StatA

§ 1.01–85

33 CFR Ch. I (7–1–09 Edition)
Guard, including authority to issue
regulations regarding the functions of
the Coast Guard and the authority to
redelegate and authorize successive redelegations of that authority within
the Coast Guard.
(c) The Commandant has reserved the
authority to issue any rules and regulations determined to be significant
under Executive Order 12866, Regulatory Planning and Review.
(d) The Commandant has redelegated
the authority to develop and issue
those regulations necessary to implement laws, treaties and Executive Orders to the Assistant Commandant for
Marine Safety, Security and Stewardship (CG–5). The Commandant further
redelegates this same authority to the
Director, National Pollution Fund Center (Director, NPFC) for those regulations within the Director, NPFC area
of responsibility.
(1) The Assistant Commandant for
Marine Safety, Security, and Stewardship may further reassign the delegated authority of this paragraph to:
(i) Any Director within the CG–5 Directorate as appropriate; or
(ii) Any other Assistant Commandant
as appropriate.
(2) The authority redelegated in paragraph (d) of this section is limited to
those regulations determined to be
nonsignificant within the meaning of
Executive Order 12866.
(e)(1) The Commandant has redelegated to the Coast Guard District Commanders, with the reservation that this
authority must not be further redelegated except as specified in paragraph
(i) below, the authority to issue regulations pertaining to the following:
(i) Anchorage grounds and special anchorage areas.
(ii) The designation of lightering
zones.
(iii) The operation of drawbridges.
(iv) The establishment of Regulated
Navigation Areas.
(v) The establishment of safety and
security zones.
(vi) The establishment of special
local regulations.
(2) This delegation does not extend to
those matters specified in paragraph
(c) of this section or rules and regulations which have been shown to raise

(2) Take any other action that constitutes intervention under the Intervention on the High Seas Act [33 U.S.C.
1471, et seq.] or other applicable laws.
For purposes of this section, ‘‘intervention’’ means any detrimental action
taken against the interest of a vessel
or its cargo without the consent of the
vessel’s owner or operator.
[CGD 91–225, 59 FR 66484, Dec. 27, 1994, as
amended by CGD 96–026, 61 FR 33662, June 28,
1996; CGD 97–023, 62 FR 33361, June 19, 1997;
USCG–2002–12471, 67 FR 41331, June 18, 2002]

§ 1.01–85 Redelegation.
Except as provided in § 1.01–80(e)(1)
and (2), each Coast Guard officer to
whom authority is granted in § 1.01–80
may redelegate and authorize successive redelegations of that authority
within the command under the officer’s
jurisdiction, or to members of the officer’s staff.
[CGD 91–225, 59 FR 66485, Dec. 27, 1994]

§ 1.01–90 Commissioned, warrant, and
petty officers.
Any commissioned, warrant, or petty
officer of the United States Coast
Guard may be authorized to carry out
the functions delegated to superior officials under §§ 1.01–1, 1.01–20, 1.01–30,
1.01–70, and 1.07–80, or redelegated
under § 1.01–85, within the jurisdiction
of the cognizant official. They will do
so under the supervision and general
direction of that official.
[CGD 91–225, 59 FR 66485, Dec. 27, 1994]

Subpart 1.05—Rulemaking
AUTHORITY: 5 U.S.C. 552, 553, App. 2; 14
U.S.C. 2, 631, 632, and 633; 33 U.S.C. 471, 499; 49
U.S.C. 101, 322; Department of Homeland Security Delegation No. 0170.1.

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SOURCE: CGD 95–057, 60 FR 34148, June 30,
1995, unless otherwise noted.

§ 1.05–1 Delegation of rulemaking authority.
(a) The Secretary of Homeland Security is empowered by various statutes
to issue regulations regarding the functions, powers and duties of the Coast
Guard.
(b) The Secretary of Homeland Security has delegated much of this authority to the Commandant, U.S. Coast

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Coast Guard, DHS

§ 1.05–10
and guidance for all Coast Guard regulatory activity.

substantial issues or to generate controversy.
(f) Except for those matters specified
in paragraph (c) of this section, the
Commandant has redelegated to Coast
Guard Captains of the Port, with the
reservation that this authority must
not be further redelegated, the authority to establish safety and security
zones.
(g) The Commandant has redelegated
to Coast Guard District Commanders,
Captains of the Port, the Assistant
Commandant for Operations, and the
Assistant Commandant for Marine
Safety, Security and Stewardship, the
authority to make the certification required by section 605(b) of the Regulatory Flexibility Act (Sec. 605(b), Pub.
L. 96–354, 94 Stat. 1168 (5 U.S.C. 605)) for
rules that they issue.
(h) The Chief, Office of Regulations
and Administrative Law (CG–0943), has
authority to develop and issue those
regulations necessary to implement all
technical, organizational, and conforming amendments and corrections
to rules, regulations, and notices.
(i) The Commandant has redelegated
to the Coast Guard District Commanders the authority to redelegate in
writing to the Captains of the Port
(COTP), with the reservation that this
authority must not be further redelegated, the authority to issue such special local regulations as the COTP
deems necessary to ensure safety of life
on the navigable waters immediately
prior to, during, and immediately after
regattas and marine parades.

