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No. 10133689
United States Court of Appeals for the Ninth Circuit
United States v. Korotkiy
No. 10133689 · Decided October 10, 2024
No. 10133689·Ninth Circuit · 2024·
FlawFinder last updated this page Apr. 2, 2026
Case Details
Court
United States Court of Appeals for the Ninth Circuit
Decided
October 10, 2024
Citation
No. 10133689
Disposition
See opinion text.
Full Opinion
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA, No. 23-2443
D.C. No.
Plaintiff - Appellee,
3:22-cr-02762-
TWR-1
v.
DENYS KOROTKIY, OPINION
Defendant - Appellant.
Appeal from the United States District Court
for the Southern District of California
Todd W. Robinson, District Judge, Presiding
Argued and Submitted May 16, 2024
Pasadena, California
Filed October 10, 2024
Before: N. Randy Smith and Salvador Mendoza, Jr., Circuit
Judges, and John Charles Hinderaker, District Judge. *
Opinion by Judge Mendoza;
Dissent by Judge N. Randy Smith
*
The Honorable John Charles Hinderaker, United States District Judge
for the District of Arizona, sitting by designation.
2 USA V. KOROTKIY
SUMMARY **
Criminal Law
The panel affirmed the district court’s order denying
Denys Korotkiy’s motion to dismiss a count charging him
under 33 U.S.C. § 1908 with violating 33 C.F.R. § 151.25
(2023), a regulation that requires shipmasters to, among
other things, maintain a record of certain bilge-water
operations while in U.S. waters.
Under international and federal law, it is unlawful to
dump the polluted water that collects in a boat’s bottom—
otherwise known as “oily bilge water”—while at sea. The
same laws require ships to log their bilge-water operations
in an Oil Record Book. Korotkiy, the Chief Engineer of a
foreign-flagged ship, along with the crew, flouted those laws
by dumping oily bilge water on the high seas and covering it
up with misleading entries in the ship’s Oil Record Book.
Korotkiy argued (1) § 151.25 does not require
crewmembers to maintain substantively “accurate” records
in Oil Record Books; (2) neither Congress nor the
international community intended for such prosecutions to
occur; and (3) only ship masters, and not chief engineers,
should be charged for violations of § 151.25.
Joining four other circuits, the panel held that § 151.25’s
plain language proscribes Korotkiy’s conduct. The
regulation imposes a duty upon a foreign-flagged vessel to
ensure that the record in its Oil Record Book is accurate (or
**
This summary constitutes no part of the opinion of the court. It has
been prepared by court staff for the convenience of the reader.
USA V. KOROTKIY 3
at least not knowingly inaccurate) upon entering the United
States’ territorial waters. Korotkiy’s reading of “maintain”
as entailing exclusively “preservation” is inconsistent with
§ 151.25’s other provisions; the panel’s interpretation of the
“maintenance” requirement is consistent with the term’s
place in the overall statutory scheme and with the legislative
purpose of the Act to Prevent Pollution from Ships (APPS),
pursuant to which Congress delegated to the United States
Coast Guard the authority to prescribe regulations to carry
out the provisions of the 1973 International Convention for
the Prevention of Pollution from Ships and the Protocol of
1978 Relating to the International Convention for the
Prevention of Pollution from Ships (collectively,
MARPOL).
The panel rejected Korotkiy’s alternative argument that
because he is not a “shipmaster” he is not bound by
§ 151.25’s maintenance requirement. Courts uniformly
agree that chief engineers can be prosecuted, as Korotkiy
was, for aiding and abetting the failure to maintain an
accurate record book.
Judge N.R. Smith dissented. He wrote that ordinary
meaning, usage in related provisions, the language of
MARPOL, and the MARPOL-focused purpose of APPS all
support interpreting “maintain” in the sense of “preserve”;
and that whatever other wrongs Korotkiy committed, he did
not fail to maintain the ship’s Oil Record Book or cause such
failure while in U.S. waters.
4 USA V. KOROTKIY
COUNSEL
Allen M. Brabender (argued) and Stephen Da Ponte,
Attorneys, Environment & Natural Resources Division,
Appellate Section; Todd Kim, Assistant Attorney General;
United States Department of Justice, Washington D.C.;
Melanie K. Pierson and Daniel E. Zipp, Assistant United
States Attorneys; United States Department of Justice,
Office of the United States Attorney, San Diego, California;
for Plaintiff-Appellee.
Edward S. MacColl (argued) and Marshall J. Tinkle,
Thompson Bull Furey Bass & MacColl LLC, Portland,
Maine, for Defendant-Appellant.
OPINION
MENDOZA, Circuit Judge:
Under international and federal law, it is unlawful to
dump the polluted water that collects in a boat’s bottom—
otherwise known as “oily bilge water”—while at sea. Those
same laws also require ships to log their bilge-water
operations in an Oil Record Book. Defendant and Chief
Engineer Denys Korotkiy, along with the crew aboard the
foreign-flagged ship MV Donald, flouted those laws by
dumping oily bilge water on the high seas and covering it up
with misleading entries in the ship’s Oil Record Book. After
making port in the United States and presenting the Oil
Record Book to U.S. officials, Korotkiy faced prosecution
under federal law, including 33 C.F.R. § 151.25 (2023).
That regulation requires shipmasters to, among other things,
“maintain” a record of certain bilge-water operations in an
USA V. KOROTKIY 5
Oil Record Book while in U.S. waters. And the MV
Donald’s record was—to put it simply—inaccurate.
Korotkiy moved to dismiss his indictment, arguing that
“maintain” does not mean “maintain accurately” and that
§ 151.25 neither applied to him nor proscribed his conduct.
The district court was unpersuaded. It applied out-of-
circuit case law to find that Korotkiy could be charged for
causing the failure to maintain an accurate record of bilge-
water operations in an Oil Record Book at port under
§ 151.25. On appeal, Korotkiy urges us to reverse the
district court’s order because: (1) § 151.25 does not require
crewmembers to maintain substantively “accurate” records
in Oil Record Books; (2) neither Congress nor the
international community intended for such prosecutions to
occur; and (3) only ship masters, and not chief engineers,
should be charged for violations of § 151.25. Although this
is a matter of first impression in the Ninth Circuit, we join
the First, Second, Third, and Fifth Circuits. We hold that the
regulation’s plain language proscribes Korotkiy’s conduct
and affirm the district court’s decision.
I.
A.
On May 14, 2022, the MV Donald—a cargo ship
registered in Liberia—left South Korea for San Diego. Like
many cargo ships, the MV Donald collects bilge water in its
bottom. see 33 C.F.R. § 151.05. Bilge-water accumulation
presents unique challenges. Captain Jack Sparrow’s boat,
for example, sank after collecting too much water in its
6 USA V. KOROTKIY
bilge. 1 Thankfully, modern ships like the MV Donald are
better equipped than Captain Jack’s, and they periodically
dump bilge water to prevent on-board machinery and engine
rooms from becoming submerged. Still, bilge water often
mixes with oil runoff and, when dumped at sea, can cause
oceanic pollution. In the 1960s and 70s, a spate of deadly
tanker accidents and oil spills brought the dangers of such
pollution into sharp relief, spurring international efforts “to
achieve the complete elimination of intentional pollution of
the marine environment by oil and other harmful
substances.” 2
To help stem the flow of oily bilge water, the United
Nations’ Inter-Governmental Maritime Consultative
Organization, now known as the IMO, penned the 1973
International Convention for the Prevention of Pollution
from Ships 3 and the Protocol of 1978 Relating to the
International Convention for the Prevention of Pollution
from Ships 4 (together, “MARPOL”). The United States
ratified MARPOL through the Act to Prevent Pollution from
Ships (“APPS”). See Pub. L. No. 96-478, 94 Stat. 2297
(1980), codified as amended at 33 U.S.C. §§ 1901–15
1
Pirates of the Caribbean: The Curse of the Black Pearl (Walt Disney
Pictures 2003). Fortunately, that bilge-water accumulation only
imperiled his rowboat and not the Black Pearl. Id.
2
International Convention for the Prevention of Pollution from Ships,
Nov. 2, 1973, 1340 U.N.T.S. 184; see also Necmettin Akten, Shipping
Accidents: A Serious Threat for Marine Environment, 12 J. Black
Sea/Mediterranean Env’t 269, 282–83 (2006).
3
See 1340 U.N.T.S. 184.
4
See Feb. 17, 1978, 1340 U.N.T.S. 61; see also Convention on the
Intergovernmental Maritime Consultative Organization, Mar. 17, 1958,
9 U.S.T. 621, 289 U.N.T.S. 48.
USA V. KOROTKIY 7
(2018). Under APPS, Congress made it a felony to
knowingly violate MARPOL. 33 U.S.C. §§ 1907, 1908(a).
And Congress delegated authority to “administer and
enforce” MARPOL to the U.S. Coast Guard, 33 U.S.C.
§ 1903(a), (c)(4), broadly authorizing it to “prescribe any
necessary or desired regulations to carry out the provisions
of the MARPOL Protocol, Annex IV to the Antarctic
Protocol, or this chapter,” id. § 1903(c)(1).
Relevant here, MARPOL requires a ship like the MV
Donald either to (1) filter its oily bilge water before
returning it to the sea or (2) sequester that water and
discharge it at a designated reception facility once the ship
arrives at port. MARPOL Annex I, Regs. 15, 16; see also 33
C.F.R. § 151.10(a)–(b). MARPOL also requires a ship to
record its bilge-water “operations” in an “Oil Record Book.”
MARPOL Annex I, Reg. 17; 33 C.F.R. § 151.25. MARPOL
specifies that documentation of discharges “shall be fully
recorded without delay in the Oil Record Book Part I, so that
all entries in the book appropriate to that operation are
completed.” Annex I, Reg. 17.4. Additionally, the Book
must be kept “in such a place as to be readily available for
inspection” and “shall be preserved for a period of three
years after the last entry has been made.” Id. at 17.6; see
also MARPOL Annex I, Appendix III.
In implementing MARPOL under the APPS, the Coast
Guard thus requires ships like the MV Donald to “maintain
an Oil Record Book,” and, importantly here, it specifies that
the “master or other person having charge of a ship required
to keep an Oil Record Book shall be responsible for the
maintenance of such record.” 33 C.F.R. § 151.25(a), (j).
The Oil Record Book, therefore, contains a “running log” of
bilge-water activities, with entries for “tank-to-tank” oil
transfers, “discharge[s] of oily bilge water,” “failure[s] of
8 USA V. KOROTKIY
filtering equipment,” and “any accidental or emergency
discharge[s] of oily waste exceeding the legal limit.” United
States v. Vastardis, 19 F.4th 573, 578 (3d Cir. 2021) (citing
MARPOL Annex I, Reg. 17; 33 C.F.R. § 151.25).
Under MARPOL, APPS, and APPS’s implementing
regulations, both a “port state[]” (the country where a ship
arrives) and a “flag state” (the country where a ship is
registered) can police violations of the Convention. See
United States v. Abrogar, 459 F.3d 430, 432 (3d Cir. 2006);
MARPOL art. 6(2), 1340 U.N.T.S. at 187. The flag state—
in this case, Liberia—has the most authority under
MARPOL. Flag states may prosecute MARPOL violations
“wherever the violation occurs.” MARPOL art. 4(1), (2),
1340 U.N.T.S. at 185–86. But the port state—here, the
United States—may only prosecute MARPOL violations
that occur within its ports or territorial waters. 33 C.F.R.
§ 151.09(a)(5). MARPOL also obligates a port state to refer
evidence of MARPOL violations committed outside its
territorial waters to a ship’s flag state, so that the flag state
can take “appropriate action” against the ship and its crew
for any high-seas misconduct. MARPOL art. 6(2), 1340
U.N.T.S. at 187.
B.
After the MV Donald left South Korea, Chief Engineer
Korotkiy ordered its crew to dump the ship’s bilge water
directly into the ocean, bypassing the ship’s pollution-
abatement equipment and storage tanks. Shortly thereafter,
one of the MV Donald’s crewmembers reported this conduct
via email to the U.S. Coast Guard while at sea and let the
MV Donald’s captain know that he had sent the tip-off
email. That tip-off prompted Korotkiy and the captain to try
and hide the bilge-water dumping.
USA V. KOROTKIY 9
When the MV Donald arrived at the Port of San Diego
on May 31, 2022, the U.S. Coast Guard boarded the ship,
interviewed various crewmembers, and inspected its
machinery and Oil Record Book. The Coast Guard
determined that the MV Donald’s Oil Record Book
contained an inaccurate and incomplete record of the ship’s
bilge-water operations. The Book, for example, contained
no entries for oily-bilge-water transfers between March 22
and May 24, 2022. That was unusual. Between October
2019 and February 2022, the MV Donald’s Oil Record Book
recorded transfers of approximately 5.8 gallons per day.
And the MV Donald would have needed to transfer oily
bilge water between March and May 2022. Indeed, the
ship’s alarm records showed that bilge-water accumulation
was dangerously high during that period, and transfers
would have been necessary to prevent the ship’s machinery
from becoming submerged. Separately, Korotkiy recorded
two transfers of oily bilge water in the Oil Record Book on
May 25 and 28, 2022, despite no alarm records indicating
that a transfer was necessary on those days. According to
the Coast Guard, those entries were false and likely
prompted by the tip-off email.
C.
So the Coast Guard detained the vessel and its crew, and
the United States brought charges against Korotkiy on four
counts. Relevant here, count 2 charged Korotkiy with the
following:
On or about May 31, 2022, in the port of San
Diego, and within the Southern District of
California and elsewhere, defendant DENYS
KOROTKIY did knowingly fail and cause
the failure to maintain an Oil Record Book
10 USA V. KOROTKIY
for the MV Donald. Specifically, defendant
KOROTKIY maintained and caused to be
maintained an Oil Record Book that:
(1) failed to record the transfers of machinery
space bilge water . . . (2) failed to record that
discharges of machinery space bilge water
had been made . . . ; and (3) falsely recorded
the volume of machinery space bilge
water . . . in violation of Title 33, United
States Code, Section 1908(a); Title 18,
United States Code, Section 2(b); Title 33,
Code of Federal Regulations, Section 151.25;
and MARPOL Annex I, Regulation 17.
