(g) This waiver order shall remain in effect until terminated by proper authority and notice of cancellation is published in the FEDERAL REGISTER.

[CGFR 64-86, 30 FR 88, Jan. 6, 1965, as amended by CGD 88-052, 53 FR 25119, July 1, 1988; CGD 96-026, 61 FR 33662, June 28, 1996]

§ 19.07 Chronological record of seaman's previous employment.

(a) Compliance is hereby waived with regard to the provisions of subsection (h) of R.S. 4551, as amended (46 U.S.C. 643), to the extent necessary to permit the Commandant of the United States Coast Guard to issue a chronological record of a seaman's previous employment on a single document, in lieu of making individual entry in a duplicate continuous discharge book or furnishing individual certificates of discharge.

(b) It is hereby found that the waiving of the provisions of R.S. 4551(h), as amended (46 U.S.C. 643), is necessary in the interest of national defense.

[CGFR 51-9, 16 FR 1829, Feb. 27, 1951, as amended by CGFR 59-4a, 24 FR 3055, Apr. 21, 1959]

CROSS REFERENCE: See 49 CFR 7.93 for the fee for this record.

§ 19.15 Permits for commercial vessels handling explosives at military installations.

Pursuant to the request of the Secretary of Defense in a letter dated October 19, 1955, made under the provisions of section 1 of the act of December 27, 1950 (64 Stat. 1120; 46 U.S.C., note prec. 1), I hereby waive in the interest of national defense compliance with the provisions of R.S. 4472, as amended (46 U.S.C. 170), and the regulations promulgated thereunder in part 146 of this chapter to the extent that no quantitative restrictions, based on considerations of isolation and remoteness, shall be required by the Coast Guard for commercial vessels loading or unloading explosives at the Department of Defense waterfront installations. This waiver shall not relieve a commercial vessel loading or unloading explosives at the Department of Defense waterfront installations from the requirement of securing a permit from the Coast Guard for such operations with respect to quantitative or other

Water Pollution Control Act, (33 U.S.C. 1321(b)(6)).

(2) Class II civil penalties assessed under section 109 of the Comprehensive Environmental Response, Compensation and Liability Act (42 U.S.C. 9609(b)).

(b) In the absence of a specific provision in this part, the Federal Rules of Civil Procedure will be generally followed.

§ 20.102 Definitions.

Administrative Law Judge means any person designated by the Commandant under the Administrative Procedure Act (5 U.S.C. 556(b)) for the purpose of conducting hearings arising under 33 U.S.C. 1321(b) and 42 U.S.C. 9609(b).

Chief Administrative Law Judge means the Administrative Law Judge appointed as the Chief Administrative Law Judge of the U.S. Coast Guard by the Commandant.

Civil penalty proceeding means a trialtype proceeding for the assessment of a civil penalty that offers an opportunity for an oral, fact-finding hearing before an Administrative Law Judge.

Coast Guard Representative means a Coast Guard official who has been designated to prosecute a class II civil penalty.

Commandant means the Commandant of the U.S. Coast Guard. The term Commandant includes the Vice-Commandant of the Coast Guard acting on behalf of the Commandant in any proceeding.

Complaint means a document issued by a Coast Guard Representative alleging a violation for which a penalty may be administratively assessed under 33 U.S.C. 1321(b) or 42 U.S.C. 9609(b).

Hearing Docket Clerk means an employee of the Office of the Chief Administrative Law Judge who is responsible for receiving documents, determining their completeness and legibility, and distributing them to the Administrative Law Judge and others, as required by this part.

Interested person means a person who, as provided in §20.404, files written comments on a proposed class II civil penalty assessment or files written notice of intent to present evidence in any hearing held on the proposed class II civil penalty assessment.

Mail includes U.S. first-class mail, U.S. certified mail, U.S. registered mail, or an express courier service.

Motion means a request for an order or ruling from an Administrative Law Judge.

Party means a respondent or the Coast Guard.

Person includes an individual, partnership, corporation, association, public or private organization, or a government agency.

Personal delivery includes hand delivery or use of a contract or express courier service. "Personal delivery" does not include the use of government interoffice mail service.

Pleading means a complaint, an answer, any document and any amendment to a document permitted under this part.

Respondent means a person charged with a violation in a complaint issued under this part.

