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pdf§ 3301
TITLE 46—SHIPPING
(c) VERIFICATION OF COMPLIANCE.—The Secretary shall—
(1) periodically review whether a responsible
person having a safety management plan approved under section 3204(b) and each vessel to
which the plan applies is complying with the
plan; and
(2) revoke the Secretary’s approval of the
plan and each Safety Management Certificate
and Document of Compliance issued to the
person for a vessel to which the plan applies,
if the Secretary determines that the person or
a vessel to which the plan applies has not complied with the plan.
(d) ENFORCEMENT.—At the request of the Secretary, the Secretary of Homeland Security
shall withhold or revoke the clearance required
by section 60105 of this title of a vessel that is
subject to this chapter under section 3202(a) of
this title or to the International Safety Management Code, if the vessel does not have on board
a Safety Management Certificate and a copy of
a Document of Compliance for the vessel. Clearance may be granted on filing a bond or other
surety satisfactory to the Secretary.
(Added Pub. L. 104–324, title VI, § 602(a), Oct. 19,
1996, 110 Stat. 3929; amended Pub. L. 109–304,
§ 15(10), Oct. 6, 2006, 120 Stat. 1703; Pub. L.
110–181, div. C, title XXXV, § 3529(b)(1)(A), Jan.
28, 2008, 122 Stat. 603.)
AMENDMENTS
2008—Subsec. (d). Pub. L. 110–181 amended Pub. L.
109–304, § 15(10). See 2006 Amendment note below.
2006—Subsec. (d). Pub. L. 109–304, § 15(10), as amended
by Pub. L. 110–181, substituted ‘‘Secretary of Homeland
Security shall withhold or revoke the clearance required by section 60105 of this title’’ for ‘‘Secretary of
the Treasury shall withhold or revoke the clearance required by section 4197 of the Revised Statutes (46 U.S.C.
App. 91)’’.
EFFECTIVE DATE OF 2008 AMENDMENT
Pub. L. 110–181, div. C, title XXXV, § 3529(b)(2), Jan.
28, 2008, 122 Stat. 603, provided that: ‘‘The amendments
made by paragraph (1) [amending this section and section 31325 of this title] shall be effective as if included
in the enactment of Public Law 109–304.’’
CHAPTER 33—INSPECTION GENERALLY
Sec.
3301.
3302.
3303.
3304.
3305.
3306.
3307.
3308.
3309.
3310.
3311.
3312.
3313.
3314.
3315.
3316.
3317.
3318.
Vessels subject to inspection.
Exemptions.
Reciprocity for foreign vessels.
Transporting individuals in addition to crew.
Scope and standards of inspection.
Regulations.
Frequency of inspection.
Examinations.
Certificate of inspection.
Records of certification.
Certificate of inspection required.
Display of certificate of inspection.
Compliance with certificate of inspection.
Expiration of certificate of inspection.
Disclosure of defects and protection of informants.
Classification societies.
Fees.
Penalties.
HISTORICAL AND REVISION NOTES
Chapter 33 consolidates the laws governing the inspection and certification of vessels by the Coast Guard
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that have developed over a period in excess of 140 years.
The original laws were directed to the safety of the relatively new and potentially dangerous steam vessel.
The demand for Federal remedial legislation began during the early 1800’s after frequent and disastrous explosions of steam boilers on passenger vessels. This directly led to the first maritime safety laws in 1838 that
required periodic inspection and certification of vessels
engaged in the transportation of passengers and freight
on the waters of the United States. This was followed
by a more extensive steamboat inspection law in 1852
which adopted for the first time the principle of licensing for river pilots and engineers. It also created a new
Federal maritime safety inspection service called the
Federal Inspection Service that eventually became the
Bureau of Marine Inspection and Navigation, whose duties were temporarily assumed in 1941 and permanently
assumed in 1946 by the United States Coast Guard.
In 1864 the principal inspection and licensing provisions of the 1852 act were made applicable to ferries,
towing vessels, and canal boats. However, steamboat
explosions continued with high loss of life and property. One of the greatest of all disasters, the destruction of the passenger vessel Sultana by explosion and
fire with a loss of life estimated at more than 1500 lives
in April 1865, led to renewed legislation efforts. In 1871
this culminated with legislation that combined a number of new requirements into a coherent and unified
body of maritime safety laws. At the time of the adoption of the Revised Statutes in 1874, a maritime safety
code was well established for vessels propelled in whole
or in part by steam.
In the more than 100 years since then, as the public
recognized the need for vessel safety legislation, primarily as the result of maritime disasters, other classes of vessels were subjected to Federal inspection or
regulatory control. These included vessels propelled by
gas, fluid, naphtha, or electric motors in 1897; sail vessels and barges carrying passengers for hire in 1898; seagoing barges in 1908; motorboats in 1910; steam vessels
owned by the Department of Commerce in 1919; seagoing vessels of 300 gross tons and over on June 20, 1936;
all tank vessels carrying flammable or combustible liquid cargo in bulk regardless of size or means of propulsion of June 23, 1936; motorboats again in 1940; all vessels carrying more than six passengers in 1956; tank
vessels again in 1978; and offshore supply vessels in 1980.
There was also considerable legislation that amended
or supplemented these primary maritime safety laws.
The net result has been a patchwork quilt of categories and classifications that requires a tabulation of
more than seventy different classes of inspected vessels. This revision gathers into one section of the law
all classes of vessels that are subject to inspection and
certification without changing the application of
present law as to any one class of vessel. The revision
does not alter the application of the present law so as
to expand inspection requirements to any vessel presently not subject to inspection nor to remove from inspection any vessel that is presently subject to inspection.
AMENDMENTS
1996—Pub. L. 104–324, title VI, § 607(b)(2), Oct. 19, 1996,
110 Stat. 3932, substituted ‘‘Classification societies’’ for
‘‘United States classification societies’’ in item 3316.
1986—Pub. L. 99–307, § 1(5)(B), May 19, 1986, 100 Stat.
445, substituted ‘‘Transporting’’ for ‘‘Carrying’’ in item
3304.
§ 3301. Vessels subject to inspection
The following categories of vessels are subject
to inspection under this part:
(1) freight vessels.
(2) nautical school vessels.
(3) offshore supply vessels.
(4) passenger vessels.
(5) sailing school vessels.
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(6) seagoing barges.
(7) seagoing motor vessels.
(8) small passenger vessels.
(9) steam vessels.
(10) tank vessels.
(11) fish processing vessels.
(12) fish tender vessels.
(13) Great Lakes barges.
(14) oil spill response vessels.
(15) towing vessels.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 510; Pub. L.
98–364, title IV, § 402(2), July 17, 1984, 98 Stat. 445;
Pub. L. 102–587, title V, § 5208(b), Nov. 4, 1992, 106
Stat. 5076; Pub. L. 104–324, title XI, § 1104(g), Oct.
19, 1996, 110 Stat. 3967; Pub. L. 108–293, title IV,
§ 415(a), Aug. 9, 2004, 118 Stat. 1047.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3301(1) ..........................................
3301(2) ..........................................
3301(3) ..........................................
3301(4) ..........................................
3301(5)
3301(6)
3301(7)
3301(8)
3301(9)
§ 3302
TITLE 46—SHIPPING
..........................................
..........................................
..........................................
..........................................
..........................................
3301(10) ........................................
46:391
46:404
46:1295f(c)
46:404–1
46:390a
46:391
46:390a
46:395
46:367
46:390a
46:362
46:391
46:405
46:391a
Section 3301 lists all classes of vessels that are subject to inspection and certification by the Coast Guard.
This section represents one of the sought-after advantages of the bill to simplify access to the provisions of
law governing the regulation of vessels. Under the
present law, a vessel’s inspection status must be determined by examining a table appearing at section
2.01–7A of title 46, Code of Federal Regulations that divides all vessels into more than 70 separate classes.
It is important to note that while the classes of vessels are now limited to ten, there is no prohibition
against developing regulations to meet the special
needs of various size vessels within any one category.
For example, it is expected that the Coast Guard will
continue the practice of establishing standards for
freight vessels of not more than 100 gross tons and
other standards for larger freight vessels.
It should also be noted that a particular vessel can,
when engaged in various types of operations, be subject
to varying inspection laws. For example, an offshore
supply vessel could be classed as a small passenger vessel or a passenger vessel when it operates as a crew
boat carrying individuals other than those defined in
section 2101(21). If the offshore supply vessel is 500 gross
tons and over it would then be subject to inspection as
a seagoing motor vessel, a freight vessel, or a passenger
vessel.
AMENDMENTS
2004—Par. (15). Pub. L. 108–293 added par. (15).
1996—Par. (14). Pub. L. 104–324 added par. (14).
1992—Par. (13). Pub. L. 102–587 added par. (13).
1984—Pars. (11), (12). Pub. L. 98–364 added pars. (11)
and (12).
EFFECTIVE DATE OF 1992 AMENDMENT
Amendment by Pub. L. 102–587 effective Nov. 4, 1992,
for Great Lakes barges placed in operation after Nov. 4,
1992, and effective one year after Nov. 4, 1992, for Great
Lakes barges in operation on Nov. 4, 1992, with provision for interim safety requirements, see section
5208(c), (d) of Pub. L. 102–587, set out as a note under
section 2101 of this title.
EFFECTIVE DATE
Chapter effective Apr. 15, 1984, see section 2(g)(1) of
Pub. L. 98–89, set out as a note under section 3101 of
this title.
PILOT PROGRAM
Pub. L. 105–383, title IV, § 412(b), Nov. 13, 1998, 112
Stat. 3432, provided that:
‘‘(1) IN GENERAL.—The Secretary may establish a
pilot program to exempt a vessel of at least 300 gross
tons as measured under chapter 143 or chapter 145 of
title 46, United States Code, from the requirement to be
inspected under section 3301(7) of title 46, United States
Code, as a seagoing motor vessel, if—
‘‘(A) the vessel does not carry any cargo or passengers for hire;
‘‘(B) the vessel does not engage in commercial service, commercial fisheries, or oceanographic research;
and
‘‘(C) the vessel does not engage in towing.
‘‘(2) EXPIRATION OF AUTHORITY.—The authority to
grant the exemptions under this subsection expires 2
years after the date of the enactment of this Act [Nov.
13, 1998]. Any specific exemptions granted under this
subsection shall nonetheless remain in effect.’’
SMALL PASSENGER VESSEL PILOT INSPECTION PROGRAM
WITH STATE OF MINNESOTA
Pub. L. 104–324, title XI, § 1122, Oct. 19, 1996, 110 Stat.
3979, provided that:
‘‘(a) IN GENERAL.—The Secretary may enter into an
agreement with the State under which the State may
inspect small passenger vessels operating in waters of
that State designated by the Secretary, if—
‘‘(1) the State plan for the inspection of small passenger vessels meets such requirements as the Secretary may require to ensure the safety and operation of such vessels in accordance with the standards that would apply if the Coast Guard were inspecting such vessels; and
‘‘(2) the State will provide such information obtained through the inspection program to the Secretary annually in such form and in such detail as the
Secretary may require.
‘‘(b) FEES.—The Secretary may adjust or waive the
user fee imposed under section 3317 of title 46, United
States Code, for the inspection of small passenger vessels inspected under the State program.
‘‘(c) TERMINATION.—The authority provided by subsection (a) terminates on December 31, 1999.
‘‘(d) DEFINITIONS.—For purposes of this section—
‘‘(1) SECRETARY.—The term ‘Secretary’ means the
Secretary of the department in which the Coast
Guard is operating.
‘‘(2) STATE.—The term ‘State’ means the State of
Minnesota.
‘‘(3) SMALL PASSENGER VESSEL.—The term ‘small
passenger vessel’ means a small passenger vessel (as
defined in section 2101(35) of title 46, United States
Code) of not more than 40 feet overall in length.’’
[For transfer of authorities, functions, personnel, and
assets of the Coast Guard, including the authorities
and functions of the Secretary of Transportation relating thereto, to the Department of Homeland Security,
and for treatment of related references, see sections
468(b), 551(d), 552(d), and 557 of Title 6, Domestic Security, and the Department of Homeland Security Reorganization Plan of November 25, 2002, as modified, set
out as a note under section 542 of Title 6.]
§ 3302. Exemptions
(a) A vessel is not excluded from one category
only because the vessel is—
(1) included in another category of section
3301 of this title; or
(2) excluded by this section from another
category of section 3301 of this title.
(b) Except as provided in subsection (c)(3) of
this section, a fishing vessel, including a vessel
chartered part-time as a fish tender vessel, is exempt from section 3301(1), (7), (11), and (12) of
this title.
§ 3305
TITLE 46—SHIPPING
stances that would constitute a risk of safety to
the individual on board.
(c) A privilege authorized by this section applies to a vessel of a foreign country that affords
a similar privilege to vessels of the United
States in trades not restricted to vessels under
its own flag.
(d) A fishing, fish processing, or fish tender
vessel that transports not more than 12 individuals employed in the fishing industry in addition to the crew is not subject to inspection as
a passenger or small passenger vessel.
(e) The Secretary may by regulation allow individuals in addition to the crew to be transported in an emergency or under section 2304 of
this title.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 513; Pub. L.
98–364, title IV, § 402(4), July 17, 1984, 98 Stat. 446;
Pub. L. 99–307, § 1(5)(A), May 19, 1986, 100 Stat.
444.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3304 ..............................................
46:390–393
46:882
Section 3304 permits the carriage of not more than 12
individuals in addition to the crew on international
voyages or not more than 16 individuals in addition to
the crew on other voyages without subjecting a documented vessel carrying cargo to the inspection requirements of a passenger vessel. This section permits the
bulk of vessels subject to the International Convention
for Safety of Life at Sea to carry up to 12 passengers
and to permit other cargo vessels, primarily those engaged in the coastwise trade, to carry up to 16 passengers without being categorized as passenger vessels.
It also requires that these individuals be notified of the
presence of dangerous articles or other conditions or
circumstances that constitute a risk of safety. This is
of prime importance on tank vessels that carry flammable or hazardous cargoes.
AMENDMENTS
1986—Pub. L. 99–307, § 1(5)(A)(i), substituted ‘‘Transporting’’ for ‘‘Carrying’’ in section catchline.
Subsec. (a). Pub. L. 99–307, § 1(5)(A)(ii), substituted
‘‘transporting cargo that transports’’ for ‘‘carrying
cargo that carries’’ and inserted ‘‘if the vessel is otherwise subject to inspection under this chapter’’.
Subsec. (b). Pub. L. 99–307, § 1(5)(A)(iii), substituted
‘‘Except when subsection (e) of this section applies, before’’ for ‘‘Before’’ and ‘‘transported’’ for ‘‘carried’’.
Subsec. (c). Pub. L. 99–307, § 1(5)(A)(iv), substituted ‘‘A
privilege’’ for ‘‘The privilege’’.
Subsec. (e). Pub. L. 99–307, § 1(5)(A)(v), added subsec.
(e).
1984—Subsec. (d). Pub. L. 98–364 added subsec. (d).
§ 3305. Scope and standards of inspection
(a)(1) The inspection process shall ensure that
a vessel subject to inspection—
(A) is of a structure suitable for the service
in which it is to be employed;
(B) is equipped with proper appliances for
lifesaving, fire prevention, and firefighting;
(C) has suitable accommodations for the
crew, sailing school instructors, and sailing
school students, and for passengers on the vessel if authorized to carry passengers;
(D) has an adequate supply of potable water
for drinking and washing by passengers and
crew;
(E) is in a condition to be operated with
safety to life and property; and
Page 46
(F) complies with applicable marine safety
laws and regulations.
(2) In determining the adequacy of the supply
of potable water under paragraph (1)(D), the Secretary shall consider—
(A) the size and type of vessel;
(B) the number of passengers or crew on
board;
(C) the duration and routing of voyages; and
(D) guidelines for potable water recommended by the Centers for Disease Control
and Prevention and the Public Health Service.
(b) If an inspection, or examination under section 3308 of this title, reveals that a life preserver, lifesaving device, or firehose is defective
and incapable of being repaired, the owner or
master shall destroy the life preserver, lifesaving device, or firehose in the presence of the official conducting the inspection or examination.
(c) A nautical school vessel operated by a civilian nautical school or by an educational institution under section 558 of title 40 shall be inspected like a small passenger vessel or a passenger vessel, depending on its tonnage.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 513; Pub. L.
99–36, § 1(a)(1), May 15, 1985, 99 Stat. 67; Pub. L.
99–640, § 13(e), Nov. 10, 1986, 100 Stat. 3551; Pub. L.
107–217, § 3(m)(2), Aug. 21, 2002, 116 Stat. 1302;
Pub. L. 108–293, title IV, § 416, Aug. 9, 2004, 118
Stat. 1047; Pub. L. 109–241, title IX, § 901(f), July
11, 2006, 120 Stat. 564.)
HISTORICAL AND REVISION NOTES
Revised section
3305 ..............................................
