towing vessels less than 26 feet, which
do not require licensed personnel.
In the area of pollution, anybody that is involved in the transfer
or handling of oil or hazardous material is currently required to be
licensed or documented by the Coast Guard, so the requirements in
the provisions of H.R. 4394 do not extend to those people because
they are already required to be documented.
The Coast Guard does not have any data that indicate a need to
require undocumented personnel on towing vessels to be document-
ed. That is not to say there is not a problem. We are just not aware
of a problem and we don't know whether or not there would be a
positive cost-benefit to requiring these people to be documented.
Therefore, we suggest that a study be conducted to determine if
there is a need for this requirement. In the area of H.R. 3942, that
bill would impose new working conditions on personnel, increased
manning on tow boats, and working requirements.
46 U.S.C. 8104 prohibits personnel on vessels over 100 gross tons
from working alternately in the deck department and engine de-
partment. H.R. 3942 would extend this prohibition to tugs and
remove it from the other vessels over 100 gross tons. Coast Guard
supports removing this prohibition against working between de-
partments on all vessels.
This prohibition, commonly referred to as the cross-over rule, is
an obstacle to more efficient manning onboard merchant vessels in
general. We support someone being onboard tow boats with engi-
neering skills. Whether that person be licensed or unlicensed
should be the subject of a review.
In many cases it may not be necessary that they be licensed-
having engineering skills may be quite adequate. To require engine
rooms on all tow boats, regardless of their size, service, horsepower
and arrangements, to be manned seems to be too broad. On some
towing vessels, the general arrangement of the engine room is so
confined that it would be nearly impossible to man the engine
room.
On other towing vessels, the propulsion machinery is less sophis-
ticated than some automobiles. It is simply an engine sitting on
some stringers with a shaft and a propeller, and there may not be
a need to have somebody in attendance at all times.The majority of
the tow boats have pilothouse control where the vessels can be op-
erated from the pilothouse without anybody in attendance in the
engine room.
H.R. 3942 would also require three watches on all voyages of
more than 200 miles. Again, the Coast Guard does not have infor-
mation to indicate that there are problems with tow boats making
voyages in excess of 200 miles and maintaining the two-watch
system.
The provision allowing a two-watch system on voyages up to 600
miles has been in existence since 1936 and again, we feel that we
PAGENO="0012"
8
need a study to determine if there is, in fact, a problem that needs
to be addressed.
I would like to go back to the cross-over rule for a moment if I
may. I think the negotiated contracts and work hour limitations
and things of that nature provide adequate safeguards in regard to
overwork, and that the prohibition against working between de-
partments is something that is no longer necessary and that could
be eliminated.
That is a summary of my statement. My complete statement will
be submitted for the record and I will answer any questions you
have.
[The statement of Captain F.J. Grady can be found at end of
hearing.]
Mr TAUZIN Thank you very much, captain Captain, has your
office made any estimate of how many individuals would be affect-
ed by the enactment of 4394.
Captain GRADY No, we haven't We have made some inquiries
but I don't know what the number will be. I saw a number of 3,000
vessels; if you assume that there are somewhere between four and
seven undocumented crew members per vessel and maybe one-and-
a-half crews per vessel, we could probably come up with some esti-
mates of about 30,000 people, but that is just a-
Mr. TAUZIN. Rough.
Captain GRADY. Yes.
Mr. TAuzIN. Obviously increased documentation requirements
have a direct goal and a direct benefit. Would one of the collateral
benefits be better record keeping regarding accidents and causes of
accidents?
Captain GRADY. I don't believe so.
Mr. TAUZIN. You testified today that your records are very diffi-
cult to read in terms of whether or not accidents were caused by
documented or undocumented licensed or unlicensed personnel.
You are assuming, I think probably correctly, that most of them
were caused by actions of a licensed personnel since 93 percent oc-
curred on vessels with a licensed man in charge, but your records
obviously are short as to defining exactly that problem.
Would you get better record keeping if there was greater docu-
mentation?
Captain GRADY. I don't think we would have better record keep-
ing. We investigate all the accidents, whether the personnel in-
volved are documented or not documented. The problem is that our
forms and submissions in the past were not such that this informa-
tion could be obtained. We are now revising our investigative pro-
cedures and the information that we are gathering so that we can
obtain this. It is just that it wasn't broken out in that form.
Mr. TAUZIN. In terms of the argument regarding seamen who
have been removed from their function because of some drug or al-
cohol violation, do you have instances where they have been reem-
ployed elsewhere within the industry? Do you have knowledge of
that or is that just a concern?
Captain GRADY. We have evidence of isolated incidents. As a
matter of fact, we have a case at Coast Guard Headquarters involv-
ing someone applying for administrative clemency, whose docu-
ment was revoked with regard to drugs. During the revocation
PAGENO="0013"
9
time, this person obtained employment on a fishing vessel which
does not require documented seamen, I am sure there are other iso
lated incidents.
We don't have any statistics to show that there is a large
number.
Mr TAUZIN At the current time it is anecdotal only, but you
know of instances
Captain GRADY Yes, sir
Mr TAUZIN Do you see any seamen that do not perform func
tions or duties directly related to the safe operation of the vessel
who are subject to random drug testing?
Captain GRADY The Coast Guard did, in our original rule, re
quire all personnel on merchant vessels to be subject to random
drug testing The courts determined that an individual's right to
privacy exceeded the necessity for random drug testing if they did
not serve in safety-sensitive positions. So that is where we are
today.
Mr. TAUZIN. So that is where you are today.
Captain GRADY. Yes.
Mr TAUZIN Do you see any benefit in requiring the undocu
mented mariners to be subject to a FBI criminal record check or
check with the National Driver Registry without the. full gambit of
licensing requirements?
Captain GRADY. That would be would an advantage, yes, to deter-
mine whether or not they had criminal records.
Mr. TAUZIN. Absent full licensing requirements, would it be an
advantage simply to require them to submit to the FBI criminal
records check and to the National Driver Register?
Captain GRADY Yes, there would because you wouldn't have to
go through the full documentation procedure and the employer
would be aware of whether or not that individual had a criminal
record There would be an advantage
Mr TAUZIN In your argument eliminating the cross over restric
tions, you make the point that collective bargaining and similar ar
rangements exist which would protect mariners in the absence of
Federal guidelines What oversight does the Coast Guard have to
insure that mariners are not overworked and therefore fatigued
and therefore subject to human error in the absence of some Feder
al guidelines in this area?
Captain GRADY The cross over rule does not address fatigue or
anything like that It simply says an individual who is assigned to
the deck department may not go over and work in the engine de
partment
Mr TAUZIN Of course it is related to how much work an individ
ual has on a vessel and it has some relevance to fatigue
Captain GRADY. Yes, sir. There are statutes where maximum
work hours are described For instance, in most cases, the individ
ual may not be required to work more than eight hours In some
cases, there are limitations such as those in the Oil Pollution Act,
which imposes a 12 hour work limitation on all tank vessels, there
are also regulations concerning proper watch standing
So if the work hour limitations that are in place were adhered to
and enforced, they would tend to reduce fatigue
PAGENO="0014"
10
Mr. TAIJZIN. Finally, Captain, in your opinion, is the Coast Guard
physically prepared to handle increased Merchant Marine docu-
mentation?
Captain GRADY. We would need some additional resources as-
signed to the program to handle this, particularly if it was to be
implemented in a single year. I estimated if it was phased in over
five years, we would need a modest increase in resources.
Mr. TAUZIN. One of the things we constantly are concerned about
is the fact Congress continues to load Coast Guard down with new
requirements and new jobs, new missions. And we never seem to
provide enough resources for you to carry it out.
I am concerned that you don't have an estimate yet of how many
individuals would be affected and we don't have a real hard
number to look at in terms of increased Coast Guard resources nec-
essary to carry it out. I am sure you can't provide that off the cuff
today but perhaps you could submit for the record for us at least
some closer estimates if you don't mind on what it would-how it
would impact Coast Guard resources, how many individuals you
think would be affected, what are the effects on the Coast Guard
given a one year, two-year, five-year implementation program of
these increased requirements so we can get some idea of what we
are loading you down with as we proceed.
[The information follows:]
DOCUMENTING SEAMEN ON UNINSPECTED TOWING VESSELS
According to the best available information, documenting seamen of uninspected
towing vessels upon inland waters will require the issuance of approximately 30,000
documents.
Assuming this constant number of persons will be employed in the industry ap
proximately 6,000 will be required to renew their documents each year on a five-
year cycle. In order to accomplish this task, the Coast Guard estimates 14 additional
billets or positions (12 for the field and 2 for Headquarters staff) will be required
costing approximately $504,000 annually (14 staff x $36,000).
The average issuance time for an original entry rating document and renewal is
2.2 staff hours. In addition, approximately 15% of all applicants will test for a quali-
fied rating which will require 7.1 staff hours per transaction. Approximately 5% of
the documents issued will be duplicated, requiring 2.1 staff hours per transaction.
A major concern would be the period of time allocated to implement the program.
If the program was implemented in conjunction with the five-year renewal cycle,
the increase in billets and positions would remain 14 resources. If implementation
was performed in a two-year period, the initial workload for that period would be 33
resources (29 for the field and 4 for Headquarters staff). If implementation was per-
formed in one year, the initial workload for the period would be 65 resources (58 for
the field and 7 for Headquarters staff). Each alternative imposes additional in-
creases in costs. The Omnibus Budget Reconciliation Act of 1990 requires that ac-
tivities conducted under Title II of 46 USC be subject to user fees. As these activities
are conducted under Title II of 46 USC, we would have to impose user fees to offset
the costs of the required resources.
Captain GRADY. Yes, sir.
Mr. TAUZIN. Thank you, captain.
Mr. Bateman, questions.
Mr. BATEMAN. Thank you, Mr. Chairman.
Captain, one of the things that I am not sure that I have a very
good handle on is the problem of if you don't have documentation
on these people, how do you identify them in order to perform all
of these checks that you say are required of the undocumented per-
sonnel?
PAGENO="0015"
11
Captain GRADY Concerning the checks I mentioned to you, are
you referring to the testing while onboard the vessel or someone
applying for a document?
Mr. BATEMAN. You made reference to personnel who are undocu-
mented being subject to drug tests and various other kinds of
checks and tests. But if they are not documented, how do you know
who to test?
Captain GRADY That is the responsibility of the company The
companies administer those programs, and the master of the vessel
is directly responsible to the Coast Guard to see that it is done If
we go aboard a vessel during a boarding program and find out the
people on the vessel are not adhering to the drug program, we take
action against the master's license. The companies are the ones
that are administering the program.
Mr. BATEMAN. So through your Coast Guard enforcement activi-
ties, you do, in fact, check on whether or not undocumented per-
sonnel are being tested for drugs and for the other factors that you
mentioned?
Captain GRADY. We don't have the personnel to go out and have
an active boarding program on uninspected vessels The responsi
bility rests with the master, and if we become aware of a problem
in a particular area of the industry, we would investigate it, but we
are not routinely boarding towing vessels looking for this
Mr. BATEMAN. If you become aware?
Captain GRADY. Yes.
Mr. BATEMAN. You can get a handle on it? But you have no pro-
gram in place to make sure that you are generally aware of prob-
lems.
Captain GRADY. Yes, people make us aware of the problem. Yes,
sir
Mr BATEMAN Thank you, Mr Chairman
Mr TAUZIN Thank you, Mr Bateman Mr Abercrombie, do you
have any questions9
Mr ABERCROMBIE Thank you Good morning, Captain
Captain GRADY. Good morning.
Mr ABERCROMBIE I am really pleased t~hat you are here Your
record indicates that you are probably the best qualified person
here to talk about safety I want to refer you to your text on page
five and I hope you will indulge me a little bit because I think you
are far more expert at~ this, and I am coming at it from a legisla
tive point of view and I hope you understood from my opening re
marks the context that I am concerned with has to do with safety
from a lay person's point of view coming into this and trying to
figure out what the right thing to do is legislatively
You state there, "to the extent that this' -I make those prelimi
nary remarks because I want you to know I am not trying to pull
things out of context I am trying to get some amplification for con
text, OK~
Captain GRADY Yes, sir
Mr TAUZIN On page five you state in the second paragraph, "To
the extent that this bill' -I am referring to 4392-.-' would lessen
crew fatigue, the Coast Guard endorses its purpose" Then you go
on in general to cite some of the instances where you feel that
there may be some economic impact as such
PAGENO="0016"
12
Laying that aside for the moment as to what the economic
impact might or might not be does that sentence in effect summa-
rize the Coast Guard's view of the bill from a safety point of view
that it would lessen crew fatigue if the provisions of this bill were
implemented?
Captain GRADY. Well, in those areas of the bill that would actual-
ly lessen fatigue, we certainly support that concept, yes.
Mr. ABERCROMBIE. OK. Let me go to the next paragraph then.
You state as written, H.R. 3942 would apply this prohibition. This
is again, seamen alternately working in deck and engine depart-
ments. The prohibition of all towing vessels regards-would elimi-
nate the prohibition of other classes of vessels. Now, you are in
favor of this, right?
Captain GRADY. We favor eliminating the cross-over prohibition
across the board on all vessels, including not applying it to towing
vessels.
Mr. ABERCROMBIE. Not applying it.
Captain GRADY. Not applying it and eliminating it from other
vessels, yes.
Mr ABERCROMBIE I see When this was put together, I think, Mr
Chairman, this could be considered an error at the time because we
didn't want to get into those kind of waters, pardon the pun. I
mean no pun intended, but I want to tell you that it was not-
whether it is currently necessary or not I think is subject to modifi-
cation possibly and certainly subject to review.
So I didn't want to mislead you in the intent of the bill. We
really didn't intend to get into that area with it. But your points
are well taken and certainly should be reviewed, so I wanted to in-
dicate that for the record, Mr. Chairman.
Mr. TA!JZIN. Thank you.
Mr. ABERCROMBIE. Could you amplify a little bit on page six then,
the second paragraph, your statement, however, we feel the re-
quirement for a manned engine room on towing vessels, regardless
of the level of automation, is overly restrictive in that context?
Captain GRADY. Well, the size, the general arrangement, the
routes, and the type of operations, tow boats and towing vessels are
involved in are very varied and diverse.
Mr. ABERCROMBIE. Does that go back to your summary where you
said that some of the vessels simply by virtue of the way they are
constituted don't readily lend themselves to this kind of legisla-
tion?
Captain GRADY. Yes.
Mr. ABERCROMBIE. Is that a fair statement?
Captain GRADY. Yes.
Mr. ABERCROMBIE. Would there be some way to deal with this
legislation, perhaps, where some of the smaller vessels or some of
the kind of arrangements that you mentioned in your summary did
not apply?
What about some of the larger vessels that the kind of descrip-
tion you gave did not apply to?
Captain GRADY. I think it is not unreasonable to expect some-
body in the vessel's crew to have some engineering skills and to be
able to respond to mechanical difficulties onboard the vessel and
down in the engine room. But to require that person to be sta-
PAGENO="0017"
13
tioned in the engine room may not be appropriate for all vessels
and to require that person be licensed may not be necessary But to
have an adequate skill level to address engineering problems and
be able to service the propulsion equipment on the vessel may not
be unreasonable
Mr ABERCROMBIE OK, let me move to page seven then, second
paragraph. It says, you say, the Coast Guard has no data which
would indicate the number of bridge watchstanders currently being
employed in this industry is unsafe or the two-watch system on the
vessels for voyages under 600 miles is unsafe You go on to say, al
though the Coast Guard does not object to these amendments, we
do have reservations concerning the need for them
That is a very politic statement, but-and I don't want to put
words in your mouth and that is why I am asking you the question
If you don't object to the amendments, presumably on the grounds
that they might increase-could be construed as increasing the
safety factor, reducing the fatigue factor, perhaps enhancing the-I
won't say certainty, because I expect where the sea is concerned
you can't be certain of anything other than the fact that you are
going to have to be alert every single second, but certainly increas-
ing the confidence factor
I don't really understand then in the second part of the sentence,
we have reservations concerning the need for them What consti
tutes the reservations? Does that go on to the rest of your testimo
ny about cost and those kinds of things?
Captain GRADY Whether or not there is, in fact, a problem with
the crewing levels on vessels making voyages of up to 600 miles
and whether this is the way to address that problem and whether
there would be a positive cost benefit in addressing it in this
manner, I don't know because we don't have the data
Mr ABERCROMBIE What is the magic? Maybe you could fill in for
me If you could indulge me a moment or two more, Mr Chairman,
I would appreciate it
Mr TAUZIN Surely
Mr ABERCR0MBIE What is the magic in the 600 figure for a lay
person like myself? I don't quite understand it The reason I am
thinking about it, you take the waters in the Hawaiian Islands, for
example, you get out six miles and you are dealing with current
changes and weather changes that are extraordinary that require
an alertness and an understanding of the waters and the conditions
that are something that the casual sailor, for example, just simply
isn't going to be able to deal with
So 600 miles doesn't really mean much there Isn't it really the
kind of water that you are in and the changing conditions or the
rapidity with which conditions can change that counts as opposed
to mileage per se? Over and above the fatigue factor now
Captain GRADY I would say probably back in 1936 when that
provision was put in the statute, some determination was made
that individuals could stand six hours on watch and six hours off
With two people covering the entire day, they could probably stand
an alert watch, alert for all these types of things that you describe,
for a period that it would take a towing vessel to run 600 miles,
and then after that it probably would have to be a three watch
system.
PAGENO="0018"
14
Mr. ABERCROMBIE. So it was probably associated with fatigue and
alertness over a period of hours, right?
Captain GRADY. Yes.
Mr. ABERCROMBIE. But you would not dispute whether it is 600
feet or 600 yards or 600 miles that, if conditions got very rough or a
decision was necessary, it doesn't matter. The length of time
doesn't matter.
The decision as to what to do or not to do is not a function of
length of time?
Captain GRADY. Correct. I mean, the person has to be capable of
making that decision at the beginning of the voyage and at the end
of the voyage.
Mr. ABERCROMBIE. So the reason I am getting to that or the
reason I am going over it is that I have been very leery of this au-
tomation. I am thinking now about personnel.
CaptainGRADY. Yes, there is a fatigue factor.
Mr. ABERCROMBIE. I am also thinking about the need, whether fa-
tigued or not, to be able to have someone able to deal with, say,
engine problems and at the same time be capable of keeping a
watch on what is going on the surface.
Captain GRADY. I am not sure that I understand your point
there.
Mr. ABERCROMBIE. See, one of the arguments that come up in
some of the other testimony, and I think you have alluded to it, is
that we are talking about a cost factor here of extra personnel.
And to me I am thinking, what is the-how can we bring up
cost? I mean, if that has to be paid and it has to go to customers
who are utilizing the services, that is a cost that should be borne if
it, in fact, is going to assure the safety of the vessel and the safety
of the crews, because you have people capable of making decisions
in a position to make those decisions as a result of their placement
on the vessels, and that if we are talking about the sophistication
of modern technology being a substitute for human beings actually
being in place to make those decisions, I am very leery of it. I don't
trust modern technology.
Captain GRADY. That is not the case on the bridge of a ship. The
navigating officer must be on the bridge of a towing vessel at all
times. Where you have modern technology coming into play is in
assisting the navigating officer with the information that he or she
is receiving.
It is also being placed in the engine room on a deeper draft
vessel, with vessels being allowed to operate where the engine
room is unattended because of the automation.
Mr. ABERCROMBIE. What if something goes wrong in that engine
room?
Captain GRADY. If I could just finish.
Mr. ABERCROMBIE. I'm sorry.
Captain GRADY The 600 mile and the two watch rule do not
apply to the engine room. It is just on the bridge of the tug and
somebody has to be in attendance at all times. So the 600 mile and
the automation may not be directly related.
Mr. ABERCROMBIE. OK. In the end then, on page eight you say
the provisions of both of these bills result in significant impact on
the towing industry in terms of direct operational expenses, but
PAGENO="0019"
15
asking you to set that aside for a moment, your testimony nonethe-
less, if I am being fair with you, is that the provisions themselves,
except for the instances that you have cited, do not-strictly from
the safety point of view and the proper operation of the vessel, the
Coast Guard does not have objections, is that a fair summary? Set-
ting aside that last point about operational costs?
Captain GRADY. Yes. The Coast Guard certainly supports any-
thing that would improve safety.
Mr. ABERCROMBIE. So if we can take care of the issue of seeing to
it that the Coast Guard is able to have sufficient resources, suffi-
cient staffing to be able to carry out the provisions of these bills
with respect to inspection and so on and we take up separately the
issue of operational costs, the Coast Guard feels that these bills in
and of themselves then, aside from those factors, are good bills to
pursue?
Captain GRADY. Not exactly. In addition to Coast Guard costs, we
are concerned about industry costs and not placing burdens on the
industry that don't have a benefit. We feel that we need to take a
look at this, study it and see if there really is a need for these
things that are suggested in the bill.
Mr. ABERCROMBIE. One last point and this is-comes from the
Seafarers' union testimony so I am not going to ask you to com-
ment as if you are agreeing necessarily with the numbers I am
going to give you. You have to take a look at it and make your own
evaluation as to the numbers, but in the Seafarers' testimony they
talk about, I am quoting now, casualties involving tow boats under
300 gross tons numbering some 8,000 of which 5,000 were attrib-
uted to personnel causes.
When you talk about studies, don't you have quite a bit in the
way of statistics as to-with respect to accidents and casualties and
so on that-
Captain GRADY. Well, we do. We do have a lot of figures. That is
where those figures came from, but again, we don't have a break-
down as to whether people such as the cook or the unskilled deck-
hands and others that are onboard the tow boats caused or contrib-
uted to the effects of these casualties or whether it was the licensed
people. I think that is what we would have to sort out.
Mr. ABERCROMBIE. Thank you, Mr. Chairman.
Mr. TAUZIN. Thank you, Mr. Abercrombie. Mr. Goss.
Mr. Goss. Thank you very much, Mr. Chairman.
Captain I wonder if in a word you could explain to me the differ-
ence between documented and licensed.
Captain GRADY. A document is a card issued to a mariner that is
used as an identification card and it indicates that the mariner has
met certain Coast Guard requirements. The entry level mariner
has not demonstrated any sea-going experience or any skills. The
document indicates that he or she has proven citizenship or evi-
dence of legal entry into the United States with the Immigration
and Naturalization Service, has obtained a job and there is a need
for this merchant mariner's document, has passed a pre-employ-
ment drug test, and we have reviewed the criminal record and Na-
tional Driver's Register to determine whether or not that person
has been involved in a violation of dangerous drug laws or has an
apparent alcohol problem or convictions such as DWI.
PAGENO="0020"
16
Individuals may progress from the entry level to a more skilled
level such as able seaman and qualified members of the engine de-
partment. Those people, after serving a required amount of sea
~time, demonstrate their abilities by completing a professional ex-
amination
Then you go to the licensed individual These people are the su
pervisors onboard the ship-the master and the deck officers and
the engineers. They supervise the navigation watch. They supervise
the activities in the engine rooms. They direct the activities of the
documented people.
Mr. Goss. And they are accountable.
Captain GRADY. They are accountable, yes.
Mr. Goss. Thank you, very much.
The issue to me here trying to balance out a question of safety
and redundancy in both of these areas and obviously we are all in-
terested in safety. I know that in testimony we are going to receive
in written testimony that a statement has been made that the data
of the U.S. Coast Guard shows that 93 percent of all towing vessel
casualties involving quote, personnel area, occur with a licensed in-
dividual in charge.
Is that probably accurate or not?
Captain GRADY. I believe so, yes.
Mr. Goss. What do we get bypassing this legislation that en-
hances safety if that is the case? What is wrong with our licensed
personnel if we are having that type of a statistic or flipping it
over, what else are we going to get if we pass this legislation to
enhance safety?
Captain GRADY. The 93 percent reflects the requirement that all
towing vessels have licensed personnel onboard. Nearly all tow
boats do have licensed personnel. So if you have a casualty, there is
going to be a licensed person onboard the tug unless it is less than
26 feet.
That is a very small tug boat and there are probably not many
around. The other instances I mentioned earlier were where the
vessel was laid up, in dock, and the licensed person wasn't required
to be there.
To require all of the individuals to hold a merchant mariner's
document, that is, the entry level rating, I don't know how that is
going to reduce the number of casualties I don't think it will
Mr. Goss. Is that why you are suggesting that we need to have a
study?
Captain GRADY. Well, again, the entry level people are not re-
quired to demonstrate any skills, so if they are contributing to the
casualty, just to require them to carry an identification card is not
going to reduce casualties based upon their professional abilities.
Now, if it precludes someone who is a drug user from entering the
industry, that might reduce the occurrence of a casualty, if it is a
result of drug or alcohol consumption.
Mr. Goss. There is-a suggestion has been made that document-
ed seaman who have been suspended by the Coast Guard who don't
measure up with these abuse problems continuing to work on the
inland waterways now and get jobs and therefore that may lead to
a disproportionate number of problem areas in the inland water-
ways.
PAGENO="0021"
17
Is that a statement you agree with9
Captain GRADY Is that related to professional abilities or some
thing else9
Mr Goss I would say alertness of the crews
Captain GRADY If an individual is fired today, as with someone
working for an auto towing company, they could go down the road
and apply for a job at another towing company My familiarity
with the maritime towing industry is that they do not hire and put
people onboard these vessels in charge of equipment worth multi
millions of dollars without checking on their backgrounds, without
looking for references, without finding out what prior experience
they had and they go back to the other companies to check. I don't
believe they just hire people off the street without any credentials
and a resume and put them in safety sensitive positions or other
positions.
Mr Goss What-going back to your area of expertise in the
Coast Guard, understanding these things, what accidents wouldn't
happen if we passed both of these pieces of legislation9
Would you see a dramatic change in your accident statistics9 Are
there certain types of accidents that we would expect would no
longer happen?
Captain GRADY Again, H R 4349 would require an individual to
carry a document in their pocket It doesn't improve their profes
sional ability so I don't think there would be a dramatic change as
a result of that in itself
Mr. Goss. So you don't think it would do anything except en-
hance redundancy or red tape?
Captain GRADY It will do something in the area you identified
earlier, through sanctions We could suspend or revoke that docu
ment which would preclude the person from going to work for an
other company if that person was found guilty of some violation of
law
So in that respect it could be helpful But because there are no
training or professional requirements, I don't see that it would
reduce any casualties related to performance of duty
Mr Goss How about in the other piece of legislation, the watch
question9
Captain GRADY When you are talking about increasing the num
bers of people on a towing boat, certainly someone could say the
more people onboard, the more people that are available to do
things
If there is a requirement placed on the industry to increase the
watch system from a two watch system to a three watch system, we
are increasing the manpower by 50 percent in the area of watch
standing 50 percent crew increase, some people would argue, could
contribute to safety because there are more people available to do
the job
But as I mentioned earlier, we don't have any casualty data that
we were able to break out to show that there is a big problem in
the area of vessels making 600 mile voyages with the two watch
system or using the cross over policy We haven't seen any evi
dence of where an individual was hired as a deck hand, was put to
work in engine spaces, and it contributed to a casualty.
PAGENO="0022"
18
The area of requiring two people on the bridge is another con-
cern because of the way the bill is drafted. The bill specifies that
the watchstander will be positioned alongside the master or the op-
erator.
Traditionally, the master of the vessel determines when watches
need to be set, how the watches will be set, and where the individ
uals will stand the watch, and that is based upon weather condi
tions and things of that nature To legislate that the individual will
be placed on the bridge is of concern to us.
Having a requirement to have individuals available to supple-
ment the watch when necessary certainly is prudent but I don't
think we ought to prescribe where the watch standers should be
stationed. So I think, again, until we have some data to show
where the needs are, it is hard to say.
Mr. Goss. You suggested that we have a study on these safety
provisions is your recommendation?
Captain GRADY. Yes.
Mr. Goss. I think it is a little refreshing to hear you suggest that
perhaps the master of the vessel on the scene might have a little
more judgment than a Subcommittee of the United States Congress
I realize it may be radical but I congratulate you for saying it. I
agree with you.
Thank you, Mr. Chairman.
Mr. TAUZIN. We will turn to another master, Mr. Anderson from
California.
Mr. ANDERSON. Thank you, Mr. Chairman.
My first question I have to ask the Coast Guard representative
and Captain Grady, that is you did answer both my questions once
a little bit. H.R. 4394 would require all individuals employed on
tugs, tow boats and barges on inland waterways to have merchant
marine documents.
Will the Coast Guard be able to handle this increased adminis-
trative time and cost required by this legislation or will additional
funds be needed to fulfill this expanded administrative role? I
know you answered this partly before, I think your answer was
something, well, it would be a modest increase.
Well, I have been involved for a long time. Every time we have
increased, no one has ever referred to it as modest, and usually
they don't like them regardless of how small or what it is. I just
kind of wondered if you thought it would be that easy.
Captain GRADY. No, it wouldn't be that easy. Again, we don't
know the numbers, but assuming that there were 30,000 individ-
uals that had to be documented and they could be phased in over a
five-year period, then we estimate we need about 13 more people to
assign to our field units to handle that. I saw in some document
where it was a suggestion that this all might be placed on the St.
Louis office because St. Louis is the regional examination center on
inland waterways, but this burden will not be restricted to those
tow boats on the rivers.
All towing vessels over 26 feet long that are at shipyards and are
used for moving floats around and things of that nature will be im
pacted by this It is going to also be harbor tugs, docking tugs, and
sea-going tugs that are less than 100 gross tons, so it is not limited
to the river industry or the St. Louis office. This will be nation-
PAGENO="0023"
19
wide. We will have to place people in all of our 17 regional exami-
nation centers, or at least the majority of them, to accommodate
these people.
Mr. TAUZIN. Will the gentleman yield a second?
Mr. ANDERSON. Sure.
Mr. TAUZIN. Does that mean you are going to be asking us to ap-
prove some fees again?
Captain GRADY. No. But certainly this will extend the current
user fee to include this increased population of people.
Mr. TAUZIN. User fees will go up to accommodate this increased
demand?
Captain GRADY. What I was saying, we are going to collect user
fees from more individuals. All these people would have to pay for
this service.
Mr. TAUZIN. That is the point. There will be a fee.
Captain GRADY. Yes.
Mr. TAUZIN. So they are collected to cover this extra cost and
that is going to be an extra fee on the industry?
Captain GRADY. No. The individuals that are not now document-
ed will have to pay a fee.
Mr. TAUZIN. This would be a new fee on the mariners?
Captain GRADY. Yes, this would be a new fee on a segment of the
population. We already have the user fee for mariners.
Mr. TAUZIN. Thank the gentleman for yielding.
Mr. ANDERSON. Thank you.
I represent an area on the West Coast that has all kinds of ships
and every time I go out and ask some of these questions, they don't
answer them quite like you do. They don't want any more tax.
They don't want any of these.
But they wonder why we weren't doing more than we are and
better than we are today and it is kind of funny. So towing vessels
with automated engine systems are commonly operated without
anyone in the engine room. H.R. 3942 would require either a li-
censed engineer or an unlicensed qualified seaman to be on duty in
the engine room whether or not it is automated.
My question has two parts. First, could you expand on the risks
posed by unregulated automated engine rooms and secondly, will
these risks be completely neutralized by the proposed legislation?
Captain GRADY. Well, again, I don't know what the risks are.
Probably the majority, if not nearly all tow boats, have some level
of automation.
We no longer have tow boats running, I don't believe, with the
navigating officer sending a signal down to an engine room and
somebody down in the engine room responding to that signal and
then operating the equipment.
It is all pilothouse control, and whether it be a hydraulic system
or mechanical system, the navigating officer is directing the engine
as somebody would in a recreational boat.
You have a series of shifting mechanisms to operate the engine
and that is probably the way all tow boats are operated today,
unless it is a museum piece. So there is automation throughout the
industry and there hasn't been a large level of incidents or large
number of incidents involving tow boat automation that has caused
the Coast Guard concern to look in that area.
PAGENO="0024"
20
Mr. ANDERSON. Thank you, Mr. Chairman.
Mr. TAUZIN. Thank you, Mr. Anderson.
Finally Mr. Laughlin from Texas.
Mr. LAUGHLIN. Thank you, Mr. Chairman.
Captain, the Oil Pollution Act requires a five-year renewal for
merchant mariner documents. As I understand it, the Coast Guard
is in the process of putting together a notice for proposed rulemak-
ing governing the five-year renewal mandate.
My question to you is, what criteria does the Coast Guard intend
to include in these proposed regulations and, in fact, would any of
the criteria include a demonstration of proficiency?
Captain GRADY The renewal criteria will generally duplicate the
criteria required for an original document. If the individual was re-
quired to complete a physical exam for the original document, he
will have to take another physical examination and accompanying
drug test for the renewal.
If the individual had to demonstrate some professional skills in
order to get the rating, I would suggest in our proposed rulemaking
that the individual should demonstrate continued proficiency
through either evidence of working in the industry, in the profes-
sion, or if the person has been away from the profession, some ex
ercise, school, or course or something of that nature.
Mr. LAUGHLIN. Is there any reason why a person working as an
undocumented employee on tugs and barges on the rivers not be
required to show proficiency prior to employment?
Captain GRADY Well, that is the way it is throughout the man
time industry today We have, on all classes of vessels, provisions
for entry ratings, and the entry level individual does not come to
the job with any skills. The entry level person comes aboard the
ship to gain that experience, gain that knowledge, and is required
to obtain a certain amount of sea service before they can be tested
for those skills.
The same thing exists in the towing industry, that is, there are
entry level people going aboard those vessels for the purpose of ob
taming the knowledge and skill that would be coupled with some
professional training in order to pass examinations The entry level
position is throughout the maritime industry
Mr. LAUGHLIN. I represent a long stretch of the Gulf of Mexico
coastline in Texas There are four wildlife refuge systems in the
confines of ~he coastline that I represent. There is also a fifth one
which is not on the coastline
The reason I bring this up is because I hear people from time to
time express concern about the possibility of an oil spill in one of
these four wildlife refuges One of them is a habitat for the whoop
ing crane I might add that the barge industry has shown a lot of
restraint in that area by slowing down their tows so that there is
not as much wake action causing erosion, but there is a lot of con-
cern that there would be an oil spill or some type of hazardous ma-
terial spill in one of these wildlife refuge systems.
My concern is that if we have a spill there of any hazardous ma
terial, then we open up the barge industry to new areas of attack.
And I wonder if there is any logical reason that you can give why
operations in the wildlife refuge system do not fall under the pro-
tection of the Oil Pollution Act
PAGENO="0025"
21
Captain GRADY I am not sure how the two are related
Mr LAUGHLIN You have stricter personnel requirements under
the Oil Pollution Act than you have for inland barge activity and I
would like your explanation why
Captain GRADY Well, I don't know The Oil Pollution Act applies
to tank ships, not tugs and barges Tank ships generally are on
longer voyages than tank barges They are removed from the sup
port services that you would have from shoreside services.
If a tanker needs something, it may be days waiting for assist-
ance, whereas a tug or barge in an inland waterway system or in a
harbor may be able to get this assistance or change personnel or do
those things much more readily than a ship at sea.
Mr LAUGHLIN Captain, this is an area that is of great concern
to a large group of people-I request that you give some thought to
this and would ask for some written response because I have a
great appreciation for what the inland barge system does
We have a problem in my district that you all know a little bit
about, it is Sergeant Beach and the Texas Transportation Institute
has done a study that if the inland water system is closed at that
point, there are not enough railroad cars in the State of Texas-as
big as we think we are-to haul all the products that are hauled
through that part of the canal in a day's time.
There are not enough 18 wheel trucks in the State of Texas to
carry all the product that goes through that part of the inland
water system at Sergeant Beach in a day's time
So the barge system is of great importance to my part of the
State and I think to the whole nation, and the concern that I am
raising with you and I would like your response in writing is we
have got the barge systems running and hauling millions of tons of
products-some of it hazardous-through the sensitive ecological
areas in my district and we are not requiring the same standards
for the tug and barge personnel that we are of the tanker person
nel This is an issue that I would like for your staff to address and
send it to the Chairman of this Committee
That brings me to the next point that you mentioned in your
answer to my question and that was, the tankers out at sea and
they are some distance from shore We have furnished to us as part
of this hearing a news article printed in the Journal of Commerce
I don't know if you have seen that But in that article a maritime
specialist, with the American Petroleum Institute states that the
barges are not necessarily safer than the tankers and that the crew
qualifications for barges are much lower than tankers
Do you agree with that9
[The information follows]
OIL Pou.uTI0N ACT MANNING AND QUALIFICATIONS OF CREW
The Oil Pollution Act of 1990 (OPA 90) does not explicitly impose additional man
ning on tankships (or tugs or barges) nor does it require additional qualifications for
the crew It does however require the Coast Guard to assess the crew qualifications
and manning levels of tankships
Under existing law and regulations the operator of a tug must be licensed and
tankermen (persons in charge of the transfer of oil or hazardous cargoes) must be
documented Each tankerman s document must be endorsed to reflect the cargoes
the individual is qualified to handle The documented tankerman on the tug/barge
must meet the same professional qualifications as the tankerman on a tankship To
PAGENO="0026"
22
qualify for an original license as the operator of a tug, an individual must have
three years of service on towing vessels, which is comparable to the three-year deck
service requirement for acquiring a license as a 3rd mate on a large tankship,
though the scope of the examination differs to account for different operating condi-
tions. The experience and qualification requirements for the master of a tankship
are more rigorous than for the operator of a towing vessel. However, both master
and operator must pass professional examinations testing their expertise in shi-
phandling and seamanship commensurate with the type of vessel and the trade
route for which they will be licensed. The scope of responsibilities of a tankship
master is wider than that of the tug operator due to the complexity of the ship's
systems and operational requirements. Also, a tankship is often remote from sup-
port services that would be available from shoreside for an inland tug. If a tankship
needs assistance, it has few options available except to rely on onboard professional
competence or lengthy delays in an exposed environment. A tug or barge in an
inland waterway system, on the other hand, may be able to get expert assistance
much more readily, or may have operational alternatives which do not place the
crew or cargo at risk.
OPA 90 mandates regulations to prevent another catastrophic marine casualty
from occurring. The Act implements many new standards and amends existing reg-
ulations; of particular interest to shipboard personnel, including tankships and tow-
boats, are the sections dealing with a proactive approach to pollution prevention
issues.
The greatest impact on daily operations onboard vessels will result from the sec-
tions of OPA 90 which relate to issuance of licenses and documents. Because of the
alleged involvement of alcohol in the Exxon Valdez incident, new authority was cre-
ated for the Coast Guard to specifically mandate drug and alcohol testing as a condi-
tion of licensing and documentation. A review of criminal, alcohol and drug, and
driving records will be required for an original license and document. To provide the
mechanism of review and testing, OPA 90 created additional authority for renewal
of Certificates of Registry and Merchant Mariner s Documents to parallel the cur
rent authority for licenses. Also, alcohol abuse will not be a cause for suspension
and revocation proceedings for all marine credentials issued by the Coast Guard
Implementation of the Act will improve the transport of these cargoes and reduce
the risk and severity of casualties involving tank vessels.
Captain GRADY. No. We have an endorsement for the crew called
a tankerman endorsement and the requirements presently are the
same for both. If you take the exam for tankerman, it is the same
if you are a tankerman on a barge or on a ship That is going to be
changed in the future, but to answer the question, currently a tan
kerman has to meet certain qualifications and may work on either
ships or barges
Mr. LAUGHLIN. You don't feel that there is any situation that
exists in the qualifications of the barge personnel versus the tanker
personnel that needs to be corrected, if I understand your answer?
Captain GRADY. Well, there is something that is going to be cor-
rected. The United States ratified the International Convention for
Standards of Training, Certification and Watchkeeping for mari-
time personnel. In some areas that international standard is higher
than our own, and one is in the area of tankerman training. We
have a final rule on tankermen that is going to be published this
summer which will adopt the international standard. One of the re-
quirements is that tankermen receive fire fighting training and a
few other things that are not currently required. So there are some
changes that are going to be made to the tankermen requirements
for crew members on both barges and tankships.
Mr. LAUGHLIN. I don't want to sound like I am picking on the
barge industry, because I don't want them to go away angry and
don't want to be a part of your crowd or my crowd making them go
away angry, but it seems that a lot of the oil spill accidents along
the Texas Gulf coast have involved barges and have involved for-
PAGENO="0027"
23
eign flag tankers and I have asked questions of witnesses in here
before about the Coast Guard and other's requirements on foreign
flag vessels.
The reason I ask you about this is because there is so much
barge traffic on the Texas coast and the propensity for danger and
destruction is so high. It endangers not only life and commercial
equipment, but sensitive ecological areas and wildlife refuges. I
want you to address my concerns about these dangers and my con-
cern that the barge crews do not meet the qualifications that we
are requiring the tank crews under similar circumstances.
It sounds to me as if your people have not addressed in any
manner the concern of the qualification of barge operators, particu-
larly in the game refuge areas. I do not know whether there are
wildlife refuges along other inland waterways or not, but much of
the 300 mile stretch of the Gulf Intracoastal Waterway between
Galveston and Corpus Christi is included in refuges.
You follow where I am headed?
Captain GRADY. Yes.
Mr. LAUGHLIN. OK. The last area that I want to inquire about
from you, Captain, is some have said that this legislation, if it were
extended to the tug and towing industry in the inland water river
areas would handicap and probably force out of business what we
call the mom and pop operations, the small water two-vessel com-
panies.
There are some of those type companies that exist in my district
and operate there and I just wonder if you could address that part
of the issue that is before us. In your opinion, would this put the
small operator out of business or what impact, if any, would it
have on the two-boat operator?
Captain GRADY. I don't know if this legislation in itself would put
anybody out of business. It might be part of the cumulative effect
that people are talking about, that so many financial burdens are
being placed on the industry through user fees and taxes and other
things that this, some are claiming, is an additional burden be-
cause in many cases the employers pay the cost of the employees
obtaining the document. There will be a user fee, a drug test that
ranges from $70 to over $100 depending on where the person ob-
tains the drug test.
Then there is the cost of traveling to the Coast Guard regional
examination center, and lodging and meals while a person spends
one or two days there. So all of this is a considerable amount of
money, but how it would affect individual companies, I don't know.
As I said, a lot of companies pay those bills for the prospective em-
ployee or their regular employees.
Mr. LAUGHLIN. Thank you very much, Captain.
Mr. TAUZIN. Thank you, Mr. Laughlin. If I can follow up a little
bit on what Mr. Laughlin's concerns were. The Offshore Marine
Service Association has presented testimony to the Committee in
writing that indicates that applications of the provisions of 3942
would require offshore tugs to increase manning levels by at least
four additional crew members.
For example, a mate, decking, engineer and an oiler, has an esti-
mated annual additional cost of $165,000 per vessel in salaries
alone. Add the additional cost of accommodations, meals, insur-
PAGENO="0028"
24
ance, legal fees, drug documentation. They estimate the potential
cost could exceed $40 million on a small fleet. Are those numbers
anywhere near real?
Captain GRADY. I think they are. If you are going from a two-
watch system to a three-watch system, the existing towing vessel
has to increase their navigating watch by 50 percent. Now, if we
are going to place an additional person on the bridge, you are in-
creasing one more person for each of the three watches.
Then if you are going to require additional people to be onboard
to man engine rooms, these people certainly do not come cheap. I
know that depending upon labor contracts and benefit programs,
an individual's benefits can amount to between 120 and 140 per-
cent of their base wage. And then you have relief crews.
So you are not only talking about the person onboard the vessel
at the time of the voyage, but you have relief crews that have to be
provided for. I could agree with those numbers. They seem reasona-
ble to me.
Mr. TAUZIN. Well then, the $40 million for a small fleet is no
small impact. Do these two bills together have a significant impact
upon the industry?
Captain GRADY. I thought he was just asking about-
Mr. TAUZIN. About documentation.
Captain GRADY. Just the documentation alone, no; combined, it is
a significant impact, yes
Mr. TAUZIN. All right. At this point I want to-
Mr ABERCROMBIE Would you yield a moment'?
Mr. TAUZIN. Just a second, Mr. Abercrombie.
Mr. TAUZIN. I want to for the record indicate that Chairman
Jones has a written statement for the record, and without objection
that written statement will be included in the record of these pro-
ceedings. I yield to Mr. Abercrombie.
[The statement of Walter Jones follows:]
STATEMENT OF HON. WALTER B. JONES, A U.S. REPRESENTATIVE FROM NORTH
CAROLINA; AND CHAIRMAN, COMMITTEE ON MERCHANT MARINE AND FISHERIES
Mr. Chairman, I am pleased that the Subcommittee is meeting today to consider
my bill, HR. 4394.
We all share an interest in making our waters safer for people and the environ-
ment. In the Oil Pollution Act, we required double hulls and double containment
systems for tank vessels to lessen the chances of oil spilling when an accident
occurs. We also enhanced Coast Guard scrutiny of personnel on vessels since the
most common cause of accidents is human error; nevertheless, there is still a gap
with regard to those vessels operating on the inland waterways.
Captains and pilots working in the towboat and barge industry must comply with
Federal standards; however, others who work with them such as deckhands and en-
gineers, do not. These exempt workers are not required to demonstrate their fitness
for duty to the Coast Guard. In fact, they escape all Coast Guard oversight.
Undocumented seamen may be exposing others working or recreating on our wa-
terways to a great risk of injury or death. In addition, since many of these vessels
transport oil or hazardous substances, allowing this situation to continue threatens
serious environmental damage to our shores and our natural resources.
My bill would allow the Coast Guard to weed out unfit seamen. To continue to
work in the inland trade, these mariners would have to undergo a Federal Bureau
of Investigation criminal record check and a review of their driving records. Ex-
panding the list of those required to have merchant mariner documents would also
preclude a seaman, whose papers have been revoked, from seeking sanctuary in a
job on the inland waterways.
PAGENO="0029"
25
I know there is some opposition to the bill, but I want to assure all interested
parties that I will do everything I can to resolve these differences.
Mr. ABERCROMBIE. How different is 3942 from what already
exists with respect to the regulation on the Great Lakes?
Captain GRADY. There are some statutes that apply to the Great
Lakes and nowhere else in the country. For example, seafarers are
not permitted to work more than eight hours on the Great Lakes,
unlike the rest of the country where they cannot be forced to work
more than eight hours, or on tankers where they are not permitted
to work more than 12. On the Great Lakes there is a section of the
statutes that limits seafarers to working only eight hours.
Mr. ABERCROMBIE. I understand. My point is that Mr. Tauzin has
asked a good question with respect to costs and figures can get
tossed around and one hears millions, even in the Congress, I am
sure Mr. Goss would agree, even millions will still get our attention
on occasion.
But from the practical realities of dealing with the personnel on
the Great Lakes, isn't 3942 similar if not exact?
Captain GRADY. No, because they don't have the three-watch
system in the lakes. We don't have required manning in the engine
room in the Great Lakes, and we don't have a second person re-
quired on the bridge with the navigator on the Great Lakes. All of
these things are in H.R. 3942. They don't exist in the Great Lakes.
Mr. ABERCROMBIE. Thank you.
Mr. TAUZIN. Captain, thank you very much. As I said, some
Members have indicated they wanted additional information. I in-
dicated to you that I would like some estimates, particularly on
what it is going to cost and in terms of how it is going to affect the
fee schedules on mariners if, in fact, we increase the documenta-
tion.
I particularly would like to add, if you can examine the figures
that we have gotten from OMSA a little more closely and indicate
whether or not those are accurate figures, we want to know what
these things are going to cost.
Congress has been piling up an awful lot on the industry lately
and on mariners and we ought to have a good handle on each one
of them so we can accumulate them and see what we are doing.
Thank you for your testimony and as I said we will be waiting to
see those responses in the mail.
Captain GRADY. Thank you.
[The information follows:]
COST OF EXPANDING REQUIREMENTS FOR PERSONNEL
The Offshore Marine Service Association (OMSA) submitted estimated annual
cost figures to their industry to expand the requirements for Merchant Mariner's
Documents for personnel on tugs, towboats, and barges, and reduce the voyage
length that allows for a two-watch system of manning. While the Coast Guard has
not performed an analysis or studied the industry costs associated with the proposed
legislation, the cost figures as presented appear to be representative of those associ-
ated with personnel in the maritime industry.
Mr. TAUZIN. I will now bring up the second panel which includes
Mr. Joseph Sacco, Vice President of Seafarers International Union
and Captain John Walton, Executive Assistant to the President of
the International Organization of Masters, Mates and Pilots of the
PAGENO="0030"
26
AFL-CIO, Mr. Joe Farrell, President of the American Waterways
Operators and Mr. Gary Faber, Vice President of Crowley Mari-
time Corporation.
Gentlemen, if you will assume your place.
Mr. TAUZIN. We will start with Mr. Joe Sacco, the Vice President
of Seafarers International Union of North American, AFL-CIO.
Joe.
STATEMENTS OF JOSEPH SACCO, VICE PRESIDENT, SEAFARERS
INTERNATIONAL UNION OR NORTH AMERICA, AFL-CIO; JOHN
WALTON, EXECUTIVE ASSISTANT TO THE PRESIDENT, INTER-
NATIONAL ORGANIZATION OF MASTERS, MATES AND PILOTS,
ILA, AFL-CIO; JOSEPH FARRELL, PRESIDENT, AMERICAN WA-
TERWAYS OPERATORS; GARY FABER, VICE PRESIDENT, OPER-
ATIONS-PACIFIC, CROWLEY MARITIME CORPORATION
STATEMENT OF JOSEPH SACCO
Mr. SAcco. Thank you, Mr. Chairman. Good morning and good
morning, Committee Members. I will try to be as quick and as brief
as I can
Mr. Chairman, and Members of the Subcommittee, I am Joseph
Sacco, Executive Vice President of the Seafarers International
Union of North America. I appreciate the opportunity to testify in
strong support of H.R. 4394. The SIU represents thousands of
seamen and boatmen who earn their livelihoods on board vessels
transporting cargo and passengers on the high seas, in the Great
Lakes and on the inland waters and harbors and the coastal waters
of these United States.
As a result, we are concerned about the safety of towboats and
barges operated on the Nation's waterways as the very lives of our
members are at stake. While my testimony is focused on H.R. 4394,
I would briefly like to express the SIU's support for H R 3942 es
tablishing manning and watch requirements on uninspected ves-
sels. Weather conditions and hazardous cargoes dictate the impor-
tance of having a trained crew of sufficient size to handle emergen-
cy situations. We urge the Committee to give this measure favor-
able consideration.
With regard to H.R. 4394, we concur with Chairman Jones' re-
marks on the introduction of H.R. 4394 that allowing undocument-
ed seamen to work on vessels unnecessarily increases the potential
for injury or death of other waterway users. H.R. 4394 is an uncom-
plicated measure. It simply corrects an omission in current law to
require mariners employed on cargo vessels over five gross tons to
obtain Coast Guard documents.
Presently a mariner's document is required for service aboard
commercial vessels 100 gross tons or over. However, this is a major
exception. Personnel employed on tugs and tows operating on the
rivers and lakes are exempted. In the last few years, the public
rightfully has voiced its intolerance with transportation accidents
caused by the human error resulting in the loss of life and major
damage to the Nation's environment.
As a result, the Congress and the administration need to enact
laws and regulations to better monitor the behavior patterns of
those employed in the transportation industry. The courts have
PAGENO="0031"
27
consistently upheld a right to test employees holding safety sensi-
tive positions for drug and alcohol usage. Today as compared to a
decade ago, drug and alcohol testing are a fact of life for those
earning a living in the various transportation roles.
The Exxon Valdez accidents in Prince William Sound and the
three spills within a 24-hour period in the coastal waters of Rhode
Island, the Delaware River and the Houston Ships Channel, dem-
onstrated that oil pollution from tanker spills is a real and continu-
ing threat to the public health and welfare and the environment.
Subsequently, the Congress was able to forge a compromise to pass
without consent.
One of the toughest environmental statutes ever imposed on an
industry and its work force was the Oil Pollution Act of 1990. The
Oil Pollution Act contains stricter provisions for issues of refueling,
of merchant mariner documents, licenses and certificates of regis-
try. This provision is similar to legislation that had been proposed
by the administration in the aftermath of the Exxon Valdez acci-
dent and also to amendments added to both H.R. 2158, the Prince
William Sound Oil Response Act of 1989 and to H.R. 2459, the
Coast Guard Authorization Act of 1989. When these measures were
endorsed by either of these subcommittees, or by the full Merchant
Marine and Fisheries Committee during the 101st Congress, the Oil
Pollution Act prohibits the Coast Guard from issuing or renewing
merchant marine documents unless the applicant makes available
all information contained in the National driver registry regarding
the motor vehicle driving record of that individual.
In spite of the fact that this provision represents an added ad-
ministrative cost to the Federal Government and is also an inva-
sion into the privacy of some employees making their living on the
Nation's waters, the Congress and the Members of the Committee
overwhelmingly supported this provision. Although the law is de-
signed to improve the safe operation of vessels and reduce acci-
dents, this well-intentioned Act overlooks thousands of undocu-
mented marine personnel employed on certain commercial water-
borne equipment, including tugs, tows and barges plying the inland
rivers.
These individuals will not be subject to the provisions of the Act
since they are not required by law to hold Coast Guard certificates
or documents as a basis of employment.
If we are truly interested in minimizing the potential for future
environmental harm from chemical explosions and oil and other
hazardous material spills, as I believe Congress and this Committee
intended in enacting the Oil Pollution Act, then marine personnel
employed on tugs, tows and barges on the inland rivers and coastal
waters should be appropriately documented by the U.S. Coast
Guard.
Safety for the employees in this segment of the transportation in-
dustry, the general public, and the protection of the environment
must be given the commitment of our best resources. Certainly no
laws can control the forces of nature on the rivers, and thus the
human element becomes even more important. Laws can control
the caliber of personnel that are employed to crew the tugs and
tows plying the inland rivers.
PAGENO="0032"
28
The documentation process will help eliminate unsuitable candi-
dates for employment as mariners who may be hazardous to them
selves, to their shipmates and fellow boatmen, the environment,
and the communities along the rivers at large.
As the present statute is written, it is likely that someone who is
deemed unsuitable for a Coast Guard document or who has his doc-
ument suspended or revoked could easily seek employment in that
portion of the industry which does not require mariner documenta-
tion. Without a mandated requirement that certain personal
records of a prospective employee be checked, an individual could
leave one segment of the industry and seek employment in a less-
regulated segment Or even in the less regulated segment of the in
dustry, an individual who is denied employment for failing a drug
test could temporarily clean up his act and easily move to another
company, for without documentation, any previous record would be
hard to trace.
Clearly that was not the bitent of the Congress in passing the Oil
Pollution Act, nor of the administration in promulgating drug test
ing regulations A significant portion of U S dothestic cargoes is
moved by the barge and towing industry on the 25,000 miles of
commercially navigable inland waterways.
The Corps of Engineers in 1989 estimated that 1 5 billion tons of
freight were carried on selected U S inland waterways Cargoes
carried varied from farm products, metallic ores, coal, petroleum
products, non metallic minerals, food, tobacco products, to chemi
cals and allied products including sodium hydroxide, alcohol, radi
ation material, benzene, sulfuric acid, paints and insecticide, and
other hazardous cargoes.
This movement of hazardous and combustible products and mate
rials, which, if involved in a explosion, grounding or other mishap
can present a sigmficant threat to the environment and to the com
munities along the riverfronts
Those who point to the safety record of the tug tow barge indus
try under current regulation and, as an argument for leaving the
system alone, are in error In fact, according to Coast Guard
records of towboat casualties for the period 1981 through 1990 of
the 12,702 selected cases contained within the Coast Guard's data
base, casualties involving towboats under 300 gross ton numbered
8,242 of which 5,047 or 62 percent were attributed to personnel
cause.
As defined by the Coast Guard, personnel causes include, but are
not limited to, such factors as inattention to duty, intoxication, cal
culated risk, carelessness, error in judgment, lack of knowledge,
lack of training, lack of experience, operator error, fatigue, smok
ing, stress, improper safety precautions, failure to comply with
rules, regulations and procedures, and improper loading, cargo
storage securing, rigging, mooring and towing.
Further, of the 5,047 accidents attributed tO personnel causes,
4,136 or 82 percent resulted in groundings and collisions. The
recent strain of unfortunate river mishaps is a matter of record.
No amount of after-the-fact reporting, liability and recovery will
suffice.
The emphasis must be on prevention. It is our view that the leg-
islation under consideration today lends itself to this criteria En
PAGENO="0033"
29
dorsement of H.R. 4394 will undoubtedly lend itself to attaining
these objectives in light of the high level of incidence in this trade.
It is imperative that the stringent personnel and safe oriented pro-
visions of the Oil Pollution Act of 1990 also apply to currently un-
documented personnel on tugs and tows five gross tons and over.
Uniformity across the board would guarantee that certain safety
and extensive standards are enforced throughout the entire mari-
time industry.
And in conclusion, the Congress has made tough and unpopular
decisions in the past to regulate the marine environment. The Oil
Pollution Act of 1990 is a profound example. Let us not waste those
tough decisions by declining to correct an obvious oversight in the
law.
It took a major environmental accident to give impetus to a
much-needed bill. It will be foolhardy to put off in any way the
principles of H.R. 4394 until a disaster strikes. The next time, in
addition to our precious environment, it may mean a tremendous
loss of human lives. Let us enact H.R. 4394 in this Congress.
Thank you.
Mr. TAUZIN. Thank you. I just looked over all your submittals
and I have got to say, you are a firm believer in documentation.
[The statement of Mr. Sacco can be found at end of hearing.]
Mr. TAUZIN. If I might, Captain John Walton is next. John, we
welcome you and would invite your testimony.
STATEMENT OF JOHN WALTON
Mr. WALTON. Thank you, Mr. Chairman and other distinguished
Members of the Committee. My name is Captain John Walton~ I
am the executive assistant to Captain Timothy A. Brown, the Inter-
national President of the International Organization of Masters,
Mates and Pilots.
I have personal onboard work experience in both the towing seg-
ment and deep-sea segment of the maritime industry. For the past
nine years, I have been employed as master of a product tanker.
This tanker vessel carried one quarter of a million barrels of petro-
leum products on coastal and worldwide voyages.
I appreciate this opportunity to testify today on behalf of the
MM&P in support of H.R. 3942 and H.R. 8439. I have submitted a
written statement which I would ask to be included in the record. I
will try to be brief by summarizing the MM&P's position at this
time.
At the outset, we believe these bills are designed to improve the
safety of towboat operations and give Congress and the industries
the opportunity to react to prevent rather than react to potentially
devastating situations which we all know can occur at sea.
The MM&P supports H.R. 3942 because we are extremely con-
cerned about the health, safety and environmental threats posed
by the operation of uninspected towing vessels due to the lack of
proper Federal manning and watchstanding regulations.
The current lack of adequate standards for watchstanding allow
for only one person to be on watch on the bridge and no one in the
engine room. That person, not only has to navigate, but must re-
55-369 0 - 92 - 2
PAGENO="0034"
30
spond to other colinear duties not associated with the direct navi-
gation of the tug or barge, such as communication.
On some of these vessels, the chart room and radio room are
away from the bridge, forcing the person on watch to actually
leave his position We all remember too well what happened when
the Exxon Valdez, when the captain left the navigating bridge
Further, the automation of the engine room and installation of
an alarm to alert the man on watch does not adequately insure the
safe operation of these vessels. In the first place, automated sys-
tems can and do malfunction Much like an automobile's idiot light
warning system, if the man on watch is alerted to a potential prob
lem, he is put in the position of reacting to a problem rather than
being able to anticipate and correct the situation before it gets out
of control Instead, our members lives, the vessel and the cargo and
the marine environment are put at risk
Presently, our members stand watches of six hours on and six
hours off on these vessels as well as performing overtime work
during there off watch period for an average workday of 16 hours
It is not unusual for the deck officers that are off-watch to be inter-
rupted to monitor a host of situations such as stormy seas, equip
ment failures, personnel illnesses or any other crisis which may
occur when we are hundreds of miles from shore
A personal thought I have on that I have many that have hap
pened to me over my career One in particular, if you are on a two
watch system and you are in rough weather and it is not unusual
for a seaman to get hurt onboard, once that individual is injured,
then someone has to give him medical attention.
If you have two men on watch, one is on the bridge, then the
other man is on his off time, correct9 So he is supposed to be off six
hours and, according to Coast Guard regulations, he is supposed to
take six hours off prior to assuming a bridge watch
Well, the man that is on the bridge can't leave the navigating
bridge and, we must remember, this little tugboat that everyone
seems to be talking about, they keep forgetting about that great big
barge that is out in front of it and that, in a lot of cases, carries
more oil than some of our coast wise tankers It is a real safety
hazard So the person that is off watch has to attend to these other
colinear duties
That can also happen in port I remember a couple of years ago
in Tampa, I was master Of a vessel. I had laid in at the Phillips
berth. We were discharging regular gasoline. During the course of
this discharge, while we were eating our lunch, there was a loud
noise; the vessel started moving ahead.
I ran out on the deck and here is a very large barge, about 400
feet in length, and it rammed right into the stern of my ship Now,
this was a propane barge The deck hand on the bow of this barge,
he was glassy eyed His hair was askew I do not think he was in
toxicated, but he looked as tired as any individual could look
We immediately checked our lines to make sure we didn't break
away because, if we had broken away, obviously with pumps going
at 10,000 barrels an hour, it would have been a tremendous spill It
would have been an accident, no one's fault, but it would have been
an accident.
PAGENO="0035"
31
I said to the young man on the bow of the barge, because 400 feet
away is a little tugboat, 1 said, "What is the problem here? What
happened?" He said, "Oh, Cap, we are sorry. The Captain's been up
all night. He has been helping the tanker man discharge the
barge."
That is what we are talking about, other colinear duties, and I
am sure if that individual had said "I am not moving this barge,"
and I have been in this position myself, and had I said, "Well, I am
not going to move this ship because I haven't had six hours off in
the previous 12," I don't think I would have my job for very long.
The Masters, Mates and Pilots has always prized itself on the
highest levels of competence on the membership. But when the
staffing can be reduced to dangerous levels, even the highest level
of professionalism may not be enough to prevent an accident.
The IOMM&P strongly supports H.R. 4394, a bill designed to
expand the requirement for merchant mariners' documents for per-
sonnel on tugs, towboats and barges. Much like an individual
drives without a license, crew members who do not possess Coast
Guard documents and are involved in important operations of
vessel safety and navigation are permitted to enter and remain in
the industry without demonstrating their fitness for the job.
While the statistics do not tell everything, the Coast Guard has
shown that approximately 57 percent of towboat casualties between
1981 and 1987 were personnel-related, caused by lack of training
and experience, intoxication, improper safety precautions, and op-
erator error. In this time period there were nearly 9,000 towboat
accidents or more than 1,000 per year, and I wonder how many
were not reported on undocumented vessels.
The IOMM&P believes that passage of H.R. 4394 would lessen
these occurrences by insuring that only qualified seamen are em-
ployed on these vessels. We believe the passage of H.R. 4392 will
also put safety first, safety of the life, safety of the vessel and
cargo, and safety of the marine environment.
In closing, I would reemphasize that both H.R. 3942 and H.R.
4394 give us a chance to act on a situation rather than react to a
crisis. While statistics play an important role in measuring proba-
bility in effects, we do not want to wait to be a statistic or a tow-
boat version of the Exxon Valdez to take action. I respectfully urge
you to come down on the side of safety.
Thank you. I will be happy to respond to any questions you may
have.
Mr. TAUZIN. Thank you, John.
[The statement of Mr. Walton can be found at end of hearing.]
Mr. TAUZIN. We will now turn to the President of the American
Waterway Operators, Mr. Joe Farrell for your statement. Joe.
STATEMENT OF JOSEPH FARRELL
Mr. FARRELL. Good morning, Mr. Chairman, Members of the Sub-
committee. I am going to discard the remarks that I had planned
to make this morning, based on what I have heard so far, in hopes
that I can bring an important perspective to your deliberations -
today.
PAGENO="0036"
32
We have heard a lot about safety this morning, both in the testi
mony and in the questions that have been asked, and I was think-
ing as that was taking place that Lady Safety must be smothered
by all the people that are scurrying to embrace her.
Nobody has exclusive dominion over safety. Nobody has more
concern about safety certainly, than the people that operate our
vessels. We don't pretend to have more than the Congress or more
than the labor movement, but we certainly have a great deal of
concern about safety
In that respect, I spent a good part of my life as an officer on
nuclear powered attack submarines and when you marry nuclear
reactor technology to submersible vessels traveling at very high
speeds, often in somewhat dangerous or very dangerous circum
stances, you can imagine that individual safety, the safety of the
crew, was always utmost in the minds of the Commanding Officer
and the others in charge of that vessel
But we also had other considerations and that seems to be over
looked here somewhat today It wasn't just safety We had a mis
sion to accomplish. We had to be concerned about the cost of oper-
ating that remarkably effective vessel
We had to be concerned about the life of the crew in terms of its
accommodations and its food, the crew's recreation to the extent
that we could attend to that. There were many considerations, all
secondary, to safety, but still important And that is also true in
the vessels that operate on the coasts and the rivers of the United
States
Let me also point out some comments have been made about
technology and redundancy There is a very important point that
you all need to understand and that is, in some-in many cases,
actually-that technology makes the operation of the vessel safer
than if it were done by a human being.
I will give you three examples that I am very familiar with The
operation of a nuclear reactor. The power level of a nuclear reactor
is much safer maintained through technological devices than any
human operator.
The all important level in the boilers of a nuclear submarine
which prevent those boilers from meltings, from burning up and
causing a nuclear accident, the levels of those boilers could not be
maintained by a human being They must be maintained by tech
nology
And finally, the level of condensate under the main turbines,
also very important to not damaging those main turbines, can be
controlled much safer by technology than by human beings. We
don't want to `lose sight of that.
The analog in our vessels would be, if you have a hydraulic or
electrical signal that changes the power of the diesel engines in op-
erating the tug in order to fit the circumstances versus having
somebody leave his station, a qualified engineer, and go down and
manually change the power level
It doesn't take a great deal of imagination and thought, I don't
think, to realize that in today's world, technology can do that more
efficiently But more important, it is safer to do it that way There
is no system, human or technological that is perfect, but in many
cases, my point is that technology is safer than human operation
PAGENO="0037"
33
As to these two bills, specifically, it seems to us that perhaps un-
wittingly, they are more aimed at increasing the number of people
on vessels. We have heard speculation and anecdotes, but no evi-
dence that would support any elements of either of these bills. The
only statistic that has been quoted today by the Coast Guard is
that something in the order of 60 percent of all casualties are
caused by human error, but within that spectrum, 93 percent are
caused by vessels with licensed personnel.
I think you also need to be reminded that the Oil Pollution Act
of 1990, which you all and your colleagues spent almost two years
in crafting through debates and hearings and so forth, nobody
could ever say the Oil Pollution Act overlooked something.
That is not the first thing that comes to mind when you deal
with the Oil Pollution Act of 1990. It has a section, 4111, that re-
quires the Department of Transportation to conduct detailed stud-
ies that relate directly to what this legislation would propose to do:
training, manning levels, watchstanding, all those kinds of things.
So it would seem to me that the answers that we are all seeking
today are not there but will be provided in the near future through
the activities required by Section 4111 of OPA-90.
And finally, I would like to say a word about competitiveness
and productivity. We shouldn't turn our back on those two things.
Increasingly, the American people are realizing that, for us to
maintain our standard of living, that all of us in government and
in the private sector must get much better in productivity and in
our ability to compete both domestically and in the international
marketplace. With no evidence to support decreasing our ability to
compete and decreasing our productivity as these bills would do, it
seems like a very foolish thing to do.
On top of that, impose on these companies-because in the end
virtually all the companies would end up paying the bill-the addi-
tional user fees for things like dull photos, three copies, making
sure you have your social security card and your birth certificate
and that sort of thing, without any nexus to safety really doesn't
make any sense at all. -
Thank you, Mr. Chairman.
Mr. TATJZIN. Thank you, Mr. Farrell.
[The statement of Mr. Farrell can be found at end of hearing.]
Mr. TAUZIN. Gary Faber now, the Vice President of Operations
for the Pacific at Crowley Maritime Corporation. Gary.
STATEMENT OF GARY FABER
Mr. FABER. Good morning, Mr. Chairman, and Members of the
Committee.
My name is Gary Faber. I am Vice President of Operations for
the Pacific Fleet of Crowley Maritime Corporation. I am responsi-
ble for the marine, deck, engine, cargo operations for our fleet of
tugs based on the West Coast. I have under my jurisdiction ap-
proximately 150 tugs, 125 barges, and about 1,000 sea-going person-
nel.
Rather than read through the prepared statement, which has al-
ready been submitted for the record, I would like to say in regards
to H.R. 4394 that we are in favor of the bill. We urge support for it.
PAGENO="0038"
34
It is a system by which you can document, monitor, and evaluate
the personnel that are on the tugs and barges, which is in every-
one's best interest in regards to safety and management of our
business.
In regards to H.R. 3942, I have not submitted a prepared written
report for that bill yet, but I will. But I would just like to say that,
as I understand it, the bill's objective is to increase the safety and
loss control awareness in the towing industry. That is something
that all prudent operators are responsible to do and that we do en
deavor to perform.
But there are a number of issues in the bill that do require fur
ther studies in that a lot of the equipment, as was stated earlier by
the Coast Guard, simply can't accommodate the increased manning
levels that are requested And the reality of the situation is do we
really need some of the redundancy or we are not already perform
ing it.
I think, as was stated earlier, that a study should be done and
that we can identify what are the actual duties of the personnel.
There is a lot of speculation of exactly what is required The 16
hours of work, the cross-over duties between engine and deck, and
the reality of the situation on a tugboat is that does not occur an
inordinate amount of time.
There are special circumstances where there is a flurry of activi
ty on arrivals and departures, but for the majority of the voyage,
that may not occur again We at Crowley have taken a lot of steps
to manage our fleet We have specially written policies and proce
dures, re watchstanding, arrival, departure, and I think there is a
lot that the industry has to offer that would shed a little bit more
light on this subject.
That is all I have to say Thank you very much
Mr TAUZIN Thank you, Gary
[The statement of Mr Faber can be found at end of hearing]
Mr TAUZIN First of all, let me ask you, Gary, for the record,
Crowley's ship personnel are, in fact, documented
Mr FABER Yes, every one we have is documented
Mr TAUZIN So you come with a level playing field You would
like to make sure everybody else is documented, is that right?
Mr FABER Yes, sir
Mr TAUZIN A thought Maybe, Joe, you can hit this and maybe
John, you and Joe could comment on it Mr Farrell first As I un
derstand it now, the hiring and the firing and the decisions about
who is going to work on a vessel is really the owner's now for these
undocumented crewmen
What if, instead of setting up a system where the Coast Guard
had to do all this documentation, what if the system were set up
where the owner documented his own workers and submitted those
documents to the Coast Guard, with whatever checks had to be
made I see in here concern about cost, cost avoidance of mariners
having to go and sleep overnight and do the checks and go to the
stations and get their documents
And if we wanted to establish, as the Chairman apparently
wants to establish in his bill, more records of the crews, more
records of the seamen to make sure, in fact, they are not getting
jobs in the undocumented side of the industry after they have been
PAGENO="0039"
35
booted out of the documented side for violation. If that is all going
to help safety, and obviously there are some indications it could,
could we not have a system with less cost in it that would be oper-
ated somewhat like I described? Joe.
Mr. FARRELL. Yes, I would think so, Mr. Chairman, but I think
before that took place, as I tried to indicate, it is very important to
establish the need for it before it is imposed. And it seems very
clear from what has taken place today, and not only today, that
that has not been established.
Mr. TAUZIN. Well, assuming the Committee bought off on the
notion that that was a good idea to have more seamen documented,
assuming we bought off on the notion that it was good for safety to
make sure that documented workers who have lost their jobs for
drug violations didn't end up working in the undocumented force,
assuming we bought off on that, I am only asking, could there be a
system where the owner of the vessel could provide to the Coast
Guard necessary evidence or documentation of some form?
Mr. FARRELL. The answer is yes.
Mr. TAUZIN. To avoid all these extra costs in this system?
Mr. FARRELL. Yes. The answer is yes, Mr. Chairman. It would
cost less, certainly, and let's not forget, either, that the owners of
these companies are not indiscriminate when it comes to matters
like this.
Somebody said earlier, I guess it was Captain Grady, that they go
to great lengths to look into the background of the people they are
hiring. I mean, the Oil Pollution Act of 1990 has some problems in
it, but it has some great triumphs in it as well. It is very, very
costly to spill oil, among other things.
Mr. TAUZIN. It is saying to our people, you are not going to spill
oil.
Mr. FARRELL. That is exactly right. That is what Congress in-
tended and they succeeded.
Mr. TAUZIN. Maybe I could get a reaction from you, John. Sup-
pose we could devise a system with less cost to the whole system by
having the boat owner actually document his employees for the
Coast Guard, Joe.
Mr. SACCO. Mr. Chairman, I would like to respond to that. I
think here, the issue here clearly is safety. What cost do you put
on human life? What cost do you put on any community in these
United States where you have all these chemicals being transport-
ed, whether it be the Gulf Coast, the Atlantic Coast, the West
Coast.
Mr. TAUZIN. We are not invading that. What I am asking you, if
you can get the same result, as documenting seamen, which the
Coast Guard can then check the FBI, the drivers' licenses records,
the whole schlemiel.
Mr. SAcco. What we need, Mr. Chairman, is mandatory control
and that would have to be implemented by the COast Guard.
Mr. TAUZIN. You don't think any system other than the Coast
Guard doing all this would work?
Mr. SACCO. No.
Mr. TAUZIN. How about you, John.
Mr. WALTON. I would be leery of letting the company handle that
on an individual basis. There are reputable companies and there
PAGENO="0040"
36
are disreputable companies and I think it would leave regulations
and documentation in the hands of the employer where, rightfully,
it belongs in the hands of a government agency.