Before trial, Korotkiy moved to dismiss the indictment,
including count 2. He claimed that any unlawful activity—
specifically, bilge-water dumping and false recordkeeping—
took place outside of the United States’ territorial waters
and, thus, § 151.25 did not proscribe his conduct. Ruling
from the bench, the district court denied his motion. Relying
on United States v. Jho, 534 F.3d 398 (5th Cir. 2008), United
States v. Ionia Management S.A., 555 F.3d 303 (2d Cir.
2009) (per curiam), and United States v. Vastardis, 19 F.4th
573 (3d Cir. 2021), the district court held that Korotkiy could
be charged for knowingly failing to maintain an accurate Oil
Record Book while in U.S. waters. After a five-day trial, a
jury convicted Korotkiy on three counts, including count 2.
Korotkiy timely appeals the district court’s order denying his
motion to dismiss count 2.
II.
We have jurisdiction under 28 U.S.C. § 1291. Korotkiy
does not challenge the sufficiency of the evidence for his
conviction. Instead, he challenges the propriety of being
USA V. KOROTKIY 11
charged under 33 U.S.C. §1908(a), 33 C.F.R. § 151.25, 18
U.S.C. § 2(b), and MARPOL Annex I, Reg. 17 for
knowingly failing and causing the failure to maintain the
MV Donald’s Oil Record Book. Thus, we review de novo
the district court’s order denying Korotkiy’s motion to
dismiss count 2 of the indictment. United States v.
Marcucci, 299 F.3d 1156, 1158 (9th Cir. 2002).
III.
Korotkiy’s appeal turns on what it means to be
“responsible for the maintenance of [the] record” in an Oil
Record Book under 33 C.F.R. § 151.25(j). Korotkiy argues
that the regulation’s “maintenance” requirement imposes a
duty on shipmasters to “preserve” or “keep” an Oil Record
Book in good condition and on board the ship. It does not,
however, impose any additional obligation on foreign
engineers of foreign-flagged vessels to maintain a
substantively “accurate” record in an Oil Record Book while
in U.S. territorial waters. According to Korotkiy, an
interpretation of “maintenance” that requires accuracy
undermines both MARPOL and APPS because it permits the
federal government to prosecute misconduct committed on
the high seas and outside of the United States’ jurisdiction.
The government disagrees. Conceding that this is a
matter of first impression in the Ninth Circuit, it asks us to
adopt the Fifth, Second, Third, and First Circuits’ reasoning
in Jho, Ionia, Vastardis, and Hornof v. United States, 107
F.4th 46 (1st Cir. 2024), respectively. All four courts have
considered appeals substantially resembling Korotkiy’s,5
5
Indeed, the Vastardis and Hornof cases, which raise identical issues
and arguments to Korotkiy’s appeal, were litigated in the Third and First
Circuits by Korotkiy’s counsel.
12 USA V. KOROTKIY
and each has held that APPS and the Coast Guard’s
regulations permit the criminal prosecution of individuals
that knowingly maintain inaccurate Oil Record Books while
in U.S. waters. After considering those circuits’ decisions,
§ 151.25’s plain language, the statutory framework, and
MARPOL’s and APPS’s purpose, we agree with our sister
circuits: § 151.25 imposes a duty upon a foreign-flagged
vessel to ensure that the record in its Oil Record Book is
accurate (or at least not knowingly inaccurate) upon entering
the United States’ territorial waters. We therefore join the
Jho, Ionia, Vastardis, and Hornof courts and affirm the
district court’s decision.
A.
We have yet to construe § 151.25’s “maintenance”
requirements for Oil Record Books. Thankfully, we do not
sail in uncharted waters. In Jho, the Fifth Circuit considered
an appeal largely identical to Korotkiy’s. See 534 F.3d at
400. There, a shipping company and the chief engineer of
one of its foreign-flagged ships sought to dismiss an
indictment charging them with failing to maintain an
accurate Oil Record Book while in U.S. territorial waters
under § 151.25. Id. at 400–01. Like Korotkiy, the Jho
defendants argued that any alleged misconduct took place on
the high seas, where the unlawful bilge-water dumping
occurred and the inaccurate Oil Record Book entries had
been recorded. Id. at 401–03. The Jho defendants asserted
that § 151.25’s “maintenance” requirement merely entailed
a duty to “make the requisite entries” in the book, and not
that those entries be substantively accurate. Id. at 403.
The Fifth Circuit disagreed. It held that § 151.25’s
maintenance requirement “impose[s] a duty upon a foreign-
flagged vessel to ensure that its oil record book is accurate
USA V. KOROTKIY 13
(or at least not knowingly inaccurate) upon entering the ports
of navigable waters of the United States.” Id. The Jho court
identified two bases for its decision. First, it reasoned that
“[a]ccurate oil record books are necessary to carry out the
goals of MARPOL and the APPS.” Id. After all, if § 151.25
merely required that records be preserved or kept on board,
the “Coast Guard’s ability to conduct investigations against
foreign-flagged vessels would be severely hindered” and
“polluters (and likely future polluters) [could] avoid
detection.” Id. Second, the court reasoned that such
prosecution was consistent with international law. Id. at
405–06. Although flag states generally prosecute crimes
committed by their own ships under international law, “it has
long been established that a state has the power to prosecute
violations of its laws committed by foreign-flagged vessels
in its ports.” Id. at 408–09. “Far from signaling an
abdication of this traditional authority, the APPS indicates
Congressional willingness to criminalize knowing violations
of MARPOL, the APPS, and APPS regulations committed
by foreign-flagged ships while in United States’ ports and
navigable waters.” Id. at 409–10. Thus, the Jho court
concluded that the government was well within the law to
charge the defendants with causing the failure to maintain an
accurate Oil Record Book in U.S. waters.
The Second Circuit followed in Jho’s wake a year later
in Ionia. 555 F.3d at 306. It too construed § 151.25 as
“impos[ing] a duty on ships, upon entering the ports or
navigable waters of the United States, to ensure that [their]
[Oil Record Book] is accurate (or at least not knowingly
inaccurate).” Id. Just like Jho, the Ionia court dealt with
chief and second engineers who discharged “oily waste
water into the high seas” and “made false entries in the [Oil
Record Book] to conceal such discharges.” Id. at 305. Like
14 USA V. KOROTKIY
here, the Ionia defendants asserted that they had not violated
the Coast Guard’s regulations because the “crew only
possessed the falsified [Oil Record Book] and did not make
any false entries when [the ship] was in U.S. waters.” Id. at
306.
Unpersuaded, the Ionia court adopted the Jho court’s
reasoning, concluding that § 151.25 necessarily imposes a
substantive recordkeeping requirement. 555 F.3d at 307–08.
“Any other reading would defeat the purpose of MARPOL
and the APPS, and would be inconsistent with international
law.” Id. at 308. Unlike the Jho court, the Ionia court also
considered the “plain text of the regulation,” noting that
“maintain,” in the context of recordkeeping, plainly implies
a duty to keep “a reasonably complete and accurate record.”
Id. at 309. Thus, it affirmed the defendants’ prosecution
under § 151.25 for their conduct. Id.
More than a decade passed before the Third Circuit
navigated § 151.25’s straits in Vastardis. 19 F.4th at 579.
Like the Ionia and Jho defendants, the Vastardis
defendant—a chief engineer on a foreign-flagged vessel—
was indicted for maintaining an inaccurate Oil Record Book
while in U.S. waters under § 151.25, 33 U.S.C. § 1908(a),
and 18 U.S.C. § 2. Id. at 578, 581. And like those
defendants, the Vastardis defendant hoped to duck the
charges, arguing that the fraudulent entries occurred “on the
high seas,” which “divests the United States of the authority
to enforce the penalties prescribed under MARPOL.” Id. at
583.
The Vastardis court joined the Ionia and Jho courts,
dismissing defendant’s arguments. Id. Drawing on
§ 151.25’s plain language, the Third Circuit echoed the Ionia
court and held that “maintain” in this context imposes a duty
USA V. KOROTKIY 15
to maintain a record in a state of substantive accuracy. Id. It
also agreed that such a reading is not only consistent with
MARPOL and APPS, but it adheres to those laws’ careful
division of jurisdictional authority and preserves the
integrity of MARPOL. Id. at 584. After all, those laws seek
to deter unlawful bilge-water dumping, both by encouraging
flag states to prosecute high-seas misconduct and
encouraging port states to detect high-seas misconduct. Id.
Thus, the Third Circuit concluded that construing § 151.25’s
“maintenance” requirement as imposing a substantive
obligation to keep records accurate conforms to the
regulation’s language and the Convention’s purpose.
After we heard oral argument and submitted this appeal,
the First Circuit issued its decision in Hornof. See 107 F.4th
at 58. Like Korotkiy (and the Jho, Ionia, and Vastardis
defendants), the Hornof plaintiffs disputed whether
§ 151.25’s recordkeeping requirement properly imposed an
obligation on foreign-flagged vessels to maintain accurate
Oil Record Books in U.S. waters, as opposed to merely
“keep[ing an Oil Record Book] on board.” Id. at 57–58. The
plaintiffs also claimed that it was “untenable to think that the
United States cannot prosecute ship owners for failing to
properly record their high-seas violations [under MARPOL],
but can prosecute the ship for arriving to the United States
with an Oil Record Book that has failed to properly record
the event [under APPS].” Id. at 57.
The Hornof court considered the Jho, Ionia, and
Vastardis decisions, and it decided not to change tack. See
107 F.4th at 58–59. Title “33 C.F.R. § 151.25 is indeed a
valid regulation under the jurisdiction of the United States
based on its text, and does not circumvent MARPOL or
APPS, but instead ensures both are upheld, furthering the
objectives prescribed.” Id. at 59. And the First Circuit
16 USA V. KOROTKIY
affirmed that it is “unreasonable to conclude that the Coast
Guard regulation requires only the preservation of the Oil
Record Book in its existing state without accuracy.” Id. at
58. The Supreme Court has not chosen to review any of
these decisions.
B.
With the wind from Jho, Ionia, Vastardis, and Hornof at
our backs, we face § 151.25 and Korotkiy’s appeal.
“Regulations are interpreted according to the same rules as
statutes, applying traditional rules of construction.” Minnick
v. Comm’r, 796 F.3d 1156, 1159 (9th Cir. 2015). “Unless a
statute provides an explicit definition, we generally give
words ‘their ordinary, contemporary, common meaning.’”
Pakootas v. Teck Cominco Metals, Ltd., 830 F.3d 975, 980
(9th Cir. 2016) (quoting Chubb Custom Ins. Co. v. Space
Sys./Loral, Inc., 710 F.3d 946, 958 (9th Cir. 2013)). If the
meaning of the text is unambiguous, the regulation must be
enforced according to its terms. See King v. Burwell, 576
U.S. 473, 486 (2015). But when we are confronted with an
ambiguous regulation, we must rifle through our “legal
toolkit” and “‘carefully consider[]’ the text, structure,
history, and purpose” of the regulation to derive its meaning.
Kisor v. Wilkie, 588 U.S. 558, 575 (2019) (citing Pauley v.
BethEnergy Mines, Inc., 501 U.S. 680, 696 (1991) and then
quoting id. at 707 (Scalia, J., dissenting)); accord Goffney v.
Becerra, 995 F.3d 737, 742 (9th Cir. 2021). By relying on
these classic tools of statutory interpretation, we “resolve
many seeming ambiguities out of the box” and avoid most
USA V. KOROTKIY 17
complicated questions of policy or deference. Kisor, 588
U.S. at 575. 6
i.
As always, we start with § 151.25’s “plain language.”
Minnick, 796 F.3d at 1159. In relevant part, § 151.25
requires the following:
(a) Each oil tanker of 150 gross tons and
above, ship of 400 gross tons and above other
than an oil tanker, and manned fixed or
floating drilling rig or other platform shall
maintain an Oil Record Book Part I . . . .
....
(j) The master or other person having
charge of a ship required to keep an Oil
Record Book shall be responsible for the
maintenance of such record.
(k) The Oil Record Book for a U.S. ship
shall be maintained on board for not less than
three years.
33 C.F.R. § 151.25(a), (j), (k). While the Coast Guard
thoroughly details what operations should be recorded in an
Oil Record Book, id. § 151.25(d)–(g), its regulations neither
define “maintenance” nor explain what it means to
6
This appeal does not involve deference to the Coast Guard’s
interpretation of APPS or its own regulations, so we use “every tool at
[our] disposal to determine the best reading” of the regulation to resolve
“ambiguity.” Loper Bright Enters. v. Raimondo, 144 S. Ct. 2244, 2266
(2024); cf. Auer v. Robbins, 519 U.S. 452, 457 (1997) (requiring judicial
deference to agencies’ interpretations of their own regulations).
18 USA V. KOROTKIY
“maintain” or be “responsible for the maintenance of such
[a] record.” Section 151.25’s authorizing statute, APPS, is
of little help. It too does not define “maintenance,” although
it uses the term “maintain” fairly regularly in other
provisions. See, e.g., 33 U.S.C. §§ 1903(c)(4)(A)(i),
1905(d)(1). And MARPOL does not appear to invoke the
term “maintain” at all. See, e.g., MARPOL Annex I, Reg.
17.6; Annex I, Appendix III.
Absent a statutory definition, we follow the Supreme
Court’s guidance and consider § 151.25’s ordinary meaning
by, in part, dusting off our dictionaries. See Garland v.
