UNITED STATES COAST GUARD

CIVIL PENALTY CASE GUIDE

 REV 12/2023 

 
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The purpose of this Civil Penalty Case Guide is to provide an overview of what a Coast Guard 

Hearing Officer expects to see in a well prepared civil penalty case and what a Charged Party 

can expect to see when they receive a copy of the case file with the preliminary assessment letter.

In every case alleging violation of law or regulation, the case file must include sufficient 

information and evidence to ensure the fair adjudication of the violations. A party charged with 

a violation is provided with a copy of the civil penalty case file that is sent to the Coast Guard 

Hearing Office. This copy enables the Charged Party to exercise the due process right to 

comment. Case files should contain accurate information and present sufficient relevant and 

reliable evidence so that Coast Guard Hearing Officers can make a fair assessment and Charged 

Parties can respond in a meaningful manner either by accepting the violation and preliminary 

assessed penalty or by presenting evidence in defense, mitigation and / or extenuation. This 

guide provides an explanation of the type of information required in the documents that identify 

the Charged Party and describe the violations charged. This guide also includes some 

miscellaneous considerations regarding a civil penalty case and the transfer of control of a case 

to the Coast Guard Hearing Office. It also provides information regarding evidence and types of 

information requiring special handling. Finally, this guide provides general and specific 

examples of relevant documentary evidence for specific violation cases and a sampling of factors 

that a Coast Guard Hearing Officer might consider during the adjudication process. 

This guide is not intended to, and does not, create any right or benefit, substantive or 

procedural, enforceable at law or in equity, by any party against the United States, its 

departments, agencies, or entities, its officers, employees, or agents, or any other person.

THE CASE FOLDER

The folder should be letter size with an end tab shelf-cut. It should have prong fasteners on the 

right side only.

The folder should be labeled with the enforcement activity number, not the boarding, incident 

or investigation number. Numbers should read in a vertical row on the right hand edge of the 

folder: 

 

Following the input of all relevant details into a MISLE activity, the 

scanning of all documentary evidence to the MISLE activity, and the 

preparation of the Enforcement Summary by the appropriate 

processing official, the activity is ready to be prepared as a civil 

penalty case. 

The case materials are printed and the case file assembled (further explained below). The case 

file should contain an Enforcement Summary, Activity Summary Report (ASR) where

applicable, Factual and Jurisdictional Elements for each violation, the Exhibit List, and all 

documentary evidence properly labeled and placed in the file folder in the order it appears on the 

Exhibit List. Two complete copies must be made of the case materials. One copy is inserted 

into the prongs on the right hand side of the file. The other copy is stapled or fastened so that 
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the documents cannot be easily separated. The case file and the stapled copy are mailed to the 

Coast Guard Hearing Office, Commandant (CG-094H), 2703 Martin Luther King Jr Ave, SE / 

STOP 7794, Washington, DC 20593-7794. If the case file contains digital materials (CDs, 

DVDs etc) then they may be attached to the inside back of the file folder in an envelope. Each 

item of digital material should be labeled with an Exhibit number, the case name and 

enforcement activity number, and listed on the Exhibit List in the order of the Exhibit number 

assigned to the item. Again, two copies must be included; one for the Hearing Officer and one 

for the Charged Party. 

THE ENFORCEMENT SUMMARY

Every case file must include a complete and properly prepared Enforcement Summary. The 

Enforcement Summary is always the first document in the case file. The Enforcement Summary 

reflects the following:

 

Charged party name. Required entry. This name should be consistent throughout the 

case file. Use the same format and spelling throughout. There must be supporting evidence to 

show that the charged party named on the Enforcement Summary is the correct individual. If the 

boarding identifies that the operator committed the violation, do not name the owner as the 

charged party. Be attentive to getting the name right and spelled correctly. If it is a company 

that is believed responsible for the violation, it is that company’s name that should be reflected in 

this entry and not a parent or subsidiary company. The same name format should be consistently 

used throughout the case file. 

Violation location. Required entry. This can be latitude and longitude and/or the 

common name of the body of water. More precise detail is required for violations that are based 

on location such as inside the boundary line or outside the boundary line including the 

description of the boundary line being referenced. The violation location is not where the 

boarding took place but where the violation occurred. For instance, if the violation is for failure

to have the appropriate survival craft when operating outside the boundary line, evidence 

establishing that the vessel was operating outside the boundary line should be included especially 

if the boarding occurred inside the boundary line. 

Violation date. Required entry. This is the date the alleged violation occurred. This is 

based on the evidence and when the wrongful act occurred or when the party failed to take the 

appropriate action, or when the violation was discovered. This date must be consistent 

throughout the Enforcement Summary and the case file. This date is not the date the 

Enforcement Summary or case file was created. 

Summary of current violation(s). Required entry. Reflect in this entry the regulatory

cite that is the most specific paragraph cite of the regulation that applies to the situation. Avoid 

citing general regulatory provisions whenever possible. 

Incident Details. Required entry. Must include Vessel or facility involved. 
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Do not cite the same law or regulation more than once on a single Enforcement Summary. If 

there are multiple deficiencies that apply to the same law or regulation, the narrative overview 

should detail the multiple deficiencies that were identified under the one law or regulation. 