Source section (U.S. Code)
46:369
46:390a
46:391
46:392
46:395
46:404–1
46:405
46:406
46:407
46:408
46:660a
46:881
Section 3305 consolidates, at one place, the basic
scope of coverage of the inspection process. It is to be
noted that the time difference in enactment of various
statutes has resulted in some anomalies. Thus, for example, R.S. 4417 (46 U.S.C. 391) which had originally set
periods of inspection and vested authority in ‘‘local inspectors’’ was expanded over the years to provide the
base for inspection of certain classes of vessels as well
as setting out the periods and scope. The distillation of
inspection objectives and standards in later laws and
the transfer of all functions of separately created bureaus and functionaries to the Coast Guard permit this
consolidation. There are those who have a desire to see
the scope and standards of inspection be more specific
in law similar to those presently applicable to boilers
and boiler plating that predate 1871. The Committee believes this serves no useful purpose since the specifics
are either antiquated or too limiting and have, in fact,
been superceded by the statutorily authorized adoption
of various industrial specifications, standards, and
codes by the Coast Guard. These include the American
Bureau of Shipping (ABS), American Society of Mechanical Engineers (ASME), American National Standards Institute (ANSI), American Society for Testing
and Materials (ASTM), American Welding Society
(AWS), Underwriters Laboratories (UL), and many others. In addition, Coast Guard regulations must also implement and conform to the numerous international
maritime safety treaties to which the United States is
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TITLE 46—SHIPPING
signatory. The Committee expects that the regulatory
flexibility being provided will not reduce the present
vessel inspection requirements that have been historically developed.
Section 3305(a) establishes the statutory scope of the
Coast Guard’s vessel inspection authority and duty.
The inspection process shall ensure that a vessel is of
suitable structure, equipment, and accommodations, is
maintained in an operating condition consistent with
safety of life and property, and complies with applicable marine safety laws and regulations.
Subsection (b) requires that defective life preservers
and firehose be destroyed in the presence of the inspecting official, normally a qualified Coast Guard marine inspector. The Committee believes that if this
equipment is defective for use on an inspected vessel, it
should be destroyed so that it cannot be used on an uninspected or recreational vessel.
Subsection (c) provides flexibility in the inspection of
various sizes of nautical school vessels.
AMENDMENTS
2006—Subsec. (a)(2). Pub. L. 109–241 realigned margins.
2004—Subsec. (a). Pub. L. 108–293, § 416(b), designated
existing provisions as par. (1), redesignated former
pars. (1) to (6) as subpars. (A) to (F), respectively, of
par. (1), and added par. (2).
Subsec. (a)(4) to (6). Pub. L. 108–293, § 416(a), added
par. (4) and redesignated former pars. (4) and (5) as (5)
and (6), respectively.
2002—Subsec. (c). Pub. L. 107–217 substituted ‘‘section
558 of title 40’’ for ‘‘section 13 of the Coast Guard Authorization Act of 1986’’.
1986—Subsec. (c). Pub. L. 99–640 inserted ‘‘or by an
educational institution under section 13 of the Coast
Guard Authorization Act of 1986’’.
1985—Subsec. (b). Pub. L. 99–36 substituted ‘‘lifesaving’’ and ‘‘life preserver, lifesaving device, or firehose’’
for ‘‘life-saving’’ and ‘‘life preserver or firehose’’, respectively.
§ 3306. Regulations
(a) To carry out this part and to secure the
safety of individuals and property on board vessels subject to inspection, the Secretary shall
prescribe necessary regulations to ensure the
proper execution of, and to carry out, this part
in the most effective manner for—
(1) the design, construction, alteration, repair, and operation of those vessels, including
superstructures, hulls, fittings, equipment, appliances, propulsion machinery, auxiliary machinery, boilers, unfired pressure vessels, piping, electric installations, and accommodations for passengers and crew, sailing school
instructors, and sailing school students;
(2) lifesaving equipment and its use;
(3) firefighting equipment, its use, and precautionary measures to guard against fire;
(4) inspections and tests related to paragraphs (1), (2), and (3) of this subsection; and
(5) the use of vessel stores and other supplies
of a dangerous nature.
(b)(1) Equipment and material subject to regulation under this section may not be used on any
vessel without prior approval of the Secretary.
(2) Except with respect to use on a public vessel, the Secretary may treat an approval of
equipment or materials by a foreign government
as approval by the Secretary for purposes of
paragraph (1) if the Secretary determines that—
(A) the design standards and testing procedures used by that government meet the requirements of the International Convention
for the Safety of Life at Sea, 1974;
§ 3306
(B) the approval of the equipment or material by the foreign government will secure the
safety of individuals and property on board
vessels subject to inspection; and
(C) for lifesaving equipment, the foreign government—
(i) has given equivalent treatment to approvals of lifesaving equipment by the Secretary; and
(ii) otherwise ensures that lifesaving
equipment approved by the Secretary may
be used on vessels that are documented and
subject to inspection under the laws of that
country.
(c) In prescribing regulations for sailing school
vessels, the Secretary shall consult with representatives of the private sector having experience in the operation of vessels likely to be certificated as sailing school vessels. The regulations shall—
(1) reflect the specialized nature of sailing
school vessel operations, and the character,
design, and construction of vessels operating
as sailing school vessels; and
(2) include requirements for notice to sailing
school instructors and sailing school students
about the specialized nature of sailing school
vessels and applicable safety regulations.
(d) In prescribing regulations for nautical
school vessels operated by the United States
Merchant Marine Academy or by a State maritime academy (as defined in section 51102 of this
title), the Secretary shall consider the function,
purpose, and operation of the vessels, their
routes, and the number of individuals who may
be carried on the vessels.
(e) When the Secretary finds it in the public
interest, the Secretary may suspend or grant exemptions from the requirements of a regulation
prescribed under this section related to lifesaving and firefighting equipment, muster lists,
ground tackle and hawsers, and bilge systems.
(f) In prescribing regulations for offshore supply vessels, the Secretary shall consider the
characteristics, methods of operation, and the
nature of the service of offshore supply vessels.
(g) In prescribing regulations for fish processing or fish tender vessels, the Secretary shall
consult with representatives of the private sector having experience in the operation of these
vessels. The regulations shall reflect the specialized nature and economics of fish processing or
fish tender vessel operations and the character,
design, and construction of fish processing or
fish tender vessels.
(h) The Secretary shall establish appropriate
structural fire protection, manning, operating,
and equipment requirements for vessels of at
least 100 gross tons but less than 300 gross tons
as measured under section 14502 of this title, or
an alternate tonnage measured under section
14302 of this title as prescribed by the Secretary
under section 14104 of this title carrying not
more than 150 passengers on domestic voyages,
which meet the eligibility criteria of section
2113(4) of this title.
(i) The Secretary shall establish appropriate
structural fire protection, manning, operating,
and equipment requirements for former public
vessels of the United States of at least 100 gross
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TITLE 46—SHIPPING
signatory. The Committee expects that the regulatory
flexibility being provided will not reduce the present
vessel inspection requirements that have been historically developed.
Section 3305(a) establishes the statutory scope of the
Coast Guard’s vessel inspection authority and duty.
The inspection process shall ensure that a vessel is of
suitable structure, equipment, and accommodations, is
maintained in an operating condition consistent with
safety of life and property, and complies with applicable marine safety laws and regulations.
Subsection (b) requires that defective life preservers
and firehose be destroyed in the presence of the inspecting official, normally a qualified Coast Guard marine inspector. The Committee believes that if this
equipment is defective for use on an inspected vessel, it
should be destroyed so that it cannot be used on an uninspected or recreational vessel.
Subsection (c) provides flexibility in the inspection of
various sizes of nautical school vessels.
AMENDMENTS
2006—Subsec. (a)(2). Pub. L. 109–241 realigned margins.
2004—Subsec. (a). Pub. L. 108–293, § 416(b), designated
existing provisions as par. (1), redesignated former
pars. (1) to (6) as subpars. (A) to (F), respectively, of
par. (1), and added par. (2).
Subsec. (a)(4) to (6). Pub. L. 108–293, § 416(a), added
par. (4) and redesignated former pars. (4) and (5) as (5)
and (6), respectively.
2002—Subsec. (c). Pub. L. 107–217 substituted ‘‘section
558 of title 40’’ for ‘‘section 13 of the Coast Guard Authorization Act of 1986’’.
1986—Subsec. (c). Pub. L. 99–640 inserted ‘‘or by an
educational institution under section 13 of the Coast
Guard Authorization Act of 1986’’.
1985—Subsec. (b). Pub. L. 99–36 substituted ‘‘lifesaving’’ and ‘‘life preserver, lifesaving device, or firehose’’
for ‘‘life-saving’’ and ‘‘life preserver or firehose’’, respectively.
§ 3306. Regulations
(a) To carry out this part and to secure the
safety of individuals and property on board vessels subject to inspection, the Secretary shall
prescribe necessary regulations to ensure the
proper execution of, and to carry out, this part
in the most effective manner for—
(1) the design, construction, alteration, repair, and operation of those vessels, including
superstructures, hulls, fittings, equipment, appliances, propulsion machinery, auxiliary machinery, boilers, unfired pressure vessels, piping, electric installations, and accommodations for passengers and crew, sailing school
instructors, and sailing school students;
(2) lifesaving equipment and its use;
(3) firefighting equipment, its use, and precautionary measures to guard against fire;
(4) inspections and tests related to paragraphs (1), (2), and (3) of this subsection; and
(5) the use of vessel stores and other supplies
of a dangerous nature.
(b)(1) Equipment and material subject to regulation under this section may not be used on any
vessel without prior approval of the Secretary.
(2) Except with respect to use on a public vessel, the Secretary may treat an approval of
equipment or materials by a foreign government
as approval by the Secretary for purposes of
paragraph (1) if the Secretary determines that—
(A) the design standards and testing procedures used by that government meet the requirements of the International Convention
for the Safety of Life at Sea, 1974;
§ 3306
(B) the approval of the equipment or material by the foreign government will secure the
safety of individuals and property on board
vessels subject to inspection; and
(C) for lifesaving equipment, the foreign government—
(i) has given equivalent treatment to approvals of lifesaving equipment by the Secretary; and
(ii) otherwise ensures that lifesaving
equipment approved by the Secretary may
be used on vessels that are documented and
subject to inspection under the laws of that
country.
(c) In prescribing regulations for sailing school
vessels, the Secretary shall consult with representatives of the private sector having experience in the operation of vessels likely to be certificated as sailing school vessels. The regulations shall—
(1) reflect the specialized nature of sailing
school vessel operations, and the character,
design, and construction of vessels operating
as sailing school vessels; and
(2) include requirements for notice to sailing
school instructors and sailing school students
about the specialized nature of sailing school
vessels and applicable safety regulations.
(d) In prescribing regulations for nautical
school vessels operated by the United States
Merchant Marine Academy or by a State maritime academy (as defined in section 51102 of this
title), the Secretary shall consider the function,
purpose, and operation of the vessels, their
routes, and the number of individuals who may
be carried on the vessels.
(e) When the Secretary finds it in the public
interest, the Secretary may suspend or grant exemptions from the requirements of a regulation
prescribed under this section related to lifesaving and firefighting equipment, muster lists,
ground tackle and hawsers, and bilge systems.
(f) In prescribing regulations for offshore supply vessels, the Secretary shall consider the
characteristics, methods of operation, and the
nature of the service of offshore supply vessels.
(g) In prescribing regulations for fish processing or fish tender vessels, the Secretary shall
consult with representatives of the private sector having experience in the operation of these
vessels. The regulations shall reflect the specialized nature and economics of fish processing or
fish tender vessel operations and the character,
design, and construction of fish processing or
fish tender vessels.
(h) The Secretary shall establish appropriate
structural fire protection, manning, operating,
and equipment requirements for vessels of at
least 100 gross tons but less than 300 gross tons
as measured under section 14502 of this title, or
an alternate tonnage measured under section
14302 of this title as prescribed by the Secretary
under section 14104 of this title carrying not
more than 150 passengers on domestic voyages,
which meet the eligibility criteria of section
2113(4) of this title.
(i) The Secretary shall establish appropriate
structural fire protection, manning, operating,
and equipment requirements for former public
vessels of the United States of at least 100 gross
§ 3306
TITLE 46—SHIPPING
tons but less that 500 gross tons as measured
under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this
title as prescribed by the Secretary under section 14104 of this title carrying not more than
150 passengers on domestic voyages, which meet
the eligibility criteria of section 2113(5) of this
title.
(j) The Secretary may establish by regulation
a safety management system appropriate for the
characteristics, methods of operation, and nature of service of towing vessels.
(k)(1) Each vessel of the United States that is
constructed under a contract entered into after
the date of enactment of the Maritime Safety
Act of 2010, or that is delivered after January 1,
2011, with an aggregate capacity of 600 cubic meters or more of oil fuel, shall comply with the
requirements of Regulation 12A under Annex I
to the Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973, entitled ‘‘Oil Fuel Tank
Protection’’.
(2) The Secretary may prescribe regulations to
apply the requirements described in Regulation
12A to vessels described in paragraph (1) that are
not otherwise subject to that convention. Any
such regulation shall be considered to be an interpretive rule for the purposes of section 553 of
title 5.
(3) In this subsection the term ‘‘oil fuel’’
means any oil used as fuel in connection with
the propulsion and auxiliary machinery of the
vessel in which such oil is carried.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 513; Pub. L.
98–364, title IV, § 402(5), July 17, 1984, 98 Stat. 446;
Pub. L. 103–206, title V, § 512(a), Dec. 20, 1993, 107
Stat. 2442; Pub. L. 104–324, title VI, § 604(a), (c),
title VII, § 712, Oct. 19, 1996, 110 Stat. 3930, 3931,
3936; Pub. L. 108–293, title IV, § 415(b), Aug. 9,
2004, 118 Stat. 1047; Pub. L. 109–304, § 15(12), Oct.
6, 2006, 120 Stat. 1703; Pub. L. 111–281, title VI,
§ 612, Oct. 15, 2010, 124 Stat. 2970.)
HISTORICAL AND REVISION NOTES
Revised section
3306 ..............................................
Source section (U.S. Code)
46:366
46:369
46:375
46:390b
46:392
46:404
46:408
46:411
46:412
46:416
46:420
46:445
46:459
46:473
46:477
46:478
46:479
46:481
46:482
46:483
46:489
46:526p
46:1295f(c)
Section 3306 contains broad authority to prescribe
regulations for the proper inspection and certification
of vessels. It provides regulatory flexibility for meeting
technological changes. The section also permits flexibility in prescribing regulations for nautical school
vessels operated by the United States Merchant Marine
Academy or by a State maritime academy. The Secretary may suspend or grant exemptions to certain lim-
Page 48
ited inspection requirements when the Secretary finds
that this is necessary in the public interest. It also contains the requirement that in regulating offshore supply vessels consideration must be given to the special
nature of their operations.
REFERENCES IN TEXT
The date of enactment of the Maritime Safety Act of
2010, referred to in subsec. (k)(1), is the date of enactment of title VI of Pub. L. 111–281, which was approved
Oct. 15, 2010.
AMENDMENTS
2010—Subsec. (k). Pub. L. 111–281 added subsec. (k).
2006—Subsec. (d). Pub. L. 109–304 substituted ‘‘section
51102 of this title’’ for ‘‘section 1302(3) of the Merchant
Marine Act, 1936 (46 App. U.S.C. 1295a(3))’’.
2004—Subsec. (j). Pub. L. 108–293 added subsec. (j).
1996—Subsec. (a)(4). Pub. L. 104–324, § 604(c), substituted ‘‘paragraphs (1), (2), and (3)’’ for ‘‘clauses
(1)–(3)’’.
Subsec. (b). Pub. L. 104–324, § 604(a), amended subsec.
(b) generally. Prior to amendment, subsec. (b) read as
follows: ‘‘Equipment subject to regulation under this
section may not be used on any vessel without prior approval as prescribed by regulation.’’
Subsec. (h). Pub. L. 104–324, § 712(1), inserted ‘‘as
measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this title
as prescribed by the Secretary under section 14104 of
this title’’ after ‘‘300 gross tons’’.
Subsec. (i). Pub. L. 104–324, § 712(2), inserted ‘‘as measured under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this title as
prescribed by the Secretary under section 14104 of this
title’’ after ‘‘500 gross tons’’.
1993—Subsecs. (h), (i). Pub. L. 103–206 added subsecs.
(h) and (i).
1984—Subsec. (g). Pub. L. 98–364 added subsec. (g).
REGULATIONS
Pub. L. 103–206, title V, § 512(b), (c), Dec. 20, 1993, 107
Stat. 2442, provided that:
‘‘(b) The Secretary of Transportation shall, within
twenty-four months of the date of enactment of this
Act [Dec. 20, 1993], prescribe regulations establishing
the structural fire protection, manning, operating, and
equipment requirements for vessels which meet the requirements of subsections (h) and (i) of section 3306 of
title 46, United States Code, as amended by this Act.
‘‘(c) Before the Secretary of Transportation prescribes regulations under subsections (h) and (i) of section 3306 of title 46, United States Code, as amended by
this Act, the Secretary may prescribe the route, service, manning, and equipment for those vessels based on
existing passenger vessel and small passenger vessel
regulations.’’
