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(c) Adjustments and refunds of fees and charges. (1) The fees and charges set forth above are based upon an initial estimate of the costs to be incurred in providing the indicated services and may be revised as necessary to insure the recovery of all direct and indirect costs by the Maritime Administration.

(2) If actual cost exceeds the payment based on an estimate made at the time request is made by a member of the public, the requesting party will have the option of either paying the additional

cost or receiving the part of the service requested which is covered by the payment.

(3) If the payment based on an estimate made at the time of request by a member of the public is $1 or more in excess of actual costs and minimum fee, the excess above the higher will be refunded.

(d) Other services. The published regulations of the Maritime Administration contain provisions for assessment of special fees and charges for the performance of certain services by the Maritime Administration for the benefit of members of the public. Unless inconsistent with the provisions of this § 380.35, such regulations shall remain in full force and effect. 8 380.36 Subpoenas, other compulsory

processes and requests. In any case where it is sought by subpoena, order, or other compulsory process or other demand of a court or other . authority to require the production or disclosure of any record in the files of the Maritime Administration or other information acquired by an oficer or employee of the Maritime Administration as a part of the performance of his official duties or because of his official status, the matter shall be immediately referred for determination, through the Secretary of the Maritime Administration and Maritime Subsidy Board, to the Maritime Administrator who shall take all necessary steps as prescribed in section 7 of Department of Commerce Order 64 (32 F.R. 9734, July 4, 1967).

CHAPTER 111-COAST GUARD (GREAT LAKES PILOTAGE), DEPARTMENT OF TRANSPORTATION

Part
401 Great Lakes Pilotage Regulations.
402 Great Lakes Pilotage Rules and Orders.
403 Great Lakes Pilotage Uniform Accounting System.

PART 401-GREAT LAKES PILOTAGE

REGULATIONS

Subpart A-General Sec. 401.100 Purpose. 401.110 Definitions. 401.120 Federal reservation of pilotage reg

ulations.

Subpart B Registration of Pilots 401.200 Application for registration. 401.210 Requirements and qualifications for

registration. 401.211 Requirements for training of Appli

cant Pilots. 401.220 Registration of pilots. 401.230 Certificates of Registration. 401.240 Renewal of Certificates of Registra

tion, 401.250 Suspension and revocation of Cer

tiicates of Registration. 401.260 Reports. Subpart C-Establishment of Pools by Voluntary

Associations of United States Registered Pilots 401.300 Authorization for establishment of

pools. 401.310 Application for establishment of

pools. 401.320 Requirements and qualifications for

authorization to establish pools. 401.330 Certificates of Authorization. 401.340 Compliance with working rules of

pools. Subpart DRates, Charges, and Conditions for

Pilotage Services 401.400 Rates and charges on designated

waters. 401.410 Rates and charges on undesignated

waters.

401.420 Cancellation, delay or interruption

in rendition of services. 401.430 Prohibited charges. 401.431 Disputed charges. 401.440 Advance payment of charges. 401.450 Pilot change points. 401.451 Pilot rest periods. Subpart E-Penalties; Operations Without

Registered Pilots 401.500 Penalties for violations. 401.510 Operation without Registered Pilots. Subpart Procedure Governing Revocation or

Suspension of Registration and Refusal to Re

new Registration 401.600 Right to hearing. 401.605 Notice. 401.610 Hearing. 401.615 Representation. 401.620 Burden of proof. 401.630 Appearance, testimony, and cross

examination. 401.635 Evidence which shall be excluded. 401.640 Record for decision. 401.645 Examiners decision; exceptions

thereto. 401.650 Review of Examiners initial de

cision. AUTHORITY: The provisions of this part 401 Issued under sec. 4, 74 Stat. 260, sec, 6(a) (4), 80 Stat. 938; 46 U.S.C. 216b, 49 U.S.C. 1655 (a) (4); Department of Transportation Order 1100.1, Mar. 31, 1967, 49 CFR 1.4(a) (1), 32 F.R. 5606; unless otherwise noted.