[CGD 95–057, 60 FR 34148, June 30, 1995, as
amended by USCG–2003–15404, 68 FR 37740,
June 25, 2003]

§ 1.05–10

[CGD 95–057, 60 FR 34148, June 30, 1995, as
amended by CGD 96–026, 61 FR 33662, June 28,
1996; CGD 97–023, 62 FR 33361, June 19, 1997;
USCG–2003–14505, 68 FR 9534, Feb. 28, 2003;
USCG–2003–15404, 68 FR 37740, June 25, 2003;
USCG–2008–0179, 73 FR 35001, June 19, 2008;
USCG–2009–0416, 74 FR 27437, June 10, 2009]

§ 1.05–5 Marine Safety and Security
Council.

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Regulatory process overview.

(a) Most rules of local applicability
are issued by District Commanders and
Captains of the Port, while rules of
wider applicability are issued by senior
Coast Guard officials at Coast Guard
Headquarters, For both significant
rulemaking (defined by Executive
Order 12866, Regulatory Planning and
Review) and non-significant rulemaking, other than those areas delegated to District Commanders and Captains of the Port, the regulatory process begins when an office chief with
program responsibilities identifies a
possible need for a new regulation or
for changes to an existing regulation.
The need may arise due to statutory
changes, or be based on internal review
or public input. Early public involvement is strongly encouraged.
(b) After a tentative significant regulatory approach is developed, a significant regulatory project proposal is submitted to the Marine Safety and Security Council for approval. The proposal
describes the scope of the proposed regulation, alternatives considered, and
potential cost and benefits, including
possible environmental impacts. All
significant regulatory projects require
Marine Safety and Security Council
approval.
(c) Significant rulemaking documents must also be approved by the
Commandant of the Coast Guard.
(d) If the project is approved, the necessary documents are drafted, including documents to be published in the
FEDERAL REGISTER. These may include
regulatory evaluations, environmental
analyses, requests for comments, announcements of public meetings, notices of proposed rulemakings, and
final rules.

The Marine Safety and Security
Council, composed of senior Coast
Guard officials, acts as policy advisor
to the Commandant and is the focal
point of the Coast Guard regulatory
system. The Marine Safety and Security Council provides oversight, review,

[CGD 95–057, 60 FR 34148, June 30, 1995, as
amended by USCG–2003–14505, 68 FR 9534,
Feb. 28, 2003; USCG–2003–15404, 68 FR 37740,
June 25, 2003; USCG–2008–0179, 73 FR 35001,
June 19, 2008]

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§ 1.05–15

33 CFR Ch. I (7–1–09 Edition)
it will follow the procedure outlined in
this subpart. The Coast Guard may
publish a notice acknowledging receipt
of a petition for rulemaking in the
FEDERAL REGISTER.
(c) Any petition for rulemaking and
any reply to the petition will be kept
in a public docket open for inspection.

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§ 1.05–15 Public participation.
The Coast Guard considers public
participation essential to effective
rulemaking, and encourages the public
to participate in its rulemaking process. Coast Guard policy is to provide
opportunities for public participation
early in potential rulemaking projects.
Generally, the Coast Guard will solicit
public input by publishing a notice of
public meeting or request for comments in the FEDERAL REGISTER. Advance Notices of Proposed Rulemaking,
Notices of Proposed Rulemaking, Supplemental Notices of Proposed Rulemaking, and Interim Rules will usually
provide 90 days, or more if possible,
after publication for submission of
comments. This time period is intended to allow interested persons the
opportunity to participate in the rulemaking process through the submission of written data and views. However, certain cases and circumstances
may make it necessary to provide a
shorter comment period. Public meetings may also be held to provide an opportunity for oral presentations. The
Coast Guard will consider the comments received and, in subsequent rulemaking documents, will incorporate a
concise general statement of the comments received and identify changes
from a proposed rule based on the comments.