TOWING VESSELS
Pub. L. 111–281, title VII, § 701(c), Oct. 15, 2010, 124
Stat. 2980, provided that: ‘‘No later than 90 days after
the date of enactment of this Act [Oct. 15, 2010], the
Secretary shall issue a notice of proposed rulemaking
regarding inspection requirements for towing vessels
required under section 3306(j) of title 46, United States
Code. The Secretary shall issue a final rule pursuant to
that rulemaking no later than 1 year after the date of
enactment of this Act.’’
[‘‘Secretary’’ as used in section 701(c) of Pub. L.
111–281, set out above, probably means the Secretary of
the department in which the Coast Guard is operating,
see section 701(a)(1) of Pub. L. 111–281, set out as a note
under section 1321 of Title 33, Navigation and Navigable
Waters.]
FOREIGN APPROVALS
Pub. L. 104–324, title VI, § 604(b), Oct. 19, 1996, 110 Stat.
3931, provided that: ‘‘The Secretary of Transportation,
in consultation with other interested Federal agencies,
Page 49
§ 3309
TITLE 46—SHIPPING
shall work with foreign governments to have those governments approve the use of the same equipment and
materials on vessels documented under the laws of
those countries that the Secretary requires on United
States documented vessels.’’
INTERNATIONAL CONVENTION FOR SAFETY OF LIFE AT
SEA
For International Conventions for the Safety of Life
at Sea to which the United States has been a party, see
section 1602 of Title 33, Navigation and Navigable Waters, and notes thereunder.
§ 3307. Frequency of inspection
Each vessel subject to inspection under this
part shall undergo an initial inspection for certification before being put into service. After
being put into service—
(1) each passenger vessel, nautical school
vessel, and small passenger vessel allowed to
carry more than 12 passengers on a foreign
voyage shall be inspected at least once a year;
and
(2) any other vessel shall be inspected at
least once every 5 years.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 514; Pub. L.
104–324, title VI, § 605(a), Oct. 19, 1996, 110 Stat.
3931.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3307(1) ..........................................
3307(2) ..........................................
3307(3) ..........................................
46:391(c)
46:1295f(c)
46:390a(a)
46:404–1(6)(i)
46:391(b)
46:392(b)
46:404–1(6)(ii)
Section 3307 requires each vessel subject to inspection
to undergo an initial inspection prior to being placed in
service. This is normally started during the construction or reconstruction phase and is a continuing process until final certification for operation in a particular trade. Subsequent periodic inspections are also required for various types of vessels. It is to be noted
that a freight vessel of less than 100 gross tons shall be
inspected at 3 year intervals while the larger freight
vessel has a 2 year inspection period. This is being done
to retain the existing procedure of issuing 3 year certificates of inspection to smaller vessels, however, this
does not prevent periodic inspections or examinations
at intervening periods.
AMENDMENTS
1996—Par. (1). Pub. L. 104–324, § 605(a)(1), substituted
‘‘, nautical school vessel, and small passenger vessel allowed to carry more than 12 passengers on a foreign
voyage’’ for ‘‘and nautical school vessel’’ and inserted
‘‘and’’ at end.
Pars. (2), (3). Pub. L. 104–324, § 605(a)(2), (3), redesignated par. (3) as (2), substituted ‘‘5 years’’ for ‘‘2 years’’,
and struck out former par. (2) which read as follows:
‘‘each small passenger vessel, freight vessel or offshore
supply vessel of less than 100 gross tons, and sailing
school vessel shall be inspected at least once every 3
years; and’’.
§ 3308. Examinations
In addition to inspections required by section
3307 of this title, the Secretary shall examine or
have examined—
(1) each vessel subject to inspection at proper times to ensure compliance with law and
regulations; and
(2) crewmember accommodations on each
vessel subject to inspection at least once a
month or when the vessel enters United States
ports to ensure that the accommodations are—
(A) of the size required by law and regulations;
(B) properly ventilated and in a clean and
sanitary condition; and
(C) equipped with proper plumbing and mechanical appliances required by law and regulations, and the appliances are in good
working condition.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 514; Pub. L.
104–324, title VI, § 603(c), Oct. 19, 1996, 110 Stat.
3930.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3308 ..............................................
46:435
46:660a
46:660b
Section 3308 requires the Secretary to carry out additional inspections as might be necessary to ensure compliance with applicable laws and regulations, and to ensure that accommodations are maintained in a sanitary
condition and that all appliances are in good working
order.
AMENDMENTS
1996—Pub. L. 104–324 inserted ‘‘or have examined’’
after ‘‘examine’’ in introductory provisions.
§ 3309. Certificate of inspection
(a) When an inspection under section 3307 of
this title has been made and a vessel has been
found to be in compliance with the requirements
of law and regulations, a certificate of inspection, in a form prescribed by the Secretary,
shall be issued to the vessel.
(b) The Secretary may issue a temporary certificate of inspection in place of a regular certificate of inspection issued under subsection (a)
of this section.
(c) At least 30 days before the current certificate of inspection issued to a vessel under subsection (a) of this section expires, the owner,
charterer, managing operator, agent, master, or
individual in charge of the vessel shall submit to
the Secretary in writing a notice that the vessel—
(1) will be required to be inspected; or
(2) will not be operated so as to require an
inspection.
(d) A certificate of inspection issued under
this section shall be signed by the senior Coast
Guard member or civilian employee who inspected the vessel, in addition to the officer in
charge of marine inspection.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 515; Pub. L.
98–498, title II, § 211(a), Oct. 19, 1984, 98 Stat. 2303;
Pub. L. 104–324, title VI, § 606, Oct. 19, 1996, 110
Stat. 3931; Pub. L. 111–281, title V, § 522(c), Oct.
15, 2010, 124 Stat. 2957.)
HISTORICAL AND REVISION NOTES
Revised section
3309 ..............................................
Source section (U.S. Code)
46:390c
46:391a(8)
46:395(d)
46:399
Section 3309 provides for the issuance of a certificate
of inspection that attests to the fact that the vessel has
§ 3701
TITLE 46—SHIPPING
CHAPTER 37—CARRIAGE OF LIQUID BULK
DANGEROUS CARGOES
Sec.
3701.
3702.
3703.
3703a.
3704.
3705.
3706.
3707.
3708.
3709.
3710.
3711.
3712.
3713.
3714.
3715.
3716.
3717.
3718.
3719.
Definitions.
Application.
Regulations.
Tank vessel construction standards.
Coastwise trade vessels.
Crude oil tanker minimum standards.
Product carrier minimum standards.
Tanker minimum standards.
Self-propelled tank vessel minimum standards.
Exemptions.
Evidence of compliance by vessels of the
United States.
Evidence of compliance by foreign vessels.
Notification of noncompliance.
Prohibited acts.
Inspection and examination.
Lightering.
Tank washings.
Marine safety information system.
Penalties.
Reduction of oil spills from single hull nonself-propelled tank vessels.
AMENDMENTS
2006—Pub. L. 109–304, § 15(14), Oct. 6, 2006, 120 Stat.
1703, inserted ‘‘single hull’’ before ‘‘non-self-propelled’’
in item 3719.
1996—Pub. L. 104–324, title IX, § 901(c), Oct. 19, 1996, 110
Stat. 3947, added item 3719.
1990—Pub. L. 101–380, title IV, § 4115(c), Aug. 18, 1990,
104 Stat. 520, added item 3703a.
HISTORICAL AND REVISION NOTES
Chapter 37 consolidates the laws that are applicable
to vessels that transport oil or hazardous material in
bulk as cargo or cargo residue.
The history of Federal authority to carry out a tank
vessel safety program begins with the enactment of the
so-called Tank Vessel Act of 1936 which, as amended, is
presently codified in section 391a of title 46, United
States Code. The 1936 Act remained essentially the
same until it was amended by the Ports and Waterways
Safety Act of 1972. The 1972 amendment contained more
specific standards for the protection of a tank vessel
and its crew and added vessel standards to improve the
quality of the marine environment. After a rash of
tank vessel accidents during the latter part of 1976 and
early 1977 within our territorial seas and in nearby
coastal waters, there was an outpouring of public attention to the need to protect United States ports and
waterways, for the safety of tank vessels, and for the
protection of the marine environment. This led to the
enactment of the Port and Tanker Safety Act of 1978,
which provided broader and more extensive regulatory
authority over areas already regulated and over many
areas not previously regulated. It provided for improvements in the supervision and control of vessels of all
types operating in the navigable waters of the United
States, and in the safety of all tank vessels, foreign or
domestic, that transport or transfer oil or hazardous
cargoes in ports or places subject to the jurisdiction of
the United States. The 1978 amendments also reflect, in
part, certain tank vessel standards and requirements
that have been accepted internationally, in particular
those developed by the International Conference on
Tanker Safety and Pollution Prevention held in London in February, 1978.
§ 3701. Definitions
In this chapter—
(1) ‘‘existing’’, when referring to a type of
vessel to which this chapter applies, means a
vessel that is not a new vessel.
Page 62
[(2) Repealed. Pub. L. 100–424, § 8(c)(2), Sept.
9, 1988, 102 Stat. 1593.]
(3) ‘‘new’’, when referring to a type of vessel
to which this chapter applies, means a vessel—
(A) for which the building contract is
placed after June 1, 1979;
(B) in the absence of a building contract,
the keel of which is laid, or which is at a
similar stage of construction, after January
1, 1980;
(C) the delivery of which is after June 1,
1982; or
(D) that has undergone a major conversion
under a contract made after June 1, 1979, or
construction work that began after January
1, 1980, or was completed after June 1, 1982.
(4) ‘‘person’’ means an individual (even if not
a citizen or national of the United States), a
corporation, partnership, association, or other
entity (even if not organized or existing under
the laws of a State), the United States Government, a State or local government, a government of a foreign country, or an entity of one
of those governments.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 521; Pub. L.
99–509, title V, § 5102(b)(5), Oct. 21, 1986, 100 Stat.
1927; Pub. L. 100–424, § 8(c)(2), Sept. 9, 1988, 102
Stat. 1593.)
HISTORICAL AND REVISION NOTES
Revised section
3701(1)
3701(2)
3701(3)
3701(4)
3701(5)
3701(6)
Source section (U.S. Code)
..........................................
..........................................
..........................................
..........................................
..........................................
..........................................
46:391a(2)(R)
46:391a(2)(P)
46:391a(2)(Q)
46:391a(2)(F)
46:391a(2)(J)
46:391a(2)(K)
Section 3701 contains definitions that are of a special
nature with limited applicability to this chapter.
AMENDMENTS
1988—Par. (2). Pub. L. 100–424 struck out par. (2) which
read as follows: ‘‘ ‘major conversion’ means a conversion of an existing vessel that substantially changes
the dimensions or carrying capacity of the vessel or
changes the type of vessel or substantially prolongs its
life or that otherwise so changes the vessel that it is
essentially a new vessel, as decided by the Secretary.’’
1986—Pars. (5), (6). Pub. L. 99–509 struck out par. (5)
defining ‘‘State’’ as including Trust Territory of the
Pacific Islands in addition to its meaning under section
2101(36) of this title, and struck out par. (6) defining
‘‘United States’’ as including the Trust Territory of the
Pacific Islands in addition to its meaning under section
2101(44) of this title.
EFFECTIVE DATE
Chapter effective Apr. 15, 1984, see section 2(g)(1) of
Pub. L. 98–89, set out as a note under section 3101 of
this title.
§ 3702. Application
(a) Subject to subsections (b)–(e) of this section, this chapter applies to a tank vessel.
(b) This chapter does not apply to a documented vessel that would be subject to this
chapter only because of the transfer of fuel from
the fuel supply tanks of the vessel to offshore
drilling or production facilities in the oil industry if the vessel is—
(1) not a tanker; and
(2) in the service of oil exploitation.
Page 63
TITLE 46—SHIPPING
(c) This chapter does not apply to a fishing or
fish tender vessel of not more than 500 gross
tons as measured under section 14502 of this
title, or an alternate tonnage measured under
section 14302 of this title as prescribed by the
Secretary under section 14104 of this title when
engaged only in the fishing industry.
(d) This chapter does not apply to a fish processing vessel of not more than 5,000 gross tons as
measured under section 14502 of this title, or an
alternate tonnage measured under section 14302
of this title as prescribed by the Secretary under
section 14104 of this title. However, the vessel is
subject to regulation by the Secretary when carrying flammable or combustible liquid cargo in
bulk.
(e) This chapter does not apply to a foreign
vessel on innocent passage on the navigable waters of the United States.
(f) This chapter does not apply to an oil spill
response vessel if—
(1) the vessel is used only in response-related
activities; or
(2) the vessel is—
(A) not more than 500 gross tons as measured under section 14502 of this title, or an
alternate tonnage measured under section
14302 of this title as prescribed by the Secretary under section 14104 of this title;
(B) designated in its certificate of inspection as an oil spill response vessel; and
(C) engaged in response-related activities.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 521; Pub. L.
98–364, title IV, § 402(6), July 17, 1984, 98 Stat. 446;
Pub. L. 104–324, title VII, § 714, title XI, § 1104(b),
Oct. 19, 1996, 110 Stat. 3936, 3966; Pub. L. 111–281,
title VI, § 617(a)(2), Oct. 15, 2010, 124 Stat. 2973.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3702 ..............................................
46:391a
Section 3702, with certain exceptions, makes this
chapter applicable to any tank vessel operating in the
navigable waters of the United States or transferring
oil or hazardous materials in any port or place subject
to the jurisdiction of the United States, and which carries oil or any hazardous materials in bulk as cargo or
in residue, regardless of tonnage, size or manner of propulsion; whether it is self-propelled or not; whether it
is carrying freight or passengers for hire or not; and
whether it is a vessel of the United States or a foreign
vessel.
It exempts certain small vessels documented in the
service of oil exploitation, certain small tender and
fishing vessels used in the Northwest salmon or crab
fisheries, certain vessels used in the processing and assembling of fishery products used in the Northwest
fisheries, public vessels, and foreign vessels engaged on
innocent passage on the navigable waters of the United
States. However, processing vessels, while not treated
as tank vessels, are still subject to regulation when
carrying flammable or combustible liquid cargo in
bulk.
AMENDMENTS
2010—Subsec. (b)(1) to (3). Pub. L. 111–281 redesignated
pars. (2) and (3) as (1) and (2), respectively, and struck
out former par. (1), which read as follows: ‘‘not more
than 500 gross tons as measured under section 14502 of
this title, or an alternate tonnage measured under section 14302 of this title as prescribed by the Secretary
under section 14104 of this title;’’.
§ 3703
1996—Subsec. (b)(1). Pub. L. 104–324, § 714(1), inserted
‘‘as measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this
title as prescribed by the Secretary under section 14104
of this title’’ after ‘‘500 gross tons’’.
Subsec. (c). Pub. L. 104–324, § 714(2), inserted ‘‘as measured under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this title as
prescribed by the Secretary under section 14104 of this
title’’ after ‘‘500 gross tons’’.
Subsec. (d). Pub. L. 104–324, § 714(3), inserted ‘‘as
measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this title
as prescribed by the Secretary under section 14104 of
this title’’ after ‘‘5,000 gross tons’’.
Subsec. (f). Pub. L. 104–324, § 1104(b), added subsec. (f).
1984—Subsec. (c). Pub. L. 98–364, § 402(6)(A), substituted ‘‘This chapter does not apply to a fishing or
fish tender vessel of not more than 500 gross tons when
engaged only in the fishing industry’’ for ‘‘This chapter
does not apply to a cannery tender, fishing tender, or
fishing vessel of not more than 500 gross tons, used in
the salmon or crab fisheries of Alaska, Oregon, or
Washington, when engaged only in the fishing industry’’.
Subsec. (d). Pub. L. 98–364, § 402(6)(B), substituted
‘‘This chapter does not apply to a fish processing vessel
of not more than 5,000 gross tons’’ for ‘‘This chapter
does not apply to a vessel of not more than 5,000 gross
tons used in processing and assembling fishery products
of the fisheries of Alaska, Oregon, and Washington’’.
§ 3703. Regulations
(a) The Secretary shall prescribe regulations
for the design, construction, alteration, repair,
maintenance, operation, equipping, personnel
qualification, and manning of vessels to which
this chapter applies, that may be necessary for
increased protection against hazards to life and
property, for navigation and vessel safety, and
for enhanced protection of the marine environment. The Secretary may prescribe different
regulations applicable to vessels engaged in the
domestic trade, and also may prescribe regulations that exceed standards set internationally.
Regulations prescribed by the Secretary under
this subsection are in addition to regulations
prescribed under other laws that may apply to
any of those vessels. Regulations prescribed
under this subsection shall include requirements
about—
(1) superstructures, hulls, cargo holds or
tanks, fittings, equipment, appliances, propulsion machinery, auxiliary machinery, and
boilers;
(2) the handling or stowage of cargo, the
manner of handling or stowage of cargo, and
the machinery and appliances used in the handling or stowage;
(3) equipment and appliances for lifesaving,
fire protection, and prevention and mitigation
of damage to the marine environment;
(4) the manning of vessels and the duties,
qualifications, and training of the officers and
crew;
(5) improvements in vessel maneuvering and
stopping ability and other features that reduce the possibility of marine casualties;
(6) the reduction of cargo loss if a marine
casualty occurs; and
(7) the reduction or elimination of discharges during ballasting, deballasting, tank
cleaning, cargo handling, or other such activity.
