• Maritime Law Enforcement
• Customs
• Protection and Security
• Assistance

Master Chiefs Protect America

• Searches
• Examinations
• Arrests
• Seizures
• Inspect
• Inquire

SEASII

• 14 USC 89(a) - All necessary force to compel compliance.
• Commandant's Policy, MLEM, Chapter 4 B.2 - Only that force reasonably neccessary under the circumstance may be used.

• 19 USC 1581(a) and 19 USC 1589(a) - authorizes the types of actions that may be taken.
• 14 USC 143 and 19 USC 1401 - authorizes Coast Guard to act as customs officers.

• Hail, stop and board vessels
• Carry a firearm (Ch. 2)
• Examine, inspect and search vessel (Ch. 3 and 10)
• Warrantless arrest (Ch. 2)
• Use force

Protection and Security of

• Vessels
• Harbors
• Waterfront facilities

• Substantive Law
• Vessel status/flag
• Location

• Drug Enforcement Laws
• Immigation Laws
• Fisheries Enforcement Laws
• Protected Areas and Species Laws
• Environmental/Pollution Laws
• Ports, Waterways and Coastal Security
• Vessel Safety Laws
• General Criminal Laws

• Documentation
• National ensign or flag
• The master or person in charge (verbal claims)

• Exclusive State Waters - Lake not connected to ocean
• Internal Waters - Shoreward of baseline that connect to ocean
• U.S. Territorial Sea - Baseline to 12 NM
• Customs Waters - Internal to 12 NM
• Contiguous Zone - 12 to 24 NM
• Exclusive Economic Zone (EEZ) - Baseline to 200 NM
• International Waters - 12 NM to 12 NM (Foriegn)
• High Seas - 200 NM to 12 NM (Foriegn)

• Enforcing safety or security zones
• Protecting against and responding to threats of maritime terrorism
• Boarding, searching and seizing anything presenting risk to a vessel, facility or port
• Responding to criminal or terrorist acts within a port
• Conducting or assisting in emergency response to a terrorist attack

• Maritime Homeland Defense (MHD) - In response to an actual or imminent military attack the Coast Guard assumes temporary wartime posture of MHD and may join the Department of the Navy, but will follow under the Standard Rules of Engagement (SROE).
• Maritime Homeland Security (MHLS) - A continuous peacetime mission, is part of DHS and follows the Coast Guard Use of Force Policy.

• Deter unlawful activity
• Detect unlawful activity
• Preempt or interdict unlawful activity
• Maintain organizational situational awareness

• Significant loss of life
• Environmental damage
• Transportation system disruption
• Economic disruption in a particular area

• 33 USC 1226 - Ports and Waterways Safety Act
• 33 CFR 6 - COTP Authority
• 46 USC 70118 - Maritime Transportation Security Act

authorizes Coast Guard to:

• Prevent or respond to an act of terrorism - Inspections, Port and harbor patrols, Establishment of security zones and Development of contingency plans and procedures
• Identify measures the Secretary may employ
• Avoid disclosing port security plans to the public

• Prevent damage or injury to any vessel or waterfront facility
• Safeguard ports, harbors, territories or waters of the United States

• Carry firearms
• While at a facility - Make a warrantless arrest for any offense against the US commited in their presence and Seize property as otherwise provided by law

*Unarmed USCG personnel deployed ashore are prohibited from exercising this statute*

• Facilities adjecent to the water
• Conducting port security operations (such as Acts of terrorism, Transportation security incidents and Port security LE functions as ordered by the COTP)
• Offenses clearly tied to Coast Guard statutory homeland security missions (Such as PWCS, Interdiction of Drugs, Migrants and Defense readiness)

• Deadly Force - Any force that is likely to cause death or serious physical injury.
• Non-Deadly Force - Any force other than deadly force.

• Preventing a Crime
• Protecting Property
• Individual Self-Defense
• To Effect a Lawful Arrest
• Compliance with an Order

1. Officer Presence
2. Verbal Commands
3. Control Techniques
4. Aggressive Response Techniques
5. Intermediate Weapons
6. Deadly Force

Control Techniques - Techniques or actions with a low probability of causing connective tissue damage, lacerations of the skin or broken bones.

*Examples are use of restraint devices, pain compliance and strength techniques.*

Aggressive Response Techniques - Techniques or actions with a probability of causing connective tissue damage, lacerations of the skin, broken bones or irritation of the skin, eyes and/or mucous membranes.

*Examples are use of kicks, stuns, punches, takedowns and chemical irritants.*

Intermediate Weapons - Techniques or actions with a high probability of causing connective tissue damage, lacerations of the skin or broken bones.

*Examples are expandable baton, 12-guage rubber-finned stabalized or sting-ball munitions.*

Deadly Force - Force that is likely to cause death or serious physical injury.

*Examples are PDW, shotguns and crew-served weapons.*

• Passive Subjects
• Active Subjects

• Passive Compliant - One who follows the officer's request or verbal directions.
• Passive Resistor - One who does not follow the officer's requests or verbal directions, but offers no physical resistance to the officer's attempt to gain control.

• Active Resistor - One who does not follow request or verbal directions, offers physical resistance, but does not attempt to harm the officer.
• Active Aggressor - One who attempts to harm or attack the officer.

• Verbal - TACK - Thorough, Acceptable, Clear and Keep
• Inflection and Tone
• Body Language or non-verbal

• Listen
• Empathize
• Ask Questions
• Paraphrase
• Summarize

• Security
• Attack
• Flight
• Excessive Repetition
• Revised Priorities

• Weapon
• Delivery System
• Subject's Actions

• Incidents requiring interagency coordination.
• Any arrest or vessel seizure, including assisting other agencies with arrest/seizures.
• Drug interdiction cases meeting minimum Federal Drug Seizure System (FDSS) requirements, transmit LE SITREP with final offload weight and Federal Drug ID number within 24 hours.
• Drug interdiction cases not meeting FDSS requirements; transmit with case info and measurable quantity within 24 hours.

• Federally mandated.
• Program-level tracking and evaluation of the levels of force used.
• Evaluation of the adequacy of policy, equipment and training and qualification programs.
• Provide information to respond to government or media inquiries.

• Force greater than level 2, except application of cuffs.
• Tactic higher than Step II, as described in Ch. 4.D MLEM, is used against non-compliant vessel.
• Potential use of force deemed noteworthy by CO.

• Individual Self-Defense
• Effecting Lawful Arrest or Preventing an Escape
• Protection of Property
• Protection of Hazardous Materials or Deadly Weapons
• Vessel on Vessel Situations
• Airspace Security

• Weapon
• Opportunity - two pronged test: 1. Unrestricted Access 2. Maximum Effective Range
• Subject's Actions

• There is probable cause that the suspect has committed a felony with the use or threatened us of deadly force.
• Suspect is armed or otherwise poses an imminent threat of death or serious physical injury to anyone.
• Suspect fails to obey an order to halt (if feasable).

• Securing the Scene
• Providing First Aid
• Statement Procedures

• Intrusion or entry
• Agent of the government
• Quest for evidence
• Reasonable expectation of privacy

• Plain View Discovery
• Chain of Custody
• The Exclusionary Rule

• The officer must be legally presents in that space where the objects are found.
• It must be readily apparent that the items are evidence.

When a person's Fourth Amendment rights have been violated by an unlawful search, anything found as a result of that search will be excluded as evidence at trial.

(AKA Fruit of the Poisonous Tree)

• Is there an expectation of privacy by a person in the place that he/she controls?
• Is that expectation reasonable?

• Who/how many occupants have access to the space.
• Who/how many occupants control the space.

• Private Spaces
• Common Spaces

• Limited in scope
• Non-investigative
• Serving an important public interest
• Involving less expectation of privacy

A systematic process used to ensure compliance with government regulations such as:

• Vessel Safety
• Fisheries Regulations
• Marine Safety

Usually involves checking Documents, Equipment and Practices or Procedures

• Do you have reasonable suspicion that evidence of a crime will be found aboard the vessel?
• INVESTIGATE
• Is suspected evidence located in an area where USCG has unrestricted access during course of a vessel inspection? (If yes, investigate without other criteria)
• (If no) Is suspected evidence located within a common space in which no person has a reasonable expectation of privacy? (If yes, investigate without other criteria
• (If no) This will lead to probable cause

Three significant differences:

• Purpose
• Level of suspicion
• Expectation of privacy

• A person who is entitled to control access to the are in question knowingly and voluntarily consents to the search.
• The entire vessel is subject to a customs border search and access to the area in question is reasonable under the circumstances.
• The Boarding Officer has probable cause to believe that evidence of a criminal activity will be found in the area to be searched.