Evidence supporting each deficiency identified under that law or regulation should be included 

in the case file. 

When choosing the regulatory cite for the alleged violation, the applicability of that particular 

regulation to the vessel, charged party, etc should be verified. For instance, some regulations 

apply only to recreational vessels; if it is a recreational vessel don’t cite a regulation that applies 

to a fishing vessel. Similarly, some regulations are applicable to vessels based on certain gross 

tonnage. It is important to find and read the applicability section of the regulation cited on the 

Enforcement Summary to ensure it applies to the vessel, facility, person or company who is the 

subject of the violation. 

Remember that a violation for “missing equipment” or “lack of equipment” is different from 

equipment that is on board but is “unserviceable.” If no regulatory provision exists to require 

that a certain piece of equipment be maintained in a serviceable condition, then it is likely that 

the piece of equipment cannot be serviced and the regulation requiring the particular piece of 

equipment to be on board is the regulation that was violated. The facts and regulations should be 

scrutinized to determine the proper regulatory citation.

Recommended penalty. This amount is the amount of the penalty that the processing 

official determines appropriate based on the evidence to achieve compliance (remedy or correct

the violation), and deter future violations by the charged party. A penalty is not punishment. 

The recommended penalty should be based on the facts and circumstances surrounding the 

alleged violation and other known “facts” such as aggravating and mitigating factors. 

Identifying and explaining any aggravating and mitigating factors (see below) may be helpful in 

understanding the recommended penalty amount. A processing official’s recommended penalty 

is non-binding on a Coast Guard Hearing Officer. The recommended penalty may be persuasive 

to the extent that the processing official has set forth valid factors in support of the 

recommendation. The Hearing Officer makes an independent judgment as to what the 

preliminary assessed penalty amount should be based on the careful review of the information 

and evidence in the case file. If the processing official desires to recommend a warning as the 

recommended penalty, this entry should reflect “warning” instead of “zero (0).” 

 Narrative overview of the activity. Required entry. This is a coherent, big-picture 

summary of the activity—the who, what, why, how and where that gives a brief review of the 

evidence that supports the violation(s). It is meant to pull together the detailed information 

provided by the evidence contained in the case file. It is meant to assist the Coast Guard Hearing 

Officer and the Charged Party understand the violations alleged in the case. 

The “Narrative overview of the activity” should be supported by corresponding evidence 

included in the case file. 
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The preparation of this section can be done by an individual simply putting the case file together 

or by the person who conducted the boarding or inspection, prepared the investigation, etc. An 

e-signature should be at the end of any content placed in this section. The e-signature should be 

that of the person who writes the content that is placed in this section (not the e-signature of a 

person who simply copies someone else’s writing and places it in this section). The e-signature 

signifies that the content in this section is believed true and accurately recorded by the person 

whose name appears in the e-signature. Both the default adobe e-signature and e-signatures in 

the following format are acceptable: //s//first name, middle initial, last name, rate/rank//. 

Every statement or interview or other similarly prepared document included as evidence in the 

case file should have an e-signature or penned signature of the person who prepared the 

document. For Coast Guard personnel including civilians, this signature should be sufficient to 

determine that the individual signing is a military, Auxiliarist, or civilian member / employee of 

the Coast Guard. Military members should always include rank/rate. 

For Enforcement Summaries relying on an Activity Summary Report (ASR) for the narrative, the 

narrative on the ASR should have the e-signature of the person who wrote that narrative. 

The narrative overview must not contain information not related to the violations. This is not a 

place for administrative and clerical remarks or notations. This is not a place to discuss internal 

review of the case file, track internal movement of the case file, or anything but information that 

is relative to the violations.

The narrative overview must not contain remarks that are unprofessional, defamatory, 

derogatory, inflammatory, demeaning, or show personal bias. They should not be personal 

opinions, unsupported conclusions, or unfairly discuss persons. All remarks should be relative to 

the violations and supported by evidence. 

Charged party’s particulars. Required entry. This section contains information that is 

automatically transferred from the MISLE database to computer generated documents such as 

the Enforcement Summary and penalty assessment letters. 

This information consists of the party’s name being entered into the MISLE database in all 

CAPITAL letters, spelled correctly and with the first and last name in that order. 

The party’s address must be accurate and complete. This means a number and street name in one 

block, the city and state in the appropriate blocks and zip code. Note that Post Office Box 

numbers (P.O. Box) have a high rate of delivery failure; valid street addresses should be always 

obtained especially when the mailing address is a P.O. Box. Names and addresses obtained 

should be verified using picture identification. 

Processing officials are encouraged to review all address information available to them before 

finalizing the Enforcement Summary. Often, field personnel entering this information into 

MISLE enter it incorrectly. Or, the party’s name and address may already appear in MISLE and 

the field personnel responsible for entering this information into MISLE do not update the 
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party’s address in MISLE with the new address obtained during the most recent boarding, 

examination, inspection or investigation. 

Similarly, processing officials should verify the address on the Enforcement Summary to the 

fullest extent possible. It is important that processing officials work with field units to secure 

addresses, phone numbers, date of birth, and other identifying information from driver’s licenses 

and other forms of picture identification during a boarding. Every effort should be made to 

ensure that the information obtained is current and properly entered into MISLE. 

