1625-0025 Stat/Authority

Page 567

TITLE 33—NAVIGATION AND NAVIGABLE WATERS

Sec.

1607.
1608.

Implementation by rules and regulations; authority to promulgate.
Civil penalties.

§ 1601. Definitions
For the purposes of this chapter—
(1) ‘‘vessel’’ means every description of
watercraft, including nondisplacement craft
and seaplanes, used or capable of being used as
a means of transportation on water; and
(2) ‘‘high seas’’ means all parts of the sea
that are not included in the territorial sea or
in the internal waters of any nation.
(Pub. L. 95–75, § 2, July 27, 1977, 91 Stat. 308.)
REFERENCES IN TEXT
This chapter, referred to in opening par., was in the
original ‘‘this Act’’, meaning Pub. L. 95–75, July 27,
1977, 91 Stat. 308, known as the ‘‘International Navigational Rules Act of 1977’’, which enacted this chapter,
repealed sections 1051 to 1094 of this title, enacted provisions set out as notes under this section, and repealed
provision set out as a note under section 1051 of this
title.
EFFECTIVE DATE OF INTERNATIONAL REGULATIONS;
REPEAL OF FORMER REGULATIONS
Pub. L. 95–75, § 10, July 27, 1977, 91 Stat. 311, provided
in part that Pub. L. 88–131, enacting sections 1051 to
1094 of this title and a provision set out as a note under
section 1051 of this title which sections included the
former International Regulations for Preventing Collisions at Sea, was repealed effective on the date on
which the International Regulations [promulgated pursuant to this chapter] entered into force for the United
States [July 15, 1977]. See Proclamation dated Jan. 19,
1977, set out as a note under section 1602 of this title.
REFERENCES TO FORMER REGULATIONS
Pub. L. 95–75, § 10, July 27, 1977, 91 Stat. 311, provided
in part that: ‘‘The reference in any other law to Public
Law 88–131 [enacting sections 1051 to 1094 of this title
and enacting a provision set out as a note under section
1051 of this title], or to the regulations set forth in section 4 of that Act [sections 1061 to 1094 of this title],
shall be considered a reference, respectively, to this
Act [this chapter], or to the International Regulations
proclaimed hereunder [set out as a note under section
1602 of this title].’’
SHORT TITLE
Pub. L. 95–75, § 1, July 27, 1977, 91 Stat. 308, provided:
‘‘That this Act [enacting this chapter, repealing sections 1051 to 1094 of this title, enacting provisions set
out as notes under this section, and repealing provisions set out as a note under section 1051 of this title]
may be cited as the ‘International Navigational Rules
Act of 1977’.’’

§ 1602. International Regulations
(a) Proclamation by President; effective date
The President is authorized to proclaim the
International Regulations for Preventing Collisions at Sea, 1972 (hereinafter referred to as the
‘‘International Regulations’’). The effective date
of the International Regulations for the United
States shall be specified in the proclamation and
shall be the date as near as possible to, but no
earlier than, the date on which the Convention
on the International Regulations for Preventing
Collisions at Sea, 1972 (hereinafter referred to as
the ‘‘Convention’’), signed at London, England,
under date of October 20, 1972, enters into force

