1625-0086 Stat/Authority

PART 400 [RESERVED]
PART 401—GREAT LAKES PILOTAGE
REGULATIONS
Subpart A—General
Sec.
401.100 Purpose.
401.105 OMB control numbers assigned pursuant to the Paperwork Reduction Act.
401.110 Definitions.
401.120 Federal reservation of pilotage regulations.

Subpart B—Registration of Pilots
401.200 Application for registration.
401.210 Requirements and qualifications for
registration.
401.211 Requirements for training of Applicant Pilots.
401.220 Registration of pilots.
401.230 Certificates of Registration.
401.240 Renewal of Certificates of Registration.
401.250 Suspension and revocation of Certificates 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.
401.335 Suspension or revocation of a Certificate of Authorization.
401.340 Compliance with working rules of
pools.

Subpart D—Rates, Charges, and
Conditions for Pilotage Services
401.400 Calculation of pilotage units and determination of weighting factor.
401.405 Basic rates and charges on the St.
Lawrence River and Lake Ontario.
401.407 Basic rates and charges on Lake Erie
and the navigable waters from Southeast
Shoal to Port Huron, MI.
401.410 Basic rates and charges on Lakes
Huron, Michigan and Superior and the
St. Mary’s River.
401.420 Cancellation, delay or interruption
in rendition of services.
401.425 Provision for additional pilot.
401.427 Charge on past due accounts.
401.428 Basic rates and charges for carrying
a U.S. pilot beyond normal change point

or for boarding at other than the normal
boarding point.
401.430 Prohibited charges.
401.431 Disputed charges.
401.432 Certification of support services.
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
401.510

Penalties for violations.
Operation without Registered Pilots.

Subpart F—Procedure Governing Revocation or Suspension of Registration and
Refusal To Renew 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 crossexamination.
401.635 Evidence which shall be excluded.
401.640 Record for decision.
401.645 Administrative Law Judge’s decision; exceptions thereto.
401.650 Review
of
Administrative
Law
Judge’s initial decision.

Subpart G—Operating Requirements for
U.S. Registered Pilots and Holders of
Certificates of Authorization; Authority
of the Director Over Operations
401.700 Operating requirements for U.S. registered pilots.
401.710 Operating requirements for holders
of Certificates of Authorization.
401.720 Authority of the Director over operations.
AUTHORITY: 46 U.S.C. 2104(a), 6101, 7701,
8105, 9303, 9304; Department of Homeland Security Delegation No. 0170.1; 46 CFR 401.105
also issued under the authority of 44 U.S.C.
3507.

Subpart A—General
§ 401.100

Purpose.

The purpose of this part is to carry
out those provisions of the Great Lakes
Pilotage Act of 1960 (74 Stat. 259, 46
U.S.C. 216) relating to the registration
of United States pilots, the formation
of pools by voluntary associations of
United States registered pilots and the
establishment of rates, charges, and
other conditions or terms for services

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§ 401.105

46 CFR Ch. III (10–1–05 Edition)

performed by registered pilots to meet
the provisions of the Act.
[26 FR 951, Jan. 31, 1961. Redesignated at 61
FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR 35139, June
29, 1998]

§ 401.105 OMB control numbers assigned pursuant to the Paperwork
Reduction Act.
(a) Purpose. This section collects and
displays the control numbers assigned
to information collection and recordkeeping requirements in this subchapter by the Office of Management
and Budget (OMB) pursuant to the Paperwork Reduction Act of 1980, (44
U.S.C. 3501 et seq.). The Coast Guard
intends that this section comply with
the requirements of 44 U.S.C. 3507(f)
which requires that agencies display a
current control number assigned by the
Diretor of the OMB for each approved
agency information collection requirement.
(b) Display.
46 CFR part of section where identified or described

Current
OMB control No.

Part 404 ...............................................................

1625–0086

[49 FR 38122, Sept. 27, 1984. Redesignated at
61 FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR 35139, June
29, 1998; USCG–2004–18884, 69 FR 58352, Sept.
30, 2004]

§ 401.110 Definitions.
(a) As used in this chapter:
(1) Act means the Great Lakes Pilotage Act of 1960, as amended (Pub. L. 86–
555, 74 Stat. 259–262; 46 U.S.C. 216
through 216i).
(2) Commandant means Commandant,
U.S. Coast Guard, Washington, DC
20593–0001.
(3) Canadian Registered Pilot means a
person, other than a member of the
regular complement of a vessel, who
holds an appropriate Canadian license
issued by an agency of Canada, and is
registered by a designated agency of
Canada on substantially the same basis
as registration under the provisions of
Subpart B of this part.
(4) Movage means the underway
movement of a vessel in navigation
from or to a dock, pier, wharf, dolphins, buoys, or anchorage other than a

temporary anchorage for navigational
or traffic purposes in such manner as
to constitute a distinct separate movement not a substantive portion of a
translake movement on arrival or departure, within the geographic confines
of a harbor or port complex within
such harbor.
(5) Great Lakes means Lakes Superior, Michigan, Huron, Erie, and Ontario, their connecting and tributary
waters, the St. Lawrence River as far
east as Saint Regis, and adjacent port
areas.
(6) Other officer means the master or
any other member of the regular complement of the vessel concerned who is
qualified for the navigation of those
United States waters of the Great
Lakes which are not designated by the
President in Proclamation No. 3385
dated December 22, 1960 and who is either licensed by the Secretary or certificated by an appropriate agency of
Canada.
(7) Secretary means the Secretary of
Transportation or any person to whom
he has delegated his authority in the
matter concerned.
(8) United States registered pilot means
a person, other than a member of the
regular complement of a vessel, who
holds a license authorizing navigation
on the Great Lakes and suitably endorsed for pilotage on routes specified
therein, issued under the authority of
the provisions of Title 52 of the Revised
Statutes, and who is also registered
under the provisions of Subpart B of
this part.
(9) Director means Director, Great
Lakes Pilotage. Communications with
the Director may be sent to the following address: Commandant (G-MWP2), 2100 Second Street SW., Washington,
DC 20593–0001, Attn: Director, Great
Lakes Pilotage.
(10) Rate computation definitions:
(i) Length means the distance between the forward and after extremities of the ship.
(ii) Breadth means the maximum
breadth to the outside of the shell plating of the ship.
(iii) Depth means the vertical distance at amidships from the top of the
keel plate to the uppermost continuous
deck, fore and aft, and which extends
to the sides of the ship. The continuity

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Coast Guard (Great Lakes Pilotage), DHS
of a deck shall not be considered to be
affected by the existence of tonnage
openings, engine spaces, or a step in
the deck.
(11) Person includes an individual,
registered pilot, partnership, corporation, association, voluntary association, authorized pool, or public or private organization, other than an agency.
(12) Applicant Pilot means a person
who holds a license as a master, mate,
or pilot issued under the authority of
the provisions of Title 52 of the Revised
Statutes, and has acquired at least
twenty-four months licensed service or
comparable experience on vessels or integrated tugs and tows, of 4,000 gross
tons or over, operating on the Great
Lakes or oceans, and who has applied
for registration under the provisions of
Subpart B of this part. Those persons
qualifying with ocean service must
have obtained at least six months of licensed service or comparable experience on the Great Lakes.
(13) Applicant Trainee means a person
who is in training to become an Applicant Pilot with an organization authorized to provide pilotage services.
(14) Pool means an organization authorized to provide pilotage services.
(15) Comparable experience means experience that is similar to the experience obtained by serving as an officer
on a vessel. Training and experience
while participating in a pilot training
program of an authorized pilot organization is considered equivalent on a
day for day basis to experience as an
officer on a vessel. The training program of the authorized pilot organization must, however, include regularly
scheduled trips on vessels of 4,000 gross
tons or over in the company of a registered pilot.
(16) Association means any organization that holds or held a Certificate of
Authorization issued by the Director of