[CGD 95–057, 60 FR 34148, June 30, 1995, as
amended by USCG–2003–15404, 68 FR 37740,
June 25, 2003; USCG–2008–0179, 73 FR 35001,
June 19, 2008]

§ 1.05–25

Public docket.

(a) A public docket is maintained
electronically for each petition for
rulemaking and each Coast Guard rulemaking project and notice published in
the FEDERAL REGISTER. Each docket
contains copies of every rulemaking
document published for the project,
public comments received, summaries
of public meetings or hearings, regulatory assessments, and other publiclyavailable information. Members of the
public may inspect the public docket
and copy any documents in the docket.
Public dockets for Coast Guard
rulemakings are available electronically at http://www.regulations.gov. To
access a rulemaking, enter the docket
number associated with rulemaking in
the ‘‘Search’’ box and click ‘‘Go >>.’’
These documents are also kept at a
Docket Management Facility maintained by the Department of Transportation, West Building, room W12–140,
1200 New Jersey Avenue, SE., Washington, DC 20590.
(b) The public dockets for Coast
Guard rulemaking activity initiated by
Coast Guard District Commanders are
available for public inspection at the
appropriate Coast Guard District office
or online at http://www.regulations.gov.
Paragraph (a) of this section describes
how to access and view these documents.
(c) The public dockets for Coast
Guard rulemaking activity initiated by
Captains of the Port are available for
inspection at the appropriate Captains
of the Port Office or online at http://
www.regulations.gov. Paragraph (a) of
this section describes how to access
and view these documents.

§ 1.05–20 Petitions for rulemaking.
(a) Any member of the public may petition the Coast Guard to undertake a
rulemaking action. There is no prescribed form for a petition for rulemaking, but the document should provide some supporting information as to
why the petitioner believes the proposed rulemaking is necessary and the
document should clearly indicate that
it is a petition for rulemaking. Petitions should be addressed to the Executive Secretary, Marine Safety and Security Council (CG-0943), United States
Coast Guard Headquarters, 2100 Second
Street SW., Washington, DC 20593–0001.
(b) The petitioner will be notified of
the Coast Guard’s decision whether to
initiate a rulemaking or not. If the
Coast Guard decides not to pursue a
rulemaking, the petitioner will be notified of the reasons why. If the Coast
Guard decides to initiate rulemaking,

[USCG–2008–0179, 73 FR 35001, June 19, 2008]

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Coast Guard, DHS

§ 1.05–55

§ 1.05–30 Advance notice of proposed
rulemaking (ANPRM).
An advance notice of proposed rulemaking may be used to alert the affected public about a new regulatory
project, or when the Coast Guard needs
more information about what form proposed regulations should take, the actual need for a regulation, the cost of a
proposal, or any other information.
The ANPRM may solicit general information or ask the public to respond to
specific questions.

interim rule has been in place for some
time, or the interim rule only implements portions of a proposed rule,
while other portions of the proposed
rule are still under development.
(b) An interim rule will be published
in the FEDERAL REGISTER with an effective date that will generally be at least
30 days after the date of publication.
After the effective date, an interim
rule is enforceable and is codified in
the next annual revision of the appropriate title of the Code of Federal Regulations.

§ 1.05–35 Notice of proposed rulemaking (NPRM).
Under the Administrative Procedure
Act (APA), 5 U.S.C. 553, an NPRM is
generally published in the FEDERAL
REGISTER for Coast Guard rulemakings.
The NPRM normally contains a preamble statement in sufficient detail to
explain the proposal, its background,
basis, and purpose, and the various
issues involved. It also contains a discussion of any comments received in
response to prior notices, a citation of
legal authority for the rule, and the
text of the proposed rule.

§ 1.05–50 Final rule.
In some instances, a final rule may
be issued without prior notice and comment. When notice and comment procedures have been used, and after all
comments received have been considered, a final rule is issued. A final rule
document contains a preamble that
discusses comments received, responses
to comments and changes made from
the proposed or interim rule, a citation
of legal authority, and the text of the
rule.
§ 1.05–55 Direct final rule.
(a) A direct final rule may be issued
to allow noncontroversial rules that
are unlikely to result in adverse public
comment to become effective more
quickly.
(b) A direct final rule will be published in the FEDERAL REGISTER with
an effective date that is generally at
least 90 days after the date of publication.
(c) The public will usually be given at
least 60 days from the date of publication in which to submit comments or
notice of intent to submit comments.
(d) If no adverse comment or notice
of intent to submit an adverse comment is received within the specified
period, the Coast Guard will publish a
notice in the FEDERAL REGISTER to
confirm that the rule will go into effect
as scheduled.
(e) If the Coast Guard receives a written adverse comment or a written notice of intent to submit an adverse
comment, the Coast Guard will publish
a notice in the final rule section of the
FEDERAL REGISTER to announce withdrawal of the direct final rule. If an adverse comment clearly applies to only