Mr. TAUZIN. You want to comment back on that, Mr. Farrell?
Mr. FARRELL. No thank you.
Mr. TAUZIN. All right. Then let me turn it over to the other
Members. Mr. Goss.
Mr. Goss. Thank you, Mr. Chairman. You hit the areas and the
testimony has been very good on most of my questions, but there
are one or two things that did suggest themselves to see if-we are
trying to get information here and see if anybody has any.
I have been curious to know whether anybody has any statistics
on accident rates involving vessels where unionized versus nonun-
ionized labor or accidents with vessels with documented versus
doing nondocumented? Does anybody have those statistics?
Mr. FARRELL. Other than the ones that have been cited, that is,
60 percent personnel error and 93 percent on licensed personnel,
we do not.
Mr. Goss. So it is not unfair to say that there is further informa-
tion that could come forward here that might be useful in terms of
determining the safety benefits in this?
Mr. FARRELL. Yes, and that would result, I think, it should, from
4111 of OPA-90.
Mr. Goss. I heard what you said on that and I think I agree with
you. The second question is getting to the question of fatigue and
so forth, which is something that I understand a little bit. It seems
to me that most accidents have probably happened pretty close to
the coast or pretty close to land. That seems to be where most the
things to hit are, more of the traffic is concentrated, where the
hard spots and the geography are.
And I am wondering if we got the relationship of the mileage
and the fatigue formula right in this second bill, 3942. I realize
that alertness in ocean-going is important because of potential traf-
fic problems, collision at sea, but I am wondering if maybe not the
greater danger in terms of accidents may not be around the coastal
areas, and I don't know whether we have a lot of instances where
we are dealing with more than 200 miles port to port in the coastal
waters or not.
Anybody want to offer any observation on that?
Mr. FARRELL. Well, certainly accidents that involve environmen-
tal damage, by definition, are more concerned near the coasts or
along the rivers, but we have been talking a lot here about human
life. I don't think it makes any difference where you are if you are
dealing with human life, whether you are a thousand miles at sea
or a mile off the coast.
Mr. Goss. The other question-and this is not a facetious ques-
tion-it may sound like it, but my view is that I have enough confi-
dence in some technology now and I know that when I am lost in a
fog on a bridge, I value very much a compass and radar and I have
used them successfully and I am sure others have.
If you took the radar away from me and gave me another able-
bodied seaman or another licensed seaman or another navigator, I
am not sure I wouldn't rather have the radar if it came down to
that in a cost question. So is that for operators and owners, a cost
PAGENO="0041"
37
question for some of the smaller activities here? Are we forcing
people to do things that may, in fact, work against safety using rea-
sonable technology?
Mr. FARRELL. I think in our country, Mr. Goss, the way our econ-
omy works, cost is always a factor, but safety, as far as our experi-
ences, is always the first criteria.
Mr. Goss. Surely no large operator with a big investment is
going to forego good technology. I wouldn't expect that. It is in
terms of efficiency and return on your dollar investment and so
forth. But I can see what Mr. Laughlin was talking about, some of
his small mom and pop operations in his testimony earlier here.
I was wondering, if you get down to a strapped operation, a
couple of boats, if we passed something like this and it becomes
mandatory, are we maybe depriving one of those vessels from ad-
vances in technology, the money would be spent with this mandato-
ry requirement to have the additional person standing by on sta-
tion? And I am not sure it is a good trade-off. That is my question.
Mr. FARRELL. Yes. I think that is possible, yes. My colleague
mentioned the reputable and disreputable companies. That is part
of the human condition, unfortunately. We acknowledge that. But
my hunch is that, if you have got somebody that would violate the
law deliberately and intentionally, a new law is not going to make
that much difference. He is going to violate that one also probably.
Mr. WALTON. I would like to touch on that Congressman Goss. I
believe the 200-mile provision, and the designation of that number
is trying to keep a two-watch system under 200 miles which would
affect most harbor tug operations. You are talking tugs that assist
in docking and undocking vessels. They may dock one ship a day,
they may dock two.
So there is, in that particular trade, there is more off-time than,
say, a trade of ocean hauling, a barge on a haul or coast-wise
where your going from one point to another, Maine to Florida, let's
say. So if you have been running six and six since you left Maine,
obviously by the time you get to Florida, you are pretty well tuck-
ered out. And like you said, yourself, you are now in congested
waters.
You are now near protected reefs. You are in heavier traffic in
that situation and you should be on your toes and you are not be-
cause fatigue is starting to show on you. That is why the three
watches are necessary for voyages in excess of 200 miles, because
fatigue is like-it is an ailment. It impairs your thought process.
We obviously wouldn't let anyone operate a vessel or a tug push-
ing a barge with large quantities of oil knowing that their thought
process was impaired by alcohol or drugs, so why do we let an indi-
vidual run around that is suffering from fatigue which also affects
his thought process which causes human errors and results in a
higher percentage of accidents? And I think that is the crisis we
should be addressing.
Mr. Goss. I think the fatigue question is a very legitimate ques-
tion. I was amused-that is not the right word to use with the
Exxon Valdez, but I was disturbed to note in the earlier testimony
that fatigue was a big factor, and I have a little trouble accepting
that.
PAGENO="0042"
38
I don't remember how many minutes the Valdez had actually
been out of port, but it was not a whole lot of time I realize the
problem there is legitimate with regard to people having a shore-
side situation where they get onboard and they are fatigued to
begin with.
Mr WALTON That is the whole point When the ship's at a dock,
the master's not asleep, he is pretty well up the entire time and I
can testify to that
Mr Goss I understand that and I don't think we have done
quite enough work on this legislation yet to get the whole scenario
of how it really is in the real world, put down in workable lan-
guage that is going to solve the safety problem, and take care of
the fatigue problem, and take care of the fact of the terrain as it
were, the fact that there are periods of time when you are in con-
centrations of traffic which are predictable and proximity to obsta-
cles, land fall as it were.
Mr WALTON The traditional watch going to sea is four hours on,
eight hours off Two watches would mean six hours on, six hours
off The six hours on, we have already testified, you are usually not
off, you are usually up So just by virtue of going to a three watch
system, you are going a long ways to alleviating the fatigue prob-
lem and making our coast safer.
Mr. Goss. I don't think I have a problem as much as with the
three watch system as I do with how we apply it, how you write the
rule, and I am certainly opposed to solving the fatigue problem, not
only in maritime matters, but in .aircraft also.
We all have direct personal interests, thoughts of the guy up
there taking a nap. It is not a pleasant thought. When I read that
we are going to be legislating naps for pilots on aircraft, I must say
I would like to take a real close look at that legislation too
But that is-I am coming at this from the spirit that this may be
a good idea, from a safety point of view, but if we write the legisla
tion, I want to make sure we don't have some unintended conse-
quence and I am not sure I have heard all the things discussed
here today that I think are factors with regard to either piece of
legislation.
But your testimony has been helpful and I realize your experi-
ence is very, very valid. And certainly I am learning from it and I
thank you for that.
Mr. Chairman, I think that is all I have.
Mr TAUZIN Mr Goss, fatigue sets in a lot earlier when you have
been drinking, I think, than when you haven't
Mr Goss That may be possible
Mr. TAUZIN. Yes.
Mr Goss The point I wanted to make, I don't know how many
nautical miles the Valdez had covered, but it wasn't many
Mr TAUZIN Mr Abercrombie
Mr ABERCROMBIE Thank you Thanks, Mr Chairman
Mr Farrell, Mr Jones isn't here-unfortunately not able to be
here today, but I would like to ask a question that I think is re
flected in his legislation and part of the basis for his legislation
In your testimony, you correctly state, I believe, that, if enacted,
more mariners will have to pay the fees to get their Merchant
Marine documents I was a little confused because there seemed to
PAGENO="0043"
39
be an implication the barge companies would incur higher costs if
4394 was implemented. I don't want to put words in your mouth
and that is why I am asking you the question.
My understanding is that the mariners themselves would have to
incur the cost. Setting aside for the moment whether that is a good
idea or a bad idea, but that there was an implication, at least I
drew the implication from your statement, that the companies
themselves would incur higher costs from the documentation situa-
tion.
Was I drawing a wrong inference from your testimony?
Mr. FARRELL. I am not really sure, Mr. Abercrombie. The bill
would require, technically at least, that the person seeking the doc-
ument would pay for that service.
Mr. ABERCROMBIE. So wouldn't that relieve the companies of
the-
Mr. FARRELL. I need to finish my answer.
Mr. ABERCROMBIE. I beg your pardon.
Mr. FARRELL. I am told by our members, some of my members
when I inquired about this, that in many cases, they would be re-
imbursed, the company that is hiring the individual would reim-
burse him for those fees. I have no data or evidence as to what per-
centage that would take place, but it is obvious that companies
would pay a lot of it.
Mr. ABERCROMBIE. The bill doesn't say that, though.
Mr. FARRELL. No, but it would be a result of the bill.
Mr. ABERCROMBIE. Maybe that is a loss of unintended conse-
quence, but we don't pass those laws, hopefully. In any event, then,
you are saying that you feel that that would be a likely outcome,
even if the bill didn't?
Mr. FARRELL. I would say so, yes.
Mr. ABERCROMBIE. So it wouldn't have anything to do with the
idea that perhaps the unions might be able to identify potential
members a little more easily after the documentation process.
Mr. FARRELL. I made a lot of inquiries about that. I have heard
nothing that satisfies me that that question you posed is a problem.
Mr. ABERCROMBIE. OK. I have a couple of other questions I would
like to-and some of them are incorporated into observations, Mr.
Chairman. At a minimum, would you say that all the companies
right now are operating as the present law requires in terms of the
staffing of their vessels?
Mr. FARRELL. Is the question for me, Mr. Abercrombie?
Mr. ABERCROMBIE. Yes.
Mr. FARRELL. Yes. Oh, yes.
Mr. ABERCROMBIE. You don't think that there are any companies
that perhaps are able to underbid other companies by perhaps not
having all the staffing that is required right now?
Mr. FARRELL. That is not a concern, in my judgment, Mr. Aber-
crombie.
Mr. ABERCROMBIE. All right. Inasmuch as I asked some questions
before about technology or expressed some reservations about it, I
want to make sure that I was understood by you and, if I did not
make it clear enough before, perhaps if you will allow me a
moment or two to restate my premises, maybe you can comment on
them.
PAGENO="0044"
40
You indicated that technology was safer than human operation. I
did not mean in my previous statements and observations to mdi
cate that I didn't think the technology either added to safety or
was crucial in determining for human beings now what they might
or might not do and the decisions that they make My problem had
to do with when technology fails and the human being is required
to make a decision.
Secondly, I don't think the point was whether personnel were li-
censed or not, but whether an adequate number of personnel, i.e.,
the three-watch system, for example, fatigue, that kind of thing. Li-
censing is one thing Some licensed drivers have accidents with
automobiles such as ~unlicensed drivers do. The question is whether
you are an adequate driver or not.
Presumably, if one is licensed, at least on a statistical basis, you
have got a better chance at it If, in fact, licensed personnel on
ships are involved in these accidents, it points up to me how easy it
is to have accidents despite being licensed And how fatigue and
other factors have been cited in the Coast Guard regulations can
come into play.
Finally, there were questions about the competitiveness and pro
ductivity I hope I wasn't indicating that I thought that other coun
tries, for example, foreign flag vessels, should be held to a lower
standard It seems to me they should come up to our standards
They should come up to a better standard, whether it is with the
environment or anything else
So with those things in mind, I was a little nonplused when you
said that the need for particularly these two bills had not been es
tablished. The implication is that, if we have a horrendous acci-
dent, then the need will have been established, and I think what
we want to do is anticipate and try to avoid that.
Mr FARRELL No, Mr Abercrombie, I don't agree with that I
apologize if I overreacted to your assertion that you are a luddite
Mr ABERCROMBIE That was more alliterative than anything else
Mr FARRELL I haven't had a chance to get to know you well
enough.
Mr ABERCROMBIE Perhaps I haven't-so far, I think I am not
having an account in the bank. I might-you might get to know me
better. I may be one of the few left. I don't know.
Mr. FARRELL. I look forward to that.
I don't think anybody would subscribe to the concept that we
need to have a horrendous accident before we craft legislation in
hindsight. The data is there. We have done quite a bit of work with
the Coast Guard in trying to assist them at their request in the
regulations that are cascading as a result of OPA-90 And they
have enormous quantities of data
That data hasn't been manipulated yet, in our judgment, as well
as it can be and will be in the future, that will tell us what is
needed in terms of manning, licensing, fatigue matters. All those
things are available, we believe, in the data banks of the United
States Coast Guard.
Mr. ABERCROMBIE. Then is it fair to say-and I just have one
more point then, Mr. Chairman-is it fair to say then that, from
your point of view, even though you are a bit skeptical as to the
PAGENO="0045"
41
provisions of these bills at the moment, that the issues involved in
the bills are legitimately on the table?
Mr. FARRELL. The issues are legitimate. I am not skeptical. I
oppose the bills.
Mr. ABERCROMBIE. Let me just, for the record, Mr. Chairman, in-
dicate to you and to you, Mr. Farrell, just for your information,
part of the reason that I brought this bill forward, obviously, has to
do with personal experience. I t~hink we all have that, like your ob-
servation about others who might have been drinking and fatigued.
Mr. ABERCROMBIE. This is an observational remark. I understand
that. But I mentioned before the situation in Hawaii where we
have a series of coasts all around us, coastal water navigation is
treacherous in Hawaii. Just one year ago, Mr. Chairman, right
here is a picture of a tug that is grounded on a reef just off Dia-
mond Head.
Now, one of the indications Mr. Laughlin and others made was
that the tugs, the barges and so on, the barges associated with
hauling many times have oil and other chemicals. I think Mr.
Sacco made this point, in excess of tankers.
I can tell you, this tug, and I have-I will put this in the record
also, Mr. Chairman-went aground off Diamond Head. We are
talking about the fundamental existence of the economy of the
State of Hawaii.
By extension, by the way, this involves all kinds of other people
too, not just in Hawaii, take United Airlines, for example, if our
beaches are full of oil. And by the way, the Exxon Valdez was on
its way to Hawaii when it had its accident.
The Coast Guard indicated that the investigation into the acci-
dent was ongoing but that it appeared the tug was on autopilot and
ran aground when a crew member stationed on the bridge went
below to investigate engine room alarm.
Now, all we need in Hawaii is to have to go below because there
is nobody there to investigate an engine room alarm and we have
something go aground and an oil spill off Waikiki and we are fin-
ished. Maybe Prince William Sound has come back and maybe
tourism up there in Alaska wasn't quite that important in Prince
William Sound, and I am sorry about the animals on the environ-
ment there, but let me tell you, if we have that happen off Waikiki,
we can't survive six months of not having people come.
So this is not something that I am making up. This happened
here, this is one of the things that prompted me to go into this a
little more deeply. I can see this happening in the Gulf Coast. I can
see this happening in the East Coast. I can see it happening in the
Pacific. I can see it happening on inland waterway operations.
So I don't mean to make you the fall guy in this, Mr. Farrell, in
particular, but, Mr. Chairman, my point is that I think these
issues, by the testimony of the Coast Guard, as well as the testimo-
ny written and spoken here today, has concluded that these issues
are legitimately on the table.
How we deal with them obviously is subject to negotiation and
review, but I think that we have before us living examples of what
can happen with a failure to deal with both of these issues.
Mr. TAUZIN. Thank you, Mr. Abercrombie. You have given a
Hawaii perspective. The Louisiana perspective is, if we employed a
PAGENO="0046"
42
few more people in oil wells, we would have less tanker accidents
too. We might have some good discussion on that one day.
Mr. ABERCROMBIE. Count me in.
Mr. TAUZIN. Mr. Anderson.
Mr. ANDERSON. No questions.
Mr. TAUZIN. Well then, let me thank you gentlemen. As I said,
your testimony has been supplemented by a great deal of informa-
tion, particularly you, Joe, and we appreciate it. We are going to
examine all of this and report to the Chairman our findings.
We also are going to keep the record open for several weeks so if
you have additional information. We are interested if there are al-
ternative ways. As Mr. Abercrombie pointed out, if all of you can
look at it from the standpoint, how can we achieve these objectives
at the right economic levels, so it doesn't impair an already very
deeply-burdened segment of our economy.
Mr. ABERCROMBIE. Mr. Chairman, if you will yield just a
moment.
Mr. TAUZIN. Sure.
Mr. ABERCROMBIE. I will submit also for the record and make
available to everybody who is interested here today, numerous peti-
tions from people in California, for example, so it is not just
Hawaii.
Mr. TAUZIN. They are part of the record already.
Mr. ABERCROMBIE. And also letters and statements of support.
Mr. TAUZIN. We have got it. It is all part of the record. I want to
point out, Mr. Abercrombie mentioned the bank, you have to pay
for whatever we impose on you. We want to make sure it is reason-
able.
Thank you very much. We appreciate your testimony.
[Whereupon, at 12:28 p.m., the Subcommittee was adjourned,
subject to the call of the Chair, and the following was submitted for
the record:]
PAGENO="0047"
43
102D CONGRESS
1ST SEssioN * *
To amend title 46, United States Code, to establish requirements for manning
and watches on towing vessels.
IN THE HOUSE OF REPRESENTATWES
NOVEMBER 26, 1991
Mr. ABERCROMBIE introduced the following bifi; which was referred to the
Committee on Merchant Marine and Fisheries
A BILL
To amend title 46, United States Code, to establish
requirements for manning and watches on towing vessels.
1 Be it enacted by the Senate and House of Representa-
2 tives of the United States of America in Congress assembled,
3 SECTION 1. MANNING AND WATCH REQUIREMENTS ON
4 TOWING VESSELS.
5 (a) WORKING ALTERNATELY IN DECK AND ENGINE
6 DEPARTMENTS.-SeCtion 8104(e) of title 46, United
7 States Code, is amended to read as follows:
8 "(e)(1) On any towing vessel, a seaman may not be-
9 "(A) engaged to work alternately in the deck
10 and engine departments; or
PAGENO="0048"
44
2
1 "(B) required to work in the engine department
2 if engaged for deck department duty or required to
3 work in the deck department if engaged for engine
4 department duty.
5 "(2) On a vessel designated by subsections (c) and
6 (d) of this section-
7 "(A) a seaman may not be required to do un-
8 necessary work on Sundays, New Year's Day, July
9 4th, Labor Day, Thanksgiving Day, or Christmas
10 Day when the vessel is in a safe harbor, but this
11 subparagraph does not prevent dispatch of a vessel
12 on a voyage; and
13 "(B) when the vessel is in a safe harbor, 8
14 hours (including anchor watch) is a day's work.".
15 (b) NUMBER OF WATCHES.-Section 8 104(g) of title
16 46, United States Code, is amended to read as follows:
17 "(g)(1) Except as provided in paragraph (2) and ex-
18 cept on a vessel to which subsection (c) of this section
19 applies, on an offshore supply vessel or a barge to which
20 this section applies, that is engaged on a voyage of less
21 than 200 miles, the licensed individuals and crewrnembers
22 (except the coal passers, firemen, oilers, and water
23 tenders) may be divided, when at sea, into at least 2
24 watches.
*HR 3942111
PAGENO="0049"
45
3
1 "(2) On a towing vessel that is engaged on a voyage
2 of more than 200 miles, the licensed individuals and crew-
3 members shall be divided at all times when the vessel is
4 at sea, into at least 3 watches.".
5 (c) MINIMUM NUMBERS OF INDIVIDUALS ON
6 DUTY.-Section 8104(n) of title 46, United States Code,
7 is amended to read as follows:
8 "(n) On a towing vessel, at all times while the vessel
9 is under way-
10 "(1) at least 2 individuals shall be on duty on
11 the bridge, of whom 1 is required to be a licensed
12 individual and 1 is required to be a seaman; and
13 "(2) at least 1 individual who is a licensed engi-
14 neer, or a seaman who meets requirements for duty
15 in the engine room established under regtilations is-
16 sued by the Secretary, shall be on duty in the engine
17 room, whether or not the engine room is auto-
18 mated.".
`HR 3942 III
PAGENO="0050"
46
102D CONGRESS
2D SESSION * *
To amend title 46, United States Code, to require merchant mariners'
documents for certain seamen.
IN THE HOUSE OF REPRESENTATWES
MARCH 5, 1992
Mr. Jo~s of North Carolina (for himself, Mr. STUDDS, Mr. KOPETSKI, Mr.
PERKINS, Mr. HUBBARD, Mr. CARDIX, Mr. WILSON, Mr. JEFFERSON,
Mr MRAZEK Mr LEwIs of Florida Mr KOLTER Mr HORTO\ Mr FE
TERSO\ of Minnesota Mr Ev~s Ms KAPTUR Mr MOODY Mr
HERTEL Mrs LOWEY of New York Mr CiJAP1i~ Mr FROST, Mr
SARPALIUS Mr PALLO\'E Mr PASTOR Mr ACKERMAI~, Mr BACCHUS
Mr LANTOS Mr KILDEE Mr MCNUL~rY, Mr ROE Mr BO\'IoR Mr
ABERCROMBIE, and Mr. BRYANT) introduced the following bill; which was
referred to the Committee on Merchant Marine and Fisheries
A BILL
To amend title 46, United States Code, to require merchant
mariners' documents for certain seamen
1 Be it enacted by the Senate and House of Representa-
2 tives of the United States of Amertca in Congress assembled,
3 SECTION 1 MERCHANT MARINERS DOCUMENTS RE
4 QUIRED
5 Section 8701(a) of title 46, United States Code, is
6 amended-
7 (1) by striking "100" and substituting "5";
PAGENO="0051"
47
2
1 (2) in paragraph (1), by striking "a vessel oper-
2 ating only on rivers and lakes (except the Great
3 Lakes);" and substituting "a small passenger yes-
4 sel;"; and
5 (3) by striking paragraph (2) and renumbering
6 the remaining paragraphs accordingly.
7 SEC. 2. EFFECTIVE DATE.
8 The amendments made by this Act are effective one
9 year after the date of enactment of this Act.
HR 4394 lB
PAGENO="0052"
48
PATSY T. MINK COMMI1rEE ON EDUCATION AND LABOR
~ Con re~ of the ~Initeb ~`tatt~
DO? ~OU~t of ~tpvt~entattUe~ MTT GO M TO 0 S
6 0 P K ~aø!jin~ton ~C 20515-1102
AX I STATEMENT BY U S REPRESENTATIVE PATSY T MINK
BEFORE THE COMMITTEE ON MERCHANT MARINE AND FISHERIES
SUBCOMMITTEE ON COAST GUARD AND NAVIGATION
HEARING ON H.R. 3942
MARCH 17, 1992
Chairman Tauzin and Members of the Subcommittee, I am
pleased to submit my statement in strong support of H.R. 3942
legislation to strengthen the safety requirements and staffing
levels on towing vessels I thank the Subcommittee for its swift
action to conduct a hearing on this important legislation
introduced my distinc~uished colleague from Hawaii Mr
Abercrombie. I am proud to be a cosponsor of this bill and
believe that it will go a long way in protecting the safety of
the workers on towing vessels, the public and our environment.
Hawaii, perhaps more than any other state, is dependent upon
the maritime industry for the transportation and commerce of
goods and services It is the life-line that provides food
materials to build homes, cars, medical equipment, machinery for
our factories and farms and the list goes on. The safety
requirements for thio~ industry and the protection of the men and
women who work on the vessels that bring in these goods and the
towing vessels that guide the larger ships into our waters is of
great concern to the people of Hawaii.
PAGENO="0053"
49
Safety is the key issue that we are talking about today.
Over the last several years the towing industry has experienced a
severe reduction in staffing levels, jeopardizing the crew,
public safety, and the environment. In many cases, the towing
vessels are manned by only one observer who must also navigate,
steer the vessel and transmits radio messages.
The real tragedy is that under current law these type of
hazardous conditions are allowed under the minimum safety
standards. Mr. Chairman, current law only requires that one man
be assigned as observer and navigator for the entire the towing
vessel.
This type of relaxed rules do not address the needs of the
crew on these vessels and demonstrates a clear lack of
understanding of the what happens on a towing vessel on a day to
day basis. As those who represent the operators and crew of
these vessels have testified, one person cannot be expected to be
on watch on the bridge while having to look at charts and other
navigational equipment in the engine room.
Even with automatic pilot technology the safety of the crew
and the vessel is severely compromised when only one person
manning the towing vessel. Mechanical failure and other
unforeseen circumstances can easily turn a routine voyage into a
dangerous life-threatening situation.
PAGENO="0054"
50
H.R. 3842 would strengthen the current requirements and
mandate a minimum of three crew members on watch at all times and
mandates a minimum of two watches on voyages of less than 200
miles and three watches on voyages of more than 200 miles.
It is my understanding that these requirements are already
in effect in the Great Lakes region and have worked to the
satisfaction of all those involved.
We cannot allow the current situation to continue. I urge
this subcommittee's support of H.R. 3842. The time to put some
reasonable safeguards into effect is long over due, because lives
of the men and women in our maritime industry depend on it.
Thank you for this opportunity to express my support for
H.R. 3842.
PAGENO="0055"
51
US Department / US Coast Guard dD~ree~O~O1
of Transportation Staff Symbol
~
DEPARTMENT OF TRANSPORTATION
U S COAST GUARD
STATEMENT OF CAPTAIN F J GRADY
ON PROPOSED LEGISLATION AFFECTING MERCHANT MARINER'S DOCUMENTS
BEFORE THE
COMMITTEE ON MERCHANT MARINE AND FISHERIES
SUBCOMMITTEE ON COAST GUARD AND NAVIGATION
HOUSE OF REPRESENTATIVES
MARCH 17 1992
PAGENO="0056"
52
CAPTAIN FREDERIC J GRADY III
U S COAST GUARD
Captain Grady is Chief, Merchant Vessel Personnel Division, U.S.
Coast Guard Headquarters, Washington, DC. He reported to this
assignment during August 1986. His previous assignment was
Chief, Port and Environmental Safety Division.
Captain Grady graduated from Massachusetts Maritime Academy in
1961. He entered the Coast Guard and graduated from Officer
Candidate School at Yorktown, Virginia, in 1963.
Captain Grady has spent the majority of his 29 years Coast Guard
service in the Marine Safety program. His previous field
assignments include Marine Inspection Offices Los Angeles/Long
Beach, California; Portland, Maine; Albany, New York;
Jacksonville, Florida; and on the Ohio River at Marine Safety
Office Huntington, West Virginia. Captain Grady's Coast Guard
sea duty includes ocean station patrols in the North Atlantic and
service in Vietnam.
In his present assignment he is responsible for managing the
Coast Guard program of establishing manning standards for all
U.S. inspected vessels, administering federal pilotage activity,
establishing qualification and standards for all licensed and
unlicensed maritime personnel, and maintaining seaman's records.
Captain Grady is also head of the U S delegation to the
International Maritime Organization sub-committee on Standards of
Training and Watchkeeping.
PAGENO="0057"
53
DEPARTMENT OF TRANSPORTATION
U.S. COAST GUARD
STATEMENT OF
CAPTAIN F. J. GRADY
ON
PROPOSED LEGISLATION AFFECTING MERCHANT MARINER'S DOCUMENTS
BEFORE THE
COMMITTEE ON MERCHANT MARINE AND FISHERIES
SUBCOMMITTEE ON COAST GUARD AND NAVIGATION
HOUSE OF REPRESENTATIVES
MARCH 17, 1992
Good morning, Mr. Chairman and distinguished Members of the
Subcommittee. It is a pleasure for me to appear before you today
to discuss two proposed bills which would expand manning,
- watchkeeping, and merchant mariner documentation requirements for
merchant seamen on tugs, towboats and barges.
Title 46 U.S. Code, Section 8701, requires seamen aboard
U.S. merchant vessels of at least 100 gross tons to hold merchant
mariner's documents, except on vessels operating only on the
navigable rivers and lakes of the United States, other than the
Great Lakes. Currently, individuals serving on inland towing
vessels, and on harbor or ocean tugs of less than 100 gross tons
are not required to hold a merchant mariner's document.
In addition, all towing vessels of 26 feet in length or
larger, regardless of tonnage or where they operate, must be
under the control of a licensed master, mate, or operator of
uninspected towing vessels.
H.R. 4394 would revise 46 U.S.C. 8701 by requiring seamen on
merchant vessels of at least 5 gross tons to hold merchant
mariner's documents. It would eliminate current exemptions for
barges, and vessels operating on rivers and lakes, but add an
PAGENO="0058"
54
exempti&~ for small passenger vessels. The bill's impact would
essentially be focused on seamen working in the inland towing
industry and is intended to enhance safety by subjecting these
seamen to drug and alcohol testing and criminal records checks
Whether they are documented or undocumented all seamen on
towing vessels are. currently required to undergo pre-employment
drug testing, are subject to reasonable cause and post-accident
drug and alcohol testing, and are also subject to random drug and
alcohol testing if they perform functions or duties directly
related to the safe operation of the vessel
Only documented seamen seeking endorsements for qualified
ratings such as Able Seaman Qualified Member of the Engineering
Department (QMED) or Tankerman are subject to an additional drug
test to whichundocumented seamen are not; these certain
documented seamen must submit to a periodic drug test as part of
a required physical examination.
Under Coast Guard regulations applicants for an original
merchant mariner s document must
-appear in person at a licensing office and submit a
completed application form
-provide proof of citizenship or evidence from the
Immigration and Naturalization Service of lawful admittance to
the U S for permanent residence
-provide a letter of commitment of employment or evidence of
prior military sea service and
-finally applicants must provide fingerprints for FBI
Criminal Record Check
2
PAGENO="0059"
55
Current rulemaking activity to implement provisions of the
Oil Pollution Act of 1990 (OPA-90) will also require applicants
to make available National Driver Register information related to
certain offenses committed by the individual. The Coast Guard is
presently developing a work plan for this rulemaking.
An individual applying for a qualified rating endorsement on
a merchant mariner's document must also provide proof of physical
fitness, including the periodic drug test.
OPA-90 also instituted a five-year period of validity for
merchant mariner's documents. Therefore, all seamen holding
merchant mariner's documents are required to apply for renewal of
their documents. Applicants for renewal must:
-complete another application form, which includes a
required statement by the seaman identifying any convictions of
law or drug use by the individual;
-make available updated National Driver Register
information; and
-provide proof of physical fitness if the applicant holds an
endorsement for a qualified rating.
By requiring seamen on virtually all towing vessels to
obtain merchant mariner's documents, H.R. 4394 would accomplish
the following:
-make available criminal record information and National
Driver Register information for all previously unlicensed and
undocumented towing vessel crew members when they apply for their
original document; and
3
PAGENO="0060"
56
-provide sanctions for acts of negligence, misconduct, and
violation of law or regulation committed by these seamen through
the Coast Guard's authority to suspend or revoke a seaman's
merchant mariner' s document. Currently an unlicensed or
undocumented seaman discharged for drug use or other offenses can
get a job on another towing vessel by presentation of a drug- free
certificate~
Our statistics indicate that 58 ,percent of the reported
towing vessel accidents involved personnel error, but the
statistics do not discriminate between errors committed by
licensed and unlicensed crew members. However, 93 percent of all
towing vessel accidents involving personnel error occurred on
vessels with licensed individuals in charge of the operation of
the vessel The remaining seven (7) percent are attributed to
casualties occurring while a licensed person was not required to
be aboard such as while the vessel was moored not in operation
or in lay-up status. Considering that most of these accidents
involve vessel collisions, allisions with bridges, or vessel
groundings, it is far more likely that the vast majority of human
errors contributing to accidents were caused by individuals
already licensed by the Coast Guard rather than by the
undocumented seamen on these towing vessels.
Concerning pollution incidents involving personnel error,
the persons in charge of oil and hazardous material transfer
operations are required to be either licensed or documented, and
thus are already subject to the requirements which this bill
would impose on the towing industry.
4
PAGENO="0061"
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Prior to passage of a bill on these issues, the Coast Guard
proposes that a study be conducted to determine the need for new
statutory provisions.
Let me turn now to H.R. 3942. This bill would impose new
working conditions, manning, and watchkeeping requirements on
towing vessels. To the extent that this bill would lessen crew
fatigue, the Coast Guard endorses its purpose.
The provisions of 46 U.S.C. 8104(e)(l) currently impose a
prohibition against seaman alternately working in the deck and
engine departments on most classes of oceangoing merchant vessels
of more than 100 gross tons, and on Great Lakes towing vessels.
As written, H.R, 3942 would apply this prohibition to all towing
vessels, regardless of route, and it would eliminate the
prohibition for all other classes of vessels.
The Coast Guard favors the elimination of this prohibition
against seamen alternately working in the deck and engine
departments on all vessels, including towing vessels. This
prohibition, commonly referred to as the "cross-over" rule,
represents a significant obstacle to the objective of ensuring
crews on U.S. vessels can be employed as effectively and
efficiently as possible without causing a decrease in safety.
Maintaining or creating a cross-over prohibition for all
towing vessels merely extends an outdated rule which was provided
to protect seaman from dangerous work practices. Today, there
are collective bargaining arrangements and work-hour limitations
to ensure fair labor and safe work practices for seamen; the
cross-over rule can no longer be justified in the name of seaman
5
PAGENO="0062"
58
protection. Many foreign countries are endorsing dual-qualified
crews who are trained in, and capable of performing duties in
both the deck and engine departments. Several U.S. maritime
companies are employing maintenance personnel who are responsible
for maintenance functions throughout the vessel while certain
seamen assigned to the deck and engine departments are strictly
responsible for watchstanding duties. The complete removal of
46 U S C 8l04(e)(l) could result in more productive and
knowledgeable crews, and aid the U.S. maritime industry's ability
to compete with foreign interests~ without `increasing any risk to
vessel safety.
The Coast Guard supports the bill's proposed requirement for
all vessels, while underway, to have a licensed engineer or other
seaman aboard the vessel who is knowledgeable in the operatiion
and maintenance of engineering systems. However, we feel the
requirement for a manned engineroom on towing vessels, regardless
of the level of automation, is overly restrictive. Due to
engineering technological advances many U S inspected vessels
with very complex engineering systems, much more sophisticated
than the typical towing vessel, are permitted to operate with
periodically unattended enginerooms. We do not have accident
data to support requiring uninspected towing vessels to maintain
a higher watchkeeping requirement than comparably equipped
inspected vessels. `
The proposed bill adds a new subsection to 46 U.S.C. 8104
which would require a licensed individual, and a seaman to be on
duty on the bridge at all times the vessel is underway, and' would
6
PAGENO="0063"
59
further amend 46 U.S.C. 8104(g) to require a three-watch system
to be employed on vessels engaged on voyages exceeding 200 miles.
currently, there is no specified minimum number of watchstanders
required on towing vessels, with the exception of the requirement
that towing vessels be operated by a person licensed by the coast
Guard. A proper look-out must be maintained on all vessels. 46
u.s.c. 8104(g) currently requires a three-watch system on vessels
engaged on voyages exceeding 600 miles.
The coast Guard has no data which would indicate that the
number of bridge watchstanders currently being employed in this
industry is unsafe, or that the two-watch system allowed for
vessels on voyages up to 600 miles is unsafe. Although the coast
Guard does not object to these amendments, we do have
reservations concerning the need for them.
We are especially concerned that the bill's requirement for a
second watchstander to be located on the bridge would negate the
responsibility and authority of the masters and towing vessel
operators to exercise their judgment in establishing a proper
watch. The intended function or purpose of this second
watchstander is unclear. If the intent is to require a lookout
separate from the master or operator, we note the Senate's report
accompanying the International Navigation Rules adopted in 1980.
This report stated, in part, that the licensed individual or
helmsman may safely serve as look-out on towing vessels with an
unobstructed all-around view provided at the steering station, or
where there was no impediment of night vision or other impediment
to keeping a proper look-out. If a separate look-out or other
7
PAGENO="0064"
60
watchstander is considered necessary, we recommend the law not
specify where that person S watch station be located The proper
placement of the lookout and other watchstanders should be
decided by the licensed individual in charge of the navigation
watch.
The voyage length criteria of 600 miles in regards to
watchkeeping requirements has existed since 1936. Congress
established this provision as a factor of safety, rather than a
working condition on tugs. It was the opinion of that Congress
that towing vessels on voyages of less than 600 miles could
operate safely with the crew divided into two watches.
Fatigue is a matter of particular concern to the Coast Guard,
as it is world-wide. The Coast Guard is actively supporting
international efforts to identify matters affecting crew fatigue
and develop measures to prevent it. We are not convinced that
merely adjusting the watch scheme based on the voyage length
would necessarily reduce fatigue. We believe that properly
enforced work-hour limitations might positively influence crew
effectiveness, but even work-hour limits may not by themselves be
an adequate tool for preventing fatigue Physical fitness of the
crew, quality of rest periods, shoreside and onboard duties, and
the environment in which the vessel operates are also significant
factors which may contribute to fatigue.
The provisions of both H.R. 4394 and H.R. 3942 would result
in significant impact on the towing industry in terms of direct
operational expenses as well as user fees resulting from the
additional documentation requirements for the crewmembers on
8
PAGENO="0065"
61
towing vessels. Although the Coast Guard cannot quantify the
regulatory impact in terms of costs and benefits, we suggest that
the Committee and Congress fully explore these impacts (both
economic and paperwork) before changing existing law.
This concludes my prepared statement. I will be happy to
answer any questions at this time.
9
55-~369 0 - 92 - 3
PAGENO="0066"
62
International Organization of
Masters, Mates & Pilots
700 MarItime Blvd., Unthicum Heights, MD. 21090-1941 I Tel No.: (301) 850-8700
Cable BRIDGEDECK WASHINGTON D.C. / Telex No.: 750-831 / Telecopler No.: (301) 850-8725
TIMOTHY A. BROWN
Internatlonsl PresIdent
JAMES T. HOPKINS, JR.
InternatIonal Secretary'Treasuren
STATEMENT OF
CAPTAIN JOHN WALTON
EXECUTIVE ASSISTANT TO THE PRESIDENT
INTERNATIONAL ORGANIZATION OF MASTERS, MATES S PILOTS, ILA, AFL-CIO
TO THE
SUBCOMMITTEE ON COAST GUARD AND NAVIGATION
ON
HR 3942 AND HR 4394
MARCH 17, 1992
INTERNATIONAL MARINE DIVISION OF THE INTERNATIONAL LONOSHOREMENS ASSOCIATION AFI ClO
PAGENO="0067"
63
My name is Captain John Walton. I am executive assistant to
Captain Timothy A. Brown, International President of the
International Organization of Masters, Mates & Pilots, ILA, AFL-CIO
(IOMM&P). I have personal onboard work experience in both the
towing segment and deep-sea segment of the maritime industry. For
the past nine years I have been employed as Master of a product
tanker. I appreciate this opportunity to testify in support of H.R.
3942, a bill introduced by Congressman Neil Abercrombie, which would
establish requirements for manning and watches on uninspected towing
vessels. I am also here to testify in support of H.R. 4394, a bill
introduced by Committee Chairman Walter Jones which would expand the
requirement for merchant mariner's documents for personnel on tugs,
towboats and barges not now covered under the law.
The MM&P supports H.R. 3942 because we are extremely concerned
about the health, safety and environmental threats posed by the
operation of uninspected towing vessels due to the lack of proper
Federal manning and watchstanding regulations.
When a tow boat operates with one person on watch on the
bridge and no one on duty in the engine room, the potential for an
accident is great. The person on watch not only has to navigate,
but must transmit radio messages as well. On some of these vessels,
the chart room and radio room are away from the bridge, forcing the
person on watch to leave his position. The automation of the engine
room and installation of an alarm to alert the man on watch does not
adequately ensure the safe operation of these vessels. In the first
place, automated systems can and do malfunction. Further, if the
man on watch is alerted to a potential problem by an alarm, he is
put in the position of reacting to a problem, rather than being able
to anticipate and correct a situation before it gets out of
control. By being forced to react rather than prevent, our members'
lives, the vessel and the cargo, and the marine environment are put
at risk.
Historically, towing vessels in the ocean and coastwise trades
carried three deck officers divided into three watches, and an
engineer. The industry had an enviable safety record. Then, in the
1980's, due in part to cutbacks in the oil industry, a surplus of
equipment was realized. Much of this equipment wound up in the
hands of "shoestring" operators. In order to gain economic
advantage, these operators crew their vessels at unsafe levels, and
the more established operators are forced to react by reducing
manning in order to compete. Unfortunately, the courts have
concluded that the present inadequate and unsafe manning levels do
not violate existing law. It is, therefore, up to Congress to
rectify this situation.
H.R. 3942 calls for a minimum of three crew members on watch
at all times. It further mandates a minimum of two watches on
voyages of less than 200 miles and three watches on voyages of more
than 200 miles. We believe this is essential to ensure the safe
operation of tow-vessels. Our union prides itself on the
professionalism and skill of our members, but when the staffing on
these vessels can be systematically reduced to dangerous levels,
even the highest level of professionalism may not be enough to
prevent an accident.
Presently, our members stand watches of six hours on and six
hours off on these vessels as well as performing overtime work
during off-watch, for an average work day of 16 hours. It is not
unusual for the off-watch deck officers that are to be interrupted
PAGENO="0068"
64
-2-
to monitor a host of situations such as stormy seas, equipment
failure, personnel illness or any other crisis which may occur when
you are hundreds of miles from shore. Our members are among the
best trained and highly motivated and dedicated mariners in the
world, but they are not immune from the fatigue that sets in from
working an average 16 hours a day for months on end. When crew
members are forced to work to the point of exhaustion, bad judgment
calls are a strong possibility. Even if no lives are lost or
serious injuries caused, our members put their licenses at risk due
to these inadequate manning policies forced on the industry by
uninspected towing vessel companies.
We also believe it is important to note that the reduced
manning levels on these towboats have a long-term negative effect on
the industry through the elimination of an essential training ground
for future experienced Second Mates. Previously, this individual
received practical, on-the-job-training and experience under the
direction of the Master and Chief Mate. Now that the Second Mate's
position has been cut on these uninspected vessels, there is no one
learning the skills necessary to move up to Chief Mate. Meanwhile,
the Chief Mate has no time to spend with the Master and learn from
him. There really is no alternative to take the place of the years
of experience that working on board the vessel offers.
Manning on all commercial towing vessels should be set by law
to ensure that Deck Officers and seamen on look-out should stand
watches of no more than eight hours a day (four on and eight off) as
it used to be. The Engineer should not have to be working on the
deck performing able-seaman duties and, thereby, neglecting a very
important part of vessel operation, namely preventive maintenance
and upkeep of engines.
The IOMM&P believes that passage of H.R. 3942 will put safety
first: safety of life, safety of vessel and cargo, and safety of
the marine environment. We strongly urge that H.R. 3942 be enacted
now -- to prevent a tragedy from occurring, rather than in response
to a disaster.
The IOMM&P also supports H.R. 4394, a bill which would expand
the requirement for merchant mariners' documents for personnel on
tugs, towboats and barges not now covered by law. Current law
generally requires that merchant seamen on vessels over 100 gross
tons have Coast Guard-issued mariners' documents. However, the law
specifically exempts the document requirement for merchant mariners
employed on such vessels, including barges, operating only on the
navigable rivers and lakes of the United States as well as those
individuals employed or engaged on any vessel 100 gross tons or
under. These undocumented crewmembers involved in important
operations of vessel safety and navigation are permitted to enter
and remain in the industry without demonstrating their fitness for
the job. Since they are not required to possess Coast Guard
documents, there is not a way to determine if these individuals have
drug or alcohol problems or whether their documents have been
revoked or suspended for such abuses.
The Coast Guard statistics show that approximately 57 percent
of towboat casualties between 1981 and 1987 were personnel-related,
caused by lack of training and experience, intoxication, improper
safety precautions and operator error. In this time period, there
were nearly 9,000 towboat accidents, or more than 1,000 per year.
The IOMM&P believes that passage of H.R. 4394 would lessen these
occurrences by ensuring that only qualified seamen are employed on
these vessels.
PAGENO="0069"
65
-3-
The IOMM&P urges that this Committee favorably consider both
H.R. 3492 and H.R. 4394. These two legislative proposals will go a
long way towards alleviating the hazardous circumstances currently
found in this segment of the maritime industry and will ensure that
hard working, professionally trained mariners will be able to
perform their jobs under safe and fair working conditions. Please
let me know if the IOMM&P can be of assistance to this Committee in
any way In order to ensure the expeditious enactment of these
important proposals.
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66
Statement of
Gary Faber
Vice President, Operations-Pacific
Crowley Maritime Corporation
Concerning
H.R. 4394
In a Hearing on the
Subcommittee on Coast Guard
and Navigation
March 17, 1992
PAGENO="0071"
67
Good Morning, Mr. Chairman and members of the Subcommittee on
Coast Guard and Navigation.
My name is Gary Faber. I'm Vice President, Operations-
Pacific for Crowley Maritime Corporation. It is my responsibility-
to manage the marine operations and the personnel of that portion
of Crowley Maritime's fleet of tugs and barges home-ported on the
West Coast of the United States.
Crowley Maritime Corporation operates approximately 380
vessels ranging in size from small harbor tugs to large container
ships engaged in foreign trade. I have under my jurisdiction about
150 tugs, 125 barges, and 1,000 sea-going personnel.
We appreciate the opportunity to testify today concerning H.R.
4394, a bill that would expand the number of seamen requiring
merchant mariner documents (MMD'S) Presently exempted from the
requirement for MMD'S are seamen on various classes of vessels such
as those operating only on rivers and lakes (except the Great
Lakes), barges, fishing vessels, fish tenders, fish processors,
yachts etc Seamen on any vessels less than 100 gross tons are
not required to have MMD's. H.R. 4394 would remove the exemption
for barges and for vessels operating only on rivers and lakes and
would change the vessel size threshold from 100 gross tons to 5
gross tons.
PAGENO="0072"
68
I understand that a complete description of the current regime
for issuing mariners documents has or will be provided by another
witness, so I'll not repeat that information. In summary, however,
there are a large number of engineers, deckhands, and cooks on tugs
and towboats on inland rivers that presently need not be licensed
or documented.
Crowley Maritime's vessels generally are not exempt from the
requirement that all seamen have documentation. They do not
operate exclusively in rivers and lakes and for the most part are
larger than 100 gross tons. As a consequence, all of our seamen
are required to have MMD'S. We consider this to be beneficial and
certainly not an onerous burden to the company and if a burden to
the seaman, then a minimal one at best.
The principal benefit comes from the screening made before the
document is issued. An FBI check is made, as well as a review of
the National Driving Register to determine if there has been an
alcohol-related driving offense. If the seaman subsequently is
involved in an act of incompetence or misconduct or is found to be
negligent, or is convicted of an offense described in the National
Driving Register Act, his document can be suspended.
The process of applying for an MMD will reveal narcotics
violations which can, under certain circumstances, prevent
applicants from being issued a document.
PAGENO="0073"
69
4
These are critical issues for the safe operation of vessels.
Safety and environmental protection, of course, are major concerns
of companies. Lives of vessel crews and the general public as well
as preservation of natural resources are at stake. Oil and
chemicals are a prominent cargo carried on barges. Accidents
involving such cargoes can be disastrous to the communities and
environment in proximity to the accidents.
Although Crowley's shipboard personnel are all documented,
we're concerned, when we enter rivers such as the Columbia or the
Mississippi, that the personnel on the vessels that share the
rivers with us are also properly documented. The Merchant Mariners
Document can provide assurance that a reasonable check on seamen
qualifications has been made.
In summary, we believe H.R. 4394 is a rational and reasonable
bill that should significantly assist in improving the level of
safety in vessel operations on rivers and lakes. We urge a "yes"
vote on the bill.
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70
STATEMENT OF JOHN M. GOUVEIA
REGIONAL DIRECTOR
INLANDBOATMENS UNION OF THE PACIFIC
BEFORE THE HOUSE OF REPRESENTATIVES
COMMITTEE OF MERCHANT MARINE
SUBCOMMITTEE ON COAST GUARD AND NAVIGATION
HEARING ON H.R. 3942,
STAFFING REQUIREMENTS ON TOWING VESSELS
MARCH 17, 1992
Mr. Chairman and members of this honorable committee, my
name is John M. Gouvela and I am a Regional Director for the
Inlandboatmen's Union of the Pacific (IBU), Marine Division
of the International Longshoremen and Warehousemen's Union.
I appreciate this opportunity to provide written testimony
for the record on H.R. 3942, a bill relating to staff ir,g
requirements on towing vessels. I am providing testimony in
favor, of H.R. 3942.
The IBU is a labor organization who represents sea going
employees moat of whom are employed on towing vessels, I am
originally a seaman who has voyaged on towing vessels for
many years prior to becoming a Regional Director of the IBU.
Therefore, I am familiar with the safety conditions on
towing vessels.
At the present time the existing statues concerning the
requirements for manning and watches (work shifts) on towing
vessels needs to be amended to protect the safety of the
public, our environment, as well as the safety of our crews
on board these vessels. The potential danger created by the
minimum manning end watch requirements under the current
laws is enormous. The current laws put in jeopardy the crew
of towing vessels as well as the licensed personnel who are
on the bridge (command center) of the towing vessel, not to
sent ion our environment.
The current laws require only one man to be assigned to
observe where the vessel is headed and to control the whole
towing vessel. Should that one man on the bridge leave for
any reason, or that one san on the bridge succumb to a heart
attack or seizure and become unconscious, the effects would
be devastating; a collision or grounding could occur. If the
towing vessel is towing an oil barge, a collision or
grounding will very likely cause an oil spill of great
magnitude. The licensed person on `watch" in the wheelhouse
or Bridge has as his responsibilities, steering the vessel
to avoid obstacles, plotting his course in the chartroom,
and transmitting radio messages. On some of towing vessels
the chartroom end radio room are away from the bridge. In
other cases the chertroom or desk and radio are behind the
person on watch, leaving him with his back to the front of
the towing vessel, consequently having no one at tt~e
steering wheel (helm) and no look-out..
The foregoing creates a situation akin to having no one
watching where a moving car is going, with no one steering
the car as it moves.
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71
2
It is my understanding that the Exxon Valdez oil spill in
Alaska occurred pertly because the captain left the bridge
to go below the deck to the radio room to send a message to
the corporate headquarters, thereby leaving an inexperienced
person at the helm. Under the current laws regulating
manning on towing vessels, the Exxon Valdex scenario stated
above would be worse because when the captain leaves the
bridge to go to, for example the radio room, poor~ e will be
at the helm.
Currently, there are times when the man on watch will leave
his post to get his relief or to get a cup of coffee or'
maybe a snack. In the worst Possible scenario, the
consequences of the bridge being unmanned when these barges
are loaded with fuel, is that the towing vessel will run
aground or collide with another vessel. Today some towing
vessels are equipped with an automatic pilot, but even these
devices have been known to malfunction. Therefore, if the
person manning the helm leaves the helm because he is
relying on the automatic pilot and the automatic pilot
fails, then the towing will be out of control with no one
watching where the vessel is going.
Even in the engine rooms, automated alarm systems have been
installed. If there should ever be a break down, the alarms
are not activated until after the fact, whereas, if manned
properly, some one would be able to see, hear or possibly
smell a problem and correct it before it happens.
Under the current statue, the minimum manning for
unins~ected vessels on runs less than 600 miles can be as
little as two men. All that is needed is two deck officers
on a six on and a six of f 12 hour watch system. This results
in only one man at a time running the whole towing vessel.
This minimum is unsafe and must be changed, in order to
avoid the foregoing hazards to the environment and the crew.
The towing vessel Companies will even go so far as to say
that what we are asking will be costly, and there is not
enough bunk space on most of these vessels. This is untrue,
most of these vessels have sufficient spaces to sleep up to
ten crew men now, and should these spaces be unavailable
they can be reedily made available with the least amount of
alterations and not that much of a cost.
Moreover, many companies operate their vessels with n
sufficient amount of crew men to meet the requirements under
H.R. ~942. All that might be needed is to reassign these
crew men to observer positions.
Today the practice of no Able Seaman personnel on deck is at
the very least ir,adequete~ Some Companies are running these
towing vessels with no AB's, and this violates Federal Law.
The people of Hawaii have been concerned about what occurs
in the Maritime Industry, due to. the fact that Hawaii is en,
island State and what occurs in the ocean directly affects
Hawaii. We are cognizant of whet would happen to our tourist
industry if an oil spill the size o~ the Alaska spill
occurred. Such a spill would not only' hurt our tourist
industry but would wreak havoc on our marine life such as
the fish, crabs, see urchins, and seaweed, all staple foods
of the Hawaiian People. As our esteemed Congressman Nell
Abercrombie stated ,"This is a safety bill pure, plain, nid
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72
3
simpl.e~ It's like having more than one person in the cockpit
of a plane, end who wants to fly without a co-pilot?
There have been too many near disasters and oil spills
nationwide. The Tow Boat Industry has expanded a gremt dccl
in the last 30 years or more, end it is about time we heve
the laws of this great nation amended to rectify the current
hazards that have been created due to this expansion in the
industry.these Rules and Laws enforced and amended.
The enactment of H.R. 3942 will not cause a great departure
from the current law. This is because currently, the
recuirements set forth in H.R. 3942 are already in effect
for the Great Lakes of the United States of America. All
that HR. 3942 will do is afford to the rest of the United
States of America what is already applicable to the Greet
Lakes.
In conclusion, for the reasons set forth above, I
respectfully urge this Honorable Committee to adopt HR.
3962 and refer said bill out of committee to be acted upon
by the House of Representatives.
If there are any questions concerning my testimony, I will
be more than glad to answer then at this time.
DATED: Honolulu, Hawaii, ?.~Zl~,GI~ /3, ./ff~~
Respectfully Submitted,
44 ~
1/ 3OHN H.
Regional Director
Inlandboatmen's Union of the Pacific
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73
TESTIMONY
OF THE
OFFSHORE MARINE SERVICE ASSOCIATION
H.R., a bill to expand the requirement for
merchant mariner documents for personnel on tugs,
towbosts, and barges.
H.R. 3942, a bill to establish requirements for
manning and watches on towing vessels.
BEFORE THE
SUBCOMMITTEE ON COAST GUARD AND NAVIGATION
March 17, 1992
OFFSHORE MARINE SERVICE ASSOCIATION
1440 CANAL STREET SUITE 1709 NEW ORLEANS, LOUISIANA 70112 TELEPHONE (504)5664577 FAX (504)566.4592 ATTN: OMSA
PAGENO="0078"
74
The Offshore Marine Service Association (OMSA) is
pleased to submit its testimony for the record of the
Subcommittee Ofl Coast Guard and Navigation hearing on H.R.
3942, and Congressman Jones' bill to expand the requirements
for merchant mariner documents for personnel on tugs,
towboats and barges.
OMSA represents over 270 companies that operate U.S.
flag vessels, or provide services, supplies and equipment,
in support of offshore construction and oil and gas
operations worldwide, including more than 240 offshore tugs
An additional number of offshore tugs are operated by non-
OMSA members. We are not able to accurately estimate that
number for the record today and have, therefore, limited our
presentation and figures to our members' fleet.
Application of the provisions of H.R. 3942 will require
our offshore tugs to increase manning levels by at least
four additional crew members, i . e *, mate, deckhand, engineer
and an oiler, at an estimated annual cost of $165,000 per
vessel, in salaries alone. Add to that the additional costs
of accomodations, meals, insurance, legal fees, drug
testing, documentation, etc. The potential annual cost of
this measure, for our small fleet alone, could exceed $40
Million.
In addition, the provisions of H.R. 3942, which amend
46 USC 8104 (g), will also affect approximately 1200
of f shore service vessels. The bill will reduce the duration
of a voyage, from 600 miles to 200 miles, for which, at
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75
present, a two watch system of manning can be utilized. The
estimated annual cost of this provision, as it applies to
offshore service vessels, is $68 Million.
The additional costs that would be created by the
passage of H.R. 3942 come at a time when our offshore tugs
are faced with a utilization rate of less than 50%, our
anchor handling tugs have a utilization rate of less than
30%, less than 60% of our offshore service vessels can find
work, and very strong indications that activity in the U.S.
offshore industry will continue to decline. We are, in
fact, an endangered species.
The passage of H.R. 3942, as. it is currently written,
then, will result in a potential impact of $108 Million
annually in increased expenses to the offshore marine
service industry as a whole. It is impossible absolutely
impossible - for our industry to absorb this expense. The
industry's survival is already threatened, in any case, by
additional expenses posed by Coast Guard User Fees, the Oil
Pollution Act of 1990 (OPA-90) and the Americans with
Disabilities Act, among others. Our industry will simply
not survive the impositions of these additional costs.
Which brings us to a question. WHY is it necessary, in
fact, to impose these additional burdens upon such an
obviously depressed, seriously threatened marine ~ Is
there sufficient and reliable documentation to establish
that the offshore towing industry, has produced accidents and
PAGENO="0080"
76
threats to the environment which justify such costly,
protective measures?
OMSA maintains, with respect, that there is no basis in
fact to expand the requirement for merchant mariner
documents for personnel on offshore tugs, towboats and
barges.
The issuance of a merchant mariner document does not
impart specific skills, training or experience to the
recipient, particularly entry level ratings. Although
provisions of OPA-'90 will require the Coast Guard to verify
that applicants have been subject to physical examinations,
drug tests, etc., the offshore marine service industry,
including the offshore tug segment, has historically
required thorough physical evaluations of prospective marine
employees for safety and insurance reasons. Our industry
aggressively promotes safety on board our vessels. As
evidence of this, OMSA is pleased to note the results of its
latest safety survey (1990) which demonstrates our
industry's commitment to safety. Our industry survey
reported a lost time incidence ratio of 1.7, a result that
is superior to or compares quite favorably with any in the
transportation industry, including trucking.
The bill is presented, according to Congressman Jones,
as is Mr. Abercroabie's bill, presumably, to enhance vessel
safety and to protect the marine environment by raising
manning and licensing standards for personnel on "vessels
that carry oil and hazardous cargoes, which if spilled can
PAGENO="0081"
77
cause disastrous environmental damage to our shores and
natural resources "
Although our vessels are engaged in the offshore oil and
gas industry, it should be noted that they are not engaged
in the transportation of crude oil or petroleuni products.
We primarily move anchors for rigs and construction barges.
They do not pose a significant threat to the environment
They most certainly do not pose a threat which can justify,
either on documented evidence of need, or On a cost/benefit
basis, the costs attached to this or the other proposal
(H.R. 3942). The problem, in our opinion, is one of
erroneous perception. The perception includes a very
general application of proposed rules to an industry
(towing) which application makes no distinction in
operations and services performed by similarly named but
different vessels within the broad fleet of boats which will
be impacted, and even if the problems purportedly being
attacked are not present in certain sectors of the affected
industry
OMSA maintains that the provisions of H R 3942 and the
bill proposed by Congressman Jones, contrary to their
concept and good intentions, will not significantly enhance
safety aboard our industry's vessels, or reduce significant
threats to the marine environment, but, rather, they will
serve to impose an unreasonable economic burden on our
industry Clearly, Chairman Jones or Congressman
Abercrombie cannot possibly intend to knowingly impose and
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pursue such a devastating financial requirement upon our
industry, unless it can be clearly shown to be absolutely
necessary to protect the public interest. However, we feel
compelled to issue the fearful warning that it is easy - and
has become usual - for Congress and government agencies to
initiate legislation and regulations that appear to be in
the public interest. The fact is that the benefits often do
not, in the final analysis, equate to the adverse human and
economic costs, particularly with respect to impact on small
business enterprises such as those involved here.
We are hopeful that these hearings will provide
Chairman Jones, Mr. Abercrombie and the Subcommittee with
sufficient evidence and a sharp awareness that the
cumulative imposition of the costs created by these
proposals will be economically devastating and
unjustifiable, when considered together with OPA-90, the
American with Disabilities Act, proposed User Fees,
increasing insurance costs and others, not to mention the
normal still escalating costs of operations, notwithstanding
that utilization and day rates (revenues) within our
industry are declining.
We are, ladies and gentlemen of the Subcommittee, an
economically devastated, but not an unsafe industry by any
reasonable standard. We are extremely anxious about the
impact of these resolutions, frankly, but we are confident
that you will consider these legislative proposals very
thoughtfully, in context with the condition of our industry
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and the actual, relative benefit(s) to be derived, in fact.
We need time and the opportunity to heal from an overdose of
regulation, frankly. These bills, with respect, would
exacerbate an already frightening situation in which we find
ourselves today
Thank you for this opportunity to share our information
and viewpoint. We would be pleased, if requested, to
provide the Subcommittee with whatever additional assistance
or information we can
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Hearings on Legislation
to Expand the Requirement for
Merchant Mariners Documents for
Personnel on Tugs, Towboats, and Barges (H R 4394)
and to Establish Requirements for
Manning and Watches on Towing Vessels (H~R. 3942)
Statement of Joseph Farrell
President of American Waterways Operators
Before the Subcommittee on Coast Guard and Navigation
Committee on Merchant Marine and Fisheries
U. S. House of Representatives
March 17, 1992
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Chairman Tauzin, members of the Subcommittee, my name is Joe Farrell and I am
President of the American Waterways Operators (AWO). As you know, AWO is the
national trade association representing the coastal and inland barge and towing industry,
and the shipyards which build and service these vessels. Our industry provides over one
half of the on-board jobs in the U.S. merchant marine.
We are here today to renew our previously successful efforts which defeated earlier
attempts by maritime labor to add Merchant Mariners Document (MMD) requirements
for crew personnel on towboats on the inland river system as amendments to other
pieces of legislation which were moving through the process in the last Congress In
addition to successfully opposing these earlier efforts on the merits, we likewise argued
that no hearings had been held to develop the needed record on the subject We
therefore appreciate the opportunity you are providing today to address this matter m a
public forum.
To begin, I believe it is necessary to first directly confront the statements and alleged
facts that are being used by supporters of H R 4394 to establish a need for this
legislation. We are particularly concerned with the allegation that our industry allows
employees to operate vessels without any demonstration of their abilities or fitness for
duty In point of fact as you know Mr Chairman, those individuals who pilot and
operate our fleets are thoroughly trained and licensed as required by existing statute and
Coast Guard regulations At a minimum, the required qualifications for an operator of a
towing vessel are as follows:
* 21 years old
* Three years of service six months of which must be duty or training m the
wheelhouse and three months of which must be in the particular geographic
locale for which application is made
* Three months of required service must be performed within three years of
application for license;
* Pass Coast Guard exam
* Completion of an approved first aid course;
* Completion of an approved CPR course;
* Pass physical exam
* U S Citizenship
* Provide written recommendations concerning suitability for duty from recent
marine employers and at least one from master of a vessel on which applicant
has served
* Pass Coast Guard fingerprint check and
* No convictions of dangerous drug offenses within three years of application
(up to 10 years if facts or circumstances warrant) no history of usage of or
addiction to a dangerous drug unless applicant produces satisfactory evidence
of cure
Untrained and unqualified'? Obviously not and one need look no further than the
overall excellent safety record of this industry as additional evidence of that fact
Government statistics support the assertion that this is the safest mode of transportation
And as the Chairman knows we are always seeking ways to improve our remarkable
record for safety
Concerning the issuance of an MMD I will discuss the requirements later m my
testimony but it is important to note at this point that they do not require any testing or
demonstration of any minimum level of training This latter fact makes eminent sense
since personnel holding only a basic MMD do not exercise in any manner operational
control of any aspects of vessel operations i e they do not have pilotage navigation, or
wheelhouse responsibilities nor do they handle other safety related duties such as
petroleum or other liquid cargo transfers etc Thus whether or not our currently so
called undocumented crewmembers are required to have MMDs is irrelevant to any
discussion concerning qualifications of those who actually operate vessels on the waters
of the US
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82
-2-
It should also be noted in this regard that the Coast Guard casualty statistic being used
by proponents of this bill is likewise irrelevant to the issue of undocumented
crewmembers, since the 57 percent accident figure being cited involving "personnel error"
does not distinguish between errors made by licensed versus unlicensed crew. In point of
fact, Coast Guard data does show that 93 percent of all towing vessel casualties involving
"personnel error" occurred on vessels with a licensed individual in chai~ge. Thus, It cannot
fairly be represented that requiring MMDs for currently undocumented deckhands would
favorably impact vessel casualty statistics.
In addition, we also strongly disagree with the allegation that the Congress, during its
extensive deliberations on the Oil Pollution Act (OPA) somehow "overlooked" regulating
the "undocumented" portion of the marine transport workforce, further claiming that this
omission costs lives and damages the environment. To the contrary, what this Committee
and the Congress did during two years of bearings and debate was to correctly focus and
direct the enhanced regulatory requirement of OPA on those marine transport personnel
actually responsible for the safe movement and operations of their vessels. In addition,
in order to ensure that the highest level of safety-related requirements for vessel
operations was indeed provided for under the Act, this Committee and the Congress also
mandated a study in Section 4111 to determine whether existing laws and regulations
relating to crew size, training, vessel equipment, etc. are adequate to ensure safe
navigation of vessels transporting oil or hazardous substances.
Given the breadth of OPA's regulatory requirements and considering the potential for
severe adverse financial impacts this law's implementation is threatening, a consensus
might better be reached that the law extended regulations too far; "omission" is not a
word which in any form relates to the regulatory scope of OPA.
Based upon the record, we therefore submit no "oversight" occurred. Those whose
responsibilities clearly involve vessel movement and safety are already covered under the
law.
So who are these "undocumented" vessel employees that are targeted by the proposed
legislation? But for the fact that they work in the marine transport industry, they would
otherwise be called laborers; on the water, we call them deckhands. These are the entry-
level positions which are filled by technically unskilled individuals whose duties fit the
unskilled category. As a deckhand, moreover, their activities by design generally require
no previous experience in the industry and do not involve vessel safety-related decision
making responsibilities. They learn through supervision, formal company training, and by
on the job training. As they gain work experience and knowledge over time, however,
many advance to positions of greater responsibility which indeed have licensing,
certification, or documentation requirements which reflect increased decision making
capabilities. It is in fact this entry-level pool of workers that produces after years of
experience and training many of our senior wheelhouse and company personneL Starting
`at the bottom" in this and many other industries is still the norm and a proven way to
acquire experience and knowledge.
As I referenced earlier, the issuance of an MMD does not require any testing or
demonstration of any minimum level of traiing~ What it does require is that a
prospective employee present himself at a Coast Guard documentation location and
establish or provide:
* U.S. citizenship or permanent resident status;
* Three unmounted, dull finish photographs of passport type;
* I.etter of commitment of employment;
* Social Security card;
* Birth certificate;
* Submit to an FBI narcotic drug offence check; and,
* As now required under OPA, request his National Driver Register record be
transmitted to the Coast Guard for review.
Obviously, the first five requirements are bureaucratic-paperwork in nature, requiring the
applicant to expend time, money, and travel to a documentation center. Moreover, this
expanded MMD coverage' would certainly serve to further overburden an already stressed
Coast Guard mission agenda if these requirements were mandated for deckhands on the
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83
3
smaller inland fleet towboats And while the undocumented deckhand is not run
through an FBI narcotics check he or she is required by law to pass a pre employment
drug test is subject to random testing as well as post casualty and for cause testing I
will provide for the record the AWO Guide for Marine Employers which addresses the
Department of Transportation drug testing rules. Finally, the Department of
Transportation is currently developing regulations covering alcohol testing for the
industry, and AWO has been participating in this effort.
What an MMD will also require is a fee which as you know we and the umons all
opposed last month during your hearing on the fairness of the proposed vessel inspection
and licensing and documentation fees We again thank you Mr Chairman for holding
that hearing and raising the issue of the impact these fees will have on the marine
transport sector As we testified these fees would increase the cost of entering the
merchant marine and may thus serve to discourage many of the most likely applicants we
hope to recruit These potential employees are already often financially strapped
particularly in today's economy, so that seeking employment in this industry could be
unnecessarily discouraged by requiring one to pay a fee for the privilege of working
This would exacerbate the existing shortage of applicants which employers now face even
without the new user fees. And, I believe the case is even more compelling when
applied to today's discussion which would extend this unnecessary financial burden to the
lowest end of the marine transport employee spectrum -- the inland river deckhands.
The labor movement likewise testified in opposition to these proposed fees -- which they
brand as an unjust `work tax, and they also enumerated the substantial cumulative
burdens which have already hit the maritime industry as a result of OPA, Clean Air Act
Americans with Disabilities Act harbor maintenance fees vessel tonnage fees etc We
concur with their observations Where we differ however is that while we seek to
eliminate unnecessary and excessive government taxes and fees on our employees a
umon somehow finds fairness in extending an otherwise unjust MMD work tax on
entry level workers now fortunate enough not to be on the government s rapidly
expanding target list for user fee revenue collection It is one thing to charge fees for
services legitimately needed and performed by government; it is quite another to
artificially create revenue sources by legislating regulatory coverage over entry-level,
unskilled or marginally skilled positions under circumstances where no public interest is
served /
Turning to the legislation (H R 3942) introduced by Congressman Neil Abercrombie
which would radically alter the current law's long established 600 mile threshold for
watchstanding requirements and otherwise mandate increased crew size requirements
and prohibit a seaman from working alternately in deck and engine departments as in
the case of the MMD legislation we believe that no safety related foundation in fact now
exists warranting across the board crew size complement increases Moreover given the
highly visible competitiveness problems already associated with the U S merchant marine
sector mandating increased crew sizes absent a safety driven foundation is clearly ill
timed and counterproductive And as stated earlier the OPA mandated study on crew
size and qualifications will yield the analysis necessary to base any conclusion as to
whether or not crew size increases are indeed needed in any segment of the marine
transport sector
Mr Chairman marine safety has been and will continue to be of utmost importance to
the barge and towing industry What is often forgotten in this and other debates in
Congress is the fact that it is in our the industry s own self interest to maintain safe
efficient operations as we seek to reach the all too often elusive goal of making a profit
In the light of the enormous liability levels imposed not only by OPA, but also by the
well-documented personal injury liability exposure we face under the Jones Act
compensation provisions, to assume that we would somehow risk financial ruin in order
to maintain our so called undocumented deckhand status or a particular crew
complement size is patently absurd It is likewise equally without merit to propose that
all employees in this or any other industrial sector no matter their duties be completely
disconnected from operations must be caught up in the government s regulatory net in
order to ensure that public safety is protected
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Compliance with
Department Of Transportation,
Coast Guard
Drug Testing Rules
An AWO Guide For Marine Employers
TheAmerican Waterways Operators
1600 Wilson Boulevard
Suite 1000
Arlington, VA 22209
~1-9300
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TABLE OF CONTENTS
PARTI
Disdaimer& Introduction 1
PART U
Symp~ 2
PART III
Sample Company Policy Statement 5
DrugandAlcoholPohcySample#1 6
Drug andAlcobol Policy Sample #2 7
PARTlY
Sample Procedure For Collection &Documentation 11
SampleConsent Form 13
Pre~scrccnQuestionnaire 14
Sample Pre-screen Questionnaire 15
Specimen Collection Log 16
Sample Specimen Collection Log 17
Sample Custody Document 18
Specimen Collection Services 22
DiStifiedLaboratones 23
PARTY
Employee Assistance Program 25
Sample EAPTraining Program 26
Sources of Training and Education Material 31
S SampleRecordofTraining 35
Sample Employee Assistance Program 36
Counseling and Rebabilitation Services 38
PART VI
ComphanceDeadimes 39
PART VU
Terms and Definitions 40
APPFX4DIX
CopyOfUSCGRules46 CFR, Parts 4 5 And 16
CopyOfDOTRules49 cPRPart4O
CopyOfUSCGRules33 ~FR Part 95
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PARTI
DISCLAIMER
This matcrialhasbeen developed bytheAmerican Waterways Operators as aservice to
its members. It isintended tobe used onlyas ageneral compliance guide for companies
soon tobe requiredto institute aprogram for chemicaidrug and alcohol testing of corn-
mercialvesselpersonneL It should notbe reliedon for the purpose of fulfluingthe re-
quirements of the regulations. While everypossible effort hasbeen made to achieve
accuracy,AWO is not responsible for anyerrors or omissions in the attached informa.
floss, and specificallynsakes no representations as tothe accuracyof the information con-
tainedherein, or as towbether thisinformation is in conformitywith the regulations.
July1989
INTRODUCTION
~ ~ ~, 1988, finairules (46 CFR, -~, 5, and 16) were eatablishedby the Department
of Transportation, UnitedStates Coast Guard (USCG), for substance abuse requirements of
all personnel servingas crewmembers or persons otherwise engaged aboard commercial ves-
sels operating uponthe waters of the UnitedStates. The final rule on who must be tested can
be found in the Fe ulRegiste' voL 53, no. 224; Nov~ 21,1988, and became effective Dec. 21,
1988. The interim final rule on howto complywith testingrules (49 CFR, 40) can be found in
the same volume and date of the Federal R4stei~
1~ UnitedStatesgovernment is nowengaged inwhat is called a'war on drugs.' Tremendous
efforts arebeingmade to stop the flowof drugs across ourborders, stop domestic production
and refinrinent of drugs, inform the publicof the dangers of druguse, and deter the use of
dangerous drugs. Amongthe manyfronts of the `war' is the effort to remove from the nation's
transportation industryall those individualswho are known tobe substance abusers.
The Department of Transportation haswrittenmandatoryrules andguidelines tobe followed
bymanyseginents of the transportation industryincluding marine transportatioo. This manual
is toassist marine employers in understanding and implementingthose rules andguidelincs
anum communicatingnecessaryinformation concerningthose rules andguidelines to their
employees. The material contained herein is intended tobe only a brief overviewand a helpful
guide. Marine employers are advised tobecome familiar with 46 CFR, 4,5, and 16, and 49
CFR, 40 prior to establishment of their own drug testingprograms.