Page 63
TITLE 46—SHIPPING
(c) This chapter does not apply to a fishing or
fish tender vessel of not more than 500 gross
tons as measured under section 14502 of this
title, or an alternate tonnage measured under
section 14302 of this title as prescribed by the
Secretary under section 14104 of this title when
engaged only in the fishing industry.
(d) This chapter does not apply to a fish processing vessel of not more than 5,000 gross tons as
measured under section 14502 of this title, or an
alternate tonnage measured under section 14302
of this title as prescribed by the Secretary under
section 14104 of this title. However, the vessel is
subject to regulation by the Secretary when carrying flammable or combustible liquid cargo in
bulk.
(e) This chapter does not apply to a foreign
vessel on innocent passage on the navigable waters of the United States.
(f) This chapter does not apply to an oil spill
response vessel if—
(1) the vessel is used only in response-related
activities; or
(2) the vessel is—
(A) not more than 500 gross tons as measured under section 14502 of this title, or an
alternate tonnage measured under section
14302 of this title as prescribed by the Secretary under section 14104 of this title;
(B) designated in its certificate of inspection as an oil spill response vessel; and
(C) engaged in response-related activities.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 521; Pub. L.
98–364, title IV, § 402(6), July 17, 1984, 98 Stat. 446;
Pub. L. 104–324, title VII, § 714, title XI, § 1104(b),
Oct. 19, 1996, 110 Stat. 3936, 3966; Pub. L. 111–281,
title VI, § 617(a)(2), Oct. 15, 2010, 124 Stat. 2973.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3702 ..............................................
46:391a
Section 3702, with certain exceptions, makes this
chapter applicable to any tank vessel operating in the
navigable waters of the United States or transferring
oil or hazardous materials in any port or place subject
to the jurisdiction of the United States, and which carries oil or any hazardous materials in bulk as cargo or
in residue, regardless of tonnage, size or manner of propulsion; whether it is self-propelled or not; whether it
is carrying freight or passengers for hire or not; and
whether it is a vessel of the United States or a foreign
vessel.
It exempts certain small vessels documented in the
service of oil exploitation, certain small tender and
fishing vessels used in the Northwest salmon or crab
fisheries, certain vessels used in the processing and assembling of fishery products used in the Northwest
fisheries, public vessels, and foreign vessels engaged on
innocent passage on the navigable waters of the United
States. However, processing vessels, while not treated
as tank vessels, are still subject to regulation when
carrying flammable or combustible liquid cargo in
bulk.
AMENDMENTS
2010—Subsec. (b)(1) to (3). Pub. L. 111–281 redesignated
pars. (2) and (3) as (1) and (2), respectively, and struck
out former par. (1), which read as follows: ‘‘not more
than 500 gross tons as measured under section 14502 of
this title, or an alternate tonnage measured under section 14302 of this title as prescribed by the Secretary
under section 14104 of this title;’’.
§ 3703
1996—Subsec. (b)(1). Pub. L. 104–324, § 714(1), inserted
‘‘as measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this
title as prescribed by the Secretary under section 14104
of this title’’ after ‘‘500 gross tons’’.
Subsec. (c). Pub. L. 104–324, § 714(2), inserted ‘‘as measured under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this title as
prescribed by the Secretary under section 14104 of this
title’’ after ‘‘500 gross tons’’.
Subsec. (d). Pub. L. 104–324, § 714(3), inserted ‘‘as
measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this title
as prescribed by the Secretary under section 14104 of
this title’’ after ‘‘5,000 gross tons’’.
Subsec. (f). Pub. L. 104–324, § 1104(b), added subsec. (f).
1984—Subsec. (c). Pub. L. 98–364, § 402(6)(A), substituted ‘‘This chapter does not apply to a fishing or
fish tender vessel of not more than 500 gross tons when
engaged only in the fishing industry’’ for ‘‘This chapter
does not apply to a cannery tender, fishing tender, or
fishing vessel of not more than 500 gross tons, used in
the salmon or crab fisheries of Alaska, Oregon, or
Washington, when engaged only in the fishing industry’’.
Subsec. (d). Pub. L. 98–364, § 402(6)(B), substituted
‘‘This chapter does not apply to a fish processing vessel
of not more than 5,000 gross tons’’ for ‘‘This chapter
does not apply to a vessel of not more than 5,000 gross
tons used in processing and assembling fishery products
of the fisheries of Alaska, Oregon, and Washington’’.
§ 3703. Regulations
(a) The Secretary shall prescribe regulations
for the design, construction, alteration, repair,
maintenance, operation, equipping, personnel
qualification, and manning of vessels to which
this chapter applies, that may be necessary for
increased protection against hazards to life and
property, for navigation and vessel safety, and
for enhanced protection of the marine environment. The Secretary may prescribe different
regulations applicable to vessels engaged in the
domestic trade, and also may prescribe regulations that exceed standards set internationally.
Regulations prescribed by the Secretary under
this subsection are in addition to regulations
prescribed under other laws that may apply to
any of those vessels. Regulations prescribed
under this subsection shall include requirements
about—
(1) superstructures, hulls, cargo holds or
tanks, fittings, equipment, appliances, propulsion machinery, auxiliary machinery, and
boilers;
(2) the handling or stowage of cargo, the
manner of handling or stowage of cargo, and
the machinery and appliances used in the handling or stowage;
(3) equipment and appliances for lifesaving,
fire protection, and prevention and mitigation
of damage to the marine environment;
(4) the manning of vessels and the duties,
qualifications, and training of the officers and
crew;
(5) improvements in vessel maneuvering and
stopping ability and other features that reduce the possibility of marine casualties;
(6) the reduction of cargo loss if a marine
casualty occurs; and
(7) the reduction or elimination of discharges during ballasting, deballasting, tank
cleaning, cargo handling, or other such activity.
§ 3703
TITLE 46—SHIPPING
(b) In prescribing regulations under subsection
(a) of this section, the Secretary shall consider
the types and grades of cargo permitted to be on
board a tank vessel.
(c) In prescribing regulations under subsection
(a) of this section, the Secretary shall establish
procedures for consulting with, and receiving
and considering the views of—
(1) interested departments, agencies, and instrumentalities of the United States Government;
(2) officials of State and local governments;
(3) representatives of port and harbor authorities and associations;
(4) representatives of environmental groups;
and
(5) other interested parties knowledgeable or
experienced in dealing with problems involving vessel safety, port and waterways safety,
and protection of the marine environment.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 522.)
HISTORICAL AND REVISION NOTES
Revised section
3703 ..............................................
Source section (U.S. Code)
46:391a(6)
46:391a(12)
Section 3703 requires the Secretary to issue regulations to implement this section. Specific items are listed to be included within the regulations issued. The
regulatory authority must be exercised under the Administrative Procedure Act and, in prescribing these
regulations, the Secretary must consider the kinds and
grades of cargo carried on board. Furthermore, in addition to any requirements of the Administrative Procedure Act, the Secretary must establish specific consultation procedures for considering the views of various specified interested officials, groups, and individuals. The procedures are intended to provide for consultation as early as possible in the regulatory process.
OIL FUEL TANK PROTECTION
Pub. L. 111–281, title VI, § 617(e), Oct. 15, 2010, 124 Stat.
2973, provided that:
‘‘(1) APPLICATION.—An offshore supply vessel of at
least 6,000 gross tons as measured under section 14302 of
title 46, United States Code, that is constructed under
a contract entered into after the date of enactment of
this Act [Oct. 15, 2010], or that is delivered after August
1, 2010, with an aggregate capacity of 600 cubic meters
or more of oil fuel, shall comply with the requirements
of Regulation 12A under Annex I to the Protocol of 1978
relating to the International Convention for the Prevention of Pollution from Ships, 1973, entitled Oil Fuel
Tank Protection, regardless of whether such vessel is
engaged in the coastwise trade or on an international
voyage.
‘‘(2) DEFINITION.—In this subsection the term ‘oil fuel’
means any oil used as fuel in connection with the propulsion and auxiliary machinery of the vessel in which
such oil is carried.’’
REGULATIONS FOR OFFSHORE SUPPLY VESSELS OF AT
LEAST 6,000 GROSS TONS
Pub. L. 111–281, title VI, § 617(f), Oct. 15, 2010, 124 Stat.
2974, as amended by Pub. L. 111–330, § 1(8), Dec. 22, 2010,
124 Stat. 3569, provided that:
‘‘(1) IN GENERAL.—Not later than January 1, 2012, the
Secretary of the department in which the Coast Guard
is operating shall promulgate regulations to implement
the amendments and authorities enacted by this section [amending sections 2101, 3702, 7312, and 8104 of this
title, enacting provisions set out as a note under this
section, and amending provisions set out as a note
under section 2101 of this title] for offshore supply ves-
Page 64
sels of at least 6,000 gross tons as measured under section 14302 of title 46, United States Code, and to ensure
the safe carriage of oil, hazardous substances, and individuals in addition to the crew on such vessels. The
final rule issued pursuant to such rulemaking may supersede the interim final rule promulgated under paragraph (2) of this subsection. In promulgating regulations under this subsection, the Secretary shall take
into consideration the characteristics of offshore supply vessels, their methods of operation, and their service in support of exploration, exploitation, or production of offshore mineral or energy resources.
‘‘(2) INTERIM FINAL RULE AUTHORITY.—As soon as is
practicable and without regard to the provisions of
chapters 5 and 6 of title 5, United States Code, the Secretary shall issue an interim final rule as a temporary
regulation implementing this section (including the
amendments made by this section) for offshore supply
vessels of at least 6,000 gross tons as measured under
section 14302 of title 46, United States Code, and to ensure the safe carriage of oil, hazardous substances, and
individuals in addition to the crew on such vessels.
‘‘(3) INTERIM PERIOD.—After the effective date of this
Act [Oct. 15, 2010], prior to the effective date of the regulations prescribed by paragraph (2) of this subsection,
and without regard to the provisions of chapters 5 and
6 of title 5, United States Code, and the offshore supply
vessel tonnage limits of applicable regulations and policy guidance promulgated prior to the date of enactment of this Act [Oct. 15, 2010], the Secretary of the department in which the Coast Guard is operating may—
‘‘(A) issue a certificate of inspection under section
3309 of title 46, United States Code, to an offshore
supply vessel of at least 6,000 gross tons as measured
under section 14302 of that title if the Secretary determines that such vessel’s arrangements and equipment meet the current Coast Guard requirements for
certification as a cargo and miscellaneous vessel;
‘‘(B) authorize a master, mate, or engineer who possesses an ocean or near coastal license and endorsement under part 11 of subchapter B of title 46, Code
of Federal Regulations, (or any successor regulation)
that qualifies the licensed officer for service on offshore supply vessels of at least 3,000 gross tons but
less than 6,000 gross tons, as measured under section
14302 of title 46, United States Code, to operate offshore supply vessels of at least 6,000 gross tons, as
measured under such section; and
‘‘(C) authorize any such master, mate, or engineer
who also possesses an ocean or near coastal license
and endorsement under such part that qualifies the
licensed officer for service on non trade-restricted
vessels of at least 1,600 gross tons but less than 3,000
gross tons, as measured under such section, to increase the tonnage limitation of such license and endorsement under section 11.402(c) of such part, using
service on vessels certificated under both subchapters
I and L of such title and measured only under such
section, except that such tonnage limitation shall
not exceed 10,000 gross tons as measured under such
section.’’
OIL TRANSFERS FROM VESSELS
Pub. L. 111–281, title VII, § 702, Oct. 15, 2010, 124 Stat.
2980, as amended by Pub. L. 111–330, § 1(10), Dec. 22, 2010,
124 Stat. 3570, provided that:
‘‘(a) REGULATIONS.—Within 1 year after the date of
enactment of this Act [Oct. 15, 2010], the Secretary of
the department in which the Coast Guard is operating
shall promulgate regulations to reduce the risks of oil
spills in operations involving the transfer of oil from or
to a tank vessel. The regulations—
‘‘(1) shall focus on operations that have the highest
risks of discharge, including operations at night and
in inclement weather;
‘‘(2) shall consider—
‘‘(A) requirements for the use of equipment, such
as putting booms in place for transfers, safety, and
environmental impacts;
‘‘(B) operational procedures such as manning
standards, communications protocols, and restrictions on operations in high-risk areas; or
Page 65
TITLE 46—SHIPPING
‘‘(C) both such requirements and operational procedures; and
‘‘(3) shall take into account the safety of personnel
and effectiveness of available procedures and equipment for preventing or mitigating transfer spills.
‘‘(b) APPLICATION WITH STATE LAWS.—The regulations
promulgated under subsection (a) do not preclude the
enforcement of any State law or regulation the requirements of which are at least as stringent as requirements under the regulations (as determined by the Secretary) that—
‘‘(1) applies in State waters; and
‘‘(2) does not conflict with, or interfere with the enforcement of, requirements and operational procedures under the regulations.’’
IMPROVEMENTS TO REDUCE HUMAN ERROR AND NEAR
MISS INCIDENTS
Pub. L. 111–281, title VII, § 703, Oct. 15, 2010, 124 Stat.
2981, as amended by Pub. L. 111–330, § 1(11), Dec. 22, 2010,
124 Stat. 3570, provided that:
‘‘(a) REPORT.—Within 1 year after the date of enactment of this Act [Oct. 15, 2010], the Secretary of the department in which the Coast Guard is operating shall
transmit a report to the Senate Committee on Commerce, Science, and Transportation and the House
Committee on Transportation and Infrastructure that,
using available data—
‘‘(1) identifies the types of human errors that, combined, could cause oil spills, with particular attention
to human error caused by fatigue, in the past 10
years;
‘‘(2) in consultation with representatives of industry and labor and experts in the fields of marine casualties and human factors, identifies the most frequent types of near-miss oil spill incidents involving
vessels such as collisions, allisions, groundings, and
loss of propulsion in the past 10 years;
‘‘(3) describes the extent to which there are gaps in
the data required under paragraphs (1) and (2), including gaps in the ability to define and identify fatigue,
and explains the reason for those gaps; and
‘‘(4) includes recommendations by the Secretary
and representatives of industry and labor and experts
in the fields of marine casualties and human factors
to address the identified types of errors and any such
gaps in the data.
‘‘(b) MEASURES.—Based on the findings contained in
the report required by subsection (a), the Secretary
shall take appropriate action to reduce the risk of oil
spills caused by human error.
‘‘(c) CONFIDENTIALITY OF VOLUNTARILY SUBMITTED INFORMATION.—The identity of a person making a voluntary disclosure under this section, and any information obtained from any such voluntary disclosure, shall
be treated as confidential.
‘‘(d) DISCOVERY OF VOLUNTARILY SUBMITTED INFORMATION.—
‘‘(1) IN GENERAL.—Except as provided in this subsection, a party in a judicial proceeding may not use
discovery to obtain information or data collected or
received by the Secretary for use in the report required in subsection (a).
‘‘(2) EXCEPTION.—
‘‘(A) Notwithstanding paragraph (1), a court may
allow discovery by a party in a judicial proceeding
of data described in paragraph (1) if, after an in
camera review of the information or data, the court
decides that there is a compelling reason to allow
the discovery.
‘‘(B) When a court allows discovery in a judicial
proceeding as permitted under this paragraph, the
court shall issue a protective order—
‘‘(i) to limit the use of the data to the judicial
proceeding; and
‘‘(ii) to prohibit dissemination of the data to
any person who does not need access to the data
for the proceeding.
‘‘(C) A court may allow data it has decided is discoverable under this paragraph to be admitted into
§ 3703
evidence in a judicial proceeding only if the court
places the data under seal to prevent the use of the
data for a purpose other than for the proceeding.
‘‘(3) APPLICATION.—Paragraph (1) shall not apply
to—
‘‘(A) any disclosure made with actual knowledge
that the disclosure was false, inaccurate, or misleading; or
‘‘(B) any disclosure made with reckless disregard
as to the truth or falsity of that disclosure.
‘‘(e) RESTRICTION ON USE OF DATA.—Data that is voluntarily submitted for the purpose of the study required under subsection (a) shall not be used in an administrative action under chapter 77 of title 46, United
States Code.’’
[Pub. L. 111–330, § 1(11), Dec. 22, 2010, 124 Stat. 3570,
which directed amendment of section 703(a) of Pub. L.
111–281, set out above, by inserting ‘‘of the department
in which the Coast Guard is operating’’ after ‘‘Secretary’’, was executed by making the insertion after
‘‘Secretary’’ the first place appearing, to reflect the
probable intent of Congress.]
