U.S.

Coast Guard
AUTHORITY AND JURISDICTION

References
Maritime Law Enforcement Manual,
COMDTINST M16247.1C
Boarding Officer / Boarding Team
Member PQS, COMDTINST M16247.7
BO / BTM PQS Answer Book,
COMDTINST M16247.7

Objectives

Explain the following:

- Source of USCG Law Enforcement
authority
- Elements of jurisdiction
- Jurisdictional limitations and exemptions
- Limitations of various boarding situations
- Indicators of a Stateless Vessel

Authority

Authority is the governments legal power to

act.
Fundamental sources of CG enforcement
authority:
- General Authority
- Customs
- Protection and Security of Vessels, Harbors, and
Waterfront Facilities
- Assistance
- CGIS

General Authority

14 U.S.C. 89 provides broad authority

(legal power) for U.S.Coast Guard
enforcement of federal law.

Customs Authority

14 U.S.C. 143 and 19 U.S.C. 1401

gives U.S. Coast Guard Customs
Authority.

Protection and Security

Magnuson Act and 33 CFR 6

- Primary authority for issuing COTP orders
regarding vessel and facility security
- Concerned with National Security

Ports and Waterways Safety Act (PWSA)

- CG can take action to prevent or respond to an act
of terrorism
- Inspections, port and harbor patrols, security and
safety zones, and contingency plans and
procedures

Assistance Authority

14 U.S.C. 141 gives U.S. Coast Guard

permission to assist other federal, state,
and foreign agencies when we are
available.

CGIS

14 USC 95 grants law enforcement

authority to CG Investigative Service
Special Agents
-

Carry firearms
Execute and serve warrants
Make arrests without warrants

USCG Authority

Who?
- Commissioned, Warrant, and Petty Officers

What?
- May go on board any vessel subject to jurisdiction
of the U.S. and

Search
Examine
Arrest
Seize
Inquire
Inspect

USCG Authority

Where?
- On the high seas
- On waters subject to U.S. jurisdiction

Why?
- To prevent, detect, and suppress violations of laws
of the U.S.

How?
- Using minimum force necessary to compel
compliance.

Role of Non-Rated BTM

CG personnel not included in 14 USC
89 have no law enforcement authority.
However, BTMs are authorized to:

- Assist the boarding officer in any task

assigned.
- Interact with the public and assist in
educating them about boating safety.
- Provide additional command presence by
their appearance and conduct.

Jurisdiction
The governments power to exercise
authority over its persons, vessels and
territory.
Three jurisdictional elements must be in
place to conduct law enforcement:

Location
Vessel status/Flag
Substantive Law

ELEMENTS OF JURISDICTION

L/
FL
SE

W
LA

VE
S

Substantive Law Prohibits

certain action or requires
affirmative conduct. The
activity or offense must come
under the purview of federal
laws or regulations.

B
SU

AG

Vessel Status/Flag U.S.

must have jurisdiction over
the vessel at that particular
place and time.

LOCATION
Location - Extent of U.S. jurisdiction over
persons, vessels and aircraft determined by the
waters in which they are located.

Vessel Classifications
Commercial Vessels
Private/Pleasure Vessels
Government Owned or Operated
Noncommercial Vessels
Warships

Jurisdictional Limitations
Innocent Passage

Definition:

- The right of non-interference for a vessel transiting

inbound, outbound, or through a foreign territorial
sea. Must be continuous and expeditious.

Prohibited actions:
-

Threatening sovereignty (attacking)

Exercising weapons/launching aircraft
Collecting intelligence/airing propaganda
Violating FISC laws or polluting waters
Fishing, research, interfering with communication
or aids to navigation

Jurisdictional Limitations
Innocent Passage (cont.)

Permitted activities:

- Only those activities incident to normal navigation,

which may include:
Stopping
Anchoring
Using boats, tugs, or pilots

- Actions to assist people, vessels, or aircraft in

distress

Jurisdictional Limitations:
- Coastal nation may not take LE action against
vessels in innocent passage

Jurisdictional Limitations
Transit Passage

Definition:
- The right of non-interference for a vessel or
aircraft transiting through a foreign territorial
sea that comprises an international strait
used for navigation between areas of
international waters.

Permitted Activities:
- Vessels may operate with limited restriction
provided that their transit is continuous and
expeditious.

Jurisdictional Limitations
Transit Passage (cont.)