These Rules do not supersede 33 CFR 95 (Dec~ 14,1987) which provides the Coast Guard
withthe authorityto require drugand/or alcohol tcstingfor reasonable cause.
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PART H
SYNOPSIS
Typssofvsuslscovsrsd O1).ThendesapplytoanyUnitedStatesvesselwhlchis required
bylaworregulationtobecperatedbyanindlvldualholdingUSCGlicenses,celtificatesorMcr-
thtMarlnedocumead& VcperatedbyStatelicensedpilotsarealsolncluded.
Eump~
A. De~uboceangowgvessek
B. Offshoretugs
C. Largeflshlngvessels
D. Passengerfor-hire vessels
E. SlxpasQessthanlsgrosstosssand6orlcsspassengers)
F. Mobile off-shorerigs
0. Uninspectedtowrngvessels
H. Ocresupplyvessels
I. Qewboale
II. Iadl,ldaalswhomu.tbstested(16.105) - Anyindividual who isengaged aboard a commercial
vessel must undergo chemical testing, whether that individual is a crewmember or not~ solong
as that individual is engaged directlyin the safe operation or navigation of the vesseL The rule is
specificregardingthosewho are not required tobe t~mb
A. lndbedualseng.gedinthepreparationoffishorfishproductsonfishprocessingves-
B. Scientlficperaonnelcnoceanograpbicresearchvessels.
C. Individuals on small passcngervesselswho have no navigation or safetyrelated duties
suchaswuesies,bartenders,orcntertainers.
(NOTE Individualsinthe above dcscrlbedpositionswhohave assigned safetyrelated
emergemydulesarccoveredbytheregulalions.)
HI. Rsqulrsd Testlag
A. Pi*ssaplsgw.t(16.210) . No one maybe engaged or employed as a crewinember
aboardavesaelunlwthatindhedualpassesadrugtcsLTherearespeCificexCeptiOflL
B. PaaissUc (16.220) - Whenever a physical exam isrequired byrcgulation, e.g., license
renewal. Subject to the same ezceptlonsaspre-employsnent.
C. I..4.. (16.220) - Vc~scl crcwmembers mustbe tcstcdon arandombasis.
Employeesmustbetested at an annualrate of S0percent of totalvesselemployees.
~f~Jom* impliesthat evaycrewmember and officerwould have unequal
chance ofbeingtestedonascientificallyvalidbasis.
D. Saris.. Maria, lacldsit(SMI) (16240aad4.00-2) - All persons must be tested for
thep smsce of drugaand .1cc dicyare directlyinvolvedin anyof the following.
1 Death.
2. Injuryto the catent that professional medicaltreatment isrequired andthe crew
member can notperform routine tasks.
3. Damage topropertyin ezcessof $100,000 or actualconstructive total loss.
4. Discharge of oil of 10,000gaUoes or more into a waterway.
5. Discharge of a rçportable quantityof hazardous substance into a waterway.
Urine samplebottles shouldbe available for testingwithin 24 hours of an SM!.
2
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Results of US Itestsmustbe submlttedtotheCosat Guard. Porm2692-B (whenit
becomesavailablefromthegoverninent)mustbeusedtoreportalltestresults.Spe.
clalrulesapplylathe event of death (4.06-30).
B. Reasosable Cuss (16.250)-Rcqulrestestlnglntbeeventof reasonablebelief that an
ala uslngdrugsoralcoboL
lv, Specimen 1~rpes
A. Urines forpr mpk men~ random, probable cause, seriousmarine led-
dent andperiodlctcsting.
B. Bloodorbreathspecamenaforalcoholtestsandurinespecimensfordrugtestsfor
mehesmanne ~den~
V. Smeplscsllertle.aadcustody- Rigidroqidrementsmustbe met to ensure security, privacy,
sanitation ndaccuracyduringaamplecolectloe,handling,transportaalonandtesting.(SeePart
lV,SwePveForU*raS~tuis CaAndDcamnsestadon.)
A. Burdenforcollection,documentatiosi,privscyandspecimenlntegrityrestswiththe
B. Chain of custodymust be n~alntsincdthroughout entire process.
C. Testingmustbecosaductedbylaboratorics certifiedbyDepartmentof Health and
HumanServices (DHHS). (See Part IV, CeiftftedLabo~utodes)
VL Speclae.Aaajysls (16.350)-B hspecimcnmustbe analyzedforthe presenceof marijuana,
coca~oplatea,phcncycUdlee(PcP),Iampbetandncs.
VII. Medical svlswO80csr (16.370) -TheemploycrmustdesignateaMedicalReviewOfficer
(MRO)toperfomccrtainseviccs.TheMROmustbealicensedphysician. (49CFR 40.33).
A. The MRO shallreviewandintcrpret each positive test.
B. TheMROshallverifyallconflrmedlaboratovypositivereportsandcommunicate
thcseresultstotheemplcynrcrhisdcsignatedrepresentative.
C. TheMROshalldetcrminethatapersonasdrugfrceandnotllkelytoagsinusc
dangerous drugs prior to that person returningtowost
VIIL Records (16.260) - The employer must maintainrecords of all testing.
A. Records.of negative tests must be `naintaincdfor at least oneyear.
B. Rccordscfpositivetastsmustbemaintalnedforatleastflveyearsandmade available
to the Coast Guard uponrequest.
IL RsporllagTast Results toUSCG (4.06.60) -The employer is requiredbythe rules to report test
results tothe Coast Guardunder certain circumstances.
A. Positive test results on all individuals holdingUSCG licenses, certificates, or Mer-
ch~Madnc&cumecis.
B. All positive andnegative results of testamade due to a serious marine incident
L Release of InformatIon (16.380) - Test results are private information. An employer maynot
release test resultsexcept as specificallyset forthin the rules.
A. Results maybe released lithe individual tested signs a specific authorization for the
release of test results to anidentifled person.
3
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B. Results maybe releasedtothe tested IndividuaL
C. ResultsshallberelessedtothcCosstGuardUpoflrequest.
XI. Cousqusuces ofpos1UvsT~t,(16.2O1)~Anylndlvidua1whofailsachemicalte5tf0rdal2gerOUs
drugs (conflrmedpositlve test results),wlllbepresumedtobe a userof dangerous drugs.
A. If he is an applicant, he shailbe denied employment as a crewsnember.
B If he is a crewmember at that rims, he mustbe removed from duty related to safe
operation or navigation as soon aspracticable
C. Ifheholdsahcense,cerflflcateordocument,(maddltiontoAafldBmcntiofled
above) the results must be reportedto the Coast Guard. The Coast Guard may
proceed to suspend or revoke thatlicense, certificate or document.
D. Anyone refusingto submit to a drugtest maybe subject to those consequences as
stated mA, B, and C above.
XII. EmployssAsslatance Progiu (EAP) (16.401) -The rules require the employer to establish a
drug education and trainingprogram for all crewmembers and supervisors. The regulations do
notrequire that the employer provide for rehabilitation of crewmemberswho test positive.
A. The education program requirements of 16.401(a) provide ass minimum, the
following:
1) Display and distribution of informational materiaL
2) Display and distribution of a community service hothne telephone number for crew
member assistance.
3) Displayand distribution of employer's drug and alcoholpolicy.
B. The drug awareness trainingprogram in 16.401(b) isa requirement for both crew
members and supervisors, and it must be 60 minutes total for supervisorypersonneL
The minimum trainingrequirements areas follows
1) Effects and consequences of drug/alcohol use onpersonal health, safety, and work
environment.
2) Manifestations andbehavsoral clues mdicsting the possibility of drug and alcohol
abuse.
3) Documentationofthetrainingprovided.
4
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PART III
SAMPLE DRUG AND ALCOHOL POUCY
ThcAWOHcaItb,SafctyandTraiiàgCoinmitteerccommendsthatmemberaadoptawritten
pclicy.tatementcathcuaccldrupaadalccbolmthcwcrkplacc. Theeziatenceofaucha
policywfflnotonlyfacllitate emplo mmunications, but maybe of significantvaluein help.
ingacscompliancepostwe.
The foil wosample drugandalcobol policies are intended as aguide toAWO members
who are formulatinga substance abuse policy. It is not presentedas a recommendation on
howspccificpolicyissues shouldbe resolved, but asasuggestedagenda of itemsthatneed to
beaddreued.
5
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ll~'Sample#1
Drug and Alcohol Policy
Drugs and alcohol of anytype are strictlyprohlbited on companypreniiscs. Theyare not tobe
brought onto companyproperty, includingcompanyvehicles awayfromthe propertyand your
own personalvehicle inour parkinglot~ Reportingtowork under the influence of alcohol or
proh ddrugs ors stances, orwithdetectable amounts of suchprohlbiteddrugs or sub-
stances lathe system, isstrictlyforbidden. ifaviolstion occurs onboard a vessel, it is the
responslbihtyofthemsster toreheve the crewniember from dutysnunedistely If the violation
themssteris offwatchitis the dutyof the pilot ornate on watchtocail the
mssterimmediately.
Randomblood or urine testswillbe conducted onthe vessels or at an appropriate site to
determine whether employees are mviolation of this policy The cosnpanymayreqwre an
employee involvedin an accident or iajuredwhuleworksngto take abloodtest~ The company
may also conduct random searchesof quarters and personal propertyon our vessels at any
time for the purpose of deternnnmgcoinpliancewdh these rules
An employee who is taking a prescription drugis required to present to his/her persoflnel
manager (prior toreporting towork) a statement from either the prescribing physician or a
physician specifledbythe company, statingthat the prescription drugwiil not impair the
employee's work performance.
Anyviolation underthis section, including anyrefusal to submit toblood, breath or urine tests,
or to cooperatewith a search, can result in immediate dismissal.
6
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II~' Sample #2
Drug and Alcohol Policy
ConipanyName
Personnel Policies & Proéedures
Subject: DrugAndAlcohol Control
Effective Date:_________
General
The purpose of thispolicyis tomaintain a safe, productive, andwholeaomework environment
to allempl abypreventingaccidenta and other dan erousincidents thatmayresult from
drug/alcohol use. This policyis also intended to complywith Coast Guard and other
governmental regulations. The policypertains to all employees of the company, and to non.
entployeeswho have cause tobe on companyvessels and other properties.
Policy Statement
1. The possession, use, sale ordistribution of illegal drugs, drug paraphernalia, or in.
tcsicatingbeveragessstiictlyprohlbited in or onvehicles, vessels, offices,
warehouses, terminals, and other propertyowned, operated, or controlledbythe corn-
pany.Enttyinto or upon cosnpanypropertywhile under the influence of alcoholor
with detectable levels of illegal drugs in the system isalso prohlbite~i Violation of this
policywlll result in appropriate disciplinary action, up to and including discharge.
Non-employees foundtobe inviolation of this policywill be removed from company
propertyand maybe denied future access.
2. The companywlilsupport treatment efforts for employees with drug/alcohol
problemsuho,priortoofficialdiscovery,voluntarilyseekasslstance. Theirjobs will
notbejeopardizediftheyactivelyparticipateanddemonstrateacceptableprogressin
acompany-approvedrehabilitation program. Normal leave of absence and group
medicalbenefltsmaybeavallableduringrehabilitation.
3. Thecompanymayconductunannouncedinvestigationswhenthereisreasonable
suspiclonofdrug/alcoholuse. Theseinveatigationsmayincludeclinicallyacceptcd
plsysicalandbebavioraltests. Employee cooperationinsuchinvestigationsisre.
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Sample Alcohol and Drug Polky (Continued)
Definitions
1. Alcohol
Alcohol shall mean anybeverage, mixture or preparation containing alcohol, includ-
ingbut not limited to whiskey, beer, wine, and other spirituous liquor or malt
beverages.
2. Drugs
Drugs shall mean any substance that has mind or function-alteringeffects on a human
subject indudingbut not limited to anypsychoactive substance, narcotic, depressant,
stimulant, hallucinogen, and anyother substances controlled bylaw.
3. llkgal Drugs
Illegal drugs shall mean drugs prohibited bylaw, and otherwise legal substances ob-
tained or used illegally.
4. Drug Psrapberualla
Drug paraphernalia shall mean any item commonlyused or known to be used for ad-
ministering, packaging, or transporting illegal drugs
5. Company Property
Companypropertyshall mean anyreal property, wstercraft, motor vehicle, aircraft,
structure or other propertyowned, operated, or controlled by the company.
8
55-369 0 - 92 - 4
PAGENO="0098"
94
Sample Alcohol and Drug Policy (Continued)
Administrative Guidelines
All employees are subject to this policy. The policy should be applied uniformlyto all persons
in agroupbeing investigated.
2. When there is reasonable suspicion that an employee is using or illegallytransporting drugs or
alcohol, all personalitems such as packages, bags, lunch boxes, or other items being carried on
or removed from companyproperties are subject to inspection. Likewise all assigned property
such as lockers, living quarters, desks, etc., will rem the propertyof the company and willbe
subject to searchwhen there is reason to believe the employee is in violation of this policy.
3 All drug/alcoholsearches and other investigations willbe conducted by at least two administra
tive or supervisorylevel employees or bycontract professionais.
4. No employee or other personwilibe forcibly searched or detained and every effort will be made
to respect personal integrity and right to reasonable privacy. Refusal to cooperatewith lives-
tigations and/or testingprocedures will be considered evidence of violation of this pohcy
Employees so refusingwillbe suspended, pending administrative review.
5. Allillegal drugs or drugparaphernalia found in or on companypropertywillbe released to a
law enforcement agencyfor disposition.
6. Drug/alcoholtestingwillbe conducted as follows:
.Preemphynient. All candidates for employment with the companywill be tested for drugs and
alcoholas part of the preemployment physical examination. A positive teat resultwill eliminate
the candidate fromconsideration.
Post.aeddeat. All employees whose orders, actions or failure to act cannot be ruled out as
causative factors in the events leadingto an accident will be tested when one or more of the fol-
lowingconditionsresulti
a. Death or serious injury.
b. Substantial loss or damage to propertyor equipment.
C. Flagrantviolation of companypolicy or prudent operatingmethods.
d. Asignificant discharge of a reportable substance.
Pbyslcal Eaalaaftoa. A drug/alcohol test wlllbe included in all annual and other physical cx
aminations required as a condition of employment.
Reasusable Cause An individual employee or apecsflcwork group maybe tested for drugs and
alcoholwhen there isreason tobelieve that policyviolations may have occurred.
.Raadesa. The companywill conduct random testingof vessel employees as required bythe
Coast Guardregulaticna.
7. The detectable presence of anydrugin the systemwill constitute a `positive' test. All positive
test resultswillbe confirmed using an authorized testingmethod. Unresolved or conflicting
reaultswill be interpretedin favor of the employee.
9
PAGENO="0099"
95
Sample Alcohol and Drug Policy (Continued)
& Testing for alcoholwill be done with an Evidential Breath Testing (EBT) device.
9. An employee producinga positive teat result or refusingto cooperate in the test willbe immedi-
atelysuspended, without pay, pending investigation and administrative review. if the employee
is found not inviolation, he will be returned towork with all wages and benefits paid for the
period of suspension.
10. Employees required to use prescribed drugs or non-prescription medications which contain
drugs or alcohol, during the time they are tobe on companyproperties, will notify their super-
visor of the substance to be taken and its purpose prior to reporting for work. A physician's
statement maybe required. Vesselemployees must notifytheir crew dispatcher at the time they
receive their work assignments. The supervisor or crew dispatcher will have final authority to
permit the employee to enter or remain in the workplace.
11. Test results and other information concerning drug/alcohol investigations will be treated con-
fidentially. Such informationwill be released only to those management representatives who
have a need to know, to state or federal agencies such as the Coast Guard, andwhere required
bylaw or regulation. Information concerning drug/alcohol use by former employeeswill not be
released for employment reference requests.
12 When an employee, for the first time, voluntarilyreports he has a drug/alcohol problem and
seeks assistance, he will immediatelybe granted a leave of absence in accordance with the
employment policies or labor agreement applicable to him. The employee will not be permitted
to return to work until such time ass competent medical authority, approved by the company,
has certified the employee is free of the problem and able to safely perform.
13. To protect his position with the company, the employee voluntarily seeking assistance must
agree to all treatment, rehabilitation, and follow-up testing as described in a treatment program
agreed to bythe company. The employee must also agree to release the company from all
liabilityfor anyinjury suffered bythe employee as a result of anydrug/alcohol use by him during
or after treatment.
14. The employee willbe permitted job protection and rehabilitation only one time. Anyinvolve-
meat in a drug/alcohol or related incident following return to work will result in appropriate dis-
ciplinaryactionuptoandincludingdischarge.
15. The company's financial participation in the rehabilitation will be limited to existingleave and
medical benefits provided under the labor agreement or employment policies applicable to the
employee at that time.
10
PAGENO="0100"
96
PART P1
SAMPLE PROCEDURE
FOR SPECIMEN COLLECTION AND DOCUMENTATION
Marine employerssnd Department of Health andHuman Services (DHHS) certified
laboratories are required to develop and maintainwell documented proceduresfor the collec
fiosi, shipment andtestingof Urine samples (49 CPR, 40, Subpartb, 40.23-40.25). Laboratories
willoffer approvedprocedures aspart of these services.
Marine emplcyersmaypurchase collection services from the laboratories, or other private ser
vice organizations. (See Part N Independent Sample CoilecttonAndlnveslsgatson Services)
This discussionis intended asgwdance to employers who desire to conduct sample collection
DRUS eertllledlaborato.ierwlII niakeavallablespproved sample containers, code labels,
tamperdetection seala,cbala otcustodyforms and malllngmaterlals
CollectIon Sit.
A. Employers should designate one or more collection sites
B. Collectionsites shallhave necessarypersonnel, materials, equipment, and facilities
for collection purposes
C Sample Collectors Shall ensure collection site security
2. CollectIon sad Recording Procedures
A. One or more individuals shouldbe designated in writing as Drug Urinalysis Sample
Collectors. Sample Collectors shouldbe trained in these procedures, supervise all
sample collections, and make all sample documentation entries Sample Collectors
shouldbe of thesame gender as the employees providingsamples.
B. Collectors shouldinitiallyverifythe identityof each employee selected to provide a
sample against appropriate identification, such ass drivers licenses.
C. Collectors shouldinquire whether the employee is currentlytaking anymedication
and, if so, the identityof the medicstionshouldbe noted on the pee-screen question
naire and onthe sample collection log(sample forms attached).
D Collectors msyobserveemployees providingsamples. The employee should secure a
bdto.ample containers. Upon receiving sample containers front employees, Sample
~0llectorssbo~d ensurethst the containers are securelyclosed andsealedwith
tamperproof tape.
B. Collectors should, in the presence of the employee, assigns laboratory code number
to all aamplecontainers. The employee's name and lab code number should alsobe
recordedbythe Collectors in the sample logbook, and on the sample's Chain of Cue-
todyform. The employee shouldbe asked to initial the label of each sample con-
tainer,logbookandChsinofCustOdyfOrn1.
F lathe event a person refusesto submit to a drug test, that refusal must properlybe
recorde~
G. lathe event an employeededinesto initial the sample container, ledger or chain of
custodyform, theCollector should initial in the employees place and asterisk the
en~.
11
PAGENO="0101"
97
IL Collector should maintain sole custodyof samples from the time they are submitted
until theyare mailed. Collectors should deliverthe samples to a U.S. Postal Service
mailreceplacle onthe same daythe ssmpleawere coflected,whenever practicable. If
a delayinmallingis necessary, the samples shouldbe stored in a secured location.
The Collector shalistate the reason for anydelayin mailing in the `comments' sec-
tionof the sample ledger. Ukewisc~ custodymust be maintainedwhen uaing any alter.
native niethodof delivery.
3. Lsborato.yProcedme
The contract laboratorywillbe required to strictlyfoliow Chain of Custodyprocedures, and test.
ingprocedures providedforby49 CFR Part 4O,froce~hovs for Transportation Woi*place Testing
PAGENO="0102"
98
Alcohol and Drug Screen Consent Form
It isusefultomform employees and prospective employcea of a company's drugtestuig
programem advance of the testuigand mwntlng. Some companys even include references to
the programs in advertisementsused to recruit newemployces. The ConsentForm, a sample
of which is showahere, is evidence that an employee hasbeen informed of the program and
consents, as a condition of employment, to participate in the program.
I3~' Sample Consent Form
Alcohol and Drug Screen Conseist
This company strictlyproblbitsthe use, possession or transfer of illegal drugs, drug parapher-
aaliaor alcohol aboard companyvessels or on anyother companyproperty or while on com-
panybusiness. Ths companywill cooperate fullywith pubhcauthorities in the criminal
prosecuticnofanyoneinviolationofsaidprohibitioiL
___________ herebygive(companyname and/or a designee of its choice) myper-
mission toted me for the presence of alcohol or illegal or habit-forming drugs or narcotics at
anytimewhile lam employcdby the above company. I agree to cooperate in any such test
knowingthat the use ofalcohol or illegal drugs as mentioned above is inconsistent with my
health and safety, aswell as that ofmyfellowworkers. I Understand that if! have a detectable
levelof an Illegal drugor substance or alcohol in mysystem, I willbe inviolation of the
cosnpany'spolicyand subject to the disciplinaryaction set forthbelow. I realize that an on the
job accident or Injurymaybe cause for thistesting, and I will submit to such.
I understandthat this consentis part of mycmployment agreement, and if! refuse to be
tested, Iwlilbe terminated, and maybe responsible for the cost of mytransportatlon home.!
understand that if detectable levels ofan illegal drug or substance or alcohol is found in mysys-
tem, this wlllbe grounds for the immediate termination of my employment.
Consent to Search
I, ~ understand that (companyname), in the interest of the safety and
health ofitsemployees, desires to inspect andsearch, at random, unannounced times, all pack-
egss,boxea, clothing, or anyofmypersonalbelongings carried on or off companyproperty. I
consent tothese searches andagree to allow and cooperatewith such inspectionswhile
employedwith the above company. If I refuse, I understandthat I willbe terminated andwill
be responsible forthe cost ofmytransportation home.
- Date______________
Witness Date_____________
13
PAGENO="0103"
99
Pre-Screen Questionnaire
ationsdossotc derpositiveurinctest results alonetobe indicative of substance
abuse~ Rather, theregulations require that aMedical ReviewOfficer (MRO) interpret the test
results, The MRO must consider if alternative medical e~qsianations could account for the posi-
tire test result
Drugpositive urine maycome from individuals who are receivinglegitimate medical treat-
mont& For example: codeine positive urine existsin some who are using prescription
medicinefor cough orpain; cocaineis sometimes used as a vasoconstrictive anesthetic; am-
phetimines are used to treat a varietyofcondition&
Positive test results in these instances are not false positives -the drug is actuallypresent. The
sample Pro-Screen Quesitonnaire isdesigned to provide the medical review officer with the in-
formation needed to determine if the positive test is the result of legitimate or illicit ingestion
ofasubstance.
TheSample Pre-ScreenQuestionnaire shown here maybe adapted to conform with the re-
quirementsofaparticuiarMRO.
14
PAGENO="0104"
SUBSTANCE PRE-SCREEN QUESTIONNAIRE
What is the reason for this test? Pre-Employment -, Random
Sampling _, Periodic __~, Serious Marine Incident
Probable Cause __, Other (specify) _____________________
Employee/Applicant Name: _________________________ ________
NT. _________ Wt._~ Lbs. Sex________ Age_________
Employer:
Is the employee/applicant taking any of the following medications
or prescriptions?
YES NO YES NO
Any other drugs or medications? - Yes - No
If yes, please list: __________________________________________
This test has been requested by my employer in accordance with the
policies and procedures established by my employer. I knomingly
consent to this test and hold (name of testino facility) harmless
being assured of proper performance of this procedure.
100
- - Allergy Medication
- - Antibiotics
- - Aspirin (more than
4 a day)
- - Birth Control Pills
- - F*male Hormones
- - Blood Pressure
Medication
- - Foods Containing
Poppy Seeds (in last
24 hours)
- - Decongestants/Nasal
Sprays
- - Arthritis Medication
(Advil, Nalfon, etc.)
- - Diuretics
- - Heart Medicine
- - Sleeping Pills/Sedatives
- - Thyriod Medication
- - Tranquilizers/
Ant idepressants
- - Appetite Depressants
- - Cortisone/Steroids
Cold Medicines
If yes to any of the above, please clarify.
I
I
5;
L
I
I
I
Employee/Applicant Signature Da~e
15
PAGENO="0105"
101
Specimen Collection Log
In order tobe most effective, a drug and alcohol testing program ahouldbe error free. Con-
trolling and preventing administrative errors is the purpose of the chain ofcustodyproce-
durea.
The initial document in the chain of custodyprocedure is the specimen collectionlog The log
is required to be kept at all testingsites. The log records the date and time of specimen collec-
tion, the name andsodalaecuaitynumberoftheprovider,thespecimenbottieidentifyingnum-
her and other pertinent information. Space is included to record comments relevant to the
taking of a particular sample.
The log is signed or lnitialedbythevarious parties involved inthe collection of each sampln.
A sample Collection Logis shownhere.
16
PAGENO="0106"
102
TIME
NAME
OF
PROVIDER
PROVIDER
5.5's
CODE
NUMBER
.
*
SAMPLE
COLLECTOR
NAME
SAMPLE
OBSERVER
NAME
SAMPLE CONTAINER CODE * & TAMPER
DETECTION SEAL
CUSTODY REPORT ATTACHED?
DATE
SAMPLE
MAILED
SAMPLE SPECIMEN
COLLECTION LOB
DATE
I
I
I
PROVIDER ID
CONFIRMED
PROVIDER INITIALS
OBSERVER INITIALS
COLLECTOR INITIALS
COLLECTOR INI T IALS
COMMENTS
17
PAGENO="0107"
103
Urine Sample Custody Document
Documentation of the physical custodyof each specimen - from collection to analysis - is re-
qulredbythe rules. This paper trail~ called the Urine Sample Custodydocument serves
several purposes. The form minimizes the possibilityof administrative errors, minimizes the
likelihood of specimen tampering or switching and helps protect the integrity of the process
fronichalleuges by employees adverselyeffected bypositive test results.
A sample Urine Sample Custody Document is shown here. This particular form is provided in
triplicate for distribution to the company, the deliveryservice, and the laboratory~ Instructions
are included. Different certified laboratories may use different forms.
18
PAGENO="0108"
1.
Manager,
Complete snes4~, ttirougtvAs and hne,~on ft is consent
form Complete the ahbit on top of let Expmes Box. ALL'
eIIFORMATIONMUSTBE COMPLETE BEFORE SPECIMEN
WILL BE PROCESSED.
PLEASE PREITI
2.
Collection She:
Have the isdlddusi being sealed collect at least BOcc of
- veidedudnehtto thaplantic spedmenc~DMde the
urine aelnEle evenly behveen the Iwo acreenap bottles. ~
thsli the omsenoe of the mdhiduat belno tested. Scmw
cape on TIGHTLY to acleate me ~eaeprom sew. v,,onecmr:
Coniglete me jftson conaent tons at this time.
Place Ia&5f~ over lop of liw1.Ddd~ so that it is attached
to the top and to both sides. Have hidhidu& being tested
hiltS ~g~~at this time. Complete Leke)&and wrap ithi~
Jaroond the middle of ~
4. ~ /
Race ~fljQoxertopof aecondbottle so that it isatlached
to the top and to both aides. Here htdhridusi being tested
hiltS (~fQ at this time. Complete ~~8sLQ and wrap ~
Q amund the middle of second bottle.
104
INSTRUCTtONS FOR THE USE OF THE DRUG SCREEN TESTING KIT
PLEASE DETACH AND READ ~ INSTRUCTIONS BEFORE PROCEEDING
S
5. I1±hY~ I
Fold and form the small while boo included in yosr kit.
Secure the bottom wuh the limI hat of label E (Elf Race
both sealed screw-cap bottles in the boo, close it and seal
the top with the second half of label E 1E2) Place sealed
white boo into Fimt Espmss Boo
\1~\
6._
Have individual being tested complete secton A on consent
form (current medicatons). Have him/her read line ,4then
sign and complete U ne . The pemon supervising the
collecton must sign and complete line LSi, Any ioformstion
minted to the sample (pH, temperature, et) should go on
the SPECIMEN COMMENT tine
7.
Race ALL copies of the consent form into the FImI Express
Boo with the smaO white boo. Close the FImI Express Boo
and secure the flap with SECURITY SEAL provided. If
completed airbitf leon top of the First Express boo, call your
local Federal Express office for pichup. NOTB Please ship
as many specimens as possible In each First Express Boo.
U
MedExpmss
1211 Union Avenue, Suite 400
Memphis, Tennessee 38104-3513
1-800-331-1502 (TN)
1-800-331-6440
1-800-654-1865
19
PAGENO="0109"
Reprinted by permission
105
MedExpiess
Pface over top
of 1st Bottle
Place around ndddle
of let Bottle
Place over top
of 2nd Bottle
Place around mttcfle
of 2nd Bottle
Place El over bottom and
E2 over top of small white
box
Place over flap of First
Express box
DONOTBSEAI( sEAt. IMTIAL5OFSDMOUAL BEINOTESTED DONOT BREAX 5EAL
242932 - 242952
IDENTIFICATION NUMBER 242952
INDMDUALS NAME:_________________________ SSN#_____________
Ettf~W~oFCE~i~TiD sbi~t~At~
242952 242952 ©
IDENTIFICATION NUMBER 242952
INDMDUAIS NAME:_____________________ SSN# D
242952 * ~ 1 242952 (i~)
SECURITY SEAL
20
PAGENO="0110"
106
A
A
A
A
A
1CO~ONSRETE~PHO~ CCE~NRRESPCOOE]
THE SPECIMEN WAS RECEIVED INTACT UNLESS OTHERWISE NOTED.
~BECENEDATMECEXPRE8SBY DATE ]
SPECIMEN SEAL BROKEN BY: ____________________________ DATE:_ ~
o~ce~~c LAB COPY
Reprinted by permission
21
2429 52~
DONOT BREAK SEAL STEALS OPINDMDUALBEING TESTED DONOT BREAK SEAL
IDENTiFICATION NUMBER
INDMDUAL'S NAME:_________________________ SSN# B
DONOT BREAJ(SEAL INTIALSOF INDIViDUAL BEING TESTED DONOT BREAK SEAL
©
IDENTIFICATiON NUMBER
INDIVIDUAL'S NAME:_________________________ SSN# D
SECURITY SEAL
MANAGER'S NAME
EMPLOYER'S NAME AND ADDRESS:
FEDEX USE ONJY - COMAT ADDRESS
0 PRE EMPLOYMENT 0 EMPLOYEE 0 FOR CAUSE 0 OTHER ____________
DATE O~COLLEC'flON:______________ TIME OF COLLECTION:
COLLECTION REQUIREMENTS
60cc OF FRESHLY VOIDED URINE ARE NECESSARY FOR THE TESTING
PLEASE UST ALL MEDICATIONS CURRENTLY BEING TAKEN INCLUDING PRESCRIPTION DRUGS
ORDERED BY YOUR PHYSICIAN
I
b.~.A.
SPECIMEN COMMENTSs
I AUTHORIZE THE COLLECTION OF THIS SPECIMEN FOR THE PURPOSE OF A URINE DRUG
SCREEN. I ACKNOWLEDGE THAT EACH SPECIMEN WAS SEALED IN MY PRESENCE AND INITIALED
BY ME PRIOR TO FORWARDING TO THE LABORATORY FACILITY FOR TESTING. FURTHER, I
AUTHORIZE NEDEXPRESS TO RELEASE THE RESULTS OF THIS TEST TO
M F
Do
PAGENO="0111"
Un-board sample collection is by tar the most practical solution to random and post-casualty
testing. While many facilities offer sample collection services- doctors, laboratories, mdc-
pendent agencies, etc., only a limited number offer on-board collection. Provided here ia a list
of those who have informed the subcommittee responsible for compilation of this guide that
they offer on-board sample collection. Information on additional on-board sample collection
services as they are discovered will be kept on file. That information may be obtained by con-
tacting:
The American Waterways Operators
Southern Region Office
Whitney Building, Suite 1027
228 St. Charles Avenue
New Orleans, LA 70130
504- 524-3366
AWO does not endorse these or any particular collection services.
River Tech
2625 Bell Road Collection
Maceo, KY 42355 Consultation
502-281-5252
Wood Investigative Services
P.O. Box 417 Collection
Long Beach, MS 39560 Consultation
601.864-7487 Investigation
Drug Education Associates, Inc.
P.O. Box73267 Collection
Metairie, LA 70033-9907 Consultation
504.454-0412 Investigation
Medical Advisory Systems
Box 193
Pennsylvania Ave. Collection
Owings, MD 20736 Consultation
301-855.8070
107
Specimen Collection Services
22
PAGENO="0112"
108
Certified Laboratories
Listodbeloware the names, addresses, andphone numbers of all testing laboratories certified
bythe Department of Health andHuman Services (DHHS) as published mthe Federal
Ragster Informationon laboratories certsfledsmcc that date canbe foundsn later editions of
theFedaralRegvster Forfurther information contact
Omce otWorkplace Initiatives
National Institute on DrugAbuse
Room 1OA 53 Fishers Lane
Rockville,MD 20857
Obviously cosnphancewsth DOT drugtestsngruleswouldbemade simpler for many
employers if more laboratorseswere certified, sod maybe advisable fnt employers to contact
laboratories mtheir operating areas and dsscusstheir certification.
Maryland MedlcalLaboratorles Smith Kline Blo-Science Lab
1901 Sulpher SpringRoad a000Sovereign Row
Baltimore, MD21227 Dallas, TX 75247
301-247-9100 214-638-1301
Ammlcaa Medical laboratories, Inc. CbentWest Analytical Lab.
11001 MainSt., P.O. Box 188 600600W. North Market Blvd.
Fairfax~VA22030 Sacramento, CA 95834
703-691-9100 916-923-0840
Medinilaboratorles, Inc. Nichols Institute
402 West CountryRd. D 7323 Engineer Road
St. Paul; MN55112 SanDiego,CA92111
612.636-7466 619-278-5900
Sesib BeadMedical Foundation, Inc. International ToxlcologyLab
S30NorthLafayottc Blvd. 2201W. Campbell Park Dr.
SosdhBend, IN46601 Chicago, 11.60612
219-234.4176 312.633-3360
Csspscbam Laboratories, Inc. MedArts/South Community Heap.
33O8ChapelHilI/Nelson Hwy. 1001 Southwest44th Street
P 0 Box 12652 Oklahoma City 0K73109
ResearchParkTrianglc, NC 27709 405-636-7041
919-549-8263 or 919-248-6494
Asrlcaa BkslbstLaboratorles, Inc. CenterFor Human Toxlcolo~
33.90Seott Blvd., B1dg~ 15 417 Wakara Way Rm. 290
SantaOara, CA95954 UniversityResearch Park
408-727-5525 Salt Lake City, UT84108
801 5815117
Chom-BloCorporatloa Doctors & Physicians Lab
140E. RyanRond 801 E. Dixie Ave.
OakCreek, WI. 53154 Lcesburg, FL. 32748
904-7879006 1-800-365-3840
23
PAGENO="0113"
109
MstPath inc. MstPatk,Iac.
3S5MlttelBoulevard One MalcolmAve.
WoodDale, 1L60191 Teterboro, NJ 07808
312.595-3888 20i-393-5000
Nor stTaslcole~y, Inc. Polsoslab, Inc.
1141 East 3900 South 7272 Claireinont Mesa Rd.
Sub Lake City, UT.84124 SanDiego, CA92111
1-800-322-3361 619-279-2600
Rocks Blo.edlcal Laboratories Soathgate Medical Laboratosy
6370 WilcuaRoad 21100 Southgatc Park Blvd.
Dublin, OH 43017 Cleveland, OH 44137
614-889-1061 1-800-338-0160
24
PAGENO="0114"
110
PART V
EMPLOYEE ASSISTANCE PROGRAM (EAP)
The rules require that each employer establish an "Employee Assiatance Program" (EAP).
The employer haa the option to include an EAP in his internal personnel services or he may
contract to have those services provided The two basic components of the EAP are training
for all employees and help for those who need it The extent of help an employer will provide
mayrange from an extensive pohcy of rehabilitation to merely areferral to services where
professional help maybe obtained.
The EAP may range from basic training on drug and alcohol abuse to a comprehensive pro-
gram such as the following example. Employees should be informed of the effects of drugs
and alcohoL Employees should be provided the toll-free telephone numbers throughout the
US. where professional help maybe obtained.
25
PAGENO="0115"
111
I1~' Sample
EAP Training Program
IntroductIon (2-5 minutes)
A. The reason for the EAP training program:
Mandated by the Department of Transportation, United States Coast Guard, under
46 CFR Parts 4,5 and 16, PrograinsforChemicalD~ugandAlcohol 7'estingof Corn-
rnescial Vessel Personnel; Final Rule (Effective December 21, 1988).
B. The purpose of the EAP training program Is Instruction In:
The effects and consequences of drug and alcohol use on personal health, safety~ and
work environment. The manifestations and behavioral cues that may indicate drug
and alcohol use and abuse.
II. Effects and consequences of drug and alcohol use. 15-20 minutes
(Also see Part V,Spnpeons of Use)
Marljuaaa
Health problems, high dose or chronic use can trigger panic and anxiety episodes in some
users. Regular use interferes with learning and concentration and contributes to low motiva-
tion and psychological dependence on the drug. Loss of job and/or license. Serious injury or
fatality.
Cocaine
Longterm amphetamine use can permanently damage teeth, bones, lung, liver and kidneys,
and deplete body stores of vitamins and minerals. Heavycocaine use carries risk of over-
dose and dependence. Cocaine sniffing can damage nasal tissue and weaken the heart,
while freebase use is linkedwith chronic lung irritation. Loss of job and/or license. Serious
injury or fatality.
0~
Overdose and physical addiction. Intraveneous heroin users also face risks of AIDS and
other needle-related diseases. Unpredictable potencyof street heroin poses additional
hazards. Loss of job and/or license. Serious injury or fatality.
Phencydlldlne(PCP)
PCP is often sold on the street as an additive to (or substitute for) more scarce drugs, such as
LSD, cocaine, heroin, and mescaline, posing serious risks to users who do not realize they
are taking PCP. But whether taken accidentally or intentionally, the drug carries a range of
risks: Accidents - reduces sensitivity to pain, heightens aggression, powerfully impairajudg-
ment and coordination producing high risk of injury or deathby fall, drowning, etc. Panic At-
tacks - `Bad Trips' can involve confusion, mood swings, delusions, and'hallucinations.
Psychosis - In some users, PCP can trigger underlying emotional and behavioral problems,
producing lingering psychosis. Loss of job and/or license. Serous injury or fatality.
26
PAGENO="0116"
112
Aaplutamlaes
Loogtcnn use can pernianentlydamage teeth, bones, lungs, liver, and kidneys, and deplete
bodystores of vitamins and minerals. Coma and death can occur from cardiac arrest follow-
inghigh doses ofamphetamines. Use of high doses maytrigger full-blown psychotic
episodes. Loss of job and/or license.
Sheet termhazards arise from faultyjudgmen~ emotional instability and risk ofdesthby
overdose (alcohol alone on combinstionwsth other drugs) Longterm danges include irre
versible damage tobodytissue (brain, hver pancreas, kidneys) memoryproblems, and
nutritional defidencies. Loss ofjob and/or license. Serious injury and fstality~
HI. Thanlksfaøo.s aadbebavlo.uj clues that mayladicate drugand alcohol use andabuse.
(l5-2ilminutcs)
PRODUCTIVflV-Look for unexplained decreases in productivity. It willbecome apparent
through the inabilityto maintain qualityof work or theinabilityto do assigned duties in an ef-
ficleatmaimer.
ILLNESSES - Look for recurringlllnesses that have nosppardnt, mcdicslly sound cause. It
is not uncommon tohave anemplcyee `outwith the flu's couple of times a year. However,
ifthcillnesahas a distinct pattern such as immediatelyfollowing a vacation, days off or
weekend off~itmaywellbeasignof addiction.
ABSENCES Time off without prior notsceto the company which mayor maynot be sub-
stantiatedwith an excuse uponreturningtowork~
ACCIDENTS - Both injurycausing, and those resulting inpropertydainage. Look for signs
of carelessness not usuallyexhlbitedbythe employee.
LONG BREAKS - Itis not uncommon for drug and alcohol abusing employees to use lunch
onothcr scheduledbreaks for chemical use. In order to avoid detection, theymay extend
thatbrcaktoallowthe'hjgh'towearoffabit.
CONCENTRATiON - Inabilityto keep mind onwork, lack of coordination, drowsiness, etc.
MOODINESS - Inabilitytoget aloogwith co-workers. This mayinclude mood swings that
maychangedunsngthecourseoftheday
PIIYSICALSIGNS Lookfor dilated pupils, blood shot eyes, runnynose drastic weight
dsange~ decreasedinterest in hygiene, dishevelled clothing, etc. (Consult abuse poster, at-
27
PAGENO="0117"
113
IV. Sympto~a of Use
Incoordination, slurring of speech, blood-shot eyes, emotional instability, decreased inhibi-
Co~um
Dilated pupils, loss of appetite, compulsive behavior, excitability, belligerence, suspicion,
amfumon,insomrna.
Constriction of pupils, lowresponse to pain, nausea or vomiting, lethargy, slowbreath, and
akernatingperiods or wakefulness and sleep (`nodding out'). Judgment and coordination
are not impaired markedly at low doses. Examples are codeine, morphine, heroin. Ex-
amples of synthetics are the registered trademarks such as Demerol, Dilaudid, Percodan,
andTalwiu.
Pbeucydlldlsae (PCP):
Intoxication, poor coordination, inabilityto carry on a conversation, bizarre behavior, sweat-
ing, flushing, muscular rigidity, and occasional rhythmic rotation of the eyeballs may
occur. High dose symptoms resemble schizophrenia.
Apbetawinea:
Dilated pupils, loss of appetite, compulsive behavior, suspicion, confusion, insomnia.
Incoordination, slurring of speech, emotional instability, decreased inhibitions, stupor.
Each supervisorwill receive a copyofl)nsgr OfAbuse, bySamuel Irwin, Ph.D. This booklet is
availbie fromHazeldon Educational Materials, publication #4520, for $1.50 per copy. Call
800326-8000.
28
PAGENO="0118"
114
29
SOME MAY REFER TO THIS EMPLOYEE
AS A DRUG ABUSER
but, he does not abuse drugs,
he abuses himself with drugs
WATERING EYES
DROW$INIU
CONPUSIQN
RUNNY NOSE
- DREAMY, ULANK EXPRESSION
REDNESS OF iVu
~ RAW NOSTRILS
RAW LIPS
DRASTIC CHANGES
IN APPETITE
EVIDENCE OF DRUGS
- OR DRUG EGUIPMENT
TUMOR IN HANDS
AND LEGS
WIDE MOOD SWINGS
$UNGLA$SE$
SHIELD DILATED
PUPILS IN THE EYES
yu~ *V~ADfflM~
LEARN TO ~
PAGENO="0119"
115
Broad Spectrum
Screen Detectible Drugs
DRUG CLASS GENERIC NAME BRAND NAME
Ethyl Alcohol: Alcohol
Antidepressants: Aniitriptyline Elavil
Imipramine Trofranil
Antihistamines: Diphenhydramine Benadryl
Hydroxyzine Atarax
Promethazine Phenergan
Sedative-Hypnotics: Amobarbital Amytal
Butabarbital Butisol
Pentobarbital Nembutal
Phenobarbital Luniinal
Secobarbital Seconal
Aprobatbital Mutate
Methaqualone Quaalude
Opium Alkaloids: Morphine (Heroin) *
Codeine *
Synthetic Narcotics: Pentazocine Taiwin
Hydromorphine Dilaudid
Propoxyphene Darvon
Methadone Dolophine
Levo-Alpha-Acetylmethadol LAAM
Stimulants: Cocaine *
Amphetamine Benzedrine
Methamphetamine Dosoxyn
Phetermine Ionamin
Phenmetrazine Preludin
MajorTranquilizers
(Phenothiazines): Chiorpromazine Thorazine
Thioridazine Mellaril
Trifluoperazine Stelazine Promethazine
Phenergan Perphenazine
Trilafon Adulterants: Quinine *
Minor Tranquilizers: BensodiazePines Valium, Librium, etc,
Marijuana: Tetrahydro-cannabinol Marijuana
Sold under generic name
30
PAGENO="0120"
116
Sources of Training And Education Material
Krsmes Communications
31290th Street
Dai1yCity~ CA 94015-1898
(booklets)
a) ManagingEmployee Productivity: Understanding the Supervisors' Role in Turning
Poor Performance Around
b) Alcoholism: Job Safety and Performance
c) Alcoholism In The Family
d) Alcoholism In The Workplace
e) Cocaine and the Family
1) Cocaine in the Workplace
g) Relapse
h) Women, Alcoholand Drugs
i) KidsandDrugs
j) Is There A Problem (self-assessment)
k) Marijuana
1) Car Injuries, Belts and Booze
National Safety Council
444 North MichiganAvenue
Chicagn, IL 60611
a) film- Monday Night andTuesday Morning
b) film - The Hangover
c) film - The Decision
d) film - The Last Round
e) flim-LiveandLetLive
f) Breath Alcohol Concentration Wallet Card (promotional)
g) film - Alcohol and Other Drugs
h) booklet - Workplace DrugTestingWise Hunt or Witch Hunt
i) booklet - Partners InTrouble
j) booklet - Recovery Alcoholism And DrugAbuse
k) posters:
Drink'n Dulls YourThinkin'
Drinking and Work Don't Mix - Alcohol Impairs Judgment
Avoid Double Trouble (alcohol and drugs)
Bottom line On DrugAbuse
Don't Overdo It
The First Time Is Never The Last Time
Know When To Say When
WhcnAlcoholTakea Over: You Can't Think Straight
Drugs Don't Always Kill
Drugs Break Up Families
31
PAGENO="0121"
117
1) A StudyGuide of Published Material Pertaining To Substance Abuse and Alcohol
m) film - The SleepingTiger
n) fllm-SoLongPal
o) ~-To Last a Life Time
3) Bureau of Business Practice
24 Rope Ferry Road
Waterford, Ct 06386
a) film - Cold Turkey~ Drugs In The Workplace Ill
b) book -Alcohol and Thugs: Issues In The Wodqlacei 1984
4) Promotional Slidegulde Corp.
222Ashland Place
Brooklyn, NY 11217
(718) 858.4199
a) Pocket slideguide on drug abuse
5) The American Council for DrugEducatlon (ACDE)
5820 Hubbard Drive
Rockville, MD
(301) 984-5700
a) pamphlet. Crack Some Questions and Answers
6) Pharniaceutlcal Manufactures Association
1100 15th Street, N.W.
Washington, DC 20005
a) pamphlet- Substance Abuse: Signs and Symptoms
7) NIDA Dreg Free Work Place Helpline
1-800-843-4971
8) AmerIcan Society of PersonslAdmlnlstratlois (ASPA)
606 North Washington Street
Alexandria, VA 22314
a) book - SubstanceAbuse in the Woi*place:An Employer Perspective
9) The Bureau of National Affairs, me.
1231 25th Street, N.W.
Washington, DC 20037
a) book -Alcohol and DnsgAbuse in the Woi*place: The Complete Resowve Guide, 1988
b) book -Alcohol and Dregs in the Worlqlace: Costs, ConUuir, and Contmversies, 1986
c) book -Employee Testing: The Complete Resource Guide4988
d) book -En*ployeeAssistancePmg~wns:Beneft&c, F)vblems, and Prespects, 1987
32
PAGENO="0122"
10) ChaaalagL BeteCo., Inc.
ZiOState Road
South Deerfield, Ma 01373-0200
a) Alcohol and Health
b) About Alcohol
c) About Alcoholism
d) Women andAlcohol
e) Alcoholic inthe Family?
f) Choosing Not To Drink
g) Substance Abuse at Work
h) Multiple Substance Abuse
I) About `Crack' or `Rock' Cocaine
j) AbOut Cocaine
k) About Marijuana
1) DrugsandYou
m) About DrugAbuse
n) About Preventing DrugAbuse
o) About Employee Assistance Programs
p) Abou~ Addiction
11) FlI Ubrary
The GreaterLosAngeles Chapter
NationalSafetyCouncil
616 So. WestmorelandAve.
LosAngele~CA90005
213-385-6461
33
118
a) America Hurts. The DrugEpidemic
b) Cocaine and Human Physiology
c) Comebacker: The Bob WelchStory
d) Cradle Cheap and Dangerous
e) TheDrugKnot
1) Tarnished Dreamic Alcohol~ Drugs and Seniors
12) InternatIonal Fun Bureau Inc.
332South Mich~anAve.
Chicago, IL 60604-4382
(312)427-4545
a) The Alcohol You
PAGENO="0123"
119
13) NatIonal Iaatltute on DrugAbuse
5600 Fishers Lane
Rockville,MD
a) monograph - Urine Testing for DrugAbuse, 1986
14) FMS ProductIons I.e.
520 East Montecito Street, #F
Santa Barbara, CA 93103
a) Too Dangerous To Work W*th
b) Drugs at Work
c) Medical Aspects of Mind AheringDrugs
34
PAGENO="0124"
120
Record of Training
The regulations require variouslevels of training concerning the effects of substance abuse in
theworkplace for supervisors and other employees. In order to show compliance with the
regulations it is useful to keep records which indicate that the appropriate employees have
received the required training. A sample Record of Training is shown here:
ll~' Sample
Company
Vessel____________
I herehvcertifythat the above nam
ed employee received training inaccordance with re-
35
EmployeeAsslstance Program
Record of Training
Dangerous Drugs And Alcohol
I have received training inaccordance with requirements of the Department of
Transportation, Coast Guard, regulations, 46CFR, 4,5, and 16.
Date_________________________
Employee Name__________________
Employee .~lguaiurc
quirements of those regulations shown above.
Instructor's ~
Company_
Date
PAGENO="0125"
121
Il~' Sample
Comprehensive Employee Assistance Program
~
A To provide an outside professional service which will assist an employee in overcom
ing alcohol, drug and personal problems that may jeopardize his/her health, produc-
tivity and continued employment.
B To provide assistance to supervisors in resolving performance problems which may
involve employee alcohol, drug and personal problems in a manner that is consistent
with normal supervisoryroles
C To effectively reduce problems in the work force and retain valued employees
D To serve primarily as a problem assessment counseling and referral service to
employees
E To assist the company in its cost containment effort
Policy
A. it is the policyof (company name) to provide confidential assistance to employees
who are having personal problems, whether theybe emotional, financial family/msrs
tal, legal, alcoholism and/or drug abuse (company name) s concernwsth the
employees personal life is limited to unsatisfactoryjob performance and/or negative
reflection or discredit to the company.
B This policy pertains to all regular full time employees Voluntary use of this program
is encouraged. Confidentiality is assured
C Employees are assured that theirjob promotion opportunities and reputation will not
bejeopardizedby using the EmployeeAssistance Program All records or discus
sions of personal problems will be kept by the designated counseling resource and
will not appear in the employees personnel file
D Existingpersonnel policies are not altered bythis policy
III. Coverage
A. All employees shall have the fullbeneflts of the Employee Assistance Program.
B. Many of the mental health, alcohol, and drugtreatment services to which the troubled
employee mayneed are covered under the company's insurance benefits or national
services provided throughout the United States Fees for services such as counseling
which are not covered at ailbe the company's insurance benefits are to be the respon
sibshtyof the employee seeking such assistance
IV Procedures
A. Self Referral
Ifanyemployee recognizes the need for professional help to deal with personal
problems such as alcoholor drugs, they are to contact the EAP counselor directly
36
PAGENO="0126"
122
~ployceMsistanceCconseloruet
1. Intervlcwthe employee on a confidential basis.
2. Determine thebasic cause of the problem.
3. Develop amutuallyagrecable plan to resolve the problem.
4. Refer the employee to the most appropriate service to resolve the problem.
5. Follow-up as needed to assure problem resolution.
B. SupervisosyReferral
Whcna supervisor identifies ajob performance problemwhichis not corrected with
normal supervisoryassistance, this should be anindication that the employee is no-
able to correct the probjem. The supervisor shouldvoluntarilyuse the EAP if the
employcefeels that personal problems maybe the cause of unsatisfactoryjob perfor-
mance.
2. The supcrvisorwlll continue to monitorjob performance and if the performance prob.
1cm continues, corrective action should be taken according to company policy. At
each step of corrective action, the employee is tobc encouraged to voluntarily use
the EAP to correct anypersonal problems that may cause unsatisfactoryperfor-
mance
3. An employee's continued refusal to correct job performance problemswill be hand-
ledin the same manner as otherjob related problems, if the employee agrees to util.
ins the EAP, the supervisor should assist the employee in contacting the EM'
4. The employee willbe encouraged bythe EM' counselor to sign appropriate consent
forms sothat necessaryinformation maybe obtained fromthe service providers.
Whenthe appropriate consent forms are signed, information can be provided for the
supervisor and/or the (company) Personnel Department regarding employee atten-
dance and/or general status during the process of assistance.
V. Respoisalbillty
A. All employees are responsible for satisfactoryperformance oftheirjobs. if personal
problemsthreaten theirjob performance, they are encouraged to utilize the EM' to
resolve these problems.
B. Ailsupervisors are responsible for the identification of job performance or attendan-
ceproblems whether theyare continuous or intermittent. Whenever these problems
are not correctedwith normal supervisory assistance, the supervisor mayencourage
the employee to utilize the EM' to determine if personal problems are causing no-
satisfactory performance. if performance faiis to improve eventhough the employee
participated in the EM', corrective disciplinaryaction must be taken.
37
PAGENO="0127"
Counseling and Rehabilitation Services Ust
NatIonal Institute on DrugAbose (NIDA)
S600FiShersLanes
Rockville, MD 26857
1.800-843-4971
American Medical Socletyon Alcoholism and Other Drug Dependecles (AMSAODD)
12 West 2lstStreet
NcwYork~ NY 10010
Attention: Ms.JudyArthur
(212)266-6770
DrugEducationMsociates, Inc.
4739 UticaSt., SUite 101
Metairie, LA70006
(504)454-0412 1-800-666-3324
National Association on DrugAbuse Problems, Inc. (NADAP)
355 LexingtonAvenue
NewYork, NY 10017
(212)986-1170
National Clese'Inghonse on Alcohol Information (NCALI)
P.0. Box2345
Rockville, MD 26852
(301)468-2600oc 1-800-843-4971
National SabuyCona~
444NoethMichigsnAvenue
~cbicugo, 1160611
1-800-621-7619
boomed Professional Counselors, LocalSafetyCouncils, Local Drug Education Councils,
Certified EmployeeMssstancc Professionals, LocalMedical Societies, StateAlcoholism and
DnsgAbuse Pro~ams, Health Insurance Carriers, Alcoholics Anonymous (check meeting
notices in local paper) Narcotics Anonymous (cbeckmeetmgnotices miocal paper) National
Hothnc 1-800-COCAINE, state and local Mental HealthAssocaatsons
123
ll~' Sample
Association ofLabor-MansgementAdmlnlstrators
sad Consultants on Alcoholism, Inc. (ALMACA)
4601 N. FairfaxDrive, Suite 1001
Arlington, VAfl263
38
PAGENO="0128"
124
PART VI
COMPLIANCE DEADLINES
These rules (including the requirements for an employee assistance program) became effec-
the Dec. 21, 1988. Deadlines for testing compliance depend upon the number of vessel crew
members employed by a company. The rules also allow employers to `phase in' by not requir-
ing the same deadlines for compliance to all occasions for testing. The following table shows
compliance deadlines by number of crewmembers and testing requirements.
No. of Crew Members: Over 50 11-50 10 or less
Pre-Employment 7/21/89 12/21/89 12/21/90
Post Casualty 12/21/89 12/21/89 12/2190
Random 12/21/89 12/21/90 12/21/90
Reasonable Cause 12121/89 12/21/89 12/21/90
Random sampling shall be phased in over the first 12 months after the program is instituted.
During the first 12 months the minimum number of crew members tested must equal at least
25 percent. Thereafter, the number of crew members tested must equal at least 50 percent.
Periodic teatingwill be required after 12/21/90 for original or renewal of all USCG documents,
licenses, certificates, etc. Responsibilityfor periodic testing rests upon the individual unless
the company sets policy of assistance.
Upon written request, the Commandant (MMI) will review a company program for com-
pliance with these rules.
39
PAGENO="0129"
Chain Of Custody.
Procedures to account for the integrity of urine specimens by tracking, handling and storage
from point of collection to final disposition.
Chemical Test:
A scientifically recognized test which analyze an individuals breath blood urine or bodily
fluids or tissues for evidence of dangerous drugs or alcohol use.
Collection Site:
A place designated by the employer where individuals present themselves for the purpose of
providing a urine specimen to be analyzed for the presence of drugs.
Collection Site Person:
A person who instructs and assists individuals at the collection site and receives and makes an
initial examination of the urine specimen A collection site person shall have successfully corn
pleted training to carry out this function, or shall be a licensed medical professional or tech-
nician.
Confirmation Testi
A second analytical procedure to identify the presence of a specific drug or metabohte which
is independent of the initial test and which uses a different technique in chemical principle
from that of the initial test (at this time gas chromatography/mass spectrometry (ge/ma) is the
only authorized confirmation method for cocaine, marijuana, opiates, amphetamines and phen-
cycidine).
Crew Membern
An individual who is on board a vessel acting under the authority of a Coast Guard hcense or
document whether or not the individual isa member of the vessels crew or an individual
employed on a US vessel that is required to be operated by a licensed or documented in
dividual
DHHS
The Department of Health and Human Services
Drug Test.
A chemical test of an individuals urine for evidence of dangerous drug use
Initial Test (also knumi as Screening Test)
An immunoassayscreen to eliminate negative urine specimen from further consideration
40
125
PART VII
TERMS AND DEFINITIONS
55-369 0 - 92 - 5
PAGENO="0130"
126
Intoxlcant
Anyform of alcohol or dangerous drug.
Marine Employer:
The owner, ms.msging operator, charterer, agent, master or person in charge ofaveasel, other
than a recreational vessel.
Medical Review OlUcer:
A licensed physician responsible for receiving laboratoryresulta generated be an employer's
drugtestingprogram, who has knowledge of substance abuse disorders and has appropriate
medical training to interpret and evaluate an individual's positive test result together with his
or her medical historyand any other relevantbiomedical information.
Sample (also known as Specimen):
That amount of urine or blood tested for the presence of intoxicants.
Serious Marine Incident (SMJ):
A marine casualtyor accident which is required to be reported to the Coast Guard.
41
PAGENO="0131"
127
Part IV
Department of
Transportation
46 CFR Parts 4 5 and 16
Programs for Chemical Drug and Alcohol
Testing of CommercIal Vessel Personnel
Final Rule
Monday
November 21, 1988
Coast Guard
PAGENO="0132"
128
47084 Federal Register I Vol. 53, No. 224 / Monday, November 21, 1988 / Rules and Regulations
DEPARTMENT OF TRANSPORTATION publishing elsewhere in today's Federal obtains evidence on which to base
Register an Interim Final Rule and remedial or punitive action.
Coast Guard request for commenta entitled Thie final rule is a logical extension of
Procedures for Tronsportotion existing regulationa to ensure a drug-
46 CFR Pads 4,5 and 16 workploce Drug Testing Progroms. free working environment in the
(COD 56-0671 Theae Procedures, which will be maritime community. The regulations
codified in 49 CFR Pad 40. are based on provide for positive and aggressive
Programs for Chemical Drug and Department of Health and Human action to identify users of dangerous
Alcohol Testing of Commercial Vessel Services Guidelines for Drug Testing. drugs before they are involved in
Personnel with appropriate modifications to allow incidents which bring them to the
AGeNCY: Coast Guard, DOT. them to apply to private industry and attention of the Coaet Guard. The
atate and local governments. The new 49 regulations are intended to enaure that
AcTioN: Final Rule. CFR Pad 40 provides detailed - - users of dangerous drugs are not issued
SUMMARY: These regulations require the information for implementation of the liceoaea, cedificatea of registry, or
establishment of anti-drug programs to. drug testing requirements of this rule, merchant mariner's documents, and are
reduce the incidence of drug abuse by setting forth requirements for such not.accepted for employment on veasela
commercial vessel personnel. These things as specimen collection engaged in commercial operations. Drug
programs include pre-employment. procedures, laboratory procedures, and users and abusers will either be
periodic, random, post-accident and quality assurance. deterred from continued drug use or will
reaaonable cause testing. The post' Drafting Information be faced with sufficient probability of
accident portion of the program also The principal persons involved ~ being identified in the workplace and
invoivea testing for alcohol uae.
The Coast Guard believes these rules drafting this document are CDR jotut precluded from employment in the
will discourage drug and alcohol uoe by Koaki, Project Manager, and Chriatena induafry when such use is detected
commercial vessel personnel, reduce the Green, Project Counsel, Office of Chief through chemical testing.
CounseL Diecuoaioo of Comments
potential for marine casuattiea related to
drug and alcohol uae, and enhance the Background Generol Orerview of Mojor issues
safety of the maritime transportation The Coast Guard has explicit The Coast Guard received 248 written
induatry. statutory authority to deny Issuance of a comments in reaponae to the notice of
erreciave DAre: This rule is effective oo license, certificate of registry, or proposed rulemaking. Despite the fact
December 21, 1988. merchant mariner's document to any that some of these were received after
FOR FURThER INFORMATtON CONTACt individual who (lj has been c~~nvtcted of the close of the comment period. all
Commander john Koski, Project violating a dangerous drug law of the were considered in the formulation of
Manager. Marine Investigation Division United Slates or a state within 10 years these rules. In addition to the writteo
(G-MMII, Office of Marine Safety, of application, or (2j has ever been a responses, 80 individuals presented
Security and Environmental Protection, user of, or addicted to, a dangerous drug testimony at the four public hearings
U.S. Coast Guard Headquarters, 2100 (46 U.S.C. 75031. Similarly, the Coast held by the Coast Guard.
Second Street, SW., Washington, DC Guard has statutory authority to revoke All facets of the maritime induot"y
20593-0001. f202j 267-2215. a license, certificate of regiotry, or
5UFPLEMENTARY INFORMATION: On July merchant mariner's document of any presented their views, either as
8, 1988, the Coast Guard published a individual who is, or has been, a user of, individuslo, small operators, large
notice of proposed rulemaking, entitled or addicted to, a dangerous drug (48 corporations, unions, or associations.
"Programs for Chemical Drug and U.S.C. 7704(cjj. The Coast Guard is While there was universal suppori for a
Alcohol Testing of Commercial Vessel further mandated to revoke the license, drug-free maritime working
Personnel," in the Federal Register ~s3 certificate of registry. or merchant environment, there waa serious concern
FR 25928). mariner's document of any individual about how the Coast Guard propoaed to
On July 26, 1988, the Coast Guard who has been convicted of violating a accomplish this goal.
announced in the Federal Register (53 dangerous drug law of the United States Several sectors felt that the scope of
FR 28024) a series of ppbltc hearinge on . ore state within a 10 year period before the proposed regulations was too broad
the notice of proposed rulemaking. the beginning of the proceedings against and would result in unbearable
These hearings were held on August io, that individual (46 U.S.C. 7704(bjJ. It to implementation coats, most notably
1988 in Houston, Texas; August 12, 1958 clear that these statutes intend to among smell operators. Many felt that
in Chicago. ttlinoio; August 19, 1988 in exclude drug users and violators of drug only those people operating under the
Washington, DC: an4 August 22, i9s5 in statutes from serving on US. merchant authority of a Coaet Guard issued
Ssn Francisco, California. A total of 80 vessels, license or merchant mariner's document
individuals made statements on the As the Coast Guard stated in its should be subjected to mandatory drug
proposed rules at these hearings. Each notice of proposed rulemaking, these testing. Echoing thia opinion, many
hearing was recorded, and copies of the statutes are currently enforced by others stated that employees serving
tapes, along with any written statements examining criminal conviction recorda aboard vessels in capacities which hsd
and other materials provided, have been of license and document applicants and nothing to do with the eafe operation of
placed in the public docket. The Coast holders, by the prosecution of those the veoset should not be subject to the
Guard also received a total of 246 letters individuals operating a vessel mandatory testing requirements.
commenting on the proposed rules. All negligently or while intoxicated, and Smail operators end seasonal
of this information has been reviewed through administrative remedies such as operators were seriously concerned that
sod considered in the devetopmeot of civil penalty actions and suspension end mandatory testing would result in
the final rule. revocation proceedings. These methods shortagee in their workforces,
The Office of the Secretary of the are used, however, only after an maintaining that potential employees
Deparirnent of Transportation is incident occurs and the Coast Guard would opt to go into other, equally well-
PAGENO="0133"
129
- Federal Register I yoL. 53, No. 224 I Monday,November zi, 1988 I Rules end Reguletlons 47065
payin5 jobs which do nol require them question. SeeJockson v. Metropoifton ~ si 340. In determining the
to be subjecisd lo tssiing. In addition, a Edison, 419 U.S. 345 (1974); Moose Lodge reasonableness of a search, the Supreme
company administered testing program No. 207 V. Irvis, 407 U.S. 1~3 (1572). Court has repeatedly stressed the
would erode the trust which has Assuming that drug testing programs * importance ofthe facts particular to the
tvp caliy been aotabliahed between called for under the final rule do eearch whije acknowledging that the
management and the working members implicate the government, a second teat of reasonableness "~ ` Ia nut
ufamall operations. * issue then arises concerning whether capable of precise definition or
Commentere generally supported urine teate under theee programs are mechanical application." Bell i'
testing In conlunction with obtaining "searches" within the meaning of the Wolfish, 441 U.S. 520, at 559 (19791. In
licensee and poat.caeualty testing, but Fourth Amendment Although moat analyzing a drugteeting program, " ~
felt that euch programe ehnuld be ~ courts to address the ieaue to date have what is reasonable depends on the
adminiatered by the Coed Guard and ruled that toxicologicalteating of context within which a search takes
nut private induatry. There wee a eplit of employeea for the purpose of place;" NewJersey i' 7'L.O., ~ee US.
opinion regarding other types of testing determining fitneae for duty is a eearch 3~z, at 337
I e pre employment random and within the meaning of the Fourth In ecrutinizing whether a particular
eaaonable cause) those companies and Amendment the issue is not entirely eearch cumpurta w th the Fourth
organizations which currently have settled. See Wysnon r. James, 400 U.S. Amendment, courts have adopted a
effective anti~drug programs generally 309, 317-338(1971) (government welfare balancing teat. In general, to support a
nupported these types of testing, while caseworker's "home vieit" ae a claim that a eearch of an individual or
thsae without auth programs did not feel precondition for aeaietance payments is the individual'a property is reasonable,
that all types of teeting ahould be not a Fourth Amendment search). See the government muet demonetrate that,
required. Even among thoee which had also, Lovvorn v. City of Chottonoogo. on balance, the public'a legitimate
existing programs, there wee concern 1968 U.S. App. Lexie 6952 (6th Cir. May intereat in conducting the search
that the atrict parameters specified in 23, 1988) (Guy, ).. dissenting); Notional outweighs the individual's legitimatà
the proposed rules would force them to Treasury Employees Union r. von Roob, expectation of privacy. See e.g. United
abandon their programs in order to 608 F 2d 1057 1060 1062 (5th CIr 1987) States v Montoyo de Hernandez 473
implement the procedures which are (Miggmbotham, )., concurring). Cf Mock US 531 537 (1985)' United States r
much more costly and more difficult to v. United States, F.B.L, 814 F.2d 120,125 viiiamdnte.Morquz 462 U.S. 579, 588
admininter but in their view not n 2 (2nd Cir 1987) (1983) Delowan vs Praczse 440 US
necessarily more effective. Among - Also assuming, orguenda, that urine 648, 853 (1979). Thus, the courts must
individual commenters and labor teats of merchant vessel personnel fi~,r * * consider the scope of the
unions, the opinion was almoat prohibited eubatancea are searches particular intrustion, the manner in
un venal that mandatory tenting would within the meaning of the Fourth which it in conducted the lustificetion
be a violation of constitutional rights, Amendment, it in clear that while for bunting it, and the place in which it
with guilt being assumed until the searches ordinarily must be conducted in conducted." Bell v, Wolfish, 441 U.S.
individual could establish innocence, pursuant to a warrant issued on 520 at 559
Constitutionol Issues ~Ti~nseri Viewed in thio light. itis beyond
Numerous commenters queationn the Almeida.Sanchez v. United States. 413 dispute tharthe public has an overriding
constitutionality of mandatory drug U.S. 266, 277 (1973) (Powell, j., interest in aanunng that merchant vessel
tenting of maritime employees. Many concurring). Where, fur example, ,,~ * * personnel performing duiien which,
commentera requested that the Coast the burden of obtaining e warrant ia directly sffect the safety of a vessel a
Gus d nut proceed with this regulatory 1 kely to frustrate the go ernment na igation or operstiuns do an fre of
package until these issues have been purpose behind the search " the pruhibited substances. The drug
resolved by the Supreme Court. Supreme Court baa routinely held that ~ prciblem in society in general and
S p n Althoughth t t fth we r niianocrequiredbytheFourth d fdrug nihem t
case I win still evolving in rapid Amendment (citing Comero r industry in particular are d or saed
fashion and the Supreme Court has not Municipal Court 387 US 5 3 533 elsewhere in the preamble of this final
resol ad many of the relevant nd (1967)) See eg Griffin v Wiscans n rule The impairing effects of dregs and
comple issues the Coast Gus ills 107S Ci 3164 3167 (1987) (plurality the substantial risks to public safety
confident that testing of employees opinion) New Jersey v TI. 0 469 US posed by merchant vessel personnel
under this rule will withstand )udirtal 325. 340(1985). The Supreme Court has who use drugs underlies the compelling
err I ny on constitutional gm nds likewise found th t the probable caeae governmental interest n prom tating
Of particular concern to the standard is inappropriate where it this rule.
rommentera is the relevance of the would defeat the purpose that the In contrast, the drug testing
Fourth Amendment to drug teattng The search is designed to achie e See eg requt ementa of the final rule in ot
principles of the Fourth Amendment to New Jersey r. T.L.0., 469 U.S. 325 at Minimal invasion of privacy. Aa the
the 9.S. Constitution are paramount in 340-342 (1976) (White " ` `some Supreme Court has indicated, where
acruitinizing the fundamental legality of quantum of individualized suspicion in searches are undertaken in situations
many drug testing programs As a us fly p req s te to roost tuti n 1 whe a I di d at d s p ctu is
threshold matter, the Fourth search or seizure (,) ` ` the Fourth lacking, other safeguards must be retied
Amendment applies to "searches" Amendment imposes nu irreducible upon to enaure thet the discretion of the
rood ciedormandatedhythe req ement fs rho spcon Un ted p rtyc d t gth hi p p ty
goverument and protects mdi duals State r Mart nez F erte 426 U 5 543 d f d nd th p 1 th 440
gat'iat unreasonable aea chee and 560-561) 1 m t d S p1w `~ ,j~ k ~
seizures Action of a private party does Rather (t)he f ndam t 1 mma d ~ sue (ies7t Th dreg I t 5
otconstituteStateu Federatactioo fth F thAm dm ti tti t t m t f ii ft tnt pt
ntsathre iotsscl nexs he nd reb eetJS325 ~ ~ mptsYdt*~ti
between the State end the action in * ` " NewJe~fl3' V. T.L.0.. 4 -
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181
PAGENO="0136"
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47068 Federal Reglster'L Vol. 53, No. 224 1 Monday. November 21, 1988 I-Rules end Regulations
induatry show declining drug use,
evidenced bye decrease in the number
of Individuals who test positive for
drugs over the course of the drug testing
program.
The Coast Guard agrees with the
commentera who propose a 50 percent
random sampling rate end, therefore,
baa revlaed the random sampling
provision of the rule consistent with tha
majority of the commenta received In
reaponae to the NPRM. The 50 percent
aampling rate will provide a sufficient
deterrent to drug use without imposing
an undue economic or administrative
burden on employers and employees
subject to the requirements of the
regulation. The frequency of testing and
the development of a random selection
method for testing has bean left to the
employer. The requirement remains,
however, that the method choaen
enaurea that all employeea have a
substantially equal chance of being
aelecled for leating and that no
employee aball know in advance when
such testing will occur. A properly
designed unit testing program could
meet these requiremenla.
For aoree employers, particularly
thoae with a large number of employees
subject to drug tcating, it may be a
substantial burden to move from no drug
teating to aSO percent random testing
rote. If required to have tested 50
percent of all covered employees by the
end of the first year, employers might
have to teat at rateu far above 50 percent
toward the end of the year to make up
for lower rates at the beginning.
Employers should be permitted to start
out at a lower tcsting rate and work up
to 50 percent as experience is gained
and the testing procedure becomeu
adminiatralively routine. We do not
want to create a situation which might'
lead to miatskee by requiring initial
testing at tee highs rate.
The final rule, therefore, providea an
implementation procedfsre that would
allow employers to phase in random
drug teuting during the first 12 months In
which tests are conducted. Employers
would not be required to reach an
annualized rate of 50'percent until the
lest test collection. The tests would have
to be spaced reasonably through the
year to permit the employer to pbeue
into theSe percent rate, and the total
number of tests conducted would have
In equal at least 25 percent of the
covered population.
Suppoee. for example, that an
empteyer baa 1000 aensilive safely. and
security-related employees. Ate 50
percent annual rote, 500 tests would
have to be conducted during a year.
Under the phase-in. however, the
employer could conduct only a few drug
tests at the beginning of the prngrasjs
and then gradually Increase the number
of teats until, by the end of the first year.
the annualized rate of 50 percent wee
achieved. Thee, If the employer's drug
teeting plan.,contemplated administering
random teats on 12 occasions during the
year, the employer would need to
administer at least 42 tests (500 divided
by 12) en the lest occasion, but could
administer fewer teats until then.
