Page images

and instructions to staff. Statements of $380.33 Requests for identifiable recpolicy and interpretations of less than

ords. general applicability not published in (a) General. (1) Subject to the limithe FEDERAL REGISTER, administrative

tations recited in subparagraph (2) of staff manuals and instructions to staff

this paragraph, the Maritime Adminiswhich affect any member of the public, tretion will make available promptly any which are not published and offered for identifiable record in its possession upon sale, and indices to such materials, shall request from any member of the public be available for public inspection and pursuant to the provisions of 5 U.S.C. copying at the Office of Public Informa

552(a) (3). tion, Maritime Administration, General

(2) The general policy expressed in

subparagraph (1) of this paragraph is Accounting Office Building, Room 3037,

subject to the following restrictions: 441 G Street NW., Washington, D.C.

(i) Records made available according 20235, between 8:30 a.m. and 5 p.m.

to the provisions of 5 U.S.C. 552(a) (1) daily except Saturdays, Sundays, and

and (2) are not covered. holidays.

(ii) The procedures contained in this (e) Terms and conditions. Materials § 380.33 must be complied with by each made available to the public under this member of the public. § 380.32 are subject to observance of (iii) Where the Maritime Administrathe following:

tion and a private reporting service are (1) Persons requesting use of the ma parties to a contract which provides that terials must, if requested, sign the visi copies of transcripts be sold only by the tor's book and a receipt for materials reporting service, a party requesting a delivered to them.

copy of a transcript shall be referred to (2) The materials made available re the reporting service by the Maritime Admain the property of the Maritime Ad ministration. However, a copy of such ministration and shall not be removed transcript in the possession of the Mariby the member of the public from the time Administration shall be made availplace provided for use.

able for inspection by the requesting (3) The materials are not to be marred party. or defaced in any manner.

(iv) Records in current use by Mari(4) Persons using the materials are time Administration personnel will not to conduct themselves so as not to inter- be available until the original, or a copy fere with employees of the Maritime Ad thereof at the option of the Maritime ministration or with other members of Administration, may be obtained without the public using the facilities provided. impairing the effective operation of the

(f) Fees and charges. There shall be no function for which it is currently in use. fee or charge for making available the (v) Original records of the Maritime materials noted in paragraph (a) of this Administration will never be made availsection, nor shall there be any fee or able except in its offices and under the charge for copies made by a member of

immediate supervision of its personnel. the public using such materials. The

If a person is unable to make a personal Maritime Administration will, however,

visit to inspect a requested record deter

mined to be available to him, a copy will charge for routine services rendered on

be sent to him upon receipt of a request request, such as duplication, reproduc

and payment of appropriate fees and tion, certification or authentication and

charges specified in § 380.35. mailing, according to the schedule set (vi) During inspection of a record, a forth in § 380.35 or as otherwise pro- requesting party may make notes or vided by regulation not inconsistent with copies by hand at no charge. However, the provisions of that section.

duplication and other services rendered (g) Exemptions to availability. Mate by the Maritime Administration are subrials covered by this $ 380.32 which qual

ject to the fees and charges prescribed in ify under one or more of the exemptions

$ 380.35. contained in 5 U.S.C. 552(b) shall not be

(vii) No changes or alterations of any made available for inspection and copy

type may be made to the record being

inspected, nor may any matter be added ing by the public, nor indexed, except

to or deleted therefrom. Papers bound or where it is determined as a matter of

otherwise assembled may not be disaspolicy that in some respect such mate sembled by the requesting party during rials may be made so available.


(b) Form and procedure of request. record, or if it has no interest in a record (1) Each request for identifiable records believed to be within the jurisdiction of of the Maritime Administration must be another executive department or agency, submitted in writing on Form CD-244 the request shall be forwarded to the entitled “Application to Inspect proper executive department or agency Records.” Copies of such form may be and the requesting party so notified in obtained from the several Maritime writing. Requests referred to the MariAdministration offices identified in the time Administration by another departnote to 380.31(b) (4). Detailed instruc ment or agency shall be processed as tions for completing the form appear on though originally submitted to the the back thereof. An application may Maritime Administration. contain reference to a single record or (v) The requesting party shall be group of records related to the same advised of the several provisions of this subject matter, but each record sought subpart, in particular this $ 380.33 and must be separately listed.