Cargill,144 S. Ct. 1613, 1620 (2024) (determining the
meaning of a statutory term with a dictionary); Esquivel-
Quintana v. Sessions, 581 U.S. 385, 391–92 (2017)
(assessing a term’s “everyday understanding” by
considering competing dictionary definitions). Since the
Coast Guard first promulgated § 151.25’s “maintenance”
requirement, 7 the transitive verb “maintain” has meant “to
keep in an existing state (as of repair, efficiency, or validity):
preserve from failure or decline.” Maintain, Webster’s New
Collegiate Dictionary 693 (1977); see also Maintain,
Webster’s New International Dictionary of the English
Language 1484 (1959) (“To hold or keep in any particular
state or condition, esp. in a state of efficiency or validity.”).
That’s no less true today, as the Ionia and Vastardis courts
determined. See Maintain, Merriam-Webster Dictionary
749 (2020); Ionia, 555 F.3d at 309; Vastardis, 19 F.4th at
583 n.40. The noun “maintenance” has a similar valence. It
7
Pollution Prevention; Implementation of Outstanding MARPOL 73/78
Provisions, 48 Fed. Reg. 45704 (Oct. 6, 1983) (“The requirement for
maintaining and submitting an Oil Record Book is an existing
requirement.”).
USA V. KOROTKIY 19
is defined as “the act of maintaining” or “the upkeep of
property or equipment.” Maintenance, Merriam-Webster’s
New Collegiate Dictionary 693 (1977); Maintenance,
Merriam-Webster Dictionary 749 (2020). As a transitive
verb, to maintain thus requires a direct object to indicate
what the verb acts upon. And, here, maintaining something
involves keeping it in a state of repair, efficiency, and/or
validity.
These definitions are helpful, but they arguably
introduce some ambiguities. As the government points out,
a definition of “maintain” that incorporates preserving a state
of “validity” would appear to largely resolve this suit. To
maintain “validity” implies that the record in the Oil Record
Book must be kept correctly or otherwise relevantly,
accurately, and meaningfully, in addition to any other duties
to preserve its physical state. But Korotkiy retorts that the
dictionary definitions of “maintenance” and “maintain” also
suggest obligations distinct from and independent of
“validity.” To maintain something in a state of “repair,” for
example, implies that it is liable to break or decay absent
intervention. That definition, which Korotkiy favors,
focuses on the physical condition of the object and its
material preservation. To him, “maintaining” the record in
an Oil Record Book exclusively means keeping it in good
condition. And while neither party addresses it, “efficiency”
feels like a different beast entirely, pulling in shades of
productivity and the minimization of waste. Speaking
charitably, it seems that the dictionary definition gets us
close to but not quite over the finish line.
This is why context, common sense, and usage matter:
“[a]fter all, the meaning of a word depends on the
circumstances in which it is used.” Biden v. Nebraska, 143
S. Ct. 2355, 2378 (2023) (Barrett, J., concurring); King v. St.
20 USA V. KOROTKIY
Vincent’s Hosp., 502 U.S. 215, 221 (1991) (“[W]e do
nothing more, of course, than follow the cardinal rule that a
statute is to be read as a whole, since the meaning of statutory
language, plain or not, depends on context.” (citations
omitted)). Take, for instance, “how we use the word
[maintain] in everyday parlance.” Mohamad v. Palestinian
Authority, 566 U.S. 449, 554 (2012). For an avid gardener,
“maintaining” rosebushes means keeping them healthy and
ready to bloom. For an accountant, “maintaining” a
business’s general journal of financial transactions means
keeping track of all in-flows and out-flows of funds,
ensuring that those records are accurate, and keeping it up-
to-date, so that others can verify its data. And for a
mechanic, “maintaining” a truck means keeping it running
(often at a surprisingly high price). In each case,
“maintenance” entails a dash of putting in the work to keep
something up. But that “maintenance” is often tailored to
the type of object being maintained. See Food & Drug
Admin. v. Brown & Williamson Tobacco Corp., 529 U.S.
120, 132 (2000) (“The meaning—or ambiguity—of certain
words or phrases may only become evident when placed in
context.”). For a rosebush, it involves physical preservation.
For a financial-transactions journal, it involves substantive
validity. And for a car, it involves efficiency.
Applying those concepts here, we agree with the Ionia
court: “[i]n the context of a regulation imposing record-
keeping requirements,” like § 151.25, “the duty to
‘maintain’ plainly means a duty to maintain a reasonably
complete and accurate record.” 555 F.3d at 309; see also
Vastardis, 19 F.4th at 583 (“The word ‘maintain’ in this
context requires that the records be substantively accurate.”).
That makes sense. Section 151.25 regulates a ship’s
recordkeeping, requiring that entries be recorded in the Oil
USA V. KOROTKIY 21
Record Book “on each occasion” that certain operations take
place, like “[b]allasting or cleaning” fuel oil tanks,
discharging “bilge water that has accumulated in machinery
spaces,” or discharging “overboard of platform machinery
space bilge water.” id. See generally 33 C.F.R. § 151.25(d)–
(g). This recordkeeping is also mandatory. Id. §151.25(h)
(“[Each operation] shall be fully recorded without delay in
the Oil Record Book so that all the entries in the book
appropriate to that operation are completed.”). Unlike truck
maintenance (which means keeping it running) or rosebush
maintenance (which means keeping it alive), record
maintenance means keeping the record accurate and
useful—just like maintaining a financial-transactions
journal. Thus, § 151.25’s “maintenance” requirement
clearly imposes an obligation on shipping vessels to keep the
records in their Oil Record Books accurate, or at least not
knowingly inaccurate, while in U.S waters. See Jho, 534
F.3d at 403. It does not, as Korotkiy would have it, entail
mere physical preservation alone.
Our dissenting colleague does not see things the same
way. Like Korotkiy, the dissent concedes that a dictionary
definition of “maintain” involves keeping the record in a
state of validity. Dissent at 44. But it tosses overboard that
troublesome part of the definition as merely one “exemplar,”
before creating its own custom definition based on a
“survey” of multiple dictionaries drawn from a broad
assortment of years. Dissent at 44–46. It cites no precedent
or practice to justify its approach or such an exclusion. Next,
the dissent dismisses out-of-hand our use of everyday
examples to derive a common-sense meaning for the word
“maintain,” despite that being a decades-long practice of
both the Supreme Court and our own. See, e.g., Mohamad,
566 U.S. at 454 (deriving the “ordinary” and “common
22 USA V. KOROTKIY
parlance” definition of “individual” by listing multiple
everyday examples of its usage); County of Maui v. Hawaii
Wildlife Fund, 590 U.S. 165, 186 (2020) (using
commonsense examples of a term to conclude that “[t]here
is nothing unnatural about [our] construction”); Flores-
Figueroa v. United States, 556 U.S. 646, 650–51 (2009)
(determining how “listeners in most contexts” would
understand an adverb’s meaning by offering everyday
examples of its use); Joffe v. Google, Inc., 746 F.3d 920, 928
(9th Cir. 2013) (using examples to understand the “common
parlance” meaning of a term). In lieu of such analysis, the
dissent then concludes, without much explanation of its own,
that the “ordinary meaning of ‘maintain’” means
“preservation” alone because “retained, available for
inspection, and in good enough condition” is a “natural fit in
the record-book context[.]” Dissent at 45.
That reading is perplexing. Most folks would scratch
their heads if someone promised to maintain a record for
them, and then delivered a blank book of records in “good
enough condition” for them to turn its empty pages. Dissent
at 45. They would think it was a bad joke. They would, in
fact, feel like that person’s maintenance “d[id] no good.”
Dissent at 45. To be sure, maintenance may well mean that
the Book with the records in them also needs to be in good
enough physical condition to check it. But “maintenance”
of a record cannot, as the dissent would have it, entail mere
physical preservation alone and without anything more.
Otherwise, there is nothing to check.
As the dissent admits, Dissent at 60, every other circuit
judge to have interpreted § 151.25’s “maintenance”
requirement sees it our way: “[n]o reasonable reader of this
regulation could conclude, given the context, that the
regulation merely imposes an obligation to preserve the [Oil
USA V. KOROTKIY 23
Record Book] in its existing state.” Ionia, 555 F.3d at 309;
Vastardis, 19 F.4th at 583 (“[Section 151.25’s]
recordkeeping provision would make little sense if . . . it
required that ships only physically possess an Oil Record
Book in any state of completeness or accuracy.”). This
certainly buttresses our conclusion that our reading is the
“natural” one.
ii.
Reading “maintain” to exclusively entail “preservation”
is also inconsistent with § 151.25’s other provisions. See
F.T.C. v. Mandel Bros., Inc., 359 U.S. 385, 389 (1959)
(noting that “our task is to fit, if possible, all parts into an
harmonious whole” when interpreting statutes or
regulations). Throughout its Oil Record Book regulations,
the Coast Guard drew a distinction between how the Oil
Record Book is “kept” and how the record of bilge-water
operations is “maintained.” Take the following provisions:
(i) The Oil Record Book shall be kept in
such a place as to be readily available for
inspection at all reasonable times and shall be
kept on board the ship.
(j) The master or other person having
charge of a ship required to keep an Oil
Record Book shall be responsible for the
maintenance of such record.
33 C.F.R. § 151.25(i), (j). The Coast Guard clearly intended
for different obligations to attach to “keeping” the Oil
Record Book and “maintaining” the “record” within the
Book. See Williams v. Taylor, 529 U.S. 362, 404 (2000)
(opinion of O’Connor, J.) (advising courts to “give effect, if
possible, to every clause and word of [the] statute”))
24 USA V. KOROTKIY
(quoting United States v. Menasche, 348 U.S. 528, 538–39
(1955)). The text of the regulation makes this plain. On the
one hand, the Coast Guard specified that the Book must be
“kept” on board—e.g., that it be physically preserved and
stored on board, such that it can be inspected. 33 C.F.R.
§ 151.25(i). On the other hand, the “master or other person
having charge of the ship” required to keep the Book “shall
be responsible for the maintenance of such record.” Id.
§ 151.25(j). Crucially, the object that is to be maintained,
here, is the record; it is not just the physical Oil Record
Book. Accordingly, the duty imposed by the term
“maintenance” attaches to more than just keeping the
physical Oil Record Book; it requires maintaining the
“record” itself—e.g., keeping that record substantively
accurate (or at least not knowingly inaccurate).
The dictionary, common sense, and everyday usage
reflect the distinct obligations imposed by the terms “keep”
and “maintain” in the Coast Guard’s regulations. The
primary definition of “keep” in Merriam Webster states that
“keep” is a transitive verb, meaning “to retain in one’s
possession or power,” “to refrain from granting, giving, or
allowing,” or “to have in control.” Keep, Meriam-Webster’s
Dictionary (2024), https://www.merriam-
webster.com/dictionary/keep; see also Keep, Meriam-
Webster’s Dictionary 631 (1977) (“4a: to retain in one’s
possession or power . . . b: to refrain from granting, giving,
or allowing . . . c: to have in control”). This definition is a
natural fit, here. “Keep” clearly imposes a duty on ships to
retain or have in its control a physical Oil Record Book.
After all, ships that are required to “keep” the Book must
keep it in an accessible place, on board, so that it may be
physically inspected. This obligation, of course, stands in
direct contrast to a ship master’s additional obligation to
USA V. KOROTKIY 25
“maintain” a substantively accurate “record” that is logged
in that physically kept Book.
Korotkiy and the dissent, however, would read
“maintain” and “keep” as synonymous, concluding that both
terms only impose an obligation to “physically preserve” an
Oil Record Book. To get there, the dissent decides that it
does not like the canon of consistent usage or, its corollary,
that distinct words have distinct meanings, and it does not
believe that drafters of statutes mean what they write. Those
issues aside, such an interpretation effectively collapses both
regulatory terms and their accompanying obligations into
one requirement. That approach contravenes our
longstanding obligation to “interpret [a] statute to give effect
to all of its parts.” Estate of Magnin v. Comm’r, 184 F.3d
1074, 1077 (9th Cir. 1999); Williams, 529 U.S. at 404
(opinion of O’Connor, J.). It also strikes any independent
obligations associated with “maintenance” of the “record”
from the statute—as opposed to a duty to “keep” the Oil
Record Book—thus undermining the Coast Guard’s and
Congress’s clear intent. 8 See Boise Cascade Corp. v. EPA,
942 F.2d 1427, 1432 (9th Cir. 1991) (noting that a failure to
“distinguish” between related terms would render one of
those terms superfluous in a statute).
8
The dissent’s invocation of other federal laws proves the point. In the
provisions it cites, Congress distinguished between “failing to maintain
an official logbook” and “failing to make an entry in the vessel’s official
logbook.” 46 U.S.C. § 11303(a), (b). In each, the “official logbook” is
the direct object of the obligations to “maintain” and “make an entry in.”
By contrast, 33 C.F.R. § 151.25(j) draws a distinction between that
which is “kept” (the Oil Record Book) and that which is “maintained”
(the record in the Oil Record Book). At base, both the statute and the
regulation are best enforced as they are written.
26 USA V. KOROTKIY
Our construction of “maintenance” is also consistent
with the term’s “place in the overall statutory scheme.” See
Brown & Williamson, 529 U.S. at 133 (quoting Davis v.
Mich. Dep’t of Treasury, 489 U.S. 803, 809 (1989)); cf.
Fischer v. United States, 144 S. Ct. 2176, 2183 (2024)
(“[W]e consider both ‘the specific context’ in which
[§ 151.25] appears ‘and the broader context of the
[regulation] as a whole.’” (quoting Robinson v. Shell Oil Co.,
519 U.S. 337, 341 (1997))). 9 As noted above, APPS—which
is § 151.25’s authorizing statute—does not define the word
“maintain.” But it uses the term at least twice. Section 1903,
for example, imposes a duty on U.S. ships “to maintain
refuse record books and shipboard management plans.” 33
U.S.C. § 1903(c)(4)(A)(i). And in § 1905, Congress
directed the Coast Guard to “maintain a list of ports or
terminals with respect to which a certificate issued under this
section—(A) is in effect; or (B) has been revoked or
suspended.” Id. § 1905(d)(1). Like § 151.25, neither of
those statutory provisions would make much sense if
“maintain” merely meant to “preserve” or “keep.” That
conclusion rings particularly true for § 1905(d)(1)’s
maintenance requirement, which obligates the Coast Guard
not just to have a list of ports, but to keep that list accurate
by stating which ports are certified and which are not, and to
make the list “available to the general public.” See id.