Jurisdictional Limitations:
- US may not exercise jurisdiction over
foreign flagged vessels
- US can impose limited restrictions related
to navigation safety; the prevention,
reduction and control of pollution; fishing;
and the unloading/loading of any
commodity, currency, or person relating to
FISC laws and regulations.

Jurisdictional Limitations
Force Majeure

Definition:
- Foreign vessel is forced into territorial sea
of coastal nation by virtue of distress

Examples:
-

Fire or flooding onboard

Refuge from weather or storm
Mechanical failure or disablement
Safety of life at stake (i.e. medivac needed)

Jurisdictional Limitations
Force Majeure (cont.)

Jurisdictional Limitations:
- Coastal nation may not take LE action
against vessel claiming force majeure

May board the vessel to evaluate the

claim

Jurisdictional Limitations
Peace of the Port
May choose to refrain from asserting
jurisdiction over foreign flag vessels in
Territorial Sea and Internal Waters.
Jurisdiction will generally not be
asserted over incidents which involve
internal discipline and management of
vsl.
If peace and tranquility of port is
affected, U.S. will exercise authority.

Jurisdictional Limitations
Constructive Presence

Definition:
-

A foreign vessel (mother ship)

Outside a coastal nations jurisdiction
Acts in concert with another vessel (contact
boat) or aircraft that violates coastal nations laws

Coastal nation may exercise jurisdiction over

the Mothership for the actions of the contact
boat.

Jurisdictional Limitations
Constructive Presence (cont.)

Limitations:
- Vessels must be working as a team
Level of suspicion approaches probable cause

- Mothership is treated as if it committed

the same violation(s) in the same place(s)
as the contact boat

G-O (COMDT) SNO is required for Law

Enforcement action.

Jurisdictional Limitations
Hot Pursuit

Definition:
-

A foreign vessel
Commits a violation of coastal nations law
Signaled to stop in coastal nations waters
And flees from coastal nations waters

Coastal nation may:

- Pursue and stop the fleeing vessel
- And exercise jurisdiction as if it was still in
the coastal nations waters

Jurisdictional Limitations
Hot Pursuit (cont.)

Hot pursuit can be maintained until:

-

Vessel stops
Continuous contact is lost
Vessel enters another nations territorial
sea
If the vessel comes out afterwards, hot pursuit
jurisdiction can not be exercised

Contact can be passed from one vessel

or aircraft to another

U.S.A.
0

Jurisdictional
Terminology
Baseline - The mean low water mark
on shore or a straight line connecting
the low water marks at the mouths of
bays.
Distances - Measured in nautical miles
from the baseline.
Overlap - When jurisdictional areas of
neighboring nations overlap, they split
the distance between baselines.

24

200

varies

varies 0

U.S.A.

Internal Waters

Definition:
- All waters shoreward of the baseline

Vessels subject to US jurisdiction:

- US, foreign flagged and stateless/
assimilated to stateless vessels

Jurisdictional Exceptions:
- Force Majeure and Peace of the Port

24

200

varies

varies 0

U.S.A.

Territorial Sea

Definition:
- First 3 nm of ocean seaward of the baseline. (U.S.
domestic law applies)
- First 12 nm of ocean seaward of the baseline.
(International law applies)

Vessels subject to US jurisdiction:

- US, foreign flagged, and stateless/ assimilated to

stateless vessels

Jurisdictional Exemptions:

- Force Majeure, transit passage, peace of the port,

innocent passage, and assistance entry.
0

12

200

varies

varies 0

U.S.A.

Foreign Territorial Waters

Definition:
- Another nations Territorial Sea and
Archipelagic Waters (if any)
- Maximum of 12 nm from baseline. NOTE:
Some countries claim less than 12nm:

Limitations:
- USCG personnel and units can only enter
to take law enforcement action with a
Statement of No Objection (SNO)

24

200

varies

varies 0

U.S.A.

Customs Waters

Definition:
- All U.S. waters shoreward of a line drawn
12nm seaward of the baseline.

Vessels subject to US jurisdiction:

- US, foreign flagged and stateless/
assimilated to stateless vessels

Jurisdictional Exceptions:
- Force Majeure and Peace of the Port

12

200

varies

varies 0

U.S.A.

Contiguous Zone

Definition:
- An area seaward of the territorial sea, to a
maximum of 24nm from the baseline
- U.S. 12nm-24nm seaward from baseline.

Limitations:
- Coastal State may exercise the control
necessary to prevent and punish
infringements of FISC laws.

