46 CFR 4.05-1 states that the nearest Coast Guard Marine Safety Office, Marine Inspection Office, or Coast Guard Group Office should be notified whenever a vessel is involved in any marine casualty meeting the following requirements:

• Grounding (intended or unintended)
• Loss of main propulsion, primary steering, or any control system that reduces maneuverability
• An occurrence that materially and adversely affects the vessel’s seaworthiness such as fire, flooding, or damage to fire-extinguishing systems, lifesaving equipment, auxiliary power-generating equipment, or bilge pumping systems.
• Loss of life
• An injury that requires professional medical treatment (treatment beyond first aid)
• An occurrence causing property damage in excess of $25,000 dollars
  

Sorry, but unless you have a particular vested interest in a maritime accident, outside entities are not permitted to take part in Safety Board Investigations.  However, job openings do come open at periodic intervals and we are always interested in recruiting experienced maritime personnel – keep an eye out for posted job openings on USAJobs.com, the Federal Government’s hiring website.

Yes, but on a case by case basis with priority given to relevant marine organizations, associations or educational institutions.  Notify the NTSB Office of Marine Safety (OMS) Deputy Director in advance to request a speaker.

The Safety Board defers to law enforcement agencies (e.g., FBI) if the cause of the accident is determined to be criminal, e.g., an explosive device, a terrorist action. If evidence of a crime that led to the cause of the accident is uncovered, we would typically stop our investigative activities and turn our evidence over to the lead law enforcement agency. This is what we did, for example, with the 9/11 flights such as UA 93. However, because some of our accidents involve "criminalization" of the cause, that is, say a pollution mishap that would otherwise be an accident is considered by a federal, state, or local prosecutor to be a criminal act, our investigation would then run parallel to, but independent of, the prosecutorial actions and we would continue with our investigative activities as we would ordinarily.

An investigation generally requires the “launching” of three to five people- this may vary widely with the complexity of the accident.   All investigated accidents will have a person acting as the Investigator in Charge (IIC).  A typical “launch” team consists of:

• Investigator in Charge (May also cover one of the four areas below)
• Investigator, Engineering
• Investigator, Deck Operations
• Investigator, Human Factors
• Investigator, Survival Factors

Some marine accidents will utilize investigators from other NTSB modal offices to assist.  Additionally, personnel resources’ from NTSB’s Office of Research and Engineering may be brought on-scene if required.  Typically, experts from the areas of the Fire and Explosion Division or the Data Recorder Division would assist where the nature of the accident required these specialized disciplines.

By the nature of our doctrine and under the terms of the Independent Safety Board Act of 1974, the NTSB is usually the lead agency on major marine casualties. However, if there are significant safety issues which may be developed from a smaller marine casualty or incident which would not meet any of the criteria to launch a NTSB team, the agency may still elect to participate and assist the Coast Guard in the investigation.

In marine accident investigations, and the other transportation modes in which the NTSB conducts safety investigations, the parties who participate are limited to persons, government agencies, companies or associations whose employees, functions, activities or products were involved in the incident and who can provide suitable qualified technical personnel actively to assist in the investigation. It is important to note, no party to the investigation is allowed to be represented in any aspect of the NTSB investigation by any person who also represents claimant or insurer, and no party representative may occupy a legal position.

Party members, are our partners in the investigation, and they participate fully in the investigation and factual report drafting phases. Normally the actual drafting of the factual reports and the factual section of the future board report will be done by the \Safety Board staff and the draft factual reports will then be provided to the parties for their review and correction, a process we refer to as the technical review. This is a valuable process, which leads to correcting the factual information and, in some cases, the inclusion of additional, important factual information. 

Also, the parties are requested to submit conclusions and recommendations based on the factual reports. Such conclusions and recommendations will be reviewed by the Safety Board staff that is preparing the board report.  The staff may adopt such submissions or they may influence the thrust of the report development.

Yes, both agencies share a common goal of promoting safety in marine transportation and developing recommendations to prevent future marine accidents. The guidelines which govern the interaction between the two agencies is detailed in a Memorandum of Understanding, commonly referred to as an MOU, dated September 12, 2002 [PDF, 1.36MB]. 

Under the terms of the Independent Safety Board Act of 1974, the NTSB may conduct an investigation of any major marine casualty, or any casualty involving public and nonpublic vessels. However, if the casualty involves a Coast Guard and a nonpublic vessel with a least one fatality or $75,000 in property damage, then NTSB shall conduct the investigation as the lead agency. Additionally, if the Coast Guard and the NTSB agree, the NTSB shall act as the lead investigative agency in any casualty involving public and nonpublic vessels with a least one fatality or $75,000 in property damage, or any major marine casualty which involves significant safety issues related to Coast Guard functions. The Coast Guard’s mandated responsibility to investigate marine casualties or accidents, including those involving injury to maritime personnel, is much broader in scope and the agency’s investigative responsibility is not eliminated nor diminished in any manner, regardless of the NTSB’s role in a casualty investigation. More information can be found in 49 CFR, Part 850, Coast Guard – National Transportation Safety Board Marine Casualty Investigations.

