Section 210 - Incident Review Process(a) The President shall appoint an Incident Review Committee with the responsibility of investigating and reporting to the Board all reports of misconduct or navigational incidents involving a vessel piloted by a pilot or inland pilot licensed by the Board, or any other matter for which a pilot's or inland pilot's license may be revoked or suspended pursuant to these regulations, including a possible conflict of interest as set forth in Section 222, and reports of suspected pilot ladder or pilot hoist safety violations. The Incident Review Committee shall be composed of one public member of the Board and the Executive Director. This subsection does not apply to an incident involving a pilot or inland pilot aboard a vessel of less than 300 gross tons unless a pilot or inland pilot is required by law.(b) The Incident Review Committee shall investigate the incident, misconduct or other matter and prepare a written report as provided for in subsection (c). (1) The Incident Review Committee may use investigators, call witnesses and obtain additional information as it considers necessary to complete its investigation. In performing their duties, the members of the Incident Review Committee and the investigators shall act fairly and impartially and shall treat all matters developed or obtained as required by law.(2) The members of the Incident Review Committee and the investigators shall not discuss any investigation with the Board or any member of the Board who is not on the committee until the results of the investigation are reported to the full Board.(3) If the Incident Review Committee upon initial investigation finds there is clearly no pilot error, the Committee shall discontinue the investigation and report its findings to the Board.(c) The written report developed by the Incident Review Committee relating to the incident, misconduct or other matter shall include but need not be limited to: (1) The name of the vessel, time, date and location of the incident and identification of the pilot or inland pilot.(2) A description of the weather and sea conditions.(3) An illustration and description of the incident, misconduct or other matter under investigation.(4) An estimate of damages, if any.(5) The names of witnesses providing information relating to the incident, misconduct or other matter under investigation.(6) The nature and extent of any injuries.(7) A summary of the investigations of any prior incidents, misconduct or other matters involving the pilot or inland pilot, or, if investigating reports of suspected pilot ladder or pilot hoist safety violations, a summary of the investigations of any prior such violation reports involving the same vessel, vessel owner or operator.(8) Any relevant correspondence or records from the U.S. Coast Guard relating to the incident, misconduct or other matter under investigation.(9) A historical record of the actions taken in the investigation and any action taken in response to the investigation.(10) A summary of the factual background of the incident, misconduct or other matter under investigation.(11) The following information shall be included in the report but shall not be part of the public record: (A) The report from the pilot or inland pilot.(B) The confidential report of the investigator.(12) An assessment of whether fatigue contributed to the incident.(d) Following the conclusion of the investigation the Incident Review Committee shall report its findings and recommendations to the Board at the Board's next regular meeting. The written report shall be presented within 90 days of the date of the incident, misconduct or other matter being investigated, unless an extension is granted by the Board.(e) Upon presentation of the written report of the Incident Review Committee at the Board meeting, and after the Board's full consideration of the evidence, including any additional evidence presented by the pilot or inland pilot and the Incident Review Committee, the Board shall take one or more of the following actions: (1) Order an accusation for suspension or revocation of the pilot's or inland pilot's license be prepared, filed and served.(2) Either by Board decision or by entry into a written stipulation with the pilot or inland pilot terminating the matter on such terms and conditions as the Board considers acceptable, requiring compliance with any recommended remedial training or study, supervised practice trips or participation in the training of pilots and pilot trainees. Any such stipulation shall be approved in writing by the Board and by the pilot or inland pilot. A stipulation may provide that it may be referred to following a finding of fault in any subsequent accusation brought against the same pilot or inland pilot for the purpose of considering an appropriate sanction. A written stipulation may not, however, be used for any purpose more than five years after the date of its execution.(3) Provide counseling for the pilot or inland pilot relating to his or her duties and obligations.(4) Issue a warning letter of reprimand to the pilot or inland pilot.(5) Take any other action, as provided in the guidelines in this section.(6) Remand the matter to the Incident Review Committee for further investigation on such terms as the Board may direct.(7) Close the matter without further action.(f) Action shall be taken by the Board under subsection (e) of this regulation by a majority of those members present and voting.(g) Concerning any corrective action and whether to go outside the guidelines in this section, both the Incident Review Committee, in making its recommendation, and the Board, in making its determination, shall consider the following factors: (1) The severity of the misconduct.(2) The danger to the public.(3) The number and frequency of prior incidents involving pilot error.(4) The nature and extent of any injuries, property damage or harm to the environment resulting from the incident.(5) The length of time the pilot or inland pilot has been licensed.(6) Prior corrective action imposed upon the pilot or inland pilot.(7) The degree to which the proposed action is likely to prevent recurrence.(8) The effect of the proposed action upon the pilot's or inland pilot's livelihood.(9) Corrective action already taken by the pilot or inland pilot relative to the incident under consideration.(10) The degree of negligence of the pilot or inland pilot.(11) Any other mitigating or aggravating circumstances deemed pertinent by the Incident Review Committee or the Board.(h) In determining the appropriate action to be taken for certain specific types of misconduct, the following guidelines shall apply:(1) Under the influence of illegal drugs while on duty: Filing an accusation recommending revocation of license.(2) Under the influence of alcohol while on duty: First offense--filing an accusation recommending suspension of license (6-12 months) and mandatory participation in a rehabilitation program approved by the Substance Abuse and Mental Health Services Administration,
Second offense--filing an accusation recommending revocation of license.
