Adjudicate civil penalty cases in support of the Commandant’s maritime safety and security strategy to compel compliance with federal laws and 

regulations, and deter violations in the maritime domain. By balancing national interests, fairness, and the fundamental right to due process, we 

promote protection of the environment, and the safety and security of vessels, facilities, ports, and waterways. 

Newsletter Date 

OCTOBER 2009 

Volume 6 Coast Guard Hearing Office 

Detachment 

“Hearing Office is our Name, 

Maritime Safety and Security is our Aim” 

GREETINGS 

From CAPT R. Trabocchi, USCG 

Commanding Officer, Coast Guard Hearing Office Detachment 

Greetings,

Another summer boating season has come to an end and 

we have again seen a number of boating under the influence violations and a variety of vessel safety violations. 

As of this writing, all of the violation cases sent to the 

Coast Guard Hearing Office Detachment have been processed through the preliminary assessment stage. We 

continue to urge all units and processing officials to not 

delay sending us those violation cases that you have determined to warrant civil penalty action. In order that 

the civil penalty process has a meaningful and positive 

impact on the goal to gain regulatory compliance, we 

must process these violations on a timely basis. Therefore, please do not delay in forwarding such violation 

cases to us. Violation case files for pollution, notice of 

arrival, security (vessel, facility, port) and other nonsafety vessel issues can be forwarded upon completion of 

any investigation or inspection. 

In this issue we provide a bit of information about the 

members of the Coast Guard Hearing Office Detachment. We also describe the civil penalty process options 

afforded to persons who receive a preliminary assessment letter from us. Finally, we review some topics that 

we have not addressed before. 

These newsletters have provided much information over 

the last year and we are seeing positive impact of that 

information on both Coast Guard field personnel and 

members of the boating public. We very much appreciate your attention to the information provided. Violation 

case files are better prepared and members of the boating public are better informed when exercising their options to comment regarding violations. 

These newsletters will be posted on our website 

www.uscg.mil/legal/cgho and on the Coast Guard’s website HOMEPORT. 

 

 

HEARING OFFICE NEWS 

With modernization, the Coast Guard Hearing Office became the Coast Guard Hearing Office Detachment. The 

Coast Guard Hearing Office Detachment is an element of 

the Office of The Judge Advocate General, United States 

Coast Guard. 

The chief of the office is currently the Commanding Officer, a Coast Guard officer in the rank of Captain. This 

member is a Coast Guard Judge Advocate (attorney) and 

holds legal and marine safety competencies. 

There are two Hearing Officers on staff at this time. The 

two Hearing Officers are technical personnel and hold 

competencies entitling them to wear the Marine Safety 

Insignia. Both are of the rank of Commander. 

There are three personnel at this time assigned to the 

Administrative Support Staff. Two are Yeoman Third 

Class Petty Officers and the other is a civilian employee. 

One YN3, with us since August 2007, started out as a 

Seaman (SN) and struck the yeoman rate coming to us 

from CGC STEADFAST. The other YN3, with us since 

2006, started out as a Fireman (FN), attended Yeoman 

“A” school and came to us from CGC COCHITO. The civilian employee has been with the Coast Guard Hearing 

Office Detachment since August 2008, and previously was 

with the Department of Justice, Executive Office of Immigration Review in the position of Office Automation Assistant. 

Although a small staff at the current time, they manage 

the timely handling and adjudication of all violation case 

files through an informal, administrative process that 

assesses civil penalties. The penalty assessed may be a 

warning or may be a monetary amount. Both warnings 

and monetary amounts create a violation history for the 

party. The maximum amount of a monetary penalty is 
Coast Guard Hearing Office Detachment Vol : VI Newsletter Date: Oct 2009

Hearing Office is our Name, Maritime Safety and Security is our Aim

limited by statute; however, monetary penalties can be 

very large. The staff of the Coast Guard Hearing Office 

Detachment takes its work very seriously. Every violation case is carefully reviewed, every mariner is given 

the opportunity to comment and present evidence, and 

every final determination, whether warning or monetary 

assessment, is achieved only after the deliberate weighing of all evidence. 

