401.810 Application for establishment of pools.

401.320 Requirements and qualifications for authorization to establish pools. 401.330 Certificates of Authorization. 401.340 Compliance with working rules of pools.

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

401.400 Calculation of pilotage units and determination of weighting fac

tor.

401.405 Basic rates on designated waters. 401.410 Basic rates on undesignated waters.

Sec.

401.420 Cancellation, delay, or interruption in rendition of services.

401.425

Provision for additional pilot. Prohibited charges.

401.430

401.431 Disputed charges.

401.440

401.450

Pilot change points.

401.451

Advance payment of charges.

Pilot rest periods.

Subpart E-Penalties; Operations Without

Registered Pilots

401.500 Penalties for violations.

401.510 Operation without Registered Pilots.

Subpart F-Procedure Governing Revocation or Suspension of Registration and Refusal to Renew Registration

401.600

401.605

Right to hearing. Notice.

401.650 Review of Examiners initial decision.

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

Subpart A-General

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

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 performed by registered pilots to meet the provisions of the Act.

§ 401.110 Definitions.

(a) The following terms where used in this part shall have the following meanings:

(1) "Act" means the Great Lakes Pilotage Act of 1960, as amended (Public Law 86-555, 74 Stat. 259-262; 46 U.S.C. 216-2161).

(2) "Commandant" means Commandant, U.S. Coast Guard, Department of Transportation, Washington, D.C. 20591.

(3) "Canadian Registered Pilot" means a person, other than a member of the regular complement of a vessel, who holds a master's certificate or equivalent license authorizing navigation on the Great Lakes and suitably endorsed for pilotage on routes specified therein, issued by an appropriate 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 Presi

dent in Proclamation No. 3385 dated December 22, 1960 and who is either licensed by the head of the Department in which the Coast Guard is operating under regulations issued by him 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) "U.S. registered pilot" means a person, other than a member of the reglular complement of a vessel, who holds an unlimited master's license authorizing navigation on the Great Lakes and suitably endorsed for pilotage on routes specified therein, issued by the Coast Guard, and who is also registered under the provisions of Subpart B of this part.

(9) "Director" means Director, Great Lakes Pilotage Staff, on the Staff of the Commander, 9th Coast Guard District (dgp), Federal Office Building, 1240 East Ninth Street, Cleveland, Ohio 44199.

(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 of a deck shall not be considered to be affected by the existence of tonnage openings, engine spaces, or a step in the deck.

[26 F.R. 951, Jan. 31, 1961, as amended at 31 F.R. 9064, July 1, 1966; 32 F.R. 14220 Oct. 13, 1967; CGFR 68-78, 33 F.R. 9823, July 9, 1968; CGFR 70-29a, 35 F.R. 10434, June 26, 1970]

§ 401.120 Federal reservation of pilot. age 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. [29 F.R. 10464, July 28, 1964]

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) A registration fee of five dollars ($5) by check or money order, drawn to the order of the "U.S. Coast Guard," shall accompany an application for registration. This registration fee will be refunded if applicant is not registered. [32 F.R. 14220, Oct. 13, 1967]

§ 401.210 Requirements and qualifications for registration.

(a) No person shall be registered as a United States Registered Pilot unless:

(1) He holds an unlimited master's license authorizing navigation on the Great Lakes and suitably endorsed thereon for pilotage on routes specified therein, issued under the provisions of 46 CFR Part 10.

(2) He is a citizen of the United States.

(3) He is of good moral character and temperate habits.

(4) He is physically competent to perform the duties of a U.S. Registered Pilot and meets the medical requirements prescribed by the Commandant.

(5) He has not reached the age of 65. (6) He possesses a validated Merchant Mariner's Document issued by the Coast Guard.

(7) He agrees that he will be continuously available for service under the terms and conditions as may be approved or prescribed by the Commandant.

(8) He 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) He 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 application shall be in violation of these regulations and may be

proceeded against under § 401.250(a) or § 401.500.

[29 FR. 10464, July 28, 1964, as amended at 31 F.R. 9065, July 1, 1966; 32 F.R. 14220, Oct. 13, 1967]

§ 401.211

Requirements for training of Applicant Pilots.

