CIVIL PENALTY TIMELINES 

Written By LCDR Michele Bouziane

Observance of the timelines set forth in 33 C.F.R. Part 1, Subpart 

1.07, ensures not only efficient Coast Guard civil penalty processing, 

but also procedural due process for the party concerned. Timelines 

are in maroon type below. 

After receipt of a letter/notice (called a “Preliminary Assessment 

Letter,” or “PAL”) from a Coast Guard Hearing Officer indicating 

that the party is alleged to have committed a violation of applicable 

law or regulation, the party, or counsel for the party, has 30 days to 

take one of the following actions (33 C.F.R. § 1.07-25):

• Provide written evidence and arguments (for example, that the 

violation did not occur, or that the civil penalty should be 

reduced for stated reasons and provide evidence to justify 

reduction of the penalty); or

• Pay the amount specified in the PAL; or

• Request a hearing in writing specifying the issues in dispute 

(see article explaining civil penalty hearings, this issue, p. 2).

The PAL and accompanying pamphlet, which do a good job of 

explaining the party’s options, should be thoroughly read upon 

receipt.

If a party does not respond to the PAL, the Hearing Officer will 

make a final determination based on the evidence already before 

him/her, which usually results in a Final Assessment Letter to the 

party imposing the penalty amount stated in the PAL. 

Note: It’s in the party’s best interests to respond to the PAL, 

especially if the party requires more time to bring his/her vessel into 
compliance. The Hearing Officer will normally grant a 20-day 

extension if the party indicates s/he needs more time. 

A party should retain a copy of all receipts for items purchased to 

bring his/her vessel into compliance, and send a copy of the receipt/s 

to the Hearing Officer. A blanket statement in a letter that all 

violations have been corrected carries no weight. The Hearing 

Officer must have evidence of compliance. For example, a receipt, 

and/or a picture of new Visual Distress Signals or Personal Flotation 

Devices, arranged so that the vessel number can also be seen in the 

picture, should suffice.

After 30 days, the party no longer has a right to a hearing, however, 

the Hearing Officer may still grant a request for a hearing, at the 

Hearing Officer’s discretion.

At any time up to 10 days before the scheduled date of the hearing, a 

party can submit a change to the issues in dispute. Changes to the 

issues in dispute requested by the party later than 10 days before 

the scheduled date of the hearing are subject to the discretion of the 

Hearing Officer.

An appeal from the decision of the Hearing Officer, and any 

supporting brief, must be submitted to the Hearing Officer within 30 

days from the date of receipt of the decision, otherwise an appeal is 

barred, and the Hearing Officer’s decision becomes the Coast 

Guard’s final action in the case (33 C.F.R. § 1.07-70).

The Hearing Officer provides a copy of the appeal and any 

supporting brief submitted by the party to the District Commander 

who referred the case. The District Commander then has 30 days to 

submit any comments to the Hearing Officer (33 C.F.R. § 1.07-75).

If the District Commander submits no comments, then the Hearing 

Officer forwards all materials in the case to the Commandant not 

later than 30 days after receipt of the appeal.

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 (33 C.F.R. § 1.07-80). 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 (change) an appeal which has 

already been filed. 

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 (33 C.F.R. § 

1.07-85).