(3) Refusal to provide specimens required for timely drug and alcohol testing upon being directed by the Port Agent pursuant to the requirements of Section 218: Filing an accusation recommending suspension of license (6-12 months).
(4) Failure to comply with federal, state or local navigation laws or regulations: From a minimum of reprimand to a maximum of filing an accusation recommending suspension of license (1-3 months).
(5) Negligently performing duties related to vessel navigation: From a minimum of reprimand to a maximum of filing an accusation recommending suspension of license (2-6 months).
(6) Neglect of vessel navigation duties: From a minimum of reprimand to a maximum of filing an accusation recommending suspension of license (3-6 months).
(7) Failure to file a written report on a maritime incident in a timely fashion: From a minimum of reprimand to a maximum of filing an accusation recommending suspension of license (2-4 months).
These guidelines are intended to guide the Incident Review Committee in developing its recommendations for corrective action and the Board in determining the appropriate action to be taken and to promote uniformity in assessing the severity of specific types of misconduct, although it is recognized that the circumstances of any individual case may warrant action that falls outside the ranges provided above.
(i) The record of the investigation and final disposition of the incident, misconduct or other matter shall be retained in the Board's records for 10 years, or as long as the pilot is licensed by the Board, whichever is longer, after the completion of the investigation and, except for the items listed in paragraph 11 of subsection (c), shall be a public record. Records of prior incidents more than 10 years old shall not be used in aggravation in determining corrective action unless the pilot or inland pilot raises such incident for mitigation.(j) The Board may order the reconsideration of all or part of a determination made pursuant to this section on its own motion or on petition of any party. The power to order a reconsideration shall expire 60 days after the Board's written decision is delivered or mailed to the pilot or inland pilot, or on the date set by the Board as the effective date of the determination if that date occurs prior to the expiration of the 60-day period or at the termination of a stay not to exceed 60 days which the Board may grant for the purpose of filing an application for reconsideration. If additional time is needed to evaluate a petition for reconsideration filed prior to the expiration of any of the applicable periods, the Board may grant a stay of that expiration for no more than 10 days, solely for the purpose of considering the petition. If no action is taken on a petition within the time allowed for ordering reconsideration, the petition shall be deemed denied.(k) No member of the Board shall sit on the Board as a trier of fact for those cases where he or she has served on the Incident Review Committee recommending action to the Board.(l) The Executive Director shall maintain a suspense file to ensure that all training, practice trips, or other corrective action required to be performed by a pilot or inland pilot, by stipulation or Board decision, are completed as required. The Executive Director shall report to the Board each month on the progress of any ongoing training, practice trips or other corrective action. The Executive Director shall notify the Board of any pilot that fails or refuses to complete the terms of a stipulated resolution or final decision after an accusation.Cal. Code Regs. Tit. 7, § 210
Note: Authority cited: Sections 1154 and 1180.6(e), Harbors and Navigation Code. Reference: Sections 1154, 1156.5, 1156.6, 1180.3, 1180.6, 1181, 1184 and 1196.5, Harbors and Navigation Code.
Note: Authority cited: Sections 1154 and 1180.6(e), Harbors and Navigation Code. Reference: Sections 1154, 1156.5, 1156.6, 1180.3, 1180.6, 1181 and 1184, Harbors and Navigation Code.
1. Repealer and new section filed 5-9-88; operative 6-8-88 (Register 88, No. 20). For prior history, see Register 83, No. 1.
2. Amendment of section and Note filed 8-12-93; operative 9-13-93 (Register 93, No. 33).
3. Amendment of section heading, section and Note filed 1-26-96; operative 2-25-96 (Register 96, No. 4).
4. Amendment of subsections (a) and (c)(7) and amendment of Note filed 8-10-99; operative 9-9-99 (Register 99, No. 33).
5. Amendment filed 6-3-2003; operative 7-3-2003 (Register 2003, No. 23).
6. Amendment of section heading and section filed 7-13-2011; operative 8-12-2011 (Register 2011, No. 28).
7. New subsection (c)(12) and amendment of NOTE filed 2-20-2024; operative 4/1/2024 (Register 2024, No. 8).