* * * * * * * * 

THE PUBLIC IN OUR PROCESS

YN3 Victor A. Anderson and YN3 Christopher J. Brown 

Every violation case adjudicated by the Coast Guard 

Hearing Office Detachment has a “party.” This “party” 

is a member of the public. It is either a recreational 

boater, commercial mariner, commercial entity or governmental entity. Regardless, there is always a “party” 

who receives our preliminary assessment letter. What 

can that “party” do when it receives our letter? What 

are the options afforded to this party? 

If you are the party receiving a preliminary assessment 

letter from the Coast Guard Hearing Office Detachment, 

don’t panic! There are options available to you and you 

are encouraged to exercise those options. 

Included with the preliminary assessment letter is a 

copy of the violation case file that the Coast Guard Hearing Office Detachment received from the Coast Guard 

processing official responsible for a particular unit’s violation cases. This case file contains the evidence that the 

unit personnel gathered to support that a violation occurred and that the party charged is responsible. 

The first thing that a party should do after reading over 

the letter and case file is to READ “Your Alternatives in 

the Coast Guard Civil Penalty Process” pamphlet, which 

is included with the preliminary assessment letter. This 

pamphlet guides the party in the options that are available. One of the options is to pay the preliminary civil 

penalty amount. Upon the Coast Guard receiving payment, the case is closed and the party doesn’t hear from 

the Hearing Officer again regarding the violations identified in that particular case. The second option is to set 

up a payment plan to pay the preliminary civil penalty 

amount by contacting the Coast Guard’s collection office. 

However, the party may have corrected the violation before or after receiving the preliminary assessment letter. 

In such cases, the Coast Guard Hearing Office Detachment gives the party an opportunity to submit evidence 

of compliance. By doing this, the party can show that one 

or more violations in the case file have been corrected. 

 

The party may write the Hearing Officer and submit 

photographs, copies of receipts, diagrams or any other 

evidence relating to compliance efforts. This evidence 

would be considered during the Hearing Officer’s final 

determination in the case. 

The party may dispute the violations or the preliminary 

assessed amount. Here again, the party may write to 

the Hearing Officer and submit evidence to show that 

the violation did not occur, explain why the violation occurred and / or why the penalty amount should be less 

than the amount preliminarily assessed. 

In other words, a party may submit its “case” in writing 

to the Hearing Officer in lieu of requesting a hearing. 

However, a party may request a hearing to present its 

“case.” Any request for a hearing must be done in writing. The request must detail the issues that the party 

wishes to dispute at the hearing. 

Whether the party desires to submit evidence in writing 

in lieu of a hearing or request a hearing, the party may 

request an extension for more time to gather evidence or 

witnesses. 

Responses to the preliminary assessment letter must be 

made within 30 days of receiving the preliminary assessment letter. Parties are reminded to make sure the case 

file’s “Activity Number” is on any letter sent to the 

Hearing Officer and to not forget to sign the letter. 

If the party receives a “Warning” as a preliminary assessment for any particular violation, the party may do 

nothing. A “Warning” may be simply accepted by the 

party or it may be disputed by the party. In such a case, 

a monetary assessment is not assessed. 

In any case in which a preliminary monetary civil penalty was assessed, if the party chooses to do nothing, the 

preliminary civil penalty amount assessed becomes the 

final penalty assessed after 30 days and the case is forwarded to the collections office for further action. 

Parties in the civil penalty process are ENCOURAGED 

always to read the “Your Alternatives in the Coast 

Guard Civil Penalty Process” pamphlet sent with every 

preliminary assessment letter. It is in the best interests 

of every charged party to know and exercise the options 

afforded to them in this process. 