§ 401.210
Great Lakes Pilotage to operate a pilotage pool on the Great Lakes.
[26 FR 951, Jan. 31, 1961, as amended at 31 FR
9064, July 1, 1966; 32 FR 14220, Oct. 13, 1967;
CGFR 68–78, 33 FR 9823, July 9, 1968; CGFR
70–29a, 35 FR 10434, June 26, 1970; CGD 74–233,
40 FR 41526, Sept. 8, 1975; CGD 78–144a, 44 FR
19362, Apr. 2, 1979; CGD 78–1445, 44 FR 64837,
Nov. 8, 1979; 53 FR 34538, Sept. 7, 1988; 60 FR
18369, Apr. 11, 1995; 61 FR 5721, Feb. 14, 1996.
Redesignated and amended at 61 FR 32655,
June 25, 1996, and further redesignated and
amended by USCG–1998–3976, 63 FR 35139,
June 29, 1998; USCG–2001–10224, 66 FR 48621,
Sept. 21, 2001; USCG–2002–13058, 67 FR 61279,
Sept. 30, 2002; USCG–2004–18884, 69 FR 58352,
Sept. 30, 2004]

§ 401.120 Federal reservation of pilotage regulations.
No state, municipal, or other local
authority shall require the use of pilots
or regulate any aspect of pilotage in
any of the waters specified in the Act.
Only those persons registered as United
States Registered Pilots or Canadian
Registered Pilots as defined in this
subpart may render pilotage services
on any vessel subject to the Act and
the Memorandum of Arrangements,
Great Lakes Pilotage.
[26 FR 951, Jan. 31, 1961. Redesignated at 61
FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR 35139, June
29, 1998]

Subpart B—Registration of Pilots
§ 401.200 Application for registration.
(a) An application for registration as
a U.S. Registered Pilot shall be made
on Form CG–4509, which shall be submitted together with a completed fingerprint chart and two full-face photographs, 11⁄2 inches by 2 inches, signed
on the face. These forms may be obtained from the Director.
(b) [Reserved]
[32 FR 14220, Oct. 13, 1967, as amended by
CGD 78–144b, 44 FR 64837, Nov. 8, 1979. Redesignated at 61 FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR
35139, June 29, 1998]

§ 401.210 Requirements and qualifications for registration.
(a) No person shall be registered as a
United States Registered Pilot unless:
(1) The individual holds a license as a
master, mate, or pilot, issued under the

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§ 401.211

46 CFR Ch. III (10–1–05 Edition)

authority of the provisions of Title 52
of the Revised Statutes, and has acquired at least twenty-four months licensed service or comparable experience on vessels or integrated tugs and
tows, of 4,000 gross tons, or over, operating on the Great Lakes or oceans.
Those applicants qualifying with ocean
service must have obtained at least six
months of licensed service or comparable experience on the Great Lakes.
Those applicants qualifying with comparable experience must have served a
minimum of twelve months as a licensed deck officer.
(2) The individual is a citizen of the
United States.
(3) The individual is of good moral
character and temperate habits.
(4) The individual is physically competent to perform the duties of a U.S.
Registered Pilot and meets the medical
requirements prescribed by the Commandant.
(5) The individual has not reached
the age of 70.
(6) The individual possesses a validated Merchant Mariner’s Document
issued by the Coast Guard.
(7) The individual agrees to be available for service under the terms and
conditions as may be approved or prescribed by the Commandant.
(8) The individual has complied with
the
requirements
set
forth
in
§ 401.220(b) for Applicant Pilots if applying for registration for waters in which
a pilotage pool is authorized.
(9) The individual agrees to comply
with all applicable provisions of this
part and amendments thereto.
(b) Any person registered as a United
States Registered Pilot pursuant to the
provisions of this part whose application contains false or misleading statements furnished by the applicant in
furtherance of his or her application
shall be in violation of these regulations and may be proceeded against
under § 401.250(a) or § 401.500.

(a) The Director shall determine the
number of Applicant Pilots required to
be in training by each Association authorized to form a pool in order to assure an adequate number of Registered
Pilots. No Applicant Pilot shall be selected for training unless:
(1) The individual meets the requirements and qualifications set forth in
paragraphs (a) (1) through (4), (6), (7),
and (9) of § 401.210.
(2) The individual shall not have
reached the age of 60.
(3) The individual possesses a radar
observer competency certificate or
equivalent U.S. Coast Guard endorsement.
(b) For purpose of determining
whether an applicant meets the experience
requirements
contained
in
§ 401.210(a)(1), not more than twelve
months of ‘‘comparable experience’’
may be used in fulfilling the twentyfour month experience requirement.
(c) The Director shall approve the
United States Registered Pilots that
are designated by the authorized pilot
organization to provide training to
those pilots that are in training to be
registered pilots.
(d) Persons desiring to be considered
as an Applicant Pilot shall file with
the Director a completed Application
Form, CG–4509, in duplicate, together
with two full-face photographs, 11⁄2
inches by 2 inches, signed on the face,
and a completed fingerprint chart.
(e) Individuals selected as Applicant
Pilots by the Director shall be issued a
U.S. Coast Guard Applicant Pilot Identification Card, which shall be valid
until such time as (1) the applicant is
registered as a pilot under § 401.210; (2)
the applicant withdraws from the
training program, or (3) upon withdrawal by the Director.

[29 FR 10464, July 28, 1964, as amended at 31
FR 9065, July 1, 1966; 32 FR 14220, Oct. 13,
1967; CGD 78–144a, 44 FR 19363, Apr. 2, 1979;
CGD 78–144b, 44 FR 64837, Nov. 8, 1979; 61 FR
5721, Feb. 14, 1996. Redesignated and amended
at 61 FR 32655, June 25, 1996, and further redesignated and amended by USCG–1998–3976,
63 FR 35139, 35140, June 29, 1998; USCG–2002–
13058, 67 FR 61279, Sept. 30, 2002]

[29 FR 10465, July 28, 1964, as amended at 31
FR 9065, July 1, 1966; 32 FR 14220, Oct. 13,
1967; CGD 78–144a, 44 FR 19363, Apr. 2, 1979;
CGD 78–144b, 44 FR 64837, Nov. 9, 1979; 61 FR
5721, Feb. 14, 1996. Redesignated and amended
at 61 FR 32655, June 25, 1996, and further redesignated and amended by USCG–1998–3976,
63 FR 35139, 35140, June 29, 1998; USCG–2002–
13058, 67 FR 61279, Sept. 30, 2002]

§ 401.211 Requirements for training of
Applicant Pilots.

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Coast Guard (Great Lakes Pilotage), DHS
§ 401.220 Registration of pilots.
(a) The Director shall determine the
number of pilots required to be registered in order to assure adequate and
efficient pilotage service in the United
States waters of the Great Lakes and
to provide for equitable participation
of United States Registered Pilots with
Canadian Registered Pilots in the rendering of pilotage services.
(b) Registration of pilots shall be
made from among those Applicant Pilots who have (1) completed the minimum number of trips prescribed by
the Commandant over the waters for
which application is made on oceangoing vessels, in company with a Registered Pilot, within 1 year of date of
application, (2) completed a course of
instruction for Applicant Pilots prescribed by the association authorized
to establish the pilotage pool, (3) satisfactorily completed a written examination prescribed by the Commandant,
evidencing his knowledge and understanding of the Great Lakes Pilotage
Regulations, Rules and Orders; the
Memorandum of Arrangements, Great
Lakes Pilotage, between the United
States and Canada; and other related
matters including the working rules
and operating procedures of his district, given at such time and place as
the Commandant may designate within
the pilotage district of the Applicant
Pilot.
(c) The Pilot Association authorized
to establish a pool in which an Applicant Pilot has qualified for registration
under paragraph (b) of this section
shall submit to the Director in writing
its recommendations together with its
reasons for the registration of the Applicant.
(d) Subject to the provisions of paragraphs (a), (b), and (c) of this section, a
pilot found to be qualified under this
subpart shall be issued a Certificate of
Registration, valid for a term of five (5)
years or until the expiration of his
master’s, mate’s or pilot’s license
issued under the authority of Title 52
of the Revised Statutes or until the
pilot reaches age 70, whichever occurs
first.
(e) The Director may, when necessary
to assure adequate and efficient pilotage service, issue a temporary certificate of registration for a period of less

§ 401.230
than 1 year to any person found qualified under this subpart regardless of
age.
[29 FR 10465, July 28, 1964, as amended at 31
FR 9065, July 1, 1966; CGFR 67–64, 32 FR 14221,
Oct. 13, 1967; CGFR 69–84, 34 FR 12583, Aug. 1,
1969; CGD 78–144a, 44 FR 19363, Apr. 2, 1979;
CGD 78–144b, 44 FR 64837, Nov. 9, 1979; 61 FR
5721, Feb. 14, 1996. Redesignated at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998]