$ 380.35, which concerns fees and (2) A completed Form CD-244, ac charges. companied by the nonrefundable fee pre (e) Officials with possession or control scribed by 8 380.35(b) (1), shall be de of record. The Chief of Office, Staff Offilivered in person or by mail to the Office cial, Superintendent of the U.S. Merof Public Information, Maritime Ad chant Marine Academy or Coast Direcministration, General Accounting Office tor having possession or control of the Building, Room 3037, 441 G Street NW., requested record shall advise the Office of Washington, D.C. 20235.

Public Information of any applicable (c) Burden of identifying record. Sole charges under the terms of $ 380.35(b) responsibility for identifying each record (2). Upon payment thereof by the resought, in sufficient detail so that it can questing party, the official having posbe located by Maritime Administration session or control of the requested record personnel familiar with the records, rests shall forward it, along with any comupon the requesting party.

ments deemed pertinent, to the official (d) Processing of requests. (1) Upon identified in paragraph (f) of this secreceipt of a request for an identifiable tion. record, the Office of Public Information (f) Initial determination of availabilshall proceed as follows:

ity. (1) The Maritime Administrator has (1) If the application is incomplete in delegated his authority to make initial some substantial and material respect, determination of the availability of it shall be returned to the requesting requested identifiable records to the party for completion.

Secretary and the Assistant Secretary (ii) If the application appears in of the Maritime Administration and order, it shall be forwarded to the Chief Maritime Subsidy Board. Notice of every of Office, Staff Official, Superintendent such initial determination shall be conof the U.S. Merchant Marine Academy veyed both to the Office of Public Inforor Coast Director having, or expected to mation and to the official having poshave, possession or control of the record session or control of the specific record. requested, who shall proceed according (2) If the record is determined to be to the provisions of paragraph (e) of available, the requesting party shall be this section.

so notified in writing and the official (iii) Subject to the provisions of sub having possession and control of the division (iv) of this subparagraph, if the record shall be instructed to provide record requested is not in being or not suitable accommodations for inspection in the possession or control of the Mari- and copying during a period prescribed. time Administration, the requesting (3) If the record is determined to be party shall be so notified in writing. unavailable, the requesting party shall

(iv) If the requested record is of be promptly notified in writing, including mutual interest to the Maritime Admin therein (i) an express statement that istration and another executive depart access to the particular record is denied, ment or agency of the Federal Govern- (ii) the reason for denial, including refment, appropriate consultation with the erence to specific exemption under 5 other executive department or agency U.S.C. 552(b) as appropriate, and (iii) shall occur in order to determine which specific reference to the provisions for has the predominant interest. If the review of an initial denial by the MariMaritime Administration does not have time Administrator as contained in parthe predominant interest in a requested agraph (h) of this section.

(4) If uncertainty exists as to the eral Accounting Office Building, Room question of availability, the delegatees 3041, 441 G Street, NW., Washington, identified in subparagraph (1) of this D.C. 20235. paragraph shall follow the procedure set (i) Proceedings in a district court. forth in paragraph (g) of this section, within the Maritime Administration the and otherwise comply with the terms of General Counsel shall be the focal point this § 380.33(f).

for cooperation with other Government (g) Ad hoc determinations of avail officials regarding proceedings before a ability. (1) Any question as to the avail district court, pursuant to 5 U.S.C. 552 ability of a requested record shall be (a) (3), instituted by a party finally destated in a written request for advice to nied access to an identifiable record. the General Counsel, Maritime Admin

$ 380.34 Agency proceedings. istration, and the particular record shall be attached thereto.

(a) Final votes. The final votes in pro(2) The General Counsel shall ceedings of the Maritime Subsidy Board promptly respond with written advices are available for public inspection from in such detail as to permit compliance the Secretary of the Maritime Adminwith the terms of paragraph (f) of this istration and Maritime Subsidy Board, section. The General Counsel, Maritime General Accounting Office Building, Administration, shall consult with the Room 3041, 441 G Street NW., WashingGeneral Counsel, Department of Com ton, D.C. 20235, between 8:30 a.m. and merce, as appropriate.