See our website shown on page one under 

Greetings to view the pamphlet online. 
Coast Guard Hearing Office Detachment Vol : VI Newsletter Date: Oct 2009

Hearing Office is our Name, Maritime Safety and Security is our Aim

SUMMER LESSONS 

CDR Evan D. Hudspeth 

As expected this summer, there was an increased number 

of boating under the influence (BUI), negligent operations 

(NEGOPS), certificate of number (CON), and personal 

floatation devices (PFDs) cases, simply due to the volume 

of recreational boaters and mariners on the water. In 

this article, we highlight some of the summer lessons 

learned. 

For BUI and NEGOPS cases the charged party is always 

the operator of the vessel. It remains helpful for the 

boarding officer to establish who was operating the vessel 

by including clear and detailed observations as evidence 

in the case file. Frequently the case file provides substantial evidence to support negligence or boating under the 

influence. The same substantial evidence to establish 

who was operating the vessel will assist the Hearing Officer in making a fair determination. There is no difference in the seriousness of driving a car or operating a 

boat while intoxicated, and the boating public is encouraged to always assign a “designated driver” as an appropriate precaution. 

For CON cases, the vessel operator is typically charged, 

because as is required with a motor vehicle, the registration must be available for inspection when requested. 

This requirement comes from Title 33, Code of Federal 

Regulations, Part 173.25 which states, “No person may 

use a vessel to which this part applies unless the certificate or lease or rental agreement required by 173.21 is 

carried on board in such a manner that it can be handed 

to a person authorized under 173.23 to inspect it.” If the 

vessel is being leased or rented, we frequently see the 

owner charged with the violation. The owner has a responsibility to ensure that the renter/lessee not only has 

the CON on board , but also that the renter/lessee knows 

where it is located in order to produce it upon request. 

There is an exception for renting/leasing for less than 7 

days that allows the CON to remain on shore with the 

owner but the renter/lessee must have the rental or lease 

agreement on board. 

Finally, for PFD cases, the operator or owner is charged, 

depending on the circumstances. Attention must be given 

to the number of persons on board (POBs), because the 

number of PFDs required is directly related to the number of POBs. Additionally, the age and location of children must be specified. Attention must also be given to 

state regulations which may differ from and take precedence over federal regulations. If the charge pertains to 

serviceability, then an explanation must be included to 

describe how the PFD is unserviceable. 

Frequently boaters claim that they were unaware that 

a Type IV throwable PFD is required when a vessel is 

greater than 16 feet in length. Depending on the circumstances of the violation the boarding officer may 

issue a written warning as indicated in 33 CFR 1.08 or 

process the violation for civil penalty. 

* * * * * * * * 

ENFORCEMENT OF COMMERCIAL FISHING VESSEL SURVIVAL CRAFT REQUIREMENTS

CDR Mark E. Hammond 

Compliance with commercial fishing vessel safety regulations is vitally important. As Rear Admiral Watson 

stressed in the most recent update of the Commercial 

Fishing Vessel Safety Digest – “Commercial fishing has 

consistently remained one of the most dangerous occupations in the nation. While the number of deaths 

among commercial fishers has been decreasing on average, the rate is still many times higher than any other 

marine industry. Ensuring that vessels are in full compliance with safety requirements and crews are trained 

in safety and survival techniques, we all can contribute 

to improving the safety of the commercial fishing industry.” 

This article provides a brief overview of the commercial 

fishing vessel (CFV) survival craft regulations. It focuses on some key areas of emphasis that should be 

considered when units are processing regulatory enforcement cases for Hearing Officer adjudication. 

Applying the CFV survival craft carriage requirements 

can be challenging. We occasionally receive cases from 

the field where a party is either improperly cited or the 

case cannot be processed due to insufficient evidence to 

support the alleged violation. Common issues are 

sometime due to a simple oversight but in most cases 

they are the result of improper application of the regulations or lack of critical information in the case file. 