§ 1602

for the United States. The International Regulations proclaimed shall consist of the rules and
other annexes attached to the Convention.
(b) Publication of proclamation in Federal Register
The proclamation shall include the International Regulations and shall be published in
the Federal Register. On the date specified in
the proclamation, the International Regulations
shall enter into force for the United States and
shall have effect as if enacted by statute.
(c) Amendment of International Regulations
Subject to the provisions of subsection (d) of
this section, the President is also authorized to
proclaim any amendment to the International
Regulations hereafter adopted in accordance
with the provisions of article VI of the Convention, and to which the United States does not
object. The effective date of the amendment
shall be specified in the proclamation and shall
be in accordance with the provisions of the said
article VI. The proclamation shall include the
adopted amendment and shall be published in
the Federal Register. On the date specified in
the proclamation, the amendment shall enter
into force for the United States as a constituent
part of the International Regulations, as amended, and shall have effect as if enacted by statute.
(d) Notification to Congress of proposed amendments; Congressional resolution of disapproval
(1) Upon receiving a proposed amendment to
the International Regulations, communicated to
the United States pursuant to clause 3 of article
VI of the Convention, the President shall
promptly notify the Congress of the proposed
amendment. If, within sixty days after receipt of
such notification by the Congress, or ten days
prior to the date under clause 4 of article VI for
registering an objection, whichever comes first,
the Congress adopts a resolution of disapproval,
such resolution shall be transmitted to the
President and shall constitute an objection by
the United States to the proposed amendment.
If, upon receiving notification of the resolution
of disapproval, the President has not already notified the Inter-Governmental Maritime Consultative Organization of an objection to the
United States to the proposed amendment, he
shall promptly do so.
(2) For the purposes of this subsection, ‘‘resolution of disapproval’’ means a concurrent resolution initiated by either House of the Congress,
the matter after the resolving clause of which is
to read as follows: ‘‘That the
(the
concurring) does not favor the proposed
amendment to the International Regulations for
Preventing Collisions at Sea, 1972, relating to
, and forwarded to the Congress by the
President on
.’’, the first blank space
therein to be filled with the name of the resolving House, the second blank space therein to be
filled with the name of the concurring House,
the third blank space therein to be filled with
the subject matter of the proposed amendment,
and the fourth blank space therein to be filled
with the day, month, and year.
(3) Any proposed amendment transmitted to
the Congress by the President and any resolu-

§ 1602

TITLE 33—NAVIGATION AND NAVIGABLE WATERS

tion of disapproval pertaining thereto shall be
referred, in the House of Representatives, to the
Committee on Transportation and Infrastructure, and shall be referred, in the Senate, to the
Committee on Commerce, Science, and Transportation.
(Pub. L. 95–75, § 3, July 27, 1977, 91 Stat. 308; Pub.
L. 107–295, title IV, § 408(b)(1), Nov. 25, 2002, 116
Stat. 2117.)
PRIOR PROVISIONS
The original rules for the prevention of collisions on
the water were contained in R.S. § 4233, which consisted
of 26 rules, R.S. § 4412, which authorized the board of supervising inspectors to establish such regulations to be
observed by all steam vessels in passing each other, as
they should from time to time deem necessary for safety, and provided that copies of such regulations should
be furnished to all of such vessels, to be kept posted up
in conspicuous places in such vessels, and R.S. § 4413,
which prescribed a penalty for neglecting or willfully
refusing to observe the regulations established pursuant to said section 4412.
The rules prescribed by R.S. § 4233 were superseded as
to navigation on the high seas and in all coast waters
of the United States, except such as were otherwise
provided for, by the adoption of the ‘‘Revised International Regulations’’ by act March 3, 1885, ch. 354, 23
Stat. 438, which rules were superseded by the passage
and adoption of act Aug. 19, 1890, ch. 802, 26 Stat. 322,
section 1 of which enacted a set of regulations for preventing collisions at sea to be followed by all public
and private vessels of the United States upon the high
seas and in all waters connected therewith, navigable
by seagoing vessels.
Act Aug. 19, 1890, ch. 802, § 1, consisted of 31 articles.
Section 2 of act Aug. 19, 1890, ch. 802, repealed all laws
and parts of laws inconsistent with the regulations for
preventing collisions at sea for the navigation of all
public and private vessels of the United States upon the
high seas, and in all waters connected therewith navigable by seagoing vessels, prescribed by section 1 of
that act.
The rules prescribed by R.S. § 4233, were further superseded as to navigation on the Great Lakes and their
connecting and tributary waters as far east as Montreal by act Feb. 8, 1895, ch. 64, 28 Stat. 645, section 1
of which enacted rules for preventing collisions to be
followed in the navigation of all public and private vessels of the United States upon the Great Lakes and
their connecting and tributary waters as far east as
Montreal. Section 1 contained 28 articles. Section 2 of
the act Feb. 8, 1895, ch. 64, prescribed a fine for violations of the act. Section 3 of the act Feb. 8, 1895, ch. 64,
gave the Secretary of the Treasury authority to establish all necessary regulations not inconsistent with the
act, necessary to carry the act into effect, and gave the
Board of Supervising Inspectors of the United States
authority to establish such regulations to be observed
by all steam vessels in passing each other, not inconsistent with the act, as they should from time to time
deem necessary, and provided that the regulations so
adopted, when approved by the Secretary of the Treasury, should have the force of law. Section 4 of the act
Feb. 8, 1895, ch. 64, repealed all laws or parts of laws, so
far as applicable to the navigation of the Great Lakes
and their connecting and tributary waters as far east as
Montreal, inconsistent with the rules promulgated by
the act.
The rules prescribed by R.S. § 4233, and by R.S. §§ 4412,
4414, and the regulations pursuant thereto, were required to be followed on the harbors, rivers, and inland
waters of the United States, and the provisions of said
sections were made special rules, duly made by local
authority, relative to the navigation of harbors, rivers,
and inland waters, as provided for by article 30 of the
act Aug. 19, 1890, ch. 802, § 1, by act Feb. 19, 1895, ch. 102,
§ 1, 28 Stat. 672. Section 2 of the act Feb. 19, 1895, ch. 102,