[CGD 91-228, 59 FR 15022, Mar. 30, 1994, as amended by CGD 96-026, 61 FR 33662, June 28, 1996]

§ 20.103 Construction and waiver of rules.

(a) These rules will be construed to secure a just, speedy, and inexpensive determination in every class II civil penalty proceeding.

(b) Except to the extent that a waiver would be contrary to law, the Commandant, the Chief Administrative Law Judge or a presiding Administrative Law Judge may, after notice, waive any of these rules to prevent undue hardship or manifest injustice, or if the expeditious conduct of a case so requires.

Subpart B-Adminstrative Law
Judges

§ 20.201 Assignment.

An Administrative Law Judge, assigned by the Chief Administrative Law Judge following receipt of the complaint, shall preside over each class II civil penalty proceeding.

§ 20.202 Powers.

The Administrative Law Judge shall have all powers necessary to the con

duct of fair, expeditious, and impartial hearings, including the power to—

(a) Administer oaths and affirmations;

(b) Issue subpoenas authorized by law;

(c) Rule on motions;

(d) Order discovery as provided in this part;

(e) Hold hearing or settlement conferences;

(f) Regulate the course of hearings;
(g) Call and question witnesses;
(h) Issue decisions;

(i) Exclude any person from a hearing or conference for disrespect, disorderly or rebellious conduct; and

(j) Take any other action consistent with law and Coast Guard policy authorized by the Chief Administrative Law Judge.

[CGD 91-228, 59 FR 15022, Mar. 30, 1994; 59 FR 45757, Sept. 2, 1994]

§ 20.203 Unavailability.

(a) In the event that an Administrative Law Judge is unable to perform the duties described in § 20.202 or otherwise becomes unavailable, the Chief Administrative Law Judge shall designate a successor.

(b) If a hearing has been commenced and an Administrative Law Judge is unable to proceed, a successor Administrative Law Judge may proceed with a hearing in a case. The successor Administrative Law Judge may, at the request of a party, recall any witness whose testimony is material and disputed and who is available to testify again without undue burden. The successor Administrative Law Judge may, within his or her discretion, recall any other witness.

[CGD 91-228, 59 FR 15022, Mar. 30, 1994; 59 FR 45757, Sept. 2, 1994]

the Administrative Law Judge promptly upon discovery of the alleged facts an affidavit setting forth in detail the matters alleged to constitute grounds for disqualification.

(1) The Administrative Law Judge shall rule upon the motion, stating the grounds for the ruling. If the Administrative Law Judge concludes that the motion is timely and has merit, the Administrative Law Judge shall disqualify herself or himself and withdraw from the proceeding. If the Administrative Law Judge does not disqualify herself or himself and withdraw from the proceeding, the Administrative Law Judge shall proceed with the proceeding, or if a hearing has been concluded, proceed with the issuance of a decision.

(2) An Administrative Law Judge's denial of a motion for disqualification may be appealed to the Commandant at the conclusion of the hearing according to the procedures in subpart J of this part. When the appeal is made, the Administrative Law Judge forwards the motion and supporting affidavits or sworn statements with the ruling to the Commandant.

§ 20.205 Ex parte communications.

Ex parte communications are governed by section 557(d) of the Administrative Procedure Act (5 U.S.C. 557(d)). § 20.206 Separation of functions.

(a) An Administrative Law Judge may not be responsible to or subject the supervision or direction of an officer, employee, or agent engaged in the performance of investigating or prosecuting functions for the Coast Guard.

(b) No officer, employee, or agent of the Coast Guard engaged in the performance of investigations or prosecutorial functions in connection with any class II civil penalty proceeding shall, in that proceeding or one that is factually related, participate or advise in the decision of the Administrative Law Judge or the Commandant on appeal, except as a witness or counsel in the proceeding or appellate review.

[CGD 91-228, 59 FR 15022, Mar. 30, 1994; 59 FR 45757, Sept. 2, 1994]

Subpart C-Pleadings and Motions

§ 20.301 Representation.

(a) A party may appear either without counsel or other representatives, by an attorney, or by other duly authorized representative. An attorney or other duly authorized representative shall file a notice of appearance. The notice must indicate

(1) The name of the case, including docket number if assigned;

(2) The person on whose behalf the appearance is made; and

(3) The person's and representative's mailing addresses and telephone numbers.