Survival craft carriage requirements are contained in 

46 CFR 28.120. This part applies to all U.S. flag, uninspected vessels that are engaged in commercial fishing, 

fish processing, or fish tender vessels. This applies to 

documented vessels and vessels numbered (registered) 

by a state. Specific carriage requirements vary significantly depending a number of factors, including the vessel’s documentation status, the number of individuals 

on board, the vessel’s area of operation, 

and the temperature of water the vessel 

operates in. 

When processing an enforcement case 
Coast Guard Hearing Office Detachment Vol : VI Newsletter Date: Oct 2009

Hearing Office is our Name, Maritime Safety and Security is our Aim

for an alleged violation of survival craft carriage requirements, careful consideration should be given to capturing and documenting the following essential elements of 

information. 

Vessel details / Number of individuals on board

Specific requirements for survival craft are contained in 

46 CFR 28.120 and are listed within tables 28.120(a), 

28.120(b), and 28.120(c). The tables breakdown the requirements for the following categories of vessels: 

⇒ Documented vessels 

⇒ Undocumented vessels with not more than 16 individuals on board 

⇒ Undocumented vessels with more than 16 individuals on board 

A detailed description of vessel type (documented or undocumented) should be included in any boarding writeup as well as an accurate count of the number of individuals on board. The vessels must carry the appropriate survival craft in an aggregate capacity to accommodate the total number of individuals on board. 

Location, location, location: 

Location information is crucial for processing a violation 

case under the survival craft regulations. This information is used to establish carriage requirements based on 

distance from the coastline, and is also used in making 

cold water determinations which can significantly alter 

specific carriage requirements. It is vitally important to 

document the location of the boarding and to verify its 

accuracy. It is also important to ascertain and document 

the vessel’s typical route. The specific areas of vessel 

operation that trigger the various survival craft requirements are identified in the regulations as follows: 

⇒ Beyond 50 miles of the coastline 

⇒ Between 20 and 50 miles of the coast line 

⇒ Beyond the boundary line within 20 miles of the 

coastline 

⇒ Beyond the boundary line, within 12 miles of the 

coastline 

⇒ Inside the boundary line, or lakes, bays, sounds, or 

rivers 

⇒ Great Lakes (beyond and within 3 miles of the coastline) 

Cold vs. Warm water

Water temperature is another key factor in properly determining survival craft carriage requirements. For example: a 37 foot documented CFV that is operating 10 

miles from the coastline in cold waters is required to 

carry an Inflatable Buoyant Apparatus. 

Whereas the same vessel if operating the same distance 

from the coastline in warm waters is required to 

carry a Life Float. For the purposes of this regulation, 

cold waters means water where the monthly mean low 

water temperature is normally 59o F or less. Detailed 

information regarding cold water determinations with 

associated chartlets broken-down by month, for the Atlantic and Pacific Ocean are contained in Navigation and 

Vessel Inspection Circular No. 7-91; available via: homeport.uscg.mil within the “Library” tab. 

Exceptions

The requirements discussed above do not apply to vessels less than 36 feet, with three or fewer individuals on 

board that operate within 12 miles of the coastline. For 

vessels greater than 36 feet with 3 or fewer individuals 

on board and operating within 12 miles of the coast line, 

they may substitute a Buoyant Apparatus for the survival craft requirement. 

Always remember, details are important! A well documented, detailed violation case can go a long way toward 

gaining compliance with laws and regulations and deterring future violations, and thereby ultimately improving 

the safety of the commercial fishing industry. 

* * * * * * * * 

K N O T 

(Knowledge Note Or Tip) 

Doing a commercial fishing vessel (CFV) 

inspection? Did you read the above? Great! But wait! 

To properly determine whether the vessel is equipped 

with the right survival craft you need to know what are 

the different kinds of survival craft. Here’s some help 

from the Coast Guard’s Commercial Fishing Vessel 

Safety Flyer Issue 16, Survival Craft. 