§ 401.230 Certificates of Registration.
(a) A Certificate of Registration shall
describe the part or parts of the Great
Lakes within which the pilot is authorized to perform pilotage services and
such description shall not be inconsistent with the terms of the pilotage
authorization in his or her master’s,
mate’s, or pilot’s license issued under
the authority of Title 52 of the Revised
Statutes.
(b) A Certificate of Registration shall
not authorize the holder to board any
vessel, or to serve as a pilot of any vessel, without the permission of the
owner or master. A Certificate of Registration shall be in the possession of a
pilot at all times when he or she is in
the service of a vessel, and shall be displayed upon demand of the owner or
master, any United States Coast Guard
officer or inspector, or a representative
of the Director.
(c) A Certificate of Registration evidencing registration of the holder is
the property of the U.S. Coast Guard
and it shall not be pledged, deposited,
or surrendered to any person except as
authorized by this part. A Certificate
of Registration may not be photostated
or copied. A Certificate which has expired without renewal, or renewal of
which has been denied under the provisions of this section, shall be surrendered to the Director upon demand.
(d) An application for a replacement
of a lost, damaged, or defaced Certificate of Registration shall be made in
writing to the Director together with
two full-face photographs, 11⁄2 inches by
2 inches, signed on the face. A replacement fee of five dollars ($5) by check or
money order, drawn to the order of the
U.S. Coast Guard, shall accompany any
such application. A Certificate issued
as a replacement for a lost, damaged,
or defaced Certificate shall be marked

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§ 401.240

46 CFR Ch. III (10–1–05 Edition)

so as to indicate that it is a replacement. Upon receipt of a Certificate
issued as a replacement, the damaged
or defaced Certificate shall be surrendered to the Director.
(e) A Certificate of Registration may
be voluntarily surrendered to the Director by a Registered Pilot at any
time such pilot no longer desires to
perform pilotage services; however, in
the event such Registered Pilot has
been served with a notice of hearing
pursuant to § 401.250, a voluntary surrender of the Certificate of Registration shall be at the option of the Director.
[29 FR 10465, July 28, 1964, as amended at 31
FR 9065, July 1, 1966; 32 FR 14221, Oct. 13,
1967; CGD 78–144a, 44 FR 19363, Apr. 2, 1979; 61
FR 5721, Feb. 14, 1996. Redesignated and
amended at 61 FR 32655, June 25, 1996, and
further redesignated and amended by USCG–
1998–3976, 63 FR 35139, 35140, June 29, 1998;
USCG–2002–13058, 67 FR 61279, Sept. 30, 2002]

§ 401.240 Renewal
Registration.

of

Certificates

of

(a) An application for renewal of a
Certificate of Registration shall be
submitted to the Director together
with two full-face photographs, 11⁄2
inches by 2 inches, signed on the face,
at least 15 days before the expiration
date of the existing Certificate. The
form for renewal of Certificates of Registration may be obtained from the Director. A renewal fee of 5 dollars by
check or money order, drawn to the
order of the U.S. Coast Guard, shall accompany an application for renewal of
registration, which will be refunded if
registration is not renewed. Failure of
a Registered Pilot to comply with
these requirements or file a complete
and sufficient application may constitute cause for denying renewal of
the Certificate of Registration.
(b) No Certificate of Registration
shall be renewed unless the applicant
for renewal thereof meets the requirements and qualifications set forth in
§ 401.210 for issuance of an original Certificate of Registration; excepting that
compliance with § 401.210(a)(4) shall not
be required if the examination was satisfactorily passed on a previous application for registration within six (6)
months next preceding the date of application for renewal.

(c) If the Director determines that
there is good cause for denying renewal
of a Certificate of Registration, the applicant shall be notified in writing of
such determination and the cause
thereof. The applicant may thereupon
apply within fifteen (15) days of the receipt of such notice for a hearing in regard to the cause for the denying of a
renewal of the Certificate, which hearing shall be granted.
(d) In any case in which the applicant
has made timely and sufficient application for renewal of his registration, no
such registration shall expire until
such application shall have been finally determined by the Commandant
unless the public health, interest, or
safety requires otherwise.
(e) Upon receipt of a renewal Certificate of Registration, the expired Certificate shall be surrendered to the Director.
[29 FR 10465, July 28, 1964, as amended at 32
FR 14221, Oct. 13, 1967; CGFR 68–57, 33 FR
6479, Apr. 27, 1968; 61 FR 5721, Feb. 14, 1996.
Redesignated and amended at 61 FR 32655,
June 25, 1996, and further redesignated and
amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998]

§ 401.250 Suspension and revocation of
Certificates of Registration.
(a) Certificate of Registration issued
pursuant to the provisions of this part
may be suspended or revoked upon a
determination on the record, after opportunity for a hearing in accordance
with the Administrative Procedure
Act, as amended (5 U.S.C. 551 through
559), that the pilot (holder) has violated
any provision of this chapter or is no
longer eligible for registration.
(b) When a Certificate of Registration which is about to expire is suspended, the renewal of such certificate
may be withheld until the expiration of
the period of suspension.
(c) Whenever the public health, interest, or safety requires, the Director
may deny a Registered Pilot dispatch
for a period not to exceed 30 days pending investigation by the U.S. Coast
Guard or other agency having jurisdiction in the matter.
(d) Every U.S. Registered Pilot shall,
whenever his or her license is revoked
or suspended under the provisions of
part 5 of this title, deliver his or her

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Coast Guard (Great Lakes Pilotage), DHS
Certificate of Registration simultaneously with his or her license to the
U.S. Coast Guard. If the license is suspended, the Certificate of Registration
will be held with the suspended license
and returned to the holder upon expiration of the suspension period.
[32 FR 14221, Oct. 13, 1967, as amended by
CGFR 68–57, 33 FR 6478, Apr. 27, 1968; 61 FR
5721, Feb. 14, 1996. Redesignated at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998; USCG–2002–13058, 67 FR
61279, Sept. 30, 2002]

§ 401.260

Reports.

(a) A marine accident which occurs
while a U.S. Registered Pilot is in the
service of a vessel in U.S. or Canadian
waters of the Great Lakes shall be reported by the Registered Pilot to the
Director as soon as possible, but not
later than 15 days after the accident.
The report shall name and describe the
vessel or vessels involved, and shall describe the accident, including type of
accident, location, time, prevailing
weather, damage to the vessel or vessels or property, and injury to persons
or lives lost. This report does not relieve the pilot of responsibility for submitting any report required by other
government agencies of the United
States or Canada.
(b) Every U.S. Registered Pilot shall
file with the Director any change of his
or her mailing address within 15 days
after the change.
(c) Every authorized pilotage pool of
U.S. Registered Pilots rendering pilotage service shall submit, by the 10th
day of the month following, a monthly
report of availability, on a form provided by the Director, of all U.S. Registered Pilots and Applicant Pilots of
that pool. The report shall include the
availability of Canadian Registered Pilots who are assigned to that pool for
administrative purposes. The report
shall list the name of each pilot and
show his or her availability status for
each day of the month as: available,
unavailable due to illness or injury, unavailable with advance notice for personal reasons, unavailability authorized by the pool for business reasons,
unavailable without advance notice or
unaccounted for, unavailable for disciplinary reasons. The report shall be

§ 401.300
maintained on a daily basis by an officer or employee of the pool, who shall
be responsible for the completeness and
accuracy of the report.
[31 FR 9065, July 1, 1966; 32 FR 14221, Oct. 13,
1967. Redesignated at 61 FR 32655, June 25,
1996, and further redesignated by USCG–1998–
3976, 63 FR 35139, June 29, 1998; USCG–2002–
13058, 67 FR 61279, Sept. 30, 2002]