(b) Notice, including the items listed in paragraph (a) of this section, must also be given for any withdrawal of appearance.

(c) An attorney shall be a member in good standing of the bar of the highest court of a State, the District of Columbia, or any territory or commonwealth of the United States. A personal representation of membership is sufficient proof, unless otherwise ordered by the Administrative Law Judge.

(d) Any person who is not an attorney shall file a statement setting forth the basis of his or her authority to act as a duly authorized representative. The Administrative Law Judge may deny appearance as a representative to any person whom the Administrative · Law Judge finds does not possess the requisite qualifications to represent others or is lacking in character, integrity, or proper personal conduct.

§ 20.302 Filing of documents and other materials.

(a) All documents and material relating to a class II civil penalty proceeding must be filed at the following address: Chief Administrative Law Judge, Commandant (G-CJ), U.S. Coast Guard, 2100 Second St., SW., Washington, DC 20593-0001. Attention: Hearing Docket Clerk. Phone: (202) 267-2940, Fax: (202) 267-4753.

(b) An executed original and one copy of each document (including exhibits and supporting affidavits) must be filed with the Hearing Docket Clerk. One additional copy of each filed document

must be filed with the assigned Administrative Law Judge. Copies need not be signed, but the name of the person signing the original must be shown on each copy.

(c) In the absence of the assignment of a case to an Administrative Law Judge, the Administrative Law Judge's copy will be filed with the Chief Administrative Law Judge.

(d) Filing may be made by mail or personal delivery. Other methods, such as facsimile transmission or other electronic means, may be permitted at the discretion of the Hearing Docket Clerk or the Administrative Law Judge.

(e) When the Hearing Docket Clerk determines that a document, or other material, offered for filing does not comply with requirements of this part, the Hearing Docket Clerk may decline to accept the document, or other material, for filing, and return it unfiled. Alternatively, the Hearing Docket Clerk may accept it, advise the person offering it of the deficiency, and require the deficiency to be corrected.

§ 20.303 Form and content of filed documents.

(a) A filed document must identify clearly

(1) The title of the proceeding; (2) The docket number of the case if one has been assigned;

(3) A designation of the type of filing (e.g., petition, notice, motion to dismiss, etc.);

(4) The name and designation of the filing party; and

(5) The filer's address, telephone number, and facsimile transmission number (if any) and, if represented, the name, address, telephone number, and facsimile transmission number (if any) of the filer's representative.

(b) All filed documents must be—

(1) 81⁄2 by 11 inches in size except, when necessary, tables, charts, and other attachments may be larger if folded to the size of the filed documents to which they are physically attached;

(2) Printed on one side of the page and be clearly typewritten, printed, or otherwise reproduced by a process that produces permanent and plainly legible copies;

(3) Double-spaced except for footnotes and long quotations, which may be single-spaced;

(4) Have a left margin of at least 11⁄2 inches and other margins of at least 1 inch; and

(5) Bound on the left side, if bound.

(c) All documents must be in the English language or, if in a foreign language, accompanied by a certified translation.

(d) The original of every filed document must be signed by the submitting person or his or her attorney or representative. Except as otherwise provided, filed documents need not be verified or accompanied by an affidavit. The signature constitutes a certification by the signing person that he or she has read the filed document, that to the best of his or her knowledge, information, and belief the statements made in it are true, and that it is not intended to cause delay.

§ 20.304 Service of documents.

(a) A copy of each document issued by the Administrative Law Judge in the proceeding is served upon each party. The Administrative Law Judge shall serve a copy of notices of hearings upon each interested person, as determined under $20.404. Unless otherwise provided in this part, a copy of each document filed with or issued by the Administrative Law Judge in the proceeding shall be provided to an interested person upon request by the interested person to the Administrative Law Judge.

(b) Unless otherwise ordered by the Administrative Law Judge, one copy of all documents filed with the Hearing Docket Clerk must be served upon each party by the persons filing them.

(c) Every document filed with the Hearing Docket Clerk and required to be served upon all parties must be accompanied by a certificate of service signed by or on behalf of the party or person making the service, stating that service has been made. Certificates of service should be in substantially the following form:

I hereby certify that I have this day served the foregoing document(s) upon the following parties (or designated representatives) in this proceeding at the address indicated by (specify the method):