A Customs Border Search may be conducted upon the following:

• A vessel
• Cargo
• An object
• A person

• At the border
• At the Functional Equivalent of the Border (FEB)
• At the Extended Border

The United States border is defined in terms of the:

• Land Border (Actual dividing line between the U.S. and Canada and the U.S. and Mexico)
• Sea Border (3 NM along the Atlantic and Pacific Coasts. Great Lakes and others are equal distance from U.S. and Canada or Mexico. 9 NM for Texas and Florida (Gulf of Mexico). 3 NM for other states.)
• Air Border (Extends directly above the land or sea border)

A location that acts or "Functions" just like the border.

A customs border search at the FEB may:

• Also be a cargo container at a U.S. pier in a customs control area about to be shipped abroad.
• Or may be a port where a ship docks in the U.S. after entering the U.S. territorial seas.

• Reasonable certainty that the vehicle, container, or person to be searched has a nexus with the border.
• Reasonable certainty that there has been no material chance in the item to be examined since nexus (contact or connection). (Any merchandise present now was present at time of nexus.)
• The search, and any seizure if warranted, must occur at the first or last practicable detention point.

A customs border search may be conducted under the concept of the extended border after the person or object of interest has left the border or the FEB.

The extended border is considered beyond 3 NM from the baseline.

The only legal limit of a customs border search at the extended border, is that it is reasonable and no more intrusive than necessary. Probable cause is NOT REQUIRED.

All conditions must be met.

Searches of persons are conducted for various purposes including:

• Protection of Personnel
• Shipboard Security
• Preservation of Evidence

• Professional Manner
• Same Gender
• Search Torso
• Non-Deadly Force
• Seized Evidence
• Tact & Dignity

• Pat Down Search
• Frisk Search
• Persons Detained but Not Under Arrest
• Search Incident to Arrest
• Strip Search
• Body Cavity Search

A frisk search is the crushing and passing of hands over the outer clothing of a person in search of weapons.

• Performed when the officer suspects an individual may have a weapon that poses a threat to the boarding team or others.
• Scope may be extended to any area where a weapon can be quickly accessed by the individual being searched (The Grab Area).

As a Boarding Officer involved in conducting a frisk search, your legal requirement is:

• Based on a reasonable suspicion that a person may have a weapon.
• Belief that the weapon poses a threat.

Persons detained, but not under arrest, aboard Coast Guard units and units under Coast Guard Tactical Control (TACON) may be searched to find weapons and/or means of escape to ensure unit security.

This search may extend to personal items or belongings brough aboard the unit by a detainee that will remain within the individual's grab area.

No level of suspicion is required to conduct a Search of Persons Detained, but not Under Arrest. This search should be conducted:

• Prior to the person being placed aboard the Coast Guard unit or
• As soon as practicable after the person has been placed aboard the Coast Guard unit.

• Probable Cause: Before effect an arrest, you must have probably cause that the person in question has commited a federal crime.
• Before effecting an arrest, you must have jurisdiction based on substantive law, vessel flag or status, and location of the vessel.

• BO Authority to arrest the subject
• BO Intent to arrest the subject
• Subject Knowledge of being arrested
• Subject compliance of being arrested

• Double Jeopardy
• Self-incrimination
• Deprivation of life, liberty, or property, without due process of law
• Taking of private property for public use without just compensation

• The person is in a custodial situation
• The governement is interrogating the person

The Coast Guard policy for conducting maritime law enforcement boardings is to enforce all U.S. laws applicable in the maritime realm relating to:

• Marine Safety
• Maritime Homeland Security (MHS)
• Drugs
• Customs
• Fisheries
• Immigration

• Pre-boarding phase
• Boarding phase
• Post boarding phase

• Radar
• Visual

• Vessel Course and Speed
• Size of Contact
• Time to Intercept
• Any Change in Course
• Number of Contacts in the Area
• Geographic Location

• Vessel Activity
• Crew Reaction to Coast Guard Presence and Vessel Maneuvers Following Intercept
• Vessel and Gear Condition
• Number and Activity of Persons on Board
• Vessel Flag/Vessel Nationality
• Vessel Name/Homeport
• Electronics
• Unusual Hull Markings

• Vessel information
• Flag of vessel
• Registration or documentation number
• Vessel master's/Crew information
• Cargo and voyage information
• Weapons

• Supervision
• Planning
• Crew Fitness
• Environment
• Event/Evolution Complexity

Gauging the GAR Model

(Green, Amber, Red)

• Green Evaluation - normal or low risk
• Amber Evaluation - caution
• Red Evaluation - high risk

Operational and tactical commanders, as well as Boarding Officers, should apply the concepts discussed in the Operational Risk Management Instruction, COMDTINST 3500.3, when determining acceptable risk.

Operational and tactical commanders should also proved field units with guidance that establishes expectations or boundaries regarding acceptable risks.

MLE Boarding Plan

Risk Assessment

• Pre-Boarding Information

-Observing the Vessel, Questioning the Vessel Master, Law Enforcement and Itelligence Data

• Risk Assessment Issues

-Environment, Boarding Team Composition and Fitness, Complexity of Operation

Your MLE boarding plan should address a number of issues:

• Outfitting and Equipping LE Personnel
• Identifying other Appropriate Equipment
• Determining Size and Composition of Boarding Team
• Special Instructions

• Uniform - Team should wear the same uniform
• Boarding Kit - Should contain at least 2 pens, 2 pencils, paper work, paper, field test kits (narco), chem lights, cotton line, seizure tags, plastic bags, flashlight, folding knife, flexible cuffs, latex gloves, sounding tape, inspection mirror, tape measure, wooden wedge.
• Equipment - LE belt with PDW, expandable baton, OC, minimum 2 mags, handcuffs and key, flashlight, keepers, mag pouch, holster, OC pouch, four gas analyzer, flashlight ring, handcuff case, baton holder.
• Weapons - PDW, Riot Shotgun, M16 Rifle.

A boarding team consists of at least two qualified personnel, at least one shall be a Boarding Officer. Increasing team size beyond this minimum requirement is determined on a case-by-case basis. Factors that should be considered include:

• Suspicion of criminal activity
• Size and condition of vessel
• Number of personnel on board
• Vessel activity
• Need for interpreters
• Recent experience in operating area
• Mission complexity and risk

The boarding team may also be subject to special instructions based on:

• General intelligence information
• Information on the specific vessel, or
• Special circumstances

The Boarding Officer must also brief the vessel master on what he or she needs to do to cooperate.

• Communicate intention to board to vessel master
• Provide vessel master with appropriate instructions to facilitate boarding
• Describe vessel maneuvers required
• Give master instructions for mustering crew
• Provide additional instructions required

• Mandatory
• Conducted at the beginning of a boarding
• Performed after the entire boarding team has boarded the vessel
• Identifies safety hazards and ensures seaworthiness of the boarded vessel

• Fuel in the vessel's bilges
• Missing deck plates
• Weapons
• Unsanitary conditions
• Unsafe ladders
• Unsecured doors or hatches
• Tripping hazards
• Exposed electrical wiring
• Leaking fuel tanks
• Excessively smoking engines
• Hidden persons
• Any other visible hazard to the boarding party

• Basic ISI - Conducted on every boarding
• Extended ISI - Depends on circumstances

The Boarding Officer should:

• Inform the Master a BISI will be performed
• Explain to the master what a BISI is
• Why a BISI is being conducted

• Exterior areas
• Common spaces
• Bilge area
• Engineering spaces
• Cargo holds and passageways

A focused safety inspection conducted when a hazard has been identified.

An EISI may be conducted when reasonable suspicion exists that:

• Known weapons are identified
• Unaccounted for persons are located
• Safety hazards that may endanger the boarding party are found

The Master or his/her designee, should be invited to accompany the boarding team for both types of ISIs, unless the BO determines this action to be inadvisable.

Factors to consider in determining that an ISI should be unaccompanied include:

• Inappropriate responses to pre-boarding questions
• Lack of cooperation
• Appearance of the vessel
• Specific LE intelligence

In the process of carrying out the BISI, boarding personnel will have to move throughout the vessel and are considered lawfully present in spaces they need to enter to conduct the inspection.

While in these spaces, any contraband, illegal migrants, or other evidence discovered in plain view are admissible in court as evidence.

Since the BISI is performed for the safety of the Boarding team, it must be completed before any criminal investigative activities are performed.

If the evidence of illegal activity isn't going to hurt anyone or go away by itself, and the crew can be controlled, the BO should be informed of the find, and the BISI should be completed. The evidence is then dealt with after the BISI.