Subpart C—Establishment of Pools
by Voluntary Associations of
United States Registered Pilots
§ 401.300 Authorization for establishment of pools.
(a) Voluntary associations of U.S.
registered pilots will be authorized to
establish a pool or pools in the following areas of the U.S. waters of the
Great Lakes designated by the President in Proclamation No. 3385 of December 22, 1960, as amended by Proclamation No. 3855 of June 10, 1968, or in
such other areas as the Director may
deem necessary to assure adequate and
efficient pilotage services for the U.S.
waters of the Great Lakes:
(1) District No. 1. All United States
waters of the St. Lawrence River between the international boundary at
St. Regis and a line at the head of the
river running (at approximately 127°
True) between Carruthers Point Light
and South Side Light extended to the
New York shore.
(2) District No. 2. All United States
waters of Lake Erie westward of a line
running (at approximately 026° True)
from Sandusky Pierhead Light at
Cedar Point to Southeast Shoal Light;
all waters contained within the arc of a
circle of one mile radius eastward of
Sandusky Pierhead Light; the Detroit
River; Lake St. Clair; the St. Clair
River, and Northern approaches thereto south of latitude 43°05′30″ N.
(3) District No. 3. All U.S. waters of
the St. Marys River, Sault Sainte
Marie Locks and approaches thereto
between latitude 45°59′ N. at the southern approach and longitude 84°33′ W. at
the northern approach.
(b) The Director shall determine the
number of pools that will be authorized

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§ 401.310

46 CFR Ch. III (10–1–05 Edition)

for establishment by voluntary associations of United States registered pilots in order to assure adequate and efficient pilotage services for the United
States waters of the Great Lakes.
[26 FR 952, Jan. 31, 1961, as amended at 32 FR
14221, Oct. 13, 1967; CGFR 68–78, 33 FR 9823,
July 9, 1968. Redesignated at 61 FR 32655,
June 25, 1996, and further redesignated by
USCG–1998–3976, 63 FR 35139, June 29, 1998]

§ 401.310 Application for establishment
of pools.
An application by a voluntary association for authorization to establish a
pool shall be filed on the form to be obtained from the Director. The form
shall require, among other things, furnishing of the following information:
(a) The name and address of the association.
(b) The names and addresses of all officers of the association.
(c) Type of organization (partnership,
corporation, etc.).
(d) Copies of articles of incorporation, bylaws, partnership agreements,
etc.
(e) The names and addresses of all
stockholders or partners, together with
the extent of their financial interest.
(f) A copy of the financial statements
of the association.
(g) The names, addresses, and Certificates of Registration numbers of all
member pilots.
(h) The District or area in which
members of the association desire to
render pilotage services.
(i) An inventory of owned or leased
boats, launches, radio equipment, vehicles, etc., which may be used in the
performance of pilotage services.
[26 FR 952, Jan. 31, 1961, as amended at 32 FR
14221, Oct. 13, 1967. Redesignated at 61 FR
32655, June 25, 1996, and further redesignated
by USCG–1998–3976, 63 FR 35139, June 29, 1998]

§ 401.320 Requirements and qualifications for authorization to establish
pools.
No voluntary association shall be authorized to establish a pool unless:
(a) The Director determines that a
pool is necessary for the efficient dispatching of vessels and the providing of
pilotage services in the area concerned.
(b) The stock, equity, or other financial interests coupled with voting

rights or exercise of any right of control in the management of the voluntary association is held only by
member Registered Pilots registered
pursuant to § 401.200, § 401.210, or
§ 401.220(e), excluding Applicant Pilots.
(c) The voluntary association establishes that it possesses the ability, experience, financial resources, and other
qualifications necessary to enable it to
operate and maintain an efficient and
effective pilotage service.
(d) The voluntary association agrees
that:
(1) Pilotage services will be provided
on a first-come, first-serve basis to vessels giving proper notice of arrival
time or pilotage service requirements,
to the pilotage station, except that pilots will not be required to board vessels which do not provide safe boarding
facilities;
(2) It will submit working rules for
approval of the Commandant;
(3) It will adopt and use the Uniform
System of Accounts, part 403 of this
chapter, and such other accounting
procedures and reports as may be prescribed by the Commandant;
(4) It will be subject to audit and inspection by the U.S. Coast Guard and
will submit by April 1 of each year an
unqualified long form audit report for
the preceding year prepared by an Independent Certified Public Accountant,
performed in accordance with Generally Accepted Auditing Standards
promulgated by the American Institute
of Certified Public Accountants.
(5) It will be subject to such other
provisions as may be prescribed by the
Director governing the operation of
and the costs which may be charged in
connection with the pools;
(6) It will coordinate on a reciprocal
basis its pool operations with similar
pool arrangements established by the
Canadian Government and pursuant to
the provisions of the United StatesCanada Memorandum of Arrangements,

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Coast Guard (Great Lakes Pilotage), DHS
Great Lakes Pilotage, or any other arrangements established by the United
States and Canadian Governments.
[29 FR 10466, July 28, 1964, as amended at 31
FR 9066, July 1, 1966; 32 FR 14221, Oct. 13,
1967; CGD 81–088, 47 FR 13808, Apr. 1, 1982;
CGD 88–111, 55 FR 17581, Apr. 25, 1990; 61 FR
5721, Feb. 14, 1996. Redesignated and amended
at 61 FR 32655, June 25, 1996, and further redesignated and amended by USCG–1998–3976,
63 FR 35139, 35140, June 29, 1998]

§ 401.330 Certificates of Authorization.
(a) Subject to § 401.300(b), an association that is qualified to establish a
pool in a District or area is issued a
Certificate of Authorization that is
valid until suspended or revoked under
the procedures in § 401.335.
(b) A Certificate of Authorization
shall be in such form as the Director
may prescribe, but shall describe the
area of the Great Lakes in which the
pool will perform pilotage services. A
Certificate of Authorization shall be
posted in the principal place of business of an association in such manner
so as to be available for examination
by members of the association and the
public.
[26 FR 953, Jan. 31, 1961, as amended at 32 FR
14221, Oct. 13, 1967; CG 74–233, 40 FR 41527,
Sept. 8, 1975. Redesignated and amended at 61
FR 32655, June 25, 1996, and further redesignated and amended by USCG–1998–3976, 63 FR
35139, 35140, June 29, 1998]

§ 401.335 Suspension or revocation of a
Certificate of Authorization.
(a) The Director may issue an order
to suspend or revoke a Certificate of
Authorization if—
(1) The holder of a Certificate of Authorization does not continue to meet
the requirements under § 401.320; or
(2) The holder of a Certificate of Authorization does not comply with the
requirements of this part.
(b) Before issuing an order to suspend
or revoke, the Director notifies the
holder of a Certificate of Authorization
of the reasons for the proposed suspension or revocation and gives the holder
an opportunity to be heard or to comply with the requirements of this part.
(c) If the Director finds that the violation of a requirement of this part involves public health, interest, or safety, or that the violation is willful, the
Director may issue an order to suspend

§ 401.340
the Certificate of Authorization without giving notice under paragraph (b)
of this section. The order shall contain
the reasons for the Director’s action.
(d) A holder who has its Certificate of
Authorization suspended under paragraph (c) of this section shall have an
opportunity to be heard by notifying
the Director in writing.
(e) The Director shall reinstate a Certificate of Authorization that has been
suspended under paragraph (b) or (c) of
this section when he determines that
the holder is complying with this part.
[CGD 74–233, 40 FR 41527, Sept. 8, 1975. Redesignated and amended at 61 FR 32655, June 25,
1996, and further redesignated and amended
by USCG–1998–3976, 63 FR 35139, 35140, June
29, 1998]

§ 401.340 Compliance with working
rules of pools.
(a) United States or Canadian registered pilots utilizing the facilities
and dispatching services of any authorized pool shall comply with its working
rules approved under § 402.320, except to
the extent inconsistent with the dispatch orders of the Director under
§ 401.720(b), and with other rules of the
pool that are related to those facilities
and services.
(b) The voluntary associations of
U.S. Registered Pilots authorized to establish a pilotage pool may require a
U.S. Registered Pilot to execute a written authorization for the pool to bill
for services, deduct authorized expenses, and to comply with the working rules and other rules of the pool relating to such facilities and services.
Facilities and services of the pool may
be denied to any U.S. Registered Pilot
who fails or refuses to execute such authorizations.
(c) U.S. Registered Pilots who fail to
execute such an authorization shall not
be considered members of the U.S.
pool, and shall not be entitled to reciprocal dispatching and related services
by United States and Canadian pilotage pools as provided for by the Memorandum of Arrangements. A U.S. Registered Pilot who fails or refuses to
avail himself of the established facilities and services shall be considered as
not being continuously available for
service pursuant to section 4(a) of the
Great Lakes Pilotage Act of 1960 (46

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§ 401.400

46 CFR Ch. III (10–1–05 Edition)

U.S.C. 216 through 216i) and his agreement executed on the Application for
Registration as a U.S. Registered Pilot,
and may be subject to suspension or
revocation proceedings as prescribed
by § 401.250.
[26 FR 9647, Oct. 12, 1961, as amended at 31 FR
9066, July 1, 1966; 32 FR 14221, Oct. 13, 1967;
CGD 74–233, 40 FR 41527, Sept. 8, 1975. Redesignated and amended at 61 FR 32655, June 25,
1996, and further redesignated and amended
by USCG–1998–3976, 63 FR 35139, 35140, June
29, 1998]

Subpart D—Rates, Charges, and
Conditions for Pilotage Services

§ 401.405 Basic rates and charges on
the St. Lawrence River and Lake
Ontario.
Except as provided in § 401.420, the
following basic rates are payable for all
services and assignments performed by
U.S. registered pilots in the St. Lawrence River and Lake Ontario.
(a) Area 1 (Designated Waters):
Service
1 $10

Each Lock Transited ..............
Harbor Movage ......................