Page 568

authorized the Secretary of the Treasury to designate
and define by the suitable bearing or range with light
houses, light vessels, buoys, or coast objects, the lines
dividing the high seas from rivers, harbors, and inland
waters. Section 3 of the act Feb. 19, 1895, ch. 102, required collectors or other chief officers of the customs
to require sail vessels to be furnished with proper signal lights, and prescribed a penalty to be assessed
against vessels navigated without complying with the
statutes of the United States, or the regulations lawfully made thereunder. Section 4 of the act Feb. 19,
1895, ch. 102, provided that the words ‘‘inland waters’’
should not be held to include the Great Lakes and their
connecting and tributary waters as far east as Montreal, and provided that the act should not modify or
affect the provisions of act Feb. 8, 1895, ch. 64, which
was the act prescribing rules for preventing collisions
to be followed in the navigation of all public and private vessels upon the Great Lakes and their connecting
and tributary waters as far east as Montreal.
The rules prescribed by R.S. § 4233, were further superseded as to the navigation of all harbors, rivers, and
inland waters of the United States, except the Great
Lakes and their connecting and tributary waters as far
east as Montreal and the Red River of the North and
rivers emptying into the Gulf of Mexico and their tributaries, by act June 7, 1897, ch. 4, 30 Stat. 96, section 1
of which enacted a set of regulations for preventing collisions, to be followed by all vessels navigating all harbors, rivers, and inland waters of the United States, except the Great Lakes and their connecting and tributary waters as far east as Montreal and the Red River
of the North and rivers emptying into the Gulf of Mexico and their tributaries. Said section 1 consisted of 31
articles. Section 2 of the act June 7, 1897, ch. 4, authorized the supervising inspectors of steam-vessels and the
Supervising Inspector-General to establish rules to be
observed by steam vessels in passing each other and as
to the lights to be carried by ferry-boats and by barges
and canal-boats, when in tow of steam-vessels, not inconsistent with the provisions of the act, such rules,
when approved by the Secretary of the Treasury, to be
special rules duly made by local authority, as provided
for by article 30 of the act Aug. 19, 1890, ch. 802, § 1
which article provided that nothing in the rules contained in that act should interfere with the operation
of special rules, duly made by local authority, relative
to the navigation of any harbor, river, or inland waters.
Section 3 of the act June 7, 1897, ch. 4, prescribed a penalty for violations of the provisions of the act or the
regulations established pursuant to section 2. Section 4
of the act June 7, 1897, ch. 4, also prescribed a penalty
to be assessed against vessels navigated without compliance with the provisions of the act. Section 5 of the
act June 7, 1897, ch. 4, repealed R.S. §§ 4233, 4412 (with
the regulations made in pursuance thereof, except the
rules and regulations for the government of pilots of
steamers navigating the Red River of the North and
rivers emptying into the Gulf of Mexico and their tributaries, and except the rules for the Great Lakes and
their connecting and tributary waters as far east as
Montreal), § 4413, act March 3, 1893, ch. 202, 27 Stat. 557,
which amended R.S. § 4233, act Feb. 19, 1895, ch. 102, §§ 1,
3, and act March 3, 1897, ch. 389, §§ 5, 12, 13, 29 Stat. 689,
690, and all amendments thereto insofar as the harbors,
rivers, and inland waters of the United States (except
the Great Lakes and their connecting and tributary
waters as far east as Montreal and the Red River of the
North and rivers emptying into the Gulf of Mexico, and
their tributaries) were concerned.
This legislation resulted in the following situation:
Navigation on the high seas was governed by act Aug.
19, 1890, ch. 802, with its amendatory and supplementary acts, which was superseded by act Oct. 11, 1951,
ch. 495, formerly set forth in chapter 2 of this title;
navigation on all harbors, rivers, and inland waters of
the United States, except the Great Lakes and their
connecting and tributary waters as far east as Montreal and the Red River of the North and rivers emptying into the Gulf of Mexico and their tributaries, was