PRESERVATION OF STATE AUTHORITY
Pub. L. 111–281, title VII, § 711(c), Oct. 15, 2010, 124
Stat. 2987, provided that: ‘‘Nothing in this Act [see
Tables for classification] or in any other provision of
Federal law related to the regulation of maritime
transportation of oil shall affect, or be construed or interpreted as preempting, the authority of any State or
political subdivision thereof which require the escort
by one or more tugs of laden oil tankers in the areas
which are specified in section 4116(c) of the Oil Pollution Act of 1990 [Pub. L. 101–380] (46 U.S.C. 3703 note).’’
STUDIES ADDRESSING VARIOUS SOURCES OF OIL SPILL
RISK
Pub. L. 104–324, title IX, § 903, Oct. 19, 1996, 110 Stat.
3947, provided that:
‘‘(a) STUDY OF GROUP-5 FUEL OIL SPILLS.—
‘‘(1) DEFINITION.—In this subsection, the term
‘group-5 fuel oil’ means a petroleum-based oil that
has a specific gravity of greater than 1.0.
‘‘(2) COORDINATION OF STUDY.—The Secretary of
Transportation shall coordinate with the Marine
Board of the National Research Council to conduct a
study of the relative environmental and public health
risks posed by discharges of group-5 fuel oil.
‘‘(3) MATTERS TO BE INCLUDED.—The study under
this subsection shall include a review and analysis
of—
‘‘(A) the specific risks posed to the public health
or welfare of the United States, including fish,
shellfish and wildlife, public and private property,
shorelines, beaches, habitat, and other natural resources under the jurisdiction or control of the
United States, as a result of an actual or threatened discharge of group-5 fuel oil from a vessel or
facility;
‘‘(B) cleanup technologies currently available to
address actual or threatened discharge of group-5
fuel oil; and
‘‘(C) any technological and financial barriers that
prevent the prompt remediation of discharges of
group-5 fuel oil.
‘‘(4) REPORT.—Not later than 18 months after the
date of enactment of this Act [Oct. 19, 1996], the Secretary of Transportation shall submit to the Committee on Environment and Public Works and the Committee on Commerce, Science, and Transportation of
the Senate, and the Committee on Transportation
and Infrastructure of the House of Representatives a
report on the results of the study under this subsection.
‘‘(5) RULEMAKING.—If the Secretary of Transportation determines, based on the results of the study
under this subsection, that there are significant risks
to public health or the environment resulting from
the actual or threatened discharge of group-5 fuel oil
§ 3703
TITLE 46—SHIPPING
from a vessel or facility that cannot be technologically or economically addressed by existing or anticipated cleanup efforts, the Secretary may initiate
a rulemaking to take such action as is necessary to
abate the threat.
‘‘(b) STUDY OF AUTOMATIC FUELING SHUTOFF EQUIPMENT.—
‘‘(1) COORDINATION OF STUDY.—The Secretary of
Transportation shall coordinate with the Marine
Board of the National Research Council to conduct a
study of the unintentional or accidental discharge of
fuel oil during lightering or fuel loading or off-loading activity.
‘‘(2) MATTERS TO BE INCLUDED.—The study under
this subsection shall include a review and analysis of
current monitoring and fueling practices to determine the need for automatic fuel shutoff equipment
to prevent the accidental discharge of fuel oil, and
whether such equipment is needed as a supplement to
or replacement of existing preventive equipment or
procedures.
‘‘(3) REPORT.—Not later than 18 months after the
date of enactment of this Act [Oct. 19, 1996], the Secretary of Transportation shall submit to the Committee on Environment and Public Works and the Committee on Commerce, Science, and Transportation of
the Senate and the Committee on Transportation and
Infrastructure of the House of Representatives a report on the results of the study under this subsection.
‘‘(4) RULEMAKING.—If the Secretary of Transportation determines, based on the results of the study
conducted under this subsection, that the use of automatic oil shutoff equipment is necessary to prevent
the actual or threatened discharge of oil during
lightering or fuel loading or off[-]loading activity,
the Secretary may initiate a rulemaking to take such
action as is necessary to abate a threat to public
health or the environment.
‘‘(c) LIGHTERING STUDY.—The Secretary of Transportation shall coordinate with the Marine Board of the
National Research Council on a study into the actual
incidence and risk of oil spills from lightering operations off the coast of the United States. Among other
things, the study shall address the manner in which existing regulations are serving to reduce oil spill risks.
The study shall take into account current or proposed
international rules and standards and also include recommendations on measures that would be likely to further reduce the risks of oil spills from lightering operations. Not later than 18 months after the date of enactment of this Act [Oct. 19, 1996], the Secretary shall
submit a report on the study to the Committee on
Commerce, Science, and Transportation of the Senate
and the Committee on Transportation and Infrastructure of the House of Representatives.’’
EXISTING TANK VESSEL RESEARCH
Pub. L. 104–324, title XI, § 1134, Oct. 19, 1996, 110 Stat.
3985, provided that:
‘‘(a) FUNDING.—The Secretary of Transportation shall
take steps to allocate funds appropriated for research,
development, testing, and evaluation, including the
combination of funds from any source available and authorized for this purpose, to ensure that any Government-sponsored project intended to evaluate double
hull alternatives that provide equal or greater protection to the marine environment, or interim solutions
to remediate potential environmental damage resulting
from oil spills from existing tank vessels, commenced
prior to the date of enactment of this section [Oct. 19,
1996], is fully funded for completion by the end of fiscal
year 1997. Any vessel construction or repair necessary
to carry out the purpose of this section must be performed in a shipyard located in the United States.
‘‘(b) USE OF PUBLIC VESSELS.—The Secretary may
provide vessels owned by, or demise chartered to, and
operated by the Government and not engaged in commercial service, without reimbursement, for use in and
the support of projects sponsored by the Government
for research, development, testing, evaluation, and
Page 66
demonstration of new or improved technologies that
are effective in preventing or mitigating oil discharges
and protecting the environment.’’
OIL SPILL PREVENTION AND RESPONSE TECHNOLOGY
TEST AND EVALUATION PROGRAM
Pub. L. 103–206, title III, § 310, Dec. 20, 1993, 107 Stat.
2425, provided that:
‘‘(a) Not later than 6 months after the date of enactment of this Act [Dec. 20, 1993], the Secretary of Transportation shall establish a program to evaluate the
technological feasibility and environmental benefits of
having tank vessels carry oil spill prevention and response technology. To implement the program the Secretary shall—
‘‘(1) publish in the Federal Register an invitation
for submission of proposals including plans and procedures for testing; and
‘‘(2) review and evaluate technology using, to the
maximum extent possible, existing evaluation and
performance standards.
‘‘(b) The Secretary shall, to the maximum extent possible, incorporate in the program established in subsection (a), the results of existing studies and evaluations of oil spill prevention and response technology
carried on tank vessels.
‘‘(c) Not later than 2 years after the date of the enactment of this Act [Dec. 20, 1993], the Secretary shall
evaluate the results of the program established in subsection (a) and submit a report to Congress with recommendations on the feasibility and environmental benefits of, and appropriate equipment and utilization
standards for, requiring tank vessels to carry oil spill
prevention and response equipment.
‘‘(d) Not later than 6 months after the date of the enactment of this Act [Dec. 20, 1993], the Secretary shall
evaluate and report to the Congress on the feasibility
of using segregated ballast tanks for emergency transfer of cargo and storage of recovered oil.’’
REGULATIONS REQUIRING PERIODIC GAUGING OF PLATING THICKNESS FOR OIL CARRYING COMMERCIAL VESSELS
Pub. L. 101–380, title IV, § 4109, Aug. 18, 1990, 104 Stat.
515, provided that: ‘‘Not later than 1 year after the date
of the enactment of this Act [Aug. 18, 1990], the Secretary shall issue regulations for vessels constructed or
adapted to carry, or that carry, oil in bulk as cargo or
cargo residue—
‘‘(1) establishing minimum standards for plating
thickness; and
‘‘(2) requiring, consistent with generally recognized
principles of international law, periodic gauging of
the plating thickness of all such vessels over 30 years
old operating on the navigable waters or the waters
of the exclusive economic zone.’’
REGULATIONS REQUIRING USE OF OVERFILL AND TANK
LEVEL OR MONITORING DEVICES ON OIL CARRYING
COMMERCIAL VESSELS
Pub. L. 101–380, title IV, § 4110, Aug. 18, 1990, 104 Stat.
515, as amended by Pub. L. 108–293, title VII, § 702(a),
Aug. 9, 2004, 118 Stat. 1068, provided that:
‘‘(a) STANDARDS.—The Secretary may establish, by
regulation, minimum standards for devices for warning
persons of overfills and tank levels of oil in cargo tanks
and devices for monitoring the pressure of oil cargo
tanks.
‘‘(b) USE.—No sooner than 1 year after the Secretary
prescribes regulations under subsection (a), the Secretary may issue regulations establishing, consistent
with generally recognized principles of international
law, requirements concerning the use of—
‘‘(1) overfill devices, and
‘‘(2) tank level or pressure monitoring devices,
which are referred to in subsection (a) and which meet
any standards established by the Secretary under subsection (a), on vessels constructed or adapted to carry,
or that carry, oil in bulk as cargo or cargo residue on
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TITLE 46—SHIPPING
the navigable waters and the waters of the exclusive
economic zone.’’
TANKER NAVIGATION SAFETY STANDARDS STUDY
Pub. L. 101–380, title IV, § 4111, Aug. 18, 1990, 104 Stat.
515, directed Secretary, not later than 2 years after
Aug. 18, 1990, to conduct a study and report to Congress
on whether existing laws and regulations are adequate
to ensure safe navigation of vessels transporting oil or
hazardous substances in bulk on navigable waters and
waters of the exclusive economic zone.
RULES GOVERNING OPERATION OF VESSELS ON AUTOPILOT OR WITH UNATTENDED ENGINE ROOM
Pub. L. 101–380, title IV, § 4114(a), Aug. 18, 1990, 104
Stat. 517, provided that: ‘‘In order to protect life, property, and the environment, the Secretary shall initiate
a rulemaking proceeding within 180 days after the date
of the enactment of this Act [Aug. 18, 1990] to define
the conditions under, and designate the waters upon,
which tank vessels subject to section 3703 of title 46,
United States Code, may operate in the navigable waters with the auto-pilot engaged or with an unattended
engine room.’’
REGULATIONS REQUIRING ESCORTS FOR CERTAIN
TANKERS; ‘‘TANKER’’ DEFINED
Pub. L. 101–380, title IV, § 4116(c), (d), Aug. 18, 1990, 104
Stat. 523, as amended by Pub. L. 111–281, title VII,
§ 711(b)(1), Oct. 15, 2010, 124 Stat. 2987, provided that:
‘‘(c) ESCORTS FOR CERTAIN TANKERS.—
‘‘(1) IN GENERAL.—The Secretary shall initiate issuance of regulations under section 3703(a)(3) of title 46,
United States Code, to define those areas, including
Prince William Sound, Alaska, and Rosario Strait
and Puget Sound, Washington (including those portions of the Strait of Juan de Fuca east of Port Angeles, Haro Strait, and the Strait of Georgia subject to
United States jurisdiction), on which single hulled
tankers over 5,000 gross tons transporting oil in bulk
shall be escorted by at least two towing vessels (as
defined under section 2101 of title 46, United States
Code) or other vessels considered appropriate by the
Secretary.
‘‘(2) PRINCE WILLIAM SOUND, ALASKA.—
‘‘(A) IN GENERAL.—The requirement in paragraph
(1) relating to single hulled tankers in Prince William Sound, Alaska, described in that paragraph
being escorted by at least 2 towing vessels or other
vessels considered to be appropriate by the Secretary (including regulations promulgated in accordance with section 3703(a)(3) of title 46, United
States Code, as set forth in part 168 of title 33, Code
of Federal Regulations (as in effect on March 1,
2009) implementing this subsection with respect to
those tankers) shall apply to double hulled tankers
over 5,000 gross tons transporting oil in bulk in
Prince William Sound, Alaska.
‘‘(B) IMPLEMENTATION OF REQUIREMENTS.—The
Secretary of the department in which the Coast
Guard is operating shall prescribe interim final regulations to carry out subparagraph (A) as soon as
practicable without notice and hearing pursuant to
section 553 of title 5 of the United States Code.’’
‘‘(d) TANKER DEFINED.—In this section [amending section 8502 of this title] the term ‘tanker’ has the same
meaning the term has in section 2101 of title 46, United
States Code.’’
[Pub. L. 111–281, title VII, § 711(b)(2), Oct. 15, 2010, 124
Stat. 2987, provided that: ‘‘The amendments made by
subsection (b) [amending section 4116(c) of Pub. L.
101–380, set out above] take effect on the date that is 90
days after the date of enactment of this Act [Oct. 15,
2010].’’]
§ 3703a. Tank vessel construction standards
(a) Except as otherwise provided in this section, a vessel to which this chapter applies shall
be equipped with a double hull—
§ 3703a
(1) if it is constructed or adapted to carry, or
carries, oil in bulk as cargo or cargo residue;
and
(2) when operating on the waters subject to
the jurisdiction of the United States, including the Exclusive Economic Zone.
(b) This section does not apply to—
(1) a vessel used only to respond to a discharge of oil or a hazardous substance;
(2) a vessel of less than 5,000 gross tons as
measured under section 14502 of this title, or
an alternate tonnage measured under section
14302 of this title as prescribed by the Secretary under section 14104 of this title
equipped with a double containment system
determined by the Secretary to be as effective
as a double hull for the prevention of a discharge of oil;
(3) before January 1, 2015—
(A) a vessel unloading oil in bulk at a
deepwater port licensed under the Deepwater
Port Act of 1974 (33 U.S.C. 1501 et seq.); or
(B) a delivering vessel that is offloading in
lightering activities—
(i) within a lightering zone established
under section 3715(b)(5) of this title; and
(ii) more than 60 miles from the baseline
from which the territorial sea of the
United States is measured;
(4) a vessel documented under chapter 121 of
this title that was equipped with a double hull
before August 12, 1992;
(5) a barge of less than 1,500 gross tons (as
measured under chapter 145 of this title) carrying refined petroleum product in bulk as
cargo in or adjacent to waters of the Bering
Sea, Chukchi Sea, and Arctic Ocean and waters tributary thereto and in the waters of the
Aleutian Islands and the Alaskan Peninsula
west of 155 degrees west longitude; or
(6) a vessel in the National Defense Reserve
Fleet pursuant to section 11 of the Merchant
Ship Sales Act of 1946 (50 App. U.S.C. 1744).
(c)(1) In this subsection, the age of a vessel is
determined from the later of the date on which
the vessel—
(A) is delivered after original construction;
(B) is delivered after completion of a major
conversion; or
(C) had its appraised salvage value determined by the Coast Guard and is qualified for
documentation as a wrecked vessel under section 12112 of this title.
(2) A vessel of less than 5,000 gross tons as
measured under section 14502 of this title, or an
alternate tonnage measured under section 14302
of this title as prescribed by the Secretary under
section 14104 of this title for which a building
contract or contract for major conversion was
placed before June 30, 1990, and that is delivered
under that contract before January 1, 1994, and
a vessel of less than 5,000 gross tons as measured
under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this
title as prescribed by the Secretary under section 14104 of this title that had its appraised salvage value determined by the Coast Guard before June 30, 1990, and that qualifies for documentation as a wrecked vessel under section
§ 3708
TITLE 46—SHIPPING
steering gear compartment, and a means of communication and rudder angle indicators at specified locations.
Page 72
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 524.)
HISTORICAL AND REVISION NOTES
AMENDMENTS
Revised section
1996—Subsec. (a). Pub. L. 104–324, § 716(1), inserted ‘‘as
measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this title
as prescribed by the Secretary under section 14104 of
this title’’ after ‘‘10,000 gross tons’’ in introductory provisions.
Subsec. (b). Pub. L. 104–324, § 716(2), inserted ‘‘as
measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this title
as prescribed by the Secretary under section 14104 of
this title’’ after ‘‘10,000 gross tons’’.
3709 ..............................................
§ 3708. Self-propelled
standards
tank
vessel
minimum
A self-propelled tank vessel of at least 10,000
gross tons as measured under section 14502 of
this title, or an alternate tonnage measured
under section 14302 of this title as prescribed by
the Secretary under section 14104 of this title
shall be equipped with—
(1) a dual radar system with short-range and
long-range capabilities, each with true-north
features;
(2) an electronic relative motion analyzer
that is at least functionally equivalent to
equipment complying with specifications established by the Secretary of Transportation;
(3) an electronic position-fixing device;
(4) adequate communications equipment;
(5) a sonic depth finder;
(6) a gyrocompass; and
(7) up-to-date charts.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 524; Pub. L.
104–324, title VII, § 717, Oct. 19, 1996, 110 Stat.
3937.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3708 ..............................................
46:391a(7)(J)
Section 3708 requires compliance with certain minimum standards by a self-propelled tank vessel. These
requirements apply to any tank vessel of 10,000 gross
tons or above with no distinction being made as to
whether or not the vessel is ‘‘primarily’’ constructed or
adapted to carry oil or hazardous material in bulk in
the cargo spaces. These vessels are required to be
equipped with a dual radar system, a computerized relative motion analyzer, an electronic position fixing device, adequate communications equipment, a sonic
depth finder, a gyrocompass, and up-to-date charts.