1 $222.
1 $728.

minimum basic rate for assignment of a pilot in the St.
Lawrence River is $486 and the maximum basic rate for a
through trip is $2,132.

The equivalent pilotage unit number
and appropriate weighting factor for
each ship shall be computed by utilizing the following formula and table:
(a) Pilotage unit computation:
Pilot
Unit=(Length×Breadth×Depth)/
283.17 (measured in meters)
Pilot
Unit=(Length×Breadth×Depth)/
10,000 (measured in feet)
(b) Weighting factor table:
Weighting
factor

0 to 129 .................................................................
130 to 159 .............................................................
160 to 189 .............................................................
190 and over .........................................................

per kilometer or $18
per mile.

1 The

§ 401.400 Calculation of pilotage units
and determination of weighting factor.

Range of pilotage units

St. Lawrence River

Basic Pilotage ........................

1.00
1.15
1.30
1.45

(c) The charge for pilotage service is
obtained by multiplying the weighting
factor, obtained from paragraph (b) of
this section by the appropriate basic
rate specified in §§ 401.405, 401.407,
401.410, 401.420 and 401.425.
[CGFR 70–29a, 35 FR 10434, June 26, 1970, as
amended by CGD 81–088; 47 FR 13808, Apr. 1,
1982; CGD 84–089, 50 FR 7178, Feb. 27, 1985. Redesignated and amended at 61 FR 32655, June
25, 1996; 62 FR 5922, Feb. 10, 1997. Redesignated and amended by USCG–1998–3976, 63 FR
35139, 35140, June 29, 1998]

(b) Area 2 (Undesignated Waters):
Lake
Ontario

Service
Six-Hour Period .......................................................
Docking or Undocking .............................................

[62 FR 5922, Feb. 10, 1997. Redesignated and
amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998; USCG 1999–6098, 66 FR
36489, July 12, 2001; USCG–2002–11288, 68 FR
69577, Dec. 12, 2003; USCG–2002–11288, 70 FR
12103, Mar. 10, 2005]

§ 401.407 Basic rates and charges on
Lake Erie and the navigable waters
from Southeast Shoal to Port
Huron, MI.
Except as provided in § 404.420, the
following basic rates are payable for all
services and assignments performed by
U.S. registered pilots on Lake Erie and
the navigable waters from Southeast
Shoal to Port Huron, MI.
(a) Area 4 (Undesignated Waters):
Lake
Erie
(east of
Southeast
Shoal)

Service

Six-Hour Period .....................................
Docking or Undocking ...........................
Any Point on the Niagara River below
the Black Rock Lock ..........................

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393

N/A

1,003

(b) Area 5 (Designated Waters):

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$510
393

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362

205193

Coast Guard (Great Lakes Pilotage), DHS

Southeast
Shoal

Any point on or in

Toledo or any port on Lake Erie west of Southeast
Shoal ..........................................................................
Port Huron Change Point ..............................................
St. Clair River ................................................................
Detroit or Windsor or the Detroit River .........................
Detroit Pilot Boat ...........................................................
1 When

§ 401.420
Toledo or
any Port on
Lake Erie
west of
Southeast
Shoal

$1,211

$715

1 2,108

1 2,442

1 2,108

N/A
1,571
1,211

1,211
876

Detroit River

Detroit Pilot
Boat

$1,571
1,584
1,584
715
N/A

$1,211
1,232
1,584
N/A
N/A

St. Clair
River

N/A
$876
715
1,584
1,584

pilots are not changed at the Detroit Pilot Boat.

[62 FR 5922, Feb. 10, 1997. Redesignated by USCG–1998–3976, 63 FR 35139, June 29, 1998; USCG
1999–6098, 66 FR 36489, July 12, 2001; USCG–2002–12840, 67 FR 47466, July 19, 2002; USCG–2002–
11288, 68 FR 69577, Dec. 12, 2003; USCG–2002–11288, 70 FR 12103, Mar. 10, 2005]

§ 401.410 Basic rates and charges on
Lakes Huron, Michigan and Superior and the St. Mary’s River.
Except as provided in § 401.420, the
following basic rates are payable for all
services and assignments performed by
U.S. registered pilots on Lakes Huron,
Michigan, and Superior and the St.
Mary’s River.
(a) Area 6 (Undesignated Waters):
Lakes
Huron and
Michigan

Service
Six-Hour Period ...................................................
Docking or Undocking .........................................

$390
370

(b) Area 7 (Designated Waters):
Area

De tour

Gros Cap .............................
Algoma Steel Corporation
Wharf at Sault Ste. Marie,
Ontario .............................
Any point in Sault Ste.
Marie, Ontario, except the
Algoma Steel Corporation
Wharf ...............................
Sault Ste. Marie, Michigan ..
Harbor Movage ....................

Gros
cap

Any
other
harbor

$1,383

N/A

N/A

1,383

$521

N/A

1,159
1,159
N/A

521
521
N/A

N/A
N/A
$521

(c) Area 8 (Undesignated Waters):
Lake
Superior

Service
Six-Hour Period .....................................................
Docking or Undocking ...........................................

$351
334

[62 FR 5923, Feb. 10, 1997. Redesignated and
amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998; USCG 1999–6098, 66 FR
36490, July 12, 2001; USCG–2002–11288, 68 FR
69578, Dec. 12, 2003; USCG–2002–11288, 70 FR
12103, Mar. 10, 2005]

§ 401.420 Cancellation, delay or interruption in rendition of services.
(a) Except as provided in this section,
whenever the passage of a ship is interrupted and the services of a U.S. pilot
are retained during the period of the
interruption or when a U.S. pilot is detained on board a ship after the end of
an assignment for the convenience of
the ship, the ship shall pay an additional charge calculated on a basic rate
of $67 for each hour or part of an hour
during which each interruption or detention lasts with a maximum basic
rate of $1,048 for each continuous 24hour period during which the interruption or detention continues. There is
no charge for an interruption or detention caused by ice, weather or traffic,
except during the period beginning the
1st of December and ending on the 8th
of the following April. No charge may
be made for an interruption or detention if the total interruption or detention ends during the 6-hour period for
which a charge has been made under
§§ 401.405 through 401.410.
(b) When the departure or movage of
a ship for which a U.S. pilot has been
ordered is delayed for the convenience
of the ship for more than one hour
after the U.S. pilot reports for duty at
the designated boarding point or after
the time for which the pilot is ordered,
whichever is later, the ship shall pay
an additional charge calculated on a
basic rate of $67 for each hour or part
of an hour including the first hour of
the delay, with a maximum basic rate
of $1,048 for each continuous 24-hour
period of the delay.