Subpart A-General SOURCE: The provisions of this Subpart A appear at 26 F.R. 951, Jan. 31, 1961, unless otherwise noted.

& 401.100 Purpose.

cember 22, 1960 and who is either The purpose of this part is to carry out

licensed by the head of the Department those provisions of the Great Lakes

in which the Coast Guard is operating Pilotage Act of 1960 (74 Stat. 259, 46

under regulations issued by him or cerU.S.C. 216) relating to the registration

tificated by an appropriate agency of

Canada. of United States pilots, the formation of pools by voluntary associations of United

(7) "Secretary” means the Secretary States registered pilots and the estab

of Transportation or any person to lishment of rates, charges, and other

whom he has delegated his authority in conditions or terms for services per

the matter concerned. formed by registered pilots to meet the

(8) "U.S. registered pilot" means & provisions of the Act.

person, other than a member of the reg.

ular complement of a vessel, who holds $ 401.110 Definitions.

an unlimited master's license authorize (a) The following terms where used in

ing navigation on the Great Lakes and this part shall have the following

suitably endorsed for pilotage on routes meanings:

specified therein, issued by the Goast (1) “Act” means the Great Lakes Guard, and who is also registered under Pilotage Act of 1960, as amended (Public the provisions of Subpart B of this part. Law 86–555, 74 Stat. 259-262; 46 U.S.C. (9) "Director" means Director, Great 216-216i).

Lakes Pilotage Staff, on the Staff of the (2) “Commandant" means Comman

Commander, 9th Coast Guard District dant, U.S. Coast Guard, Department of

(dgp), Federal Office Building, 1240 East Transportation, Washington, D.C. 20591. Ninth Street, Cleveland, Ohio 44199.

(3) “Canadian Registered Pilot" (26 F.R. 951, Jan. 31, 1961, as amended at means a person, other than a member of 31 F.R. 9064, July 1, 1966; 32 F.R. 14220, the regular complement of a vessel, who

Oct. 13, 1967; CGFR 68–78, 33 F.R. 9823, holds a master's certificate or equivalent

July 9, 1968) license authorizing navigation on the $ 401.120 Federal reservation of pilotGreat Lakes and suitably endorsed for age regulations. pilotage on routes specified therein, is

No state, municipal, or other local ausued by an appropriate agency of Can

thority shall require the use of pilots or ada, and is registered by a designated

regulate any aspect of pilotage in any agency of Canada on substantially the same basis as registration under the pro

of the waters specified in the Act. Only visions of Subpart B of this part.

those persons registered as United States (4) “Movage” means the underway

Registered Pilots or Canadian Registered movement of a vessel in navigation from

Pilots as defined in this subpart may or to a dock, pier, wharf, dolphins, buoys, render pilotage services on any vessel or anchorage other than a temporary subject to the Act and the Memorandum anchorage for navigational or traffic of Arrangements, Great Lakes Pilotage purposes in such manner as to constitute (29 F.R. 10464, July 28, 1964) a distinct separate movement not a substantive portion of a translake move

Subpart B-Registration of Pilots ment on arrival or departure, within the § 401.200 Application for registration, geographic confines of a harbor or port (a) An application for registration as complex within such harbor.

a U.S. Registered Pilot shall be made on (5) "Great Lakes" means Lakes Su- Form CG-4509, which shall be submitted perior, Michigan, Huron, Erie, and On- together with a completed fingerprint taric, their connecting and tributary chart and two full-face photographs, waters, the St. Lawrence River as far 142 inches by 2 inches, signed on the face. east as Saint Regis, and adjacent port These forms may be obtained from the areas.