(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) He meets the requirements and qualifications set forth in subparagraphs (1) through (4), (6), (7), and (9) of § 401.210(a).

(2) He shall not have reached the age of 60.

(3) He has within five (5) years preceding date of application satisfactorily served (i) on vessels of not less than 4,000 gross tons as master for one year or one season of eight (8) months as master on enrolled vessels on the Great Lakes or (ii) on vessels of not less than 4,000 gross tons as chief mate for two years or two seasons of eight months each as chief mate on enrolled vessels on the Great Lakes or (ii) on vessels of not less than 2,500 gross tons as a licensed deck officer for four years or four seasons of eight months each as a licensed deck officer on enrolled vessels on the Great Lakes or (iv) as a pilot of oceangoing vessels of not less than 4,000 gross tons for one year under a governmentregulated, military, or industrially controlled pilotage service or (v) as a member of the Armed Forces of the United States on vessels of at least 1,000 gross tons, or equivalent, in capacities as determined by the Director to be equivalent to those required under subdivisions (i), (ii), (iii), or (iv) of this subparagraph; or (vi) on vessels under circumstances or conditions other than provided in this subparagraph which may be accepted as qualifying experience for selection as an Applicant Pilot subject to evaluation by the Director. Experience of at least 1 year on vessels of at least 2,000 gross tons in capacities determined by the Director to be equivalent to those required shall be the minimum criteria of satisfactory service for this exception.

(4) He possesses a radar observer competency certificate or equivalent U.S. Coast Guard endorsement.

(b) An applicant who is unable to meet the experience requirements of paragraph (a)(3) of this section may substitute training experience under the auspices and supervision of a U.S. pilotage pool. Time shall be counted as master's time under paragraph (a)(3) (i) of this section for each day or part thereof actually on board a vessel in company with a U.S. or Canadian Registered Pilot. Such applicant will not be eligible to serve as a Temporary Registered Pilot under the provisions of § 401.220 (e).

(c) Persons desiring to be considered as an Applicant Pilot shall file with the Director a completed Application Form, CG-4509, in duplicate, together with the two full-face photographs, 11⁄2 inches by 2 inches, signed on the face, and a completed fingerprint chart. The $5 registration fee is not to be submitted until such time as the applicant makes application pursuant to § 401.200 after completion of the requirements of § 401.220 (b).

(d) 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.

129 F.R. 10465, July 28, 1964, as amended at 31 F.R. 9065, July 1, 1966; 32 FR. 14220, Oct. 13, 1967]

§ 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 required for waters designated by the President pursuant to section 3 of the Great Lakes Pilotage Act of 1960 where pilotage pools have been authorized pursuant to Subpart C 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 met the requirements and qualifilcations for registration prescribed by § 401.210, (4) satisfactorily completed a written examination, prescribed by the Director, evidencing his knowledge and understanding of the Great Lakes Pilotage Act of 1960; 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 Director 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 two (2) years or until the expiration of his unlimited master's license or until the pilot reaches the age 65, whichever occurs first.

(e) The Director inay, when necessary to assure adequate and efficient pilotage service, issue a temporary certificate of registration for a period of less than 1 year to any person found qualified under this subpart regardless of age.

(Sec. 6(a) (4), 80 Stat. 937; 46 U.S.C. 216c) 129 F.R. 10465, July 28, 1964, as amended at 31 F.R. 9065, July 1, 1966; CGFR 67-64, 32 F.R. 14221, Oct. 13, 1967; CGFR 69-84, 34 F.R. 12583, Aug. 1, 1969]

§ 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 unlimited master's license.

(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 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 fullface 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 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 F.R. 10465, July 28, 1964, as amended at 31 F.R. 9065, July 1, 1966; 32 FR. 14221, Oct. 13, 1967]

§ 401.240 Renewal of Certificates of Registration.

(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 F.R. 10465, July 28, 1964, as amended at 32 F.R. 14221, Oct. 13, 1967; CGFR 68-57, 33 F.R. 6479, Apr. 27, 1968]

§ 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. 551-559), 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