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Title 33 – Navigation and Navigable Waters–Volume 1

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Title 33 – Navigation and Navigable Waters–Volume 1


Part


chapter i – Coast Guard, Department of Homeland Security

1


Abbreviations Used in This Chapter:

BMC = Chief Boatswains Mate. CGFR = Coast Guard Federal Register document number. CG = Coast Guard. EM = Electrician’s Mate. LS = Lightship. NC = Flag hoist meaning, “I am in distress and require immediate assistance.” NCG = Call letters for any Coast Guard Shore Radio Station. OAN = Aids to Navigation Division. PTP = Training and Procurement. U.S.C.G. = United States Coast Guard.

CHAPTER I – COAST GUARD, DEPARTMENT OF HOMELAND SECURITY

SUBCHAPTER A – GENERAL

PART 1 – GENERAL PROVISIONS


Editorial Note:Nomenclature changes to part 1 appear by USCG-2010-0351, 75 FR 36277, June 25, 2010.

Subpart 1.01 – Delegation of Authority


Authority:14 U.S.C. 502, 503, 505; 33 U.S.C. 401, 491, 525, 1321, 2716, and 2716a; 42 U.S.C. 9615; 49 U.S.C. 322; Department of Homeland Security Delegation No. 0170.1; section 1.01-70 also issued under the authority of E.O. 12580, 3 CFR, 1987 Comp., p. 193; and sections 1.01-80 and 1.01-85 also issued under the authority of E.O. 12777, 3 CFR, 1991 Comp., p. 351.

§ 1.01-1 District Commander.

Final authority for the performance within the confines of his district of the functions of the Coast Guard, which in general terms are maritime law enforcement, saving and protecting life and property, safeguarding navigation on the high seas and navigable waters of the United States, and readiness for military operations, is delegated to the District Commander by the Commandant. In turn delegations of final authority run from the District Commander to commanding officers of units under the District Commander for the performance of the functions of law enforcement, patrol of marine regattas and parades, and the saving of life and property which come within the scope of their activities.


[CGFR 48-72, 13 FR 9330, Dec. 31, 1948]


§ 1.01-20 Officer in Charge, Marine Inspection.

(a) Officers in Charge, Marine Inspection (OCMI), have been designated and delegated to perform, within each OCMI’s jurisdiction, the following functions: Inspection of vessels in order to determine that they comply with the applicable laws, rules, and regulations relating to safe construction, equipment, manning, and operation and that they are in a seaworthy condition for the services in which they are operated; shipyard and factory inspections; the investigation of marine casualties and accidents; the licensing, certificating, shipment and discharge of seamen; the investigating and initiating of action in cases of misconduct, negligence, or incompetence of merchant marine officers or seamen; and the enforcement of vessel inspection, navigation, and seamen’s laws in general. Specific procedures for appealing the decisions of the Officer in Charge, Marine Inspection, or of his subordinates are set forth in 46 CFR parts 1 to 4.


(b) The Commanding Officer of the National Maritime Center has been designated and delegated the same authority as an OCMI for the purpose of carrying out the following marine safety functions pursuant to the provisions of 46 CFR Subchapter B:


(1) Licensing, credentialing, certificating, shipment and discharge of seamen;


(2) Referring to the processing Regional Examination Center (REC), the Suspension and Revocation National Center of Expertise, or cognizant OCMI potential violations of law, negligence, misconduct, unskillfulness, incompetence or misbehavior of persons holding merchant mariner’s documents, licenses, certificates or credentials issued by the Coast Guard, and recommending suspension or revocation under 46 U.S.C. Chapter 77 when deemed appropriate; and


(3) Granting, withholding, suspending, or withdrawing course approvals.


[CGFR 48-72, 13 FR 9330, Dec. 31, 1948, as amended by USCG-1998-3799, 63 FR 35525, June 30, 1998; USCG-2006-25535, 72 FR 7929, Feb. 22, 2007; USCG-2009-0314, 74 FR 30937, June 29, 2009]


§ 1.01-30 Captains of the Port.

Captains of the Port and their representatives enforce within their respective areas port safety and security and marine environmental protection regulations, including, without limitation, regulations for the protection and security of vessels, harbors, and waterfront facilities; anchorages; security zones; safety zones; regulated navigation areas; deepwater ports; water pollution; and ports and waterways safety.


[CGD-225, 59 FR 66484, Dec. 27, 1994]


§ 1.01-40 Delegation to the Vice Commandant.

The Commandant delegates to the Vice Commandant authority to take final agency action under 46 CFR part 5, Subparts I, J and K on each petition to reopen a hearing and on each appeal from a decision of an Administrative Law Judge, except on petition or appeal in a case in which an order of revocation has been issued. This delegation does not prevent the Vice Commandant from acting as Commandant, as prescribed in 14 U.S.C. 304, for all purposes of 46 CFR part 5.


[CGD 85-071, 51 FR 22805, June 23, 1986, as amended by CGD 97-023, 62 FR 33361, June 19, 1997; USCG-2020-0304, 85 FR 58275, Sept. 18, 2020]


§ 1.01-50 Delegation to District Commander, Seventeenth Coast Guard District.

The Commandant redelegates to the District Commander, Seventeenth Coast Guard District, the authority in 46 U.S.C. 3302(i)(1) to issue permits to certain vessels transporting cargo, including bulk fuel, from one place in Alaska to another place in Alaska.


[USCG-1998-3799, 63 FR 35525, June 30, 1998]


§ 1.01-60 Delegations for issuance of bridge permits.

(a) The Commandant delegates to the Deputy Commandant for Operations (CG-DCO), the authority to issue the following permits for the construction, reconstruction, or alteration of bridges across navigable waters of the United States:


(1) Those that require an environmental assessment or environmental impact statement under the National Environmental Policy Act of 1969, as amended, (42 U.S.C. 4321 et seq.) and all implementing regulations, orders, and instructions.


(2) Those that require a Presidential permit and approval under the International Bridge Act of 1972 (33 U.S.C. 535).


(3) Those that require the amendment of an existing permit issued by the U.S. Army Corps of Engineers.


(4) Those that raise substantial unresolved controversy involving the public, or are objected to by Federal, State, or local government agencies.


(5) Those authorized by the Commandant upon the appeal of a district commander’s decision denying a permit.


(b) The Commandant delegates to each Coast Guard District Commander, with the reservation that this authority shall not be further redelegated, the authority to issue all permits for the construction, reconstruction, or alteration of bridges across navigable waters of the United States other than those specified in paragraph (a) of this section.


[CGD 80-099, 46 FR 38353, July 27, 1981; 46 FR 42268, Aug. 20, 1981, as amended by CGD 88-052, 53 FR 25119, July 1, 1988; CGD 96-026, 61 FR 33662, June 28, 1996; CGD 97-023, 62 FR 33361, June 19, 1997; USCG-2010-0351, 75 FR 49410, Aug. 13, 2010; USCG-2011-0257, 76 FR 31833, June 2, 2011]


§ 1.01-70 CERCLA delegations.

(a) For the purpose of this section, the definitions in section 101 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (Pub. L. 96-510), as amended by the Superfund Amendments and Reauthorization Act of 1986 (Pub. L. 99-499), apply. The Act, as amended, is referred to in this section as CERCLA.


(b) The Assistant Commandant for Marine Safety, Security and Environmental Protection (CG-5) is delegated authority to take remedial action involving vessels under section 104 of CERCLA.


(c) Each Maintenance and Logistics Commander is delegated contract authority, consistent with each memorandum of understanding between the Coast Guard and the Environmental Protection Agency regarding CERCLA funding mechanisms, for the purpose of carrying out response actions pursuant to CERCLA sections 104(a), 104(b), 104(f), 104(g), 105(f), and 122.


(d) Each district commander is delegated authority as follows:


(1) Authority, pursuant to CERCLA section 106(a), to determine an imminent and substantial endangerment to the public health or welfare or the environment because of an actual or threatened release of a hazardous substance from a facility, and to secure such relief as may be necessary to abate such danger or threat through the United States attorney of the district in which the threat occurs.


(2) Authority, pursuant to section 109 of CERCLA, to assess penalties relating to violations of sections 103 (a) and (b) pertaining to notification requirements, section 108 pertaining to financial responsibility for release of hazardous substances from vessels, and section 122 pertaining to administrative orders and consent decrees.


(3) Authority, pursuant to section 108 of CERCLA, to deny entry to any port or place in the United States or to the navigable waters of the United States and detain at any port or place in the United States any vessel subject to section 108(a) of CERCLA that, upon request, does not provide evidence of financial responsibility.


(e) Subject to the provisions of Executive Order 12580, and paragraph (g) of this section, each Coast Guard official, predesignated as an On-Scene Coordinator, is delegated authority as follows:


(1) Authority, pursuant to CERCLA sections 104(a), 104(b), 104(c) and consistent with the National Contingency Plan, to remove or arrange for the removal of releases and threatened releases of hazardous substances, and of pollutants or contaminants which may present an imminent and substantial danger to the public health or welfare.


(2) Authority, pursuant to CERCLA section 104(i)(11), to take such steps as may be necessary to reduce exposure that presents a significant risk to human health, and to eliminate or substantially mitigate that significant risk to human health.


(3) Authority, pursuant to CERCLA section 106(a), to issue orders to protect the public health and welfare and the environment whenever that official determines that a release or threatened release of a hazardous substance from a facility may present an imminent and substantial endangerment to the public health or welfare or the environment.


(4) Authority, pursuant to CERCLA section 104(e), except section 104(e)(7)(C), to enter establishments or other places where hazardous substances are or have been generated, stored, treated, disposed of, or transported from to inspect and obtain records, reports, samples and information in support of the response functions delegated in paragraphs (d), (e)(1), (e)(2), and (e)(3) of this section.


(5) Authority, pursuant to CERCLA section 122, to enter into an agreement with any person (including the owner or operator of the vessel or facility from which a release or substantial threat of release emanates, or any other potential responsible person), to perform any response action, provided that such action will be done properly by such person.


(f) Except for the authority granted in paragraphs (d)(1) and (e)(1) of this section, each Coast Guard official to whom authority is granted in this section may redelegate and authorize successive redelegations of that authority. The authority granted in paragraph (e)(3) of this section may only be redelegated to commissioned officers.


(g) The response authority described in paragraph (e)(1) of this section does not include authority to –


(1) Summarily remove or destroy a vessel; or


(2) Take any other action that constitutes intervention under CERCLA, the Intervention on the High Seas Act (33 U.S.C. 1471 et. seq.), or other applicable laws. “Intervention” means any detrimental action taken against the interest of a vessel or its cargo without the consent of the vessel’s owner or operator.


[CGD 88-051, 53 FR 30259, Aug. 11, 1988, as amended by CGD 91-225, 59 FR 66484, Dec. 27, 1994; CGD 96-026, 61 FR 33662, June 28, 1996; CGD 97-023, 62 FR 33361, June 19, 1997; USCG-2002-12471, 67 FR 41331, June 18, 2002; USCG-2003-14505, 68 FR 9534, Feb. 28, 2003]


§ 1.01-80 FWPCA and OPA 90 delegations.

(a) This section delegates authority to implement provisions of section 311 of the Federal Water Pollution Control Act (FWPCA), as amended [33 U.S.C. 1321] and provisions of the Oil Pollution Act of 1990 (OPA 90). The definitions in subsection (a) of section 311 of the FWPCA and section 1001 of OPA 90 [33 U.S.C. 2701] apply.


(b) The Assistant Commandant for Marine Safety, Security and Environmental Protection, is delegated authority to require the owner or operator of a facility to establish and maintain such records, make such reports, install, use, and maintain such monitoring equipment and methods, and provide such other information as may be required to carry out the objectives of section 311 of the FWPCA [33 U.S.C. 1321].


(c) Each District and Area Commander is delegated authority within the Commander’s assigned district or area to –


(1) Deny entry to any place in the United States or to the navigable waters of the United States, and to detain at any place in the United States, any vessel subject to section 1016 of OPA 90 [33 U.S.C. 2716] that, upon request, does not provide evidence of financial responsibility;


(2) Seize and, through the Chief Counsel, seek forfeiture to the United States of any vessel subject to the requirements of section 1016 of OPA 90 [33 U.S.C. 2716] that is found in the navigable waters of the United States without the necessary evidence of financial responsibility;


(3) Assess any class I civil penalty under subsection (b) of section 311 of the FWPCA [33 U.S.C. 1321], in accordance with the procedures in subpart 1.07 of this chapter;


(4) Assess any civil penalty under section 4303 of OPA 90 [33 U.S.C. 2716a] in accordance with the procedures in subpart 1.07 of this chapter;


(5) Board and inspect any vessel upon the navigable waters of the United States or the waters of the contiguous zone, except for public vessels; with or without warrant, arrest any person who, in the Commander’s presence or view, violates a provision of section 311 of the FWPCA [33 U.S.C. 1321] or any regulation issued thereunder; and execute any warrant or other process issued by an officer or court of competent jurisdiction, as prescribed in section 311(m)(1) of the FWPCA [33 U.S.C. 1321(m)(1)];


(6) Enter and inspect any facility in the coastal zone at reasonable times; have access to and copy any records; take samples; inspect monitoring equipment required by section 311(m)(2)(A) of the FWPCA [33 U.S.C. 1321(m)(2)(A)]; with or without warrant, arrest any person who, in the Commander’s presence or view, violates a provision of section 311 of the FWPCA [33 U.S.C. 1321] or any regulation issued thereunder; and execute any warrant or other process issued by an officer or court of competent jurisdiction, as prescribed in section 311(m)(2) of the FWPCA [33 U.S.C. 1321(m)(2)(A)]; and


(7) Determine for purposes of section 311(b)(12) of the FWPCA [33 U.S.C. 1321(b)(12)] –


(i) Whether reasonable cause exists to believe that an owner, operator, or person in charge may be subject to a civil penalty under section 311(b) of the FWPCA [33 U.S.C. 1321(b)]; and


(ii) Whether a filed bond or other surety is satisfactory.


(d) Each Coast Guard official predesignated as the On-Scene Coordinator by the applicable Regional Contingency Plan is delegated authority pursuant to section 311(c) of the FWPCA [33 U.S.C. 1321(c)], subject to paragraph (e) of this section, in accordance with the National Contingency Plan and any appropriate Area Contingency Plan, to ensure the effective and immediate removal of a discharge and mitigation or prevention of a substantial threat of a discharge of oil or a hazardous substance by –


(1) Removing or arranging for the removal of a discharge and mitigating or preventing an imminent and substantial threat of a discharge at any time;


(2) Directing or monitoring all Federal, State, and private actions to remove a discharge, including issuance of orders;


(3) Determining, pursuant to section 311(c) of the FWPCA [33 U.S.C. 1321(c)], whether a discharge or a substantial threat of a discharge of oil or a hazardous substance from a vessel, offshore facility, or onshore facility is of such a size or character as to be a substantial threat to the public health or welfare of the United States (including, but not limited to fish, shellfish, wildlife, other natural resources, and the public and private beaches and shorelines of the United States); and, if it is, directing all Federal, State, and private actions to remove the discharge or to mitigate or prevent the threatened discharge;


(4) Determining, pursuant to section 311(e) of the FWPCA [33 U.S.C. 1321(e)], that there may be an imminent and substantial threat to the public health and welfare of the United States, and, if there is, may –


(i) Determine an imminent and substantial threat as a basis for recommending referral for judicial relief; or


(ii) Act pursuant to section 311(e)(1)(B) of the FWPCA [33 U.S.C. 1321(e)(1)(B)], including the issuance of orders; and


(5) Acting to mitigate the damage to the public health or welfare caused by a discharge of oil or a hazardous substance.


(e) The authority described in paragraph (d) of this section does not include the authority to –


(1) Remove or destroy a vessel; or


(2) Take any other action that constitutes intervention under the Intervention on the High Seas Act [33 U.S.C. 1471, et seq.] or other applicable laws. For purposes of this section, “intervention” means any detrimental action taken against the interest of a vessel or its cargo without the consent of the vessel’s owner or operator.


[CGD 91-225, 59 FR 66484, Dec. 27, 1994, as amended by CGD 96-026, 61 FR 33662, June 28, 1996; CGD 97-023, 62 FR 33361, June 19, 1997; USCG-2002-12471, 67 FR 41331, June 18, 2002]


§ 1.01-85 Redelegation.

Except as provided in § 1.01-80(e)(1) and (2), each Coast Guard officer to whom authority is granted in § 1.01-80 may redelegate and authorize successive redelegations of that authority within the command under the officer’s jurisdiction, or to members of the officer’s staff.


[CGD 91-225, 59 FR 66485, Dec. 27, 1994]


§ 1.01-90 Commissioned, warrant, and petty officers.

Any commissioned, warrant, or petty officer of the United States Coast Guard may be authorized to carry out the functions delegated to superior officials under §§ 1.01-1, 1.01-20, 1.01-30, 1.01-70, and 1.07-80, or redelegated under § 1.01-85, within the jurisdiction of the cognizant official. They will do so under the supervision and general direction of that official.


[CGD 91-225, 59 FR 66485, Dec. 27, 1994]


Subpart 1.05 – Rulemaking


Authority:5 U.S.C. 552, 553, App. 2; 14 U.S.C. 102, 502, 503, 505; 33 U.S.C. 471, 499; 49 U.S.C. 101, 322; Department of Homeland Security Delegation No. 0170.1.



Source:CGD 95-057, 60 FR 34148, June 30, 1995, unless otherwise noted.

§ 1.05-1 Delegation of rulemaking authority.

(a) The Secretary of Homeland Security is empowered by various statutes to issue regulations regarding the functions, powers and duties of the Coast Guard.


(b) The Secretary of Homeland Security has delegated much of this authority to the Commandant, U.S. Coast Guard, including authority to issue regulations regarding the functions of the Coast Guard and the authority to redelegate and authorize successive redelegations of that authority within the Coast Guard.


(c) The Commandant has reserved the authority to issue any rules and regulations determined to be significant under Executive Order 12866, Regulatory Planning and Review.


(d) The Commandant has redelegated the authority to develop and issue those regulations necessary to implement laws, treaties and Executive Orders to the Assistant Commandant for Response Policy (CG-5R). The Commandant further redelegates this same authority to the Director, National Pollution Fund Center (Director, NPFC) for those regulations within the Director, NPFC area of responsibility.


(1) The Assistant Commandant for Response Policy (CG-5R) may further reassign the delegated authority of this paragraph to:


(i) Any Director within the CG-5 Directorate as appropriate; or


(ii) Any other Assistant Commandant as appropriate.


(2) The authority redelegated in paragraph (d) of this section is limited to those regulations determined to be nonsignificant within the meaning of Executive Order 12866.


(e)(1) The Commandant has redelegated to the Coast Guard District Commanders, with the reservation that this authority must not be further redelegated except as specified in paragraph (i) below, the authority to issue regulations pertaining to the following:


(i) Anchorage grounds and special anchorage areas.


(ii) The designation of lightering zones.


(iii) The operation of drawbridges.


(iv) The establishment of Regulated Navigation Areas.


(v) The establishment of safety and security zones.


(vi) The establishment of special local regulations.


(vii) The establishment of inland waterways navigation regulations.


(viii) The establishment of safety zones around OCS facilities being constructed, maintained, or operated on the Outer Continental Shelf.


(2) This delegation does not extend to those matters specified in paragraph (c) of this section or rules and regulations which have been shown to raise substantial issues or to generate controversy.


(f) Except for those matters specified in paragraph (c) of this section, the Commandant has redelegated to Coast Guard Captains of the Port, with the reservation that this authority must not be further redelegated, the authority to establish safety and security zones.


(g) The Commandant has redelegated to Coast Guard District Commanders, Captains of the Port, the Deputy Commandant for Operations (CG-DCO), and the Assistant Commandant for Response Policy, the authority to make the certification required by section 605(b) of the Regulatory Flexibility Act (Sec. 605(b), Pub. L. 96-354, 94 Stat. 1168 (5 U.S.C. 605)) for rules that they issue.


(h) The Chief, Office of Regulations and Administrative Law (CG-LRA), has authority to develop and issue those regulations necessary to implement all technical, organizational, and conforming amendments and corrections to rules, regulations, and notices.


(i) The Commandant has redelegated to the Coast Guard District Commanders the authority to redelegate in writing to the Captains of the Port (COTP), with the reservation that this authority must not be further redelegated, the authority to issue such special local regulations as the COTP deems necessary to ensure safety of life on the navigable waters immediately prior to, during, and immediately after regattas and marine parades.


(j) The Commandant has redelegated to Coast Guard District Commanders the authority to redelegate in writing to the Coast Guard District Bridge Manager, with the reservation that this authority must not be further redelegated, the authority to issue temporary deviations from drawbridge operating regulations as the District Bridge Manager deems necessary.


[CGD 95-057, 60 FR 34148, June 30, 1995]


Editorial Note:For Federal Register citations affecting § 1.05-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§ 1.05-5 Marine Safety and Security Council.

The Marine Safety and Security Council, composed of senior Coast Guard officials, acts as policy advisor to the Commandant and is the focal point of the Coast Guard regulatory system. The Marine Safety and Security Council provides oversight, review, and guidance for all Coast Guard regulatory activity.


[CGD 95-057, 60 FR 34148, June 30, 1995, as amended by USCG-2003-15404, 68 FR 37740, June 25, 2003]


§ 1.05-10 Regulatory process overview.

(a) Most rules of local applicability are issued by District Commanders, Captains of the Port, and District Bridge Managers while rules of wider applicability are issued by senior Coast Guard officials at Coast Guard Headquarters. For both significant rulemaking (defined by Executive Order 12866, Regulatory Planning and Review) and non-significant rulemaking, other than those areas delegated to District Commanders, Captains of the Port, and District Bridge Managers the regulatory process begins when an office chief with program responsibilities identifies a possible need for a new regulation or for changes to an existing regulation. The need may arise due to statutory changes, or be based on internal review or public input. Early public involvement is strongly encouraged.


(b) After a tentative significant regulatory approach is developed, a significant regulatory project proposal is submitted to the Marine Safety and Security Council for approval. The proposal describes the scope of the proposed regulation, alternatives considered, and potential cost and benefits, including possible environmental impacts. All significant regulatory projects require Marine Safety and Security Council approval.


(c) Significant rulemaking documents must also be approved by the Commandant of the Coast Guard.


(d) If the project is approved, the necessary documents are drafted, including documents to be published in the Federal Register. These may include regulatory evaluations, environmental analyses, requests for comments, announcements of public meetings, notices of proposed rulemakings, and final rules.


[CGD 95-057, 60 FR 34148, June 30, 1995, as amended by USCG-2003-14505, 68 FR 9534, Feb. 28, 2003; USCG-2003-15404, 68 FR 37740, June 25, 2003; USCG-2008-0179, 73 FR 35001, June 19, 2008; USCG-2013-0397, 78 FR 39170, July 1, 2013]


§ 1.05-15 Public participation.

The Coast Guard considers public participation essential to effective rulemaking, and encourages the public to participate in its rulemaking process. Coast Guard policy is to provide opportunities for public participation early in potential rulemaking projects. Generally, the Coast Guard will solicit public input by publishing a notice of public meeting or request for comments in the Federal Register. Advance Notices of Proposed Rulemaking, Notices of Proposed Rulemaking, Supplemental Notices of Proposed Rulemaking, and Interim Rules will usually provide 90 days, or more if possible, after publication for submission of comments. This time period is intended to allow interested persons the opportunity to participate in the rulemaking process through the submission of written data and views. However, certain cases and circumstances may make it necessary to provide a shorter comment period. Public meetings may also be held to provide an opportunity for oral presentations. The Coast Guard will consider the comments received and, in subsequent rulemaking documents, will incorporate a concise general statement of the comments received and identify changes from a proposed rule based on the comments.


§ 1.05-20 Petitions for rulemaking.

(a) Any member of the public may petition the Coast Guard to undertake a rulemaking action. There is no prescribed form for a petition for rulemaking, but the document should provide some supporting information as to why the petitioner believes the proposed rulemaking is necessary and the document should clearly indicate that it is a petition for rulemaking. Petitions should be addressed to the Office of Regulations and Administrative Law (CG-LRA), U.S. Coast Guard Stop 7213, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7213.


(b) The petitioner will be notified of the Coast Guard’s decision whether to initiate a rulemaking or not. If the Coast Guard decides not to pursue a rulemaking, the petitioner will be notified of the reasons why. If the Coast Guard decides to initiate rulemaking, it will follow the procedure outlined in this subpart. The Coast Guard may publish a notice acknowledging receipt of a petition for rulemaking in the Federal Register.


(c) Any petition for rulemaking and any reply to the petition will be kept in a public docket open for inspection.


[CGD 95-057, 60 FR 34148, June 30, 1995, as amended by USCG-2003-15404, 68 FR 37740, June 25, 2003; USCG-2008-0179, 73 FR 35001, June 19, 2008; USCG-2014-0410, 79 FR 38427, July 7, 2014; USCG-2018-0533, 85 FR 8172, Feb. 13, 2020]


§ 1.05-25 Public docket.

(a) The Coast Guard maintains an electronic public docket for each petition for rulemaking and each Coast Guard rulemaking project and notice published in the Federal Register. Each rulemaking docket contains copies of every rulemaking document published for the project, public comments received, summaries of public meetings or hearings, regulatory assessments, and other publicly-available information. Members of the public may inspect the public docket and copy any documents in the docket. Public dockets for Coast Guard rulemakings are available electronically at https://www.regulations.gov. To access a rulemaking, enter the docket number associated with the rulemaking or notice in the “Search” box and click “Go >.”


(b) The public dockets for Coast Guard rulemaking activity initiated by Coast Guard District Commanders are available for public inspection at the appropriate Coast Guard District office or online at http://www.regulations.gov. Paragraph (a) of this section describes how to access and view these documents.


(c) The public dockets for Coast Guard rulemaking activity initiated by Captains of the Port are available for inspection at the appropriate Captains of the Port Office or online at http://www.regulations.gov. Paragraph (a) of this section describes how to access and view these documents.


[USCG-2008-0179, 73 FR 35001, June 19, 2008, as amended by USCG-2020-0304, 85 FR 58275, Sept. 18, 2020]


§ 1.05-30 Advance notice of proposed rulemaking (ANPRM).

An advance notice of proposed rulemaking may be used to alert the affected public about a new regulatory project, or when the Coast Guard needs more information about what form proposed regulations should take, the actual need for a regulation, the cost of a proposal, or any other information. The ANPRM may solicit general information or ask the public to respond to specific questions.


§ 1.05-35 Notice of proposed rulemaking (NPRM).

Under the Administrative Procedure Act (APA), 5 U.S.C. 553, an NPRM is generally published in the Federal Register for Coast Guard rulemakings. The NPRM normally contains a preamble statement in sufficient detail to explain the proposal, its background, basis, and purpose, and the various issues involved. It also contains a discussion of any comments received in response to prior notices, a citation of legal authority for the rule, and the text of the proposed rule.


§ 1.05-40 Supplemental notice of proposed rulemaking (SNPRM).

An SNPRM may be issued if a proposed rule has been substantially changed from the original notice of proposed rulemaking. The supplemental notice advises the public of the revised proposal and provides an opportunity for additional comment. To give the public a reasonable opportunity to become reacquainted with a rulemaking, a supplemental notice may also be issued if considerable time has elapsed since publication of a notice of proposed rulemaking. An SNPRM contains the same type of information generally included in an NPRM.


§ 1.05-45 Interim rule.

(a) An interim rule may be issued when it is in the public interest to promulgate an effective rule while keeping the rulemaking open for further refinement. For example, an interim rule may be issued in instances when normal procedures for notice and comment prior to issuing an effective rule are not required, minor changes to the final rule may be necessary after the interim rule has been in place for some time, or the interim rule only implements portions of a proposed rule, while other portions of the proposed rule are still under development.


(b) An interim rule will be published in the Federal Register with an effective date that will generally be at least 30 days after the date of publication. After the effective date, an interim rule is enforceable and is codified in the next annual revision of the appropriate title of the Code of Federal Regulations.


§ 1.05-50 Final rule.

When notice and comment procedures have been used, and after all comments received have been considered, a final rule is issued. A final rule document contains a preamble that responds to significant comments received and includes a discussion of changes made from the proposed or interim rule, a citation of legal authority, and the text of the rule. In some instances, a final rule may be issued without prior notice and comment.


[USCG-2018-0533, 85 FR 8172, Feb. 13, 2020]


§ 1.05-55 Direct final rule.

(a) A direct final rule may be issued to allow noncontroversial rules that are unlikely to result in adverse public comment to become effective more quickly.


(b) A direct final rule will be published in the Federal Register with an effective date that is generally at least 90 days after the date of publication.


(c) The public will usually be given at least 60 days from the date of publication in which to submit comments or notice of intent to submit comments.


(d) If no adverse comment or notice of intent to submit an adverse comment is received within the specified period, the Coast Guard will publish a notice in the Federal Register to confirm that the rule will go into effect as scheduled.


(e) If the Coast Guard receives a written adverse comment or a written notice of intent to submit an adverse comment, the Coast Guard will publish a notice in the final rule section of the Federal Register to announce withdrawal of the direct final rule. If an adverse comment clearly applies to only part of a rule, and it is possible to remove that part without affecting the remaining portions, the Coast Guard may adopt as final those parts of the rule on which no adverse comment was received. Any part of a rule that is the subject of an adverse comment will be withdrawn. If the Coast Guard decides to proceed with a rulemaking following receipt of an adverse comment, a separate Notice of Proposed Rulemaking (NPRM) will be published unless an exception to the Administrative Procedure Act requirements for notice and comment applies.


(f) A comment is considered adverse if the comment explains why the rule would be inappropriate, including a challenge to the rule’s underlying premise or approach, or would be ineffective or unacceptable without a change.


[CGD 94-105, 60 FR 49224, Sept. 22, 1995]


§ 1.05-60 Negotiated rulemaking.

(a) The Coast Guard may establish a negotiated rulemaking committee under the Negotiated Rulemaking Act of 1990 and the Federal Advisory Committee Act (FACA) (5 U.S.C. App. 2) when it is in the public interest.


(b) Generally, the Coast Guard will consider negotiated rulemaking when:


(1) There is a need for a rule;


(2) There are a limited number of representatives for identifiable parties affected by the rule;


(3) There is a reasonable chance that balanced representation can be reached in the negotiated rulemaking committee and that the committee members will negotiate in good faith;


(4) There is a likelihood of a committee consensus in a fixed time period;


(5) The negotiated rulemaking process will not unreasonably delay the rule;


(6) The Coast Guard has resources to do negotiated rulemaking; and


(7) The Coast Guard can use the consensus of the committee in formulating the NPRM and final rule.


Subpart 1.07 – Enforcement; Civil and Criminal Penalty Proceedings


Authority:14 U.S.C. 503; 14 U.S.C 501; 33 U.S.C. 1321(b)(6)(B); 46 U.S.C. 2103; DHS Delegation 00170.1, Revision No. 01.2.



Source:CGD 78-82, 43 FR 54186, Nov. 20, 1978, unless otherwise noted.

§ 1.07-1 Purpose.

This part describes procedures for enforcement and administration of all statutory penalty provisions that the Coast Guard is authorized to enforce.


§ 1.07-5 Definitions.

(a) The term District Commander, when used in this subpart, means the District Commander, or any person under the District Commander’s command, delegated to carry out the provisions of § 1.07-10(b).


(b) The term Hearing Officer means a Coast Guard officer or employee who has been delegated the authority to assess civil penalties.


(c) The term issuing officer means any qualified Coast Guard commissioned, warrant, or petty officer, or qualified civilian.


(d) The term Notice of Violation means a notification of violation and preliminary assessment of penalty, given to a party, in accordance with § 1.07-11.


(e) The term party means the person alleged to have violated a statute or regulation to which a civil penalty applies and includes an individual or public or private corporation, partnership or other association, or a governmental entity.


[CGD 93-079, 59 FR 16560, Apr. 7, 1994, as amended by USCG-2021-0348, 87 FR 3222, Jan. 21, 2022]


§ 1.07-10 Reporting and investigation.

(a) Any person may report an apparent violation of any law, regulation, or order that is enforced by the Coast Guard to any Coast Guard facility. When a report of an apparent violation has been received, or when an apparent violation has been detected by any Coast Guard personnel, the matter is investigated or evaluated by Coast Guard personnel. Once an apparent violation has been investigated or evaluated, a report of the investigation may be sent to the District Commander or other designated official in accordance with paragraph (b) of this section or a Notice of Violation under § 1.07-11 may be given to the party by an issuing officer.


(b) Reports of any investigation conducted by the Coast Guard or received from any other agency which indicate that a violation may have occurred may be forwarded to a District Commander or other designated official for further action. This is normally the District Commander of the District in which the violation is believed to have occurred, or the District in which the reporting unit or agency is found. The report is reviewed to determine if there is sufficient evidence to establish a prima facie case. If there is insufficient evidence, the case is either returned for further investigation or closed if further action is unwarranted. The case is closed in situations in which the investigation has established that a violation did not occur, the violator is unknown, or there is little likelihood of discovering additional relevant facts. If it is determined that a prima facie case does exist, a case file is prepared and forwarded to the Hearing Officer, with a recommended action. A record of any prior violations by the same person or entity, is forwarded with the case file.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by CGD 87-008a, 52 FR 17554, May 11, 1987; CGD 93-079, 59 FR 16560, Apr. 7, 1994; USCG-2000-7223, 65 FR 40054, June 29, 2000]


§ 1.07-11 Notice of violation.

(a) After investigation and evaluation of an alleged violation has been completed, an issuing officer may issue a Notice of Violation to the party.


(b) The Notice of Violation will contain the following information:


(1) The alleged violation and the applicable law or regulations violated;


(2) The amount of the maximum penalty that may be assessed for each violation;


(3) The amount of proposed penalty that appears to be appropriate;


(4) A statement that payment of the proposed penalty within 45 days will settle the case;


(5) The place to which, and the manner in which, payment is to be made;


(6) A statement that the party may decline the Notice of Violation and that if the Notice of Violation is declined, the party has the right to a hearing prior to a final assessment of a penalty by a Hearing Officer.


(7) A statement that failure to either pay the proposed penalty on the Notice of Violation or decline the Notice of Violation and request a hearing within 45 days will result in a finding of default and the Coast Guard will proceed with the civil penalty in the amount recommended on the Notice of Violation without processing the violation under the procedures described in 33 CFR 1.07-10(b).


(c) The Notice of Violation may be hand delivered to the party or an employee of the party, or may be mailed to the business address of the party.


(d) If a party declines the Notice of Violation within 45 days, the case file will be sent to the District Commander for processing under the procedures described in 33 CFR 1.07-10(b).


(e) If a party pays the proposed penalty on the Notice of Violation within 45 days, a finding of proved will be entered into the case file.


(f) If within 45 days of receipt a party –


(1) Fails to pay the proposed penalty on the Notice of Violation; and


(2) Fails to decline the Notice of Violation – the Coast Guard will enter a finding of default in the case file and proceed with the civil penalty in the amount recommended on the Notice of Violation without processing the violation under the procedures described in 33 CFR 1.07-10(b).


[CGD 93-079, 59 FR 66482, Dec. 27, 1994, as amended by USCG-2001-9175, 67 FR 38388, June 4, 2002]


§ 1.07-15 Hearing Officer.

(a) The Hearing Officer has no other responsibility, direct or supervisory, for the investigation of cases referred for the assessment of civil penalties. The hearing officer may take action on a case referred by any District Commander.


(b) The Hearing Officer decides each case on the basis of the evidence before him, and must have no prior connection with the case. The Hearing Officer is solely responsible for the decision in each case referred to him.


(c) The Hearing Officer is authorized to administer oaths and issue subpoenas necessary to the conduct of a hearing, to the extent provided by law.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by CGD 87-008a, 52 FR 17554, May 11, 1987; USCG-2002-12471, 67 FR 41331, June 18, 2002]


§ 1.07-20 Initiation of action.

(a) When a case is received for action, the Hearing Officer makes a preliminary examination of the material submitted. If, on the basis of the preliminary examination, the Hearing Officer determines that there is insufficient evidence to proceed, or that there is any other reason which would make penalty action inappropriate, the Hearing Officer returns the case to the District Commander with a written statement of the reason. The District Commander may close the case or cause a further investigation of the alleged violation to be made with a view toward resubmittal of the case to the Hearing Officer.


(b) If on the basis of the preliminary examination of the case file, the Hearing Officer determines that a violation appears to have been committed, the Hearing Officer notifies the party in writing of:


(1) The alleged violation and the applicable law or regulations;


(2) The amount of the maximum penalty that may be assessed for each violation;


(3) The general nature of the procedure for assessing and collecting the penalty;


(4) The amount of penalty that appears to be appropriate, based on the material then available to the Hearing Officer;


(5) The right to examine all materials in the case file and have a copy of all written documents provided upon request; and,


(6) The fact that the party may demand a hearing prior to any actual assessment of a penalty.


(c) If at any time it appears that the addition of another party to the proceedings is necessary or desirable, the Hearing Officer provides the additional party with notice as described above.


§ 1.07-25 Preliminary matters.

(a) Within 30 days after receipt of notice of the initiation of the action, as described above, the party, or counsel for the party, may request a hearing, provide any written evidence and arguments in lieu of a hearing, or pay the amount specified in the notice as being appropriate. A hearing must be requested in writing; the request must specify the issues which are in dispute. Failure to specify a nonjurisdictional issue will preclude its consideration.


(b) The right to a hearing is waived if the party does not submit the request to the Hearing Officer within 30 days after receiving notice of the alleged violation. At the discretion of the Hearing Officer, a hearing may be granted if the party submits a late request.


(c) The Hearing Officer must promptly schedule all hearings which are requested. The Hearing Officer shall grant any delays or continuances which may be necessary or desirable in the interest of fairly resolving the case.


(d) A party who has requested a hearing may amend the specification of the issues in dispute at any time up to 10 days before the scheduled date of the hearing. Issues raised later than 10 days before the scheduled hearing may be presented only at the discretion of the Hearing Officer.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by CGD 85-001A, 51 FR 19329, May 29, 1986]


§ 1.07-30 Disclosure of evidence.

The alleged violator may, upon request, receive a free copy of all the written evidence in the case file, except material that would disclose or lead to the disclosure of the identity of a confidential informant. Other evidence or material, such as blueprints, sound or video tapes, oil samples, and photographs may be examined in the Hearing Officer’s offices. The Hearing Officer may provide for examination or testing of evidence at other locations if there are adequate safeguards to prevent loss or tampering.


§ 1.07-35 Request for confidential treatment.

(a) In addition to information treated as confidential under § 1.07-30, a request for confidential treatment of a document or portion thereof may be made by the person supplying the information on the basis that the information is:


(1) Confidential financial information, trade secrets, or other material exempt from disclosure by the Freedom of Information Act (5 U.S.C. 552);


(2) Required to be held in confidence by 18 U.S.C. 1905; or


(3) Otherwise exempt by law from disclosure.


(b) The person desiring confidential treatment must submit the request to the Hearing Officer in writing and state the reasons justifying nondisclosure. Failure to make a timely request may result in a document being considered as nonconfidential and subject to release.


(c) Confidential material is not considered by the Hearing Officer in reaching a decision unless:


(1) It has been furnished by a party, or


(2) It has been furnished pursuant to a subpoena.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by USCG-2002-12471, 67 FR 41331, June 18, 2002]


§ 1.07-40 Counsel.

A party has the right to be represented at all stages of the proceeding by counsel. After receiving notification that a party is represented by counsel, the Hearing Officer directs all further communications to that counsel.


§ 1.07-45 Location of hearings and change of venue.

(a) The hearing is normally held at the office of the Hearing Officer.


(b) The Hearing Officer may transfer a case to another Hearing Officer on request or on the Hearing Officer’s own motion.


(c) A request for change of location of a hearing or transfer to another Hearing Officer must be in writing and state the reasons why the requested action is necessary or desirable. Action on the request is at the discretion of the Hearing Officer.


[CGD 87-008a, 52 FR 17554, May 11, 1987]


§ 1.07-50 Witnesses.

A party may present the testimony of any witness either through a personal appearance or through a written statement. The party may request the assistance of the Hearing Officer in obtaining the personal appearance of a witness. The request must be in writing and state the reasons why a written statement would be inadequate, the issue or issues to which the testimony would be relevant, and the substance of the expected testimony. If the Hearing Officer determines that the personal appearance of the witness may materially aid in the decision on the case, the Hearing Officer seeks to obtain the witness’ appearance. Because many statutes prescribing civil penalties do not provide subpoena power, there may be cases where a witness cannot be required to attend. In such a case, the Hearing Officer may move the hearing to the witness’ location, accept a written statement, or accept a stipulation in lieu of testimony. If none of these procedures is practical, the Hearing Officer shall proceed on the basis of the evidence before him.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by USCG-2002-12471, 67 FR 41331, June 18, 2002]


§ 1.07-55 Hearing procedures.

(a) The Hearing Officer must conduct a fair and impartial proceeding in which the party is given a full opportunity to be heard. At the outset of the hearing, the Hearing Officer insures that the party is aware of the nature of the proceeding and of the alleged violation, and of the provisions of the law or regulation allegedly violated.


(b) The material in the case file pertinent to the issues to be determined by the Hearing Officer is presented. The party has the right to examine, and to respond to or rebut, this material. The party may offer any facts, statements, explanations, documents, sworn or unsworn testimony, or other exculpatory items which bear on appropriate issues, or which may be relevant to the size of an appropriate penalty. The Hearing Officer may require the authentication of any written exhibit or statement.


(c) At the close of the party’s presentation of evidence, the Hearing Officer may allow the introduction of rebuttal evidence. The Hearing Officer may allow the party to respond to any such evidence submitted.


(d) In receiving evidence, the Hearing Officer is not bound by strict rules of evidence. In evaluating the evidence presented, the Hearing Officer must give due consideration to the reliability and relevance of each item of evidence.


(e) The Hearing Officer may take notice of matters which are subject to a high degree of indisputability and are commonly known in the community or are ascertainable from readily available sources of known accuracy. Prior to taking notice of a matter, the Hearing Officer gives the party an opportunity to show why notice should not be taken. In any case in which notice is taken, the Hearing Officer places a written statement of the matters as to which notice was taken in the record, with the basis for such notice, including a statement that the party consented to notice being taken or a summary of the party’s objections.


(f) After the evidence in the case has been presented, the party may present argument on the issues in the case. The party may also request an opportunity to submit a written statement for consideration by the Hearing Officer and for further review. The Hearing Officer shall allow a reasonable time for submission of the statement and shall specify the date by which it must be received. If the statement is not received within the time prescribed, or within the limits of any extension of time granted by the Hearing Officer, the Hearing Officer renders his decision in the case.


§ 1.07-60 Records.

(a) A verbatim transcript will not normally be prepared. The Hearing Officer prepares notes on the material and points raised by the party, in sufficient detail to permit a full and fair review and resolution of the case, should it be appealed.


(b) A party may, at its own expense, cause a verbatim transcript to be made. If a verbatim transcript is made, the party shall submit two copies to the Hearing Officer not later than the time of filing an administrative appeal. The Hearing Officer includes them in the record.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by USCG-2002-12471, 67 FR 41331, June 18, 2002]


§ 1.07-65 Hearing Officer’s decisions.

(a) The Hearing Officer issues a written decision. Any decision to assess a penalty is based upon substantial evidence in the record. If the Hearing Officer finds that there is not substantial evidence in the record establishing the alleged violation or some other violation of which the party had full and fair notice, the Hearing Officer shall dismiss the case and remand it to the District Commander. A dismissal is without prejudice to the District Commander’s right to refile the case and have it reheard if additional evidence is obtained. A dismissal following a rehearing is final and with prejudice.


(b) If the Hearing Officer assesses a penalty, the Hearing Officer’s decision contains a statement advising the party of the right to an administrative appeal. The party is advised that failure to submit an appeal within the prescribed time will bar its consideration and that failure to appeal on the basis of a particular issue will constitute a waiver of that issue in any subsequent proceeding.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by CGD 85-001A, 51 FR 19329, May 29, 1986]


§ 1.07-70 Right to appeal.

(a) Any appeal from the decision of the Hearing Officer must be submitted by a party within 30 days from the date of receipt of the decision. The appeal and any supporting brief must be submitted to the Hearing Officer. The only issues which will be considered on appeal are those issues specified in the appeal which were properly raised before the Hearing Officer and jurisdictional questions.


(b) The failure to file an appeal within the prescribed time limit results in the action of the Hearing Officer becoming the final agency action in the case.


§ 1.07-75 Action on appeals.

(a) Upon receipt, the Hearing Officer provides a copy of the appeal and any supporting brief to the District Commander who referred the case. Any comments which the District Commander desires to submit must be received by the Hearing Officer within 30 days. The Hearing Officer includes the District Commander’s comments, or not later than 30 days after receipt of the appeal if no comments are submitted by the District Commander, the Hearing Officer forwards all materials in the case to the Commandant.


(b) The Commandant issues a written decision in each case and furnishes copies to the party, the District Commander, and the Hearing Officer, The Commandant may affirm, reverse, or modify the decision, or remand the case for new or additional proceedings. In the absence of a remand, the decision of the Commandant on appeal shall be final. In addition to the actions which may be taken by the Commandant on appeal, the Commandant may also remit, mitigate or suspend the assessment in whole or in part. Upon the taking of remission, mitigation, or suspension action, the Commandant will inform the party of the action and any conditions placed on the action.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by CGD 87-008a, 52 FR 17555, May 11, 1987]


§ 1.07-80 Reopening of hearings.

(a) At any time prior to final agency action in a civil penalty case, a party may petition to reopen the hearing on the basis of newly discovered evidence.


(b) Petitions to reopen must be in writing describing the newly found evidence and must state why the evidence would probably produce a different result favorable to the petitioner, whether the evidence was known to the petitioner at the time of the hearing and, if not, why the newly found evidence could not have been discovered in the exercise of due diligence. The party must submit the petition to the Hearing Officer.


(c) The District Commander may file comments in opposition to the petition. If comments are filed, a copy is provided the party.


(d) A petition to reopen is considered by the Hearing Officer unless an appeal has been filed, in which case the petition is considered by the Commandant.


(e) The decision on the petition is decided on the basis of the record, the petition, and the comments in opposition, if any. The petition is granted only when newly found evidence is described which has a direct and material bearing on the issues and when a valid explanation is provided as to why the evidence was not and could not have been, in the exercise of due diligence, produced at the hearing. The decision is rendered in writing.


(f) Following a denial of a petition to reopen, the party is given 30 days to file an appeal if one has not already been filed, or to amend an appeal which has already been filed.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by CGD 87-008a, 52 FR 17555, May 11, 1987]


§ 1.07-85 Collection of civil penalties.

(a) Payment of a civil penalty may be made by check or postal money order payable to the U.S. Coast Guard.


(b) Within 30 days after receipt of the Commandant’s decision on appeal, or the Hearing Officer’s decision in a case in which no appeal has been filed, the party must submit payment of any assessed penalty to the office specified in the assessment notice. Failure to make timely payment will result in the institution of appropriate action under the Federal Claims Collection Act and the regulations issued thereunder.


(c) When a penalty of not more than $200 has been assessed under Chapter 43 or 123 of Title 46 U.S.C., the matter may be referred for collection of the penalty directly to the Federal Magistrate of the jurisdiction wherein the person liable may be found, for the institution of collection procedures under supervision of the district court, if the court has issued an order delegating such authority under section 636(b) of Title 28, United States Code.


[CGD 87-008a, 52 FR 17555, May 11, 1987]


§ 1.07-90 Criminal penalties.

(a) Prosecution in the Federal courts for violations of those laws or regulations enforced by the Coast Guard which provide, upon conviction, for punishment by fine or imprisonment is a matter finally determined by the Department of Justice. This final determination consists of deciding whether and under what conditions to prosecute or to abandon prosecution.


(b) Except in those cases where the approval of the Commandant is required, the Area, Maintenance & Logistics Command (MLC), and District Commanders are authorized to refer the case to the U.S. attorney. The Commandant’s approval is required in the following cases where evidence of a criminal offense is disclosed:


(1) Marine casualties or accidents resulting in death.


(2) Marine Boards (46 CFR part 4).


(3) Violations of port security regulations (33 CFR parts 6, 121 to 126 inclusive).


(c) The Area, MLC, or District Commander will identify the laws or regulations which were violated and make specific recommendations concerning the proceedings to be instituted by the U.S. attorney in every case.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by USCG-2001-9286, 66 FR 33639, June 25, 2001]


§ 1.07-95 Civil and criminal penalties.

(a) If a violation of law or regulation carries both a civil and a criminal penalty, the Area, MLC, and District Commanders are authorized to determine whether to institute civil penalty proceedings or to refer the case to the U.S. attorney for prosecution in accordance with § 1.07-90.


(b) When the U.S. Attorney declines to institute criminal proceedings, the Area, MLC, or District Commander decides whether to initiate civil penalty proceedings or to close the case.


[CGD 78-82, 43 FR 54186, Nov. 20, 1978, as amended by USCG-2001-9286, 66 FR 33639, June 25, 2001]


§ 1.07-100 Summons in lieu of seizure of commercial fishing industry vessels.

(a) As used in this section, the following terms have the meanings specified:


(1) Commercial fishing industry vessel means a fishing vessel, a fish processing vessel, or a fish tender vessel as defined in 46 U.S.C. 2101 (11a), (11b), or (11c), respectively.


(2) Personal use quantity means a quantity of a controlled substance as specified in 19 CFR 171.51.


(b) When a commercial fishing industry vessel is subject to seizure for a violation of 21 U.S.C. 881(a)(4), (6), or (7); of 19 U.S.C. 1595a(a); or of 49 U.S.C. App. 782 and the violation involves the possession of a personal use quantity of a controlled substance, the vessel shall be issued a summons to appear as prescribed in subpart F of 19 CFR part 171 in lieu of seizure, provided that the vessel is:


(1) Proceeding to or from a fishing area or intermediate port of call; or


(2) Actively engaged in fishing operations.


[CGD 89-003, 54 FR 37615, Sept. 11, 1989]


Subpart 1.08 – Written Warnings by Coast Guard Boarding Officers


Authority:14 U.S.C. 503; 49 CFR 1.46(b).

§ 1.08-1 Applicability.

(a) The regulations in this subpart apply to certain violations of the following statutes and regulations for which Coast Guard boarding officers are authorized to issue written warnings instead of recommending civil or criminal penalty procedures under subpart 1.07 of this part:


(1) 46 CFR 25.05 whistles or other sound producing devices;


(2) 33 CFR part 175, subpart B and 46 CFR subpart 25.25, Personal Flotation Devices.


(3) 46 CFR 25.35 backfire flame control;


(4) 46 CFR 25.40 ventilation;


(5) 33 CFR part 173 numbering;


(6) 46 U.S.C. 103, documented yachts;


(7) 33 CFR part 155 oil pollution prevention; and


(8) 46 CFR subpart 25.30, Fire Extinguishing Equipment and 33 CFR part 175, subpart E, Fire Protection Equipment;


(9) 33 CFR part 159 marine sanitation devices;


(10) 33 CFR part 175 subpart C, Visual Distress Signals.


(11) 33 CFR 83.01(g) Copy of rules.


(b) The Commandant authorizes designated boarding officers to issue warnings for certain minor violations of the statutes and regulations listed in paragraph (a) of this section. Written warnings are not authorized for all violations of these statutes and regulations.


(14 U.S.C. 503, 85 Stat. 228 (46 U.S.C. 1488); 86 Stat. 871 (33 U.S.C. 1322); 49 CFR 1.46(b), (m), and (n)(1))

[CGD 74-155, 41 FR 17894, Apr. 29, 1976, as amended by CGD 77-182, 43 FR 22657, May 25, 1978; CGD 82-040, 47 FR 21042, May 17, 1982; CGD 85-009, 50 FR 10761, Mar. 18, 1985; USCG-2018-0874, 84 FR 30877, June 28, 2019; USCG-2020-0304, 85 FR 58275, Sept. 18, 2020; USCG-2018-0099, 86 FR 58571, Oct. 22, 2021]


§ 1.08-5 Procedures.

(a) A written warning may be issued where the boarding officer determines that:


(1) The observed violation is a first offense; and


(2) The operator states that the violation will be promptly corrected.


(b) A written warning may not be issued where:


(1) The operator is required to be licensed or credentialed;


(2) The violation is a failure to have required safety equipment on board; or


(3) The boarding officer notes three or more violations during one boarding.


(c) Each district office maintains a record of each written warning issued within that district for a period of not more than one year after date of issue except in cases involving violations of 33 CFR part 159 marine sanitation devices, records of which are maintained by each district office for not more than three years after date of issue.


(d) The district commander of the district in which the warning is issued may rescind a written warning and institute civil penalty action under § 1.07-10 of this part if a record check discloses a prior written warning or violation issued within one year or in the case of a violation of 33 CFR part 159 a prior written warning or violation issued within three years.


(e) Within 15 days after the date of issue, any person issued a written warning by a Coast Guard boarding officer may appeal the issuance of the warning to the district commander by providing in writing or in person any information that denies, explains, or mitigates the violations noted in the warning.


(f) Each written warning shall indicate that:


(1) The warning is kept on file for a period of not more than one year after date of issue or in the case of a violation of 33 CFR part 159 a period of not more than three years for reference in determining appropriate penalty action if there is a subsequent violation;


(2) If a record check reveals a prior written warning or violation within the time period designated in § 1.08-5(d) of this part, the warning may be revoked and civil penalty action instituted;


(3) If an additional violation occurs within the time period designated in § 1.08-5(d) the warning may be used as a basis for the assessment of a higher penalty for the subsequent violation; and


(4) Within 15 days after the date of issue, the person who is issued the warning may appeal to the District Commander by providing in writing or in person any information or material that denies, explains, or mitigates the violations noted in the warning.


(14 U.S.C. 633; 85 Stat. 228 (46 U.S.C. 1488); 86 Stat. 871 (33 U.S.C. 1322); 49 CFR 1.46 (b), (m), and (n)(1))

[CGD 74-155, 41 FR 17894, Apr. 29, 1976, as amended by CGD 77-182, 43 FR 22657, May 25, 1978; USCG-2006-25150, 71 FR 39208, July 12, 2006; USCG-2006-24371, 74 FR 11211, Mar. 16, 2009]


Subpart 1.10 – Public Availability of Information


Authority:5 U.S.C. 552; 14 U.S.C. 503, sec. 6(b)(1), 80 Stat. 937 (49 U.S.C. 1655(b)(1)); 49 CFR 1.46(b).



Source:CGD 73-54R, 38 FR 12396, May 11, 1973, unless otherwise noted.

§ 1.10-1 Official records and documents.

Identifiable records and documents of the Coast Guard are made available to the public in accordance with the Department of Transportation regulations contained in part 7 of title 49, Code of Federal Regulations.


§ 1.10-5 Public availability of records and documents.

(a) Each person desiring to inspect a record or document covered by this subpart that is located in Headquarters, or to obtain a copy of such a record or document, must make a written request to the Commandant (CG-61), Attn: Office of Information Management, U.S. Coast Guard Stop 7710, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7710.


(b) Each person desiring to inspect a record or document covered by this subpart that is located in a Coast Guard district, or to obtain a copy of such a record or document, must make a written request to the district commander in command of the district, or to the officer-in-charge of the appropriate marine inspection zone. Coast Guard districts and marine inspection zones are listed in part 3 of this chapter.


(c) If the person making the request does not know where in the Coast Guard the record or document is located, he may send his request to the Chief, Office of Information Management (CG-61), at the address in paragraph (a) of this section.


[CGD-73-54R, 38 FR 12396, May 11, 1973, as amended by CGD 96-026, 61 FR 33662, June 28, 1996; USCG-2014-0410, 79 FR 38427, July 7, 2014]


Subpart 1.20 – Testimony by Coast Guard Personnel and Production of Records in Legal Proceedings


Authority:5 U.S.C. 301; 14 U.S.C. 503, 505, 49 U.S.C. 322; 49 CFR 1.46 and part 9.

§ 1.20-1 Testimony by Coast Guard personnel and production of records.

(a) The regulations in 49 CFR part 9 apply to the testimony of Coast Guard personnel, production of Coast Guard records, and service of process in legal proceedings.


(b) Except for the acceptance of service of process or pleadings under paragraph (d) of this section and 49 CFR 9.19, the Legal Officer of each Maintenance and Logistics Command, each District Legal Officer, and the Legal Officer assigned to any other Coast Guard unit or command, for matters involving personnel assigned to their command, are delegated the functions of “agency counsel” described in 49 CFR part 9.


