[Code of Federal Regulations]
[Title 33, Volume 2]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 33CFR138.120]

[Page 90-91]
 
                TITLE 33--NAVIGATION AND NAVIGABLE WATERS
 
   CHAPTER I--COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED)
 
PART 138--FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS)--Table of Contents
 
Sec. 138.120  Certificates, denial or revocation.

    (a) The Director, NPFC, may deny a Certificate when an applicant--
    (1) Willfully or knowingly makes a false statement in connection 
with an application for an initial or renewal Certificate;
    (2) Fails to establish acceptable evidence of financial 
responsibility as required by this part;
    (3) Fails to pay the required application or certificate fees;
    (4) Fails to comply with or respond to lawful inquiries, 
regulations, or orders of the Coast Guard pertaining to the activities 
subject to this part; or
    (5) Fails to timely file required statements, data, notifications, 
or affidavits.
    (b) The Director, NPFC, may revoke a Certificate when a certificant-
-
    (1) Willfully or knowingly makes a false statement in connection 
with an application for an initial or a renewal Certificate, or in 
connection with any other filing required by this part;
    (2) Fails to comply with or respond to lawful inquiries, 
regulations, or orders of the Coast Guard pertaining to the activities 
subject to this part; or
    (3) Fails to timely file required statements, data, notifications, 
or affidavits.
    (c) A Certificate is immediately invalid, and considered revoked, 
without prior notice, when the certificant--
    (1) Fails to maintain acceptable evidence of financial 
responsibility as required by this part;
    (2) Is no longer the responsible operator of the vessel in question; 
or
    (3) Alters any Certificate or copy of a Certificate except as 
permitted by this part in connection with notarized certifications of 
copies.
    (d) The Director, NPFC, advises the applicant or certificant, in 
writing, of the intention to deny or revoke a Certificate under 
paragraph (a) or (b) of this section and states the reason therefor. 
Written advice from the Director, NPFC, that an incomplete application 
will be considered withdrawn unless it is completed within a stated 
period, is the equivalent of a denial.
    (e) If the intended revocation under paragraph (b) of this section 
is based

[[Page 91]]

on failure to timely file the required financial statements, data, 
notifications, or affidavits, the revocation is effective 10 days after 
the date of the notice of intention to revoke, unless, before 
revocation, the certificant demonstrates to the satisfaction of the 
Director, NPFC, that the required documents were timely filed or have 
been filed.
    (f) If the intended denial is based on paragraph (a)(1) or (a)(4) of 
this section, or the intended revocation is based on paragraph (b)(1) or 
(b)(2) of this section, the applicant or certificant may request, in 
writing, an opportunity to present information for the purpose of 
showing that the applicant or certificant is in compliance with the 
part. The request must be received by the Director, NPFC, within 10 days 
after the date of the notification of intention to deny or revoke. A 
Certificate subject to revocation under this paragraph remains valid 
until the Director, NPFC, issues a written decision revoking the 
Certificate.
    (g) An applicant or certificant whose Certificate has been denied 
under paragraph (a) of this section or revoked under paragraph (b) or 
(c) of this section may request the Director, NPFC, to reconsider the 
denial or revocation. The certificant shall file a request for 
reconsideration, in writing, to the Director, NPFC, within 20 days of 
the date of the denial or revocation. The certificant shall state the 
reasons for reconsideration. The Director, NPFC, issues a written 
decision on the request within 30 days of receipt, except that failure 
to issue a decision within 30 days shall be deemed an affirmance of a 
denial or revocation. Until the Director, NPFC, issues this decision, a 
revoked certificate remains invalid. A decision by the Director, NPFC, 
affirming a denial or revocation, is final agency action.