COAST GUARD CIVIL PENALTY HEARINGS EXPLAINED 

Written By CDR Mark Hammond

So you’ve just received a Preliminary Assessment Letter (PAL) from a Coast 

Guard Hearing Officer notifying you of a civil penalty action against you for 

an alleged violation of federal law. The PAL: 1) provides notice of the alleged 

violation(s) and the preliminary penalty amount assessed; and 2) describes 

available options that must be exercised within 30 days. One such option is to 

request a hearing in the matter. In accordance with due process rights, you 

(“the party”), are afforded an opportunity to be heard. This article briefly 

outlines the Coast Guard’s civil penalty hearing process (including the 

procedure for requesting a hearing) and provides some insight as to what a 

party who requests a hearing can expect.

The regulations governing the conduct of Coast Guard civil penalty hearings 

are found at Title 33 Code of Federal Regulations (CFR), Part 1.07-55. 

Hearings are informal, non-judicial administrative proceedings. Hearings are

held to provide the charged party an opportunity to present evidence in 

defense, extenuation, and mitigation pertaining to the alleged violations in 

their case. That is, a party is given the opportunity to present evidence to 

show that either the violation(s) did not occur (defense); the violation(s) did 

occur but here’s why (extenuation); or that the violation(s) occurred but here’s 

why the final civil penalty amount should be less than what was 

preliminarily assessed (mitigation).

A party’s request for a hearing must be submitted in writing. Further, the 

party must specify the issues s/he wishes to raise in dispute at the hearing as 

required by 33 CFR 1.07-25. These are statements identifying the facts and 

circumstances surrounding the alleged violation about which the party 

wishes to dispute, explain, or provide mitigating evidence. When a Hearing 

Officer receives a party’s request for a hearing and no issues in dispute are 

specified, typically the hearing officer will write back to the party and allow 

additional time to present such issues before scheduling a hearing. Once the 

issues are received by the Hearing Officer, hearings are promptly scheduled. 

If a party does not specify the issues in dispute, the applicable regulations 

will generally preclude consideration of those issues which may result in a 

party forfeiting its right to have a hearing at which their issues can be 
considered. Specified issues in dispute may be amended at any time up to 10 

days before the scheduled date of the hearing.

Hearings are currently held in-person at the Hearing Office in Arlington, 

Virginia, or via video teleconference (VTC) for parties not wishing to travel to 

Arlington. VTC hearings are typically conducted at the Coast Guard District 

Office closest to where the party resides. 

At a typical hearing, only the party, his/her representative (if applicable), any 

witnesses whose testimony s/he wishes to offer, and the Hearing Officer are 

present. Parties are often surprised learn that boarding team members or 

representatives of the charging unit are not present for cross-examination. 

Coast Guard civil penalty hearings are not subject to the stricter procedural 

requirements of the Administrative Procedures Act (APA). Basic due process 

standards must still be accorded, but not the strict and full due process 

standards established by the APA for formal hearings. There is, therefore, no 

right to cross-examine witnesses. 

At the hearing the party may offer any facts, statements, explanations, sworn 

or unsworn testimony, or other exculpatory items which bear on the 

appropriate issues or which may be relevant to the size of an appropriate 

penalty. Upon hearing all of the evidence the party has presented on the 

specified issues, the hearing is closed and the Hearing Officer issues a final 

determination in writing. If the party desires to submit additional 

information, evidence, or other submission in writing after the hearing, s/he 

will normally have 10 days after the hearing to do so.

A verbatim transcript of the hearing is not routinely made. If a party wishes 

to have a transcript of the hearing, s/he must arrange and pay for a recorder 

and any copies of the transcript, including copies that must be furnished to 

the Coast Guard in case of an appeal. 

It is important to note that there is no “extra credit” for attending a hearing. 

The Hearing Officer’s duty is to consider the Coast Guard’s evidence as 

provided in the case file, and evidence in defense, mitigation and extenuation 

provided by the party, whether presented in person at a hearing, or presented 

in writing in lieu of a hearing. Often parties will request a hearing only to 

rehash what had already been provided to the Hearing Officer. It is more 

meaningful if the issues and evidence presented by the party at the hearing 

provide additional information for the Hearing Officer to consider beyond 

what is already before him/her