• Physical Hazards
• Cargo Hazards
• Biological Hazards
• Confined Space Hazards

• Excessive fuel or oil in the bilges
• Slippery, broken, or steep ladders
• Debris and garbage about the decks
• Missing planking or holes in the deck
• Leaking propane tanks or Freon
• Low overhead
• Open hatches or scuttles
• Poor lighting
• Exposed wiring

• Shifting cargo
• Rotting cargo
• Bulk dry cargo
• Hazardous materials carried as cargo

• Live animals
• Insects
• Poor sanitation/hygiene
• Sick crewmembers (Contagious diseases)
• Spoiled food
• Unsafe drinking water

• Cargo spaces or other spaces that contain or have contained toxic, combustible, or flammable liquids or gases in bulk (cargo tanks, fuel tanks)
• Space immediately adjacent to those described above (voids, coffer dams)
• Compartments that have been sealed
• Spaces that have been coated (painted or preserved) and closed without proper ventilation
• Cargo spaces containing cargoes that absorb oxygen (scrap metal, rust, rotting fruit)
• Chain locker
• Double bottoms or sides
• Pump rooms
• Water tanks
• Containers

• Not Designated for Continous Human Occupancy
• Limited or Restricted Means of Entry and Exit
• Limited or Restricted Means of Ventilation

Qualified persons that a Commanding Officer or Officer in Charge may employ include:

• Certified Industrial Hygienist
• Marine Chemist
• Gas Free Engineer
• Competent Person

• Oxygen Deficiency - Normal level is 20.8%

*Oxygen enriched is a level of 22% or more; Oxygen deficient is a level of 19.5% or less*

• Flammable Vapors - Fire Tetrahedron is Oxygen, Fuel, Heat and Chemical Chain Reaction
• Toxic Atmosphere - Caused by hazardous substances that may be:

*Present in the space; left over from previous processing or storage; Released by disturbing existing deposits; Seeping from adjoining spaces*

All boarding team members SHALL carry the Coast Guard standard four-gas analyzer and radiation detection pager during any boarding in which they may enter enclosed spaces.

Examples of atmospheric hazards are:

• Ammonia
• Hydrogen Sulfide
• Carbon Monoxide
• Flammable Gases

Documents that serve as valid indicators of U.S. citizenship are:

• U.S. Citizenship Certificate
• Birth Certificate
• Naturalization Certificate
• U.S. Passport
• License/Permit
• Voter Card
• Merchant Marine Document
• U.S. Citizenship Identification Card
• DOS Certificate of Identity & Registration

An alien is any person who is not a citizen or national of the United States. Aliens are classified into 4 categories:

• Immigrants - Aliens coming to the U.S. permanently.
• Non-immigrants - Aliens seeking to enter the U.S. for a temporary period (i.e. vacation or business).
• Illegal Entrants - Aliens who were not admitted to the U.S. either temporarily or permanently. Such aliens enter in a manner or place to avoid LE. All are subject to deportation.
• Undocumented Migrants - Aliens attempting to enter the U.S. illegally, often gain illegal employment. Migrants who have not yet reached U.S. soil are generally returned to the counrty from which they departed.

There are four general categories of documents that aliens can use to show proof that they are entering the U.S. legally. The four categories of documents are:

• Registration cards
• Employment authorization cards
• Re-entry permits
• Visas

Two major procedures when verifying crew documents are

• Check vessel registration
• Check crew lists for commercial vessels

The Crew List records the:

• Names
• Nationality
• Birthplace or passport number
• Descriptions of the vessel crew

• Photograph Substitution
• Laminate Photo Overlay
• Wet Seal
• Dry Seal
• Signature
• Biographical Data
• Page Substitution

Use transmitted light to determine whether a photograph has been subsituted on a document. Clues can include:

• Excess glue
• Use of paper
• Fiber disturbances

Detection of plastic laminate over photographs may require magnification. Specific alterations include:

• Cut lines around photo
• Physical disturbances
• Misalignment of laminate
• Laminate sewn into document or attached to page
• Double laminate over photo or counterstrip
• Poor quality of alignment compared to page security pattern

Use magnification to examine the use of wet seals on photographs. Wet seals are stamps or cachets that may appear on photographs. Some indicators are:

• Appearance differences between seal from photo to page
• Misalignments
• Misspellings
• Break at edge of photo
• Differences in type font from photo to page

Side lighting or magnification can help you detect problems with dry seals over photographs. Dry seals are stamps or cachets that may appear on photographs that are applied using a different process from wet seals. Indicators can include:

• Appearance differences of seal from photo to page
• Appearance differences between seal on front and back of same page
• Misalignments
• Misspellings
• break at edge of photo
• Difference in type font between photo and page

Magnification can help you find signature alterations on documents. Indicators include:

• Alignment of ink from photo to page
• Ink differences
• Break at edge of photo
• Comparison of signature on photo to issuing officer's signature in document

Use ultraviolet light, transmitted light, or magnification to determine whether there are erasures to a document's biographical data; and use transmitted light or side lighting to detect alterations to the format of biographical data entries.

Indicators can include birth date or document validity date, fiber damage left by physcal erasure of information, and/or discoloration resulting from chemical erasures.

Indicators of entry format alterations can include handwritten or handprinted entries in the same ink style and/or types of information in the same style and type design.

Photo pages, biographical pages, and visa pages are those commonly substituted in documents. You may detect either of the following:

• Single page substitution
• Documents reassembled with full sheets.

Use the following techniques to discover imposters

• Shape and color of eyes
• Face shape
• Bone structure
• Shape and width of nose
• Shape of mouth and lips
• Shape of ears

Features you can check include:

• Shape - round or almond
• Pupil color
• Location in eye socket - recessed or bulging
• Eyelid shape - raised or drooping

Most faces are one of the three primary shapes:

• Oval
• Round
• Square

Examples of underlying bone structure include:

• Cheekbones - high or low
• Brow ridge - protruding or recessed
• Chin - dimpled or flat
• Upper jaw - angular or rounded
• Lower jaw - chiseled or recessed

Mouth features you can check include

• The mouth barrel (the amount the mouth juts out from the face)

*upper arch (overbite) and lower arch*

• Filtrum (indentation under nose - wide or narrow)
• Lips - shape (flat or curvaceous) and size (thick or thin)

Examine features such as:

• Lobules (attached or hanging ear lobes)
• Basic ear shape
• Protruding or pinned back ears
• Position on the face

Nose features you can examine include:

• Length - long or short
• Width - thin or wide
• Protuberance - prominent or slight
• Nostrils - flared or reduced
• Septum - raised or lowered

Two Types:

• Fantasy Passports - issued by private individuals or organizations that are not recognized as a competent issuing authority. They claim to be from a fictitious country, authority, or self-appointed political group.
• Camouflage Passports - issued by private organizations that claim to be from a country that formerly existed. Some examples of countries that formerly existed are British Honduras, Burm, Rhodesia and South Vietnam.

Quest for evidence that may require the destruction or permanent alteration of personal property in order to complete the search.

According to Coast Guard policy, the BO must have probable cause and there must be no other means available to gain access.

The BO must have concurrence from OPCON.

The extent of the intrusiveness must correspond with the level of suspicion, and be based on objective, articulable facts.

The least amound of damage necessary is always the rule.

SF-95 is the form used for the owner to claim the costs of the damages. Only if there is no criminal action taken. The BO must state on the CG-4100 the damage done.

Hidden compartments are built for the purpose of smuggling contraband, or with the intent to defraud the revenue of the United States. Contraband can be anything of value, including:

• Money
• Art
• Smuggled people
• Pirated products
• Weapons

Hidden Compartment

19 USC 1703

Vessels subject to seizure and forfeiture:

Whenever any vessel which shall have been built, purchased, fitted out in whole or in part, or held, in the United States or elsewhere, for the purpose of being employed to defraud the revenue or to smuggle any merchandise into the United States,...whenever any vessel which shall be found... the said vessel and its cargo shall be seized and forfeited.

• Think like a smuggler - Mentally assess the physical surroundings; ask yourself, "If I were a smuggler, where would I hide contraband?"; Use your ingenuity to its fullest extent
• Visualize In 3-D - Look beyond the visible to accound for all space; make a sketch to help determine unaccounted for space; and be aware of optical illusions provided by false bulkheads, decks and overheads.
• Remain Alert
• Remain Persistent - Thoroughness; perseverance; mental and physical preparation for the job; pro-activity; and ingenuity.

• Make a sketch - use sketch as a reference during searches; use ship diagram if available; draw overhead sketch and record measurements.
• Contraband Detection Activities (CDA) - IONSCAN, Compact Integrated Narcotic Detection Instrument (CINDI), Drug Detection Canines. Evidence gathering phase, valid consent, reasonable suspicion, probable cause, customs border search.
• Space Accountability - Comparing the internal and external measurements.

• Check Access Covers
• Search Surrounding Area
• Tap Tank
• Use CINDI
• Sound Tank
• Intrusive Search (if warranted)

The BOJAK is an effective reference tool for the enforcment of all applicable federal laws and regulations.

As a Boarding Officer, you will use the BOJAK as a job aid to assist you in examining required licenses and vessel documents (operator's license or certificate of inspection).