Overall, the ersployer would have to
conduct at least 250 random teats the
first year. In subsequent years, the 50
percent rate would be maintained.
Post-Casualty Testing
Numeroui cnmmentere felt that post-
casualty testing was a law-enforcement
function and was appropriately the
responsibility of the Coast Guard.
Employers generally objected to the
proposal that post-casualty testing be
conducted by crewmembers when
medical personnel were not available.
Respense: The Coast Guard
appreciates this opinion. However, in
many instances the Coast Guard would
be unaware that a serious marine
incident bed occurred until receipt from
a veseel mester or owner of Form CG-
2ee2, Report of Vessel Casualty. Since
time is of the essence in post-casualty
testing, the responsibility for ensuring
that it Is accomplished whenever
prscticsble has been left with the
employer.
DHHS Guidelines
Many companies expressed concero
over the required use of DItHS
Guidelines, especially with respect to
random testing programs which they
presently have in effect. They stated
that such requirements would force
them to drastically alter testing
programs which have proven effective.
Response: In the notice of proposed
rulemaking for this role, the Coast
Guard proposed that all drug testing
tske place in accordance with the
Mandatory Guidelines fur Federal Drug
Testing Programs of the Department of
Health sod Human Services (53 FR
11870: April 11, 1988). These guidelines
describe the collection and testing
procedures applicable to all thug testing
In the Federal govemmest, end they
include safeguards for accuracy end
privacy of testing.
The Department of Transportation has
determined that certain modifications of
the DIll-IS Guidelines are appropriate in
the context of this and other DOT
operating administration drug-free
regulations. The result is the DOT
"Procedures for Transportation
Workplace Drug Testing Programs."
which will be codified at 48 CFR Part 40.
These DOT Procedures are Intended to
preserve, to the greatest extent
practicable, the Important safeguards
provided by the Ill-IS Guidelines.
Some of the modifications to the
DHHS Guidelines are editorial in nature
(for example, references to
responsibilities of "agencies" are
lihanged to reference "employers").
Other modifications are intended to take
into account differeasces in the situations
of Federal sg~ncies and DOT regulated
industries. For example, in testing at
remote sites, DOT regulated industries
may f'md It isecessary to conduct some
kin4s of testing In medical facilities,
through use of mobile units, or in
ordinary toilet facilities, rather than the
more permanent collection sites
contemplated by the DHHS Guidelines.
It may not be practicable for the
regulated parties to maintain en-site
permanent log books. Consequently, the
DOT Procedures permit alternative
collection and recerdkeeptng procedures
in these circumstances.
During the comment period en thts
drug-free workplace role and these
proposed by ether operating
administrations, comments were
received.cenceming the DHHS
Guidelines. These comments will be
incorporated in the docket for the Office
of the Secretsry (OST) interim final rule
creating 49 CFR Part 40. The OST will
respond to these comments, as well as
comments received during the comment
peried for Part 40, toils notice following
the cod of that comment period.
Applicability
Many comments were received that
stated the scope of applicability of the
proposed rule was tee bread, They feel
many positions In the marine
transportation industry are net directly
related to vessel navigation or safety,
this being especially true in amuller
vessel eperstiens such as excursion
beets, and en fish processing vessels.
Requiring testing of caterers, bartenders,
and musicians on small passenger
vsssele, or people involved In faclery-
type functions aboard fish processing
veosels would prove excessively cestly
to the operators and such testing would
net enhance the safety of navigation or
vessel operation.
Response: The Ceast Guard agrees
with this view. The regulations to the
final rule have been changed to
eliminate pre-empleymsnt, for cause,
end random testing requirements for
employees whose duties do not directly
affect a vessel's safe navigation or
operation. In addition to the persons
discussed above, the Cesst Guard has
determined that scientific personnel on
PAGENO="0137"
133
Federal RegIster J Y0L 53, No, 2A/Mondav~ NoveMber 21 19f8/R ! 47069
oceanographic reaearch veanele can he dietri'oution, Importetion. end . tenting coata). Theae have been
exempted. interdiction of druga in the United lncreaaed In the development of the
E / Statea. Moreover, a significant number final regulatory impact analysis.
p yes ss s once rogroms of public opinion potts indicate that the However, becauae of changea included
Employee eaaiatance programs American public it deeply concerned in the final rule (e.g., elimination of
received wide euppurt with the about the effect of drug use by rehebtlitation requirementa and
exception of requiring rehabilitation at individualo in critical safety reducing the random tenting rate to 50
part of the program. There wan strong nccuputionn. including the maritime percent), the eatimeted overall coat of
opponition from employers to any industry. Development of thin rule it - implementing these regulattona han
mandated rehabilitation program, motivated by the current political dropped.from $t2.30 million to a
Employers feel it in ennential for them to climate only to the extent that thene maximum of $9.22 million during the
retain the right to terminate a pernon'a ettitudee coincide with the Coent ` f' I t'
employment, if they denire, should that Gusrd'n ntntutory dutien and euthority. ir year mpe 1 f 720
pernon teat ponitive for drugn. Union The Connt Guard in Implementing thene constant y recurrn$ 0 a
commenta generelly favor tome comprehennive enti-drug reguletiona mi on te e year.
requirement for rehabilitation of tenting becaune they are connintent with our Exemption of Seosonol or Temporory
in mandated. ntetutory authority and responsibility to Employees
Response: The Cuent Guard egreen promulgate minimum etenderdn to
that rehebilitetion of en employee in not ennure end promote maritime nafet~i. Numeroun requenta were received
directly related to the nafety of the , , from amell pensenger venael operators
vesnet. The Coent Guard'n concern in Medico/Renew Officers end othere to exclude neasonel or
solely that pernonn who are impaired, or Numeroua comments were received temporary employeea. They exprenned
are likely to be impaired, are not which indicated opposition to the sincere concerns that requiring
carrying out nefety.releted dutlen. requirement that employern hire a pronpective employeen to undergo pre-
Employee rehabilitation should bee Medical Review Officer (MRO) to employment drug tenting end to then be
decision of the employer or agreed upon evaluate the renultn determined to be nubjected to a random tenting program
between labor end management during ponitive bye tenting laboratory, would renult in many individuals,
the collective bargaining procenn. The Employere felt that the leboratorlen notably high school or college ntudents,
requirement for mandatory would bent be able to esceitein the necking employment elnewhere. Thin, in
reinntetement of en employee who validity of ponitive tent renultn end the turn would greatly increase the
successfully completen rehabilitation requirement for an MRC) reprenented en difficulty of obtaining sufficient help to
hen been deleted from the final rule. unneceneery expenne. , rune neasonel operation.
However, a pereon may not return to a Response: After consideration of the
nefety.reteted position efter tenting comments on the innue of the MROs, the Response: An stated previously in thin
positive for drugs without the MRO'n Coeat Guard hen determined that the preamble. the Coast Guard has modified
reconunendation. The person must agree requirements to utilize en MRO are the scope of these regulations to exclude
to unannounced teeting fore period of appropriate. The Coent Guard believes persons who are not involved as
80 months. In addition, the provisions of that the review end evaluation functions "crewmembers" aboard a vessel. Smelt
48 CFR Part 5 concerning suspension or of an MRO, en set forth in 49 CFR Peri passenger vessel operators will not be
revocation of e license, certificate of 40, provide crittcel end necesasry required to teat employeea serving en
registry, or merchant mariners eafeguarda for en employee who is waiters, waitresses, cooks, bartenders,
document, end their restoration, apply. subject to drug tenting under the enterietners, etc, provided their duties
C m ts th t th Pr o dR / ~ comprehensive entl~drug program. The do not directly effect the safety of the
Po/it/co/ly-Mofivoted p ~ Coest Guard t8 a that the MRO will vessel's navigation oroperetiona.
Over 80 commenters addressed the. ~mployees end employera who are fish pron~essing5'vessels are exempted.
"short" comment period allowed for eubject to the provisions of the final These changes ehould alleviate the
evaluating the propoaed regulations. rule. problems associated with temporary
Extentions of the comment period for 30 Neither thin rule nor 49 CFR Pert 40 employees. The Coast Guard
to 150 deyn were requested. Meny requires that etch employer have its appreciates the concerns expressed by
commentesy sus5eeted that the prop?aed own individual MRO. The Coast Guard panes employing high school or college
rules he reissued as en ANPRM, while anticipates that smell entities will ege workers on a seasonal bests.
others requested that en SNPRM be become associated with large However, many of these persons are
issued before publication of a final rule. companies, or will participate in a solely or primarily responsible for the
The general perception of many in the consortium of smell companien, in order f 5~~O of the vest I en
induatry wet that the Coast Guard wet to comply with the MRO requirements, a e oper ht 1 h t d ce
rushing to final rule in this inttence end that the services of en MRO will not - exemp e, e yec c 1.80 8 mp
the up.coming electiont in result in unreasonable costs to small o~ttrtt~ng0~or
Response: Becsuee this tesue was ` , fewer passengers. Safety concerns are
reined so frequently by the commenters, Costs of Implementotion not leenened because these persona are
the Coast Guard chose to address these Many comnsentera sIded that the employed on a seasonal or temporary
comments although they do not eddress Coast Guard hes serIously bests, In fact, there Inconsiderable
the substance of the rule. The war underestimated the cost of Implementing opinisa, and tome evidence, that the
against drugs Is one of this these regulations. Incidence of drug use is higher emong
Adminlanretion's top priorities. Also, Response: The Coast Guard egrees the high school and college age group.
Congress has enacted, end is then the certain cost estimates in the The final rule does not exempt seasonal
considering, a substantial amount of NPRM were lower then can be expected or lemporery "crewmembers" from the
legislation eddreeaing the use, (e.g.. initial screen end confirmatory nesting requirements.
PAGENO="0138"
134
47070 Federal Register I VoL 53, No. 224 I. Monday, November 21, 1988 / Rulea and Regulationa
Alternate Testing Technologies nonvessel personnel whenever Tha secend situation that has
Testing of Hair A number of practicable. Hnwever, ifs v'eaael is ma generatad interest in this contaxt
comments addressed the issue of using location where such personnel are not concerns foreign entities that are
teoting technologies different from those available to conduct such teats, breath contractors to U.S. companies. The
proposed by the Coast Guard. Three testing would be required to be done by Coast Guard position Is that a marine
comments suggested that Radio vessel personnel. Blood testing can only employer who uses contract personnel
Immunneesy of Hair be permitted as an be conducted by qualified medical to perform the duties of a crewmember
alternative to urinalysia. personneL The alternative, to forego has "engaged" those personnel.
Response: Because the suggestion of readily available evidence concerning Therefore, the final rule subjects
drug testing using analysis of hair whether alcohol was involved in a employees of Ibe contrsctsr to the same
specimens raises an lease within the casualty, would not be in compliance drug.taeting requirements as direct
expertise of DHHS, the Coast Guard with the intent of 48 U.S.C. 8101. employees of the marine employer. This
does not intend to include testing of hair Conflict with Foreign, State orLocol requirement is necessary to ensure that
at this time. tf DHHS f'mds this drag Lows, or with ExlstingAgreements US, companies do not circumvent the
testing method satisfactory in the future, Numerous comments indicated that rule by contracting out for services.
___ Some foreign entities and their
end if the DOT procedures in ~ ~"- drag testing of individuals was contrary goVernments, however, have suggested
Part 40 are revised to include this testing to existing foreign or state laws that this gives the rule extraterrttorial
method, or any other proven testing prohibiting such testing. Other effect, since a foreign contractor, like a
technology, the Coast Guard will adopt comments stated that the current U.S. contractor, would have to comply
them in their rules also. programs are the result of collective with our rule.
Breath l'esting Devices: Many bargaining agreements witb affected However, our nile does not require
cnmmentere objected to the requirement unions and that the requirements of the any foreign contractor to conduct dreg
in the proposed rotes that all inspected proposed rules wilt send them back to testing of its employees. The rote
veseets certificated for unrestricted the bargaining table.
ocean routes, and eti inspected vessels Response: The Coast Guard imposes requirements only on the
certificated for restricted oversees recognizes that some state or local laws operator, I.e., marine employer. It is the
routes, have on board at all times en and eomeforeign laws may prohibit or responsibility of the marine employer to
evidential breath testing device (EBT) limit the instingrequired under the final ensure that crewmembers are drug.free.
approved by the NettonslHighway rule. Because of the predominant rote as enforced by the drog.teeting program
Transportation Safety Administration, assigned the Coast Guard concerning we are today establishing. In that
They objected primarily to the high the safe operetion of U.S. vessels in respect, the drug-testing requirements
initial costs of obinining this equipment commercial service, itis the Coast are not fandamentatly different from
and having to train crewmembere to Guard view that these roles preempt other testing and training requirementa.
properly calibrate and operete these state laws. The complexity and variable While it is true that foreign contrsctara
devices and to perform post-casualty circumstances encountered in the will have to ensure that their employees
breath testing on feliow crewmembers. interaction of US. and foreign law who service US. companies meet our
Response: After reviewing the concerning U.S. flag vessels operating requirements. the same is also true fnr
comments on this issue, the Coast Guard within the jurisdiction of a foreign US. contractors.
has revised the proposed rule to allow country requires each auth situation to Nevertheless, we appreciate the
carriage of any breath testing device be separately analyzed. seriousness of the concems expressed
capable of accurately detecting the We are aware of concerns expressed on this point. Therefore, the finalrole
presence of alcohol ins crewmember's by foreign entities and foreign provides that U.S. companies can
system. Some of these devices have governments concerning the potential of continue to use foreign contractor
been shown to be very accurate, easy to our rule to have effect outside United employees, whether or not they have
use, end Inexpensive. States territory. There are several kinds Instituted drug-testing programs. through
Because of the wide variety of hreath of sItuations in which this concgrn December 31, 1989. This short delay in
testing devices available under the appears to arise, the application of our rule to foreign
revised nile. the Coast Guard wIll The first such situation involves a contractors will provide an opportunity
require only that such dqvices he used in foreign citizen employed by a U.S. for additional discussion between
sccordsnce with procedures specified company. To begin with, we helinve It is governments.
by the msnufscturer. This change will fundamental that a foreign citizen The third situation involves a foreign
provide employers with sufficient employed inthe United States by en citizen, employed bye foreign company.
flexibility to choose any accurate breath American company is fully subject to one US. vessel opereting In waters
testIng device competibte with their US. law, including the requirements for subject to the jurisdiction of the United
operetional circumstances. The use of drug insting. With respect to employees States-Under agreement between the
alcohol is not automatically of en American company located ins United States and Canada. Canadian
disqualifying. The weight to he given foreIgn country, ti is not our intention to pilots are required on American vessels
test results in determining whether the require an employer to violate locatlaw. under certain circumstances in both
standards of 33 (YR Part 95 hen heen The requirement to ensure that American and Canadian waters. These
violated is up to the Administrative Law employees located In a foreign country pilots, moreover, may, at least in some
judge who can consider the type of crc subject to drug testing will not instances, be employees of the
device and the ccodltions underwhich become effective until january 1,1990. Canadian government. Representatives
the test wee administered. This additional compliance period Is of tbe Canadian government have
The Coast Guard appreciates the Intended to minimize disruption for expressed the view that requiring testing
concerns raised about testing fellow employers and employees while the U.S. of these pilots, even If they are in the
crewmembers, and allows blood or government meets with foreign United States at the time of the lest,
breath samples to be collected by governments to discuss implementatton might violate the Canadian Human
medical personnel or other qualified of the requirements of the role. Rights Act. While there is as yet no
PAGENO="0139"
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Federal Register/VoL 53, No. 224 / Monday, Noven~bcr 21, 198BLRU1a.!!!!4~!!!~!!!b009 47071
~ ~ ~ ~ . . ~- -~ ~ ~ ~ -: ~T- - ~ ! ~
definitive underatanding about the governmente to be aucceesfulty reeponeible for the enttre veacel. be
extent end effect of Cenedtenlew on completed. - teatS after each aertoun marine tnctdent
random drug teettng by Cenedlene * It is the egencyc tntenttoo to tame a In whtch the venal may be involved. It
operattog In the United Stntea. further notIce no later than December 1 1909 Ia alao not the Intent of theae ragulattnna
conaultatton with the Canadian that would make any neceatary :to neceaaarlly teat peraonnet after each
government aaema advlaabta Under the amendmanta to the rule aa a reault of materIal faIlure whIch may lead to a
circumatencaa weliava determIned to dtacuaatona wIth foreIgn governmenta aertoua marIne Incident (a g the
poatpone ImplementatIon oftha final Shortly after their iaauanca, any auch helmaman who happena to be on duty at
rule except for poatcaaualty teating noticea will be publiahed In the Federal the time ofa ateertng gear failure)
lnaofar aa It would affect foreign pttota R~lit&. While we recoenize that thia Section 4.03-5 deflnea a medical
and foreign veaaela untlijanuary 1 may create aome anomaloua conditlona facility
1990. THe will allow for conaultatlon In competitive artuatlona. It Ia the &ction 449-6 definea qualified
betw t b Intention of the U.S. government tn medical personnel.
S lementatlonofth: re ulrements of make every effort to reaolve potential Section 4.03-7 definea a chemical teat.
thAule. q conflicts with foreign governments baa Although tl~eae final rulea recognize only
manner that accornrnodatea their certain chemical teata of urine, blood
There are alao lasues about random concerna while enauring the neceaaary and breath to determine evidence of
~tso~einploylflOfU.S. te level of aafety by thoae we regulate. dangeroua drug àr alcohol uae, the
Ut during the year The company Is Sect1on by-SectionAnolysis definition Is written In broad enough
required to conduct the teats In Thia final rule refiecta aubstantlel the es ftc ta which ma be added
Internatlonsi waters, where feasible or changes to those regulations act forth ~ o r ~ 1 y
on board the ahip within the territorial the notice of proposed rulemaking. n;u se~u~r ru 05-I baa be n
waters of a foreign country where such These changea have been made as ~ revlsed~~e ulre there orti of a
testing does not violate the laws of the reauit of the comments received, Issues q ~ ng
ma ecasuatyto e ast a
foreign country. Where foreign law raised during the pub ic earlnga an h `lt hich ui
prohibits the testing of an employee further review within the Coast Guard ~m~aa~e~al treatment ~eyond
regardless of his location, Amendments to Port 4 first aid and, in cases involving
Implementation of the finai rule, Insofar Th fin i mi d th i i crewmembers, renders an individual
as it would effect seth Individuals, is 5 a e a en 5 a a a ng unfit to erform routine vestal duties.
postponed untIl January 1,1990, to allow marine casualty and investigation . This varies from the previous
consultations between governments. ~ requirement which required reporting of
We have determined not to make the comma al ye ala are I v lv din Injuries which Incapacitated a pereon
rule sppheable in any situation where serious marine incidents To accomplish for a period in excess of 72 hours. This
compliance would violate the domestic this, It has also been necessary to define eliminates the need to repori auch cases
laws or policies of another country. In additional terms utilized in these new as sprained ankles whereby an
addition, because of the potential iations individual could be incapacitiated for
confusion that may exist Involving Section 4.03-2 defines a serious over three days and stilt not require
application of this rule in situations marine Incident. Serious marina professional medical attention.
where compliance could viulsie foreign incidents differ from marina casualties A new Subpsri 4.06 is added to
laws or policies, we have determined and accidents. Some occurrences address mandatory chemical taating
not to make the rule applicable until considered reportable marine casualties following serious marine inc dents
January 1 1990. in any situation where ~ would not be considered serioua manna involving vessels In commercial sarvice
foreign government contsnds that incidents fag suffering vessel damages These regulations extend those
compliance with our rule raises of $ao 000) oth oc urran cons i din 33 CFR Part 95 wh h
questions of compatibility with its considered serious marine inc dents require datarminat ons as to whether
domestic laws or policies During the would not be considered reportable alcohol or drugs are involved In marine
next year the Department of marina casualties fag d scharging a casualties and allow for the chem cal
Transportation and other Ut reportable quantity of a hazardous testing of Individuals invol ad in marine
government officials will be working substance into tha navigable waters of casualties or suspected of being
closely with representatives of foreign the United States) intoxicated The regulations in this part
governments with the goal of reaching Section 4.03-4 defines an individual require chemical testing of individuals
permanent resolution to any conflict directly involved ins serious marina directly involved loser ous mar ne
between our nile and foreign laws and incident This rule requires that these incidents
policies. The U.S. and Canadian individuals be chemically tasted for drug Section 4.06-1 outlInes the
Governments have already established or alcohol use. For an Individual lobe responsibilities of the marina employer
s blisterel worklnggroup in an attempt directly involved in a serious marine following the occurrence of a serious
to achieve this obl ctive We believe inc dent, that individuals order action marine Incident A marina employer Is
thst considerable progress has alresdy or failure to act must have been a first requlred to make a timely good
been made and further meetings will be sigorficant causstree factor in the events faith determination as to whether a
held in the near future While we believe leading to or causing a serious marine marinecasualty discharge of oil or
that this can bee model for addressing incident This would be indicative of discharge of a hazardous substance Is
the concerns of other countries, IsIs not human ermr Chemical testing would be orls 1 kely to become a serious ma roe
intended to be the exclusive means The required to determine whether or not incident If the employer determines that
Commandant may delay the effective such an error could be s result of drug or the criteria for a serious marina incident
date further under this section. If such alcohol unpalrment It Is not intended by has bean. or likely will be met the
delay is necessary to permit these regulations that the master of a marine employer shall then datsrmlne
consultation with any foreign vessel, who, by virtue of position. Is who, if anyons. abroad the vessel was
PAGENO="0140"
136
47O72Pederal Register.! Vol. 53 No. 224 / Monday, November 21, 1988 / Rules end Reguletions
directly involved in the Incident. The considered to he e violetioo of collections: blood specimens ere only
zosrins employer shell lheo teke sit reguletion end will subject iddividuele permitted to be teken by qualified
practicable steps to essure that all holdings license, certificate of registry, medical personnel.
persona directly tnvotved In the serious or merchant marine's document to Paragraph (a) of thia section apecifiea
marine IncIdent are chemically teeted suspension and revocation proceedings that a vessel certificated for unrestricted
for evidence of dangerous drug or under4e CFR Part 5. Individuals, oceaa mutes and a veaael certificated
alcohol use. Ataw enforcement officer whether or lot they hold a license, for restricted overseas routee carry on
may determine that indtviduala other certificate of registry. or merchant hoard a breath testing device capable of
than those designated hy the marine mertner'a document, who refuse to determining the presence of alcohol in a
employer ahould also be designated as submit to testing when directed to do 50 person's system. The selection of this
being directly involved in the serious by their employer or a law enforcement deviceistefi to the discretion of the
marine incident. In auth cases, the officer will be sublect to removal from marine employer. However, the device
marine employer must take all eny duties whtch dtrectty affect the - must be used in accordance with the
practicable steps to test those safety of vessel's navigation or procedures,ppecified by its
individuals also. operations. There mey be instances manufacturer. These devices are not
This section is intended to allow the where personnel would be unable to reqt~irTad to be carried on other vessels
marine employer to balance the submit to such testing tn order to since their routeg will, in all likelihood,
chemical testing requirements of this perform duties In the aftermath of a place them near a medical faciltty where
part against the immediate serious marine Incident which would be blood specimens can be taken, near a
circumstances surrounding a serious neceaaary for the preservation of life or law enforcement facility where breath
marine incident. The aced to control a property or the protection of the testing can be conducted, or ins
shipboard fire may far oatwetgh the environment. In such cases, the teattng location where the marine employer or
necessity to promptly take a breath would have to be delayed or not the designated repreuentative can bring
aample to test for alcohol use. It may be conducted, as determined neceaaary by teating equipment to the veaael
physically impossible to transports the marine employer. Paragraph (b) requires that marine
crewmembar directly tvnolved in a Secfion 4.06-10 apeciflea what types employers have urine specimen
serious marine incident abroad a fishing of apecimena must be taken to miat the collection and shipping ktta readily
veaael in the Gulf of Alaska to a medical chemical testing requirements of this available for uae in the collection and
facility where a blood sample can be subpart Paragraph (a) requires urine shipping of urine specimens following
taken snd shipped for tasting. The Coast specimens tube provided for teating for eeriuua marine incidents. Theae kits
Guard expects that timely chemical teats evidence of dangerous drug use. Urine reed not be maintained aboard veaaeta
will be conducted on every person specimens must be collected and tested
directly involved ins serious marine in accordance with the requirements of it they can be obtained within 24 boura
of the occurrence of a serious marine
incident It trusts the marine employer to § 4.00-20 and 48 CFR Part ie, "Chemical incident The kits must contain all the
make good faith determinations as to Teating." Paragraph (b) allows either
when such testing (a required, who Ia blond or breath specimens, or both, to ttemo necessary, including written step-
required lobe tested, and when it is be utilized to teat for evidence of alcohol by-atep procedures to be followed, to
practicable to do an. use. Becuuae alcohol diaaipstes quickly enaure that specimena are property
The regulations alan require the from a person's ayatem, it is necessary collected and shipped, regardless of the
marine employer to indoctrinate all that the specimens be taken as soon as location at which the collection ia
individuals engaged or employed aboard Is practicable following the occurrence accomplished. Specimen collection and
a vessel of these requirements. of a serious marine incident mailing kit requirementa are contained
Personnel assigned functions to Section 4.06-20 esta$ishes in I 18.310.
implement these regulations ahsll be requirements for specimen collection. II Section 4.C6-lorequiraa that body
trained to carry out those duties as is extremely important that specimens fluid specimens be collected from the
necesssry. be obtained as soon ss practicable remains of crewmembers who die as a
Section 44$-S outllnes the following the occurrence of a serious result of marine caaualtiea. The marine
reaponaibtlltles of pareons directly marine incident, that they are not employer is reaponoible for notifying the
involved in serious marine incidents. An altered or tampered with, and that they appropriate local authority of this
individusl can be determined to be can be positively tracked from the time requirement. The marine employer shall
directly Involved Ins serious msrina the specimens are provided until the make a specimen collection and
incident by s marine employer or claw time they are-tested. To ensure this shipping kit available to the local
enforcement officer. When an individual designated personnel must supervise the authority and assist in assuring that the
is directed to undergo chemical testing collection process and make certain that apaciman is properly handled and
for evidence of drug or alcohol use by the proper procedures are followed. shipped. Recognizing that there may be
the marine employer or the law Ideally, specimen collection would be instances where the local authority or
enforcement officer, the individual is overeean by qualified collection the cuatndtsn of the remains may refuse
requtrad to comply. However, no personnel or by a firm offerings to allow such specimens to be taken, the
individual can be forcibly compelled to specimen collection service, either ins regulations permit the marine employer
comply with these testing requirements. designated shoresida facility or aboard to explain why the required specimens
In cases wbars an individual refuses to the vessel Because of the nature of the were not obtained in such cases.
submit to chemical testing required by maritime industry, however, it may be Section 4.06-4oplacas the burden of
this part, an antry will be made in the necessary for specimen collections to be ensuring that blcod and urine apecimenu
official log book, if one is required to be carried out in remote locations which are property collected, documented, and
malotsined, and on Form CG-2aa2B would necessitate that trained shipped upon the marina employer.
(Report of Required Chemical Drug and shipbeard personnel collect specimens. Paragraph (a) specifies shipping
Alcohol Testing Following a Serious This latter option would only be requirements specific to blood
Marina Incident). Such a refusal is permitted for urine and breath specimen specimens, and paragraph (b) specifies
PAGENO="0141"
137
Federal Regiater I VoL 53, No. 224 I Monday, November 21, 1988 1 Rules and Regulationa 47073
requirements for shipment of urine specimens for required chemical test." dangerous drug or alcohol use, the
specimens. The soggeeted range of ap'proprlata definilionia written to allow for the
Section 4.06-50 requires testing order to be used for this violation will be acceptaoce of other types of tests as
laboratories to provide prompt analyses a 12 to 24 month outright suspension of they are proven to be aetisfec~ory.
of specimens sent to them for teating. an individual's license, certificate of `yjommi~ment of employment" is
The testing laboratoriea are required to registry, or merchant mariner's defined to mean the proof of
send teet reports to the Medical Review document employment required by 4e CFR 12.25-5.
Officer designated by themarine Amendmenth foSubchopterB "Crewmember' as used In this part,
~ :~at:e that The final rule amends SubchapterB, is en important term as It defines vessel
any posit e teetreault is not Merchant Marine Officers and Seamen persoonel to whom the regulat ona o
attributable to a prescribed medication * by adding a new Part 10, Chemical this part apply. The Intent of these
or some other acceptable reason. Testing. Part i.e Is divided into four reFilationa `~ to chemically test all
Pa graph (c) ca twos that a positive subparts Subpart A. Geoeral Subpart B mdl id ale engaged or employed aboard
test res It by itself sh Itnot constitate Required Chemical Testing Subpart C ~ vessel who perform duties which
a finding that the use of drugs or alcohol Standards for Chemical Testing for directly effect the safety of the vessel or
was the probable cause of a serious Dangemus Drugs; and Subpart D, itsoperetsonu. This deftmtlon states that
marine incident Such a fact may, Employee Assistance Programs. anyone aboard a vessel who is acting
however, be considered as evidence in SubportA of this part contains under the authority of a llcenee,
the investigation of a serious marine requirements of a general nature which certificate of registry, or merchant
incident and may teed to the conclusion apply 10 the chemical testing of mariner's document lesued under this
that the uee of drugs oralcohol was its commercial vessel personnel. subchapter, whether ornate member of
probable cause Section 10101 Informs the reader of the vessels crew is esbiect to the
Section 4.00-60 details the the purpose of the regulations contained requirements of this part. The wording is
requ rements for submittal of chem cal in th a part i e to provide muumwn used to include mdividuale audi as
testing information to the Coast Guard. standards, procedures and means to be federal pilots who operate aboard a
This Is accompllshed through the use of used to teat for the use of dangerous vessel, but are technically not a member
Form CG-29925 (Report of Req ired drugs m order to minimize the use of of the veneel a crew While not members
Ch micalDrug nd Alcohol Testing sntoxscentn by me chant marine of the vessels crew they are shoe d
Following a Serious Marine Inctdentj. personnel and to promote a drug free serving a function, albeit temporary,
Following the occurrence of a serious and safe work environment, which can directly affect the safety of
marine incident, the marine employer is Section ieioi provides that an the veseel. tile therefore necessary br
required to eubmit this form to the Coast employer may teat the .3ample obtained them to be subject to these chemical
Guard. In cases in which a Form CG- under thin rule only for the chugs testing requirements. The second part of
2992 (Report of Marine Accident, Injury required or specifically authorized to be this definition states that anyone
or Deathl is required to be submitted, tented under the rule. That is, an engaged or employed to perform duties
the Form CG-2ee20 shall be appended employer must test the sample for the aboard a United States vessel which is
to It. In rsses Involving discharges of oil five major drugs listed in the regulation, required by law or regulation to be
or hazardous substances, where a Form Only if, in the context of reasonable operated by en individual holding a
CG-2ee2 may not be required, the Form csuse testing, the Coaat Guard license, certificate of registry, or
CG-2e925 shell be submitted to the authorizes testing for additional Drug X merchant mariner's document issued
Coast Guard Officer in Charge, Marine under 49 CFR Pert 40 (an approval under this subchapter which directly
Inspection having jurisdiction over the which would be granted only afar affects the safety of the vessel or its
locatnon where the discharge occurred consultation with ~ie Department of ope t ann s ssmilariy eubiect to the
or nearest the port of the veeeel a first Health sndHuman Serveces and only requ emente of this pert Thus state
arnvel following the discharge. The on the basis of a DI'IHS.eetablished ~ ` ` ,i sri 1 1 and
Form CG-29e2S requires th me in test ng protoc I end pon two ihresholdj undo mented crewm mbe wo Id Il
employer to md c to all and eduele m y the emptnyer also tcst the sempi be ubiact to the requ rements of ih
directly involved use serious marine for that drug. part Certain of these regulations do not
I c dent These mdi sduele e to Absent such an appro 1 if the apply to mdi idusls mploy d boa d
provide tpecsmene for chemical testing employer wants to test, In addition, for email passenger vessel such an waitere,
as required by this subpart. In instances Drug Y, the employer must obtains waitresses, bartenders, and musicians
where md vedu la refuse to prov do a c d sample from the employee The wh ho e no d t s d cily ffe t g lb
reque ed spec m ne or where for some bt ng of this eec nd sample is not nsf ty of lbe vessel Sc entsflc perso nd
eason specimens can ot be his ned under the euthonty of ii ceo reguletsos a eboa d ace nogr phic research en I
thie information ebeli aieo be included The employer must base Its request for and individuals primarily employed in
on the form. The macme employer ehall the second sample on whatever other the preparation of fish or fish products
eubmit a copy of the poestive or negative legal authority Is available, since the on fish processing vessels are also
teat results for each pereon designated employer cannot rely on the Count excluded from certain testing
ate person directly involved in the Guard regulation en the basis for the requirements.
serious marine incident to tbe same request
Officer In Charge Marine I spe i t S ctson 16 iOn d fines no e el terms Dongerous drug is defined
whom the Form CG-2e920 w a t hued n Pa tie Dongero a di' g level is def n d
a bmited Cit mcolle t ied fn d nbrued Employe ssdefnedtom 1 deb ib
enough terms to describe virtually any marine employers and sponsoring
AmendmenfstoPrsrf5 typeof h mc lie t Allis gbth g nazi ns adeec b db I w
TobleS56Oia e s d nihe final to f alrulenauth nly t n M nyofib g let nainth p
to nd d a listing for V tat n of hemicel teats of urn hi d nd t mplo~ a v cc m ri employe In
Regulation; Refueal to provide breath is determine evidence of each cases, marine employere may
PAGENO="0142"
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881
PAGENO="0143"
139
Federal Register I Vol 53 No 224 I Monday November 21 1988 1 Rules and Regulations 47075
less then 50 percent. Every member of a wherever practicable Whenever such specimen provided for chemical testing.
given population must have a testing is conducted, it shall belogged in It is extremely important that each
substantially equal chance of selection the vessel's officiallog book, if one is specimen can always be accounted for,
to be tested on a scientifically valid required If an individualrefuses to from the time it is provided through its
basisThè basis of selection isleft to the submit or cooperate in the * authorized disposition. A property
employer. Employers may choose to test administration of a timely chemical test established chain of custody ensures
individuals: employers may choose to when directed to do so, this fact shall that the chances of a specimen being
test entire units. The important also be entered in the vessel's official altered, contaminated, switched, or lost
consideration Is that the testing log book, In the case of licensed or areminimized and that test results
frequency and process used in such that documented personnel, this will subject provided are. In actuality, those of the
an individual employee's chances of the individual to suspension and indicated specimen.
selection remain constant throughout his revocationproceedingunder 46 CFR Section 10.330 establishes specimen
or her employment Employees may not PartS. handling and shipping procedures. The
receives prewarnlng of when they are Section 16,260 requires employers to regulations require the employer to
to be randomly tested, maintain records of chemical teats *obtain a specImen collection and
Itte important to note that the performed. These records mustbe shipping kit tobe used to collect
requirements of this section apply to sufficient to provide evidence of the specimens and return them to the
individuals such as independent results of chemical tests of certified drug testing laboratory Items
tankermen, federal pilots, state pilots. crewmembers to satisfy U 16.210(b) and required to be provided in the specimen
and certain industrial personneL While 16.220(b), Additionally, the recordainust collection and shipping kit are specified.
not members of the vessel's crew, they be sufficiently detailed so as to P~ The list is not sll~lnclusive, and
are aboard serving a function, albeit collection and analysis of the additional items may be included as the
temporary, which can directly affect the effectiveness of the testing programs. employer considers necessary. It is
safety of the vessel ortts operations. It Negative reportrecords must be imagined that the employer will work
Is therefore necessary for them to be retained for one year. Positive report closely with the chosen drug testing
subject to these chemical testing ecords must be maintained for five laborstoryin*veloping this kit. One
requirements. Because such indIviduals years. These records must be made important festore of the kit Is the set of
commonly work for or through "third available to CoastGuard officials upon step.by.step instructions which describe
parties e g pilots associations or request the proper procedures lobe followed
drilling companies, and are not properly Subpart C establishes the standards during specimen collection, handling.
employees of the marine employer, ills - lobe met when chemically testing for and shipping. Because situations are
incumbent upon the marine employer to dangerous drugs. , envisioned where specimen collection
ensure that these individuals are either Section 16.301 requires that drug maybe supervised by personnel not
tested under programs established by testing programs sublect to this part be overly familiar with these procedures
thelremployer or association, or are conducted ma manner consistent with the s ecimen collection mstructio
tested under the marine employers 49 CFR Part 40, Procedures for t b ti I m which is
established program. Transportation Workplace Drug Testing easil understandable and will result in
Paragraph (d) forbids anyone from Programs. These regulations are based lb s~ cim bel o e I
serving as master, operator, or person In upon "Mandatory Guidelines for Federal ~ h ndl d~hi~ edt the
charge on a vessel Ins position for Workplace Drug Testing Programs.' `1 bo 1
which a license or merchant mariner's developed by the Department of Health g, ory.
document Is required unless all and Human Services (DHHS ect,onl6.34Orequires a
crewmembers are subject to the random Guidelines). These were published in the laboratories used to cunduct the
testing requirements of this section. Federal Registeron.April 11, ises. mis chemical tests required by this part be
Doing so could result In suspension and section cautions readers that the DIIHS certifie T e or en isp ace
revocation proceedings being Initiated regulations In this subpart are upon the employer to ensure at is
against the individual, This change was summaries of the requirements requirement is met.
made because It lsunreaaonsble to contained in 49 CFR Part4O. in Section 16.350 requires that each
expect that all holders of licenses or establishing apecificprocedures to carry specimen be analyzed in a manner
merchant msrlner~s documents aboard a out the requirements of this part, those consistent with 49 CFR 40.24. DHHS
vessel be cognizant of who Is and whole regulations should be consulted. certified laboratories will meet this
not In compliance with the testing Section 16.3lOprovldes the employer requirement It also specifies the
procedures of this section. The master, with general guidence in the dangerous drugs for which each
operator, or person In charge. however, establishment of specimen collection specimen must be tested and defines
should be procedures It stresses principal Issues when a specimen is cons de ed to h
Section 18.24orequizes thst all which must be considered during tested positive. Specimens which
individuals directly involved ins serious program development (general Indicate the presence of a d nger us
m rine Inc dent be chemically tested for collection site requirements security of drug mcxc as of the 1ev is eat bi al ed
the presence of dangerous drugs and the collections te access to the in 49 CFR 4024 shall be reported to the
alcohol In acco dance with the collection site by authorized personnel Med cal Re iew Off'cer as posit e
requirements of 46 CFR 406 only privacy of individuals providing Sect on 16360 describes the
Section 16.2SOrequlres an employer to specimens, and maintaining the integrity information whichmust be included on
chemically teat crewmembers for of specimens after they are gi en) each specimen analysis report Only
dangerous drug use when there Is Specif cr quiresnents for these aspects spec meets tested aspos I e on the
reasonable cause to suspect such 0588 f testing program are found in49 CFR confirmatory test are lobe listed as
The decision to test In such P rt 40. and th se regulations should be posit ye on the specunen analys
circumstances should be based on the consult d to en rep gram sdeq acy report Samples which are neg live on
observation and concurrence of two Section 16.320 requires that a chain of the screening test and specimens which
persons in supervisory positions, custody be established for each are negative on the confirmatory test
PAGENO="0144"
140
47076 Federal Register I Vol. 53, No. 224 I Monday, November 21, 1988 -/Roles and Rogulationa
shall he reported as negative on the Subpart D specifies the requiremepts
specimen analysis report. All specimen of employee assistance programs.
analysts reports shall be tent to the Section 16.401 requires employers to
Medical Review Officer designated by provide an Employee Assistance
the employer, rather than to the Program (RAP) for all crewrnembers
employer. The employer may establish the RAP as
Section 16.370 requires employers to part of its infernal personnel service
deèignate or appoint a Medical Review program or the employer may contract
Officer (MRO). The primary function of with an entity that will provide RAP to a
the MRO is to review and interpret each crewmember. The trAP must contain an
confirmed positive test in order to education program and a training
detemine If there is an alternative program for all pereonneL At least 60
medical explanation for a positive test minutes of RAP training must be
result The MRO maybe employed provided for each supervisor.
directly by the employer, or the E.O. 12251 end DOT Regulatory Policies
provision of MRO services may be and Procedures
contracted as part of the drug testing
program. The MRO verifies positive teat These regulations are considered to
results throogh interviews with the be nun-major under Executive Order
crewmember who tested positive, 12291. However, they are considered to
reviews of the crewmember'a medical be significant under the DOT regulatory
history and biomedical factors, and policies and procedures (44 FR 11304;
verification of the laboratory report and February 26, 1979) because they initiate
assessment The MRO may, if he or she a substantial regulatory program.
considers It necessary, request the The Coast Guard baa prepared and
original specimen be reanalyzed to placed in the rulemaking docket a final
determine the accuracy of the reported regulatory evaluation addressing the
test result economic impact of these roles. It may
The MRO provides the final report to be inspected or copied at the Marine
the employer or the employer's Safety Council, Room 3600, U.S. Coast
designated agent The MRO may Guaad Headquarters, 2100 Second
determine there is a legitimate medical Street, SW., Washington. DC 20593-
explanation fore confirmed positive test 0001. from 8;00 am. to 3;00 p.m.
result that is consistent with legal drug Regulatory Evaluation
use. In such casea-thaMRO shall report
a teat result as negative. The MRO may The Coast Guard has developed a
conclude, based on reviews of final regulatory impact analysis and
laboratory inspection reports, quality placed it in the docket As previously
assurance end quality control date, and stated, the estimated overall coat of
other drug test results, that a particular implementing theae regulations will be a
drug test result is insufficient fur further maximum of $9.22 million during the
action. In such cases the MRO shall alto third year of implementation to a
report a teat result as negative. If the constantly recurring annual cast of $7.26
MRO determines that there ia no million after the fifth year. Although
legitimate medical explanation for a revisions to the vessel casualty
confirmed positive test result that is reporting program have recently been
consistent with legal drug use, the smo effected, existing date does not readily
shall report the positive test result to the Identify drug-related cauuelties.
employer for further proceedings in Therefore, the Coast Guard has not
accordance with the employer's anti- eetimated the total cost benefits of this
drug program. rulemaking. However, the following
The MRO also determines when an must be kept In mind.
individual who has felled a chemical In 1984 there were approximately 2300
drug test for dangerous drugs may return commercial vessel casualties (excluding
to work. The decision lamade after the fishing vessels), resulting In $237 million
MRO determines that the individual Ia in damages end 68 deaths. Of these,
drug-free and the risk of subsequent ~ 1133 of the accidents were directly
of dangerous drugs by that person Is attributable to personnel-related causes, Paperwork Reduction Act
sufficiently low to justify his or her te. carelessness, misjudgment, etc.,
return to work. resulting in $77 million In damages end This rulemaking contalna Information
Section 16.3&lmendetes that 29 deaths. (It ehould be noted that these collection requirementa in the following
employers shell not release Individual elatistics do not include personnel sections; Pert 16, subparts Bend C, plus
tact results or other personal deaths or Injuries which were not section 46 CFR 4.00. These collection
information from anti-dreg program associated with vessel accidents.) requirements are being submitted to the
recarda except' to the Coast Guard According toe 1987 NIDA report on Office of Management and Budget for
where requirefly-theSe regulations, to Btretegic Planning for Workplace Drug approval under the Paperwork
jgcelflcellyldenlified persons Abuse Programs, abusere of drugs end Reduction Act (44 U.S.C. 3501 at seq.).
oeaignated by the individual tested, or alcohol have 3.6 times as many Under I 4.06-80, the employer Is
personally to the Individual tested. accidents in comparison to other required to submit a Form CG-26s2B
workers. There is no reason to believe a
similar correlation does not exist in\the
maritime industry. On that basis, it
would be reasonable to assume that
detecting 7.5 percent drug users In the
employee population would have the
potential for preventing up to 27 percent
(3.6 x 7.5%) of the accidents attributabte
td personnel-related causes. If 27
percent~f the $77 million in damages
and 29 deaths attributable to personnel-
related causes is prevented some $20.8
million in damages and eight deaths
could be prevented. (Additional savings
would also Be achieved as a result of
reduced compensation claims, lower
medical coats, ançt less time lost due to
sick leave.) -
The Coast Guard believes that if drug
screening can prevent evens low
percentage of accidents through drug
testing end rehabilitation. the program
will more than pay for itself. Using the
minimum accepted value of a human life
of one million dollars, the saving of but
a few lives annually, along with reduced
property damage, will more than match
the cost of the progrem. This goal is
believed achievable, given the success
of other drug testing programs.
Regulatory flexibillty Act
The Regulatory flexibility Act of 1980
requires ruview of proposed rules to
assess their impact on small business. in
consideration of the cost information
discussion under the regulatory
analysis, the Coast Guard concludes
that this final rule could have a
significant economic impact on a
substantial number of small eptites. The
Coast Guard has provided viable
alternatives for small employers to
adopt which would reduce the cost of
compliance while achieving the levels of
protection sought by these rules.
Although unit costs for small entitles for
certain services required under these
regulations maybe somewhat higher,
email operators have the latitude to
utilize cooperative services, or form
associations, which will result In a
reduction of unit costs. A regulatory
flexibility analysis discussing this issue
In more detail has been placed In the
docket
PAGENO="0145"
(Report of Required Chemical Drug and Code of Federal Regulations, is
Alcohol Testing Following a Serious amended os follows:
Marine Incident) to the Coast Guard
whenever personnel are directed to PART 4-EAMENDEDI
provide spec mens for mandatory 1 The table of contents of Part 4 is
chemical testing after the occurrence of amended l~y adding the following:
a serious marine incident. Employers are
also required to maintain records of the
results of chemical testing for dangerous Subpart 4.08-Mandatory Chemical Testing
drugs under * 16.260. Foltowlng Serious Marine Incidents
Involving Vessels In Commercial Service
Federalism Implications 4.06-1 Responsibilities of the marine
This regulation has been analyzed in mptey
accordance with the principles and 406~ R1 p i i d ri
criteria contained in Executive Order i i~
12612, and it has been determined that 4.06-10 Required specimens. - ~,er1ousmarlnelncldent~' VS S C
the proposed rulemaking does not have 4.06-20 Specimen collection requirements. .
sufficient federalism implications to 4.05-30 Specimen cottection in incidents The term"tndivsdual directly involved
warrant the preparation of a Federalism involving fatalities, in a serious marine incident" is an
Assessment, The rules affect the safety 4.09-40 Specimen handling and shipping. individual whose order action or failure
of vessels in interstate and foreign 4.09-50 Specimen analysis and fottow.up to act is determined lobe, or cannot be
commerce and are directly related to the f ~ d ruled out as, a causative factor in the
qualifications of personnel licensed by m sa~ons repo san test events leading to or causing a serious
the US Coast Guard and their working manna incident.
conditions on vessels. These are express
statutory responsibilities of the U.S. 2. The authority citation for Part 4 is l~-~ MedICal?
Coast Guard and there are no similar revised to read as followa: ` .
State responsibilities or programs in Authorliy: 33 U.S.C. 1231,43 U.S.C. 1333; 46 The term medical faciiit3v means an
these areas. USC. 2103,2305,9101.5301.6305, ~ usc. American honpital. clinic, physicians
199:49 CFR 1.46, except Subpart 4.40 for office, or laboratory, where blood and
Environmental Assessment which the authority is: 49 U.S.C. 1903(a)(1)(Ej; urine specimens can be collected
49 CFR 1.46. according to recognized professional
The Coast Guard has consinered the
environmental impact of these 3. Subpart 4.03 in amended by adding 101 or n.
regulations and concluded that, undcr new *14.03-2, 4.03-4,4.03-5,4.03-6, and
section 2.B.2.1, of Commandant 4.03-7 to read as follows: §4.03-9 Qualified medical personnel.
Instruction M16475.IB, they will have no I) ` The term "qualified medical
significant environmental impact and u part 4.03- efinil 0115 personnel" means a physician,
are categorically excluded from further physician's assistant, nurse, emergency
environmental documentation, medical technician, or other person
§4.03-2 Seriousmartne Incident, authorized under State or Federal law or
List of Subjects The term "serious marine incident" regulation to collect blood and trifle
46 CFR Part 4 includes the following e nts n olv ng spec mess
a vessel in commercjal service:
Admtnsstr Ii e practice and (a) Any marin s lty or a d nt 403 7 Ch ic is
procedures Invest gattons Acc dents as defined in 1403-1 wh ch in requ red
Marine safety Reporting and by §405 1 to be reported to the Coast The term chemical test means a
recordkeeprng requirements Alcohol Guard and which results in any f the scient ficali~ recognized t st wh ch
and alcoholic beverages Drugs following analyzes an mdi d ala breath blood
46 CA1Z Part 5 (1) One or more de thu urine salt a bodily fluids or t ssues for
(2) An njury to c ewmember evidence of dangerous drug or alcohol
Administrative practice and passenger, or other person which use,
procedures, Investigations, requires professional medical treatment 4. Section 4.05-1(e) is revised to read
Administrative law judge Invest get ng beyond f i-st id and n the case of a as follows
officer, Seamen, License, Certificate, person employed on board a vessel in
Document Administrative hearings ommercial service whi h rende s th §406-1 NotIce of marine asuatly
Navigation (Water), Suspension and individual unfit to perform routine
revocation, Marine safety. Alcohol and , i d t'e'
alcoholic beverages Drugs (3) Damage to p op rty as d f ned in (e) Injury which requt sprofe onal
46 C'FR Part 16 ~ of this part, in excess of ~thcase of a perso~ engaged or
Seamen. Marine safety Navigation (4) Actual or con tru t i t I loss of empi yed o board a xensel in
(Water) Alcohol and alcoholic any sd s b;e Ito t spectto d r commercial service `. hich rende s the
beverages, Drugs. 46 U.S.C. 3301: or individual coLt to perform routine
~ I (5) Actual or constructive total loss of vessel dulies.
a Rule any self-propelled vessel, not subject to
For the reasons set out in the inspection uader 46 U.S.C 3301. of 100 5. A new Subpart 4.06 is added to read
preamble, Title 46, Chapter I. of the gross tons or more. as follows:
141
Federal Regletes / Vol 53 No 224 / Monday November21 1988/ Rulee and Regulations 47077
(b) A discharge of oil of 10,000 gallons
or more into the navigable waters of the
United States, as defined in 33 U.S.C.
1321, whether or not resulting from a
marine casualty.
(c) A discharge of a reportable
quantity of a hazardous substance into
the navigable waters of the United
States, ore release of a reportable
quantity of a hazardous substance into
the eiil.rirónment of the United States,
whether or not resulting from a marine
casualty.
PAGENO="0146"
142
47078 Federal Register LVoL 53, No. 224 `1 Monday, November 21, 1988 I. Rules and Regulations
Subpart 4.06-Mandatory Chemical chemical tests required by 54.06-10 a breathiesting device may be
Testing Following Serious Marine when directed to do so by the marine conducted by any individual framed to
incidents involving Vessels in employer or a law enforcement officer. conduct such tests. Blood specimens
Commercial Service (b) If the individual refuses to provide shall be taken only by qualified medical
blood,breath or urine specimens, this personnel.
04.06-1 ResponsibIlities of ttte marine refusal shall be noted on Form CG-
employer. 2920 and in the vessel's official log 14.06-30 Specimen collection in incidents
(a) At the time of occurrence of 5 book, if one is required. bnvoM~~9 fatalities.
marine casualty, a discharge of oil into (c) No individualmay be forcibly (a) When an individual engaged or
the navigable waters of the United compelled to provide specimens for employed on board a vessel dies as s
States, a discharge of a hazardous chemical tests required by this part; result of a'serious marine incident,
substance into the navigable waters of however, refusal is considered a blood and urine specimens must be
the United States, or a release of a violation of regulation and could subject sbtainedfrom the remains of the
hazardous substance into the the individual to suspension and . individual for chemical testing. if
environment of the United States, the revocation proceedings under Part 5 of practicable to'do so. The marine
marine employer shall make a timely, this chapter and removal from any emp1oy~r shall notify the appropriate
good faith determination as to whether duties which directly affect the safety of local authority, such as the coroner or
the occurrence currently is, or is likely the vessel's navigation or operations, medical examiner, as soon as possible,
to become, a serious marine incident. of the fatality and of the requirements of
(b) When a marine employer 54.06-10 Required specimens, this subpart. The marine employer shall
determines that a casualty or incident Is, Each individual required to submit to provide the specimen collection and
or is likely to become, a serious marine chemical testing shall, as soon as shipping kit and request that the local
incident, the marine employer shall take practicable, provide the following authority assist in obtaining the
all practicable steps to have each specimens for chemical testing: necessary specimens. When the
individual engaged or employed on (a) Urine specimens, collected in custodian of the remains is a person
board the vessel who is directly accordance with 54.06-20 and Part 16 of other than the local authority, the
involved in the incident chemically this Chapter. marine employer shall request the
tested for evidence of drug and alcohol (b) Blood or breath specimens, or cuatodian to cooperate in obtaining the
use. both, collected in accordance with specimens required under this part.
(c) The determination of which 54.06-20. (b) If the local authority or custodian
individuals are directly involved tn a b §~O6-2o S~imen collection of the remains declines to co?perate in
erious artne ci e t a e m C Y requirements. obtaining the necessary specimens, the
thef marine ~m~oye.. A l7 ` th (a) All inspected vessels certificated marine employer shall provide an
y f in I d e t d all explanation of the circumstances on
additional individuals are directly Inspected vessels certificated for Form CG-2692B (Report of Required
1 d I th se o a marine n dent ~ 1 re eq ted Chem c 1 Drug nd A h 1 Te ts g
I 0 ch p ~ ~0~oY~:~:il to h e n b d t all t mesa br th Following a Ser a Ma me I cod 5)
individuals tested in accordance with testing device capable of determining 14.06-40 Specimen handling and
paragraph (b) of this section. . the presence of alcohol in a person u shipping.
(d) The requirements of this subpart system. The breath testing device shall (a) The marine employer shall ensure
1 not p e e t vessel personnel who be s d in d nce w th procedures th t blood spe m 11 ted n
are required tube tested from ~7i~ The n~ai Icr aill ensure accordance with II 4.05-20 and 4.06-30
performing duties in the aftermath of ~ that urine s ecimen coll~'ction and are promptly shipped to a testing
serious marine incident when their . . . . . I d t
th shipping kits meeting the requirements iT q
per orm nce is ecess ry th of 18.330 of this part are readily such specimens. A proper chain of
I' p y available for use followin oerioua custody must be maintained for each
protection of the environment. i i t m specimen from the time of collection
(e) The marine employer shall ensure . .` ~°. £ th h th th d d .t I ti
th t 11 nrhvid Is engaged..or employed collect nands pp ngkit need tht be up c BI d p me s m t be
on board a vessel are fully indoctrinated , , y shipped to the laboratory in a cooled
in the requirements of this subpart, and cat~s ot 2~r~ise e rea ~ fth condition by any means adequate to
that appropriate vessel personnel are °~ e ensure delivery within tweniy.four (24)
trained as necessary in the practical i d t hours of receipt by the carrier.
applications of these requirements. (c) The marine employer shall ensure (b) The marine employer shall ensure
I ~i t th S V ~ that specimens required by I 4.06-10 are that the urine specimen collection
th~° be S I d c with th collected as soon as practicable procedures of 5 16.310 of this part and
implemo~°ntstton schedule provided in 46 following the occurrence of a serious the chain of custody requirements of
CFR 16.205 and 16.207. marine incident, 5 16.320 are complied with. The marine
(d) When obtaining blood, breath, and employer shall ensure that urine
§4.06-5 Responsibililies of individuals urine specimens, the marine employer specimens required by §14.06-20 and
directty Isvoived In serious marine shall ensure that the collection process 4.06-03 are promptly skipped to a
incidents, is supervised by either qualified laboratory complying with the
(a) Any individual engaged or collection personnel, the marine requirements of 49 CFR Part 40. Urine
employed on board a vessel who is employer, a law enforcement officer, or specimens must be shipped by an
determined to be directly involved in a the marine employer's representative, expeditious means, but need not be
seriosa marine incident shall provide (e) Chemical tests of an individual's shipped in a cooled condition for
blood, breath or urine specimens for breath for the presence of alcohol suing overnight delivery.
PAGENO="0147"
§ 4.06-50 Sp.clmen analysIs and follow-
up procedures.
(a) Each laboratory will provide
prompt analysis of specimens collected
under this subpart, consistent with the
need to develop all relevant Information
and to produce a complete analysts
report.
(b) Reports shall be sent to the
Medical Review Officer meeting the
requirements of 40 CFR 40.27, as -
designated by the marine employer
submitting the specimen for testing.
Whenever a urinalysis report Indicates
the presence of a dangerous drug or drug
metabolits, the Medical Review Officer
shall review the report as required by 49 Viol lion of Rag I to
CFR 40.27 and submit his or her findings Refusal to provide spent. 1224.
to the marine employer. Blood test mens for required chemical
reports indicating the presence of
alcohol shall be similarly reviewed to _______________________________
determine if there is a legitimate
medical explanation.
(c) Anslyuis results which indicate the
presence of alcohol, dangerous drugs, or
drug metabolites shall not be construed
by themselves as constituting a finding
that use of drugs or alcohol was the
probable cause of a serious marine
incident.
4.06-60 `iubmlssion of reports and test
results.
(a) Whenever an individual engaged
or employed on a vessel is identified as
being directly involved in a serious
marine incident, the marine employer
shall complete Form CG-2692B (Report
of Required Chemical Drug and Alcohol
Testing Following a Serous Marine
Incident).
(b) When the serious marine incident
requires the submission of Form CG-
2692 (Report of Marine Casualty, Injury
or Death) to the Coast Guard in
accordance with 4.05-10, the report
required by paragraph (a) of this section
shall be appended to Form CG-2692
(c) Inincidents invttlving discharges of
oil or hazardous substances as
described In 403-2(b) and (c) of this
psrh when Form CG-2892 is not
required to be submitted, the report
required by paragraph (a) of this section
shall be submitted to the Coast Guard
Officer in Charge, Marine Inspection.
h ving jurisdiction ov r the location
where the discharge occurred or nearest
the port of first arrival following the
discharge.
(d) Upon receipt of the report of
chemical test results, the marine
employer shall submit a copy of the test
results for each person listed on the CG-
26920 to the Coast Guard Officer in
Charge. Marine Inspection to whom the
CG-2692B was submitted.
143
Federal Register I Vol 53 ?~o 224 / Monday November 21 1980 / Rules and Regttlatldns 47070
PART 5-IAMENDED] personnel and to promote a drug free
and safe work environment.
6. The authorl~r citation for Part (b) These regulations prescribe the
continues 5 o owe. minimum standards, procedures, end
Authority: 40 U.S.C. 7101, 7301. and 7701; 50 means to be used to test for the use of
U.S.C. 199:40 CFR 1.40(b). dangerous drugs.
§ 5.569 (~mesded) (c) As part of a reasonable cause drug
7. In § 5.569 add to Table 5.589 the testing program established pursuant to
following new offense after this part, employers may test for drugs
Incompetence: in addition to those specified in this part
only,wlth approval granted by the Coast
Guard under 49 CFR Part 40 and for
________________________________ substances for which the Department of
Type of offense Range of order (In Health and Human Services has
mantha) established an approved testing protocol
and positive threshold.
§16.105 DefInItIons of terms used In thIs
part.
Chemical test" means a scientifically
recognized test which analyzes an
individusl's breath, blood, urine, saliva,
& A new Part lOis added to bodily fluids, or tIssues for evidence of
Subchapter B to read as follows: dangerous drug or alcohol use.
Commitment of employment means
PART 16-CHEMICALTESTING the proof of employment required by 48
CFR 12.25-S.
Subpart A-General "Crewmember" means an individual
sec. who is:
18.101 Purpose of regulations. (s) On board a vessel acting under the
18.105 Definitions of terms used in this part, authority of a license, certificate of
Subpart B-Reqslred ChemIcal TestIng registry, or merchant mariner's
18201 AppIl document issued under th:s subchapter
18.205 Implementation of chemicul testing whether or not the individual is a
programs, member of the vessels crew; or
10207 C 11111w ih f gn I or (b) F.ngaged or en:ployed on board a
10.210 Pre.employment testing vessel owned in the United States that is
requirements. required by law or regulation to engage,
16.220 PeriodIc kesting requirements, employ, or be operated by an individual
18 40 S ri mm ~d ~ g hold ng a Ii ense con ficate of registry
or merchant manners document issued
10.250 Reasonable cause testing under this subchapter, except the
requirements, following;
10.250 Records. (1) Individuals primarily employed in
Subpart C-Standards for Chemical Testing the prepsrstion of fiSh or fish products
for Dangerous Drugs. or tn a support ponition not related to
le.301 Procedures for Transportation navigation on a fish processing vessel:
W kpi U gT 11 gP g m (2) Sclentif c personnel on a
18.310 General. oceanographic research vessel; and
18.320 Chain of custody. (3) Individuals not required under Part
18330 Speclm h dli g d ehlppi 15 of this subchapter who have no dut es
18 340 To ii bo I ry req rem I wh oh directly affect the safety of the
~, vessel sos gatlon or operations
16370 ~t d 16 ~ o~n Dangerous drug means a narcotic
18350 6 1 on f f in Ho drug controlled substance and
marijuana (as defined in section 102 of
Subpart D-Employee AssIstance the Comprehensive Drug Abuse
Prevention and Control Act of 1970 (21
18.401 Employne Assistance Program (EAP). U.S.C. 802)).
Aslhortly: 40 U.SC. 2103.3300.7101.73111. Dangerous drug level"means the
01.49 C `RI. . amount of traces of dangerous drugs or
Subpart A-General drug meisbolites in an individual's
breath, blood, urine, saliva, or body
§ 16 101 Pu pose of reg laiions fluids or tisa Cs
(a) The regulations in this part provide "Drug test"means a chemical teat of
a means to minimize the use of an Individual's urine for evidence of
intoxicunts by merchant marine dangerous drug use.
PAGENO="0148"
144
47080 Federal Register I VoL 53, No. 224 / Monday, November 21, 1988 / Rifles and Regulations
"Employer"mesns a marine employer the vessel's navigation or operations as I le.20r'Confllet wish foreign laws.
or sponsoring organization, anon as practicable. - (a) This part ahall not apply to any
Foils o chemicol test for dongeross (e) An Individual who has failed a person for whom compliance with this
drugs" means the test result Is reported required chemical test for dangerous part would violets the domesttc laws or
as poaitivs for the presence of drugs may not be reemployed aboard's ppltctes of another country.
dangerous drugs or drug metabotites In vessel until the requirements of (b) This pert Is not effective until
an individual's system after s Medical l le.37o(dj of this pert end 48 CFR Part January 1, 1990, with respect to any
Review Officer's review In accordance 5, if applicable, have been satisfied person for whom a foreign govemment
with 49 CFR 40.27. contends that application of this part
"fntoxicont" means any form of 118.205 ImplementatIon of chemical reuses questions of compatibility with
alcohol, dangerous drug. or combination ~ Pl'0W551s. that coun'try'I domestic laws or policies.
thereof. (a) Each employer who employs more On or before December 1, 1989, the
"Morine amployer"means the owner, than 50 employees required to be tested `Commandant shall issue any necessary
managing operator, charterer, agent, under this part shall tmplement the pre~ amendment resolving the applicability
master, or person In charge of a vessel, employment testing program required In of this part to'Sucb person on and after
other than recreational vessel. 18.210 not later than June 21, 1959. All January.'l, 1990.
"Medicol Review Officer" means an other employer testing programs
Individual designated by the employer required by this part shall be I 16.210 Prs.'employment testing
to carry out the duties specified in implemented not later than December requIrements.
* 15.370 of this part. 21, 1989. ( a) No marine employer shall engage,
"Serious nsorine incident" means an (b) Each employer who employs from employ, or otherwise give a commitmant
event defined in 48 CFR 4.03-2. 11 to 50 employees required to be teased of employment to, any individual to
"Sponsoring orgonizotion"ls any under this part shell implement the pra- serve as a crewmember unless the
company, consortium, corporation, employment, serious marine Incident, tndivldual passes a chemical test for
aaaocistion, union, or other organization and reasonable cause testing prngrams dangerous drugs for that employer.
with which IndivIduals serving to the required by this part not later than (b) The individual Is not required to
marine Indastry, or their employers, are December 21, ieee. The random teating undergo the pre.employment test
associated. pmgrams required by 18.230 of this required by paragraph (a) of this section
"Vessel owned in the United Stotes" part shall be implemented not later than If the individual provides satisfactory
means any vessel documented or December 21, 1590' evidence that he or she has;
numbered under the laws of the United fc) Each employer who employs 10 or (1) Passed a pre-employment teat for
States; and any vassal owned by a fewer employees required to be tented the marine employer or another
citizen of the United States that is not under this part shall Implement the employer, or a periodic chemical teat for
documented or numbered by any nation, employer testing programs required by dangerous drugs, within the previous aix
this part not later than December 21, months; or
Subpart B-RequIred ChemIcal TestIng ~ (2) Been subject to a random testing
ieioi Application. Id) During the first 12 months program meeting the criteria of I 10230
a) Chemical testing of peraounel must following the institution of random drug of this part during the previous twelve
be conducted as required by ~ tenting pursuant to this section, an months, has not failed a chemical test
subpart. employer shall meet the following for dangerous drugs, and has not refused
(b) if an individual fails a chemical conditions; to participate in required chemical tests.
test for dangerous drugs under this port, (1) The random drug testing Is spread
the individual will be presumed to bee reasonably through the 12-month period; g 16.220 PeriodIc testing requirements.
user of dangerous drugs. (2) The last test collection daring the (a) Whenever a physical examination
(c) if an individual holding a license, year is conducted at an annualized rate Is required for an individual by this
certificate of registry, or merchant of 50 percent; and subchapter. a chemical teat for
mariner's document fails a chemical test (3) The total number of tests dangerous drugs must be Included as a
for dangerous drugs. the Individual's conducted during the 12 months is equal part of the physical examination. If a
employer or prospective employer shall to at least 25 percent of the covered physical examination is required for a
report the test results In writing to the population, license or merchant mariner's document
nearest Coast Guard Officer in Charge, (a) The periodic testing requircmcnta application, the applicant shall provide
Marine Inspection (OCMJ). The of I 16.220 apply to phyoical the results of the chemical teat
individual shall be denied employment examinations performed after December administered as part of the physical
ass crewmember or removed from 21, isso. examination to the Coast Guard
duties which directly affect the safety of (ft When a vessel owned In the United Regional Examination Center (REC). For
the vessel's navigation or operations as States Is operating in waters that are nut those individuals required by this
soon as practicable and shall be subject subject to the jurisdiction of the United subchapter to receive physical
to suspension and revocation States, the testing requirements of examinations on a periodic basis, the
proceedings against his or her license, *1 16210 and 16.230 do not apply to a Individual shall provide the result of
certificate of registry, or merchant citizen of a foreign country engaged or each required chemical test to the REC
mariner's document under 46 CFR Part 5. employed as pilot in accordance with at the time the individual applies furs
(d) If an Individual who does not hold the laws or customs of that foreign renewal of his or her licenae. Only the
a license, certificate of registry, or country. results of those chemical teats taken
merchant mariner's document fails s (g) Upon written request of an since the Individual's moat recent
chemical teat for dangerous drugs, the employer. Commandant (C-htMl) will license renewal need be submitted.
individual shall be denied employment review the employer's chemical testing (b) The individual is not required to
as a crewmember or removed fmm program to determine compliance with undergo the periodic chemicul test
duties which directly affect the safety of the provisions of this part requirad by parsgraph (a) of this section
PAGENO="0149"
145
- Federal Register I Vol 53 No 224 1 Monday Nosember 21 1988 I Rules and Regulations 47Ol~1
If the IndivIdual provIdes satiafactory under tHe subchapter who Is certtfled by lbs Department of Health
evidence that he or she hat: reasonably suspected ofuain~ a and Human Services (DHHS).
(1) Passed a pm-employment or a dan~emua drug to be chemically tested
periodic chemical teat for dan~eroua for dan~emua druga. 1t3 5MM
drugewithin the previous aix months or (14 The marine employer a decralon to (a) Collection site The employer ahall
(2) Been subject to a random leafing teal moat be based on a reasonable and ensure that the cc?llectioa site Is
program machog the criteria of § 10 230 articulabla belief that the mdi idoal has ad~qoate to prov da fortha collection
of the part darIng the previous twelve used a dangeroas drug based on direct security temporary storage and
months, has not failed a chemical test observation of specific. shipping of specimens to a certified drug
for dangerous drugs, and has not refused contemporaneous physical,behevioral, lasting laboratory.
to participate in required chemical tests. or perforahance indicators of probable (hj.Secorisy. Procedures shall provide
use Where practicable this belief for the collection site to be secure.
§ 16.230 Random testing reqslremenis. should be based on the observstion'of Collection sites dedicated solely for
(a) Marine employers shall provide for the Individual by two persons In speconan collection must be secure at
the selection of crawmembera for supervisory positions all times Collection sites which are not
chemical testing for dangerous drugs 00 (c) When the marine employer dedicated solely for spec men collection
a random basis Random selection of reqwres lasting of so individual under moat be secured during specimen
Individual crewmembers means that the provisions of this section the collection
every member of a given population has Individual must be Informed of thaI fact (c)Access to outhorized personnel
a substantially equal chance of selection and directed to provide a urine only. No unauthorized personnel shall
one smentlficslly valid basis The specimen as soon as practicable This be permitted in any part of a c llection
testing frequency and selection process fact shall be entered in the vessel's site when specimens are collected nor
shall be such that an employee a chance offic sl log book if one Is required shall unauthorized personnel be all w d
of selection continues to exist (d) if an individual refuses to provide access to stored specimens.
throughout his or heremployment. a urine specimen when directed to do so (d)Prii'ocy. Procedures for collecting
Random selection may be accomplished by the employer under the provisions of urine specimens shall allow for
by periodically selecting one or more this section this fact shall be entered in individual privacy unless there is reason
vessels and testing all crawmsmbars th r ` ftc' 11 b k `f i to believe that a particular individual
aboard, provided each vessel subject to aet~le so i a og 00 . ~ may sitar or substitute the specimen to
the marine employer's lest program q . he provided.
remains equally subject to selection § 16250 Records. (e) Integrity of specimens Collect on
(h) Marine employers may form or (a) Employers shall maintain records site personnel shall take precosilona in
otherwise use sponsoring orgemzstiuns of chemical tests which the Medical ensure that each specimen Is not
ormsy use contractors to conduct the Review Officer reports as positi e for adulterated or diluted dur ng the
random chemical testing programs a period of a least a years end shell collection process.
requiredhytiuspert. alt th rd 1 hI I C I
(c) Each marine employer shell ensure Guard officiala upon request Records of §15320 Chain of csiatody
thai crewmembere are tested on a tests reported as negative" shall be (a) A chain of custody fur each
random basis elan annual rate of not retained for one ear specimen lobe chemically tested shall
less than 50 percent. ` . , be established and maintained from the
(d) An individual may not be engaged a ecor as a a su c en 0 time of specimen collection through the
or employed, including self employment, (1) Satisfy the requirements !~ testing of the specimen.
one vessel ins position as master §1 33210(b) and ie 220(b) of this part (h) ifs ape imen is not imm d siely
operator, or person in charge for which a (2) Identify the total number of prepared for shipment, It shall be
license or merchant mariner's document individuals chemically tested annually safeguarded during temporary storage.
is required by law or regulation unlees for dangerous drugs in each of the (ci Every effort shall hem de to
all crewmerebere are subiect to the categories of sealing requ red by this minimize Ihe number of pa sans
andom testing req i emenis of to part includ ng the annual numbe of handling specimens
section. individuals failing chemical tests and
the number end types of drugs for which § 16.330 Specimen hsndsng end shippiag.
§1~ 240 SerIous msrineincideat seating Individuals tested positive (a) The employer shall obtains
The marine employer shall ensure that Subpart C-Stsndsrds for Chemical specimencac~onsadshippmgkiio
all persons directiy involved ins sertaoa Testing for Dsngerous Drugs them to the cart fled drug teal ng
marine incident are chemically seated § 16.301 procedures forTrsnsporlstion laboratory.
or cvi ence o engerous rugs en Workplace Daug Teasing Progrsme (h) The spar men collection and
reqoireoienlsof4eCliR4 o~ Drug test ng programs subject ta th shipping kit as requ red by 49 CFR P rt
part shell be conducted in accordance 40. shell contain.
§ 16.250 Reasonable cause testing with 49 CFR Pert 40 Procedures for (1) Plastic urine specimen bottles i
requiremenla. Trensporiet an Workplace Drug Testing auff'c ens quantity to eccommodat lh
(a) The manna employer shall require Proc ma This a bpe I summari people lobe tested
sny crewmember engaged or employed requirements for drug test g programs (2) Means for seal ng and ident fy g
n boards easel owned In the Untied contained In those regulations `lhoae specimen botti
St tee that is required by law o regol lions should be consulted to (3) Chain of custody fo m
regulation to engage, employ or be determine the specific procedures which (4) A set of step'by-step Instructions
opereted by an nd vidu 1 holding mast he eat hi sh d nd utilized Drug wh ch des nba the proper procedur s to
1 cense cart frele f reg stay or teat ng p agr ma q d by this part be followed di log specimen colic tin
merchant meriner a document isa d shell use only drug I I ng 1 ho tortes hanoI ng a d sh pp ng end
PAGENO="0150"
146
47082 Federal Register / Vol. 53. No. 224 I Monday, November21. 1988 / Rules and Regulations
(5) Shipping materials.