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§ 401.425

46 CFR Ch. III (10–1–05 Edition)

(c) When a U.S. pilot reports for duty
as ordered and the order is cancelled,
the ship shall pay:
(1) A cancellation charge calculated
on a basic rate of $396;
(2) A charge for reasonable travel expenses if the cancellation occurs after
the pilot has commenced travel; and
(3) If the cancellation is more than
one hour after the pilot reports for
duty at the designated boarding point
or after the time for which the pilot is
ordered, whichever is later, a charge
calculated on a basic rate of $67 for
each hour or part of an hour including
the first hour, with a maximum basic
rate of $1,048 for each 24-hour period.
[62 FR 5923, Feb. 10, 1997. Redesignated and
amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998; USCG 1999–6098, 66 FR
36490, July 12, 2001; USCG–2002–11288, 68 FR
69578, Dec. 12, 2003; USCG–2002–11288, 70 FR
12104, Mar. 10, 2005]

§ 401.425 Provision
pilot.

for

additional

The Director, Great Lakes Pilotage
Staff, U.S. Coast Guard, or the General
Manager, Great Lakes Pilotage Authority, Ltd., Canada, may require the
assignment of two pilots to a ship upon
request of the ship or when in his judgment, because of anticipated long transit, uncommon ship size, adverse
weather or sea conditions or other abnormal circumstances, the assignment
of two pilots is considered necessary
for the safe navigation of the ship. The
Director or General Manager shall direct which of the pilots is to be in
charge, as circumstances require. The
charge to the ship shall be twice the
appropriate charge provided for in
§§ 401.405, 401.407, 401.410, and 401.420.
This section does not apply to a ship in
a direct transit of the undesignated waters of Lake Erie between Southeast
Shoal and Port Colborne unless the
ship is required by law to have a registered pilot on board in these waters.
[CGD 80–148, 46 FR 18717, Mar. 26, 1981, as
amended at 61 FR 5721, Feb. 14, 1996. Redesignated and amended at 61 FR 32655, June 25,
1996; 62 FR 5923, Feb. 10, 1997, and further redesignated and amended by USCG–1998–3976,
63 FR 35139, 35140, June 29, 1998]

§ 401.427 Charge on past due accounts.
A charge of two percent (2%) per
month shall be paid on the opening
monthly balance on accounts remaining unpaid over thirty (30) days after
the billing date.
[CGD 79–138, 45 FR 13078, Feb. 28, 1980. Redesignated at 61 FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR
35139, June 29, 1998]

§ 401.428 Basic rates and charges for
carrying a U.S. pilot beyond normal
change point or for boarding at
other than the normal boarding
point.
If a U.S. pilot is carried beyond the
normal change point or is unable to
board at the normal boarding point,
the ship shall pay at the rate of $404
per day or part thereof, plus reasonable
travel expenses to or from the pilot’s
base. These charges are not applicable
if the ship utilizes the services of the
pilot beyond the normal change point
and the ship is billed for these services.
The change points to which this section applies are designated in § 401.450.
[62 FR 5923, Feb. 10, 1997. Redesignated and
amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998; USCG 1999–6098, 66 FR
36490, July 12, 2001; USCG–2002–11288, 68 FR
69578, Dec. 12, 2003; USCG–2002–11288, 70 FR
12104, Mar. 10, 2005]

§ 401.430 Prohibited charges.
No rate or charge shall be applied
against any vessel, owner or master
thereof, by a registered pilot which differs from the rates and charges set
forth in this part, nor shall any rates
or charges be made for services performed by a registered pilot, or for support services directly related to the
provision of pilotage that a registered
pilot requires a vessel to utilize, other
than those for which a rate is prescribed in this part, without the approval of the Director.
[CGD 88–111, 55 FR 17581, Apr. 25, 1990. Redesignated at 61 FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR
35139, June 29, 1998]

§ 401.431 Disputed charges.
(a) Any rate or charge applied
against any vessel, owner, or master
thereof by a registered pilot which the
owner or master disputes as a charge

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Coast Guard (Great Lakes Pilotage), DHS
prohibited by § 401.430, may be appealed
to the Director for an advisory opinion
as to whether such rate or charge is a
prohibited charge.
(b) The appeal shall be in writing and
set forth the amounts and description
of the rates and charges disputed. The
appeal must be supported by evidence
that a reasonable attempt has been
made to resolve the matter between
the parties and that a bona fide controversy exists.
(c) The respondent shall be furnished
a copy of the appeal and be notified by
the appellant that the matter has been
appealed for an advisory opinion.
(d) The respondent shall be allowed a
reasonable time, not less than twenty
(20) days, in which to file with the Director and the appellant any data or
arguments desired to be submitted in
further defense of the disputed rates
and charges.
(e) The Administration shall consider
all relevant matter presented and issue
an advisory opinion which shall be accompanied by an express recital that
all relevant material received has been
considered. The advisory opinion shall
set forth the rates and charges in dispute, a discussion of the facts and relevant material considered, and a statement of opinion.
(f) When it is found that the disputed
rates and charges, in the opinion of the
Director, are charges prohibited by
§ 401.430, the respondent shall have a
reasonable time, but not more than
thirty (30) days in which to refund
moneys, adjust invoices, and otherwise
conform to the advisory opinion.
(g) Failure or refusal to comply with
the advisory opinion within the time
allowed may form a basis for a determination that there is a violation of
the Great Lakes Pilotage Regulations
subject to the provisions of § 401.500.
[29 FR 10467, July 28, 1964, as amended at 32
FR 14221, Oct. 13, 1967; 61 FR 5721, Feb. 14,
1996. Redesignated and amended at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998]

§ 401.432
ices.

Certification of support serv-

Each association holding a Certificate of Authorization shall certify each
year whether any support service enti-

§ 401.451
ty is directly or indirectly related by
beneficial ownership to that association or to a United States registered
pilot who is also a member of that association.
[CGD 88–111, 55 FR 17581, Apr. 25, 1990. Redesignated at 61 FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR
35139, June 29, 1998]

§ 401.440 Advance payment of charges.
Subject to the approval of the Director, a United States or Canadian Registered Pilot performing pilotage services in accordance with the rates and
charges set forth in this subpart may
require advance payment of such rates
or charges or a suitable bond securing
payment.
[29 FR 10467, July 28, 1964, as amended at 32
FR 14221, Oct. 13, 1967. Redesignated at 61 FR
32655, June 25, 1996, and further redesignated
by USCG–1998–3976, 63 FR 35139, June 29, 1998]

§ 401.450 Pilot change points.
A Registered Pilot’s assignment is
completed when the vessel to which he
is assigned completes its arrival at or,
in the case of a through trip, passes
any of the following places:
(a) Snell Lock;
(b) Cape Vincent;
(c) Port Weller;
(d) Lock No. 7, Welland Canal;
(e) Detroit/Windsor, other than assignments originating or terminating
at a point on the Detroit River;
(f) Port Huron/Sarnia;
(g) Detour;
(h) Gros Cap;
(i) Chicago with respect to assignments originating at Detour or Port
Huron/Sarnia; and
(j) Duluth/Superior and Fort William/
Port Arthur with respect to assignments originating at Gros Cap.
[CGFR 68–57, 33 FR 6479, Apr. 27, 1968. Redesignated at 61 FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR
35139, June 29, 1998]

§ 401.451 Pilot rest periods.
(a) Except as provided in paragraph
(b) of this section:
(1) Each Registered Pilot upon completing an assignment at a change
point designated in § 401.450, and
(2) Each Registered Pilot upon completing a series of assignments totaling

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§ 401.500

46 CFR Ch. III (10–1–05 Edition)

more than 10 hours with no more than
2 hours rest between assignments, shall
not perform pilotage services for at
least 10 hours.
(b) In the event of an emergency or
other compelling circumstances a pilotage pool may assign a Registered
Pilot for service before his 10-hour rest
period required under paragraph (a) of
this section is completed. Pilotage
pools shall advise the Director of each
assignment made under this paragraph.
[CGFR 68–57, 33 FR 6479, Apr. 27, 1968. Redesignated and amended at 61 FR 32655, June 25,
1996, and further redesignated and amended
by USCG–1998–3976, 63 FR 35139, 35140, June
29, 1998]

Subpart E—Penalties; Operations
Without Registered Pilots
§ 401.500 Penalties for violations.
Any person, including a pilot, master, owner, or agent, who violates any
provision of this part shall be liable to
the United States for a civil penalty as
set forth in 46 U.S.C. 9308.
[CGD 88–111, 55 FR Apr. 25, 1990. Redesignated at 61 FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR
35139, June 29, 1998]

