That’s a Criminal Offense?
Survey of Maritime Criminal
Statutes
PRESENTED BY
B. Jason Barlow
Troutman Sanders LLP
150 West Main Street
Suite 1600
Norfolk, VA 23510
757.687.7515
jason.barlow@troutmansanders.com
That’s a Criminal Offense?
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Introduction
Enforcement Examples
Survey of Maritime Criminal Statutes
Conclusions
Introduction: Criminalization of
Maritime Activities
• Vessel operators criminally liable for both intentional
and unintentional activities
• Criminal maritime statutes aren’t new. Aggressive
enforcement is.
• Exxon Valdez – A catalyst for increased prosecutions
seeking substantial fines and imprisonment against:
• Ship-Operating Corporations
• Corporate Officers
• Ship’s Officers
That’s a Criminal Offense?
Enforcement Examples
• EXXON VALDEZ (1989)
• Master: $50,000 and sentenced to 1,000
hours of community service
• Exxon Corporation: $150 million fine
• ZIM MEXICO III (1996)
• Master: 11 months in prison
• NORDIC EMPRESS (1999)
• Royal Caribbean: $18 million fine
That’s a Criminal Offense?
Enforcement Examples
• M/V LIHUE (2000)
• Vessel operator: $3 million fine
• M/V KHANA (2002)
• Master: 6 months in prison
• Chief Engineer: 8 months in prison
• S/S NORWAY (2002)
• Norwegian Cruise Lines: $1.5 million fine
• No lesson learned: $500,000 fine in 2008
That’s a Criminal Offense?
Enforcement Examples
• S/S JUNEAU (2004)
• Sabine Transportation: $2 million fine
• CEO: 33 months in prison
• M/V Rotterdam (1998-2004) –
• VP of Compliance – Holland America Line: 450
hours of community service; $10,000 fine; 3
years probation
• Director of Techinal Operations and 2nd
Engineers: $10,000 fine; 2 years probation
That’s a Criminal Offense?
Enforcement Examples
• Not just the big guys:
• M/G Transport Services (1997)
º Vice President: 180 days house arrest;
$23,500 fine; 3 years probation
º Captains: 4 months house arrest; $2,000$4,000 fine; 30 month probation
• McKinney Towing(2001)
º Vice President: 6 months house arrest;
$2,000 fine
“How are they going to catch
us?”
• Coast Guard Boarding/Inspections
• Crewmember Whistle-Blowing
• Casualties
“As a corporate officer, I can’t be
convicted for a crewmember’s
actions!”
• WRONG
• Statutes provide for corporate officer liability
• Jurisprudential theories possibly impose
liability
º Inferred knowledge
º Willful blindness
º Responsible corporate officer
“As a ship’s officer, I can’t be held
responsible for a crewmembers
actions!”
• WRONG
• Trend to hold masters and chief engineers
criminally responsible
That’s a Criminal Offense?
Four Key Categories
• Many federal criminal statutes that
relate to maritime activities
• Four Major Categories:
• Seamanship
• Investigation/Honesty
• Miscellaneous Crimes - Maritime
Jurisdiction
• Environmental/Pollution
Seamanship
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General Safety Regulations
Unseaworthy Vessels
Incompetent Operators
Negligent/Grossly Negligent Operation
Seaman’s Manslaughter Statute
Navigation Duties
Honesty/Investigation
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False Distress Signals
False Statements Act
False Claims Act
Foreign Corrupt Practices Act
Miscellaneous Crimes Maritime Jurisdiction
18 U.S.C. § 11
Assaulting, resulting or impeding a federal officer engaged in or on account of the
performance of official duties.
18 U.S.C. § 81
Arson in a maritime jurisdiction.
18 U.S.C. § 113
Assault in a maritime jurisdiction.
18 U.S.C. § 114
Maiming in a maritime jurisdiction.
18 U.S.C. § 371
Conspiracy to commit an offense or to defraud the United States.
18 U.S.C. § 545
Smuggling goods into the United States.
18 U.S.C. § 660
Theft or possession of stolen property from a carrier.
18 U.S.C. § 661
Theft of personal property of another.
18 U.S.C. § 662
Receiving stolen property of another.