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TITLE 33—NAVIGATION AND NAVIGABLE WATERS

governed by act June 7, 1897, ch. 4, as amended, formerly set forth in chapter 3 of this title; navigation on
the Great Lakes and their connecting and tributary
waters as far east as Montreal was governed by act Feb.
8, 1895, ch. 64, formerly set forth in section 301 et seq.
of this title; and navigation on the Red River of the
North and rivers emptying into the Gulf of Mexico and
their tributaries was governed by R.S. § 4233, as amended and supplemented, formerly set forth in section 301
et seq. of this title.
See also Codification notes to sections 154, 241, and
301 of this title.
Regulations for Preventing Collisions at Sea, 1948, approved by the International Conference on Safety of
Life at Sea, 1948, covering substantially the same subject matter included under these rules, were set out as
sections 143 to 147d of this title.
Regulations for Preventing Collisions at Sea, 1960, approved by the International Conference on the Safety
of Life at Sea, 1960, covering substantially the same
subject matter included under these rules, were set out
as sections 1051 to 1094 of this title.
AMENDMENTS
2002—Subsec. (d)(3). Pub. L. 107–295 substituted
‘‘Transportation and Infrastructure’’ for ‘‘Merchant
Marine and Fisheries’’.
INTERNATIONAL CONVENTION FOR SAFETY OF LIFE AT
SEA, 1948
The convention, known as the International Convention for Safety of Life at Sea, was signed at London on
June 10, 1948, and was ratified by the United States on
April 20, 1949 (see Senate Report No. 838, Sept. 26, 1951,
to accompany H.R. 5013, 82nd Cong.). The ‘‘International Regulations for Preventing Collisions at Sea,
1948’’, approved by the 1948 London conference, were
adopted by section 6 of act Oct. 11, 1951, and were classified to section 144 et seq. of this title.
INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE
AT SEA, 1960
The convention, known as the International Convention for the Safety of Life at Sea, was signed at London
on June 17, 1960, and was ratified by the United States
on May 26, 1965 (see Senate Report No. 477, Aug. 30, 1963,
to accompany H.R. 6012, 88th Cong.). The ‘‘Regulations
for Preventing Collisions at Sea, 1960’’, approved by the
1960 London conference, were adopted by section 4 of
Pub. L. 88–131, Sept. 24, 1963, 77 Stat. 194, and were classified to section 1051 et seq. of this title.
INTERNATIONAL REGULATIONS FOR PREVENTING
COLLISIONS AT SEA, 1972
The Convention on the International Regulations for
Preventing Collisions at Sea, 1972, was proclaimed by
the President on Jan. 19, 1977. The President’s proclamation provided that the Convention enter into force
for the United States on July 15, 1977. The proclamation and the International Regulations were published
in the Federal Register on Mar. 31, 1977, 42 F.R. 17112,
with corrections to the International Regulations published on Apr. 7, 1977, 42 F.R. 18401 and on Apr. 21, 1977,
42 F.R. 20625. See the United States Coast Guard publication Navigation Rules and Regulations Handbook
(August 2014 edition), available online from the website
of the Government Publishing Office.
EX. ORD. NO. 11964. IMPLEMENTATION OF CONVENTION ON
THE INTERNATIONAL REGULATIONS FOR PREVENTING
COLLISIONS AT SEA, 1972
Ex. Ord. No. 11964, Jan. 19, 1977, 42 F.R. 4327, provided:
By virtue of the authority vested in me by the Constitution and statutes of the United States of America,
including Section 301 of Title 3 of the United States
Code, and as President of the United States of America
and Commander-in-Chief of the Armed Forces, in order
to provide for the coming into force on July 15, 1977, of
the Convention on the International Regulations for