(c) A request for a member or employee of the Coast Guard to testify, or for permission to interview such a member or employee, should be made to the Legal officer serving the command to which that member or employee is assigned, or, if the member or employee is serving at Coast Guard Headquarters, or with a command receiving legal services from the Judge Advocate General and Chief Counsel, U.S. Coast Guard (CG-094), to the Chief, Office of Claims and Litigation (CG-0945). Should the member or employee no longer be employed by the Coast Guard, and the testimony or information sought falls within the provisions of 49 CFR part 9, the request should be made to the District Legal Officer serving the geographic area where the former member or employee resides or, if no District Legal Officer has geographic responsibility, to the Chief, Office of Claims and Litigation.


(d) Process or pleadings in any legal proceeding concerning the Coast Guard may be served, at the option of the server, on the Judge Advocate General and Chief Counsel or the Deputy Judge Advocate General and Deputy Chief Counsel of the Coast Guard (CG-094) with the same effect as if served on the Commandant of the Coast Guard. The official accepting the service under this section acknowledges the service and takes further action as appropriate.


(80 Stat. 383, as amended, sec. 1, 33 Stat. 1022, as amended, sec. 9, 80 Stat. 944; 5 U.S.C. 552, 14 U.S.C. 503, 505, 46 U.S.C. 375, 416, 49 U.S.C. 1657 (a) and (e); 49 CFR 1.46, and part 9)

[CGFR 71-30, 36 FR 8732, May 12, 1971, as amended by CGD 95-057, 60 FR 34150, June 30, 1995; USCG-1998-3799, 63 FR 35525, June 30, 1998; USCG-2020-0304, 85 FR 58275, Sept. 18, 2020]


Subpart 1.25 – Fees and Charges for Certain Records and Services


Authority:5 U.S.C. 552; 14 U.S.C. 633; 49 CFR 1.46.


Source:CGFR 67-13, 32 FR 11211, Aug. 2, 1967, unless otherwise noted.

§ 1.25-1 Purpose.

(a) The regulations in this subpart established fees and charges which shall be imposed by the Coast Guard for making copies or excerpts of information or records, and for issuing certain duplicate merchant mariner credentials, merchant mariner documents, licenses or certificates.


(b) These fees and charges are imposed as required by Title V of the Independent Offices Appropriation Act of 1952 (Sec. 501, 65 Stat. 290, 31 U.S.C. 483a). This Act states that it is the sense of Congress that fees and charges shall be charged for services rendered the public by Federal agencies in order that such services may be performed on a self-sustaining basis to the fullest extent possible.


[CGFR 67-13, 32 FR 11211, Aug. 2, 1967, as amended by USCG-2006-24371, 74 FR 11211, Mar. 16, 2009]


§ 1.25-30 Exceptions.

(a) The general policies and instructions of the Bureau of the Budget specify when certain services as specifically described in this subpart will be furnished without charge.


(b) The fees and charges prescribed in this subpart are not applicable when requested by, or furnished to, the following persons, or under the following circumstances:


(1) A person who donated the original document.


(2) A person who has an official, voluntary or cooperative relationship to the Coast Guard in rendering services promoting safety of life and property.


(3) Any agency, corporation or branch of the Federal Government.


(4) A person found guilty by an administrative law judge receives one copy of the transcript of the hearing if he:


(i) Files a notice of appeal, under 46 CFR 5.30-1; and


(ii) Requests a copy of the transcript.


(5) A person who has been required to furnish personal documents retained by the Coast Guard.


(6) For other exceptions see 49 CFR 7.97.


(31 U.S.C. 483a; 49 U.S.C. 1655(b)(1); 49 CFR 1.46(b))

[CGFR 67-13, 32 FR 11211, Aug. 2, 1967, as amended by CGD 76-124, 42 FR 23507, May 9, 1977]


§ 1.25-40 Fees for services for the public.

The fees for services performed for the public, as prescribed in sections 552(a) (2) and (3) of title 5, United States Code, by the Department of Transportation are in subpart I of title 49, Code of Federal Regulations. The fee schedule for these services is contained in 49 CFR 7.95. The applicable fees are imposed and collected by the Coast Guard as prescribed in 49 CFR 7.93.


(Title V, 65 Stat. 268, 290; sec. 6(b)(1), 80 Stat. 937; 31 U.S.C. 483a; 49 U.S.C. 1655(b)(1); 49 CFR 1.46(b))

[CGD 72-62R, 37 FR 20166, Sept. 27, 1972; 37 FR 21481, Oct. 12, 1972, as amended by 40 FR 23743, June 2, 1975; CGD 77-065, 42 FR 31169, June 20, 1977; CGD 89-085, 55 FR 23930, June 13, 1990; CGD 91-002, 58 FR 15236, Mar. 19, 1993]


§ 1.25-45 Special admeasurement services.

If an admeasurer is assigned to measure or certify the tonnage of a vessel at the request of the owner thereof at a place other than a port of entry, a custom station, or port where an officer-in-charge, marine inspection, is located, the owner shall pay the admeasurer’s:


(a) Pay based on the hourly rate for the grade or level of position held or the daily military compensation rate, as appropriate;


(b) Travel expense based on the estimated cost of travel from and return to the nearest port of entry, customs station, or office of an officer-in-charge, marine inspection; and


(c) Daily subsistence expense from the time he leaves his official duty station until he returns thereto.


(Title V, 65 Stat. 268, 290; sec. 6(b)(1), 80 Stat. 937; 31 U.S.C. 483a; 49 U.S.C. 1655(b)(1); 49 CFR 1.46(b))

[CGD 72-62R, 37 FR 20166, Sept. 27, 1972]


§ 1.25-48 Oceanographic research.

(a) Each person allowed by the Coast Guard to join a Coast Guard voyage for the purpose of oceanographic research is charged the cost of each meal that he consumes while on board the Coast Guard vessel.


(b) The person, company, association, or government agency engaging a Coast Guard vessel for an oceanographic research study is charged the daily cost of operating the vessel.


(Title V, 65 Stat. 268, 290; sec. 6(b)(1), 80 Stat. 937; 31 U.S.C. 483a; 49 U.S.C. 1655(b)(1); 49 CFR 1.46(b))

[CGD 72-62R, 37 FR 20167, Sept. 27, 1972]


§ 1.25-80 Payment of fees, charges or sales.

(a) The payment of fees and charges must be made by postal money order or check payable to the “Treasurer of the United States” or “U.S. Coast Guard,” and sent to the office of the Coast Guard performing the service or furnishing or delivering the record, document, or certificate. If copy is to be transmitted by registered, air, or special delivery mail, postal fees therefor will be added to fees provided in this subpart (or the order must include postage stamps or stamped return envelopes).


(b) The fee is payable in advance.


[CGFR 67-13, 32 FR 11211, Aug. 2, 1967]


Subpart 1.26 – Charges for Duplicate Medals, and Sales of Personal Property, Equipment or Services and Rentals


Authority:14 U.S.C. 503; 49 CFR 1.46(k).



Source:CGFR 67-13, 32 FR 11211, Aug. 2, 1967, unless otherwise noted.

§ 1.26-1 Purpose.

(a) The regulations in this subpart establish charges which shall be imposed by the Coast Guard when the Coast Guard sells supplies, equipment, apparatus, temporary shelter, and services under certain specified conditions as authorized by law.


(b) These sales are intended to permit repayment of costs involved in those instances which are ordinarily outside the scope of those distress services with which the Coast Guard is primarily concerned (14 U.S.C. 88), or the equipment and apparatus are not readily procurable in the open market.


§ 1.26-5 Replacement of medals.

(a) A medal, or a bar, emblem, or insignia in lieu thereof, that is lost, destroyed, or rendered unfit for use without fault or neglect on the part of the person to whom it was awarded by the Coast Guard is replaced without charge by the Coast Guard as authorized in 14 U.S.C. 501.


(b) A medal, a bar, emblem or insignia in lieu thereof, that is lost, destroyed, or rendered unfit for use due to the fault or neglect of the person to whom it was awarded, is replaced after the Coast Guard is reimbursed for its cost. Current prices may be obtained from Commander, Personnel Service Center (PSC-PSD-M&A), U.S. Coast Guard Stop 7200, 4200 Wilson Boulevard Suite 1100, Arlington, VA 20598-7200.


(Sec. 1, 63 Stat. 537, 545; sec. 6(b)(1), 80 Stat. 937; 14 U.S.C. 501, 633; 49 U.S.C. 1655(b)(1); 49 CFR 1.46(b))

[CGD 72-207R, 37 FR 25167, Nov. 28, 1972, as amended by CGD 85-077, 51 FR 25366, July 14, 1986; CGD 96-026, 61 FR 33662, June 28, 1996; USCG-2014-0410, 79 FR 38427, July 7, 2014]


§ 1.26-10 Sales to Coast Guard Auxiliary.

(a) The provisions of Title 14, U.S. Code, section 4101, authorizes the Coast Guard to furnish the Coast Guard Auxiliary such items as flags, pennants, uniforms, and insignia at actual cost.


(b) Sales of the following items (when available) are permitted to members of the Auxiliary:


(1) Auxiliary flags and pennants.


(2) Uniforms.


(3) Auxiliary insignia.


(Sec. 4101, 63 Stat. 557 (14 U.S.C. 4101)).

[CGFR 67-13, 32 FR 11211, Aug. 2, 1967, as amended by USCG-2020-0304, 85 FR 58275, Sept. 18, 2020]


§ 1.26-15 Sales of nonexcess personal property and services.

(a) Authority. The provisions of Title 14, U.S. Code, section 901(b), authorizes the Coast Guard to sell apparatus or equipment manufactured by or in use in the Coast Guard, which is not readily procurable in the open market. The provisions of Title 14, U.S. Code, section 654 (Pub. L. 86-159 approved Aug. 14, 1959), authorize the Coast Guard to sell supplies and furnish services to public and commercial vessels, and other watercraft. 49 U.S.C. 44502(d) authorizes the Coast Guard to provide for assistance, the sale of fuel, oil, equipment, and supplies, to an aircraft when necessary to allow the aircraft to continue to the nearest private airport.


(b) Charges established by District Commander. The charges for supplies and services which may be normally expected to be furnished to persons, corporations, companies, vessels, and other watercraft, and non-Federal aircraft will vary between various geographical regions depending on local circumstances. The District Commander is hereby delegated authority to prescribe and he shall establish, in advance wherever practicable, the charges to be imposed and collected in various areas under his jurisdiction, which will be in accordance with the applicable general minimum terms and conditions in the laws and this section. In those cases where the charges have not been established in advance, the matter shall be priced on an individual basis, taking into consideration the facts and circumstances regarding the situation. The list(s) of charges established by the District Commander shall be available for reading and copying at the office of the issuing District Commander, which list(s) will be up-dated and reissued when necessary.


(c) Sales to vessels and other watercraft. (1) The charges imposed for services are intended to permit repayment of costs involved in those instances where supplies and services are furnished to meet the necessities of the circumstances, and such vessels or watercraft are not within the scope of those distress services performed by the Coast Guard.


(2) Charges for sales of supplies and/or furnishing of services are considered appropriate when the furnishing of food, fuel, general stores, or repairs to the vessel or its equipage are primarily for the convenience of the owner, master, or crew, and furnished at his or their request. It is not intended and the Coast Guard does not procure and stock equipment and supplies except as provided for in current instructions issued by competent authority.


(3) Supplies provided and services performed will be of a limited nature consistent with the situation and within the capabilities of the Coast Guard unit concerned; provided this will not be in competition with commercial enterprise when such facilities are available and deemed adequate. It is not intended to permit the operators of vessels or watercraft to take advantage of the Government by demanding free supplies or services. Determination as to whether charges will be made is dependent upon the circumstances involved in each instance. The responsibility to make this determination rests with the District Commander who may delegate it to his subordinates.


(4) The minimum charge for any supplies or services furnished to a vessel or other watercraft shall be $10. The prices for fuels and materials which may be sold will be at Coast Guard cost plus 20 percent or, if readily determinable, at the commercial price in the immediate operating area, whichever is higher. The charges for services furnished a vessel or watercraft will be an average cost equal to the full price, plus taxes, that a boat owner would pay a local commercial concern for such services.


(5) The sales of supplies and services will be documented and will set forth the name, type, and identifying number of the vessel or watercraft receiving supplies or services; name and address of vessel’s owner; and conditions under which it was determined to make a sale to the vessel or watercraft. Wherever possible, payment shall be obtained at the time supplies and services are furnished.


(d) Sales of equipment not readily procurable on the open market. Charges imposed for sales of apparatus and equipment manufactured by or in use in the Coast Guard which, in the opinion of the Commandant (CG-9), is not readily procurable in the open market, are subject to the following conditions:


(1) The apparatus or equipment has not been reported as excess to the General Services Administration (if so reported, requests to purchase will be submitted by the Commandant (CG-9) to the General Services Administration); and,


(2) The apparatus or equipment is not classified for security reasons or is not dangerous to the public health and safety; and,


(3) The authorized buyers of this apparatus or equipment are foreign, State, or municipal governments or governmental units thereof; parties required to maintain private aids to navigation; contractors engaged on public works; and in other cases in which, in the judgment of the Commandant (FS), the public interest may be served; and,


(4) The approved sales will be at prices determined by the Commandant (CG-9), which will include an overhead charge not to exceed 25 percent of acquisition cost.


(e) Sales to and storage of non-Federal aircraft. (1) Activities having the necessary supplies and facilities are authorized to furnish fuel, oil, equipment, supplies, mechanical services, temporary storage, or other assistance to any aircraft operated by State, municipal, or private enterprise in emergency cases. Complete engines, airplane wings, or other major items of equipment shall not be furnished without prior authority from the Commandant.


(2) Aircraft damaged to the extent that major repairs are required may be given emergency storage at the request of the pilot, provided the necessary facilities are available. No such aircraft will be given a major or minor overhaul. Damaged aircraft may be stored in its original damaged condition. If aircraft requires extensive repairs, such as would include the replacing of major parts and such major parts cannot be made available or supplied within a reasonable length of time by the operator of such aircraft, then the aircraft must be removed from the Coast Guard reservation by the operator without delay.


(3) The Government will not assume any responsibility for any loss or damage incurred by such aircraft while on a Coast Guard reservation and the owner shall be required to remove the aircraft from the reservation at the earliest practicable date.


(4) Storage charges for such aircraft on a Coast Guard reservation shall be as follows:


(i) For the first 6 working days, no charge;


(ii) For each calendar day thereafter, $3 for a single motor plane and $5 for a dual or multiengine plane.


(5) In the absence of any information to the contrary regarding a particular item or material, the price at which the item is carried in stock, or on the Plant Property Record (book price) will be regarded as the fair market value.


(6) When materials or services or both materials and services are furnished an aircraft, a deposit equal to the estimated value of such services and materials as will be required shall be obtained in advance of the rendition of the services and issuance of the materials.


(7) The charges for mechanical services rendered (other than in connection with the arrival, refueling, and departure of airplanes) shall be an hourly charge for labor, with a minimum of 1 hour, which shall be the equivalent to the schedule of wage rates for civilian personnel for the district (i.e., machinists, helpers, etc.), regardless of whether the services are performed by enlisted or civilian personnel.


(Sec. 1107, 72 Stat. 798, as amended; sec. 641, 63 Stat. 547, as amended; sec. 1, 73 Stat. 357; 49 U.S.C. 1507; 14 U.S.C. 901(b), 942)

[CGFR 67-13, 32 FR 11211, Aug. 2, 1967, as amended by USCG-1998-3799, 63 FR 35525, June 30, 1998; USCG-2020-0304, 85 FR 58275, Sept. 18, 2020]


§ 1.26-20 Sales to eligible foreign governments.

(a) Policy of United States. The Congressional policy is set forth in Title 22, U.S. Code, section 2351. The Executive Order No. 10973 dated November 3, 1961 (26 FR 10469), describes the administration of foreign assistance and related functions.


(b) Diplomatic transactions. Sales of Coast Guard material under reimbursable aid will be by direction of the Commandant (CG-9) and as approved by the Office of the Chief of Naval Operations. Reimbursable aid transactions are diplomatic transactions and are negotiated primarily between the respective foreign military attaché or other representatives of their embassy in Washington, DC, and the Office of the Chief of Naval Operations. Prices will be based on material cost only and estimates will not include packing, crating, and handling or transportation costs. Under reimbursable aid, transportation costs are borne by the purchasing country and shipments are usually accomplished on collect commercial bills of lading.


§ 1.26-25 Payment of charges.

(a) The payment of charges shall be by postal money order or check payable to “U.S. Coast Guard,” and given or sent to the office of the Coast Guard performing the service or furnishing the supplies, equipment, etc.


PART 2 – JURISDICTION


Authority:14 U.S.C. 503; 33 U.S.C. 70031; Public Law 89-670, 80 Stat. 931, 49 U.S.C. 108; Public Law 107-296, 116 Stat. 2135, 2249, 6 U.S.C. 101 note and 468; Department of Homeland Security Delegation No. 0170.1.



Source:USCG-2001-9044, 68 FR 42598, July 18, 2003, unless otherwise noted.

Subpart A – General

§ 2.1 Purpose.

(a) The purpose of this part is to define terms the Coast Guard uses in regulations, policies, and procedures, to determine whether it has jurisdiction on certain waters in cases where specific jurisdictional definitions are not otherwise provided.


(b) Figure 2.1 is a visual aid to assist you in understanding this part.



§ 2.5 Specific definitions control.

In cases where a particular statute, regulation, policy or procedure provides a specific jurisdictional definition that differs from the definitions contained in this part, the former definition controls.



Note to § 2.5:

For example, the definition of “inland waters” in the Inland Navigational Rules Act of 1980 (33 U.S.C. 2003(o)) would control the interpretation of inland navigation rules created under that Act and the “inland waters” definition in 46 CFR 10.107 would control regulations in 46 CFR part 10. Also, in various laws administered and enforced by the Coast Guard, the terms “State” and “United States” are defined to include some or all of the territories and possessions of the United States. The definitions in §§ 2.36 and 2.38 should be considered as supplementary to these statutory definitions and not as interpretive of them.


[USCG-2001-9044, 68 FR 42598, July 18, 2003, as amended by USCG-2020-0304, 85 FR 58275, Sept. 18, 2020]


Subpart B – Jurisdictional Terms

§ 2.20 Territorial sea baseline.

Territorial sea baseline means the line defining the shoreward extent of the territorial sea of the United States drawn according to the principles, as recognized by the United States, of the Convention on the Territorial Sea and the Contiguous Zone, 15 U.S.T. 1606, and the 1982 United Nations Convention on the Law of the Sea (UNCLOS), 21 I.L.M. 1261. Normally, the territorial sea baseline is the mean low water line along the coast of the United States.



Note to § 2.20:

Charts depicting the territorial sea baseline are available for examination in accordance with § 1.10-5 of this chapter.


§ 2.22 Territorial sea.

(a) With respect to the United States, the following apply –


(1) Territorial sea means the waters, 12 nautical miles wide, adjacent to the coast of the United States and seaward of the territorial sea baseline, for –


(i) Statutes included within subtitle II, subtitle VI, and subtitle VII, title 46, U.S.C.; the Act of June 15, 1917, as amended (46 U.S.C. 70051-70054); and the Vessel Bridge-to-Bridge Radiotelephone Act (33 U.S.C. 1201-1208), and any regulations issued under the authority of these statutes.


(ii) Purposes of criminal jurisdiction pursuant to Title 18, United States Code.


(iii) The special maritime and territorial jurisdiction as defined in 18 U.S.C. 7.


(iv) Interpreting international law.


(v) Any other treaty, statute, or regulation, or amendment thereto, interpreted by the Coast Guard as incorporating the definition of territorial sea as being 12 nautical miles wide, adjacent to the coast of the United States and seaward of the territorial sea baseline.


(2) Unless otherwise specified in paragraph (a)(1) of this section, territorial sea means the waters, 3 nautical miles wide, adjacent to the coast of the United States and seaward of the territorial sea baseline.


(3) In cases where regulations are promulgated under the authority of statutes covered by both paragraphs (a)(1) and (a)(2) of this section, the Coast Guard may use the definition of territorial sea in paragraph (a)(1) of this section.


(b) With respect to any other nation, territorial sea means the waters adjacent to its coast that have a width and baseline recognized by the United States.


[USCG-2001-9044, 68 FR 42598, July 18, 2003, as amended by USCG-2003-14792, 68 FR 60470, Oct. 22, 2003; USCG-2020-0304, 85 FR 58275, Sept. 18, 2020]


§ 2.24 Internal waters.

(a) With respect to the United States, internal waters means the waters shoreward of the territorial sea baseline.


(b) With respect to any other nation, internal waters means the waters shoreward of its territorial sea baseline, as recognized by the United States.


§ 2.26 Inland waters.

Inland waters means the waters shoreward of the territorial sea baseline.


§ 2.28 Contiguous zone.

(a) For the purposes of the Federal Water Pollution Control Act (33 U.S.C. 1251 et seq.), contiguous zone means the zone, 9 nautical miles wide, adjacent to and seaward of the territorial sea, as defined in § 2.22(a)(2), that was declared to exist in Department of State Public Notice 358 of June 1, 1972 and that extends from 3 nautical miles to 12 nautical miles as measured from the territorial sea baseline.


(b) For all other purposes, contiguous zone means all waters within the area adjacent to and seaward of the territorial sea, as defined in § 2.22(a), and extending to 24 nautical miles from the territorial sea baseline, but in no case extending within the territorial sea of another nation, as declared in Presidential Proclamation 7219 of September 2, 1999 (113 Stat. 2138).


§ 2.30 Exclusive Economic Zone.

(a) With respect to the United States, including the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, Guam, American Samoa, the United States Virgin Islands, and any other territory or possession over which the United States exercises sovereignty, exclusive economic zone means the zone seaward of and adjacent to the territorial sea, as defined in § 2.22(a), including the contiguous zone, and extending 200 nautical miles from the territorial sea baseline (except where otherwise limited by treaty or other agreement recognized by the United States) in which the United States has the sovereign rights and jurisdiction and all nations have the high seas freedoms mentioned in Presidential Proclamation 5030 of March 10, 1983.


(b) Under customary international law as reflected in Article 55 of the 1982 United Nations Convention on the Law of the Sea, and with respect to other nations, exclusive economic zone means the waters seaward of and adjacent to the territorial sea, not extending beyond 200 nautical miles from the territorial sea baseline, as recognized by the United States.


[USCG-2001-9044, 68 FR 42598, July 18, 2003, as amended by USCG-2012-0306, 77 FR 37309, June 21, 2012]


§ 2.32 High seas.

(a) For purposes of special maritime and territorial jurisdiction of the United States as defined in 18 U.S.C. 7, high seas means all waters seaward of the territorial sea baseline.


(b) For the purposes of section 2 of the Act of February 19, 1895, as amended (33 U.S.C. 151) and the Inland Navigational Rules Act of 1980 (33 U.S.C. Chapter 34), high seas means the waters seaward of any lines established under these statutes, including the lines described in part 80 of this chapter and 46 CFR part 7.


(c) For the purposes of 14 U.S.C. 522, 14 U.S.C. 545, 33 U.S.C. 409, and 33 U.S.C. 1471 et seq., high seas includes the exclusive economic zones of the United States and other nations, as well as those waters that are seaward of territorial seas of the United States and other nations.


(d) Under customary international law as reflected in the 1982 United Nations Convention on the Law of the Sea and without prejudice to high seas freedoms that may be exercised within exclusive economic zones pursuant to article 58 of the United Nations Convention on the Law of the Sea, and unless the context clearly requires otherwise (e.g., The International Convention Relating to Intervention on the High Seas in Cases of Oil Pollution Casualties, 1969, including annexes thereto), high seas means all waters that are not the exclusive economic zone (as defined in § 2.30), territorial sea (as defined in § 2.22), or internal waters of the United States or any other nation.


[USCG-2001-9044, 68 FR 42598, July 18, 2003, as amended by USCG-2007-27887, 72 FR 45902, Aug. 16, 2007; USCG-2020-0304, 85 FR 58275, Sept. 18, 2020;]


§ 2.34 Waters subject to tidal influence; waters subject to the ebb and flow of the tide; mean high water.

(a) Waters subject to tidal influence and waters subject to the ebb and flow of the tide are waters below mean high water. These terms do not include waters above mean high water caused by flood flows, storms, high winds, seismic waves, or other non-lunar phenomena.


(b) Mean high water is the average of the height of the diurnal high water at a particular location measured over a lunar cycle of 19 years.


§ 2.36 Navigable waters of the United States, navigable waters, and territorial waters.

(a) Except as provided in paragraph (b) of this section, navigable waters of the United States, navigable waters, and territorial waters mean, except where Congress has designated them not to be navigable waters of the United States:


(1) Territorial seas of the United States;


(2) Internal waters of the United States that are subject to tidal influence; and


(3) Internal waters of the United States not subject to tidal influence that:


(i) Are or have been used, or are or have been susceptible for use, by themselves or in connection with other waters, as highways for substantial interstate or foreign commerce, notwithstanding natural or man-made obstructions that require portage, or


(ii) A governmental or non-governmental body, having expertise in waterway improvement, determines to be capable of improvement at a reasonable cost (a favorable balance between cost and need) to provide, by themselves or in connection with other waters, as highways for substantial interstate or foreign commerce.


(b) Navigable waters of the United States and navigable waters, as used in sections 311 and 312 of the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1321 and 1322, mean:


(1) Navigable waters of the United States as defined in paragraph (a) of this section and all waters within the United States tributary thereto; and


(2) Other waters over which the Federal Government may exercise Constitutional authority.


§ 2.38 Waters subject to the jurisdiction of the United States; waters over which the United States has jurisdiction.

Waters subject to the jurisdiction of the United States and waters over which the United States has jurisdiction mean the following waters –


(a) Navigable waters of the United States, as defined in § 2.36(a).


(b) Waters, other than those under paragraph (a) of this section, that are located on lands for which the United States has acquired title or controls and –


(1) Has accepted jurisdiction according to 40 U.S.C. 255; or


(2) Has retained concurrent or exclusive jurisdiction from the date that the State in which the lands are located entered the Union.


(c) Waters made subject to the jurisdiction of the United States by operation of the international agreements and statutes relating to the former Trust Territory of the Pacific Islands, and waters within the territories and possessions of the United States.


Subpart C – Availability of Jurisdictional Decisions

§ 2.40 Maintenance of decisions.

(a) From time to time, the Coast Guard makes navigability determinations of specific waterways, or portions thereof, in order to determine its jurisdiction on those waterways. Copies of these determinations are maintained by the District Commander in whose district the waterway is located.


(b) If the district includes portions of the territorial sea, charts reflecting Coast Guard decisions as to the location of the territorial sea baseline for the purposes of Coast Guard jurisdiction are maintained by the District Commander in whose district the portion of the territorial sea is located.


§ 2.45 Decisions subject to change or modification and availability of lists and charts.

The determinations referred to in § 2.40 are subject to change or modification. The determinations are made for Coast Guard use at the request of Coast Guard officials. Determinations made or subsequently changed are available to the public under § 1.10-5(b) of this chapter. Inquiries concerning whether a determination has been made for specific waters, for the purposes of Coast Guard jurisdiction, should be directed to the District Commander of the district in which the waters are located.


PART 3 – COAST GUARD AREAS, DISTRICTS, SECTORS, MARINE INSPECTION ZONES, AND CAPTAIN OF THE PORT ZONES


Authority:14 U.S.C. 501, 504; Public Law 107-296, 116 Stat. 2135; Department of Homeland Security Delegation No. 00170.1, Revision No. 01.2.

Subpart 3.01 – General Provisions

§ 3.01-1 General description.

(a) The Coast Guard’s general organization for the performance of its assigned functions and duties consists of the Commandant, assisted by the Headquarters staff, two Area Offices to act as intermediate echelons of operational command, and District and Sector Offices to provide regional direction and coordination. Area, District, and Sector offices operate within defined geographical areas of the United States, its territories, and possessions, including portions of the high seas adjacent thereto. They are established by the Commandant and their areas of responsibility are described in this part.


(b)(1) The two Coast Guard Areas are the Atlantic Area and the Pacific Area. A Coast Guard Area Commander is in command of a Coast Guard Area. The Atlantic Area Office is collocated with the Fifth Coast Guard District Office. The Pacific Area Office is collocated with the Eleventh Coast Guard District Office. Area Commanders are responsible for determining when operational matters require the coordination of forces and facilities of more than one district.


(2) For search and rescue (SAR) mission execution in the Atlantic Area, Districts may execute SAR missions to the full extent of the Area’s Search and Rescue Region (SRR). Under this plan, Districts in the Atlantic Area will assume SAR Coordinator responsibilities and will act as SAR Mission Coordinator for any case prosecuted within their expanded regions. The exact coordinates of Atlantic Area’s SRR can be found in the United States National Search and Rescue Supplement to the International Aeronautical and Maritime Search and Rescue Manual.


(c) A Coast Guard District Commander is in command of a Coast Guard District and the District Commander’s office may be referred to as a Coast Guard District Office. The District Commander’s duties are described in § 1.01-1 of this subchapter.


(d)(1) A Coast Guard Sector Commander is in command of a Coast Guard Sector and the Sector Commander’s office is referred to as a Coast Guard Sector Office. The Sector Commander is responsible for all Coast Guard missions within the sector’s area of responsibility. Unless otherwise specified, the Sector Commander’s authorities include Search and Rescue Mission Coordinator, Federal Maritime Security Coordinator, Federal On-Scene Coordinator, and, in most Sectors, Officer in Charge Marine Inspection (OCMI) and Captain of the Port (COTP). In his or her capacities as OCMI and COTP, the Sector Commander is responsible for a Marine Inspection Zone and COTP Zone.


(2) In some Sectors, a Marine Safety Unit (MSU) retains OCMI and COTP authority over a designated portion of the Sector’s area of responsibility. In such cases, OCMI and COTP authority is exercised by the MSU Commander, not the Sector Commander. The appeal of a COTP order or OCMI matter is routed from the MSU Commander through the Sector Commander and then to the District Commander.


(3) Some specified sectors exercise Search and Rescue Mission Coordinator (SMC) authority over a designated portion of an encompassing sector’s area of responsibility. In such cases, SMC authority is exercised by the encompassed sector, not the encompassing sector. The encompassing sector retains all other authorities (as listed in 33 CFR 3.01-1(d)(1)) over the designated area.


(e) An OCMI is in command of a Marine Inspection Zone and his or her office may be referred to as a Coast Guard Marine Inspection Office. The OCMI’s duties are described in § 1.01-20 of this subchapter.


(f) A COTP is in command of a COTP Zone and his or her office may be referred to as a COTP Office. The COTP’s duties are described in § 1.01-30 of this subchapter.


(g) Each COTP Zone and each Marine Inspection Zone described in this part also includes the United States territorial seas adjacent to the described area or zone for the purpose of enforcing or acting pursuant to a statute effective in the United States territorial seas. Each COTP Zone and each Marine Inspection Zone described in this part also includes the contiguous zone adjacent to the area or zone for the purpose of enforcing or acting pursuant to a statute effective in the contiguous zone, as defined in § 2.28 of this subchapter. Each COTP Zone and each Marine Inspection Zone described in this part also includes the exclusive economic zone (EEZ) adjacent to the area for the purpose of enforcing or acting pursuant to a statute effective in the EEZ, as defined in § 2.30 of this subchapter.


(h) Geographic descriptions used in this part are based upon boundaries and points located using the WGS 1984 world grid system. When referenced, the outermost extent of the U.S. EEZ is the line of demarcation produced by the National Oceanic and Atmospheric Administration (NOAA) using the NAD 1983 coordinate system and projected to the WGS 1984 grid system. Both coordinate systems are geocentric and similar such that they are Global Positioning System (GPS) compatible throughout the area of concern. Resolution is based upon ddmmss readings to tenths of a second. This corresponds to a positional precision of about ±2 meters. Decimal degrees to 5 decimal places correspond to a positional precision of about ±1 meter. State boundaries used to determine points for descriptions of jurisdictional limits were based upon the National Transportation Atlas Database 2003 produced by the Bureau of Transportation Statistics. This data set was produced at a scale of 1:100,000 and theoretically results in a nationwide locational accuracy of about ±50 meters of true position.


[USCG-2006-25556, 72 FR 36318, July 2, 2007, as amended by USCG-2010-0351, 75 FR 36277, June 25, 2010; USCG-2013-0397, 78 FR 39170, July 1, 2013]


§ 3.01-5 Assignment of functions.

Section 888 of Pub. L. 107-296, 116 Stat. 2135, authorizes the Commandant of the Coast Guard to exercise certain functions, powers, and duties vested in the Secretary of Homeland Security by law. The general statements of policy in the rules describing Coast Guard organization are prescribed pursuant to 5 U.S.C. 552 (80 Stat. 383, as amended) and 14 U.S.C. 503 (63 Stat. 545).


[CGFR 70-150, 36 FR 910, Jan. 20, 1971, as amended by USCG-2003-14505, 68 FR 9534, Feb. 28, 2003; USCG-2020-0304, 85 FR 58275, Sept. 18, 2020]


Subpart 3.04 – Coast Guard Areas

§ 3.04-1 Atlantic Area.

(a) The Area Office is in Portsmouth, VA.


(b) The Atlantic Area is comprised of the land areas and U.S. navigable waters of the First, Fifth, Seventh, Eighth and Ninth Coast Guard Districts and the ocean areas lying east of a line extending from the North Pole south along 95° W. longitude to the North American land mass; thence along the east coast of the North, Central, and South American land mass to the intersection with 70° W. longitude; thence due south to the South Pole. These waters extend east to the Eastern Hemisphere dividing line between the Atlantic and Pacific Areas which lies along a line extending from the North Pole south along 100° E. longitude to the Asian land mass and along a line extending from the South Pole north along 17° E. longitude to the African land mass.


(c)(1) Activities Europe is a part of Atlantic Area. Activities Europe’s office is located in Schinnen, the Netherlands. The boundaries of Activities Europe’s Marine Inspection Zone coincide with the boundaries of the Atlantic Area, which are described in paragraph (b) of this section, excluding the First, Fifth, Seventh, Eighth, and Ninth Coast Guard Districts.


(2) Only for this part, the boundary between Activities Europe and Activities Far East Marine Inspection Zones is demarked by a southerly line bisecting the border of the Republic of India and the Islamic Republic of Pakistan.


[CGFR 70-150, 36 FR 910, Jan. 20, 1971, as amended by CGD 87-008, 52 FR 13083, Apr. 21, 1987; CGD 96-025, 61 FR 29959, June 13, 1996; USCG-2016-0498, 82 FR 35079, July 28, 2017]


§ 3.04-3 Pacific Area.

(a) The Area Office is in Alameda, CA.


(b) The Pacific Area is comprised of the land areas and the U.S. navigable waters of the Eleventh, Thirteenth, Fourteenth, and Seventeenth Coast Guard Districts and the ocean areas lying west of a line extending from the North Pole south along 95° W. longitude to the North American land mass; thence along the west coast of the North, Central, and South American land mass to the intersection with 70° W. longitude; thence due south to the South Pole. These waters extend west to the Eastern Hemisphere dividing line between the Atlantic and Pacific Areas which lies along a line extending from the North Pole south along 100° E. longitude to the Asian land mass and along a line extending from the South Pole north along 17° E. longitude to the African land mass.


[CGFR 70-150, 36 FR 910, Jan. 20, 1971, as amended by CGD 87-008, 52 FR 13084, Apr. 21, 1987; CGD 96-025, 61 FR 29959, June 13, 1996]


Subpart 3.05 – First Coast Guard District

§ 3.05-1 First district.

(a) The District Office is in Boston, Massachusetts.


(b) The First Coast Guard District is comprised of: Maine; New Hampshire; Vermont; Massachusetts; Rhode Island; Connecticut; New York except that part north of latitude 42° N. and west of longitude 74°39′ W; that part of New Jersey north of 40°18′ N. latitude, east of 74°30.5′ W. longitude, and northeast of a line from 40°18′ N. 74°30.5′ W. north-northwesterly to the New York, New Jersey & Pennsylvania boundaries at Tristate; all U.S. Naval reservations on shore at Newfoundland; the ocean area encompassed by the Search and Rescue boundary between Canada and the United States easterly to longitude 63° W.; thence due south to latitude 41° N.; thence southwesterly along a line bearing 219°T to the point of intersection at 37° N. latitude, 67°13′ W. longitude with a line bearing 122°T from the New Jersey shoreline at 40°18′ N. latitude (just south of the Shrewsbury River); thence northwesterly along this line to the coast.


[CGFR 61-40, 26 FR 10344, Nov. 3, 1961, as amended by CGD 87-008, 52 FR 13084, Apr. 21, 1987; CGD 96-016, 61 FR 21958, May 13, 1996]


§ 3.05-10 Sector Boston Marine Inspection Zone and Captain of the Port Zone.

Sector Boston’s office is located in Boston, MA. The boundaries of Sector Boston’s Marine Inspection Zone and Captain of the Port Zone start at the boundary of the Massachusetts-New Hampshire coasts at latitude 42°52′20″ N, long 70°49′02″ W; thence proceeding east to the outermost extent of the EEZ at a point latitude 42°52′18″ N, longitude 67°43′53″ W; thence southeast along the outermost extent of the EEZ to a point at latitude 42°08′00″ N, longitude 67°08′17″ W; thence west to a point at latitude 42°08′00″ N, longitude 70°15′00″ W; thence southwest to the Massachusetts coast near Manomet Point at latitude 41°55′00″ N, longitude 70°33′00″ W; thence northwest to latitude 42°04′00″ N, longitude 71°06′00″ W; thence to the Massachusetts-Rhode Island boundary at a point latitude 42°01′08″ N, longitude 71°22′53″ W; thence west along the southern boundary of Massachusetts, except the waters of Congamond Lakes, to the Massachusetts-New York boundary at latitude 42°02′59″ N, longitude 73°29′49″ W; thence north along the Massachusetts-New York boundary to the Massachusetts-New York-Vermont boundaries at a point latitude 42°44′45″ N, longitude 73°15′54″ W; thence east along the entire extent of the northern Massachusetts boundary to the point of origin.


[USCG-2006-25556, 72 FR 36319, July 2, 2007]


§ 3.05-15 Sector Northern New England Marine Inspection Zone and Captain of the Port Zone.

Sector Northern New England’s office is located in Portland, ME. The boundaries of Sector Northern New England’s Marine Inspection Zone and Captain of the Port Zone start at the boundary of the Massachusetts-New Hampshire coast at latitude 42°52′20″ N, longitude 70°49′02″ W; thence proceeding east to the outermost extent of the EEZ at a point latitude 42°52′18″ N, longitude 67°43′53″ W; thence proceeding north along the outermost extent of the EEZ to the United States-Canadian boundary; thence west along the United States-Canadian boundary and along the outermost extent of the EEZ to a point at latitude 44°59′58″ N, longitude 74°39′00″ W; thence south to latitude 43°36′00″ N, longitude 74°39′00″ W; thence east through Whitehall, NY, to the New York-Vermont border at latitude 43°33′2.8″ N, longitude 73°15′01″ W; thence south along the Vermont boundary to the Massachusetts boundary at latitude 42°44′45″ N, longitude 73°15′54″ W; thence east along the entire extent of the northern Massachusetts boundary to the point of origin.


[USCG-2006-25556, 72 FR 36319, July 2, 2007]


§ 3.05-20 Sector Southeastern New England Marine Inspection Zone and Captain of the Port Zone.

Sector Southeastern New England’s office is located in Wood’s Hole, MA. The boundaries of Sector Southeastern New England’s Marine Inspection Zone and Captain of the Port Zone start on the Massachusetts coast at Manomet Point at latitude 41°55′00″ N, longitude 70°33′00″ W; thence northeast to latitude 42°08′00″ N, longitude 70°15′00″ W; thence east to the outermost extent of the EEZ at latitude 42°08′00″ N, longitude 67°08′17″ W; thence south along the outermost extent of the EEZ to latitude 38°24′45″ N, longitude 67°41′26″ W; thence northwest to a point near Watch Hill Light, RI, at latitude 41°18′14″ N, longitude 71°51′30″ W; thence northeast to Westerly, RI, at latitude 41°21′00″ N, longitude 71°48′30″ W; thence north to latitude 41°25′00″ N, longitude 71°48′00″ W; thence north along the Connecticut-Rhode Island boundary, including the waters of Beach Pond, to the Massachusetts boundary; thence east along the Massachusetts-Rhode Island boundary to the northeastern most corner of Rhode Island; thence northeast to latitude 42°04′00″ N, longitude 71°06′00″ W; thence southeast to the point of origin.


[USCG-2006-25556, 72 FR 36319, July 2, 2007, as amended by USCG-2014-0410, 79 FR 38427, July 7, 2014]


§ 3.05-30 Sector New York Marine Inspection Zone and Captain of the Port Zone.

Sector New York’s office is located in New York City, NY. The boundaries of Sector New York’s Marine Inspection Zone and Captain of the Port Zone start near the south shore of Long Island at latitude 40°35′24″ N, longitude 73°46′36″ W proceeding southeast to a point at latitude 38°28′00″ N, longitude 70°11′00″ W; thence northwest to a point near the New Jersey coast at latitude 40°18′00″ N, longitude 73°58′40″ W; thence west along latitude 40°18′00″ N to longitude 74°30′30″ W; thence northwest to the intersection of the New York-New Jersey-Pennsylvania boundaries near Tristate at latitude 41°21′27″ N, longitude 74°41′42″ W; thence northwest along the east bank of the Delaware River to latitude 42°00′00″ N, longitude 75°21′28″ W; thence east to longitude 74°39′00″ W; thence north to latitude 43°36′00″ N; thence east through Whitehall, NY, to the New York-Vermont border at latitude 43°33′03″ N, longitude 73°15′01″ W; thence south along the New York boundary to latitude 41°01′30″ N, longitude 73°40′00″ W; thence south to a point near the southern shore of Manursing Island at latitude 40°58′00″ N, longitude 73°40′00″ W; thence southeasterly to latitude 40°52′30″ N, longitude 73°37′12″ W; thence south to latitude 40°40′00″ N, longitude 73°40′00″ W; thence southwest to the point of origin.


[USCG-2006-25556, 72 FR 36319, July 2, 2007]


§ 3.05-35 Sector Long Island Sound Marine Inspection Zone and Captain of the Port Zone.

Sector Long Island Sound’s office is located in New Haven, CT. The boundaries of Sector Long Island Sound’s Marine Inspection Zone and Captain of the Port Zone start near the south shore of Long Island at latitude 40°35′24″ N, longitude 73°46′36″ W proceeding northeast to latitude 40°40′00″ N, longitude 73°40′00″ W; thence to latitude 40°52′30″ N, longitude 73°37′12″ W; thence northwest to a point near the southern shore of Manursing Island at latitude 40°58′00″ N, longitude 73°40′00″ W; thence north to the Connecticut-New York boundary at latitude 41°01′30″ N, longitude 73°40′00″ W; thence north along the western boundary of Connecticut to the Massachusetts-Connecticut boundary at latitude 42°02′59″ N, longitude 73°29′15″ W; thence east along the southern boundary of Massachusetts, including the waters of the Congamond Lakes, to the Rhode Island boundary at latitude 42°00′29″ N, longitude 71°47′57″ W; thence south along the Connecticut-Rhode Island boundary, excluding the waters of Beach Pond, to latitude 41°24′00″ N, longitude 71°48′00″ W; thence south to latitude 41°21′00″ N, longitude 71°48′30″ W near Westerly, RI; thence southwest to a point near Watch Hill Light, RI, at latitude 41°18′14″ N, longitude 71°51′30″ W; thence southeast to the outermost extent of the EEZ at a point latitude 38°24′45″ N, longitude 67°41′26″ W; thence southwest along the outermost extent of the EEZ to a point latitude 37°56′50″ N, longitude 69°18′15″ W; thence northwest to latitude 38°28′00″ N, longitude 70°11′00″ W; thence northwest to the point of origin.


[USCG-2006-25556, 72 FR 36319, July 2, 2007]


Subpart 3.25 – Fifth Coast Guard District

§ 3.25-1 Fifth district.

(a) The District Office is in Portsmouth, Va.


(b) The Fifth Coast Guard District is comprised of: North Carolina; Virginia; District of Columbia; Maryland; Delaware; that part of Pennsylvania east of a line drawn along 78°55′ W. longitude south to 41°00′ N. latitude, thence west to 79°00′ W. longitude, and thence south to the Pennsylvania-Maryland boundary; that portion of New Jersey that lies south and west of a line drawn from the New Jersey shoreline at 40°18′ N. latitude (just south of the Shrewsbury River), thence westward to 40°18′ N. latitude, 74°30.5′ W. longitude, thence north-northwesterly to the junction of the New York, New Jersey, and Pennsylvania boundaries at Tristate; and the ocean area encompassed by a line bearing 122°T from the coastal end of the First and Fifth Districts’ land boundary at the intersection of the New Jersey shoreline and 40°18′ N. latitude (just south of the Shrewsbury River) to the southernmost point in the First Coast Guard District (a point located at approximately 37° N. latitude, 67°13′ W. longitude); thence along a line bearing 219°T to the point of intersection with the ocean boundary between the Fifth and Seventh Coast Guard Districts, which is defined as a line bearing 122°T from the coastal end of the Fifth and Seventh Districts’ land boundary at the shoreline at the North Carolina-South Carolina border, point located at approximately 30°55′ N. 73° W.; thence northwesterly along this line to the coast.


[CGFR 61-40, 26 FR 10347, Nov. 3, 1961, as amended by CGD 87-008, 52 FR 13084, Apr. 21, 1987; 52 FR 16480, May 5, 1987; CGD 87-008b, 52 FR 25217, July 6, 1987; CGD 96-016, 61 FR 21959, May 13, 1996]


§ 3.25-05 Sector Delaware Bay Marine Inspection Zone and Captain of the Port Zone.

Sector Delaware Bay’s office is located in Philadelphia, PA. The boundaries of Sector Delaware Bay’s Marine Inspection Zone and Captain of the Port Zone start near the New Jersey coast at latitude 40°18′00″ N, longitude 73°58′40″ W, proceeding west to latitude 40°18′00″ N, longitude 74°30′30″ W, thence north-northwest to the junction of the New York, New Jersey, and Pennsylvania boundaries near Tristate at latitude 41°21′27″ N, longitude 74°41′42″ W; thence northwest along the east bank of the Delaware River to latitude 42°00′00″ N, longitude 75°21′28″ W; thence west along the New York-Pennsylvania boundary to latitude 42°00′00″ N, longitude 78°54′58″ W; thence south to latitude 41°00′00″ N, longitude 78°54′58″ W; thence west to latitude 41°00′00″ N, longitude 79°00′00″ W; thence south to the Pennsylvania-Maryland boundary at latitude 39°43′22″ N, longitude 79°00′00″ W; thence east to the intersection of the Maryland-Delaware boundary at latitude 39°43′22″ N, longitude 75°47′17″ W; thence south along the Maryland-Delaware boundary to latitude 38°27′37″ N, longitude 75°41′35″ W and east along the Maryland-Delaware boundary to and including Fenwick Island Light at latitude 38°27′03″ N, longitude 75°02′55″ W. The offshore boundary starts at Fenwick Island Light and proceeds east to a point at latitude 38°26′25″ N, longitude 74°26′46″ W; thence southeast to latitude 37°19′14″ N, longitude 72°13′13″ W; thence east to the outermost extent of the EEZ at latitude 37°19′14″ N, longitude 71°02′54″ W; thence northeast along the outermost extent of the EEZ to latitude 37°56′50″ N, longitude 69°18′15″ W; thence northwest to latitude 38°28′00″ N, longitude 70°11′00″ W; thence northwest to a point near the New Jersey coast at latitude 40°18′00″ N, longitude 73°58′40″ W.


[USCG-2006-25556, 72 FR 36320, July 2, 2007]


§ 3.25-10 Sector Virginia Marine Inspection Zone and Captain of the Port Zone.

Sector Virginia’ office is located in Portsmouth, VA. The boundaries of Sector Virginia’ Marine Inspection and Captain of the Port Zone start at a point on the Virginia-Maryland boundary at a point 38° 01′36″ N latitude, 75°14′34″ W longitude, thence south east to a point 37°19′14″ N latitude, 72°13′13″ W longitude; thence east to the outermost extent of the EEZ at a point 37°19′14″ N latitude, 71°02′54″ W longitude; thence south along the outermost extent of the EEZ to a point 36°33′00″ N latitude, 71°29′34″ W longitude; thence west to the Virginia-North Carolina boundary at a point 36°33′00″ N latitude, 75°52′00″ W longitude; thence west along the Virginia-North Carolina boundary to the intersection of Virginia-North Carolina-Tennessee at a point 36°35′17″ N latitude, 81°40′38″ W longitude; thence north and west along the Virginia-Tennessee boundary to the intersection of Virginia-Tennessee-Kentucky at a point 36°36′03″ N latitude, 83°40′31″ W longitude; thence northeast along the Virginia State boundary to the intersection of the Virginia-West Virginia State boundaries at a point 39°07′57″ N latitude, 77°49′42″ W longitude; thence southwest along the Loudoun County, VA boundary to the intersection with Fauquier County, VA at a point 39°00′50″ N latitude, 77°57′43″ W longitude; thence east along the Loudoun County, VA boundary to the intersection with Prince William County, VA boundary at a point 38°56′33″ N latitude, 77°39′18″ W longitude; thence south along the Prince William and Fauquier County VA boundaries to the intersection of Fauquier, Prince William, and Stafford County, VA at a point 38°33′24″ N latitude, 77°31′54″ W longitude; thence east along the Prince William and Stafford County, VA boundaries to the western bank of the Potomac River at a point 38°30′13″ N latitude, 77°18′00″ W longitude; thence south along the Stafford County, VA boundary to a point 38°22′30″ N latitude, 77°18′14″ W longitude; thence south and east along the boundary between the southern bank of the Potomac River and Stafford, King George, Westmoreland, and Northumberland Counties in Virginia to a point 37°53′11″ N latitude, 76°14′15″ W longitude; thence east along the Maryland-Virginia boundary as it proceeds across the Chesapeake Bay and Delmarva Peninsula to the point of origin at 38°01′36″ N latitude, 75°14′34″ W longitude.


[USCG-2013-0251, 78 FR 73440, Dec. 6, 2013, as amended by USCG-2019-0943, 85 FR 6805, Feb. 6, 2020]


§ 3.25-15 Sector Maryland-National Capital Region Marine Inspection Zone and Captain of the Port Zone.

Sector Maryland-National Capital Region’s office is located in Baltimore, MD. The boundaries of Sector Maryland-National Capital Region’s Marine Inspection Zone and Captain of the Port Zone start at a point 38°01′36″ N latitude, 75°14′34″ W longitude; thence south east to a point 37°19′14″ N latitude, 72°13′13″ W longitude; thence north west to a point at 38°26′25″ N latitude, 74°26′46″ W longitude; thence west to the intersection of the Maryland-Delaware boundary and the coast at a point 38°27′03″ N latitude, 75°02′ 55″ W longitude; thence west to a point 38°27′15″ N latitude, 75°30′00″ W longitude on the Delaware-Maryland boundary; thence proceeding along the Delaware-Maryland boundary west to a point at 38°27′37″ N latitude, 75°41′35″ W longitude; thence proceeding north to the Maryland-Delaware-Pennsylvania boundary at a point 39°43′22″ N latitude, 75°47′17″ W longitude; thence west along the Pennsylvania-Maryland boundary to the Pennsylvania-Maryland-West Virginia boundary at a point 39°43′16″ N latitude, 79°28′36″ W longitude; thence south and east along the Maryland-West Virginia boundary to the intersection of the Maryland-Virginia-West Virginia boundaries at a point 39°19′17″ N latitude, 77°43′08″ W longitude; thence southwest along the Loudoun County, VA boundary to the intersection with Fauquier County, VA at a point 39°00′50″ N latitude, 77°57′43″ W longitude; thence east along the Loudoun County, VA boundary to the intersection with Prince William County, VA boundary at a point 38°56′33″ N latitude, 77°39′18″ W longitude; thence south along the Prince William and Fauquier County VA boundaries to the intersection of Fauquier, Prince William, and Stafford County, VA at a point 38°33′24″ N latitude, 77°31′54” W longitude; thence south east to a point 38°20′30” N latitude, 77°18′14” W longitude; thence south and east along the boundary between the southern bank of the Potomac River and Stafford, King George, Westmoreland, and Northumberland Counties in Virginia to a point 37°53′11″ N latitude, 76°14′15″ W longitude; thence east along the Maryland-Virginia boundary as it proceeds across the Chesapeake Bay and Delmarva Peninsula to the point of origin at 38°01′36″ N latitude, 75°14′34″ W longitude.


[USCG-2013-0251, 78 FR 73440, Dec. 6, 2013, as amended by USCG-2016-0060, 81 FR 38594, June 14, 2016]


§ 3.25-20 Sector North Carolina Marine Inspection Zone and Captain of the Port Zone.

Sector North Carolina’s office is located in Wilmington, NC. The boundary of Sector North Carolina’s Marine Inspection Zone and Captain of the Port Zone starts at the sea on the North Carolina-Virginia border at 36 deg 33.04 min N. latitude, 75 deg 52.05 min W. longitude, and proceeds westerly along the North Carolina-Virginia boundary to the Tennessee boundary; thence southwesterly along the North Carolina-Tennessee boundary to the Georgia boundary and then to the South Carolina boundary; thence easterly along the North Carolina-South Carolina boundary on the sea at 33 deg 51.06 min N. latitude, 78 deg 32.46 min W. longitude. The offshore boundary starts at the North Carolina-South Carolina border and proceeds southeasterly to the outermost extent of the EEZ at 31 deg 42.1 min N. latitude, 74 deg 30.75 min W. longitude; thence northeasterly along the outermost extent of the Exclusive Economic Zone to a point at 36 deg 32.99 min N. latitude, 71 deg 29.56 min W. longitude; thence west to the North Carolina-Virginia border at a point 36 deg 33.04 min N. latitude, 75 deg 52.05 min W. longitude.


[USCG-2011-0368, 76 FR 26605, May 9, 2011]


Subpart 3.35 – Seventh Coast Guard District

§ 3.35-1 Seventh district.

(a) The District Office is in Miami, Fla.


(b) The Seventh Coast Guard District is comprised of the states of South Carolina, Georgia and Florida, except for that part of Georgia and Florida west of a line starting at the Florida coast at longitude 084°04′34″ W. (30° 05′45″ N., 084°04′34″ W.) proceeding northerly along the boundary between Wakulla and Jefferson counties to position 30°15′00″ N., 084°04′33″ W.; thence due west to a position 30°15′ N., 84°45′ W.; thence due north to the intersection with the south shore of the Jim Woodruff Reservoir; thence along the east bank of the Jim Woodruff Reservoir and the east bank of the Flint River up stream to Montezuma, GA, thence northwesterly to West Point, GA. Also included is the Panama Canal Zone, all the island possessions of the United States pertaining to Puerto Rico and the U.S. Virgin Islands; and the U.S. Naval reservations in the islands of the West Indies and on the north coast of South America. The ocean areas are those portions of the western North Atlantic, Caribbean Sea, Gulf of Mexico and the Straits of Florida areas encompassed by a line originating at the state boundary between North Carolina and South Carolina, and extending southeasterly through 30°57′ N., 73°06′ W. and 29°00′ N., 69°19′ W. to 12°00′ N., 43°00′ W.; thence southwesterly to 10°00′ N., 48°00′ W.; thence westerly to 09°20′ N., 57°00′ W.; thence due west to the coastline of South America; thence westerly and northerly along the north coast of South America, and the eastern coasts of Central America and Mexico to the Yucatan Peninsula at 21°25′ N., 87°11′ W.; thence along a line 019° T to the intersection of longitude 83°50′ W. and the western coastline of Florida (30°00′ N., 83°50′ W.).


[CGFR 61-40, 26 FR 10348, Nov. 3, 1961, as amended by CGFR 70-150, 36 FR 911, Jan. 20, 1971; USCG-1999-5832, 64 FR 34711, June 29, 1999; USCG-2015-0433, 80 FR 44278, July 27, 2015]


§ 3.35-10 Sector Miami Marine Inspection Zone and Captain of the Port Zone.