12

24

200

varies

varies 0

U.S.A.

Jurisdictional Limitations
Contiguous Zone

Limitations for non-US Vessels:

- USCG may conduct a boarding if: There is
reasonable suspicion that the vessel is in violation
of a Fiscal, Immigration, Sanitary or Customs Law
- AND either of the following conditions are met:
Reasonable suspicion that the vessel is headed to or has
departed from the US Territorial Sea or Internal Waters
OR
Reasonable suspicion that the vessel is constructively
present within U.S. Territorial Sea or Internal Waters via
a contact vessel.

12

24

200

varies

varies 0

U.S.A.

Exclusive Economic Zone

Definition:
- The EEZ is comprised of those waters
seaward of the territorial sea, extending to
no more than 200 nm from the baseline.

Limitations:
- The coastal nation has jurisdiction over
foreign vessels for the purpose of
management and conservation of the
natural resources of the waters, seabed
and subsoil of the zone.

24

200

varies

varies 0

U.S.A.

High Seas

Definition:
- All parts of the ocean seaward of any nations
Exclusive Economic Zone (EEZ) or Territorial
Sea:
Depending on whether or not vessel is suspected
of a living marine resource violation

Limitations:
- All vessels are subject to the exclusive
jurisdiction of their flag nation, except:

Stateless vessels
Vessels engaged in slave trade or piracy are
subject to jurisdiction by any nation

24

200

varies

varies 0

Special Maritime and

Territorial Jurisdiction
(SMTJ)

SMTJ applies to:

- U.S. vessels outside the jurisdiction of any state.
Including foreign territorial waters;
- Great Lakes
- Land with exclusive federal jurisdiction on federal
reservations or outside the jurisdiction of any
nation;
- U.S. Vessel in foreign Territorial Sea
- U.S. aircraft while in flight seaward of state
waters;

Special Maritime and

Territorial Jurisdiction
(SMTJ)

SMTJ applies to (Cont.):

- Offenses by or against U.S. Nationals
committed outside the jurisdiction of any
nation.
- Note: In view of the complexities of the SMTJ units
shall contact the district legal office for guidance.
(MLEM 12-14)

Consensual Boarding

Definition:
- A boarding of a foreign vessel conducted solely at
the invitation of the master
- Not an exercise of jurisdiction

Limitations:
- Scope of the boarding is limited to the scope of
the masters consent
- Boarding Officer can not compel any action by the
master or crew, we can only suggest

Consensual Boarding (cont.)

Limitations:
- If the master withdraws consent, the boarding
team must leave
- If evidence of a crime is found, a Statement of No
Objection must be obtained before any law
enforcement action (i.e. seizure, arrest) may be
taken
- Any foreign vessel may be boarded consensually,
except government owned/ operated noncommercial vessels

Statement of No Objection
(SNO)

Definition:
- Authorization, not direction, to carry out a specific
operational action

Process:
- Operational unit desires to carry out an action
- Forwards SITREP and request for a specific
course of action to OPCON
- OPCON consults with COMDT (G-O)
- Interagency conference (PD-27)
- Answer is sent back to unit

SNO - to Board

When required:
- Foreign or stateless vessel outside U.S.
jurisdiction
- U.S. vessel in foreign waters
- Anytime boarding may adversely impact
foreign relations
- Special Interest Vessels (SIVs), usually not
of LE interest

SNO - to Seize

When required:
- Foreign or stateless vessels anywhere
- U.S. vessels anywhere, unless District
Commander has delegated to unit level
- Anytime seizure may adversely impact
foreign relations

Limitation:
- SNO is usually very limited in scope, be
sure it specifically authorizes action

SNO
Warning Shots/Disabling
Fire

When required from COMDT (G-O):

- In foreign territorial waters
- Foreign or stateless vessels outside any nations
territorial sea

When required from District Commander:

- All other situations

Defense of self and others is always

authorized without an SNO

SNO
International Operations
SNO for a specific operation may be
obtained before unit arrives on scene
Examples:

- Pre-planned cooperative operations

- Frequently employed bilateral agreements

Consult patrol OPORDER for specific

limitations or authorized activities

1.
2.
3.
4.