18 U.S.C. § 1001
Falsifying statement or entries required by a federal agency or department.
18 U.S.C. § 1025
Fraud on the high seas or on a U.S. vessel.
18 U.S.C. § 1111
Murder.
18 U.S.C. § 1112
Manslaughter.
18 U.S.C. § 1113
Attempted murder or manslaughter.
18 U.S.C. § 1115
Misconduct or negligence of ship officers resulting in death.
Miscellaneous Crimes Maritime Jurisdiction
18 U.S.C. § 1341
Mail fraud.
18 U.S.C. § 1343
Wire fraud.
18 U.S.C. § 1503
Influencing the due administration of justice.
18 U.S.C. § 1505
Obstruction of agency proceedings.
18 U.S.C. § 1510
Bribery to obstruct a criminal investigation.
18 U.S.C. § 1511
Obstruction of state or local law enforcement.
18 U.S.C. § 1512
Witness tampering.
18 U.S.C. § 1513
Retaliation against a witness, victim or informant.
18 U.S.C. § 1621
Perjury.
18 U.S.C. § 1622
Suborning perjury.
18 U.S.C. § 2191
Cruelty by master or other officer to member of crew of United States vessel.
19 U.S.C. § 70
Master of vessel obstructing a customs officer board to enforce revenue or
navigation laws.
19 U.S.C. § 1581(d)
Failure to stop on command of an officer of customs.
33 U.S.C. § 411
Wrongful deposit of refuse, injury to harbor improvements or obstruction of
navigable waters.
46 U.S.C. § 60601
Violation of regulations regarding Customs boarding.
Miscellaneous Crimes Maritime Jurisdiction
46 U.S.C. § 12133(c)
Production of Vessel License or Enrollment.
46 U.S.C. § App. 324
Obstructing officer enforcing licensing or documentation laws.
46 U.S.C. §56101(e)
Unauthorized Charter or Transfer of Ownership of U.S. Documented Vessel to Alien.
46 U.S.C. § 2303
Master of a vessel involved in a marine casualty must render assistance to affected individuals and identify
himself and his vessel.
46 U.S.C. § 2304
Master of a vessel must render assistance to any individual found at sea “in danger of being lost” so far as can
do so “without serious danger to the master’s vessel or individuals on board.”
46 U.S.C. § 3318(c)
Felony for unlawful altering lifesaving devices.
46 U.S.C. § 3318(d)
Derange or hinder operation of boiler safety devices.
46 U.S.C. § 3318(f)
Fraudulent marking of safety devices.
46 U.S.C. § 3718
Willful and knowing violation of dangerous cargo statutes and regulations.
46 U.S.C. § 4311
Willfully operating vessel in violation of Recreational Vessels Safety Act.
46 U.S.C. § 4507(d)
Owner, charterer, master, etc. of a vessel operated in violation of the Uninspected Commercial Fishery
Industry Vessels Act
46 U.S.C. § 5116(d)
Person allowing departure of a vessel in violation of a load line detention order.
46 U.S.C. § 5116(e)
Causes or allows unlawful modification or removal of a load line mark.
46 U.S.C. § 8503(e)
Coerce a witness, induce or give false testimony in connection with investigation of a marine casualty.
46 U.S.C. § 12309(a)
Violation of the chapter regarding numbering of undocumented vessels.
46 U.S.C. § 12507(a)
Providing false information regarding identification of vessels and ownership in connection with the federal
vessel identification system.
Environmental/Pollution
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Federal Water Pollution Control Act (“Clean Water Act”)
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Oil Pollution Act of 1990 (“OPA 90”)
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Comprehensive Environmental Response, Compensation and
Liability Act (“CERCLA”)
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Act to Prevent Pollution from Ships
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Refuse Act
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Marine Protection, Research and Sanctuaries Act (“Ocean
Dumping Act”)
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Ports and Waterways Safety Act
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Migratory Birds Treaties Act
Conclusions
• MANY maritime criminal statutes
• High fines
• Substantial prison sentences
• Liability for crewmembers, companies and
corporate officers
• Odds of getting caught are high
• The statutes aren’t new, but aggressive
enforcement is
• Enforcement moving up the corporate
chain