Capacity in which charged. Required entry. The “capacity” means the role held by the 

party charged at the time of the violation. This can be owner, operator, master, person-in-charge, 

etc. The capacity of the person charged must be one that can be held responsible under the 

regulation cited for the violation. For instance, for negligent operation of a vessel only the 

operator can be charged. The applicability section of the regulation cited for the violation 

identifies who can be charged with the violation. The capacity of the charged party must be a 

capacity (role) that can be held responsible under the regulation. 

Involved subjects. When included, this section typically will list the vessel or entity 

involved in the violation.

Other Involved Parties (besides the Charged Party). When included, this section lists 

other persons (NOT the charged party) involved at the time of the violation.

Past violation(s) history. This is section is automatically populated by MILSE to 

reflect past violations associated with the charged party. 

Charge sheet / Details of the violation. Required entry. A separate sheet is created for 

each charged violation. The Statutory Authority and Maximum Penalty is populated by MISLE. 

If these fields do not populate, the regulation cited for the violation may be incorrect. 

The details of the violation should be completed. This section has two parts, Jurisdictional and 

Factual Elements. For each element listed, the facts that support it should be identified. The 

facts identified should be supported by evidence in the case file. There should be some evidence 

in the case file to support every element of the violations charged. Jurisdictional and factual 

elements should be completed for every violation in the case file. 

Jurisdictional elements include at a minimum the charged party’s capacity (role) and the location 

of the violation. The charged party’s capacity and / or the location of the violation must be 

subject to the regulation that is alleged to have been violated. The applicability provision for the 

regulation cited should be reviewed to ensure that the charged party’s capacity and / or location 

of the violation is “covered” by the regulation.

Factual elements should be a brief statement of how the charged party was not in compliance 

with federal law or regulation. Each factual element reflected in this section should be supported 

by some evidence in the case file. The exhibits which contain the evidence to support the 

specific factual elements should be referenced. 
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 Aggravating/Mitigating factors is a useful section to include factors that may increase 

or decrease a penalty amount that would have otherwise been recommended without the 

consideration of these factors. This section should include an explanation of these factors. 

Aggravating or mitigating factors should be relevant to the violations, charged party’s actions or 

charged party’s inactions. Statements should not attack the charged party’s character, should not 

be based on opinion or speculation, and should not be unprofessional. When addressing 

financial ability to pay, statements should be based on facts. 

Exhibits list. Required entry. The individual exhibits or enclosures in a case file must 

be marked to reflect the same numbering as shown on the Coast Guard Exhibit List. This list is 

part of the Enforcement Summary. Typically, when a case file only contains an Activity 

Summary Report (ASR), the Coast Guard Exhibit List (as a page of the Enforcement Summary) 

is not necessary to list the ASR.

Any exhibits or enclosures listed on the Coast Guard Exhibit List but not included in the case file 

should have an explanation. For example, "This exhibit/enclosure is a physical oil sample 

maintained at the oil analysis lab." This way the charged party knows what it represents and 

understands why it is not in the case file. There should be a properly labeled document or 

explanation for every enclosure/exhibit identified in the Coast Guard Exhibit List. 

Enclosures/exhibits should be placed in the case file in the order that is shown on the Coast 

Guard Exhibit List.

In summary, the entire Enforcement Summary will contain:

 a. page(s) identifying the charged party, date of violation, location of violation(s), 

narrative, party particulars, involved subjects and parties and violation history; 

 b. pages reflecting the factual and jurisdictional elements for each violation; and 

 c. pages reflecting a list of all exhibits/enclosures. 

The Enforcement Summary will be followed by all documentary evidence in the order identified 

on the Coast Guard Exhibit List. 

Note that the Enforcement Summary is not by itself evidence. All entries and narratives made on 

the Enforcement Summary should be supported by evidence. 

ACTIVITY SUMMARY REPORT

Case files for violations resulting from safety inspections onboard recreational vessels or 

commercial fishing vessels will likely have an Activity Summary Report (ASR). ASRs reflect 

the conduct of an examination or boarding on these vessels. The information for the ASR 

typically comes from a Coast Guard Boarding Report (CG-4100 form or Personal Digital 

Assistant (PDA)). Anytime an ASR is produced in a case, it should be included in the case file. 

All information in the ASR should be identical to the information reflected on the Enforcement 

Summary. For example, the charged party, capacity in which charged, address, vessel 
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information, violation date and violation location. Both owner and operator information should 

be reflected on the ASR. 

ASR Narrative Summary. Required entry. This section should contain the big-picture 

summary of the boarding: who, what, when, how, and why. The “lengthy” details regarding 

each violation should be reflected in the narrative section for each violation or in statements from 

Coast Guard personnel, charged party, parties involved, and / or witnesses. The ASR Narrative 

Summary is written by a boarding officer/team member, inspector or investigator as a result of 

the boarding/examination, inspection or investigation. This narrative should have an e-signature. 

The e-signature signifies that the statements and information contained in the narrative summary 

are believed true and accurately recorded by the person whose name appears in the e-signature. 

The accepted e-signature format is: //s//first name, middle initial, last name, rate/rank//. 

