ALCOAST 127/24 - MAR 2024 CY2022 CIVIL PENALTY CASE OUTCOMES

R 181510Z MAR 24   MID120000966310U
FM COMDT COGARD WASHINGTON DC
TO ALCOAST
BT
UNCLAS
ALCOAST 127/24
SUBJ: CY2022 CIVIL PENALTY CASE OUTCOMES
A. 33 C.F.R. Subpart 1.07
B. Coast Guard Hearing Officer Procedural Administration of Civil
Penalty Cases, COMDTINST 16200.5C
1. This ALCOAST announces the release of the Civil Penalty Case
Outcomes (CPCO) for CY2022. The CPCO data is a compilation of the
case outcomes adjudicated by the Coast Guard Hearing Office for
all of the marine violation enforcement activities with a start
date between January 1, 2022 and January 1, 2023. This data is
available for review on the internet at:
(Copy and Paste URL Below into Browser)

https://uscg.uscg.afpims.mil/Portals/0/Headquarters/Legal/CGHO/
ALLCOAST/CY2022_Civil_Penalty_Case_Outcomes_Report.pdf

2. Civil penalty cases are referred to the Hearing Office following
a vessel boarding or examination, a regulated facility inspection,
a marine casualty investigation, or other detection or inspection
activity by a Coast Guard operational unit. In a normal year,
Coast Guard units will conduct over 6,000 commercial fishing vessel
examinations, 46,000 recreational vessel boardings, 4,800 facility
inspections, 3,000 reportable marine casualty investigations, and
10,000 pollution investigations. Not all of these activities will
result in the discovery of a violation, but where that occurs, the
civil penalty process is a valuable tool driving compliance with
rules and regulations that help ensure a safe and secure marine
transportation system. The cases outlined in the CPCO report include
only those resulting in a civil penalty; they do not include
activities that were resolved at the unit level through either
the Notice of Violation (NOV) or "ticket" program or through
compliance. In 2022, the Coast Guard processed over 700 NOVs and
over 1,000 cases were closed without referral to the Coast Guard
Hearing Office when evidence of compliance was established to the
satisfaction of the charging unit. The CPCO report also does not
include the more serious Class II civil penalties or judicial civil
penalties used for more significant events or violations.
3. The Coast Guard's civil penalty enforcement proceedings are
established in REF (A). Generally, the process includes a written
notice to the party of the alleged violation(s), along with a
complete copy of the case file, the right to make comment and
argument and provide evidence to rebut the alleged violation(s).
After the party has had the opportunity to submit material for
the Hearing Officer's consideration, the Hearing Officer makes a
final determination as to whether the violation(s) occurred as
alleged, based on a preponderance of evidence standard of proof.
If the violation(s) is found proven, the party has the right to
appeal the Hearing Officer's decision. A more comprehensive
description of the Coast Guard's civil penalty process is
contained in REF (B) and can be accessed here:
(Copy and Paste URL Below into Browser)

https://media.defense.gov/2023/May/05/2003216331/-1/-1/0/
CI_16200_5C.PDF

4. The purpose of civil penalties is to compel compliance and
aid deterrence. The penalty amounts assessed in 2022 are well below
the maximum penalties that could have been assessed because it is
Coast Guard policy to assess the smallest penalty that will achieve
compliance or deter future violations. The over $1 million dollars
assessed in civil penalties in 2022 is a testament to the hard work
and dedication of our field units in conducting thorough boardings,
inspections, and investigations and in preparing case packages that
allow the hearing office to conduct a meaningful assessment and make
an appropriate determination.
5. POC: Ms. Alicia Scott, COMDT (CGHO) Alicia.m.scott@uscg.mil
or (202)795-6240.
6. RDML R.E. Batson, Judge Advocate General and Chief Counsel
(CG-094), and RDML Wayne Arguin, Assistant Commandant for Prevention
Policy (CG-5P), send.
7. Internet release is authorized.