33 CFR § 140.40 - Processing penalty cases.

---
identifier: "/us/cfr/t33/s140.40"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "33 CFR § 140.40 - Processing penalty cases."
title_number: 33
title_name: "Navigation and Navigable Waters"
section_number: "140.40"
section_name: "Processing penalty cases."
chapter_name: "COAST GUARD, DEPARTMENT OF HOMELAND SECURITY"
subchapter_number: "N"
subchapter_name: "OUTER CONTINENTAL SHELF ACTIVITIES"
part_number: "140"
part_name: "GENERAL"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "43 U.S.C. 1333, 1348, 1350, 1356; Department of Homeland Security Delegation No. 0170.1."
regulatory_source: "CGD 78-160, 47 FR 9376, Mar. 4, 1982, unless otherwise noted."
cfr_part: "140"
---


# 140.40 Processing penalty cases.

Apparent violations of the regulations in this subchapter are processed in accordance with subpart 1.07 of 33 CFR part 1 on civil and criminal penalty proceedings, except as follows:

(a) The District Commander refers civil penalty cases to the Secretary of the Interior, or that person's delegate, who, under the Act, assesses, collects, and compromises civil penalties.

(b) If a possible violation investigated by the Coast Guard carries both a civil and a criminal penalty, the District Commander determines whether to refer the case to the U.S. Attorney for criminal prosecution or to the Secretary of the Interior, or that person's delegate, for civil penalty proceedings.

(c) When the U.S. Attorney declines to institute criminal proceedings, the District Commander decides whether to refer the case to the Secretary of the Interior, or that person's delegate, for civil penalty proceedings or to close the case.