Pollution Responder 5.0 Recommended Enforcement Actions *

5.3 Describe the purpose of a Letter of Undertaking:

A Letter of Undertaking is an agreement by which a ship owner agrees to pay any financial decree against the vessel. The main purpose behind creating a letter of undertaking is to avoid the creditors from seizing the ship and releasing it on bond. A traditional letter of undertaking provides that, in consideration of the vessel not being seized and released on bond, the vessel owner will file a claim to the vessel and pay any judgment rendered against the vessel even if the vessel itself is subsequently lost. The COTP or OCMI has the authority to request Customs to withhold or revoke clearance (commonly referred to as a "Customs hold") in cases where the vessel has not provided an appropriate Letter of Undertaking. References: • NVIC 06-03 Ch. 2 • 33 USC 1232 (Ports and Waterways Safety Act)

5.1 Describe the elements of the following: Notice of Violation (NOV or Ticket)

A formal written notice of an apparent violation for which a predetermined monetary penalty is appropriate. References: • CG-5582 • MSM Vol. V Part C: Ch. 3: Civil Penalties • COMDINST M5582.1A (NOV User's Guide

5.2 Define each of the following penalty procedures and list the circumstances in which each might be applied. Notice of Violation

A formal written notice of an apparent violation for which a predetermined monetary penalty is appropriate. References: • CG-5582 • MSM Vol. V Part C: Ch. 3: Civil Penalties • COMDINST M5582.1A (NOV User's Guide

5.2 Define each of the following penalty procedures and list the circumstances in which each might be applied. Letter of Warning

A formal written notice of an apparent violation for which no monetary or other sanction is appropriate. A warning may be issued in lieu of a Civil penalty where the quantity of oil spilled is less than: • 50Gal from a non-commercial source • 25Gal from a Commercial source Only one Warning may be issued to a party for a discharge meeting the above criteria within a one year period. References: • MSM Vol. V Part C: Ch. 3: Civil Penalties • COMDTINST M16200.3

5.1 Describe the elements of the following: Criminal Violation

Area Maintenance & Logistics commands and District Commanders are authorized to refer cases to the U.S attorney's office. References: • 33 CFR 1.07-90 • MSM Vol. V Part C: Ch. 7: Criminal Enforcement

5.4 Describe the purpose of a Surety Bond

If allegations exist that a vessel has violated certain U.S. safety and pollution laws, the Coast Guard may request that the CBP deny or withhold the required clearance from the vessel until the vessel posts a letter of undertaking or surety bond. Before requesting a Customs Hold, the COTP or OCMI should encourage the vessel to obtain proper surety. In cases involving alleged violations of the MTSA regulations, the COTP or OCMI should first consult with the appropriate district legal office for guidance. References: • NVIC 06-03 Ch. 2 • 33 USC 1232 (Ports and Waterways Safety Act)

5.1 Describe the elements of the following: MARPOL Violation

International Convention for the prevention of Pollution from Ships. If an inspection of a foreign flagged vessel indicates a violation of the Convention, a report (CG-5437B) shall be forwarded to the vessel's Flag State for any Appropriate Action. The Port State has the Authority to Detain, Deny entry or restrict the movement of a vessel in violation of the convention until it is brought into compliance. References: • MARPOL73/78 Annex I reg. 8A • MARPOL73/78 Annex II reg. 15 • MARPOL73/78 Annex V reg. 8 • MARPOL73/78 Annex VI reg. 10

5.2 Define each of the following penalty procedures and list the circumstances in which each might be applied. Class I Civil Penalty

The Class I Civil Penalty process is used when the issuance of a warning or NOV is not appropriate. These cases are adjudicated by Coast Guard Hearing Officers. References: • MSM Vol. V Part C: Ch. 3: Civil Penalties • G-MOA Policy Letter 4-04 • 33 CFR 1.07-ENFORCEMENT AND Criminal Penalty Proceedings

5.1 Describe the elements of the following: Civil Penalty Violation

The Class I Civil Penalty process is used when the issuance of a warning or NOV is not appropriate. These cases are adjudicated by Coast Guard Hearing Officers. Maximum Penalty amount for a single discharge of oil $10,000. Maximum amount of a Civil Penalty Currently $40,000 Per incident per day. References: • MSM Vol. V Part C: Ch. 3: Civil Penalties • G-MOA Policy Letter 4-04 • 33 CFR 1.07-ENFORCEMENT AND Criminal Penalty Proceedings

5.1 Describe the elements of the following: 'Failure To Notify' Violation

The Master, Person in Charge, Owner, Charterer, Manager, or Operator of a Vessel or Facility involved in a discharge of oil must report the particulars of the incident without delay to the furthest extent Possible. References: • 33 CFR 151.15 (Vessels) • 33 CFR 153.203 (vessels or Facilities) • COMDINST M5582.1A (NOV User Guide)

5.2 Define each of the following penalty procedures and list the circumstances in which each might be applied. Judicial Civil Penalty

The Presentation of all relevant evidence and facts surrounding a specific offence to Federal District Court Judge for adjudication. Usually reserved for egregious and willful violations where the maximum penalties associated with a Class I civil penalty is deemed insufficient. References: MSM Vol. V Part C: Ch. 3: Civil Penalties

5.1 Describe the elements of the following: Class II Civil Penalty

This Process is only used for certain violations of the FWPCA OPA90 and CERCLA. It is pursued in egregious and willful violations of these statutes where the maximum penalty associated with Class I Civil Penalties is deemed insufficient. References: • MSM Vol. V Part C: Ch. 3: Civil Penalties

5.2 Define each of the following penalty procedures and list the circumstances in which each might be applied. Class II Civil Penalty

This Process is only used for certain violations of the FWPCA OPA90 and CERCLA. It is pursued in egregious and willful violations of these statutes where the maximum penalty associated with Class I Civil Penalties is deemed insufficient. References: MSM Vol. V Part C: Ch. 3: Civil Penalties

5.1 Describe the elements of the following: Refuse Act Violation

This law is used by the Army Corps. Of Engineers to prevent obstructions to navigation. Has been used to supplement the FWPCA in pollution enforcement cases . References: • 33 USC 407 • MSM Vol. IX • 33 CFR parts 320, 325, 326, 329, 330