You will also use the BOJAK to inspect vessel equipment requirements (PFD's or fire extinguishers).

There are 12 sections:

Section A - Recreational Vessel Regulations

Section B - Commercial Vessel Regulations

Section C - Commercial Fishiong Vessel Safety Regulations

Section D - Vessel Regulations Reference (Equip.)

Section E - Fisheries Enforcement

Section F - Marine Incidents

Section G - Boating Under the Influence

Section H - Criminal Law Reference

Section I - Foreign Vessel Boardings

Section J - Alien Migrant Interdiction Operations (AMIO)

Section K - Miscellaneous

Section L - Glossary of Terms

In any case of discrepancies or conflict between the BOJAK and the MLEM, the MLEM shall be the controlling authority.

Changes will be issued as Commandant Notices. Time sensitive amendments will be promulgated by ALCOAST, pending their inclusion in the next change to the BOJAK.

Vessels with propulsion machinery are required to have state numbering. They are also required to have a validation sticker that must be displayed within 6 inches of the state number.

*There are exceptions*

Vessels not required to be numbered:

• Foreign vessels temporarily using water subject to U.S. Jurisdiction
• U.S. military or public vessels
• State Government vessel
• Ships life boats
• U.S. documented vessels

Vessels Exempt:

• Vessels used exclusively for racing
• A vessel equipped with propulsion machinery of less than 10 horsepower.

• Must have a prefix, body and suffix.
• Contain a 4 - 8 characters.
• Prefix is always 2 letters.
• The body will always contain 1 - 4 numbers.
• The suffix will contain 1 - 3 letters (Should never contain an I, O or Q).

A Certificate of Numbers is a document that contains information about the vessel owner and the vessel (like vehicle registration).

If the vessel is a rental boat, the operator must present the rental agreement. Unlike personal recreational vessels that require an acceptable certificate of numbers, only rental agreement documents are required for rental boats:

• Rented for non-commercial use
• Less than 26 feet in length
• Underway less than 7 days.

Carriage requirements fall on the owner of the vessel, not the renter, unless specified in the rental agreement.

The certificate of numbers carried onboard is similar to a car registration. In order for the certificate to be acceptable, it must be:

• Onboard, Current and Number matches those on vessel.

Acceptable certificates include:

• The original, a temporary 60 day certificate, or Official Duplicate.

The vessel Certificate of Numbers includes:

• Who owns the vessel
• Owner information
• The make, model and hull material
• Vessel number

It also contains the issue and expiration date of the number, and the vessel's hull identification number. The vessel must be registered in the state of principle use.

The Certificate of numbers must:

• Matches those on the vessel
• Not be expired

State Numbering displays must be:

• 3 inch block characters
• Contrasting color
• Read from left to right
• Permanently attached

*These are only minimum requirements. States may add additional requirements.*

In addition to the display requirements we have already discussed, size, color and position numbers should be permanently attached. The removal of the numbers, would cause physical damage to the vessel itself.

*Numbers need to be Good and Readable. The USCG defines Good and Readable as state numbers that can be read from 100 feet away.

Federal laws requiring HIN for the recreational boats are intended to:

• Provide positive identification
• Identify safety notications by the manufacture
• Identify specific safety defects recalls
• Register and title vessels for states
• Trace vessels involved in illegal activity
• Trace vessel theft

The HIN is found in 3 different possible locations depending upon when the vessel was built.

• Built prior to November 1972 - May have been issued serial numbers, but were not required by law. HIN may be located on a foil, fiberglass, metal plate or stamped outside or inside the transom.
• Built after November 1972 - HIN required by law. Must be affixed to boat's transom on the starboard outboard side within 2 inches of the top of the transom. If no transom, (i.e. personal watercraft) it must be located to the starboard outboard side of the hull, aft, within 1 foot of the stern, within 2 inches of the topp of the hull side, gunwale or hull/deck joint.
• Built after August 1984 - Required to have primary and a hidden/unexposed HIN. Must be in 2 places. The hidden HIN located on the interior of the boat beneath a fitting or item of hardware. Hidden HIN must not be less than 1 inch.

• 12 digits. First 3 letters are Manufacturers Identification Code (MIC)
• Straight Year Format (ABC 12345 12 72) - ABC=MIC, 12345=Production or serial number, 12=Month of production, 72=year of production.
• Model Year Format (TRU 12345 M 84 E) - TRU=MIC, 12345=Production or serial number, M=Designates model year format, 84=Model year, E=Month of production(A=Aug, B=Sep, C=Oct etc.)
• New Format (XYZ 12345 L 4 85) - XYZ=MIC, 12345=Production or serial number, L=Month of production (A=Jan, B=Feb, C=Mar, etc), 4=Year of production, 85=Model Year

There are 3 types of a HIN.

• First 3 letters are ALWAYS the Manufacturer's Identification Code (MIC)
• Next 5 numbers are ALWAYS the vessel's serial number
• The last 4 digits are the actual date the vessel was manufactured

HIN

Inspection Requirements

Any alteration of a vessel HIN renders the vessel untraceable by law enforcement. You must ensure that the:

• HIN matches the certificate of numbers
• Number is permanently affixed to the vessel
• Vessel number has not been tampered with

Federal Documentation

Federal documentation is required on vessels that are:

• 5 net tons or more, and
• Owned by a U.S. citizen, and
• Engaged in coastwise trade or fisheries

Federal Documentation

Vessels Eligible

Federal documentation is optional for vessels that are:

• 5 net tons or more, and
• Wholly owned by a U.S. citizen (includes a corporation, trust, partnership, and association), and
• This includes, but is not limited to, vessels used exclusively for recreational purposes and vessels used in foreign trade.

Federal Documentation

Inspection Requirements

To determine compliance with Federal documentation regulations, you must inspect the following:

• Certifictate of Documentation (CG-1270)
• Display of documentation numbering
• Name and hailing port markings on exterior of vessels

Federal Documentation

Certificate of Documentation Compliance

To determine if a Certificate of Documentation is valid:

• It must be onboard the vessel and current
• Vessel name and number must match the name and official number on the document
• The document must have proper endorsements relective of vessel activity.
• Signed by the Director of the National Vessel Documentation Center

Federal Documentation

Endorsements

The vessel's endorsement is listed on the document and indicates what activity the vessel is authorized to conduct. A vessel may be authorized to conduct more than one activity. The endorsements are issued for:

• Registry - Entitles a vessel to trade with other countires.
• Coastwise - Entitles a vessel to employment in unrestricted coastwise trade.
• Great Lakes - Entitles a vessel to employment in the Great Lakes trade.
• Fishery - Entitles a vessel to employment in the commercial fisheries trade.
• Recreational - Entitles a vessel to pleasure use only.

*The BO must enforce the regulations that pertain to the endorsement that is in use at the time of the boarding*

Federal Documentation

Interior Display

Documentation numbers must be prominently displayed on the interior of all documented vessels. Specific requirements include the following:

• Number must match official number on document.
• Number must be permanently marked or affixed to an interior structural part of the hull, so that it cannot be obliterated or obscured.
• The offical number must be in clearly visible block-type Arabic numerals not less than 3 inches in height and preceded by the abbreviation "NO."

Federal Documentation

Exterior Display - Commercial Vessls

Exterior display for a commercial vessel includes:

• Vessel name on both sides of the hull
• Name and hailing port on the stern
• Minimum 4 inch lettering
• Clearly visible

Federal Documentation

Exterior Display - Pleasure Vessels

Exterior display requirements for a Federally documented pleasure vessel includes:

• Name and hailing port clearly displayed together somewhere on the hull (normally the stern)
• Minimum of 4 inches
• Must be made in clearly legible letters of the Latin alphabet or Arabic or Roman numerals
• May be made by the use of any means and materials which result in durable markings

Federal licensing is a preventative measure to protect the public, the environment and our economic interests. Certain vessels must carry federal licenses for:

• Regulated frequency transmitting equipment
• Operation of certain vessels
• Safety compliance

Federal Licensing

Ship Radio License

Commercial vessels operating in domestic waters are required to obtain a ship radio license. Personal recreational vessels may voluntarily use a license to operate:

• VHF Radio telephone (156-162 MHz) - Used for voice communications with other ships and coast stations over short distances.
• Radar - Used for navigating, direction-finding, locating positions and ship traffic control.
• Emergency Position indicating Radio Beacons (EPIRB) - Used when a ship is in distress, to emit a radio signal marking the ship's location. Extreme care must be taken to prevent inadvertent activation and batteries should be replaced prior to expiration date.

Federal Licensing

Equipment Exempt from Federal Licensing

There is equipment that is exempt from the ship radio license. Expemtions include:

• Citizen band radios
• Cell phones
• Global Positioning Systems
• Sonar
• Microwave ovens

Federal Licensing

Inspection Requirements

When conducting a vessel inspection, which requires you to verify a vessels radio license, you will compare the information you have gathered with the information on the documents you have received from the master.