§ 401.510 Operation
without
Registered Pilots.
(a) A vessel may be navigated in the
U.S. waters of the Great Lakes without
a United States or Canadian Registered
Pilot when the vessel or its cargo is in
distress or jeopardy.
(b) A vessel may be navigated in the
U.S. waters of the Great Lakes without
a United States or Canadian Registered
Pilot when the Director, with the concurrence of the Commander, 9th Coast
Guard District, notifies the master
that a United States or Canadian Registered Pilot is not available.
(1) Notification to the master that a
pilot is not available will be made by
the Director, either directly to the vessel or through the appropriate pilotage
pool, orally or in writing as the circumstances admit, and shall not be
deemed given until the notice is actually received by the vessel.
(2) The determination that a pilot is
not available will be made on an individual basis and only when a vessel has
given proper notice of its pilotage serv-

ice requirements to the pilotage pool
having dispatching jurisdiction at the
time. The vessel has no obligation or
responsibility with respect to such notification other than properly informing the pilotage pool of its pilotage requirements. However, the failure or
delay by the pool in processing a pilotage service request, or refusal or delay
by the U.S. Coast Guard in notifying
the vessel that a pilot is not available,
does not constitute constructive notice
that a pilot is not available, and the
vessel is not relieved by such failure or
delay from compliance with the Great
Lakes Pilotage Act of 1960.
(3) Upon receipt of proper notice of a
vessel’s pilotage requirements, the pilotage pool shall then determine from
the tour de role the availability of a
pilot to render the service required. If
no pilot is reasonably expected to be
available for service within 6 hours of
the time the pilotage services are required by the vessel, the pilotage pool
shall promptly inform the Commandant through the U.S. Coast Guard
communications system in the manner
as may be prescribed from time to time
by the Commandant. The Commandant
shall be informed of:
(i) Name and flag of the vessel;
(ii) Route of vessel for which a pilot
is not available;
(iii) Time elapsing before a pilot is
reasonably expected to become available;
(iv) Whether vessel has an ‘‘other officer’’ on board;
(v) Familiarity of master with route
to be transited by the vessel;
(vi) Draft of vessel; and
(vii) Any circumstances of traffic or
weather, or condition of the vessel or
its cargo which would adversely affect
the safety of the vessel in transiting
without a pilot.
(4) When a pilot is expected to become available within 6 hours of the
time pilot services are required, the
vessel shall be informed that a pilot is
available and the approximate time the
pilot will report on duty. However,
should any unusual circumstance or
condition exist which may justify notification that a pilot is not available in
less than 6 hours, the pilotage pool
shall inform the Director as in paragraph (b)(3) of this section, along with

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Coast Guard (Great Lakes Pilotage), DHS
the circumstances involved. Additionally, the vessel may contact the Director directly to request notification
under paragraph (b)(1) of this section if
a notice of pilot availability is not received from the appropriate pilotage
pool within two hours of providing its
pilotage requirements to the pool.
(5) Any vessel which requires the
services of a pilot and is navigated
without a pilot or proceeds prior to receipt of a message that a pilot is not
available pursuant to paragraph (b)(1)
of this section shall be reported as in
violation of section 7 of the Great
Lakes Pilotage Act of 1960 by the pilotage pool to the local Coast Guard unit
having jurisdiction. If the message is
received after the vessel proceeds, such
message shall not be delivered without
concurrence of the Coast Guard officer
to whom the violation was reported.
(6) U.S. pilotage pools informing the
Director that a pilot is not available
for a vessel shall also obtain notice
that a pilot is not available from the
appropriate Canadian Supervisor of Pilots for those portions of the route
which are in Canadian waters in the
manner prescribed by them. The notice
for Canadian District No. 1 waters shall
be obtained from the Supervisor of Pilots, Department of Transport, Cornwall, Ontario, and the notice for Canadian District No. 2 waters shall be obtained from the Supervisor of Pilots,
Department of Transport, Port Weller,
Ontario. Authority to issue notice for
Canadian waters of District No. 3 has
been granted to the Director by the Department of Transport, Ottawa, and
separate notice from Canada for this
District is not required until such time
as separate Canadian pilotage dispatch
facilities may be established.
(7) Notice that a pilot is not available
shall not be delivered to any vessel unless the message contains the concurrence of the Commander, 9th Coast
Guard District, and notice for Canadian waters of Districts No. 1 and No. 2,
if required, has been obtained from the
appropriate Canadian authority.
(8) In the event of an emergency or
any other compelling circumstance,
the Director may issue, without the
specific request for service as provided
under paragraph (b)(2) of this section,
individual or general notification that

§ 401.605
a pilot or pilots are not available. Pilotage pools shall advise the Director
of any condition or circumstance coming to their attention which may warrant such a determination.
[32 FR 14221, Oct. 13, 1967, as amended by
CGD 88–111, 55 FR 17582, Apr. 25, 1990; 55 FR
19145, May 8, 1990; 61 FR 5721, Feb. 14, 1996.
Redesignated at 61 FR 32655, June 25, 1996,
and further redesignated and amended by
USCG–1998–3976, 63 FR 35139, 35140, June 29,
1998]

Subpart F—Procedure Governing
Revocation or Suspension of
Registration and Refusal To
Renew Registration
§ 401.600 Right to hearing.
(a) A United States Registered Pilot,
on receipt of notice from the U.S.
Coast Guard that he or she has violated
any regulation made pursuant to the
Act, which violation the Director determines is grounds for suspension or
revocation of the pilot’s Certificate of
Registration, shall have fifteen (15)
days from the receipt of such notice in
which to notify the Director that he or
she elects to exercise his or her right
to a hearing as to the grounds for the
proposed suspension or revocation. A
pilot failing to notify the Director
within the prescribed period is deemed
to have waived his or her right to a
hearing.
(b) A United States Registered Pilot
whose application was timely filed, on
receipt of notice that renewal of his or
her Certificate of Registration has been
denied pursuant to § 401.240(c), who fails
to notify the Director within fifteen
(15) days of the receipt of such notice
that he or she desires a hearing, is
deemed to have waived his or her right
to a hearing.
[29 FR 11595, Aug. 13, 1964, as amended at 32
FR 14222, Oct. 13, 1967; 61 FR 5721, Feb. 14,
1996. Redesignated and amended at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998; USCG–2002–13058, 67 FR
61279, Sept. 30, 2002]

§ 401.605 Notice.
(a) The Director, upon receipt of notice that a U.S. Registered Pilot elects
to exercise his rights to a hearing,
shall arrange for a hearing and notify

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§ 401.610

46 CFR Ch. III (10–1–05 Edition)

the pilot of the time, date and place it
is to be held.
[32 FR 14222, Oct. 13, 1967. Redesignated at 61
FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR 35139, June
29, 1998]

§ 401.610 Hearing.
(a) The hearing shall be held at the
time and place designated with due regard to the convenience and necessity
of the parties.
(b) The hearing shall be held on the
record before an Administrative Law
Judge appointed as provided by section
11 of the Administrative Procedure Act
(5 U.S.C. 3105). Hearings shall be conducted in accordance with sections 5, 7,
and 8 of the Administrative Procedure
Act, as amended (5 U.S.C. 554, 556, 557).
[32 FR 14222, Oct. 13, 1967. Redesignated at 61
FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR 35139, June
29, 1998]

§ 401.615 Representation.
(a) The U.S. Registered Pilot, designated ‘‘respondent’’ in a suspension
or revocation hearing or ‘‘applicant’’ in
a refusal-to-renew-registration hearing, may be represented before the Administrative Law Judge by any person
who is a member in good standing of
the bar of the highest court of any
State, Commonwealth, Territory, Possession, or the District of Columbia,
upon filing with the Administrative
Law Judge a written declaration that
he is currently qualified and is authorized to represent the particular party
in whose behalf he acts.
(b) Whenever a person acting in a
representative capacity appears in person or signs a paper in practice before
the Administrative Law Judge, Director, Commandant, the Administrator,
or other official of the U.S. Coast
Guard, his personal appearance or signature shall constitute a representation that under the provisions of this
subpart and applicable law he is authorized and qualified to represent the
particular person in whose behalf he
acts.
(c) When any Registered Pilot is represented by an attorney at law, any notice or other written communication
required or permitted to be given to or
by such a U.S. Registered Pilot shall be

given to or by such attorney. If a U.S.
Registered Pilot is represented by more
than one attorney, service by or upon
any one of such attorneys shall be sufficient.
[32 FR 14222, Oct. 13, 1967, as amended at 61
FR 5721, Feb. 14, 1996. Redesignated at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998]

§ 401.620

Burden of proof.