9
The dissent begins with a citation to Pugin v. Garland, 599 U.S. 600,
605 n.1 (2023), attributing to it the direction that “the most rudimentary
rule of statutory construction,” is “that courts do not interpret statutes in
isolation, but in the context of the corpus juris of which they are a part.”
Dissent at 38. But Pugin is addressing an issue of statutory interpretation
entirely different from the issue here.
USA V. KOROTKIY 27
§ 1905(d)(1)–(2). 10 Thus, to keep § 151.25’s “maintenance”
requirement consistent with APPS, it must impose an
obligation on ships to maintain accurate, or at least not
knowingly inaccurate, Oil Record Books while in the United
States’ territorial waters.
Contrary to the dissent’s assertions otherwise, our
reading of § 151.25’s “maintenance” requirement does not
conflict with MARPOL’s plain terms. The dissent invokes
our decision in Hopson v. Kreps to explain why it relies on
MARPOL’s provisions to generate its interpretation of
10
The meaning of “maintain” in § 1905(d)(1)—and the dissent’s failure
to engage with it—highlights the impossibility of the dissent’s proffered
definition of maintain as the “preservation of something’s condition,”
Dissent at 45, or to “‘preserve’ or ‘keep in good condition,’” id. at 49. If
the dissent has it right, Congress instructed the Coast Guard in § 1905(d)
to “[preserve or keep in good condition] a list of ports or terminals”
whose certificates are either (A) “in effect; or (B) . . . revoked or
suspended[,]” and to “make the list . . . available to the general public.”
33 U.S.C. § 1905(d). If “maintain a list” means only to keep it in good
condition, the Coast Guard would satisfy its statutory mandate by
making one list one time, framing it in bulletproof glass, and displaying
it in a public place. Such a reading strains credulity. For the word
“maintain” to do any work in the statute, it must be viewed in conjunction
with that which is to be maintained (like any transitive verb would be).
Here, to maintain a “list” imposes an ongoing obligation to accurately
record those things that Congress instructs the Coast Guard to include.
The same logic applies to § 151.25. Again, that section provides that
the “master or other person having charge of a ship required to keep an
Oil Record Book shall be responsible for the maintenance of such
record.” 33 C.F.R. § 151.25(j). MARPOL mandates that certain
operations “shall be fully recorded without delay in the Oil Record
Book.” Reg. 17, para. 2. Section 151.25(d)–(f) implements MARPOL’s
requirements. So what does it mean to “maintain[] . . . such record”?
C.F.R. § 151.25(j). Similar to “maintain a list” in the context of 33
U.S.C. § 1905(d), “maintain a record” in § 151.25(j) means to record
those things which MARPOL instructs vessels to record.
28 USA V. KOROTKIY
§ 151.25, but it elides Hopsons’s key holdings: “The issue in
any legal action concerning a statute implementing a treaty
is the intended meaning of the terms of the statute.” 622 F.2d
1375, 1380 (9th Cir. 1980). “[T]reaties,” like MARPOL,
“are relevant to the interpretation of congressional
enactments only to the extent that Congress makes them
relevant.” Id. But that does not make treaties conclusive,
particularly if their terms contradict the plain meaning of
APPS or the Coast Guard’s regulations. Indeed, as we held
in Hopson, “[t]he treaty has no independent significance in
resolving” issues of statutory or regulatory interpretation,
“but is relevant insofar as it may aid in the proper
construction of the statute.” Id.
Here, MARPOL does not use the term “maintain” with
respect to Oil Record Books. Instead, under Regulation 17,
MARPOL details what should be included in an Oil Record
Book. See Annex I, Reg. 17. In its implementing
regulations, the Coast Guard faithfully mirrored many of
those recordkeeping requirements. See 33 C.F.R. § 151.25.
Separately, under Regulation 17.6, MARPOL requires that
an Oil Record Book be “preserved for a period of three years
after the last entry has been made.” Annex I, Reg. 17.6; see
also Appendix III. For its part, the Coast Guard provided
under § 151.25(k) that “[t]he Oil Record Book for a U.S.
ship shall be maintained on board for not less than three
years.” Korotkiy and the dissent seize on Regulation 17.6
and § 151.25(k) to support their positions, asserting that
Regulation 17.6’s three-year “preservation” requirement is
identical to and implemented by § 151.25(k)’s three-year
“maintenance” requirement. In their view, that means we
should interpret the latter to be coextensive with the former
in every provision of § 151.25, and thus conclude that
USA V. KOROTKIY 29
“maintain” and “preserve” have the same meaning
throughout the Coast Guard’s regulations.
As we reasoned in Hopson, we “have been persuaded as
to the proper interpretation of” the Coast Guard’s
implementing regulations, and thus need not be overly
troubled “that the reading given the statute was [allegedly]
inconsistent with the intent of the parties to the treaty.” 11
622 F.2d at 1380 (citing United States v. Navarre, 173 U.S.
77 (1899); Botiller v. Dominguez, 130 U.S. 238 (1889)). We
will not, as the dissent would have it, use MARPOL to trump
that plain meaning. Restatement (Third) of Foreign
Relations Law § 111 comment h (“[I]t is the implementing
legislation, rather than the agreement itself, that is given
effect as law in the United States.”). But we also disagree
with Korotkiy’s and the dissent’s reading of Regulation 17.6
and § 151.25(k). “[S]nipping words from one subsection
and grafting them onto another violates our normal
interpretive principles.” Fischer, 144 S. Ct. at 2196 (Barrett,
J., dissenting); Dean v. United States, 556 U.S. 568, 572
(2009) (“[W]e ordinarily resist reading words or elements
into a statute that do not appear on its face.” (quoting Bates
v. United States, 522 U.S. 23, 29 (1997))). And, despite both
provisions referring to a three-year timeframe, the plain
language of each imposes two very different obligations.
Regulation 17.6’s “preservation” requirement directs a ship
to keep an Oil Record Book for a three-year period
beginning on the date of the book’s “last entry”—effectively
requiring ships to keep an archived version of their filled-out
11
See also Safety Nat. Cas. Corp. v. Certain Underwriters At Lloyds,
London, 587 F.3d 714, 726 (“The Ninth Circuit observed . . . that an
implementing statute should be given its plain meaning even if that
interpretation conflicts with the treaty it implements.”).
30 USA V. KOROTKIY
books on board. By contrast, § 151.25(k) does not require
ships to keep old volumes of their Oil Record Book aboard
for three years from the date of their last entry. Rather,
§ 151.25(k) directs ships to “maintain” an Oil Record Book
for at least three years—by its plain terms, effectively
requiring ships to maintain an active Oil Record Book, with
three years’ worth of entries. Thus, the duty to “preserve”
and the duty to “maintain” are distinct, and MARPOL’s
archiving requirement has little bearing on the Coast Guard’s
requirement that ships maintain substantively accurate
records of bilge-water operations. Or, put another way,
MARPOL’s invocation of “preservation” does not limit or
otherwise define the Coast Guard’s use of “maintenance.” 12
iii.
As the Vastardis, Jho, Ionia, and Hornof courts
reasoned, our interpretation of § 151.25’s “maintenance”
requirement is also consistent with APPS’s and MARPOL’s
legislative purpose. See Abramski v. United States, 573 U.S.
169, 179 (2014) (noting that courts must not interpret
regulatory language “in a vacuum, but with reference to the
statutory context, ‘structure, history, and purpose’” (quoting
Maracich v. Spears, 570 U.S. 48, 76 (2013))); see also
Fischer, 144 S. Ct. at 2192 (Jackson, J., concurring)
12
The dissent raises hypothetical challenges related to enforcement, none
of which have much relevance here. We would also pose our own. If,
as the dissent has it, an Oil Record Book shall be “[kept] on board for
not less than three years,” 33 C.F.R. § 151.25(k), would a “newly
chartered ship immediately stand in violation” of the regulation for not
having one? Likewise, under a reading of § 151.25 that only imposes a
duty to preserve an Oil Record Book, will ship masters face criminal
liability if their books are stained, their bindings loose, or a page ripped
out? What if a coffee ring obscures an entry? What is “good enough
condition,” Dissent at 45, for a ship’s master to avoid prison time?
USA V. KOROTKIY 31
(“Discerning the rule’s purpose is critical when a court is
called upon to interpret the provision.”). When Congress
enacted APPS to implement MARPOL, it broadly directed
the Coast Guard to enforce the Convention by “prescrib[ing]
any necessary or desired regulations to carry out” its
provisions. See 33 U.S.C. § 1903(a), (c). And Congress
gave those implementing regulations teeth, making it a
felony for a person to knowingly violate “the MARPOL
Protocol,” APPS, or the Coast Guard’s regulations. Id.
§ 1908(a).
That grant of regulatory authority under APPS—coupled
with Congress’s explicit direction that violations of those
protocols be federally prosecuted—was not “accomplished
through ‘modest words,’ ‘vague terms,’ or ‘subtle
device[s].’” West Virginia v. EPA, 597 U.S. 697, 723 (2022)
(quoting Whitman v. Am. Trucking Ass’ns., Inc., 531 U.S.
457, 468 (2001)). It was, instead, direct; and Congress
explicitly used plain terms like “necessary or desire,” 33
U.S.C. § 1903(c)(1), to enlarge “agency discretion,” see
Arlington v. FCC, 569 U.S. 290, 296 (2013).
Of course, Congress did not grant boundless authority to
the Coast Guard. It imposed two limitations on the Coast
Guard’s regulations. First, any actions taken by the Coast
Guard under APPS “shall be taken in accordance with
international law.” 33 U.S.C. § 1912. And second, the
Coast Guard’s recordkeeping requirements for foreign-
flagged vessels shall apply only when those ships are “in the
navigable waters of the United States.” 33 U.S.C.
§ 1902(a)(2).
Here, prosecution under § 151.25 is consistent with
Congress’s express guidance and limitations. See Hornof,
107 F.4th at 58, 59 n.14. At its core, MARPOL seeks to
32 USA V. KOROTKIY
prevent oceanic pollution. Art. 1(1), 1340 U.N.T.S. at 184;
Vastardis, 19 F.4th at 577. To achieve that end, MARPOL
and APPS afford flag and port states concurrent jurisdiction
to enforce the Convention’s obligations. Jho, 534 F.3d at
403 n.3. MARPOL directs flag states, consistent with the
longstanding “law of the flag” doctrine, to prosecute high-
seas misconduct committed by their ships. Id. at 405–06.
And MARPOL empowers port states in their “key role [of]
detecting (if not prosecuting) such misconduct,” and
reporting that misconduct back to flag states. Vastardis, 19
F.4th at 584, 585; see also MARPOL art. 6(2), 1340
U.N.T.S. at 187. Thus, MARPOL contemplates that flag and
port states will work together, and the Convention “depends
on member states being able to report violations to flag
states.” Ionia, 555 F.3d at 308. That purpose would not be
served by a regulation that merely requires shipping vessels
to preserve and present Oil Record Books in any state of
accuracy or validity to U.S. Coast Guard officials.
The Vastardis court said it well: “the ability of port states
to refer violations to flag states hinges on the reliability of
foreign ships’ Oil Record Books, which port officers like the
Coast Guard review in conducting inspections.” 19 F.4th at
584. An obligation to provide an accurate Oil Record Book
thus helps the U.S. Coast Guard determine if there have been
unlawful high seas bilge-water discharges. By contrast, “[i]f
foreign ships were free to maintain falsified Oil Record
Books in U.S. ports, then ‘the Coast Guard’s ability to
conduct investigations against foreign-flagged vessels
would be severely hindered.’” Id. at 584–85 (quoting Jho,
534 F.3d at 403). Under Korotkiy’s reading of the
regulation, a ship’s crew would be compliant with
§ 151.25’s implementation of MARPOL if they provided
Coast Guard inspectors with (1) a fraudulent Oil Record
USA V. KOROTKIY 33
Book; or, as here, (2) an inaccurate, fraudulent, and
incomplete Oil Record Book. In each scenario, these books
might be well-kept—or even “preserved,” to use Korotkiy’s
language. But they would be useless in the effort to halt
oceanic pollution or deter repeat infringers. 13 An opinion
blessing such recordkeeping would, therefore, directly
undermine MARPOL and APPS, impeding a port state’s
ability to detect wrongdoing, refer that wrongdoing to a flag
state, and comply with the Convention’s provisions. 14
13
As ever, we do our best to avoid “statutory interpretations which would
produce absurd results.” Ma v. Ashcroft, 361 F.3d 553, 558 (9th Cir.
2004).
14
The dissent notes that the circuit courts to address this issue dealt with
Coast Guard investigations prompted not by a recordkeeping
discrepancy but because of a whistleblower. Dissent at 63–66. It
concludes that accurate recordkeeping must not be very important, then,
when enforcing MARPOL or APPS. Dissent at 64–65. But the dissent
undermines its own point when it asserts that “[i]n order ‘to verify
whether or not the ship has discharged a harmful substance in violation
of the MARPOL Protocol,’ [33 U.S.C. § 1907(c)(2)(A)], the Coast
Guard may examine the ship and its ‘oil content meter continuous
records,’ and may thereby discern a discrepancy with Oil Record Book
entries. 33 C.F.R. 151.23.” Dissent at 63–64. How any discrepancy
would be discerned without a substantively accurate record is unclear.
The dissent insists that a “substantive accuracy” determination can be
established through requiring the “Master of the ship” to “certify that the
copy [of any entry in the Oil Record Book] is a true copy of such entry.”
Dissent at 66 n.8 (quoting 33 C.F.R. § 151.23(c)). And, because this
mechanism exists, the dissent asserts that “maintain” does not impose a
substantive accuracy requirement. Id. But the dissent isolates the
sentence outlining the Master of the ship’s certification process from the
preceding sentence making up subsection (c): “[a]n inspection under this
section may include an examination of the Oil Record Book, the oil
content meter continuous records, and a general examination of the ship.