The original document must be onboard and must be posted at the principle control point. If, due to the construction of the vessel, there is no place to post the original, the document must be readily available for inspection.

Federal Licensing

Merchant Marine Licenses

The Coast Guard issues licenses to individuals who are required to have certain qualifications aboard vessels. The general categories of licenses are:

• Deck
• Engineering

Federal Licensing

Merchant Marine Licenses

Vessels Requiring Licensed Personnel

The types of vessels requiring licensed personnel include:

• Carrying passengers for hire
• Carrying hazardous cargo
• Vessels over 15 gross tons and carrying freight for hire
• Tug boats over 26 feet
• Commercial assistance towing vessels

Federal Licensing

Merchant Marine License

Inspection Requirements

The following requirements are inspected on a Merchant Marine License:

• Current (within 5 years of issue date)
• The license must be the original
• Prominently posted under glass (inspected vessels)
• Readily available (un-inspected vessels)
• Operating within limits of the license (tonnage and geographic area)
• License individual is onboard

Federal Licensing

Certificate of Inspection

The purpose of a Certificate of Inspection is to:

• Reduce Injury
• Loss of life
• Damage to Property

Federal Licensing

Certificate of Inspection

A Certificate of Inspection is issued for up to 5 years depending on the type of vessel and enables the vessel's owner to operate the vessel and charge passengers a fee under certain conditions. Operating conditions are vessel specific and may include:

• Required crew
• Number of passengers
• Lifesaving equipment
• Type and amount of cargo
• Vessels route
• Operational time of day
• Weather limitations

Certificate of Inspection must be present if the vessel is going to have 7 or more passengers, hazardous cargo or cargo or freight for hire weighing over 15 gross tons.

Federal Licensing

Certificate of Inspection

Inspection Requirements

When inspecting a Certificate of Inspection, you must verify the original document is:

• Current
• Vessel is operating within limits of the COI
• Must be on board
• Prominently posted under glass (25 gross tons or more)
• Readily available (Under 25 gross tons and barges)

*If a vessel has a COI, you may not need to complete a check of all safety equipment. However, you must inspect the COI to ensure compliance*

Personal Flotation Devices for Recreational Vessels

A personal flotation device is used to keep a person afloat. The number and type of personal flotation devices required are based on vessel use and vessel length. The requirements for personal flotation devices are as follows:

• One wearable personal flotation device per person
• Must be Coast Guard approved
• Must be the correct size for the intended wearer
• Must be in good and serviceable condition

Personal Flotation Devices for Recreational Vessels

Types of PFDs

The requirements apply to the following six general types of PFDs:

• Type I
• Type II
• Type III
• Type IV
• Type V
• Type V Hybrid

Personal Flotation Devices for Recreational Vessels

PFD Requirements

If the vessel is less than 16 feet (including all canoes and kayaks):

• Requires either a Type I, II, III or V PFD for each person on board.

If the vessel is 16 feet or longer:

• Requires Type I, II, III, V for each person on board, PLUS one type IV throwable device.

Personal Flotation Devices for Recreational Vessels

Type I

Type I Characteristics:

• Type I will turn an unconscious wearer face up in the water. Out of all the types of devices, Type I is best for keeping the wearer afloat and is designed for offshore use

Stowage Requirements:

• This device is required to be in a readily accessible location. Readily accessible means that it can be reached in a reasonable amount of time.

Personal Flotation Devices for Recreational Vessels

Type II

Type II characteristics:

• Type II is less bulky that a Type I device. It may turn unconscious wearers face up in the water. Although it is designed for near shore use, it is not intended for long hours in rough waters.

Type II stowage requirements:

• Type II is required to be in a readily accessible location.

Personal Flotation Devices for Recreational Vessels

Type III

Type III characteristics:

• Type III is made for inland/calm water. This device may not turn unconscious wearers face up, unless the wearer tilts his or her head back. This type is generally the most comfortable.

Type III stowage requirements:

• Type III is required to be in a readily accessible location.

Personal Flotation Devices for Recreational Vessels

Type IV

Type IV characteristics:

• Type IV is made to be thrown over the side in an emergency. It may be used as a seat cushion and not intended for use by an unconscious person, non-swimmers or children.

Type IV stowage requirements:

• All Type IV personal flotation devices are required to be in an immediately available location. Immediately available means that you have instant access to the device to respond to an emergency.

Personal Flotation Devices for Recreational Vessels

Type V

Type V characteristics:

• A Type V personal flotation is the special use device typically used for a particular activity and may replace another personal flotation device, only if used in accordance with the label.

Type V stowage requirements:

• All Type V PFDs must be used in accordance with the label. If the label says it must be worn to be accepted, then it must be worn except when in a closed space.

Personal Flotation Devices for Recreational Vessels

Type V Hybrid

Type V Hybrid characteristics:

• The Type V Hybrid is the least bulky of all the other PFDs. Although this device is for floatation, it may not float some wearers unless partially inflated by either a CO₂ cartridge or oral inflation tube.

Type V Hybrid stowage requirements:

• Type V Hybrid is required to be worn to be acceptable, except when in an enclosed space. Again, if in an enclosed space, they Type V must be readily accessible.

Personal Flotation Devices for Recreational Vessels

Summary

A PFD is used to keep a person afloat. Remember, the acceptability requirements are:

• Coast Guard approved
• Right size
• Good and serviceable condition
• Type I, II and III readily accessible
• Type IV must be immediately available
• Type V PFDs must be worn in accordance with the approval label requirements.

Personal Flotation Devices for Recreational Vessels

Approved Inflatable PFDs

Recently approved inflatable PFDs (Type I through Type III and Type V) have these additional inspection requirements:

• Have a properly armed inflator with a full inflation cylinder and no red or broken status indicators
• Have inflatable chambers capable of holding air
• Oral inflation tubes are not blocked, broken or detached
• Have a lanyard or lever that is accessible and not broken

*If it is worn inflated, then it does not need to be properly armed*

Signaling Devices

Visual distress signals are used to signal others when assistance is needed because of immediate or potential danger to the persons on board a vessel.

All vessels used on coastal waters, the Great Lakes, territorial seas and those waters connected directly to them, up to a point where a body of water is less than 2 miles wide, must be equipped with USCG Approved visual distress signals.

Signaling Devices

Exceptions

Some vessels are exempt from carrying visual distress signals when operating during daylight hours. The vessels with the exceptions are:

• Vessels competing in any organized marine event
• Manually propelled boat
• Open construction sailboat of less than 26 feet in length not equipped with propulsion
• Vessel less than 16 feet operating during daylight hours

Signaling Devices

Types

There are two different types of visual distress signals:

• Pyrotechnic
• Non-pyrotechnic

Signaling Devices

Types - Pyrotechnic

Pyrotechnic devices are devices that use flammable materials specifically designed for both day and night use or just day use. Examples include:

• Hand-held flares (Day/Night use)
• Meteor flares (Day/Night use)
• Parachute flares (Day/Night use)
• Orange-smoke signals (Day use only)

If the color is not identified on the label, and it uses terms such as STAR, PARACHUTE or METEOR, assume the signal is red.

Signaling Devices

Types - Non-pyrotechnic

The two types of certified non-pyrotechnic devices include:

• Distress flag - Orange distress flag with black square and black ball (Day use only)
• SOS light - Electronic distress light flashing SOS signal. When the lantern is turned on, it immediately starts to flash SOS. This must be accomplished with no operator intervention. (Night use only)

Signaling Devices

Acceptable Requirements

The acceptability requirements are as follows:

• Acceptable Combinations
• Not expired
• Coast Guard Certified for non-pyrotechnic devices or Coast Guard approved for pyrotechnic devices
• Good and serviceable
• Readily accessible

Signaling Devices

Sound Producing Devices

Examples of acceptable sound producing devices include:

• Means of Making an Efficient Sound Signal - Any sound producing device capable of making a continuous sound for 4 to 6 seconds is acceptable for vessels less than 12 meters (39.4 feet).
• Bells - Must be made of corrosion resistant material and designed to give a clear tone. A bell is not a suitable substitute for the whistle requirement.
• Whistle - Any sound signal appliance that complies with specifications such as frequency and range audible as listed in AnnexIII of the navigation rules.

*During inspection, the BO must check to ensure proper function. Ask operator to demonstrate use for 4 to 6 seconds.*

Signaling Devices

Types of Sound Producing Devices Required

• Vessels less than 12 meters (39.4 feet) - Vessel shall be provided with some means of making an efficient sound.
• Vessels 12 meters to less than 20 meters (65.6ft) - Vessel shall be provided with a whistle audible for .5nm and a bell (Inland only) 200mm diameter (7.9in).
• Vessels 20 meters and over - Vessel shall be provided with a whistle audible for 1.0nm and a bell 300mm (11.8ft) and a gong.