Sector Miami’s office is located in Miami, FL. The boundaries of Sector Miami’s Marine Inspection Zone and Captain of the Port Zone start at the outermost extent of the EEZ at latitude 28°00′00″ N, longitude 79°23′34″ W, proceeding west to latitude 28°00′00″ N, longitude 81°30′00″ W; thence south to the northern boundary of Collier County, FL, at longitude 81°30′00″ W; thence following along the boundaries of Collier County east along the northern boundary to the eastern boundary and then south along the eastern boundary to the southern boundary of Collier County; thence south along the western boundary of Miami-Dade County to the sea at latitude 25°10′36″ N, longitude 80°51′29″ W; thence east along the southern boundary of Miami-Dade County to latitude 25°24′52″ N, longitude 80°19′39″ W; thence southeast to the outermost extent of the EEZ at latitude 25°11′34″ N, longitude 79°41′31″ W; thence north along the outermost extent of the EEZ to the point of origin.


[USCG-2006-25556, 72 FR 36321, July 2, 2007]


§ 3.35-15 Sector Charleston Marine Inspection Zone and Captain of the Port Zone; Marine Safety Unit Savannah.

Sector Charleston’s office is located in Charleston, SC. A subordinate unit, Marine Safety Unit (MSU) Savannah, is located in Savannah, GA.


(a) Sector Charleston’s Marine Inspection Zone and Captain of the Port Zone start at the intersection of the North Carolina-South Carolina boundaries and the sea at latitude 33°51′04″ N, longitude 78°32′28″ W, proceeding west along the North Carolina-South Carolina boundary to the intersection of the North Carolina-South Carolina-Georgia boundaries; thence south along the South Carolina-Georgia boundary to the intersection with the Federal dam at the southern end of Hartwell Reservoir at latitude 34°21′30″ N, longitude 82°49′15″ W; thence south along the eastern bank and then east along the northern bank of the Savannah River to the sea at latitude 32°02′23″ N, longitude 80°53′06″ W, near the eastern tip of Oyster Bed Island; thence east on a line bearing 084° T to latitude 32°03′00″ N, longitude 80°45′00″ W; thence southeast on a line bearing 122° T to latitude 30°50′00″ N, longitude 78°35′00″ W; thence east to the outermost extent of the EEZ at latitude 30°50′00″ N, longitude 76°09′54″ W; thence northeast along the outermost extent of the EEZ to latitude 31°42′32″ N, longitude 74°29′53″ W; thence northwest to the point of origin; and in addition, all the area described in paragraph (b) of this section.


(b) The boundaries of the MSU Savannah Marine Inspection and Captain of the Port Zones start near the eastern tip of Oyster Bed Island at latitude 32°02′23″ N, longitude 80°53′06″ W, proceeding west along the northern bank and then north along the eastern bank of the Savannah River to the intersection of the South Carolina-Georgia boundary with the Federal dam at the southern end of Hartwell Reservoir, at latitude 34°21′30″ N, longitude 82°49′15″ W; thence north along the South Carolina-Georgia boundary to the intersection of the North Carolina-South Carolina-Georgia boundaries; thence west along the Georgia-North Carolina boundary and continuing west along the Georgia-Tennessee boundary to the intersection of the Georgia-Tennessee-Alabama boundaries; thence south along the Georgia-Alabama boundary to latitude 32°53′00″ N; thence southeast to the eastern bank of the Flint River at latitude 32°20′00″ N; thence south along the eastern bank of the Flint River and continuing south along the eastern shore of Seminole Lake to latitude 30°45′57″ N, longitude 84°45′00″ W; thence south along longitude 84°45′00″ W to the Florida boundary; thence east along the Florida-Georgia boundary to longitude 82°15′00″ W; thence north to latitude 30°50′00″ N, longitude 82°15′00″ W; thence east to the outermost extent of the EEZ at latitude 30°50′00″ N, longitude 76°09′54″ W; thence northwest to latitude 32°03′06″ N, longitude 80°45′00″ W; thence southwest to the point of origin. The boundary includes all the waters of the Savannah River including adjacent waterfront facilities in South Carolina.


[USCG-2006-25556, 72 FR 36321, July 2, 2007]


§ 3.35-20 Sector Jacksonville Marine Inspection Zone and Captain of the Port Zone.

Sector Jacksonville’s office is located in Jacksonville, FL. The boundaries of Sector Jacksonville’s Marine Inspection Zone and Captain of the Port Zone start at the outermost extent of the EEZ at latitude 30°50′00″ N, longitude 76°09′54″ W, proceeding west to latitude 30°50′00″ N, longitude 82°15′00″ W; thence south to the intersection of the Florida-Georgia boundary at longitude 82°15′00″ W; thence west along the Florida-Georgia boundary to longitude 83°00′00″ W; thence southeast to latitude 28°00′00″ N, 81°30′00″ W; thence east to the outermost extent of the EEZ at latitude 28°00′00″ N, longitude 79°23′34″ W; thence northeast along the outermost extent of the EEZ to the point of origin.


[USCG-2006-25556, 72 FR 36322, July 2, 2007]


§ 3.35-25 Sector San Juan Marine Inspection Zone and Captain of the Port Zone.

Sector San Juan’s office is located in San Juan, PR. The boundaries of Sector San Juan’s Marine Inspection Zone and Captain of the Port Zone comprise both the Commonwealth of Puerto Rico and the Territory of the Virgin Islands, and the waters adjacent to both, in an area enclosed by the outermost extents of the EEZ, subject to existing laws and regulations.


[USCG-2006-25556, 72 FR 36322, July 2, 2007]


§ 3.35-35 Sector St. Petersburg Marine Inspection Zone and Captain of the Port Zone.

Sector St. Petersburg’s sector office is located in St. Petersburg, FL. The boundaries of Sector St. Petersburg’s Marine Inspection Zone and Captain of the Port Zone start at the Florida coast at30°05′45″ N., 084°04′34″ W., proceeding northerly along the boundary between Wakulla and Jefferson counties to position 30°15′00″ N., 084°04′33″ W.; thence west to latitude 30°15′00″ N, longitude 84°45′00″ W; thence north to the Florida-Georgia boundary at longitude 84°45′00″ W; thence east along the Florida-Georgia boundary to longitude 83°00′00″ W; thence southeast to latitude 28°00′00″ N, longitude 81°30′00″ W; thence south along 81°30′00″ W to the northern boundary of Collier County, FL, and then following along the boundaries of Collier County, east along the northern boundary to the eastern boundary and then south along the eastern boundary to the southern boundary and then west along the southern boundary to latitude 25°48′12″ N, longitude 81°20′39″ W; thence southwest to the outermost extent of the EEZ at latitude 24°18′57″ N, longitude 84°50′48″ W; thence west along the outermost extent of the EEZ to latitude 24°48′13″ N, longitude 85°50′05″ W; thence northeast to position 29°23′09″ N., 084°04′34″ W.; thence due north the point of origin.


[USCG-2006-25556, 72 FR 36322, July 2, 2007, as amended by USCG-2015-0433, 80 FR 44278, July 27, 2015]


§ 3.35-40 Sector Key West Marine Inspection Zone and Captain of the Port Zone.

Sector Key West’s office is located in Key West, FL. The boundaries of Sector Key West’s Marine Inspection Zone and Captain of the Port Zone start at the outermost extent of the EEZ at latitude 25°11′34″ N, longitude 79°41′31″ W, proceeding northeast to the Miami-Dade County, FL boundary at latitude 25°24′52″ N, longitude 80°19′39″ W; thence west along the southern boundary of Miami-Dade County to the western boundary at latitude 25°10′36″ N, longitude 80°51′29″ W; thence north along the western boundary of Miami-Dade County to the southern boundary of Collier County, FL; thence west along the southern boundary of Collier County to latitude 25°48′12″ N, longitude 81°20′39″ W; thence southwest to the outermost extent of the EEZ at latitude 24°18′57″ N, longitude 84°50′48″ W; thence east and then north along the outermost extent of the EEZ to the point of origin.


[USCG-2006-25556, 72 FR 36322, July 2, 2007]


Subpart 3.40 – Eighth Coast Guard District

§ 3.40-1 Eighth district.

(a) The District Office is in New Orleans, La.


(b) The Eighth Coast Guard District is comprised of North Dakota, South Dakota, Wyoming, Nebraska, Iowa, Colorado, Kansas, Missouri, Kentucky, West Virginia, Tennessee, Arkansas, Oklahoma, New Mexico, Texas, Louisiana, Mississippi, and Alabama; that part of Pennsylvania south of 41° N. latitude and west of 79° W. longitude; those parts of Ohio and Indiana south of 41° N. latitude; Illinois, except that part north of 41° N. latitude and east of 90° W. longitude; that part of Wisconsin south of 46°20′ N. latitude and west of 90° W. longitude; that part of Minnesota south of 46°20′ N. latitude; those parts of Florida and Georgia west of a line starting at the Florida coast at longitude 084°04′34″ W. (30°05′45″ N., 084°04′34″ W.) proceeding northerly along the boundary between Wakulla and Jefferson counties to position 30°15′00″ N., 084°04′33″ W.; thence due west to 30°15′ N. latitude, 84°45′ W. longitude; thence due north to the southern bank of the Jim Woodruff Reservoir at 84°45′ W. longitude; thence northeasterly along the eastern bank of the Jim Woodruff Reservoir and northerly along the eastern bank of the Flint River to Montezuma, GA.; thence northwesterly to West Point, GA.; and the Gulf of Mexico area west of a line proceeding due south from the intersection of the Florida coast at longitude 084°04′34″ W. (30°15′45″ N., 084°04′34″ W.) to position 29°23′09″ N., 084°04′34″ W., then bearing 199°T to the extent of the EEZ. [DATUM NAD83]


[CGFR 67-15, 32 FR 5270, Mar. 29, 1967, as amended by CGD 77-167, 43 FR 2372, Jan. 16, 1978; CGD 96-025, 61 FR 29959, June 13, 1996; USCG-2015-0433, 80 FR 44278, July 27, 2015]


§ 3.40-5 Eighth District Outer Continental Shelf Marine Inspection Zone.

(a) A separate marine inspection zone, with an office located in New Orleans, Louisiana, performs the OCMI functions defined in 33 CFR 1.01-20 for all MODUs and fixed and floating OCS facilities, as those terms are defined in 33 CFR 140.10, engaged in OCS activities wherever located in the Eighth Coast Guard District.


(b) Notwithstanding the OCMI inspection authority held by Eighth Coast Guard District Sector Commanders and Marine Safety Unit Commanders in § 3.01-1(d), the Chief, Outer Continental Shelf Division at the Eighth Coast Guard District, shall serve as the Officer in Charge, Marine Inspection, for this Marine Inspection Zone and shall be known as the Eighth District Outer Continental Shelf Officer in Charge, Marine Inspection. The District Commander resolves any conflict between the functions of this marine inspection zone and any geographically based marine inspection zones described in 33 CFR 3.40-10, 3.40-15, 3.40-28, 3.40-35, 3.40-40, 3.40-60, or 3.40.65.


[USCG-2013-0491, 80 FR 20162, Apr. 15, 2015]


§ 3.40-10 Sector Mobile Marine Inspection Zone and Captain of the Port Zone.

Sector Mobile’s office is located in Mobile, AL. Subject to the overriding provisions of § 3.40-5, the boundaries of Sector Mobile’s Marine Inspection Zone and Captain of the Port Zone start near the Florida coast at latitude 30°05′45″ N., 084°04′34″ W. proceeding northerly along the boundary between Wakulla and Jefferson counties to position 30°15′00″ N., 084°04′33″ W.; thence west to latitude 30°15′00″ N, longitude 84°45′00″ W; thence north to a point near the southern bank of the Seminole Lake at latitude 30°45′57″ N, longitude 84°45′00″ W; thence northeast along the eastern bank of the Seminole Lake and north along the eastern bank of the Flint River to latitude 32°20′00″ N, longitude 84°01′51″ W; thence northwest to the intersection of the Georgia-Alabama border at latitude 32°53′00″ N; thence north along the Georgia-Alabama border to the southern boundary of Dekalb County, AL, thence west along the northern boundaries of Cherokee, Etowah, Blount, Cullman, Winston, and Marion Counties, AL, to the Mississippi-Alabama border; thence north along the Mississippi-Alabama border to the southern boundary of Tishomingo County, MS, at the Mississippi-Tennessee border; thence west along the southern boundaries of Tishomingo and Prentiss Counties; thence north along the western boundaries of Prentiss and Alcorn Counties; thence west along the northern boundaries of Tippah, Benton, and Marshall Counties, MS; thence south and west along the eastern and southern boundaries of DeSoto, Tunica, Coahoma, Bolivar, and Washington Counties, MS; thence east along the northern boundary of Humphreys and Holmes Counties, MS; thence south along the eastern and southern boundaries of Holmes, Yazoo, Warren, Claiborne, Jefferson, Adams, and Wilkinson Counties, MS; thence east from the southernmost intersection of Wilkinson and Amite Counties, MS, to the west bank of the Pearl River; thence south along the west bank of the Pearl River to longitude 89°31′48″ W (at the mouth of the river); thence south along longitude 89°31′48″ W to latitude 30°10′00″ N; thence east along latitude 30°10′00″ N to longitude 89°10′00″ W; thence southeast to latitude 29°00′00″ N, longitude 88°00′00″ W; thence south along longitude 88°00′00″ W to the outermost extent of the EEZ; thence east along the outermost extent of the EEZ to the intersection with a line bearing 199°T from with a line bearing 199°T from 29°23′09″ N., 084°04′34″ W. to the EEZ (24°48′13″ N., 085°50′05″ W.); thence northeast to 29°23′09″ N., 084°04′34″ W.”; thence due north to the Florida coast at longitude 084°04′34″ W. (30°05′45″ N., 084°04′34″ W.).


[USCG-2006-25556, 72 FR 36322, July 2, 2007, as amended by USCG-2013-0491, 80 FR 20163, Apr. 15, 2015; USCG-2015-0433, 80 FR 44278, July 27, 2015]


§ 3.40-15 Sector New Orleans Marine Inspection Zone and Captain of the Port Zone; Marine Safety Unit Houma.

Sector New Orleans’ office is located in New Orleans, LA. A subordinate unit, Marine Safety Unit (MSU) Houma, is located in Houma, LA.


(a) Subject to the overriding provisions of § 3.40-5, Sector New Orleans’ Marine Inspection Zone and Captain of the Port Zone starts at latitude 30°10′00″ N, longitude 89°10′00″ W; thence west along latitude 30°10′00″ N to longitude 89°31′48″ W; thence north along longitude 89°31′48″ W to the west bank of the Pearl River (at the mouth of the river); thence north along the west bank of the Pearl River to latitude 31°00′00″ N; thence west along latitude 31°00′00″ N to the east bank of the Mississippi River; thence south along the east bank to mile 303.0, thence west to the west bank at mile 303.0; thence north to the southern boundary of the Old River Lock Structure, thence west along the south bank of the Lower Old River, to the intersection with the Red River; thence west along the south bank of the Red River to Rapides Parish, thence south along the western boundaries of Avoyelles, Evangeline, Acadia and Vermillion Parishes to the intersection of the sea and longitude 92°37′00″ W; thence south along longitude 92°37′00″ W to the outermost extent of the EEZ; thence east along the outermost extent of the EEZ to longitude 88°00′00″ W; thence north along longitude 88°00′00″ W to latitude 29°00′00″ N; thence northwest to latitude 30°10′00″ N, longitude 89°10′00″ W; and in addition, all the area described in paragraph (b) of this section.


(b) The boundaries of the MSU Houma Marine Inspection and Captain of the Port Zones start at latitude 28°50′00″ N, longitude 88°00′00″ W.; thence proceeds west to latitude 28°50′00″ N., longitude 89°27′06″ W.; thence northwest to latitude 29°18′00″ N, longitude 90°00′00″ W; thence northwest along the northern boundaries of Lafourche, Assumption, Iberia, and St. Martin Parishes, Louisiana; thence northwest along the northern boundary of Lafayette and Acadia Parishes, Louisiana; thence south along the west boundary of Acadia and Vermillion Parishes, Louisiana to the Louisiana Coast at longitude 92°37′00″ W, thence south along longitude 92°37′00″ W to the outermost extent of the EEZ; thence east along the outermost extent of the EEZ to longitude 88°00′00″ W.; thence north to latitude 28°50′00″ N, longitude 88°00′00″ W.


[USCG-2006-25556, 72 FR 36322, July 2, 2007, as amended by USCG-2013-0491, 80 FR 20163, Apr. 15, 2015; USCG-2017-0436, 82 FR 27616, June 16, 2017]


§ 3.40-28 Sector Houston-Galveston Marine Inspection Zone and Captain of the Port Zone; Marine Safety Unit Port Arthur.

Sector Houston-Galveston’s office is located in Houston, TX. A subordinate unit, Marine Safety Unit (MSU) Port Arthur, is located in Port Arthur, TX.


(a) Subject to the overriding provisions of § 3.40-5, Sector Houston-Galveston’s Marine Inspection Zone and Captain of the Port Zone start near the intersection of the western boundary of Vermillion Parish, LA, and the sea at latitude 29°34′45″ N, longitude 92°37′00″ W, proceeding north along the eastern and southern boundaries of Cameron, Jefferson Davis, Allen, and Rapides Parishes, LA, to the southern bank of the Red River; thence northwest along the south bank of the Red River to the northern boundary of Red River Parish, LA; thence west along the northern boundary of Red River Parish and DeSoto Parish, LA, to the Louisiana-Texas border; thence north along the Louisiana-Texas border to the Texas-Arkansas border at the northern boundary of Bowie County, TX; thence west along the Texas-Arkansas border to the Texas-Oklahoma border; thence northwest along the Texas-Oklahoma border to the southern shore of Lake Texoma in Grayson County, TX; thence west along the northern shore of Lake Texoma to the Texas-Oklahoma border; thence west along the Texas-Oklahoma border to the Texas-New Mexico border, including all portions of the Red River; thence south along the Texas-New Mexico border to the southern boundary of Andrews County, TX; thence southeast along the western and southern boundaries of Andrews, Midland, Glasscock, Sterling, Tom Green, Concho, McCulloch, San Saba, Lampasas, Bell, Williamson, Lee, Washington, and Austin Counties, TX to the intersection of Colorado County, Texas; thence along the northern and eastern boundary of Colorado County to the east bank of the Colorado River; thence south along the east bank of the Colorado River to the sea; thence southeast along a line bearing 140° T to the outermost extent of the EEZ at latitude 25°59′50″ N, longitude 93°32′21″ W; thence east along the outermost extent of the EEZ to latitude 26°03′27″ N, longitude 92°37′00″ W; thence north along longitude 92°37′00″ W to the Louisiana Coast; and in addition, all the area described in paragraph (b) of this section.


(b) The boundaries of the MSU Port Arthur Marine Inspection and Captain of the Port Zones start at the intersection of the sea and longitude 92°37′00″ W; thence north along the eastern and southern boundaries of Cameron, Jefferson Davis, Allen, and Rapides Parishes, Louisiana to the southern bank of the Red River; thence northwest along the southern bank of the Red River to the northern boundary of Red River Parish, Louisiana; thence west along the northern boundary of Red River Parish and Desoto Parish, Louisiana to the Louisiana-Texas border; thence north along the Louisiana-Texas border to the Texas-Arkansas border at the northern boundary of Bowie County, Texas; thence north along the Texas-Arkansas border to the Texas-Oklahoma border; thence west along the Texas-Oklahoma border to the northwest-most boundary of Fannin County, Texas, including all portions of the Red River; thence south along the western and southern boundaries of Fannin, Hunt, Kaufman, Henderson, Anderson, Houston, Trinity, Polk, Hardin, and Jefferson Counties, Texas to the sea at longitude 94°25′00″ W; thence southeast to latitude 29°00′00″ N, longitude 93°40′00″ W; thence southeast to latitude 27°50′00″ N, longitude 93°24′00″ W; thence south along longitude 93°24′00″ W to the outermost extent of the EEZ; thence east along the outermost extent of the EEZ to longitude 92°37′00″ W; thence north along longitude 92°37′00″ W to the Louisiana Coast.


[USCG-2006-25556, 72 FR 36323, July 2, 2007, as amended by USCG-2014-0410, 79 FR 38427, July 7, 2014; USCG-2013-0491, 80 FR 20163, Apr. 15, 2015]


§ 3.40-35 Sector Corpus Christi Marine Inspection Zone and Captain of the Port Zone.

Sector Corpus Christi’s office is located in Corpus Christi, TX. Subject to the overriding provisions of § 3.40-5, the boundaries of Sector Corpus Christi’s Marine Inspection Zone and Captain of the Port Zone start at the junction of the sea and the east bank of the Colorado River at latitude 28°35′44″ N, longitude 95°58′48″ W, proceeding north along the east bank of the Colorado River to Colorado County, TX; thence southwest along the northern boundary of Wharton County, TX; thence northwest along the eastern and northern boundaries of Colorado, Fayette, Bastrop, Travis, Burnet, Llano, Mason, Menard, Schletcher, Irion, Reagan, Upton, and Ector Counties, TX; thence west along the northern boundary of Ector and Winkler Counties, TX, to the Texas-New Mexico border; thence north along the New Mexico border to the New Mexico-Colorado border; thence west along the New Mexico-Colorado border to the intersection of New Mexico, Colorado, Utah, and Arizona borders; thence south along the New Mexico-Arizona border to the United States-Mexican border; thence southeast along the United States-Mexican border to the outermost extent of the EEZ at latitude 25°57′22″ N, longitude 97°08′20″ W; thence east along the outermost extent of the EEZ to latitude 25°59′50″ N, longitude 93°32′21″ W; thence northwest to the point of origin.


[USCG-2006-25556, 72 FR 36323, July 2, 2007, as amended by USCG-2013-0491, 80 FR 20163, Apr. 15, 2015]


§ 3.40-40 Sector Upper Mississippi River Marine Inspection Zone and Captain of the Port Zone.

Sector Upper Mississippi River’s office is located in St. Louis, MO. Subject to the overriding provisions of § 3.40-5, the boundaries of Sector Upper Mississippi River’s Marine Inspection Zone and Captain of the Port Zone include all of Wyoming except for Sweetwater County; all of North Dakota, South Dakota, Nebraska, Colorado, Kansas, and Iowa; all of Missouri with the exception of Perry, Cape Girardeau, Scott, Mississippi, New Madrid, Dunklin, and Pemiscot Counties; that part of Minnesota south of latitude 46°20′00″ N; that part of Wisconsin south of latitude 46°20′00″ N, and west of longitude 90°00′00″ W; that part of Illinois west of longitude 90°00′00″ W and north of latitude 41°00′00″ N; that part of Illinois south of latitude 41°00′00″ N, except for Jackson, Williamson, Saline, Gellatin, Union, Johnson, Pope, Hardin, Alexander, Pulaski, and Massac Counties; that part of the Upper Mississippi River above mile 109.9, including both banks, and that part of the Illinois River below latitude 41°00′00″ N.


[USCG-2006-25556, 72 FR 36324, July 2, 2007, as amended by USCG-2013-0491, 80 FR 20163, Apr. 15, 2015]


§ 3.40-60 Sector Lower Mississippi River Marine Inspection Zone and Captain of the Port Zone.

Sector Lower Mississippi River’s office is located in Memphis, TN. Subject to the overriding provisions of § 3.40-5, the boundaries of Sector Lower Mississippi River’s Marine Inspection Zone and Captain of the Port Zone include all of Arkansas and all of Oklahoma with the exception of the Red River and Lake Texoma; in Missouri: Dunklin and Pemiscot Counties. In Tennessee: Dyer, Lauderdale, Obion, Tipton, and Shelby Counties, and all portions of Lake County with the exception of the area north and west of a line drawn from Mississippi River at latitude 36°20′00 N and longitude 89°32′30″ W due east to Highway 78 thence northeast along Highway 78 to the Kentucky-Tennessee state line; in Mississippi: Desoto, Tunica, Coahoma, Bolivar, Washington, Humphreys, Holmes, Sharkey, Yazoo, Issaquena, Warren, Claiborne, Jefferson, Adams, and Wilkinson Counties; in Louisiana, all the areas north of a line drawn from the east bank of the Mississippi River at the Louisiana-Mississippi border, thence south along the east bank to mile 303.0, thence west to the west bank at mile 303.0, thence north to the southern boundary of the Old River Lock Structure, thence west along the southern bank of the Lower Old River, to the intersection with the Red River, thence west and northwest along the southern bank of the Red River to the northern-most boundary of Red River Parish, thence west along the northern boundary of Red River Parish and DeSoto Parish to the Texas-Louisiana Border, including Lasalle, Caldwell, Caddo, Bossier, Webster, Claiborne, Union, Morehouse, West Carroll, East Carroll, Madison, Richland, Ouachita, Lincoln, Jackson, Bienville, Winn, Grant, Franklin, Tensas, Catahoula, and Concordia Parishes; those parts of Avoyelles, Natchitoches, Rapides, and Red River Parishes north of the Red River, and that part of West Feliciana Parish north of the Lower Old River; that part of the Lower Mississippi River below mile 869.0 and above mile 303; and all of the Red River below the Arkansas-Oklahoma border.


[USCG-2006-25556, 72 FR 36324, July 2, 2007, as amended by USCG-2013-0491, 80 FR 20163, Apr. 15, 2015]


§ 3.40-65 Sector Ohio Valley Marine Inspection Zone and Captain of the Port Zone; Marine Safety Unit Pittsburgh.

Sector Ohio Valley’s office is located in Louisville, KY. A subordinate unit, Marine Safety Unit (MSU) Pittsburgh, is located in Pittsburgh, PA.


(a) Subject to the overriding provisions of § 3.40-5, Sector Ohio Valley’s Marine Inspection Zone and Captain of the Port Zone comprise all of Kentucky and West Virginia; in Missouri: Perry, Cape Girardeau, Scott, Mississippi and New Madrid Counties; in Tennessee: that portion of Lake County north and west of a line drawn from the Mississippi River at latitude 36°20′00″ N and longitude 89°32′30″ W due east to Highway 78, thence northeast along Highway 78 to the Kentucky-Tennessee state line, and all other counties in Tennessee except Shelby, Tipton, Lauderdale, Dyer and Obion Counties; in Alabama: Colbert, Franklin, Lawrence, Morgan, Marshall, Lauderdale, Limestone, Madison, Jackson and DeKalb Counties; in Mississippi: Alcorn, Prentiss and Tishomingo Counties; that portion of Pennsylvania south of latitude 41°00′00″ N and west of longitude 79°00′00″ W; those parts of Indiana and Ohio south of latitude 41°00′00″ N; in Illinois: Jackson, Williamson, Saline, Gallatin, Union, Johnson, Pope, Hardin, Alexander, Pulaski, and Massac Counties, and in Randolph County, that part of the Upper Mississippi River below mile 109.9, including both banks; and that part of the Lower Mississippi River above mile 869.0 ; and in addition, all the area described in paragraph (b) of this section.


(b) The boundaries of the MSU Pittsburgh Marine Inspection and Captain of the Port Zones include that portion of Pennsylvania south of latitude 41°00′00″ N and west of longitude 79°00′00″ W; in West Virginia: Preston, Monongalia, Marion, Marshall, Ohio, Brooke, and Hancock Counties, and that part of the Ohio River north of a line drawn from latitude 39°39′18″ N (approximately mile 127.2) on the Ohio River, just below the Hannibal Lock and Dam; and in Ohio: Stark, Columbiana, Tuscarawas, Carroll, Harrison, Jefferson, and Belmont Counties, and those parts of Summit, Portage, and Mahoning Counties south of latitude 41°00′00″N.


[USCG-2006-25556, 72 FR 36324, July 2, 2007, as amended by USCG-2013-0491, 80 FR 20163, Apr. 15, 2015]


Subpart 3.45 – Ninth Coast Guard District


Source:CGD 79-011, 44 FR 33401, June 11, 1979, unless otherwise noted.

§ 3.45-1 Ninth district.

(a) The District Office is in Cleveland Ohio.


(b) The Ninth Coast Guard District comprise Michigan, New York north of latitude 42° N. and west of longitude 74°39′ W.; Pennsylvania north of latitude 41° and west of longitude 78°55′ W.; that part of Ohio and Indiana north of latitude 41° N.; that part of Illinois north of latitude 41° N. and east of longitude 90° W.; Wisconsin, except that part south of latitude 46°20′ N. and west of longitude 90° W.; and that part of Minnesota north of latitude 46°20′ N.


[CGFR 61-40, 26 FR 10350, Nov. 3, 1961, as amended by CGFR 71-85, 36 FR 16577, Aug. 24, 1971]


§ 3.45-10 Sector Buffalo Marine Inspection Zone and Captain of the Port Zone.

Sector Buffalo’s office is located in Buffalo, NY. The boundaries of Sector Buffalo’s Marine Inspection Zone and Captain of the Port Zone include all navigable waters of the United States and contiguous land areas within the boundaries of an area starting from a point on the international boundary in Lake Erie at latitude 42°19′24″ N, longitude 80°31′10″ W, proceeding southwest along the international boundary to a point at latitude 41°40′36″ N, longitude 82°25′00″ W; thence south to latitude 41°00′00″ N; thence east to longitude 78°54′58″ W; thence north to latitude 42°00′00″ N; thence east to the east bank of the Delaware River at latitude 42°00′00″ N, longitude 75°21′28″ W; thence east to longitude 74°39′00″ W; thence north to the international boundary at a point at latitude 44°59′58″ N, longitude 74°39′00″ W; thence southeast along the international boundary to the starting point.


[USCG-2006-25556, 72 FR 36324, July 2, 2007]


§ 3.45-15 Sector Lake Michigan Marine Inspection Zone and Captain of the Port Zone.

Sector Lake Michigan’s office is located in Milwaukee, WI. The boundaries of Sector Lake Michigan’s Marine Inspection Zone and Captain of the Port Zone include all navigable waters of the United States and contiguous land areas within the boundaries of an area starting from a point at latitude 44°43′00″ N, longitude 84°30′00″ W, proceeding due west to longitude 85°40′00″ W; thence northwest to the eastern shore of Lake Michigan at latitude 45°01′00″ N; thence northwest to latitude 45°22′30″ N, longitude 86°19′00″ W; thence northeast to latitude 45°41′00″ N, longitude 86°06′00″ W; thence northwest to latitude 46°20′00″ N, longitude 87°22′00″ W; thence west to latitude 46°20′00″ N, longitude 90°00′00″ W; thence south to latitude 41°00′00″ N; thence east to the Ohio-Indiana border at latitude 41°00′00″ N, longitude 84°48′12″ W; thence north along the Ohio-Indiana border to the intersection of the Ohio-Indiana-Michigan border at latitude 41°41′59″ N, longitude 84°48′22″ W; thence east along the Ohio-Michigan border to latitude 41°42′13″ N, longitude 84°30′00″ W; thence north to the start point.


[USCG-2009-0929, 76 FR 13510, Mar. 14, 2011]


§ 3.45-20 Sector Detroit Marine Inspection Zone and Captain of the Port Zone.

Sector Detroit’s office is located in Detroit, MI. The boundaries of Sector Detroit’s Marine Inspection Zone and Captain of the Port Zone include all navigable waters of the United States and contiguous land areas within the boundaries of an area starting from a point at latitude 41°00′00″ N, longitude 84°48′12″ W on the Ohio-Indiana boundary, proceeding east to longitude 82°25′00″ W; thence north to the international boundary in Lake Erie at latitude 41°40′36″ N, longitude 82°25′00″ W; thence north along the international boundary to latitude 44°43′00″ N in Lake Huron; thence due west to latitude 44°43′00″ N, longitude 84°30′00″ W; thence south to the Michigan-Ohio boundary at latitude 41°42′13″ N; thence west along the Michigan-Ohio boundary to the Ohio-Michigan-Indiana boundary at latitude 41°41′46″ N, longitude 84°48′22″ W; thence south along the Ohio-Indiana boundary to the starting point.


[USCG-2009-0929, 76 FR 13510, Mar. 14, 2011]


§ 3.45-45 Sector Sault Ste. Marie Marine Inspection Zone and Captain of the Port Zone; Marine Safety Unit Duluth.

Sector Sault Ste. Marie’s office is located in Sault Ste. Marie, MI. A subordinate unit, Marine Safety Unit (MSU) Duluth, is located in Duluth, MN.


(a) Sector Sault Ste. Marie’s Marine Inspection Zone and Captain of the Port Zone comprise all navigable waters of the United States and contiguous land areas within an area starting from a point at latitude 44°43′00″ N on the international boundary within Lake Huron; proceeding due west to longitude 85°40′00″ W; thence northwest to the eastern shore of Lake Michigan at latitude 45°01′00″ N; thence northwest to latitude 45°22′30″ N, longitude 86°19′00″ W; thence northeast to latitude 45°41′00″ N, longitude 86°06′00″ W; thence northwest to latitude 46°20′00″ N, longitude 87°22′00″ W; thence west to the Minnesota-North Dakota boundary at latitude 46°20′00″ N, longitude 96°36′30″ W; thence north along the Minnesota-North Dakota boundary to the intersection of the Minnesota-North Dakota boundary and the international boundary at latitude 49°00′02″ N, longitude 97°13′46″ W; thence east along the international boundary to the starting point; and in addition, all the area described in paragraph (b) of this section.


(b) The boundaries of the MSU Duluth Marine Inspection and Captain of the Port Zones comprise all navigable waters of the United States and contiguous land areas within an area starting at a point latitude 46°20′00″ N, longitude 88°30′00″ W, proceeding west to the Minnesota-North Dakota boundary at latitude 46°20′00″ N, longitude 96°36′30″ W; thence north along the Minnesota-North Dakota boundary to the intersection of the Minnesota-North Dakota boundary and the international boundary at latitude 49°00′02″ N, longitude 97°13′46″ W; thence east along the international boundary to a point at latitude 47°59′23″ N, longitude 87°35′10″ W; thence south to a point near Manitou Island Light at latitude 47°25′09″ N, longitude 87°35′10″ W; thence southwest to a point near the shore of Lake Superior at latitude 46°51′51″ N, longitude 87°45′00″ W; thence southwest to the point of origin.


[USCG-2009-0929, 76 FR 13510, Mar. 14, 2011]


Subpart 3.55 – Eleventh Coast Guard District

§ 3.55-1 Eleventh district.

(a) The District Office is in Alameda, California.


(b) The Eleventh Coast Guard District is comprised of: Arizona; Utah; Nevada; California; and the ocean area bounded by a line from the California-Oregon state line westerly to 40° N. latitude, 150° W. longitude; thence southeasterly to 5° S. latitude, 110° W. longitude; thence northeasterly to the border between Guatemala and Mexico on the Pacific Coast (14°38′ N. latitude, 92°19′ W. longitude).


[CGFR 61-40, 26 FR 10351, Nov. 3, 1961, as amended by CGD 87-008, 52 FR 13084, Apr. 21, 1987; CGD 96-025, 61 FR 29959, June 13, 1996]


§ 3.55-10 Sector Los Angeles-Long Beach Marine Inspection Zone and Captain of the Port Zone.

Sector Los Angeles-Long Beach’s (LA-LB) office is located in San Pedro, CA. The boundaries of Sector LA-LB’s Marine Inspection Zone and Captain of the Port Zone start at a point near the intersection of Monterey County and San Luis Obispo County and the California coast at latitude 35°47′43″ N, longitude 121°20′51″ W, proceeding southwest to the outermost extent of the EEZ at latitude 34°05′05″ N, longitude 124°56′43″ W; thence south along the outermost extent of the EEZ to latitude 32°01′17″ N, longitude 123°37′22″ W; thence northeast to the intersection of Orange County and San Diego County and the California coast at latitude 33°23′12″ N, longitude 117°35′45″ W; thence including all of Orange County, Riverside County, Ventura County, Los Angeles County, San Bernardino County, Santa Barbara County, Kern County, and San Luis Obispo County in California.


[USCG-2006-25556, 72 FR 36325, July 2, 2007]


§ 3.55-15 Sector San Diego Marine Inspection Zone and Captain of the Port Zone.

Sector San Diego’s office is located in San Diego, CA. The boundaries of Sector San Diego’s Marine Inspection Zone and Captain of the Port Zone start at a point near the intersection of Orange County and San Diego County and the coast at latitude 33°23′12″ N, longitude 117°35′45″ W, proceeding southwest to the outermost extent of the EEZ at latitude 32°01′17″ N, longitude 123°37′22″ W; thence south along the outermost extent of the EEZ to the intersection of the maritime boundary with Mexico at latitude 30°32′31″ N, longitude 121°51′58″ W; thence east along the maritime boundary with Mexico to its intersection with the California coast at latitude 32°32′03″ N, longitude 117°07′29″ W; thence including Imperial County and San Diego County in California; all of Arizona; Washington, Kane, San Juan, and Garfield Counties in Utah; and Clark County in Nevada.


[USCG-2006-25556, 72 FR 36325, July 2, 2007]


§ 3.55-20 Sector San Francisco: San Francisco Bay Marine Inspection Zone and Captain of the Port Zone.

The Sector San Francisco office is located in San Francisco, CA. The boundaries of Sector San Francisco’s San Francisco Bay Marine Inspection and Captain of the Port Zones comprise the land masses and waters of Wyoming within the boundaries of Sweetwater County; Utah, except for Washington, Kane, San Juan, and Garfield Counties; Nevada, except for Clark County; and California, north of San Luis Obispo, Kern, and San Bernardino Counties. It also includes all ocean waters and islands contained therein of the EEZ bounded on the north by the northern boundary of the Eleventh Coast Guard District, which is described in § 3.55-1; and on the south by a line bearing 240 °T from the intersection of the Monterey-San Luis Obispo Count lines (approximately 35°47.5′00″ N latitude) and the California coast to the outermost extent of the EEZ; and on the west by the outermost extent of the EEZ.


[USCG-2006-25556, 72 FR 36326, July 2, 2007]


§ 3.55-25 Sector Humboldt Bay Search and Rescue Mission Coordinator Zone.

The Sector Humboldt Bay office is located in McKinleyville, CA. The boundaries of Sector Humboldt Bay’s Search and Rescue Mission Coordinator Zone start in the north by a line bearing 264T from the coastal point of the Oregon-California border (42°00.0′ N./124°13.0′ W.), on the south by a line bearing 270T from the coastal point of the Mendecino-Sonoma County, CA, border (38°47.0′ N./123°30.0′ W.), and on the west by the outermost extent of the exclusive economic zone (EEZ). The inland Area of Responsibility (AOR) includes the entirety of the following California counties: Del Norte, Humboldt, Mendecino, Siskiyou, Trinity, Shasta, Tehama, Glenn, Lake, Colusa, Butte, Plumas, Lassen, and Modoc.


[USCG-2013-0397, 78 FR 39170, July 1, 2013]


Subpart 3.65 – Thirteenth Coast Guard District

§ 3.65-1 Thirteenth district.

(a) The District Office is in Seattle, Wash.


(b) The Thirteenth Coast Guard District shall comprise Washington, Oregon, Idaho, and Montana; and the ocean area bounded by a line from California-Oregon state line westerly to latitude 40° N. longitude, 150° W., thence northeasterly to latitude 54°40′ N., longitude 140° W., thence due east to the Canadian coast.


[CGFR 61-40, 26 FR 10352, Nov. 3, 1961]


§ 3.65-10 Sector Puget Sound Marine Inspection Zone and Captain of the Port Zone.

Sector Puget Sound’s office is located in Seattle, WA. The boundaries of Sector Puget Sound’s Marine Inspection and Captain of the Port Zones start at latitude 48°29′35″ N, longitude 124°43′45″ W, proceeding along the Canadian border east to the Montana-North Dakota boundary; thence south along this boundary to the Wyoming state line; thence west and south along the Montana-Wyoming boundary to the Idaho state line; thence northwest along the Montana-Idaho boundary to latitude 46°55′00″ N; thence west along latitude 46°55′00″ N to longitude 123°18′00″ W; thence north to a point latitude 47°32′00″ N, longitude 123°18′00″ W; thence west along latitude 47°32′00″ N to the outermost extent of the EEZ; thence northeast along the outermost extent of the EEZ to the Canadian border; thence east along the Canadian border to the point of origin.


[USCG-2010-0351, 75 FR 47212, Aug. 5, 2010]


§ 3.65-15 Sector Columbia River Marine Inspection Zone and Captain of the Port Zone.

Sector Columbia River’s office is located in Astoria, OR. The boundaries of Sector Columbia River’s Marine Inspection and Captain of the Port Zones start at the Washington coast at latitude 47°32′00″ N, longitude 124°21′15″ W, proceeding along this latitude east to latitude 47°32′00″ N, longitude 123°18′00″ W; thence south to latitude 46°55′00″ N, longitude 123°18′00″ W; thence east along this latitude to the eastern Idaho state line; thence southeast along the Idaho state line to the intersection of the Idaho-Wyoming boundary; thence south along the Idaho-Wyoming boundary to the intersection of the Idaho-Utah-Wyoming boundaries; thence west along the southern border of Idaho to Oregon and then west along the southern border of Oregon to the coast at latitude 41°59′54″ N, longitude 124°12′42″ W; thence west along the southern boundary of the Thirteenth Coast Guard District, which is described in § 3.65-10, to the outermost extent of the EEZ at latitude 41°38′35″ N, 128°51′26″ W; thence north along the outermost extent of the EEZ to latitude 47°32′00″ N; thence east to the point of origin.


[USCG-2010-0351, 75 FR 48565, Aug. 11, 2010]


§ 3.65-20 Sector North Bend Search and Rescue Mission Coordinator Zone.

The Sector North Bend office is located in North Bend, OR. The boundaries of Sector North Bend’s Search and Rescue Mission Coordinator Zone start at a point 45°12.0′ N. latitude, 123°18.0′ W. longitude and proceeds southward along the 123°18.0′ W. longitude, to a point 42°00.0′ N. latitude, 123°18.0′ W. longitude; thence westerly along 42°0.00′ N. latitude to the sea. The offshore boundary is bounded on the south by the southern boundary of the 13th Coast Guard District, which is described in § 3.65-10, to the outermost extent of the EEZ; thence northerly along the outermost extent of the EEZ to 45°12.0′ N. latitude; thence easterly along 45°12.0′ N. latitude to a point 45°12.0′ N. latitude, 123°18.0′ W. longitude. Sector North Bend’s search and rescue mission coordination responsibilities extend from its eastern most boundary seaward to 50 nautical miles west of the coastline.


[USCG-2013-0397, 78 FR 39170, July 1, 2013]


Subpart 3.70 – Fourteenth Coast Guard District

§ 3.70-1 Fourteenth district.

(a) The District Office is in Honolulu, Hawaii.


(b) The Fourteenth Coast Guard District shall comprise the State of Hawaii; and the Pacific Islands belonging to the United States south of latitude 40° N., and west of a line running from 40° N., 150° W. through latitude 5° S., 110° W.; the ocean area west and south of a line running from position 51° N., 158° E. to position 43° N., 165° E.; thence due south to latitude 40° N.; thence due east to longitude 150° W.; thence southeasterly through latitude 5° S., longitude 110° W.


[CGFR 61-40, 26 FR 10352, Nov. 3, 1961, as amended by CGFR 70-150, 36 FR 912, Jan. 20, 1971]


§ 3.70-10 Sector Honolulu Marine Inspection Zone and Captain of the Port Zone.

Sector Honolulu’s office is located in Honolulu, HI. The boundaries of Sector Honolulu’s Marine Inspection Zone and Captain of the Port Zone comprise the State of Hawaii, including all the islands and atolls of the Hawaiian chain and the adjacent waters of the exclusive economic zone (EEZ); and the following islands and their adjacent waters of the EEZ: American Samoa, Johnston Atoll, Palmyra Atoll, Kingman Reef, Wake Island, Jarvis Island, Howland and Baker Islands, and Midway Island. Sector Honolulu’s Marine Inspection Zone also includes the Independent State of Samoa.


[USCG-2010-0351, 75 FR 36277, June 25, 2010]


§ 3.70-15 U.S. Coast Guard Forces Micronesia/Sector Guam Marine Inspection Zone and Captain of the Port Zone.

U.S. Coast Guard Forces Micronesia/Sector Guam’s office is located in Santa Rita, Guam. The boundaries of U.S. Coast Guard Forces Micronesia/Sector Guam’s Marine Inspection Zone and Captain of the Port Zone comprise the Territory of Guam and the adjacent waters of the EEZ, and the Commonwealth of the Northern Mariana Islands and the adjacent waters of the EEZ. U.S. Coast Guard Forces Micronesia/Sector Guam’s Marine Inspection Zone also includes the Republic of Palau, the Republic of the Marshall Islands, and the Federated States of Micronesia.


[USCG-2022-0429, 87 FR 48446, Aug. 9, 2022]


§ 3.70-20 Activities Far East Marine Inspection Zone.

(a) Activities Far East’s office is located in Yokota, Japan. The boundaries of Activities Far East’s Marine Inspection Zone coincide with the boundaries of the Fourteenth Coast Guard District, which are described in § 3.70-1, excluding those areas within the Honolulu and Guam Marine Inspection Zones, as described in this part.


(b) Only for this part, the boundary between Activities Far East and Activities Europe Marine Inspection Zones is demarked by a southerly line bisecting the border of the Republic of India and the Islamic Republic of Pakistan.


[USCG-2010-0351, 75 FR 36277, June 25, 2010]


Subpart 3.85 – Seventeenth Coast Guard District

§ 3.85-1 Seventeenth district.

(a) The District Office is in Juneau, Alaska.


(b) The Seventeenth Coast Guard District shall comprise the State of Alaska; the ocean area bounded by a line from the Canadian Coast at latitude 54°40′ N. due west to longitude 140° W.; thence southwesterly to position 40° N., 150° W.; thence due west to position 40° N., 165° E.; thence due north to latitude 43° N.; thence northwesterly to 51° N., 158° E.; thence north and east along the coastline of the continent of Asia to East Cape; thence north to the Arctic Ocean.


[CGFR 61-40, 26 FR 10353, Nov. 3, 1961, as amended by CGFR 70-150, 36 FR 912, Jan. 20, 1971]


§ 3.85-10 Sector Juneau: Southeast Alaska Marine Inspection Zone and Captain of the Port Zones.

Sector Juneau’s office is located in Juneau, AK. The boundaries of Sector Juneau’s Southeast Alaska Marine Inspection and Captain of the Port Zones start at latitude 60°01′18″ N, longitude 142°00′00″ W, proceeding northeast to the EEZ near the Canadian border at latitude 60°18′24″ N, longitude 141°00′00″ W; thence south and east along the EEZ on the United States-Canadian shore side boundary to the intersection of the Canadian coast and the Coast Guard District Seventeen southern border at latitude 54°40′00″ N, longitude 131°15′06″ W; thence west along the southern border of Coast Guard District Seventeen to the intersection with the outermost extent of the EEZ at latitude 54°38′11″ N, longitude 140°01′26″ W; thence north along the outermost extent of the EEZ to latitude 56°14′50″ N, longitude 142°00′00″ W; thence north to the point of origin.


[USCG-2006-25556, 72 FR 36326, July 2, 2007]


§ 3.85-15 Sector Anchorage: Western Alaska Marine Inspection Zone and Captain of the Port Zones; Marine Safety Unit Valdez: Prince William Sound Marine Inspection and Captain of the Port Zones.

Sector Anchorage’s office is located in Anchorage, AK. A subordinate unit, Marine Safety Unit (MSU) Valdez, is located in Valdez, AK.


(a) Sector Anchorage’s Western Alaska Marine Inspection and Captain of the Port Zones start near the Canadian border on the EEZ at latitude 60°18′24″ N, longitude 141°00′00″ W, proceeding southwest to latitude 60°01′18″ N, longitude 142°00′00″ W; thence south to the outermost extent of the EEZ at latitude 56°14′50″ N, longitude 142°00′00″ W; thence southwest along the outermost extent of the EEZ to latitude 51°22′15″ N, longitude 167°38′28″ E; thence northeast along the outermost extent of the EEZ to latitude 65°30′00″ N, longitude 168°58′37″ W; thence north along the outermost extent of the EEZ to latitude 72°46′29″ N, longitude 168°58′37″ W; thence northeast along the outermost extent of the EEZ to latitude 74°42′35″ N, longitude 156°28′30″ W; thence southeast along the outermost extent of the EEZ to latitude 72°56′49″ N, longitude 137°34′08″ W; thence south along the outermost extent of the EEZ to the coast near the Canadian border at latitude 69°38′48.88″ N, longitude 140°59′52.7″ W; thence south along the United States-Canadian boundary to the point of origin; and in addition, all the area described in paragraph (b) of this section.


(b) The boundaries of MSU Valdez’s Prince William Sound Marine Inspection and Captain of the Port Zones start at Cape Puget at latitude 59°56′04″ N, longitude 148°26′00″ W, proceeding north to latitude 61°30′00″ N, longitude 148°26′00″ W; thence east to the United States-Canadian boundary at latitude 61°30′00″ N, longitude 141°00′00″ W; thence south along the United States-Canadian boundary to latitude 60°18′24″ N, longitude 141°00′00″ W; thence southwest to the sea at latitude 60°01′18″ N, longitude 142°00′00″ W; thence south to the outermost extent of the EEZ at latitude 56°14′50″ N, longitude 142°00′00″ W; thence along the outermost boundary of the EEZ to latitude 54°49′26″ N, longitude 148°26′00″ W; thence north to the point of origin.


[USCG-2006-25556, 72 FR 36326, July 2, 2007, as amended by USCG-2008-0073, 73 FR 15080, Mar. 21, 2008]


PART 4 – OMB CONTROL NUMBERS ASSIGNED PURSUANT TO THE PAPERWORK REDUCTION ACT


Authority:44 U.S.C. 3507; Department of Homeland Security Delegation No. 0170.1.

§ 4.01 Purpose.

This part collects and displays the control numbers assigned to information collection requirements of the Coast Guard by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980, (Pub. L. 96-511, 44 U.S.C. 3501 et seq.). The Coast Guard intends that this subpart comply with the requirements of section 3507(f) of the Paperwork Reduction Act, which requires that agencies display a current control number assigned by the Director of the Office of Management and Budget (“OMB”) for each agency information collection requirement.


[CGD 84-050, 49 FR 26584, June 28, 1984]


§ 4.02 Display.

33 CFR part or section where

identified and described
Current

OMB control No.
Part 61625-0020
Part 671625-0011
Part 961625-0084
Part 1001625-0008
Part 1011625-0077
Section 101.1151625-0017
Part 1031625-0077
Part 1041625-0077
Section 104.2971625-0017
Part 1051625-0077
Part 1061625-0077
Part 1151625-0015
Part 1161625-0073
Part 1201625-0077
Section 126.15(c)1625-0016
Section 126.171625-0005
Part 1271625-0049
Section 127.6171625-0016
Section 127.16031625-0016
Part 1281625-0077
Part 1301625-0046
Part 1381625-0046
Section 140.151625-0050
Section 140.1031625-0054
Section 141.351625-0098
Part 1431625-0059
Part 1441625-0059
Part 1451625-0059
Part 1461625-0001 and

1625-0059
Section 146.1301625-0044
Section 146.1401625-0059
Section 146.2101625-0059
Part 1511625-0009
Section 151.191625-0041
Section 151.211625-0041
Section 151.431625-0045
Section 151.551625-0072
Section 151.571625-0072
Section 151.20401625-0069
Section 153.2031625-0096
Section 154.1071625-0095
Section 154.1081625-0095
Section 154.1101625-0093
Section 154.300 through 154.3251625-0021
Section 154.7101625-0039
Section 154.7401625-0039
Section 154.8041625-0060
Section 154.8061625-0060
Section 154.12201625-0066
Section 154.12251625-0066
Section 155.1201625-0051 and

1625-0095
Section 155.1301625-0051 and

1625-0095
Section 155.7101625-0072
Section 155.7151625-0072
Section 155.7201625-0030
Section 155.7401625-0030
Section 155.7501625-0030
Section 155.8201625-0030
Section 155.820(d)1625-0039
Section 156.1071625-0095
Section 156.1101625-0095
Section 156.1201625-0039
Section 156.1501625-0039
Part 156, Subpart B1625-0042
Section 156.2001625-0042
Part 1571625-0036 and

1625-0041
Section 157.371625-0041
Section 157.4151625-0083
Section 157.4201625-0083
Section 157.4301625-0083
Section 157.4351625-0083
Section 157.4501625-0083
Section 157.4551625-0083
Part 1581625-0045
Section 158.1401625-0045
Section 158.1501625-0045
Section 158.1651625-0045
Section 158.1901625-0045
Part 1591625-0041 and

1625-0092
Part 1601625-0043 and

1625-0100
Part 1611625-0043
Part 1641625-0043 and

1625-0082
Part 1651625-0020 and

1625-0043
Section 165.1001625-0088
Section 165.803(i)1625-0023
Section 165.17091625-0043
Section 169.1401625-0103
Section 173.551625-0003
Section 179.131625-0010
Section 179.151625-0010
Section 181.21 through 181.311625-0056
Part 1831625-0056
Part 1871625-0070

[69 FR 34924, June 23, 2004]


PART 5 – COAST GUARD AUXILIARY


Authority:14 U.S.C. 503, 3901, 3902, 3903, 3904, 3905, 3907, 3908, 3909, 3910, 3911, 3912, 3913, 4102.



Source:USCG-1999-6712, 80 FR 3476, Jan. 23, 2015, unless otherwise noted.

Subpart A – General

§ 5.1 Definitions.

Certain terms used in this part are defined as follows:


Aircraft means any contrivance now known or hereafter invented, used, or designed for navigation of or flight in the air.


Auxiliary means the United States Coast Guard Auxiliary established pursuant to the Auxiliary Act.


Auxiliary Act means the laws governing the Coast Guard Auxiliary, codified in chapters 23 and 25 of Title 14, United States Code (14 U.S.C. 3901-3913 and 4101-4104).


Commandant means the Commandant of the United States Coast Guard.


Direct Law Enforcement includes boarding a vessel for law enforcement purposes, carrying firearms or law enforcement equipment (handcuffs, pepper spray, etc.), investigating complaints of negligent operations, serving subpoenas, and covert operations. For more details see Chapter 4.E. of the Auxiliary Operations Policy Manual, COMDTINST M16798.3 (series).


Facility means a vessel, aircraft, radio station, motorized vehicle, trailer, or other equipment accepted for use by the Coast Guard.


Member means any person who is a member of the Auxiliary.


Motorboat means any documented or numbered vessel propelled by machinery.


Personal property of the Auxiliary means a vessel, aircraft, radio station, motorized vehicle, trailer, or other equipment owned by, or under the administrative jurisdiction of, the Coast Guard Auxiliary or an Auxiliary unit, and that is used solely for Auxiliary purposes and in accordance with the Auxiliary Act.


Radio station means any equipment (including a building, recreational vehicle, trailer, or other motorized vehicle which houses such equipment) used for radio communication or direction finding.


Secretary means the Secretary of the Department in which the Coast Guard is operating.


Vessel means any water craft, including non-displacement craft and seaplanes, used, or capable of being used, as a means of transportation on water.


Yacht means either –


(1) Any documented or numbered vessel used exclusively for pleasure; or


(2) Any sailboat used exclusively for pleasure more than 16 feet in length measured end-to-end over the deck, excluding sheer.


[USCG-1999-6712, 80 FR 3476, Jan. 23, 2015, as amended by USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 5.3 Purpose.

(a) The Auxiliary is a uniformed, volunteer, non-military organization administered by the Commandant under the direction of the Secretary.


(b) The purpose of the Auxiliary is to assist the Coast Guard, as authorized by the Commandant, in performing any Coast Guard function, power, duty, role, mission, or operation authorized by law.


(c) Auxiliary units assist the Coast Guard in maintenance and upkeep, and in conducting tours of Coast Guard and other Federal- or State-owned structures and property.


(d) The Auxiliary assist Federal, State, and municipal agencies, as authorized by the Commandant.


§ 5.5 Organization, officers, and leadership.

(a) The Coast Guard Auxiliary is organized pursuant to the Auxiliary Act and Coast Guard regulations. Organizational elements include a national board and staff, national leadership, areas, districts, regions, divisions, and flotillas. A flotilla is the basic organizational unit of the Auxiliary.


(b) The Auxiliary has elected and appointed officers.


(1) Elected officers are in charge of Auxiliary units and elements at both the national and local levels of the Auxiliary organization. The Unit Leader is the senior elected officer at each level of the Auxiliary organization: Flotilla Commanders, Division Commanders, District Commodores, and the National Commodore are unit leaders.


(2) Appointed officers are appointed by elected officers and hold staff positions in Auxiliary units at both the national and local levels of the Auxiliary organization.