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§ 1.05–40 Supplemental notice of proposed rulemaking (SNPRM).
An SNPRM may be issued if a proposed rule has been substantially
changed from the original notice of
proposed rulemaking. The supplemental notice advises the public of the
revised proposal and provides an opportunity for additional comment. To give
the public a reasonable opportunity to
become reacquainted with a rulemaking, a supplemental notice may
also be issued if considerable time has
elapsed since publication of a notice of
proposed rulemaking. An SNPRM contains the same type of information
generally included in an NPRM.
§ 1.05–45 Interim rule.
(a) An interim rule may be issued
when it is in the public interest to promulgate an effective rule while keeping
the rulemaking open for further refinement. For example, an interim rule
may be issued in instances when normal procedures for notice and comment prior to issuing an effective rule
are not required, minor changes to the
final rule may be necessary after the

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§ 1.05–60

33 CFR Ch. I (7–1–09 Edition)

part of a rule, and it is possible to remove that part without affecting the
remaining portions, the Coast Guard
may adopt as final those parts of the
rule on which no adverse comment was
received. Any part of a rule that is the
subject of an adverse comment will be
withdrawn. If the Coast Guard decides
to proceed with a rulemaking following
receipt of an adverse comment, a separate Notice of Proposed Rulemaking
(NPRM) will be published unless an exception to the Administrative Procedure Act requirements for notice and
comment applies.
(f) A comment is considered adverse
if the comment explains why the rule
would be inappropriate, including a
challenge to the rule’s underlying
premise or approach, or would be ineffective or unacceptable without a
change.

Subpart 1.07—Enforcement; Civil
and Criminal Penalty Proceedings
AUTHORITY: 14 U.S.C. 633; Sec. 6079(d), Pub.
L. 100–690, 102 Stat. 4181; 49 CFR 1.46.
SOURCE: CGD 78–82, 43 FR 54186, Nov. 20,
1978, unless otherwise noted.

§ 1.07–1 Purpose.
This part describes procedures for enforcement and administration of all
statutory penalty provisions that the
Coast Guard is authorized to enforce.
§ 1.07–5 Definitions.
(a) The term District Commander,
when used in this subpart, means the
District Commander, or any person
under the District Commander’s command, delegated to carry out the provisions of § 1.07–10(b).
(b) The term Hearing Officer means a
Coast Guard officer or employee who
has been delegated the authority to assess civil penalties.
(c) The term issuing officer means any
qualified Coast Guard commissioned,
warrant, or petty officer.
(d) The term Notice of Violation means
a notification of violation and preliminary assessment of penalty, given to a
party, in accordance with § 1.07–11.
(e) The term party means the person
alleged to have violated a statute or
regulation to which a civil penalty applies and includes an individual or public or private corporation, partnership
or other association, or a governmental
entity.

[CGD 94–105, 60 FR 49224, Sept. 22, 1995]

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§ 1.05–60

Negotiated rulemaking.

(a) The Coast Guard may establish a
negotiated
rulemaking
committee
under the Negotiated Rulemaking Act
of 1990 and the Federal Advisory Committee Act (FACA) (5 U.S.C. App. 2)
when it is in the public interest.
(b) Generally, the Coast Guard will
consider negotiated rulemaking when:
(1) There is a need for a rule;
(2) There are a limited number of representatives for identifiable parties affected by the rule;
(3) There is a reasonable chance that
balanced representation can be reached
in the negotiated rulemaking committee and that the committee members will negotiate in good faith;
(4) There is a likelihood of a committee consensus in a fixed time period;
(5) The negotiated rulemaking process will not unreasonably delay the
rule;
(6) The Coast Guard has resources to
do negotiated rulemaking; and
(7) The Coast Guard can use the consensus of the committee in formulating
the NPRM and final rule.

[CGD 93–079, 59 FR 16560, Apr. 7, 1994]

§ 1.07–10 Reporting and investigation.
(a) Any person may report an apparent violation of any law, regulation, or
order that is enforced by the Coast
Guard to any Coast Guard facility.
When a report of an apparent violation
has been received, or when an apparent
violation has been detected by any
Coast Guard personnel, the matter is
investigated or evaluated by Coast
Guard personnel. Once an apparent violation has been investigated or evaluated, a report of the investigation may
be sent to the District Commander or
other designated official in accordance
with paragraph (b) of this section or a
Notice of Violation under § 1.07–11 may

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