Director. (6) "Other officer" means the master (b) A registration fee of five dollars or any other member of the regular ($5) by check or money order, drawn to complement of the vessel concerned who the order of the “U.S. Coast Guard," is qualified for the navigation of those shall accompany an application for regUnited States waters of the Great Lakes istration. This registration fee will be which are not designated by the Presi- refunded if applicant is not registered. dent in Proclamation No. 3385 dated De- (32 F.R. 14220, Oct. 13, 1967)

& 401.210 Requirements and qualifica- (3) He has within five (5) years pretions for registration.

ceding date of application satisfactorily (a) No person shall be registered as

served (i) on vessels of not less than a United States Registered Pilot unless:

4,000 gross tons as master for one year (1) He holds an unlimited master's

or one season of eight (8) months as license authorizing navigation on the

master on enrolled vessels on the Great Great Lakes and suitably endorsed

Lakes or (ii) on vessels of not less than thereon for pilotage on routes specified

4,000 gross tons as chief mate for two therein, issued under the provisions of

years or two seasons of eight months 46 CFR Part 10.

each as chief mate on enrolled vessels on (2) He is a citizen of the United

the Great Lakes or (ill) on vessels of not States.

less than 2,500 gross tons as a licensed (3) He is of good moral character and

deck officer for four years or four seatemperate habits.

sons of eight months each as a licensed (4) He is physically competent to per

deck officer on enrolled vessels on the form the duties of a U.S. Registered Pilot

Great Lakes or (iv) as a pilot of oceanand meets the medical requirements pre

going vessels of not less than 4,000 gross scribed by the Commandant.

tons for one year under a government(5) He has not reached the age of 65.

regulated, military, or industrially con(6) He possesses a validated Merchant trolled pilotage service or (v) as a memMariner's Document issued by the Coast

ber of the Armed Forces of the United Guard.

States on vessels of at least 1,000 gross (7) He agrees that he will be contin- tons, or equivalent, in capacities as deuously available for service under the termined by the Director to be equivalent terms and conditions as may be approved

to those required under subdivisions (1), or prescribed by the Commandant.

(ii), (iii), or (iv) of this subparagraph; (8) He has complied with the require

or (vi) on vessels under circumstances ments set forth in $ 401.220(b) for Ap- or conditions other than provided in this plicant Pilots if applying for registration

subparagraph which may be accepted as for waters in which a pilotage pool is

qualifying experience for selection as an authorized

Applicant Pilot subject to evaluation by (9) He agrees to comply with all ap

the Director. Experience of at least 1 plicable provisions of this part and year on vessels of at least 2,000 gross tons amendments thereto.

in capacities determined by the Director (b) Any person registered as a United

to be equivalent to those required shall States Registered Pilot pursuant to the

be the minimum criteria of satisfactory provisions of this part whose application

service for this exception. contains false or misleading statements

(4) He possesses a radar observer furnished by the applicant in further

competency certificate or equivalent U.S. ance of his application shall be in viola

Coast Guard endorsement. tion of these regulations and may be

(b) An applicant who is unable to proceeded against under $ 401.250(a) or

meet the experience requirements of $ 401.500.

paragraph (a) (3) of this section may (29 F.R. 10464, July 28, 1964, as amended at

substitute training experience under the 31 F.R. 9065, July 1, 1966; 32 F.R. 14220,

auspices and supervision of a U.S. pilotOct. 13, 1967]

age pool. Time shall be counted as

master's time under paragraph (a) (3) & 401.211 Requirements for training of

(i) of this section for each day or part Applicant Pilots.

thereof actually on board a vessel in (a) The Director shall determine the company with a U.S. or Canadian Regisnumber of Applicant Pilots required to tered Pilot. Such applicant will not be be in training by each Association au- eligible to serve as a Temporary Registhorized to form a pool in order to assure tered Pilot under the provisions of an adequate number of Registered Pilots. § 401.220(e). No Applicant Pilot shall be selected for (c) Persons desiring to be considered training unless:

as an Applicant Pilot shall file with the (1) He meets the requirements and Director a completed Application Form, qualifications set forth in subparagraphs CG-4509, in duplicate, together with the (1) through (4), (6), (7), and (9) of two full-face photographs, 142 inches by $ 401.210(a).