Shipboarding
Shiprider
Pursuit
Entry-toinvestigate
5. Overflight
6. Order-to-land
+IMIS

Bilateral
Bilateral Agreements
Agreements
Six
Six Part
Part Model
Model

Bahamas (2,5)
Turks & Caicos
(2-air only)

UK (1-6)

DomRep (1-4)
Belize (1-5)
Jamaica (1-6)
Honduras (1-6+)
Nicaragua (1-6+)

St Kitts &
Nevis (1-6)

Haiti (1-6)
Netherlands
Antilles (2-5)

Costa Rica (1-6+)

Panama (1-6+)

Colombia (1)

Antigua &
Barbuda 1-6
Dominica (1-4)

St Lucia (1-6)
St Vincent &
Grenadines (1-4)

Venezuela (1,3-air only)

New/Amended Agreement Proposed: Antigua & Barbuda, Bahamas, Barbados, Dominica,
Dominican Republic, Grenada, Ecuador, El Salvador, France, Grenada, Malta, Netherlands, St.
Kitts & Nevis, St. Lucia, St. Vincent, Venezuela.
Agreement Proposal TBD: Cuba, Mexico
* - entry into force pends exchange of diplomatic notes and internal foreign government
procedures. Current: 09/06/02 (OPL-L)

Barbados (2-6)
Grenada (1-6)
Trinidad &
Tobago (1-6)
Suriname (1-6)

Guyana (1-6+*)

CG Policy On Pursuit Ashore

Boarding Officers may pursue persons

ashore to affect an arrest only when all of the
following are met:
- There is PC of a violation of Federal felony
rendering a fleeing subject to arrest;
- Flees ashore from CG pursuit;
- Shoreside LE not present to assist;
- BO is accompanied by another BO or BTM; and
- The pursuit can be initiated immediately,
maintained continuously and completed
expeditiously.

CG Policy On Pursuit Ashore

If level of risk is acceptable, BO should

take the following actions:
- Pursue the suspect ashore on foot;
- Immediately notify OPCON and shoreside
LE for assistance; and
- If able, arrest the person fleeing ashore or
detain for shoreside LE authorities.
- Vehicles shall not be used for pursuit
ashore!

Pursuit Ashore Process

WARNING - If a subject enters a

building they should be considered a
barricaded subject. Secure the scene
and await the arrival of shoreside law
enforcement.

Vessels Exempt from

U.S. Jurisdiction
Vessels owned or operated by foreign
governments for non-commercial
purposes are not normally subject to
U.S. jurisdiction.
Examples:

Bahamian mail boat

French government research vessel
Cuban Border Guard patrol boat

Vessels Exempt from

U.S. Jurisdiction (cont.)
If a serious violation of U.S. law is
suspected by or on an exempt vessel,
report it ASAP to COMDT via the chain
of command.
Foreign recreational vessels temporarily
visiting U.S. waters are exempt from
U.S. boating safety carriage
requirements.

Vessels Exempt from

U.S. Jurisdiction (cont.)

Special Interest Vessel

- Vessels registered in nations with whom the US
does not enjoy friendly and/or normal diplomatic
relations that are subject to special restrictions
relating to their entry into and/or activities in US
waters.

Special Operations Vessel

- A vessel involved in either a controlled delivery or
other undercover law enforcement operation, or a
non-law enforcement mission for a U.S. Agency

Diplomatic Immunity
A traditional concept of international law
that exempts certain representatives of
foreign governments from U.S. laws.
A person claiming diplomatic immunity
should present a diplomatic (blue),
consular (red), or other official ID card
(green).
The card should have a U.S. telephone
number to confirm the persons status

Diplomatic Immunity (cont.)

If a serious violation of U.S. law is
suspected by a person claiming
diplomatic immunity, report it ASAP to
COMDT via the chain of command.
Do not take any law enforcement action
against such persons without COMDT
approval.

Stateless Vessels

Definition:
- A vessel not registered in any nation, OR
- A vessel which is assimilated to be stateless (false
or conflicting claims of nationality)

Valid claims of nationality are evidenced

only by:
-

Possession and production of documents

Flying of a national flag or ensign
Verbal claim by the master

Stateless Vessels (cont.)

Right of Visit:
- A vessel believed to be stateless may be
boarded for the limited purpose of
discovering the vessels nationality.

SNO:
- A COMDT SNO is required to declare a
vessel stateless and therefore subject to
U.S. jurisdiction.

Summary
- Source of USCG Law Enforcement
authority
- Elements of jurisdiction
- Jurisdictional limitations and exemptions
- Limitations of various boarding situations
- Indicators of a Stateless Vessel