A copy of any entry in the Oil Record Book may be made and the Master
34 USA V. KOROTKIY
Moreover, our reading—which permits prosecution for
maintenance of a knowingly inaccurate Oil Record Book in
U.S. territorial waters—does not contravene international-
law restrictions on port-state jurisdiction over high-seas
misconduct. “[N]othing in [MARPOL] or the APPS . . .
provides express or implied consent to surrender the United
States’ concurrent jurisdiction over violations of the APPS
occurring on foreign ships while docked at U.S. ports.” See
United States v. Pena, 684 F.3d 1137, 1147 (11th Cir. 2012);
see also Mali v. Keeper of the Common Jail, 120 U.S. 1, 11
(1887) (“It is part of the law of civilized nations that, when
a merchant vessel of one country enters the ports of another
for the purposes of trade, it subjects itself to the law of the
place to which it goes.”); Cunard S.S. Co. v. Mellon, 262
U.S. 100, 124 (1923) (“The jurisdiction of the nation within
its own territory is necessarily exclusive and absolute.”).
And the APPS and its accompanying regulations do no more
than impose “criminal liability for foreign vessels and
personnel only for those substantive violations of MARPOL
that occur in U.S. ports or waters.” Abrogar, 459 F.3d at
435; Jho, 534 F.3d at 405. That is what we have here.
of the ship may be required to certify that the copy is a true copy of such
entry.” 33 C.F.R. § 151.23(c) (emphasis added). For what purpose other
than inspecting whether accurate compliance with the record
requirements of 33 C.F.R. § 151.23(d), (e), and (f), would this
“examination of the Oil Record book” fulfill? Id. And, additionally, this
evidence was relevant to this case. Regardless, not only does the dissent
feel entitled to narrow the available evidence on which the Coast Guard
may rely (apparently, they already have enough, Dissent at 65–66), but
its analysis rests on a classic error of sampling bias. Just because these
whistleblower cases saw appellate review does not mean that they
represent all, or even many, of the routine Coast Guard enforcement
actions related to Oil Record Book violations. We decline to implement
such a rule in such a vacuum of evidence.
USA V. KOROTKIY 35
Korotkiy’s indictment made it clear that he caused the failure
to maintain the record in the MV Donald’s Oil Record Book
“[o]n or about May 31, 2022, in the port of San Diego, and
within the Southern District of California.” See Jho, 534
F.3d at 403 (“[W]e read the indictment to allege eight
knowing failures to maintain an oil record book that each
occurred entirely within the ports of the United States.”).
Because Korotkiy does not challenge the sufficiency of the
evidence, we merely consider whether the conduct alleged
in the indictment is unlawful. See, e.g., Boyce Motor Lines
v. United States, 342 U.S. 337, 343 n.16 (1952). At base,
Korotkiy chose to aid and abet an unlawful act while in U.S.
waters, opening himself to prosecution here.
iv.
Finally, we reject Korotkiy’s request that we apply the
rule of lenity in this case to construe § 151.25 in his favor.
Under that rule, “[i]f a federal criminal statute is grievously
ambiguous, then the statute should be interpreted in the
criminal defendant’s favor.” Wooden v. United States, 595
U.S. 360, 377 (2022) (Kavanaugh, J., concurring). But that
rule applies “‘only if, after seizing everything from which
aid can be derived,’ the Court ‘can make no more than a
guess as to what Congress intended.’” Ocasio v. United
States, 578 U.S. 282, 295 n.8 (2016) (quoting Muscarello v.
United States, 524 U.S. 125, 138–39 (1998)). As
demonstrated above, § 151.25 is not “grievously
ambiguous.” Not even close. Its plain terms unambiguously
impose a duty to maintain accurate (or at least not knowingly
inaccurate) Oil Record Books while in the territorial waters
of the United States. Accordingly, like so many
“interpretive conundrums,” the supposed ambiguities in
§ 151.25 can “be solved” by applying the familiar tools in
36 USA V. KOROTKIY
our “legal toolkit,” Kisor, 558 U.S. at 575, and we need not
resort to the rule of lenity, Ocasio, 578 U.S. at 295 n.8.
C.
In the alternative, Korotkiy asks us to reverse the district
court’s decision because he is not a “shipmaster” and, thus,
not bound by § 151.25’s maintenance requirement. In
support, he invokes the Fifth Circuit’s decision in United
States v. Fafalios, which held that, “under the plain language
of the regulations,” only the master of a ship can be charged
with directly failing to maintain a substantively accurate Oil
Record Book. 817 F.3d 155, 159 (5th Cir. 2016)
(considering 33 C.F.R. § 151.25(j) (“The master or other
person having charge of a ship required to keep an Oil
Record Book shall be responsible for the maintenance of
such record.”)). That might be true, but that holding is
immaterial to this case. Here, Korotkiy was charged with
“caus[ing] the failure to maintain an Oil Record Book” under
both § 151.25 and the federal aiding-and-abetting statute, 18
U.S.C. § 2(b). Courts, including the Fafalios court,
uniformly agree that “chief engineers can be prosecuted,” as
Korotkiy was, for “aiding and abetting the failure to maintain
an accurate record book.” 817 F.3d at 162; Vastardis, 19
F.4th at 589 (“[The defendant] aided the ship’s presentation
of a falsified Oil Record Book to U.S. officials and deceived
them during an authorized inspection in an attempt to
conceal the improper discharges.”); Jho, 534 F.3d at 402 n.1
(permitting “aiding and abetting the oil record book
USA V. KOROTKIY 37
offenses” to proceed). 15 Korotkiy offers no reason for us to
hold otherwise.
IV.
In sum, the Ionia, Jho, Vastardis, and Hornof courts have
all considered and rejected arguments resembling
Korotkiy’s, uniformly holding that 33 C.F.R. § 151.25
imposes a duty upon foreign-flagged vessels to maintain
accurate (or at least not knowingly inaccurate) Oil Record
Books while in U.S. territorial waters. Korotkiy does not
offer a “compelling reason” to chart a separate course and
“create a circuit split.” Padilla-Ramirez v. Bible, 882 F.3d
826, 836 (9th Cir. 2017). Given § 151.25’s plain language
and the law’s purpose, we decline his invitation to do so and
affirm the district court’s order.
AFFIRMED.
15
See also United States v. Oceanic Illsabe Ltd., 889 F.3d 178, 199 (4th
Cir. 2018) (“Viewed in the proper light, Chief Ignacio and Samson aided
and abetted Master Tabacaru’s failure to maintain an accurate Oil Record
Book.”); United States v. Empire Bulkers Ltd., 583 F. Supp. 3d 746, 753
(E.D. La. 2022) (“[The defendant’s] status as chief engineer rather than
master does not require dismissal of [the aiding and abetting count].”);
United States v. MST Mineralien Schiffarht Spedition Und Transport
GmbH, 2018 WL 522764, at *4 (D. Me. Jan. 22, 2018) (“[The
government] can also bring a criminal prosecution against a chief
engineer under an aiding and abetting theory.”); United States v. DSD
Shipping, AS, 2016 WL 1369451, at *3 (S.D. Ala. Apr. 6, 2016) (“[T]he
Court finds there was sufficient evidence from which a jury could find
that the Defendants aided and abetted the failure to maintain record
books in violation of 18 U.S.C. § 2.”).
38 USA V. KOROTKIY
N.R. SMITH, Circuit Judge, dissenting:
The MARPOL treaty, the Act to Prevent Pollution from
Ships (APPS), 33 U.S.C. §§ 1901–1913, and their
implementing regulations all require that MARPOL
violations occurring in international waters be referred to a
vessel’s flag nation for enforcement. Yet here, my
colleagues authorize the domestic prosecution of
extraterritorial recordkeeping violations by pressing into
service a purported duty to accurately “maintain”
government-owned record books and so permit their
inspection. Their decision strains the ordinary meaning of
the authorities they interpret and ignores “the most
rudimentary rule of statutory construction,” that is, “that
courts do not interpret statutes in isolation, but in the context
of the corpus juris of which they are a part.” Pugin v.
Garland, 599 U.S. 600, 605 n.1 (2023) (cleaned up). To be
sure, my colleagues follow in a wide wake, as several of our
sister circuits have likewise concluded that such domestic
prosecutions simply must be authorized. But because this
interpretation (like that of our sister circuits) is unmoored
from the ordinary meaning, structure, and purpose of the
regulation at issue, I cannot get on board.
I
The MARPOL Protocol addresses the “deliberate,
negligent or accidental release of oil and other harmful
substances from ships” through “cooperat[ion] in the
detection of violations and the enforcement of [the
Convention’s] provisions.” MARPOL pmbl. & art. 6(1),
1340 U.N.T.S. 61, 184, 187. In the United States, this
cooperative approach is implemented by APPS and by
regulations promulgated under its authority, at 33 C.F.R.
§§ 151.09–.29. Here, we must interpret section 151.25,
USA V. KOROTKIY 39
which implements MARPOL’s Oil Record Book
requirements.
A
As a convention addressing “the need to preserve the
human environment in general, and the marine environment
in particular,” MARPOL addresses conduct occurring in
both territorial and international waters. MARPOL pmbl.,
1340 U.N.T.S. at 185. The treaty therefore requires each
signatory to prohibit ships operating under its flag or control
from violating MARPOL, and to sanction those ships for a
violation “wherever the violation occurs.” MARPOL art.
4(1). In the United States, these requirements are carried out
in APPS, which applies “to a ship of United States registry
or nationality, or one operated under the authority of the
United States, wherever located,” and to other ships, as
relevant here, “while in the navigable waters of the United
States.” 33 U.S.C. § 1902(a)(1), (2). The regulations at
issue likewise apply to various ships that are “operated under
the authority of the United States” or that are “operated
under the authority of [another] country . . . while in the
navigable waters of the United States, or while at a port or
terminal under the jurisdiction of the United States.” 33
C.F.R. § 151.09(a).
Although signatories must enforce MARPOL within
their respective jurisdictions, and may directly sanction
violations occurring therein, they must otherwise “furnish
. . . evidence, if any, that [a] ship has discharged harmful
substances . . . in violation of” MARPOL to the government
of the ship’s flag state. MARPOL arts. 4(2), 6(2) & 6(3),
1340 U.N.T.S. at 186–87. In turn, that government must
investigate and initiate enforcement proceedings, if
appropriate. MARPOL art. 6(4), 1340 U.N.T.S. at 187. To
40 USA V. KOROTKIY
help detect violations and refer such violations for
enforcement, ships to which MARPOL applies are “subject
to inspection by officers appointed or authorized by” a
signatory while “in any port or off-shore terminal” of the
signatory. MARPOL art. 6(2), 1340 U.N.T.S. at 187. A
signatory may investigate MARPOL compliance on its own
initiative, or may act on another signatory’s request for
investigation, in which case it must report the results of its
investigation to the requesting signatory and to the ship’s
flag state “so that the appropriate action may be taken.”
MARPOL art. 6(5), 1340 U.N.T.S. at 187.
In the United States, federal law implements these
requirements. See 33 U.S.C. § 1907. Section 1907(c)
permits inspections under substantively identical terms as
MARPOL Article 6 and, “if an inspection . . . indicates that
a violation has occurred,” requires that the Department of
Homeland Security, “in coordination with the [Department]
of State, . . . take any additional action required by Article
6” of MARPOL.
B
The substantive legal requirements relevant in this case
concern the handling of oil and oily bilge water, along with
related recordkeeping. Even during normal operations,
some amount of oil-based products (which ships use or
transport) may be lost during (for example) loading and
unloading, transfer between cargo tanks, or tank cleaning.
Because of this, oil or oil residue may mix with water in a
ship’s bilge. MARPOL requires covered ships to use
filtering and discharge-monitoring equipment to ensure that
oil and oily mixtures are not discharged overboard. It also
requires covered ships to log various operations and events
in an Oil Record Book.
USA V. KOROTKIY 41
MARPOL’s anti-discharge provisions, as relevant here,
are found in Annex I, Regulations 4 and 15. These
provisions establish requirements and exceptions for the
maximum oil content of oily mixtures discharged into the
sea, the use of certain equipment, and the on-board retention
of oil residues that cannot be discharged in compliance with
MARPOL’s requirements. The requirements of Regulation
15 are enacted domestically in 33 C.F.R. § 151.10, while 33
C.F.R. § 151.11 enacts the first two provisions of Regulation
4 nearly word-for-word.
To address discharges that do occur, MARPOL Article 8
establishes a reporting scheme such that affected signatories
and the vessel’s flag nation may be notified, 1340 U.N.T.S.
at 188, and federal law requires incidents to be reported “in
the manner prescribed by Article 8,” 33 U.S.C. § 1906. The
particulars of the reporting scheme are set out in Protocol I
to the treaty, which 33 C.F.R. § 151.15 enacts with only
minor variation.
MARPOL’s Oil Record Book requirements are set out in
Annex I, Regulation 17. It requires that covered ships be
provided with an Oil Record Book, which must be used to
document operations involving oil products or tanks;
discharges of bilge water, oil, or oily mixtures; and failures
of oil filtering equipment, among others. Operations must
be “fully recorded without delay,” and record-book entries
must be signed, as must completed pages. The Oil Record
Book must be readily available for inspection on board the
ship and must be preserved for three years after completion.
Regulation 17 is given domestic effect by 33 C.F.R.
§ 151.25, which closely follows its structure and, in many
provisions, directly adopts its language.