Inflatable Life Raft: Inflatable Buoyant Apparatus: 

Series 160.151 / .051 Series 160.010 

Life Float:: Buoyant Apparatus: 

Series 160.027 Series 160.010 
Coast Guard Hearing Office Detachment Vol : VI Newsletter Date: Oct 2009

Hearing Office is our Name, Maritime Safety and Security is our Aim

Rigid liferaft: 

Series 160.018 / .118 

A buoyant apparatus may be substituted for the otherwise required survival craft on a vessel more than 36 

feet in length with 3 or fewer persons on board and 

which operates within 12 miles of the coastline. 

There are strict regulations regarding the requirements 

for survival craft and a careful reading of 46 CFR 28.120 

is absolutely necessary when determining whether a vessel’s survival craft meets regulatory requirements. 

* * * * * * * *

JUST FOR FUN 

Alicia Scott 

HOW WELL DO YOU KNOW YOUR 

U.S. COAST GUARD? 

Test your knowledge to see if you can fill in the blanks or 

answer the right question! No cheating although should 

you need help you can find the answers on the last page 

of this newsletter. 

1. ______________ _______________ Is the only member 

of the U.S. Coast Guard to earn the Medal of Honor. 

2. The U.S. Coast Guard, at the time known as the 

Revenue Cutter Service, was founded on ____________ 

__th __________ by ______________ ________________. 

3. The formal name for a member of the Coast Guard 

is... 

A. Joe Coastie B. Guardian 

C. Coast Guardsman D. Coastie 

4.Semper Paratus the theme song of the U.S. Coast 

Guard, was originally written in the year _________ by 

CAPT ___________ ______________ ______________ 

____________ and then later revised in 1943 and 1969. 

5. Raymond Loewy was one of the best known industrial 

designers in the 20th century, not only has he designed 

famous logos that we recognize today such as Shell, 

Greyhound and Lucky Strike, He created a very popular 

service mark in 1964 known as the ____________ 

____________. 

6. In the Coast Guard you may hear the term 

___________ ___________ used by the officer in charge for 

a job well done. 

 

7. What are the U.S. Coast Guard Colors? 

A Red, Blue, White B. Yellow, Blue, Red 

C. Purple, Red, White D. White, Blue, Orange 

8. This award was established in November of 1973 and 

is awarded in the name of the Commandant of the 

United States Coast Guard. 

A. Coast Guard Meritorious Unit Commendation 

B. Coast Guard Unit Commendation 

C. Presidential Unit Citation 

D. Coast Guard E Ribbon 

9. What tragedy that happened on April 14, 1912 led to 

the establishment of the Ice Patrol. 

A. The Assassination of President Lincoln 

B. The Sinking of the R.M.S. Titanic 

C. The Death of Jack Dawson 

D. The Bombay Explosion in the Bombay Harbor. 

10. In the Year ___________, the first Coast Guard Air 

Station was established in Morehead City, North Carolina. 

* * * * * * * * 

 

DECKPLATE RIVETS 

+For the rules of the road violations, 

location always matters. If the vessel is 

in COLREGS waters, the proper violation cite comes from 33 USC 1600 and 

its related provisions. If the vessel is in INLAND waters, the proper violation cite comes from 33 USC 2001 

and its related provisions. Implementing rules and additional provisions can be found in 33 CFR 80 – 90. 

+A boating under the influence (BUI) violation requires knowing whether the State has identified a different blood alcohol concentration (BAC) level than the .08 

for operators of recreational vessels. If so, the State 

level applies. Always, the federal level of .04 for operators of commercial vessels applies. 