§ 1602

Preventing Collisions at Sea, 1972 (Senate Executive W,
93d Cong., 1st Sess.), it is hereby ordered as follows:
SECTION 1. (a) With respect to vessels of special construction or purpose, the Secretary of the Navy, for
vessels of the Navy, and the Secretary of the Department in which the Coast Guard is operating, for all
other vessels, shall determine and certify, in accord
with Rule I of the International Regulations for Preventing Collisions at Sea, 1972, hereinafter referred to
as the International Regulations, as to which such vessels cannot comply fully with the provisions of any of
the International Regulations with respect to the number, positions, range or arc of visibility of lights or
shapes, as well as to the disposition and characteristics
of sound-signalling appliances, without interfering
with the special function of the vessel.
(b) With respect to vessels for which a certification is
issued, the Secretary issuing the certification shall certify as to such other provisions which are the closest
possible compliance by that vessel with the International Regulations.
(c) Notice of any certification issued shall be published in the FEDERAL REGISTER.
SEC. 2. The Secretary of the Navy is authorized to
promulgate special rules with respect to additional station or signal lights or whistle signals for ships of war
or vessels proceeding under convoy, and the Secretary
of the Department in which the Coast Guard is operating is authorized, to the extent permitted by law, including the provisions of Title 14 of the United States
Code, to promulgate special rules with respect to additional station or signal lights for fishing vessels engaged in fishing as a fleet. In accord with Rule I of the
International Regulations, the additional station or
signal lights or whistle signals contained in the special
rules shall be, as far as possible, such as they cannot be
mistaken for any light or signal authorized by the
International Regulations. Notice of such special rules
for fishing vessels shall be published in the FEDERAL
REGISTER.
SEC. 3. The Secretary of the Navy, for vessels of the
Navy, and the Secretary of the Department in which
the Coast Guard is operating, for all other vessels, are
authorized to exempt, in accord with Rule 38 of the
International Regulations, any vessel or class of vessels, the keel of which is laid, or which is at a corresponding stage of construction, before July 15, 1977,
from full compliance with the International Regulations, provided that such vessel or class of vessels complies with the requirements of the International Regulations for Preventing Collisions at Sea, 1960. Notice of
any exemption granted shall be published in the FEDERAL REGISTER.
SEC. 4. The Secretary of the Department in which the
Coast Guard is operating is authorized, to the extent
permitted by law, to promulgate such rules and regulations that are necessary to implement the provisions of
the Convention and International Regulations. He shall
cause to be published in the FEDERAL REGISTER any implementing regulations or interpretive rulings promulgated pursuant to this Order, and shall promptly publish in the FEDERAL REGISTER the full text of the International Regulations.
GERALD R. FORD.
EX. ORD. NO. 12234. ENFORCEMENT OF CONVENTION FOR
THE SAFETY OF LIFE AT SEA, 1974
Ex. Ord. No. 12234, Sept. 3, 1980, 45 F.R. 58801, provided:
By the authority vested in me as President by the
Constitution and the laws of the United States of
America, and in order to implement the International
Convention for the Safety of Life at Sea, 1974, it is
hereby ordered as follows:
1–101. The International Convention for the Safety of
Life at Sea, 1974, signed at London on November 1, 1974,
and proclaimed by the President of the United States
on January 28, 1980 (TIAS 9700), entered into force for
the United States on May 25, 1980.

§ 1603

TITLE 33—NAVIGATION AND NAVIGABLE WATERS

1–102. The Secretary of State, the Secretary of the
Department in which the Coast Guard is operating, the
Secretary of Commerce, and the Federal Communications Commission shall (a) perform those functions prescribed in the Convention that are within their respective areas of responsibility, and (b) cooperate and assist
each other in carrying out those functions.
1–103. (a) The Secretary of the Department in which
the Coast Guard is operating, or the head of any other
Executive agency authorized by law, shall be responsible for the issuance of certificates as required by the
Convention.
(b) If a certificate is to include matter that pertains
to functions vested by law in another Executive agency, the issuing agency shall first ascertain from the
other Executive agency the decision regarding that
matter. The decision of that agency shall be final and
binding on the issuing agency.
1–104. The Secretary of the Department in which the
Coast Guard is operating may use the services of the
American Bureau of Shipping as long as that Bureau is
operated in compliance with Section 25 of the Act of
June 5, 1920, as amended (46 U.S.C. 881), to perform the
functions under the Convention. The Secretary may
also use the services of the National Cargo Bureau to
perform functions under Chapter VI (Carriage of Grain)
of the Convention.
1–105. The Secretary of the Department in which the
Coast Guard is operating shall promulgate regulations
necessary to implement the provisions of the Convention.
1–106. To the extent that the International Convention for the Safety of Life at Sea, 1974, replaces and abrogates the International Convention for the Safety of
Life at Sea, 1960 (TIAS 5780), this Order supersedes Executive Order No. 11239 of July 31, 1965, entitled ‘‘Enforcement of the Convention for the Safety of Life at
Sea, 1960.’’
1–107. Executive Order No. 10402 of October 30, 1952,
entitled ‘‘Enforcement of the Convention for the Safety
of Life at Sea, 1948,’’ is revoked.
JIMMY CARTER.