42 USA V. KOROTKIY
C
While the Liberian-flagged MV Donald was in
international waters, Denys Korotkiy ordered discharges of
oily bilge water, then failed to log the discharges in the
Donald’s Oil Record Book. Because these acts occurred
outside the United States and the Donald is not a
domestically flagged vessel, MARPOL’s anti-discharge and
contemporaneous-recordkeeping provisions could not be the
basis of a domestic prosecution. However, because the
Donald’s Oil Record Book did not reflect its extraterritorial
dumping, the government charged Korotkiy with violating
33 C.F.R. § 151.25 by “knowingly fail[ing] and caus[ing]
the failure to maintain an Oil Record Book” while in the Port
of San Diego, where the Donald was inspected. Korotkiy
challenges his conviction under that charge.
The government’s prosecution of Korotkiy hinges on its
view that section 151.25’s mandate to “maintain” an Oil
Record Book “requires that [Oil Record Book] records be
substantively accurate” whenever a vessel is within United
States waters or at one of its ports. The government’s
interpretation of the regulation cannot be sustained under
normal modes of interpretation. I would therefore vacate
Korotkiy’s conviction under that charge.
II
We must interpret regulations consistently with the
statute they implement, see Decker v. Nw. Env’t Def. Ctr.,
568 U.S. 597, 609 (2013), and “[i]n discerning the meaning
of regulatory language, our task is to interpret the regulation
as a whole, in light of the overall statutory and regulatory
scheme,” Safari Club Int’l v. Haaland, 31 F.4th 1157, 1171
(9th Cir. 2022) (citation omitted). To accomplish this, we
turn to a familiar set of tools, as “[r]egulations are interpreted
USA V. KOROTKIY 43
according to the same rules as statutes.” United States v.
Shih, 73 F.4th 1077, 1093 (9th Cir. 2023) (citation omitted).
Thus, “our analysis must begin with the language of the
regulation,” Mountain Cmtys. for Fire Safety v. Elliot, 25
F.4th 667, 676 (9th Cir. 2022) (citation omitted), but “[o]ur
‘legal toolkit’ includes careful examination of ‘the . . .
structure, history, and purpose of a regulation’” as well,
Amazon.com, Inc. v. Comm’r, 934 F.3d 976, 984 (9th Cir.
2019) (quoting Kisor v. Wilkie, 588 U.S. 558, 575 (2019)).
Of course, where statutes and regulations give domestic
effect to a treaty, the treaty “may aid in the proper
construction of the statute[s]” and regulations implementing
it. Hopson v. Kreps, 622 F.2d 1375, 1380 (9th Cir. 1980).
That is especially true here. APPS directs the Secretary of
Homeland Security to “administer and enforce the
MARPOL Protocol” and to “prescribe any necessary or
desired regulations to carry out the provisions of the
MARPOL Protocol” and APPS. 33 U.S.C. § 1903(a), (c)(1).
To that end, APPS and its implementing regulations are
tightly coupled with MARPOL, often mirroring its structure
or directly adopting its language.
A
Our first port of call is the text of the regulation Korotkiy
allegedly violated. Section 151.25 uses forms of the word
“maintain” in three of its provisions:
(a) Each [covered vessel] shall maintain an
Oil Record Book Part I . . . .
(j) The master or other person having charge
of a ship required to keep an Oil Record
Book shall be responsible for the
maintenance of such record.
44 USA V. KOROTKIY
(k) The Oil Record Book for a U.S. ship shall
be maintained on board for not less than
three years.
Neither APPS nor its implementing regulations define
“maintain,” and generally, “we give undefined terms their
ordinary meaning.” Shih, 73 F.4th at 1092.
1
“Ordinarily, a word’s usage accords with its dictionary
definition,” Yates v. United States, 574 U.S. 528, 537 (2015),
so “consulting common dictionary definitions is the usual
course,” Cal. All. of Children & Fam. Servs. v. Allenby, 589
F.3d 1017, 1021 (9th Cir. 2009).
A survey of common dictionaries’ definitions of
“maintain” reveals a consistent focus on continuity:
Webster’s defines it first as “to keep in a state of repair,
efficiency, or validity: preserve from failure or decline.”
Maintain, Webster’s Third New Int’l Dictionary,
Unabridged (2002). Collins defines it first as “to continue
or retain; keep in existence,” then “to keep in proper or good
condition.” Maintain, Collins English Dictionary (12th ed.
2014). The Oxford Dictionary of English defines it first as
“cause or enable (a condition or situation) to continue,”
“keep (something) at the same level or rate,” or “keep (a
building, machine, or road) in good condition by checking
or repairing it regularly.” Maintain, Oxford Dictionary of
English (3d ed. 2010). And Black’s defines it first as “[t]o
continue (something),” then as “[t]o continue in possession
of (property, etc.),” and further as “[t]o care for (property)
for purposes of operational productivity or appearance.”
Maintain, Black’s Law Dictionary (12th ed. 2024).
USA V. KOROTKIY 45
All of these emphasize preservation of something’s
condition. This ordinary meaning of “maintain” is a natural
fit in the record-book context; after all, a record book does
no good if it is not retained, available for inspection, and in
good enough condition to inspect. Subsections (a) and (k)
connect forms of the word “maintain” to the “Oil Record
Book” itself, while subsection (j) connects the word
“maintenance” to “such record” in an “Oil Record Book”.
33 C.F.R. § 151.25(a), (j), (k).
2
In concluding that “maintain” concerns the accuracy of
a book’s contents, my colleagues instead emphasize a single
exemplary term from a single dictionary definition—though
the term does not appear in the relevant provisions of
MARPOL, APPS, or section 151.25. Like our sister circuits,
they rely on the Webster’s definition of maintain as “to keep
in an existing state (as of repair, efficiency, or validity):
preserve from failure or decline.” Maintain, Webster’s New
Collegiate Dictionary (1977). They state that that validity
aspect of the definition of maintain “gets us close to but not
quite over the finish line.” Maj. Op. at 19.
It should go without saying that the ordinary meaning of
a term is not given by a single usage exemplar in a single
dictionary, much less an exemplar cleaved from the
surrounding definitional content. 1 In the Webster’s
definition, that content relates “maintain” to the actions of
keeping and preserving something in its existing state. It is
in that context that “validity” is a relevant illustration—not
1
My colleagues rightly caution that “[s]nipping words from one
subsection and grafting them onto another violates our normal
interpretive principles,” Maj. Op. at 29 (citation omitted), but surely
snipping words from a dictionary definition sails even closer to the wind.
46 USA V. KOROTKIY
a definition unto itself. Instead, maintenance is defined as
continuity by drawing on multiple dictionaries, and justified
by showing that that definition consistently comports with
the dictionaries’ first definitions of “maintain” and excludes
an outlier definition in favor of a ubiquitous one. No
analogies needed.
In focusing on examples selected by Webster’s, my
colleagues concede that the definitions “arguably introduce
some ambiguities.” Maj. Op. at 19. To resolve these,
although they acknowledge that “context, common sense,
and usage matter,” they instead turn to questionable
analogies to guide how “maintenance” often must be
“tailored to the type of object being maintained.” Maj. Op.
at 19, 20 (citation omitted). First, my colleagues tell us that
“maintaining” rosebushes means “keeping them healthy and
ready to bloom,” and so has a sense of “physical
preservation.” Maj. Op. at 20. That does not explain why
“maintaining” a record book aboard a ship would not
similarly require “keeping it dry and ready to be inspected.”
Then, they suggest that a different analogy may be a better
fit: having described an accountant “maintaining” a
business’s general journal of financial transactions by
“ensuring that those records are accurate, and keeping it up-
to-date,” Maj. Op. at 20, they assert that “record
maintenance means keeping the record accurate and
useful—just like maintaining a financial-transactions
journal,” Maj. Op. at 21. This bare assertion assumes the
conclusion, rather than explaining it, but the analogy in any
event would not resolve the issue here. Just as an accountant
fails to maintain its journal when and where he or she fails
to keep it up to date, Korotkiy’s failure to perform
maintenance by not making the requisite entries took place
when the obligation to do so arose in international waters,
USA V. KOROTKIY 47
long before the Donald’s arrival in the Port of San Diego.
Moreover, “maintain” as used in section 151.25 is a
transitive verb with “Oil Record Book” as its direct object:
there is nothing “perplexing” or head-scratching about being
asked by someone to “maintain” a book, then returning the
book blank. Maj. Op. at 22. Something more than the word
“maintain” is needed to generate a substantive accuracy
requirement on that person’s part before their actions can be
described as “a bad joke.” Maj. Op. at 22.
B
These difficulties are avoided in our normal mode of
interpretation, whereby we “exhaust all the textual and
structural clues bearing on [the] meaning” of a provision.
Niz-Chavez v. Garland, 593 U.S. 155, 161 (2021). Even if
the ordinary meaning of “maintain” were not
straightforwardly applicable and other textual and structural
clues were to leave us at sea, we resolve our doubts by
reference to “the overall statutory and regulatory scheme” of
which the regulation is a part, Safari Club Int’l, 31 F.4th at
1171, rather than through analogies of my colleagues’ own
creation, see Maj. Op. at 20-21.
1
Section 151.25’s other references to “maintain” and to
the “maintenance” of an Oil Record Book confirm a sense of
preservation, rather than accuracy. Beyond the general
requirement to “maintain an Oil Record Book,” 33 C.F.R.
§ 151.25(a), the regulation states:
(i) The Oil Record Book shall be kept in such
a place as to be readily available for
inspection at all reasonable times and
shall be kept on board the ship.
48 USA V. KOROTKIY
(j) The master or other person having charge
of a ship required to keep an Oil Record
Book shall be responsible for the
maintenance of such record.
(k) The Oil Record Book for a U.S. ship shall
be maintained on board for not less than
three years.
These provisions link maintenance to the necessity of
inspection, by specifying where the Oil Record Book shall
be kept, by whom, and for how long. Even in these
provisions related to inspection, where accuracy would be a
most salient concern, nothing in the text of the regulation
links maintenance to a substantive standard. Just the
opposite: section 151.25(k) requires that an Oil Record Book
be “maintained on board for not less than three years,” which
surely does not imply that its contents may later be made
inaccurate—except by virtue of the fact that the Book need
no longer be preserved at all.
My colleagues suggest that, in these paragraphs, the
Coast Guard “drew a distinction between how the Oil
Record Book is ‘kept’ and how the record of bilge-water
operations is ‘maintained,’” and that it “clearly intended for
different obligations to attach to” each term. Maj. Op. at 23.
Of course, there is a sensibility to the “natural presumption
that identical words used in different parts of the same [text]
are intended to have the same meaning,” Atl. Cleaners &
Dyers, Inc. v. United States, 286 U.S. 427, 433 (1932), and
the corollary that different terms in a provision have
different meanings. But there “is no rule of statutory
construction which precludes the courts from giving to the
word the meaning which the Legislature intended it should
have in each instance,” id., and while helpful, the canon of
USA V. KOROTKIY 49
consistent usage “assumes a perfection of drafting that, as an
empirical matter, is not often achieved,” Antonin Scalia &
Bryan A. Garner, Reading Law: The Interpretation of Legal
Texts 170 (2012). In the face of contrary textual evidence,
the presumption that different terms carry different
meanings must give way.
Using a different dictionary than for “maintain,” my
colleagues primarily define “keep” as “to retain in one’s
possession or power,” “to refrain from granting, giving, or
allowing,” or “to have in control.” Maj. Op. at 24. They
hold that “[t]his definition is a natural fit, here” as “keep”
imposes the requirement that the Oil Record Book be
accessible on board for physical inspection, while
“maintain” carries a burden of substantive accuracy. Maj.
Op. at 24-25.
However, contrary to my colleagues’ contention, see
Maj. Op. at 22, “maintain” and “keep” do different work and
need not be read as synonyms under this interpretation. No
disharmony arises when reading “maintain” within section
151.25 to mean “preserve” or “keep in good condition,”
because keeping something in good condition (i.e.,
maintaining it) is not the same thing as simply keeping it, or
keeping it in one’s possession. Thus, while paragraphs (i)
and (k) each require certain treatment of an Oil Record Book
“on board” a ship, paragraph (i)’s specification of where an
Oil Record Book shall be kept (“in such a place as to be
readily available for inspection at all reasonable times” and
“on board the ship,”) is compatible with paragraph (k)’s
requirement that it be maintained, or kept in a certain
condition.
Rather, my colleagues are the ones who chart the wrong
course from the start by attempting to distinguish “keep” and
50 USA V. KOROTKIY
“maintain” at any cost, given that section 151.25 itself
interchanges the terms. They emphasize that section
151.25(j) speaks to both ships “required to keep” an Oil
Record Book and responsibility “for the maintenance of such
record.” Maj. Op. at 23. But they disregard the fact that
paragraphs (a) and (k) require ships not to keep an Oil
Record Book, but to maintain one.
Incidentally, section 151.25 is not the only area of
maritime recordkeeping law to use “maintain” in the sense
of possession, and to distinguish maintenance from
substantive recordkeeping: the federal law governing
official logbooks for domestically flagged vessels does the
same. See 46 U.S.C. §§ 11301, 11303. Section 11301(a)
states that certain vessels “shall have an official logbook,”
while § 11303(a) penalizes “failing to maintain an official
logbook.” In parallel, § 11301(b) requires “[t]he master of
the vessel” to “make or have made” particular entries, while
§ 11303(b) penalizes “failing to make an entry in the vessel’s
official logbook as required.” At least as regards ships’
logbooks, therefore, maintaining and having seem to have
been comparable in the eyes of Congress, while maintaining
and making an entry as required seem to have been distinct.
My colleagues’ rebuttal on this point, see Maj. Op. at 25 n.8,
does not address Congress’s contrast in section 11301
between the separate, substantive obligations to “have” an
official logbook and to “make or have made” entries in the
logbook. 46 U.S.C. § 11301(a), (b). That contrast is
meaningful. Such contrary textual evidence is sufficient to
depart from the canon of consistent usage.
2
That “maintain” need not incorporate an element of
substantive accuracy is illustrated by comparison to the
USA V. KOROTKIY 51
substantive recordkeeping requirements that section 151.25
directly sets out. My colleagues conclude that “§ 151.25’s
‘maintenance’ requirement clearly imposes an obligation on
shipping vessels to keep the records in their Oil Record
Books accurate.” Maj. Op. at 21. But it is the other
provisions of section 151.25 that specify what must be
entered in the Oil Record Book and when an entry must be
made.