The ASR should be complete. This means that all sections should be completed in sufficient 

detail for a person to understand why a certain violation is alleged. This means including a 

description of the violation, when the violation occurred, the location of the violation, and the 

details of how the regulation or law was violated. Conclusory statements, such as "there were 

insufficient personal flotation devices (PFDs)," are generally insufficient to support a finding of 

a violation. Documenting the number of people on board the vessel and how many PFDs were

available can provide the factual detail to support a violation for insufficient PFDs. Similarly, it 

is important to note sunrise and sunset times and time of the boarding. This is especially 

important to support a finding of a violation that is dependent upon the time of day, such as the 

lack of visual distress signals for night use. 

Most of the information described above for the Enforcement Summary is applicable to the ASR. 

It will not be repeated here. Boarding officers/team members, inspectors, and investigators 

entering case information into MISLE should be familiar with the data fields for the particular 

type of case they are processing. Data fields should not be left blank as missing or insufficient 

information could have an adverse impact on case processing and adjudication. 

MARINE INFORMATION FOR SAFETY AND LAW 

ENFORCEMENT (MISLE) FUNCTIONS

The main MISLE database enforcement application screen should reflect the following when the 

civil penalty case file is placed in the mail to the Coast Guard Hearing Office, Commandant 

(CG-094H), 2703 Martin Luther King Jr Ave, SE / STOP 7794, Washington, DC 20593-7794. 

Title. This should be the manner in which to identify the enforcement activity; typically 

it is listed as the “USCG vs the charged party’s name.” 

Status. This should reflect “Open—In Progress.”

Enforcement Type. This should reflect “Administrative Civil Penalty (Class I).” 
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Originating Unit. This is the unit who performed the boarding/examination, inspection 

or investigation that identified the violations. 

Owning Unit. This is the unit who created the enforcement activity for civil penalty case 

processing. This is also the unit who creates the Enforcement Summary. This will be updated to 

reflect the Coast Guard Hearing Office as the controlling unit when the civil penalty case file is 

placed in the mail to the Hearing Office, and the unit (processing official) transfers 

ownership/control to the Hearing Office in MISLE. 

The procedures to change the case from an NOV ticket case to a civil penalty case may be 

obtained from the MISLE Enforcement Application User Guide.

EVIDENCE

A civil penalty case typically involves two parties; namely, the Coast Guard and the Charged 

Party. Both parties submit evidence to the Coast Guard Hearing Officer. The below information 

discusses the evidence that the Coast Guard might include in its case file to initiate the civil 

penalty process. Charged Parties can apply the below information to evidence submitted in 

response to the Coast Guard’s case file. The weight of the evidence submitted by the Charged 

Party in defense, extenuation and mitigation can often be maximized when taking into 

consideration the guidance below. 

It is necessary for the originating Coast Guard unit to collect all evidence relevant to a violation 

and include it in the case file to provide the Coast Guard Hearing Officer and the Charged Party 

with a fair picture of what occurred. Such evidence supports the narrative summaries found on 

the Enforcement Summary and ASR. Evidence includes those documents, statements, etc that 

support an alleged violation. It also includes those documents, statements, etc that were obtained 

during the boarding, inspection or investigation that do not support, or tend to refute, an alleged 

violation. Efforts should be made to resolve any conflicting statements obtained during the 

course of an investigation. An explanation of the efforts made and how the conflict was resolved 

should be included in the case file. The lack of evidence is often a reason a violation or entire 

civil penalty case cannot be adjudicated. 

The evidence that should be included in a case file is evidence that is relevant to the violations 

alleged and the formulation of any penalty that may be imposed. If the evidence is not relevant

to these factors, then it is likely that the evidence should not be included in the case file. 

The source of the evidence should be clear. Ideally, every exhibit (every piece of documentary 

evidence) should be clearly marked with an enclosure number, should be identified as to what it 

is, and should be identified as to where and when it was obtained and from whom it was 

obtained. Failure to do so may cause the exhibit to have less evidentiary value than it might 

otherwise have.

All documentary evidence should be scanned into the corresponding MISLE enforcement 

activity.

Statements. Statements should be signed by the writer and dated. In the case of Coast 

Guard personnel, the signature of the person writing the statement should be followed by the 
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printed name, rank/rate where applicable, and unit of the person. The date should be the date the 

statement is prepared. Statements from Charged Parties should also be signed and dated, with 

printed name, position when relevant, and employer when relevant. A statement submitted by a 

witness typically has more value than a summary of an interview with a witness. Statements 

must be legible and preferably in English when possible; if a statement cannot be read then the 

statement has no value. Statements by witnesses should include printed name, relation to the 

violation, position held at the time of the violation when relevant and explain the witness’s 

actions or inactions regarding the violation. Witness statements should not be copied verbatim 

from one another. This diminishes the credibility of such statements.

Photographs. Photographs can be valuable to assist a reader in understanding the 

violation alleged. Photographs are not valuable when they do not depict clearly what is 

important regarding the violation. For example, a picture of a vessel is not helpful when the 

violation concerns an improperly installed marine sanitation device. However, a picture of the 

vessel if accompanied by a picture of the improperly installed marine sanitation device is helpful 

in providing the full picture. Close-up pictures should include a known scale in the picture—this 

is usually a ruler—so that the reader can better appreciate the size of the object in the 

photograph. 