(c) For all Auxiliary units, the Unit Leader is the person authorized to exercise the authority set forth in § 5.7 on behalf of his or her unit, and may delegate that authority.


(d) For all Auxiliary units, the Finance Officer is the person authorized to handle, transfer and disburse bank accounts, monies, stocks, bonds, and other items of intangible personal property on behalf of his or her Auxiliary Unit.


§ 5.7 Administration, specific authorizations.

(a) The Commandant may delegate any authority vested in him or her by the Auxiliary Act or by this part to personnel of the Coast Guard and members of the Auxiliary in the manner and to the extent as the Commandant deems necessary or appropriate for the functioning, organization, and internal administration of the Auxiliary.


(b) The Commandant has authorized Auxiliary Unit Leaders to take the following actions in furtherance of the authorized missions of the Auxiliary. This is not an exclusive list –


(1) Acquire, own, hold, use, and dispose of vessels, aircraft, motorized vehicles, trailers, radio stations, electronic equipment and other items of tangible, personal property;


(2) Accept ownership, custody, or use of vessels, boats, aircraft, radio stations, motorized vehicles, trailers, electronic equipment, and other tangible property from the Coast Guard, from other Federal, State, or municipal agencies, or from private or non-profit groups;


(3) Create and manage bank accounts, monies, stocks, bonds, and other financial instruments;


(4) Accept and use gifts, grants, legacies, and bequests;


(5) Accept funds, materials, services, and the use of facilities from public and private entities and Federal, State, or municipal agencies;


(6) Enter into licenses, leases, contracts, memoranda of agreement, or understanding, and other agreements; and


(7) Enter into cooperative agreements and grant agreements with the Coast Guard and other Federal, State, or municipal agencies.


(c) The national board of the Auxiliary may form a corporation under State law and Coast Guard policy to manage the Auxiliary’s fiscal affairs. The national corporation may –


(1) Hold copyrights, trademarks, and titles to Auxiliary property;


(2) Contract with the Coast Guard and other Federal, State, and municipal agencies to procure such goods and services;


(3) Receive grants, gifts, and other items on behalf of the Auxiliary; and


(4) Conduct other activities as may be authorized by the Commandant.


(d) An Auxiliary district or region may form a corporation under State law and Coast Guard policy.


§ 5.9 References.

Further guidance on Auxiliary missions and activities may be found in Coast Guard directives and publications, including the Auxiliary Manual (Commandant Instruction M16790.1(series)) and the Auxiliary Operations Policy Manual (Commandant Instruction M16798.3(series)). Those directives and publications can be found online at http://www.uscg.mil/auxiliary/publications/comdtinst/.


Subpart B – Membership

§ 5.10 Eligibility for membership.

(a) To be eligible for membership in the Auxiliary, a person must –


(1) Be a United States citizen, a national of the United States or of its Territories and possessions, or an alien lawfully admitted for permanent residence; and


(2) Meet the standards for enrollment, retention, and conduct established by the Commandant.


(b) An applicant who is accepted for membership will be enrolled in the Auxiliary and will be issued a membership certificate and identification card. Possession of a membership certificate or identification card does not entitle a person to any rights or privileges of the Coast Guard or the Coast Guard Reserve except as authorized by the Commandant.


§ 5.11 Honorary members.

The Commandant may grant any person honorary membership in the Auxiliary. An honorary member of the Auxiliary, solely by reason of such honorary membership, is not entitled to any of the rights, benefits, privileges, duties, or obligations of Auxiliary membership.


§ 5.12 Offices, titles, designations, qualifications, and recognition.

Members of the Auxiliary will have such offices, titles, designations, qualifications, and recognition for achievements as prescribed by the Commandant.


§ 5.13 Advancement.

The Commandant will prescribe the circumstances and qualifications under which members of the Auxiliary may be advanced in offices and programs.


§ 5.14 Uniforms and insignia.

(a) Members of the Auxiliary are authorized to wear uniforms, uniform insignia, and awards as prescribed by the Commandant. Auxiliary uniform insignia indicate, and are solely associated with, Auxiliary offices, titles, designations, qualifications, and achievements. Auxiliary uniform insignia do not indicate rank in any military service or government agency.


(b) Members of the Auxiliary may purchase from the Coast Guard such uniforms, insignia, and awards as may be authorized by the Commandant.


§ 5.15 [Reserved]

§ 5.16 Compensation and travel expenses.

(a) Except as provided in paragraph (b) of this section, no member of the Auxiliary will receive any compensation for services as a member of the Auxiliary.


(b) A member of the Auxiliary may be paid actual necessary travelling expenses, including a per diem allowance.


§ 5.17 Status of members as Federal employees.

Members of the Auxiliary are not considered Federal employees except as provided by 14 U.S.C. 3904 or other provisions of law.


[USCG-1999-6712, 80 FR 3476, Jan. 23, 2015, as amended by USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 5.18 Injury or death in the line of duty.

(a) The performance of duty, as the term is used in this part, includes time spent in the performance of duty, travel between duty locations, and travel between a place of assigned duty and either the Auxiliarist’s permanent residence or other appropriate non-duty destination.


(b) A member of the Auxiliary who incurs physical injury or contracts sickness or disease in the performance of duty is entitled to medical and dental care until the resulting impairment cannot be materially improved by further hospitalization or treatment. A member of the Auxiliary who incurs physical injury or contracts sickness or disease in the performance of duty is entitled to obtain medical care from the Coast Guard, including through Coast Guard arrangements with a contract provider, the Public Health Service, the Department of Defense, or a Veterans’ Administration facility.


(c) If a member of the Auxiliary is physically injured or dies as a result of physical injury, and the injury is incurred in the performance of duty, the member or the member’s beneficiaries are authorized to receive compensation in accordance with 14 U.S.C. 3707, 5 U.S.C. 8133 and 8134 and section 651 of Public Law 104-208 (5 U.S.C. 8133 Note).


[USCG-1999-6712, 80 FR 3476, Jan. 23, 2015, as amended by USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 5.19 Disenrollment.

A member of the Auxiliary will be disenrolled on the member’s request, upon ceasing to possess the qualifications for membership, for cause, or upon direction of the Commandant.


Subpart C – Activities, Operations, and Training

§ 5.20 Authority.

(a) Except as provided in paragraphs (b) and (c) of this section, or otherwise limited by the Commandant, members of the Auxiliary assigned to duty will have the same authority in that duty’s execution as a member of the Coast Guard who is assigned to a similar duty.


(b) Members of the Auxiliary are not authorized to engage in direct law enforcement or military missions.


(c) Members of the Auxiliary are not authorized to enforce limited access areas, regulated navigation areas, or special local regulations. Members of the Auxiliary assigned to patrol limited access areas, regulated navigation areas, or areas regulated under special local regulations may advise the public regarding compliance with the limited access area, regulated navigation area, or areas regulated by special local regulations.


§ 5.22 Assignment to duties.

Members of the Auxiliary will not be assigned duties until they have been found to be competent to perform such duties and have been designated by authority of the Commandant to perform such duties.


§ 5.24 Procedure for assignment to duty.

Members and facilities may be assigned to duty by any of the following procedures:


(a) Verbal or written orders issued by competent Coast Guard authority;


(b) The actual performance of an authorized activity or mission by a qualified member of the Auxiliary; or


(c) Other procedures as designated by the Commandant.


§ 5.26 Training, examination, and assignment.

(a) The Commandant will prescribe, through the Coast Guard Auxiliary directives referenced in § 5.9, the type of training, qualifications, and examinations required before a member of the Auxiliary will be deemed qualified to perform certain duties, and will prescribe the circumstances and manner in which members of the Auxiliary will be authorized to perform regular and emergency duties.


(b) The Commandant may authorize members of the Auxiliary to pursue correspondence courses and distance-learning courses conducted by the Coast Guard Institute or other authorized Coast Guard providers and to attend other courses and training available to members of the Coast Guard or Coast Guard Reserve.


Subpart D – Facilities and Other Equipment

§ 5.30 Facilities and other equipment.

(a) This subpart contains regulations related to the facilities and other equipment used by the Auxiliary or loaned by the Auxiliary to the Coast Guard.


(b) Status – (1) Duty. Personal property of the Auxiliary, except when used for other than Auxiliary purposes in accordance with 14 U.S.C. 3902, will be considered assigned to authorized Coast Guard duty at all times.


(2) Liability. Personal property of the Auxiliary, except when used for other than Auxiliary purposes in accordance with 14 U.S.C. 3902, will be treated as property of the United States for the purposes of the Federal Tort Claims Act, the Military Claims Act, the Public Vessels Act, the Suits in Admiralty Act, the Admiralty Extension Act, and other matters related to non-contractual civil liability. Personal property of the Auxiliary is not normally covered for damage to the property itself.


(3) Federal status of facilities and other equipment. A vessel, aircraft, or radio station owned by, in the custody of, or under the administrative jurisdiction of the Auxiliary will be considered a public vessel of the United States, public vessel of the Coast Guard, public aircraft, Coast Guard Aircraft, and/or government station, in accordance with federal law.


(c) Expenses. (1) The Coast Guard may reimburse expenses related to the use, operation, or maintenance of a facility.


(2) The Coast Guard may reimburse expenses for damage or loss to or by a facility, including remediation, restoration, repair, replacement, or salvage costs.


(3) The Coast Guard may provide an allowance for the maintenance of a facility.


[USCG-1999-6712, 80 FR 3476, Jan. 23, 2015, as amended by USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 5.32 Offers of member-owned vessels, aircraft, radio stations, motorized vehicles, trailers, and other equipment for use as a facility.

(a) Members of the Auxiliary wishing to offer vessels, aircraft, radio stations, motorized vehicles, trailers, or other equipment for use as a facility must follow the procedures set forth in the Auxiliary Operations Policy Manual referenced in § 5.9.


(b) Upon acceptance of the vessels, aircraft, radio stations, motorized vehicles, trailers, or other equipment as a facility, the Coast Guard will issue to the member the appropriate numbers and decals identifying the facility as a Coast Guard Auxiliary facility.


(c) In an emergency, vessels, aircraft, radio stations, motorized vehicles, trailers, or other equipment may be accepted by the Coast Guard without an inventory or the use of the prescribed forms.


§ 5.34 Offers of personal property of the Auxiliary for use as a facility.

(a) Auxiliary units wishing to offer personal property of the Auxiliary (usually unit-owned property) for use as a facility must follow the procedures set forth in the Auxiliary Operations Policy Manual referenced in § 5.9.


(b) Upon acceptance of the personal property of the Auxiliary as a facility, the Coast Guard will issue to the Auxiliary unit the appropriate numbers and decals identifying the facility as a Coast Guard Auxiliary facility.


(c) In an emergency, personal property of the Auxiliary may be accepted by the Coast Guard without an inventory or the use of prescribed forms.


§ 5.36 Loan of vessels, aircraft, radio stations, motorized vehicles, trailers, or other equipment to the Coast Guard.

(a) A vessel, aircraft, radio station, motorized vehicle, trailer, or other equipment may be loaned to the Coast Guard for a specific period, and must be returned at the expiration of that period, unless circumstances or an emergency make the return impracticable at that time. The Commandant will determine the method, time, and documents to be exchanged upon the return to the owner of any facility. The property will be re-inventoried as of the time, date, and place of re-delivery, and mutually settled by the owner and the Coast Guard representative. If the vessel, aircraft, radio station, motorized vehicle, trailer, or other equipment was accepted during an emergency, any claim for lost equipment or stores must be supported by invoices showing the date of purchase and the cost thereof by the person submitting the claim. The Coast Guard representative will take all proper precautions to protect the owner’s interest, as well as that of the United States.


(b) Except as permitted in paragraph (c) of this section, no vessel, aircraft, radio station, motorized vehicle, trailer, or other equipment will be deemed loaned to the Coast Guard until an acceptance, on the prescribed form, has been signed on behalf of the Coast Guard by a person authorized by the Commandant to sign such an acceptance and a complete inventory of consumable and expendable stores and equipment has been made and mutually settled by the owner and the Coast Guard representative.


(c) In an emergency, a vessel, aircraft, radio station, motorized vehicle, trailer, or other equipment may be loaned to Coast Guard without an inventory or the use of the prescribed form.


Subpart E – Auxiliary Markings

§ 5.40 Distinctive markings for vessels, aircraft, motorized vehicles, trailers, radio stations, and other equipment.

(a) This subpart describes the design and display of distinctive markings used by Auxiliary vessels, aircraft, motorized vehicles, trailers, radio stations, and other equipment. These markings are established in the directives referenced in § 5.9 and the U.S. Coast Guard Heraldry Manual (COMDTINST M5200.14(series)).


(b) Auxiliary markings on vessels, aircraft, motorized vehicles, trailers, radio stations and other equipment. (1) Vessels, aircraft, motorized vehicles, trailers, radio stations, and other equipment which are owned by Auxiliary members, or are personal property of the Auxiliary, or are otherwise affiliated with the Auxiliary may display the Auxiliary emblem (§ 5.41), the Auxiliary ensign (§ 5.42), and/or the Auxiliary mark (§ 5.43).


(2) Vessels, aircraft, motorized vehicles, trailers, radio stations, and other equipment which are personal property of the Auxiliary may be marked “U.S. COAST GUARD AUXILIARY”, “U.S. COAST GUARD AUX”, or “USCGAUX” in accordance with Coast Guard policy.


(3) Vessels, aircraft, motorized vehicles, trailers, radio stations, and other equipment which have been accepted as facilities shall display the Auxiliary facility decal (§ 5.44).


(4) Vessels that have been accepted as facilities and are on patrol, whether or not they are underway, shall display the National Ensign, the patrol sign (§ 5.45) and either the patrol ensign (§ 5.46) or the Coast Guard ensign (§ 5.47) as appropriate and able.


(5) Vessels that have been accepted as facilities and are on patrol, whether or not they are underway, and have a Coast Guard commissioned, warrant, or non-commissioned officer onboard shall display the Coast Guard ensign in place of the patrol ensign.


(c)(1) Any person who desires to reproduce Coast Guard Auxiliary markings for non-Coast Guard Auxiliary use must obtain approval from Commandant (CG-BSX-11), Attn: Auxiliary Division, U.S. Coast Guard Stop 7501, 2703 Martin Luther King Jr. Ave. SE., Washington, DC 20593-7501.


(2) Unauthorized use of Auxiliary markings is subject to the penalties of 14 U.S.C. 933, 934, 4102.


[USCG-1999-6712, 80 FR 3476, Jan. 23, 2015, as amended by USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 5.41 Auxiliary emblem.

(a) Description. The Auxiliary emblem consists of a disk with the shield of the Coat of Arms of the United States circumscribed by an annulet edged and inscribed “U.S. COAST GUARD AUXILIARY”, all in front of two crossed anchors.


(b) Display. The Auxiliary emblem is used as identification on Auxiliary ensigns, flags, pennants, decals, and patrol signs. The emblem is used on Auxiliary insignia, such as the member collar device, cap device, and Auxiliary aviator, coxswain, and Auxiliary Operator (AUXOP) devices, and on publications, stationery, clothing, and jewelry.


§ 5.42 Auxiliary ensign.

(a) Description. The field of the Auxiliary ensign is medium blue (Coast Guard blue) with a broad diagonal white slash upon which a matching blue Coast Guard Auxiliary emblem is centered. The white slash must be at a 70 degree angle, rising away from the hoist.


(b) Display. The Auxiliary ensign may be displayed by any member of the Auxiliary on a vessel, aircraft, radio station, building, or other location at any time, under such conditions as the Commandant may direct.


§ 5.43 Auxiliary mark.

(a) Description. The Auxiliary mark consists of a broad diagonal blue stripe followed (to the left or aft) by two narrow stripes – first a white stripe, and then a red stripe. The Auxiliary emblem, as described in § 5.41, is centered in the diagonal blue stripe.


(b) Display. The Auxiliary mark is used to identify personal property of the Auxiliary and on Coast Guard Auxiliary authorized publications, stationery, jewelry, and similar items.


§ 5.44 Auxiliary facility decal.

(a) Description. The Auxiliary facility decal is composed of two parts. The upper part is a conventional white shield with a medium blue (Coast Guard blue) Coast Guard Auxiliary emblem centered on a broad diagonal red (Coast Guard red) slash which is at a 70 degree angle, rising toward the viewer’s right. The red (Coast Guard red) slash is followed, on the viewer’s left, by two narrow, parallel stripes – first a white stripe, and then a medium blue (Coast Guard blue) stripe. The entire design is centered on the shield. The lower part displays two laterally radiating wreath branches centered immediately beneath the shield. A broad diagonal red (Coast Guard red) slash, which is at a 70 degree angle, rising toward the viewer’s right and followed, on the viewer’s left, by two narrow, parallel stripes, first a white stripe and then a medium blue (Coast Guard blue) stripe, is displayed on the wreath’s right-hand branch.


(b) Display. Vessels, aircraft, motorized vehicles, trailers, radio stations and other equipment accepted for use by the Coast Guard must display the Auxiliary facility decal as authorized in the Auxiliary Operations Policy Manual referenced in § 5.9.


(1) On vessels, the decal must be displayed on the port side of the vessel so as to be visible by another vessel when meeting such vessel in a port-to-port situation.


(2) On aircraft, the decal must be displayed on the pilot’s side of the forward half of the aircraft.


(3) On radio facilities, the miniature decal must be displayed on the radio, and the full-size decal must be displayed on the exterior or interior of the building or trailer in which the radio is housed, or, in the case of mobile radios, on any legal place on the motor vehicle in which the radio is contained.


(4) On motorized vehicles, trailers and other equipment, the decal must be displayed on a clearly visible exterior location.


§ 5.45 Patrol sign.

(a) Description. The Auxiliary facility patrol sign has the words “Coast Guard Auxiliary Patrol” in black or dark blue lettering and must contain the Auxiliary emblem, as described in this subpart, centered within the confines of a broad diagonal red (Coast Guard red) stripe which is at a 70 degree angle rising toward the bow of the vessel. The red (Coast Guard red) stripe is followed, away from the bow, by two narrow, parallel stripes – first a white stripe, and then a medium blue (Coast Guard blue) stripe. The background of the sign must be white.


(b) Display. (1) The patrol sign must be displayed by vessels while on patrol, whether or not the vessel is underway.


(2) The patrol sign must be displayed on the forward half of each side and may be displayed on the stern of the vessel.


(3) The patrol sign may be displayed on each side of a motorized vehicle or trailer containing a mobile radio or radio direction finding unit while assigned to Coast Guard duty. Normally, they will be placed in any legal position on the upper half of both sides of the vehicle.


§ 5.46 Auxiliary patrol ensign.

(a) Description. The field of the Auxiliary patrol ensign is white. A medium blue (Coast Guard blue) Coast Guard Auxiliary emblem is centered on a broad diagonal red (Coast Guard red) slash which is at a 70 degree angle, rising toward the hoist. The red (Coast Guard red) slash is followed, away from the hoist, by two narrow, parallel stripes – first a white stripe, and then a medium blue (Coast Guard blue) stripe. The entire design is centered on the ensign.


(b) Display. Vessels that have been accepted as facilities shall display the Auxiliary patrol ensign when on patrol, whether or not the vessel is underway. The Auxiliary patrol ensign must be displayed at the mast head or from the most conspicuous hoist.


§ 5.47 Coast Guard ensign.

(a) Description. The Coast Guard ensign is described in 33 CFR 23.15.


(b) Display. Vessels that have been accepted as facilities and that have a Coast Guard commissioned, warrant or non-commissioned officer onboard shall display the Coast Guard ensign in place of the Auxiliary patrol ensign while on patrol, whether or not the vessel is underway. The Coast Guard ensign must be displayed at the mast head or from the most conspicuous hoist.


§ 5.48 Marking of aircraft.

(a) Aircraft owned by members of the Auxiliary or that are personal property of the Auxiliary may also display the Auxiliary emblem on both sides of the vertical stabilizer (outside of the stabilizer for twin tail aircraft) or on both sides of the fuselage aft of the wing.


(b) Aircraft which are accepted as facilities may be marked with the Auxiliary mark (§ 5.43) and/or the word “RESCUE” on the underside of the wing or fuselage for easier identification from the ground.


PART 6 – PROTECTION AND SECURITY OF VESSELS, HARBORS, AND WATERFRONT FACILITIES


Authority:40 Stat. 220, as amended; 50 U.S.C. 70051.



Source:E.O. 10173, 15 FR 7012, Oct. 20, 1950, unless otherwise noted.


Cross Reference:

For regulations implementing the general enforcement provisions contained in Subparts 6.01 – Definitions and 6.04 – General Provisions, see part 125 of this chapter.

Subpart 6.01 – Definitions

§ 6.01-1 Commandant.

Commandant as used in this part, means the Commandant of the United States Coast Guard.


§ 6.01-2 District Commander.

District Commander as used in this part, means the officer of the Coast Guard designated by the Commandant to command a Coast Guard District.


§ 6.01-3 Captain of the Port.

Captain of the Port as used in this part, means the officer of the Coast Guard, under the command of a District Commander, so designated by the Commandant for the purpose of giving immediate direction to Coast Guard law enforcement activities within his or her assigned area. In addition, the District Commander will be Captain of the Port with respect to the remaining areas in his or her District not assigned to officers designated by the Commandant as Captain of the Port.


[USCG-2013-0397, 78 FR 39170, July 1, 2013]


§ 6.01-4 Waterfront facility.

Waterfront facility. “Waterfront facility,” as used in this part, means all piers, wharves, docks, or similar structures to which vessels may be secured and naval yards, stations, and installations, including ranges; areas of land, water, or land and water under and in immediate proximity to them; buildings on them or contiguous to them and equipment and materials on or in them.


[E.O. 13143, 64 FR 68273, Dec. 6, 1999]


§ 6.01-5 Security zone.

Security zone as used in this part, means all areas of land, water, or land and water, which are so designated by the Captain of the Port for such time as he deems necessary to prevent damage or injury to any vessel or waterfront facility, to safeguard ports, harbors, territories, or waters of the United States or to secure the observance of the rights and obligations of the United States.


[E.O. 11249, 30 FR 13001, Oct. 13, 1965]


§ 6.01-6 Area Commander.

Area Commander, as used in this part, means the officer of the Coast Guard designated by the Commandant to command a Coast Guard Area.


[E.O. 13273, 67 FR 56215, Sept. 3, 2002]


Subpart 6.04 – General Provisions

§ 6.04-1 Enforcement.

(a) The rules and regulations in this part shall be enforced by the Captain of the Port under the supervision and general direction of the District Commander, Area Commander, and the Commandant. All authority and power vested in the Captain of the Port by the regulations in this part shall be deemed vested in and may be exercised by the District Commander, Area Commander, and the Commandant.


(b) The rules and regulations in this part may be enforced by any other officer or petty officer of the Coast Guard designated by the District Commander, Area Commander, or the Commandant.


(c) Any authority or power under this part vested in, delegated to, or exercised by a member of the Coast Guard shall be subject to the direction of the Secretary of the Department in which the Coast Guard is operating.


(d) Actions taken and decisions made under this part can be appealed through the procedures outlined in 33 CFR 160.7.


[E.O. 13273, 67 FR 56215, Sept. 3, 2002, as amended by USCG-2021-0348, 87 FR 3222, Jan. 21, 2022]


§ 6.04-5 Preventing access of persons, articles or things to vessels, or waterfront facilities.

The Captain of the Port may prevent any person, article, or thing from boarding or being taken or placed on board any vessel or entering or being taken into or upon or placed in or upon any waterfront facility whenever it appears to him that such action is necessary in order to secure such vessel from damage or injury or to prevent damage or injury to any vessel, or waterfront facility or waters of the United States, or to secure the observances of rights and obligations of the United States.


[E.O. 11249, 30 FR 13001, Oct. 13, 1965]


§ 6.04-6 Establishing security zones; prohibitions with respect thereto.

The Captain of a Port may establish security zones subject to the terms and conditions specified in § 6.01-5. No person or vessel shall enter a security zone without the permission of the Captain of the Port. No person shall board or take or place any article or thing on board any vessel in a security zone without the permission of the Captain of the Port. No person shall take or place any article or thing upon any waterfront facility in any such zone without such permission.


[E.O. 11249, 30 FR 13001, Oct. 13, 1965]


§ 6.04-7 Visitation, search, and removal.

The Captain of the Port may cause to be inspected and searched at any time any vessel, waterfront facility, or security zone, or any person, article, or thing thereon or therein, within the jurisdiction of the United States, may place guards upon any such vessel, waterfront facility, or security zone and may remove therefrom any and all persons, articles, or things not specifically authorized by him to go or remain thereon or therein.


[E.O. 11249, 30 FR 13002, Oct. 13, 1965]


§ 6.04-8 Possession and control of vessels.

The Captain of the port may supervise and control the movement of any vessel and shall take full or partial possession or control of any vessel or any part thereof, within the territorial waters of the United States under his jurisdiction, whenever it appears to him that such action is necessary in order to secure such vessel from damage or injury, or to prevent damage or injury to any vessel or waterfront facility or waters of the United States, or to secure the observance of rights and obligations of the United States.


§ 6.04-11 Assistance of other agencies.

The Captain of the port may enlist the aid and cooperation of Federal, State, county, municipal, and private agencies to assist in the enforcement of regulations issued pursuant to this part.


Subpart 6.10 – Identification and Exclusion of Persons From Vessels and Waterfront Facilities

§ 6.10-1 Issuance of documents and employment of persons aboard vessels.

No person shall be issued a document required for employment on a merchant vessel of the United States nor shall any person be employed on a merchant vessel of the United States unless the Commandant is satisfied that the character and habits of life of such person are such as to authorize the belief that the presence of the individual on board would not be inimical to the security of the United States: Provided, That the Commandant may designate categories of merchant vessels to which the foregoing shall not apply.


[E.O. 10352, 17 FR 4624, May 21, 1952]


§ 6.10-5 Access to vessels and waterfront facilities.

Any person on board any vessel or any person seeking access to any vessel or any waterfront facility within the jurisdiction of the United States may be required to carry identification credentials issued by or otherwise satisfactory to the Commandant. The Commandant may define and designate those categories of vessels and areas of the waterfront wherein such credentials are required.


§ 6.10-7 Identification credentials.

The identification credential to be issued by the Commandant shall be known as the Coast Guard Port Security Card, and the form of such credential, and the conditions and the manner of its issuance shall be as prescribed by the Commandant after consultation with the Secretary of Labor. The Commandant shall not issue a Coast Guard Port Security Card unless he is satisfied that the character and habits of life of the applicant therefor are such as to authorize the belief that the presence of such individual on board a vessel or within a waterfront facility would not be inimical to the security of the United States. The Commandant shall revoke and require the surrender of a Coast Guard Port Security Card when he is no longer satisfied that the holder is entitled thereto. The Commandant may recognize for the same purpose such other credentials as he may designate in lieu of the Coast Guard Port Security Card.


[E.O. 10277, 16 FR 7541, Aug. 2, 1951]


§ 6.10-9 Appeals.

Persons who are refused employment or who are refused the issuance of documents or who are required to surrender such documents, under this subpart, shall have the right of appeal, and the Commandant shall appoint Boards for acting on such appeals. Each such Board shall, so far as practicable, be composed of one Coast Guard officer, one member drawn from management, and one member drawn from labor. The members drawn from management and labor shall, upon suitable security clearance, be nominated by the Secretary of Labor. Such members shall be deemed to be employees of the United States and shall be entitled to compensation under the provisions of section 15 of the act of August 2, 1946 (5 U.S.C. 55a) while performing duties incident to such employment. The Board shall consider each appeal brought before it and, in recommending final action to the Commandant, shall insure the appellant all fairness consistent with the safeguarding of the national security.


Subpart 6.12 – Supervision and Control of Explosives or Other Dangerous Cargo

§ 6.12-1 General supervision and control.

The Captain of the Port may supervise and control the transportation, handling, loading, discharging, stowage, or storage of hazardous materials on board vessels as covered by the regulations in 49 CFR parts 170-189, 46 CFR parts 150-156, 46 CFR parts 146-148 and the regulations governing tank vessels (46 CFR parts 30-39).


[CGD 77-228, 43 FR 53427, Nov. 16, 1978]


§ 6.12-3 Approval of facility for dangerous cargo.

The Commandant may designate waterfront facilities for the handling and storage of, and for vessel loading and discharging, explosives, inflammable or combustible liquids in bulk, or other dangerous articles or cargo covered by the regulations referred to in § 6.12-1, and may require the owners, operators, masters, and others concerned to secure permits for such handling, storage, loading, and unloading from the Captain of the Port, conditioned upon the fulfillment of such requirements for the safeguarding of such waterfront facilities and vessels as the Commandant may prescribe.


Subpart 6.14 – Security of Waterfront Facilities and Vessels in Port

§ 6.14-1 Safety measures.

The Commandant, in order to achieve the purposes of this part, may prescribe such conditions and restrictions relating to the safety of waterfront facilities and vessels in port as he finds to be necessary under existing circumstances. Such conditions and restrictions may extend, but shall not be limited to, the inspection, operation, maintenance, guarding, and manning of, and fire-prevention measures for, such vessels and waterfront facilities.


[E.O. 10277, 16 FR 7541, Aug. 2, 1951]


§ 6.14-2 Condition of waterfront facility a danger to vessel.

Whenever the captain of the port finds that the mooring of any vessel to a wharf, dock, pier, or other waterfront structure would endanger such vessel, or any other vessel, or the harbor or any facility therein by reason of conditions existing on or about such wharf, dock, pier, or other waterfront structure, including, but not limited to, inadequate guard service, insufficient lighting, fire hazards, inadequate fire protection, unsafe machinery, internal disturbance, or unsatisfactory operation, the captain of the port may prevent the mooring of any vessel to such wharf, dock, pier, or other waterfront structure until the unsatisfactory condition or conditions so found are corrected, and he may, for the same reasons, after any vessel has been moored, compel the shifting of such vessel from any such wharf, dock, pier, or other waterfront structure.


[E.O. 10277, 16 FR 7541, Aug. 2, 1951]


Subpart 6.16 – Sabotage and Subversive Activity

§ 6.16-1 Reporting of sabotage and subversive activity.

Evidence of sabotage or subversive activity involving or endangering any vessel, harbor, port, or waterfront facility shall be reported immediately to the Federal Bureau of Investigation and to the captain of the port, or to their respective representatives.


§ 6.16-3 Precautions against sabotage.

The master, owner, agent, or operator of a vessel or waterfront facility shall take all necessary precautions to protect the vessel, waterfront facility, and cargo from sabotage.


Subpart 6.18 – Penalties

§ 6.18-1 Violations.

Section 2, Title II of the act of June 15, 1917, as amended, 46 U.S.C. 70052, provides as follows:



If any owner, agent, master, officer, or person in charge, or any member of the crew of any such vessel fails to comply with any regulation or rule issued or order given under the provisions of this title, or obstructs or interferes with the exercise of any power conferred by this title, the vessel, together with her tackle, apparel, furniture, and equipment, shall be subject to seizure and forfeiture to the United States in the same manner as merchandise is forfeited for violation of the customs revenue laws; and the person guilty of such failure, obstruction, or interference shall be punished by imprisonment for not more than ten years and may, in the discretion of the court, be fined not more than $10,000.


(a) If any other person knowingly fails to comply with any regulation or rule issued or order given under the provisions of this title, or knowingly obstructs or interferes with the exercise of any power conferred by this title, he shall be punished by imprisonment for not more than ten years and may, at the discretion of the court, be fined not more than $10,000.


[E.O. 10173, 15 FR 7012, Oct. 20, 1950, as amended by USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


Subpart 6.19 – Responsibility for Security of Vessels and Waterfront Facilities

§ 6.19-1 Primary responsibility.

Nothing contained in this part shall be construed as relieving the masters, owners, operators, and agents of vessels or other waterfront facilities from their primary responsibility for the protection and security of such vessels or waterfront facilities.


[E.O. 10277, 16 FR 7541, Aug. 2, 1951]


PART 8 – UNITED STATES COAST GUARD RESERVE


Authority:14 U.S.C. 503.


Source:CGD 79-105, 48 FR 36449, Aug. 11, 1983, unless otherwise noted.

§ 8.1 Functions of the Coast Guard Reserve.

(a) The Coast Guard Reserve is a component of the Coast Guard. The Coast Guard Reserve trains personnel for mobilization and for augmentation of the regular Coast Guard.


(b) Members of the Coast Guard Reserve can be used for:


1. Partial or full mobilization under 10 U.S.C. 12301;


(2) Voluntary or involuntary call-up for emergency augmentation of the regular Coast Guard during time of serious natural or man-made disaster under 14 U.S.C. 3713; and


(3) Augmentation of the regular Coast Guard during active duty or inactive duty for training.


(c) A member of the Reserve on active duty or inactive duty training has the same authority, rights, and privileges in the performance of that duty as a member of the regular Coast Guard of corresponding grade or rating.


[CGD 79-105, 48 FR 36449, Aug. 11, 1983, as amended by CGD 97-023, 62 FR 33361, June 19, 1997; USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 8.3 Organization of the Coast Guard Reserve.

(a) The Coast Guard Reserve is organized, trained and equipped under the direction of the Commandant.


(b) The Director of Reserve and Training is responsible for the overall administration and supervision of the Reserve.


(c) In Atlantic Area, Integrated Support Commands have responsibility for local Reserve issues; however, in Pacific Area, responsibility for local Reserve issues remains with District Commanders.


(d) Most Coast Guard Reservists are fully integrated into active duty Coast Guard units. There, Reservists perform the same duties and have the same responsibilities as their active duty counterparts. Their integrated work prepares Reservists to perform the duties of their mobilization assignments while at the same time providing assistance to the active service. Some Reservists are assigned to dedicated Reserve units where they train and mobilize in support of national defense operations.


[CGD 96-026, 61 FR 33662, June 28, 1996]


§ 8.5 Regulations for the Coast Guard Reserve.

(a) Regulations for the Coast Guard Reserve are established by the Commandant.


(b) Permanent regulations are published in Coast Guard publications and manuals and include the following:


(1) Coast Guard Regulations.


(2) Coast Guard Organization Manual.


(3) Coast Guard Reserve Policy Manual.


(4) Personnel Manual.


(5) Recruiting Manual.


(6) Military Justice Manual.


(7) Comptroller Manual.


(c) Temporary regulations and orders affecting Reservists are included in instructions or notices in the Coast Guard directives system.


(d) Other regulations that affect the Reserve are located in Department of Defense and Department of the Navy regulations in Title 32 of the Code of Federal Regulations.


[CGD 96-026, 61 FR 33662, June 28, 1996, as amended by CGD 97-023, 62 FR 33362, June 19, 1997]


§ 8.7 Information.

(a) Information concerning the Coast Guard Reserve may be obtained from Commandant (CG-131), Attn: Office of Reserve Affairs, U.S. Coast Guard Stop 7907, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7907.


(b) Information and requirements for enlistment in the Coast Guard Reserve or concerning the procurement of officers for the Coast Guard Reserve can be obtained from the following offices:


(1) Any Coast Guard Recruiting Office.


(2) Coast Guard Recruiting Center, 4200 Wilson Boulevard, Suite 450, Arlington, VA 22203.


[CGD 96-026, 61 FR 33662, June 28, 1996, as amended by USCG-2010-0351, 75 FR 36278, June 25, 2010; USCG-2014-0410, 79 FR 38427, July 7, 2014]


PART 13 – DECORATIONS, MEDALS, RIBBONS AND SIMILAR DEVICES


Authority:14 U.S.C. 503, 2744; 49 U.S.C. 1655(b); sec. 6(b)(1), 80 Stat. 938; 49 CFR 1.4 (a)(2) and (f).



Source:CGFR 68-134, 33 FR 18932, Dec. 19, 1968, unless otherwise noted.

Subpart 13.01 – Gold and Silver Lifesaving Medals, Bars, and Miniatures

§ 13.01-1 General.

Lifesaving Medals of gold and silver, designated as the Gold Lifesaving Medal and the Silver Lifesaving Medal, respectively, may be awarded by the Commandant, U.S. Coast Guard, hereinafter called the Commandant, under 14 U.S.C. 2744 and the regulations in this subpart to persons rescuing or endeavoring to rescue any other person from drowning, shipwreck or other peril of the water.


[CGFR 68-134, 33 FR 18932, Dec. 19, 1968, as amended by USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 13.01-5 Gold and Silver Lifesaving Medals.

Lifesaving Medals may be awarded to any person who rescues or endeavors to rescue any other person from drowning, shipwreck or other peril of the water. In order for a person to be eligible for a Lifesaving Medal the rescue or attempted rescue must take place in waters within the United States or subject to the jurisdiction thereof, or if the rescue or attempted rescue takes place outside such waters, one or the other of the parties must be a citizen of the United States or from a vessel or aircraft owned or operated by citizens of the United States. If such rescue or attempted rescue is made at the risk of one’s own life and evidences extreme and heroic daring, the medal shall be of gold. If such rescue or attempted rescue is not sufficiently distinguished to deserve the medal of gold but evidences the exercise of such signal exertion as to merit recognition, the medal shall be of silver. Lifesaving Medals may be awarded posthumously.


§ 13.01-10 Gold and silver bars.

No person shall receive more than one Gold Lifesaving Medal and one Silver Lifesaving Medal; but any person who has received or may hereafter receive a Gold or Silver Lifesaving Medal and who again performs an act which would entitle him to receive another medal of the same class, may be awarded, in lieu of a second medal of the same class, a gold or silver bar, as the case may be, to be worn with the medal already bestowed, and for every such additional act, an additional bar may be awarded. Gold and silver bars may be awarded posthumously.


§ 13.01-15 Applications and recommendations.

(a) All administrative details pertaining to the award of Lifesaving Medals are under the jurisdiction of the Commandant. Applications and recommendations for the award of a Lifesaving Medal may be filed by or in behalf of the person making or attempting a rescue under circumstances contemplated by the regulations in this subpart. Applications or recommendations for award of medals or requests for information pertaining thereto should be addressed to the Commander of the Coast Guard District, hereinafter called the District Commander, where the incident took place. (See part 3 of this subchapter for descriptions of Coast Guard Districts.) If the District is unknown, or if the incident took place outside any such district, applications and recommendations should be addressed to the Commander, Personnel Service Center (PSC-PSD-M&A), U.S. Coast Guard Stop 7200, 4200 Wilson Boulevard Suite 1100, Arlington, VA 20598-7200.


(b) Completed applications must include:


(1) Satisfactory evidence of the services performed, in the form of affidavits, made by eyewitnesses of good repute and standing testifying of their own knowledge. The opinion of witnesses that the person for whom an award is sought imperiled his or her own life or made signal exertions is not sufficient but the affidavits must set forth in detail all facts and occurrences tending to show clearly in what manner and to what extent life was risked or signal exertions made so that the Commandant may judge for himself as to the degree of merit involved.


(2) The precise locality of the rescue or attempted rescue, whether from waters within the United States or subject to the jurisdiction thereof, or if the rescue or attempted rescue is outside such waters, whether one or the other of the parties is a citizen of the United States, or from a vessel or aircraft owned or operated by citizens of the United States, shall be stated. The date, time of day, nature of the weather, condition of the water, the names of all persons present when practicable, the names of all persons rendering assistance, and all pertinent circumstances and data, showing the precise nature and degree of risk involved, should be stated.


(c) Recommendations must include:


(1) As much of the information indicated in paragraphs (b) (1) and (2) of this section which is available to the person making the recommendation. Upon receipt the Commandant or the cognizant District Commander shall cause such recommendation to be referred to an investigating officer who shall cause to be developed such additional information and evidence as is deemed necessary to either (i) terminate the investigation as containing insufficient justification to continue further, or (ii) to complete the application for submission to the Commandant for his final determination.


(d) Either the Commandant or the District Commander may, without any application or recommendation, of his own motion, order an informal investigation into such an incident under Administrative Investigations Manual, COMDTINST M5830.1A (2007).


(e) Affidavits required by this subpart shall be made before an officer duly authorized to administer oaths and if taken before an officer without an official seal, his official character must be certified by the proper officer of a court of record, under the seal thereof, unless the oath be taken before an officer of the Armed Forces authorized to administer oaths under the provisions of Article 136, UCMJ (10 U.S.C. 936).


(f) Cognizant District Commanders shall act upon all applications and recommendations submitted to them from whatever source and shall:


(1) Forward completed applications with his recommendations to the Commandant for his consideration and determination; or,


(2) Inform the applicant or the person submitting the recommendation that he considers such application or recommendation incomplete together with the reasons therefor and that a period of 90 days will be allowed for additional evidence to be provided upon the expiration of which he will file the application or recommendation without further action.


(g) Whenever the cognizant District Commander shall deem such action necessary, he may require that the aforementioned affidavits shall be accompanied by a certificate showing the affiants to be credible persons, certified by some U.S. Officer, such as a judge or clerk of a U.S. Court, district attorney, collector of customs, postmaster, or officer of the Armed Forces. If the affiant is a citizen or resident of a foreign country and if the affidavit is executed in such foreign country, the credibility certificate may be executed by an officer of such foreign country, who occupies an official position similar to the aforementioned U.S. officers.


(h) The decision of the Commandant on all applications, recommendations, and investigations for the Gold or Silver Lifesaving Medals shall be final.


[CGFR 68-134, 33 FR 18932, Dec. 19, 1968, as amended by USCG-2010-0351, 75 FR 36278, June 25, 2010; USCG-2013-0397, 78 FR 39170, July 1, 2013; USCG-2014-0410, 79 FR 38427, July 7, 2014]


§ 13.01-20 Definitions.

As used in the statutes cited and in the regulations in this subpart:


(a) “Peril of the water” includes all perils on water caused by, or which are such by reason of, the sea or bodies of water such as lakes, bays, sounds and rivers; whenever, wherever and in whatever way human life is directly imperiled by the sea or a body of water is a peril of the water.


(b) A “shipwreck” includes an incident threatening persons whose lives are endangered by perils of the water as well as those who are, strictly speaking, no longer in danger from the sea or a body of water, that peril already having passed, but who are in imminent danger and in great need of succor or rescue, as e.g., being adrift in an open boat or stranded on some barren coast where, without succor or rescue, they would die of starvation, thirst, or exposure.


(c) “Waters within the United States or subject to the jurisdiction thereof,” embrace all waters within the United States, and any other waters over which the United States exercises jurisdiction.


§ 13.01-25 Description of Gold Lifesaving Medal.

(a) The Gold Lifesaving Medal is 99.9 percent pure gold and consists of a pendant suspended by a swivel from the head of an eagle attached to a silk grogram ribbon 1 and
3/8ths inches in width, composed of a
3/16ths of an inch red stripe, a
1/32d of an inch white stripe, a
15/16ths of an inch gold stripe, a
1/32d of an inch white stripe, and a
3/16ths of an inch red stripe. The pendant is 1 and
7/16ths inches in diameter and
3/32ds of an inch in thickness. There appear, on the obverse side of the pendant, three men in a boat in a heavy sea; one is rescuing a person clinging to a spar at the end of which is a block and line; another is standing, prepared to heave a line; a third is rowing; in the distance, to the left, is the wreck of a vessel; the whole is encircled by the words: “United States of America”, in the upper half, and “Act of Congress, August 4, 1949”, in the lower half. On the reverse side of the pendant there appears, in the center a monument surmounted by an American eagle; the figure of a woman stands, to the left, holding in her left hand an oak wreath, and with her right hand, preparing to inscribe the name of the recipient on the monument; to the right are grouped a mast, a yard with a sail, an anchor, a sextant, and a laurel branch; the whole is encircled by the words: “In testimony of heroic deeds in saving life from the perils of the water.”


(b) Engraving: Before presentation, the recipient’s name shall be inscribed on the “monument”, on the reverse of the medal.


§ 13.01-30 Description of Silver Lifesaving Medal.

(a) The Silver Lifesaving Medal is 99 percent pure silver and consists of a pendant suspended by a swivel from the head of an eagle attached to a silk grogram ribbon 1 and
3/8ths inches in width, composed of a
3/16ths of an inch blue stripe, a
1/32d of an inch white stripe, a
15/16ths of an inch silver gray stripe, a
1/32d of an inch white stripe, and a
3/32ds of an inch blue stripe. The pendant is 1 and
7/16ths inches in diameter and
3/32ds of an inch in thickness. On the obverse side of the pendant there appears the figure of a woman hovering over a man struggling in heavy sea and extending to him one end of a long scarf; the whole is encircled by the words: “United States of America”, in the upper half, and “Act of Congress, August 4, 1949”, in the lower half. On the reverse there appears a laurel wreath encircled by the words: “In testimony of heroic deeds in saving life from the perils of the water.”


(b) Engraving: Before presentation, the recipient’s name shall be inscribed inside the laurel wreath, on the reverse of the medal.


§ 13.01-35 Description of gold and silver bars.

(a) The bar is plain and horizontal, composed of the same metal as the medal previously awarded recipient, and is 1 and
5/8ths inches long by
3/16ths of an inch wide with a flowing ribbon draped over the left end and passing in back and appearing beneath the bar. The part of the ribbon showing beneath the bar bears the inscription “Act of Congress, August 4, 1949”, in raised block letters. The bar and ribbon are in folds of a spray of laurel with the leave showing above and beneath.


(b) Engraving: Before presentation, the recipient’s name shall be inscribed on the obverse of the bar.


§ 13.01-40 Miniature medals and bars.

(a) Miniature Gold and Silver Lifesaving Medals and bars are replicas of the Lifesaving Medals and bars, to be worn on civilian clothing. Such miniatures are not furnished by the Government.


(b) Miniature medals and bars may procured from sources authorized by the Commandant, U.S. Coast Guard, to furnish same to persons who produce original documentary evidence of having been awarded the medal or bar for which a miniature replica is desired.


§ 13.01-45 Replacement of medals and bars.

The Gold or Silver Lifesaving Medal or bar will be replaced at cost to the applicant upon submitting a statement in affidavit form of having been awarded a medal or bar and the circumstances involving loss of same. A Lifesaving Medal or bar, however, may be replaced without charge in the discretion of the Commandant, if said medal or bar has, under extremely unusual circumstances, been lost, destroyed or rendered unfit for use without fault or neglect on the part of the person to whom it was awarded.


PART 17 – UNITED STATES COAST GUARD GENERAL GIFT FUND


Authority:10 U.S.C. 2601; 14 U.S.C. 501, 503; Treasury Dept. Order 167-1, 18 FR 671.

Subpart 17.01 – General Provisions

§ 17.01-1 Basis and purpose.

In accordance with 10 U.S.C. 2601 (formerly the Act of March 11, 1948, secs. 1, to 4, 62 Stat. 71, 72); and Treasury Department Order No. 167-1, dated January 16, 1953 (18 FR 671), the regulations in this part are hereby prescribed to provide for the acceptance and subsequent use of gifts, devises, or bequests of property, real or personal, made on the condition that they be used for the benefit of, or in connection with, the establishment, operation, maintenance, or administration of any school, hospital, library, museum, chapel, or other institution or organization under the jurisdiction of the United States Coast Guard.


[CGFR 61-36, 26 FR 9321, Oct. 3, 1961]


§ 17.01-10 Authority to receive gifts.

(a) The Commandant, United States Coast Guard, may accept, receive, hold, or administer gifts, devises, or bequests of property, real or personal, made on the condition that they be used for the benefit of, or in connection with, the establishment, operation, maintenance, or administration of any school, hospital, library, museum, chapel, or other institution or organization under the jurisdiction of the United States Coast Guard. The Commandant is authorized to pay all necessary fees, charges, and expenses in connection with the conveyance or transfer of any such gifts, devises, or bequests.


(b) The Commandant may authorize or designate officers of the United States Coast Guard to accept gifts, devises, or bequests.


[CGFR 53-18, 18 FR 3171, June 3, 1953, as amended by CGFR 61-36, 26 FR 9321, Oct. 3, 1961]


Subpart 17.05 – Administration

§ 17.05-1 Gifts.

The gifts or bequests may be in money or negotiable instrument form. If in the form of a money order, check, etc., it should be made payable to the Treasurer of the United States.


[CGFR 53-18, 18 FR 3171, June 3, 1953]


§ 17.05-5 Acceptance and disbursement of gifts.

(a) The immediate receiving person shall give a proper receipt on the proper form used by the United States Coast Guard to acknowledge receipt of collections to the donor of a gift or bequest of money or for the proceeds from a sale of property received as a gift or devise.


(b) Gifts or bequests of money, or the proceeds from sales of property received as gifts or devises shall be deposited in the Treasury of the United States under symbol and title “20X8533 – United States Coast Guard, General Gift Fund.” Funds so deposited shall be subject to disbursement by or at the direction of the Commandant, United States Coast Guard, for the benefit or use of the designated school, hospital, library, museum, chapel, or other institution or organization under the jurisdiction of the United States Coast Guard subject to the terms of the particular gift, devise, or bequest.


(c) 10 U.S.C. 2601(c) states that any gift, devise, or bequest of property, real or personal, accepted under these provisions shall be deemed to be a gift, devise, or bequest to or for the use of the United States for the purpose of Federal income, estate, and gift taxes.


[CGFR 53-18, 18 FR 3171, June 3, 1953, as amended by CGFR 61-36, 26 FR 9321, Oct. 3, 1961]


§ 17.05-10 Instructions for administration.

The Commandant, United States Coast Guard, will issue such detailed instructions as may be necessary for the administration of the “United States Coast Guard General Gift Fund” or for the acceptance, operation, or maintenance of property, real or personal, that may be accepted for the benefit of or in connection with any school, hospital, library, museum, chapel, or other institution or organization under the jurisdiction of the United States Coast Guard subject to the terms and conditions of any particular gift, devise, or bequest.


[CGFR 61-36, 26 FR 9321, Oct. 3, 1961]


PART 19 – WAIVERS OF NAVIGATION AND VESSEL INSPECTION LAWS AND REGULATIONS
1



1 Also codified as 46 CFR part 6.



Authority:Sec. 1, 64 Stat. 1120, sec. 6(b)(1), 80 Stat. 937; 46 U.S.C. note prec. 1, 49 U.S.C. 108; Department of Homeland Security Delegation No. 0170.1.

§ 19.01 Procedures for effecting individual waivers of navigation and vessel inspection laws and regulations.

(a) It is hereby found necessary in the interest of national defense to waive compliance with the navigation and vessel inspection laws administered by the Coast Guard, as well as the regulations issued thereunder and contained in 46 CFR Chapter I or in this chapter, to the extent and in the manner and upon the terms and conditions as set forth in this section.


(b) An application requesting that a waiver be made effective with respect to a particular vessel may be made by any authorized representative of an agency of the United States Government or any other interested person (including the master, agent, or owner of the vessel involved). Except as provided in paragraph (d) of this section, the application shall be in writing. The application shall be delivered to the Coast Guard District Commander or to his designated representative at the port or place where the vessel is located. In the case of a vessel in any port or place of the Canal Zone or in any foreign port or place, the application shall be made to the designated representative of the Commandant at such port or place, or if the Coast Guard has not established facilities in such port or place, to the nearest designated representative of the Commandant at a port or place where such facilities have been established. Every application shall contain a statement of the particular provisions of law with respect to which waiver of compliance is requested, a certification that the waiver of compliance with such laws with respect to the vessel involved is necessary in the interest of national defense and, an outline of the facts upon which such certification is based. The Coast Guard District Commander (or his designated representative or the designated representative of the Commandant, as the case may be) shall promptly examine every application for the purpose of determining whether the necessity for prompt action is such as to require that the waiver be made effective by him without reference to the Commandant. In any case in which it appears to the Coast Guard officer concerned that reference of the application to the Commandant for action would not delay the sailing of the vessel or otherwise be contrary to the interest of national defense, the application shall be so referred. In all other cases such Coast Guard officer shall give immediate consideration to the application and if he reaches the conclusion that the urgency of the situation outweighs the marine hazard involved, then such waiver shall be made effective in regard to such vessel to the extent and under the circumstances specified by him.


(c) The Coast Guard officer making such a waiver effective pursuant to paragraph (b) of this section shall immediately prepare, in triplicate, an order setting forth the name of the vessel involved, the laws (also regulations, if any) with respect to which the waiver is effective, the extent to which compliance with such laws (also regulations, if any) is waived, and the period for which the waiver shall be effective. If practicable, one copy of this order shall be delivered to the master of the vessel involved before such vessel sails. In any case where the order is not delivered to the master, it shall be delivered to the owner, operator, or agent of the vessel without delay. One copy of the order shall be transmitted to the Commandant and the remaining copy kept on file.


(d) In any case of extreme urgency the application for a waiver may be made orally and if the Coast Guard District Commander (or his designated representative or the designated representative of the Commandant, as the case may be) reaches the conclusion referred to in paragraph (b) of this section, the waiver shall be made effective without further delay, subject to the condition that the application be reduced to writing and delivered within such period after the date of the oral request as the Coast Guard officer making the waiver effective shall specify in the order.


(e) No penalty shall be imposed because of failure to comply with any provision of law (or regulation, if any), the waiver of which has been made effective pursuant to the requirements in this section.


[CGFR 51-10, 16 FR 1959, Mar. 1, 1951]


§ 19.04 Vessels requisitioned by the United States for emergency evacuation.

Pursuant to the request of the Acting Secretary of Defense, dated November 21, 1951, made under the provisions of section 1 of Pub. L. 891, 81st Congress, approved December 27, 1950, compliance is hereby waived with the provisions of the navigation and vessel inspection laws administered by the United States Coast Guard, as well as the regulations issued thereunder and contained in this chapter, to the extent necessary to permit the operation of vessels which might be requisitioned by the United States for the purpose of emergency evacuation.


[CGFR 51-61, 16 FR 12792, Dec. 20, 1951]


§ 19.06 Vessels operated by or chartered to Military Sealift Command.

(a) Pursuant to the request of the Deputy Secretary of Defense, dated August 6, 1958, and to the request of the Assistant Secretary of Defense, Installations and Logistics, dated May 23, 1964, made under the provisions of section 1 of Pub. L. 891, 81st Congress, approved December 27, 1950 (64 Stat. 1120; 46 U.S.C., note preceding section 1), and their findings that a waiver is necessary in the interest of national defense, compliance with the provisions of the navigation and vessel inspection laws administered by the United States Coast Guard, as well as the regulations issued thereunder and contained in 33 CFR Chapter I, or in this chapter, is hereby waived to the extent and upon the terms and conditions as set forth in this section, in order to permit vessels operated by or chartered to the Military Sealift Command to carry out their assigned missions.


(b) An application requesting that this waiver be made effective with respect to a particular vessel may be made by the Commander, Military Sealift Command, or any one of his duly designated representatives. Except as provided in paragraph (e) of this section, the application shall be in writing. The application shall be delivered to the Coast Guard District Commander or to his designated representative at the port or place where the vessel is located. In the case of a vessel in any foreign port or place, the application shall be made to the designated representative of the Commandant at such port or place, or if the Coast Guard has not established facilities in such port or place, to the nearest designated representative of the Commandant at a port or place where such facilities have been established, or to the Commandant (CG-CVC), Attn: Office of Commercial Vessel Compliance, U.S. Coast Guard Stop 7501, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7501. Every application shall:


(1) Describe the laws and/or regulations by appropriate references and/or subjects with respect to which the waiver of compliance is desired;


(2) Contain a certification that the waiver of compliance with such laws and/or regulations with respect to the vessel involved is necessary in the interest of national defense and is necessary for the Military Sealift Command to carry out an assigned mission;


(3) The name and official number of the vessel involved (including the names of master, agent, and owner of the vessel involved); and


(4) For how long the waiver is needed.


(c) The Coast Guard officer making the waiver in paragraph (a) of this section effective for a particular vessel shall immediately prepare, in quadruplicate, an order setting forth:


(1) The name and official number of the vessel involved;


(2) The laws and/or regulations with respect to which the waiver is effective;


(3) The extent to which compliance with such laws and/or regulations is waived; and


(4) The period for which the waiver shall be effective.


(d) If practicable, one copy of this waiver order shall be delivered to the master of the vessel involved before such vessel sails. In any case where the waiver order is not delivered to the master, it shall be delivered to the owner, operator, or agent of the vessel without delay. One copy of the waiver order shall be delivered to the Commander, Military Sealift Command, or his duly designated representative, who submitted the application. One copy of the waiver order shall be transmitted to the Commandant (CG-CVC) and the remaining copy kept on file.


(e) In any case of extreme urgency, the application for a waiver order may be made orally and if the Coast Guard District Commander (or his designated representative, or the designated representative of the Commandant, or the Commandant, as the case may be), determines that the conditions in this section have been met, the waiver order shall be made effective without further delay, subject to the condition that the application be reduced to writing and delivered within such period after the date of the oral request as the Coast Guard officer making the waiver effective shall specify in the confirming written waiver order.