(c~ The marine employer shall ensure
that specimens are promptly shipped to
a certified testing laboratory meeting the
requirements of 16.340. Chain of
custody documents must accompany
each specimen from the time of
specimen collection through shipment to
and testing by the laboratory.
(d) Specimens shall be shipped by an
expeditious means.
* 15.340 Test laboratory requlrsmsnts.
(a) The employer shall ensure that all
chemical testing for dangerous drugs
required by this part is conducted bys
DHHS certified laboratory.
(b) The laboratory shall meet the
requirements of 49 CFR Part 40.
* 15.350 SpecImen analysis.
(a) Each specimen shall be analyzed
in accordance with 49 CFR 40.24, which
requires testing for
(1) Marijuana;
(2) Cocaine;
(3) Opiates;
(4) Phencyclidine (PCP); and
(5) Amphetimlnes.
(b) A specimen which indicates the
presence of a dangerous drug eta level
equal to or exceeding the levels
established in 49 CFR 40.24 is reported
to the Medical Review Officer as
positive.
*16.340 Spedmensnslysis reports.
(a) The laboratory shall report all test
results as required by 49 CFR 40.24(g).
Reports are made within an average of
five days after receipt of a specimen by
the laboratory.
(b) The laboratory reports as negative
all specimens which are negativeon the
Initial test or negative on the
confirmatory test. Only specimens
confirmed positive are reported positive
to the Medical Review Offlcerfor a..
specific drug or drug metabolic.
* 16.370 MedIcal review officer.
(a) The employer shall designate or
appoint a Medical Review Officer
(MRO) meeting the qualifications of 49
CFR 40.27. If the employer does not have
a qualified individual or staff to serve as
MRO, the employer may contract for the
provision of MRO services as part of its
drug testing program.
(b) The MRO shall review and
interpret each confirmed positive teat
result in accordance with 49 CFR 40.27.
(c) lithe MRO verifies a laboratory
confirmed positive report, the MRO
shall report the positive teat result to the
employer or the employers's designated
agent.
(d) Before an individual who has
failed a required chemical teat for
dangerous drugs may return to work
aboard a vessel, the MRO shall
determine that the individual is drug-
free and the risk of subsequent use of
dangerous drugs by that person Is
sufficiently low to justify his or her
return to work. In addition, the
individual shall agree lobe subject to
increased, unannounced testing for a
period as determined by the MRO of up
toOt) months.
* 16.380 Release of Information.
(a) Except as provided for in this pert
and in * 4.06-60 of this chapter, an
employer shall not release individual
test results or other personsl
information for anti-drug program
records.
(b) Individual results from drug tests
required by this part may be released if
the individual tested signs a specific
authorization for the release of the..
results loan identified person. -
(c) Nothing in this section shall
prevent an individual tested under this
part from obtaining the results of that
teat.
Subpart D-Employee Assistance
Programs
§16.401 Employee Assistance Program
(EAP).
The employer shall provide an
Employee Assistance Program (EAP) for
all crewmembers. The employer may
establish the EAP as a pan of its
internal personnel services or the
employer may contract,with an entity
that will provide EAP services to a
crewinember. Each EAP must include
education and training on drug use for
crewmembera and the employer's
supervisory personnel as provided
below;
(a) LAP education program: Each EAP
education program must include at least
the following elements; display and
distribution of informational material;
display and distribution of a community
service hot.line telephone number for
crewmember asaistance, and display
and distribution of the employer's policy
regarding drug and alcohol use in the
workplace.
(b) HAP training program: An EM'
training program must be conducted for
the employer's crewmembers and
supervisory personnel. The training
program must include at least the
following elements: the effects and
consequences of drug and alcohol use
on personal health, safety, and work
environment; the manifestations and
behavioral cues that may indicate drug
and alcohol use and abuse; and
documentation of training given to
crewmembers and the employer's
supervisory personnel. Supervisory
personnel must receive at least 60
minutes of training. . ..
November 14,1986.
Clyde T. Luck, Jr..
ViceAdmirol, U.S. Coast CuardActing
Commandant.
[FR Doc. 8e-2ae14 Filed ii-is-aa 3:50 pm)
5ILUNO COOS 4819.14.5
PAGENO="0151"
Department of
Transportation
Office of the Secretary
49CFR Part 40
Procedures for Transportation Workplace
Drug Testing Programs Interim Final
Rule
147
Monday
November 21, 1988
Part II
I
I
PAGENO="0152"
148
47002 Federal Reglalar I Vol. 53, No. 224 I Monday, November 21, 1988 I Rulea and Regulationa
DEPARTMENT OF TRANSPORTATION Tranaportation Admtniatration, and the safeguarda for accuracy and priva~.g
Research and Special Programs in drug tasting established by the HHS
Offic. of the Secretary Administration) are issuing regulations Guidelines whtla ensuring that parties
49 CFR Part 40 requiring antidrug programs in the regulated by DOT can practically
aviation, motor carrier, railroad, implement the requirements.
[Docket No.45924 Notice No. 55"171 maritime, mass transit, and pipeline We would call particularly to the
RiN 2105-AB42 industries, respectively, attention of commentem the following
The proposed regulations for these revisions. This is not an exhaustive list
Procedures for Transportation operating administration rules proposed of all modifications to the HHS
Workplace Drug Testing Programs that employem conduct drug testing Guidelines published in this document.
AoaNcY: Office of the Secretary, DOT. according to the "Mandatory Guidelines The Department seeks comments on all
for Federal Workplace Drug Testing aspects of this interim final rule.
ACTION: Interim final rule. Programs" of the Department of Health In § 40.2, definitions of "employer"
SUMMARY: The Department of and Human Services (DHHS). The "totS and "employee" have been added. The
Transportation is adopting ~ Guidelines," as this document is known, former definition includes consortia, but
modification of the Department of were published in the Federal Register points out that individual members of a
Health and Human Services' on April 11, 1988 (53 FR 11970). They consortium are not relieved of their
"Mandatory Guidelines for Federal were based ens notice of proposed responsibilities under the rule by virtue
Workplace Programs." The purpose of rulemaking (NPRM) published August of participation in the consortium. As
the modification is to adapt the 14, 1987 by DHHS, and on comments to provided in the operating administration
procedures and safeguards developed that Nt'RM. drug rules, the testing rate of 50 percent
by the Department of Health and The HHS Guidelines include can relate to the entire employee
Human Services more closely to the procedures for collecting urine samples population covered by a consortium; the
`circumstances of drug testing programs for drug testing. procedures for definition does not mean that 50 percent
in industries regulated by the transmitting the samples to testing of the work force of each consortium
Department of Transportation. Antidrug laboratories, testing procedures, : member must be tested ins year.
program rules published by the procedures for evaluating teat results, Under the FtHS Guidelines, a Federal
Department's operating administrations quality control measures applicable to agency may teat a urine sample only for
wilt require employers to conduct drug the laboratories, recordkeeping and certain specified drugs. The
testing according to these Procedures. reporting requirements. and standards Department's Procedures echo this
DAna: This rule is effective December and procedures for HHS certification of requirement Under § 40.21(c). an
21, 1988. Continents should be received drug testing kaboratories. The intent of employer may teat the sample obtained
by )anuary 23, 1989. Late.filed comments' the Guidelines is to aafeguard the under a DOT drug rule only for the drugs
wilt be considered to the extent accurancy of test results and the privacy required or specifically authorized to be
of individuals who are tested. tested under the DOT drug rule. That is,
practicable. The Department believes that the an employer must test the sample for the
ADDRESS: Comments should be sent to basic requirements of the Guidelines five major druga `listed in each DOT drug
Docket Clerk, Docket 45928, Deportment must remains vital component of DOT regulation. If the DOT agency involved
of Transportation (0-55)4007th Street drug drug testing regulations. However, authorizes testing for Drug X under
SW., Room 4107, Washington. DC., the Department is aware that the 1 40.21(b), the employer may also teat
20590. In order to expedite handling of Guidelines, aa written by HHS to apply the sample for that drug. If the employer
comments, commenters are requested to to tasting by Federal agencies, do not fit wants to test, in addition, for Drug Y. the
refer to the docket number for this rule perfectly the circumstances of employer must obtains second sample
and to provide an original and four employers regulated by DOT. There are from the employee. The obtaining of this
copies of their comments. Commentera many references to legal authorities and second sample is not under the authority
wishing to have their comments ` other matters which are peculiar to of the DOT regulation. The employer
acknowledged should include a Federal agencies (e.g.. references to the must base its request for tha second
stamped. aelf.addressed postcard with Privacy Act and to Executive Order sample on whatever other legal
their comments. The docket clerk will nsa's). Terminology referring to Federal authority is available, since the
time and data stamp the card and mail it "agencies" rather than to "employers" employer cannot rely on the DOT
back to the commantar. maybe confusing in the DOT regulated regulation as the basis for the request.
FOR FURTNER INFORMATION CONTACt `industry context One purpose of this As alluded to above, an employer may
Robert C. Aahby, Deputy Assistant rule Is to make necessary editorial submit to the DOT agency Involved a
General Counsel for Regulation and changes to adapt the content of the HHS protocol for testing another controlled
Enforcement, Department of Guidelines to the context of industries substance (see § 40.21(b)). DOT agencies
Transportation, 400 7th Street. SW., regulated by DOT. have discretion whether or not to
Room 10424, Washington DC, 20590. Mr. In addition. DHSS drafted the entertain such requests; if a DOT agency
Aahhy's phone number is 202"388"9308. Guidelines to apply to the physical and approves such a request. then the
sUPPLEMeNTARY INPORMATIOIE The organizational circumstances of Federal employer can test for the drug as part of
Department of Transportation (DOT) agencies. Obviously, the circumstances its DOT-mandated program.
believes that a drug-free transportation of industries regulated by DOT are very The HHS Guidelines require Federal
workplace is essential to transportation different from those of Federal agencies, agencies to keep a permanent log book
safety. For this reason, the Department's For this reason, the Department is at the collection site. This isa
operating administrations (the Federal modifying tome provisions of the HHS requirement that is likely to be difficult
Aviation Administration, Federal Guidelines to work better in the for many employers to meat, particularly
Highway Administration, Federal implementation of drug testing programs where them are scattered or remote
Railroad Administration, United States by DOT regulated industries. These locations at which testing must take
Coast Guard, Urban Mass revtaions are Intended to leave intact place. Consequently. the DOT
PAGENO="0153"
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61'I
PAGENO="0154"
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471)04 Federal Register / Vol. 53, No, 224 / Monday, November 21, 1988 / Rules and Regulations
This rule will affect small entities in
all the industries covered by DOT
operating administration drug rules. The
basic small entity impacts of each rule
have been considered as part of the
operating administrations' rulemakings.
The Department has taken steps, as
described in "Supplementary
Information," to reduce small entity
Impacts in such areas as Inspections,
submission of blind samples, and
permanent log books. Consequently, the
Department certifies that 49 CFR Part 40
will not have a significant economic
impact one substantial number of small
entities.
The Department has considered the
Federalism implications of this rule
under Executive Order 12612, The
Department has determined that this
rule does not have sufficient Federalism
implications to warrant the preparation
of a Federalism assessment. Federalism
implications of individual operating
administrations' drug rules are
discussed in those rulemaking
documents.
The reporting and recordkeeping
requirements referenced in this
regulation have been submitted for
Paperwork Reduction Act approval to
the Offic~ of Management and Budget
by the respective DOT operating
adminisfrationsin connection with their
own drug rulea..ThIs is because It is the
operating administration rules, rather
than this rule, that actually Imposes the
requirements on regulated parties.
However, the Office of the Secretary is
seeking 0MB approval under the
Paperwork Reduction Act for the form
described In 40.21-1(a). A Federal
Register notice will be published when
Paperwork Act approval is obtained.
This rule has been published without
prior opportunity for notice and public
comment. The Department finds that It
would be impracticable. unnecessary,
and contrary to the public interest to
seek prior public comment for this rule.
This finding Is made on the basis of the
overriding public interest in ensuring a
drug-free transportation wcrkplace, in
order to ensure transportation safety
andes a step toward controlling the
nationwide problem of drug abuse.
(There have been previous opportunities
for public notice and comment on this
subject, obtained by DHSS on the i-il-IS
Guidelines, which served as the basis
for this rule, and on the operating
administration drug rules. which
proposed use of the HHS Guidelines.) It
is necessary to publish final rules on this
subject at this time, so that all parties
affected by the operating administration
drug rules will know what is expected of
them with respect to testing procedures
as they develop their drug-free
workplace programs.
The Department will review
comments received on this rule and
publish a notice responding to the
comments. The Department will also
make any appropriate changes to the
rule at that time. The operating
administrations have received some
comments on the HHS Guidelines in the
course of their drug rulemakinga. These
comments will be made a part of the
docket for this rulemaking and the
Department will respond to them along
with the other comments we receive.
(Many of the changes in the HHS
Guidelines made in this rule appear to
be responsive to these comments.)
List of Subjects in 49 CFR Part 40
Controlled substances,
Transportation.
Issued this 34th day of November leaa, at
Washington. DC.
Jim Burnley,
SecretoiyofTronsportation.
49 CFR Subtitle Ala amended by
adding Part 40 to read as follows:
PART 40-PROCEDURES FOR
TRANSPORTATiON WORKPLACE
DRUG TESTING PROGRAMS
Subpart A-General
Sec
40.1 Applicability.
40.2 DefinitIons.
Subpart B-Scientific and Technical
40.21 The drugs.
40.23 PreparatIon for testing.
40.25 Specimen collection procedures.
40.27 Laboratory personnel.
40.29 Laboratory analysis procedures.
40.31 QualIty assurance and quality control.
40.33 Reporting and review of results.
40.35 ProtectIon of employee records.
40.37 Individual access to test and
laboratory certification results.
Subpart C-CertIfIcatIon of Laboratories
Engaged In Urine Drug Testing
40.41 Use of DHHS.certlfied laboratories.
Appendix A to Part 40-DHHS Certification
Standards
Appendix B to Part 40-Urine Custody and
Control Form
Autbedty 49 U.S.C. 102, 301.
Subpart A-General
401 Appllcsblllty.
This part applies to transportation
employers (including seLf.employed
individuals) conducting drug urine
testing programs pursuant to regulations
Issued by agencies of the Department of
Transportation and to such
transportation employers' officers,
employees, agents and contractors, to
the extent and in the manner provided
In DOT agency regulations.
40.2 DefInitions.
For purposes of this part the following
definitions apply:
Aliquot. A portion of a specimen used
for testing.
Chain of custody. Procedures to
account for the integrity of each urine
specimen by tracking its handling and
storage from point of specimen
collection to final disposition of the
specimen. These procedures shall
require that an approved chain of
custody form be used from time of
collection to receipt by the laboratory
and that upon receipt by the laboratory
an appropriate laboratory chain of
custody form(s) account for the nample
or sample aliquots within the laboratory.
Chain of custody forms shall, at a
minimum, include an entry documenting
data and purpose each time a specimen
or aliquot Is handled or transferred and
Identifying every individual in the chain
of custody. Two forms of chain of
custody documents are utilized under
this part. An external chain of custody
form or "urine custody and control
form" (described in 40.23) is used to
document chain of custody to the
laboratory. An internal chain of cultody
form is utilized to document handling
and transfer of the original sample
container and aliquots within the
laboratory.
Collection site. A place designated by
the employer where individuals present
themselves for the purpose of providing
a specimen of their urine to be analyzed
for the presence of drugs.
Collection site person. A person who
inntructa and assists individuals at a
collection site and who receives and
makes an initial examination of the
urine specimen provided by those
Individuals. A collection site person
shall have successfully completed
training to carry out this function or
shall be a licensed medical professional
or technician who is provided
Instructions for collection under this
part and certifies completion as required
herein. In any case where: (a) A
collection Is observed or (b) collection is
monitored by non-medical personnel.
the collection site person must be a
person of the same gender as the donor.
Confirmatory test. A second
analytical procedure to Identify the
presence of a specific drug or metabolite
which is Independent of the initial test
and which uses a different technique
and chemical principle from that of the
Initial test in order to ensure reliability
and accuracy. (At this time gas
PAGENO="0155"
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Federal Register I Vol 53 No 224 I Monday November 21 1988 I Rules and Regulations 47005
chrematography/mass spectrometry recognized organization which acts on (t) A preprtnted specimen
(GCIMS) is the only authorized behalf of the Secretary in implementing identification nwnber, which shall ha
confirmation method for cocaine, this part. unique to the particular collectiolL
manluana, opiates, amphetamines, sod (ii) The employee's Social Security or
phencyclidme ) Subpart 0-Sclenhlflc and TechnIcal employee Ident fication number which
DHHS The Department of Health and RaqulreiI1enl~ shall be entered by the employee
Human Servicesorany designee ofthe ~ 40,21 TM drugt (lii) Specification of the type of test
H manServii~s en o ea an (a) DOT agency drug testing programs conducted (pre employment random
DOTagency An agency of the United mquim that employers test for etc) which shall be entered by the
Stales Department ofTransportalloa manluana cocaine opiates employer representative or collector
administering regulations requinag amphetamines and phencyclidine (acting for the employer)
compl nca with this part lncludmg the (b) An employer mayinclude In its (iv) A block providing that Collector
United Slates Coast Guard, the Federal iealiii~ protocols other controlled must note temperature of specimen has
Aviation Adminlairailon, the Federal substances or alcohol only pursuant to a been read and record here ifnol within
Railroad Administration, the Federal DOT agency eppmval, If testing for the range of 32,S--37,7C/5O,5-S~,aFf'
Highway Administration, the Urban those substances is euthorizedunder with an area for the required notation,
Mesa Transportation Administration, agency regulations and if the (v) A chain-of-custody block providing
and the Research and Special Programs Department of Health and Human areas to enter the following information
Administration, Services has established an approved for each transfer of possession: purpose
Employee, An Individual designated testing protocol and positive threshold of change: released by (signature/print
Ins DOT agency regulation as subject to for each such substance name): received by (signature/print
drug urine testing and the donor of a (c) Urine/specimens collected under name): date. The words "Provide
specimen under Ihia part As used in ils DOT agency regulations requinng epecimen for testing and DONOR
pert employee includes a final compliance with this part may only be shall be preprinted in the initial spaces
applicant for employment Employee used to teat for controlled substances (vi) Information lobe completed by
end individual or mdsvidual to be designated or approved for testing as the collection site person ident fymg
tested have the same meaning for deacnbed in this section and shall not thaI person and provid ng the dale of
purposes of this pert. be used to conduct any other analysis or collection the collection site and the
Employer An entity employing one or test unless otherwise specifically telephone number (if any) of the
more employees that is subject to DOT suthonzed by DOT agency regulations collection site a space fur remarks at
agency regulations requiring compliance (d) This section does nut prohibit which unusual circumstances maybe
with this part. As used in this pert, procedures reasonably incident to described: and a certification statement
employer is inclusive of a industry analysis of the specimen for controlled as net f rth below ends signature block
consortium or joint enterpnse comprised substances (e.g., determination of pH or with date which shall be completed by
of two or more employing entities, but teats for specific gravity, creetinine the collection site person:
no single smploymg entity Is relieved of concentration, or presence of
lie responsibility for compliance with edullerente). I ceriify that the epecimen identified en his
this part by virtue of erticl etion in form Is the specimen presented ia me by the
such a consortium or joint enterprise. esan spsreilon 5~ tes5ng emplnyee providing the certificaiian belaw,
The employer and certified laboratory l~ tJi t~d I~ ~ern~tl ~
Initiol test (olso known os screening shall develop end maintain a clear end d th ii~ h bm c 11 i dl b lied d
test) An inimunoeseey screen to well-documented procedure for as led a req ired by th n trecil
eliminate "negative" urine specimens collection, shipment, end acceenloning provided.
from further consideration of unne specimens under this part Such
Med col Rev ew Officer A licensed s procedure shall include ate minimum ( ) A block to be c mpl ted by the
physIcian responsible forrecelvlng the following laboratory efier analysis of the
laboratory results geaereled by an (a) Utilization of a standard urine specimen prov ding a apace for entry of
employers drug testing program who custody end control form (carbonless the laboratory accession number ends
has knowledge of substance abuse memfoldj The form shell be a multiple certification to reed as follows togethe
diaordere and has appropriate medical pert carbonless record form with en with spaces to enter the pnnled name
training to interpret end evaluate en original (pert 1) that shell accompany and signature of the certifying
individuals positive test result together the specimen to the laboratory Copies laboratory official end date
with his or her medical history end any shall be provided for the Medical ice i fy th i th p in Id IS d by th
other relevant biomedical information Review Officer (pert 2 to god redly to cc I nanbe lathe same pa Im n th I
Permonent Record Book A the MRO) the employee (pert 3) the b ar th Id tit ti ambe ni f rth
permanently bound book in which collection site (part 4) (if distinct from b s th I th pecim h be a ml d
ideniifylng date on each specimen the ~mployer), and the employer upen recelpi. handled and anslyned in
collected ate collsction site are representative (partS) The form should sccaçd cs1w thd~lt bI F I h d
permanently recorded in the sequence of be a permanent record on which req c re
collection. May be used in conjunction Identifying data on the employee and on
with a modified urine cuslody and the specimen collection and transfer (21 InformatIon to be pro ided by the
control form to document collection, process is retained The form shall be employee which shell appear on parts 2
Reoson to belIeve Reason 10 believe constructed to display ate minimum through 5 of the form only Employee
that a particular Individual may alter or the followmg elements which shall name (prinledl duty location job title
substitute the urine specimen, appear on its respective parts as date of birth: ends certification
Secretory The Secretary of md sted sislement as set forth below together
Transportation or the Secreisry s (1) The following information shall with a ign sure hI ck w th date which
designee may bee contractor or oiher appear on all parts of the form shall be completed by the employee
PAGENO="0156"
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47000 Federal Regiater I Vol. 53, No. 224k! Monday, November 21, 1988 I Rube and Regulationa
tcertify that the mice spaciatenidentined aesoctated paperwork may be eource of water for washing hands.
es this form is my ewn: that It is fresh asd transferred and which can be sealed which, if practicable, should be external
has set been adulterated In asy manner ssd and initialled to prevent undetected to the enclosure where urination occurs.
~ tampering. (b) Security. The purpose of this
correct. th b fthi (d) Written procedures, Instructions paragraph Is to prevent unauthorized
specimes to the certified laboratory sod trsinirtg shall be provided as access which could compromise the
designated by my employer, to the soatysis of follows: integrity of the collection process or tho
the specimen for controlled sobstasces as (1) Employer collection procedures specimen.
pravided by Federal requirements, aod to the and training shall clearly emphasize that (11 Procedures shall provide for the
release of teat reeotte from that eoelyele to the collection site person is responsible designated collection site to he secure. If
the Medical Review Officer designated by my for meintaining the integrity of the a collection aite facility is dedicated
employer, specimen collection and transfer solely to urine collection, it shall be
(3) A block to be completed by the process. carefully ensuring the modesty secure at all times. If a facility cannot be
employee, which shall appear only on and prtvacy of the employee, and t5 tO dedicated solely to drug testing, the
parIs 2 end 3 of the fortn, containing a avotd any conduct or remarks that mtght purilon of the facility used for testing
statement as follows: "If you wish to be conatrued as accusatortal or shall be secured during drug testing.
have prescription or ovor-the.counter otherwtee offensive or mspproprtate. (2) A fadllity normally used for other
medications you may have taken or (2) A non-medtcal coliectton otte purposes, such sea public rent room or
been administered within the pant ~ person shall recetva tratnong to hospital examining room, maybe
dayn considered en your test results are compltance wtth thte part and nhsll secured by visual innpection to ensure
reviewed, you may list them here:" demonstrate protIctency to the , other persons are not present and
followed by an adequate writing urn to applicatsonof thts part poor to serving undetected access (e.g., through e rear
list auch substances. as a collectton otto person. A medtcat door not in the view of the collection
A form meeting the requirementn of this çro enalona cc 0 ogsat or tcisn site person) is not possible. Security
paragraph Is displayed at Appendix B to a~le itt ~te `urisctri'9 whch during collection may be maintained by
this part. The urine custody end control ~ollection occu~ ma sore ~ effective restriction of access to
form may Include such additional collection site person if that person Is collection materials and specimens. In
information as may be required for provided instructions described in this the case of a public rest room, the
btlltng or other legitimate purposes part and performs collections in fsctltty must be posted agatnst access
necensory to the collectton, provtded accordance with those instructions, during the enttrs collectton procedure to
that personal identifying tnformstioo (3) Collection site persons shall be svoid embarrassment to the employee
(.,ther than the employee identification provided with detailed, clearly or dtstrscttoo of the collectton site
number) may not be provided to the illustrated written Instructions on the perettn.,,,,,,
laboratory sod employee medical collection of specimens in compliance (3) If tt ts tmprsctncst to matntorn
information may appear only on the with this part Employer representatives continuous phystcst necurtty cf a
copies provided to the employee and to and employees subject to testing shall collection otto from the time the
the Medical Review Officer. In lieu of a also be provided standard written spectmen ts presented until the sealed
form meeting the above-described instructions netting forth their matter is fronsferred for shtpment. the
criteria, an employer may choose to use renpoasibilities. fullowtng mtnimum procedures nhsll
a multiple-sample chain of custody form sppl~ The specimen shalt remain undrr
tugether with a permanent record book t 40.25 Specimen collection procedures. the direct control of the collection site
maintained at the site of collection to (a) Designotion of collection site. (1) pernon from delivery to its being seated
document collection and transfer of Each employer drug testing pregram in the mailer. The mailer shalt be
sp mensunderth p ri solongas the h llh cone m des go t d Immed telyma led m ota nod n
data elements set forth above are collection sites which have all necessary secure storage, or remain until mailed
documented, personal identifying personnel, materials, equipment. under the personal control of the
information is not disclosed to the facilities, and supervision to prtivide fur collection site person.
laboratory, and the record syetem is the collection, security, temporary (c) Choin of custody. The chain of
designed in such a msnnqr as to storage, and shipping or transportation custody block of the urine custody and
maintain the confidentiality of medical of urine specimens to s certified drug control form shall be properly executed
information, testing laboratory. An independent by authorized collection site personnel
(bj Use of a temperproof sealing medical fscil(ty tnsy also be utilized as upon receipt of specimens Handling and
system designed ins manner such that a collection site provided the other transportation of urine specimens from
the specimen bottle top can be sealed applicable requirements of this part are one authorized individusl or place to
sgsinst undetected opening, the bottle met, another shall always be accontpltshed
can be identified with a unique (2) A designated collection site may through chain of custody procedures.
identifying number identical to tbst be any suitable location where a Every effort shall be msde to minimize
appearing on the urine custody and specimen can be collected under the number of persons handling
control form, snd spece has been conditions set forth in this part. specimens.
provided to initial the bottle affirming its including a properly equipped mobile (d)Access to outitorized personnel
identity. For purposge of clarity, this facility. A designated collection site only. No unauthorized personnel shall
part assumes uss of a system mode up shall be a location having an enclosure be permitted in any port of the
of one or more pre'printed labels and within which private urination can designated collection site when urine
eeals (ore unitary label/seal), but use of occur, a toilet for completion of specimens ore collected or stored. Only
other, equally effective technologies is urination (unless a single-use collector is the collection site person may handle
authorized, used witlt sufficient capacity to contain opecimeno prior to their securement in
(ci Use of a shipping container In the void), and a suitable clean surface the mailing container or monitor or
which one or more specimens and for writing. The site must olse have a observe specimen collection (under the
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891
PAGENO="0158"
154
47(J1J3 Federal Register / Vol. 53, No. 224 I Monday, November 21, 1988 I Rules and Regulations
(14) immediately after the specimen is concerning medications taken or shall be nullified and (at the election of
collected, the collection site person shall administered in the past 30 days. the employer) a new collection begun.
also inspect the specimen to determine (ill) When specified by DOT agency (g) Collection control. To the
its color and look for any signs of regulation orrequired by the collection maximum extent possible, collection site
contaminants. Any unusual findings site (other than an employersite) or by personnel shell keep the individual's
shall be noted on the urine custody and the laboratory, the employee may be specimen bottle within sight both before
control form, required to sign a consent orrelease and after the individual baa urinated.
(15~All specimens suspected of being form authorizing the collection of the After the specimen is collected, it shall
adulterated shall be forwarded to the specimen, analysis of the specimen for be properly sealed and labeled. The
laboratory for testing. designated controlled substances, and urine custody end control form shall be
(18) Whenever there is reason to release of the results to the employer, used for maintaining control and
believe that a particular individual has The employee may not be required to accountability of each specimen from
altered or substituted the specimen as waive liability with respect to the point of collection to final
described in paragraph (e)(2)(l) and (iii) negligence on the part of any person disposition of the specimen. The date
of this section, a second specimen shall participating In the collection, handling end purpose shall be documented on an
be obtained as soon as possible under or analysis of the specimen or to approval chain of custody form each
the direct observation of a same gender indemnify any person for the negligence time a specimen is handled or
collection site person. of others. transferred and every individual in the
(17) Both the individual being tested (23) A higherlevel supervisor of the chain shall be identified. Every effort
and the collection site person shall keep collection site person, ore designated shall be made to minimize the number of
the specimen in view at all times prior to employer representative, shell review persons handling specimens.
- its being sealed and labeled, As and concur In advance with any (h) T ~stton to laboratory.
provided below, the specimen shall be decision by a collection site person to Collection site personnel shall arrange
sealed (by placement of a tamperproof obtain a specimen under the lirect toelsip the collected specimens to the
seal over the bottle cap and down the observation of a same gender collection drug testing laboratory. The specimens
sides of the bottle) and labeled in the site person based upon the shall be placed in containers designed to
presence of the employee. If the circumstances described paragraph minimize the possibility of damage
specimen is transferred to a second (e)(2) of this section. during shipment (e.g., specimen boxes
bottle, the collection site person shall (24) The collection site person shall and/orpadded mailers); and those
request the individual to observe the complete the chain of custody portion of containers shall be securely sealed to
transfer of the specimen and the the urine custody and control form to eliminate the possibility of undetected
placement of the tamperproof seal over indicate receipt from the employee and tampering. On the tape sealing the
the bottle cap and down the sides of the shall certify proper completion of the container, the collection alte person
bottle. collection, shall sign and enter the date specimens
(18) The collection site person and the (25) The urine specimen and chain of were sealed in the containers for
individual shall be present at the same custody form are now ready for shipment. The collection site person
time during procedures outlined in shipment. If the specimen is not shall ensure that the chain of custody
paragraphs (f)(l9Hf)(22) of this section, immediately prepared for shipment, it documentation is attached to each
(19) The collection site person shall shall be appropriately safeguarded container sealed for shipment to the
place securely on the bottle an during temporary storage. drug testing laboratory.
identification label which contains the (26)(l) While any part of the above (i)Faium to cooperate. lithe
date, the individual's specimen number, chain of custody procedures is being employee refuses to cooperate with the
and any other identifying information performed, It Is essential that the urine collection process (e.g.. refusal to
provided or required by the employer. If specimen and custody docwnenta be provide a complete specimen. complete
separate form the label, the tamperproof under the control of the involved paperwork, initial specimen) the
seal shall also be applied. .collection site person. If the involved collection site person shall inform the
(20) The individual shall Initial the collection site person leaves his orlier employerrepresentative and shall
identification label on the specimen work station momentarily, the specimen document the non.cooperation on the
bottle for the purpose of certifying that it and urine custody and control form shall wine custody and control form.
Is the specimen collected from him or be taken with him or her or shall be
her. secured. After the collection site person ~ Laterstory personnel.
(21) The collection site person shall returns to the work station, the custody
enter on the urine custody end control process will continue, lithe collection (a) Day.to.day management. (1) The
form all information Identifying the site person is leaving for an extended laboratory shall have a qualified
specimen. The collection site person period of time, the specimen shall be individual to assume professional,
shall sign the wine custody and control packaged for mailing before he or she organizational, educational, and
administrative responsibility for the
form certifying that the collection was leaves the site. laboratory's wine drug testing facility.
accomplished eccording to the (ii) The collection site person shall not
instructions provided. leave the collection site in the interval (2) This individual shall have
(22) (i) The individual shall be asked between presentation of the specimen documented scientific qualifications in
to read and sign a statement on the by the employee and securement of the analytical forensic toxicology. Minimum
urine custody end control form sample with an identifying label bearing qualifications are:
certifying that the specimen identified as the employees specimen identification (I) Certification as a laboratory
having been coltected from him or her is number (shown on the wine custody director by the State in forensic or
in fact that specimen he or she provided. and control form) and seal initialled by clinical laboratory toxicology or
(ii) The individual shall be provided the employee. If it becomes necessary (ii) A Ph.D. in one of the natural
an opportunity to set forth on the wine for the collection site person to leave the sciences with en adequate
custody and control form information site during this interval, the collection undergraduate and graduate education
PAGENO="0159"
155
Federal Regleter I Vol 53 No 224 I Monday November 21 1988 I Rulee and Regulatiooe 47009
-~--~ ~ ~ - ~ ~ ~ ~[" [ ~ ~ ~ ~ z~ ~ ~ ~ ~
C b ology chemistry and ph no colegy characteristics f cc h test and tett I 40.2e LeboretorY enslyele prseed rn
or toxtcotogy, or system. (a) Securiiyondchoifl ofcustody. (1)
(iii) Training and expertence (7) This individual shall be Di'~g testinglsborstortes shall be secure
c mpsrabte te a Ph D in one of the responsible for tak ng 11 m d at t II t met They shalt have in place
natur 1 sc ences such as a medical or act ons necessary to m I tam suff nt s cunty measures to control
scientific degree with additional training satisfactory operation and performance access to the premises and to ensure
nd laboratory/research experience In of the laboratory in response to quality that no unauthorized pereonnel handle
b ology chemistry end pharmacology or control systems n t he ng within specimens or gain access to the
toxicology: and performance apecifications, errors in laboratory processes or to areas where
(i ) In addition to the requirements in result report ng or in an tys a of records are stored Acc as to these
p ag aph (e)(2) (t) (ii) end (lii) of this P rformance test ng results This secured arees shalt be tim ted to
tection minimum qualifications also nd idu I shalt ensure that e mpte specifically authorized individu ts
require results are not reported unt I all whose authorization is documented
(A) Appropriate experience in corrective actions have been taken end With the excepti n of personnel
eneiyticei forensic toxicology including he or she can assure that the tests authorized té conduct inspections on
experience with the analysis of results provided are accurate end behalf ofFederal agencies for which the
biological materiel for drugs of abuse, reliable. * * leboretory is engaged in urine testing or
end (b) Test clidotion The laboratory e on behalf ofDHHS alt euthonred
(B) Appropriate ire mng end/or urine drug testing facility shell have a v e tore end maintenance end a rvice
experienc in foren Ic epplicat one of quehf ed md iduel(s) who rev ewe all pe sound sb 11 beasco ted at 11 tim a
nelyticel toxicology e g publicetione pertinent d te end quel ty control Document tion of mdi iduel acceeeing
court testimony ieee rcb conceming reaulte in o der to attest to the validity thete areas dates end time of entry end
analytical toxicology of drugs of abuse of the lebocetors' e test eporte A purpose of entry must be maintained
roth r factors which qualify the laboratory may designate more than one (2) Laboreton e eh 11 i..ee che n of
md v dual cc en expert witneos in person to perform this function This cu tody pr ceduree toot mt n c ntrul
forensic toxicology individual(s) may be any employee who end accountability of specimens from
(3) this individual shell be engaged in is qualified lobe responsible for day-to- receipt through completion of teuting.
end responsible for the day-to-day day management or operation of the reporting of results, during storage. end
m n gement of the drug testing c D doo eZt nd cool nuing until fnel d pee I on of
laboratory even where enotber ~ ervifon o'à" a'Y eta The specimens The date end purpose shell
d du thee over tlreeponeibibly for lu~'o at urin 3' b do ume I don aneppr pi tech n
an entire molt epecielty lab retory shall b:~en ~ ~ y of c otody form each I me a spec m n
(4) This individual shall be responsible for day-to-day operations handled or transferred end every
reeponeible for eneunog that there are end to supervise the t cbnicel enelyete md id 1 o the h n ebell be
enough pereonnei with adequate , This individual(s) shell have at leeet ~ identified. Accordingly, euthonced
training end expenence to supervise end bachelor'e degree in the chemical or te~hnmcien~ shell be ~eepo~meible for each
conduct the work of the dreg testing biological scienceo or medical urine specimen or eliquot in their
laboratory He or she shell eeeure the technology or equivalent. He or ehe possession end shell sign and complete
conti ed comp tency of leboretory hell heve training and experienc in the che n f custody forms to those
pereonnel by documenting their theory end precttce of the proceduree spec mene rat quote cc lb y re
ineervice treming, reviewing their work used in the leboretory, reuutting in his or received.
performance end venfying their skills her thorough underet nding of quality (b) Rece ring (1) When e ebipm nI of
(5) This individual shall be control preclicee and procedures; the specimens is received, leboretory
responsible for the laboratory's having a review, interpretetion, end reporting of pereoonel shell mepect each peckege for
procedure menuel which Ia complete, test resulie; meintenence of chain of evideece otpeeeible tempering end
p to dde aveiteble for personnel custody end proper remediel ectione to compere Informetion on specimen
perf rming tests end followed by those be taken in response to test eyetems bottle with n each p ck g to the
personnel The procedure manual shall being out of control 1 mite or detecting inform lion on the ccompenying the n
be reviewed signed end dated by this eberrent test or quelity control results of custody forms Any d ccl e dence of
renponemble individuet whenever (d) Otherpersonnel Other technicians tempering or discrepancies in the
procedures are first pleced into cc or or nontechmcel staff shell have the Information on specimen bottlee end the
cha ged or when e new mdi duel neceeeery training and chills for the employers chain of c etody forms
assumes reeponeibility for management teeke assigned attached to the shipment shell be
of the drug test ng leboretory Cop cc of (e) Training The laboratory e unne immed etely reported I the employer
eli p oceduree nd dates on which they drug testing program shell make nd shell b noted on th 1 b dory
re in effect shell be mcml ned a a table continuing education progreme hem of custody form which ebell
(Spec I contents of the p cedure tomeet the needs of lebor tory eccomp ny the ep cimene white they
menu I are deecnbed in I 40 2g(n)(1)) personnel a clothe 1 bor tory e poeeeeemon
(6) Thie nd idu 1 shell be (f) Flee Laboratory pereonnel flee (2) Spec men bottles w 11 norm Ily be
reepone ble for mcml ning a quality shall include resume of Ire ning end ret ned w thin the leborelory
nec program to assure the pr p r e penence certification o I cenee it cceee on r a nt 1 cit nelyoee have
pe form nec nd eporting of all test eny efere eec job deecnpt one been complet d Al quote end the
eeutle for maintaining acceptable reco d of performance evet elion end 1 boratory e b n of uet dy forms
tyt eel pe f maceec for all contrele edvencement incident reports end shell be sed by lebo tory pe coon 1
end etenderde for maintaining quality results of tests which eeteblieh for conducting iniliel and confirmatory
en trol test ng d to a e r ng nd empl yee comp ten y for the poe lion tests
doe ment ng the vet dity reliability he r she holde such as test to color Ic) Short term refrige otedit age
ccc y p eels on a d performen e bt dneee f app op Ic Sp c mene that do not receive a mnitiel
PAGENO="0160"
156
47010 Federal Register I Vol. 53, No. 224 I Monday, November 21, 1988 / Rules and Regulations
test within? days of snivel at the
laboratory shall be placed In secure
refrigeration units. Temperatures shall
not exceed 6'C. Emergency power
equipment shall be available in case of
prolonged power failure.
(d) Specimen processing. Laboratory
facilities for urine drug testing will
normally process specimens by grouping
them into batches. The number of
specimens In each batch may vary
significantly depending on the size of
the laboratory and Its workload. When
conducting either Initial or confirmatory
tests, every batch shall contain an
appropriate number of standards for
calibrating the instrumentation and a
minimum of 10 percent controls. Both
quality control and blind performance
test sumples shall appear as ordinary
samples to laboratory anaiysta.
(e) Initial test (1) The initial test shall
use an lmsnunoassay which meets the
requirements of the Food and Drug
Administration for commercial
distribution. The following initial cutoff
levels shall he used when acreening
specimens to determine whether they
are negative for these five drugs or
claaees of drugs:
te5& test
LeeS
tee/mt
Met$eata metabewtee ~.. - inn
Geese meSeten.. ...._. 306
Opiate metabeless_._._. `300
Pfreecscfreee 2a
Mepfrstsmiaes___ 1.000
* `sOne/sS 5 iaseaeeeseey epecite fur free mw~
(2) These test levels are eub)ect to
change by the Department of Hesltti end
Human Services aa advances in
technology or other considerations
warrant Identification of these
substances so other concentrations.
Initisi teat methods and testing levels for
other druge shall he submitted in writing
by the employer for the written approval
of the DOT Agency under that agency's
regulations.
* (f)Conflrmatoiytest(1)AU
epecimene identified as positive on the
initial test shall be conflnned uelng gee
chromatography/mace epectrometry
(CC/MS) tachnlquee at the cutoff values
lleted in this paragraph for each drug.
All conflrmstione shall be by
quantitative analysis. Concentrations
which exceed the linear region of the
standard curve shall he documented in
the laboratory record as "greater then
higheat standard curve value."
tey test
iev~$ns/
telephone. The laboratory and employer
must eneure the security of the date
transmission and limit access to any
date transmission, storage, and retrieval
system.
(5) The laboratory eheil send only to
the Medical Review Officer the original
ore certified true copy of the urine
custody and control form (part 1), which
shall be signed (after the required
certification block) by the inde dust
responsible for day.to.day management
of the drug testing Isboratory or the
individual responsible for attesting to
the validity of the test reports. end
attached to which shall has copy of the
test report.
(6) The laboratory shall provide to the
umployer official responsible for
coordination of the drug free workplace
program a monthly statistical summery
of urinalysis testing of the employer's
employeea end ahsli not include In the
summary any personal identifying
information. Initial end confirmation
data shall he included from test results
reported within that month. Normally
this summery shalt be forwarded by
registered or certified mail not more
then 14 calender dsys after the end of
the month covered by the summary. The
summery shell contain the following
information:
(I) Initial testing:
(A) Number of specimens received:
an~ Number of specimens reported out:
.
(C) Number of specimens screened
positive for
Marliusna metsbnlitea
Cocaine meishulites
Opiate meisbolitea
~n~clai~e
~
(ii) Confirmatory testing~
(A) Number of specimens received for
confirmation:
(B) Number of specimens confirmed
sitiv f r
~
Marijuana mstabulits
Cocaine meisholite
~orPhln~reine
~p~tamin
Nt thmeph t mine
*
(7) The laboratory shell make
available copies of all analytical results
foeemployer drug testing programs
when requested by DOT or any DOT
agency with regulatory authority over
the employer.
(8) Unless otherwise instructed by the
employer in writing, all records
pertaining to a given urine specimen
shall be retained by the drog testing
laboratory fore minimum of 2 years.
Mattjaane metatielite `
Cecasta eetabutits `
OPla~~,
Cestes
Pfrencycllaee -
Ainpfretamees:
~
is
100
~®
300
25
eon
an
`Oeea.S.tatrsfrydrecaenstsnel.s.cstfrueytc ccitt -
Senzey .
(2) These test levels are sub)ect to
change by the Department of Health and
Human Services as advances in
technology or other considerations
warrant identification of these
substances at other concentrations
Confirmatory test methoda end testing
levels for other drugs shall be submitted
in writing by the employer for the
written approval of the DOT agency as
provided in that agency's regulations,
(g) Reportingresults. (1)The
Isboretory shell report test results to the
employer's Medical Review Officer
within an average of 5 working days
after receipt of the specimen by the
leboretory. Before any test result is
reported (the results of initial teete,
conflnnatory tests, or quality control
data), it shell be reviewed end the test
certified sean accurate report by the
~7t ~
for, whether positive or negative, and
the cutoff for each, the specimen number
assigned by the employer, and the drug
testing laboratory specimen
identification number (accession
number). The reeults..(positive end
negative) for all specimens submitted at
the same time to the laboratory shall be
reported beck to the Medical R,eview
Officer at the same time.
(2) The leboratory shall report os
negative all specimens which are ,
negative on the Initial test or negative
on the confirmatory test Only
specimens confirmed positive shall be
reported positive for a specific th~.
(3) The Medical Review Officer may
request from the laboratory and the
laboratory shall provide quantitation of
test reeults. The Medical Review Officer
may not disclose qusntitstion of test
results to the employer but shall report
only whether the test was positive or
negative,
(4) The laboratory may transmit
reaulte to the Medical Review Officer by
various electronic means (for example.
teleprintere, faceimils, or computer) in a
manner designed to ensure
confidentiality of the information,
Resulta may not he provided verbally by
PAGENO="0161"
157
Federal Register I Vol. 53, No. 224 I Monday, November 21, 1988 I Rules and Regulations 47011
(h) Long-term storage. Long.term inspect the laboratory at any time. (ii) There shall be written procedures
frozen storage (-20' C or less) ensures Employer contracts with laboratories for for instrument set-up and normal
that positive urine specimens will bs drug testing. as well as contracts for operation, a schedule for checking
available for any necessary retest collection site services, shall permit the critical operating characteristics for alt
during administrative or disciplinary employer and the DOT agency of instruments, tolerance limits for
proceedings. Drug testing laboratories jurisdiction (directly or through an acceptable function checks and
shall retain and place in properly agency) to conduct unannounced instructions for major trouble shooting
secured long-term frozen storage furs inspections, and repair. Records shall be available
minimum sf1 year all specimens *` (m) Documentation. The drug testing on preventive maintenance.
confirmed positive. Within this 1-year laboratories shall maintain and make (4) Remedial actions. There shall be
period an employer (or other person available for at least 2 years written procedures for the actions to be
designated in a DOT agency regulation) documentation of all aspects of the taken when systems are out of
may request the laboratory to retain the testing process. This 2-year period may acceptable limits or errors are detected.
specimen for an additional period of be extended upon written notification There shall be documentation that these
time, but if no such request is received by a DOT agency or by any employer procedures are followed and that all
the laboratory may discard the for which laboratory services are being necessary corrective actions are taken.
specimen after the end of 1 year, except provided. The required documentation There shall also be In place systems to
that the laboratory shall be required to shall include personnel files on all verify all stages of testing and reporting
maintain any specimens under legal individuals authorized to have access to and documentation that these
challenge for an indefinite period. specimens; chain of custody documents; procedures are followed.
(i) Refesting specimens. Because some quality assurance/quality control (5) Personnel available to testify at
analytes deteriorate or are lost during records; procedure manuals; all test data proceedings. A laboratory shall have
freezing and/or storage, quantisation for (including calibration curves and any qualified personnel available to teutify
a retest is not subject to a specific cutoff calculations used in determining test in an administrative or disciplinary
requirement but must provide data results); reports; performance records on proceeding against an employee when
sufficient to confirm the presence of the performance testing; performance on that proceeding is based on positive
drug or metabolite. certification inspections; and hard urinalysis results reported by the
(j) Subcontracting. Drug testing copies of computer-generated data. The laboratory.
laboratories shall not subcontract and laboratory shall be required to maintain
shall perform all work with their own documents for any specimen under legal §40.31 Quality assurance and quality
personnel and equipment. The challenge for an indefinite period, control.
laboratory must be capable of (n) Additional requirements for (a) Genes-al. Drug tooting laboratories
performing testing for the five classes of certified laboratories.-(1) Procedure shall have a quality assurance program
drugs (marijuana, cocaine, opiates, manual. Each laboratory shall have a which encompasses all aspects of the
phencyclidine, and amphetamines) using
the initial immunoassay and procedure manual which includes the testing process including but not limited
confirmatoty GC/MSmethoda specified principles of each test, preparation of to specimen acquisition, chain of
in this part procedures. This paragraph reagents, standards and controls, custody, security and reporting of
does not prohibit subcontracting of calibration procedures, derivation of results, Initial and confirmatory testing,
laboratory analysis if specimens are results, linearity of methods, sensitivity and validation of analytical procedures.
sent directly from the collection site to of the methods, cutoff values, Quality assurance procedures shall be
the subcontractor, the subcontractor is a mechanisms for reporting results, designed, implemented. and reviewed to
laboratory certified by DHHS se controls, criteria for unacceptable monitor the conduct of each step of the
required in this part, the subcontractor specimens and results, remedial actions process of testing for drugs.
performs all analysis and provides to be taken when the test systems are (b) Laboratory quality control
storage required under this part, the outside of acceptable limits, reagents requirements for initial tests. Each
subcontractor is responsible to the and expiration dates, and references. analytical run of specimens lobe
employer for compliance with this part Copies of all procedures and dates on screened shall include:
and applicable DOT agency regulations which they are in effect shall be (1) Urine specimens certified to
self it were the prime contractor, and maintained as part of the manual. contain no drug:
other relevant provisions of this part are (2) Standards and controls. (2) Urine specimens fortified with
observed, Laboratory standards shall be prepared known standards: end
(k)Laboratoryfacilities. (1) with pure drug standards which are (3) Positive controls with the drug or
Laboratory facilities shall comply with properly labeled as to content and metabolite at or neat the threshold
applicable provisions of any State concentration. The standards shall be (cutoff). -
licensure requirements. labeled withthe following dates: when In addition, with each batch of samples
(2) Laboratories certified in -received: when prepared or opened: a sufficient number of standards shall
accordance with DHHS Mandatory when placed in service; and expiration be included to ensure and document the
Guidelines for Federal Workplace Drug date. linearity of the assay method over time
Testing Programs must have the (3) Instruments and eqw~oment. (i) in the concestration area of the cutoff.
capability, at the same laboratory Volumetric pipettes and measuring After acceptable values are obtained for
premises, of performing Initial and devices shall be certified for accuracy or the known standards, those values will
confirmatory tests for each drug or be checked by gravimetrlc. colorimetric, be used to calculate sample data.
metabolite for which service Is offered. or other verification procedure. Implementation of procedures to ertnure
(I) Inspections. The Secretary, a DOT Automatic pipettes and dilutors shall be that carryover does not contaminate the
agency, any employer utilizing the checked for accuracy and testing of an individual's specimen shall
laboratory. D1-tFtS or any organization reproducibility before being placed In be documented. A minimum of 10
performing liboratory certification on service and checked periodically percent of all test samples shall be
behalf of DHHS reserve the right to thereafter. quality control specimens. Laboratory
55-369 0 - 92 - 6
PAGENO="0162"
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PAGENO="0163"
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Federal Register I Vol. 53, No. 224 / Monday. November 21. 1988 / Rules and Regulations 47013
applicable, to the management official
empowered to recommend or take
administrative action (or the official's
designated agent), or both.
(d) Verification for opiates; review for
prescription medication. Before the
Medical Review Officer verifies a
confirmed positive result for opiates, he
or she shall determine that there Is
clinical evidence-in addition to the
urine teal-of unauthorized use of any
opium, opiate, or opium derivative (e.g.,
morphine/codeine). (This requirement
does not apply if the employer's CC/MS
confirmation testing for opiates confirms
the presence of 6.monoacetylmorphine.)
(e) Reanalysis authorized. Should any
question arise as to the accuracy or
validity of a positive test result, only the
Medical Review Officer In authorized to
orders reanalysis of the original sample
and such retents are authorized only at
laboratories certified by DHHS. The
Medical Review Officer ahall authorize
a reanalysis of the original sample on
timely request of the employee, as
provided in applicable DOT agency
regulationa.
(f) Result consistent with legal drug
use. If the Medical Review Officer
determines there is a legitimate medical
explanation for the positive test result,
the Medical Review Officer shall report
the test result to the employer as
negative.
(g) Result scientifically insufficient.
Additionally, the Medical Review
Officer, based on review of inopection
reports, quality control data, multiple
samples, and other pertinent results,
may determine that the result Is
scientifically insufficient for further
action and declare the test specimen
negative. In this situation the Medical
Review Officer may request reanalysis
of the original sample before making this
decision. (The Medical Review Officer
may request that reanalysis be
performed by the same laboratory or, as
provided in § 40.33(e). that an aliquot of
the original specimen be sent for
reanalysis loan alternate laboratory
which ia certified in accordance with the
DHHS Guidelines.) The laboratory shall
social In this review process as
requested by the Medical Review
Officer by making available the
individual responsible for day.to.day
management of the urine drug testing
laboratory or other employee who is a
forenoic toxicologist or who has
equivalent forensic experience in urine
drug testing, to provide specific
consultation as required by the
employer. The employer shall include in
its annual report to the DOT agency a
summary of any negative findings based
on scientific insufficiency but shall not
Include any personal identifying
Information In such reports.
§40.35 ProtectIon of employee records
Employer csntracts with laboratories
shall require that the laboratory
maintain employee test records In
confidence, an provided In DOT agency
regulations.
540.37 individual acceseto test and
laboratory certification result..
Any employee whole the subject of a
drug test conducted under this part
shall, upon written request, have access
to any records relating to his or her drug
teat and any'records relatings to the
results of any relevant certification,
review, or revocation.of'certification
proceedings.
Subpart C-Certification of
Laboratories Engaged In Urine Drug
Testing
§40.41 Use of DHHS-certified laboratories.
Employers subject to this part shall
use only laboratories certified under the
DHHS Mandatory Guidelines for
Federal Workplace Drug Testing
Programs, 53 FR 11970, April 11, 1988,
and subsequent amendments thereto.
DM1-IS certification standards are set
forth in Appendix A to this part fIr
information and reference. Information
concerning the current certification
status of laboratories is available from:
the Office of Workplace Initiatives,
National Institute on Drug Abuse, 5000
Fishers Lane, Rockville, Maryland 20857.
Appendix A to Part 40-DHHS
Laboratory Certification Standards
Note: Reproduced beisw is subpart C sf the
Mandatory Guidelines for Federal Workplace
DrugTestisg Programs issued by DHHS.
Croso.referencen are to sectisns of thsse
DUStS Guidelises. Equivalent prsvislsns in
this part stay be determined by reference to
the following table:
Part 40
DHHS Guidelines:
Section 1.1 § 40.1
Section 1.2 840.2
Sectiss 2.1 840.21
Sectios 22 840.25
Section 2.3 § 40.27
Sectiss 2.4 § 40.28
Section 2.5 040.31
Sectios 2.8
Section 2.7 §40.33
Section 2.8 §40.35
Section 2.9 §40.37
Subpart C-Cerilflcstloo of Laboratories
Engaged in Urine Drug Testing for Federal
Agencies
Section 3.1 Introduction.
Urine drag testingis a critical component
of efforts to combat drag abuse in our society.
Many laboratories are familiar with good
laboratory practices but may be unfamiliar
with the special procedures required when
drug test results are used In the employment
context. Accordingly. the following are
minimum standards to certifylaboratories
engaged Is urine drug tenting for Federal
agencies. Certification, even at the highest
level, does not guarantee accuracy of each
result reported by a iaboratsry conducting
urine drug tenting for Federal agencies.
Therefore, results from laboratories certified
under these Guidelines meet be Interpreted
with a complete understanding of the total
collection, analysis. gnd reporting process
before a final conchinlon Is made.
Section 3.2 Goals and Objectives of
Certification.
(Is) Uses of Urine Drug Testing. Urine drug
testing In unimportant tool toidentify drug
users ins variety of settings. In the proper
context. arise drug tenting can be used to
deter drug abuse in generaL To be a useful
tool, the Seating procedure munt be capable of
detecting drugs or their meiaboiites at
concentrations indicated is nectlon 2,4 (e) and
(0.
(bi Need to Set Standards; Inspections.
Reliable discrimination between the
presence, or absence, of specific drugs or
their metaboliteo in critical, not only to
achieve thegoatu of the tenting program bat
to protect the rights of the Federal employees
being tested. Thus, standards have been set
which laboratories engaged In Federal
employee urine drug tasting must meet 1st
order to achieve maximum accuracy of tent
renults. These laboratories will be evaluated
by the Secretary or the Secretary's designee
as defined in oectionl.2 in accordance with
these Guidelines. The qualifying evaluation
will involve three rounds of performance
testing pluo on.nlte inspection. Maintenace of
certification requires participation loan
every.other.month performance tenting
program plus periodic. on.sitelnspections.
One Inspection following successful
completion of a performance tenting regimen
is required forinitlal certification. This must
be followed by a necond Inspection within 3
months, afterwhich biannual inspections will
be required to maintain certification.
(c) Urine Drsg Testing AppliesAnalyticsl
Forensic Toxicology. The possible impact of
a positive teat result on as individual's
livelihood or rights, togetherwith the
possibility of a legal challenge of the result,
sets thin type of tent apart from munt clinical
laboratory testing. Intact, urine drug testing
should be considered a special application of
analytical forensic toxicology. That is. in
addition to the application of appropriate
analytical methodology. the upecimen most
be treated as evidence, and all aspects of the
testing procedure must be documented and
available for possible court testimony.
Laboratories engaged In urine drug testing for
Federal agescien wilt require the services and
PAGENO="0164"
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PAGENO="0165"
161
Federal Register I VoL 53, No. 224 I Monday, November 21, 1988 I Rules andkegulations 47015
(c) Effective Date. A suspension shall be Section 3.18 Performance Test Specimen (5) For any individual drug, an applicant
effective immediately. A proposed revocation Composition. laboratory ahait ouccesafuily detect and
shall be effective 30 days after written notice (a)Descripfion ofthe Drugs. Performance quantitate in accordance with paragraphs
is given or, ifreview Ia requested, upon the teat specimens shall contain those drugs and (a)(2), (a)l3), and (a)(4) of tins section at teaot
reviewing official's decision to uphold the metabolitea which each certified laboratory flOperceot ofthe total drug challenges,
proposed revocation. If the reviewing official must be prepared to assay in concentration Fatiwe to successfully quanlitaleat least 50
decides not to uphold the suspension or ranges that allow detection ofthe anatyte by percent ofthe challenges for any sdimduat
proposed revocation, the suspension ehatt commonly uaedimmun000say screening drug will result to dtsqualtfication.
terminate immediately and any proposed techniques. These levels are generally in the b. Ongoing Testing of Certified
revocation shall not take effect range of concentrations which might be Laboratories. (1) False Positives ond
(d) DHHS'Recogaized Certification expected in the urine of recent drug users. For ProcedsreaforDealing with Them. No false
Program. The Secretary's responsibility under some drug anatytes, the specimen drug identifications are acceptable for any
this section maybe carried out by DH}tS- composition wilt conoist of the parent drug as drugs for which a laboratory offers service.
reco ized certifi atio j~ wail as major metabolites. In some cases, Under some circumstances a false poaitive
d ith th G Id t' - more than one drug class may be inctudedin test may result in suspension or revocation of
one specimen container, but generally no certification. The moot serious false positives
Section 3.16 Recertification, more than two drugs will be present in any are by drug class, such as reporting ThC iou
Following the termination or expiration of one specimen in order to imitate the type of blank specimen or reporting cocaine in a
any suspension or revocation a laboratory specimen which a laboratory normally specimen known to contain only opiates.
I f sir ti `U lb encounters. For any particular performance Mioidentificationo within a classo leg.,
submission of evidence satisfacto to the testing cycle-the actual composition of kits codeine for morphine) are stun false positives
S I tt'at lb I b t t' going to different laboratories will vary but, which ore unacceptable in an appropriately
th th Guid ~~`DM1S ~` within any annual period, all laboratories controlled laboratory. but they are clearly
participating wilt have analyzed the same less serious errors than misidentification of a
recogn ze ccitt cation program ~` total set of specimens. claus. The following procedures shall be
accordance with ese Guide toes, an any (hi Concentrations. Performance test followed when dealing with a false pooitve:
other conditions imposed as part of the specimens shall be spiked with the drug (i) The agency detecting a false positive
suspension or revocation, the Secretary may classes and their metabalites which are error shall imniediatety notify the laboratory
recertify the laboratory or accept the required for certification: marijuana, cocaine, end the Secretary of any ouch error.
recertification of the laboratory by 5 DHHS~ opiates, emphetamined, and phencyclidine. (ii) The leboralory shall provide the
recognized certification program. with concentration levels set at least 20 Secretary with a written explanation of the
Section 3.17 Performance Tent Requirement percent above the cutoff limit for either the reasons for the error within 5 working daye. If
f C if t d y h hi Sm q dbyp g pt'(b)(l)( )b I w th
((Alt! dC t gRqrem t ~ tip m myb ~YdthIh~mlhff
The performance testing program ins part of identified for Ce/MS essay onty. Blanks a sb t I d d th fat ositive
the initial evaluation of a laboratory seeking shall contain tess than 2 ag/mI of any of the ~ . p
certification (both performance testing and target dregs. These concentration and drug (iii) `the Secretary shall review the
laboratory inspection are required) end of the types maybe changed periodically in t b t ` Ia atien within 5 workin
continuing assessment of laboratory response to factors ouch as changes is d- d d d h ~ th ti fan
performance necessary to maintain this detection technology end patterns of drug
certification, use. U (If lb cI t rmincd to be en
(b) Three Initial Cycles Required Section 3.19 Evalaoiion of Performance administrative error (clerical, sample mixup,
Successful participation in three cycles of Testing. etc.). the Secretary may direct the luboratory
testing shell be required before a laboratory . to take corrective acliou to minimize the
ineligible lobe considered for inspection and (a) Insticl Certification. (1) An app cant occurrence of the particular error, in the
certification. These initial three cycles (and a oratory s a not report any a se p085cc future and, if there ix reason to believe the
any required for recertification) can be resut tiring per ormance en ing itO error could have been systematic. may
compressed into a 3'month period (one per eatomatically di~quaIifya1absratory from require the laboratory to review and
farther consideration. reanalyze previously run specimens.
(c(Stx Challenges Per Year After t 1 b h 11 t ` (vllf the error a deleraxined tube a
certification, laboratories shall be challenged en averall grade level of in~trcent for the technical or methodological error, the
every other month with one set of at least is three c des of performance teeting required laboratory shalt submit to the Secretary eli
specimens-a total of six cycles per year. f `1 1 Vt t .~ t ctt quality control data from the batch of
(dl Laboratory Procedures Identical for identify end confirm 00 percent of the total~ specimens which inctuded the false positive
Performance Test and Roaiane Employee drug challenges for each shipment. Any specimen. to addition, the taboratury shatl
Specimens. All procedures associated with laboratory which achieves a score on any retest all specimens analyzed positive by ihe
the handting end testing of the performance one cycle of the initial certification such that laburatory from the time of final resolution of
test specimens by the laboratory shalt lathe it can no longer achieve a total grade of ~a the error back to the time of the last
greatest extent possible be carried satins percent aver the three cycles wilt be satisfactory performance test cynic. This
manner identical to that applied to routine immediately dioqualified from further relenting shall be documented bye statement
laboratory specimens, unless otherwise consideration, signed by the individual responsible for the
specified. -(3(An applicant laboratory shall obtain day.to.day management of the laboratory's
(e( Blind Performance Test. Any certified quantitative values for at leant 80 percent of wine drag tenting. Depending on the type of
laboratory shall be subject to blind the total challenges which are loin percent or error which caused the false positive, this
performance testing (ace section 2.5(d)). ±2 otenda~d deviations of the calculated relenting maybe limited Inane anatyte or
Performance on blind test specimens shall be reference group mean (whichever is larger). may include any drugs a laboratory certified
at the same level as far the apes or nan'blisd Failure to achieve 00 percent will result in under these Guidelines must be prepared to
performance testing. disqualification, assay. The laboratory shull immediately
It) Reporting-Open Performance Test. The (4) An applicant laboratory shall not obtain notify the agency if aiiy result on a retest
laboratory ahalt report results of open any quantitative values that differ by more sample must be corrected because the criteria
performance tests to the certifying than 50 percent from the calculated reference for a positive are not satisfied. The Secretary
urgenination in the same manner as specified group mean. Any quantitative values that may suspend or revoke the loboratory's
in section 2.4(g((2( for routine laboratory differ by more thea 50 percent will result in certification for alt drags or for only the drug
specioiess. disqualification, or drug class in which the error occurred.
PAGENO="0166"
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t
I
0
0.
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PAGENO="0167"
- Federal Register I Vol. 53, No. 224 / Monday, November 21, 1988 I Rules and RegUlatiOns 47017
URINE CUSTODY AND CONTROL FORM
STOP 1 -- TO BE COMPLETED DY EMPLOYEE/APPLICANT
(epioyee 1.0. H__________________ (PRO-PRINTED SPECIMEN 1.0. N] Eçioyer Moe: ______________________
Social Security No.
or Ee~loyee No.
STEP 2 -- TO BE COMPLETED BY EMPLOYER BCPRCSENTATIVE/OR COLLECTOR Reason for Test (Check One)
[I] Pr-en~ioynent [] Post Accident [I] Randos [I] Periodic Medical
[I]
STEP 3 -- COLLECTOR MUST NOTE THAT TEMPERATURE OF SPECIMEN HAS BEEN READ. RECORD IF NOT WITHIN TUE RANGE OF
32.5 . 37.7C/ 90.5 - 99.8 F: * [] RIOIiIN BADGE
STEP 4 -. TO BE INITIATED BY THE PERSON COLLECTING SPECIMEN AND COMPLETED AS NECESSARY THEREAFTERI
Released By* I Received By
STEP 5-- (SEE BELOH -- TO BE COMPLETED BY EMPLOYEE)
STEP 6 -- BEFORE COMPLETING THIS STEP BARE EMPLOYEE COMPLETE STEP S BELOW. To be conqlteted by person collecting specimen:
Collector's Name________________________________________ Bate of Collection______________
163
Print (FI~5t, fl.1., Last)
Collection Site___________________________________________ ( I
Facility Bane and Location Telephone
Remarks concerning collection:
I certify that the specimen identified on this form is the specimen presented to no by the eoqaloyee providing the certification
below, that I have certified that it bears the same identification molter as that set forth above, and that it has been collected,
labeled amA sealed as required by the instructions provided.
SignaOure of collector
STEP 7 -. TO BE COMPLETED BY THE LABORATORY: Accession No. ___________
I certify that the specimen identified by this accession nsater is the sans specimen that hears the identification m*mAer set
forth above, that the specimen has been examined open receipt, handled and analyzed in accordance with applicable Pedoral
requirements, and that the results attached ore for that specimen.
Printed Name
Siguature Date
Copy No. 1: Original
PAGENO="0168"
164
47018 Federal Register I Vol. 53, No. 224 / Monday, November 21, 1988 I Rules and Regulations
etc a~snooo uso eons. reM
STEP * .. TO RE COMPLETES ST Er#LSTEE/AP?LICMMI
Enplcync .0. 5 (POE-PRINTED SPECIMEN 0.0. 0] E~ioyer Soon:
Social Sccurity Nc.
STEP S .. TO NG COMPLETES 50 EMPLOTER REPOEOEI1TATIVE/OR COELGCTOe Reason for Test (Check tnt)
[] Pre-ceploy-ont [J Post Occident [J Randea [~j Periodic itodical
[J Othor(Specify) , --
STEP 3 -. COLLECTOD HOST NOTE THAT TEMPERATURE OF SPECIMEN SOS NOES READ. REECHO IF MET WITHIN TOE NOtICE OF
30.0. 37.7C/ NOR - tOO Ft (J WITHIN NAOCH
STEP 4 .. TO NE IN1TIATEE 50 THE PE0005 COLLECTING SPECIMEN Oil COMPLETES *3 NECESSARY THOREWFTERi
Released Ny Receiced Oy
Puronne of Chant. SlonatijrniPrint SaNe 510naeurolPrint Mono Oats
Provide Dp.cioen for
Teseino GONER
STOP 0 -* (SEE IGLOO -. TO NE COMPLETES ST EMPLOYEE)
STEP S - NOIRE COMPlETING THIS STEP WAVE EMPLOYEE CIHPN.ETEOTEP 5 RELOW. To be oeeplstad by person cellsctie apsoitoot
Collectors Neon_____________________________________ Oats of Collection_____________
Collection Site
Telephone
HearSe c000erniNO coliettitn:
caroify thee Ohs spedleon identified on this for. No tOe specieen presented to no by the eepteyee providin5 the oertifitation
bun, that I Mace certified toot it Soars the seen identification eater as that sot forth above, and that it too been collecTed.
labeled aid sealed as roqcired by the ifetrut5000s provided.
- Signatare of ceiiectoc'
STEP P .. TONE COMPLETES ST Tilt SA3CRAT000e Accessiee No. ___________
I certify that the specie.. identif led by this etcesoice eetOer is the sees specisen that beers the idontification nuetnr set
forth e5oce, that the speninon has been ooe.i~ nose receipt. Macdied and eneiyeed in accordance tick appiicabio federal
requirtesets, aid that the results att.stited are for Hot opeoieen.
Printed Nat. Sionatcare Sale
STEP 5 .. TORE CONPLETER ST EMPLOYEE ER *PPLIC*OiT P000ISINR SPECIO1ENe
Heee ___________________________________ Isty Lecetite ______________________________
Lest/first/HI.
Job Till.: _____________________________ Rate of Nirth
If you eish to Mace prescription or ovei.the.teentei- esdicatioee that yeo~e.y have taken or been adeinisioe'ed oithin the pest 30
days 0005idnred as yotao test resaits are solaced, pea sep Riot tOes Mere or procide thee infor.stinn separately to your enplo~ors
i tertity that the urine specicen identified so this fers is ep ent; that it is fresk and has net been adulteraoed in any
rancer; aid that the idsotificatiot i000enasios preceded en this fore ceO en Ohs coliectioe bottle is correci. * consenoto tiM
sdaeissiot of this spectee to the cortif led iabsratory desioneted by ep ei~toyor, to the analysis of the speci.en for c000rolied
svbstaeces as pronided by Federai tequireeeees, and to tOo reisass of test results fre. that analysis to the Nedlcai Oeclee Ollicer
deslinated by ep espioyer.
Copy So. 2: Nsinai Senieo Offices'
Sienature Sits
PAGENO="0169"
STEP S -- (SEE 5ELOW -- TO ME COMPLETED IT EMPLOYEE)
STEP 6 .. BEFORE CWUTORG TIlES STEP lIME EMPLOYEE COMPLETE STEP N BElOW. lObe cespisted by person cellsctieq specionne
Collecto's Ness_____________________________ tstsof Collection__________
Paint (First, LI., Lest)
reuisctlet Site______________________________________ I S
FacIlity 1 aed LocatIon Delepiceee
Roasybs concerning collectIon; ___________________________________________________________________________________
certify that the speclese identifiadee this foe. 6. the spectess presented toes by the psclo~oe prooiding the certtficatlon
belee, that I bios certified test it bests the s ideetificetios edeer as thee set forth ab~, end that it lies bees collected,
libeled slid seeled as roqcilred by the testractlons presided.
Sl~natcee of collectee'
STEP? .. TOtE COMPLETES BY THE LAAOMATORTe Accession No. __________
S certify thet the speclese Identified by this accescioe is~sr is the s~ sfetieee that beets she identifIcation isidaer set
forth these, that she specIwf lies base ess.ieed tips. receipt, beetled acid analysed it aceesdacce elth applicable Fede'a
reqolc'~ets, acid that the reselts attached are fee that spsclest.
Printed Noes Sl~catiart hate
STEP I .. TI If COMPUTES BY EMPlOYEE OR APPLICAeT PtOAODSBO OPECOMEN.
Neon ___________________________________ Saty Location ______________________________
Last/First/el.
Jab TItle; ___________________________ hate of Mirth -
If yea eIsh to haos prtstrlptlen or oosr.the.csaetsr esdltaniots thet )oe'esy bees teben or bees edelslstersd elehle the pest 30
days ccnsldered as ysor test rescue ate retiesed, yte nay itst thee here or precide that feferssttes seperately to year espleners'
I sertify elicit the ales epeclonn ldentiflsd on this less Is ep ass; teat it is fresh and has not hess edcitsraned in any
eseesr; aiM that the ldeetlfloatloe Infopesthee presided en this fore end on the oelleetlce bonnie is correct. I totsent do the
sidelsslot of this specless Os thecertlfied labareton'y desi5satsd by sp, ~ieysr, to the eneiyses of the species.. icr tentrtlled
substances 00 presIded by Federal reclotrsesets. and So lbs reteess of test resolts fl's. 5bet a,oipsis to the Medical lecine Officer
designated by ep eeploynr.
Slgteturs Rote
CcOy No. 5: Enoloyse --
165
Federal Register / Vol 53 No 224 / Monday November 21 1988 I Rules and Regulations 47019
URINE COSTOOY AND COITMOL FOOl
STEP 1 .. TO OE COMPUTED tY EMPLDYEE/APPLICAAT
(pp yen I ~ ( ft P101.0 SP(CSIEA 5.0 C] (pp yec' one
Social Soccrlcyfc.
STEP S TO BE COMPLETED 0? EMPLOYER EEP0050NTATOVE/OR COLLECTOR Re soc fcc' Too (Chech Ott)
re.oppi con c C] Pa Ac dec [J Macides C] Psriedl Medical
C]
STEP) COLLECTOR MUST NOTE THAT TEMPERATURE OF SPECOION ISO lEft MEMO 100010 SF NOT WITHIN THE MANGE (V
32 S ST TC/ 00 t tO N F ems ERASE
STE TO 50 S DES SM THE PERSON COLLECTING SPECIi1EM MID COMPLETED AS NECESSARY ThEREAFTER
Released ty Recelced Np
Pcrtfse of Chenoe SlonatcrelPrlnt Naee Ston&torelPi'lnt N~ Date
Prcctee Specleec for
Tie 001106
PAGENO="0170"
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47020 Federal Register / Vol. 21, No. 224 / Monday, Novembcr 21, 1988 / Rules and Regulations
BIlE CUSTER) MD CONTROL FORM
STEP S -- TO BE COAPLETTO BY EIPLOTEE/APPLICANT
£ep)Vyoo 5.0. N_______________ (POE-PRINTED SPECIMEN I.E. NJ Eo,ao~e OaRS __________________________
Soalal batty No.