Photographs should not be included in a case file unless they are attached to a sheet of paper and 

are properly labeled. Include in the labeling of a photograph, a description of the subject of the 

photograph, date and time taken, place taken, and who took the photograph.

Both the case file and the charged party’s copy of the case file that are forwarded to the Coast 

Guard Hearing Office must contain the same photographs. If color photographs are used, both 

case copies must have color photographs. The same is true for black and white photographs. 

Often, original photographs “melt” together in the handling and delivery of mail. Paper copies 

of photographs or documents in “color” often “melt” together as well. If photographs or paper 

“color” copies are necessary, consider using overnight delivery service where possible as these 

services tend to be less damaging to items being shipped. If photographs or “color” paper copies 

are necessary to constitute “good and sufficient” evidence, black and white copies should not be 

substituted.

Also, including multiple similar or duplicate photographs is unnecessary absent a specific reason 

to do so. A photograph that supports statements in the case file is valuable as it corroborates the 

statements. A photograph that more or less shows the same thing as another photograph is 

simply a duplicate and should not be included.

CDs, DVDs, and similar media. The inclusion of CDs or DVDs and similar media in a 

case file is routine. However, from time to time, the media cannot be read. Not all Coast Guard 

personnel, Coast Guard Hearing Officers, or Charged Parties have desktop capability to read all 

media formats. When practicable, those parts of any CD or DVD that are considered necessary 

as evidence in the case file might be printed as still pictures and placed in the case file in lieu of 

submitting digital media. If CDs or DVDs are included in the case file, remember there must be 

two copies – one for the Coast Guard Hearing Officer and one for the Charged Party. 
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Both the Coast Guard Hearing Officer and the Charged Party must be able to read the CD or the 

DVD. Failure of either the Coast Guard Hearing Officer or the Charged Party to be able to read 

the CD or DVD will result in a temporary delay of the adjudication of the case until such time as 

replacement CDs / DVDs (in the case of damage) or printed still pictures (in the case of lack of 

capability to read) can be provided. Note that CDs and DVDs occasionally “melt” during mail

handling and delivery. Consider using overnight delivery service where possible as these 

services tend to be less damaging to items shipped. 

SPECIAL INFORMATION TYPES

Certain types of information require special attention. Properly address information in a case file

that is Sensitive Security Information (SSI), Personally Identifiable Information (PII), For 

Official Use Only (FOUO), or Law Enforcement Sensitive (LES). 

Sensitive Security Information (SSI). SSI is information obtained or developed in the 

conduct of transportation security activities the disclosure of which would constitute an 

unwarranted invasion of privacy, reveal trade secrets or privileged or confidential information 

obtained from any person, or be detrimental to transportation safety. Typically, security plans 

and other documents relevant to maritime security are identified as SSI. SSI requires special 

handling and marking. Seek guidance from the Sector or District before including SSI in a case 

file. 

 

Personally Identifiable Information (PII). This includes any information about an 

individual including education, financial transactions, medical history, criminal or employment 

history, and information which can be used to distinguish or trace an individual’s identity, such 

as their name, social security number (SSAN), date and place of birth, mother’s maiden name, 

etc. should not be released to anyone other than the person to whom the information belongs. If 

the information relates to a person who is not the party, the information should be redacted from 

the case documents before they are included in the case file. 

For Official Use Only (FOUO). Unclassified information of a sensitive nature and 

for which the unauthorized disclosure of which could adversely impact a person’s privacy or 

welfare, the conduct of Federal program, or other programs or operations essential to the national 

interest should not be included in the case file unless the originator has properly authorized the 

release of such material. Typically, a report or document will be marked as FOUO. If such 

documents are included in the case file, they should be stamped or marked reflecting that the 

originator has authorized release of the report or document to the public. 

Law Enforcement Sensitive (LES). This material includes law enforcement 

investigative methods; information that could obstruct impair official law enforcement or 

regulatory functions; reveal Coast Guard operations that are sensitive in nature, reveal Coast 

Guard law enforcement methods, policies, etc. As with FOUO, if such documents are included 

in the case file, they should be stamped or marked reflecting that the originator has authorized 

release of the document to the public. Often Reports of Casualty or other investigative reports 
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indicate that they may not be published or otherwise released outside the Coast Guard without 

permission of the appropriate office of the Commandant. Such reports generally do not need to 

be included in a case file forwarded for civil penalty action. The information that might be 

relevant from the report can usually be found in some other document. If the report is included 

in the case file, ensure authorization for release has been obtained and that the report is either

properly stamped or marked for release or a statement reflecting authorization for its release is 

included. 

MISCELLANEOUS

In those cases in which a Notice of Violation (NOV) “ticket” has been declined by the party, a 

copy of the front and back of the NOV “ticket” showing the declination or a letter / statement 

from the party declining the “ticket” should be included in the case file. If the party refused 

acceptance, a statement from the responsible person at the Coast Guard unit explaining the 

refusal should be included in the case file. This is important because NOV “tickets” that are not 

properly declined are not processed as civil penalty cases by the Coast Guard Hearing Office. 