AMENDMENTS
1996—Pub. L. 104–324 inserted ‘‘as measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this title as prescribed by
the Secretary under section 14104 of this title’’ after
‘‘10,000 gross tons’’.
§ 3709. Exemptions
The Secretary may exempt a vessel from the
minimum requirements established by sections
3704–3706 of this title for segregated ballast,
crude oil washing, and dedicated clean ballast if
the Secretary decides that shore-based reception
facilities are a preferred method of handling ballast and that adequate facilities are readily
available.
Source section (U.S. Code)
46:391a(7)(N)
Section 3709 provides the Secretary with the authority to exempt certain minimum tanker requirements of
sections 3704, 3705, and 3706 when shorebased reception
facilities are a better way of handling ballast and when
the facilities are adequate and readily available.
§ 3710. Evidence of compliance by vessels of the
United States
(a) A vessel of the United States to which this
chapter applies that has on board oil or hazardous material in bulk as cargo or cargo residue
must have a certificate of inspection issued
under this part, endorsed to indicate that the
vessel complies with regulations prescribed
under this chapter.
(b) Each certificate endorsed under this section is valid for not more than 5 years and may
be renewed as specified by the Secretary. In appropriate circumstances, the Secretary may
issue a temporary certificate valid for not more
than 30 days. A certificate shall be suspended or
revoked if the Secretary finds that the vessel
does not comply with the conditions under
which the certificate was issued.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 524; Pub. L.
104–324, title VI, § 605(b), Oct. 19, 1996, 110 Stat.
3931.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3710 ..............................................
46:391a(8)(A)
46:391a(8)(E)
Section 3710 prohibits any vessels of the United
States subject to this chapter from having on board oil
or hazardous material in bulk as cargo or in residue,
unless it has a required Certificate of Inspection endorsed to indicate vessel compliance with applicable
regulations. Certificates shall be valid for a period not
to exceed two years and may be renewed as specified by
the Secretary. The Secretary may issue temporary certificates of not more than thirty days duration and
may revoke or suspend any certificate under designated circumstances.
AMENDMENTS
1996—Subsec. (b). Pub. L. 104–324 substituted ‘‘5
years’’ for ‘‘24 months’’.
§ 3711. Evidence of compliance by foreign vessels
(a) A foreign vessel to which this chapter applies may operate on the navigable waters of the
United States, or transfer oil or hazardous material in a port or place under the jurisdiction of
the United States, only if the vessel has been issued a certificate of compliance by the Secretary. The Secretary may issue the certificate
only after the vessel has been examined and
found to be in compliance with this chapter and
regulations prescribed under this chapter. The
Secretary may accept any part of a certificate,
endorsement, or document, issued by the government of a foreign country under a treaty,
convention, or other international agreement to
which the United States is a party, as a basis for
issuing a certificate of compliance.
Page 73
§ 3714
TITLE 46—SHIPPING
(b) A certificate issued under this section is
valid for not more than 24 months and may be
renewed as specified by the Secretary. In appropriate circumstances, the Secretary may issue a
temporary certificate valid for not more than 30
days.
(c) A certificate shall be suspended or revoked
if the Secretary finds that the vessel does not
comply with the conditions under which the certificate was issued.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 525.)
HISTORICAL AND REVISION NOTES
in compliance with this chapter or a regulation prescribed under this chapter;
(2) fail to comply with a lawful directive issued under this chapter; or
(3) carry a type or grade of oil or hazardous
material in bulk as cargo or cargo residue unless its certificate is endorsed to allow that
carriage.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 525.)
HISTORICAL AND REVISION NOTES
Revised section
3713 ..............................................
Revised section
3711 ..............................................
Source section (U.S. Code)
46:391a(8)(B)
46:391a(8)(C)
46:391a(8)(E)
Section 3711 prohibits any foreign vessel from operating on the navigable waters of the United States or
from transferring oil or hazardous material in any port
or place under the jurisdiction of the United States, unless it has a certificate of compliance issued by the
Secretary indicating that the vessel has been examined
and found to be in compliance with the provisions of
the applicable regulations. It also authorizes the Secretary to accept, in whole or in part, an appropriate
foreign certificate issued pursuant to any international
agreement to which the United States is a party, as a
basis for issuing the certificate of compliance. This
means that the Secretary does not have to accept foreign certificates as evidence of compliance, but may
take additional action to assure compliance with applicable domestic laws and regulations and international
treaty provisions.
§ 3712. Notification of noncompliance
The Secretary shall notify the owner, charterer, managing operator, agent, master, or individual in charge of a vessel found not to be in
compliance with a regulation prescribed under
this part and state how compliance may be
achieved.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 525.)
HISTORICAL AND REVISION NOTES
Revised section
3712 ..............................................
Source section (U.S. Code)
46:391a(13)
Source section (U.S. Code)
46:391a(8)(A)
46:391a(8)(B)
Section 3712 requires the Secretary to notify appropriate parties when a vessel is found not to be in compliance with applicable requirements, standards, or
regulations and what remedial steps must be taken in
order to comply with them.
§ 3713. Prohibited acts
(a) A person may not—
(1) violate this chapter or a regulation prescribed under this chapter;
(2) refuse to permit any official, authorized
by the Secretary to enforce this chapter, to
board a vessel or to enter a shore area, place,
or premises, under a person’s control to make
an inspection under this chapter; or
(3) refuse to obey a lawful directive issued
under this chapter.
(b) A vessel to which this chapter applies may
not—
(1) operate on the navigable waters of the
United States or use a port or place subject to
the jurisdiction of the United States when not
Section 3713(a) prohibits any person from violating
any provision of this chapter or a regulation prescribed
under its authority. It prohibits the refusal to permit
authorized officials to board a vessel or to enter a shore
area for the purposes of inspection of the vessel or
premises. It also prohibits the refusal to obey any lawful directive issued under this chapter.
Section 3713(b) prohibits any vessel, subject to the
provisions of this chapter from operating on the navigable waters of the United States, or from using any
port or place subject to the jurisdiction of the United
States while not in compliance with any provision of
applicable law or regulation. It further prohibits any
vessel from failing to comply with a lawful directive issued pursuant to the authority of this chapter. It also
prohibits the vessel from carrying oil or hazardous material as cargo or cargo residue unless its certificate is
so endorsed to permit its carriage.
§ 3714. Inspection and examination
(a)(1) The Secretary shall have each vessel to
which this chapter applies inspected or examined at least once each year.
(2) Each of those vessels that is more than 10
years of age shall undergo a special and detailed
inspection of structural strength and hull integrity as specified by the Secretary.
(3) The Secretary may make contracts for conducting inspections or examinations in the
United States and in foreign countries. An inspector conducting an inspection or examination under contract may not issue a certificate
of inspection or a certificate of compliance, but
the inspector may issue a temporary certificate.
(4) The Secretary shall prescribe by regulation
reasonable fees for an inspection or examination
conducted under this section outside the United
States, or which, when involving a foreign vessel, is conducted under a contract authorized by
paragraph (3) of this subsection. The owner,
charterer, or managing operator of a vessel inspected or examined by the Secretary is liable
for the fees. Amounts received as fees shall be
deposited in the Treasury.
(5) The Secretary may allow provisional entry
of a vessel to conduct an inspection or examination under this chapter.
(b) Each vessel to which this chapter applies
shall have on board those documents the Secretary considers necessary for inspection and
enforcement, including documents listing—
(1) the type, grade, and approximate quantities of cargo on board;
(2) the shipper and consignee of the cargo;
(3) the places of origin and destination of the
vessel; and
(4) the name of an agent in the United States
authorized to accept service of legal process.
Page 73
§ 3714
TITLE 46—SHIPPING
(b) A certificate issued under this section is
valid for not more than 24 months and may be
renewed as specified by the Secretary. In appropriate circumstances, the Secretary may issue a
temporary certificate valid for not more than 30
days.
(c) A certificate shall be suspended or revoked
if the Secretary finds that the vessel does not
comply with the conditions under which the certificate was issued.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 525.)
HISTORICAL AND REVISION NOTES
in compliance with this chapter or a regulation prescribed under this chapter;
(2) fail to comply with a lawful directive issued under this chapter; or
(3) carry a type or grade of oil or hazardous
material in bulk as cargo or cargo residue unless its certificate is endorsed to allow that
carriage.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 525.)
HISTORICAL AND REVISION NOTES
Revised section
3713 ..............................................
Revised section
3711 ..............................................
Source section (U.S. Code)
46:391a(8)(B)
46:391a(8)(C)
46:391a(8)(E)
Section 3711 prohibits any foreign vessel from operating on the navigable waters of the United States or
from transferring oil or hazardous material in any port
or place under the jurisdiction of the United States, unless it has a certificate of compliance issued by the
Secretary indicating that the vessel has been examined
and found to be in compliance with the provisions of
the applicable regulations. It also authorizes the Secretary to accept, in whole or in part, an appropriate
foreign certificate issued pursuant to any international
agreement to which the United States is a party, as a
basis for issuing the certificate of compliance. This
means that the Secretary does not have to accept foreign certificates as evidence of compliance, but may
take additional action to assure compliance with applicable domestic laws and regulations and international
treaty provisions.
§ 3712. Notification of noncompliance
The Secretary shall notify the owner, charterer, managing operator, agent, master, or individual in charge of a vessel found not to be in
compliance with a regulation prescribed under
this part and state how compliance may be
achieved.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 525.)
HISTORICAL AND REVISION NOTES
Revised section
3712 ..............................................
Source section (U.S. Code)
46:391a(13)
Source section (U.S. Code)
46:391a(8)(A)
46:391a(8)(B)
Section 3712 requires the Secretary to notify appropriate parties when a vessel is found not to be in compliance with applicable requirements, standards, or
regulations and what remedial steps must be taken in
order to comply with them.
§ 3713. Prohibited acts
(a) A person may not—
(1) violate this chapter or a regulation prescribed under this chapter;
(2) refuse to permit any official, authorized
by the Secretary to enforce this chapter, to
board a vessel or to enter a shore area, place,
or premises, under a person’s control to make
an inspection under this chapter; or
(3) refuse to obey a lawful directive issued
under this chapter.
(b) A vessel to which this chapter applies may
not—
(1) operate on the navigable waters of the
United States or use a port or place subject to
the jurisdiction of the United States when not
Section 3713(a) prohibits any person from violating
any provision of this chapter or a regulation prescribed
under its authority. It prohibits the refusal to permit
authorized officials to board a vessel or to enter a shore
area for the purposes of inspection of the vessel or
premises. It also prohibits the refusal to obey any lawful directive issued under this chapter.
Section 3713(b) prohibits any vessel, subject to the
provisions of this chapter from operating on the navigable waters of the United States, or from using any
port or place subject to the jurisdiction of the United
States while not in compliance with any provision of
applicable law or regulation. It further prohibits any
vessel from failing to comply with a lawful directive issued pursuant to the authority of this chapter. It also
prohibits the vessel from carrying oil or hazardous material as cargo or cargo residue unless its certificate is
so endorsed to permit its carriage.
§ 3714. Inspection and examination
(a)(1) The Secretary shall have each vessel to
which this chapter applies inspected or examined at least once each year.
(2) Each of those vessels that is more than 10
years of age shall undergo a special and detailed
inspection of structural strength and hull integrity as specified by the Secretary.
(3) The Secretary may make contracts for conducting inspections or examinations in the
United States and in foreign countries. An inspector conducting an inspection or examination under contract may not issue a certificate
of inspection or a certificate of compliance, but
the inspector may issue a temporary certificate.
(4) The Secretary shall prescribe by regulation
reasonable fees for an inspection or examination
conducted under this section outside the United
States, or which, when involving a foreign vessel, is conducted under a contract authorized by
paragraph (3) of this subsection. The owner,
charterer, or managing operator of a vessel inspected or examined by the Secretary is liable
for the fees. Amounts received as fees shall be
deposited in the Treasury.
(5) The Secretary may allow provisional entry
of a vessel to conduct an inspection or examination under this chapter.
(b) Each vessel to which this chapter applies
shall have on board those documents the Secretary considers necessary for inspection and
enforcement, including documents listing—
(1) the type, grade, and approximate quantities of cargo on board;
(2) the shipper and consignee of the cargo;
(3) the places of origin and destination of the
vessel; and
(4) the name of an agent in the United States
authorized to accept service of legal process.
§ 3715
TITLE 46—SHIPPING
(c) Each vessel to which this chapter applies
that operates in the United States shall have a
person designated as authorized to accept service of legal process for the vessel.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 526; Pub. L.
99–307, § 1(8), May 19, 1986, 100 Stat. 445.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
3714 ..............................................
46:391a(15)
Section 3714(a) requires the Secretary to establish a
program for the inspection of tank vessels, foreign or
domestic, at least once each year. The Committee contemplates that United States vessels will be issued a 2
year certificate of inspection with a mid-period examination. The Committee also contemplates that foreign-flag vessels will continue to be tracked and
boarded at least once a year or when they first arrive
in the United States. The Secretary may examine the
foreign-flag tank vessel but may accept, as a basis for
the issuance of a certificate of compliance, in whole or
in part a foreign-issued certificate.
Each vessel over 10 years of age must undergo a special and detailed inspection of structural strength and
hull integrity, as specified by the Secretary. An inspection or examination may be conducted by any officer
authorized by the Secretary. The Committee expects
that, whenever possible, a qualified marine inspector
will be used wherever the vessel undergoes these 10year inspections. The Secretary may also contract for
inspections or examinations in the United States and
in foreign countries.
The primary reason for including a provision that
permits the contracting for the conduct of inspections
and examinations is to provide flexibility in foreign
areas where Coast Guard marine inspectors are not normally available.
A contract inspector may be authorized to act on behalf of the Secretary, but may not issue a certificate of
inspection or compliance. The inspector may, however,
issue a temporary certificate.
The Committee understands that the 10-year inspections of United States-flag and foreign-flag vessels may
occur at the time the vessel is scheduled for shipyard
availability to complete the periodic classification society survey.
The Secretary is also authorized and directed to prescribe by regulation reasonable fees for certain inspections or examinations conducted pursuant to this section based on the cost incurred. The owner of any vessel inspected or examined by the Secretary or his designee shall be liable for the fee. Amounts received as
fees under this section are to be deposited in the Treasury.
Section 3714(b) requires each vessel subject to this
chapter to have on board those documents the Secretary declares are necessary for inspection or enforcement, including, but not limited to documents indicating the kind, grade, and approximate quantities of any
cargo on board; the shipper and consignee of the cargo;
the points of origin and destination of the vessel; and
the name of an agent in the United States authorized
to accept legal process.
Section 3714(c) requires each vessel subject to this
chapter to have a person authorized to accept service of
legal process for the vessel.
AMENDMENTS
1986—Subsec. (a)(4). Pub. L. 99–307 substituted ‘‘charterer’’ for ‘‘charter’’.
§ 3715. Lightering
(a) A vessel may transfer oil or hazardous material in a port or place subject to the jurisdiction of the United States, when the cargo has
Page 74
been transferred from another vessel on the navigable waters of the United States or in the marine environment, only if—
(1) the transfer was conducted consistent
with regulations prescribed by the Secretary;
(2) both the delivering and receiving vessels
had on board, at the time of transfer, a certificate of inspection or a certificate of compliance, as would have been required under section 3710 or 3711 of this title, had the transfer
taken place in a port or place subject to the
jurisdiction of the United States; and 1
(3) the delivering and the receiving vessel
had on board at the time of transfer, a certificate of financial responsibility as would have
been required under section 1016 of the Oil Pollution Act of 1990, had the transfer taken place
in a place subject to the jurisdiction of the
United States;
(4) the delivering and the receiving vessel
had on board at the time of transfer, evidence
that each vessel is operating in compliance
with section 311(j) of the Federal Water Pollution Control Act (33 U.S.C. 1321(j)); and
(5) the delivering and the receiving vessel
are operating in compliance with section 3703a
of this title.
(b) The Secretary shall prescribe regulations
to carry out subsection (a) of this section. The
regulations shall include provisions on—
(1) minimum safe operating conditions, including sea state, wave height, weather, proximity to channels or shipping lanes, and other
similar factors;
(2) the prevention of spills;
(3) equipment for responding to a spill;
(4) the prevention of any unreasonable interference with navigation or other reasonable
uses of the high seas, as those uses are defined
by treaty, convention, or customary international law;
(5) the establishment of lightering zones;
and
(6) requirements for communication and prearrival messages.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 526; Pub. L.
101–380, title IV, § 4115(d), Aug. 18, 1990, 104 Stat.
520.)
HISTORICAL AND REVISION NOTES
Revised section
3715 ..............................................