Eo~IoyRo N~
STEP 2 ONE COSPLETo.D B ECPLOVCR REPAEIEJITATSVE/OB COL).ECTOT Reason fo~ Too (Cheak Eon)
E1 ,too,noo, Post AcoIdeot Naodoe Patodis itodica)
Othee(Opoc)fy)_________________
STEP 3 - COLLECTEN NEST (CUTE THAT TESPEUTONE CF SPECIMEN HAD Eel REPS. NEC000 OF NIT WITHIN THE RANGE Of - -
32$ - 3T.7C/ NON . INN?, [J WITHIN RANGE
STEP 4 - TO K INITIATED BY THE PERSON COLLECTORS SPECIMEN AlE C5)PLETED AS NECESSARY THEREAFTER:
Ooteasad By RMDIONd Ry
Panpote otChaooe SlonaturelP,InE NI.. SlonatorelPilnt Naas ENOR
ProvIde SpoEAoeo for
STOP N - (SEE BELOW - TO SE COINI.ETED BY RIWLOTCE)
STEP A .- BEFORE COMPUTING THIS STEP RAVE EMPLOYEE COMPLETE STEP N BELCH. To bN tooplotid by person co0100tlog spNcleono
Coltovto,o N teEN RI Ctilectloo___________
Pt-tnt (FIrst. RI., Last)
*
ColNsatloo SIAN____________________________________ C S
FacIIItyNe*aodtocatloo TNiepVooe
N~rbs ctntervlog ColloctIoo:
-
cot-tAR CM CVI ONCCM0 OHio 01.400 thN foe. I CV. p.cI.N PPIONRIN4 to by the eopioyeo prtvldlog the certlflcatttn
bolos, that B Naoo certIfIed that It bears the s~ ldettlflcattos ttedsr as that Not forth abooe. and that AC taB bob colloEtad,
Iahel.d aod Bolted U CMqOAPad by the Nostrattlons provIded.
.
Slloataro RB cRIlittar
.
STEP N -. TO NO COIPLOTED IT TIE LORIROTOBY, heceaston No. ___________
A certify that the speotnnn Nd.ntlf lid by HANs accessIoN PloWer Os the Ba.. opeclnen that bears the Identificatlot ,s&t*nr sot
foilS ab~, that the Bpecle.t has beet ooonIe.d pee receipt, bartaled alsO aoalyaed No an.cot-dance alth applltabla Fodoral
topptrensnts, and that the Pnssttt attached are for Bet spotloot.
PtItted Reon SIgnata. tato
STEP B .. TO N COMPLETED SR SPItTER ON PSPLICAJOT PROVIDING SPECIMENS
Eaty LocatIon ___________________________
oatelttIao tO thIs spIttoon to toe tert)f)M lihtratary destloated by op ~Iapsr, to tHe analytic of the BpNtliran Ott EOntraIIed
tt*stantes as prtolded by Federal rsqalri..nts, oNd to the releaea of toot PissIt~ Pro. that analysIs to the 104)011 Reolee OffIcer
deolgoatod by op ~Ioyer.
Stgoaew. Oat.
Copy No. i: CotAeottr
PAGENO="0171"
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Federal Register! VoL 53, No. 224 I. Monday Noveiñber 21,1988/Rules and Regulations 4702±
MUINI 051000 MID 115201 doe
no S .. TO MU CIPPLET(5 01 £IIPLOY(EIAPPLICAIO
EtoltyoH 1.5. (POE.POIMTES IPECUIEN 0.0. 03 Eoo,loyor ease,
SocIal SecocIty No.
L~ltyeSO0.
STEP .. TOOt CJIPLETE2 01 LOPLOTEI 010010CNTOTIMEIOO LECTIO Oaasce to' Toot (Chock Ito)
Pve.e~Ttytont Post Accldetot [J Pandos [J PerIodic Medical
[]ocaevupecv*y
no 3 . CIU.ICTCO MUST MUTE THAT TEPPOSATTME IF SPECIMEN OHS 01(0 00*0. NECOMU IF H2T WITHIN THE 0*911 IF
32.5. 3TJC! 90.5 .29.0 Ft [J WITHIN ROUGE
STEP 4 -TOOt INITIATES aT THE P5500 COLU.EC!INE SPECIMEN MID C010LETED AS NECES000Y THEREAFTER'
Noloasod Sy NScStVOd 5y
Pcrooso of Chance StovoturclPrlot 5i~ Slsetatete!Pclnt Neon Sate
Proctds Ipoctose far
T~tlns 00505
STEPS.-(SE(MULIW...TISEGEMPLETE059SMIOYEI)
no N .. SEFIRE CIPOUTTOE THIS STEP HOSE OPLAYEC C001ITI no 0 lEECH. To be coepTotod by person colloctlvN opacleonc
Collecte-s 0 ____________________________________ late of Collactltn____________
PoInt (Flost. 0.1., Lost)
CaIlotEton Site__________________________________ I S
FacIlity ease and Locatteo TelepHone
Osserko concernIng collectIon:
I cerotfy that the specIes Identified oo Ibis fooe Is the specTeR prsseovtod toe by the aao,To~ss providIng the csrtlflcatloo
below, that I bass cecil lad that It bears lbs ses Idsattflcatleo vs~sr as that set ftrth above, and that it has bean cclloctad.
labeled aod soalad as required by the Onstrsctlees provided.
Ilgootwo of Cellacter
STEP).. TON ECNPLCTEU Sf TNt LOOleAT0000 Accasa105 Os. ______
I csrt(fy that the specleso Idoetof lad by thIs accession moWer Ho the sae specImen that boats the 1deC11 lcatleo isvtor tot
forth above, that the spesloso has bsse eoaelned o,oo receipt. handled and analyzed lnaccccdavce sth aopllcoble Federal
reqctvasevts. and that the results 010advod are ft, that spectoon.
PrI55d ses Slgnators Oats
no a.. TOME STE_S if (~yt.5yff CR APPLICUOT 101010101 SPECIMEN,
ease _________________________________ OaOy Lacatloe _____________________________
Lastff Trot/MI,
Jab Iltiec _____________________________ lace of S(rth _____________________________
O~tfllndM,oratwIs~
easer: and that the ldavtlflcatlea lnfeoetloe provided as this far, and go the collectIon bottle Is correct. I consent to tto
seClastes of thIs spocleen to the carolf led laboratory desleostad by op asplcyor. to the analysIs of the apetleen for coctrellad
stIDstaveas as provided by Federal ragalresets. aol 00 the release of cast rssults itos Its, analysis to the Medical Oaelae Off ca,
dosllnatal by op ernloysr.
Sleiacsre Sate
Copy So. 5: Esployar
IFR Daac. 88-20611 died 11-15-dAY 3:46 pmj
51UJ556 Reel 4N1N42.C
PAGENO="0172"
168
C.ua' Guard, DOT §95 010
SUBCHAPTER F-VESSEL OPERATING REGULATIONS
PART 95-OPERATING A vEssi~ (COD 84-099, 52 FR 47532. Dec. 14, 1987:
WHILE INTOXICATED COD 84-009.53 FR 13117. Apr. 21, 1988)
895.010 DefInition of terms as used in
Sec. this
95.001 Purpose.
95.005 Applicability. "Alcohol" meaiis any form or deriva.
95.010 Definition of terms as used in this tive of ethyl alcohol (ethanol).
part Alcohol concentration means
~ 020 Saof Intoxication either grams of alcohol per 100 nullili
95.025 Adoption of State standards. ters of blood, or grams of alcohol per
95.030 EvIdence of Intoxication. 210 liters of breath.
95.035 Reasonable cause for directing a "Chemical test" means a test which
chemical test. analyzes an Individual's breath, blood,
95.040 Refusal to submit to testing. urine, saliva and/or other bodily fluids
950al Z~ oessels or tissues for evidence of drug or alco.
under Chapter 33 of Title 46 United
State. coie ~~0ntroUed substance has the same
95050 ResponsibilIty for compliance meaning assigned by 21 U S C 802 and
95.055 ~Pensities. includes all substances listed on
Aurxo*rrv: 46 U.S.C. 2302. 3306, and 7701: Schedules I through V as they may be
49CPR 1.46. revIsed from time to time (21 CPR
Soracs: COD 84-099. 52 FR 47532, Dec. Part 1308).
14 1981 unless otherwise noted, Drug' means any substance (other
than alcohol) that has known mind or
096,001 Purpose. functlon.alter4i~g effects on a person,
(a) The purpose of this part Is to, es- specifically Including any psychoactive
tablish intoxication standards under substance and including but not Urn
48 U.S.C. 2302 and to prescribe restlic. ited to, controlled substances.
tlons and responsibilities for personnel "Intoxicant" means any form of al-
on vessels Inspected, or subject to in- cohol, drug or combination thereof.
spection, under Chapter 33 of Title 48 "Law enforcement officer" means a
United States Code. This part does not Coast Guard commissioned, warrant,
pre-ernpt enforcement by a State of Its or petty offlcer~ or any other law en.
applicable laws and regulations con. forcement officer authorized to obtain
cernlng operating a recreational vessel a chemical test under Federal State
while intoxicated, or local law
(b) Nothing in this part shall be con Marine employer means the
strued as limiting the authority of a owner managing operator charterer
vessel s marine employer to limit or agent master or person In charge of a
prohibit the use or possession of alco- vessel other than a recreational vessel
hol on board a vessel. Recreational vessel means a vessel
meeting the definition in 46 U.S.C.
099.006 ApplIcability. 2101(25) that I~ then being used only
(a) This part Is applicable to a vessel for pleasure.
(except those excluded by 48 U.S.C. "Underway" means that a vessel Is
2109) operated on waters subject to not at anchor, or made fast to the
the jurisdiction of the United States, shore, or aground.
and to a vessel owned In the United Vessel includes every description
States on the high seas. This includes of watercraft or other artificial con-
a foreign vessel operated on waters trivance used, or capable of being
subject to the jurisdiction of the used, as a means of transportation on
United States. water.
(b) This part Is also applicable at all Vessel owned in the United States
times to vessels inspected, or subject means any vessel documented or num-
to Inspection, under Chapter 33 of bered under the l&ws of the United
Title 48 UnIted States Code. States; and, any vessel owned by a citi-
205
PAGENO="0173"
169
§95.015
zen of the United States that is not
documented or numbered by any
nation.
(COD 84-000. 52 PR 47532. Dec. 14. 1987:
COD 84-000.53 PR 13117. Apr11 21. 1988)
* 95.015 Operating a vessel.
For purposes of this part, an individ.
ual Li considered to be operating a
vessel when:
(a) The Individual has an essential
role In the operation of a recreational
vessel underway, including but not
limited to navigation of the vessel or
control of the vessel's propulsion
system.
(b) The individual Is a crewmember
(including a licensed Individual), pilot,
or watcbstander not a regular member
of the crew, of a vessel other than a
recreational vessel.
195.020 Standard of Intoxication.
An individual Is intoxicated when:
(a) The i~dlvidual Is operating a rec~
reational vessel and has an alcohol
concentration of .10 percent by weight
or more in their blood;
(b) The individual Li operating a
vessel other than a recreational vessel
and has an alcohol concentration of
.04 percent by weight or more in their
blood; or,
(C) The individual Is operating any
vessel and the effect of the
intoxicant(s) consumed by the individ-
ual on the person's manner, disposi-
tion, speech, muscular movement, gen-
eral appearance or behavior Is appar*
ent by observation.
(COD 84-090, 52 PR 47532, Dec. 14, 1987;
COD 84-000,53 PR 13117, April 21, 1988]
O 95.025 Adoption of St*t. standards.
(a) This section applies to recre-
ational vessels on waters within the
geographical boundaries of a State
having a statute defining a percentage
of alcohol in the blood for the pur-
poses of establishing that a person op-
erating a vessel Li intoxicated or tin.
paired due to alcohol.
(b) U the applicable State statute es-
tablishing a standard for determining
impairment due to alcohol uses the
terms "under the influence," "operat.
Ing while impaired," or equivalent ter.
minology and does not separately
* 33 CM Ch1 (7.1.88 EdIti.0)
defina a percentage of alcohol in the
blood for the purpose of establishing
"intoxication," the standard contain.
Ing the highest defined percentage of
alcohol in the blood ~p1ies in lieu of
the standard in * 95.020(a). If the ap-
plicable State statute contains a stand.
ard specifically applicable to establish.
ing intoxication, in addition to stand-
ards applicable to other degrees of Im.
palrment, the~standard specifically ap-
plicable to establishing intoxication
applies In lieu of the standard In
* 95.020(a).
(c) For the purposes of this part, a.
standard established by State statute
and adopted under this section is ap.
plicable to the operation of any recre-
ational vessel on waters within the
geographical boundaries of the State.
* 95.030 EvIdence of intoxication.
Acceptable evidence of intoxication
includes, but Li not limited to:
(a) Personal observation of an mdi.
vidual's manner, disposition, speech,
muscular movement, general appear-
ance, or behavku~ or,
(b) A chemical test.
(COD 84-099. 53 FR 13117, April 21, 1988:
COD 84-009, 53 FR 13117, Apr. 21. 1988]
§ 95.035 Reasonable cause for directing a
chemical test.
(a) Only a law enforcement officer
or a marine employer may direct an
individual operating a vessel to under.
go a chemical test when reasonable
cause exists. Reasonable cause exists
when:
(1) The individual was directly in.
volved In the occurrence of a marine
casualty as defined in Chapter 61 of
Title 48, United States Code, or
(2) The individual is suspected of
being in violation of the standards in
1* 95.020 or 95.025.
(b) When an individual Li directed to
undergo a chemical test, the individual
to be tested must be informed of that
fact and directed to undergo a test as
soon as Is practicable.
(c) When practicable, a marine em~
ployer should base a determination of
the existence of reasonable cause.
under paragraph (aX2) of this section,
on observation by two persons.
206
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170
Coast Guard, DOT § 95.055
(COD 84-099. FR 47532, Dec. 14, 1917; COD (a Shall not perform or attempt to
- 84-09953 FR 13117, Apr. 1. 19881 perform any scheduled duties within
four hours of consuming any alcohol;
o 95.046 Refusal to submit tO tsatlng~ (b) Shall not be intoxicated at any
(a) If an individual refuses to submit time;
to or cooperate In the administration (C) Shall not consume any intoxicant
of a timely chemical test when direct- while on watch or duty, and
" ` ~ t ff1 based (d) May consume a legal non.pre
y a aw e 0 em ~ scription or prescription drug provided
on reasonable cause, evidence of the th ~ d ~ the Individual
refusal Is admissible In evidence in any to~ ~ C
administrative proceeding and the In-
dividual will be presumed to be intoxi- § 95050 ~pon.lbllit~' for compliance.
cated. (a) The marine employer shall exer-
(b) U an individual refuses to submit cise due diligence to assure compliance
to or cooperate In the administration with the applicable provisions of this
of a timely chemical test when direct.
ad by the marine employer based on (b) If the marine employer has
reasonable cause, evidence of the i's reason to believe that an individual is-
fusal is admissible In evidence In any intoxicated, the marine employer shall
administrative proceeding. not allow that individual to stand
watch or perform other duties.
* 95.045 General operating rules for ves-
sels inspected, or subject to Inspection, §95.055 Penalties.
under Chapter 33 of TItle 4$ United An individual who Is intoxicated
States Cods. when operating a vessel In violation of
While on board a vessel Inspected, or 46 U.S.C. 2302(c). shall be:
(a) LIable to the United States Oov.
suoject w uiapvvuofl, unuei- ~iia~~ r t of not
33 of TItle 46 United States Code, a ernmen
crewmeinber (including a licensed Iiidl. mote ~~$1.0()0 ~ ~ ~.
vidual), pilot, or watchstander not a prisoned for not more than one year,
regular member of the crew: or both.
207
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TESTIMONY
OF THE
SEAFARERS INTERNATIONAL UNION
OF NORTH AMERICA, AFL~CIO
BEFORE THE
SUBCOMMITTEE ON COAST GUARD
AND NAVIGATION
COMMITTEE ON MERCHANT MARINE AND FISHERIES
U.S. HOUSE OF REPRESENTATIVES
WASHINGTON, D.C.
H.R. 4394, MARINER'S DOCUMENTATION
MARCH 17, 1992
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Mr. Chairman and Members of the Subcommittee:
I am Michael Sacco, president of the Seafarers International Union of North
America, AFL-CIO, (SIU). I appreciate the opportunity to testify in strong support of
HR. 4394 introduced by Merchant Marine and Fisheries Committee Chairman Walter
Jones on March 5. The SIU represents thousands of seamen and boatmen who earn
their livelihoods aboard vessels transporting cargo and passengers on the high seas,
in the Great Lakes and on the inland waterways and harbors, and the coastal waters
of the United States. As a result, we are deeply concerned about the safety of
towboats and barges operating on the nation's waterways as the very lives of our
members are at stake. Additionally, the communities in which we live and work
depend on an environmentally sound and safe waterway system.
Given the nature of the modern transportation network with its high traffic
volume comprised of many hazardous substances, we concur with the Chairman's
remarks on introduction of H.R. 4394 that "Allowing undocumented seamen to work on
vessels unnecessarily increases the potential for injury or death of other waterway
users." H.R. 4394 is an uncomplicated measure. It simply corrects an omission in
current law to require mariners employed on cargo vessels over 5 gross tons to obtain
Coast Guard documents. Presently, a mariner's document is required for service
aboard commercial vessels 100 gross tons and over. However, there is a major
exception. Personnel employed on tugs and tows operating on the rivers and lakes
are exempted.
THE ISSUE -* SAFETY
In the last few years, the public rightfully has voiced its intolerance to
transportation accidents caused by human error resulting in the loss of life and major
damage to the nation's environment. A passenger train accident in rural Maryland, a
subway accident in New York City, and truck accidents every day on the nation's
interstates have prompted the Congress and the Administration to enact laws and
regulations to better monitor the behavior patterns of those employed in the
transportation industry. The courts have consistently upheld the right to test
employees holding safety-sensitive positions for drug and alcohol usage. Today, as
compared to a decade ago, drug and alcohol testing are a fact of life for those earning
a living in the various transportation modes.
In 1989, the 11-million gallon spill from the Exxon Valdez in Prince William
Sound, Alaska, and the three spills within a 24-hour period just months later in the
coastal waters of Rhode Island, the Delaware River and the Houston Ship Channel,
demonstrated that oil pollution from tanker spills is a real and continuing threat to the
public health and welfare and the environment. Subsequently after 15 years of debate,
the Congress was able to break a stalemate and forge a compromise to pass without
dissent one of the toughest environmental statutes ever imposed on an industry and
its workforce -- the Oil Pollution Act of 1990.
In response to the fact that the Exxon Valdez accident was caused by alcohol
abuse and to mitigate human error which has attributed to other recent spills, the Oil
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2
Pollution Act contains stricter provisions for issuance or renewal of merchant mariner
documents, licenses, and certificates of registry. This provision is similar to legislation
that had been proposed by the Administration in the aftermath of the Exxon Valdez
accident, and also to amendments added to both H.R. 2158, the Prince William Sound
Oil Spill Response Act of 1989, and to H.R. 2459, the Coast Guard Authorization Act of
1989, when these measures were endorsed by either this subcommittee or by the full
Merchant Marine and Fisheries Committee during the 101st Congress.
The Oil Pollution Act prohibits the Coast Guard from issuing or renewing a
merchant mariner's document unless the applicant makes available all information
contained in the National Driver Register regarding the motor vehicle driving record of
that individual. This provision is intended to identify individuals who may have alcohol-
related problems and to prevent their employment until an applicant provides
satisfactory proof that this basis for denying, revoking, or suspending a document is
no longer valid. In spite of the fact that this provision represents an added
administrative cost to the federal government and is also an invasion into the privacy
of some employees making their living on the nation's waters, the Congress and the
members of this Committee overwhelmingly supported this provision believing that
such information should be available to the Coast Guard and incorporated into
procedures for issuing mariner documents, licenses, and certificates of registry.
Although the law is designed to improve the safe operation of vessels and
reduce accidents, this well-intentioned Act overlooks thousands of undocumented
marine personnel employed on certain commercial waterborne equipment, including
tugs, tows, and barges plying the inland rivers. These individuals will not be subject to
the provisions of the Act since they are not required by law to hold Coast Guard
certificates or documents as a basis for employment. As such, these mariners will
elude the basic stricter personnel requirements of the Oil Pollution Act which many in
Congress had thought had been soundly addressed.
As Members of this Subcommittee may recall, after reflecting on this panel's
actions, the SIU attempted to have language offered during conference committee
negotiations to require that every marine employee working on tugs and tows over five
gross tons be subject to Coast Guard documentation requirements and thus subject
to Oil Pollution Act personnel requirements. While there was acknowledgement that
the legislation was not as far reaching as it perhaps should be, unfortunately, there
was some reluctance on the part of conferees to expand the provision at that stage of
the legislative process to make it all inclusive.
If we are truly interested in minimizing the potential for future environmental
harm from chemical explosions, and oil and other hazardous material spills, be it from
a 10,000 gallon spill or a 10-million gallon spill, as I believe Congress and this
Committee intended in enacting the Oil Pollution Act, then marine personnel employed
on tugs, tows, and barges on the inland rivers and coastal waters should be
appropriately documented by the U.S. Coast Guard.
Safety for the employees in this segment of the transportation industry, the
general public, and the protection of the environment must be given the commitment
of our best resources. Certainly, no laws -- federal, state or local -- can control the
forces of nature on the rivers -- high water, swift current, fog, etc. -- and thus, the
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3
human element becomes even more important. Laws can control the calibre of
personnel that are employed to crew the tugs and tows plying the inland rivers. The
documentation process will help eliminate unsuitable candidates for employment as
mariners who may be a hazard to themselves their shipmates and fellow boatmen the
environment and the communities along the rivers at large
This loophole in current law could very well undermine the recent efforts of the
Congress to provide for a safer marine environment. After all, there are some 2,000
barges which carry oil versus 200 tankers in the U S flag fleet While all personnel
associated with a tanker are licensed or documented that is not the case with barges
As present statute is written it is likely that someone who is deemed unsuitable for a
Coast Guard document or who has his documents suspended or revoked could easily
seek employment in that portion of the industry which does not require mariner
documentation. Without a mandated requirement that certain personal records of a
prospective employee be checked, an individual could leave one segment of the
industry and seek employment in a less regulated segment. Or even in the less
regulated segment of the industry, an individual who is denied employment for failing a
drug test could temporarily clean up his act and easily move to another company for
without documentation any previous record would be hard to trace. Clearly, that was
not the intent of the Congress in passing the Oil Pollution Act nor of the Administration
in promulgating drug testing regulations.
WHAT IS A MARINER S DOCUMENT?
A merchant mariner's document is a form of identification issued by the Coast
Guard The document is required as a condition of employment aboard commercial
vessels 100 gross tons and over However under existing law personnel employed
on tugs and tows operating on the rivers and lakes are exempted. The document
serves as a certificate of identification and as a certificate of service, specifying each
rating in which the holder is qualified to serve onboard vessels on which the document
is required.
As background, Section 3 of Public Law 808, enacted on June 25, 1936,
required that a book known as a continuous discharge book be carried by every
seaman on a U S flag merchant vessel of 100 gross tons or over except vessels
employed exclusively in trade on the navigable rivers of the United States The
principle object of Section 3 was to promote safety at sea by abolishing the old
discharges granted seamen which formed the basis of employment on the sea These
old discharges had no adequate identifying features and in many instances had been
forged bartered altered and sold
However, thousands of seamen and various organizations protested the use of
these books, claiming that the information contained in them might be used in
blacklisting seamen who may undertake, or have undertaken, through strikes or in
other ways to improve their conditions or to correct grievances or who had sailed on
ships suffering casualties for which they individually were in no way responsible.
Fearful Of these books seamen refused them However if they were to return to
work some alternative method of identification became necessary
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4
Subsequently, the Act of March 24, 1937 provided that alternative. The law
provided the seaman with an option to either accept the continuous discharge book
with protective provisions or a certificate of identification, currently referred to as a
merchant mariner's document; the book or certificate to be retained by the seaman to
whom it was furnished. The documents were to contain the signature of the seaman,
a statement of his nationality, his age, personal description, photograph, thumb print
and home address. These records were required to be kept by the Bureau of Marine
Inspection and Navigation. The Act of 1937 also required a certificate of identification
or a continuous discharge book as a basis of employment on vessels 100 gross tons,
except vessels employed exclusively in trade on the navigable rivers of the United
States.
The merchant mariner's document issued today is virtually the same. It
contains the signature, notations of nationality, age, and physical description, the
photograph, the thumbprint, and the home address of these seaman. When applying
for a document, the candidate must produce satisfactory proof that he has a
commitment of employment as a member of a crew of a U.S.-flag vessel. Moreover,
the applicant is subject to an FBI check and review of criminal records, testing for the
use of dangerous drugs, and must make available any information contained in the
National Driver Register related to an driving offense relating to alcohol. To obtain a
merchant mariner's document for an advanced rating, an applicant must pass a Coast
Guard examination indicating proficiency and knowledge for that specific rating.
A merchant mariner's document is subject to suspension and revocation on the
same grounds and in the same manner as licenses of officers. Documents may be
suspended or revoked if, when acting under the authority of the document, the holder
has committed an act of incompetence, misconduct, or negligence; is convicted of
certain offenses; tests positive for an illegal drug, and within a three-year period
preceding the initiation of the suspension or revocation proceeding is convicted of an
offense described in the National Driver Register Act. A merchant mariner's document
will not be issued to any person who, within 10 years prior to the date of the filing of
the application, has been convicted in a court of a narcotics violation unless that
person has submitted evidence to the Coast Guard to reasonably warrant the
conclusion that he is no longer involved with or associated with narcotics and is
suitable for employment. Moreover, a mariner's document will not be issued to any
person who has been addicted to the use of or who has been a user of a narcotic
drug unless he has furnished sufficient evidence to the Coast Guard that he has been
cured of such addiction or use.
The documentation procedure enables the development of an orderly pool of
manpower that has been checked and found to have minimal expertise to perform the
duties required. The expansion of this system to include currently undocumented
personnel employed on tugs and barges plying the river system and in certain coastal
waters will not only enable the Coast Guard to maintain oversight over these
individuals but will also increase safety and reduce casualties.
INLAND WATERWAY SYSTEM
The demands placed on the commercial waterways of the United States for
delivery of millions of tons of cargo are accommodated by hundreds of towing vessel
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companies which operate a massive fleet of coastal tugboats and inland riverboat and
barges of all dimensions or on the inland waterway system This huge network
pushes and pulls vast quantities of material including hazardous and volatile cargoes
loaded in barges on over 125,000 voyages each year, to and from over 200 u.s.
inland and coastal points -- directly touching the lives of people in almost 90 percent of
the major cities of the nation.
The 25,777 miles of commercially navigable inland waterways is the most
dynamic and fastest growing means of moving cargo in our country According to the
Maritime Administration the inland waterways of the United States can be divided into
at least nine major waterway systems: (1) Atlantic Intracoastal, (2) Gulf Intracoastal, (3)
Mississippi River and its tributaries (4) Ohio River and its tributaries (5) McClellan Kerr
Arkansas River Navigation System (6) the Illinois River (7) New York State Barge
Canal (8) Black Warrior Warrior Tennessee and Tombigbee Rivers and Tennessee
Tombigbee Waterway and (9) Columbia Snake Rivers (Attached is a map of the
major waterways and ports of the United States.) Most freight moving on these rivers
is carried in unmanned barges having loaded drafts of up to nine feet In this
transportation section barges are lashed together in groups or strings sometimes up
to 75 100 barges moved by towing vessels generally a towboat pushing them ahead
but sometimes a tug pulling them on a hawser.
A significant portion of U.S. domestic cargoes is moved by the barge and
towing industry. The Corps of Engineers in 1989 estimated that 1,507.5 million tons of
freight were carried on selected U.S. inland waterways. Cargoes carried varied from
farm products, forest products, metallic ores, coal, crude petroleum, petroleum
products nonmetallic minerals food tobacco products to chemicals and allied
products including sodium hydroxide alcohol radiation materials benzene sulfuric
acid paint insecticides fertilizer and other hazardous cargoes This expansive
movement of a variety of cargoes include hazardous and combustible products and
materials which if involved in a collision grounding or other mishap can present a
significant threat to the environment and to the communities along the riverfronts.
And, more and more cargo continues to be allocated to the waterways as shippers
discover that water transportation is one of the most economical forms of cargo
movement. Today, crews on approximately 5,228 tugs and towboats and 31,039
various barges in the U.S. fleet are kept busy. More particularly, crews on the 3,293
tugs, 23,124 dry cargo barges, and 3,239 tank barges operating on the inland
waterways are challenged not only by the volatility of the river systems and their
currents, but also by the technology and advances in the vessel they man and the
dangers inherent in the many cargoes transported.
And living along these waterways are some of the most populous communities
in our nation Saint Paul Minneapolis Peoria Kansas City Saint Louis Pittsburgh
Cincinnati, Nashville, Paducah, Memphis, Birmingham, Tuscaloosa, Jackson,
Shreveport Baton Rouge and New Orleans Mixed in between are the hundreds of
small towns relying on a safe waterway system for their very existence Given the
types of cargoes transported in today's commerce and the volume of traffic, the
likelihood of accidents is very great
Needless to say, the shallow draft waterway sector of the country's
transportation system has grown to a scale meriting considerably more attention then
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6
they have received previously in the area of vessel personnel standards. Thousands
of these vessels traverse the nation's congested coastal, intercostal, and inland
waterways and as such can be involved in accidents that have a significant impact on
the marine environment. Nevertheless, the current documentation law does not
acknowledge this fact.
There is a marked absence of uniform licensing requirements for crews on tugs
and tows operating on the inland river system. Generally, on a tug or tow plying the
inland rivers exclusively, only the captain and the pilot\relief captain, as mandated by
federal statute, are required to hold Coast Guard licenses. Further, although not
statutorily required, tugs and tows on the inland rivers employ engineers, deckhands,
and cooks. Boatmen filling these positions need not be licensed or documented.
Depending on the trade, tankermen can also be employed on the inland rivers.
Tankermen are individuals in charge of and assisting in the handling, transfer, and
transportation of oil and hazardous liquid cargoes in bulk cargo handling and transfer
operations. Tankermen hold merchant mariner documents endorsed with the rating of
tankerman and the grades of liquid cargo the holder is qualified to handle, including
service on barges.
While there are some specific documentation requirements of personnel
employed on tugs/tows and barges on the inland waterways, a significant number
remain undocumented by the U. S. Coast Guard. Given the nature of the product
carried and the large population centers on the rivers paths, it is ludicrous that within
this large segment of waterborne transportation, there are personnel in the industry
who are not required by law to meet minimal criteria similar to that required of deep
sea personnel. The protection of the environment and the public interest in general
warrant and expect more. They expect and should receive the transportation of
commodities by vessels operated by documented and licensed crews meeting minimal
governmental criteria.
TOWBOAT CASUALTIES
Those who point to the safety record of the tug/tow/barge industry under
current regulations and as an argument for leaving the system alone are in error. The
idea that a major disaster has not happened and is not likely to happen and therefore
will not happen is flawed logic, as superbly demonstrated by the Exxon Valdez. Such
an idea is an unaffordable luxury when the lives of the crew, the protection of the
environment, and the safety of the communities living along the inland rivers are
concerned.
In fact, although the towing industry contends that is has an exemplary safety
record and is the safest from of transportation, according to Coast Guard records of
towboat casualties for the period 1981 through 1990, of the 12,702 selected cases
contained within the Coast Guard's CASMAIN data base, casualties involving towboats
under 300 gross tons numbered 8,242 of which 5,047 or 62 percent were attributed to
personnel cause. As defined by the Coast Guard, personnel causes include but are
not limited to such factors as inattention to duty, intoxication, calculated risk,
carelessness, error in judgement, lack of knowledge, lack of training, lack of
experience, operator error, fatigue, smoking, stress, improper safety precautions,
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7
failure to comply with rules, regulations and procedures, and improper loading, cargo
stowage securing rigging mooring and towing Further of the 5047 accidents
attributed to personnel cause 4 136 or 82 percent resulted in groundings and
collisions.
On August 6, 1990, The Journal of Commerce carried a story in the aftermath of
an oil spill in the Houston Ship Channel. With a headline reading "Texas Spill Renews
Questions About Safety of Tank Barges," the author highlighted Coast Guard statistics
that in every 14 hours in 1989 a tank barge carrying crude oil or petroleum products
was involved in an accident that caused an oil spill in U S waters The article noted
that aQcording to industry experts "tank barge accidents are a hidden but formidable
problem in the nation's oil transportation system" citing "an array of reasons for the
problem: lack of federal regulation, inadequate crew training, the tendency of barges
to operate in heavily congested, environmentally sensitive areas and a greater focus
by the media on tankers Commenting on the barge industry s contention that
barges are safer than tankers an American Petroleum Institute maritime transportation
specialist took issue with that position commenting that there are some real issues
here that deserve a hard look by pointing out the lack of Coast Guard barge
inspections and the lower and in some cases non existent crew qualifications
The Journal of Commerce story is not uncommon. Attached are copies of
articles from a variety of newspapers reporting on a number of marine accidents in
various regions of the nation which have resulted in deaths, evacuations, explosions,
oil and chemical spills, and waterway closures. Also attached is a summary of a
number of accidents investigated by the National Transportation Safety Board during
the last ten years involving tugs/tows/barges.
FOREIGN COMPARISON
Most maritime countries regulate to some extent the vessels plying their waters
with some requiring more specific personnel skills and vessel standards than others in
their effort to ensure safety and protect the environment. In the course of the debate
on H R 4394 we believe that standards imposed on mariners on the 820 mile Rhine
River system are worth noting. The Rhine serves as a central commercial artery in
Europe. The volume of freight moved is unparalleled anywhere else in Europe
transported by combination of ships, tugboats, pusher barges, push tows, self-
propelled equipment and passenger ships.
The Central Commission of the Rhine, established in 1831 by the waterway's
riparian nations, governs the river and much of its associated canal system. Protocol
11 on Composition of Crews and Conditions of Employment for Navigation of the
Rhine River requires that all crewmembers meet certain qualifications Sailors sailor
motor mechanics boatswains helmsmen captains and engine operators are required
to pass an examination or have certain designated amounts of on board experience
Ordinary seamen can complete an apprenticeship, attend recognized occupational
schools or participate in a recognized correspondence course.
Each crewmember is required to have in his possession at all times a "duty
roster." The duty roster contains general data such as diplomas, medical certificates,
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8
endorsements from any of the proper authorities of the riparian states or Belgium, and
other evidence of the qualifications of the holder. It also contains a section to write in
specific data on the executed journeys with the captain of the vessel making all entries
into a crewmember's duty roster. The Commission also sets minimum manning levels
for all vessels, including tugboats, push tugs, and motor vessels of all kinds. The
Commission outlines the aforementioned minimum qualifications for crewmembers.
However, each Rhine riparian state and Belgium can apply its own nation's
employment regulations to vessel operating under the state flag.
TUG AND BARGE INDUSTRY SAFETY AND ENVIRONMENTAL CONCERNS
The recent string of unfortunate river mishaps is a matter of record. No amount
of after-the-fact reporting, liability, and recovery will suffice. The emphasis must be on
prevention. It is our view that the legislation under consideration today lends itself to
this criteria.
Precedent certainly exists for the certification of individuals for employment in
the tug and tow industry. In 1972, the tug and tow industry, overwhelmingly
supported the licensing of tug and tow operators, clearly for safety concerns. It is our
contention that their reasons for supporting the licensing of operators on tugs and
tows then are as valid today in relation to the documentation of crews for these
vessels. There clearly exists an unassailable case for the documentation of crew
simply on the basis of safety.
Today, the industry's concern with vessel safety is highlighted by the American
Waterways Operators position on the relationship between safety and crew
responsibilities in its filing in September 1990 on the Coast Guard's drug testing
regulations. In its comments on the then-proposed rule, the association maintained
that "all crewmembers aboard commercial towing vessels are in safety sensitive
positions and have safety-related positions" and that the responsibilities and functions
of deckhands "effect the safe navigation and operation of the vessel."
The tug and barge industry's concern with the changing nature of the trade is
further evidenced by its adoption in December 1990 of a guiding set of nine
environmental principles. In making that announcement the Board of Directors
commented that "AWO members are dedicated to continually improving operations in
an effort to eliminate environmental incidents and to reduce environmental hazards to
an absolute minimum." We commend the industry in its desire to establish an
environmentally sensitive waterborne transportation network. We urge the industry not
to make these principles just hollow promises but to join us in backing H.R. 4394 as a
means to guarantee that all personnel employed on the rivers meet minimum Coast
Guard standards.
Endorsement of H.R. 4394 will undoubtedly lend itself to attaining these
objectives. In light of the high level of incidents in this trade, it is imperative that the
stringent personnel and safety-oriented provisions of the Oil Pollution Act of 1990 also
apply to currently undocumented personnel on tugs and tows five gross tons and
over. Uniformity across the board would guarantee that certain safety and
competency standards are enforced throughout the entire maritime industry.
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9
We recognize that opponents of H.R. 4394 will argue that further regulation of
the inland industry is contrary to the Administration's announcement to reduce the
burden of federal regulations. We fully support efforts to keep federal regulation to a
minimum. However, in making its pronouncement, the Administration acknowledged
that certain regulations are essential to safety. Given the Coast Guard's statistics on
accidents there can be no question that a tightening of certain policies on the inland
waterways is mandated We further contend that improving the safety of the inland
waterway system will enhance another goal of the President and that is to be known
as the Environmental President which in our view should be supported and
promoted by all federal agencies, not just the Environmental Protection Agency or the
Interior Department.
RECOMMENDATION
Just as the nation's system of interstates, highways andcountry roads have
served to bring the country closer together, the waterways and channels serve in their
own way as interstates and country lanes bringing commodities and people a bit
closer to one another A typical day on the nation s waterways very likely will find
commercial vessel traffic of all sizes, fisherman and recreational boaters and perhaps a
barge or two transporting recreational vehicles and campers with their highly
inflammable propane tanks. We owe it to these people to ensure that we are taking
every known step possible to make their journeys safe.
In conclusion, the Congress has made tough and unpopular decisions in the
past to regulate the marine environment. The Oil Pollution Act of 1990 is a profound
example Let us not waste those tough decisions by declining to correct an obvious
oversight in the law It took a major environmental accident to give impetus to a much
needed bill. It would be foolhardy to put off in any way the principles of H.R. 4394
until a disaster strikes The next time in addition to our precious environment it may
mean a tremendous loss of human lives Let us enact H R 4394 in this Congress
PAGENO="0185"
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APPENDIX INDEX
* Appendix A: Statistical Annex
* Appendix B: Newspaper Articles
* Appendix C: Summary of National Transportation Safety Board
AccidentReports
* Appendix D: Characteristics of the U~S. Flag fleet, including Inland
Waterway Vessels
* Appendix E: Characteristics of the Inland Waterways
PAGENO="0186"
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Aprendix (A)
STATISTICAL ANNEX
Table 1: "Tug & Tow Accidents"
This table shows the number of all Tug/Tow vessels on the
American inland waterway system involved in accidents over a
ten year period from 1981 to 1990.
The "Percentage < 300 GT" column shows the percentage of
the uninspected boats involved in accidents to total acci-
dents. This has been relatively constant over the period at
about just over two-thirds of all casualties. See Table 2 for
more on this aspect. The fact that the annual accident rate
of the smaller vessels, relative to the industry overall, has
shown no clear trend supports no theory that the safety of
this sector has either improved or worsened over the period
The "All Tugs/Tows" is the U S Army Corps of Engineers'1
number of these vessel types which allows standardization of
the accident data The last two columns show the average
accident rate for the uninspected sector and all Tugs/Tows in
each year This data confirms the notion that the accident
rates have shown no clear trend.
The totals for the last three columns, "All Tugs/Tows"
(i.e. the population of active vessels of this type) and the
two columns of accident rates, refer to average fleet size and
average accidents, respectively. 5,044 is a nine year average
fleet size. The total for the last column suggests that. on
average each Tug or Tow boat has been involved in 2 6
accidents over the ten-year period.
This data does not include roughly 500 accidents which
occurred during this period because the Coast Guard did not
record the gross tonnage of these vessels and which could not
be classified by tonnage. It should also be noted that the
data for 1990 is preliminary as some case are still open and
therefore not included in the database.
The U S Army Corps of Engineers produces the most reLiabLe database on this industry The Coast
Guard's MSIS database of U.S. f lag vessels contains coding inaccuracies for the Tug and Tow boats and is,
therefore, Less reliable. The fleet population statistics are from the publication "Waterborne Cosmierce of the
United States", various years, and from the Corps directly.
PAGENO="0187"
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TABLE 1:
TUG AND TOW ACCIDENTS
1981 -1990
Year
Accidents
<300 GT All Tug/Tow
Percentage
<300 GT
All
Tug/Tows*
Accident Rate
<300 GT All Tow
1981
853
1 273
67.0%
4890
17.4%
26.0%
1982
866
1 331
65.1%
4890
17.7%
27.2%
1983
936
1,390
67.3%
4,993
18.7%
27.8%
1984
805
1,255
64.1%
4,993
16.1%
25.1
1985
742
1,115
66.7%
4,954
15.0%
22.4%
1986
768
1,140
67.5%
5,096
15.1%
22.3%
1987
766
1,178
65.1%
5,171
14.8%
22.7%
1988
992
1 637
60.7%
5,188
19.1%
31.5%
1989
821
1,330
61.8%
5,228
15.7%
25.4%
1990
707
1,066
66.4%
NA
NA
NA
TOTAL
12,716 8,256 64.9%
5,O45~ 1.6 2.5
* SOURCE: U.S. Army Corps of Engineers, data for81152 and 83184 combined bytheCorpe.
NOTE: Thetotal for AiiTugeFTows~ isa nine-yearaverageforthe U.S. tugand towfieei. The accidentratee reflectthe average numbarofacci.
dents a vessei wouid beinvoived in overthe 1O.yearperiod.
PAGENO="0188"
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1500
~1(k~N)
I
0
z
500
0
1273
8531
Tug and Tow Boat Accidents, 1981-1990
Total and Those Under 300 Gross Tons
(Data onlyin4udcs thoac accidents for which Gross Tonnage was recorded)
Year
S US Con t G d CASMAIN D t base Tag/Tow <300 GT All Tag/Tows
PAGENO="0189"
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II. Table 2: "Value and Severity of Accidents..
The Coast Guard ran a search of its' MSIS database (see
Note 1 above) to obtain the ratio of Tugs/Tows under 300 GT
and those over. The figure they arrived at yielded a total of
some 5,771 of these vessels of which only about 11 percent
were larger than 300 GT. The Coast Guard indicated reliabili-
ty problems with the data exist, which is confirmed by the
fact that the Coast Guard's numbers seem contradict the Army
Corps of Engineers' data for this same class of vessels. The
USCG database yielded a number of vessels 543 greater than the
last figure provided by the Corps of Engineers (5,228 in
1989).
Taking this ratio as the best available at this time, it
appears that the accident rate for the class of inspected
vessels (300 GT and over) is out of proportion with their
share of the total population. The data indicates that the 11
percent of the fleet represented by the larger vessels account
for about three times the number of expected accidents. If
only 11 percent of these boats are operating in U.S. waters,
all else equal, they should account for roughly 11 percent of
all accidents. As the table shows, the actual percentage is
about 35 percent.
It is likely that the larger vessels, which fall into the
catagory of inspected vessels, report more accidents, includ-
ing less severe types of routine bumpings, scrappings, etc.
than do the unispected vessels under 300 GT. This would cause
them to show a higher rate of accidents, but would lower the
"severity" of these accidents, on average, measured in various
ways. This appears to be the case.
The two boxes below the first show two measures of
severity: in terms of Dollar Cost and in terms of Human
Costs, measured in injuries and deaths. In both of these
tables, the averages of these measures show that the smaller
vessels indeed account for an excess of both these costs j11
relation to their proportion of the accidents they renresent.
Ceteris paribus, we would expect the 65 percent of
accidents involving Tugs and Tows would account for roughly
the same proportion of dollar costs and human costs, i.e.
about 65 percent. However, the Coast Guard data shows that
these accidents account for an excess of costs beyond what we
should expect.
A few examples: the 65 percent of vessels under 300 GT
account for fully 77 percent of the cost in terms of vessel
damage and 89 percent of the damage to cargo. This leads to
excess costs of 12 and 24 percent, respectively. The compari-
son to human costs is even more striking. The 65 percent of
casualties involving smaller vessels account for 84 percent of
all crew injuries and 89 percent of all crew deaths.
PAGENO="0190"
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Percent of Percent of
Accidents Fleet*
35.1% 10.5%
64.9% 89.5%
12716 100.0% 100.0%
Baudon USCG MSISd tabase,reliabuusy of the data is questionable
TABLE 2:
VALUE AND SEVERITY OF ACCIDENTS
AMERICAN INLAND TUG AND TOW INDUSTRY
1981 -1 990
SIZE CLASS
300 GT and Greater
Under 300 GT
Number of
Accidents
4460
56
TOTAL
NOTE: Doss notlnckids4eEtugltowcssusltlss
forwhlch nogrosstonnsgswss recorded.
COSTS (in $0005) Vessel
Damage
Cargo
Damage
Other
Damage
300 GT and Greater $70,653
Under 300 GT $239,254
$1,731
$13,955
$223,377
$579,079
TOTAL $309,907
$15,686
$802,456
COSTS (Percentage of Total)
300 GT and Greater 22.8%
Under 300 GT 77.2%
11.0%
89.0%
27.8%
72.2%
HUMAN COSTS Crews Crews Passengers Passengers Others Others
INJURIES TO - (Persons) (% of Total) (Persons) (% of Total) (Persons) (% of Total)
300 GT and Greater 31 15.7% 1 20.0% 15 8.3%
Under 300 GT 167 84.3% 4 80.0% 166 91.7%
TOTAL 198 100.0% 5 100.0% 181 100.0%
DEAThS TO -
300 GT and Greater 10 111% 0 00% 18 194%
Under 300 GT 80 88.9% 7 100.0% 75 100.0%
TOTAL 90 100.0% 7 100.0% 93 100.0%
PAGENO="0191"
187
TABLE 3
PRIMARY CAUSE OF CASUALTY HUMAN FACTOR
TUG AND TOW BOATS, LESSTHAN 300 GT
Human Factors, i.e., factors relating to human performance such as fatigue, inattention to duty, lack of training
and knowledge of duties, etc., are the primary causes of accidents involving American inland Tug and Tow boats.
According to the Coast Guard's data, 58 percent of all accidents involving these boats from 1981 to 1990 were
chiefly caused by human error In fully two thirds of all accidents human error is at least one contributory factor
When human error is involved accidents tend to be of the most serious types Of accidents in which human
factors are deemed to be the primary cause 88 percent result in either groundings or collisions Additionally for
those vessels under 300 GT when other serious casualties such as capsizings and sinkings fire and explosions
and allisions are added to the groundings and collisions the comparable number of accidents is 93 percent
This information is important because it is exactly these types of accidents which are most likely to lead to
deaths, injuries and environmental damange.
The numbers show the percentages of accidents which have resulted due to various human errors. The Coast
Guard lists several causes (sometimes as many as five) leading to accidents of various natures. The first line
shows total casualties and thetotal forthose Tugs/Tows lessthan 300 GT, along withthe raw numbers of accidents
chiefly caused and partially caused by human factors. The second set of numbers break down the percentages
of these figures
The last part of this table shows these numbers as a percentage of all accidents chiefly caused by human error
which result in groundings and collisions
I Number of Accidents Of Which Human Error Of Which Human Error
Is a Primary Cause Is a Contributory Factor
TTotal Casualties: 12,702 7,392 7,765
Less than 300 GT: 8,242 4,740 5,047
II Percent of accidents
primarily caused by human error
Total Casualties 582%
Less than 300 GT 575%
Where human error was
at least one factor
Total Casualties 611%
Less than 300 GT 61 2%
Ill Percentage of accidents involving human error as a primary cause
which resulted in a grounding or collision
Total Casualties 88 1%
Less Than 300 GT 84 1%
PAGENO="0192"
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TOWBOAT CASUALTIES
ON U.S. INLAND WATERWAY SYSTEM
1981 through 1987
Year
Reported Cases
300 Gross Tons
or Under
Human Error
Primary Cause
<300 GT
1981
1,273
853
606
1982
1 331
866
518
1983
1 390
936
521
1984
1,255
805
510
1985
1,115
742
418
1986
1140
768
470
1987
1178
766
463
1988
1 637
992
602
1989
1 330
821
502
1990
1 066
707
437
TOTALS
12,716
8256
5047
NOTE Data for the year 1990 are preliminary aa some cases remain open and have not yet been added to the database
SOURCE: U.S. Coast Guard's CASMAIN Database.
PAGENO="0193"
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Appendix (B)
55-369 0 - 92 - 7
PAGENO="0194"
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New Orleans, LA TIMES-PICAYUNE ____________________
Ba~ges are rounded up
afteraccident in river
About 65 to 70 barges were Coast Guas~I said.
knocked loose on the swollen The barge reportedly put
Mississippi River at Keener hol, in the forepeak tank. de
Monday night by a ship that scribedan a foreward ballast tank
slipped its anchor, the Coast that normally carries water, the
Guard said. One of the barges hit Coast Guard said. The Gulf Tn
snothez.ship, knocking a hole i~ dent was not in danger of sink-
its ball~1Znk. in~ aupokosman said.
One pain barge pestislly s.nl~ In the sssesstinse. tughoass re
but thenewere no sepsetsoflnju. turned the Hslleepost Dignity to
rise or polkstien in the 650p.m. the Ama Anchorage and began
mlahsp,theCostGusedssid rounding up barges. Chief Joe
Tb. skip HsllsspnsdlDlgslty Couch said.
drifted a sheet distange desen- Most of the bsrgenwere carry.
river tastrong currents from the isggnsin. hut one reportedly con-
Ama Anchorage which is just tamed s cargo of ethanol, a form
upriver from Kenner, the Coast of alcohol. Couch said.
Gusxdaold. A 22-mile stretch of the river.
The ship hit harass tied up at roughly from Gretna to the Ants
the Kenner Bend Fleet, causing Anchorage, was dosed to marine
bargus to.,bosak loose and float traffic while the barges were
down the river, according to the being rmmded up. Quartermeuter
CosstGusrt John Litzesbergersaiè
A barge, aooal6istly one of All of the barges were believed
those that broke free from the rounded up by fr.30 p.m.. but the
Kanner Bend Fleet, hit the ship river remained dosed late.Mos.
Gulf Trident, anchored about a day while a count was being dose
mile downniver at the Lower, to make sure no barges were
Kenner Bend Anchorage, the missing, theCoast Guard said.
PAGENO="0195"
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New Orleans, LA TIMES-PICAYUNE ___________________
Toxic spill
is being
cleaned up
Barge collision caused
evacuation of homes
By Th. Assoelasad Pr...
MORGAN CITY, La. -
Crews worked Monday to clean
up 11,000 gallons of toxic, volatile
atyrene that spilled into the
Intracoastal Waterway near
Morgan City after a barge coffi-
sion the night before
Residences, camps and busi-
nesses near the spill were
evacuated, the Coast Guard said.
One man was hospitalized, but
his identity wasn't available.
The collision involving two
strings of barges occurred Sunday
about 6 p.m. The Coast Guard's
Gulf Strike Team was sent to
help in the cleanup and state
environmental officials were on
the scene Monday to assess eco~
logical damage.
By midday, the Coast Guard
said, the damaged styrene barge
was still leaking small amounts of
the chemical, but officials hoped
to start transferring the chemical
to another vessel in the afternoon
and have the transfer completed
Monday night.
Styrene is highly flammable
and the fumes are harmful if
breathed. It is a skin and eye irri-
tant. Coast Guard Lt. Allen
Harker in Morgan City said two
crew members from one of the
tows complained of nausea after
the collision.
The spill `appeared to be con-
tained within a two-mile stretch
of the waterway.
Traffic on a 15-mile section of
the waterway, from Mile Marker
105 south of Patterson, to Mile
Marker 120 south of Franklin,
was restricted while Thompson
Environmental of New Orleans,
hired by the barge operator,
worked to clean up the spill.
The leaking barge carried more
than 114,000 gallons.
Harker said the liquid is used
in making plastics and synthetic
rubber.
PAGENO="0196"
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New Orleans, LA TIMES-PICAYUNE ~ 1
Crewman dies after tug sinks on lake
from the watsr and hoisted onto Tb. Coast Guard contacted Warner said a Coast Guard
ssm.,e, Come Guard hebctpoer Quar Csussway ofEcealo and radar op. boat quickly reached the scene
terlsrsrHeosldOCkaven orator Mario Baniten located the but not before the tug sank.
One of two crewman died The man wasprosesunceddeed usfs position as 34 miles east of Warner, who watched the rescue
Tuesday night aftarthsir tugboat at East Jefferson General Hue' the Caesswey and shout midway through binoculars, said it
sank en rough weather on Lak petal, theCoesiGuardeast between Oh a rth d so th appeared the boat perked up ne
Pont etron, the Coast G~~5~d Someone on the 5O.foot tug shores, said Lt. John Warner of man, and a Coast Guard holicop.
55it Mr. Ernest broadcast a distress theCasseway police. The Coast tar lowered a cable to the men
The 50.ysar'old man, whose call at &17 pa,, the Coast Guard Gusad estiesated the position as who Isterdied.
name was not availakis, suffered said. Th. radio call indicated the eighn miles neon of Lakefreeg
heart attack after he was pulled tugwasankisgweth twoahoard. Aer~IM8t.1~asasyPa~i~h. esavus,seaepse.
Tb C tG d dth
bosts crew may has'j picked up
both men. resltneqr ow ill one
was, and decided to send him to
the bospetalby helicopter.
Randy Giffood, the crewmen
taken onto the bost, told the
Coast Guerd the weather wee
- rough. and wster started coming
th d,nfh gilt
en could not start the bilge
pumps. and in. boat sank. Gif
foroltold the Coast Guard.
The rescue was aided by good
visibility because the rain had
stopped shortly before the cell for
help, Warnereset
Warner said the wisd.wbipped
lake basbeen rough fortwodoYs.
..~You ebould have seen those
en Visone said
The Mr. Ernest is owned by
Jefferson Macice Towing Inc
PAGENO="0197"
193
06026133/9
06026133
JUDGE WON'T LIMIT COMPANY * S LIABILITY FOR OIL SPILL
OREGONIAN (P0) - SATURDAY January 26, 1991
By: JOHN PAINTER JR. - of the Oregonian Staff
Edition: FOURTH Section: LOCAL STORIES Page: D02
Word Count: 966
TEXT:
An Oregon tugboat company that already has agreed to pay $3.9 million in
damages could be forced to pay even more for a 1988 oil spill off the
Washington coast.
A federal judge in Portland this week ruled against Sause Brothers Ocean
Towing of Coos Bay in its bid to limit its liability for the spill off
Grays Harbor, Wash.
The spill allowed 231,000 gallons of heavy-grade oil to flow into the
Pacific Ocean near Ocean Shores after the barge Nastucce was rammed by its
own tug after a tow cable snapped.
On Thursday, U.S. District Judge James A. Redden found the company
negligent after a trial last month on the liability issue. A separate trial
on damages will be held this spring. Sauce Brothers sought to limit its
liability to $957,084, the value of the tugboat Ocean Service and the
cargo.
Sauce Bros. also has offices in Portland and serves clients in Hawaii
and other Pacific Ocean ports. The company also owns a barge fabrication
plant in Coos Bay.
The Dec. 22, 1988, spill fouled more than 300 miles of co8stline
extending north to Uancouver Island in British Columbia, Canada, and
killing or injuring thousands of birds.
More than 100 claims for damages have been filed against Sause Brothers
and BP North American Petroleum, which owned the oil on the barge, by the
Canadian and British Columbia governments end by the United States, both as
a federal government and as trustee for various Indian tribes.
Canada seeks $4.25 million for cleanup costs, and British Columbia seeks
$400 ,000.
In finding negligence, Redden wrote that the `tow cable was corroded,
improperly cared for and not thoroughly inspected. He said a typical
inspection occurred with the captain and the chief engineer looking at the
cable from six feet away as it was winched aboard at speeds between 1 and 3
miles per hour.
The judge also found faulty recordkeeping of cable inspections and
incomplete log-book entries.
Redden rejected the Sause Brothers' claim that the tow wire had snapped
because it had caught on an object in the ocean, dramatically increasing
the pull on the cable.
PAGENO="0198"
194
He also found that a barge-recovery device, called the Orville Hook, was
aboard the tug but was unassembled and that only the captain knew how to
operate it.
Other evidence of negligence, Redden found, was the lack of a backup
device, called an insurance wire, which trails behind a barge and can
quickly be picked up by the tug after a cable break. The Nestucca had been
equipped with an insurance wire before its purchase by Sauce Brothers but
did not have one at the time of the cable break.
Redden last month dismissed a $2.5 million class-action lawsuit filed on
behalf of the 1,100 volunteers who helped clean oil-stained Canadian
beaches. The only option remaining for volunteers would be to hire their
own lawyers and seek damages individuall5~ -- en expensive process, said
volunteer coordinator Dave LeBlanc.
Guy C. Stephenson, attorney for Sauce Bros., could not be reached for
comment Friday.
Dale Sauce, president of the company, has said Sauce Bros. spent more
than $2 million for cleanup and did everything possible to react to the
spill.
After the U.S. Coast Guard investigated the incident, it issued a report
that exonerated the master and crew of the towboat of negligence or
violation of any laws, Sause said Friday.
Copyright (c) 1991, The Oregonian Publishing Company
DESCRIPTORS: BOAT ACCIDENT; OIL SPILL; DAMAGES; WASHINGTON
PAGENO="0199"
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196
~
02282761 0881
Tugboat Ruptures Gas Line, Explodes; Barges Burn in Industrial Canal
DATELINE: HOUMA, La. PRIORITY: Rush WORD COUNT: 0138
THE ASSOCIATED PRESS DATE: January 18, 1991 21:14ESt
A tugboat burned and sank Friday after
rupturing a natural gas line and triggering an explosion in a
shipping canal, officials said.
Four empty barges and the gas line burned for more then two
hours after the tug Karen Elizabeth went under on the Intercoastal
Waterway. Four people on the tugboat, who jumped into the water
before the explosion, suffered minor injuries, Terrebonne Perish
Sheriff Jerry Larpenter said.
Firefighters shut off the United Gas line end doused the fire
that erupted close to South Terrebonne High School but did not
threeten the campus, said Thomas Ledet of the Bourg Fire
Department.
`It looks like it wasn't nearly as bed as it could have been,'
Ledet said.
SECTION HEADING: Domestic;
Copyright 1991 the Associated Press. -- All Rights Reserved
NeW Orleans,. LA TIMES-PICAYUNE ~
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199
05801237
CREWS CONTAIN KEROSENE SPILL
OREGONIAN (P0) - SUNDAY O~tober 28, 1990
By: From wire reports
Edit ion: FOURTH Section: WIRE STORIES Page: E18
Word Count: 167
TEXT:
MARLBORO, N.Y. - Coast Guard crews took advantage of favorable weather
Saturday to contain 164,000 gallons of kerosene that spilled into the
Hudson River when a barge ran aground on a reef.
The barge, carrying about 30,000 barrels of kerosene or 1.26 million
gallons, ran aground end sprang a leak Friday night about one mile south of
Marlboro and 60 miles north of New York City, said Bill Falk, a U.S. Coast
Guard spokesman in New York.
The cause of the accident was not immediately clear, but high winds and
choppy seas may have contributed, Falk said.
The barge hit a known underwater hazard called Diamond Reef, which lies
about 5 feet below the surface, said Coast Guard Chief Petty Officer Alan
Burd. Barges can dip 3 to 9 feet below the water when carrying a full load,
he said.
It was a known hazard, and it was marked with a buoy," Burd said.
Petty Officer Howard Holmes said strong winds were keeping the kerosene
along the river's eastern shore.
Copyright (c) 1990, The Oregonian Publishing Company
DESCRIPTORS: SHIP ACCIDENT; NATIONAL
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201
The Houston Post Date____________
Official blames worker's en~or
for oil spillage in ship channel
FROM STAFF REPORTS barge.
Russell said suthonties will con-
A worker who wantilling a barge tinue to investigate whether the
that buckled and spilled 21.000 spill was the result olntsuctural fail-
gallons of heavy oil into the Hoist- see or improper loading of the
ton ShipChannel has been-accused barge-
01 not lollowing procedures, the Serrefte could be placed on pro-
US. Coast Guard reported Tues- balios, his document allowing hon i
daY. . toloadbargescouldbesuspessded
Ingram Barge 0.. w i was loraperiodof time or he couldlose I
loading the od on Sunday, could his license outright. Russell said.
ace a citation for pollution ant! Meanwhile Assistant Chef I
hoe of up to $5000. suthorsties Port Opeeki005 Mike deBeties- I
Miles Serrelte. a lankersnas with coWl said pollution investigators I
the P Sole T ke g 1 ate prepanng reports for civil ac-
crating Service, will have to appear lion against Ingrain Barge Co..
before U.S. Adminisirative Law di wried the vessel thai suck-
Judge Thomas MeElligoit to re- led
spend to the allegations. Once the pol lotion investigation
Coast Gsard LI. Cmdr. Mike is completed in a couple of weeks.
Russell said although the cause of the repoels will be forwarded lathe
the spill has sail been determined. Coast Guard's New Orleans office
in the course of investigating the and a penally up 10 $5,000 could
incident aulborilies dete'linsned be assessed. deBeftencourl said.
Serrette failed to follow procedures Cleanup of the spill was continu-
for trasslernisg oil lo tasks on the ing Tuesday.
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05714313'9
05714313
TOU~OAT SINKS AT D~i
O~~NIN1 (P0) THURSDAY August 2, 1990
8y: From correspondent and wire reports
Editions FOURTH Section: NORTHWEST Pege: BOO
Word Counts 226
TEXT:
pAS~O, Wesh. - A towboat pushing three barges through a lock at Ice Harbor
Dam struck a gate and sank in 16 feet of water early Wednesday, the U.S.
Army Corps of Engineers said.
The towboat Clarkston, owned by Brix Maritime Co. of Portland, struck an
upstream gate about 1:45 a.m., the corps said in a news release. Much of
the superstructure on the 86-foot boat remained above water.
The three barges, carrying logs, wheat and a variety of containers, were
safely through the lock on the Snake River dam before the Clarkston~s stern
hit a gate.
Water flooded theboat's engine room through a gash 4 inches wide and 9
inches long in the bottom of the boat, the corps said.
Wooden wedges were used to plug the hole, and crews used gas-powered
pu~,s to remove the water late Wednesday afternoon, said Larry Walker,
chief of operations at the dam.
Walker said he expected the towboat would be moved out of the lock in
time to allow commercial barge traffic through the dam by Thursday morning.
The Coast Guard's pollution respons. team was called in when a small
amount of oil leaked into the water from the boat's engine. Experts said
there did not appear to be any environmental damage.
Damage estimates for the navigation lock gate were not available, end
the accident was under investigation.
Copyright Cc) 1990, The Oregonian Publishing Company
DEScRIPTORS: - TUGBOAT ACCIDENT; WASHINGTON
PAGENO="0208"
204
05~13 040/9
05~13 040
TUG CREW FLEES FIRE
OREGON I AN (PD) - WEDNESDAY August 1, 1990
By: From correspondent and wire reports
Edition: SECOND Section: NORTHWEST Page: 908
Word Count: 104
TEXT:
SEATTLE - All four crew members of the Foss tug Pecific Titan abandoned
ship early Tuesday morning when a fire broke out aboard the 9~-foot ship
off Cape Flattery, on the northwest tip of the Olympic Peninsula.
Coast Guard Petty Officer Sandy Calhoun said the four were in a skiff
until picked up by another tug. There were no injuries.
The Pacific Titan was towing a barracks barge from San Francisco to
Bremerton when the fire was reported at 1:30 a.m.
The fire was extinguished at 7 a.m. Calhoun says the cause of the fire
has not been determined and there was no fUel spill.
Copyright (c) 1990, The Oregonian Publishing Company
DESCRIPTORS:* TUGBOAT ACCIDENT; WASHINGTON
PAGENO="0209"
205
WATERWAYS JOURNAL JULY 30, 1990
July 30, 1990
Maty Burke Crewman
Found Now Identified
St. Louis, Mo-The body of a ini~ne
harborboat crewman discovered July 1~
when the mv Mary Burke was raised in St.
Lcins harbor ~ Olde Moore DI &
Salvage (WJ July 23) her been iden~ as
thato(CasyD.HathndofQuinc~y Ill
Authontlea thought at the time oidieotw.
eay that they lmew they'd found Harland
last could not ithare the name for publina.
tine unid identifiretion was metain and
official.
ThevesseIankJwre3O'~ hi"
water. Itwa, laterfound in 451 ettwat~
upaide down and filled with sand.
Two ciewmen ware lost In the mishap.
0 ssusang is James Wrttenbusg of Peirin,
Hasland, a towboat pilot for Ame,lt*n
is a son
seswces ware held J y 28 at Qulney.
River friends ware told I~ Catherine
Hadand, Has1and~ widow, that die bed
~th Ed~en
PAGENO="0210"
206
WATERWAYS JOURNAL - JULY 30 1990
Irene Ftazier Sinks,
In Houston Channel
Galveston, Teias-The mv Irene Fm-
flC~ sank mid-drannd in the Honston Ship
Chasind fleer Buoy 63 July 25, dosing the
ywmeyundltboveasdwasremcwed
later the same day.
Coast Cuard Invesligatoss said the 800
hp towboat took on water, while runnina
bait boat, and sank between msdruabt an~
1 a.m Crewmembers were iaclaecIup by
the my Compass Mission, operating nearby
T&T Marine Salvage, Inc~ o( ~a5vsaton
raised the vessel, and the ship dsannel wee
reopened at about 11:45 p.m. on July 25,
The Irene Frazier was taken to Glendale
Boat Works, Inc~ Channdview, Tmes~ for
survey, investigators said. The boat was
builtin 1980 at Bcssrg, La. The 1990 InLand
Rissr IIsa,rd lists ihe veasd~ owner as
Frazier Towing, Inc., Calliano, l.a.
PAGENO="0211"
207
The Houston Post Date__________
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PAGENO="0217"
213
LLOYD'S LIST
1479°
MABINBaIEMsT(Ammican)
Houssoa, May30- Soil/chess
tank Manse Chassslir lying at Dow
Chemical Co A-4 dock, Freepoet,
Teem, leaking toxiccargovapours,
reportedly ammonia and hydro-
chloric acid, into atmosphere. Part
of Dow facility, adjacent school
nndhospisalpressntlybeingevncu-
stud. Gulf International Waterway
In Freepoetnrea has been cloledto
marine traffic. No injuries
reported. Possibility of explosion
exiseL - Lloyd aAgentL
Frerport, Texan, May 30 -
Severalhundredreaidentsfledf,oa,
their homes today; when tozic.gas
egtapedfromtheManarChmoia~
abowChemical Copetrochemical
complex here after incompuubte
chemicals were inadvertently
mixed, officials said. "We naked
for a voluntary evacuation of the
uoush-eastpsrto(town. Mostofthe
residsntnmet thatrequest. Wethen
evacuated three schools as a
precaution," police captaia Larry
Rullard said. Otherresident~ Its she
area were being advised bossy In-
doorenndkeepwindowaclosednnd
air-conditioners turned off, said a
Dow spokeswoman. She said the
gas leak occurred after crews last
night Inadvertently loaded two
different chemicals Into the same
tank of the vessel, the resulting
chemical renctloa producing a gas
cloud this morning containing
ammonsn, hydrogsa chloride and
other by-prudsctL The Coast
Guard dossd the Gulf latswcosstnl
Waterway last night - Riuesr.
MA*INECIJEM!ST (American)
Newffesnd*ner- A report
from Houston states: The United
StatesConntGtiard is investigating
the improper mixture of chemicals
responsible for closing the Gulf
Intracoastal Waterway here for 34
hours Inst week and has set a hear-
ins to determine whether a chemi-
cal plant worker should hold a
tankerman's certificate. The Coast
Guard will hold an administrative
hearing Sept 20 in Houston to
determine whether Jack Bryant
0111mm. 31, is entitled to hold a
Coast Guard-issued tnnkermnns
document. Giltiam, a Dow Chemi-
cal Coemployce, has been chnrgsd
withmiuconductasatankersllnn by
the Coast Guard. He was transfer-
ring two chemicals, 1-3
Dichloropropene and
Aminoethylethnnolamiuc. from
railroad tank cars into $ oillchem
tank Mares, Clwsssisr at the Dow
plantabout 2100, May 29, when he
hoohedupahosetothewfOngtnnk
car, said Coast Guard 1.t-Cmdr
Frank Whipple. of Galveston. The
mis-up resulted in 5.000 gallons of
1-3 Dichloropropene being mixed
with 20,000 gallons of
Aminoethylethanolamine, which
created toxic fumes and prompted
local officials to ask residents to
evacuate south-eastern Freeport.
The Coast Guard ordered three
milesofthe lntracoastal Canal and
theBrnzoe River Harbour Channel
in Freeport closed between 2300,
May 29, and 0900, May 31. The
CosstGuardhnsfoundnOevidtnce
in its investigation so indicate an
explanation for the chemical mis-
hap such as improperly-marked
railroad tank cars, Whipple said.
- "Daily Shipping Guide." (See
issuesof June 1 and2l andJuly 16.)
7~
PAGENO="0218"
214
LLOYD'S LIST - APRIL 19, 1990
MOIT*(A.Ushos)
Na's
badiashav.bsas rorooorsd by abs
CosasGaardaaarthalarasiasof.a
shthssbadbaaoNa
o~sca ofa search oacsTaooday
(Mar 27~ Ts Afar-lb. owood by
Coosal Maria. Saro,cs. of Nsa-
tiepsas. NY. bad. c's's of three
oh's oh. deponed abs Gassier
Mario. is Gassier, Mi's. as Mar
tP.Sb.wssschodotedaopick spa
bsrps is Abbovids. La. bathes
rsssroiep is Gassier for this asd
oaossolo5aaI5sossa~co. NY aba
Cases Gasrdaald. Theavonoosod
issued-_ar'.
sepos barda b.s'ssoa Noes ash
Skip Moods. sasiowo. of
Pasupoids.Tbowuobooaaebsaho
doocoipsios of abs M.e-ThL whisk
had boos .*poossd is Abbsviba
Mar2t.TbsladtaasCasasy.Mlos.
aseesorbo. yes so ldsaolfy a body
nososrod Mar 23 steak of Noes
blood. Tb. `stood body w
locslodyos'sdsyaoraiopss$bip
(died. obsCasesGoardosid. his
believed akr-bodies a's (is. abs
ciserof abs Mar-lbbocooslbs-
alas `so. ~voeiebls yosudoy
- __
Gssde. (lies Masse of M's 31.)
PAGENO="0219"
215
LLOYD' S LIST - APRIL 19, 1990
MS U (barge)
New Orleans, Mar 2$ - A
- report fromSurfside. Texas states:
TheUnitedStatesCoastGuard has
charged the master ala tug(m tug
CREOLE RIVERS) with neg-
ligence after the barge (MB II) she
was pushing struck an abandoned
barge at l800on Sunday (Mar 23).
causing about $00 barrels of oil to
spill into the Gulf Intracoastal
Waterway at Mile 390. Clean-up
operations to remove the oil began
a couple of hours later as Dow
Chemical Co assisted the Coast
Guard. Arthur Sanders a master
for Le Seoul Bros. was charged
Monday and his licence may be
revoked. A Coast Guard spokes-
man said that Sanders was out of
the shipping lane by 100 ft and
should not have been that,far off
course despite a swift current.
Measures should have been taken
to compensate for the current, he
said. Le Seoul Bros vice-president
Jerry Gossoulin said the accident
occurred because a swift current
reqwred more room to manoeuvre
round a bend where the protruding
hull of a barge rests. The company
planned to have representatives at
the Coast Guards July hearing
where revocation of Ssnders
licence would he considerd,
Gonsoulinsaid. Thelirinsposition
is that, although the wreck is
marked on navigation charts the
exact location is not specified and
there is no indication how far
underwater the barge protrudes
into the channel, he said. The
firm's attorneys were trying to
locatetheownersof the abandoned
barge to recoverlosses he said, but
the cost of the spilled oil and the
~damage to the barge has sot yet
been determined. The firm would
have to pay for the spill clean-up
but its insurance would cover the
expense, he said. A US Army
Corpoa(Engineersspokesmansaid
the corps had not been able so find
theownersoitheabandoned barge.
vilsichbas been at the locasssa lor
years. - "Daily Shipping Guide."
(See i~saol Mar31 and Apr 6)
PAGENO="0220"
216
02035376
Captain charged With Negligence in Barge Accident
DATELINE: FREEPORT, Texas PRIORITY: bEFERRED WORD COUNT: 185
THE ASSOCIATED PRES~ DATE: March 27, 1990 20:S1EST
A tugboat captain has been charged with negligence for allegedly veering
too close to shore while pushing a barge that ruptured end spilled 30,000
gallons of oil.
U.S. Coast Guard Lt. Cmdr. Frank Whipple said Arthur Senders, 32, of Houma,
La., could have avoided Sunday's spill in the Intracoastal Waterway by
staying in shipping lanes.
Sanders' tug was pushing the 190-foot oil barge that struck a submerged
vessel and ruptured spilling 830 barrels of light crude into the waterway
officials said.
The waterway opened to two-way traffic Tuesday. One-way traffic was
restored Monday morning.