In those cases in which a Letter of Undertaking (LOU) has been obtained, the original LOU must

be included in the Coast Guard Hearing Office copy of the case file. The front of the file folder 

containing the Hearing Office copy of the case file should be marked with the letters “LOU” to 

alert the Coast Guard Hearing Office that it contains an original LOU. A copy of the LOU 

should be included in the Charged Party’s copy of the case file. The original LOU remains with 

the case file through every stage of processing and through appeal in order that it is not lost or 

separated from the case to which it pertains. It is returned to the party either upon payment of 

any final assessed penalty or upon dismissal of the entire violation case. 

In those cases in which a boarding report or other type of deficiency report is issued, include a 

legible copy of the report in the case file as an exhibit/enclosure. In the case of a recreational or 

commercial fishing vessel safety inspection, the report is typically a Coast Guard Boarding 

Report (either form CG-4100 or the printout from a Personal Digital Assistant (PDA)). 

When referring to a program manual or instruction to support a violation, properly reference it 

with title and number. Where feasible and deemed appropriate for release, include a copy of the 

page as an exhibit/enclosure in the case file and mark the relevant sentences. 

If documents are two-sided, both sides of the document should be copied and included in the 

case file. Common double-sided forms are the Notice of Violation “ticket” and the Field 

Sobriety Tests (FSTs) report. 

Case files should contain all of the evidence that is relevant to the civil penalty case. 

Miscellaneous documents should not be attached to the top of a case file. Similarly, such 

documents should not be mailed under separate cover. Case files already forwarded to the Coast 

Guard Hearing Office may be supplemented with relevant evidence; in such a case forward two 

copies of the relevant evidence with a request that the Coast Guard Hearing Officer’s copy and 

the charged party’s copy be supplemented. Coast Guard Hearing Officers do not receive for 

consideration any documentation that is not intended to be also provided to the charged party. 
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The case file is an official document. All information contained in the case file should be, to the 

extent possible, accurate in content, grammar and spelling. All information should be relevant to 

the alleged violation(s) and formulation of any appropriate penalty. The case file should not 

include personal comments or expressions of opinion. 

Internal unit or agency comments and clerical notations as to the tracking and processing of the 

MISLE case or activity are inappropriate for inclusion in the case file. As mentioned above, 

such notations should not be reflected in the Enforcement Summary narrative or ASR narrative 

sections. 

EXAMPLES OF RELEVANT EVIDENCE FOR CASE TYPES

The following is meant to assist in understanding an alleged violation and making informed 

decisions. Both the Coast Guard unit originating the case file and the Charged Party may 

consider the examples below when making decisions about evidence to present to a Coast Guard 

Hearing Officer in support of their relative positions. A Coast Guard unit’s failure to provide, 

satisfy or in any manner address the below in a civil penalty case does not provide a basis for 

any type of relief to a Charged Party. Every civil penalty case will be reviewed and adjudicated 

based on all information and evidence presented in the case file. The adjudication process 

requires the independent and impartial assessment of the sufficiency, relevancy and reliability of 

any information and evidence presented. 

General examples of relevant evidence:

 1. Sunrise and sunset times for the days when the violation is alleged to have 

 occurred. 

 2. Local time of day on documentation instead of Zulu or Greenwich Mean Time 

 (GMT). Times of day should be consistent throughout the evidence / case file.

 3. Vessel information, owner information and operator information for vessel 

 cases. 

 4. Accurate boarding start and stop times. 

 5. Actual location of the violation with specific descriptions such as the anchorage, or 

 body of water and location within body of water. Placement of the vessel inside or 

 outside of the boundary line and identification of applicability of Inland Rules or 

 COLREGS. 

 6. For expired equipment, the expiration date on the equipment; for 

 serviceability of equipment, the type and condition of the equipment; for missing 

 equipment or equipment that is not located in its proper place, where the equipment 

 should have been located and if found, where it was found. 

 7. For improper visual distress signals, how were the visual distress signals 

 improper (ie, day versus night); for improper charts, why were the charts not 

 proper. 

 8. For expired fire extinguishers, how were they determined to be expired; was there 

 a fixed fire extinguishing system located in the machinery space(s).

 9. For violation for persons failing to perform certain duties and functions, what was 

 the requirement and what was that person’s explanation for the alleged failure. 
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 10. For marine sanitation device (MSD) violations, where the installed toilet was located on 

 the vessel and whether the installed toilet was operational and connected to the MSD.

 11. For survival craft violations, what kind of survival craft the vessel is required to carry and 

 why and what kind of survival craft the vessel is carrying or if there is no survival craft on 

 board. 

 12. For an expired EPIRB battery, whether the battery is installed in the EPIRB and expiration 

 date.

 13. For the lack of a hydrostatic release, where the EPIRB was stowed and why it 

 would not float free. 

 14. For vessel violations dependent on the characteristics of the vessel, the vessel length, 

 tonnage, and type of vessel (ie, fishing, oceangoing, passenger etc).

 15. For “operator” cases, how it was determined that the person named as operator was 

 identified as operator (observation and / or operator and witness statements) and where the 

 operator was located at the time of the determination.