Signaling Devices

Navigation Lights

The Coast Guard has navigation rules that requires vessels to display lights under certain conditions. This type of signaling device, navigation lights, must be displayed between suset and sunrise and in or near areas of restricted visibility.

The BO must compare the lights to the Navigation Rules against the type of vessel that must be inspected.

All self-propelled vessels greater than 12 meters and operating on the inland waters of the U.S. are required to carry onboard a copy of the inland navigation rules for ready reference.

Signaling Devices

Navigation Lights Enforcement

• Daylight - If a voyage is during daylight hours and the navigation lights are found to be inoperable, the BO should then take the time to educate the boater, but take no enforcement action. However, if the vessel is operating in an area of restricted visibility and the navigation lights are inoperable, then the BO should take the appropriate enforcement action.
• Nighttime - If the BO has found that the navigation lights are inoperable for a voyage taking place between sunset and sunrise, and/or in resricted visibility, then this is an unsafe condition. The BO can weigh many factors such as the side lights and stern lights. If these lights are operable, then the BO may let they voyage continue because the vessel has some sort of lights. But if none of the lights are operable, then the BO may terminate the voyage.

Fire Prevention

Many people may not understand why vessel fires are so dangerous.

• Vessels carry flammable materials - Vessels care some form of fuel or other combustible material.
• Crew may have to abandon the ship if necessary where consequences can be life threatening - Could risk drowning or hypothermia. Lack of immediate assistance, does not make them prone to fires, it makes vessels fires more dangerous.

Fire Prevention

Fire Extinguisher Requirements

Fire Prevention

Requirements cont.

There are a number of criticalities of fire extinguishers. These criticalities are as follows:

• Marine Type and Coast Guard Approved
• Good and Serviceable
• Efficient Charge
• Correct Size/Number of Fire Extinguishers

Fire Prevention

Marine Type/CG Approved

Fire extinguishers must be marine type and approved by the Coast Guard. Always look for the label that says, "Marine Type USCG." The label must contain:

• Type
• Size
• Approval Number
• Operating Instructions

Fire Prevention

Correct Size/Correct Number

The required number of fire extinguishers on a vessel is determined by the overall length of the vessel. Must come with a supply bracket to be CG approved, but no requirement for it to be mounted.

Minumum number of Hand Portable Fire Extinguishers without fixed system:

• Vessel less than 26 feet is 1 B-1
• Vessel 26 to 40 feet is 2 B-1 or 1 B-2
• Vessel 40 or more feet is 3 B-1 or 1 B-2 and 1 B-1

 with fixed system:

• Vessel less than 26 feet is None Required
• Vessel 26 to 40 feet is 1 B-1
• Vessel 40 or more feet is 2 B-1 or 1 B-2

*Readily accessible or

Fire Prevention

Backfire Flame Control (BFFC)

The purpose of a backfire flame control device is to remove the flame or direct it out into the atmosphere.

A backfire flame takes place in a gasoline engine when the spark from a spark plug ignites gasoline vapors in the intake manifold, thus causing flames to exit the carburetor. If gasoline vapors are present in the engine compartment, an explosion could result.

Fire Prevention

BFFC Special Requirements

Fire Prevention

BFFC Devices

The 4 types of BFFC devices that are acceptable include:

• Reed - A reed plate allows air in, and not allowing backfire flames to escape. This plate is not inspected due to their location. Mainly as a rule, these are found on 2-stroke engines (i.e. outboard or jet ski).
• Mesh (Need Label) - No separation of the grid elements allowing flames to escape. A dirty or fould flame arrester is not considered unserviceable. Periodic cleaning will help the engine run more efficiently. Has to be securely mounted.
• Air induction/Fuel injection (Need Label) - Backfire flames cannot escape this system due to the configuration of the air intake (i.e. fuel injection and throttle body). If operated without an approved backfire flame arrester, must include a reed assembly or disperse flames into the atmosphere.
• Velocity stacks - Must be metallic construction with flame-tight connection firmly secured to withstand vibration, shock, and engine backfire. The flames dispersed into the atomosphere are directed outside the vessel and will not endanger the vessel, the persons onboard, nearby vessels or structures.

Fire Prevention

Ventilation

The purpose of ventilation is to remove combustible vapors from compartment. Three ways in which a vessel is ventilated are:

• Open construction
• Natural ventilation
• Powered ventilation

Improper ventilation is an unsafe condition. The BO may terminate the vessel's voyage if the condition cannot be corrected on the spot and creates an especially hazardous condition.

Fire Prevention

Ventilation Requirements

• There are no requirements for vessels with open construction.
• Natural Ventilation - Vessels built after April 25, 1940 and before August 1, 1980 are required to have an intake duct with cowl, or equivalent, extending from open atmosphere to midway to the bilge or at least below the level of the carburetor air intake.
• Powered Ventilation - Vessels built after August 1, 1980 they must have an operable powered blower installed in the exhaust hose and a warning label attached near the ignition switch indicating the use of the blower before starting the engine.

Pollution Prevention

Federal Water Pollution Control Act (FWPCA)

The FWPCA prohibits discharge of oil or oily waste:

• Into or upon navigable waters of U.S., or
• Waters of contiguous zone, or
• May affect natural resouces belonging to, appretaining to, or under exclusive management authority of U.S.
• If discharge causes film or discoloration of surface of water or causes sludge or emulsion beneath surface of water.

*Violators subject to substantial civil penalties and/or criminal sanctions (fines or imprisonment).

Pollution Prevention

Oil and Oily Mixture

Oil is defined as petroleum in any form, including:

• Crude Oil
• Fuel Oil
• Sludge
• Oil Waste
• Refined Products

An oily mixture is mixture with an oil content, including:

• Bilge Slop
• Oily Waste
• Oily Residue
• Oily Ballast Water
• Washings from Cargo Holds

Pollution Prevention

Vessel Requirements

No vessel may operate on U.S. navigable waters, unless it has the capacity to retain on board all oily mixtures, and is equipped to discharge them to a reception facitility.

U.S. non-oceangoing ships and oceangoing ships of less than 400 gross tons may retain all oily mixtures on board in the ships bilges. An oily residue (sludge) tank is not required. Oceangoing ships less than 400 gross tons may have a fixed system. For example, an oily water separator.

Pollution Prevention

Oil Pollution Placard

The following requirements are foar an oil pollution placard on board U.S. vessels 26 feet or greater.

To be acceptable, an oil pollution placard must be:

• 5 inches by 8 inches
• Made of durable material
• Fixed in a conspicuous place in each machinery space, or at the bilge or ballast control station.

Pollution Prevention

Garbage Pollution Prevention

Garbage is defined as:

• All kinds of victual, domestic, and operational waste, excluding fresh fish and parts thereof
• Generated during the normal operation of the ship, and
• liable to be disposed of continuously or periodically, except dishwater, graywater, and those substances that are defined or listed in other Annexes to MARPOL 73/78.

Pollution Prevention

Waste Management Plan

A waste management plan is a written plan required by the master or person in charge of a shp on how the garbage on the vessel will be collected, processed, stored, discharged, and who will be in charge of carrying out the plan. A waste management plan is required by all manned oceangoing U.S. Vessels that are:

• 40 feet or more in length and engaged in commerce, or
• Equipped with a galley and berthing facilities.

Pollution Prevention

Garbage Log

Garbage log applies to every manned ocean going ships 400 gross tons and above that is engaged in commerce and that is documented under the laws of the United States or numbered by state.

Shpis certified to carry 15 persons or more in international voyages and every manned fixed or floating platform subject to the jurisdiction of the U.S. Log entries include:

• Type of operation
• Date and time of operation
• Where operation took place
• How much discharge in cubic meters
• For discharge at sea, description of discharge

Pollution Prevention

Garbage Pollution Placard

The following requirements are for a garbage pollution placard onboard manned U.S. vessels 26 feet or greater (other than fixed or floating platforms).

To be acceptable, the placard must be:

• Displayed in prominent locations such as embarkation points. food service facilities, garbage handling spaces and common spaces on deck
• Made of a durable material at least 4 inches high with letters at least 1/8 inches high
• Located in sufficient numbers readily accessible to crew and passengers.

Pollution Prevention

Sewage Defined

Sewage is defined as human body wastes and the waste from toilets and other receptacles intended to receive or retain body waste.

An installed toilet facility is a sysetm consisting of toilets and/or urinals to receive sewage, and the piping or connections needed to move the sewage to another location.

Pollution Prevention

Marine Sanitation Device (MSD) Defined

A marine sanitation device (MSD) is equipment onboard a vessel designed to receive, treat, retain, or discharge sewage and any process to treat such sewage. Any vessel that has an installed toilet facility onboard a vessel must have an MSD.