(f) No penalty shall be imposed because of failure to comply with any provision of law and/or regulation, the waiver of which has been made effective pursuant to the requirements of this section.


(g) This waiver order shall remain in effect until terminated by proper authority and notice of cancellation is published in the Federal Register.


[CGFR 64-86, 30 FR 88, Jan. 6, 1965, as amended by CGD 88-052, 53 FR 25119, July 1, 1988; CGD 96-026, 61 FR 33662, June 28, 1996; USCG-2004-18057, 69 FR 34925, June 23, 2004; USCG-2010-0351, 75 FR 36278, June 25, 2010; USCG-2014-0410, 79 FR 38427, July 7, 2014]


§ 19.07 Chronological record of seaman’s previous employment.

(a) Compliance is hereby waived with regard to the provisions of subsection (h) of R.S. 4551, as amended (46 U.S.C. 643), to the extent necessary to permit the Commandant of the United States Coast Guard to issue a chronological record of a seaman’s previous employment on a single document, in lieu of making individual entry in a duplicate continuous discharge book or furnishing individual certificates of discharge.


(b) It is hereby found that the waiving of the provisions of R.S. 4551(h), as amended (46 U.S.C. 643), is necessary in the interest of national defense.


[CGFR 51-9, 16 FR 1829, Feb. 27, 1951, as amended by CGFR 59-4a, 24 FR 3055, Apr. 21, 1959]


Cross Reference:

See 49 CFR 7.93 for the fee for this record.


§ 19.15 Permits for commercial vessels handling explosives at military installations.

Pursuant to the request of the Secretary of Defense in a letter dated October 19, 1955, made under the provisions of section 1 of the act of December 27, 1950 (64 Stat. 1120; 46 U.S.C., note prec. 1), I hereby waive in the interest of national defense compliance with the provisions of R.S. 4472, as amended (46 U.S.C. 170), and the regulations promulgated thereunder in part 146 of this chapter to the extent that no quantitative restrictions, based on considerations of isolation and remoteness, shall be required by the Coast Guard for commercial vessels loading or unloading explosives at the Department of Defense waterfront installations. This waiver shall not relieve a commercial vessel loading or unloading explosives at the Department of Defense waterfront installations from the requirement of securing a permit from the Coast Guard for such operations with respect to quantitative or other restrictions imposed by the Coast Guard on the basis of each vessel’s ability to meet prescribed stowage and handling requirements.


[CGFR 55-49, 20 FR 8638, Nov. 23, 1955]


PART 20 – RULES OF PRACTICE, PROCEDURE, AND EVIDENCE FOR FORMAL ADMINISTRATIVE PROCEEDINGS OF THE COAST GUARD


Authority:33 U.S.C. 1321; 42 U.S.C. 9609; 46 U.S.C. 7701, 7702; Department of Homeland Security Delegation No. 0170.1, para. 2(73).


Source:CGD 98-3472, 64 FR 28062, May 24, 1999, unless otherwise noted.

Subpart A – General

§ 20.101 Scope.

Except as otherwise noted, the rules of practice, procedure, and evidence in this part apply to the following subjects of administrative proceedings before the United States Coast Guard:


(a) Class II civil penalties assessed under subsection 311(b) of the Federal Water Pollution Control Act (33 U.S.C. 1321(b)(6)).


(b) Class II civil penalties assessed under section 109 of the Comprehensive Environmental Response, Compensation, and Liability Act (42 U.S.C. 9609(b)).


(c) Suspensions and revocations conducted under 46 U.S.C. Chapter 77.


§ 20.102 Definitions.

Administrative Law Judge or ALJ means any person designated by the Commandant under paragraph 556(b)(3) of the Administrative Procedure Act (APA) (5 U.S.C. 556(b)(3)) to conduct hearings arising under 33 U.S.C. 1321(b); 42 U.S.C. 9609(b); or 46 U.S.C. Chapter 77.


Chief Administrative Law Judge or Chief ALJ means the Administrative Law Judge appointed as the Chief Administrative Law Judge of the Coast Guard by the Commandant.


Class II Civil penalty proceeding means a trial-type proceeding for the assessment of a civil penalty that affords an opportunity for an oral, fact-finding hearing before an ALJ.


Coast Guard Representative means an official of the Coast Guard designated to prosecute an administrative proceeding.


Commandant means the Commandant of the Coast Guard. It includes the Vice-Commandant of the Coast Guard acting on behalf of the Commandant in any matter.


Complaint means a document issued by a Coast Guard representative alleging a violation for which a penalty may be administratively assessed under 33 U.S.C. 1321(b) or 42 U.S.C. 9609(b), or a merchant mariner credential, mariner’s license, certificate of registry, or document suspended or revoked under 46 U.S.C. 7703 or 7704.


Credential means any or all of the following:


(1) Merchant mariner’s document.


(2) Merchant mariner’s license.


(3) STCW endorsement.


(4) Certificate of registry.


(5) Merchant mariner credential.


Hearing Docket Clerk means an employee of the Office of the Chief ALJ who is responsible for receiving documents, determining their completeness and legibility, and distributing them to ALJs and others, as required by this part.


Interested person means a person who, as allowed in § 20.404, files written comments on a proposed assessment of a class II civil penalty or files written notice of intent to present evidence in any such hearing held on the proposed assessment.


Mail means first-class, certified, or registered matter sent by the Postal Service, or matter sent by an express-courier service.


Merchant mariner credential or MMC means the credential issued by the Coast Guard under 46 CFR part 10. It combines the individual merchant mariner’s document, license, and certificate of registry enumerated in 46 U.S.C. subtitle II part E as well as the STCW endorsement into a single credential that serves as the mariner’s qualification document, certificate of identification, and certificate of service.


Motion means a request for an order or ruling from an ALJ.


Party means a respondent or the Coast Guard.


Person means an individual, a partnership, a corporation, an association, a public or private organization, or a governmental agency.


Personal delivery means delivery by hand or in person, or through use of a contract service or an express-courier service. It does not include use of governmental interoffice mail.


Pleading means a complaint, an answer, and any amendment to such document permitted under this part.


Respondent means a person charged with a violation in a complaint issued under this part.


Suspension and revocation proceeding or S&R proceeding means a trial-type proceeding for the suspension or revocation of a merchant mariner’s credential, license, certificate of registry, or document issued by the Coast Guard that affords an opportunity for an oral, fact-finding hearing before an ALJ.


[CGD 98-3472, 64 FR 28062, May 24, 1999, as amended by USCG-2006-24371, 74 FR 11211, Mar. 16, 2009]


§ 20.103 Construction and waiver of rules.

(a) Each person with a duty to construe the rules in this part in an administrative proceeding shall construe them so as to secure a just, speedy, and inexpensive determination.


(b) Except to the extent that a waiver would be contrary to law, the Commandant, the Chief ALJ, or a presiding ALJ may, after notice, waive any of the rules in this part either to prevent undue hardship or manifest injustice or to secure a just, speedy, and inexpensive determination.


(c) Absent a specific provision in this part, the Federal Rules of Civil Procedure control.


Subpart B – Administrative Law Judges

§ 20.201 Assignment.

An ALJ, assigned by the Chief ALJ after receipt of the complaint, shall preside over each administrative proceeding under this part.


§ 20.202 Powers.

The ALJ shall have all powers necessary to the conduct of fair, fast, and impartial hearings, including the powers to –


(a) Administer oaths and affirmations;


(b) Issue subpoenas authorized by law;


(c) Rule on motions;


(d) Order discovery as provided for in this part;


(e) Hold hearings or settlement conferences;


(f) Regulate the course of hearings;


(g) Call and question witnesses;


(h) Issue decisions;


(i) Exclude any person from a hearing or conference for disrespect, or disorderly or rebellious conduct; and


(j) Institute policy authorized by the Chief ALJ.


§ 20.203 Unavailability.

(a) If an ALJ cannot perform the duties described in § 20.202 or otherwise becomes unavailable, the Chief ALJ shall designate a successor.


(b) If a hearing has commenced and the assigned ALJ cannot proceed with it, a successor ALJ may. The successor ALJ may, at the request of a party, recall any witness whose testimony is material and disputed, and who is available to testify again without undue burden. The successor ALJ may, within his or her discretion, recall any other witness.


§ 20.204 Withdrawal or disqualification.

(a) An ALJ may disqualify herself or himself at any time.


(b) Until the filing of the ALJ’s decision, either party may move that the ALJ disqualify herself or himself for personal bias or other valid cause. The party shall file with the ALJ, promptly upon discovery of the facts or other reasons allegedly constituting cause, an affidavit setting forth in detail the reasons.


(1) The ALJ shall rule upon the motion, stating the grounds for the ruling. If the ALJ concludes that the motion is timely and meritorious, she or he shall disqualify herself or himself and withdraw from the proceeding. If the ALJ does not disqualify herself or himself and withdraw from the proceeding, the ALJ shall carry on with the proceeding, or, if a hearing has concluded, issue a decision.


(2) If an ALJ denies a motion to disqualify herself or himself, the moving party may, according to the procedures in subpart J of this part, appeal to the Commandant once the hearing has concluded. When that party does appeal, the ALJ shall forward the motion, the affidavit, and supporting evidence to the Commandant along with the ruling.


§ 20.205 Ex parte communications.

Ex parte communications are governed by subsection 557(d) of the Administrative Procedure Act (5 U.S.C. 557(d)).


§ 20.206 Separation of functions.

(a) No ALJ may be responsible to, or supervised or directed by, an officer, employee, or agent who investigates for or represents the Coast Guard.


(b) No officer, employee, or agent of the Coast Guard who investigates for or represents the Coast Guard in connection with any administrative proceeding may, in that proceeding or one factually related, participate or advise in the decision of the ALJ or of the Commandant in an appeal, except as a witness or counsel in the proceeding or the appeal.


Subpart C – Pleadings and Motions

§ 20.301 Representation.

(a) A party may appear –


(1) Without counsel;


(2) With an attorney; or


(3) With other duly authorized representative.


(b) Any attorney, or any other duly authorized representative, shall file a notice of appearance. The notice must indicate –


(1) The name of the case, including docket number if assigned;


(2) The person on whose behalf the appearance is made; and


(3) The person’s and the representative’s mailing addresses and telephone numbers.


(c) Any attorney or other duly authorized representative shall also file a notice, including the items listed in paragraph (a) of this section, for any withdrawal of appearance.


(d) Any attorney shall be a member in good standing of the bar of the highest court of a State, the District of Columbia, or any territory or commonwealth of the United States. A personal representation of membership is sufficient proof, unless the ALJ orders more evidence.


(e) Any person who would act as a duly authorized representative and who is not an attorney shall file a statement setting forth the basis of his or her authority to so act. The ALJ may deny appearance as representative to any person who, the ALJ finds, lacks the requisite character, integrity, or proper personal conduct.


§ 20.302 Filing of documents and other materials.

(a) The proper address at which to file all documents and other materials relating to an administrative proceeding is: U.S. Coast Guard Administrative Law Judge Docketing Center; Attention: Hearing Docket Clerk; Room 412; 40 S. Gay Street; Baltimore, MD 21201-4022.


(b) The telephone number is: 410-962-5100. The toll-free telephone number is: 1-866-612-7524.


(c) The fax number is: 410-962-1746. The toll-free fax number is: 1-877-243-3453.


(d) The appropriate party shall file with the Hearing Docket Clerk an executed original of each document (including any exhibit and supporting affidavit).


(e) A party may file by mail or personal delivery. The ALJ or the Hearing Docket Clerk may permit other methods, such as fax or other electronic means.


(f) When the Hearing Docket Clerk determines that a document, or other material, offered for filing does not comply with requirements of this part, the Clerk will accept it, and may advise the person offering it of the defect, and require that person to correct the defect. If the defect is failure to serve copies on other parties, the parties’ response period begins when properly served.


[CGD 98-3472, 64 FR 28062, May 24, 1999, as amended by USCG-2016-0498, 82 FR 35079, July 28, 2017]


§ 20.303 Form and content of filed documents.

(a) Each filed document must clearly –


(1) State the title of the case;


(2) State the docket number of the case, if one has been assigned;


(3) Designate the type of filing (for instance: petition, notice, or motion to dismiss);


(4) Identify the filing party by name and capacity acted in; and


(5) State the address, telephone number, and any fax number of the filing party and, if that party is represented, the name, address, telephone number, and any fax number of the representative.


(b) Each filed document must –


(1) Measure 8
1/2 by 11 inches, except that a table, chart, or other attachment may be larger if folded to the size of the filed document to which it is physically attached;


(2) Be printed on just one side of the page and be clearly typewritten, printed, or otherwise reproduced by a process that yields legible and permanent copies;


(3) Be double-spaced except for footnotes and long quotations, which may be single-spaced;


(4) Have a left margin of at least 1
1/2 inches and other margins of at least 1 inch; and


(5) Be bound on the left side, if bound.


(c) Each filed document must be in English or, if in another language, accompanied by a certified translation. The original of each filed document must be signed by the filing party or her or his representative. Unless the rules in this part or the ALJ requires it to be verified or accompanied by an affidavit, no filed document need be. The signature constitutes a certification by the signer that she or he has read the document; that, to the best of her or his knowledge, information, and belief, the statements made in it are true; and that she or he does not intend it to cause delay.


(d) Complaints, answers, and simple motions may employ forms approved for use in proceedings of the Coast Guard instead of the format set out in this section.


§ 20.304 Service of documents.

(a) The ALJ shall serve upon each party to the proceeding a copy of each document issued by the ALJ in it. The ALJ shall serve upon each interested person, as determined under § 20.404, a copy of the notice of hearing. Unless this part provides otherwise, the ALJ shall upon request furnish to each such interested person a copy of each document filed with the Hearing Docket Clerk or issued by the ALJ.


(b) Unless the ALJ orders otherwise, each person filing a document with the Hearing Docket Clerk shall serve upon each party a copy of it.


(c) If a party filing a document must serve a copy of it upon each party, each copy must bear a certificate of service, signed by or on behalf of the filing party, stating that she or he has so served it. The certificate shall be in substantially the following form:



I hereby certify that I have served the foregoing document[s] upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by [specify the method]:


(1) [name, address of party]

(2) [name, address of party]

Done at __________, this ____ day of ______, 19__ or 20__.


[Signature]

For

[Capacity].

(d) This table describes how to serve filed documents.


Table 1 to § 20.304(d) – How To Serve Filed Documents

Type of filed

document
Acceptable methods of service
(1) Complaint(i) Certified mail, return receipt requested; Priority mail with signature confirmation; or Express Mail with signature confirmation.

(ii) Personal delivery.

(iii) Express-courier service that has receipt capability.
(2) Default motion(i) Certified mail, return receipt requested; Priority mail with signature confirmation; or Express Mail with signature confirmation.

(ii) Personal delivery.

(iii) Express-courier service that has receipt capability.
(3) Answer(i) Mail.

(ii) Personal delivery.

(iii) Express-courier service.

(iv) Fax.
(4) Any other filed document(i) Mail.

(ii) Personal delivery.

(iii) Express-courier service.

(iv) Fax.

(v) Other electronic means (at the discretion of the ALJ).

(e)(1) Unless the ALJ orders otherwise, if a party files a document under § 20.302, the party must serve a copy to the person indicated in this table.


Table 1 to § 20.304(e) – Who Receives Copies of Filed Documents

If a party –
Then the serving party must serve –
Is representedThe counsel or other representative.
Is not representedThe party.

(2) Service upon counsel or representative constitutes service upon the person to be served.


(f) The serving party must send service copies to the address indicated in this table.


Table 1 to § 20.304(f) – Where To Send Service Copies

If the party –
Then the serving party must send the copies to –
Is representedThe address of the counsel or representative.
Is not representedThe last known address of the residence or principal place of business of the person to be served.

(g) This table describes when service of a filed document is complete.


Table 1 to § 20.304(g) – When Service Is Complete

If method of service used is –
Then service is complete when the document is –

(1) Personal delivery (Complaint or Default Motion)(i) Handed to the person to be served.

(ii) Delivered to the person’s office during business hours.

(iii) Delivered to the person’s residence and service made to a person of suitable age and discretion residing at the individual’s residence.
(2) Personal delivery (all other filed documents)(i) Handed to the person to be served.

(ii) Delivered to the person’s office during business hours.

(iii) Delivered to the person’s residence and deposited in a conspicuous place.
(3) Certified Mail, Priority Mail, Express Mail, or express-courier (Complaint or Default Motion)(i) Delivered to the person’s residence and signed for by a person of suitable age and discretion residing at the individual’s residence.

(ii) Delivered to the person’s office during business hours and signed for by a person of suitable age and discretion.

(4) Mail or express-courier service (all other filed documents)(i) Mailed (postmarked).

(ii) Deposited with express-courier service.
(5) Fax or other electronic meansTransmitted.

(h) If a person refuses to accept delivery of any document or fails to claim a properly addressed document other than a complaint sent under this subpart, the Coast Guard considers the document served anyway. Service is valid at the date and the time of mailing, of deposit with a contract service or express-courier service, or of refusal to accept delivery.


[CGD 98-3472, 64 FR 28062, May 24, 1999; 64 FR 34540, June 28, 1999, as amended by USCG-2000-7223, 65 FR 40054, June 29, 2000; USCG-2016-0498, 82 FR 35079, July 28, 2017]


§ 20.305 Amendment or supplementation of filed documents.

(a) Each party or interested person shall amend or supplement a previously filed pleading or other document if she or he learns of a material change that may affect the outcome of the administrative proceeding. However, no amendment or supplement may broaden the issues without an opportunity for any other party or interested person both to reply to it and to prepare for the broadened issues.


(b) The ALJ may allow other amendments or supplements to previously filed pleadings or other documents.


(c) Each party or interested person shall notify the Hearing Docket Clerk, the ALJ, and every other party or interested person, or her or his representative, of any change of address.


§ 20.306 Computation of time.

(a) We compute time periods as follows:


(1) We do not include the first day of the period.


(2) If the last day of the period is a Saturday, Sunday, or Federal holiday, we extend the period to the next business day.


(3) If the period is 7 days or less, we do not include Saturdays, Sundays, or Federal holidays.


(b) If you were served a document (by domestic mail) that requires or permits a response, you may add 3 days to any period for response.


(c) If you need additional time to file a response, follow the rules in these tables.


(1) You may request an extension –


Table 20.306(c)(1) – How to Request an Extension

If the response period –
By –
Has not expiredTelephone, letter, or motion.
Has expiredOnly by motion describing why the failure to file was excusable.

(2) You file your request as follows:


Table 20.306(c)(2) – Where to File an Extension Request

If –
Then you file your request with the –
An ALJ has not been assignedHearing Docket Clerk.
An ALJ has been assignedALJ.
Your case is on appealHearing Docket Clerk.

§ 20.307 Complaints.

(a) The complaint must set forth –


(1) The type of case;


(2) The statute or rule allegedly violated;


(3) The pertinent facts alleged; and


(4)(i) The amount of the class II civil penalty sought; or


(ii) The order of suspension or revocation proposed.


(b) The Coast Guard shall propose a place of hearing when filing the complaint.


(c) The complaint must conform to the requirements of this subpart for filing and service.


§ 20.308 Answers.

(a) The respondent shall file a written answer to the complaint 20 days or less after service of the complaint. The answer must conform to the requirements of this subpart for filing and service.


(b) The person filing the answer shall, in the answer, either agree to the place of hearing proposed in the complaint or propose an alternative.


(c) Each answer must state whether the respondent intends to contest any of the allegations set forth in the complaint. It must include any affirmative defenses that the respondent intends to assert at the hearing. The answer must admit or deny each numbered paragraph of the complaint. If it states that the respondent lacks sufficient knowledge or information to admit or deny a particular numbered paragraph, it denies that paragraph. If it does not specifically deny a particular numbered paragraph, it admits that paragraph.


(d) A respondent’s failure without good cause to file an answer admits each allegation made in the complaint.


§ 20.309 Motions.

(a) A person may apply for an order or ruling not specifically provided for in this subpart, but shall apply for it by motion. Each written motion must comply with the requirements of this subpart for form, filing, and service. Each motion must state clearly and concisely –


(1) Its purpose, and the relief sought;


(2) Any statutory or regulatory authority; and


(3) The facts constituting the grounds for the relief sought.


(b) A proposed order may accompany a motion.


(c) Each motion must be in writing; except that one made at a hearing will be sufficient if stated orally upon the record, unless the ALJ directs that it be reduced to writing.


(d) Except as otherwise required by this part, a party shall file any response to a written motion 10 days or less after service of the motion. When a party makes a motion at a hearing, an oral response to the motion made at the hearing is timely.


(e) Unless the ALJ orders otherwise, the filing of a motion does not stay a proceeding.


(f) The ALJ will rule on the record either orally or in writing. She or he may summarily deny any dilatory, repetitive, or frivolous motion.


§ 20.310 Default by respondent.

(a) The ALJ may find a respondent in default upon failure to file a timely answer to the complaint or, after motion, upon failure to appear at a conference or hearing without good cause shown.


(b) Each motion for default must conform to the rules of form, service, and filing of this subpart. Each motion must include a proposed decision and proof of service under section 20.304(d). The respondent alleged to be in default shall file a reply to the motion 20 days or less after service of the motion.


(c) Default by respondent constitutes, for purposes of the pending action only, an admission of all facts alleged in the complaint and a waiver of her or his right to a hearing on those facts.


(d) Upon finding a respondent in default, the ALJ shall issue a decision against her or him.


(e) For good cause shown, the ALJ may set aside a finding of default.


§ 20.311 Withdrawal or dismissal.

(a) An administrative proceeding may end in withdrawal without any act by an ALJ in any of the following ways:


(1) By the filing of a stipulation by all parties who have appeared in the proceeding.


(2) By the filing of a notice of withdrawal by the Coast Guard representative at any time before the respondent has served a responsive pleading.


(3) With respect to a complaint filed under section 311(b)(6) of the Federal Water Pollution Control Act (33 U.S.C. 1321(b)(6)) or section 109(d) of the Comprehensive Environmental Response, Compensation and Liability Act (42 U.S.C. 9609(b)), by the filing of –


(i) A notice of withdrawal by the Coast Guard representative at any time after the respondent has served a responsive pleading, but before the issuance of an order assessing or denying a class II civil penalty, together with


(ii) A certification by the representative that the filing of the notice is due to a request by the Attorney General – in accordance with subsection 10(d) of Executive Order 12777 (56 FR 54757; 3 CFR, 1991 Comp., p. 351) – that the Coast Guard refrain from conducting an administrative proceeding.


(b) Unless the stipulation or notice of withdrawal states otherwise, a withdrawal under paragraph (a) of this section is without prejudice.


(c) Except as provided in paragraph (a) of this section, no administrative proceeding may end in withdrawal unless approved by an ALJ upon such terms as she or he deems proper.


(d) Any respondent may move to dismiss a complaint, the government may move to dismiss a petition, or any party may lodge a request for relief, for failure of another party to –


(1) Comply with the requirements of this part or with any order of the ALJ;


(2) Show a right to relief based upon the facts or law; or


(3) Prosecute the proceeding.


(e) A dismissal resides within the discretion of the ALJ.


Subpart D – Proceedings

§ 20.401 Initiation of administrative proceedings.

An administrative proceeding commences when the Coast Guard representative files the complaint with the Hearing Docket Clerk and serves a copy of it on the respondent.


§ 20.402 Public notice.

Upon the filing of a complaint under 33 U.S.C. 1321(b) (6), the Coast Guard provides public notice of a class II civil penalty proceeding. The notice appears in the Federal Register.


§ 20.403 Consolidation and severance.

(a) A presiding ALJ may for good cause, with the approval of the Chief ALJ and with all parties given notice and opportunity to object, consolidate any matters at issue in two or more administrative proceedings docketed under this part. (Good cause includes the proceedings’ possessing common parties, questions of fact, and issues of law and presenting the likelihood that consolidation would expedite the proceedings and serve the interests of justice.) The ALJ may not consolidate any matters if consolidation would prejudice any rights available under this part or impair the right of any party to place any matters at issue.


(b) Unless directed otherwise by the Chief ALJ, a presiding ALJ may, either in response to a motion or on his or her own motion, for good cause, sever any administrative proceeding with respect to some or all parties, claims, and issues.


§ 20.404 Interested persons.

(a) Any person not a party to a class II civil penalty proceeding under 33 U.S.C. 1321(b)(6) who wishes to be an interested person in the proceeding shall, 30 days or less after publication in the Federal Register of the public notice required by § 20.402, file with the Hearing Docket Clerk either –


(1) Written comments on the proceeding; or


(2) Written notice of intent to present evidence at any hearing in the proceeding.


(b) The presiding ALJ may, for good cause, accept late comments or late notice of intent to present evidence.


(c) Each interested person shall receive notice of any hearing due in the proceeding and of the decision in the proceeding. He or she may have a reasonable opportunity to be heard and to present evidence in any hearing.


(d) The opportunity secured by paragraph (c) of this section does not extend to –


(1) The issuance of subpoenas for witnesses;


(2) The cross-examination of witnesses; or


(3) Appearance at any settlement conference.


Subpart E – Conferences and Settlements

§ 20.501 Conferences.

(a) Any party may by motion request a conference.


(b) The ALJ may direct the parties to attend one or more conferences before or during a hearing.


(c) The ALJ may invite interested persons to attend a conference, other than a settlement conference, as the ALJ deems appropriate.


(d) The ALJ shall give reasonable notice of the time and place of any conference to the parties, and to interested persons if invited. A conference may occur in person, by telephone, or by other appropriate means.


(e) Each party, and any interested person invited, shall be fully prepared for a useful discussion of all issues properly before the conference, both procedural and substantive, and be authorized to commit themselves or those they represent respecting those issues.


(f) Unless the ALJ excuses a party, the failure of a party to attend or participate in a conference, after being served with reasonable notice of its time and place, waives all objections to any agreements reached in it and to any consequent orders or rulings.


(g) The ALJ may direct that any of the following be addressed or furnished before, during, or after the conference:


(1) Methods of service and filing.


(2) Motions for consolidation or severance of parties or issues.


(3) Motions for discovery.


(4) Identification, simplification, and clarification of the issues.


(5) Requests for amendment of the pleadings.


(6) Stipulations and admissions of fact and of the content and authenticity of documents.


(7) The desirability of limiting and grouping witnesses, so as to avoid duplication.


(8) Requests for official notice and particular matters to be resolved by reliance upon the substantive standards, rules, and other policies of the Coast Guard.


(9) Offers of settlement.


(10) Proposed date, time, and place of the hearing.


(11) Other matters that may aid in the disposition of the proceeding.


(h) No one may stenographically report or otherwise record a conference unless the ALJ allows.


(i) During a conference, the ALJ may dispose of any procedural matters on which he or she is authorized to rule.


(j) Actions taken at a conference may be memorialized in –


(1) A stenographic report if authorized by the ALJ;


(2) A written transcript from a magnetic tape or the equivalent if authorized by the ALJ; or


(3) A statement by the ALJ on the record at the hearing summarizing them.


§ 20.502 Settlements.

(a) The parties may submit a proposed settlement to the ALJ.


(b) The proposed settlement must be in the form of a proposed decision, accompanied by a motion for its entry. The decision must recite the reasons that make it acceptable, and it must be signed by the parties or their representatives.


(c) The proposed decision must contain –


(1) An admission of all jurisdictional facts;


(2) An express waiver of –


(i) Any further procedural steps before the ALJ; and


(ii) All rights to seek judicial review, or otherwise challenge or contest the validity, of the decision;


(3) A statement that the decision will have the same force and effect as would a decision made after a hearing; and


(4) A statement that the decision resolves all matters needing to be adjudicated.


Subpart F – Discovery

§ 20.601 General.

(a) Unless the ALJ orders otherwise, each party – and each interested person who has filed written notice of intent to present evidence at any hearing in the proceeding under § 20.404 – shall make available to the ALJ and to every other party and interested person –


(1) The name of each expert and other witness the party intends to call, together with a brief narrative summary of the expected testimony; and


(2) A copy, marked as an exhibit, of each document the party intends to introduce into evidence or use in the presentation of its case.


(b) During a pre-hearing conference ordered under § 20.501, the ALJ may direct that the parties exchange witness lists and exhibits either at once or by correspondence.


(c) The ALJ may establish a schedule for discovery and shall serve a copy of any such schedule on each party.


(1) The schedule may include dates by which the parties shall both exchange witness lists and exhibits and file any requests for discovery and objections to such requests.


(2) Unless the ALJ orders otherwise, the parties shall exchange witness lists and exhibits 15 days or more before hearing.


(d) Further discovery may occur only by order, and then only when the ALJ determines that –


(1) It will not unreasonably delay the proceeding;


(2) The information sought is not otherwise obtainable;


(3) The information sought has significant probative value;


(4) The information sought is neither cumulative nor repetitious; and


(5) The method or scope of the discovery is not unduly burdensome and is the least burdensome method available.


(e) A motion for discovery must set forth –


(1) The circumstances warranting the discovery;


(2) The nature of the information sought; and


(3) The proposed method and scope of discovery and the time and place where the discovery would occur.


(f) If the ALJ determines that he or she should grant the motion, he or she shall issue an order for the discovery, together with the terms on which it will occur.


§ 20.602 Amendatory or supplementary responses.

(a) Any party or interested person shall amend or supplement information previously provided upon learning that the information –


(1) Was incorrect or incomplete when provided; or,


(2) Though correct or complete when provided, no longer is.


(b) The party or interested person shall amend or supplement that information by following the procedures in § 20.305.


§ 20.603 Interrogatories.

(a) Any party requesting interrogatories shall so move to the ALJ. The motion must include –


(1) A statement of the purpose and scope of the interrogatories; and


(2) The proposed interrogatories.


(b) The ALJ shall review the proposed interrogatories, and may enter an order either –


(1) Approving the service of some or all of the proposed interrogatories; or


(2) Denying the motion.


(c) The party requesting interrogatories shall serve on the party named in the interrogatories the approved written interrogatories.


(d) Each interrogatory must be answered separately and fully in writing under oath or affirmation, unless it is objected to, in which event the party named shall state the reasons for the objection instead of a response. This party, the party’s attorney, or the party’s representative shall sign the party’s responses to interrogatories.


(e) Responses or objections must be filed within 30 days after the service of the interrogatories.


(f) A response to an interrogatory is sufficient when –


(1) The responder lists the records from which such answers may be derived or ascertained; and


(2) The burden of ascertaining the information in a response to an interrogatory is substantially the same for all parties involved in the action; and


(3) The information may be obtained from an examination, audit, or inspection of records, or from a compilation, abstract, or summary based on such records.


(g) The party serving the interrogatory shall be afforded reasonable opportunity to examine, audit, or inspect the resource and to make copies, compilations, abstracts, or summaries. The specification must include sufficient detail to permit the interrogating party to locate and identify the individual records from which the answer may be ascertained.


§ 20.604 Requests for production of documents or things, for inspection or other purposes.

(a) Any party seeking production of documents or things for inspection or other purposes shall so move to the ALJ. The motion must state with particularity –


(1) The purpose and scope of the request; and


(2) The documents and materials sought.


(b) The ALJ shall review the motion and enter an order approving or denying it in whole or in part.


(c) A party shall serve on the party in possession, custody, or control of the documents the order to produce or to permit inspection and copying of documents.


(d) A party may, after approval of an appropriate motion by the ALJ, inspect and copy, test, or sample any tangible things that contain, or may lead to, relevant information, and that are in the possession, custody, or control of the party upon whom the request is served.


(e) A party may, after approval of an appropriate motion by the ALJ, serve on another party a request to permit entry upon designated property in the possession or control of the other party for the purpose of inspecting, measuring, surveying, photographing, testing, or sampling the property or any designated object or area. A request to permit entry upon property must set forth with reasonable particularity the feature to be inspected and must specify a reasonable time, place, and manner for making the inspection and performing the related acts.


(f) The party upon whom the request is served shall respond within 30 days after the service of the request. Inspection and related activities will be permitted as requested, unless there are objections, in which case the reason for each objection must be stated.


§ 20.605 Depositions.

(a) The ALJ may order a deposition only upon a showing of good cause and upon a finding that –


(1) The information sought is not obtainable more readily by alternative methods; or


(2) There is a substantial reason to believe that relevant and probative evidence may otherwise not be preserved for presentation at the hearing.


(b) Testimony may be taken by deposition upon approval of the ALJ of a motion made by any party.


(1) The motion must state –


(i) The purpose and scope of the deposition;


(ii) The time and place it is to be taken;


(iii) The name and address of the person before whom the deposition is to be taken;


(iv) The name and address of each witness from whom a deposition is to be taken;


(v) The documents and materials which the witness is to produce; and


(vi) Whether it is intended that the deposition be used at a hearing instead of live testimony.


(2) The motion must state if the deposition is to be by oral examination, by written interrogatories, or a combination of the two. The deposition may be taken before any disinterested person authorized to administer oaths in the place where the deposition is to be taken.


(c) Upon a showing of good cause the ALJ may enter, and serve upon the parties, an order to obtain the testimony of the witness.


(d) If the deposition of a public or private corporation, partnership, association, or governmental agency is ordered, the organization named must designate one or more officers, directors, or agents to testify on its behalf, and may set forth, for each person designated, the matters on which he or she will testify. Subject to the provisions of 49 CFR part 9 with respect to Coast Guard witnesses, the designated persons shall testify as to matters reasonably known to them.


(e) Each witness deposed shall be placed under oath or affirmation, and the other parties shall have the right to cross-examine.


(f) The witness being deposed may have counsel or another representative present during the deposition.


(g) Except as provided in paragraph (n) of this section, depositions shall be stenographically recorded and transcribed at the expense of the party requesting the deposition. Unless waived by the deponent, the transcription must be read by or read to the deponent, subscribed by the deponent, and certified by the person before whom the deposition was taken.


(h) Subject to objections to the questions and responses that were noted at the taking of the deposition and that would have been sustained if the witness had been personally present and testifying at a hearing, a deposition may be offered into evidence by the party taking it against any party who was present or represented at the taking of the deposition or who had notice of the deposition.


(i) The party requesting the deposition shall make appropriate arrangements for necessary facilities and personnel.


(j) During the taking of a deposition, a party or the witness may request suspension of the deposition on the grounds of bad faith in the conduct of the examination, oppression of the witness or party, or improper questioning or conduct. Upon request for suspension, the deposition will be adjourned. The objecting party or witness must immediately move the ALJ for a ruling on the objection(s). The ALJ may then limit the scope or manner of the taking of the deposition.


(k) When a deposition is taken in a foreign country, it may be taken before a person having power to administer oaths in that location, or before a secretary of an embassy or legation, consul general, consul, vice consul or consular agent of the United States, or before such other person or officer as may be agreed upon by the parties by written stipulation filed with the ALJ.


(l) Objection to taking a deposition because of the disqualification of the officer before whom it is to be taken is waived unless made before the taking of the deposition begins, or as soon as the disqualification becomes known or could have been discovered with reasonable diligence.


(m) A deposition may be taken by telephone conference call upon such terms, conditions, and arrangements as are prescribed in the order of the ALJ.


(n) The testimony at a deposition hearing may be recorded on videotape, upon such terms, conditions and arrangements as are prescribed in the order of the ALJ, at the expense of the party requesting the recording. The video recording may be in conjunction with an oral examination by telephone conference held pursuant to paragraph (m) of this section. After the deposition has been taken, and copies of the video recording are provided to parties requesting them, the person recording the deposition shall immediately place the videotape in a sealed envelope or a sealed videotape container, attaching to it a statement identifying the proceeding and the deponent and certifying as to the authenticity of the video recording, and return the videotape by accountable means to the ALJ. The deposition becomes a part of the record of the proceedings in the same manner as a transcribed deposition. The videotape, if admitted into evidence, will be played during the hearing and transcribed into the record by the reporter.


§ 20.606 Protective orders.

(a) In considering a motion for an order of discovery – or a motion, by a party or other person from whom discovery is sought, to reconsider or amend an order of discovery – the ALJ may enter any order that justice requires, to protect a person from annoyance, embarrassment, oppression, or undue burden or expense. This order may –


(1) Confine discovery to specific terms and conditions, such as a particular time and place;


(2) Confine discovery to a method other than that selected by the party seeking it;


(3) Preclude inquiry into certain matters;


(4) Direct that discovery occur with no one present except persons designated by the ALJ;


(5) Preclude the disclosure of a trade secret or other proprietary information, or allow its disclosure only in a designated way or only to designated persons; or


(6) Require that the person from whom discovery is sought file specific documents or information under seal for opening at the direction of the ALJ.


(b) When a person from whom discovery is sought seeks a protective order, the ALJ may let him or her make all or part of the showing of good cause in camera. The ALJ shall record any proceedings in camera. If he or she enters a protective order, he or she shall seal any proceedings so recorded. These shall be releasable only as required by law.


(c) Upon motion by a person from whom discovery is sought, the ALJ may –


(1) Restrict or defer disclosure by a party either of the name of a witness or, if the witness comes from the Coast Guard, of any prior statement of the witness; and


(2) Prescribe other appropriate measures to protect a witness.


(d) The ALJ will give any party an adequate opportunity to prepare for cross-examination or other presentation concerning witnesses and statement subject to protective orders.


§ 20.607 Sanctions for failure to comply.

If a party fails to provide or permit discovery, the ALJ may take such action as is just. This may include the following:


(a) Infer that the testimony, document, or other evidence would have been adverse to the party.


(b) Order that, for the purposes of the proceeding, designated facts are established.


(c) Order that the party not introduce into evidence – or otherwise rely upon, in support of any claim or defense – the evidence that was withheld.


(d) Order that the party not introduce into evidence, or otherwise use in the hearing, information obtained in discovery.


(e) Allow the use of secondary evidence to show what the evidence withheld would have shown.


§ 20.608 Subpoenas.

(a) Any party may request the ALJ to issue a subpoena for the attendance of a person, the giving of testimony, or the production of books, papers, documents, or any other relevant evidence during discovery or for any hearing. Any party seeking a subpoena from the ALJ shall request its issuance by motion.


(b) An ALJ may, for good cause shown, apply to the United States District Court for the issuance of an order compelling the appearance and testimony of a witness or the production of evidence.


(c) A person serving a subpoena shall prepare a written statement setting forth either the date, time, and manner of service or the reason for failure of service. He or she shall swear to or affirm the statement, attach it to a copy of the subpoena, and return it to the ALJ who issued the subpoena.


(d) Coast Guard investigating officers have separate subpoena power in S&R proceedings under 46 CFR 5.301.


§ 20.609 Motions to quash or modify.

(a) A person to whom a subpoena is directed may, by motion with notice to the party requesting the subpoena, ask the ALJ to quash or modify the subpoena.


(b) Except when made at a hearing, the motion must be filed:


(1) 10 days or less after service of a subpoena compelling the appearance and testimony of a witness or the production of evidence or


(2) At or before the time specified in the subpoena for compliance, whichever is earlier.


(c) If the subpoena is served at a hearing, the person to whom it is directed may, in person at the hearing or in writing within a reasonable time fixed by the ALJ, ask the ALJ to quash or modify it.


(d) The ALJ may quash or modify the subpoena if it is unreasonable or requires evidence not relevant to any matter in issue.


Subpart G – Hearings

§ 20.701 Standard of proof.

The party that bears the burden of proof shall prove his or her case or affirmative defense by a preponderance of the evidence.


§ 20.702 Burden of proof.

(a) Except for an affirmative defense, or as provided by paragraph (b) of this section, the Coast Guard bears the burden of proof.


(b) Except as otherwise provided by statute or rule, the proponent of a motion, request, or order bears the burden of proof.


§ 20.703 Presumptions.

In each administrative hearing, a presumption –


(a) Imposes on the party against whom it lies the burden of going forward with evidence to rebut or meet the presumption; but


(b) Does not shift the burden of proof in the sense of the risk of non-persuasion.


§ 20.704 Scheduling and notice of hearings.

(a) With due regard for the convenience of the parties, and of their representatives or witnesses, the ALJ shall, as early as possible, fix the date, time, and place for the hearing and notify all parties and interested persons.


(b) The ALJ may grant a request for a change in the date, time, or place of a hearing.


(c) At any time after commencement of a proceeding, any party may move to expedite the proceeding. A party moving to expedite shall –


(1) Explain in the motion the circumstances justifying the motion to expedite; and


(2) Incorporate in the motion affidavits supporting any representations of fact.


(d) After timely receipt of the motion and any responses, the ALJ may expedite pleadings, pre-hearing conferences, and the hearing, as appropriate.


§ 20.705 Failure to appear.

The ALJ may enter a default under § 20.310 against a respondent threatening to fail, or having failed, to appear at a hearing unless, –


(a) Before the time for the hearing, the respondent shows good cause why neither the respondent nor his or her representative can appear; or,


(b) 30 days or less after an order to show good cause, the respondent shows good cause for his or her failure to appear.


§ 20.706 Witnesses.

(a) Each witness shall testify under oath or affirmation.


(b) If a witness fails or refuses to answer any question the ALJ finds proper, the failure or refusal constitutes grounds for the ALJ to strike all or part of the testimony given by the witness or to take any other measure he or she deems appropriate.


§ 20.707 Telephonic testimony.

(a) The ALJ may order the taking of the testimony of a witness by telephonic conference call. A person presenting evidence may by motion ask for the taking of testimony by this means. The arrangement of the call must let each participant listen to and speak to each other within the hearing of the ALJ, who will ensure the full identification of each so the reporter can create a proper record.


(b) The ALJ may issue a subpoena directing a witness to testify by telephonic conference call. The subpoena in any such instance issues under the procedures in § 20.608.


§ 20.708 Witnesses’ fees.

(a) Each witness summoned in an administrative proceeding shall receive the same fees and mileage as a witness in a District Court of the United States.


(b) The party or interested person who calls a witness is responsible for all fees and mileage due under paragraph (a) of this section.


§ 20.709 Closing of the record.

(a) When the ALJ closes the hearing, he or she shall also close the record of the proceeding, as described in § 20.903, unless he or she directs otherwise. Even after the ALJ closes it, he or she may reopen it.


(b) The ALJ may correct the transcript of the hearing by appropriate order.


§ 20.710 Proposed findings, closing arguments, and briefs.

(a) Before the ALJ closes the hearing, he or she may hear oral argument so far as he or she deems appropriate.


(b) Before the ALJ decides the case, and upon terms he or she finds reasonable, any party may file a brief, proposed findings of fact and conclusions of law, or both. Any party may waive this right. If all parties waive it, then the ALJ may issue an oral order at the close of the hearing.


(c) Any oral argument, brief, or proposed findings of fact and conclusions of law form part of the record of the proceeding, as described in § 20.903.


Subpart H – Evidence

§ 20.801 General.

Any party may present his or her case or defense by oral, documentary, or demonstrative evidence; submit rebuttal evidence; and conduct any cross-examination that may be necessary for a full and true disclosure of the facts.


§ 20.802 Admissibility of evidence.

(a) The ALJ may admit any relevant oral, documentary, or demonstrative evidence, unless privileged. Relevant evidence is evidence tending to make the existence of any material fact more probable or less probable than it would be without the evidence.


(b) The ALJ may exclude evidence if its probative value is substantially outweighed by the danger of prejudice, by confusion of the issues, or by reasonable concern for undue delay, waste of time, or needless presentation of cumulative evidence.


§ 20.803 Hearsay evidence.

Hearsay evidence is admissible in proceedings governed by this part. The ALJ may consider the fact that evidence is hearsay when determining its probative value.


§ 20.804 Objections and offers of proof.

(a) Any party objecting to the admission or exclusion of evidence shall concisely state the grounds. A ruling on every objection must appear in the record. No party may raise an objection to the admission or exclusion of evidence on appeal unless he or she raised it before the ALJ.


(b) Whenever evidence is objected to, the party offering it may make an offer of proof, which must appear in the record.


§ 20.805 Proprietary information.

(a) The ALJ may limit introduction of evidence or issue such protective or other orders as in his or her judgment are consistent with the object of preventing undue disclosure of proprietary matters, including, among others, ones of a commercial nature.


(b) When the ALJ determines that information in a document containing proprietary matters should be made available to another party, the ALJ may direct the party possessing the document to prepare a non-proprietary summary or extract of it. The summary or extract may be admitted as evidence in the record.


(c) If the ALJ determines that a non-proprietary summary or extract is inadequate and that proprietary matters must form part of the record to avert prejudice to a party, the ALJ may so advise the parties and arrange access to the evidence for a party or representative.


§ 20.806 Official notice.

The ALJ may take official notice of such matters as could courts, or of other facts within the specialized knowledge of the Coast Guard as an expert body. When all or part of a decision rests on the official notice of a material fact not appearing in the evidence in the record, the decision must state as much; and any party, upon timely request, shall receive an opportunity to rebut the fact.


§ 20.807 Exhibits and documents.

(a) Each exhibit must be numbered and marked for identification by the party offering it. The original of each exhibit so marked, whether or not offered or admitted into evidence, must be filed and retained in the record of the proceeding, unless the ALJ permits the substitution of a copy. The party introducing each exhibit so marked shall supply a copy of the exhibit to the ALJ and to every party to the proceeding.


(b) Unless the ALJ directs otherwise, each party who would offer an exhibit upon direct examination shall make it available to every other party for inspection 15 days or more before the hearing. The ALJ will deem admitted the authenticity of each exhibit submitted before the hearing unless a party either files written objection and serves it on all parties or shows good cause for failure to do both.


(c) In class II civil penalty proceedings under 33 U.S.C. 1321(b)(6), each exhibit introduced by an interested person must be marked, and filed and retained in the record of the proceeding, unless the ALJ permits the substitution of a copy. The interested person shall supply a copy of the exhibit to the ALJ and to every party to the proceeding. The requirements of paragraph (b) of this section apply to any interested person who would offer an exhibit upon direct examination.


§ 20.808 Written testimony.

The ALJ may enter into the record the written testimony of a witness. The witness shall be, or have been, available for oral cross-examination. The statement must be sworn to, or affirmed, under penalty of perjury.


§ 20.809 Stipulations.

Any party or interested person may stipulate, in writing, at any stage of the proceeding, or orally at the hearing, to any pertinent fact or other matter fairly susceptible of stipulation. A stipulation binds all parties to it.


Subpart I – Decisions

§ 20.901 Summary decisions.

(a) Any party may move for a summary decision in all or any part of the proceeding on the grounds that there is no genuine issue of material fact and that the party is entitled to a decision as a matter of law. The party must file the motion no later than 15 days before the date fixed for the hearing and may include supporting affidavits with the motion. Any other party, 10 days or less after service of a motion for summary decision, may serve opposing affidavits or countermove for summary decision. The ALJ may set the matter for argument and call for the submission of briefs.


(b) The ALJ may grant the motion if the filed affidavits, the filed documents, the material obtained by discovery or otherwise, or matters officially noted show that there is no genuine issue of material fact and that a party is entitled to a summary decision as a matter of law.


(c) Each affidavit must set forth such matters as would be admissible in evidence and must show affirmatively that the affiant is competent to testify to the matters stated in the affidavit. Once a party has moved for summary decision and supported his or her motion as provided in this section, no party opposing the motion may rest upon the mere allegations or denials of facts contained in his or her own pleadings. The response to the motion, by affidavit or as otherwise provided in this section, must provide a specific basis to show that there is a genuine issue of material fact for the hearing.


(d) If it appears from the affidavit of a party opposing the motion that this party cannot, for reasons stated, present by affidavit matters essential to justify his or her opposition, the ALJ may deny the motion for summary decision, may order a continuance to enable the obtaining of information, or may make such other order as is just.


(e) No denial of all or any part of a motion for summary decision is subject to interlocutory appeal.


§ 20.902 Decisions of the ALJ.

(a) After closing the record of the proceeding, the ALJ shall prepare a decision containing –


(1) A finding on each material issue of fact and conclusion of law, and the basis for each finding;


(2) The disposition of the case, including any appropriate order;


(3) The date upon which the decision will become effective;


(4) A statement of further right to appeal; and,


(5) If no hearing was held, a statement of the right of any interested person to petition the Commandant to set aside the decision.


(b) The decision of the ALJ must rest upon a consideration of the whole record of the proceedings.


(c) The ALJ may, upon motion of any party or in his or her own discretion, render the initial decision from the bench (orally) at the close of the hearing and prepare and serve a written order on the parties or their authorized representatives. In rendering his or her decision from the bench, the ALJ shall state the issues in the case and make clear, on the record, his or her findings of fact and conclusions of law.


(d) If the ALJ renders the initial decision orally, and if a party asks for a copy, the Hearing Docket Clerk shall furnish a copy excerpted from the transcript of the record. The date of the decision is the date of the oral rendering of the decision by the ALJ.


§ 20.903 Records of proceedings.

(a) The transcript of testimony at the hearing, all exhibits received into evidence, any items marked as exhibits and not received into evidence, all motions, all applications, all requests, and all rulings constitute the official record of a proceeding. This record also includes any motions or other matters regarding the disqualification of the ALJ.


(b) Any person may examine the record of a proceeding at the U. S. Coast Guard Administrative Law Judge Docketing Center; Room 412; 40 S. Gay Street; Baltimore, MD 21201-4022. Any person may obtain a copy of part or all of the record after payment of reasonable costs for duplicating it in accordance with 49 CFR part 7.


§ 20.904 Reopening.

(a) To the extent permitted by law, the ALJ may, for good cause shown in accordance with paragraph (c) of this section, reopen the record of a proceeding to take added evidence.


(b) Any party may move to reopen the record of a proceeding 30 days or less after the closing of the record.


(1) Each motion to reopen the record must clearly set forth the facts that the movant would try to prove and the grounds for reopening the record.


(2) Any party who does not respond to any motion to reopen the record waives any objection to the motion.


(c) The ALJ may reopen the record of a proceeding if he or she believes that any change in fact or law, or that the public interest, warrants reopening it.


(d) The filing of a motion to reopen the record of a proceeding does not affect any period for appeals specified in subpart J of this part, except that the filing of such a motion tolls the running of whatever time remains in the period for appeals until either the ALJ acts on the motion or the party filing it withdraws it.


(e)(1) At any time, a party may file a petition to reopen with the Docketing Center for the ALJ to rescind any order suspending or revoking a merchant mariner’s license, certificate of registry, credential, or endorsement document if –


(i) The order rests on a conviction –


(A) For violation of a dangerous-drug law;


(B) Of an offense that would prevent the issuance or renewal of the license, certificate, credential, or endorsement document; or


(C) Of an offense described in subparagraph 205(a)(3)(A) or (B) of the National Driver Register Act of 1982 (23 U.S.C. 401, note); and


(ii) The respondent submits a specific order of court to the effect that the conviction has been unconditionally set aside for all purposes.


(2) The ALJ, however, may not rescind his or her order on account of any law that provides for a subsequent conditional setting-aside, modification, or expunging of the order of court, by way of granting clemency or other relief after the conviction has become final, without regard to whether punishment was imposed.


(f) Three years or less after an S&R proceeding has resulted in revocation of a credential, endorsement, license, certificate, or document, the respondent may file a motion for reopening of the proceeding to modify the order of revocation with the ALJ Docketing Center.


(1) Any motion to reopen the record must clearly state why the basis for the order of revocation is no longer valid and how the issuance of a new merchant mariner credential with appropriate endorsement is compatible with the requirement of good discipline and safety at sea.


(2) Any party who does not respond to any petition to reopen the record waives any objection to the motion.


[CGD 98-3472, 64 FR 28062, May 24, 1999, as amended by USCG-2006-24371, 74 FR 11211, Mar. 16, 2009]


Subpart J – Appeals

§ 20.1001 General.

(a) Any party may appeal the ALJ’ s decision by filing a notice of appeal. The party shall file the notice with the U. S. Coast Guard Administrative Law Judge Docketing Center; Attention: Hearing Docket Clerk; Room 412; 40 S. Gay Street; Baltimore, MD 21201-4022. The party shall file the notice 30 days or less after issuance of the decision, and shall serve a copy of it on the other party and each interested person.


(b) No party may appeal except on the following issues:


(1) Whether each finding of fact is supported by substantial evidence.


(2) Whether each conclusion of law accords with applicable law, precedent, and public policy.


(3) Whether the ALJ abused his or her discretion.


(4) The ALJ’s denial of a motion for disqualification.


(c) No interested person may appeal a summary decision except on the issue that no hearing was held or that in the issuance of the decision the ALJ did not consider evidence that that person would have presented.


(d) The appeal must follow the procedural requirements of this subpart.


§ 20.1002 Records on appeal.

(a) The record of the proceeding constitutes the record for decision on appeal.


(b) If the respondent requests a copy of the transcript of the hearing as part of the record of proceeding, then, –


(1) If the hearing was recorded at Federal expense, the Coast Guard will provide the transcript on payment of the fees prescribed in 49 CFR 7.45; but,


(2) If the hearing was recorded by a Federal contractor, the contractor will provide the transcript on the terms prescribed in 49 CFR 7.45.


§ 20.1003 Procedures for appeal.

(a) Each party appealing the ALJ’s decision or ruling shall file an appellate brief with the Commandant at the following address: U.S. Coast Guard Administrative Law Judge Docketing Center; Attention: Hearing Docket Clerk; Room 412; 40 S. Gay Street; Baltimore, MD 21201-4022, and shall serve a copy of the brief on every other party.


(1) The appellate brief must set forth the appellant’s specific objections to the decision or ruling. The brief must set forth, in detail, the –


(i) Basis for the appeal;


(ii) Reasons supporting the appeal; and


(iii) Relief requested in the appeal.


(2) When the appellant relies on material contained in the record, the appellate brief must specifically refer to the pertinent parts of the record.


(3) The appellate brief must reach the Docketing Center 60 days or less after service of the ALJ’s decision. Unless filed within this time, or within another time period authorized in writing by the Docketing Center, the brief will be untimely.


(b) Any party may file a reply brief with the Docketing Center 35 days or less after service of the appellate brief. Each such party shall serve a copy on every other party. If the party filing the reply brief relies on evidence contained in the record for the appeal, that brief must specifically refer to the pertinent parts of the record.


(c) No party may file more than one appellate brief or reply brief, unless –


(1) The party has petitioned the Commandant in writing; and


(2) The Commandant has granted leave to file an added brief, in which event the Commandant will allow a reasonable time for the party to file that brief.


(d) The Commandant may accept an amicus curiae brief from any person in an appeal of an ALJ’s decision.


§ 20.1004 Decisions on appeal.

(a) The Commandant shall review the record on appeal to determine whether the ALJ committed error in the proceedings, and whether the Commandant should affirm, modify, or reverse the ALJ’s decision or should remand the case for further proceedings.


(b) The Commandant shall issue a decision on every appeal in writing and shall serve a copy of the decision on each party and interested person.


Subpart K – Finality, Petitions for Hearing, and Availability of Orders

§ 20.1101 Finality.

(a) Civil penalty proceedings. (1) Unless appealed pursuant to subpart J of this part, an ALJ’s decision becomes an order assessing or denying a class II civil penalty 30 days after the date of its issuance.


(2) If the Commandant issues a decision under Subpart J of this part, the decision constitutes an order of the Commandant assessing or denying a class II civil penalty on the date of issuance of the Commandant’s decisions.


(b) S&R Proceedings. (1) Unless appealed pursuant to subpart J of this part, an ALJ’s decision becomes final action of the Coast Guard 30 days after the date of its issuance.


(2) If the Commandant issues a decision under Subpart J of this part, the decision constitutes final action of the Coast Guard on the date of its issuance.


§ 20.1102 Petitions to set aside decisions and provide hearings for civil penalty proceedings.

(a) If no hearing takes place on a complaint for a class II civil penalty, any interested person may file a petition, 30 days or less after the issuance of an order assessing or denying a civil penalty, asking the Commandant to set aside the order and to provide a hearing.


(b) If the Commandant decides that evidence presented by an interested person in support of a petition under paragraph (a) of this section is material and that the ALJ did not consider the evidence in the issuance of the decision, the Commandant shall set aside the decision and direct that a hearing take place in accordance with the requirements of this part.


(c) If the Commandant denies a hearing sought under this section, he or she shall provide to the interested person, and publish in the Federal Register, notice of and the reasons for the denial.


§ 20.1103 Availability of decisions.

(a)(1) Copies and indexes of decisions on appeal are available for inspection and copying at –


(i) The document inspection facility at the office of any Coast Guard District, Activity, or Sector Office;


(ii) The public reading room at Coast Guard Headquarters; and


(iii) The public reading room of the Coast Guard ALJ Docketing Center; Baltimore, Maryland.