Examples of relevant evidence for Marine Transportation Security Act (MTSA) violations:

1. Signed investigator and witness statements

2. Pictures of on-site deficiencies applicable to the violation i.e. (structural: fence, lighting, 

and signs)

3. Copy of facility’s Letter of Intent 

4. Copy of vessel’s particulars 

5. Copy of approved letter for the Facility Security Plan, Vessel Security Plan as applicable

6. Designation letter for the Facility Security Officer, Vessel Security Officer as applicable

7. A copy of the Facility Security Plan, Vessel Security Plan is generally not necessary; a 

statement as to the provisions relevant to the alleged violations and how the facility or 

vessel was not in compliance is most often sufficient

Examples of relevant evidence for Commercial Vessel (excludes commercial fishing vessel) 

violations:

1. Documentation of violation on applicable Coast Guard deficiency / compliance report 

2. Applicable Report of Marine Accident, Injury or Death (CG-2692)

3. Standard Operating Procedures i.e.,: Cargo Handling Gear Manual, Oil Transfer 

Procedures, Stowage and Segregation Manual

4. Vessel particulars

5. Pictures

6. Signed investigator and witness statements

7. Excerpts from logs that pertain to the casualty or violations: bridge log, tank soundings, 

watch logs, and applicable safety inspection logs 

8. Documents: Declaration of Cargo Manifest, Shipping Papers, Explosive Handling Permit,

Declaration of Inspection, applicable International Safety Management certificates, 

Certificate of Inspection, Certificate of Compliance

9. Copy of Merchant Mariner Document; license; Standards of Training, Certification and 

Watchkeeping (STCW); designation letters (qualified individual, alternative qualified 

individual, person-in-charge)

10. Captain of the Port orders issued with regard to a violation

11. Copy of latest tests/inspections conducted relevant to the violation
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12. Copies of past Coast Guard non-compliance reports of same violation 

Examples of relevant evidence for Advanced Notice of Arrival (ANOA) violations:

1. Copies of Captain of the Port orders, if issued 

2. History of prior expulsions and violations

3. Vessel particulars

4. Print out of SANS showing vessel not listed for specific time frame

5. Print out of MISLE showing vessel not listed for specific time frame

6. Statement from SANS confirming non-existing ANOA for vessel

7. Vessel’s Notice of Arrival (NOA) showing last five port calls

8. Statement from vessel agent

9. Statement from master of vessel

10. Statement from harbor master

11. Copy of vessel’s ANOA procedures

Examples of relevant evidence for Commercial Fishing Vessel and Recreational Vessel 

cases containing Boating Under the Influence and / or Negligent Operations violations:

1. Coast Guard boarding report (CG-4100 or PDA printout)

2. Signed statements of CG boarding officer, boarding team members and witnesses

3. When documenting Field Sobriety Test (FST) results, all items on the FST worksheet,

including initial observations must be complete and legible. 

4. For boating under the influence with refusal of a breathalyzer test, the case file must 

contain a description of how the person was directed to give a breathalyzer sample and 

how the person communicated their refusal.

5. If applicable, other assisting agency documents

6. Copy of Merchant Mariner Document, license, and other identification of persons on 

board a vessel

7. Applicable Report of Marine Accident, Injury or Death (CG-2692) 

8. Pictures and / or diagrams

9. Copy of Certificate of Inspection, if applicable

10. Copy of Certificate of Documentation, if applicable

11. Copy of vessel registration if applicable

12. For negligent operations, the “standard of care” applicable to the circumstances of the 

Case must be established. In some cases, the standard of care is based on an objective 

standard. For example, the standard of care may require adherence to: posted “No 

Wake/Speed” zones; a state law prohibiting “bow riding”; or a state law restricting vessel 

operations in close proximity to “diver-down” flags. In other cases, the standard of care 

is based upon what a reasonable person would or would not do based on the same 

circumstances. In order to prove negligent operations under the “reasonable and prudent 

standard,” there must be sufficient, objective facts to support the Coast Guard’s 

determination that the vessel operator failed to use such care that a reasonable and prudent 

person would use under the same circumstances. At a minimum, the file should include a 

specific description of how the charged party operated in a negligent manner or interfered 

with the safe operation of a vessel so as to endanger the life, limb, or property of a 

person. Details that describe who / what was in danger and how; speed of vessel, 

visibility, weather conditions, sea conditions or other details as to how reasonable care 

was not exercised by the operator should be included in the case file. 
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13. Other assisting agency documents.

14. For child personal flotation device (PFD) violations, statement including children’s 

Names, ages, and location of child at time of violation.

 15. For Certificate of Number violations, statement as to whether the Certificate of Number 

 was not on board or simply not presented.

Examples of relevant evidence for Commercial Fishing Vessel and Recreational Vessel 

cases NOT containing Boating Under the Influence and / or Negligent Operations 

violations:

1. Coast Guard boarding report (CG-4100 or PDA printout)

2. Signed statements of CG boarding officer, boarding team members and witnesses

regarding alleged violations where applicable

3. Copy of Certificate of Inspection if applicable

4. Copy of Certificate of Documentation if applicable

5. Clear description of how the violation was discovered and why the deficiency is 

considered a violation

6. Statement including children’s names, ages, and location in child personal flotation 

device (PFD) cases

7. Statement for lack of Certificate of Numbers cases describing whether it was not on 

board or simply not presented

8. Vessel particulars regarding construction, fuel compartment, firefighting system, etc 

where applicable to support alleged violations

Examples of relevant evidence for Illegal Passenger for Hire Operations,

1. The gross tonnage of the vessel. 

2. Proof that consideration was paid by at least one passenger (copies or screen shots of

receipts, money transfers, or passenger statement).

