C.F.R. » Title 46 » CHAPTER I—COAST GUARD, DEPARTMENT OF HOMELAND SECURITY › SUBCHAPTER A—PROCEDURES APPLICABLE TO THE PUBLIC › PART 4—MARINE CASUALTIES AND INVESTIGATIONS › Subpart 4.07—Investigations

46 C.F.R. § 4.07-1

Commandant or District Commander to order investigation

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(a) The Commandant or District Commander upon receipt of information of a marine casualty or accident, will immediately cause such investigation as may be necessary in accordance with the regulations in this part.

(b) The investigations of marine casualties and accidents and the determinations made are for the purpose of taking appropriate measures for promoting safety of life and property at sea, and are not intended to fix civil or criminal responsibility.

(c) The investigation will determine as closely as possible:

(1) The cause of the accident;

(2) Whether there is evidence that any failure of material (either physical or design) was involved or contributed to the casualty, so that proper recommendations for the prevention of the recurrence of similar casualties may be made;

(3) Whether there is evidence that any act of misconduct, inattention to duty, negligence or willful violation of the law on the part of any person holding a Coast Guard credential contributed to the casualty, so that appropriate proceedings against the credential of such person may be recommended and taken under 46 U.S.C. 6301;

(4) Whether there is evidence that any Coast Guard personnel or any representative or employee of any other government agency or any other person caused or contributed to the cause of the casualty; or,

(5) Whether the accident shall be further investigated by a Marine Board of Investigation in accordance with regulations in subpart 4.09.

[CGD 74-119, 39 FR 33317, Sept. 17, 1974, as amended by CGD 97-057, 62 FR 51041, Sept. 30, 1997; USCG-2006-24371, 74 FR 11214, Mar. 16, 2009]
Notes of Decisions
Cited in 12 cases (2 in the last 5 years), 1988–2023 · leading case: In Re the Complaint of Nautilus Motor Tanker Co., 862 F. Supp. 1251 (D.N.J. 1994).
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In Re the Complaint of Nautilus Motor Tanker Co., 862 F. Supp. 1251 (D.N.J. 1994). · cites it 4× “Nautilus makes the following arguments: (1) the Coast Guard report is not trustworthy and therefore should not be admitted pursuant to Federal Rule of Evidence 803(8)(C); (2) a regulation providing that such reports of marine casualties “are not intended to fix civil or criminal…”
In Re the Complaint of Nautilus Motor Tanker Co., 85 F.3d 105 (3rd Cir. 1996). · cites it 28× “" Pursuant to these directives, the Secretary has promulgated 46 C.F.R. 4.07-1, the prefatory section to a Subpart relating to "Investigations.”
Merle W. Huber v. United States of Am., United States of Am., Counterclaimant/appellant v. Monterey Navigation Co., Inc., Counterclaim, 838 F.2d 398 (9th Cir. 1988). “See 46 C.F.R. § 4.07-1 (1986). The Coast Guard has also directed, consistent with its statutory mandate to promote marine safety, that reports of such investigations shall not be used as evidence to assign civil or criminal responsibility for accidents.”
Yap v. Controlled Parasailing of Honolulu, Inc., 873 P.2d 1321 (Haw. 1994). “2d at 402 (quoting 46 C.F.R. § 4.07-1 (b) (1986)) (emphasis in original).”
Guest v. Carnival Corp., 917 F. Supp. 2d 1242 (S.D. Fla. 2012). “Furthermore, 46 C.F.R. § 4.07-1 (b) explains that: “The investigations of marine casualties and accidents and the determinations made are for the purpose of taking appropriate measure for promoting safety of life and property at sea, and are not intended to fix civil or criminal…”
Petition of Cleveland Tankers, Inc., 821 F. Supp. 463 (E.D. Mich. 1992). · cites it 2× “The Ninth Circuit cited 46 C.F.R. 4.07-1 and held that the United States Coast Guard investigating officers’ conclusions and recommendations were inadmissible as evidence in the civil proceeding at issue.”
Fox v. United States, 934 F. Supp. 1133 (N.D. Cal. 1996). · cites it 2× “The United States relied upon a Coast Guard regulation, 46 C.F.R. §4.07-1 (b), which provides: The investigation of marine casualties and accidents and determinations made are for the purpose of taking appropriate measures for promoting safety of life and property at sea, and…”
Haggerty v. Moran Towing & Transp. Co., 1990 A.M.C. 2932 (N.Y. App. Div. 1990). “) Moreover, 46 CFR 4.07-1 (b) provides that Coast Guard investigative reports "are not intended to fix civil or criminal responsibility” (Huber v United States, 838 F2d 398, 402-403 [9th Cir 1988]; Complaint of American Export Lines, 73 FRD 454 [SD NY 1977]).”
Mary Holzhauer v. Golden Gate Bridge High. & T (9th Cir. 2018). · cites it 2× “” 46 C.F.R. § 4.07-1 . The district court initially denied Golden Gate Bridge’s motion in limine to exclude the Coast Guard’s summary because Golden Gate Bridge sought to prohibit the summary’s use but had given the report to its expert and the expert had relied on the summary.”
Incardone v. Royal Caribbean Cruises, Ltd. (S.D. Fla. 2020). “” 46 C.F.R. § 4.07-1 (b). Allowing Plaintiffs to admit the very statements underlying the foundation of the BMA Report circumvents the statute’s purpose and disincentivizes cooperation with such investigations.”
Cox Operating, L.L.C. v. Atina M/V (E.D. La. 2023). “10 46 C.F.R. § 4.07-1 (b); Nexen Petroleum U.”
In Re: Marquette Transp. Co Gulf Inland L L C (W.D. La. 2022). “” 46 C.F.R. § 4.07-1 (b). deliberations, or conclusions” of the Coast Guard.”
— 46 C.F.R. § 4.07-1(b) — 1 case
In Re the Complaint of Nautilus Motor Tanker Co., 85 F.3d 105 (3rd Cir. 1996). “" Pursuant to these directives, the Secretary has promulgated 46 C.F.R. 4.07-1, the prefatory section to a Subpart relating to "Investigations.”
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