2 inches, signed on the face, and a com(2) He shall not have reached the age pleted fingerprint chart. The $5 regisof 60.

tration fee is not to be submitted until (b).

such time as the applicant makes appli- paragraph (b) of this section shall subcation pursuant to $ 401.200 after com- mit to the Director in writing its recompletion of the requirements of $ 401.220 mendations together with its reasons for

the registration of the Applicant. (d) Individuals selected as Applicant (d) Subject to the provisions of paraPilots by the Director shall be issued a graphs (a), (b), and (c) of this section, U.S. Coast Guard Applicant Pilot Iden- a pilot found to be qualified under this tification Card, which shall be valid until subpart shall be issued a Certificate of such time as (1) the applicant is reg- Registration, valid for a term of two (2) istered as a pilot under $ 401.210; (2) the years or until the expiration of his unapplicant withdraws from the training limited master's license or until the pilot program; or (3) upon withdrawal by the reaches the age 65, whichever occurs Director.

first. [29 F.R. 10465, July 28, 1964, as amended at (e) The Director inay, when neces31 FR. 9065, July 1, 1966; 32 FR. 14220, sary to assure adequate and efficient Oct. 13, 1967)

pilotage service, issue a temporary cer$ 401.220 Registration of pilots.

tificate of registration for a period of

less than 1 year to any person found (a) The Director shall determine the qualified under this subpart regardless of number of pilots required to be regis

age. tered in order to assure adequate and

(Sec. 6(a)(4), 80 Stat. 937; 46 U.S.C. 2160) efficient pilotage service in the United (29 FR. 10465, July 28, 1964, as amended at States waters of the Great Lakes and 31 F.R. 9065, July 1, 1966; CGFR 67–64, 32 to provide for equitable participation of PR. 14221, Oct. 13, 1967; CGFR 69–84, 34 FR. United States Registered Pilots with 12583, Aug. 1, 1969) Canadian Registered Pilots in the ren- & 401.230 Certificates of Registration. dering of pilotage services. (b) Registration of pilots required for

(a) A Certificate of Registration shall waters designated by the President pur

describe the part or parts of the Great suant to section 3 of the Great Lakes

Lakes within which the pilot is authorPilotage Act of 1960 where pilotage pools

ized to perform pilotage services and have been authorized pursuant to Sub

such description shall not be inconsistent part C shall be made from among those

with the terms of the pilotage authorizaApplicant Pilots who have (1) com

tion in his unlimited master's license. pleted the minimum number of trips

(b) A Certificate of Registration shall prescribed by the Commandant over the

not authorize the holder to board any waters for which application is made on

vessel, or to serve as a pilot of any vessel, oceangoing vessels, in company with a

without the permission of the owner or Registered Pilot, within 1 year of date

master. A Certificate of Registration of application, (2) completed a course

shall be in the possession of a pilot at of instruction for Applicant Pilots pre

all times when he is in the service of a scribed by the association authorized to

vessel, and shall be displayed upon deestablish the pilotage pool, (3) satisfac

mand of the owner or master, any United torily met the requirements and qualifi

States Coast Guard officer or inspector, cations for registration prescribed by

or a representative of the Director. $ 401.210, (4) satisfactorily completed a

(c) A Certificate of Registration eviwritten examination, prescribed by the

dencing registration of the holder is Director, evidencing his knowledge and

the property of the U.S. Coast Guard understanding of the Great Lakes Pilot

and it shall not be pledged, deposited, age Act of 1960; the Great Lakes Pilot

or surrendered to any person except as age Regulations, Rules and Orders; the

authorized by this part. A Certificate of Memorandum of Arrangements, Great

Registration may not be photostated or Lakes Pilotage, between the United

copied. A Certificate which has expired States and Canada; and other related

without renewal, or renewal of which has matters including the working rules and

been denied under the provisions of this operating procedures of his district,

section, shall be surrendered to the Digiven at such time and place as the

rector upon demand. Director may designate within the

(d) An application for a replacement pilotage district of the Applicant Pilot.

of a lost, damaged, or defaced Certificate (c) The Pilot Association authorized of Registration shall be made in writing to establish a pool in which an Applicant to the Director together with two fullPilot has qualified for registration under face photographs, 114 inches by 2 inches,

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