3. Copies of the bareboat charter agreement or a notation on the 4100 form or the ASR that 

no agreement exists.

4. Statement(s) from the charterer and/or passengers indicating the amount paid for the 

charter, whether payment was made to the Captain and/or crew directly or to a third party 

and whether the charterer was given a choice of Captain.

5. Statements from the Captain and crew regarding their relationship to the owner, how they 

came to serve as Captain on the voyage and who paid or would be paying the Captain. 

Evidence that establishes whether the operator was or was not enrolled in a chemical 

testing program. The master (and crew) of a vessel engaged in commercial passenger 

operations are required to be enrolled in a drug testing program. Coast Guard personnel 

should ask if these individuals are enrolled in a program. Their responses should be 

noted on either the 4100 form or the Activity Summary Report. Copies of the Captains 

license or a notation on the 4100 form or the ASR that he/she is unlicensed.

6. Copies of any COTP orders issued. 

7. A notation that explains why the life jackets were not complaint if charged for not having 

the proper type and amount of lifejackets onboard. It is not sufficient to merely write the 

CFR citation applicable to the circumstances. 

8. Copy of the vessels Certificate of Documentation if applicable. 

9. Copies of the vessels Certificate of Inspection if applicable. 
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Examples of relevant evidence for Container case violations:

1. Hazardous Materials and Intermodal Container Inspection Report (CG-5577)

2. Container number(s)

3. Documentation for the International Convention for Safe Containers (CSC) safety 

approval plate where applicable

4. Documentation of compliance with safety approval and periodic container examinations 

(ACEP) where applicable

5. Department of Transportation training records

6. Signed statements of Coast Guard inspectors, investigators, persons- in-charge, witnesses

7. Cargo Manifest

8. Documentation for noncompliant explosive containers

9. Copy of alleged improper shipping papers

10. Pictures regarding structural damage, improper blocking and bracing, improper 

packaging, placards etc.

Examples of relevant evidence for Facility case violations:

1. Pictures regarding alleged violations

2. Copy of Facility’s Letter of Intent 

3. Excerpts from the following manuals that pertain to the violation: Facility’s Operations 

Manual, Facility Response Plans and Emergency Response Plans, and Standard 

Operating Procedures

4. Copy of logs, training records, Declaration of Inspection, hydrostatic tests of equipment 

and other equipment tests where applicable

5. Designation letter for qualified individual, alternative qualified individual, person-incharge, etc. 

6. Copy of permits, i.e. hot work, explosive permits

7. Copy of certificates, i.e. Certificate of Adequacy

Examples of relevant evidence for Discharge/Pollution case violations:

1. Notice of Designation

2. Letter of Assumption

3. Administrative Order

4. Federal Project Number (FPN); CERCLA project number (CPN)

5. Oil sampling analyses when obtained to include statements as to what was sampled and 

where the samples were taken, methodology of selecting possible sources and excluding 

other sources

6. Description of location of facility, tank truck, vessel etc. and proximity to 

discharge/pollution

7. Signed statements from Coast Guard investigators, persons responsible, and witnesses

regarding how the discharge/pollution occurred, what was discharged (oil or hazardous 

substance), what was discovered (i.e., film, sheen, discoloration, sludge or emulsion), 

 where the discharge originated and where it was discovered; how the responsible person 

or entity was identified

8. Pictures regarding the discharge/pollution and surrounding area, involved vessels, 

facilities, tank trucks etc.

9. Signed statements / pictures as to the navigable waters or adjoining shoreline affected
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10. Calculations and signed statements as to the actual or estimated quantity discharged, how 

the quantity was determined or estimated

11. National Response Center notification fax if any

12. Signed statements and / or invoices as to cleanup efforts and costs

Examples of relevant evidence for Drawbridge Violations (Unreasonable Delays). 

1. Detailed evidence, including logbook entries showing times, locations, communications, 

and/or bridge mechanical issues.

2. Evidence that the vessel was on station (ready to proceed through the bridge) when the 

bridge was signaled to open.

3. Evidence establishing the method used to signal the bridge to open.

4. Evidence establishing how much time elapsed from the time the signal was given until 

the time that the bridge opened.

Examples of factors for which relevant evidence may be presented for consideration:

Coast Guard Hearing Officers may consider, and Charged Parties may submit evidence in 

defense, mitigation, and extenuation, with regard to the below factors.

 1. Type of violation

 2. Degree of seriousness of the violation

 3. The degree of the charged party’s culpability

 4. The nature, extent and degree of success of any efforts of the charged party to 

 minimize or mitigate the effects of the violation

 5. Demonstrated good faith of the charged party in attempting to achieve rapid 

 compliance after notification of the violation

 6. Whether the charged party was able to continue the activity or business despite the 

 violation

 7. Prior violation history

 8. Other aggravating or mitigating factors