Source section (U.S. Code)
46:391a(17)
Section 3715 requires the Secretary to control lightering operations; that is, the transferring of cargoes at
sea from large deep-draft vessels to shallow-draft vessels for subsequent transfer to shoreside terminals due
to the inability of the larger tank vessels to enter shallow ports. It prohibits a tank vessel from unloading
any cargo of oil or hazardous material at any port or
terminal under the jurisdiction of the United States,
unless the cargo has been transferred in accordance
with lightering regulations. It also prohibits the shoreside transfer unless both the delivering and receiving
vessels involved in the prior lightering had on board at
the time of the offshore transfer, the certificates that
would have been required had the transfer taken place
in a port or place subject to the jurisdiction of the
United States.
1 So
in original. The word ‘‘and’’ probably should not appear.
Page 79
§ 4302
TITLE 46—SHIPPING
ber of activities, but the portion restated in this chapter deals with the establishment of national construction and performance standards for recreational vessels
and their associated equipment, the necessary flexible
regulatory authority for inspection and testing, Federal preemption, certain necessary prohibited acts, enforcement authority, investigation and reporting requirements, procedures for repair and defect notification, and attendant penalties and injunctive relief.
These laws are a direct response to the dramatic increase in the number of recreational boats and the Congressional recognition of the maritime safety problems
that recreational boating has imposed upon our more
than 25 million miles of waterways.
§ 4301. Application
(a) This chapter applies to a recreational vessel and associated equipment carried in the vessel on waters subject to the jurisdiction of the
United States (including the territorial sea of
the United States as described in Presidential
Proclamation No. 5928 of December 27, 1988) and,
for a vessel owned in the United States, on the
high seas.
(b) Except when expressly otherwise provided,
this chapter does not apply to a foreign vessel
temporarily operating on waters subject to the
jurisdiction of the United States.
(c) Until there is a final judicial decision that
they are navigable waters of the United States,
the following waters lying entirely in New
Hampshire are declared not to be waters subject
to the jurisdiction of the United States within
the meaning of this section: Lake Winnisquam,
Lake Winnipesaukee, parts of the Merrimack
River, and their tributary and connecting waters.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 529; Pub. L.
105–383, title III, § 301(b)(4), Nov. 13, 1998, 112
Stat. 3417.)
HISTORICAL AND REVISION NOTES
Revised section
Source section (U.S. Code)
4301 ..............................................
46:1453
Section 4301 provides that this chapter is applicable
to a recreational vessel that operates on waters subject
to the jurisdiction of the United States or that is
owned in the United States and while operating on the
high seas.
It also provides that a foreign recreational vessel
that temporarily uses our waters is not subject to the
requirements of this chapter. However, if the vessel remains permanently in the United States, it would be
subject to the provisions of this chapter.
Section 4301(c) recognizes the ongoing controversy
over the navigability of certain waters of New Hampshire. While a recreational vessel operating on these
waters need not meet the requirements of this chapter,
it would be prohibited from operating on any other waters subject to the jurisdiction of the United States if
it does not comply with these requirements.
REFERENCES IN TEXT
Presidential Proclamation No. 5928, referred to in
subsec. (a), is set out under section 1331 of Title 43,
Public Lands.
AMENDMENTS
1998—Subsec. (a). Pub. L. 105–383 inserted ‘‘(including
the territorial sea of the United States as described in
Presidential Proclamation No. 5928 of December 27,
1988)’’ after ‘‘of the United States’’.
EFFECTIVE DATE
Chapter effective Apr. 15, 1984, see section 2(g)(1) of
Pub. L. 98–89, set out as a note under section 3101 of
this title.
§ 4302. Regulations
(a) The Secretary may prescribe regulations—
(1) establishing minimum safety standards
for recreational vessels and associated equipment, and establishing procedures and tests
required to measure conformance with those
standards, with each standard—
(A) meeting the need for recreational vessel safety; and
(B) being stated, insofar as practicable, in
terms of performance;
(2) requiring the installation, carrying, or
use of associated equipment (including fuel
systems, ventilation systems, electrical systems, sound-producing devices, firefighting
equipment, lifesaving devices, signaling devices, ground tackle, life- and grab-rails, and
navigational equipment) on recreational vessels and classes of recreational vessels subject
to this chapter, and prohibiting the installation, carrying, or use of associated equipment
that does not conform with safety standards
established under this section; and
(3) requiring or permitting the display of
seals, labels, plates, insignia, or other devices
for certifying or evidencing compliance with
safety regulations and standards of the United
States Government for recreational vessels
and associated equipment.
(b) Each regulation prescribed under this section shall specify an effective date that is not
earlier than 180 days from the date the regulation was published, unless the Secretary finds
that there exists a recreational vessel safety
hazard so critical as to require an earlier effective date. However, this period may not be more
than 24 months for cases involving, in the discretion of the Secretary, major product design,
retooling, or major changes in the manufacturing process.
(c) In prescribing regulations under this section, the Secretary shall, among other things—
(1) consider the need for and the extent to
which the regulations will contribute to recreational vessel safety;
(2) consider relevant available recreational
vessel safety standards, statistics, and data,
including public and private research, development, testing, and evaluation;
(3) not compel substantial alteration of a
recreational vessel or item of associated
equipment that is in existence, or the construction or manufacture of which is begun before the effective date of the regulation, but
subject to that limitation may require compliance or performance, to avoid a substantial
risk of personal injury to the public, that the
Secretary considers appropriate in relation to
the degree of hazard that the compliance will
correct; and
(4) consult with the National Boating Safety
Advisory Council established under section
13110 of this title about the considerations referred to in clauses (1)–(3) of this subsection.
(d) Section 8903 of this title does not apply to
a vessel being operated for bona fide dealer dem-
§ 4303
TITLE 46—SHIPPING
onstrations provided without fee to business invitees. However, if on the basis of substantial
evidence, the Secretary decides under this section that requiring vessels so operated to be
under the control of licensed individuals is necessary for boating safety, then the Secretary
may prescribe regulations requiring the licensing of individuals controlling these vessels in
the same manner as provided in chapter 89 of
this title for individuals in control of vessels
carrying passengers for hire.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 530.)
HISTORICAL AND REVISION NOTES
Revised section
4302 ..............................................
Source section (U.S. Code)
46:1454
46:1455
46:1456
46:1464(g)
46:1488
Section 4302 authorizes the Secretary to prescribe
regulations to carry out the provisions of this chapter.
In lieu of establishing specific statutory safety requirements, subsection (a) provides flexible regulatory authority to establish uniform standards for the design,
construction, materials, and performance of the boats
themselves and all associated equipment. It also provides for the display of seals and other devices for certifying or evidencing compliance with applicable safety
regulations or standards.
Section 4302(b) requires a regulation prescribed under
this section to have an effective date that is not earlier
than 180 days from publication. However, in those instances where a safety hazard may be critical an earlier
effective date is authorized.
Section 4302(c) requires the Secretary to consider certain objectives in developing regulatory controls and
regulations or standards and that there must be an effective consultation process.
Section 4302(d) exempts dealer demonstration boats
from the requirement of having to be named by a licensed individual when demonstrating boats to prospective purchasers or other business invitees when no
fees are charged. The Secretary may require that boats
so used be under control of a licensed individual.
AVAILABILITY AND USE OF EPIRBS FOR RECREATIONAL
VESSELS
Pub. L. 105–383, title III, § 309, Nov. 13, 1998, 112 Stat.
3422, provided that: ‘‘The Secretary of Transportation,
through the Coast Guard and in consultation with the
National Transportation Safety Board and recreational
boating organizations, shall, within 24 months of the
date of the enactment of this Act [Nov. 13, 1998], assess
and report to Congress on the use of emergency position indicating beacons (EPIRBs) and similar devices
by operators of recreational vessels on the Intracoastal
Waterway and operators of recreational vessels beyond
the Boundary Line. The assessment shall at a minimum—
‘‘(1) evaluate the current availability and use of
EPIRBs and similar devices by the operators of recreational vessels and the actual and potential contribution of such devices to recreational boating safety; and
‘‘(2) provide recommendations on policies and programs to encourage the availability and use of
EPIRBS [sic] and similar devices by the operators of
recreational vessels.’’
§ 4303. Inspection and testing
(a) Subject to regulations, supervision, and reviews that the Secretary may prescribe, the Secretary may delegate to a person, private or public agency, or organization, or to an officer or
Page 80
employee under the supervision of that person
or agency, any work, business, or function related to the testing, inspection, and examination
necessary for compliance enforcement and for
the development of data to enable the Secretary
to prescribe regulations under section 4302 of
this title.
(b) The Secretary may—
(1) conduct research, testing, and development necessary to carry out this chapter, including the procurement by negotiation or
otherwise of experimental and other recreational vessels or associated equipment for
research and testing purposes; and
(2) subsequently sell those vessels.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 531.)
HISTORICAL AND REVISION NOTES
Revised section
4303 ..............................................
Source section (U.S. Code)
46:1457
Section 4303 authorizes the Secretary to delegate to
certain persons or agencies or organizations any work,
business, or function related to the testing, inspection,
and examination necessary for compliance enforcement. The Secretary may also conduct research, testing, and development necessary to carry out this chapter, including procurement of vessels and equipment
and their subsequent sale. The Committee wishes to
make clear that the Secretary may sell anything that
was purchased to test.
§ 4304. Importation of nonconforming vessels and
equipment
The Secretary and the Secretary of the Treasury may authorize by joint regulations the importation of any nonconforming recreational
vessel or associated equipment on conditions,
including providing a bond, that will ensure that
the recreational vessel or associated equipment
will be brought into conformity with applicable
safety regulations and standards of the Government before the vessel or equipment is operated
on waters subject to the jurisdiction of the
United States.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 531.)
HISTORICAL AND REVISION NOTES
Revised section
4304 ..............................................
Source section (U.S. Code)
46:1460
Section 4304 requires the regulation and control of
the importation of nonconforming recreational vessels
and associated equipment. This is to assure United
States manufacturers that foreign imports comply with
those regulations and standards in effect for United
States products so that all manufacturers will be on
this same competitive footing. This is being done in
lieu of providing a specific prohibition against the importation of these vessels and equipment that might be
considered an imposition of a non-tariff barrier to
trade.
§ 4305. Exemptions
If the Secretary considers that recreational
vessel safety will not be adversely affected, the
Secretary may issue an exemption from this
chapter or a regulation prescribed under this
chapter.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 531.)
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TITLE 46—SHIPPING
inspected fish processing vessel entered into service
after Dec. 31, 1987, having more than 16 individuals on
board primarily employed in preparation of fish on navigable waters of United States or owned in United
States and operating on high seas, for provisions which
related to uninspected fishing vessel, fish processing
vessel, or fish tender vessel, and in subsec. (b) substituting ‘‘carriage of bulk’’ for ‘‘carriage of liquid
bulk’’.
FOREIGN BUILT VESSELS, EQUIVALENT COMPLIANCE
UNTIL JULY 28, 1990
Pub. L. 100–424, § 7, Sept. 9, 1988, 102 Stat. 1592, provided that: ‘‘Until July 28, 1990, a foreign built fish
processing vessel subject to chapter 45 of title 46,
United States Code, is deemed to comply with the requirements of that chapter if—
‘‘(1) it has an unexpired certificate of inspection issued by a foreign country that is a party to an International Convention for Safety of Life at Sea to
which the United States Government is a party; and
‘‘(2) it is in compliance with the safety requirements of that foreign country that apply to that vessel.’’
§ 4502. Safety standards
(a) The Secretary shall prescribe regulations
which require that each vessel to which this
chapter applies shall be equipped with—
(1) readily accessible fire extinguishers capable of promptly and effectively extinguishing a
flammable or combustible liquid fuel fire;
(2) at least one readily accessible life preserver or other lifesaving device for each individual on board;
(3) an efficient flame arrestor, backfire trap,
or other similar device on the carburetors of
each inboard engine which uses gasoline as
fuel;
(4) the means to properly and efficiently
ventilate enclosed spaces, including engine
and fuel tank compartments, so as to remove
explosive or flammable gases;
(5) visual distress signals;
(6) other equipment required to minimize
the risk of injury to the crew during vessel operations, if the Secretary determines that a
risk of serious injury exists that can be eliminated or mitigated by that equipment; and
(7) a placard as required by regulations prescribed under section 10603(b) of this title.
(b)(1) In addition to the requirements of subsection (a) of this section, the Secretary shall
prescribe regulations requiring the installation,
maintenance, and use of the equipment in paragraph (2) of this subsection for vessels to which
this chapter applies that—
(A) operate beyond 3 nautical miles from the
baseline from which the territorial sea of the
United States is measured or beyond 3 nautical miles from the coastline of the Great
Lakes;
(B) operate with more than 16 individuals on
board; or
(C) in the case of a fish tender vessel, engage
in the Aleutian trade.
(2) The equipment to be required is as follows:
(A) alerting and locating equipment, including emergency position indicating radio beacons;
(B) a survival craft that ensures that no part
of an individual is immersed in water suffi-
§ 4502
cient to accommodate all individuals on
board;
(C) at least one readily accessible immersion
suit for each individual on board that vessel
when operating on the waters described in section 3102 of this title;
(D) marine radio communications equipment
sufficient to effectively communicate with
land-based search and rescue facilities;
(E) navigation equipment, including compasses, nautical charts, and publications;
(F) first aid equipment and medical supplies
sufficient for the size and area of operation of
the vessel; and
(G) ground tackle sufficient for the vessel.
(c)(1) In addition to the requirements described in subsections (a) and (b) of this section,
the Secretary may prescribe regulations establishing the standards in paragraph (2) of this
subsection for vessels to which this chapter applies that—
(A)(i) were built after December 31, 1988, or
undergo a major conversion completed after
that date; and
(ii) operate with more than 16 individuals on
board; or
(B) in the case of a fish tender vessel, engage
in the Aleutian trade.
(2) The standards shall be minimum safety
standards, including standards relating to—
(A) navigation equipment, including radars
and fathometers;
(B) lifesaving equipment, immersion suits,
signaling devices, bilge pumps, bilge alarms,
life rails, and grab rails;
(C) fire protection and firefighting equipment, including fire alarms and portable and
semiportable fire extinguishing equipment;
(D) use and installation of insulation material;
(E) storage methods for flammable or combustible material; and
(F) fuel, ventilation, and electrical systems.
(d)(1) The Secretary shall prescribe regulations for the operating stability of a vessel to
which this chapter applies—
(A) that was built after December 31, 1989; or
(B) the physical characteristics of which are
substantially altered after December 31, 1989,
in a manner that affects the vessel’s operating
stability.
(2) The Secretary may accept, as evidence of
compliance with this subsection, a certification
of compliance issued by the person providing insurance for the vessel or by another qualified
person approved by the Secretary.
(e) In prescribing regulations under this chapter, the Secretary—
(1) shall consider the specialized nature and
economics of the operations and the character,
design, and construction of the vessel; and
(2) may not require the alteration of a vessel
or associated equipment that was constructed
or manufactured before the effective date of
the regulation.
(f) To ensure compliance with the requirements of this chapter, the Secretary—
(1) shall require the individual in charge of a
vessel described in subsection (b) to keep a
§ 4502
TITLE 46—SHIPPING
record of equipment maintenance, and required instruction and drills; and
(2) shall examine at dockside a vessel described in subsection (b) at least once every 2
years, and shall issue a certificate of compliance to a vessel meeting the requirements of
this chapter.
(g)(1) The individual in charge of a vessel described in subsection (b) must pass a training
program approved by the Secretary that meets
the requirements in paragraph (2) of this subsection and hold a valid certificate issued under
that program.
(2) The training program shall—
(A) be based on professional knowledge and
skill obtained through sea service and handson training, including training in seamanship,
stability, collision prevention, navigation, fire
fighting and prevention, damage control, personal survival, emergency medical care, emergency drills, and weather;
(B) require an individual to demonstrate
ability to communicate in an emergency situation and understand information found in
navigation publications;
(C) recognize and give credit for recent past
experience in fishing vessel operation; and
(D) provide for issuance of a certificate to an
individual that has successfully completed the
program.
(3) The Secretary shall prescribe regulations
implementing this subsection. The regulations
shall require that individuals who are issued a
certificate under paragraph (2)(D) must complete refresher training at least once every 5
years as a condition of maintaining the validity
of the certificate.
(4) The Secretary shall establish a publicly accessible electronic database listing the names of
individuals who have participated in and received a certificate confirming successful completion of a training program approved by the
Secretary under this section.
(h) A vessel to which this chapter applies shall
be constructed in a manner that provides a level
of safety equivalent to the minimum safety
standards the Secretary may establish for recreational vessels under section 4302, if—
(1) subsection (b) of this section applies to
the vessel;
(2) the vessel is less than 50 feet overall in
length; and
(3) the vessel is built after January 1, 2010.
(i)(1) The Secretary shall establish a Fishing
Safety Training Grants Program to provide
funding to municipalities, port authorities,
other appropriate public entities, not-for-profit
organizations, and other qualified persons that
provide commercial fishing safety training—
(A) to conduct fishing vessel safety training
for vessel operators and crewmembers that—
(i) in the case of vessel operators, meets
the requirements of subsection (g); and
(ii) in the case of crewmembers, meets the
requirements of subsection (g)(2)(A), such requirements of subsection (g)(2)(B) as are appropriate for crewmembers, and the requirements of subsections (g)(2)(D), (g)(3), and
(g)(4); and
Page 86
(B) for purchase of safety equipment and
training aids for use in those fishing vessel
safety training programs.
