A report from the Coast Guard Boating Safety Division (CG-BSX-2) can lead to a civil penalty action against a non-MMC civilian. The process starts with a Preliminary Assessment Letter (PAL), notifying an alleged violation of federal law and penalty amount assessed. A response is required within 30 days.

One option is to request a non-judicial administrative hearing. A party may also present evidence in writing in lieu of a hearing. A Hearing Officer presides over both procedures. The charged party may offer evidence that either an alleged violation did not occur (defense); or the violation did occur, but here’s why (extenuation); or the violation occurred, but here’s why the final civil penalty amount should be reduced from what was preliminarily assessed (mitigation).

Requests for hearing must be submitted in writing and specify the issues in dispute at the hearing, along with statements that identify the facts and circumstances surrounding the alleged violation about which the party wishes to dispute, explain, or provide mitigating evidence. If a party does not specify the issues in dispute, the right to have those issues considered may be lost.

The Hearing Officer issues a final determination in writing. The party is normally permitted 10 days to submit additional information, evidence, or other submission in writing after the hearing.

Typically the Coast Guard is told of a violation of law, maritime regulation or statute by an actual employer, or other law enforcement agency. Failures of a drug test in a job application are reported by would-be maritime employers. Additionally, convictions for DUI or DWI are made known to the Coast Guard through the National Driver Registry (NDR) history.

Once the alleged violation becomes known to the Coast Guard, its first step is to contact the mariner for an interview. Sometimes, the first step is to ask the mariner to voluntarily surrender the MMC while the misconduct process is completed. The next step is to formally charge misconduct. The final stage is either the mariner pleads to a misconduct charge or litigates such charge before a U.S. Coast Guard Administrative Law Judge, who is different from a Hearing Officer in a civil penalty hearing procedure. Unsatisfactory results of the misconduct hearing can be appealed, first to the Commandant, then to the U.S. Court of Appeals. 

Berschler & Draluck have successfully defended MMC holders, obtained reinstatement of revoked Certificates and reduced the impact of proposed punishment to lesser ones allowing mariners to move on with their lives.