In order to inspect a marine sanitation device, you must be able to identify:

• Types of MSDs
• Certification
• Y-valve
• No discharge Zone
• Enforcement options

Pollution Prevention

MSD Types

There are 3 types of MSDs to include:

• Type I - A type I MSD is a flow-through discharge device that is commonly a physical/chemical type, such as a macerator/chlorinator.
• Type II - A type II MSD is a flow-through discharge device that is commonly a biological (aerobic digestion) plant. Type II is larger than a Type I.
• Type III - A type III MSD is a device designed to prevent the overboard discharge of treated or untreated sewage, or any wasted derived from sewage. Most Type IIIs are holding tanks, but there are also vacuum collection systems, incineration systems, recirculation systems, and a composting system. This is an example of a Type III system where sewage is stored until it can be pumped out at a sanitation facility.

Pollution Prevention

MSD Certification

They type of MSD and date of manufacture will determine the proof of certification needed.

There are 3 methods of certification:

• Label Certification - Installed after January 30, 1976. The label, with the month and year of completion of manufacture, is attached to the MSD. If there is no label, take appropriate enforcement.
• Letter Certification - Installed prior to January 30, 1976. Certification letter must be on board the vessel. If there is no letter on board, take action.
• Automatic Certification - Type III MSDs installed prior to January 30, 1975 and holding tanks that store sewage at ambient air pressure and temperature are not required a letter or label. Any Type III device is considered certified, if it is used solely for the storage of sewage and flushwater at ambient air pressure and temperature. The type of MSD and date of manufacture will determine the proof of certification needed.

Pollution Prevention

MSD Certification Number

To determine what type of MSD you are inspecting, check the label. The last digit of the certification number indicates type.

If manufactured prior to January 4, 1990, a certification number is on the label or data plate. The number starts with 159.15 and ends with the type.

If manufactured as of January 4, 1990, the MSD indicator on the end of the certification number was deleted, so the number looks like an approval number. The MSD type is on the label but no longer is part of the certification number. (Will plainly say "Type #")

Pollution Prevention

MSD Y-Valve

A valve, commonly called a Y-valve, may be installed on any system, to provide for the direct discharge of raw sewage when the vessel is outside U.S. territorial waters.

The Y-valve is an optional installed device that is located between the installed toilet and the MSD that allows sewage to be discharged overboard, bypassing the MSD and reducing wear on the device and operating costs.

*If a valve is installed, it must be in the closed position, preventing discharge of raw untreated sewage while operating inward of the territorial sea (3nm). Beyond the territorial sea, discharge of raw sewage is permitted.*

Pollution Prevention

MSD No Discharge Zone

A boat can be equipped with any type of MSD permitted under the regulations.

No Discharge Zones are areas of waters that discharge of all boat sewage, treated or untreated, is prohibited.

Pollution Prevention

MSD No Discharge Zone cont

When operating within a No Discharge Zone, the flow-through device must be secured in some way to prevent discharge. This is the only time in which the Y-valve may be secured by one of the following methods:

• Closing the valve and padlocking
• Using a non-releasable wire-tie (Zip tie), or
• Removing the Y-valve handle

If the vessel is operating outside of a no discharge zone, these Y-valve requirements do not apply.

Enforcement Actions

Types of Enforcement Actions

The Commandant authorizes four different enforcement actions that can be issued to a boater if a violation is found during a boarding:

• Written Warning
• Notice of Violation
• Termination
• Arrest

Enforcement Actions

Written Warnings

Written warnings are an important tool that the BO should consider when selecting an enforcement action. The Commandant authorizes written warnings to:

• Encourage boater education - Authorizing an enforcement action that does not result in a fine may encourage the boater to openly discuss every regulation applicable to his or her vessel.
• Save the Coast Guard time and money - The goal of ever boarding is to ensure compliance with the laws and regulations of the U.S. Both the boater and the government benefit if the BO can accomplish this without incurring the high administrative cost associated with the civil penalty process.
• Promot a positive public image - Giving the BO the discretion to issue warnings in appropriate circumstances serves to increase the positive image of the boating safety mission of the USCG.

Enforcement Actions

Written Warnings cont

BOs may issue a written warning to the operator of a recreational vessel under the following circumstances:

• First offense within the past year - BOs should query the MISLE database to determine if the operator has been cited for violations of any federal boating safety regulation within the past year.
• The violation will be corrected promptly - The operator should respond positively to the boater education that you, the BO, provide them during the boarding. If they do not indicate that they will correct the violations prior to their next voyage, then the BO should issue a Notice of Violation.
• No more than two violations onboard the vessel - If three ore more violations are observed, the BO shall issue a Notice of Violation. Written warnings are not authorized in this circumstance.
• The operator is not required to be licensed - Most recreational vessels do not require a licensed captain, however, if it does the BO should issue a Notice of Violation for any observed violation. You may issue a written warning for violations, if the licensed capatin is operating a vessel that does not require a licensed captain.
• The offense is warnable - Warnable offenses are listed in Section A of the BOJAK under the applicable section for the size of the vessel. If the violation is not listed in the BOJAK, the BO may not issue a written warning.

Enforcement Actions

Conditions of a Notice of Violations

A notice of violation is required when any one of these conditions are present:

• The operator has been issued a written warning or notice of violation within the last year
• Three or more violations are observed
• Operator is required to be licensed
• Violation is not warnable

Enforcement Actions

Conditions of Termination

Termination of voyage is an order to vessel master or operator to return to safe anchorage, mooring or dock because an identified violation creates an especially hazardous condition that cannot be corrected on the spot.

To terminate voyage of recreational or uninspected passenger vessel:

• One or more unsafe conditions exist
• Unsafe conditions cannot be corrected immediately
• Unsafe conditions create especially hazardous conditions

Enforcement Actions

Specific Unsafe Conditions for Terminations

Conditions for Voyage Termination:

• Insufficient PFDs
• Insufficient Fire Extinguishers
• Inadequate flame control
• Improper ventilation
• Improper navigation/anchor lights
• Overloaded vessel
• Fuel leak
• Accumulation of fuel in bilge
• Manifest unsafe voyage
• Violation of regulated boating area
• Boating Under the Influence

Enforcement Actions

Steps to Correct an Unsafe Condition

An operator of a boat, who is directed by a CG BO to take immediate and reasonable steps necessary for the safety of those onboard, shall follow the directions of the BO.

• Proceeding to nearest mooring, dock, or anchorage.
• Suspending furhter use of vessel until condition is corrected.

The BO must inform the operator why the voyage is being terminated and that they must correct the deficiencies that created the unsafe conditions prior to getting underway again.

The BO shall document the termination as well as issue a Notice of Violation for all violations observed during the boarding, including those that created the hazardous condition.

Enforcement Actions

Commercial Fishing Termination

Commercial fishing vessels subject to termination. One or more conditions that create especially hazardous conditions.

• Insufficient number of PFDs
• Inoperable EPIRB
• Inadequate fire fighting equipment
• Excessive fuel (gasoline or solvents) or fuel vapors in bilges
• Instability from overloading, improper loading or lack of freeboard
• Inoperable bilge system
• Intoxication of the master
• Lack of operable navigation lights when required
• Water tight closures missing or inoperable
• Flooding or uncontrolled leakage in any space
• Missing/expired Certificate of Class

Enforcement Actions

Elements of Arrest

Failure to terminate a voyage for unsafe conditions, is covered by the Code of Federal Regulations.

If a BO has issued an order to terminate and the operator refuses to comply or gets back underway with the same unsafe conditions that resulted in the initial termination, the operator is subject to arrest.

*BO must notify/request OPCON to arrest subject*

4100 Forms

Purposes

The CG-4100 form serves four purposes:

• Captures information for databases
• Provides facts and evidence for civil and criminal cases
• Serves as a job aid
• Provides mariner with documentation of boarding

4100 Forms

Completing the Forms

When completing the forms you should:

• Use ball point pens
• Be neat
• Be accurate and thorough

4100 Forms

Procedures

These are four part carbonless forms bound in a pad containing 20 sets. You must:

• Insert the back cover of the pad behind page four
• Press hard when writing to ensure that all copies are legible

The inside front cover has codes that you will need to complete the form.

4100 Forms

Page Distribution

Recreational Vessels receive the following pages:

• Notice of violation - Page 1
• Written Warning - Page 2 with back signed by BO
• No Violation - Page 3
• No Violation on rental vessel - Page 2 with back crossed out

Commercial Vessels receive the following pages:

• Notice of Violation - Page 1
• No Violation - Page 2 with back crossed out

*Unit retains Page 4 and all other copies are forwarded in accordance with your regions policy*

4100 Forms

CG-4100S

A CG-4100S is required if there are any:

• Violations
• Warnings
• Additional Information

A copy of this form is not provided to the boater during the boarding, but they may receive it later during the civil penalty process.