5 p.m. daily except Saturdays, Sundays, (h) Review of initial denial. (1) Re- and holidays. quests for review from a party denied

(b) Index. A current index to such access to a particular identifiable record final votes, maintained pursuant to the shall be submitted in accordance with provisions of section 201(c), Merchant the instructions on Form CD–244 within Marine Act, 1936, as amended (46 U.S.C. 30 days of the date of initial denial. 1101 et seq.), is also available to the

:) The requesting party may submit public under the conditions recited in arguments to support his belief that the paragraph (a) of this section. record requested should be made avail- $ 380.35 Fees and charges. able. No personal appearance, oral argument, or hearing shall be permitted. No

(a) General. (1) The Maritime Adfee or charge is applicable to the process

ministration shall adhere to the policies ing of a request for review.

of the Department of Commerce, the (3) The decision upon review shall be

Congress and the Bureau of the Budget made by the Maritime Administrator on

to the effect that services performed the basis of the original application, the

hereunder for members of the public are initial denial, and any written arguments

to be self-sustaining. submitted by the requesting party. The

(2) Uniform fees established by the Maritime Administrator may obtain a

Department of Commerce from time to staff report on the matter from the re

time are, and shall be, adopted by the sponsible official who rendered the initial

Maritime Administration. denial and shall solicit the advice of

(b) Services provided and schedule of the General Counsel, Department of

fees and charges. The following services Commerce, or his designee.

are provided by the Maritime Adminis(4) The decision upon review shall

tration upon advance payment of the be promptly made in writing and com

fees and charges indicated. municated to the requesting party, in

(1) Application fee per request under 5 cluding therein (i) an express statement

U.S.C. 552(a) (3)—$2. This fee is non

refundable and covers costs of acceptthat such decision is final, (ii) explana

ing and reviewing the application and tion of any reservation or condition

making a determination as to the noted, and (iii) if the request is denied

availability of the requested Identifiin whole or in part, the reason for denial

able record, or group of related records.

(2) Search fee, per hour per person, for and reference to the specific exemption

records requested under 5 U.S.C. 552 under 5 U.S.C. 552(b) as appropriate.

(a) (3)-$5 (with a minimum of $2.50). (5) A copy of such final decision upon

This fee covers the costs of locating the review shall be indexed by and kept

desired record, transporting it by Gov

ernment messenger service to a point available for public reference from the

of inspection, supervising the inspecSecretary of the Maritime Administra

tion, and returning the record to its tion and Maritime Subsidy Board, Gen

regular file.


(8) Copies of records, 11 re

quested by a member of
the public: Xerographic
or similar process—up to
9 14 inches (each
page) --- ---------- $0.25.
Photocopy or similar proc-

ess-up to 12 x 18 inches

(each page) -----------Over 12 x 18 inches, but less

than 18 x 25 inches (each

page) ----------------Typewritten (each page

one side per page) ------ $3.00.1 (4) Photographic negatives—14

x 17 inches or smaller
(each) -----------------

Over 14 x 17 inches but not

larger than 30 x 40 inches

(each) ----------------- $6. 50. (5) Certification with appropri

ate seal, if requested (each

certification) ---------- $1.00. (6) Postage, registration, or

other packing or forward-
ing fees -----

------- Actual cost. 1 No charge for carbon coples.

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

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

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

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

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

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


Part 401 402 403

Great Lakes Pilotage Regulations.
Great Lakes Pilotage Rules and Orders.
Great Lakes Pilotage Uniform Accounting System.



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


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

registration. 401.211 Requirements for training of Appli

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

tion, 401.250 Suspension and revocation of Cer

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

Associations of United States Registered Pilots 401.300 Authorization for establishment of

pools. 401.310 Application for establishment of

401.420 Cancellation, delay or interruption

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

Registered Pilots 401.500 Penalties for violations. 401.610 Operation without Registered Pilots. Subpart Procedure Governing Revocation or

Suspension of Registration and Refusal to Re

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

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

thereto. 401.650 Review of Examiners initial de

cision. AUTHORITY: The provisions of this part 401 Issued under sec. 4, 74 Stat. 260, sec. 6(a)(4), 80 Stat. 938; 46 0.8.C. 216b, 49 U.S.C. 1665 (a) (4); Department of Transportation Order 1100.1, Mar. 31, 1967, 49 CFR 1.4(a) (1), 32 F.R. 5606; unless otherwise noted.

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


401.320 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 Rates and charges on designated

waters. 401.410 Rates and charges on undesignated


« PreviousContinue »