+Not all regulations apply to all vessels. For example, 

when determining whether a vessel’s ventilation system 

is in accordance with regulation, be sure to read the applicable regulations and pick the one that applies. 46 

CFR 25-40-1(a) applies to all motorboats or motor vessels except open boats, etc. 33 CFR 175.201 applies to 

vessels built after 7/31/1980 that use gasoline engines, 

etc. A violation of 33 CFR 175.201 means that the vessel 

doesn’t meet in some fashion the requirements of 33 

CFR 183.610 (a), (b), (d), (e), and (f), and 183.620(a). 
Coast Guard Hearing Office Vol : IV Newsletter Date: Apr 2009 

Hearing Office is our Name, Maritime Safety and Security is our Aim

At all times, it is necessary to thoroughly read the applicability sections of the regulations to correctly identify a 

violation. 

+A copy of the entire violation case file is routinely 

provided to the party with the Hearing Officer’s first letter to the party. The violation case file is no place for 

comments that detract from the highest standards of 

professionalism. See THE REFLECTION OF PROFESSIONALISM article in our newsletter, Vol I, May 2008. 

+Processing officials should pay close attention to the 

exhibits in a violation case file. All exhibits should be 

labeled. All exhibits should be listed on the Enforcement 

Summary exhibit list with the exact label found on the 

exhibit. Anything other than the Enforcement Summary, Activity Summary Report (ASR), CG-4100 (or 

PDA printout) or compliance incentive letter should be 

considered as an exhibit. Remember if the party can’t 

match the exhibit list to the exhibit labels or if it appears an exhibit is missing, the case file is deficient and 

will be returned for correction. 

* * * * * * * *

WHAT’S IN A NUMBER? 

A number is nothing in and of itself. A number is a creation used in counting and measuring. Numbers can convey “magnitude “ or “degree.” Numbers are relative and 

can be expressed as a ratio or percentage. Sometimes 

numbers are used simply as convenience for certain 

functions such as telephone numbers, lock combinations, 

etc. Today we hear much about business measures or 

business metrics. Often these “metrics” are used to 

measure the success or failure of a desired outcome. 

Here’s some metrics that provide a glimpse into “how it 

goes” at the Coast Guard Hearing Office Detachment: 

Number of case files received by the Coast Guard Hearing Office with violation dates in 2007: 1,448 

Number of case files received by the Coast Guard Hearing Office with violation dates in 2008: 935 

Number of case files received by the Coast Guard Hearing Office with violation dates in 2009: 611 

Number of case files received by the Coast Guard Hearing Office Jul 2009—Sep 2009 regardless of violation 

date: 414 

Number of preliminary assessments issued Jul 2009—

Sep 2009: 423 

Number of final assessments issued Jul 2009—Sep 2009: 

203 

Number of violation case files returned to the 

program manager for deficiencies Jul 2009—Sep 

2009: 11 

 

Number of hearings held Jul 2009—Sep 2009: 9 

* * * * * * * *

The Coast Guard Hearing Office Detachment has new 

mailing information. We have not moved but our address has been modified to facilitate use of a centralized 

mailing facility. Letters and packages failing to have the 

exact mailing information as displayed below are undeliverable to us. Please note the following and correct 

your records. 

Our address should appear as follows on all mailings: 

Commanding Officer 

U. S. Coast Guard 

Coast Guard Hearing Office Detachment 

CG HO MS 7160 

4200 Wilson Boulevard, Suite 600 

Arlington, VA 20598-7160 

* * * * * * * *

ANSWERS TO JUST FOR FUN! 

1. DOUGLAS MUNRO 

2. AUGUST 4, 1790 BY ALEXANDER 

HAMILTON 

3. C—COAST GUARDSMAN 

4. 1927 BY CAPT FRANCIS SALTUS VAN 

BOSKERCK 

5. RACING STRIPE 

6. BRAVO ZULU 

7. D—WHITE, BLUE, ORANGE 

8. A—COAST GUARD MERITORIUS UNIT COMMENDATION 

9. B—THE SINKING OF THE RMS TITANIC 

10. 1920 

Coast Guard Hearing Office Detachment Vol : VI Newsletter Date: Oct 2009