4100 Forms

Purpose of CG-4100S

The purpose of the CG-4100S is to:

• Provide additional space for items on the CG-4100
• Provide a description of observed violations
• Document directions issued to the operator

Negligent Operations

Applicability

Negligent/Grossly Negligent Operations applies to:

• Any U.S. Vessel on the high seas
• Any Vessel shoreward of 12 NM from the baseline

Negligent Operations

Terms

Key terms that you need to know are:

• Operate
• Negligent
• Gross Negligence

Negligent Operations

Operate Defined

For 46 USC 2302(a) Negligent Operations and 46 USC 2302(b) Gross Negligent Operations the term operate normally includes vessels that are:

• Underway - A vessel is considered underway when it is not at anchor, or made fast to the shore, or aground. A vessel is adrift is considered underway. All vessels are considered operating if underway.
• At anchor - A vessel that is attached to the ground at a fixed point by a mechanical device such as a heavy weight or anchor is considered at anchor. A vessel at anchor that is involved in an activity such as fishing would normally be considered operating.
• Pier side - A vessel that is moored to a pier or other similar structure is said to be pier side. A vessel that is pier side and involved is activity such as offloading its cargo or refueling is considered to be operating.

Negligent Operations

Negligence Defined

Negligence implies the failure to exercise that degree of care that a reasonable person under like circumstances would demonstrate.

Negligent operation may be the result of operator ignorance, inattention, or general carelessness.

Negligent Operations

Gross Negligence Defined

Gross negligence implies a conscious or voluntary act or omission with reckless disregard of the consequences.

The term implies the operator knows a certain act can create an unreasonable risk of harm, even if the operator did not intend to cause harm.

Negligent Operations

Elements of the Offense Negligent Operations

Elements of the offense of 46 USC 2302(a):

• A person operating a vessel in a negligent manner
• Or interferes with the safe operation of a vessel
• So as to endanger life, limb or property

Offense Classification is Civil Penalty

Negligent Operations

Elements of Grossly Negligent Operations

Elements for the offense of a 46 USC 2302(b):

• A person operating a vessel in a grossly negligent manner as to endanger life, limb or property.

Offense Classification is a Misdemeanor

Negligent Operations

Enforcement Action if not Observed

Often the Coast Guard will receive complaints of unsafe vessel operation. In such cases when the Boarding Officer did not observe the offense, you could:

• Take the report
• Board the vessel
• Document evidence of Negligent/Grossly Neg Ops
• Issue Notice of Violation to operator

Negligent Operations

Enforcement Action if Observed

If you observe a vessel being operated so as to endanger life, limb, or property of a person. You should:

• Document any evidence of Negligent/Grossly Negligent Operations
• Issue a Notice of Violation

Documentation of the offense should include: Weather, witness statements, photos, sea conditions as well as any other important details to support the case.

CFIV Introduction

CFIV Defined

A Commercial Fishing Industry Vessel (CFIV) is a U.S. uninspected vessel engaged in activities pursuant to harvesting or processing fish for commercial purposes.

Included in this category are tender vessels that transport, store, refrigerate, or provide supplies to the commercial fishing industry.

CFIV Introduction

What is not a CFIV

The following are not included as CFIV:

• Charter boats - Any vessel-for-hire engaged in recreational fishing and hired for a charter fee by an individual or a group of individuals.
• Head boats - A fishing boat that takes recreational fishermen out for a fee per person. Different from a chart boat in that people on a head boat pay individual fees as opposed to renting the boat.
• Six Packs - A passenger vessel that is less than 100 gross tons, and carries a maximum of 6 passengers for hire.
• T-boats - A small passenger vessel that is less than 100 gross tons, carries more than 6 passengers (including at least 1 for hire), but carries fewer than 150 passengers or less than 49 overnight. These vessels are inspected using Subchapter T; therefore, they are often referred to as T-boats.
• Recreational boats - A vessel being manufactured or operated primarily for pleasure; or leased, rented, or chartered to another for the latter's pleasure.

CFIV Introduction

Exceptions

These vessels may not be considered commercial fishing vessels; however, CFIV regulations under 46 CFR 28 may be applied if these transactions take place on a routine basis.

• Inspected passenger vessels (T-boats) not carrying passengers and therefore not operating under their Certificate of Inspection and selling their catch.
• Uninspected charter passenger vessels (6-packs) carrying passengers and selling their catch or not carrying passengers and selling their catch.
• Recreational vessels selling their catch.

CFIV Introduction

Purpose of the CFIVSA

The Commercial Fishing Industry Vessel Safety Act (CFIVSA) required the Coast Guard to issue new regulations for safety equipment and operating procedures for fishing, fish tender, and fish processing vessels.

It also required the Coast Guard to tighten casualty reporting requirements.

CFIV Introduction

Commercial Fishing Vessel Safety (CFVS) Program

The CFVS program is administered by the Fishing Vessel Safety Division (G-PCG-3) in the Office of Vessel Activities (G-PCV)

Each district office has a CFVS Coordinator to manage the program and provide oversight of local CFV Examiners at the Sectors.

CFIV Introduction

Voluntary Dockside Examination

Voluntary dockside examination:

• Improves crew and vessel safety
• Ensures compliance with federal laws and regulations
• Identifies possible violations
• Provides education in the use of required safety equipment

CFIV Introduction

Qualified Examiners

Voluntary dockside examinations are conducted by qualified examiners, either pier-side or on a mooring, and only at the requrest of the vessel owner or operator. Qualified examiners:

• Check for all required equipment
• Do not take any law enforcement action for discrepancies
• If a vessel successfully passes, they are issued a decal which is placed on the starboard side window.

CFIV Introduction

The Big 8: What They Are

The standard requirements for CFIV, sometimes called the "Big 8," include:

• PFDs
• Survival craft
• Visual Distress Signals
• Fire extinguishers
• Emergency Posistion Indicating Radio Beacons
• High water alarms
• Emergency instructions, drills, and safety orientation
• Stability instructions

CFIV Introduction

The Big 8: Their Importance

A properly geared and equipped vessel can mean the difference between life and death.

Even vessels that are deemed safe can sink, which is why survival gear and equipment are so important.

CFIV PFDs

Difference between PFD Requirements for CFIV and Recreational Vessels

All CFIV are required to carry PFDs. Recreational and commercial vessels must have PFDs that are CG Approved, good and serviceable, readily accessible and/or immediately available. In addition, a CFIV requires:

• Lights - attached to front shoulder area. Must be CG Approved, have a replaceable power source (if non-replaceable power source then it must be replaced before expiration date, and must operate correctly.
• Retro-reflective material - Type I (flexible surfaces not continually exposed to elements) or Type II (Rigid surfaces continually exposed to elements).
• Markings - Each PFD must have name of vessel and name of PFD owner or person assigned to PFD. Block capital letters. No size requirements.

CFIV PFDs

Immersion Suit Purpose

An immersion suit is a completely enclosed suit that protects the wearer from the dangers of hypothermia.

They are commonly called Gumby suits, Suvival suits or Exposure suits.

CFIV PFDs

Immersion Suit

Inspection Requirements

An immersion suit must be inspected for the following:

• Coast Guard Approved
• Proper size for wearer
• Good and serviceable
• Readily accessible
• Properly marked

CFIV PFDs

If the immersion suit is equipped with an auxillary air bladder, inspect for the following:

• Able to hold air?
• Attached to the suit as designed?
• Oral, manual or automatic inflation device works properly?

CFIV PFDs

Ring Buoy Inspection Requirements

When inspecting a ring buoy, ensure it is:

• Coast Guard Approved
• Immediately available
• Proper size and color - 65 ft or greater needs to have 3 orange ring buoys, 24 in. or larger, one of which must be equipped with 90 ft of line.
• Must not be broken
• Have no major cracks
• Must be equipped with grab lines or straps
• Must be equipped with 60 or 90 ft of line as required.

CFIV Visual Distress Signals

Carriage Requirements

While in Coastal Waters, any of the following combinations are acceptable:

• 1 Day NON-PYRO and 1 Night NON-PYRO or
• 3 Day PYROs and 1 Night NON-PYRO or
• 3 combination Day/Night PYROs

While 3 - 50 NM, the following are acceptable:

• 3 parachute flares, approval 160.136 or 160.036 plus
• 6 hand-held flares, approval 160.121 or 160.021 plus
• 3 smoke signals, approval 160.122 or 160.022 or 160.037

While more than 50 NM, the following are acceptable:

• 3 parachute flares, approval 160.163, plus
• 6 hand-held flares, approval 160.121, plus
• 3 smoke signals, approval 160.122

CFIV Visual Distress Signals

To meet acceptability requirements, make sure that visual distress signals are:

• Coast Guard Approved or Certified
• Readily accessible
• Good and serviceable - check for obvious damage and operability of parts
• Check service life and expiration dates