(2) Appellate decisions in S&R proceedings, and both appellate and ALJs’ decisions on class II civil penalties, are available on the Department of Transportation Home Page at www.dot.gov or the Coast Guard Home Page at www.uscg.mil.


(b) Any person wanting a copy of a decision may place a request with the Hearing Docket Clerk. The Clerk will bill the person on the terms prescribed in 49 CFR 7.43.


[CGD98-3472, 64 FR 28062, May 24, 1999, as amended by USCG-2006-25556, 72 FR 36327, July 2, 2007]


Subpart L – Expedited Hearings

§ 20.1201 Application.

(a) This subpart applies whenever the Coast Guard suspends a mariner’s credential without a hearing under 46 U.S.C. 7702(d).


(b) The Coast Guard may, for 45 days or less, suspend and seize a merchant mariner credential, license, certificate, or document if, when acting under the authority of the license, certificate, or document, –


(1) A mariner performs a safety-sensitive function on a vessel; and


(2) There is probable cause to believe that he or she –


(i) Has performed the safety-sensitive function in violation of law or Federal regulation regarding use of alcohol or a dangerous drug;


(ii) Has been convicted of an offense that would prevent the issuance or renewal of the merchant mariner credential, license, certificate, or document; or,


(iii) Three years or less before the start of an S&R proceeding, has been convicted of an offense described in subparagraph 205(a)(3)(A) or (B) of the National Driver Register Act of 1982 (23 U.S.C. 401, note).


[CGD 98-3472, 64 FR 28062, May 24, 1999, as amended by USCG-2006-24371, 74 FR 11211, Mar. 16, 2009]


§ 20.1202 Filing of pleadings.

(a) Complaint. If the Coast Guard has temporarily suspended a merchant mariner’s credential, license, certificate of registry, or document, it shall immediately file a complaint under § 20.307. The complaint must contain both a copy of a notice of temporary suspension and an affidavit stating the authority and reason for temporary suspension.


(b) Answer. In a case under this subpart –


(1) § 20.308 does not govern answers, and


(2) The respondent shall therefore enter his or her answer at the pre-hearing conference.


[CGD 98-3472, 64 FR 28062, May 24, 1999, as amended by USCG-2006-24371, 74 FR 11211, Mar. 16, 2009]


§ 20.1203 Commencement of expedited hearings.

Upon receipt of a complaint with a copy of the notice of temporary suspension and the affidavit supporting the complaint, the Chief ALJ will immediately assign an ALJ and designate the case for expedited hearing.


§ 20.1205 Motion for return of temporarily suspended merchant mariner credential, license, certificate of registry, or document.

(a) Procedure. At any time during the expedited hearing, the respondent may move that his or her merchant mariner credential, license, certificate of registry, or document be returned on the grounds that the agency lacked probable cause for temporary suspension. The motion must be in writing and explain why the agency lacked probable cause.


(b) Ruling. If the ALJ grants the motion, the ALJ may issue such orders as are necessary for the return of the suspended credential, license, certificate, or document and for the matter to continue in an orderly way under standard procedure.


[CGD 98-3472, 64 FR 28062, May 24, 1999, as amended by USCG-2006-24371, 74 FR 11211, Mar. 16, 2009]


§ 20.1206 Discontinuance of expedited hearings.

(a) Procedure. At any time during the expedited hearing, the respondent may move that the hearing discontinue and that the matter continue under standard procedure. A motion to discontinue must be in writing and explain why the case is inappropriate for expedited hearing.


(b) Ruling. If the ALJ grants the motion to discontinue, the ALJ may issue such orders as are necessary for the matter to continue in an orderly way under standard procedure.


§ 20.1207 Pre-hearing conferences.

(a) When held. As early as practicable, the ALJ shall order and conduct a pre-hearing conference. He or she may order the holding of the conference in person, or by telephonic or electronic means.


(b) Answer. The respondent shall enter his or her answer at the pre-hearing conference. If the answer is an admission, the ALJ shall either issue an appropriate order or schedule a hearing on the order.


(c) Content. (1) At the pre-hearing conference, the parties shall:


(i) Identify and simplify the issues in dispute and prepare an agreed statement of issues, facts, and defenses.


(ii) Establish a simplified procedure appropriate to the matter.


(iii) Fix a time and place for the hearing 30 days or less after the temporary suspension.


(iv) Discuss witnesses and exhibits.


(2) The ALJ shall issue an order directing the exchange of witness lists and documents.


(d) Order. Before the close of the pre-hearing conference, the ALJ shall issue an order setting forth any agreements reached by the parties. The order must specify the issues for the parties to address at the hearing.


(e) Procedures not to cause delay. Neither any filing of pleadings or motions, nor any conduct of discovery, may interfere with –


(1) The holding of the hearing 30 days or less after the temporary suspension or


(2) The closing of the record early enough for the issuance of an initial decision 45 days or less after the temporary suspension.


(f) Times. The ALJ may shorten the time for any act required or permitted under this subpart to enable him or her to issue an initial decision 45 days or less after the temporary suspension.


§ 20.1208 Expedited hearings.

(a) Procedures. As soon as practicable after the close of the pre-hearing conference, the ALJ shall hold a hearing, under subpart G of this part, on any issue that remains in dispute.


(b) Oral and written argument. (1) Each party may present oral argument at the close of the hearing or present –


(i) Proposed findings of fact and conclusions of law; and


(ii) Post-hearing briefs, under § 20.710.


(2) The ALJ shall issue a schedule, such as will enable him or her to consider the findings and briefs without delaying the issuance of the decision.


(c) ALJ’s decision. The ALJ may issue his or her decision as an oral decision from the bench. Alternatively, he or she may issue a written decision. He or she shall issue the decision 45 days or less after the temporary suspension.


§ 20.1209 Appeals of ALJs’ decisions.

Any party may appeal the ALJ’s decision as provided in subpart J.


Subpart M – Supplementary Evidentiary Rules for Suspension and Revocation Hearings

§ 20.1301 Purpose.

This subpart contains evidentiary rules that apply only in certain circumstances in S&R proceedings. They supplement, not supplant, the evidentiary rules in subpart H.


§ 20.1303 Authentication and certification of extracts from shipping articles, logbooks, and the like.

(a) The investigating officer, the Coast Guard representative, any other commissioned officer of the Coast Guard, or any official custodian of extracts from shipping articles, logbooks, or records in the custody of the Coast Guard may authenticate and certify the extracts.


(b) Authentication and certification must include a statement that the person acting has seen the original, compared the copy with it, and found the copy to be a true one. This person shall sign his or her name and identify himself or herself by rank or title and by duty station.


§ 20.1305 Admissibility and weight of entries from logbooks.

(a) Any entry in any official logbook of a vessel concerning an offense enumerated in 46 U.S.C. 11501, made in substantial compliance with the procedural requirements of 46 U.S.C. 11502, is admissible in evidence and constitutes prima facie evidence of the facts recited.


(b) Any entry in any such logbook made in substantial compliance with the procedural requirements of 46 U.S.C. 11502 may receive added weight from the ALJ.


§ 20.1307 Use of judgments of conviction.

(a) A judgment of conviction by a Federal court is conclusive in any S&R proceeding under this part concerning any act or offense described in 46 U.S.C. 7703 or 7704 when the act or offense is the same as in the Federal conviction.


(b) Except as provided in paragraph (c) of this section, no judgment of conviction by a State court is conclusive in any S&R proceeding under this part concerning any act or offense described in 46 U.S.C. 7703 or 7704, even when an act or offense forming the basis of the charge in the proceeding is the same as in the State conviction. But the judgment is admissible in evidence and constitutes substantial evidence adverse to the respondent.


(c) A judgment of conviction by a Federal or State court for a violation is conclusive in the proceeding if an S&R proceeding alleges conviction for –


(1) A violation of a dangerous-drug law;


(2) An offense that would prevent the issuance or renewal of a merchant mariner’s license, merchant mariner credential, certificate of registry, or document; or


(3) An offense described in subparagraph 205(a)(3)(A) or (B) of the National Driver Register Act of 1982 (23 U.S.C.S. 401, note).


(d) If the respondent participates in the scheme of a State for the expungement of convictions, and if he or she pleads guilty or no contest or, by order of the trial court, has to attend classes, contribute time or money, receive treatment, submit to any manner of probation or supervision, or forgo appeal of the finding of the trial court, the Coast Guard regards him or her, for the purposes of 46 U.S.C. 7703 or 7704, as having received a conviction. The Coast Guard does not consider the conviction expunged without proof that the expungement is due to the conviction’s having been in error.


(e) No respondent may challenge the jurisdiction of a Federal or State court in any proceeding under 46 U.S.C. 7703 or 7704.


[CGD 98-3472, 64 FR 28062, May 24, 1999, as amended by USCG-2006-24371, 74 FR 11211, Mar. 16, 2009]


§ 20.1309 Admissibility of respondents’ criminal records and records with the Coast Guard before entry of findings and conclusions.

(a) The prior disciplinary record of the respondent is admissible when offered by him or her.


(b) The prior disciplinary record of the respondent is admissible when offered by the Coast Guard representative to impeach the credibility of evidence offered by the respondent.


(c) The use of a judgment of conviction is permissible on the terms prescribed by § 20.1307.


§ 20.1311 Admissions by respondent.

No person may testify regarding admissions made by the respondent during an investigation under 46 CFR part 4, except to impeach the credibility of evidence offered by the respondent.


§ 20.1313 Medical examination of respondents.

In any proceeding in which the physical or mental condition of the respondent is relevant, the ALJ may order him or her to undergo a medical examination. Any examination ordered by the ALJ is conducted, at Federal expense, by a physician designated by the ALJ. If the respondent fails or refuses to undergo any such examination, the failure or refusal receives due weight and may be sufficient for the ALJ to infer that the results would have been adverse to the respondent.


§ 20.1315 Submission of prior records and evidence in aggravation or mitigation.

(a) The prior disciplinary record of the respondent comprises the following items less than 10 years old:


(1) Any written warning issued by the Coast Guard and not contested by the respondent.


(2) Final agency action by the Coast Guard on any S&R proceeding in which a sanction or consent order was entered.


(3) Any agreement for voluntary surrender entered into by the respondent.


(4) Any final judgment of conviction in Federal or State courts.


(5) Final agency action by the Coast Guard resulting in the imposition against the respondent of any civil penalty or warning in a proceeding administered by the Coast Guard under this title.


(6) Any official commendatory information concerning the respondent of which the Coast Guard representative is aware. The Coast Guard representative may offer evidence and argument in aggravation of any charge proved. The respondent may offer evidence of, and argument on, prior maritime service, including both the record introduced by the Coast Guard representative and any commendatory evidence.


(b) The respondent may offer evidence and argument in mitigation of any charge proved.


(c) The Coast Guard representative may offer evidence and argument in rebuttal of any evidence and argument offered by the respondent in mitigation.


PART 23 – DISTINCTIVE MARKINGS FOR COAST GUARD VESSELS AND AIRCRAFT


Authority:14 U.S.C. 933, 934; E.O. 10707; 3 CFR, 1954-1958 Comp., p. 364.

§ 23.01 Basis and purpose.

(a) This subpart establishes instructions for the display of distinctive markings of Coast Guard vessels and aircraft, including Coast Guard ensign and commission pennant and Coast Guard emblem.


(b) Coast Guard vessels and aircraft are distinguished from other vessels and aircraft by an ensign; a personal flag, command pennant, or commissioned pennant, if so authorized; or other identifying insignia or marking.


[CGFR 57-35, 22 FR 6765, Aug. 22, 1957, as amended by CGFR 66-67, 31 FR 15239, Dec. 6, 1966]


§ 23.05 Where and when displayed.

(a) The Coast Guard Ensign is a mark of authority and is required to be displayed whenever a Coast Guard vessel takes active measures in connection with boarding, examining, seizing, stopping or heaving to of a vessel for the purposes of enforcing the laws of the United States. The distinctive markings of Coast Guard aircraft serve the same purpose.


(b) The Coast Guard Commission pennant indicates a Coast Guard cutter under the command of a commissioned officer or commissioned warrant officer.


(c) When applicable, these distinctive marks shall be displayed, the Coast Guard Ensign at the masthead of the foremast, and the commission pennant at the after masthead. On ships having but one mast the Coast Guard Ensign and commission pennant shall be at the masthead on the same halyard. In mastless ships they shall be displayed from the most conspicuous hoist.


[CGFR 67-26, 32 FR 6576, Apr. 28, 1967]


§ 23.10 Coast Guard emblem.

(a) The distinctive emblem of the Coast Guard shall be as follows:



On a disc the shield of the Coat of Arms of the United States circumscribed by an annulet edged and inscribed “UNITED STATES COAST GUARD 1790” all in front of two crossed anchors.


(b) The emblem in full color is described as follows:



White anchors and white ring all outlined in medium blue (Coast Guard blue), letters and numerals medium blue (Coast Guard blue), white area within ring, shield with medium blue (Coast Guard blue) chief and 13 alternating white and red (Coast Guard red) stripes (7 white and 6 red) with narrow medium blue (Coast Guard blue) outline.


(c) The Coast Guard emblem is intended primarily for use as identification on Coast Guard ensigns, flags, pennants, vessels, aircraft, vehicles, and shore units. It may also be reproduced for use on such items as stationery, clothing, jewelry, etc.


(d) Any person who desires to reproduce the Coast Guard emblem for non-Coast Guard use must first obtain approval from theCommandant (CG-092), Attn: Commandant, U.S. Coast Guard Stop 7103, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7103.


(Sec. 6(b)(1), 80 Stat. 937; 49 U.S.C. 1655(b)(1); 49 CFR 1.46(b))

[CGFR 67-26, 32 FR 6577, Apr. 28, 1967, as amended by CGFR 70-95, 35 FR 12541, Aug. 6, 1970; USCG-2010-0351, 75 FR 36278, June 25, 2010; USCG-2014-0410, 79 FR 38427, July 7, 2014]


§ 23.12 Coast Guard identifying insignia.

(a) The distinctive identification insignia of the Coast Guard consists of a broad diagonal red stripe followed to the right or left by two narrow stripes, first a white stripe and then a blue stripe. The Coast Guard emblem, as described in § 23.10(b), is centered within the confines of the broad red diagonal stripe.


(b) The Coast Guard identifying insignia is intended primarily for the identification of Coast Guard vessels, aircraft, vehicles, and shore units. It may also be reproduced for use on Coast Guard publications, stationery, jewelry, and similar items.


(c) Any person who desires to reproduce the Coast Guard identifying insignia for non-Coast Guard use must first obtain approval from the Commandant (CG-092), Attn: Commandant, U.S. Coast Guard Stop 7103, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7103.


(Sec. 6(b)(1), 80 Stat. 937; 49 U.S.C. 1655(b)(1); 49 CFR 1.46(b))

[CGFR 70-95, 35 FR 12541, Aug. 6, 1970, as amended by USCG-2010-0351, 75 FR 36278, June 25, 2010; USCG-2014-0410, 79 FR 38428, July 7, 2014]


§ 23.15 Coast Guard ensign.

The Coast Guard ensign has sixteen perpendicular stripes alternate red and white, beginning with the red at the hoist. In the upper quarter, next to the hoist, is the union, being the Coat of Arms of the United States, in dark blue on a white field, half of the length of the flag, and extending down the hoist halfway. The distinctive emblem of the Coast Guard in blue and white is placed with its center on a line with the lower edge of the union and over the center of the seventh vertical red stripe from the hoist of the flag, the emblem covering a horizontal space of three stripes.


[CGFR 57-35, 22 FR 6765, Aug. 22, 1957]


§ 23.20 Coast Guard commission pennant.

The Coast Guard commission pennant shall have the union part composed of thirteen blue stars in a horizontal line on a white field, one-fourth the length of the pennant; the remaining three-fourths shall consist of sixteen vertical stripes of equal width, alternate red and white, beginning with the red, and a tail piece of red about one-fifth the entire length of the pennant, ending in a swallow tail.


[CGFR 57-35, 22 FR 6765, Aug. 22, 1957, as amended by CGFR 71-75, 36 FR 13268, July 17, 1971]


§ 23.30 Penalty.

Section 933(b) of title 14 U.S.C. reads as follows:



No vessel or aircraft without authority shall carry, hoist or display any ensign, pennant or other identifying insignia prescribed for, or intended to resemble, any ensign, pennant or other identifying insignia prescribed for Coast Guard vessels or aircraft. Every person violating this provision shall be fined not more than $5,000, or imprisoned for not more than two years, or both.


[CGFR 57-35, 22 FR 6765, Aug. 22, 1957, as amended by USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


PART 25 – CLAIMS


Authority:14 U.S.C. 503; 49 CFR 1.45(a); 49 CFR 1.45(b); 49 CFR 1.46(b), unless otherwise noted.



Source:CGD 80-033, 46 FR 27109, May 18, 1981, unless otherwise noted.

Subpart A – General

§ 25.101 Purpose.

This subpart prescribes the requirements for the administrative settlement of claims against the United States, other than claims against the Oil Spill Liability Trust Fund under part 136 of this chapter and contract claims, but including claims arising from acts or omissions of employees of non-appropriated fund activities within the United States, its territories, and possessions.


[USCG-2001-9286, 66 FR 33639, June 25, 2001]


§ 25.103 Information and assistance.

Any person who desires to file a claim against the United States Coast Guard arising out of the activities of the Coast Guard may obtain information and assistance from the Coast Guard Legal Service Command, Claims Division (LSC-5), located at 300 East Main Street, Suite 400, Norfolk, VA 23510-9100, or from Commandant (CG-0945), Attn: Office of Claims and Litigation, U.S. Coast Guard Stop 7213, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7213, or from the Commander of any Coast Guard District listed in 33 CFR Part 3.


[CGD 87-008b, 52 FR 25217, July 6, 1987, as amended by CGD 97-023, 62 FR 33362, June 19, 1997; USCG-2001-9286, 66 FR 33639, June 25, 2001; USCG-2010-0351, 75 FR 36278, June 25, 2010; USCG-2014-0410, 79 FR 38428, July 7, 2014]


§ 25.105 Definitions.

Accrual date. The day on which the alleged wrongful act or omission results in injury or damage for which a claim is made or when the claimant discovers, or in the exercise of reasonable diligence should have discovered, the alleged wrongful act or omission.


Claim. A written notification of an incident accompanied by demand for the payment of a sum certain of money, other than for ordinary obligations incurred for services, supplies, or equipment.


Settle. To consider, ascertain, adjust, determine, compromise (when specifically authorized by law), and dispose of a claim by disapproval or approval, in whole or in part.


Settlement authority. A person authorized to settle a claim.


[CGD 80-033, 46 FR 27109, May 18, 1981; 46 FR 29933, June 4, 1981]


§ 25.107 Who may present claims.

(a) General rules:


(1) A claim for property loss or damage may be presented by anyone having an interest in the property, including an insurer or other subrogee, unless the interest is barred under § 25.109(a).


(2) A claim for personal injury may be presented by the person injured.


(3) A claim based on death may be presented by the executor or administrator of the decedent’s estate, or any other person legally entitled to assert such a claim under local law. The claimant’s status must be stated in the claim.


(4) A claim for medical, hospital, or burial expenses may be presented by any person who by reason of family relationship has, in fact, incurred the expenses.


(b) A joint claim must be presented in the names of and signed by, the joint claimants, and the settlement must be made payable to the joint claimants.


(c) A claim may be presented by a duly authorized agent, legal representative or survivor, if it is presented in the name of the claimant. If the claim is not signed by the claimant, the agent, legal representative, or survivor shall indicate their title or legal capacity and provide evidence of their authority to present the claim.


(d) Where the same claimant has a claim for damage to or loss of property and a claim for personal injury or a claim based on death arising out of the same incident, they must be combined in one claim.


§ 25.109 Insurance and other subrogated claims.

(a) The claims of an insured (subrogor) and an insurer (subrogee) for damages arising out of the same incident constitute a single claim. The total award of combined claims may not exceed the monetary jurisdiction of the settlement authority. If the total award of the combined claims exceeds, or is expected to exceed, a settlement authority’s limits, the settlement authority is not permitted to consider either, and the claim file will be forwarded to an appropriate settlement authority.


(b) An insured (subrogor) and an insurer (subrogee) may file a claim jointly or separately. If the insurer has fully reimbursed the insured, payment will only be made to the insurer. If separate claims are filed, the settlement will be made payable to each claimant to the extent of that claimant’s undisputed interest. If joint claims are filed, the settlement will be sent to the insurer.


(c) Each claimant shall include with a claim, a written disclosure concerning insurance coverage including:


(1) The names and addresses of all insurers;


(2) The kind and amount of insurance;


(3) The policy number;


(4) Whether a claim has been or will be presented to an insurer, and, if so, the amount of that claim; and whether the insurer has paid the claim in whole or in part, or has indicated payment will be made.


(d) Each subrogee shall substantiate an interest or right to file a claim by appropriate documentary evidence and shall support the claim as to liability and measure of damages in the same manner as required of any other claimant. Documentary evidence of payment to a subrogor does not constitute evidence of liability of the United States or conclusive evidence of the amount of damages. The settlement authority makes an independent determination on the issues of fact and law based upon the evidence of record.


(e) An insurance or other subrogated claim is not payable under Subpart E, F, or G of this part.


§ 25.111 Action by claimant.

(a) Form of claim. The claim must meet the requirements of § 25.113. Authorized forms are available from the offices indicated in § 25.103.


(b) Presentation. Whenever possible, the claim must be presented to the Coast Guard Legal Service Command, Claims Division (LSC-5), located at 300 East Main Street, Suite 400, Norfolk, VA 23510-9100. If that is not possible, the claim may also be presented to:


(1) The commanding officer of the Coast Guard unit involved;


(2) A Coast Guard unit convenient to the claimant; or


(3) Commandant (CG-0945), Attn: Office of Claims and Litigation, U.S. Coast Guard Stop 7213, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7213.



Note to paragraph (b):

In a foreign country, where there is no Coast Guard unit, the claim is considered presented to the Coast Guard if it is presented to the military attache of any United States embassy or consulate or to the commanding officer of any unit of the armed services of the United States.


(c) Time. The time limits for presenting claims are contained in the following subparts addressing particular claim statutes.


[CGD 80-033, 46 FR 27109, May 18, 1981, as amended by CGD 87-008b, 52 FR 25217, July 6, 1987; CGD 97-023, 62 FR 33362, June 19, 1997; USCG-2001-9286, 66 FR 33639, June 25, 2001; USCG-2009-0416, 74 FR 27437, June 10, 2009; USCG-2010-0351, 75 FR 36278, June 25, 2010; USCG-2014-0410, 79 FR 38428, July 7, 2014]


§ 25.113 Contents of claim.

(a) A claim under the Federal Tort Claims Act must be presented using Standard Form 95, Claim for Damage, Injury, or Death.


(b) A claim under any other Act may be presented using Standard Form 95. Any claim which is not presented using Standard Form 95 shall include:


(1) The identity of the department, agency, or activity whose act or omission gave rise to the claim;


(2) The full name and mailing address of the claimant. If this mailing address is not claimant’s residence, the claimant shall also include residence address;


(3) The date, time, and place of the incident giving rise to the claim;


(4) The amount claimed, supported by independent evidence of property damage or loss, personal injury, or death, as applicable;


(5) A detailed description of the incident giving rise to the claim;


(6) A description of any property damage or loss, including the identity of the owner, if other than the claimant, as applicable;


(7) The nature and extent of the injury, as applicable;


(8) The full name, title, if any, and address of any witness to the incident and a brief statement of the witness’ knowledge of the incident;


(9) A description of any insurance carried by the claimant or owner of the property and the status of any insurance claim arising from the incident; and


(10) An agreement by the claimant to accept the total amount claimed in full satisfaction and final settlement of the claim.


(c) A claimant or duly authorized agent or legal representative must sign in ink a claim and any amendment to that claim. If the person’s signature does not include the first name, middle initial, if any, and surname, that information must be included in the claim. A married woman must sign her claim in her given name, e.g., “Mary A. Doe,” rather than “Mrs. John Doe.”


§ 25.115 Evidence supporting a claim.

The claimant shall present independent evidence to support a claim. This evidence may include, if available, statements of witnesses, accident or casualty reports, photographs and drawings.


§ 25.117 Proof of amount claimed for personal injury or death.

The following evidence must be presented when appropriate:


(a) Itemized medical, hospital, and burial bills.


(b) A written report by the attending physician including:


(1) The nature and extent of the injury and the treatment,


(2) The necessity and reasonableness of the various medical expenses incurred,


(3) Duration of time injuries prevented or limited employment,


(4) Past, present, and future limitations on employment,


(5) Duration and extent of pain and suffering and of any disability or physical disfigurement,


(6) A current prognosis,


(7) Any anticipated medical expenses, and


(8) Any past medical history of the claimant relevant to the particular injury alleged.



Note:

An examination by an independent medical facility or physician may be required to provide independent medical evidence against which to evaluate the written report of the claimant’s physician. The settlement authority determines the need for this examination, makes mutually convenient arrangements for such an examination, and bears the costs thereof.


(c) All hospital records or other medical documents from either this injury or any relevant past injury.


(d) If the claimant is employed, a written statement by the claimant’s employer certifying the claimant’s:


(1) Age,


(2) Occupation,


(3) Hours of employment,


(4) Hourly rate of pay or weekly salary,


(5) Time lost from work as a result of the incident, and


(6) Claimant’s actual period of employment, full-time or part-time, and any effect of the injury upon such employment to support claims for lost earnings.


(e) If the claimant is self-employed, written statements, or other evidence showing:


(1) The amount of earnings actually lost, and


(2) The Federal tax return if filed for the three previous years.


(f) If the claim arises out of injuries to a person providing services to the claimant, statement of the cost necessarily incurred to replace the services to which claimant is entitled under law.


§ 25.119 Proof of amount claimed for loss of, or damage to, property.

The following evidence must be presented when appropriate:


(a) For each particular lost item, evidence of its value such as a bill of sale and a written appraisal, or two written appraisals, from separate disinterested dealers or brokers, market quotations, commercial catalogs, or other evidence of the price at which like property can be obtained in the community. The settlement authority may waive these requirements when circumstances warrant. The cost of any appraisal may be included as an element of damage if not deductible from any bill submitted to claimant.


(b) For each particular damaged item which can be economically repaired, evidence of cost of repairs such as a receipted bill and one estimate, or two estimates, from separate disinterested repairmen. The settlement authority may waive these requirements when circumstances warrant. The cost of any estimate may be included as an element of damage if not deductible from any repair bill submitted to claimant.


(c) For any claim which may result in payment in excess of $20,000.00, a survey or appraisal shall be performed as soon as practicable after the damage accrues, and, unless waived in writing, shall be performed jointly with a government representative.


(d) If the item is so severely damaged that it cannot be economically repaired or used, it shall be treated as a lost item.


(e) If a claim includes loss of earnings or use during repairs to the damaged property, the following must also be furnished and supported by competent evidence:


(1) The date the property was damaged;


(2) The name and location of the repair facility;


(3) The beginning and ending dates of repairs and an explanation of any delay between the date of damage and the beginning date;


(4) A complete description of all repairs performed, segregating any work performed for the owner’s account and not attributable to the incident involved, and the costs thereof;


(5) The date and place the property was returned to service after completion of repairs, and an explanation, if applicable, of any delay;


(6) Whether or not a substitute for the damaged property was available. If a substitute was used by the claimant during the time of repair, an explanation of the necessity of using the substitute, how it was used, and for how long, and the costs involved. Any costs incurred that would have been similarly incurred by the claimant in using the damaged property must be identified;


(7) Whether or not during the course of undergoing repairs the property would have been used, and an explanation submitted showing the identity of the person who offered that use, the terms of the offer, time of prospective service, and rate of compensation; and


(8) If at the time of damage the property was under charter or hire, or was otherwise employed, or would have been employed, the claimant shall submit a statement of operating expenses that were, or would have been, incurred. This statement shall include wages and all bonuses which would have been paid, the value of fuel and the value of consumable stores, separately stated, which would have been consumed, and all other costs of operation which would have been incurred including, but not limited to, license and parking fees, personnel expenses, harbor fees, wharfage, dockage, shedding, stevedoring, towage, pilotage, inspection, tolls, lockage, anchorage and moorage, grain elevation, storage, and customs fees.


(f) For each item which is lost, actual or constructive, proof of ownership.


§ 25.121 Effect of other payments to claimant.

The total amount to which the claimant may be entitled is normally computed as follows:


(a) The total amount of the loss, damage, or personal injury suffered for which the United States is liable, less any payment the claimant has received from the following sources:


(1) The military member or civilian employee who caused the incident;


(2) The military member’s or civilian employee’s insurer; and


(3) Any joint tort-feasor or insurer.


(b) No deduction is generally made for any payment the claimant has received by way of voluntary contributions, such as donations of charitable organizations.


§ 25.123 Settlement and notice to claimant.

(a) If the settlement authority determines that the full amount claimed should be paid, the settlement authority forwards the claim to the disbursing officer for payment. If the time involved in settling the claim has been extensive, the settlement authority notifies the claimant.


(b) If the settlement authority determines that less than the full amount claimed should be paid, the settlement authority:


(1) Notifies the claimant in writing of the proposed settlement.


(2) Obtains from the claimant written acceptance and release for payment of the claim in the reduced amount.


(3) Advises the claimant, in the event claimant does not desire to accept the offer, to reply within 45 days giving reasons for rejection.


(4) Except upon a showing of good cause for delay in accepting a proposed settlement within 45 days, treats the non-acceptance as a rejection. Rejection by a claimant of an offer of settlement renders the offer void.


(5) If a claimant rejects a proposed settlement or fails to reply within 45 days, the settlement authority may make further efforts to settle the claim. When the settlement authority determines that further efforts to settle the claim are not warranted, the settlement authority notifies the claimant in writing by registered or certified mail, return receipt requested, that the claim has been denied because the amount claimed is excessive.


(c) If the claim is denied, the settlement authority notifies the claimant in writing by registered or certified mail, return receipt requested.


§ 25.125 Appeal.

The final denial of a claim by a settlement authority or a partial approval by a settlement authority is not subject to appeal except under the procedures prescribed for Military Claims in Subpart D of this part.


§ 25.127 Reconsideration.

(a) The settlement authority may reconsider a claim upon the authority’s own initiative or upon request of the claimant or someone acting on the claimant’s behalf.


(b) A request for reconsideration must be in writing and include the legal or factual grounds for the relief requested.


(c) Following any investigation or other action deemed necessary for reconsideration of the original action, the settlement authority reconsiders the claim and if warranted attempts to settle it. When further settlement efforts appear unwarranted, the settlement authority notifies the claimant in writing by certified or registered mail, return receipt requested, that the relief requested is denied.


(d) For the effect of reconsideration under the Federal Tort Claims Act see 28 CFR Part 14.


§ 25.129 Acceptance of offer of settlement.

Claimant’s acceptance of an offer of settlement is a complete release of any claim against the United States and against the military or civilian personnel of the Coast Guard whose act or omission gave rise to the claim.


§ 25.131 Delegation of authority.

(a) The Chief Counsel is delegated the following authority:


(1) To carry out the functions of the Secretary and to exercise the Commandant’s authority as commanding officer for all Coast Guard personnel in regard to claims brought under Article 139, Uniform Code of Military Justice (10 U.S.C. 939);


(2) To carry out the functions of an officer designated by the Secretary under the so-called “Foreign Claims Act”, as amended (10 U.S.C. 2734);


(3) To request that the Department of Defense pay any meritorious claims arising under International Agreements in accordance with Title 10 U.S.C. 2734a and 2734b;


(4) To carry out the functions of the Secretary under the Act of October 9, 1962, as amended (10 U.S.C. 2737);


(5) To carry out the functions of the Secretary under the Act of August 16, 1937, as amended (14 U.S.C. 546);


(6) To carry out the functions of the Secretary under the Act of June 15, 1936, as amended (14 U.S.C. 937);


(7) To carry out the functions of the Secretary under the Act of August 4, 1949, as amended (14 U.S.C. 938);


(8) To carry out the functions of the Secretary under the Act of February 19, 1941, as amended (14 U.S.C. 3911);


(9) To carry out the functions of the head of a Federal agency’s designee under the Federal Tort Claims Act, as amended (28 U.S.C. 2672);


(10) To carry out the functions of the head of an agency under the Military Personnel and Civilian Employees’ Claims Act, as amended (31 U.S.C. 3721);


(11) To carry out the functions of the head of an agency under the Federal Claims Collection Act of 1966, as amended (31 U.S.C. 3711);


(12) To carry out the functions of the head of the department under the Federal Medical Care Recovery Act (42 U.S.C. 2651-2653);


(13) To review and approve for payment any voucher for payment of a claim for $25 or less the authority for payment of which is questioned by a certifying or disbursing officer;


(14) To establish procedures consistent with the applicable statutes and regulations for the administration of all claims.



Note:

Under the Military Claims Act (10 U.S.C. 2733), the Secretary has authorized the Chief Counsel to settle and pay claims, see 49 CFR 1.46(j).


(b) The Director of Finance and Procurement is delegated the authority to carry out the functions of the head of an agency under the Federal Claims Collection Act of 1966, as amended (31 U.S.C. 3711).


[CGD 80-033, 46 FR 27109, May 18, 1981, as amended by CGD 82-112, 48 FR 4773, Feb. 3, 1983; USCG-2001-9286, 66 FR 33639, June 25, 2001; USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 25.133 Redelegation of authority.

The authority delegated in § 25.131 and in 49 CFR 1.46(j) to the Chief Counsel may, unless otherwise limited, be redelegated in whole or in part to settlement authorities established by the Chief Counsel. Information concerning current settlement authorities is available from the offices indicated in § 25.103.


§ 25.135 Processing and settlement of claims in foreign countries.

(a) In certain countries, the Department of Defense has assigned single-service responsibility for the settlement of claims arising under the Foreign Claims Act, Military Claims Act, Nonscope of Employment Claims Act, Federal Medical Care Recovery Act, and Federal Claims Collection Act.


(b) In a country where single-service claims responsibility has been assigned, claims against the United States cognizable under the acts referenced in paragraph (a) of this section are processed and settled by the service assigned responsibility.


(c) A list of countries assigned to a single-service is available from the military attache at any United States embassy or consulate.


(d) In a country not assigned to a single-service, the rules for presenting claims may be found in § 25.111, and the claim will be settled by the Coast Guard.


Subpart B – Admiralty Claims


Authority:14 U.S.C. 503, 937; 49 CFR 1.46(b).

§ 25.201 Scope.

This subpart prescribes the requirements for the administrative settlement of maritime tort claims against the United States for death, personal injury, damage to or loss of property caused by a vessel or other property in the service of the Coast Guard, or a maritime tort committed by an agent of the Coast Guard, and for claims for towage and salvage services rendered to a Coast Guard vessel or property.


§ 25.203 Claims payable.

A claim is payable under this subpart if it is:


(a) A claim for death, personal injury, damage to or loss of real or personal property arising from a maritime tort caused by an agent or employee of the Coast Guard, or a vessel or other property in the service of the Coast Guard, including an auxiliary facility operated under specific orders and acting within the scope of such orders; or


(b) A claim for compensation for towage and salvage services rendered to a vessel in the service of the Coast Guard or to other property under the jurisdiction of the Coast Guard.


§ 25.205 Claims not payable.

A claim is not payable under this subpart if it:


(a) Results from action by an enemy, or directly or indirectly from an act of the armed services of the United States in combat;


(b) Is purely contractual in nature;


(c) Is for death or personal injury of a United States employee for whom benefits are provided under the Federal Employees’ Compensation Act, or any other system of compensation where contribution is made or insurance premiums paid directly or indirectly by the United States on behalf of the injured employee;


(d) Is one for which a foreign country is responsible under Article VIII of the Agreement Regarding the Status of Forces of Parties to the North Atlantic Treaty, or other similar treaty agreement;


(e) Arises from private or domestic obligations as distinguished from governmental transactions; or


(f) Is for damage to or loss of personal property of military personnel or civilian employees which is cognizable under the Military Personnel and Civilian Employees’ Claims Act, as amended.


§ 25.207 Time limitation on claims.

(a) A settlement authority may administratively settle and approve a claim for final payment within two years from the date that the cause of action accrues. Otherwise, the claim is barred. This two-year period is not extended by presenting a claim nor by negotiations or correspondence. The existence of an administrative claim does not extend the two year statute of limitations in 46 U.S.C. 745.


(b) If a complaint is filed in a Federal District Court before the expiration of the two-year period, an administrative settlement may be negotiated by the settlement authority only with the consent of the Department of Justice. Payment is made upon final dismissal of the complaint.


Subpart C – Federal Tort Claims


Authority:28 U.S.C. 2672; 28 CFR 14.11; 49 CFR 1.45(a)(2); 49 CFR 1.45(a)(3).

§ 25.301 Scope.

This subpart prescribes the requirements for the administrative settlement of claims against the United States arising out of Coast Guard activities under the Federal Tort Claims Act.


§ 25.303 Procedure.

A claim shall be presented and processed in accordance with 28 CFR Part 14. Should there be a conflict between the provisions of 33 CFR Part 25, Subpart A and the Department of Justice regulations in 28 CFR Part 14, the Department of Justice regulations govern.


Subpart D – Military Claims


Authority:10 U.S.C. 2733; 49 CFR 1.46(j).

§ 25.401 Scope.

This subpart prescribes the requirements for the administrative settlement of claims against the United States arising out of the activities of the Coast Guard under the Military Claims Act.


§ 25.403 Claims payable.

A claim arising at any place caused by military personnel or civilian employees of the Coast Guard acting within the scope of their employment, or otherwise incident to noncombat activities of the Coast Guard, whether or not negligence or intentional tort is shown, is payable under this subpart for:


(a) Damage to or loss of real property, including damage or loss incident to the use and occupancy of real property by the Coast Guard;


(b) Damage to or loss of personal property, including property bailed to the Coast Guard;


(c) Damage to or loss of registered or insured mail while the mail is in the possession of the Coast Guard even though damaged or lost by criminal act; or


(d) Death or personal injury.


§ 25.405 Claims not payable.

A claim is not payable under this subpart if it:


(a) Results from action by an enemy or directly or indirectly from an act of the armed services of the United States in combat;


(b) Is purely contractual in nature;


(c) Results wholly or partly from the negligent or wrongful act of the claimant, claimant’s agent, or claimant’s employee, unless comparative negligence is applicable under local law;


(d) Is for death or personal injury of a United States employee for whom benefits are provided under the Federal Employees’ Compensation Act, Longshoremen’s and Harbor Workers’ Compensation Act, or any other system of compensation where contribution is made or insurance premiums paid directly or indirectly by the United States on behalf of the injured employee;


(e) Is cognizable under Subpart C or E of this part;


(f) Is for reimbursement for medical, hospital, or burial services furnished at the expense of the United States;


(g) Is one of the following exceptions to the Federal Tort Claims Act, 28 U.S.C. 2680 (a), (b), (e), (f), (h), or (j). (However, a claim falling within the exception contained in 28 U.S.C. 2680 (b) is payable when not prohibited by paragraph (i) of this section.);


(h) Results from a specific risk which the claimant assumed in writing before the incident giving rise to the claim;


(i) Is for damage to or loss of a letter or postal matter while in the possession of the Postal Service;


(j) Is for rent, or other payments involving the acquisition, use, possession, or disposition of real property or interests therein by and for the Coast Guard except as provided in § 25.403(a);


(k) Is for the taking of private property by trespass except for actual physical damage; or


(l) Is for personal injury or death of a member or civilian employee of the armed services of the U.S. whose death or injury was incident to service.


[CGD 80-033, 46 FR 27109, May 18, 1981, as amended by CGD 87-008b, 52 FR 25218, July 6, 1987]


§ 25.407 Time limitation on claims.

(a) A claim may be settled only if presented in writing within two years after it accrues, except that if it accrues in time of war or armed conflict, or if war or armed conflict intervenes within two years after it accrues, and if good cause is shown, the claim may be presented not more than two years after the termination of the war or armed conflict.


(b) For the purposes of this section, a war or armed conflict is one in which an armed service of the United States is engaged. The dates of commencement and termination of an armed conflict will be as established by concurrent resolution of Congress or by determination of the President.


§ 25.409 Appeal.

(a) A claimant may submit an appeal, in writing, through the settlement authority disapproving the claim or approving the claim in part.


(1) The appeal shall set forth fully the legal or factual bases asserted as grounds for the appeal; and


(2) The appeal is permitted only if it is postmarked within 45 days after receipt of (i) notice of disapproval of the claim or (ii) offer of settlement in a reduced amount.


(b) The disapproval of a claim is final unless the claimant submits a request for reconsideration or an appeal in writing.


(c) Upon receipt of an appeal, the settlement authority examines it and forwards it with the claim file, opinions, and recommendations to the next higher settlement authority.


Subpart E – Foreign Claims


Authority:10 U.S.C. 2734; 49 CFR 1.46(b).

§ 25.501 Scope.

This subpart prescribes the requirements for the administrative settlement of claims against the United States by a foreign country, political subdivision or inhabitant thereof, for death, personal injury, damage to or loss of property occurring outside the United States, its territories, commonwealths, or possessions, caused by a military member or civilian employee of the Coast Guard, or otherwise incident to noncombat activities of the Coast Guard.


§ 25.503 Proper claimants.

(a) The claimant, or the decedent in a death case, must have been an inhabitant of a foreign country at the time of the incident giving rise to the claim and must not be otherwise excluded by § 25.505. It is not necessary that a claimant be a citizen of, or legal domiciliary of the foreign country.


(b) A corporation or other organization doing business in a foreign country on a permanent basis may qualify as a proper claimant although organized under United States law.


(c) The government of a foreign country or a political subdivision thereof is a proper claimant unless excluded by waiver provisions of applicable international agreements.


§ 25.505 Claimants excluded.

(a) Civilian employees of the United States and members of the armed services of the United States and their dependents, who are in a foreign country primarily because of their own or their sponsor’s duty status.


(b) Other citizens of the United States, its territories, commonwealths, or possessions, unless they can establish their status as inhabitants of the foreign country.


(c) An insurer or other subrogee.


§ 25.507 Claims payable.

(a) A claim is payable under this subpart if it was incident to a noncombat activity of the Coast Guard or was caused by:


(1) A military member of the Coast Guard;


(2) A civilian employee of the Coast Guard who is not a national of the country in which the incident occurred; or


(3) A civilian employee of the Coast Guard who is a national of the country in which the incident occurred if:


(i) The employee was within the scope of employment, or


(ii) An employer or owner of the property involved would be liable under local law.


(b) The fact that the act giving rise to a claim may constitute a crime does not, by itself, bar relief.


(c) Local law or custom pertaining to contributory or comparative negligence, and to joint tort-feasors, are applied to the extent practicable.


§ 25.509 Claims not payable.

A claim is not payable under this subpart if it:


(a) Results from action by an enemy or directly or indirectly from an act of the armed services of the United States in combat;


(b) Is purely contractual in nature;


(c) Is for death or personal injury of a United States employee for whom benefits are provided under the Federal Employees’ Compensation Act, the Longshoremen’s and Harbor Workers’ Compensation Act, or any other system of compensation where contribution is made or insurance premiums paid directly or indirectly by the United States on behalf of the injured employee;


(d) Is one for which a foreign country is responsible under Article VIII of the Agreement Regarding the Status of Forces of Parties to the North Atlantic Treaty, or other similar treaty agreement;


(e) Arises from private or domestic obligations as distinguished from governmental transactions;


(f) Is a bastardy claim; or


(g) Involves a patent or copyright infringement.


§ 25.511 Time limitation on claims.

A claim may be settled only if presented in writing within two years after it accrues. Under appropriate circumstances, a claim presented orally may be considered.


§ 25.513 Amount claimed.

The claimant shall state the amount claimed in the currency of the country where the incident occurred or where the claimant resided at the time of the incident.


§ 25.515 Settlement and notice to claimant.

If a claim is determined to be meritorious in any amount, a written acceptance and release or a claim settlement agreement shall be signed by the claimant before payment. The release executed by the claimant shall release the United States and also release the tort-feasor or the person who occasioned the damage, injury, or death.


Subpart F – Claims Not Cognizable Under Other Law


Authority:10 U.S.C. 2737; 49 CFR 1.45(a)(2).

§ 25.601 Scope.

This subpart prescribes the requirements for the administrative settlement of claims against the United States under 10 U.S.C. 2737 incident to use of property of the United States and not cognizable under other law.


§ 25.603 Claims payable.

A claim for death, personal injury, or damage to or loss of real or personal property under this subpart is payable when caused by a military member or a civilian employee of the Coast Guard:


(a) Incident to the use of a vehicle of the United States at any place; or


(b) Incident to the use of any other property of the United States on a government installation.


§ 25.605 Claims not payable.

A claim is not payable under this subpart if it:


(a) Is legally recoverable by the claimant under a compensation statute or an insurance policy;


(b) Results wholly or partly from the negligent or wrongful act of the claimant, claimant’s agent or employee;


(c) Is a subrogated claim;


(d) Is cognizable under any other provision of law or regulation administered by the Coast Guard; or


(e) Is for any element of damage pertaining to death or personal injury, other than the cost of reasonable medical, hospital, and burial expenses actually incurred and not otherwise furnished or paid by the United States.


§ 25.607 Time limitation on claims.

A claim may be settled only if presented in writing within two years after it accrues.


§ 25.609 Settlement and notice to claimant.

If a claim is determined to be meritorious in any amount, the claimant must sign a written acceptance and release or a claim settlement agreement before payment. Although larger claims may be considered, no claim may be approved or paid in an amount that exceeds $1,000.00.


Subpart G – Article 139, Uniform Code of Military Justice


Authority:10 U.S.C. 939; 49 CFR 1.46(b).

§ 25.701 Scope.

This subpart prescribes the requirements for the administrative settlement of claims under Article 139, Uniform Code of Military Justice, 10 U.S.C. 939, against military members of the Coast Guard for damage to property willfully caused by them or loss of property wrongfully taken by them.


§ 25.703 Claims payable.

A claim for damage to or loss of real or personal property caused by a military member of the Coast Guard is payable under this subpart when the damage or loss results from:


(a) Willful or intentional acts;


(b) Wrongful taking; or


(c) Riotous, violent, and reckless conduct or acts of depredation by an individual or group that evidences willfulness.


§ 25.705 Claims not payable.

A claim is not payable under this subpart if it:


(a) Is for death or personal injury;


(b) Results wholly or partly from the grossly negligent, or reckless act of the claimant, claimant’s agent or employee;


(c) Is a subrogated claim;


(d) Is for damage to or loss of property owned by the United States or property of a Nonappropriated Fund Activity;


(e) Results from negligence;


(f) Is for indirect or remote damages;


(g) Is for damage to or loss of property resulting from the act or omission of a member of the Coast Guard acting within the scope of the member’s employment;


(h) Extends to damage or loss that results from the owner’s failure to mitigate damages; or


(i) Has been paid by a third party.


§ 25.707 Time limitation on claims.

A claim may be settled only if presented within 90 days after it accrues unless good cause is shown for the delay.


§ 25.709 Assessment limitation on claims.

A claim is permitted in any amount; however, this subpart prohibits any assessment that exceeds one-half of one month’s basic pay against the pay of any offender.


Subpart H – Pollution Removal Damage Claims


Authority:33 U.S.C. 1321(j)(1)(A); 33 U.S.C. 1321(1); E.O. 11735, sec. 5 (a), (b)(3); 49 CFR 1.46(m).

§ 25.801 Scope.

This subpart prescribes the requirements for the administrative settlement of claims against the United States for damage to or loss of property resulting from containment or removal activities during Phase III or IV of the National Contingency Plan, under the Federal Water Pollution Control Act, as amended. 33 U.S.C. 1321.


§ 25.803 Claims payable.

A claim for damage to or loss of real or personal property is payable under this subpart if:


(a) Caused by the United States, its employees, agents or contractors during containment, countermeasures, cleanup, mitigation, and disposal activities under the National Contingency Plan; and


(b) In the exercise of care reasonable under the circumstances, the incident giving rise to the claim was necessary and the damage unavoidable.


§ 25.805 Claims not payable.

A claim is not payable under this subpart if it:


(a) Is for death or personal injury; or


(b) Arises out of activities to contain or remove a discharge of oil or other hazardous polluting substance from a United States or foreign public vessel or federally controlled facility.


PART 26 – VESSEL BRIDGE-TO-BRIDGE RADIOTELEPHONE REGULATIONS


Authority:14 U.S.C. 102, 33 U.S.C. 1201-1208; Public Law 107-295, 116 Stat. 2064; Department of Homeland Security Delegation No. 0170. Rule 1, International Regulations for the Prevention of Collisions at Sea.



Source:CGD 71-114R, 37 FR 12720, June 28, 1972, unless otherwise noted.

§ 26.01 Purpose.

(a) The purpose of this part is to implement the provisions of the Vessel Bridge-to-Bridge Radiotelephone Act. This part:


(1) Requires the use of the vessel bridge-to-bridge radiotelephone;


(2) Provides the Coast Guard’s interpretation of the meaning of important terms in the Act;


(3) Prescribes the procedures for applying for an exemption from the Act and the regulations issued under the Act and a listing of exemptions.


(b) Nothing in this part relieves any person from the obligation of complying with the rules of the road and the applicable pilot rules.


§ 26.02 Definitions.

For the purpose of this part and interpreting the Act:


Act means the “Vessel Bridge-to-Bridge Radiotelephone Act”, 33 U.S.C. sections 1201-1208;


Length is measured from end to end over the deck excluding sheer;


Power-driven vessel means any vessel propelled by machinery; and


Secretary means the Secretary of the Department in which the Coast Guard is operating;


Territorial sea means all waters as defined in § 2.22(a)(1) of this chapter.


Towing vessel means any commercial vessel engaged in towing another vessel astern, alongside, or by pushing ahead.


Vessel Traffic Services (VTS) means a service implemented under Part 161 of this chapter by the United States Coast Guard designed to improve the safety and efficiency of vessel traffic and to protect the environment. The VTS has the capability to interact with marine traffic and respond to traffic situations developing in the VTS area.


Vessel Traffic Service Area or VTS Area means the geographical area encompassing a specific VTS area of service as described in Part 161 of this chapter. This area of service may be subdivided into sectors for the purpose of allocating responsibility to individual Vessel Traffic Centers or to identify different operating requirements.



Note:

Although regulatory jurisdiction is limited to the navigable waters of the United States, certain vessels will be encouraged or may be required, as a condition of port entry, to report beyond this area to facilitate traffic management within the VTS area.


(Rule 1, International Regulations for Preventing Collisions at Sea, 1972 (as rectified); E.O. 11964 (14 U.S.C. 102); 49 CFR 1.46(b))

[CGD 71-114R, 37 FR 12720, June 28, 1972, as amended by CGD 77-118a, 42 FR 35784, July 11, 1977; CGD 90-020, 59 FR 36322, July 15, 1994; USCG-2001-9044, 68 FR 42601, July 18, 2003; USCG-2020-0304, 85 FR 58276, Sept. 18, 2020]


§ 26.03 Radiotelephone required.

(a) Unless an exemption is granted under § 26.09 and except as provided in paragraph (a)(4) of this section, this part applies to:


(1) Every power-driven vessel of 20 meters or over in length while navigating;


(2) Every vessel of 100 gross tons and upward carrying one or more passengers for hire while navigating;


(3) Every towing vessel of 26 feet or over in length while navigating; and


(4) Every dredge and floating plant engaged in or near a channel or fairway in operations likely to restrict or affect navigation of other vessels except for an unmanned or intermittently manned floating plant under the control of a dredge.


(b) Every vessel, dredge, or floating plant described in paragraph (a) of this section must have a radiotelephone on board capable of operation from its navigational bridge, or in the case of a dredge, from its main control station, and capable of transmitting and receiving on the frequency or frequencies within the 156-162 Mega-Hertz band using the classes of emissions designated by the Federal Communications Commission for the exchange of navigational information.


(c) The radiotelephone required by paragraph (b) of this section must be carried on board the described vessels, dredges, and floating plants upon the navigable waters of the United States.


(d) The radiotelephone required by paragraph (b) of this section must be capable of transmitting and receiving on VHF FM channel 22A (157.1 MHz).


(e) While transiting any of the following waters, each vessel described in paragraph (a) of this section also must have on board a radiotelephone capable of transmitting and receiving on VHF FM channel 67 (156.375 MHz):


(1) The lower Mississippi River from the territorial sea boundary, and within either the Southwest Pass safety fairway or the South Pass safety fairway specified in 33 CFR 166.200, to mile 242.4 AHP (Above Head of Passes) near Baton Rouge;


(2) The Mississippi River-Gulf Outlet from the territorial sea boundary, and within the Mississippi River-Gulf outlet Safety Fairway specified in 33 CFR 166.200, to that channel’s junction with the Inner Harbor Navigation Canal; and


(3) The full length of the Inner Harbor Navigation Canal from its junction with the Mississippi River to that canal’s entry to Lake Pontchartrain at the New Seabrook vehicular bridge.


(f) In addition to the radiotelephone required by paragraph (b) of this section, each vessel described in paragraph (a) of this section while transiting any waters within a Vessel Traffic Service Area, must have on board a radiotelephone capable of transmitting and receiving on the VTS designated frequency in Table 161.12(c) (VTS and VMRS Centers, Call Signs/MMSI, Designated Frequencies, and Monitoring Areas).



Note:

A single VHF-FM radio capable of scanning or sequential monitoring (often referred to as “dual watch” capability) will not meet the requirements for two radios.


[CGD 91-046, 57 FR 14485, Apr. 21, 1992; 57 FR 21740, May 22, 1992, as amended by CGD 90-020, 59 FR 36322, July 15, 1994; CGD 95-033, 60 FR 28328, May 31, 1995; CGD 92-052, 61 FR 45325, Aug. 29, 1996; CGD-1999-6141, 64 FR 69635, Dec. 14, 1999; USCG-2003-14757, 68 FR 39364, July 1, 2003]


§ 26.04 Use of the designated frequency.

(a) No person may use the frequency designated by the Federal Communications Commission under section 8 of the Act, 33 U.S.C. 1207(a), to transmit any information other than information necessary for the safe navigation of vessels or necessary tests.


(b) Each person who is required to maintain a listening watch under section 5 of the Act shall, when necessary, transmit and confirm, on the designated frequency, the intentions of his vessel and any other information necessary for the safe navigation of vessels.


(c) Nothing in these regulations may be construed as prohibiting the use of the designated frequency to communicate with shore stations to obtain or furnish information necessary for the safe navigation of vessels.


(d) On the navigable waters of the United States, channel 13 (156.65 MHz) is the designated frequency required to be monitored in accordance with § 26.05(a) except that in the area prescribed in § 26.03(e), channel 67 (156.375 MHz) is the designated frequency.


(e) On those navigable waters of the United States within a VTS area, the designated VTS frequency is an additional designated frequency required to be monitored in accordance with § 26.05.


(85 Stat. 164; 33 U.S.C. 1201-1208; 49 CFR 1.46(n)(2))

[CGD 71-114R, 37 FR 12720, June 28, 1982, as amended by CGD 83-036, 48 FR 30107, June 30, 1983; CGD 91-046, 57 FR 14486, Apr. 21, 1992; 57 FR 21741, May 22, 1992; CGD 90-020, 59 FR 36323, July 15, 1994; CGD 95-033, 60 FR 28329, May 31, 1995]


§ 26.05 Use of radiotelephone.

Section 5 of the Act states that the radiotelephone required by this Act is for the exclusive use of the master or person in charge of the vessel, or the person designated by the master or person in charge to pilot or direct the movement of the vessel, who shall maintain a listening watch on the designated frequency. Nothing herein shall be interpreted as precluding the use of portable radiotelephone equipment to satisfy the requirements of this act.


[CGD 93-072, 59 FR 39963, Aug. 5, 1994]


§ 26.06 Maintenance of radiotelephone; failure of radiotelephone.

Section 6 of the Act states:



(a) Whenever radiotelephone capability is required by this Act, a vessel’s radiotelephone equipment shall be maintained in effective operating condition. If the radiotelephone equipment carried aboard a vessel ceases to operate, the master shall exercise due diligence to restore it or cause it to be restored to effective operating condition at the earliest practicable time. The failure of a vessel’s radiotelephone equipment shall not, in itself, constitute a violation of this Act, nor shall it obligate the master of any vessel to moor or anchor his vessel; however, the loss of radiotelephone capability shall be given consideration in the navigation of the vessel.