The charge, issued late Monday, is the first step under maritime law to a
license revocation. No bond is required.
Coast Guard Warrant Officer Mike Shoul said a federal judge will conduct a
hearing and decide by July either to revoke or suspend Sanders' license, or
dismiss the charge. Sanders is free and can continue to pilot vessels
pending the outcome of the hearing, Shoul said.
SECTION HEADING: Domestic News;
Copyright 1990 By The Associated Press All Riohtn Resm vmr4
PAGENO="0221"
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218
02 0262'2'5
02026772
Barge Explodes in Shipping Channel
BY: MICHAEL MORAN
DATELINE: LINDEN, N.J. PRIORITY: URGENT WORD COUNT: 420
THE ASSOCIATED PRESS DATE: March 7, 1990 11:47EST
Coast Guard officials fought today to contain a slick of more than 100,000
gallons of heating oil spreading from the smoldering wreck of an oil barge
that exploded and caught fire in a busy waterway.
A sheen of oil spread along a four-mile area on the Arthur Kill waterway
between New Jersey and New York's Staten Island, said Coast Guard Capt.
Robert North.
The oil was released by two explosions and fire Tuesday afternoon aboard
the barge Cibro Savannah, which was leaving the Citgo Petroleum Corp. docks
in Linden with a cargo of 4.2 million gallons of diesel fuel.
One person was injured.
It was the third time in a week crews had to place containment booms around
a vessel to prevent further pollution in the shipping channel, which
connects through the Kill Van Kull to New York Habor.
Soya. Jim Florio of New Jersey and Mario Cuomo of New York directed their
environmental officials to meet with oil executives and questioned industry
standards for refining, transporting and storing oil in the New York
harbor.
``Enough is enough. We need to be shown that everything is being done to
end this string of environmental tragedies,'' Florio said.
Donald Wright, the vessel's captain, said at his hospital bed that he had
just loaded the barge with No. 2 fuel and was being towed by a tugboat from
the Citgo docks when the first blast occurred.
``All I seen was steel flying and flames,'' said Wright, 41, of Saratoga
Springs, N.Y. He said gasoline vapors from a previous cargo may have caused
the first explosion, but he did not know how the vapors would have been
ignited.
Coast Guard Petty Officer Howard Holmes said the explosion nearly broke the
barge in two. ``It was like a branch that's still green. You can break it,
but it won't totally break in two,'' he said.
Booms were put in place to keep the slick from spreading to part of Staten
Island, two rivers and a sensitive refuge and -spawning ground for birds.
The Arthur Kill, which separates New York City's Staten Island from New
Jersey, was the site of a S67,000-gallon oil spill on Jan. 1-2 from a
ruptured Exxon underwater pipeline. On Feb. 28, 30,000 gallons of heating
oil spilled into the Kill Van Kull from a barge anchored in Bayonne. On
Thursday, 3,500 gallons of heavy crude spilled from a barge into the Arthur
Kill at Exxon's refinery in Linden.
SECTION HEADING: Financial News;
Copyright 1990 By The Associated Press. All Rights Reserved.
PAGENO="0223"
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PAGENO="0226"
222
0~529160/~'
0~29160
CRIPPLED TUG HELPED TO PORT
OREGONIAN (PD) - MONDAY January 29, 1990
By: From staff and wire reports
Edition: FOURTH Section: LOCAL STORIES Page: 803
Word Count: 139
TEXT:
A tugboat towing a barge laden with caustic chemicals was safely escorted
across the Columbia River bar Sunday afternoon. It had lost its hydraulic
power Saturday night.
The Marine Explorer from Grays Harbor, Wash. was towing a 270-foot
barge when a wave swept through its pilot house, causing the hydraulic
failure, said Petty Officer Charles Eberhart of the U.S. Coast Guard in
`Portland.
The tugboat was 17 miles outside of Grays Harbor, Wash., and was towing
a barge that contained 750,000 pounds of liquid sulphuric acid, 2.4 million
pounds of gaseous chlorine and 5,060 dry pounds of caustic soda.
It crossed the bar from the Pacific Ocean into, the mouth of the Columbia
~t noon with the help of another tugboat and a Coast Guard motor lifeboat!
After the passage, the Marine Explorer moored at Astoria for repairs.
Copyright Cc) 1990, The Oregonian Publishing Company
PAGENO="0227"
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PAGENO="0228"
224
New Orleans, LA TIMES~PICAYUNE 1~t~ I
2,000 evacuated in Houma ~ t w k
after gas barge hits bridge w~t~'~?
"Evidently the (water) current
_____________________- H d had something to do with it,"
*pTh.Aas.sIaa.dvss. 4_ Fred Lemoine, Terrebonne I.,emo~ne said.
HOUMA L.a - Abo 2000 wal~t rr hot uecuredth bas~?'to ~
people were evacuated late Mon explosion, tut about 24 aquare in an isolated area.
day after a barge loaded with 4 blocks in Houma were evacuated The Coast Guard cloned the
000 barreln of Liquefied no aprecaution. waterway to navigation in the
petroleum gas bit a bridge on the "A pipe about 2'/s inches in di- area. Evacuees were sent to
lntracoastal Waterway in ameter on the barge was schoolnandothershelters.
PAGENO="0229"
225
05257477
GASOLINE SPILLS INTO EAST RIVER
OREGONIAN (PD) - THURSDAY September 14, 1989
By: From wire reports
Edition: FOURTH Section: Wire Stories Page: A14
Word Count: 147
TEXT:
NEW ~,ORK A tank ba ge carrvinq ~ 8 million gallons of gasoline ran
ag ound an the East Ri er on Wednesday n ght causing hat the Loast Guard
termed a `major gasoline spill."
Authorities closed parts of the East River and the Triborough Bridge as
a precaution.
The barge, the Marania 440, was being towed by the tugboat East Coast
when the barge ran aground just north of the Triborough Bridge about 9:45
p.m., said Petty Officer Jeff Crewley of the Coast Guard station at
Governor's Island.
An undetermined amount of gasoline was leaking into the river, Crawley
said.
"We're talking like a major gasoline spill, but I don't know any amount
at this time," Crawley said.
Crawley said Coast Guard pollution personnel were on the scene, working
wa~h the fire and police departments, the city Office of Emergency
rianagement and Department of Environmental Protection and the state
Department of Environmental Con5ervat ion.
Copyright (c). 1989, The Oregonian Publishing Company
DESCRIPTORS: BARGE ACCIDENT
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227
New Orleans LA TIMES-PICAYUNE
2injuredinfire,expIOSiOfl a
rritically. Sunday night in an barge containing Squid gaa being
enploaios and fire on a barge on pushed by the tugboat Dinse
the Mississippi River near the Valor. Crews of several tugboats
B.P. Oil Co. refinery at Alliance, saw the blast about 8:15 pin, and
theCaaatGuardsaid. radioed the infoensation to the
The Plaquemines Parish Fire Coast Guard.
Department and B.P. personnel The river wan closed to traffic
entiagaished the fire about 9:15 at the refinery, about 12 miles
,p.m.,theCoaatGuardsaid. south of Belle Chasse, for the
The victims, who were not safetyofpassieavenselssnCsseOf
identifedweretahes toWestJef' another explosion and to ease
ferson MedicalCenserbybelicop- acrsn to vessels handling the
tee and ambulance, both owned accident. The river was reopened
by aprivatecompany. Petty Offi. at 10:30p.m.
cer Glees Lsmont said. The The Coast Guard said a lot of
entent 0g their injuries was not inflammable gas remained so the
known. airafteetheenplonion.
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PAGENO="0233"
229
05S12406
~ LVE ~J0~S PL~IS TO RI8I~T B~ OH OHIO RIVER 160,000 GALLONS ~
OF INS D~UC~. IS TR~PED IN I4JLL
C~JJJS DIOFATCH (CD) - WEDIESDAY April 5~ 1989
By: Michael B. Lafferty Dispatch Staff Reporter
Edition: FINAL SectIon: LOCAL NID NATIONAL NSWS Page: 6C
Word Count: 426
TEXT:
LONG BOTTOM, Ohio - Salvage experts yesterday pondered how to right a barge
that capsized with a load of liquid caustic soda tionday in the Ohio River.
No leaks have been found in the tanks that hold 160,000 gallons of the
cheeical in the steel, double-hulled barge, U.S. Coast Guard Lt. Kevin
Maehler said.
The Coast Guard and PPG Industries, which owns the barge, are test:ng
river water for possible leaks, leshler said. Little or no caustic soda,
also known as lye, was released when the bsrge capsized, he said.
3E~* IBON, a spokesmen for the Ohio River Sanitation Coemission, said
drinking water is not endangered.
Long Bottom is in Meigs County about 19 miles north of Pomeroy.
Caustic soda is used in manufacturing soaps, as a common household
drain cleaner, end as a cata'yst in industrial processes. It is considsred
a hazardous cheeical that could endanger aquatic life.
~out 6 feet of the 195-footbarge was above the surface yesterday.
Meehlsr said the barge is wall away from the shipping channel and has not
slowed river traffic.
A tug boat is standing by to help guide river traffic around the wreck,
Mmehler said.
High water rather than the barge has slowed traffic on the Ohio River,
said Charles knighting, lockmaster at the Racine Locks and Dais.
AT LEAST some of the caustic soda will have to be removbd from the
barge before it is righted, Meshler said. No decisions on how to right the
barge have been made. The process may involve pumping water into the
double-hull of the barge to allow the weight of the water to right the
vessel. The sslvage process could take weeks, he said.
Mmehler said a similar process was used when the same barge, also
loaded with caustic soda, capsized April 10, 1987, about 1 mile downstream
from this accident site.
1t is a strange coincidence. The circumstances of the prior incident
ware similar,5 PPG spokesman Craig Jordan said.
This time, Jordan said, the barge, PPG 207, was one of 15 barges being
transported down river around a U-shaped bend.
5AS 11 TOW was negotiating the turn, our barge was adjacent to the
tow. It hit the bank, capsized, and drifted and aank, Jordan said.
The barge is 50 to 100 yards from shore.
Plaehler said the curve at Long Bottom can be dangerous but there are
more treacherous spots on the river. He said high water can make it
difficult to steer barge tows downstream. The barge was being transported
from PPG's plant at Natrium, W.Ua., to Cairo, Ill.
Copyright 1989 The Dispatch Printing Co.
DESCRIPTORS: LONG; BOTTOM; CITIES; WATER; BOAT; ACCIDENT;
HAZARDOUSMATERIAL
PAGENO="0234"
230
4 q-t9
050121B3'9
85012183
CHEPIICAL-C~YING BARGE CAPSIZES
COLUMBUS DISPATCH (CD) - TUESDAY April 4, 1909
By: Associated Press
Edition: FINAL Section: LOCAL AND NATIONAL NEWS Page: 68
Word Count: 219
TEXT:
A barge carrying a hazardous chemical capsized on the Ohio River between
Parkersburg and Ravenswood, W.Ua., yesterday morning, end authorities were
try~ng to salvage the craft ~.ithout a spill, a state official said.
A company off.i.cial said the barge was transporting caustic soda, an
alkaline corrosive that is used widely in the chemical industry. The
unmanned vessel was being pushed by a tugboat, he said.
The 195-foot barge owned by PPG Industries capsized while it was
negotiating a wide turn,: said Craig Jordan, director of human resources for
the company at its New Martinsville, W.Va., chemical plant. Ha said it was
carrying 500 tone of the chemical.
Ron S.ndy, West Virginia Department of Natural Resources supervisor for
field staff, said no major chemical leak was detected as of early yesterday
evening. He said a slow leak was possible.
The barge left New Plartineville with 14 others like it, Jordan said. He
said the tug wee pushing all 15 vessels. The other barges were not damaged.
Jordan refused to disclose the destination of the barges. He else said
he didn't know what had caused the barge to capsize. There were no injuries
to crew members of the tug, he added.
Jordan said the company notified the Coast Guard, the Ohio
Environmental Protection Agency and the Army Corps of Engineers.
Copyright 1989 The Dispatch Printing Co.
DEScRIPTORS: PPG; INDUSTRIES; ACCIDENT; WATER; VEHICLE; HAZARDOUSPIATER I AL
PAGENO="0235"
231
0087288$
Barge Carrying Lye Capsizes on Ohio River
DATELINE: PARKERSBURG, W.Ve. PRIORITY: RUSH WORD COUNT: ~70
THE ASSOCIATED PRESS DATE: April 4, 1989 13:O6EDT
A barge loaded with 160,000 gallons of lye ran aground and capsized in the
Ohio River, but officials said there was no immediate threat to wildlife or
water supplies.
The barge was one of 15 being transported by a tugboat around a sharp bend
when it broke away and ren aground near the rocky shore, said Lt. Commander
Arthur Adkins of the U.S. Coast Guard at Huntington.
The accident occurred about 20 miles southwest of Parkersburg at Long
Bottom, Ohio, and Murraysville, W.Va., near where a barge also carrying lye
ran aground two years ago.
A salvage expert from PPG Industries Inc., the barges owner, was expected
to arrive at the scene today, Adkins said. Cleanup and removal of the barge
was expected to take weeks.
No leaks were detected, Adkins said, but small amounts of the lye solution,
known as sodium hydroxide or caustic soda, may be seeping through vents in
the barge.,
Coast Guard Lt. Kevin Maehler said this morning that preliminary water
tests showed little of the lye had escaped the barge.
Lye is considered hazardous because it is highly alkaline. In high
concentrations such as the amount the barge was carrying, lye will burn
skin and eyes and can be dangerous if swallowed, Adkins said.
`Drinking water could be infected, so water intake users downstream have
been notified,' Adkins said.
Because of the swift current, it would take a major leak to endanger
aquatic life or drinking water, said Ron Sandy, the West Virginia
Department of Natural Resource's field staff supervisor.
``If there was any significant leakage, we would have seen some dead
aquatic life,'' Sandy said. ``There didn't seem to be any.''
The accident didn't tie up river traffic, officials said. Workers kept the
upturned hull of the barge illuminated throughout Monday night, Maehler
said. Strong currents were blamed for the April 9, 1987, grounding of a PPG
barge with 200,000 gallons of lye. No leaks were reported from that
incident.
SECTION HEADING: Domestic News;
Copyright 1989 By The Associated Press. All Rights Reserved.
PAGENO="0236"
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Appendix (C)
* MARN~ACCil)BITS
Th following report summarizes a numbsr of ths barg., tug and tow related lncldsnts lnveetlgatsd by the U.S. National
Transportation Safety Board (NTSB), Marine DlvlaIon, which were cauasd by human error. According to the NTSB, the
criteria uaed to determine whether or not the Board Investigates an accident reported to them by the U.S. Coast Guard
(USCG) includes the following elements:
o aIx or more deaths; or
o a veasel of 100+ grosa tons; or
o $500,000 of damage or more; or
o "any other catastrophe" (a gray area).
The NTSB Investlgatee 00-80 incidents per year using USCG data and evldsnoe. Moreover~ the NTSB conducts
In-depth InvestigatIons of eight to ten of those Incidents per year and ptthllahee detailed studies. The summaries that
follow, however, are drawn from the briefs.
DATE: 03/20/80
LOCATION: Bethel, Arkansas
DAMAGE: $325,000
INJURIES/FATALITIES: 2 fatalIties
Two shipyard workers boarded stank barge with welding leads. The vessels were believed to contain significant
quantities of vapors left over from a shipment of heating fuel and gasoline. The cargo vapors Ignited and resulted in
si~ damage.
DATE: 08/89/80
LOCATION: Marsh Island, Louisiana
DAMAGE: $1,000,000
INJURIES/FATALITIES: 0 InjurIes/fatalItIes
A barge was flooded In 15 feet of water and then abandoned In the face of an approaching squall. The next morning pIlots
reported the barge had capsized on Its port side. The NTSB ruled the vessel had been damaged due to scouring of the
sea bottom under the barge. The NTSB also said the towboat crews failed to use adequately sized lines for towing the
barge
DATE: 03/13/81
LOCATION: Chesapeake Bay, Virginia
DAMAGE: $523,000
INJURIES/FATALITIES: 0 lnjurlea/Istslltles
The carfiost Captain Edward Richardson sank In 25 feet of water, about 30 feet from the railroad terminal in Cape Charles,
Virginia. During the voyage, the crew noted flooded compartments. The NTSB found the sinking was caused by vented
manhole covers; contributing to the accident was the failure of the tughost operatorto check the carfiost at regular
Intervals during the journey.
DATE: 03/82/81
LOCATION: Mississippi River, Mile 136.8
DAMAGE: $600,000
INJURIES/FATALITIES: 0 InjurIes/fatalItIes
A bulk carrier loaded with grain collided with a towboat and thirty empty barges. Visibility was good and the river was
straight The NTSB determined that the primary cause of the accident was the failure of the tow cperatorto keep a proper
lookout or to monitor the bridge-to-bridge radio frequency while getting underway. The tow was also faulted for not
participating in the New Orleans Vessel Traffic Service.
DATE: 04/18/81
LOCATION: Leeville, Louisiana
DAMAGE: $2,600,000
INJURIES/FATALITIES: S lnjurlea/0 fatalities
A barge drilling rig was attempting to complete a wall; a large volume of gas began exiting the welL After afire started,
the barge and a supply vessel were abandoned. The NTSB ruled the fire an accIdent, but said the failure of a crewman to
secure all machinery contributed to the severity of the damage.
DATE: 01/03182
LOCATION: Galveston, Texas
DAMAGE: $2,300,000
INJURIES/FATALITIES: 0 InjurIes/fatalIties
A tow pushing two tank barges collided Into abridge; one of the tank barges erupted Into flames. The NTSB ruled that the
accident was caused by the failure of the bridge operator to raise the bridge after agreeing to do so.
PAGENO="0239"
235
2
DATE: 01/19/83
LOCATION: Gulf of Mexico
DAMAGE $1 000 000
INJURIES/FATALITIES: I Injury
A tug towing a dlaabled bulk tanker caught on fire. The operator ordered the crew to abandon ahlp. The NTSB could not
determine the cauae of the fire but saId the preaence of fire protection meaaurea would have kept the blaze from
spreadln~
DATE: 09/07/80
DAMAGE: $1,500,000
LOCATION Halleck Point, Arkanaaa
INJURIES/FATALITIES 0 InjurIes/fatalities
A towboat with a fully loaded log barge In tow experienced an engineroom fire The veasel burned out of control and waa
conaldered a total loss. The NTSB aald the fire waa of undetermIned origin; once the fire began, however, the faIlure to
close vents and accesses to the englneroom exacerbated the problem.
DATE: 02/19/82
LOCATION: Alabama River, Mile 105.3
DAMAGE: $560,000
INJURIES/FATALITIES: 0 InjurIes/fatalItIes
A towboat was pushIng four barges down the Alabama River. As the tow passed under a railroad bridge, a strong current
pushed the vessel Into the bridge; the tow broke apart. The NTSB ssld the failure of the operator to judge and
compensate for the current caused the accident.
DATE: 02/07/84
LOCATION: MIssIssippi River, Mile 174
DAMAGE: $652,000
INJURIES/FATALITIES 0 InjurIes/fatalities
A PanamanIan bulk and a towboat collided while lrssverslng a bend In the river. The NTSB ruled that probable cause of
the collision was the agreement made by the operators of both vessels that dId not allow enough time and space to clear
one another.
DATE: 03/03/81
LOCATION: Ohio RIver, MIle 918.5
DAMAGE: $2,168,381
INJURIES/FATALITIES 0 InjurIes/fatalItIes
A tow was downbound on the OhIo River wIth a aix-barge tow loaded with soybeans. As the flotilla reached Smlthlsnd
Locks and Dam, the tow operator lost control of the vessel In heavy current The tow released the barges and five of the
six barges sank and lost their cargo. The NTSB blamed the accIdent on the faIlure of the operator to make allowances for
the strong current
DATE: 06/10/81
LOCATION: Ohio River, MIle 535.6
DAMAGE $258 000
INJURIES/FATAUTIES 1 Injury/i fatality
A small harbor towboat capsized and sank, killing the operator. The NTSB ruled that the operator had faIled to anticIpate
the strong current that followed In the wake of a three-barge wide tow.
DATE: 09/23/81
LOCATION: Gulf of Mexico
DAMAGE: $1,000,000
INJURIES/FATALITIES 0 Injuries/fatalIties
A tug on its maiden voyage In the Gulf of Mexico caught fire and sustaIned serious damage. The NTSB attributed the fire
to the assistant engineer's failure to properly regulate vents and other apparatus In the engine room
DATE: 10/30/81
LOCATION: Chesapeake Bay, Virginia
DAMAGE: $1,158,000
INJURIES/FATALITIES: 5 InjurIes/I fatality
A tug and barge were crossing the Chesapeake Bay when the barge began to lIst, dumpIng 24 out of 26 railroad csrs Into
the bay One crewman drowned. The NTSB found that the barge owner failed to keep compartments aIrtIght and In fact
cut slrholes Into the manhole covers that provided access to the compartments Water spilled Into the compartments
causing the vessel to lIst
DATE: 11/24/81
LOCATION: Illinois RIver, Mile 157.7
DAMAGE: $430,000
INJURIES/FATAUTIES: 0 InjurIes/fatalItIes
PAGENO="0240"
236
3
A tow with eight bargea entered the lock chamber of Peoria Lock; due to a communication breakdown between the
operator and a crewman, the tow and barge craahed into the lock gatea. The NTSB ruled that the tow operator may have
failed to reduce apeed when he entered the lock chamber and failed to keep himaelf informed about the location of hia
tow within the lock.
DATE: 12/18/81
LOCATION: Gulf of Mexico
DAMAGE: $1,250,000
iNJURIES/FATALITIES: 3 injurlea
A tug in high aeaa took on water and began to aInk. The veaael was eventually bat but the crewmen were reacued. The
NTSB aaid the flooding came from an undetermined aource but blamed the operator for failing to maintain the integrity of
the after deck.
DATE: 04/20/83
LOCATION: Lower Miaslasippi River, Mile 137
DAMAGE: $966,000
INJURiES/FATALITIES: 2 inJuries
Two towboats collided In a straight atretch of the Mlsalaslppl River. One tow aank shortly after the colilalon. The NTSB
ruled that the operator of one veaaei failed to keep a lookout while croaaing the river.
DATE: 06/08/83
LOCATION: Lower Mlsalaalppi River, Mile 122
DAMAGE: $625,000
INJURIES/FATALITIES: I fatality
A towboat pushing a barge to a barge fleeting area got caught between the barge and the fleet. The tow began to hat and
eventually capsized; the operator drowned. The NTSB ruled that the operator failed to anticIpate the eflecta of the atrong
river current.
DATE: 07/07/83
LOCATION: Portland Harbor, Maine
DAMAGE: $1,200,000
INJURIES/FATALITIES: I Injury/I fatality
A tug entering Portland Harbor waa overtaken by its barge; the tug waa tripped and the relief operator waa unable to
escape from the pilot house. The NTSB ruled that the accident waa a result of the relief operator's failure to Inaure that
the barge was not overtaking the tug.
DATE: 08/08/83
LOCATION: New York Harbor, Kill Van Kull, New Jersey
DAMAGE: $900,000
INJURIES/FATALITiES: 0 injuries/fataiwea
A tug and tankahlp were proceeding eastbound In the Kill Van Kuil when the tankship swung away from the tow and the
towline crossed the tug'a atarboard side, causing the tug to capsize. The NTSB ruled that the operator'a actions and the
failure of the pilot of the Exxon Huntington to monitor the situation caused the accident.
DATE: 09/29/83
LOCATION: Atlantic Ocean, ESE of Cape May, New Jersey
DAMAGE: $200,000
iNJURIES/FATALITIES: 2 injuries
A tug and barge departed Philadelphia. They encountered rough seas during which time the nylon towIng hawser parted.
The tug crew recovered the trail line and continued to tow the barge. The second towing hawser parted; the operator
decided to maintain visual contact only. Slowly, the barge began to sInk. The NTSB ruled that the failure of the tug's
operator and the USCG to control the excessive leakage when power was lost
DATE: 07/30/84
LOCATION: Tampa Bay, Florida
DAMAGE: $859,000
INJURIES/FATALITiES: 0 inJuries/fatalities
A tug and barge departed Port Manatee, Florida for Louisiana. While Inaide Port Manatee Channel, the barge grounded
against the left aide of the channel. Later, the crew noted that water was entering the barge's tanks. The NTSB ruled that
the operator failed to keep the barge mid-channel.
DATE: 01/10/81
LOCATION: East River, Brooklyn, New York
DAMAGE: $205,000
INJURIES/FATAUT1ES: 0 InJuries/fatalftlea
PAGENO="0241"
4
While docking, the port anchor of one barge became entangled with the anchor cables of another vessel. The NTSB ruled
the pilot's failure to Judge the location of the dragged anchor was the primary cause of the accident
DATE: 07/10/81
LOCATION: Illinois River, Mile 56
DAMAGE: $124,965
INJURIES/FATALITIES: 0 inJurIes/fatalItIes
A towboat with a fifteen barge tow was southbound on the Illinois River; the river was experiencing unusually high water
conditions. As the tow and barge approached the Florence Highway Bridge, the tow broke apart. The NTSB said the
probable cause of the ramming was the pIlots failure to properly maneuver the towboat
DATE: 11/06/82
LOCATION: Golconda, Illinois
DAMAGE: $700,000
INJURIES/FATALITIES: InJury
A towboat and sIx empty barges ware downbound when the englneroom caught fire; the fire could not be extinguished
and the towboat was a total loss. Contributing to the severity of the fire was the chief engineer's failure to close the
englneroom's windows and doors before activating the fire extinguishing system.
DATE: 01/09/83
LOCATION: Hudson RIver, New York
DAMAGE: $1,000,000
INJURIES/FATALITiES: 0 InJuries/fatalities
A tug and tank barge grounded on Diamond Reef In the Hudson River, The reef was properly charted and marked by a
buoy. The NTSB blamed the accident on a navigation error by the operator.
DATE: 03/17/83
LOCATION: Gulf of Mexico
DAMAGE: $21,500,000
INJURIES/FATALITiES: 0 injurIes/fatalities
A tug and tank barge were en route in the Gulf of Mexico when rough seas were encountered. The tug and barge began
to slam together, causing the bowline of the tug to puncture. It was determined that none of the crew knew of its
operating conditions In rough water. The NTSB ruled that the failure of the starboard operating strap caused the accident
but that the failure of the operator to disconnect the tug from the barge's notch.
DATE: 04/11/83
LOCATION: Cape Cod Canal
DAMAGE: $2,000,000
INJURIES/FATALiTIES: 1 inJury
A tug was escorting a loaded tankbarge through Cape Cod Canal The barge took a sudden sheer to port and overtook
the tug. The tug and barge eventually parted, the barge grounded and the tug capsized. The NTSB ruled that the operator
of the vessel failed to use speed and rudder control In a timely manner to control yawing of the barge.
DATE: 05/14/83
LOCATION: Lower MississippI River, Mile 122
DAMAGE: $700,000
INJURIES/FATALITIES: 1 InJury/I fatality
A tow was holding a 21 barge stationary In the lower Mississippi during a time of high current As the tow was
maneuvering, ft became crosswise to the current and finally capsized. The NTSB ruled that the tow operator failed to
maintain control of his tow.
DATE: 06/09/83
LOCATION: Lower MississIppi River, Mile 435.8
DAMAGE: $500,000.
INJURIES/FATALiTIES: 0 InJuries/fatalities
A tow and four loaded tank barges was headed southbound on the MississippI during high water condItions As the
operator approached the Vlckaburg Highway and Railroad Bridge the tow operator was unable to control the tow and one
of the barges broke away from the tow and rammed the bridge The NTSB said the operator's failure to compensate for
the current was the primary cause.
DATE 12/18/84
LOCATION: Lower Mississippi, Mile 736.7
DAMAGE: $2,200,000
INJURIES/FATALITIES: 0 inJury/fatalities
A towboat and 40 graIn barges was downbound In the Mississippi River when the flotilla approached the Hernando DeSoto
Highway Bridge The operator decided to halt the tow Instead of passIng under the bridge, but he was too close to the
bridge and the tow crashed Into the bridge pier. The NTSB said the failure of the operator to turn on the radar in dense
237
N
PAGENO="0242"
238
5
fog after he decided to atop cauaed the accident
DATE: 09/05/81
LOCATION: MIle 97.5 NMR In the Mlaslasippi at New Orleans
DAMAGE: $991,000
INJURIES/FATALITIES: 0 Injurlea/fatalltles
A tankahlp was upbound on the Mlaalaalppl and a tow was downbound
puahlng three barges In tandem. Vlalbllfty was poor and radar was not working due to raIn. The two vessels crashed Into
one another. The NTSB dete,mtned that the probable cause of the oolllalon was the excessIv, speed of the tankahip and
the lack of a proper lookout Also contrIbutIng to the accident was excessIve radio traffic on a specIfic radio band.
DATE: 10/16/81
LOCATION: Bertha 54 & 56, Port Elizabeth, New Jersey
DAMAGE: $2,492,000
INJURIES/FATALITIES: 2 InjurIes
Crewmen were working on a moored vessel and were adjustIng the throttle valves and mishandled the controls during the
process. The vessel surged ahead and rammed another vessel that was also moored. The NTSB ruled that the probable
cause of the collision was the mishandling of the main engine throttle by the watch engineer while warming up the main
engine prior to a scheduled sailing.
DATE: 07/16/82
LOCATION: MIssissIppi River, New Orleans, Louisiana
DAMAGE: $1,215,000
INJURIES/FATALITIES: 0 InjurIes/fatalItIes
A bulk carrier leaving for New Orleans approached a bend In the MIssissippI River and struck a derrick bsrge. The NTSB
ruled that the probable cause of the collision was an error In Judgement by the pilot while turning the vessel In the
MIssIssIppI River. The pilot also failed to use the two assistIng tugs to check the vessel's headway.
DATE: 05/28/83
~LOCATlON: MIssissIppi River. Mile 133.1
DAMAGE: $500,000+
INJURIES/FATALITIES: 0 InjurIes/fatalItIes
A tug and barge passed a towboat on the Mississippi when one vessel veered sharply; the two vessels collided. The
NTSB ruled that probable cause of the collIsion was the failure of the tug master to maintaIn control of the barge against
the strong river current while meeting a downbound tow In the bend of the river.
DATE: 06/02/83
LOCATION: Lower Mississippi River, Mile 222
DAMAGE: $1,127,800
INJURIES/FATALITIES: 0 lnjurleslfatalltles
A tow with 25 loaded barges was moving downriver on the Mississippi when the tow hit a pier that extended Into the river.
The NTSB determined that the probable cause of the collision was the failure of the operator of the towboat to
compensate adequately for the strong river current while pushing 25 loaded barges.
DATE: 08/17/83
LOCATION: Gulf of Mexico
DAMAGE: $1,000,000
INJURIES/FATALITIES: I injury/i fatality
A tug sank in the Gulf of Mexico. The NTSB determIned that the probable cause of the accident could not be determined.
However, they felt that loss of life was caused by the failure of the engIneer to remain wIth the Ilferaft after the crew
abandoned ship.
DATE: 04/17/84
LOCATION: Mississippi River, New Orleans, Louisiana
DAMAGE: $660,000
INJURIES/FATALITIES: 0 Injurles/fatalltiss
A towboat pulling alongside a barge was turned sideways by the river current The towboat healed and began taking on
water. The NTSB ruled that the probable cause of the loss of control of the vessel was the failure of the towboat operator
to maintain sufficient engine power and rudder control to counter the river current while a deckhand attempted to secure
facewlres. Also cited was the failure of the crew to keep the engineroom door controlled.
DATE: 06/23/84
LOCATION: Lake Pontchartrain, New Orleans, Louisiana
DAMAGE: $666,117
INJURIES/FATALITiES: 0 injuries/fatalitIes
A tow and barge were underway In Lake Pontchartraln when they struck a bridge. The NTS8 ruled that the probable
cause of the ramming of the Lake Pontchartraln Causeway bridge was fatigue which caused the operator to fail asleep
PAGENO="0243"
239
6
while he was at the helm.
DATE: 11/30/84
LOCATION: Lower Mississippi River, Mile 146.0
DAMAGE: $894,000
INJUR1ES/FATAUTIES: 3 InjurIes
Two tows were passing each other when one struck a bridge. The NTSB rules that the probable cause of the ramming of
the Gramercy-Wallace Bridge was a result of the failure of one operator to respond to communicatIons from another.
DATE: 08/24/85
LOCATION: Upper Mississippi River, Mile 241.4
DAMAGE: $705,000
iNJURIES/FATALITIES: 0 InjurIes/fatalities
A towboat wIth 15 barges rammed the lockgstea of lock *25 of the Upper Mississippi. The NTSB ruled that the probable
cause was the failure of the operator to obtain permission from shift chief to enter the lock chamber and the failure of the
mate to notify the operator that the lock gates were closet
PAGENO="0244"
A~çendix (D)
~ ~/~4 ~/~!~f~'
<-5 1 06-10 1 11-15 I 16-20 I 21-25 I >25
Companies
2,622
9,141
Vessels Self Piupelled
39,200
2,271
10,684
6,505
4,287
6,073
Tugs/towboats
5,228
158
1,102
969
685
694
1,596
Drycsrgo
565
74
179
86
76
36
109
Tankers
220
9
39
46
43
18
65
Passenger
997
172
188
193
127
79
238
Crewboats
1,080
68
477
289
112
83
42
Total
8,090
481
1,985
1,583
-
1,043
/
910
/ /~_
2,050
~
Barges
Dry covered
10,606
147
4,507
2,930
1,744
933
338
Dry open
7,899
*900
1,817
1,722
1,604
956
893
Other dry
5,369
546
1,041
1,617
1,074
362
729
Deck
3,179
126
613
492
343
437
1,108
Liquid (comp.)
2,417
48
435
493
428
461
552
Liquid (non comp.)
1,514
23
286
304
269
228
403
Total
31,039
1,790
8,699
7,558
5,462
3,377
4,023
Source: U.S. Army Corps of Engineers November 1991
PAGENO="0245"
241
U.S. FLAG FLEET 1/
NUMBER OF VESSELS AND CAPACITY IN THOUSANDS OF SHORT TONS
1987 2/
VESSELS/CAPACITY
OCEAN
SELF-PROPELLED DRY CARGO 901 4,048
AND/OR PASSENGER VESSEL
SELF-PROPELLED TANK SHIP 223 13,074
TUGS AND OTHER WORK BOATS 1,732 --
DRY CARGO BARGE 4,218 5,017
TANK BARGE 724 3,843
TOTAL
1988 3!
VESSELS/CAPACITY
878 4,076
230 14,817
1,765 --
3,506 4,818
739 3,831
7,118 27,542
220 2,153
1989 41
VESSELS/CAPACITY
867 4.359~
223 12,925
1,752 --
3,658 5,102
707 3,717
7,207 26,103
7,798 25,982
205 2,256
5 38
182 --
313 537
30 74
735 2,905
218 2,185
37
454
73
2,749
GREAT LAKES
SELF-PROPELLED DRY CARGO
AND/OR PASSENGER VESSEL
SELF-PROPELLED TANK SHIP
TUGS AND OTHER WORK BOATS
DRY CARGO BARGE
TANK BARGE
TOTAL
INLAND WATERWAYS
SELF-PROPELLED DRY CARGO
AND/OR PASSENGER VESSEL
SELF-PROPELLED TANK SHIP
TUGS AND OTHER WORK BOATS
DRY CARGO BARGE
TANK BARGE
TOTAL
GRAND TOTAL
SELF-PROPELLED DRY CARGO
AND/OR PASSENGER VESSEL
SELF-PROPELLED TANK SHIP
TUGS AND OTHER WORK BOATS
DRY CARGO BARGE
TANK BARGE
TOTAL
4
197
291
32.
742
1,383
3,293
23,124
3,239
31,039
4
182
296
31
733
1,363
3,241
23 .244
3,273
31,121
2,461
234
5,188
27,046
4.043
38,972
1,152
3,257
23,210
3,493
31,112
2.258
228
5,171
27,741
4,247
39,645
37
486
65
2,741
374
32,428
6,971
39.773
6,603
14,854
37,732
10,867
70,056
328
32.195
7,438
39,961
6,632
13,112
37.749
11,355
68,848
2,468
227
5,242
27,073
3,978
38,988
1/ Includes vessels in both domestic and foreign trade.
2/ Operating or available f or operation on October 1, 1987.
3/ Operating or available for operation on November 1, 1988.
4/ Operating or available for operation on October 1, 1989.
392
32,568
6,921
39,881
6,936
12,962
38,124
10,711
68,733
PAGENO="0246"
242
DISTRIBUTION OF VESSELS IN U.S. FLAG FLEET
1987
4.1% L~~SP DRY CARGO VESSEL
SP TANK SHIP
~TUGS & WORK BOATS
4'2.5% E~;.~;; DRY CARGO BARGE
TANK BARGE
11. 2 %~7'T7.~:N..~
3 7%
10 5%-
74.6%
INLAND WATERWAYS
22.2 24~8%
OCEAN GREAT LAKES
0.6%
10.7%
70.0%
GRAND TOTAL
PAGENO="0247"
243
DISTRIBUTION OF VESSELS IN U S FLAG FLEET
1988
49;3% 40 E DRY CARGO VESSEL
30 0%/' ~ TANK SHIP
10 /
TUGS & WORK BOATS
~ O.5%-~. I
\/Jflj~V DRY CARGO BARGE
3. 2
24t8% ~TANK BARGE
OCEAN
2
GREAT LAKES
7417%
INLAND WATERWAYS GRAND TOTAL
PAGENO="0248"
244
DISTRIBUTION OF VESSELS IN U.S. FLAG FLEET
1989
LII SP DRY CARGO VESSEL
[]~` TANK SHIP
5 TUGS & WORK BOATS
,.29.4%~DRY CARGO BARGE
TANK BARGE
GREAT LAKES
~35%
9.4%
GRAND TOTAL
12.0 ~
3. 1
24.3%
~0. 8%
39.
OCEAN
5.3%
10.2%
10 6
~ sr
INLAND WATERWAYS
PAGENO="0249"
245
~ppenthx (E)
PART FOUR
INLAND WATERWAYS TRADE
COMMERCIALLY NAVIGABLE INTERNAL WATERWAYS
OF THE UNITED STATES BY LENGTHS AND DEPTHS 1/
LENGTHS IN MILES OF WATERWAYS
UNDER 6T0 9T0 12T0 14FT.
GROUP 6 FT. 9 FT. 12 FT. 14 FT. & OVER TOTAL
ATLANTIC COAST 1 426 1 241 584 938 1 581 5 770
WATERWAYS
ATLANTIC INTRACOASTAL - 65 65 1,104 - 1,234
WATERWAY NORFOLK, VA.
TO KEY WEST, FL
GULF COAST WATERWAYS 2,055 647 1,133 79 378 4,292
GULF INTRACOASTAL 1,137 1,137
WATERWAY ST. MARKS,
FL. TO THE MEXICAN
BORDER
MISSISSIPPI RIVER 2,020 969 5.191 740 268 9,188
SYSTEM
PACIFIC COAST 730 498 237 26 2,084 3,575
WATERWAYS
GREATLAKES 45 89 8 348 490
ALL OTHER WATERWAYS 76 7 1 7 91
GRAND TOTAL 6 352 3 516 7 210 4 033 4 666 25 777
1/ THE MILEAGES IN THIS TABLE REPRESENT THE LENGTHS OF ALL NAVIGABLE CHANNELS
OF THE UNITED STATES INCLUDING THOSE IMPROVED BY THE FEDERAL GOVERNMENT
OTHER AGENCIES AND THOSE WHICH RAVE NOT BEEN IMPROVED BUT ARE USABLE FOR
COMMERCIAL NAVIGATION.
SOURCE: BIG LOAD AFLOAT 1965 AMERICAN WATERWAYS OPERATORS (REVISED TO IN
CLUDE TENNESSEE TOMBIGBEE WATERWAY)
PAGENO="0250"
C,
PAGENO="0251"
ann
247
/
V
Parmanant international Association
of Navigation Congresses
2OMnaadwssusAv.nut NW. -* $ ny
Want f0Ui~ WON f
-- ~ a
PAGENO="0252"
248
us WATERBORNETRAFFIC BY COMMODITY IN 1989 PART I
~MILUONS OPTONS AND CISANGEFROM 19~)
COMMODnIES : I DOMESIIC
______________________ INTERNAL
TOTAL 606.0 3.0
Food & Farm
832
0.3
Farm
68.5
4.4
Corn
35.7
11.9
Wheat
15.2
14.6
Soybeans
12.8
-20.8
Food
14.7
-15.3
Animal Feeds
8.9
-9.5
Coal
166.8
3.1
Coke
6.2
15.1
Crude Petroleum
45.9
2.0
Petroleum Products
115.4
4.9
Gaaoline
32.0
3.8
let
4.7
-5.9
Distillate
21.5
9.5
Residual
38.8
9.5
Lubricating Oils
2.5
-9.6
Naphtha
5.1
-2.9
Asphalt
5.8
-5.4
Chemicals
46.4
-7.3
Fertilizers
11.7
-3.2
Industrial Chemicals
34.7
-8.7
Forest, Wood, Pulp, Paper & Waste
18.6
6.8
Nonmetallic Minerala (except Fuel)
65.5
-3.9
Limeatone
12.5
36.9
Sand, Gravel & Rock
44.2
-12.4
Pisoaphate Rock
0.0
-100.0
IronOre&Scrap
6.4
31.5
Nonferrous Metal Ore & Scrap
1.9
17.5
Aluminum Orea, Concentr.
0.4
0.1
Cement
6.4
6.4
Primary Metal Products
7.6
-11.0
Manufactured Equipment & Machinery
2.8
3.0
Source: U.S. Army Corp. of Engineera November 1991
PAGENO="0253"
249
WATERWAY
LENGTH Onilea)
TONS 1989
A1wmCCOA~rAL *. .:: *. .
Atlsnticlnlracoastal Waterway 793
.
4.9
.
: .:* :. :.. ~ ... :~
Alabama- Coosa Riven, AL and GA
305
20
BayouTecha,LA
107
1.1
Black Warrior and Tontbigbee Riven, AL
453
19.6
Chocolate Bayou, TX
13
3.3
Gulf Intracoaatal Waterway
1,109
111.6
MorganCity-PortAllenRoute
64
27.3
Petit Anae, Tigre, Carlin Bayous, LA
16
1.9
Tennessee - Tombigbsa Waterway, AL and MS
234
4.3
MISSISSIPPI RWERSYSIZM .~ .: ~. ..
Allegheny River, PA
H .:
fl
3.2
Atchatalaya River, LA
135
11.1
Cumberland River
381
13.3
Green and Barren Rivera, KY
109
8.2
Illinois Waterway, IL
357
39.7
Kanawha River, WV
91
18.9
Kaaksakia River, IL
36
4.0
McClellan - Kerr Arkansaa River Navigation System
462
7.9
Misaissippi River, Mepla, MN, to Mouth of Passea
1,814
267.8
Minneapolis, MN, to Mouth of Missouri River
663
79.4
Mouth of Missouri River to Mouth of Ohio River
195
101.8
Mouth of Ohio River to but not including Baton Rouge, LA
nO
181.8
Baton Rouge, LA to but not including New Orleans, LA
130
187.3
New Orleans, LA to Mouth of Paases
106
86.3
MissouriRivertoSiouxCity,1O
732
- 5.4
Monongahala River, PA and WV
129
38.4
Ohio River
981
202.7
Ouachita and Black Rivers, AR and LA
332
1.2
Red River to Alexandria, LA
105
- 4.9
Teuinsssee River
652
43.1
PAcIFIccoMr
Columbia River to Snake River, OR and LA
324
17.2
SnakeRivertoLewistoss,ID
230
5.9
WsllametteRiver above Portland and Yamhill River, OR 118
2.0
Source: U.S. Army Corps stgsnaers November 1991 I I
PAGENO="0254"
250
EXAMPLES OF POPULOUS COMMUNrHBS.
ALONG INLAND WATERWAYS
1990 STATISTICS
Birmingham, Alabama
265,968
Tuscaloosa, Alabama
77,759
Peoria, Illinois
113,504
Joliet, Illinois
76,836
Sioux City, Iowa
80,505
Paducah, Kansas
27,256
Shreveport, Louisianna
198 525
Baton Rouge, Louisianna
219,531
New Orleans, Louisianna
496,938
Saint Paul, Minnesota
272,235
Minneapolis, Minnesota
368,383
Jackson, Mississippi
196,637
Saint Louis, Missouri
396,685
Kansas City Missouri
435 146
Cmcmatti, Ohio
364 040
Pittsburgh, Pennsylvania
369,879
Nashville, Tennessee
488,374
Memphis, Tennessee
610,337
Port Arthur, Texas
58,724
Source: The World Almanac 1992
PAGENO="0255"
251
`~ ~
44 Compliance with
Department Of Transportation
Coast Guard
Drug Testing Rules
An AWO Guide For Marine Employers
The American Waterways Operators
1600 Wilson Boulevard
Suite 1000
Añington~ VA 22209
203-841-9300
I
r
1-I
PAGENO="0256"
252
Statement of
Philip M. Grill, Vice President, Government Relations
Matson Navigation Company
On H R 3942,
To Amend Title 46, United States Code,
To Revise Crewing and Watch Requirements For
Towboats Used In Domestic Offshore Commerce.
Before the Subcommittee on Coast Guard and Navigation
Committee on Merchant Marine and Fisheries
U S House of Representatives
Tuesday, March 17, 1992
PAGENO="0257"
253
IINTRODUCTIO)L
Chairman Tauzin Mr Fields Members of the Subcommittee my
name is Philip Grill I am Vice President Government Relations
for Matson Navigation Company
Thank you for offering Matson the opportunity to present its
views on H R 3942 legislation revising crewing requirements for
tow boats used in douestic offshore commerce.
Please be advised that earlier, by letter dated March 10th,
I personally conveyed the views of Matson on H. R. 3942, which I
am about to provide the Subcommittee to the Bill's author the
Honorable Neil Abercrombie (0-HI)
II MATSON'S OPERATION
Matson operates a fleet of eight container and container-
trailer vessels transporting containerized freight motor
vehicles and conventional cargo in both directions between ports
on the United States Pacific Coast and Honolulu Cargo destined
for or originating on Hawaii's Neighbor Islands is transhipped at
Honolulu between Matson's line-haul vessels and its three
dedicated interisland barges A fourth barge transports cargo
between Hawaii and mid-Pacific islands
As the owner and operator of U S -flag vessels and barges,
Matson is vitally concerned with maritime safety. While the
proported purpose of H R 3942 is to promote maritime safety
Matson does not feel that passage of this bill would enhance
safe operation of U S -flag vessels engaged in ocean towing It
would however raise the cost of operating those vessels to the
ultimate detriment of shippers utilizing U S -flag service while
providing no offsetting benefit I hope the following discussion
will illustrate Matson 5 concerns
III REOUIRING ADDITIONAL CREW ON TOWING VESSELS WILL NOT
ENHANCE MARITIME SAFETY
Present law exempts vessels of less than 100 gross tons and
tugs and barges engaged in voyages of less than 600 miles from
the requirement of having separate deck and engine room watches
The bill removes this exemption The exemption allows ~fl hands
to be productively employed in tying up and letting go lines
since deck hands are needed only for line handling functions
Line handling time at most amounts to 1-2 hours when arriving in
port and perhaps an hour on departure Requiring separate deck
hands to perform these functions means that these hands cannot be
productively employed during the remainder of the voyage In
Matson's view, this in no way enhances safety.
55-369 0 - 92 - 9
PAGENO="0258"
254
Matson has similar concerns with respect to the bill's
requirement as to minimum crewing for the bridge. Tugs are
generally steered by automatic pilot at sea and by the Master
when in confined waters, or when docking or undocking.
Wheelhouse visibility is excellent, without having to leave the
steering station, and there is no safety reason for having an
extra person in the wheelhouse to steer or watch the automatic
pilot steer. Because of the excellent visibility, the Master can
do a better, safer job of steering himself or herself, rather
than trying to direct someone else doing it. There is ~
evidence of safety problems in Hawaiian interisland towage caused
by an insufficient number of individuals in a tug's wheelhouse
IV. THE ADDITIONAL EXPENSE OF UNNECESSARY CREW WILL ULTIMATELY
HAVE TO BE PAID BY SHIPPERS
The cost burdens imposed by the bill will be substantial.
For Hawaii interisland tugs at least one additional crew member
would be required, at a minimum annual cost of $50,000.00. On
the tug towing Matson's barge ISLANDER between Hawaii and the
Republic of the Marshall Islands, four additional crew would be
required, at a minimum annual cost of $200,000.00. In today's
economic environment the tug operator will undoubtedly pass on
the increased cost to Matson, the barge owner. Matson will
inevitably be forced to pass on the increased costs to shippers
using its barge service. Thus the economy will be burdened with
additional costs, with no corresponding gain in safety or
efficiency.
Thank you for considering Matson's views on H.R. 3942.
-2-
PAGENO="0259"
255
STATEMENT OF DISTRICT 2 MARINE ENGINEERS
ASSOCIATED MARITIME OFFICERS AFL-CIO ON H.R. 4394;
A BILL TO REQUIRE MERCHANT MARINE DOCUMENTS
FOR CERTAIN SEAMEN
By
John F. Brady
Executive Director of Congressional & Legislative Affairs
District 2 Manne Engineers Beneficial Association Association Maritime Officers
AFL-CIO
March 17 1992
PAGENO="0260"
256
Statement on H.R. 4394
District 2 Marine Engineers Beneficial Association-Associated Maritime Officers AFL-
dO (MEBA 2) wishes to express its support for H.R. 4394, a bill to require merchant
mariners documents for certain seamen. The bill would require that seamen employed on
tugs, towboats and barges in excess of 5 gross tons plying the lakes and rivers of the United
States apply for, obtain and possess a merchant mariners document issued by the United
States Coast Guard. The possession of the document would become a condition of
continued employment.
We ask that the Members of the Coast Guard and Navigation Subcommittee of the
Committee on Merchant Marine and Fisheries support H.R. 4394 for the following reasons:
1. Documentation of seamen on tugs, towboats and barges on the rivers and lakes of the
United States will promote and enhance the safe operation of these vessels by subjecting
these mariners to the same screening procedures for drug testing and criminal record
checks required of most seamen in the United Sates.
2. This documentation requirement is currently in effect on the Great Lakes and along
the coasts of the United States.
3. This documentation requirement will not unnecessarily burden commerce on the lakes
and inland waters of the United States.
4. The documentation of these mariners will be of assistance in locating skilled maritime
workers during periods of national emergency or war.
5. The documentation requirement will guarantee that only U.S. citizens and lawfully
admitted aliens are working in this important industry.
6. The threat to the environment posed by the unsafe operation of vessels in question
outweighs the burden of the cost of the minimal documentation requirements. It should
be kept in mind that 3,000 tank barges and 23,000 dry cargo barges (in addition to
tugs and towboats) are affected by this bilL
PAGENO="0261"
257
The members of MEBA 2 have a direct stake in the passage of this bill. We work as
licensed officers on vessels plying the lakes, rivers and coasts of this country. We have
always stressed the importance of a safe working environment. Safety courses in all facets
of the maritime industry are stressed in the educational programs offered at our two schools
in Toledo, Ohio and Dania, Florida. We believe that those with whom we work should
meet the minimum United States Coast Guard requirements asked of other mariners. We
believe that those manning other vessels on the lakes and rivers we share should meet at
least the minimal requirements of the United States Coast Guard for documentation and
retention of those documents.
For the safety of our members and to protect the people, towns, cities and industries
along our inland waterway system of lakes and rivers, we ask that the Members of the
Subcommittee on Coast Guard and Navigation support and vote for H.R. 4394.
PAGENO="0262"
258
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PAGENO="0263"
259
We the undersigned petition Congress for the purpose of
urging the passage of H R 3942 We feel that H R 3942
would mandate safe manning levels on vessels in commercial
operation which are currently unsafely manned Considering
the large profits available in petro-chemical transport as
well as general cargo, the behavior of the companies
involved in undermanning is irresponsible, and shows their
disregard for the safety of their employees as well as the
environment.
sign naae address
A print name city and state
4~L4~LeLZL«=i~V 7I3J4L('4Q 6/~J L&/&l~(J C~/ ç
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ii
PAGENO="0264"
260
We the undersigned petition Congress for the purpose of
urging the passag. of H.R. 3942. We feel that H.R. 3942
would mandat. safe manning levels on vessels in commercial
operation, which are currently unsafely manned. Considering
the larg. profits available in petro-chemical transport as
well as general cargo, the behavior of the companies
Involved in undermanning is irresponsible, and shows their
disregard for the safety of their employees as well as the
environment.
sign name address
print name city and state
~a~JI&f
~ ~. ~ - ~L. L~.;J~ - .4? ~ ?1
£~~i &ii6amr - ~ "
CiJ~ct ~tb~~( (\
z~ jj 4iJ~a~y ~
PAGENO="0265"
sign name address
print name city and state
III' ~~I~~?IIIIIIIII ~
Q:~L.c~'? ?w~
4~v~t~W~) ~ ~ cA ~ 3
4.
~
~
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L2~ ~j?t~~
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~ Ic 4~Zv~T~7 ALA~~
.~h~ij~~Et ~fl~: V
RA~?oflIt (~fr
L-~t-~
261
We the undersigned petition Congress for the purpose of
urging the passage of H.R. 3942. We feel that H.R. 3942
would mandate safe manning levels on vessels in commercial
operation, which are currently unsafely manned. Considering
the large profits available in petro-chemical transport as
well as general cargo, the behavior of the companies
involved in undermmnning is irresponsible, and shows their
disregard for the safety of their employees as well as the
environment.
I
PAGENO="0266"
262
We the undersigned petition Congress for the purpose of
urging the passage of H.R. 3942. We feel that H.R. 3942
would mandate safe manning levels on vessels in commercial
operation, which are currently unsafely manned. Considering
the large profits available in petro-chemical transport as
well as general cargo, the behavior of the companies
involved in undermanning is irresponsible, and shows their
disregard for the safety of their employees as well as the
environment.
sign name address
print name city and state
~ P ~ 3~7 5&~g.L ii~i ~) ~ `Ø1~ ~~1a I
U!L~ c~
- 1 / /
O~;~?_~~.iL__ *~ç~t~_' __~_.&i_.Z~z"~) ~/. ~
c~1~&t~3d ~i~-«=c~-~
~
c.~i/4i~6 C~
iLLE~L1WJf
~ ~
PAGENO="0267"
263
We the undersigned petition Congress for the purpose of
urging the passage of H.R. 3942. We feel that H.R. 3942
would mandate safe manning levels on vessels in commercial
operation, which are currently unsafely manned. Considering
the large profits available in petro-chemical transport as
well as general cargo, the behavior of the companies
involved in undermanning is irresponsible, and shows their
disregard for the safety of their employees as well as the
environment.
sign name address
,~pr1Int name city and eta
(\1\A' I
~ ~wos/
~ ~Le'
J_~z~ J:~
~2~c~4~tL ~ ~ -
~ ~ ~ Li) ~) )~L ~ ~
(~~_ ~ -
3_2~~J_L_i__~-J_ ``~`*
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L~4~LL..~E'fL~i2Ll/ ~ A') ()`70u-j'
PAGENO="0268"
264
The lurday Stv4uUMlt &A4~ed$sw I1aaot*~M~ $1, IWI Al.
18po~stors IIIN thi Dlsmond'Haad 1on.1V..W!~,
They huffed an~i~lW~if~ t tu~ still ~tuc~
~
~&tt*mpt~ to pull the stranded ~pangler said ~a1vageid rè- sml~age
tugNahafreeofaresfoftDl moved the water front Inside ~ ~ ~, ~
amond Head yesterday Were the Nehos and. Inflated alrbegs
UflaucceufUJ~ a Coast Guard In Its hull yesterday morning .
~ bigh. tide at abo~$4~
said two tugs couldn't budge flo two tugs ~j4~:4~ md~ OMes, said last week that U~
* *eetrandaese~L ~ tl~ Wahoo off the ,eefbisIa~.SUt might have, to ~ cut up
* The tug ran. akrøund March 1ni~~ at:2 p.m. and ,dootlnulnt'hed ~smoved to pieces. It the
22. PrelIminary Inquiries mdl' tThrough'~noet 7 pa, he saiL sffdqt. ~o pull It Oft the rut
* bate the, ac~ttè~t occuneq s~qr4~ Unes~S~saappod fsfled~~ ~~**
:`
~ ~ 1a..aaeL - 1 ~-*r-------*
PAGENO="0269"
1N1lSS1i~ ~ ~siu - -~ ____________________________
A sur~r cuts ~ck put the rossdei tug ~ ~4-~ ~tUl- I ~ -Uf~-L.. M I
Stranded tug awaits Satiitday's
~Oi1 off4oaded from vessel stuck near Diamond Head Lighthouse
By ~r!~opba N.H \.~`1. thy nii&e new WiLing for the Prid~ Thu* sold his office Is Then we off~loa4M about 700
~ Staff Wrise ~ best westher a~Ltlons to pd] it condnutng to InwestIgate the gdlceta ci hsovy lUbe ci and hr
off, V1.a~ saId tmWe ann get two ona ci the wetd~thi* that it dranbe ci and the rest ci the dle
The tag Nahon ~ich ~_-~ ~ 300O~horaepDver tuge aitd we'll appesri the tag ~s en aitop~ot a.! so ther~s no more ad en lt~
aer~d about 300 yarcie ~bC~e pit iotad~ hap lnai~ the v~ and ran agrenod when a Crew
ci the Diamond Heed L1g'xathe~ee ael so it wont sink when it member stationed on the bridge ~ Nabos oft the reef Frida
~ Viata said if th. effort to p1 ei~ alsea. flL~hZ f*IIOd WheO tWO 4~
* Capt. Richard Viaun, head of th~ tug off (ails. the `saxt ~tion An estimatel ~0 to ~O gafloca snapped and eou~d not be rest~
* the Chast Guard Marine Safety 1$ tO CUt It UP and take It o~ In of diesel ad aç&Iled Into the water ta.h0d in the dark.
* Office here, said the tug ~s iw pleces. and drIfted along ~IO yasth of D1 ~ tWO biØi hdes a day
Ic~r 1en~g oil and that Sator. `This thing reilly doesn'Z want amend ~lsod bosch the afternoon ~ at n*hL aid one doring
day~s high tide will occur during to move,' he said. the tug ran apour4 Thm said. the daylight" he said. The tigb
* the day. when salvage efforts are The Nabcn is oirnei by JUmny "Wo p~& out an aheorl*nt bone Cr tide Is at night when it~s n~re
* lam naky. Smith of Uaukewai Diving Sat' and most. of It evaporated hi S* dangerou~ Satwday Is the f*at
`Whore we ~e at right now is vage and FIshing Inc. urday - ~e was an more cli In day when we have a relatively
* we get afl the all off loot Satur' It ran *ground -at about 1 a.m. the water by then," he said. high tide diarLog the dayligliL"
PAGENO="0270"
1146 769 FEDERAL SUPPLEMENT
rendered, on account of an error of fact entry of the Fmal Decree in thin action
where ouch error which would have given specific notice to
-in extrinsic to, or does not appear in' Alpine that its reservoir capacities were is
the record; jeopardy. A careful review by an employ.
-affects the validity and regularity of ee or agent of Alpine of every objection
the proceedingn; filed would have been required. The ntan-
-wan not put in issue at the trial; dard in ordinary care of a normally careful
-wan unknown at the time of the ~ and prudent person, and in the context of
to the party seeking relief without fault the years of recognition and compliance
on his pact;* with the amended f'mdings and decree, we
-was unknown to the trial court find Alpine's conduct to be consistent with
-was not paused upon by the court the exerciae of ordinary care under the
-if known, would have prevented ren~ circumstances.
dition of the judgement. The government argues that the Final
We view this as a proper cane for use of Decree is rea judicata and cannot lightly he
coram nobis. There is no other remedy to subjected to Rule 60(b) motions to modify.
correct the Alpine Decree because of an We agree. it is a strange and unusual
error of fact The error is extrinuic to and cane, indeed, which will justify the invoca~
does not appear in the record, it was not tion of Rule 60(bX6) to correct an error.
put in issue at the trial, it was unknown to Osly where the correct duty of water and
Alpine at the time of the trial without fault use of water were recognized by the tom'
it wan not panned upon by the trial court, porary restraining order, and the soppert.
and if known the judgment would have ing pronfs are documentary and conclusive,
beer different. Also, exceptional circum- will corrective action be considered. This
stances are here present which "compel is such a cane. It represents u very slight
action to achieve justice." U.S. v. Morgan breach in the dike of ren jsdicata.
pro) I co dratto fth premise
Thceptionalcircuinstances are these ~ HEREBY IS ORDERED AD
were presented to the Special Master but JUDGED AND DECREED that tho Alpine
w re t mad part f th ~ F I Decree tored Octohe 28 1980
record th proof porn aded the Special h reby m m ded us f II w
Master to file amended preposed findings Claim Number 800 Kinney Meadows
of fact, conclusions of law and decree; the Reservoir, the reservoir capacity acre feet
reservoirs were filled and waters there' is increased to 900 acre feet.
ccordancewth Ii moed capac ties Clasm Number 802 Low K ocy Lab
Us~sce ~re~d ~ai~sc~bestary entablnhedhy Reserv threnerv capacity acre feet
California certificates), and the correction Claim Number 805 Wet Meadows Rro-
of factual error is not dependent upon ~ ervoir, the reservoir capacity acre feet is
credibility or quality of memory of any increased to 450 acre feet.
witness. Claim Number 804 Lower Sunset Reser
Probably the weakest link is the chain is voir, the reservoir capacity acre feet is
term nab f lack f f It gI mcreused to 860 acre feet.
gence on the part of Alpine. We find,
however, that the recitation, sopra, of ex-
ceptional circumstances establishes justifi. 5
cation for Alpine's failure to contest the
government's objections to the reservoir
capacities. There was nothing in the form
of any of the objections made prior to the
IN RE SAUSE BROS. OCEAN TOWING 1147
canannas P.see. one D.o~. mo
3. Seamen ens
In re SAUSE BROTHERS OCEAN TOW. Shipping moon, 52U5
ING, a corporation, an Owner/Charter. Warranty of seaworthiness extends
er of the T/V OCEAN SERVICE, Plain. only to crew of vessel and cargo, and does
sot extend to public and private parties
In a Cause for Exoneration from who seek redress for damage caused by
or Limitation of Liability, vessel.
and related can'o. 4. Shipping en207
Civ, No. 89-609-RE. Barehoat charterer was negligent in
maintenance and inspection of tags tow
Umted States District Court. wire snd, therefore, charterer was sot enti'
D. Oregon. tIed to limitation of liability for damage
Jul 9 1991 caused by oil spill that occurred when tog
y , . collided with breakaway barge, piercisg
compartment and causing spill: tow wire
Tug's barehoatcharterer petitioned for showed signs of abrasion, and inspection
exoneration from or limitation of liability in that occurred at dusk when tow wire wan
connection with an oil spill. The District spooled in and wiped off permitted ample
Court, Redden, Chief Judge, held that. (1) opportunity to overlook signs of abrasion
the failure to conduct adequate inspections and corrosion. 46 U.S.C.A.App. §) 101 et
of the tow wire and to have an adequate seq., 183.
and experienced crew was negligent and
contributed to the Ions that occurred when ~ Towage en152
the tsg collided with a runaway barge, Loon of tow or parting of tow wire
piercing the barge's storage csmpartmest does not raise presumption that tug owner
and causing the oil spill, and (2) the char' was at fault.
terer failed to show lack of privity or
knowledge of the negligesce and, there' 6. ShippIng mo207
fore, it wan not entitled to limitation of Tug's and its captain's failure to en'
liability, form 12-hour limit on crew shifts was neg-
Pttao f hmtat fliablty de'
nserl. of liability for damage caused when tug
collided with runaway barge, piercing corn'
1. Shipping ~209(3) partnsest and causing oil spill 46
Under Limitation of Liability Act, U.S.C.A.App. §8 181 et seq., 183, 8104,
claimants have initial burden of proving 8104(g, h), 8904.
negligence or unseaworthisess,of vessel; 7 Shipping mo207
once hatisentabhshed, burden s~fts ~ Tug'a barehoat charterer wan o,'gl'
ha wledg 46 USCAApp §8 181 ~ get bynotmanngtgwtl re~r g
eq., . runaway barges and, therefore, charterer
2, Shipping en207, 208 was not entitled to limitation of liability for
In determining whether vessel owner's damage caused by oil spill thut occurred
liability is to be limited to value of vessel when tug collided with barge, piercing cues-
and its cargo, court mast analyxe what, if partment and causing oil spill; tug's cap'
any, acts of negligence or conditions of tam was only crew member who had de-
unneaworthinean caused accident and ployed retrieval device, captain decided he
whether vessel owner had privity to or had insufficient time to retrieve barge with
knowledge of those acts or conditions. 46 that device, and assistant engineer and
US.C.A.App. §1181 et seq., 183. cook who had bees deployed to retrieve
PAGENO="0271"
barge had no experience with emergency.
46 U.S.C.A.App. §5 181 et seq., 183,
8702(b52).
8. Shipping ~2O8
Tug's hareboat charterer failed to
show lack of privily to or lack of knowl-
edge of negligence that caused runaway
barge and collision in whisk tug pierced
barge's storage compartment and caused
oil spill and, therefors, charterer was not
entitled to limitation of liability. 46
US.C.A.App. §8 181 at seq., 183.
Guy C. Stephensos, Schwahe, Williamson
& Wyatt, Portland, Or., for plaintiff Sause
Bros. Ocean Towing and third-party defen-
dant BP North America Petroleum, Inc.
Douglas M. Fryer, Jeffrey L Jernegan,
Mikkelborg Bros Wells & Fryer, Seattle,
Wash., Sydney L Chandler, Chandler, Le'
nan, Stokes & Finneran, Coos Bay. Or., for
claimant/third-party plaintiff Canada.
Paul N. Wonacott, John M. Cowden, Kim -
Jefferies, Wood Tatum Mosner Brooke &
Landis, Portland, Or., for claimant/third'
party plaintiff British Columbia.
Kenneth 0. Eikenberry, Atty. Con., Ann
C. Esako, William C. Frymire, Anal. Attys.
(ion., Olympia, Wash., Michael E. Haglund,
Michael K. Kelley, Haglund & Kirtley,
Portland, Or., for claimant/third-party
plaintiff State of Wash.
Stuart M. Gerson, Aunt Atty. Con.,
Charles H. Turner, U.S. Atty., Jack G. Col-
lins, First Asst. US. Atty., Chief, Civ. Div.,
Portland, Or., Philip A. Boron, Atty. in
Charge, West Coast Office, Warren A.
Schneider, Aost. Atty. in Charge, RobertJ.
Cunningham, Trial Atty., Torts Branch,
Civ. Div., US. Dept. of Juntice, San Fran-
cinco, Cal., for claimant USA. and U.S.A.
as Trustee for Hoh, et al
David S. Tenke, David S. Teske & Associ-
ates, Seattle, Wash., for claimants LeBlanc,
etal.
Dean 0. DeChaine, Miller, Nash, Wiener,
Hager & Carlnen, Portland, Or., Hugh M.G.
Braker, Port Alberni, B.C., Canada, for
claimants Nuu-Chab-Nalth Tribal Council,
etal.
Robert P. Zuaniclt Jones & Zuanich, Se-
stile, Wash., for Dale Marble, Dominick
Pepetti.
Gary F. Kollmuss, pro ne.
Christopher Harvey, Russell & DuMos-
lin, Vancouver, B.C., Canada, for Marilyn
Dohrilla for Bill Dobrilla (deceased).
Leigh R. Hilbert, pro se
Ralph Tieleman, pro se
Janice R. Dillon, Vancouver, B.C., Cana-
da, for claimants Wickanisnish Is. Proper-
ties Ltd.
Ken Zakreski, pro so.
Jan Thomas Baisch. Pozzi, Wilson, Atchi-
son, O'Leary & Conboy, Portland, Or., for
claimants John Does * 1-100.
Garry P. McMurry, Portland, Or., for
claimants Pacific Rim Resort Properties,
Inc., et at.
Kathleen M. Ker, La Liberte Ilundert,
Vancouver, B.C., Canada, for claimants
Clayton Fuller and Stanley Fuller, et at.,
and claimants Pacific Pride Seafoods Corp
Ucleulet Band Council, pro xc.
Mark D. Andrewn, Barrister and Sol.,
Vancouver, B.C., Canada, for claimants Su'
san Etheringtos, at al., and Mark Klotz, et
at.
Kevin R. Lyon, Cullen & Cullen, Olym'
pin, Wash., for claimants Quileute Tribal
Council.
Sharon Janeson, Richard, B.C., Casada,
for claimants Richard Alan Holmes and
Matthew Cardell, dies Al's Gooseneck Corp.
Brett A. Purtzer, Tacoma, Wash., for
claimants Kurt Marble and Jon Schmidt
David F., Margaret R., and Stephen J.
Rae-Arthur, pro so.
Arthsr Clarke, pro so.
Louis J. Zivot, Lang, Michener. Lower-
ence & Shaw, Vancouver, B.C., Canada, for
claimants T. Cameron Scott, Ron Dons'
mere and Ian J.W. Garcia.
Jeffrey J. Bode, Bellingham, Wash., for
claimants Steve Lawson and Suzanne Hnre.
(thin opinion reflects all amendments
thereof to date)
REDDEN, Chief Judge.
Plaintiff Basso Brothers Ocean Towing
(SBOT) in an Oregon corporation with its
principal place of business in the State of
Oregon. At the time of the casualty,
SBOT was registered to do business in the
Slate of Washington. SBOT filed this mar'
time claim for exoneration from or limita-
tion of liability in accordance with 46
US.C.App. 5183, and Rule F of the Sup.
plemental Rules for Certain Admiralty and
Maritime Claims of the Federal Rules of
Civil Procedure.
SBOT filed thin limitation action follow'
ing an oil spill into the navigable waters of
the United Staten near Grays Harbor,
Washington. A court trial was held from
December 4, 1990, through December 10,
1990, in Portland, Oregon. The action was
to be tried in two parts: the first, is for the
determination of liability; the second, to be
held at a later date, is to determine the
damsges incurred by each claimant. For
the reasons which follow, I find SBOT can-
not be exonerated from or limit their liabili-
ty, pursuant to 46 US.C.App. 5 183(a), for
the damages incurred by the claimants in
this action.
The wire rope connecting the tug T/V
OCEAN SERVICE, operated by SBOT, to
the barge T/B NESTUCCA parted in open
water on December 22, 1988. During rn-
trieval operations, the tog collided with the
barge piercing one of the barge's compart-
ments causing the discharge of approxi-
mately 230,000 gallons of Bunker "C" oil
into the navigable waters of the United
Staten. Oil drifted onto the Washington
State and the Britinh Columbia, Canada
nhorelines.
The governments of Her Majesty the
Queen is Right of Canada (HMQ Canada)
and the Province of British Columbia, Can'
ada, have filed claims againut SBOT for
damages relating to thecost of cleanup and
damages to the natural resources and wild-
life due to the spill. The State of Washing-
ton and the government of the United
BACKGROUND
SBOT operated the tug OCEAN SER-
VICE under a harehoat charter from Man.
trans Operating Partners, Ltd. The tog in
a twin.ncrew steel tugboat of 193 gross
tons with official number 507101, approxi.
mately 121 feet long, 32.25 feet wide and
10.25 feet deep. The tug ix powered by
two diesel engines with a co,sl:ined le)is.
ered horsepower of approximately 160)) l,.p.
The OCEAN SERVICE was equippe~l with
an Orville Honk barge retrieval device.
The barge NESTUCCA is a steel tank
barge bearing official somber 1)569025 of
5,339 gross tons, 5,339 set toss. uod a
length of 301.80 feet The barge contains
eleven cargo tanks with on.lovard pumps
and piping. SBOT owned the barge NES-
TUCCA at the time of the casualty.
The towing wire aboard the OCEAN
SERVICE was a 2'/i inch diameter, 6 x 25
independent wire core, steel rope. The
manufacturer of that wire rope mooed a
mill-tent certificate on or about Juoe 26,
1987, and the American Bureau of Ship)ting
issued a compliance certificate on or about
June 23, 1987 that stated the wire met
designated specifications. The sire met
the strength opecifieation of 437,000
pounds. This wire was inntalled on the
towing winch of OCEAN SERVICE `~n No-
vember 4, 1987. On August 5. 1988, ufter
2,122 towing hours, the towing end of the
wire was trimmed and a new `D" socket
was poured. On December 11, 1998, the
tow wire was "upended" and a sew towing
"D" was attached. At the time the towing
1148
- 769 FEDERAL SUPPLEMENT
IN RE SAUSK BROS. OCEAN TOWING 1119
CsumlaO F5.~. 1547 (ø.n. i~I)-
FINAL AMENDED OPINION Stolen alas filed claims against SB))?. as
well as BP North America Petroleum, Inc.
