Denys Korotkiy served as the Chief Engineer aboard the MV Donald, a foreign-flagged cargo ship. While the vessel was on the high seas, Korotkiy ordered the crew to dump oily bilge water directly into the ocean, bypassing required pollution-abatement equipment. To conceal this violation, the crew made misleading entries in the ship's Oil Record Book, omitting transfers that occurred and falsely recording volumes. When the MV Donald arrived at the Port of San Diego, the U.S. Coast Guard inspected the vessel and discovered the record was inaccurate and incomplete. Korotkiy was charged with knowingly failing to maintain an Oil Record Book in violation of federal regulations. He moved to dismiss the charge, arguing that the regulation only required the physical preservation of the book and that he, as a chief engineer, could not be charged for the shipmaster's duties. The district court denied the motion, and a jury convicted Korotkiy on the relevant count.
The panel, writing for the majority, focused on the plain language of 33 C.F.R. § 151.25, which requires the master or person in charge to be responsible for the 'maintenance' of the Oil Record Book. The court rejected Korotkiy's argument that 'maintain' means only to 'preserve' or 'keep' the physical book in good condition. Citing dictionary definitions and the context of recordkeeping, the court explained that maintaining a record implies keeping it accurate and useful, similar to how an accountant maintains a financial journal. The court noted that the regulation distinguishes between 'keeping' the book (physical possession) and 'maintaining' the record (substantive accuracy). The court also analyzed the statutory scheme under the Act to Prevent Pollution from Ships (APPS) and the MARPOL Convention. It concluded that interpreting 'maintain' to require accuracy is consistent with the legislative purpose of preventing oceanic pollution and allowing port states to detect and refer violations to flag states. The court further addressed Korotkiy's status as a chief engineer rather than a shipmaster. While the regulation places the primary duty on the master, the court held that chief engineers can be prosecuted for aiding and abetting the failure to maintain an accurate record. The court affirmed the conviction, joining the First, Second, Third, and Fifth Circuits in this interpretation.
The decision confirms that foreign-flagged vessels must ensure their Oil Record Books are accurate upon entering U.S. waters, regardless of where the underlying pollution or falsification occurred. Chief engineers and other crew members can now be held criminally liable for aiding and abetting recordkeeping violations. The ruling solidifies the Ninth Circuit's alignment with other federal circuits, removing the possibility of a circuit split on this issue. Korotkiy's conviction stands, and he remains subject to the penalties associated with the criminal charge.
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