Marine accident and incident investigations are conducted by the NTSB with the sole purpose of determining probable cause(s) and using those results to ascertain measures that would best tend to prevent similar accidents in the future. These fact finding proceedings are conducted using the party system without adversity and are not conducted for the purpose of determining the rights or liabilities of any person, company or corporation. Although a Coast Guard investigation shares the same purpose of determining probable cause(s) and using the investigative results as a basis to formulate preventative recommendations, their investigation will determine whether or not there is evidence of any misconduct, negligence or willful violation of law on behalf of an involved party which may warrant administrative, civil or criminal proceedings. More information can be found in 49 CFR, Part 831, Accident/Incident Investigation Procedures, and 46 CFR, Part 4, Marine Casualties and Investigations.

Normally every item of information that is given to an NTSB investigator is regarded as public information and may be placed in the public docket. However, there are a few exceptions including health records and autopsy records, and proprietary information, which will be accorded confidential treatment.

Yes. Moreover, even though we do not swear in witnesses during interviews (in contrast to Board conducted depositions), witnesses can be prosecuted for lying to federal investigators (the crime for which Martha Stewart was prosecuted) if it can be demonstrated that responses to our questions were false.

Marine investigators may not testify in the case of a civil trial. Rather, the Board makes investigators available to attorneys for depositions. Such depositions are arranged through the Board's General Counsel, in the investigator's office location. Attorneys get one chance at deposing investigators so it is incumbent on the attorneys, not the investigators, to ensure that they are present for a scheduled deposition. Deposition testimony is limited to factual material only and investigators are prohibited, in such instances, from offering opinions.

Investigators may testify in court during criminal proceedings. Again, all arrangements in such instances are made through the Board's General Counsel.

According to NTSB regulation 49 CFR 845.41, petitions for reconsideration or modification of the Board’s findings and determination of probable cause filed by a party to an investigation or hearing or other person having a direct interest in the accident investigation will be entertained only if based on the discovery of new evidence or on a showing that the Board’s findings are erroneous.

Safety Board investigations don’t really ever close.  If new information is brought to light, or if a petition for reconsideration is received meeting the above requirements, the investigation can be “reopened.”

No, only those investigations which yield, or have the potential to yield, significant lessons to be learned or recommendations to prevent a re-occurrence of casualty go before the Board. In the more significant casualties, the Board may order that a Public Hearing be held as part of the actual accident investigation, if such a forum is deemed necessary in the interest up public safety.

NTSB board meetings are public meetings under the Sunshine Act, and as such, are open to the public.  However, participation is limited to NTSB staff, and Board Members.

Members of the staff of the modal office, for example the staff of the Office of Marine Safety, prepares the factual reports (deck operations, engineering, survival factors, and human performance) pertaining to a vessel accident. These staff personnel normally would be the same personnel that were involved in the on-scene investigation. Frequently, scientific personnel such as metallurgists or engineers will assist in examining wreckage and damaged parts on scene and in the Safety Board’s laboratory, and they will prepare factual reports detailing their findings.  Modern oceangoing ships have voyage data recorders similar to the so-called black boxes on commercial aircraft. Readout of these complex recording devices will be accomplished by engineers who specialize in extracting and displaying the data pertaining to the accident that has been recorded by these devices.

The factual reports will be provided to the parties for their review and correction.

The next step is the drafting of analytical reports by the same personnel who drafted the factual reports.

In most modes there will be report writers who will combine the factual and analytical  reports to develop the draft Board report.

Once the draft Board report is prepared it will be circulated to the modal staff members for their review. The report writer then corrects the draft report. Normally there are two more levels of review and correction of the report before it is forwarded to the five members of the Safety Board for their review and adoption. 

This is a question that the Safety Board staff and its management are concerned with solving. Over the years Safety Board reports have increased in size and scope in order to address more issues. The problem with addressing more issues is that more investigation, research, writing, and review time is required. Our legal mandate is to investigate accidents, determine probable cause, and make recommendations to prevent the recurrence of similar accidents. This mandate can best be met by narrowing the focus of our investigations and reports to the significant issues, which could result in getting reports out earlier and publishing the safety message sooner.

No, the NTSB does not have law enforcement authority, nor does it have regulatory authority.  The Safety Board instead attempts to improve marine safety by determining the probable cause of accidents through investigations, and issuing recommendations aimed at preventing future occurrences.  NTSB investigators also participate in outreach activities to keep industry and the public informed about maritime safety concerns.

In accordance with the current Memorandum of Understanding between the NTSB and USCG (signed September, 2002), a major marine casualty is defined as a casualty involving a vessel, other than a public vessel, that results in:

• The loss of six or more lives;
• The loss of a mechanically propelled vessel of 100 or more gross tons;
• Property damage initially estimated at $500,000 or more; or
• Serious threat, as determined by the Commandant (USCG) and concurred in by the Chairman (NTSB) to life, property, or the environment by hazardous materials.

The Office of Marine Safety currently has eight marine accident investigators;

• Two master mariners who have commanded ships in the US Merchant Marine.
• One former chief officer on ships in the US Merchant Marine.
• Two marine engineers who have been chief engineers on ships in the US Merchant Marine.
• A retired naval officer who had experience on US Navy ships in engineering and deck assignments, and experience as a deck officer in ships in the US Merchant Marine.

Two former Coast Guard Officers (one retired) who have experience in marine accident investigations and inspection.

The NTSB Office of Marine Safety employs personnel with various marine backgrounds and experience.  Current and past investigators include merchant Captains, Chief Engineers and other licensed officers.  Veteran US Coast Guard inspectors, officers and personnel with experience in marine classification society work are also sought after.  Many of the investigators have degrees in marine transportation, naval architecture and marine engineering.  Individuals with specialized knowledge and skills within the marine industry may be a valuable resource to the OMS.