(BP), owner of the cargo. Daring the
course of the court trial, the State of Wash.
ington and the United Staten government
staled in open court, and later submitted
documents stating, that they had settled
their claims with SBOT and BP. There.
fore, thin opinion only addresses the liabili'
ty arguments rained by the remaining
claimants, specifically HMQ Canada and
British Columbia, against SBOT. Accord-
ingly, all claims against BP have been net-
tled
I
I
PAGENO="0272"
1150 769 FEDERAL SUPPLEMENT
wire was upended, the wire's total towing Captain May abandoned thin plan because
bourn were approximately 3,620. the ueas were changing, and the barge was
On December 21, 1988, the barge NES' drifting into shallower waters toward the
TUCCA was loaded with Bunker "C" oil at breakern near the north jetty. The Orville
Ferndale, Wanhington. The starboard Hook was stowed in an unassembled condi-
number one tank contained approximately tios and the captain felt he did not have
6,012.56 barrels of product upon departure. time to deploy it to retrieve the drifting
The tog and barge departed Ferndale barge. At that point, the captain decided
am d 1340 h en Decembe 21 1988 to ret h ptio f loot resort puts g
bound for Aberdeen, Washington, to off. two men aboard the barge. The tug
sad some of the cargo, then on to Port- backed ito stern next to the side of the
land, Oregon. During thin voyage, the barge no the mate and the usnistant engi-
OCEAN SERVICE was massed by the neer could leaponto the barge. During the
maater, mate, chief engineer, assistant en- first attempt, a wave caused the barge to
gineer, and the cook. gs down and the tug to gs up, the tug's
At the time of departure, the winch held port rudder then came down into the barge
approximately 2300 feet of towing wire. holing the number one starboard compurt-
The towing wire was connected to Use ment. The hole consisted of a six-foot
barge bynseass of a "fink-plate" connected crock ss the utarboard bow area, approul'
to chain-surge gear. mutely one to two feet below the deck.
On December 22, 1988, at upproximately The two men were successfully transfer-
2315 hours, the tug and barge arrived off red from the tug to the deck of the barge
Grays Harbor, Washington, sear buoy on the second attempt, Once aboard the
number three. Shortly before, the tog barge, they were unable to pass a retriev-
JANET R had towed the barge BARANOF ing line to the tug for deployment of an
across the Grays Harbor bar and had com- emergency towing line. The collinios be-
municated the condition of the bar to Cap' twees the tug and the barge damaged the
tam May, the master of the OCEAN SEE- tug's port rudder greatly restricting the
VICE. tug's maneuverability. The Orville Hook
The OCEAN SERVICE stood by buoy was then deployed by the captain and the
number three while awaiting an outbound chief engineer with help from the cook.
ship to clear the bar. At this time, approxi- The barge was successfully retrieved with
mutely 2330 bourn, the master shortened the Orville Hook. Upon retrieval, the
the tow between the OCEAN SERVICE barge was towed out to sea, away from
and the NESTUCCA to approximately 1500 Grayn Harbor. The two men aboard the
feet, During the course of these opera- barge were forced to upend the rest of the
tions, there was little wind and the swells night in a pumphoune on the barge due to
were estimated by Captain May to be g~ the increasing wind and heavy ness.
six to eight feet After shortening the The tug JANET R came out to assist the
tow, the master lowered the towing pinu OCEAN SERVICE and the NESTUCCA.
and set the air brake at three-quarters. Once the seas permitted, around 0720
The master then returned to the wbeel- hours on December 23, the JANET R went
house, While turning the tug to utarboard, alonguide the barge NESTUCCA and
the tow wire suddenly parted at the winch, picked up the OCEAN SERVICE'n mate
The starboard tarn brought the towwire and anoistant engineer. Around 0905
across the starboard utern quarter at ap- bourn the name day, the Coast Guard delis'
proximately a forty-five degree angle when ered a barge "patching kit" to the JANET
the wire parted R, It waa not until December 24, at up'
After the tow wire ported, the barge prsximately 0030 bourn, that the weather
drifted closer toward shore near buoy num- had nubeided to the point the JANET R
ber five. Captain May first decided to use was able to put two crewmen aboard the
the Orville Hook to retrieve the barge. NESTUCCA to patch the hole.
IN RE SAUSE BROS. OCEAN TOWING 1151
CIis..7ie ESspp. 147 (D.th~ tuntI
The OCEAN SERVICE and the NES- (31 SBOT notes that nose of the claim-
TUCCA arrived off the Columbia River on ante in this action is a cargo owner or
Deeember 24, 1988, where the tow was seaman, The claimanta are partieu, public
trannferred from the OCEAN SERVICE to and private, seeking redrexa for damage to
the tog JANET It, At approximately 0939 shorelines, natural resources and personal
hours the same day, the SOOT tug SAL- property. me warranty of seaworthiness
ISHAN also attached a tow line to the does not extend to uueh parties. The war-
NESTUCCA and the flotilla then proceeded ranty only applies to the crew of the vessel
into Astoria, Oregen, arriving at approxi- and the cargo. The C.4LEDONIA. 157
mately 1130 hours. U.S. 124, 15 S.Ct. 537, 39 LEd. 644 (1895);
The Pelition of the Uniled Stoles (1:V1'IN-
CIBLE,), 216 F.Supp. 775, 781 (D.Or.1963).
DISCUSSION To prevail, claimanto must prove negligent
(1)Lmtatnon fLabsltyA L ~a~5ed ~aa lt~~ d51~1h t~ose
(1.21 The Limitation of Liability Act, 46 of SBOT.
U.S.C.App. 8181 ci seq., was f'wat enacted
in the United States in 1851. The Act was (a) Negligent Acts.
fashioned after laws of certain European The winter voyage attempte'l by the tag
seafaring nations for the purpose of limit- OCEAN SERVICE and the barge NES-
ing a uhipowner's liability to the value of TUCCA could expect heacy seas ansi four
the vessel and to cargo. See Eats Later bar cronaingu at Grays Harbor and sbe
Charter~ Inc e. Ignacso, 875 F.2d 234, 235 Columbia River. me oil carried by the
(9th Cir.1989). Pursuant to 8162: barge presented a significant risk to the
[t)be Imbility of an owner of any vessel, environment if a upill were to occur.
whether American or foreign, ... for
any loon, damage, or forfeiture, done, (s) The Tow Wire.
occasioned, or incurred, without the privi- (41 Claimants contesd that the wire
ty or knowledge of nuch owner or own- was corrsded, improperly cared for, and
* ers, shall sot ... exceed the amount or not thoroughly inspected for defects that
value of the interest of such owner is may have led to the wire's porting.
such vessel, and her freight then pond- A tow wire should necessarily be able to
ing. withstand the size of the load as well us the
Claimants hove the initial burden of prov- dynamic forces placed upon it by the rough
ing negligence or unseaworthiness; once ness. At the time thin particular tow wire
established, the burden then shifts to the parted, the conditions were moderate and
vessel's I ~ prove lack of privity or the tug was towing the barge from three to
knowledge. Self e. Great Lakes Dredge B four knoto while maneuvering for the bar
Dock Co., 832 F.2d 1540, 1557 (11th Cir. crossing. The load upon the tow mire was
1987). The determination of whbther liabil- substantially tower than the 487.000 pound
ity is to be limited is left to a two-utep tensile strength it was rated to withstand.
analysis by the court (1) what, if any, acts me portion of the tow wire that was saved
of negligence or conditions of unseaworth. and examined showed that it was corroled
incus caused the accident, and (2) whether and abraded prior to its failure December
the vessel owner had knowledge or privity 22' 1988.
of these name acts of negligence or condi- Claimants argue that SOOT was negli-
tions of unneaworthinens, IiL gent is their pelicy sot to lubricate tow
I'll han long been eeosgsised in ibolauef aslhnbarebsnichaneseeof,keOCFANSE5.
admiralty that foe nuny, if sos mont. psepxneu VICE, mill be treated as the `oxcer' of the
to booboos ohasteeer in ix be sealed as ito OCEAN SERVICE in bin arinsa. See eke mdl.
owner, generally called owner prs her rtrc' sn Ridge Cacni~sg Cc e. The Cep,zin ,V.,4, 9$
Read c. Saacithip Yaku 373 US. 410. 412, ~ FSupp. 064 lD.C.t.s.1951).
S.d. 1349, 1351. 10 LEd.2d 440 11963). lOOT,
PAGENO="0273"
1152
wizen as recommended by the manufactur-
er. Numerous expert witnesses testified
during the court trial From their tentimo-
fly, it appears that while lubrication of tow
wires in not required, it helps slow its rate
of corrosion. When a tow wire is corroded
that corrosion is not uniform along the
length of the wire; the sonconcentric shape
of the wire, therefore, is further weakened
by the force placed open it by the dynamic
(moving) load. Lubrication of the tow wirr
decreases the friction caused by the wire
rubbing against itself when being wound
onto the drum. According to one expert,
when the wires slide against each other,
absent lubricant, thin weakens the wire and
contributes to lower luad capacities.
The tow wire exhibited at trial showed
signs of abrasion. The abrasion could have
been canned by a number of factors. First,
SBOT admits that the practice of dragging
the wire on the ocean floor during towing
and spooling operationx could abrade the
wire. While such contact with the bottom
cannot be avoided, such conditions would
necessitate careful inspection of the wire
as it ix rewound on the drum. The evi-
dence also showed that the rollers on the
OCEAN SERVICE were cery worn axd
could have caused the abrasions shown on
Ihe tow wire. Testimony alno suggested
that the chafmg plates on the OCEAN
SERVICE were worn. These chafing
plates were replaced shortly after the casu-
alty and discarded before they could be
examined or even photographed. Based on
the testimony and the worn condition of the
rollers, I will infer that the chafing plates
were is a similar worn condition and con-
tributed to the wear open the tow wire as it
contacted them while being spooled in, let
out or while in tow.
SBOT's normal inspection procedures en-
tailed the master of the tug viewing the
wire no it was drawn is or let out from tho
boat deck and the chief engiseer viewing
the wire from the fairlead winch controls.
Both persons were from sin to ton feet
from the wire at these statioxa. The tow
wire was drawn in at a speed of approxi-
mately ose to three mites per hour. At this
distance and speed, this methed of inspec-
tion is inadequate to detect breaks of mdi-
viduat wires, abrasion or corrosion of the
tow wire.
SNOT contends it required its musters to
document wire inspections is the log book.
No such entry occurred in the OCEAN
SERVICE log hook in 1988. Trip reports
were also to he submitted by the master to
SBOT management. The OCEAN SER~
VICE had sot submitted a trip report be-
tween May 1988 and the date of the casual-
ty.
SBOT also reqnired the tug masters to
utilise a Marlin Spike to neparate the tow
wire and inspect its core. Captain May
testified that he had never used the Marlin
Spike as directed because he believed it
damaged the wire.
SBOT notes that the tuw wire was up-
ended and a sew towing "D" poured I)e-
comber 11, 1988. To spend the tow wire,
the towing end was tied off and the rest of
the wire was let nut The old towing end
wan then attached to the drum and the taw
wire was spooled in. The crew stood at the
stern of the tug and washed the mud off of
the tow wire with a fire hose as it came
aboard. Captain May testified that the
wire was inspected at that time. Neverthe-
less, Captain May admitted that the spend-
ing procedure was not completed until af-
ter dusk and the OCEAN SERV1CE~n
Sghtn were used to finish the procedure.
Spraying the tow wire with a fire hose at
dusk would leave ample opportunity to
overtook signs of abrasion and corrosion
that would indicate dangerous weakening
of the tow wire. These are not reasonably
acceptable methods of inspection. See Sb-
bees v. Hopessouxt Shipping Co., 345 F.2d
451 (5th Cir.l965) (district court decision
affirmed denying limitation of lability
where no regular maintenance and inspec-
tion of venuel's cables).
There was evidence presented detailing
inspection methodn used by other towing
companies. Generally, they placed the tow
wire on a pier and walked the length of the
wire looking for corrosion, abraaion, bra-
kes wires, or other defects.
SBOT argues that while the wire was
corroded and showed signs of abrasion,
(ii) The Crew of the OCEAN SERVICE.
The crew consisted nf Captain May and
the chief.esgineer, hotl, of whom have had
thousands of hours of ocean towing experi-
ence. At the time of the casualty, Captain
May possessed a U.S. Coast Guard opera-
o tsr's license for usinapected towing vessels
upon oceans and inland waters. Captain
May became a towing vessel master for
SBOT in 1911. The chief engineer, Jack
Wilson, apentnix years in the United States
Navy and has been employed is'the ocean
towing isduxtry since 1973. Is 1983, Wit-
ass obtained a United States Coast Guard
license to United States Merchant Marine
Officer as as Assistant Engineer of usia-
spected motor vessels of sot more than
4,000 horsepower.
The mate, Gary Rickey, obtained a Unit-
ed States Coast Guard license to United
States Merchant Marine Officer as Mate of
Freight and Towisg Vessels of ast wore
than 500 grass tons, upon oceans ast more
than 200 miles offshore, in January, 1986.
769 FEDERAL SUPPLEMENT
`1
IN RE SAUSE BROS. OCEAN TOWING 1153
Cilu.a760 F.Ssp~. 147 iD.~. seis
there was no evidence that the wire parted The assistant engineer. Curtm Bartley.
for those reasons. SBOT contends that the joined SNOT on October 30. 1908. Prs,r to
wire hung up on the bottom while the tug his employment with SNOT. Bartley
was turning and parted due to the tremes- worked is the logging industry from 1903
dean increase in prennure created white to 1988. Bartley was a certified welder.
turning around a urnall radius on the ocean Cecil Johnson was the cook aboard the
floor. The evidence put forth by SBOT OCEAN SERVICE and had worhe'l for
establishing this theory is circumstantial at SBOT an a cook since March of 1905.
best. The preponderance of all the evi-
dence before the court demonstrates that 161 Title 46 U.S.C. 5 0104 governs tech
the tow wire was defective and SBOT was watches to be manned on ivsselo. Section
negligent in their maintenance and inspec- 8104(g) staten:
tins of that wire. [oJn a towing vessel (encvpt a crony) to
which subsection Ic) 0f thin nectoin ap-
[51 Ctaimantx contend that the doctrine plies), and offshore nuppl.c cessel. or a
of rca spas boqusbarappken in thn instance barge to which this section applies, that
where the tow wire parted in relatively is engaged nsa voyage of less than 100
calm nean under moderate conditions. The mites, the licenned individuals anil rrew
owner of a tog in not an insurer. The tesn members (except the coal lanorro. fire-
of a tow does sot cane the presumption ad men oilers and water test rut nian lie
* fault Cartnen o. A. Pabadisz, Inc., 5 F.2d dvided wh t I `t I'-
387,388(9th Cir.1925). Further, the 1~°~ watches -
isgofatowwiredoennotgiverisetothe -
presumption of negligence. Stevens ii. The Section 8104(h) states:
White City, 285 U.S. 195, 204, 52 S.Ct. 347~ [sin a vessel to which section 11104 if thin
350, 76 LEd. 699 119321 Therefore, the title [46 USC 0 8904] applies, an
doctrine of rca ipso toqaifar ia inapplicable at ticesned to operate a towing ~cvsel
in this action. may not work for more than 12 hears in
a consecutive24-hour period except jean
emergency.
Section 8904 refers to towing vesselu at
least 26 feet long, and applies to the
OCEAN SERVICE which in 121 feet long.
Daring his testimony. Captain May ad.
mitted that his watch was scheduled to end
at the time they reached the Grays Harbor
bar before the casualty. Captain May otat-
ed that it is SNOT policy that the master of
the vessel take her over the bar. There'
fore, Captain May would violate 0 8104(hl
by remainisg on duty. Captain May also
stated that it was common fur the master.
as well as anme of the crew, to esceenl the
12-hoar limit, and SNOT was aware of thin
practice. SBOT noted that they had told
their masters to stay within the statutory
confines bat they sever checked Captain
May'n log to see if he and his crew had
complied.
The parties disagree whether the voyage
is over or under the 600 mile limit imposed
for a two-watch nyntem as reqaired by
§ 8104(g). Regardless, of the voyage din.
PAGENO="0274"
1154 769 FEDERAL SUPPLEMENT
lance, it io sufficient to conclude that the
violation of the 12-hour limit in negligent
behavior on part of Captain May, and
SBOT for ito failure to enforce compliance
with the rule. The SBOT policy that the
vessel's muster must take her over the bar
in prudent Such bar crossings, however,
should be made within the 12-hour limitnet
forth by the statute.
[71 Claimants next allege that SBOT
wan negligent by not manning the OCEAN
SERVICE with able bodied seamen as re-
quired by 46 USC. S702(b92). Section
8702(b92) slates:
(b) A vessel may depart from a port of
the United States only if at least-
(2) 65 percent of the deck crew (ex-
cluding licensed individuals) have mer-
chant mariners' documents endorsed
for a rating of at least able seaman,
except that thin percestage may be
reduced to 50 percent on a vessel per-
mitted under section 8104 of this title
[46 USC § 8104) to maintain a 2-watch
nystem.
For purposes of thin limitation action, I
find the voyage to be less than 600 miles
and a two-watch system to be sufficient
Nevertheless, SBOT admits that none of its
crewmen was certified ax an able seaman
as required under § 8702(b52). It is for
Congress, nut the courts, to set forth man-
ning requirements for merchant vessels.
United Stales v. Buckeye Steamship Co.,
287 F.2d 679, 680(6th Cir.1961). The man-
ning statutes are primarily safety statutes-
O'Hnro e. Luckenbaeh Steamship Co., 269
U.S. 364, 46 S.Ct 157, 70 LEd. 313 (1926).
Such safety legislation should he liberally
construed to effectuate congressional in-
test United Slates c. Blue Woter Marine
Industries~ Inc., 661 F.2d 793, 796 (9th
Cir.1981). The hordes lies upon SBOT to
demonstrate that the statutory violation
could not have contributed to the casualty.
The PENNSYLVANIA, 86 US. (19 Wall)
125, 136,22 LEd. 148 (1874); The DENA-
LI, 105 F.2d 413,418(9th Cir.1939); Water-
man 5.5. Corp. sx Gay Cottons, 414 F.2d
724, 736-37 (9th Cir.1969).
Once the tow wire parted, Captain May
had bin crew flake out the line for deploy-
ment of the Orville Hunk. The Orville
Hook was kept ina disassembled condition.
Nose of the crew, except for Captain May,
bad ever deployed the Orville Honk or prac-
ticed assembling it Once the line was
flaked out, Captain May decided he bad
insufficient time to retrieve the runaway
barge with the hook. Since the barge wan
not equipped with as insurance wire, Cap-
tain May wan left with only one option;
putting two men aboard the barge and
heaving an emergency tow line back to the
tog. Putting men aboard a barge in the
most dangerous method by which to re
trieve a runaway barge.
The barge NESTUCCA had previously
been equipped with as insurance wire priOr
to her purchane by SBOT. An insurance -
wire consists of a spare towisg wire pre-
rigged for rapid deployment is an emerges-
cy where the main towing wire in discos-
sected. The wire is fastened to the barges
bow then hung with tight, easily broken
fasteners around the bow, down the side
and coiled on the store deck. The steel
wire rope is connected to a floating line and
a buoy that trails behind the barge. If the
tow line between the tug and the barge -
parts, the tug merely picks up the insur-
ance wire and shackles the wire rope por-
tion to the remaining tow wire on the
winch. The light fastenings break away
and the barge in again in tow. Insurance
wires are not without their problems, i.e., if
the buoy in washed aboard the barge in
heavy seas, or if the line became tangled,
they are unusable for the barge retrieval
procedure.
Since the crew was unfamiliar with the
Orville Hook and had not been trained to
use it, when an emergency strikes, it would
have bees prudent to rig an issurance wire.
The ultra haaardous nature of the cargo
transported, coupled with the inexperience
of the crew, contributed greatly to this
cunsalty. SBOT has a non-delegable duty
to man their vessels with an adequate
crew. Tag Ocean Princei Inc. e. United
States, 584 F.2d 1151 (24 Cir.1978).
A vessel owner has a duty to supply as
adequate and competent crew for the
CONCLUSION
I find Sause Brothers Ocean Towing is
ineligible for limitatios of liability pursuant
to 46 US.C.App. § 183. The claims of
willful segligence and willful misconduct
are dismissed. The damages to be award-
ed, including questions of punitiee `lain-
ages, will be decided in the second phase of
thin litigation.
Robert HOOVER, et al.. Defendants.
No. C88-lS4sM,
United Staten District Court,
W.D. Washington,
at Seattle.
July 12, 1991.
Inmate brought civil rights action
alleging abuse of rights by prison staff.
Defendants moved to dinmisu action as frio-
CELLO-WHITNEY v. HOOVER 1155
CkamltO F.Snpp. *155 w.o.w..a. imt~
vessel's intended voyage. (citations to be able seaman certified, as -e'~airril by
omitted) The crew must "sot merely be law. SBOT knew that the winter coyage.
competent for the ordinary duties of an transporting hazardous cargo. coul,l en-
uneventful voyage, but for any exigency counter exigencies that would require an
that in likely to happen." (citation omit- experienced crew. SBOT also knew that
ted). must of the crew had not bees trained how
Is en Ocean Foods Boot Co., 692 FSupp. to deploy the Orville Hunk in case the lose
1253, 1259 (D.Or.t988). I find SBOT negli- wire parted. For these reasons I find
gent is their actions conceroing this and- SBOT had privity and knowledge of the
dent The isexperiesce of the ussistant negligent acts that caused the casually
engineer and the cook, coupled with the sear Gruyn Harbor, Washington. ~
tack of able seaman certification, costribut- comber 22, 1988. In sum, I fin,l ordinary
ed to the casualty. If experienced crew- negligence on the part of SBOT. and puma-
men were available, the Orville Hook may ant to my Order March 29, 1991, all
have been deployed successfully the first of willful negligence and willful miscox,lxct
time without having to put two crewmen are dismissed. The question of damages,
aboard the barge. Further, the Inch of including punitive damages, is reserved for
resuonuble tow wire inspection procedures resolution in the second phase of this litiga.
contributed to the accident is that had they tins. Regardless, SBOT's liability in oot
been mere thorough, the tow wire's corrod- limited under 46 US.C.App. § 183.
ed and abraded condition would have bees
discovered before it parted under tow.
(b) Privity or Kaowledge of the Owner.
[81 SBOT in the owner of the vessel
* seeking limitation of liability. The burden
of showing lack of privity and knowledge
of the negligence that caused the spill sow
shifts to SBOT. Waternnas, 414 F.2d at
* 738. "The measure in ouch cases in not
what the owner known, but what he in
charged with finding out" Staten Steam-
ship Co. e. United Stotes 259 P.24 458, a
466 (9th Cir.1957) quoting Great Atlantic n ~Oesmai,i%On
& Pacsjlc Tea Co. v. Brasiteiro, 159 F.2d
661, 665 (2nd Cir.1947). See also Ocean
Foo4 692 FSupp. at 1259.
SBOT knew the methods by which the
crew of the OCEAN SERVICE inspected
and maintained the tow wire. SBOT estab-
lished a policy that a Marlin Spike would be
* used to inspect the core of the tow wire
and should have known that Captain May
did not ase the device. SBOT knew that
trip reports were sot being turned is from
the OCEAN SERVICE since May 1908.
SBOT should have inspected the log of the
OCEAN SERVICE tones wbetber tow wire
inspections were documented, as well as
whether the crew was complying with the
12-hour watch statute. SBOT knew that
tlsey were neqaired to man their vessels
with competent crew, some of which were
James CELLO-WHITNEY. Jr.. Plaintiff,
PAGENO="0275"
271
7 March 90
The honorable Brock Adams
2988 Jackson Fed Bldg
915 Second Ave
Seattle ~A 98174
Dear Senator
I am a Captain, presently ei~ployed by Crowley Maritime of Seattle
hashington. Often times I tow large Pc .~1'dtn~ barges in the coastal
waters of the Continental US ancludinj(Hawaii)and Alaska These large
barges may contain as much as five or s'~4_mj}(ion gallons of cargo.
The potential for a catastrophe is great and I feel that ~ must do
as much as is humanly possible to prevent another aisastrous spill
from occurring and not waiting for it to happen then reacting with
a lot of angrily conceived hasty regulations after the fact.
I am lust one of many plying their dangerous trade in the local
waters of the US and the major consensus of opinion amongst the
fraternity seems to be that the aouble hulled tankers are a partial
answer to the prevention of the unthinkable but another thing we nust
look at, is that weare operating at dangerous levels of reduced manning.
I feel that I am not operating at my best when fatigued and that
I am not as alert as I should be when I have been up an excessive amount
of time. t~e are required to be on watch twelve hours a day and for
me to remain at my best for this long a time is impossible. I feel
we must have alert and rested people in command at all times.
,- The companies rationale is that they would love to have fully
manned vessels operating with the three watch system thus everyone
~orkang eight hourm a day but the demands of being competitive prevent
j~hi a
( The answer to me seems fairly obvious that we must have enforced
I regulations where all vessels have safe manning I won t be so grandio e
\as to say what is safe but I feel that it would be reasonable to have
panel of experts to take a good look at whats happenin9
,- I feel that there is another area of potential danger that must
(be looked at carefully ke must have experienced people on the bridge
(in command at all times The now defunct job of second mate was a
\training ground for positions of greater responsibility I don t know
\where experienced hands are going to come from to replace older seasoned
people leaving our industry through normal attrition. The demands of
~he industry for competent people seems to be increasing yet we are
~losing a valuable position where new people can get of hands on training
PAGENO="0276"
272
I know for a fact that certain companies have reduced the manning
to such a level that the vessel would be on auto pilot while the person
in charge of the bridge would be out on deck doing maintenance. The
company did not instruct their personnel to do this but the tongue
in cheek attitude was that it was a big ocean out there and we would
sure like to have the boat painted. ~e all know how small that big
ocean can suddenly become.
If we continue on our present course I feel we will have less
experienced tired people in command at times when the situation is
going to demand the very best from the very best. If there is any
less I can only leave it to you to imagine what the outcome will be.
fl I wonder how appropriate it is for the enforcing agency (the
ICoast Guard) to be in the business of interpreting the law. I am not
lawyer but it does seem incongruous to me.
~--~ I don't really favor to much government regulation in industry
when we can regulate ourselves. It sadly appears to me that we are
unable to make a common sense sane solution to the problem, hence a
Lcau for help to our politicians.
Sincerely,
Captain halter E. Larson
P0. Box 217
Ellensburg hP 98926
509 925 7910
PAGENO="0277"
273
May 14, 1990
THE HONORABLE BROCK ADAMS
2988 Jackson Fed. Bid.
915 Second Avenue
Seattle, Washington 98174
Dear Senator Adams:
Environmentalists and politicians are promoting the new
innovation of Double Hull Tankers as the means for making our
waters safe. I can agree that it should be a serious step to
be considered; however, as a professional seaman serving in the
capacity of Chief Mate and relief Captain, I find it not to be
the final or even the best answer. The answer that must be
considered to make our waters safe is SAFE MANNING.
I work on. towing vessels that tow very large cargo barges and
carry many different kinds of dangerous cargo, including oil.
A Captain and Mate work two six-hour watches, for a total of
twelve hours per day, plus overtime. Add u all the
~ and wil n44~at
we are overworked and rad._4Je~!QUiLS4_tQ_aka_~P~t
~ ons at can mean the difference b!.~fF...$...
siiccessf~u3._aane ~~ora ma or isas e.r~ ~kThg for the same
c~mpaRy~YdV~i 15 years, I ave watched the UNITED STATES
COAST GUARD change interpretations of the current manning
regulations [or have the laws really changed]. Are the changes
made for safety's Bake or as the companies want, for their own
bottom line?
We need new laws, laws that demand that shipping be properly
manned and Deck Officers work no more than eight hours a day on
watch on ALL commercial vessels. A major spill, a major
accident, a major loss of life, is just a time bomb waiting to
happen - and all because of unsafe manning.
Make our waters safe by requiring Safe Manning. Otherwise, I
must keep on wondering when the next major Accident does
happen, will I be the one responsible for it or involved in
other ways! I respectfully petition your endorsement and aid
to this end, so our waters may be safe and clean once again.
Sincerely,
~ ~.
Perry L. Williams
3722 159th Street East
Tacoma, Washington 98446
PAGENO="0278"
274
OJ/O5~J9SD
The Nonorable Brock Adass
2988 Jackson Fed. Bid;.
915 Second Avenue
Seattle, VA. 9817d C~~F
Dear Senator Adaas,
Baying sailed as Chief Nate for sany years on ocean going
Towing Vessels .T would like to ispress on you that in order
to keep our oceans and inland waters free frosi safer oil
spill accidents, you would need to focus your attention on
sanning of vessels, double bull tankers does sake good
sense, however, that is not enough, if you have ships and
towing vessels sailing the waters with crews who are not up
to par because of fatigue, no asount of strengthening of
vessel construction can prevent accidents and no aaount of
electronic technology can replace the decision waking deck
officers are faced with, or the sharp eyes and ears coupled
with good seasanship of a sailor on look-out.
A few years ago cospanies, with the blessing of the Coast
Cuard and their reinterpretation of the laws, cut down on
sanning to a point where we now have vessels plying the
wa tars as tine ~boab.~ vii tin oraaaoraccidönt to bap~i,
ój~Th 2 stand watches of ~ hours on and S houf7ôFday
after day and in addition *to that I have to work overtine
and have other interruptions in sy rest, just a few years
ago we where I deck officers standing watches of a hours on
and 8 hours off, overtine and norsal interruptions was not a
problen as we had the sanpowar to cover that, that no longer
is the case. Cuts in nannin; is~, jjppLpca,notprogress
b~t~bg_ttb~e-JY~s eawen and rlththe
.1 feel that the sensing on ~&& cossercial vessels fron 50
gross ton and up should be set by law to insure that deck
officers and 4.0. `s on look-out should stand watches of no
sore than 8 hours a day j~ on and S off) as it used to be,
also the 11.5. Coast Guard should not be pernitte4 to change
those laws, just enforce then.
I thank you for your tine and consideration in this satter,
it is greatly appreciated.
Sincerely
Nr. OQO SORSNSNN
.tddOJ - Bird Flace 5.1'.
Snohosish, VA. 91290
PAGENO="0279"
275
March 01 - 1990
The Honorable Brook Adams
2988 Jackson Fed. Bldg.
915 Second Avenue
Seattle, WA. 98174
Dear Senator Adams,
As a professional seaman, having sailed as Master on many types
of vessels for over 15 years end as:Mate for a few years before that,
I can truly tell you that your demand for double hull tankers for
* safety is close to the mark, but, in order to hit the mark dead center
you must also insist on SAFE MANNING, it makes ~io difference in how
strong the vessel is built if it is not manned right.
We now have Towing vessels towing very large barges with Oil
and General cargo and very UNSAFE manning, the Coast Guard thru their
interpolation of the law have, given the companies green light in'
cutting manning down to a level that in my opinion is very unsafe,
Masters and Mates are standing watches 6x6, 12 hours watch a day plums
all the other chores connected in operation of the vessel, you have
~4asters and Mates standing watches who are tired and dead on their
~eet and still it is expected of them to make decisions that must be
~orrect or an accident will happen, manning is such that it is not a
~uestion of if an accident will happen, it is guaranteed, it just wait
~or a time and place. Up to now they have been lucky, many accidents
have happened the last few years but none of the caused death, just
some injuries which no one likes to talk about. One safe manning can
prevent a major accident, no Deck Officer should be allowed to stand
watch for more than 4 hours at the time and~ with' a max" of 8 hours' :per:
day, also there should be a lookout on each watch,' they too should not
be allowed more than 8 hour max per day, and it should be done by LAW
so all commercial vessels had to adhere to the law and thereby no
company could use the manning level to underbid each other.
I respectfully request your consideration in forming a
voluntary group of Master Mariners from different types of vessels
who, through their knowledge and expertise, could. develop proposals
for manning and safety to be presented to those, like yourself, who
ultimately establish our laws. I would never presume to develop
guidelines for a field that was out of my jurisdiction. Conversely, I
do not see the wisdom of having someone not associated with towboats,
tankers, freighters,~. or ferrieL...trying to ,establish guidelines for
manning and safety~J ~h in ted States Coast GuarTi15Iti1~od~to
~nsure `th8tthel~ws are upheld. They should not be in the business
bf establishing manning laws or even the interpretation of them, That
Your time and consideration in this matter is greatly appreciated.
Respectfully,
z £~-
CAPT,LIN BIRGER R. RASMUSSEN
9015 - 229th P1,. SW.
Edmonda, WA. 98020-4945
PAGENO="0280"
276
COpy
May 29 1990
To the Ronerable Brock Adams
2988 Jackson fed. Bldg.
915 Second Avenue
Seattle, WA. 98174
Dear Senator
My name is John Rasmussen. I am a professional Seaman. I started out in
1958, and have seen the decline in the safety in the merchant marine. At
present I am a Chief Mate in the tugboat industry and have been so for a long
time. On my last job my deckhand, who was also an oiler for the most part
spent the watch in the engineroom. and I was sometimes alone in the wheelhouse
4 5 hours A lot of things can happen in that time
It is sad that the companies now is cospeting by cutting down on the
manning and that will not be changed unless we get a manning law that deane
states how many people and in which capacity there must be manning the
vessels It is my belief that more accidents are going to happen as long this
is going on. Also it the ships owner have to pay for double hull ships, they
will most likely cut down on manning some more, since they have green light to
do what ever they please from the Coast Guard. I urge you to do something
about it, not only for the safety of lives, but also for the environment.
I -sjncerely hope we can get back to the three watch system again and
have safer vessels sailing around~the world and the US again.
I thank you for your time and consideration in this matter, I grealy
appriciate it.
Sipcerely(,~
~ ~-T ~
`4ohn J. Msmuasen
5630 200th SW. I 5-309
Lynnwood, WA. 98036
PAGENO="0281"
277
Representative ~Jolene Unsoeld March 8 1990
207 Federal Building
Olympia WA 98501
Dear Representative Unsoeld
Due to the number of recent accidents in the marine
industry I would like you to consider a few thoughts that I
have on this subject
While double hull vessels will give greater protection
against pollution entering the oceans they will also bring
other problems These concerns include higher construction
costs expenses incurred to remove explosive gas fumes prior
to commencing vessel repairs and the possibility of
creating dangerous volatile atmospheres between the hulls
We can build the most technologically advanced vessels and
equip them with the most advanced navigational aids to the
mariner but this is not enough New laws need to be
implemented to~ limit the amount of time spent by crews on
watch and ninimum staffing levels need to be re-assessed by
the Coast Guard. In addition, the Coast Guard must resist
industry pressure to reduce crew sizes. A simple comparison
of how many people are required to safely operate a
government or militar~ vessel compared to a commercial
vessel would reveal that there is a wide discrepancy on how
many people are considered necessary
~afe manning levels is the beginning toward safety on the
oceans Currently a Captain and Mate aboard tugs each
stand two six-hour watches per day for a minimum of twelve-
hours of wor3' each day 0ff-watch work bowever frequently
demands that hours of rest are cut short With work shifts
I ranging from days to several months at a time it is obvious
that there are many tired people working on the seas
f Laws need to be passed and an.fo~rce.d which limit the amount
of time that deck officers spend on watch to no more than
eight-hours a day on all commercial vessels The MIND is the
best weapon against accidents and a riate~ mind is the best
mind to make split second decisions that might avert a
disaster
With more than eighteen years experience in the maritime
industry, the last five as a Captain of towing vessels. I
have seen continual declines in crew sizes As a result I
believe it is essential that minimum staffing requirements
levels be reviewed and maximum work hour limitations be
established to insure a safer working environment at sea
The best weapons against accidents at sea are fully manned
and alert crews aboard our vessels
I respectively request your assistance and support in
addressing this serious problem to protect the environment
end oceans of the world
Very truly yours
Captain William W Lowery
7001 N E 158th St
Bothell, WA 98011
PAGENO="0282"
278
Copy
March 13, 1990
SENATOR BROCK ADAMS
2988 Jackson Federal Building
915 Second Avenue
Seattle, WA. 98174-0000
Dear Senator Adams:
Having come from a family of mariners as well as having worked
almost forty years as a tugboat captain, it is only natural that
I have a great interest in anything pertaining to the maritime
industry, including the request for double hull tankers.
Although I basically agree with double hulls for safety reasons,
my total endorsement must be qualified with an `~if".
That qualification is IF other areas of safety are also
addressed. Of particular concern to me is the manning of
vessels. With the approval of the Coast Guard, manning has been
reduced to dangerous levels.
In my own area of maritime work, the Coast Guard has, as a
concession to management, reinterpreted the Garmatz Bill so that
the maximum number of hours a crewman may work is now the minimum
number of hours worked. All of my peers feel as I do, that due
to fatigue and undermanning an accident is now~ a great
probability. For the first time in all my years in the industry,
I now find myself wondering only when it will happen.
It is with great concern that I urge you to consider all areas of
safety. Double hulls alone will not provide any additional
safety.
Sincerely,
CAPTAIN RAYMOND A. HALSTEAD
18478 Viking Way N. W.
Poulsbo, WA. 98370-0000
PAGENO="0283"
279
COpy
March 12, 1990
The Honorable Robert Packwood
101 SW Main, Suite 240
Portlarri, Oregon 972o4
Dear Sir:
I have sailed the biggest part of my life. The last ten years as
a licensed Deck Officer on ocean-going tugs. Make no mistake, these
tugs are moving large amcunts of cargo. As such, infact, as large
tankers used during World war two. IXtring the last years of deregulation
sod giving the companies more self control, has reduced safety at
sea. The ccnpanies have reduced manning arsi the Coast Guard has given
them the green light.
We are noa standing six-hour on and six-hoar off watches with only
a Captain, Mate, aol two look-oats. The Coast Guard agrees with this
as long as we don't work over twelve-hours a day. They don't take
into acccunt, the bad weather ~en we are lucky to get three-hours
sleep cut of the six we are off. There is no allowance for the normal
duties of running the boats, such as, paper-work, maintenance, ~en
both Captain and Mate have to be up at the same tine for bar crossing,
heavy-traffic, etc, etc.
Daibled-bottcned vessels are a good plan to be sure hit we have to
be very conoerned abc*it naming the vessel as safe as possible. That
is why a~ three-way system was established in the first place. So
that the Master and Mates decisions were not impaired by fatigue.
Noa, to go backwards is italicroos at best. We need a three-section
watch system for all camercial vessels over 50-gross tons. Make
it a blanket-law so it will be the same for all ccmpanies bidding
jobs.
The Coast Guard was never meant to make or delete laws, they were
to enforce them, if, I tmderstard correctly.
We will still have accidents to be sure, even with all the safety
measures taken bit lets do all we can to make it better and safer
than it is rmw.
I deeply appreciate ycsir tine and consideraticn in this matter.
Very truly yours,
Ron E. Saylor
05612 Canary Road
Florence, OR. 97~39-OOOO
PAGENO="0284"
280
To the Commander, 13th Coast Guard District (mps Rulemaking Project)
UNITED STATES COAST GUARD
915 Second Avenue, Jackson Federal Building
Seattle, WA. 98174-1067
Commander:
My name is Birger R. Rasmussen, Asst. Branch Agent of the International
Organization of Masters, Mates & Pilots, Pacific Maritime Region.
The United States Coast Guard's concern with safety of tank vessels and chemical
carriers on U. S. waters is well founded; however, we find that an important segment
of the Merchant Marine Industry is being totally ignored, namely the towing
industry and all other commercial vessels classified as uninspected. Our concern is
manning, where a Master and a Mate are standing watches of six on and six off on
y~g~e1Lover_six-hundze~I.n3iJesJFor example, a cargo vessel of over three
[hundred feet in length, inspected, requires Deck Officers to stand watches of no
more than four hours on and eight hours off, and also requires that vessel to have
unlicensed sailors to cover all watches. This vessel is then sold to the fishing industry
and suddenly becomes uninspected. It now sails the same ocean with only a Master
with limited experience and a Mate also with limited experience, standing watches ol
six on and six off. They may have only one AB and one Ordinary Seaman. This
vessel, which before as inspected, was sailing the oceans very safely because of the
manning is now sailing the same oceans very unsafely because of the manning. No
amount of schooling, training, safety seminars, or automation can prepare a person
* to act and make important decisions when that person is overworked and fatigued.
When an ocean towing vessel is at sea with two barges behind, it is the largest and
deepest draft vessel in the world with a length of 3/4 mile long from the bow of the
tug to the stern of the tailbarge. (Some of the Oil barges carry more than 5 million
~~j~lons of oil.) .. .. . .~
No one on any commercial vessel, inspected or uninspected, should be permitted to
stand watches of more than eight hours per day (four on and eight oft). It is
ludicrous to think that Masters and Mates on uninspected vessels are `super human
beings" who can stand watches of twelve hours a day and in addition work overtime
and perform other duties necessary, averaging 16 hours day in and day out for
months on end, without getting fatigued. It is for this reason that Masters and
Mates on inspected vessels are required to stand watches of only four on and eight
off.
Also, the manning in the unlicensed department has been cut to the point where it
now is impossible to have a proper lookout as required by the Rules of the Road. In
Puget Sound it is very common to find a towing vessel towing a barge of oil, or some
other general cargo, with only two people manning the vessel. This cannot be
considered safe.
The Coast Guard has increased the burden and risk onto the shoulders of crews on
uninspected vessels to a very dangerous level. The Coast Guard has, by
accommodating the shipowners' wishes of not have manning rules for uninspected
vessels, increased the risk of accidents, injury and even death of seamen. Coast
Guard statistics show that in Alaskan waters between 1987 and 1989, one hundred ter
PAGENO="0285"
281
-_~~e?i~t~d one hundred fifty-one vessels sank or were wrecked so badly that
~Their salvage had value. (Seattle Post-Intelligencer, Thursday, June 7, 1990,
113.) For uninspected vessels, the Coast Guard reacts after an accident. This must
change! They must stand up and react to prevent accidents from happening.
Another grave concern with the present manning is entry levels. A good
professional Chief Male evolved from an experienced Second Mate who, while being
`broken in", was taught by the Chief Mate and the Master. Both Master and Chief
Mate spent time in the wheelhouse with the Second Mate while he was on watch and
the Second Mate spent time with the Master and the Chief Mate on their watches.
Now that the Second Mate's position has been eliminated on uninspected vessels,
where are the good Chief Mates going to come from? Now that Chief Mate's have
no time to spend with the Master, where will the next generation of good Masters
come from?
How many people are on watch in the wheelhouse on a Coast Guard or Navy vessel
of comparable size while underway? One? Absolutely not!
FThe three watch system must be put back on ALL commercial vessels. Companies
should not be permitted to cut manning in order to underbid each other. This has
/ turned into a dangerous game where the odds are in favor of lost lives and dama~ed
environment. Also, the Master of a towing vessel may be towing two barges behind
him with more that twenty thousand tons of cargo valued at millions of dollars, and
he is held responsible for those barges and their cargoes. Yet the Coast Guard does
Lnot recognize all that tonnage on his license. Why not?
It is our strong belief that the reductions in manning have had and will have a direct
negative effect on vessel operational safety. Ii is unfortunate that because of our
status as a Union Organization, this opinion is sometimes disregarded or ignored.
Let's listen to the wisdom of these deck officers. Their thoughts and experience can
save lives, economic loss, and the environment.
We are forwarding you copies of letters written by many Masters and Mates to our
Lawmakers and the Coast Guard expressing their concerns on the manning issues~ I
have been informed of many more letters that were written, which I do not have
copies to forward to you. Telephone calls are received almost daily from concerned
Masters and Mates. Many of these Masters and Mates are working on non-union.
vessels and have been unwilling to reveal their names for fear of losing their lobs.
They know that the work they do is a big gamble, but they hope the Union will speak
for them to the Government Agency who has set forth the present manning rules for
uninspected vessels.
We are Professionals. Please hear what we are saying to you.
06-22-1990
PAGENO="0286"
282
71991
~ ~
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-~ ~ ~ ~ ~ u~ct4dvy 4r iS c1ectv1~ rq~o1
c.OYtCCrMCI 4t~oLL+ ~6( 4IPI b1/t~ 5iii~ IOu boqt !"~~ ~
JI Ill, ~O CdJeY~ jo `i, ~i;cr ((a, is, aid daj ~ r e~pec
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o~ nO(~-) ~Ital 2 II; ,`io( /c~viOoJ ~-1 ~ *wisr co,,~'~i1 ~
i4e~ cca~c ,.~ a ,ti'iitq Ii *s'e~lcrre1 fa~i 7lie ~~Js 2: a~, i c Ci~n9 Eo
crre. s/(, t(~, C~q'~ ~io~ (J), `j~) (i) c~~( ~ L(S (øí ~7O2. euss( ~FI~
L/~ 157OS~ 7~,es~ laL.s~s. t4eve .~Jr,/(CI& c~,dt. a~c, 4'lsej~ Itc~s `Jeit.
C.OO hor~e~OJer a.n'l~ Lti,1e~ Lueye ?%) (~L T~ 4~e PIOL4J 3000 - ~O0O hp-3e~-
f'Obt4 ~P~I Lw t~, c(Yt ~3D ~Do fe.e1 (ow, c~rv~ ,si~ o~(Csi ~
~ 7tit~e !4(,4.1~ WCVC. ~1i}1u~i4 re7LLVeoLek ~ ri j~4Y5 f?ri~( au?
ci~ P1Ot~~) Liece~rusij ooI~Ci `tue. YteyeC(~e. ov~ bcwc1e~ ~
-4s i-L1i. i-&1~t eveu't ~IteSe niiitisi'iid )aw~ ar~ ~ ~is(cin~(ec( ~
br-tci.L o~- ~tte~e. coey'&t~ont yes~o~,1,i)ib 4~s ~~C.cet1 ci.,ic~ ~Le. s~vv~eict~
4C~ ~ ~ ~i)oM.4: ...1!.'jt~Y5. uiou~) ~IYItC.. 1O&4~ P,ea1 CoI~11~C*i1I~J AeC(e~ft.(~ ç~IIecl
~ ~ve(sj~~.+~ . v1~ctrct i(te~&..lswJ~ etYp'iw1 W~Wrv.tw% ~rL~b~C~ rUAVeW1euC~
~ek ~ ~ (jy~0~y$%, 5,v~e.e it~41 +~v%t~. (Dkjw~stt `f,.4i~ "wct ~Y~t tu~t~ ~
/ o~ je. ~ . or- ~ ?O,~(. veqx ~ C..~'o~uJ~e.\ ~o~L a~ ctoui~k
`~- ..k~e- `~~- ~ ~ ~ ~oq w'~s w01~L o~ ~tatII~, ~i~ttt
lass j~ui oi~ I~aY~t, cLt -,`t1~'~ )1ci'~'o'i, (A si,v~~e,y a.ui o~ç
\ ~ &L~t I~hc~- ~it~ ~p1et 2: ~ ~AA (y0~i1 ~yp~ ovt iL~e ij~,ek
* oL iLis ,..~1i4-(: - - unovi tit4' of Cfo~e ~:c ~ tOe~t ~,ti.' ~fOCi4 14(e ktCci i
~ 4 `- 1~' ~ vey~ ~100Q e~'a~e. cij I (cel
) 4&~~ ~ 1~. MOV~t ILt~~ COIVie.I0t(~&Fe ~41 f(~c~e. c~-Uc-t-~ I~yi. oc~jAYC1.
( ~%W.t. `r~i.&iu . i~-~fMlr% i~.S * otf cte(~d. 1o r1ci~'t yeos~(s ,~ ~
~ z ~ ,kq~ ?~ -!I~i~ ~ a~iwL c4~ss/rott qs 7oc~ cai.~
\ ~p~ise. ~r i,~s~iA ~1ie one. 4/nt- ~ie all /cCvpflC'( ~ 4/ic ~
\ v~iIIee ci~ieJ i-~a~ It~l f~eVCs1~toi ~ i~he ~ on/ulc1-oscg p/os-i
~ ia.,c -~1!uf a (A~C 4 c1s/ Lv Ji~rt','e vs li- Jo e~ ~4 `1~rs'I~ipt' J&i~s
~ ~ ~ (~1~ .c -)ttc (oa:~ A~&as~ - It-. 1-1(44411 o~ lie
So~~Iij *O~1-~sce..i~~. .5ezJ~k. hci~ c~(u~ ~ ~C\St `4J hotS 12CC5% vtVI(
rd u%ju4Ct4 ~%jC11 ~1L ~ 2 ins cCrLtflYl iIt1t- iI~ 4l~e Coo~~- S141k
4o `1aL~e cte `(Lou. cirjcu,~d 1~r~' J4lt~11~,se (I s-vt1 c-f I/c 4øto~~1
,stcLio-Iv~ w I~e. s-i ~as~ i~n~ ~i) vrw' (~ s-i coivfIqs~c.c i-u 1 L fcvicvn I
- ~i~ttoAtovi~ tlie ~(oI(o.s~srt cfa~.j . I rasi nof ~Iin~ ~t- ~ lilt-tv n.tj
b C) ~c~c'~i.Lec Ike. -c~A1AY 4~ - (~ Oh i~ -fit ~;( v&~ - 1I~i li ~ 01 V'i
PAGENO="0287"
283
~tek `(ir ~y~ti
~\Dt(~Y~ ~
* ~ :~f~11,;~~Lt.
Coekc (ap4zni 4 (ti~- P~1(~r,ie DSIoM.
O4(iL~y i*vi £ftowq~ * G~k1~1 o14ice
- Zb'~< ~ilI
- . -..
PAGENO="0288"
284
2405'IRth.VAY NW
* C©p~ r
lIABlE 12,1992
TEE JOWOR000I N*3.JOLUE 11110111
150$ LCHIGWORII icosi cmcr BUILDING
WASXIIIGTOI,D.C. 20515
RE; WILL ER 0542
DEAR CCBGRESSWONAJ USSOELD,
I AR WRITING 71 SUPPORT OF 1.R.3DG2JRTR0000ED BY NR.AJERCRCNBXE.
LB. 3912 WILL 214710 FEDERAL LOW WY ESTABLISHING B IRIDIZOTs 101 10111110 MID WATCHES OR TOWING VESSU$.
I JOVE WORKED II THE WEST COAST TOWING INDUSTRY 701 OVER 25 YEARS, AND £11 OJRREITILY £ CAPPAIB OF A URGE OCRAN-ODIEG
TUGHIAT CRYRATIIIG OUT OF SEATTLE, WASEINGYGII.
30417 YEARS AGO,TOWIIG 111)031)1 KRIIAGSIRNT DECIDED TROT REDUCER 1101131140 WAS TEE BEST RAY TO I10'ROV! 10100110 120111$.
THERE WAS LITTLE REGARD FOR TEE WELFARE 3111 SAFETY OF THE TUG CREWS NOB WEBB TERRE CORCUPIS ABOUT PEAT EFFECT
INCREASED TUG-BARGE £011010173 NIGHT JAYS CR THE EBIVIESIIXDO. TEE INDUSTRY HAS BAD ACCIDENTS IJIVOLVIJIG OIL BANGS
CPIEATIOZS II 11701 101150111 *01111100? TEE TUG WAS A FACTOR.
£5 A PERAIIIAL 1013,2 RAVE ADS? PERISHED A VOYAGE THAT RED? liE ABOARD TEE TUG 49 STRUCK? DAYS, IIGREIJIC A 110110W 07
Z113 A DAT. TEAT'S 51$ WATCHS?AJWIMG SOURS RITE 10 DL! 0173
I BELIEVE TEAT PASSAGE 01 1,1.3012 WOULD HELP IX ACCGIIPLISIIJG SEVERAL POSITIVE 0000Si
1JJIPROVR TEE WORKING MID SAFETY STANDARDS OF TIE BOAT CR715. LARGER CREWS TO SHARE TEE WORELDAD SHOULD RESULT IN
FEWER INJURY ACCIDERTI.
2.REDUCMB PATIGUZ,P3RTIORLULY FOR THE OFFICERS, SHOULD GREATLY REDUCE TIE CHANCE 0? ACCIDENTS INVOLVING TEE 500
LED 10)01. SEDUCING ACCIDENTS REDUCES ADVERSE UVIROHOIEICIAL IJIPACO.
3.1131100 TEIS BILl. WOULD JSOVIDZ FOR A `LEVEL P0011110 FIELD' 10$ EU TOWING 010STRY. 13 FlINGS STAND NOW, 10
01111311! 15 90110 50 01051 90 LED THE 1IE'MIISE 07 EXTRA 01114 50US$ ALl. ARE REQUIRED TO 10 50.
PASSAGE 011113 LAW WOULD RETURN TEE 110101110 LRVEI.S II TEE VEST COAST TOWING INDUSTRY TO TEE mDITICSAL LEVZI.j TRAY
SEMI ED VISOR KERN THEN *5 TEARS 200.
SWABS YOU PCI TOUR CCIISIDEWIOE CS 5113 WILL.
BINCERELY,
~
PAGENO="0289"
285
Inlandhoatrneu's Onion of the PacifIc ~
MAPINC OLVIIION..- INTUNATIOP4AL WNG3HORD4PN1 $WAP.ZHOU$EMTNP UNION
NATIOHALOflIcI * r,mPSPJIAVII4ULIOOMIII $fA17LLw~3HINQTON MIII * 1014411731 * 1044444731
Ifov~,.. 40 ~. ~ Vo-~.c.,..-..
* We the undersigned mrs in fever to have 5i1~ Pt.N. 3942 planninc and Witch
mequir.ments on Towing vessels' passed. We feel there has to be a priority
to protect th. safety of the vessel end the crew, as well as the safety of
the environment.
* The bill weu~d require a minimum of three crew members on witch (two
* en the bridge, one in the engin, room) at all times while the vessel is
underwaY'.
* ______ ~AD3- - -.
~ ~
~ ~ ~ 9~rn
* - ~ ~ ~219~)
J~Q-~- ~&~4- ~c»=~i~±~ ~rL1~2S
~shi ?Lf~1A~ ~133~j1si ~ 2~
~ VFL!~~~ ~
~ k* ~)~!=?
* ~_,p~I `~ ~
* 5P2r ~ ~i~4 ~
- ~ y, ~
* ~ ~
- ~
* a 4~Q~ -l~c~ 1~ga~
- -*** -~-~ V *V ~ --~ **~**
REGIONAL OFFICES
*KD 002.0231*1*541015 0*12 PSASCIlCO $1.WAII 1014140*44 CAUPOVIIA 01010*44 JU$&AU
iu~AVLM13Il 2447 N.W.PR04$? I$1MMYII*)1.200 2111HO$A44*2.VD.$1.214 721I.*0002IAVP ~~IFI0*?*1* $14110 gl4$OSPSIOSDAXAVI
4111.4.10*11411 P0*flAlI4.00013101*N P*AIIC*C4.OA 04224 H000LVI.4. $11140 1012.0114073011.0*01144 1IAT11.&WA $231 )u41*U.A5 $1402
224.4414121 101.0211* 411.4010114 lI0.141.4211 710.1414314 101.4211144 011.02012))
.* 241444140$ 2A01111.fl1.u10 PAZ 4114144140 PAP u44441~1 2*112011214)3 2*103*4*0131 2101.1111211
0*73734214*4
~i.u1111I
1*10117.2344114
PAGENO="0290"
286
~ Inlandboatmen's Onion of the Pacific ~
~" MARINE DIVISION- INTERNATIONAL LONGSHOREMEN S & WAREHOUSEMENS UNION
N#~IONALOPF~CE * 27OO~IMTAVENUR, ROOM2II * SE*1XLLWASHINGTON 9$i2~ * ~O6448$734 * MX 2G444~7)6
* We the undersigned are in favor to have Bill H.R. 3942 M~~ing and Watch
Requirements on Towing Vessels' passed. We feel there has to be a priority
to protect the safety of the vessel and the crew, as well as the safety of
the environment,
* `The bill would require a minimum of three crew members on watch (two
on the bridge, one in the engine room) at all times while the vessel is
underway'.
-~_AQD~ - _____________
4Q~*Tck'~tt~1/. 4~_9~s~j _____
fl.A. fl ` `~ (9~'~j
* ~ ~ ~`c'o~ ~ £1~ L~~-ç-~~i
* - ~2J~2~4 ~ P~a6~4'2«= h'TNA~ ~99~/
~ £4~i4~-. A~ZS* ~~J:i~/ (9~,7J
~ 1~ 1. ji~ A~s~ 4~jj~i -.,~/4k ?~`PO~/
~ F~o ~4 2~KitcAjk&~) 4k~Jca~ ~7~(
* c4i~~g~ ~r?25 `IA r~_
~z~t1f ~ cs~tc~L ~9~j
(ij~4~i 2,$jc<~v~gggo/ 2-i,s~9~7
* * Po 54X' 7171 - ~7 ~~A' - rTro/. *,~~!q
* ~ ~I_) ~ ~
* , ~ ** eoB ~ ~~fc flf~ -
~9 /7~,*~ ~ -
* *4'~D4ia/44 ~
~ `~Lr~ tJ33~ ,1~'I~o~ *~i~ Y~c~
~«=`~- ?-~
~ /~`O1 I3o>~ go ?~?
*~1~y ~ &`44 ~ -.~`,dL ,~.
REGIONAL OFFICES
FUORT10000 COLUMOOA aivoc SAN FRANCISCO 90+30437 *00f5U4 CAOIPORSIA 02010937 JUNOAU
* IOPIRSTAVI.0M.203 243$ N.W.PROOT SOIA*74Y*t,014206 OOIPILLINOHAMSLVD,74o206 fl$LA40014AV& 76009I0?0vL066036 *221000Th1000AUA'
sEATrLS.wANslol PORTLAND,00972095AN FOANCINCO.CA 94114 HONOLULU, NI 46617 WILMINOTON.CA 40744 SSATTLR,WA 96420 3040AU AX 99601
206.441.5071 502.0294000 415.620.0114 606.0674011 501.5496730 204+064166 9074194315
7.030206.446.9734 7A40707.73.1374 FAX 4114160126 FAX 066.047.6052 7.0* 213-141.3602 FAX 206.446.9720 p947.7104566
£2?CNIXAN
4674054346
FAX 405-225-0416
PAGENO="0291"
287
(~~J) Inlaudhoatinen's Onion of the Pacific ~
MARINt DIVI$ION-INTUNIITJO}4A1 LoNC$HOftD4ZN1 & WA*~11OU6EM&W5 UNION
N IOMALOP?ICI flOOVlUT VIIIULIOOM2II &A?ftLWA3HIMTON 511* N*44$47U VAX 54.44*41 $
We the undersioned ore in fever to hive Sill H R 39~2 Hinnina end Wotch
~.~uiP~em.nt5 on Towiote Veseel. passed We feel there has to be a priority
to protect the sef.ty of the vessel end the orew as well as the safety of
the environment.
The bill would reouire a minimum of three crew members on witch (two
on the bride. one in the erteine room) it all times whil, the vessel is
underws~
NMl~ ~
~L~? ~ r~I~
4~~frI~ ~#i~PA~
~ ~ J~/~
~27~ ~2' 1.$E4rnç ~
ALE~tED kW1L~5~~A' L~2~5~i ~`~4i/I S ~S~d77Z~W~4 ~?±~4'?
4~»=~4~ ~dz'W' ~L~° A) ~ f'~ !~jr ~J~~/'?
~ ~ ~ $~LI )P~ ~
I
REGIONAL OFFICES
rUdI?$OUNb COLIJM$IA *51151 1A1( P1AI$Cl1cO KAWAII io$s1141&$I cdJPOINIA 110505331 3*SN*AU
pm1TAVL11~501 1434 N~?RONT J$IMMY*t.314501 I$S1DIWI4$HAI401.VD.l1.$$4 IMLA00044AVI 154$ IUV$.*M53 mUllO1rn13O111A$1AV~
IATSLLWAI$ISI PO1flAN0LN3531ANP1M4O0C~CA 34114 1$ONOLULI& 1154011 WILMIMTOWC& 5110 UAtItS.WA 5*2% IUWIAU,AX10001
*54.0414115 141.4314500 414.0*04034 001.4434001 113.540400 144.4444404 103.101.4333
VAX 1*4441.1434 M5s3.*534144 ~X 410044*4 ?A1 011.511011 PiN 111.340.1411 PiN 100.441.1453 3401.101*104
117011141$
$14314040
PAN 10104154
PAGENO="0292"
288
~ Inlandboatmen's Union of the Pacific ~
MAR1N~ DIVIS1ON- LNTUNATIONAL L~NG$NOtU4LN1 & WAWIOO&EMZWC UNION
$A~IO~&4.LOP1tC1 * ),O~tiAVO4IJL&O0Mfl* * *A 3W.4.IHt4OTON ~eOI * * MX )M~4~ø2$ -
* We the undorsioned ar. in favor to hew. 5(11 H~A. 39i2 MsnrtLn~ end Wotch
Requirements or~ Towino Vessels passed We feel there has to be * priority
to prot.ot the safety of the vessel end the crew, as well as the safety of
the environment
* `Th. bill wou1~d require s minimum of three orew members on wetch (two
on the b dg., on. in the enaine room) at all times while the vessel is
undorw 1
-~ .~DDRESS
2~-~f?9~'
hQ~~ ~
r14L(~/ ~ ~9J~7
7~4~M~IQft~ ~ ~aL~4~p~ ~ ~4g1-ç~z v,
* * J/~A~4~ I/~ t~. 1z~1 VY~21ff
~&~r3
`~ ~ ~?2~ «=~i~9~ ~. ~ ~
* I~2~4~j j~4 ~q ~y~&rz
~Z~Vi~',
t~d~ YfrJs22~V~yi~2
~
*
* ~4~A k)L~ qg~z- 7.~3L~ S.t~iO~~Jc~
.~-~-------~-*------ ----~ ------ ---~---~ *--~---
REOIONAL OFFICES
*
PUGC?SOUXD COLUNIIA civic LAW PLAWCIWCO KAWAII IOUIH*&W CAUWOLIIIA 110165 fl JOWl/U
pvu1341a 34115W MONT I$IMMYIL.PJ4001 o.imwNUKAN$LV~M104 LMI.A0005AVL 2II4PIUTAV&NJd~4 113JN0&TI$J0NUA~~~
oonLwA4$1fl S0MLAi0D~OkPi40IAW PNAUICISCO.CA 54114 HONOLULU IL Mlii W1LMINUTO~CA 40444 IIA1IILWA 11031 JUNO/SAX 44441
~ ~4~$441J ?A*303.Ml1014 PAX 411134431$ 5440 $441414111 14W 1014041413 SAX 401441543$ PNI1114111
$l1.Ml4341
~AX 4Ui1334114
PAGENO="0293"
289
~ Inlandhoatmen's Union of the Pacific ~
MASINS DIV!SION..-INTUNATIONAL LONG8EOUMtNI & WARZHCUSEMRW$ UNiON
NA~lOWALOPPIC~ I 1$iTAVVlUL&OO~&Th * *IAfl~LWAiH1NOTON NIN I ~44$47N I MX m4441478
We the undersionad are in favor to have Sill Pt.~. 39~2 Mlvinina and Watch
*e41uiremerote on Towirio Vessels passed. We feel there has to be a priority
to protect th. safety of the vassal end the crew7 as well as th. safety of
the environment.
~rhe bill wou~d recuir. a minimum of three crew members or~ watch (two
oro the brido., one in the en~tn. room) at alt times while the vessel is
underway.
--
~ `~`~ ~
~,
.-~
~ ~ ~ ~
...
~F4
~.
~L~;
.
----.--~
* ---~-.-.*--
~-----~----
4-~-.-'----
..~_---------~-------~
--.--
REOIONAL OFFICES
:pUaITlOUNO COLUWIIAIIV** $4.21 PIA401ICO KAWAII 401121451$ CAUPOtMIA &*l1O$1i 217144*11
*Av&.&0i1'P 14U14W.P010N? 1$AP.MY$?*~41l IINDIU.I1IHAIILVDN1.III ~0PAV5 $I413t&vrAv&01470 $~1101112A11~
* 1.I~0t*1l$ 70&fl4.$tOI9l*$AWPkAP0CIPc0,0A $4121 HOO4OLULV NI 42117 WU.44104at041.C4N,41 1M11L&W4. M~$ 3U117M1, 4.14*410
* 414.441.3101 313211411$ 4154111311 414447.4*1* 111.141.370 144.4444341 411.143.211*
0*14211.4444721 F&*7s1.*21704 11*14 411414.OUI 114.14410.14141*1 MX 111104411 PAZ 444444014 11447.70.1144
&IT040IAA0
141.1444314
114.14 4$7704144
PAGENO="0294"
290
lulaudhoatinen's Union of the Pacific ~
MARiNE DIVIIIOH-INTUNATIO)JAL LONCSNOREJUWS & wAstHOtiR$MEW$ UNION
WMloMxOmC$ * J'mn*nAvlwuLlooldm * $1 VIAIIIING?014 Nix * ~44S~1U * MX 3e4-44$4I$$
We the undersigned are in favor to have Sill. H R 39~2 Msr,ning arid Wetoh
Requirements on towina Vessels passed We feel there has to be a priority
to proteot the safety of the vessel end the orew, as well as the safety of
the environment.
~h. bill. would require a minimum of three crew members on Uotoh (two
cr2 the bridge, one in the engine room) at all times while the vessel is
underway'.
~ - AbbR~5*~ PHONE * --
~t2z ~ i~4f~ ~ ?~"r
1A~Q SE ~L4O J~,1,? ~`ô4) ~
REOIOIJAL OFFICES
*UOIXIOUKO COLUNEA 5~VIX IAN PRsKCIICO IIAWAE *0IrNHNRNCALIPCLNLS &IØ$OW 21 IUHIAU
VL*ltii$ 2 U~W PNOIft *214 I? &M$I ~a musOHAiIMVDH m 1i$LA000NAVL $jIimLV$~M~ *WIIORTNJOIDAK
*AT?ULWANSUI PO*TLANDiOXP2NNAN 1*AHCNCOCA NIN HONOLULU. NI $511 WU.i$INIIOXCA $144 IIAfTL&wA44121 wi'&w.** $441
$54414111 r2I21..$5N W4244$I4 Iu.m?.511 1I1.1414731 1**NmN$5 $LE$53~
lAX 3424420134 M$$4440.UU lAX 40434441$ p~ eu4%Nu P** 2132121441 PAN 2044444134 P$MNUI0
447.014144
IAN 4434144214
PAGENO="0295"
291
* (~~j) Inlaodhoatmen's Unioll of the Pacific ~)
MASINE DIVEUON.-!NTEIPMTIONAL LONCSXOP.D4tWS & WA*ZHOU$VdN$ UNION
WAT1OHALOPPICI * VOO?IPJ7AYII4UILOOMIII * $ W~1HINdITO$( NItI a I$$.44$47~~ * PAX N4.441413$
* We the undorsiOhed are in favor to have bill H.p. 3942 flsnnins ar~ Watch
~e~uireMents cm Towing Vessels passed We feel there has to be a priority
to protect the safety of the vessel and the crew, as well as the safety of
the environment.
* `The bill wou~d reauire a minimum of three crew members on watch (two
on the bridge, one ira the enema room) st .11 times while the vessel is
underway'.
* ~. . -- ~~Sow~ a. -
~4~4~~nd4 ~ID flihI~li3~
~ ~
Pirsy (.cn,ToED.4Jr?,/~-z sri~i~.~ ~
--
A. c ~
tf1N~Ja ~ ~ic~çi
* ~ ~ ~ ~z~a li~s~4~6. 4I~'
4~,4.. ~ ~i43 -~`s~i
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~ Q~f~ ~ 2~/~
* i~V iI~-~C .. ..~ ~ 1ZA~t4Jil4~~1i$L~
~ ,~
* t,»=~~f'1~1 ~
- c ~
- ~
~ REOIONAL OFPICE3 *
PUOST$OU$D COL$fld$XA SIVIC IAN flA$$CI100 $IAWAt$ IO$J?I$flN CAUPOLNL~ UGI0$ 3$ JUNIAU
*PS3TAVI.$343N 2433MW. P~OIft 3$4A&MVI?.~N 2%IDILUNOHA33IL~P~334 PML*aQO$AVI asm~aurrntsuu IWNCSTh3UDAKA'
itinLWAN2kI 7O~fl.4N~O*fl2N$ANPNAMCNC0.CA 24224 NONOLULU 31 ema 31L241431024CA 24744 INAmtLWA 310$ 3011M1,AX 31124
244.14141$I $I331$~~$ 4214334434 $444114441 243.4414131 133.144134 01-1314321
PAM 3144*4134 ~3224343-14l1U PAM aI$121433$ PAZ 411411142 PAM 201*34*2 PAM 311.441414 p2414114324
241.144341
241-144444
PAGENO="0296"
292
HAWAII STATE AFL-CIO
320 Ward Avenue, SuIte 205 Honolulu, Hawaii 96814
Gaiy W. Rodilgues Telephone: (SOS) 5364945
Pres&denz Fox: (SOS) 5243921
Januaiy 15, 1992
The Honorable Daniel K. Akaka
Prince Xuhio Federal Bldg;, Rm. 3104
Honolulu, HI 96850
Dear Senator Akaka
Recent]) Representati~e Neil Abercrombie introduced H R 3942 relating to tow
boat safety The bill would require a minimum of three crew members (two on the
brid~e one in the engine room) at all times the craft iS in operation It would also
require a minimum of two shifts on trips of less than 200 miles and three shifts on trips
of more than 200 miles
The intent behind the legislation is clear to ensure the safe operation of tow
boats in our waters. Over the past several yóars, the staffing of tow boats has gone
down to the point of creating a safety problem that jeopardizes the crew, not to mention
the environment. By increasing the number of personnel on board, stress and fatigue
would be lessened, a factor that has led to many of the accidents that have occurred.
As you can imagine, if an oil spill were to occur in Hawaiian waters, it would
cause irreparable damage to the environment and to the health and welfare of the
general public By putting a priority on the safety and ~e1l being of the tow boat
employees we will also protecting the quality of life in our islands
Your support of similar legislation in the Senate would increase the aaareness of
this serious abuse of marine safety. Your consideration is deeply appreciated.
Sincerely yours,
G~Rodrigue~
President
RECEIVED JAN 1 6 1992
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iai/~i `un/cu ~ of The iiici7ic
TELEPHONE (415) 7773400 HEA000ARTERS. 450 HARRISON STREET
CABLEADORESS SAILORS S GIlL HI BRANCHES... PHONE 200 4280290 SAN FRANCISCO, CALIFORNIA 94105
WILMINGTON 90724 . 505 NO MARINE AVE * 213) 8054611
OUNNAR LUNDEBERO * PRESIDENTISECRETAAY-TREASURER
January 24, 1992
RE: H.R. 3942: TOW BOAT SAFETY & MANNING BILL
The Sailors' Union of the Pacific urges you to support
H.R.3942 on tow boat safety and manning introduced by Congressman
Neil AbercrOmbie.
This legislation will address and rectify a serious abuse of
marine safety that has a direct impact on the crews that man these
vessels as well as the public at large.
Inadequate manning and watch standing requirements on towing
vessels in United States inland and coastal waters jeopardizes the
workers and the environment.
I thank you in advance for your consideration and support of
H.R. 3942.
Very truly yours,
~~7o~1
GUNNAR LUNDEBERG
CL: tea President/Secretary-Treasurer
ope-3-afl-cio (146)
cc: Congressman Neil Abercrombie
Congresswoman Patsy P. Mink
Senator Daniel Inouye
Burrill Hatch, President, Inlandboatmen's Union of the Pacific
TO: CongreSswo/men Pelosi, Boxer, Anderson, Dellums, Stark,
Miller, Lantos and all members of the House. Merchant Marine
and Fisheries Committee
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L~ ~ INTERNATIONAL LONGSHOREMEN'S & WIARKHOUSEMFN'S UNION
LOCAL OFFICE 451 ATKINSON DRIVE HONOLULU HAWAII 96814 PHONE 949-4161
LOCAL 142
HAWAUDIVISION: 100W.,LkI,SI.PIW.SU*A,96720' ~
MAW COUNTY DIVISION: L~H MUUSD.U. WUd~k~. M.~96793 KAUAI DIVISION: P o O~. 1910, Lh~., K...96756
February 24, 1992
Representative Neil Abercrosbie
1440 Longworth House Office Building
Washington, D.C. 20515-1102
Re: H.R. 3942 (Manning and Watch Issues~
Dear Congresssan Abercrosbie:
This letter is in support of H.R. 3942 (Manning and Watch
Issues) which was introduced into legislation by CongressBan
Neil Abercrombie. If this statute is aaended, it will revise
the Merchant Marine Act of 1915 which is now a serious and
(~` hazardous situation throughout the towing industry.
I have sent letters to Senator Daniel Akaka Senator Daniel
Inouye and Representative Patsy Mink to ask for their support on
this issue.
Sincerely,
ILWU Local 142
Maui Division
S~rJ»=Jr~
Business Agent
~7F:jkn
AN INJURY TO ONE IS AN INJURY TO ALL
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BRANCHES
Seattle Washegloc
Sac PeAto CaI,(otoa
Marine Firemen s Union
APPILIATED wits THE SEAtARERS INTERNATIONAL UNION 00 N A
AOL dO
240 Seco d St eet
San FrAnCISCO, CalifornIa 94(05
(415) 3624592
Dispatcher (4 5) 3627593
s~a3
PORT SERVICED
New Orleans La
The Honorable Nancy Pelosi
U.S. House of Representatives
Washington, DC 20515
Dear Congresswoman Pelosi:
Re: ff.R. 3942 - Tow Boat Safety and Manning Bill
I am writing to encourage your support for H.R. 3942 on tow boat
safety and manning introduced by Congressman Neil Abercrombie.
Congressman Abercrombie stated it all when introducing this
legislation, and I quote:
Hawaii depends on interisland barges. Their crews and the
public are entitled to safety first on the high seas. Crew members
have to be able to see trouble before it happens, not just react
after the fact. Anything less poses an avoidable threat to human
life, property and the marine environment."
I thank you in advance for your consideration of H R 3942
Very truly yours
Henry Disley
President
January 17, 1992
"This is a safety bill pure, plain and simple. It ensures that
our interisland tow boats will be staffed at a level commensurate
with safety needs It a like having more than one person in the
cockpit of a plane Who wants to fly without a co-pilot'
HD:sds
cc: Congressman Neil Abercrombi
Congresswoman Patsy T. Mink
Senator Daniel Inouye
Burrill Hatch, IBU President
Ope-3-afl-jo (76)
0
55-369 0 - 92 (300)
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~II ~
9 780160 385421