The occasions on which “[e]ntries shall be made in the
Oil Record Book” are enumerated in section 151.25(d)–(f),
which apply to different types of vessels, and in section
151.25(g), which concerns “emergency, accidental, or other
exceptional discharges.” Paragraph (h) then specifies that
“[e]ach operation described in paragraphs (d), (e) and (f) . . .
shall be fully recorded without delay in the Oil Record Book
so that all the entries in the book appropriate to that
operation are completed.” 33 C.F.R. § 151.25(h) (emphasis
added). It further requires entries to “be signed by the person
or persons in charge of the operations concerned” and for
“each completed page” to be “signed by the master or other
person having charge of the ship.” Id.
By requiring an entry to be “fully recorded without
delay” “on each occasion,” and by requiring attestation to
each individual entry as well as each completed page of
entries, section 151.25 demands a continuously updated
running log of the events it regulates. The regulation even
says as much. Thus, there is no doubt that section 151.25
requires Oil Record Books to be accurate—but contrary to
the government’s interpretation, that requirement is
instantiated in the regulation’s detailed specification of
events that must be recorded “fully” and “without delay,” not
the general requirement to “maintain an Oil Record Book.”
By reading a substantive accuracy requirement into
52 USA V. KOROTKIY
paragraph (a), my colleagues leave the regulation’s
contemporaneous-recordkeeping provisions adrift in the
doldrums.
C
Our task could start and end with the ordinary meaning
of “maintain.” To “care for” a record book, “keep [it] in
good condition,” or “preserve [it] from decline” carry no
implication of retroactively making its contents accurate.
That is true even under the definition most favorable to the
government, “to keep in a state of repair, efficiency, or
validity,” Maintain, Webster’s Third New Int’l Dictionary,
Unabridged (2002), because keeping something in a state of
validity involves addressing invalidity as it arises, not
covering up one’s earlier failure to log an event “without
delay,” 33 C.F.R. § 151.25(h). Other features of section
151.25 drive this home, but my colleagues’ reading gives no
credit to those provisions that directly mandate complete and
accurate recordkeeping. Nor does such a reading account for
the regulation’s treatment of “maintain” and “keep” as
interchangeable, which matches Congress’s approach in
nearly identical statutory provisions.
If there were any lingering doubt, however, it is resolved
by “the context of the corpus juris of which [the regulation
is] a part,” Pugin, 599 U.S. at 605 n.1 (citation omitted),2
particularly by comparison to MARPOL itself. Section
151.25 is statutorily authorized in order to “carry out the
provisions of the MARPOL Protocol,” 33 U.S.C.
§ 1903(c)(1), and in the wake of amendments to MARPOL,
the Coast Guard updated its regulations “to harmonize
2
Pugin does address a distinct issue of statutory interpretation, but its
“most rudimentary rule” remains relevant here. See Maj. Op. at 26 n.9.
USA V. KOROTKIY 53
[them] with international conventions,” MARPOL Annex I
Amendments, 80 Fed. Reg. 5,922, 5,922 (Feb. 4, 2015).
Unsurprisingly, section 151.25 closely corresponds to
MARPOL Annex I, Regulation 17, which it implements.
Both begin with the basic requirement to have an Oil Record
Book and related practicalities. Compare Reg. 17, para. 1,
with § 151.25(a)–(c). Both then specify what must be
entered in the Oil Record Book, and in what manner.
Compare Reg. 17, paras. 2–5, with § 151.25(d)–(h). Finally,
both set out requirements relating to inspection of the Oil
Record Book. Compare Reg. 17, paras. 6–7, with
§ 151.25(i)–(k). Given this close correspondence,
Congress’s statutory directive, and the Coast Guard’s stated
intentions, the government’s interpretation takes entirely the
wrong tack.
1
In addition to following the structure of Regulation 17,
section 151.25 often directly adopts its language. Consider
the provisions that serve to require substantive accuracy.
Paragraph 2 of Regulation 17 states:
The Oil Record Book Part I shall be
completed on each occasion, on a tank-to-
tank basis if appropriate, whenever any of the
following machinery space operations takes
place in the ship:
.1 ballasting or cleaning of oil fuel tanks;
.2 discharge of dirty ballast or cleaning water
from oil fuel tanks;
.3 collection and disposal of oil residues
(sludge and other oil residues);
54 USA V. KOROTKIY
.4 discharge overboard or disposal otherwise
of bilge water which has accumulated in
machinery spaces; and
.5 bunkering of fuel or bulk lubricating oil.
Paragraph 5 additionally states that “[a]ny failure of the oil
filtering equipment shall be recorded in the Oil Record Book
Part I.” Section 151.25(d) implements these provisions of
Regulation 17 jot-for-jot:
Entries shall be made in the Oil Record Book
on each occasion, on a tank to tank basis if
appropriate, whenever any of the following
machinery space operations take place on any
ship to which this section applies—
(1) Ballasting or cleaning of fuel oil tanks;
(2) Discharge of ballast containing an oily
mixture or cleaning water from fuel oil
tanks;
(3) Disposal of oil residue;
(4) Discharge overboard or disposal
otherwise of bilge water that has
accumulated in machinery spaces;
(5) Bunkering of fuel or bulk lubricating oil;
and
(6) Any failure, and the reasons for, of the oil
filtering equipment.
33 C.F.R. § 151.25(d); see also id. § 151.25(e), (f)
(enumerating requirements applicable to oil tankers and
drilling rigs). Following the enumeration of occasions on
USA V. KOROTKIY 55
which an entry must be made, each regulation then states that
“a statement shall be made in the Oil Record Book of the
circumstances of, and the reasons for” an emergency,
accidental, or otherwise exceptional discharge. Id.
§ 151.25(g); accord Reg. 17, para. 3.
Most pertinent here, both MARPOL and section 151.25
require that entries in the Oil Record Book be “fully recorded
without delay.” Again, section 151.25 adopts the language
of Regulation 17 nearly (though not quite) word-for-word:
Each operation described in [the relevant
preceding paragraphs] shall be fully recorded
without delay in the Oil Record Book [Part I,]
so that all the entries in the book appropriate
to that operation are completed. Each
completed operation shall be signed by the
[person/officer] or [persons/officers] in
charge of the operations concerned and each
completed page shall be signed by the master
or other person having charge of the ship.
33 C.F.R. § 151.25(h); accord Reg. 17, para. 4.
2
The provisions of section 151.25 that concern
“maintenance” correspond to Regulation 17 in a similar
manner, implementing its substantive requirements with
only minor linguistic or structural variations. Regulation 17
begins with the basic requirement to have an Oil Record
Book:
Every [covered vessel] shall be provided with
an Oil Record Book Part I (Machinery space
operations). The Oil Record Book, whether
56 USA V. KOROTKIY
as a part of the ship’s official log-book or
otherwise, shall be in the form specified in
appendix III to this Annex.
Reg. 17, para. 1. Section 151.25 similarly begins:
Each [covered vessel] shall maintain an Oil
Record Book Part I (Machinery Space
Operations). [Certain vessels] shall also
maintain an Oil Record Book Part II
(Cargo/Ballast Operations).
33 C.F.R. § 151.25(a). It then states that “[a]n Oil Record
Book printed by the U.S. Government is available to the
masters or operators of all [covered U.S. ships] from” certain
Coast Guard offices and that “[t]he ownership of the Oil
Record Book of all U.S. ships remains with the U.S.
Government,” id. § 151.25(b)–(c). Together, these
paragraphs fulfil MARPOL’s requirement that an Oil
Record Book “shall be provided” to (and will thereafter be
possessed by) ships subject to MARPOL.
The provisions relating to inspection of the Oil Record
Book continue this pattern. Paragraph 6 of Regulation 17
states:
The Oil Record Book Part I, shall be kept in
such a place as to be readily available for
inspection at all reasonable times and, except
in the case of unmanned ships under tow,
shall be kept on board the ship. It shall be
preserved for a period of three years after the
last entry has been made.
USA V. KOROTKIY 57
In turn, section 151.25 states:
(i) The Oil Record Book shall be kept in such
a place as to be readily available for
inspection at all reasonable times and
shall be kept on board the ship.
(j) The master or other person having charge
of a ship required to keep an Oil Record
Book shall be responsible for the
maintenance of such record.
(k) The Oil Record Book for a U.S. ship shall
be maintained on board for not less than
three years.
“[O]ur task is to interpret the regulation as a whole, in
light of the overall statutory and regulatory scheme.” Safari
Club Int’l, 31 F.4th at 1171 (citation omitted). To that end,
Regulation 17 serves as an “aid in the proper construction
of” section 151.25, Hopson, 622 F.2d at 1380, 3 and unless
there is good reason to think otherwise, we should expect
that the provisions of section 151.25 enact the substance of
the treaty provision to which they correspond. Particularly
where the ordinary meaning of a regulatory term matches the
substance of the requirement it implements, there is little
reason to chart a course in another direction.
3
My colleagues argue that Hopson asks us to determine “the intended
meaning of the terms of the statute.” 622 F.2d at 1380. But where the
agency recently updated its regulations “to harmonize [them] with
international conventions,” MARPOL Annex I Amendments, 80 Fed.
Reg. 5,922, 5,922 (Feb. 4, 2015), some attention to MARPOL’s closely
corresponding language with the regulations at issue is meaningful.
58 USA V. KOROTKIY
Here, MARPOL’s substantive requirements give every
indication that section 151.25 uses “maintain” in the
ordinary sense of “keep in good condition.” Paragraph 1 of
Regulation 17 does not concern the record book’s
substantive accuracy—nor even its substantive content.
Instead, Regulation 17 begins with basic practical
considerations of form and possession. Section 151.25 does
the same. Nothing in section 151.25(a)–(c) hints that “shall
maintain” establishes an accuracy requirement; on the
contrary, because a U.S. ship need not procure its own Oil
Record Book, and because its Oil Record Book is owned by
the U.S. government, the requirement that a ship “maintain”
the government’s Oil Record Book is more naturally read as
a general caretaking responsibility.
MARPOL’s provisions concerning inspection shore up
this interpretation. Regulation 17 specifies where an Oil
Record Book shall be “kept” and “preserved,” and we would
usually anticipate that regulations implementing those
requirements will have the same effect—particularly when
they use words whose ordinary meaning is synonymous with
those used in the treaty. See Maj. Op. at 18 (defining
“maintain” as, in one sense, “preserve from failure or
decline” (citation omitted)).
The majority opinion twists itself in knots to avoid this.
It understands MARPOL’s requirement that Oil Record
Books “be preserved for a period of three years after the last
entry has been made,” Reg. 17, para. 6, in the obvious way—
that is, to “requir[e] ships to keep an archived version of their
filled-out books on board.” Maj. Op. at 29-30. Yet it
concludes that when section 151.25(k) requires that an Oil
Record Book “shall be maintained on board for not less than
three years,” it means that a ship must have “an active Oil
Record Book, with three years’ worth of entries.” Maj. Op.
USA V. KOROTKIY 59
at 30. The opinion does not offer any explanation for this,
and there is no sensible one. Must a newly chartered ship
obtain an Oil Record Book from the Coast Guard, pursuant
to section 151.25(a), and immediately stand in violation of
the supposed requirement to have three years’ worth of
entries inside it? Or, may the ship fill the Oil Record Book
over the course of three years, then start a new volume and
discard the old? Presumably so, as the opinion specifically
disclaims an interpretation of section 151.25(k) whereby
ships are “require[d] to keep old volumes of their Oil Record
Book aboard for three years from the date of their last entry.”
Maj. Op. at 30. But if we are to understand that “the ability
of port states to refer violations to flag states hinges on the
reliability of foreign ships’ Oil Record Books,” Maj. Op. at
32 (citation omitted), we must consider whether enforcement
of MARPOL will be made any easier when a ship dumping
oily bilge water may also toss its Oil Record Book overboard
so long as there are three years’ worth of entries within. 4
Reading “maintain” to mean “keep for inspection”
leaves no loose end with which to become so entangled.
Such a reading harmonizes the general possessory
4
My colleagues’ reference to section 1905, Maj. Op. at 27 n.10, is
unpersuasive, as the word “maintain” in section 1905(d)(1) does not do
the work that my colleagues need it to do: generate a substantive
accuracy requirement. That substantive accuracy command in section
1905(d)(1) is when the statute specifies that the list is one “with respect
to which a certificate issued under this section—(A) is in effect; or (B)
has been revoked or suspended.” 33 U.S.C. § 1905(d)(1)(A)-(B). If the
list does not contain those ports, then the list is substantively inaccurate.
But that accuracy requirement does not inexorably flow from the mere
use of the word “maintain” in the statute. Section 151.25 is distinct: the
paragraphs therein that use “maintain” and “maintenance” do not contain
within themselves a substantive accuracy requirement, as they must for
my colleagues’ analogy to section 1905 to bear weight.
60 USA V. KOROTKIY
requirement of section 151.25(a) with the specific
inspection-related requirements in paragraphs (i) through
(k), and it aligns with both ordinary meaning and the
MARPOL provisions the regulation implements.
III
I know that my conclusion disagrees with the Second
Circuit’s pronouncement that “[n]o reasonable reader of
[section 151.25] could conclude . . . that the regulation
merely imposes an obligation to preserve the [Oil Record
Book] in its existing state.” United States v. Ionia Mgmt.
S.A., 555 F.3d 303, 309 (2d Cir. 2009) (per curiam). I do not
lightly depart from the conclusion our sister circuits have
drawn. See id.; United States v. Jho, 534 F.3d 398 (5th Cir.
2008); United States v. Vastardis, 19 F.4th 573 (3d Cir.
2021); Hornof v. United States, 107 F.4th 46 (1st Cir. 2024). 5
However, our precedent requires that we interpret the text of
a regulation in light of the overall regulatory scheme,
exhausting textual and structural clues, and when doing so
leads to a conclusion contrary to that drawn by other courts,
we must not be afraid to swim against the tide.