§ 26.07 Communications.

No person may use the services of, and no person may serve as, a person required to maintain a listening watch under section 5 of the Act, 33 U.S.C. 1204, unless the person can communicate in the English language.


[CGD 90-020, 59 FR 36323, July 15, 1994, as amended by CGD 95-033, 60 FR 28329, May 31, 1995]


§ 26.08 Exemption procedures.

(a) The Commandant has redelegated to the Assistant Commandant for Prevention Policy, U.S. Coast Guard Headquarters, with the reservation that this authority shall not be further redelegated, the authority to grant exemptions from provisions of the Vessel Bridge-to-Bridge Radiotelephone Act and this part.


(b) Any person may petition for an exemption from any provision of the Act or this part;


(c) Each petition must be submitted in writing to Commandant (CG-DCO-D), Attn: Deputy for Operations Policy and Capabilities, U.S. Coast Guard Stop 7318, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7318, and must state:


(1) The provisions of the Act or this part from which an exemption is requested; and


(2) The reasons why marine navigation will not be adversely affected if the exemption is granted and if the exemption relates to a local communication system how that system would fully comply with the intent of the concept of the Act but would not conform in detail if the exemption is granted.


[CGD 71-114R, 37 FR 12720, June 28, 1972, as amended by CGD 73-256, 39 FR 9176, Mar. 8, 1974; CGD 88-052, 53 FR 25119, July 1, 1988; CGD 95-057, 60 FR 34150, June 30, 1995; CGD 96-026, 61 FR 33663, June 28, 1996; CGD 97-023, 62 FR 33362, June 19, 1997; USCG-2002-12471, 67 FR 41331, June 18, 2002; USCG-2010-0351, 75 FR 36278, June 25, 2010; USCG-2014-0410, 79 FR 38428, July 7, 2014; USCG-2018-0874, 84 FR 30877, June 28, 2019]


§ 26.09 List of exemptions.

(a) All vessels navigating on those waters governed by the navigation rules for Great Lakes and their connecting and tributary waters (33 U.S.C. 241 et seq.) are exempt from the requirements of the Vessel Bridge-to-Bridge Radiotelephone Act and this part until May 6, 1975.


(b) Each vessel navigating on the Great Lakes as defined in the Inland Navigational Rules Act of 1980 (33 U.S.C. 2001 et seq.) and to which the Vessel Bridge-to-Bridge Radiotelephone Act (33 U.S.C. 1201-1208) applies is exempt from the requirements in 33 U.S.C. 1203, 1204, and 1205 and the regulations under §§ 26.03, 26.04, 26.05, 26.06, and 26.07. Each of these vessels and each person to whom 33 U.S.C. 1208(a) applies must comply with Articles VII, X, XI, XII, XIII, XV, and XVI and Technical Regulations 1-9 of “The Agreement Between the United States of America and Canada for Promotion of Safety on the Great Lakes by Means of Radio, 1973.”


[CGD 72-223R, 37 FR 28633, Dec. 28, 1972, as amended by CGD 74-291, 39 FR 44980, Dec. 30, 1974; CGD 83-003, 48 FR 7442, Feb. 18, 1983; CGD 91-046, 57 FR 14486, Apr. 21, 1992]


PART 27 – ADJUSTMENT OF CIVIL MONETARY PENALTIES FOR INFLATION


Authority:Secs. 1-6, Pub. L. 101-410, 104 Stat. 890, as amended by Sec. 31001(s)(1), Pub. L. 104-134, 110 Stat. 1321 (28 U.S.C. 2461 note); Department of Homeland Security Delegation No. 0170.1, sec. 2 (106).


Source:USCG-2011-0257, 76 FR 31833, June 2, 2011, unless otherwise noted.

§ 27.3 Penalty adjustment table.

Table 1 identifies the statutes administered by the Coast Guard that authorize a civil monetary penalty. The “adjusted maximum penalty” is the maximum penalty authorized by the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, as determined by the Coast Guard. The adjusted civil penalty amounts listed in Table 1 to this section are applicable for penalty assessments issued after January 11, 2022, with respect to violations occurring after November 2, 2015. The applicable civil penalty amounts for violations occurring on or before November 2, 2015, are set forth in previously published regulations amending this part.


Table 1 to § 27.3 – Civil Monetary Penalty Inflation Adjustments

U.S. code citation
Civil monetary penalty description
2022 Adjusted

maximum penalty

amount ($)
14 U.S.C. 521(c)Saving Life and Property11,649
14 U.S.C. 521(e)Saving Life and Property; Intentional Interference with Broadcast1,195
14 U.S.C. 936(i)Confidentiality of Medical Quality Assurance Records (first offense)5,851
14 U.S.C. 936(i)Confidentiality of Medical Quality Assurance Records (subsequent offenses)39,011
19 U.S.C. 70Obstruction of Revenue Officers by Masters of Vessels8,723
19 U.S.C. 70Obstruction of Revenue Officers by Masters of Vessels – Minimum Penalty2,035
19 U.S.C. 1581(d)Failure to Stop Vessel When Directed; Master, Owner, Operator or Person in Charge
1
5,000
19 U.S.C. 1581(d)Failure to Stop Vessel When Directed; Master, Owner, Operator or Person in Charge – Minimum Penalty
1
1,000
33 U.S.C. 471Anchorage Ground/Harbor Regulations General12,647
33 U.S.C. 474Anchorage Ground/Harbor Regulations St. Mary’s River873
33 U.S.C. 495(b)Bridges/Failure to Comply with Regulations31,928
33 U.S.C. 499(c)Bridges/Drawbridges31,928
33 U.S.C. 502(c)Bridges/Failure to Alter Bridge Obstructing Navigation31,928
33 U.S.C. 533(b)Bridges/Maintenance and Operation31,928
33 U.S.C. 1208(a)Bridge to Bridge Communication; Master, Person in Charge or Pilot2,326
33 U.S.C. 1208(b)Bridge to Bridge Communication; Vessel2,326
33 U.S.C. 1321(b)(6)(B)(i)Oil/Hazardous Substances: Discharges (Class I per violation)20,719
33 U.S.C. 1321(b)(6)(B)(i)Oil/Hazardous Substances: Discharges (Class I total under paragraph)51,796
33 U.S.C. 1321(b)(6)(B)(ii)Oil/Hazardous Substances: Discharges (Class II per day of violation)20,719
33 U.S.C. 1321(b)(6)(B)(ii)Oil/Hazardous Substances: Discharges (Class II total under paragraph)258,978
33 U.S.C. 1321(b)(7)(A)Oil/Hazardous Substances: Discharges (per day of violation) Judicial Assessment51,796
33 U.S.C. 1321(b)(7)(A)Oil/Hazardous Substances: Discharges (per barrel of oil or unit discharged) Judicial Assessment2,072
33 U.S.C. 1321(b)(7)(B)Oil/Hazardous Substances: Failure to Carry Out Removal/Comply With Order (Judicial Assessment)51,796
33 U.S.C. 1321(b)(7)(C)Oil/Hazardous Substances: Failure to Comply with Regulation Issued Under 1321(j) (Judicial Assessment)51,796
33 U.S.C. 1321(b)(7)(D)Oil/Hazardous Substances: Discharges, Gross Negligence (per barrel of oil or unit discharged) Judicial Assessment6,215
33 U.S.C. 1321(b)(7)(D)Oil/Hazardous Substances: Discharges, Gross Negligence – Minimum Penalty (Judicial Assessment)207,183
33 U.S.C. 1322(j)Marine Sanitation Devices; Operating8,723
33 U.S.C. 1322(j)Marine Sanitation Devices; Sale or Manufacture23,258
33 U.S.C. 1608(a)International Navigation Rules; Operator16,307
33 U.S.C. 1608(b)International Navigation Rules; Vessel16,307
33 U.S.C. 1908(b)(1)Pollution from Ships; General81,540
33 U.S.C. 1908(b)(2)Pollution from Ships; False Statement16,307
33 U.S.C. 2072(a)Inland Navigation Rules; Operator16,307
33 U.S.C. 2072(b)Inland Navigation Rules; Vessel16,307
33 U.S.C. 2609(a)Shore Protection; General57,527
33 U.S.C. 2609(b)Shore Protection; Operating Without Permit23,011
33 U.S.C. 2716a(a)Oil Pollution Liability and Compensation51,796
33 U.S.C. 3852(a)(1)(A)Clean Hulls; Civil Enforcement47,424
33 U.S.C. 3852(a)(1)(A)Clean Hulls; related to false statements63,232
33 U.S.C. 3852(c)Clean Hulls; Recreational Vessels6,323
42 U.S.C. 9609(a)Hazardous Substances, Releases, Liability, Compensation (Class I)62,689
42 U.S.C. 9609(b)Hazardous Substances, Releases, Liability, Compensation (Class II)62,689
42 U.S.C. 9609(b)Hazardous Substances, Releases, Liability, Compensation (Class II subsequent offense)188,069
42 U.S.C. 9609(c)Hazardous Substances, Releases, Liability, Compensation (Judicial Assessment)62,689
42 U.S.C. 9609(c)Hazardous Substances, Releases, Liability, Compensation (Judicial Assessment subsequent offense)188,069
46 U.S.C. 80509(a)Safe Containers for International Cargo6,852
46 U.S.C. 70305(c)Suspension of Passenger Service68,529
46 U.S.C. 2110(e)Vessel Inspection or Examination Fees10,360
46 U.S.C. 2115Alcohol and Dangerous Drug Testing8,433
46 U.S.C. 2302(a)Negligent Operations: Recreational Vessels7,628
46 U.S.C. 2302(a)Negligent Operations: Other Vessels38,139
46 U.S.C. 2302(c)(1)Operating a Vessel While Under the Influence of Alcohol or a Dangerous Drug8,433
46 U.S.C. 2306(a)(4)Vessel Reporting Requirements: Owner, Charterer, Managing Operator, or Agent13,132
46 U.S.C. 2306(b)(2)Vessel Reporting Requirements: Master2,627
46 U.S.C. 3102(c)(1)Immersion Suits13,132
46 U.S.C. 3302(i)(5)Inspection Permit2,739
46 U.S.C. 3318(a)Vessel Inspection; General13,132
46 U.S.C. 3318(g)Vessel Inspection; Nautical School Vessel13,132
46 U.S.C. 3318(h)Vessel Inspection; Failure to Give Notice in accordance with (IAW) 3304(b)2,627
46 U.S.C. 3318(i)Vessel Inspection; Failure to Give Notice IAW 3309(c)2,627
46 U.S.C. 3318(j)(1)Vessel Inspection; Vessel ≥1,600 Gross Tons26,269
46 U.S.C. 3318(j)(1)Vessel Inspection; Vessel 5,254
46 U.S.C. 3318(k)Vessel Inspection; Failure to Comply with 3311(b)26,269
46 U.S.C. 3318(l)Vessel Inspection; Violation of 3318(b)-3318(f)13,132
46 U.S.C. 3502(e)List/count of Passengers273
46 U.S.C. 3504(c)Notification to Passengers27,384
46 U.S.C. 3504(c)Notification to Passengers; Sale of Tickets1,368
46 U.S.C. 3506Copies of Laws on Passenger Vessels; Master548
46 U.S.C. 3718(a)(1)Liquid Bulk/Dangerous Cargo68,462
46 U.S.C. 4106Uninspected Vessels11,506
46 U.S.C. 4311(b)(1)Recreational Vessels (maximum for related series of violations)362,217
46 U.S.C. 4311(b)(1)Recreational Vessels; Violation of 4307(a)7,244
46 U.S.C. 4311(c)Recreational Vessels2,739
46 U.S.C. 4507Uninspected Commercial Fishing Industry Vessels11,506
46 U.S.C. 4703Abandonment of Barges1,949
46 U.S.C. 5116(a)Load Lines12,537
46 U.S.C. 5116(b)Load Lines; Violation of 5112(a)25,076
46 U.S.C. 5116(c)Load Lines; Violation of 5112(b)12,537
46 U.S.C. 6103(a)Reporting Marine Casualties43,678
46 U.S.C. 6103(b)Reporting Marine Casualties; Violation of 610411,506
46 U.S.C. 8101(e)Manning of Inspected Vessels; Failure to Report Deficiency in Vessel Complement2,072
46 U.S.C. 8101(f)Manning of Inspected Vessels20,719
46 U.S.C. 8101(g)Manning of Inspected Vessels; Employing or Serving in Capacity not Licensed by U.S. Coast Guard (USCG)20,719
46 U.S.C. 8101(h)Manning of Inspected Vessels; Freight Vessel 2,739
46 U.S.C. 8102(a)Watchmen on Passenger Vessels2,739
46 U.S.C. 8103(f)Citizenship Requirements1,368
46 U.S.C. 8104(i)Watches on Vessels; Violation of 8104(a) or (b)20,719
46 U.S.C. 8104(j)Watches on Vessels; Violation of 8104(c), (d), (e), or (h)20,719
46 U.S.C. 8302(e)Staff Department on Vessels273
46 U.S.C. 8304(d)Officer’s Competency Certificates273
46 U.S.C. 8502(e)Coastwise Pilotage; Owner, Charterer, Managing Operator, Agent, Master or Individual in Charge20,719
46 U.S.C. 8502(f)Coastwise Pilotage; Individual20,719
46 U.S.C. 8503Federal Pilots65,666
46 U.S.C. 8701(d)Merchant Mariners Documents1,368
46 U.S.C. 8702(e)Crew Requirements20,719
46 U.S.C. 8906Small Vessel Manning43,678
46 U.S.C. 9308(a)Pilotage: Great Lakes; Owner, Charterer, Managing Operator, Agent, Master or Individual in Charge20,719
46 U.S.C. 9308(b)Pilotage: Great Lakes; Individual20,719
46 U.S.C. 9308(c)Pilotage: Great Lakes; Violation of 930320,719
46 U.S.C. 10104(b)Failure to Report Sexual Offense11,011
46 U.S.C. 10314(a)(2)Pay Advances to Seamen1,368
46 U.S.C. 10314(b)Pay Advances to Seamen; Remuneration for Employment1,368
46 U.S.C. 10315(c)Allotment to Seamen1,368
46 U.S.C. 10321Seamen Protection; General9,491
46 U.S.C. 10505(a)(2)Coastwise Voyages: Advances9,491
46 U.S.C. 10505(b)Coastwise Voyages: Advances; Remuneration for Employment9,491
46 U.S.C. 10508(b)Coastwise Voyages: Seamen Protection; General9,491
46 U.S.C. 10711Effects of Deceased Seamen548
46 U.S.C. 10902(a)(2)Complaints of Unfitness1,368
46 U.S.C. 10903(d)Proceedings on Examination of Vessel273
46 U.S.C. 10907(b)Permission to Make Complaint1,368
46 U.S.C. 11101(f)Accommodations for Seamen1,368
46 U.S.C. 11102(b)Medicine Chests on Vessels1,368
46 U.S.C. 11104(b)Destitute Seamen273
46 U.S.C. 11105(c)Wages on Discharge1,368
46 U.S.C. 11303(a)Log Books; Master Failing to Maintain548
46 U.S.C. 11303(b)Log Books; Master Failing to Make Entry548
46 U.S.C. 11303(c)Log Books; Late Entry411
46 U.S.C. 11506Carrying of Sheath Knives137
46 U.S.C. 12151(a)(1)Vessel Documentation17,935
46 U.S.C. 12151(a)(2)Documentation of Vessels – Related to activities involving mobile offshore drilling units29,893
46 U.S.C. 12151(c)Vessel Documentation; Fishery Endorsement137,060
46 U.S.C. 12309(a)Numbering of Undocumented Vessels – Willful violation13,693
46 U.S.C. 12309(b)Numbering of Undocumented Vessels2,739
46 U.S.C. 12507(b)Vessel Identification System23,011
46 U.S.C. 14701Measurement of Vessels50,154
46 U.S.C. 14702Measurement; False Statements50,154
46 U.S.C. 31309Commercial Instruments and Maritime Liens23,011
46 U.S.C. 31330(a)(2)Commercial Instruments and Maritime Liens; Mortgagor23,011
46 U.S.C. 31330(b)(2)Commercial Instruments and Maritime Liens; Violation of 3132957,527
46 U.S.C. 70036(a)Ports and Waterways Safety Regulations103,050
46 U.S.C. 70041(d)(1)(B)Vessel Navigation: Regattas or Marine Parades; Unlicensed Person in Charge10,360
46 U.S.C. 70041(d)(1)(C)Vessel Navigation: Regattas or Marine Parades; Owner Onboard Vessel10,360
46 U.S.C. 70041(d)(1)(D)Vessel Navigation: Regattas or Marine Parades; Other Persons5,179
46 U.S.C. 70119(a)Port Security38,139
46 U.S.C. 70119(b)Port Security – Continuing Violations68,529
46 U.S.C. 70506Maritime Drug Law Enforcement; Penalties6,323
49 U.S.C. 5123(a)(1)Hazardous Materials: Related to Vessels – Maximum Penalty89,678
49 U.S.C. 5123(a)(2)Hazardous Materials: Related to Vessels – Penalty from Fatalities, Serious Injuries/Illness or Substantial Damage to Property209,249
49 U.S.C. 5123(a)(3)Hazardous Materials: Related to Vessels – Training540


1 Enacted under the Tariff Act of 1930 exempt from inflation adjustments.


[82 FR 8581, Jan. 27, 2017, as amended at 83 FR 13836, Apr. 2, 2018; 84 FR 13510, Apr. 5, 2019; 85 FR 36480, June 17, 2020; USCG-2020-0304, 85 FR 58276, Sept. 18, 2020; 87 FR 1328, Jan. 11, 2022]


SUBCHAPTER B – PERSONNEL

PART 40 – CADETS OF THE COAST GUARD


Authority:14 U.S.C. 503 and 1922.

§ 40.1 Program for appointing cadets.

The Coast Guard conducts a program for appointing qualified men and women as cadets who are admitted to the Coast Guard Academy, New London, Connecticut. The Superintendent of the Coast Guard Academy tenders appointments on the basis of previous academic performance, reported College Entrance Examination Board or American College Testing scores, and the findings of a Cadet Candidate Evaluation Board, consisting of Coast Guard officers appointed by the Superintendent of the Coast Guard Academy, which reviews each applicant’s personal qualifications. In addition, a Service Academy Medical Examination must be satisfactorily completed before appointment. Applications must be submitted online at http://www.uscga.edu using Coast Guard forms CGA-14, CGA-14A, CGA-14B, CGA-14C, and CGA-14D. These forms, along with additional information on the Cadet appointment program, may be obtained from the Director of Admissions, U.S. Coast Guard Academy, New London, CT 06320.


[USCG-2008-0179, 73 FR 35002, June 19, 2008]


PART 45 – ENLISTMENT OF PERSONNEL


Authority:14 U.S.C. 2302, 2371; Public Law 107-296, 116 Stat. 2135.



Source:CGD 82-087, 50 FR 13318, Apr. 4, 1985, unless otherwise noted.

§ 45.1 Enlistment of personnel.

(a) The Coast Guard is a military service which operates within the Department of Homeland Security. All personnel enlisted in the Coast Guard are subject to the Uniform Code of Military Justice.


(b) Any person desiring to enlist in the Coast Guard should apply at a Coast Guard Recruiting Office, or direct inquiries to, Coast Guard Recruiting Center, 4200 Wilson Boulevard, Suite 450, Arlington, VA 22203. Enlistments in the Coast Guard shall be for general service and enlisted persons may be transferred as necessary from one unit to another. Original enlistments will be made only at regular recruiting offices unless otherwise directed by the Commandant. An original enlistment is the enlistment of an individual who has not had previous service in the Regular Coast Guard. In processing an application for enlistment, the Coast Guard will determine the mental, moral and physical fitness of the applicant through reference to local police files, character references, employers, school authorities and physical and mental examinations. Concealment of any fact, circumstance or condition existing prior to enlistment which would render the applicant ineligible for enlistment may subject the applicant to criminal penalties under the Uniform Code of Military Justice and/or administrative separation from the Coast Guard.


[CGD 82-087, 50 FR 13318, Apr. 4, 1985, as amended by CGD 96-026, 61 FR 33663, June 28, 1996; USCG-2003-14505, 68 FR 9535, Feb. 28, 2003]


§ 45.2 Records of enlistment of former service members.

Former members who have any questions about their service or who need information regarding their service should contact the nearest Coast Guard Recruiting Office or Coast Guard Recruiting Center, 4200 Wilson Boulevard, Suite 450, Arlington, VA 20203.


[CGD 82-087, 50 FR 13318, Apr. 4, 1985, as amended by CGD 96-026, 61 FR 33663, June 28, 1996]


PART 49 – PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL


Authority:Secs. 1, 2, 3, 4, 64 Stat. 249, 250; 37 U.S.C. 351, 352, 353, 354.


Source:CGFR 51-48, 16 FR 10636, Oct. 18, 1951, unless otherwise noted.

Subpart 49.01 – General Provisions

§ 49.01-1 Applicability.

The Commandant of the Coast Guard is hereby designated and is authorized to appoint, in his discretion, the person or persons who may receive active-duty pay and allowances, amounts due for accumulated or accrued leave, or any retired or retainer pay, otherwise payable to personnel on the active or retired list of the Coast Guard and Coast Guard Reserve, entitled to Federal pay either on the active or any retired list of said service, who, in the opinion of competent medical authority, have been determined to be mentally incapable of managing their own affairs, and for whom no legal committee, guardian, or other representative has been appointed by a court of competent jurisdiction.


§ 49.01-5 Requests for appointment of trustee.

Requests for the appointment of a person or persons to receive moneys due personnel believed to be mentally incapable of managing their own affairs shall be submitted to the Commandant of the Coast Guard:


(a) By any person or persons who believe, because of relationship, they should be appointed to receive payments on behalf of the alleged incompetent;


(b) By the Commanding Officer of the alleged incompetent if the latter is on active duty;


(c) By the Commanding Officer of any Armed Forces hospital in which the mentally incompetent is undergoing treatment;


(d) By the head of any veterans’ hospital, or other public or private institution in which the alleged incompetent is undergoing treatment;


(e) By any other person or organization acting for and in the best interests of the alleged mentally incompetent.


§ 49.01-10 Determination of incompetency.

After examining the legitimacy, substance, and sufficiency of the application, the Commandant shall either (a) direct the Commanding Officer of the alleged mentally incompetent, (b) the Commanding Officer of the Coast Guard unit to which such incompetent may be conveniently referred, or (c) request the Surgeon General of the Public Health Service to convene or appoint, at the Public Health Hospital or facility, where the alleged incompetent is receiving treatment or to which his case may be conveniently referred, a board of not less than three qualified medical officers, one of whom shall be specially qualified in the treatment of mental disorders, to determine whether the alleged incompetent is capable of managing his own affairs. The record of proceedings, and the findings of the board shall, after action by the Convening or Appointive Authority thereon, be forwarded to the Commandant.


Subpart 49.05 – Trustee

§ 49.05-1 Appointment of trustee.

Upon receipt of a finding by a board convened or appointed in accordance with § 49.01-10, that the alleged incompetent is mentally incapable of managing his own affairs, the Commandant may appoint a suitable person or persons, not under legal disability so to act, as trustee or trustees to receive in behalf of the incompetent all amounts due the incompetent from such sources set forth in § 49.01-1, and to use said funds in the best interests of the incompetent.


§ 49.05-5 Bonding of trustee.

The trustee or trustees appointed to receive moneys in behalf of incompetent personnel shall furnish a bond in all cases when the amounts to be received may be expected to exceed $1,000, and in such other cases when deemed appropriate by the Commandant. The bond so required and furnished shall have as surety a company approved by the Federal Government, and shall be in such amount as is required by the Commandant. Such bonds shall be continued in effect for the life of trusteeship and expenses in connection with the furnishing and renewal of such bonds may be paid out of sums due the incompetent.


§ 49.05-10 Affidavits required.

The trustee or trustees appointed to receive moneys due incompetent personnel shall, prior to the payment of any such moneys, execute and file with the Commandant an affidavit or affidavits saying and deposing that any moneys henceforth received by virtue of such appointment shall be applied solely to the use and benefit of the incompetent and that no fee, commission, or charge shall be demanded, or in any manner accepted, for any service or services rendered in connection with such appointment as trustee or trustees.


Subpart 49.10 – Reports and Moneys

§ 49.10-1 Reports required.

The trustee or trustees so appointed shall submit reports annually, or at such other times as the Commandant may designate. The report shall show a statement of the conditions of the trust account at the time of the submission of the report, including all funds received on behalf of the incompetent; all expenditures made in behalf of the incompetent, accompanied by receipts or vouchers covering such expenditures; and a receipt indicating that the surety bond required by § 49.05-5 has been renewed. When the trustee is the spouse or adult dependent of the incompetent, receipts or vouchers need not be filed for expenditures made for living expenses. If the trustee or trustees fail to report promptly and properly at the end of any annual period or at such other times as the Commandant desires, the Commandant may, in his discretion, cause payment to such trustee or trustees to cease, and may, if deemed advisable, appoint another person or persons not under legal disability so to act, to receive future payments of moneys due the incompetent for the use and benefit of the incompetent.


§ 49.10-5 Payment of moneys due.

Upon the appointment of a trustee or trustees to receive moneys due an incompetent, the authorized certifying officer having custody of that person’s pay record shall be advised. After such notification, payments of moneys due the incompetent may be made by the appropriate officer in accordance with procedure prescribed by the Commandant. All such payments so made, however, shall be made to the designated trustee or trustees.


§ 49.10-10 Cessation of payments.

(a) Payments of amounts due incompetent personnel shall cease to be paid to the trustee or trustees upon receipt of notification by the authorized certifying officer of the occurrence of any of the following:


(1) Death of the incompetent;


(2) Death or disability of the trustee or trustees appointed;


(3) Receipt of notice that a committee, guardian, or other legal representative has been appointed for the incompetent by a court of competent jurisdiction;


(4) Failure of the trustee or trustees to render the reports required by § 49.10-1;


(5) That there is probable cause to believe that moneys received on behalf of the incompetent have been, or are being, improperly used;


(6) A finding by a board of medical officers that the heretofore incompetent is mentally capable of managing his own affairs;


(7) That the Commandant deems it to be in the best interest of the incompetent.


(b) In the event of termination of payments under paragraphs (a)(2), (4), (5), or (7) of this section, the Commandant may, if deemed appropriate, appoint a successor trustee or trustees. The successor trustee or trustees, so appointed, shall comply with the provisions of the regulations and instructions in this part issued thereunder, and do all acts in the manner required of the original trustee or trustees.


§ 49.10-15 Final accounting by trustee.

The trustee or trustees, when payments, hereunder are terminated, shall file a final account with the said Commandant. Thereupon, the trustee or trustees will be discharged and the surety released. In event of death or disability of the trustee, the final accounting will be filed by his legal representative.


Subpart 49.15 – Additional Instructions

§ 49.15-1 Implementing instructions.

The Commandant is hereby authorized to issue such instructions not in conflict with the regulations in this part as may be necessary from time to time to give full force and effect thereto.


PART 50 – COAST GUARD RETIRING REVIEW BOARD


Authority:10 U.S.C. 1554; 14 U.S.C. 501, 503; Department of Homeland Security Delegations No. 0160.1(II)(B)(1), 0170.1(II)(23).



Note:

For the text of waivers of navigation and vessel inspection laws and regulations, see Part 19 of this chapter.

§ 50.1 Establishment and duties of Board.

(a) A Retiring Review Board, referred to in this part as the Board, is hereby established in the Coast Guard.


(b) It will be the duty of the Board to review, at the request of any Coast Guard member or former member retired or released to inactive service, without pay, for physical disability, pursuant to the decision of a retiring board, the findings and decision of the retiring board. The term “retired or released to inactive service” includes every kind of separation from the service.


(c) After reviewing the findings and decision of a retiring board the Board will affirm or reverse, in whole or in part, the findings and decision of the retiring board.


(d) In carrying out its duties the Board shall have the same powers as exercised by, or vested in, the retiring board whose findings and decision are being reviewed.


[10 FR 5650, May 17, 1945, as amended by USCG-2015-0433, 80 FR 44278, July 27, 2015]


§ 50.2 Composition of Board.

(a) The Board will be composed of five commissioned officers designated for each case from a panel appointed by the Commandant. The senior Coast Guard members of the panel will designate the members of the Board for each case, three of whom shall be officers of the Coast Guard and two of whom shall be officers of the Public Health Service.


(b) The senior Coast Guard member of the Board will be President and the junior Coast Guard member will be Recorder.


(c) The Board will convene at the time and place designated by the President for each case, and will recess and adjourn at his order.


[10 FR 5650, May 17, 1945. Redesignated at 13 FR 7303, Nov. 30, 1948, as amended by CGFR 53-12, 18 FR 2953, May 22, 1953]


§ 50.3 Request for review.

(a) Any member or former member of the Coast Guard who is retired or released to inactive service, without pay, for a physical disability, pursuant to the decision of a Coast Guard retiring board, may request a review of the findings and decision of the retiring board.


(b) An application requesting a review must be in writing and shall be addressed to the Retiring Review Board, Coast Guard Headquarters, Washington D.C. 20226. Forms for application for review will be provided upon request.


(c) An application requesting a review shall contain:


(1) The full name of the applicant;


(2) The mailing address of the applicant;


(3) A brief statement setting out the basis of the request for review, showing in general the nature of error or inequity believed to have occurred in the findings and decision of the retiring board;


(4) The corrective action requested;


(5) Whether the applicant desires to appear before the Board in person;


(6) Whether the applicant will be represented by counsel, and if so, the name and address of counsel.


(d) No request for review shall be valid, and the Board will not consider an application, unless filed within fifteen years after the date of retirement for disability, or after the effective date of the act of June 22, 1944, whichever is the later.


[10 FR 5650, May 17, 1945. Redesignated at 13 FR 7303, Nov. 30, 1948, as amended by USCG-2015-0433, 80 FR 44279, July 27, 2015]


§ 50.4 Presentation of case.

(a) The applicant may present his case:


(1) Solely by written application, or by written application together with any additional written evidence or argument that he may desire to submit;


(2) At a hearing before the Board.


(b) The case of an applicant may be presented by his counsel. The term “counsel” includes members of the bar in good standing, accredited representatives of veterans’ organizations recognized by the Veterans’ Administration under section 200 of the act of June 29, 1936 (49 Stat. 2031, 38 U. S. C. 101), and any other person approved by the Board.


(c) If an applicant signifies a desire to present his case at a hearing, the Board will give him written notice of the place of his hearing, and of the time, which shall be at least thirty days after the time of mailing the notice.


(d) The Board may, upon its own motion or at the request of the applicant or his counsel, grant a continuance whenever it appears necessary, in the judgment of the Board, in order to insure a thorough, complete and equitable hearing.


(e) The case of any applicant who fails to appear, either in person or by counsel, after being duly notified of the time and place of the hearing will be decided upon the written application and such other evidence as is available to the Board.


(f) As far as practicable the hearings of the Board will be conducted in accordance with the pertinent instructions contained in Coast Guard Boards, 1935, as amended, except that:


(1) Physical examination of the applicant is not mandatory, but the Board may request that he submit to physical examination by physicians of the Board’s choice in any case in which it appears to the satisfaction of the Board to be essential;


(2) The medical members of the Board will not submit a report and will not be subject to examination.


(g) Evidence may be submitted to the Board by oral testimony under oath, or in the form of depositions or affidavits. Witnesses appearing before the Board will be subject to examination or cross-examination, as the case may be, by members of the Board and the applicant or his counsel.


(h) The Board will consider all available service records and all matter adduced by the applicant that bears upon the merits of the case. It will not be restricted by the rules of evidence.


(i) Classified matter of the Coast Guard will not be made available to an applicant or his counsel. The Board will, when it deems it necessary in the interest of justice and compatible with the public interest, make available a summary of relevant classified matter.


(j) The Government will not assume or pay any expenses incurred by an applicant, or by his witnesses or counsel.


[10 FR 5650, May 17, 1945. Redesignated at 13 FR 7303, Nov. 30, 1948]


§ 50.5 Action by the Board.

(a) After a complete and thorough review of the evidence before it the Board will, in closed session, deliberate and make its decision affirming or reversing the findings and decision of the retiring board being reviewed.


(b) If the Board reverses the findings of the retiring board being reviewed, it will make complete findings, including:


(1) Whether the applicant was incapacitated for active service;


(2) If so, the disability causing the incapacity;


(3) Whether the incapacity is permanent;


(4) Whether the incapacity was the result of an incident of service or incurred in the line of duty;


(5) Whether the incapacity was the result of the applicant’s own vicious habits;


(6) In the case of a member or former member who was in the Reserve or who served under a temporary appointment, when the physical disability was incurred.


(c) The findings and decision of a majority of the Board will constitute the findings and decision of the Board Members who do not concur with the majority may file a minority report.


(d) When the Board has concluded its proceedings in any case the Recorder will prepare a complete record thereof including (1) the application for review (2) a transcript of the hearing, if any (3) affidavits, briefs, and written agreements filed in the case, (4) the findings and decision of the Board, and (5) all other papers and documents necessary to reflect a true and complete record of the proceedings. This complete record will be transmitted to the Commandant for appropriate action.


[10 FR 5650, May 17, 1945. Redesignated at 13 FR 7303, Nov. 30, 1948, and amended at CGFR 53-12, 18 FR 2953, May 22, 1953; USCG-2015-0433, 80 FR 44279, July 27, 2015]


§ 50.6 Notification of final action.

The member or former member requesting the interview will be notified by letter of the final action taken in the case.


[CGFR 48-73, 13 FR 9333, Dec. 31, 1948, as amended by USCG-2015-0433, 80 FR 44279, July 27, 2015]


PART 51 – COAST GUARD DISCHARGE REVIEW BOARD


Authority:10 U.S.C. 1553; 14 U.S.C. 501, 503; Department of Homeland Security Delegations No. 0160.1(II)(B)(1), 0170.1(II)(23).



Source:CGD 81-104, 50 FR 41495, Oct. 11, 1985, unless otherwise noted.

§ 51.1 Basis and purpose.

This part establishes the procedures for review of administrative discharges from the Coast Guard by a Discharge Review Board (DRB) or by the Secretary of the Department, and for the compilation of the record of the DRB determination, made available for public inspection, copying and distribution through the Armed Forces Discharge Review/Correction Board Reading Room.


§ 51.2 Authority.

(a) The Secretary of Homeland Security has the authority to establish a Discharge Review Board (DRB) to review the discharge of a former member of the United States Coast Guard under the provisions of 10 U.S.C. 1553. This part prescribes the establishment and outlines the procedures of the Coast Guard Discharge Review Board. The Secretary retains the authority to review and take final action on the DRB’s findings in the following cases:


(1) Those cases in which a minority of the board requests that their written opinion be forwarded to the Secretary for consideration;


(2) Those cases selected by the Commandant to inform the Secretary of aspects of the board’s functions which may be of interest to the Secretary;


(3) Any case in which the Secretary demonstrates an interest;


(4) Any case which the President of the board believes is of significant interest to the Secretary.


(b) The Commandant of the Coast Guard is delegated the authority to:


(1) Appoint members to serve on the Discharge Review Board;


(2) Appoint alternates to serve on the DRB in the event that a regularly appointed member is unavailable;


(3) Designate a member as the President of the DRB; and


(4) Review and take final action on all DRB decisions which are not reviewed by the Secretary.


[CGD 81-104, 50 FR 41495, Oct. 11, 1985, as amended by CGD 97-023, 62 FR 33362, June 19, 1997; USCG-2003-14505, 68 FR 9535, Feb. 28, 2003]


§ 51.3 Applicability and scope.

The provisions of this part apply to the United States Coast Guard including reserve-components and all former members who have been discharged within 15 years of the date upon which application for review is received by the DRB. A former member may apply to the DRB for a change in the character of, and/or the reason for, the discharge. The Coast Guard DRB review is generally applicable only to administrative discharges, however, the DRB may review the discharge of a former member by sentence of a court-martial for the purpose of clemency. A petition for clemency will not be considered by the DRB unless the applicant has exhausted all appellate remedies. Upon a petition for clemency, the DRB shall consider only the equity of the discharge awarded.


§ 51.4 Definitions.

Applicant. A former member of the Coast Guard who has been discharged from the service but excluding those discharged by sentence of a court-martial, except as provided in § 51.3. If the former member is deceased or incompetent, the term “applicant” includes the surviving spouse, next-of-kin, or legal representative who is acting on behalf of the former member.


Counsel. An individual or agency designated by the applicant who agrees to represent the applicant in a case before the DRB. It includes, but is not limited to: A lawyer who is a member of the bar of a federal court or of the highest court of a state; an accredited representative designated by an organization recognized by the Administrator of Veterans Affairs; a representative from a state agency concerned with veterans affairs; or a representative from private organizations or local government agencies.


Discharge. Any formal separation of a member from the Coast Guard which is not termed “honorable”, including dismissals and “dropping from the rolls”. This term also includes the assignment of a separation program designator, separation authority, the stated reason for the discharge, and the characterization of service.


Discharge Review. The process by which the reason for separation, the procedures followed in accomplishing separation, and the characterization of service are evaluated. This includes determinations made under the provisions of 38 U.S.C. 3103(e)(2).


Discharge Review Board. A board consisting of five members of the U.S. Coast Guard, appointed by the Commandant of the Coast Guard and vested with the authority to review the discharge of a former member. The board is empowered to change a discharge or issue a new discharge to reflect its findings, subject to review by the Commandant or the Secretary.


Hearing. A proceeding which, upon request of the applicant, is utilized in the discharge review process enabling the applicant and/or the applicant’s representative to appear before the DRB and present evidence.


President. An officer of the United States Coast Guard appointed by the Commandant as President to preside over the DRB. The President will convene the board and may also serve as a member. If the President does not serve as a member of the DRB, the President shall designate a presiding officer for the board to serve as President.


[CGD 81-104, 50 FR 41495, Oct. 11, 1985, as amended by CGD 96-026, 61 FR 33663, June 28, 1996]


§ 51.5 Objective of review.

The objective of the discharge review is to examine the propriety and equity of the applicant’s discharge and to effect changes if necessary. The DRB will utilize its discretion to reach a fair and just resolution of the applicant’s claim. The standards of review and the underlying factors which aid in determining whether the standards are met shall be historically consistent with criteria for determining honorable service. No factors shall be established which require automatic change, or denial of change, in a discharge.


§ 51.6 Propriety standard of review.

A discharge is deemed to be proper except that:


(a) A discharge may be improper if an error of fact, law, procedure, or discretion was associated with the discharge at the time of issuance which prejudiced the rights of the applicant.


(b) A discharge may be improper if there has been a change in policy by the Coast Guard made expressly retroactive to the type of discharge under consideration.


§ 51.7 Equity standard of review.

(a) A discharge is presumed to be equitable and will not be changed under this section unless the applicant submits evidence sufficient to establish, to the satisfaction of the DRB that:


(1) The policies and procedures under which the applicant was discharged differ in material respects from policies and procedures currently applicable on a service-wide basis to discharges of that type, provided that current policies or procedures represent a substantial enhancement of the rights afforded a party in such proceedings, and there is substantial doubt that the applicant would have received the same discharge if relevant current policies and procedures had been available to the applicant at the time of the discharge proceedings under consideration; or


(2) At the time of issuance, the discharge was inconsistent with standards of discipline in the Coast Guard; or


(3) The applicant’s military record and other evidence presented to the DRB, viewed in conjunction with the factors listed in § 51.8 and the regulations under which the applicant was discharged, do not fairly justify the type of discharge received.


(b) If the applicant was discharged with a characterized discharge before June 15, 1983, a change from the characterized discharge to an uncharacterized discharge will not be considered under the provisions of (a)(1) of this section unless specifically requested by the applicant. A determination that a discharge is inequitable according to the provisions of (a)(2) or (a)(3) of this section shall entitle the applicant to a discharge of a type to which the applicant was entitled at the time the original discharge was issued.


§ 51.8 Relevant considerations.

In determining the equity and propriety of a former member’s discharge, the DRB shall consider all relevant evidence presented by the applicant. The DRB review will include, but is not limited to, consideration of the following factors:


(a) The quality of the applicant’s service. In determining the quality of the applicant’s service, the DRB may consider the applicant’s dates and periods of service; rate or rank achieved; marks and evaluations received; awards, decorations and letters of commendation; acts of merit; combat service and wounds received; promotions and demotions; prior military service and type of discharge; records of unauthorized absence; records of non-judicial punishment; convictions by court-martial; records of conviction by civil authorities while a member of the Coast Guard; and any other relevant information respecting the applicant which is brought to the board’s attention.


(b) The applicant’s capability to serve. In determining the applicant’s capability to serve, the DRB considers such factors as the applicant’s age and education; qualification for reenlistment; capability to adjust to military service; and family or personal problems.


(c) Any evidence of arbitrary, capricious or discriminatory actions by individuals in authority over the applicant.


(d) Any other information respecting the applicant considered by the DRB to be relevant and material to the review of the applicant’s discharge.


§ 51.9 Discharge review procedures.

(a) Preliminary. Prior to a review, applicants or their representatives may obtain copies of military records by submitting a Standard Form 180, Request Pertaining to Military Records, to the National Personnel Records Center (NPRC), 9799 Page Boulevard, St. Louis, MO. 72132. The request to the NPRC should be submitted prior to submitting the application for review, so that relevant information from the record can be included with the application.


(b) Initiation of review. Review may be initiated by an applicant or by the DRB. The applicant may apply for DRB review of discharge by submitting DD Form 293, Application for Review of Discharge or Separation from the Armed Forces of the United States, along with any other statements, affidavits or documentation desired by the applicant. The application must be received by the DRB within fifteen (15) years of the date of the discharge. The application form can be obtained, along with explanatory matter, from Commandant (CG-12), Attn: Personnel Management Directorate, U.S. Coast Guard Stop 7907, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7907, any regional VA office, or by writing to the Armed Forces Review/Correction Board Reading Room, Pentagon Concourse, Washington, DC 20310.


(c) Notice. (1) The DRB will provide notification advising the former member of –


(i) Receipt of the applicant’s request;


(ii) The right to appear before the board in person or by counsel; and


(iii) The date of review.


If the former member is deceased, written notice of DRB review will be sent to the surviving spouse, next of kin or legal representative of the former member. If the review is initiated by the DRB, notification will be sent to the last known address of the former member.

(2) Prior to the initiation of the decision process, the DRB will notify the former member of the date by which requests to examine the documents to be considered by the board must be received. This notice will also state the date by which a request for a hearing must be made and the deadline for filing responses to the board.


(3) An applicant who requests a hearing will be notified of the time and place of the hearing. All expenses incurred by the applicant in DRB proceedings and hearings are the sole responsibility of the applicant and are not obligations of the U.S. Coast Guard or the Department of Transportation. If the applicant fails to appear, except as provided in § 51.9(f), the DRB will review the discharge and reach a decision based upon the evidence of record.


(d) Withdrawal of application. An applicant may withdraw an application without prejudice at any time before the scheduled review. An application which is withdrawn will not stay the running of the 15 year statutory limitation imposed on the authority of the DRB to review the discharge.


(e) The DRB will consider the records and other data submitted by the applicant. The DRB may consider other probative evidence provided that all materials relied on by the DRB, except classified documents, are made available to the applicant and applicant’s representative prior to the hearing date (or review date if no hearing is requested). The DRB shall not consider a classified document in the review of a discharge unless a summary of, or extract from, the document (deleting all reference to sources of information and other matters, the disclosure of which would, in the opinion of the classifying authority, be detrimental to the security interests of the United States) is made available to the applicant.


(f) Postponement of review or hearing. At any time before the date of scheduled review or hearing, an applicant may be granted a continuance, provided the applicant or the applicant’s counsel makes a written request for additional time to the DRB which shows good cause to justify the postponement.


(g) Hearing procedures. The following procedures apply to DRB hearings:


(1) DRB hearings are not public. Presence at hearings is limited to persons authorized by the Commandant or expressly requested by the applicant, subject to reasonable limitations based upon available space.


(2) The Federal Rules of Evidence are not applicable to DRB proceedings. The presiding officer rules on matters of procedure and ensures that reasonable bounds of relevancy and materiality are adhered to in the taking of evidence.


(3) An applicant is permitted to make a sworn or unsworn statement. Witness testimony will only be taken under oath or affirmation. An applicant or witness who makes a statement may be questioned by the DRB.


(4) An applicant may make oral or written argument personally or through his or her representative.


(h) Reconsideration. The decision of the DRB may not be reconsidered unless –


(1) The only previous consideration of the case was on the motion of the DRB;


(2) Changes in discharge policy occur; or


(3) New, substantial, relevant evidence, not available to the applicant at the time of the original review, is submitted to the DRB.


[CGD 81-104, 50 FR 41495, Oct. 11, 1985, as amended by CGD 96-026, 61 FR 33663, June 28, 1996; USCG-2010-0351, 75 FR 36281, June 25, 2010; USCG-2014-0410, 79 FR 38431, July 7, 2014]


§ 51.10 Decisions.

(a) The DRB will make written findings and conclusions with respect to all disputed facts and issues. The decision of the DRB is governed by the vote of a majority of the board.


(b) A decision document is prepared for each review conducted by the DRB. This document contains –


(1) The date, character of, and reason for the discharge including the specific authority under which the discharge was issued;


(2) The specific change(s) requested by the applicant;


(3) A list of the issues raised by the applicant;


(4) The circumstances and character of the applicant’s service, as extracted from the service record, health record and other evidence presented to the DRB;


(5) References to documentary evidence, testimony or other material relied on by the DRB in support of its decision;


(6) A statement of the DRB’s findings with respect to each issue raised by the applicant;


(7) A summary of the rationale and a statement of the DRB’s conclusions as to whether any change, correction or modification should be made in the type or character of the discharge or the reason and authority for the discharge; and


(8) A statement of the particular changes, correction, or modification made by the DRB.


§ 51.11 Records.

(a) The record of the discharge review will include –


(1) The application for review;


(2) A summarized record of the testimony and a summary of evidence considered by the DRB other than information contained in the service records;


(3) Briefs or written arguments submitted by or on behalf of the applicant;


(4) The decision of the DRB;


(5) Advisory opinions relief upon for the final action; and


(6) The final action on the DRB decision by the Commandant or Secretary.


(b) The record of the discharge review is incorporated into the service record of the applicant.


(c) A copy of the decision of the DRB and the final action thereon is made available for public inspection and copying promptly after a notice of the final decision is sent to the applicant. However, to the extent required for the protection of privacy rights, identifying details of the applicant and other persons are deleted from the public record.


(1) DRB documents made available for public inspection and copying are located in the Armed Forces Discharge Review/Correction Board Reading Room. The documents are indexed so as to enable the public to determine why relief was granted or denied. The index includes the case number, the date, character of, reason for, and authority for the discharge and is maintained at Coast Guard Headquarters and the Armed Forces Reading Room. The Armed Forces Discharge Review/Correction Board Reading Room publishes indexes quarterly for all boards.


(2) Correspondence relating to matters under the cognizance of the Reading Room (including requests for purchase of indexes) should be addressed to: Armed Forces Discharge Review/Correction Board Reading Room, The Pentagon Concourse, Washington, DC 20310.


PART 52 – BOARD FOR CORRECTION OF MILITARY RECORDS OF THE COAST GUARD


Authority:10 U.S.C. 1552; 14 U.S.C. 501, 503; Department of Homeland Security Delegations No. 0160.1(II)(B)(1), 0170.1(II)(23).



Source:OST Doc. No. 2002-13439, 68 FR 9886, Mar. 3, 2003, unless otherwise noted.

Subpart A – Purpose and Authority

§ 52.1 Purpose.

This part establishes the procedure for application for correction of military records of the Coast Guard, for consideration of applications by the Department of Homeland Security Board for Correction of Military Records of the Coast Guard (hereinafter “the Board”), and for settling claims or determining monetary benefits.


[OST Doc. No. 2002-13439, 68 FR 9886, Mar. 3, 2003, as amended by USCG-2003-15404, 68 FR 37740, June 25, 2003]


§ 52.2 Authority.

(a) The Secretary of Homeland Security, acting through boards of civilians, is authorized to correct any military record of the Coast Guard when the Secretary considers it necessary to correct an error or remove an injustice. 10 U.S.C. 1552. The Secretary shall ensure that final action on a complete application for correction is taken within 10 months of its receipt.


(14 U.S.C. 2507)

(b) Corrections made under this authority are final and conclusive on all officers of the Government except when procured by fraud. 10 U.S.C. 1552(a)(4).


[OST Doc. No. 2002-13439, 68 FR 9886, Mar. 3, 2003, as amended by USCG-2003-15404, 68 FR 37740, June 25, 2003; USCG-2020-0304, 85 FR 58277, Sept. 18, 2020]


Subpart B – Establishment, Function, and Jurisdiction of Board

§ 52.11 Establishment and composition.

(a) Pursuant to 10 U.S.C. 1552, the Board for Correction of Military Records of the Coast Guard is established in the Office of the Secretary of Homeland Security.


(b) The Secretary appoints a panel of civilian officers or employees of the Department of Homeland Security to serve as members of the Board, and designates one such member to serve as Chair of the Board. The Chair designates members from this panel to serve as the Board for each case requiring consideration by a Board. The Board consists of three members, and two members present constitute a quorum of the Board.


(c) The Deputy Chair of the Board exercises the functions prescribed by these regulations and such other duties as may be assigned by the Chair.


[OST Doc. No. 2002-13439, 68 FR 9886, Mar. 3, 2003, as amended by USCG-2003-15404, 68 FR 37740, June 25, 2003]


§ 52.12 Function.

The function of the Board is to consider all applications properly before it, together with all pertinent military records and any submission received from the Coast Guard or other Government office under subpart E, to determine:


(a) Whether an error has been made in the applicant’s Coast Guard military record, whether the applicant has suffered an error or injustice as the result of an omission or commission in his or her record, or whether the applicant has suffered some manifest injustice in the treatment accorded him or her; and


(b) Whether the Board finds it necessary to change a military record to correct an error or remove an injustice.


§ 52.13 Jurisdiction.

(a) The Board has jurisdiction to review and determine all matters properly brought before it, consistent with existing law and such directives as may be issued by the Secretary.


(b) No application shall be considered by the Board until the applicant has exhausted all effective administrative remedies afforded under existing law or regulations, and such legal remedies as the Board may determine are practical, appropriate, and available to the applicant.


Subpart C – General Provisions Regarding Applications

§ 52.21 General requirements.

(a) An application for correction of a Coast Guard record shall be submitted on DD Form 149 (Application for Correction of Military or Naval Record) or an exact copy thereof, and shall be addressed to: DHS Office of the General Counsel, Board for Correction of Military Records, 2707 Martin Luther King Jr. Avenue SE, Stop 0485, Washington, DC 20528-0485. Forms and explanatory material may be obtained from the Chair of the Board.


(b) The application shall be signed by the person alleging error or injustice in his or her military record, except that an application may be signed by a family member or legal representative with respect to the record of a deceased, incapacitated, or missing person. The family member or legal representative must submit proof of his or her proper interest with the application.


(c) No application shall be docketed or processed until it is complete. An application for relief is complete when all of the following have been received by the Board:


(1) A signed DD Form 149, providing all necessary responses, including a specific allegation of error or injustice, accompanied by substantial evidence or information in support of such allegation;


(2) The military records of the applicant; and


(3) Any applicable military and Department of Veterans Affairs medical records.


(d) It is the applicant’s responsibility to include his or her correct mailing address on the DD Form 149 and to inform the Chair in writing of any subsequent change of address until the Board or the Secretary takes final action on the application.


(e) Briefs in support of applications must be assembled in a manner that permits easy reproduction and may not exceed twenty-five double-spaced typewritten pages in a type size with no more than twelve characters per inch. This limitation does not apply to supporting documentary evidence. In complex cases, the Chair may waive this limitation.


[OST Doc. No. 2002-13439, 68 FR 9886, Mar. 3, 2003, as amended by USCG-2014-0410, 79 FR 38431, July 7, 2014; USCG-2019-0929, 84 FR 68343, Dec. 16, 2019]


§ 52.22 Time limit for filing application.

An application for correction of a record must be filed within three years after the applicant discovered or reasonably should have discovered the alleged error or injustice. If an application is untimely, the applicant shall set forth reasons in the application why it is in the interest of justice for the Board to consider the application. An untimely application shall be denied unless the Board finds that sufficient evidence has been presented to warrant a finding that it would be in the interest of justice to excuse the failure to file timely.


§ 52.23 Counsel.

(a) Applicants may be represented by counsel at their own expense. Applicants whose cases are processed under the Whistleblower Protection Act and who are granted a hearing by the Board may be entitled to representation by a Coast Guard law specialist. 10 U.S.C. 1034(f)(3)(A).


(b) As used in this part, the term “counsel” includes attorneys who are members in good standing of any bar; accredited representatives of veterans’ organizations recognized by the Secretary of Veterans Affairs pursuant to 38 U.S.C. 5902; and other persons who, in the opinion of the Chair, are competent to represent the applicant for correction. Whenever the term “applicant” is used in these rules, except in § 52.21(c), the term shall mean an applicant or his or her counsel.


§ 52.24 Evidence and burden of proof.

(a) It is the responsibility of the applicant to procure and submit with his or her application such evidence, including official records, as the applicant desires to present in support of his or her case. All such evidence should be submitted with the applicant’s DD Form 149 in accordance with § 52.21(c)(1). Evidence submitted by an applicant after an application has been filed and docketed shall be considered late and its acceptance is subject to the provisions in § 52.26(a)(4) and (c).


(b) The Board begins its consideration of each case presuming administrative regularity on the part of Coast Guard and other Government officials. The applicant has the burden of proving the existence of an error or injustice by the preponderance of the evidence.


§ 52.25 Access to official records.

The applicant shall have such access to official records or to any information pertaining to the applicant which is in the custody of the Coast Guard as is provided in 49 CFR parts 7 and 10.


§ 52.26 Right to timely decision; effect of requests for extensions, changes in requests for relief, and late submissions of evidence.

(a) Each applicant has a right to have final action taken on his or her application within 10 months after all the elements of a complete application, as defined in § 52.21(c), have been received by the Board, unless the applicant:


(1) Submits a written request, which is granted by the Chair, for an extension of a specific duration to seek counsel or additional evidence;


(2) Submits a written request, which is granted by the Chair, for an extension of the time provided for responding to the views of the Coast Guard in accordance with § 52.42(d);


(3) Submits a signed statement that is determined by the Chair to significantly amend the applicant’s request for relief after the application has been docketed;


(4) Submits significant new evidence, as determined by the Chair, after the application has been docketed; or


(5) Is found by the Chair to have unreasonably delayed responding to a request for further information or evidence.


(b) If the applicant requests an extension in accordance with paragraphs (a)(1) or (a)(2) of this section or unreasonably delays responding to a request for further information or evidence in accordance with paragraph (a)(5) of this section, he or she shall have a right to have final action taken on the application for correction within 10 months of the application’s completion plus all periods of extension granted to the applicant by the Chair and all periods of unreasonable delay.


(c) If the applicant significantly amends his or her request for relief or submits significant new evidence after the application has been docketed, in accordance with paragraphs (a)(3) or (a)(4) of this section, the application shall be considered newly complete as of the date the amended request for relief or new evidence is received, in which case the applicant shall have a right to have final action taken on the application within 10 months of the date the Board receives the amended request for relief or significant new evidence.


§ 52.27 Withdrawal of application.

The Chair may, at his or her discretion, permit the applicant to withdraw his or her application at any time before final action is taken under § 52.64. Any further consideration by the Board of the issues raised in the withdrawn application shall occur only upon the filing of a new application.


§ 52.28 Stay of proceedings.

An application to the Board for correction of a military record does not operate as a stay of any proceeding or administrative action taken with respect to or affecting the applicant.


Subpart D – Consideration of Application and Administrative Closure

§ 52.31 Consideration of application.

Each application shall be reviewed by the Chair to determine whether it meets the requirements of § 52.21 before it is docketed. The Chair shall decide in appropriate cases whether to grant a hearing or to recommend disposition on the merits without a hearing.


§ 52.32 Administrative closure.

(a) The Chair may administratively close a case after it has been docketed and at any time prior to its consideration by the Board if the Chair determines that:


(1) The application was erroneously docketed because the application did not meet the criteria under § 52.21;


(2) Effective relief cannot be granted by the Board;


(3) The Board does not have jurisdiction to determine the issues presented or the applicant has not exhausted an available administrative remedy, as required under § 52.13(b); or


(4) The Coast Guard has granted effective relief satisfactory to the applicant.