(2) The Secretary shall award grants under
this subsection on a competitive basis.
(3) The Federal share of the cost of any activity carried out with a grant under this subsection shall not exceed 75 percent.
(4) There is authorized to be appropriated
$3,000,000 for each of fiscal years 2010 through
2014 for grants under this subsection.
(j)(1) The Secretary shall establish a Fishing
Safety Research Grant Program to provide funding to individuals in academia, members of nonprofit organizations and businesses involved in
fishing and maritime matters, and other persons
with expertise in fishing safety, to conduct research on methods of improving the safety of
the commercial fishing industry, including vessel design, emergency and survival equipment,
enhancement of vessel monitoring systems,
communications devices, de-icing technology,
and severe weather detection.
(2) The Secretary shall award grants under
this subsection on a competitive basis.
(3) The Federal share of the cost of any activity carried out with a grant under this subsection shall not exceed 75 percent.
(4) There is authorized to be appropriated
$3,000,000 for each fiscal years 2010 through 2014
for activities under this subsection.
(Added Pub. L. 98–364, title IV, § 402(7)(C), July
17, 1984, 98 Stat. 447; amended Pub. L. 98–557,
§ 33(a), Oct. 30, 1984, 98 Stat. 2876; Pub. L. 100–424,
§ 2(a), Sept. 9, 1988, 102 Stat. 1585; Pub. L. 101–595,
title VI, § 602(c), Nov. 16, 1990, 104 Stat. 2990; Pub.
L. 104–324, title III, § 307, Oct. 19, 1996, 110 Stat.
3918; Pub. L. 105–383, title III, § 301(b)(5), Nov. 13,
1998, 112 Stat. 3417; Pub. L. 111–281, title VI,
§ 604(a), Oct. 15, 2010, 124 Stat. 2962.)
AMENDMENTS
2010—Subsec. (a)(6). Pub. L. 111–281, § 604(a)(1)(A),
added par. (6) and struck out former par. (6) which read
as follows: ‘‘a buoyant apparatus, if the vessel is of a
type required by regulations prescribed by the Secretary to be equipped with that apparatus;’’.
Subsec. (a)(7), (8). Pub. L. 111–281, § 604(a)(1), redesignated par. (8) as (7) and struck out former par. (7) which
read as follows: ‘‘alerting and locating equipment, including emergency position indicating radio beacons,
on vessels that operate beyond 3 nautical miles from
the baselines from which the territorial sea of the
United States is measured, and which are owned in the
United States or beyond 3 nautical miles from the
coastline of the Great Lakes; and’’.
Subsec. (b)(1). Pub. L. 111–281, § 604(a)(2)(A), struck
out ‘‘documented’’ before ‘‘vessels’’.
Subsec. (b)(1)(A). Pub. L. 111–281, § 604(a)(2)(B), substituted ‘‘3 nautical miles from the baseline from which
the territorial sea of the United States is measured or
beyond 3 nautical miles from the coastline of the Great
Lakes’’ for ‘‘the Boundary Line’’.
Subsec. (b)(2)(B). Pub. L. 111–281, § 604(a)(2)(C), substituted ‘‘a survival craft that ensures that no part of
an individual is immersed in water’’ for ‘‘lifeboats or
liferafts’’.
Subsec. (b)(2)(D). Pub. L. 111–281, § 604(a)(2)(D), inserted ‘‘marine’’ before ‘‘radio communications’’.
Subsec. (b)(2)(E). Pub. L. 111–281, § 604(a)(2)(E), substituted ‘‘nautical charts, and publications’’ for ‘‘radar
reflectors, nautical charts, and anchors’’.
Subsec. (b)(2)(F). Pub. L. 111–281, § 604(a)(2)(F), substituted ‘‘and medical supplies sufficient for the size
Page 87
TITLE 46—SHIPPING
and area of operation of the vessel’’ for ‘‘, including
medicine chests’’.
Subsec. (b)(2)(G). Pub. L. 111–281, § 604(a)(2)(G), amended subpar. (G) generally. Prior to amendment, subpar.
(G) read as follows: ‘‘other equipment required to minimize the risk of injury to the crew during vessel operations, if the Secretary determines that a risk of serious injury exists that can be eliminated or mitigated
by that equipment.’’
Subsec. (f). Pub. L. 111–281, § 604(a)(3), amended subsec. (f) generally. Prior to amendment, subsec. (f) read
as follows: ‘‘To ensure compliance with the requirements of this chapter, at least once every 2 years the
Secretary shall examine—
‘‘(1) a fish processing vessel; and
‘‘(2) a fish tender vessel engaged in the Aleutian
trade.’’
Subsecs. (g) to (j). Pub. L. 111–281, § 604(a)(4), added
subsecs. (g) to (j).
1998—Subsec. (a)(7). Pub. L. 105–383 substituted ‘‘beyond 3 nautical miles from the baselines from which
the territorial sea of the United States is measured,
and which are owned in the United States’’ for ‘‘on the
high seas’’.
1996—Subsec. (a)(7). Pub. L. 104–324 inserted ‘‘or beyond 3 nautical miles from the coastline of the Great
Lakes’’ after ‘‘high seas’’.
1990—Subsec. (b). Pub. L. 101–595, § 602(c)(1), amended
subsec. (b) generally. Prior to amendment, subsec. (b)
read as follows: ‘‘In addition to the requirements of
subsection (a) of this section, the Secretary shall prescribe regulations for documented vessels to which this
chapter applies that operate beyond the Boundary Line
or that operate with more than 16 individuals on board,
for the installation, maintenance, and use of—
‘‘(1) alerting and locating equipment, including
emergency position indicating radio beacons;
‘‘(2) lifeboats or liferafts sufficient to accommodate
all individuals on board;
‘‘(3) at least one readily accessible immersion suit
for each individual on board that vessel when operating on the waters described in section 3102 of this
title;
‘‘(4) radio communications equipment sufficient to
effectively communicate with land-based search and
rescue facilities;
‘‘(5) navigation equipment, including compasses,
radar reflectors, nautical charts, and anchors;
‘‘(6) first aid equipment, including medicine chests;
and
‘‘(7) other equipment required to minimize the risk
of injury to the crew during vessel operations, if the
Secretary determines that a risk of serious injury exists that can be eliminated or mitigated by that
equipment.’’
Subsec. (c). Pub. L. 101–595, § 602(c)(1), amended subsec. (c) generally. Prior to amendment, subsec. (c) read
as follows: ‘‘In addition to the requirements described
in subsections (a) and (b) of this section, the Secretary
may prescribe regulations establishing minimum safety standards for vessels to which this chapter applies
that were built after December 31, 1988, or that undergo
a major conversion completed after that date, and that
operate with more than 16 individuals on board, including standards relating to—
‘‘(1) navigation equipment, including radars and fathometers;
‘‘(2) life saving equipment, immersion suits, signaling devices, bilge pumps, bilge alarms, life rails, and
grab rails;
‘‘(3) fire protection and firefighting equipment, including fire alarms and portable and semiportable
fire extinguishing equipment;
‘‘(4) use and installation of insulation material;
‘‘(5) storage methods for flammable or combustible
material; and
‘‘(6) fuel, ventilation, and electrical systems.’’
Subsec. (f). Pub. L. 101–595, § 602(c)(2), amended subsec. (f) generally. Prior to amendment, subsec. (f) read
as follows: ‘‘The Secretary shall examine a fish process-
§ 4502
ing vessel at least once every two years to ensure that
the vessel complies with the requirements of this chapter.’’
1988—Pub. L. 100–424 amended section generally, substituting ‘‘Safety standards’’ for ‘‘Regulations’’ in section catchline, adding subsecs. (a) and (b), redesignating former subsec. (a) as (c) and establishing list of
standards as minimum safety standards, in addition to
requirements of subsecs. (a) and (b), for vessels built
after Dec. 31, 1988, or that undergo major conversion
completed after that date, that operate with more than
16 individuals on board, adding subsec. (d), redesignating former subsec. (b) as (e) and striking out provisions
which required Secretary to consult with representatives of private sector, experienced in operation of
these vessels, to ensure practicability of regulations,
and adding subsec. (f).
1984—Subsec. (b)(3). Pub. L. 98–557 substituted ‘‘this
chapter’’ for ‘‘the exemption’’.
EFFECTIVE DATE OF 1990 AMENDMENT
Pub. L. 101–595, title VI, § 602(f), Nov. 16, 1990, 104 Stat.
2992, provided that: ‘‘This section [amending this section and sections 2102, 3302, 5102, 8104, and 8702 of this
title, and enacting provisions set out as a note under
section 7306 of this title] is effective on the date of enactment of this section [Nov. 16, 1990] except as follows:
‘‘(1) The requirements imposed by section
3302(c)(4)(B) and (C) of title 46, United States Code,
(as enacted by subsection (b) of this section) is effective 6 months after the date of enactment of this Act.
‘‘(2) Before January 1, 1993, section 4502(c) (as
amended by subsection (c) of this section) does not
apply to a fish tender vessel engaged in the Aleutian
trade, if the vessel—
‘‘(A)(i) before September 8, 1990, operated in that
trade; or
‘‘(ii) before September 8, 1990, was purchased to be
used in that trade and, before June 1, 1992, entered
into service in that trade; and
‘‘(B) does not undergo a major conversion.
‘‘(3) Before January 1, 2003, a fish tender vessel is
exempt from chapter 51 of title 46, United States
Code, (as amended by subsection (d) of this section)
when engaged in the Aleutian trade, if the vessel—
‘‘(A)(i) before September 8, 1990, operated in that
trade; or
‘‘(ii) before September 8, 1990, was purchased to be
used in this trade and, before June 1, 1992, entered
into service in that trade;
‘‘(B) does not undergo a major conversion; and
‘‘(C) did not have a load line assigned at any time
before the date of enactment of this Act.
‘‘(4) The requirements imposed by section 8702(b)(2)
of title 46, United States Code, (as amended by subsection (e)(2)(B) of this section) are effective 1 year
after the date of enactment of this Act.’’
STUDIES REGARDING SAFETY OF FISHING VESSELS
Pub. L. 100–424, § 5(a), Sept. 9, 1988, 102 Stat. 1591, directed Secretary of Transportation, utilizing National
Academy of Engineering and in consultation with National Transportation Safety Board, Commercial Fishing Industry Vessel Advisory Committee, and fishing
industry, to conduct a study of safety problems on fishing industry vessels, and to make recommendations regarding whether a vessel inspection program could be
implemented for fishing vessels, fish tender vessels, and
fish processing vessels, including recommendations on
nature and scope of that inspection, and further provided for submission of the study and recommendations
to Congress before Jan. 1, 1990.
Pub. L. 100–424, § 5(b), Sept. 9, 1988, 102 Stat. 1591, directed Secretary of department in which Coast Guard is
operating, in consultation with Commercial Fishing Industry Vessel Advisory Committee established under
section 4508 of this title, and with representatives of
persons operating fish processing vessels to conduct a
study of fish processing vessels that are not surveyed
§ 4503
TITLE 46—SHIPPING
and classed by an organization approved by Secretary,
and to make recommendations regarding what hull and
machinery requirements could apply to such vessels to
ensure that those vessels are operated and maintained
in a condition in which they are safe to operate at sea,
and further provided for submission of such study and
recommendations to Congress before July 28, 1991.
TERRITORIAL SEA OF UNITED STATES
For extension of territorial sea of United States, see
Proc. No. 5928, set out as a note under section 1331 of
Title 43, Public Lands.
§ 4503. Fishing, fish tender, and fish processing
vessel certification
(a) A vessel to which this section applies may
not be operated unless the vessel—
(1) meets all survey and classification requirements prescribed by the American Bureau of Shipping or another similarly qualified
organization approved by the Secretary; and
(2) has on board a certificate issued by the
American Bureau of Shipping or that other organization evidencing compliance with this
subsection.
(b) This section applies to a fish processing
vessel to which this chapter applies that—
(1) is built after July 27, 1990; or
(2) undergoes a major conversion completed
after that date.
(c) This section applies to a vessel to which
section 4502(b) of this title applies that is at
least 50 feet overall in length and is built after
July 1, 2012.
(d)(1) After January 1, 2020, a fishing vessel,
fish processing vessel, or fish tender vessel to
which section 4502(b) of this title applies shall
comply with an alternate safety compliance program that is developed in cooperation with the
commercial fishing industry and prescribed by
the Secretary, if the vessel—
(A) is at least 50 feet overall in length;
(B) is built before July 1, 2012; and
(C) is 25 years of age or older.
(2) A fishing vessel, fish processing vessel, or
fish tender vessel built before July 1, 2012, that
undergoes a substantial change to the dimension
of or type of vessel completed after the later of
July 1, 2012, or the date the Secretary establishes standards for an alternate safety compliance program, shall comply with such an alternative safety compliance program that is developed in cooperation with the commercial fishing
industry and prescribed by the Secretary.
(3) Alternative safety compliance programs
may be developed for purposes of paragraph (1)
for specific regions and fisheries.
(4) Notwithstanding paragraph (1), vessels
owned by a person that owns more than 30 vessels subject to that paragraph are not required
to meet the alternate safety compliance requirements of that paragraph until January 1, 2030, if
that owner enters into a compliance agreement
with the Secretary that provides for a fixed
schedule for all of the vessels owned by that person to meet requirements of that paragraph by
that date and the vessel owner is meeting that
schedule.
(5) A fishing vessel, fish processing vessel, or
fish tender vessel to which section 4502(b) of this
Page 88
title applies that was classed before July 1, 2012,
shall—
(A) remain subject to the requirements of a
classification society approved by the Secretary; and
(B) have on board a certificate from that society.
(Added Pub. L. 98–364, title IV, § 402(7)(C), July
17, 1984, 98 Stat. 447; amended Pub. L. 98–557,
§ 33(b), Oct. 30, 1984, 98 Stat. 2876; Pub. L. 100–424,
§ 2(a), Sept. 9, 1988, 102 Stat. 1587; Pub. L. 111–281,
title VI, § 604(e)(1), Oct. 15, 2010, 124 Stat. 2966.)
AMENDMENTS
2010—Pub. L. 111–281, § 604(e)(1)(A), substituted ‘‘Fishing, fish tender, and fish processing vessel certification’’ for ‘‘Fish processing vessel certification’’ in
section catchline.
Subsec. (a). Pub. L. 111–281, § 604(e)(1)(B), struck out
‘‘fish processing’’ before ‘‘vessel to which this section
applies’’ in introductory provisions.
Subsecs. (c), (d). Pub. L. 111–281, § 604(e)(1)(C), added
subsecs. (c) and (d).
1988—Pub. L. 100–424 amended section generally, substituting ‘‘Fish processing vessel certification’’ for
‘‘Equivalency’’ in section catchline, and provisions
which require certification issued by American Bureau
of Shipping or similar organization for fish processing
vessel built after July 27, 1990, or undergoes major conversion completed after that date, for provisions which
deemed compliance with this chapter if vessel has unexpired certificate of inspection issued by foreign country that is party to International Convention for Safety of Life at Sea to which United States is party.
1984—Pub. L. 98–557 substituted ‘‘is deemed’’ for
‘‘shall be deemed’’.
ALTERNATIVE SAFETY COMPLIANCE PROGRAM
Pub. L. 111–281, title VI, § 604(f), Oct. 15, 2010, 124 Stat.
2967, provided that: ‘‘No later than January 1, 2017, the
Secretary of the department in which the Coast Guard
is operating shall prescribe an alternative safety compliance program referred to in section 4503(d)(1) of the
title 46, United States Code, as amended by this section.’’
§ 4504. Prohibited acts
A person may not operate a vessel in violation
of this chapter or a regulation prescribed under
this chapter.
(Added Pub. L. 98–364, title IV, § 402(7)(C), July
17, 1984, 98 Stat. 447; amended Pub. L. 100–424,
§ 2(a), Sept. 9, 1988, 102 Stat. 1587.)
AMENDMENTS
1988—Pub. L. 100–424 amended section generally, substituting ‘‘Prohibited acts’’ for ‘‘Penalties’’ in section
catchline, and provisions prohibiting operation of vessel in violation of this chapter, for provisions which imposed civil penalty not more than $1,000 for operation
of vessel in violation of chapter, and liability in rem
for penalty.
§ 4505. Termination of unsafe operations
An official authorized to enforce this chapter—
(1) may direct the individual in charge of a
vessel to which this chapter applies to immediately take reasonable steps necessary for the
safety of individuals on board the vessel if the
official observes the vessel being operated in
an unsafe condition that the official believes
creates an especially hazardous condition, in-
| File Type | application/pdf |
| File Title | USCODE-2011-title46-subtitleII-partB-chap33-sec3301.pdf |
| Author | ADSmith2 |
| File Modified | 2015-05-01 |
| File Created | 2015-05-01 |