Our sister circuits’ analyses primarily concerned “the
purpose of MARPOL and . . . APPS,” Ionia, 555 F.3d at 309,
and because purpose is another of our interpretive tools, see
Amazon.com, Inc., 934 F.3d at 984, it merits our attention as
5
Prior to any these, the Third Circuit had “[a]ssum[ed] that the proper
scope” of a defendant’s violation of section 151.25 was “the knowing
‘failure to maintain an accurate oil record book within U.S. waters,’”
which was necessary for sentencing purposes. United States v. Abrogar,
459 F.3d 430, 435 (3d Cir. 2006). Abrogar did not reach the merits of
whether failure to comply with recordkeeping requirements becomes a
domestic offense if not retroactively corrected prior to entering the
United States.
USA V. KOROTKIY 61
well. Congress adopted APPS with the aim of protecting the
environment by enabling sanctions for the discharge of oily
bilge water; I agree that “[a]t its core, MARPOL seeks to
prevent oceanic pollution.” Maj. Op. at 31-32. It is also easy
to imagine that prosecuting those who have violated
MARPOL while in international waters would “further[] the
objectives prescribed” by MARPOL and APPS. Hornof,
107 F.4th at 59. However, as the Supreme Court has
reminded us, “it is quite mistaken to assume . . . that
‘whatever’ might appear to ‘further[] the statute’s primary
objective must be the law.’” Henson v. Santander Consumer
USA Inc., 582 U.S. 79, 89 (2017) (brackets in original)
(quoting Rodriguez v. United States, 480 U.S. 522, 526
(1987) (per curiam)); see also Goffney v. Becerra, 995 F.3d
737, 744 (9th Cir. 2021) (quoting Henson in the regulatory
context). Here, there are several reasons to think that APPS
and related regulations were adopted for the purpose of
enacting MARPOL’s violation-referral system, rather than
the purpose of pursuing enforcement “at all costs.” Henson,
582 U.S. at 89 (citation omitted).
1
First, we cannot presume a regulation’s purpose is
contrary to that of the legislation authorizing it. Cf. Loper
Bright Enters. v. Raimondo, 144 S. Ct. 2244, 2273 (2024)
(“[W]hen a particular statute delegates authority to an
agency consistent with constitutional limits, courts must
respect the delegation, while ensuring that the agency acts
within it.”). Here, although Congress’s authorization of
“any necessary or desired regulations to carry out the
provisions of the MARPOL Protocol” and APPS offers
much latitude, 33 U.S.C. § 1903(c)(1), its specific mandates
in certain areas offer meaningful constraints.
62 USA V. KOROTKIY
One such area concerns enforcement. Congress directed
the Secretary of Homeland Security to “cooperate with other
parties to the MARPOL Protocol . . . in the detection of
violations and in enforcement of the MARPOL Protocol.”
Id. § 1907(a). As a general matter, following an
investigation, the Secretary may “take the action required by
the MARPOL Protocol . . . and whatever further action he
considers appropriate under the circumstances.” Id.
§ 1907(b). Regarding MARPOL Annex I, however, more
specific provisions apply. Namely, in the event that “an
inspection . . . indicates that a violation [of MARPOL Annex
I] has occurred, the investigating officer shall forward a
report to the Secretary [of Homeland Security] for
appropriate action”; in turn, the Secretary “shall undertake
to notify the master of the ship concerned and, acting in
coordination with the Secretary of State, shall take any
additional action required by Article 6 of [MARPOL].” Id.
§ 1907(c) (flush language). The enforcement scheme set out
in Article 6 requires that “a report . . . be forwarded” to “the
Government of the State under whose authority the ship is
operating” “for any appropriate action.” 6 MARPOL arts.
6(2) & 2(5), 1340 U.N.T.S. at 187, 185. By its own terms,
therefore, APPS carries out MARPOL’s violation-referral
approach.
6
Even if APPS were murky, we must be cautious not to “erroneously
adopt an interpretation of U.S. law that carries foreign policy
consequences not clearly intended by the political branches.” Kiobel v.
Royal Dutch Petroleum Co., 569 U.S. 108, 116 (2013). We should be
especially mindful here, where Congress’s mandate that enforcement
referrals be undertaken in consultation with the Secretary of State
indicates such consequences may lurk below the surface. See 33 U.S.C.
§ 1907(c) (flush language).
USA V. KOROTKIY 63
Ionia concluded that “[i]f ships . . . did not have to
maintain an accurate [Oil Record Book], member states
would be severely hampered in their ability to report
violations [of MARPOL] to the flag state for enforcement,
and the international system of reporting and accountability
under MARPOL would collapse.” 555 F.3d at 308. But
ships do have to maintain accurate Oil Record Books, as they
must “fully record[]” events “without delay.” MARPOL
Annex I, Reg. 17, para. 4; accord 33 C.F.R. § 151.25(h).
When they fail to do so while in international waters, both
MARPOL and APPS anticipate that the violation will be
referred to the ship’s flag state, see MARPOL art. 6(2); 33
U.S.C. § 1907(c), and one presumes that is why the
government did not charge Korotkiy with actual
recordkeeping failures. Far from risking systemic collapse,
this decision not to prosecute extraterritorial conduct does
exactly what the “international system of reporting and
accountability under MARPOL” requires.
We cannot presume that the regulations authorized by
APPS have a purpose contrary to it. Because APPS
implements MARPOL, rather than pursuing prosecution of
pollution “at all costs,” Henson, 582 U.S. at 89 (citation
omitted), its purpose supports an interpretation of
“maintain” that steers clear of prosecuting uncorrected high-
seas recordkeeping failures.
2
As a practical matter, nothing about the Coast Guard’s
investigatory authority turns on whether an Oil Record Book
is accurate. Rather, the Coast Guard may investigate any
ship “to which the MARPOL Protocol . . . applies” while it
is “at a port or terminal subject to the jurisdiction of the
United States.” 33 U.S.C. § 1907(c)(2)(A). In order “to
64 USA V. KOROTKIY
verify whether or not the ship has discharged a harmful
substance in violation of the MARPOL Protocol,” id., the
Coast Guard may examine the ship and its “oil content meter
continuous records,” and may thereby discern a discrepancy
with Oil Record Book entries. 33 C.F.R. § 151.23.
Consonantly, none of the cases resolved by the circuit
courts in favor of domestic prosecution—neither this one,
nor Jho, Ionia, Vastardis, Abrogar, or Hornof—came to be
investigated because of a recordkeeping discrepancy.
Rather, in most, a crew member with knowledge that illegal
discharges had taken place in international waters alerted
United States authorities to that fact, 7 while in Vastardis,
further investigation was prompted by implausibly low
readings from the ship’s oil content meter. 19 F.4th at 578.
The ships’ Oil Record Books played a role in the subsequent
investigations, but even at that stage, their accuracy was not
dispositive. In Vastardis, for example, the Oil Record Book
entries matched the data stored on the memory chip of the
ship’s oil content meter, because it had been physically
bypassed while discharges were made, id. at 579, while in
7
Here, the Donald’s Second Engineer contacted the Coast Guard “in
advance of a routine scheduled Port State Control examination.”
Likewise, the ship in Jho was investigated on the basis of “a tip from
another engineer,” 534 F.3d at 400; in Ionia, “the Coast Guard received
a report from the . . . electrician” of the ship, Br. for the United States at
10, Ionia, 555 F.3d 303 (No. 07-5801); and in Hornof, a crew member
elevated his concerns to a superintendent for the company that owned
and operated the ship, which “informed United States officials of the
alleged wrongdoing,” 107 F.4th at 52–53. In Abrogar, though the Coast
Guard was not tipped off ahead of time, inspectors “conducting a Port
State control inspection . . . . learned through various crew members that
the [ship] had routinely discharged oil sludge and oil-contaminated bilge
water directly overboard.” Br. of Appellee at 7, Abrogar, 495 F.3d 430
(No. 06-1215).
USA V. KOROTKIY 65
Ionia, the “crew made false entries in the [Oil Record Book]
to conceal [unlawful] discharges,” 555 F.3d at 305.
Nonetheless, in each of these cases, the government had the
requisite evidence to enforce MARPOL and APPS.
The examples offered by these cases make it doubtful
that “‘a foreign-flagged vessel could avoid application of the
record book requirements simply by falsifying all of its
record book information just before entry into a port or
navigable waters,’ and thus avoid detection.” Ionia, 555
F.3d at 308 (quoting Jho, 534 F.3d at 403). My colleagues
raise the further specter of a ship presenting “an inaccurate,
fraudulent, and incomplete Oil Record Book,” Maj. Op. at
33, but in fact, such a book would be proof positive that a
ship had failed to keep the records required by MARPOL.
Far from being “useless in the effort to halt oceanic pollution
or deter repeat infringers,” Maj. Op. at 33, such a record
book would be obvious and immediate grounds for referral
to a vessel’s flag state—just as would occur if an Oil Record
Book documented every instance of a ship’s unlawful
extraterritorial dumping, rather than none. Thus, even
acknowledging that enforcement of MARPOL would be
simplified if crew members always recorded unlawful
discharges in their ship’s Oil Record Book, I cannot go so
far as to say that “the Coast Guard’s ability to conduct
investigations against foreign-flagged vessels would be
severely hindered” by interpreting section 151.25 in a
manner that requires recordkeeping violations to be referred
to a vessel’s flag state. Jho, 534 F.3d at 403. Investigations
mainly turn on inconsistencies in the available evidence, not
on an accurate confessional record. I trust that in carrying
out its inspections, the Coast Guard is not routinely
bamboozled by record books that it knows may be dubious
66 USA V. KOROTKIY
but which it fails to verify against physical evidence, other
records, and the statements of the crew. 8
3
Precisely because a ship’s failure to have and preserve
its Oil Record Book would deny investigators a means of
identifying inconsistencies, the purpose of enforcing
MARPOL is well-served by a requirement to maintain the
Oil Record Book in its existing state. Preservation for later
review is the typical purpose of a logbook, of course, and the
notion that a log must be preserved in its existing state
regardless of accuracy is longstanding: the better part of a
century ago, our court recognized that “[t]he alteration of
logbooks by erasure and substitution . . . ha[d] long been
condemned in courts of admiralty” and “creates a strong
presumption that the erased matter was adverse to [the
8
Though my colleagues find it “unclear” how the Coast Guard may
identify discrepancies with “oil content meter continuous records” under
section 151.23(c) without reference to a substantively accurate Oil
Record Book, Maj. Op. at 33 n.14, the Coast Guard may demand
substantive accuracy under that regulation by insisting that an
“inspection under this section may include an examination of the Oil
Record Book . . . ,” and a “copy of any entry in the Oil Record Book may
be made and the Master of the ship may be required to certify that the
copy is a true copy of such entry.” 33 C.F.R. § 151.23(c). The first
clause requires production of an Oil Record Book in good condition,
while the second clause allows for formal certification. Here is yet
another indicator that substantive accuracy requirements are not
announced with the bare mention of the word “maintain,” but through
mechanisms such as formal certification.
USA V. KOROTKIY 67
vessel’s] contention.” The Silver Palm, 94 F.2d 754, 763
(9th Cir. 1937). 9
Features of section 151.25 indicate that Oil Record
Books are expected to serve the same ends as any other
logbook. Reading the requirement that an Oil Record Book
be “maintained on board for not less than three years”
alongside the requirement that it “be kept in such a place as
to be readily available for inspection at all reasonable times,”
33 C.F.R. § 151.25(k), (i)—requirements which Regulation
17 of MARPOL Annex I states together in a single
paragraph, using “preserve” in place of “maintain”—
evidences a purpose of permitting inspection, and thus
permitting detection of inaccuracies or post-hoc revisions.
The requirements that operations be “fully recorded without
delay,” that “each completed operation . . . be signed by the
person or persons in charge of [it],” and that “each
completed page” of an Oil Record Book “be signed by the
master or other person having charge of the ship,” 33 C.F.R.
§ 151.25(h), aim to regularly crystallize recent events while
permitting the later identification of individuals who may
verify or be accountable for them. They also serve to ensure
that an Oil Record Book will be substantively accurate, but
we have no basis for assuming that the aims of
contemporaneity and permanence are subordinated to that
end.
9
A regulatory scheme could require that entries be appended to a record
to correct or supplement it, and indeed, this is what federal law requires
of domestic ships’ official logbooks. See 46 U.S.C. § 11302 (requiring
that entries be “made as soon as possible after the occurrence,” but that
those “not made on the day of the occurrence . . . be dated and state the
date of the occurrence”). Even under such a scheme, however, the
obligation to correct inaccuracies does not inhere in the duty to maintain
the book itself.
68 USA V. KOROTKIY
IV
None of our navigational aids lead to the interpretation
of “maintain” that my colleagues and our sister circuits have
adopted. Thus we must chart our own course, because
ordinary meaning, usage in related provisions, the language
of MARPOL, and the MARPOL-focused purpose of APPS
all support interpreting “maintain” in the sense of
“preserve.” That is how we must interpret the term.
Whatever other wrongs Korotkiy committed, he did not fail
to maintain the Donald’s Oil Record Book or cause such a
failure while in United States waters. His conviction for that
charge cannot stand.
Plain English Summary
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
Key Points
01FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
02Robinson, District Judge, Presiding Argued and Submitted May 16, 2024 Pasadena, California Filed October 10, 2024 Before: N.
03Randy Smith and Salvador Mendoza, Jr., Circuit Judges, and John Charles Hinderaker, District Judge.
04Randy Smith * The Honorable John Charles Hinderaker, United States District Judge for the District of Arizona, sitting by designation.
Frequently Asked Questions
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
FlawCheck shows no negative treatment for United States v. Korotkiy in the current circuit citation data.
This case was decided on October 10, 2024.
Use the citation No. 10133689 and verify it against the official reporter before filing.