(a) In a suspension or revocation
hearing, the Director shall have the
burden of establishing, by substantial
evidence, the grounds for a suspension
or revocation of a Certificate of Registration held by a pilot, as stated in
the letter addressed to such pilot notifying him of the U.S. Coast Guard intention to suspend or revoke the pilot’s
registration.
(b) In a refusal-to-renew-registration
hearing, the Director shall have the
burden of establishing the grounds for
the Director’s determination under
§ 401.240(c) to deny renewal of the Certificate of Registration.
[32 FR 14222, Oct. 13, 1967, as amended at 61
FR 5721, Feb. 14, 1996. Redesignated and
amended at 61 FR 32655, June 25, 1996, and
further redesignated and amended by USCG–
1998–3976, 63 FR 35139, 35140, June 29, 1998]

§ 401.630 Appearance, testimony, and
cross-examination.
(a) The U.S. Registered Pilot may appear in person or by counsel and may
testify at the hearing, call witnesses in
his own behalf, and cross-examine witnesses appearing in behalf of the Director.
(1) In any case in which the U.S. Registered Pilot, after being duly served
with the notice of the time and place of
the hearing, fails to appear at the time
and place specified for the hearing, a
notation to that effect shall be made in
the record and the hearing may then be
conducted ‘‘in absentia.’’
(2) The Administrative Law Judge
shall also cause to be placed in the
record all the facts concerning the
issuance and service of the notice of
hearing and the allegations against the
U.S. Registered Pilot.

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Coast Guard (Great Lakes Pilotage), DHS
(b) The Director through counsel
shall appear, present evidence, call witnesses, and cross-examine the witnesses called on behalf of the U.S. Registered Pilot.
(c) In the discretion of the Administrative Law Judge, other witnesses
may testify at the hearing.
[32 FR 14222, Oct. 13, 1967. Redesignated at 61
FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR 35139, June
29, 1998]

§ 401.635 Evidence which shall be excluded.
The Administrative Law Judge presiding at the hearing shall exclude irrelevant, immaterial, or unduly repetitious evidence.
[29 FR 11595, Aug. 13, 1964. Redesignated at 61
FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR 35139, June
29, 1998]

§ 401.640 Record for decision.
The transcript of testimony and oral
argument at the hearing, together with
any exhibits received, shall be made
part of the record for decision, and the
record shall be available to the respondent or applicant on payment of
costs thereof.
[29 FR 11595, Aug. 13, 1964. Redesignated at 61
FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR 35139, June
29, 1998]

§ 401.645 Administrative Law Judge’s
decision; exceptions thereto.
At the conclusion of the hearing, the
parties may submit briefs and recommended conclusions and findings
within such time as the Administrative
Law Judge shall determine appropriate. The Administrative Law Judge
shall thereafter issue a written initial
decision in the case, which decision
shall be final and binding upon the Director, except as provided in § 401.650.
[29 FR 11595, Aug. 13, 1964, as amended at 32
FR 14222, Oct. 13, 1967. Redesignated and
amended at 61 FR 32655, June 25, 1996, and
further redesignated and amended by USCG–
1998–3976, 63 FR 35139, 35140, June 29, 1998]

§ 401.650 Review of Administrative
Law Judge’s initial decision.
(a) The Commandant may, on his
own motion, or on the basis of a peti-

§ 401.650
tion filed by the U.S. Registered Pilot
in the proceedings or the Commandant,
review any initial decision of the Administrative Law Judge by entering a
written order stating that he elects to
review the action of the Administrative Law Judge. Copies of all orders for
review, replies, and decisions shall be
served on all parties.
(b) A petition for review shall be in
writing and shall state the grounds
upon which the petition relies. A petition for review shall be limited to the
record before the Administrative Law
Judge. Five (5) copies of such a petition
for review, together with proof of service on all parties, shall be filed with
the Commandant (CL) within fifteen
(15) days after the date of service of the
initial decision of the Administrative
Law Judge. Parties may file replies, in
writing, to a petition for review, with
proof of service on other parties in the
same manner and number of copies as
is provided for filing of a petition for
review and within ten (10) days after
the date the petition for review is
timely filed. A reply shall be limited to
the record before the Administrative
Law Judge and the petition for review.
(c) If a petition for review is filed
within the time prescribed, the initial
decision of the Administrative Law
Judge shall be final fifteen (15) days
after expiration of the time prescribed
for filing a reply thereto unless the
Commandant prior to expiration of the
fifteen (15) days after expiration of the
time prescribed for filing a reply thereto enters a written order granting the
petition for review. If no petition for
review is filed within the time prescribed and the Commandant does not
elect to review on his own motion, the
initial decision of the Administrative
Law Judge shall be final twenty (20)
days after the date of service of the decision.
(d) If the Commandant reviews the
initial decision as provided in this section, he shall issue a written order affirming, amending, overruling, or remanding the initial decision of the Administrative Law Judge within thirty
(30) days after the date on which he
takes review. There is no other administrative remedy within the Department of Transportation.

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§ 401.700

46 CFR Ch. III (10–1–05 Edition)

(e) When the Commandant has sustained an order of suspension or revocation of a registration, the respondent may appeal to the National Transportation Safety Board under 49 CFR
825.5 within ten (10) days after service
of the Commandant decision.
[32 FR 14222, Oct. 13, 1967, as amended by
CGD 76–189, 42 FR 31160, June 20, 1977; 61 FR
5721, Feb. 14, 1996. Redesignated at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998]

Subpart G—Operating Requirements for U.S. Registered Pilots
and Holders of Certificates of
Authorization; Authority of the
Director Over Operations
§ 401.700 Operating requirements for
U.S. registered pilots.
Each U.S. registered pilot shall—
(a) Provide pilotage service when dispatched by his pool; and
(b) Comply with the dispatching orders of the Director under § 401.720 (b).
[CGD 74–233, 40 FR 41527, Sept. 8, 1975. Redesignated and amended at 61 FR 32655, June 25,
1996, and further redesignated and amended
by USCG–1998–3976, 63 FR 35139, 35140, June
29, 1998]

§ 401.710 Operating requirements for
holders of Certificates of Authorization.
Each holder of a Certificate of Authorization shall—
(a) Comply with the terms of any
agreement for services by registered pilots on the Great Lakes between an appropriate agency of Canada and the
Secretary, his designated agent, or the
Director;
(b) Coordinate on a reciprocal basis
its pool operations with pool operations of the Canadian Government,
under the ‘‘Memorandum of Arrangements, Great Lakes Pilotage, Between
the Secretary of Transportation of the
United States of America and the Minister of Transport of Canada’’, effective
July 7, 1970, as amended;
(c) Provide continuous arrangements
and facilities for the efficient dispatching of pilotage service on a firstcome, first-serve basis to vessels that
give notice of pilotage service requirements to the pilotage dispatch station,

except pilots are not required to board
a vessel that does not furnish safe
boarding facilities;
(d) Dispatch pilotage service under
the terms of its approved working rules
as referenced in § 402.320;
(e) Comply with its working rules approved under § 402.320, except to the extent inconsistent with the dispatch orders of the Director under § 401.720(b);
(f) Comply with all accounting procedures and the reporting requirements
in this chapter; and
(g) Make available to the Commandant all of its financial and operating records.
[CGD 74–233, 40 FR 41527, Sept. 8, 1975, as
amended at 61 FR 5721, Feb. 14, 1996. Redesignated and amended at 61 FR 32655, June 25,
1996, and further redesignated and amended
by USCG–1998–3976, 63 FR 35139, 35140, June
29, 1998]

§ 401.720 Authority
over operations.

of

the

(a) This section does not limit the
authority of the Director under any
other section in this chapter.
(b) When pilotage service is not provided by the association authorized
under 46 U.S.C. 216b(e) because of a
physical or economic inability to do so,
or when the Certificate of Authorization is under suspension or revocation
under § 401.335, the Director may order
any U.S. registered pilot to provide pilotage service.
[CGD 74–233, 40 FR 41527, Sept. 8, 1975, as
amended by CGD 75–228, 40 FR 57673, Dec. 11,
1975. Redesignated and amended at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998]

PART 402—GREAT LAKES PILOTAGE
RULES AND ORDERS
Subpart A—General
Sec.
402.100

Purpose.

Subpart B—Registration of Pilots
402.210 Requirements and qualifications for
registration.

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