(b) Administrative closure does not constitute a denial of relief. Applicants who believe their cases should not have been administratively closed by the Chair may resubmit their applications with a request for further consideration and a statement explaining why the applicant believes his or her case should be docketed and considered by the Board. A request for further consideration shall be regarded as a new application for the purposes of §§ 52.21 and 52.26.


(c) If the Chair administratively closes a case, the applicant shall be advised of the reason and of the right to resubmit his or her application.


Subpart E – Submissions by the Coast Guard and Other Offices

§ 52.41 Assistance.

The Board may request such advice, opinion, assistance, or use of the facilities of any other bureau, board, or office of the Department of Transportation as the Board deems necessary.


§ 52.42 Views of the Coast Guard.

(a) The Board shall transmit to the Commandant of the Coast Guard or his or her delegate a copy of each application for relief submitted and docketed under subpart C of this part, together with any briefs, memoranda, and documentary evidence submitted or obtained in the case.


(b) The Commandant of the Coast Guard or his or her delegate may forward to the Board a written advisory opinion presenting the views of the Coast Guard on any case before the Board.


(c) An advisory opinion furnished by the Coast Guard under this section shall not be binding upon the Board, but shall be considered by the Board, along with all other information and material submitted in the particular case, if it is received by the Board within 135 days of the date the application is complete. The Chair may, in his or her discretion, grant the Coast Guard an extension of the time provided for submitting the advisory opinion.


(d) The Board shall promptly send a copy of each submission made by the Coast Guard under this section to the applicant involved, subject to the limitations in §§ 52.42(c) and 52.43(c). Each applicant has 30 days, from the date the Board sends the submission, to submit to the Board a written rebuttal or response to the Coast Guard’s advisory opinion or a written request for an extension of the time to respond, subject to the provisions in § 52.26.


(e) Advisory opinions submitted by the Coast Guard and briefs submitted by applicants in response to the advisory opinions of the Coast Guard must be assembled in a manner that permits easy reproduction and may not exceed fifteen double-spaced typewritten pages in a type size with no more than twelve characters per inch. This limitation does not apply to supporting documentary evidence. In complex cases, the Chair may waive this limitation.


§ 52.43 Requests for further information; submissions of classified, privileged, and sensitive information.

(a) The Chair or the Board may ask the applicant to submit additional information not included in the application or response to the advisory opinion.


(b) The Chair or the Board may ask the Coast Guard or other Government office to submit any information, including reports of investigations, that the Chair or the Board deems relevant to an applicant’s case.


(c) Whenever the Coast Guard or other Government office submits classified, privileged, or sensitive information to the Board in accordance with paragraph (b) of this section or § 52.42(b), it shall identify such information and also provide the Board with a copy of that part of the information that would be released to the applicant by the Coast Guard or other Government office if he or she requested it under 49 CFR parts 7 and 10. The Board shall forward only this redacted copy to the applicant.


Subpart F – Hearings

§ 52.51 General provision.

In each case in which the Chair determines that a hearing is warranted, the applicant will be entitled to be heard orally in person, by counsel, or in person with counsel.


§ 52.52 Notice of hearing.

(a) If the Chair determines that a hearing is warranted, the Chair shall notify the applicant that a hearing has been granted.


(b) The date of hearing shall be not less than 21 days from the date of this notification. Written notice stating the date, time, and place of the hearing shall be given to the applicant and the Coast Guard.


§ 52.53 Witnesses.

(a) In any case in which the Chair has granted a hearing, the applicant shall have the right to present witnesses.


(b) It is the responsibility of the applicant to notify his or her witnesses and to ensure their appearance at the date, time, and place set for the hearing.


§ 52.54 Expenses.

No expenses of any nature whatsoever incurred by an applicant, his or her counsel, witnesses, or others acting on behalf of the applicant shall be paid by the Government, except that an applicant may be entitled to representation by a Coast Guard law specialist if the case has been processed under the Whistleblower Protection Act. 10 U.S.C. 1034(f)(3)(A).


§ 52.55 Nonappearance.

An applicant who fails without good cause to appear in person or by counsel at the appointed date, time, and place for hearing, is deemed to have waived the right to a hearing. The application is then considered by the Board on the basis of all the material of record.


§ 52.56 Conduct of hearing.

(a) The Chair or the Chair’s designee shall conduct a hearing so as to ensure a full and fair presentation of the evidence.


(b) The hearing is not limited by legal rules of evidence, but reasonable standards of competency, relevancy, and materiality are observed for the receipt and consideration of evidence.


(c) All testimony shall be given under oath or affirmation.


§ 52.57 Record of hearing.

A hearing pursuant to this subpart in open session shall be recorded verbatim and, at the discretion of the Board or direction of the Secretary, shall be transcribed.


Subpart G – Judgment and Disposition

§ 52.61 Deliberations and decision.

(a) The Board is convened at the call of the Chair and its meetings are recessed or adjourned by order of the Chair. Only members of the Board and its staff may be present during the deliberations of the Board. The Board’s deliberations are conducted in executive session and are not reported.


(b) When the Board finds that the facts have not been fully and fairly disclosed by the records, testimony, and any other evidence before the Board, the Board may request the applicant and/or the Coast Guard to obtain and submit such further evidence as it considers essential to a complete and impartial understanding of the facts and issues.


(c) Following the receipt of all evidence, the Chair shall cause to be prepared and shall submit to the Board for its consideration a draft decision containing proposed findings and conclusions and a proposed order. A majority vote of the members of the Board present at a meeting on any matter relating to a draft decision before the Board shall constitute the action of the Board. If a draft decision is approved by the Board, it shall become a decision of the Board.


(d) The decision of the Board shall specify any change, correction, or modification of records to be made by the Coast Guard, and any other action deemed necessary to provide full and effective relief, which may include directing the Coast Guard to convene medical boards.


(e) If the Board deems it necessary to submit a comment or recommendation to the Secretary as to a matter arising from, but not directly related to, the issues in a case, it does so by separate communication.


§ 52.62 Minority report.

In case of disagreement among Board members, a minority report may be submitted dissenting from or concurring with the decision of the Board.


§ 52.63 Record of proceedings.

(a) The Board shall prepare a complete record of each proceeding. The record shall include the application for relief; the written views of the Coast Guard, if any; any transcript of testimony; affidavits and documents considered by the Board; briefs and written arguments filed in the case; the findings, decisions, and recommendations of the Board; minority reports, if any; and all other materials necessary to reflect a true and complete history of the proceedings.


(b) After final action has been taken on an application in accordance with § 52.64, any classified, privileged, or sensitive information in the record of proceedings that has been provided by the Coast Guard or another Government office in accordance with §§ 52.42 or 52.43 shall be returned by the Board to the office from which it was received. Only a copy of the information provided by the Coast Guard or other Government office for release to the applicant in accordance with § 52.43(c) shall be retained in the permanent record of proceedings after final action is taken.


§ 52.64 Final action.

(a) The Board, provided that it acts unanimously, may take final action on behalf of the Secretary, pursuant to 10 U.S.C. 1552, as follows:


(1) The Board may deny an application for the correction of military records.


(2) Unless the Coast Guard, in submitting its views pursuant to § 52.42(b), identifies and describes a significant issue of Coast Guard policy challenged in the application, the Board may approve an application for the correction of military records in any of the following categories:


(i) An application to correct an enlistment or reenlistment contract or agreement to extend an enlistment for the purpose of effecting or increasing entitlement to a Selective Reenlistment Bonus;


(ii) An application to modify an election to participate in the Survivor Benefit Plan;


(iii) An application to change a reenlistment eligibility code;


(iv) An application to correct the character of, or reason for, a discharge or separation; or


(v) An application to receive a medal or award.


(3) The Board may approve any application for correction of military records not included in one of the categories in paragraph (a)(2) of this section, if the Coast Guard recommends the same or substantially same relief as that requested by the applicant.


(b) Except in cases where the Board takes final action under paragraph (a) of this section, the Board shall forward the record of its proceedings to the Secretary, who may approve, disapprove, or concur in the decision of the Board or the minority report, if any, either in whole or in part, and amend the order of the Board accordingly, or return the case to the Board for additional consideration. After taking final action, the Secretary shall send any such statement and the record of proceedings to the Board for disposition.


§ 52.65 Orders.

(a) The Board shall issue such orders or directives as may be necessary to carry out a final action.


(b) The Board may ask the Coast Guard to submit a written report to the Board specifying the action taken and the date thereof with respect to any final action.


(c) Unless doing so is likely to nullify the relief granted, copies of the final decision shall be placed in the military record of the applicant.


§ 52.66 Notification.

After final action is taken under § 52.64, the Board shall send a copy of the final decision to the applicant. The applicant may inspect the permanent record of proceedings at Board offices.


§ 52.67 Reconsideration.

(a) Reconsideration of an application for correction of a military record shall occur if an applicant requests it and the request meets the requirements set forth in paragraph (a)(1) or (a)(2) of this section.


(1) An applicant presents evidence or information that was not previously considered by the Board and that could result in a determination other than that originally made. Such new evidence or information may only be considered if it could not have been presented to the Board prior to its original determination if the applicant had exercised reasonable diligence; or


(2) An applicant presents evidence or information that the Board, or the Secretary as the case may be, committed legal or factual error in the original determination that could have resulted in a determination other than that originally made.


(b) The Chair shall docket a request for reconsideration of a final decision if it meets the requirements of paragraph (a)(1) or (a)(2) of this section. If neither of these requirements is met, the Chair shall not docket such request.


(c) The Board shall consider each application for reconsideration that has been docketed. None of the Board members who served on the Board that considered an applicant’s original application for correction shall serve on the Board that decides the applicant’s application upon reconsideration.


(d) Action by the Board on a docketed application for reconsideration is subject to §§ 52.26 and 52.64(b).


(e) An applicant’s request for reconsideration must be filed within two years after the issuance of a final decision, except as otherwise required by law. If the Chair dockets an applicant’s request for reconsideration, the two-year requirement may be waived if the Board finds that it would be in the interest of justice to consider the request despite its untimeliness.


Subpart H – Payment of Claims and Implementation of Orders

§ 52.71 Authority to pay.

(a) The Coast Guard is authorized to pay the claims of any person as the result of any action heretofore or hereafter taken under 10 U.S.C. 1552.


(b) The Coast Guard is not authorized to pay any claim heretofore compensated by Congress through enactment of private law, or to pay any amount as compensation for any benefit to which the claimant might subsequently become entitled under the laws and regulations administered by the Secretary of Veterans Affairs.


§ 52.72 Implementation of orders.

(a) In each case the Board shall transmit a copy of its decision or the Secretary’s decision to the proper Coast Guard authority for determination of monetary benefits due, if any, as a result of the action of the Board and for corrections of the military record ordered by the Board.


(b) Upon request, the claimant is required to furnish to the Board or to the Coast Guard any information necessary to determine the proper parties to the claim for payment under applicable provisions of law.


(c) Appropriate records shall be examined in light of the Board’s decision to determine all amounts which may be due. Amounts found due are subject to setoff in the amount of any existing indebtedness to the Government arising from Coast Guard service and to other setoffs required by law or regulation.


(d) At the time of payment, the claimant shall be advised as to the nature and amount of the various benefits represented by the total settlement, and of the fact that acceptance of the settlement constitutes a complete release by the claimant of any claim against the United States on account of the correction of record ordered by the Board.


§ 52.73 Interpretation.

If the intent or import of the final decision is not clear to the Coast Guard, if the Coast Guard believes that executing all or part of the order in the final decision is beyond the Coast Guard’s authority, or if the Coast Guard believes that the order is incomplete because of an oversight, the final decision shall be returned to the Board for clarification or technical amendment.


§ 52.74 Report of settlement.

When payment is made pursuant to the order of the Board, the Board may request the Coast Guard to notify it of the name of any person to whom payment was made and of the amount of the payment.


Subpart I – Public Access to Decisions

§ 52.81 Reading room and index.

After deleting only so much personal information as is necessary to prevent an unwarranted invasion of privacy of the applicant or other persons mentioned in the final decision of the Board, a redacted copy of each final decision shall be indexed by subject and made available for review and copying at a public reading room. Final decisions created on or after November 1, 1996, shall be made available by electronic means. 5 U.S.C. 552.


PART 53 – COAST GUARD WHISTLEBLOWER PROTECTION


Authority:10 U.S.C. 1034; Pub. L. 100-456, 102 Stat. 1918; Pub. L. 101-225, 103 Stat. 1908; Pub. L. 107-296, 116 Stat. 2135.


Source:56 FR 13405, Apr. 2, 1991, unless otherwise noted.

§ 53.1 Purpose.

This part:


(a) Establishes policy and implements section 1034 of title 10 of the United States Code to provide protection against reprisal to members of the Coast Guard for making a protected communication to a Member of Congress; an Inspector General; a member of a Department of Defense or Department of Homeland Security audit, inspection, investigation, or law enforcement organization (e.g., the Coast Guard Investigative Service); any person or organization in the chain of command; and any other person or organization designated pursuant to regulations or other established administrative procedures for such communications.


(b) Assigns responsibilities and delegates authority for such protection and prescribes operating procedures.


[56 FR 13405, Apr. 2, 1991, as amended by USCG-2009-0239, 75 FR 79959, Dec. 21, 2010]


§ 53.3 Applicability.

This part applies to members of the United States Coast Guard, the Board for Correction of Military Records of the Coast Guard, and the Department of Homeland Security’s Office of the Inspector General.


[56 FR 13405, Apr. 2, 1991, as amended by USCG-2003-14505, 68 FR 9535, Feb. 28, 2003]


§ 53.5 Definitions.

As used in this part, the following terms shall have the meaning stated, except as otherwise provided:


Board for Correction of Military Records of the Coast Guard. The Department of Homeland Security Board for Correction of Military Records of the Coast Guard (Board) is empowered under 10 U.S.C. 1552 to make corrections of Coast Guard military records. The Board is part of the Office of the General Counsel in the Office of the Secretary of Homeland Security.


Chain of Command. The succession of commanding officers from a superior to a subordinate through which command is exercised; and the succession of officers, enlisted members, or civilian personnel through whom administrative control is exercised, including supervision and rating of performance.


Corrective Action. Any action deemed necessary to make the complainant whole, changes in agency regulations or practices, and/or administrative or disciplinary action against offending personnel, or referral to the U.S. Attorney General or courtmartial convening authority of any evidence of criminal violation.


Inspector General. The Inspector General in the Office of Inspector General of the Department of Homeland Security, or any other Inspector General, as appointed under the Inspector General Act of 1978.


Judge Advocate. A commissioned officer of the Coast Guard designated for the special duty of law.


Member of the Coast Guard. Any past or present Coast Guard uniformed personnel, officer or enlisted, regular or reserve. This definition includes cadets of the Coast Guard Academy.


Member of Congress. In addition to a Representative or a Senator, the term includes any Delegate or Resident Commissioner to Congress.


Personnel Action. Any action taken regarding a member of the Coast Guard that adversely affects or has the potential to adversely affect the member’s position or his or her career. Such actions include, but are not limited to, a disciplinary or other corrective action; a transfer or reassignment; a performance evaluation; or a decision concerning a promotion, pay, benefits, awards, or training.


Protected Communication. Any lawful communication to a Member of Congress or an Inspector General; or a communication in which a member of the Coast Guard communicates information that the member reasonably believes evidences a violation of law or regulation (including sexual harassment or discrimination), gross mismanagement, a gross waste of funds or other resources, an abuse of authority, or a substantial and specific danger to public health or safety, when such communication is made to any of the following: A Member of Congress; an Inspector General; a member of a Department of Defense or Department of Homeland Security audit, inspection, investigation, or law enforcement organization (e.g., the Coast Guard Investigative Service); any person or organization in the chain of command; and any other person or organization designated pursuant to regulations or other established administrative procedures to receive such communications.


Reprisal. Taking or threatening to take an unfavorable personnel action, or withholding or threatening to withhold a favorable personnel action, against a member of the Coast Guard for making or preparing to make a protected communication.


Secretary. The Secretary of Homeland Security or his or her delegate.


[56 FR 13405, Apr. 2, 1991, as amended by USCG-2003-14505, 68 FR 9535, Feb. 28, 2003; USCG-2009-0239, 75 FR 79959, Dec. 21, 2010]


§ 53.7 Requirements.

(a) No person within the Department of Homeland Security may restrict a member of the Coast Guard from lawfully communicating with a Member of Congress or an Inspector General.


(b) A member of the Coast Guard shall be free from reprisal for making or preparing to make a protected communication.


(c) Any employee or member of the Coast Guard who has the authority to take, direct others to take, or recommend or approve any personnel action shall not, under such authority, take, withhold, threaten to take, or threaten to withhold a personnel action regarding any member of the Coast Guard in reprisal for making or preparing to make a protected communication.


[56 FR 13405, Apr. 2, 1991, as amended by USCG-2003-14505, 68 FR 9535, Feb. 28, 2003; USCG-2009-0239, 75 FR 79959, Dec. 21, 2010]


§ 53.9 Responsibilities.

(a) The Inspector General, Department of Homeland Security shall:


(1) Expeditiously determine whether there is sufficient evidence to warrant an investigation of an allegation that a personnel action has been taken, withheld, or threatened in reprisal for making or preparing to make a protected communication. No investigation is required when such allegation is submitted more than 60 days after the Coast Guard member became aware of the personnel action that is the subject of the allegation.


(2) If such investigation is warranted, initiate a separate investigation of the information the Coast Guard member reasonably believes evidences wrongdoing if a prior investigation has not already been initiated, or if the prior investigation was biased or inadequate.


(3) Complete the investigation of the allegation of reprisal and issue a report not later than 180 days after receipt of the allegation, which shall include a thorough review of the facts and circumstances relevant to the allegation, the relevant documents acquired during the investigation, and summaries of interviews conducted. The Inspector General may forward a recommendation as to the disposition of the complaint.


(4) Submit a copy of the investigation report to the Secretary of the Department of Homeland Security and to the Coast Guard member making the allegation not later than 30 days after the completion of the investigation. In the copy of the report transmitted to the member, the Inspector General shall ensure the maximum disclosure of information possible, with the exception of information that is not required to be disclosed under 5 U.S.C. 552. However, the copy transmitted to the member need not contain summaries of interviews conducted, nor any document acquired, during the course of the investigation. Such items shall be transmitted to the member, if the member requests the items, with the copy of the report or after the transmittal to the member of the copy of the report, regardless of whether the request for those items is made before or after the copy of the report is transmitted to the member.


(5) If a determination is made that the report cannot be issued within 180 days of receipt of the allegation, notify the Secretary and the Coast Guard member making the allegation of the reasons why the report will not be submitted within that time, and state when the report will be submitted.


(6) At the request of the Board, submit a copy of the investigative report to the Board.


(b) The Board shall, in accordance with its regulations (33 CFR part 52):


(1) Consider under 10 U.S.C. 1552 and 33 CFR part 52 an application for the correction of records made by a Coast Guard member who has filed a timely complaint with the Inspector General alleging that a personnel action was taken in reprisal for making or preparing to make a protected communication. This may include oral argument, examining and cross-examining witnesses, taking depositions, and conducting an evidentiary hearing at the Board’s discretion.


(2) Review the report of any investigation by the Inspector General into the Coast Guard member’s allegation of reprisal.


(3) As deemed necessary, request the Inspector General to gather further evidence and issue a further report to the Board.


(4) Issue a final decision concerning the application for the correction of military records under this part not later than 180 days after receipt of a complete application.


(c) If the Board elects to hold an administrative hearing, the Coast Guard member may be represented by a Judge Advocate if:


(1) The Inspector General, in the report of the investigation, finds there is probable cause to believe that a personnel action was taken, withheld, or threatened in reprisal for the Coast Guard member making or preparing to make a protected communication;


(2) The Chief Counsel of the Coast Guard (who may also be serving as the Judge Advocate General of the Coast Guard) determines that the case is unusually complex or otherwise requires the assistance of a Judge Advocate to ensure proper presentation of the legal issues in the case; and


(3) The Coast Guard member is not represented by outside counsel chosen by the member.


(d) If the Board elects to hold an administrative hearing, the Board must ensure that the Coast Guard member may examine witnesses through deposition, serve interrogatories, and request the production of evidence, including evidence in the Inspector General investigatory record but not included in the report released to the member.


(e) If the Board determines that a personnel action was taken, withheld, or threatened as a reprisal for a Coast Guard member making or preparing to make a protected communication, the Board may forward its recommendation to the Secretary of the Department of Homeland Security for appropriate administrative or disciplinary action against the individual or individuals found to have taken, withheld, or threatened a personnel action as a reprisal, and direct any appropriate correction of the member’s records.


(f) The Board shall notify the Inspector General of the Board’s decision concerning an application for the correction of military records of a Coast Guard member who alleged reprisal for making or preparing to make a protected communication, and of any recommendation to the Secretary of the Department of Homeland Security for appropriate administrative or disciplinary action against the individual or individuals found to have taken, withheld, or threatened a personnel action as a reprisal.


(g) When reprisal is found, the Secretary shall ensure that appropriate corrective action is taken.


[56 FR 13405, Apr. 2, 1991, as amended by USCG-2003-14505, 68 FR 9535, Feb. 28, 2003; USCG-2009-0239, 75 FR 79960, Dec. 21, 2010]


§ 53.11 Procedures.

(a) Any member of the Coast Guard who reasonably believes a personnel action was taken, withheld, or threatened in reprisal for making or preparing to make a protected communication may file a complaint with the Department of Homeland Security Inspector General Hotline at 1-800-323-8603. Such a complaint may be filed: By letter addressed to the Department of Homeland Security, Office of Inspector General, Hotline, Washington, DC 20528; By faxing the complaint to 202-254-4292; or by e-mailing [email protected]


(b) The complaint should include the name, address, and telephone number of the complainant; the name and location of the activity where the alleged violation occurred; the personnel action taken, withheld, or threatened that is alleged to be motivated by reprisal; the name(s) of the individual(s) believed to be responsible for the personnel action; the date when the alleged reprisal occurred; and any information that suggests or evidences a connection between the protected communication and reprisal. The complaint should also include a description of the protected communication, including a copy of any written communication and a brief summary of any oral communication showing the date of communication, the subject matter, and the name of the person or official to whom the communication was made.


(c) A member of the Coast Guard who alleges reprisal for making or preparing to make a protected communication may submit an application for the correction of military records to the Board, in accordance with regulations governing the Board. See 33 CFR part 52.


(d) An application submitted under paragraph (c) of this section shall be considered in accordance with regulations governing the Board. See 33 CFR part 52.


[56 FR 13405, Apr. 2, 1991, as amended by USCG-2009-0239, 75 FR 79960, Dec. 21, 2010]


PART 54 – ALLOTMENTS FROM ACTIVE DUTY PAY FOR CERTAIN SUPPORT OBLIGATIONS


Authority:42 U.S.C. 665(c).


Source:CGD 82-109, 48 FR 4285, Jan. 31, 1983, unless otherwise noted.

§ 54.01 Purpose.

This part prescribes procedures for State officials to notify the Coast Guard that a member on active duty is delinquent in meeting an obligation for child support alone, or both child and spousal support, in an amount equal to the support payable for two months or longer. Under 42 U.S.C. 665, an allotment may be taken from the pay and allowances of the member in this situation.


§ 54.03 Persons authorized to give notices.

For the purpose of instituting an allotment under this part, notice that a Coast Guard member is delinquent in meeting support obligations may be given by:


(a) Any agent or attorney of any State having in effect a plan approved under Part D of Title IV of the Social Security Act (42 U.S.C. 651-664), who has the duty or authority to seek recovery of any amounts owed as child or child and spousal support, including any official of a political subdivision when authorized under a State plan.


(b) The court that has authority to issue an order against the member for the support and maintenance of a child, or any agent of that court.


§ 54.05 Form and contents of notice.

(a) The notice required to institute an allotment under this part must be given in the form of a court order, letters, or other document issued by a person specified in § 54.03.


(b) The notice must:


(1) Provide the full name, social security number, and duty station of the member who owes the support obligation;


(2) Specify the amount of support due, and the period in which it has remained owing;


(3) Be accompanied by a certified copy of an order directing the payment of this support issued:


(i) By a court of competent jurisdiction, or;


(ii) In accordance with an administrative procedure which is established by State law, affords substantial due process, and is subject to judicial review;


(4) Provide the full name, social security number, and mailing address of the person to whom the allotment is to be paid;


(5) Identify the period in which the allotment is to remain in effect; and


(6) Identify the name and birth date of all children for whom support is to be provided under the allotment.


(c) Each notice must be accompanied by the following information:


(1) For each administrative order, a copy of all provisions of state law governing its issuance.


(2) For each court order and for each administrative order, if not stated in the support order:


(i) An explanation as to how personal jurisdiction was obtained over the member; and


(ii) A statement on the age of majority in the state law, with appropriate legal citations.


§ 54.07 Service of notice upon designated Coast Guard official.

The notice and all accompanying documentation must be sent to Commanding Officer, Coast Guard Human Resources Service and Information Center, Federal Building, 444 S.E. Quincy Street, Topeka, KS 66683-3591, telephone 785-339-3595, facsimile 785-339-3788.


[CGD 82-109, 48 FR 4285, Jan. 31, 1983, as amended by CGD 88-052, 53 FR 25119, July 1, 1988; CGD 97-023, 62 FR 33362, June 19, 1997; USCG-2001-9286, 66 FR 33639, June 25, 2001]


PART 55 – CHILD DEVELOPMENT SERVICES


Authority:14 U.S.C. 2922.



Source:USCG-1998-3821, 64 FR 6528, Feb. 10, 1999, unless otherwise noted.

Subpart A – General

§ 55.1 Purpose.

This subpart implements 46 U.S.C. 515, which provides for Coast Guard Child Development Services.


§ 55.3 Who is covered by this subpart?

This subpart applies to all Coast Guard installations.


§ 55.5 Who is eligible for child development services?

Coast Guard members and civilian Coast Guard employees are eligible for the child developmental services described in this subpart. As space is available, members of the other Armed Forces and other Federal civilian employees are also eligible.


§ 55.7 Definitions.

As used in this subpart –


Child development center means a facility located on a Coast Guard installation that offers, on a regularly scheduled basis, developmental services designed to foster social, emotional, physical, creative, and intellectual growth to groups of children.


Child development services means developmental services provided at a child development center or by a family child care provider at his or her Coast Guard-owned or -leased home.


Coast Guard family child care provider means a Coast Guard family member, 18 years of age or older, who provides child care for 10 hours or more per week per child to one but no more than six children, including the provider’s own children under the age of eight, on a regular basis in his or her Coast Guard-owned or -leased housing.


Coast Guard family child care services means child care provided on a regularly scheduled basis for 10 hours or more a week by an individual certified by the Coast Guard and who resides in Coast Guard-controlled housing.


Command means the Commanding Officer of one or more units of personnel in a limited geographic area with responsibility for a child development center.


Family child care means child care provided in the home of a provider, either a Coast Guard family child care provider or a family home day care provider.


Family home day care provider means an individual 18 years of age or older who is licensed by the state agency that regulates child care. This person provides child care to one but to no more than six children, including the provider’s own children under the age of eight, on a regular basis in his or her residence.


Geographic cost of living allowance means the adjustment in basic pay related to higher living costs in certain geographic areas.


Total family income means the earned income for adult members of the household including wages, salaries, tips, long-term disability benefits received by a family, incentive and special pay for service or anything else of value, even if not taxable, that was received for providing services. Also included is Basic Allowance for Housing and Basic Allowance for Subsistence authorized for the pay grade of military personnel, whether the allowance is received in cash or in-kind. Total Family Income does not include: the geographic cost of living allowance; alimony and child support; temporary duty allowances or reimbursements for educational expenses; veterans benefits; workers compensation benefits; and, unemployment compensation. These are to be excluded from total family income.


Uneconomical and inefficient means that the fees collected from parents can not be used in a manner that provides a quality program at an affordable cost to parents using the child care services.


§ 55.9 Child development centers.

(a) The Commandant may make child development services available at child development centers located at Coast Guard installations.


(b) Regular and unannounced inspections of each child development center shall be conducted annually by headquarters program personnel, the commanding officer of the sponsoring command, fire personnel, and health and safety personnel.


(c) Training programs shall be conducted monthly to ensure that all child development center employees complete a minimum of 20 hours of training annually with respect to early childhood development, activities and disciplinary techniques appropriate to children of different ages, child abuse prevention and detection, and appropriate emergency medical procedures.


§ 55.11 How are child development center fees established?

(a) Fees for the provision of services at child development centers shall be set by each Command with responsibility for a center-based program, according to the following total family income chart:



Total Family Income

$0 to $23,000

$23,001 to $34,000

$34,001 to $44,000

$44,001 to $55,000

Over $55,000

(b) Fees for the provision of services at Coast Guard child development centers shall be used only for compensation for employees at those centers who are directly involved in providing child care, unless it is uneconomical and inefficient. If uneconomical and inefficient, then the fees may be used for:


(1) The purchase of consumable or disposable items for Coast Guard child development centers; and


(2) If the requirements of such centers for consumable or disposable items for a given fiscal year have been met, for other expenses of those centers.


§ 55.13 Family child care providers.

When appropriated funds are available, funds may be offered to provide assistance to Coast Guard Family Child Care Providers or to family home day care providers so that family child care services can be provided to military members and civilian employees of the Coast Guard, at a cost comparable to the cost of services at Coast Guard child development centers.


Subpart B [Reserved]

SUBCHAPTER C – AIDS TO NAVIGATION


Cross Reference:

Corps of Engineers, Department of the Army, see Chapter II of this title.

PART 60 [RESERVED]

PART 62 – UNITED STATES AIDS TO NAVIGATION SYSTEM


Authority:14 U.S.C. 544; 43 U.S.C. 1333; 46 U.S.C. 70031, 70041; DHS Delegation 00170.1, Revision No. 01.2.



Source:CGD 86-031, 52 FR 42640, Nov. 6, 1987, unless otherwise noted.

Subpart A – General

§ 62.1 Purpose.

(a) The Coast Guard administers the U.S. Aids to Navigation System. The system consists of Federal aids to navigation operated by the Coast Guard, aids to navigation operated by the other armed services, and private aids to navigation operated by other persons.


(b)(1) This part describes the general characteristics of the U.S. Aids to Navigation System, and the details, policies and procedures employed by the Coast Guard in establishing, maintaining, operating, changing or discontinuing Federal aids to navigation. Regulations concerning the marking of wrecks, structures, and other obstructions are found in 33 CFR part 64. Regulations concerning private aids are found in 33 CFR part 66. Regulations concerning the marking of artificial islands and structures which are erected on or over the seabed and subsoil of the Outer Continental Shelf of the United States or its possessions are found in 33 CFR part 67. Regulations concerning the marking of bridges are found in 33 CFR part 118. Regulations concerning aids to navigation at deepwater ports are found in subchapter NN of this chapter.


(2) The regulations found in 33 CFR subpart 66.10 expire on December 31, 2003, at which time the provisions of this part will apply.


(c) The Coast Guard maintains systems of marine aids to navigation consisting of visual, audible, and electronic signals which are designed to assist the prudent mariner in the process of navigation. The aids to navigation system is not intended to identify every shoal or obstruction to navigation which exists in the navigable waters of the United States, but rather provides for reasonable marking of marine features as resources permit. The primary objective of the aids to navigation system is to mark navigable channels and waterways, obstructions adjacent to these waterways, and obstructions in areas of general navigation which may not be anticipated. Other waters, even if navigable, are generally not marked.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD 88-018, 54 FR 48608, Nov. 24, 1989; CGD 97-018, 63 FR 33573, June 19, 1998]


§ 62.3 Definition of terms.

Certain terms as used in this subchapter are defined as follows:


(a) Aid to Navigation. The term aid to navigation means any device external to a vessel or aircraft intended to assist a navigator to determine position or safe course, or to warn of dangers or obstructions to navigation.


(b) Commerce. The term commerce, in addition to general, national and international trade and commerce of the United States, includes trade and travel by seasonal passenger craft (marine and air), yachts, houseboats, fishing boats, motor boats, and other craft, whether or not operated for hire or profit.


(c) Commandant. The term Commandant means the Commandant of the Coast Guard.


(d) District Commander. The term District Commander means the commander of a Coast Guard District. Coast Guard Districts are listed in Part 3 of this chapter.


(e) Corps of Engineers. The term Corps of Engineers means the Corps of Engineers, Department of the Army.


(f) Person. The term person imparts both singular or plural, as the case demands, and includes any Federal Agency, State, Territory, possession, or public subdivision thereof, the District of Columbia, and any corporation, company, association, club, or other instrumentality.


(g) Navigable waters of the United States. The term navigable waters of the United States is defined in § 2.36(a) of this chapter.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by USCG-2001-9044, 68 FR 42601, July 18, 2003]


§ 62.5 Marking of marine parades and regattas.

(a) The Coast Guard may establish aids to navigation to mark marine parades and regattas which are regulated by the Coast Guard for the purpose of protecting life and property, or to assist in the observance and enforcement of special regulations. For marine parade and regatta regulations, see Part 100 of this chapter.


(b) [Reserved]


Subpart B – The U.S. Aids to Navigation System

§ 62.21 General.

(a) The navigable waters of the United States and non-navigable State waters after December 31, 2003, are marked to assist navigation using the U.S. Aids to Navigation System, a system consistent with the International Association of Lighthouse Authorities (IALA) Maritime Buoyage System. The IALA Maritime Buoyage System is followed by most of the world’s maritime nations and will improve maritime safety by encouraging conformity in buoyage systems worldwide. IALA buoyage is divided into two regions made up of Region A and Region B. All navigable waters of the United States follow IALA Region B, except U.S. possessions west of the International Date Line and south of 10 degrees north latitude, which follow IALA Region A. Lateral aids to navigation in Region A vary from those described throughout this Subpart. Non-lateral aids to navigation are the same as those used in Region B. See § 62.25. Appropriate nautical charts and publications should be consulted to determine whether the Region A or Region B marking schemes are in effect for a given area.


(b) The U.S. Aids to Navigation System is designed for use with nautical charts. Nautical charts portray the physical features of the marine environment, including soundings and other submarine features, landmarks, and other aids necessary for the proper navigation of a vessel. This crucial information cannot be obtained from other sources, even ones such as topographic maps, aeronautical charts, or atlases. The exact meaning of an aid to navigation may not be clear to the mariner unless the appropriate chart is consulted, as the chart illustrates the relationship of the individual aid to navigation to channel limits, obstructions, hazards to navigation, and to the total aids to navigation system.


(c) The navigator should maintain and consult suitable publications and instruments for navigation depending on the vessel’s requirements. This shipboard equipment is separate from the aids to navigation system, but is often essential to its use. The following publications are available from the U.S. Government to assist the navigator:


(1) The Light List, published by the Coast Guard and available for viewing on the Coast Guard Navigation Center Web site at http://www.navcen.uscg.gov lists federal and private aids to navigation. It includes all major Federal aids to navigation and those private aids to navigation that have been deemed to be important to general navigation, and includes a physical description of these aids and their locations.


(2) The United States Coast Pilot, published by the National Ocean Service and available from NOAA Certified Printer Partners listed at http://www.nauticalcharts.noaa.gov/mcd/NOAAChartViewer.html. Free on-line versions and weekly updates supplement the information shown on nautical charts, and are available directly from NOAA at http://www.nauticalcharts.noaa.gov/nsd/cpdownload.htm. Subjects such as local navigation regulations, channel and anchorage peculiarities, dangers, climatalogical data, routes, and port facilities are covered.


(3) Local Notices to Mariners are published by local Coast Guard District Commanders. Persons may view Local Notices to Mariners on the Coast Guard Navigation Center Web site at http://www.navcen.uscg.gov. Changes to aids to navigation, reported dangers, scheduled construction or other disruptions, chart corrections and similar useful marine information is made available through this publication.


(4) The Notice to Mariners is a national publication, similar to the Local Notice to Mariners, published by the National Geospatial-Intelligence Agency. The notices may be viewed on the National Geospatial-Intelligence Agency’s Web site at http://msi.nga.mil/NGAPortal/MSI.portal. This publication provides oceangoing vessels significant information on national and international navigation and safety.


(5) The mariner should also listen to Coast Guard Broadcast Notices to Mariners. These broadcasts update the Local Notice to Mariners with more timely information. Mariners should monitor VHF-FM channel 16 to locate Coast Guard Marine Information Broadcasts.


(d) The U.S. Aids to Navigation System is primarily a lateral system which employs a simple arrangement of colors, shapes, numbers, and light characteristics to mark the limits of navigable routes. This lateral system is supplemented by nonlateral aids to navigation where appropriate.


(e) Generally, lateral aids to navigation indicate on which side of a vessel an aid to navigation should be passed when the vessel is proceeding in the Conventional Direction of Buoyage. Normally, the Conventional Direction of Buoyage is the direction in which a vessel enters navigable channels from seaward and proceeds towards the head of navigation. In the absence of a route leading from seaward, the Conventional Direction of Buoyage generally follows a clockwise direction around land masses. For example, proceeding southerly along the Atlantic Coast, from Florida to Texas along the Gulf Coast, and northerly along the Pacific Coast are considered as proceeding in the Conventional Direction of Buoyage. In some instances, this direction must be arbitrarily assigned. Where doubt exists, the mariner should consult charts and other nautical publications.


(f) Although aids to navigation are maintained to a reasonable degree of reliability, the rigors of the marine environment and various equipment failures do cause discrepancies on occasion.


(g) The Coast Guard makes reasonable efforts to inform the navigator of known discrepancies, and to correct them within a reasonable period of time, depending upon resources available. Occasionally, a temporary aid to navigation, which provides different but similar service, is deployed until permanent repairs can be made to the original aid. Notification of such temporary changes is made through the notice to mariners system.


(h) Mariners should exercise caution when using private aids to navigation because private aids are often established to serve the needs of specific users rather than general navigation and their purpose may not be obvious to casual users; and, discrepancies to private aids are often detected, reported, and corrected less promptly than discrepancies to Coast Guard aids to navigation.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD 88-018, 54 FR 48608, Nov. 24, 1989; CGD 97-018, 63 FR 33573, June 19, 1998; USCG-2001-9286, 66 FR 33640, June 25, 2001; USCG-2015-0433, 80 FR 44279, July 27, 2015]


§ 62.23 Beacons and buoys.

(a) Aids to navigation are placed on shore or on marine sites to assist a navigator to determine his position or safe course. They may mark limits of navigable channels, or warn of dangers or obstructions to navigation. The primary components of the U.S. Aids to Navigation System are beacons and buoys.


(b) Beacons are aids to navigation structures which are permanently fixed to the earth’s surface. They range from large lighthouses to small, single-pile structures and may be located on land or in the water. Lighted beacons are called lights; unlighted beacons are called daybeacons.


(1) Beacons exhibit a daymark. For small structures these are colored geometric shapes which make an aid to navigation readily visible and easily identifiable against background conditions. Generally, the daymark conveys to the mariner, during daylight hours, the same significance as does the aid’s light or reflector at night. The daymark of large lighthouses and towers, however, consists of the structure itself. As a result, these daymarks do not infer lateral significance.


(2) Vessels should not pass beacons close aboard due to the danger of collision with rip-rap or structure foundations, or the obstruction or danger that the aid marks.


(c) Buoys are floating aids to navigation used extensively throughout U.S. waters. They are moored to the seabed by sinkers with chain or other moorings of various lengths.


(1) The daymark of a buoy is the color and shape of the buoy and, if so equipped, of the topmark.


(i) Can buoys have a cylindrical shape.


(ii) Nun buoys have a tapered, conical shape.


(iii) Pillar buoys have a wide cylindrical base supporting a narrower superstructure. They may be surmounted by colored shapes called topmarks.


(iv) Spherical buoys have a round shape.


(2) Mariners attempting to pass a buoy close aboard risk collision with a yawing buoy, the buoy’s mooring, or with the obstruction which the buoy marks.


(3) Mariners should not rely on buoys alone for determining their positions due to factors limiting their reliability. Prudent mariners will use bearings or angles from beacons or other landmarks, soundings, and various methods of electronic navigation. Buoys vary in reliability because:


(i) Buoy positions represented on nautical charts are approximate positions only, due to practical limitations in positioning and maintaining buoys and their sinkers in precise geographical locations.


(ii) Buoy moorings vary in length. The mooring lengths define a “watch circle”, and buoys can be expected to move within this circle. Actual watch circles do not coincide with the dots or circles representing them on charts.


(iii) Buoy positions are normally verified during periodic maintenance visits. Between visits, environmental conditions, including atmospheric and sea conditions, and seabed slope and composition, may shift buoys off their charted positions. Also buoys may be dragged off station, sunk, or capsized by a collision with a vessel.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987; CGD 86-031, 52 FR 46351, Dec. 5, 1987]


§ 62.25 Lateral marks.

(a) Lateral marks define the port and starboard sides of a route to be followed. They may be either beacons or buoys.


(b) Sidemarks are lateral marks which advise the mariner to stay to one side of the mark. Their most frequent use is to mark the sides of channels; however, they may be used individually to mark obstructions outside of clearly defined channels. Sidemarks are not always placed directly on a channel edge and may be positioned outside the channel as indicated on charts and nautical publications.


(1) Port hand marks indicate the left side of channels when proceeding in the Conventional Direction of Buoyage. Beacons have green square daymarks, while buoys are green can or pillar buoys.


(2) Starboard hand marks indicate the right side of channels when proceeding in the Conventional Direction of Buoyage. Beacons have red triangular daymarks, while buoys are red nun or pillar buoys.


(c) Preferred channel marks indicate channel junctions or bifurcations and may also mark wrecks or obstructions which the mariner, after consulting a chart to ascertain the location of the obstruction relative to the aid, may pass on either side. Preferred channel marks have red and green horizontal bands with the color of the topmost band indicating the preferred channel. If the topmost band is green, the mark serves as a port hand mark for vessels following the preferred channel proceeding in the Conventional Direction of Buoyage, and as a starboard hand mark for the other channel. Beacons would have square daymarks, while buoys would be can or pillar buoys. If the topmost band is red, the mark serves as a starboard hand mark for vessels following the preferred channel proceeding in the Conventional Direction of Buoyage, and a port hand mark for the other channel. Beacons would have triangular daymarks, while buoys would be nun or pillar buoys.


(d) The above color schemes apply to IALA Region B. Marks located in the IALA Region A exhibit reversed color significance: port hand marks will be red when following the Conventional Direction of Buoyage, and starboard hand marks will be green. The meaning of daymark and buoy shapes is identical in both regions.


(e) Certain marks on the Intracoastal Waterway may exhibit reversed lateral significance. See § 62.49.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD 88-018, 54 FR 48608, Nov. 24, 1989]


§ 62.27 Safe water marks.

Safe water marks indicate that there is navigable water all around the mark. They are often used to indicate fairways or midchannels, or the seaward end of channels. Safe water marks are colored with red and white vertical stripes. Beacons have an octagonal daymark; red and white buoys are spherical or display a red spherical topmark.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD 88-018, 54 FR 48608, Nov. 24, 1989]


§ 62.29 Isolated danger marks.

Isolated danger marks indicate an isolated danger which may be passed on all sides. As these marks are erected or moored on or near dangers, they should not be approached closely without special caution. These marks are colored black with one or more broad horizontal red bands and are equipped with a topmark of two black spheres, one above the other.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD 88-018, 54 FR 48608, Nov. 24, 1989]


§ 62.31 Special marks.

Special marks are not primarily intended to assist safe navigation, but to indicate special areas or features referred to in charts or other nautical publications. They may be used, for example, to mark anchorages, cable or pipeline areas, traffic separation schemes, military exercise zones, ocean data acquisition systems, etc. Special marks are colored solid yellow.


§ 62.32 Inland waters obstruction mark.

(a) On inland waters designated by the Commandant as State waters in accordance with § 66.05-5 of this chapter and on non-navigable internal waters of a State which have no defined head of navigation, a buoy showing alternate vertical black and white stripes may be used to indicate to a vessel operator that an obstruction to navigation extends from the nearest shore to the buoy.


(b) The black and white buoy’s meaning is “do not pass between the buoy and the shore”. The number of white and black stripes is discretionary, provided that the white stripes are twice the width of the black stripes. Prior to December 31, 2003, this aid shall not be used on a waterway which has a red and white striped obstruction marker defined in § 66.10-15(e)(3) of this chapter, unless all obstruction markers are replaced.


[CGD 97-018, 63 FR 33573, June 19, 1998]


§ 62.33 Information and regulatory marks.

(a) Information and Regulatory Marks are used to alert the mariner to various warnings or regulatory matters. These marks have orange geometric shapes against a white background. The meanings associated with the orange shapes are as follows:


(1) A vertical open-faced diamond signifies danger.


(2) A vertical diamond shape having a cross centered within indicates that vessels are excluded from the marked area.


(3) A circular shape indicates that certain operating restrictions are in effect within the marked area.


(4) A square or rectangular shape will contain directions or instructions lettered within the shape.


(b) When a buoy is used as an information or regulatory mark it shall be white with two horizontal orange bands placed completely around the buoy circumference. One band shall be near the top of the buoy body, with a second band placed just above the waterline of the buoy so that both bands are clearly visible.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD 97-018, 63 FR 33573, June 19, 1998]


§ 62.35 Mooring buoys.

Mooring Buoys are white with a blue horizontal band. This distinctive color scheme is recommended to facilitate identification and to avoid confusion with aids to navigation.


§ 62.37 Lighthouses.

Lighthouses are prominent beacons of varying size, color, and appearance employed to mark headlands, landfalls, harbor entrances, channel edges, hazards, and other features. While normally identified by their distinctive appearance, some lighthouses display diamond shaped, checkered daymarks to facilitate recognition.


§ 62.41 Ranges.

Ranges are aids to navigation systems employing dual beacons which, when the structures appear to be in line, assist the mariner in maintaining a safe course. The appropriate nautical chart must be consulted when using ranges to determine whether the range marks the centerline of the navigable channel and also to ascertain what section of the range may be safety traversed. Ranges are generally, but not always, lighted, and display rectangular daymarks of various colors.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987; CGD 86-031, 52 FR 46351, Dec. 5, 1987]


§ 62.43 Numbers and letters.

(a) All solid red and solid green aids are numbered, with red aids bearing even numbers and green aids bearing odd numbers. The numbers for each increase in the Conventional Direction of Buoyage. Numbers are kept in approximately sequence on both sides of the channel by omitting numbers where necessary.


(b) Only sidemarks are numbered. However, aids other than those mentioned above may be lettered to assist in their identification, or to indicate their purpose. Sidemarks may carry letters in addition to numbers to identify the first aid to navigation in a waterway, or when new aids to navigation are added to channels with previously completed numerical sequences. Letters on sidemarks will follow alphabetical order from seaward and proceeding toward the Conventional Direction of Buoyage and will be added to numbers as suffixes.


(c) Aids to navigation may be fitted with light-reflecting material to increase their visibility in darkness. The colors of this material may convey the same significance as the aid except that letters and numbers may be white.


(d) Exceptions to the provisions of this section will be found on the Western Rivers System. See § 62.51.


(e) The guidelines for the display of numbers and letters on aids to navigation are identical for both Region A and Region B; red aids to navigation display even numbers, and green aids display odd numbers.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD 88-018, 54 FR 48608, Nov. 24, 1989]


§ 62.45 Light characteristics.

(a) Lights on aids to navigation are differentiated by color and rhythm. Lighthouses and range lights may display distinctive light characteristics to facilitate recognition. No special significance should be attached to the color or rhythm of such lights. Other lighted aids to navigation employ light characteristics to convey additional information.


(b) When proceeding in the Conventional Direction of Buoyage, aids to navigation, if lighted, display light characteristics as follows:


(1) Green lights mark port (left) sides of channels and locations of wrecks or obstructions which are to be passed by keeping these lights on the port (left) hand of a vessel. Green lights are also used on Preferred Channel Marks where the topmost band is green.


(2) Red lights mark starboard (right) sides of channels and locations of wrecks or obstructions which are to be passed by keeping these lights on the starboard (right) hand of a vessel. Red lights are also used on Preferred Channel Marks where the topmost band is red.


(3) Certain lights marking the Intracoastal Waterway may display reversed lateral significance. See § 62.49.


(c) Yellow lights have no lateral significance. Except on the Western Rivers, see § 62.51, white lights have no lateral significance. The purpose of aids exhibiting white or yellow lights may be determined by their shape, color, letters or numbers, and the light rhythm employed.


(d) Light rhythms, except as noted in § 62.51 for the Western Rivers, are employed as follows:


(1) Aids with lateral significance display regularly flashing or regularly occulting light rhythms. Ordinarily, flashing lights (frequency not exceeding 30 flashes per minute) will be used.


(2) Preferred Channel Marks display a composite group flashing light rhythm (groups of two flashes followed by one flash).


(3) Safe Water Marks display a white Morse Code “A” rhythm (short-long flash).


(4) Isolated Danger Marks display a white group flashing two.


(5) Special Marks display yellow lights with fixed or slow flashing rhythm preferred.


(6) Mooring Buoys and Information and Regulatory Marks display white lights of various rhythms.


(7) For situations where lights require a distinct cautionary significance, as at sharp turns, sudden channel constrictions, wrecks, or obstructions, a quick flashing light rhythm (60 flashes per minute) may be used.


(e) Occasionally lights use sectors to mark shoals or warn mariners of other dangers. Lights so equipped show one color from most directions and a different color or colors over definite arcs of the horizon as indicated on the appropriate nautical chart. These sectors provide approximate bearing information since the observer should note a change of color as the boundary between the sectors is crossed. As sector bearings are not precise, they should be considered a warning only and not used to determine exact bearing to the light.


(f) Aids to navigation may be fitted with light-reflecting material to increase their visibility in darkness. Green or red reflective material is used only on marks which, if lighted, would exhibit a light of that color. Yellow reflective material is used on special marks and on Intracoastal Waterway marks. No significance is attached to white reflective material.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD 88-018, 54 FR 48608, Nov. 24, 1989; CGD 97-018, 63 FR 33573, June 19, 1998]


§ 62.47 Sound signals.

(a) Often sound signals are located on or adjacent to aids to navigation. When visual signals are obscured, sound signals warn mariners of the proximity of danger.


(1) Sound signals are distinguished by their tone and phase characteristics.


(i) Tones are determined by the devices producing the sound (i.e., diaphones, diaphragm horns, reed horns, sirens, whistles, bells and gongs).


(ii) Phase characteristics are defined by the signal’s sound pattern, i.e., the number of blasts and silent periods per minute and their durations. Sound signals emanating from fixed structures generally produce a specific number of blasts and silent periods each minute when operating. Buoy sound signals are generally actuated by the motion of the sea and therefore do not emit a regular signal characteristic.


(2) Where no live watch is maintained, sound signals are normally operated continuously. However, some are equipped with fog detectors which activate sound signals when visibility falls below a predetermined limit.


(b) Mariners should not rely solely on sound signals to determine their positions for the following reasons:


(1) Distance cannot be accurately determined by sound intensity.


(2) Occasionally sound signals may not be heard in areas close to their location.


(3) Signals may not sound in cases where fog exists close to, but not at, the location of the sound signal.


(4) As buoy signals are generally activated by sea motion, they may produce no signals when seas are calm.


(5) As previously noted, buoy positions are not always reliable. Therefore their sound signals cannot be assumed to be emanating from a fixed position.


§ 62.49 Intracoastal Waterway identification.

(a) In addition to the conventional signals, aids to navigation marking the Intracoastal Waterway exhibit unique yellow symbols to distinguish them from aids marking other waters.


(1) Yellow triangles indicate that aids to navigation so marked should be passed keeping them on the starboard (right) hand of a vessel, regardless of the aid’s number, color, or light color.


(2) Yellow squares indicate that aids to navigation so marked should be passed keeping them on the port (left) hand of a vessel, regardless of the aid’s number, color, or light color.


(3) A horizontal yellow band provides no lateral information, but simply identifies aids to navigation as marking the Intracoastal Waterway.


(b) The above guidelines apply for vessels traversing the Intracoastal Waterway in a southerly direction on the Atlantic Coast, in a westerly direction on the Okeechobee Waterway, or in a westerly direction along the Gulf Coast.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987; CGD 86-031, 52 FR 46351, Dec. 5, 1987]


§ 62.51 Western Rivers Marking System.

(a) A variation of the standard U.S. aids to navigation system described above is employed on the Mississippi River and tributaries above Baton Rouge, LA and on certain other rivers which flow toward the Gulf of Mexico.


(b) The Western Rivers System varies from the standard U.S. system as follows:


(1) Buoys are not numbered.


(2) Numbers on beacons do not have odd/even lateral significance but, rather, indicate mileage from a fixed point (normally the river mouth).


(3) Diamond-shaped non-lateral dayboards, checkered red-and-white or green-and-white, similar to those used in the U.S. Aids to Navigation System, as appropriate, are used as crossing dayboards where the river channel crosses from one bank to the other.


(4) Lights on green buoys and on beacons with green daymarks show a single flash which may be green or white.


(5) Lights on red buoys and on beacons with red daymarks show a double flash [Group Flashing (2)] which may be red or white.


(6) Isolated danger marks are not used.


[CGD 86-031, 52 FR 42640, Nov. 6, 1987, as amended by CGD-94-091, 61 FR 27782, June 3, 1996; USCG-2001-9286, 66 FR 33640, June 25, 2001]


§ 62.52 Automatic Identification System Aids to Navigation (AIS AtoN).

(a) Aids to Navigation (AtoN) may be enhanced by the use of an automatic identification system (AIS). AIS is a maritime navigation safety communications protocol standardized by the International Telecommunication Union and adopted by the International Maritime Organization for the broadcast or exchange of navigation information between vessels, aircraft, and shore stations. AIS AtoN can autonomously and at fixed intervals broadcast the name, position, dimensions, type, characteristics and status from or concerning an aid to navigation.


(b) AIS AtoN can be either physical (fitted to the AtoN), synthetic (physically fitted somewhere other than to the AtoN) or virtual (physically nonexistent, but capable of being portrayed on AIS-capable displays).


(c) AIS AtoN can also be used to broadcast both laterally (e.g., Port Hand Mark) and non-laterally significant marine safety information (e.g., environmental data, tidal information, and navigation warnings).


[USCG-2005-21869, 80 FR 5329, Jan. 30, 2015, as amended by USCG-2021-0348, 87 FR 3223, Jan. 21, 2022]


§ 62.53 Racons.

(a) Aids to navigation may be enhanced by the use of radar beacons (racons). Racons, when triggered by a radar signal, will transmit a coded reply to the interrogating radar. This reply serves to identify the aid station by exhibiting a series of dots and dashes which appear on the radar display in a line emanating radially from just beyond the echo of the aid station. Although racons may be used on both laterally significant and non-laterally significant aids alike, the racon signal itself is for identification purposes only, and therefore carries no lateral significance.


(b) Racons are also used as bridge marks to mark the best point of passage.


§ 62.54 Ownership identification.

Ownership identification on private or state aids to navigation is permitted so long as it does not change or hinder an understanding of the meaning of the aid to navigation.


[CGD 97-018, 63 FR 33573, June 19, 1998]


Subpart C [Reserved]

Subpart D – Public Participation in the Aids to Navigation System

§ 62.63 Recommendations.

(a) The public may recommend changes to existing aids to navigation, request new aids or the discontinuation of existing aids, and report aids no longer necessary for maritime safety. These recommendations should be sent to the appropriate District Commander.


(b) Recommendations, requests and reports should be documented with as much information as possible to justify the proposed action. Desirable information includes:


(1) Nature of the vessels which transit the area(s) in the question, including type, displacement, draft, and number of passengers and crew.


(2) Where practicable, the kinds of navigating devices used aboard such vessels (e.g, magnetic or gyro compasses, radio direction finders, radar, loran, and searchlights).


(3) A chartlet or sketch describing the actual or proposed location of the aid(s), and a description of the action requested or recommended.


§ 62.65 Procedure for reporting defects and discrepancies.

(a) Mariners should notify the nearest Coast Guard facility immediately of any observed aids to navigation defects or discrepancies.


(b) The Coast Guard cannot monitor the many thousands of aids in the U.S. Aids to Navigation System simultaneously and continuously. As a result, it is not possible to maintain every aid operating properly and on its charted position at all times. Marine safety will be enhanced if persons finding aids missing, sunk, capsized, damaged, off station, or showing characteristics other than those advertised in the Light List, or other publication, promptly inform the Coast Guard.