§ 1603. Vessels subject to International Regulations
Except as provided in section 1604 of this title
and subject to the provisions of section 1605 of
this title, the International Regulations, as proclaimed under section 1602 of this title, shall be
applicable to, and shall be complied with by—
(1) all vessels, public and private, subject to
the jurisdiction of the United States, while
upon the high seas or in waters connected
therewith navigable by seagoing vessels, and
(2) all other vessels when on waters subject
to the jurisdiction of the United States.
(Pub. L. 95–75, § 4, July 27, 1977, 91 Stat. 309.)
§ 1604. Vessels not subject to International Regulations
(a) The International Regulations do not apply
to vessels while in the waters of the United
States shoreward of the navigational demarcation lines dividing the high seas from harbors,
rivers, and other inland waters of the United
States.
(b) Whenever a vessel subject to the jurisdiction of the United States is in the territorial waters of a foreign state the International Regulations shall be applicable to, and shall be complied with by, that vessel to the extent that the
laws and regulations of the foreign state are not
in conflict therewith.
(Pub. L. 95–75, § 5, July 27, 1977, 91 Stat. 309; Pub.
L. 96–591, § 6(1), Dec. 24, 1980, 94 Stat. 3434.)

Page 570

AMENDMENTS
1980—Subsec. (a). Pub. L. 96–591 substituted provision
providing that the International Regulations do not
apply to vessels while in the waters of the United
States shoreward of the navigational demarcation lines
dividing the high seas from harbors, rivers, and other
inland waters of the United States for provisions that
had made specific reference to harbors, rivers, and
other inland waters of the United States, as defined in
section 154 of this title, to the Great Lakes of North
America and their connecting and tributary waters, as
defined in section 241 of this title, and to the Red River
of the North and rivers emptying into the Gulf of Mexico and their tributaries, as defined in section 301 of
this title.
EFFECTIVE DATE OF 1980 AMENDMENT
Pub. L. 96–591, § 7, Dec. 24, 1980, 94 Stat. 3435, provided
that: ‘‘Sections 2, 4, 6(1), and 8(a) [enacting section 2072
and former sections 2001 to 2038 of this title, amending
this section, and repealing sections 154 to 159, 171 to 183,
191, 192, 201 to 213, 221, 222, 231, 232, 301 to 303, 311 to 323,
331, 341 to 356, 360, and 360a of this title and sections
526b, 526c, and 526d of former Title 46, Shipping] are effective 12 months after the date of enactment of this
Act [Dec. 24, 1980], except that on the Great Lakes, the
effective date of sections 2 and 4 [enacting section 2072
and former sections 2001 to 2038 of this title] will be established by the Secretary. [The effective date on the
Great Lakes was established as Mar. 1, 1983. See 47 F.R.
15135, Apr. 8, 1982.] Section 5 [enacting section 2073 of
this title] is effective on October 1, 1981.’’

§ 1605. Navy and Coast Guard vessels of special
construction or purpose
(a) Certification for alternative compliance
Any requirement of the International Regulations with respect to the number, position,
range, or arc of visibility of lights, with respect
to shapes, or with respect to the disposition and
characteristics of sound-signaling appliances,
shall not be applicable to a vessel of special construction or purpose, whenever the Secretary of
the Navy, for any vessel of the Navy, or the Secretary of the department in which the Coast
Guard is operating, for any other vessel of the
United States, shall certify that the vessel cannot comply fully with that requirement without
interfering with the special function of the vessel.
(b) Closest possible compliance by vessels covered by certification for alternative compliance
Whenever a certification is issued under the
authority of subsection (a) of this section, the
vessel involved shall comply with the requirement as to which the certification is made to
the extent that the Secretary issuing the certification shall certify as the closest possible compliance by that vessel.
(c) Publication of certifications in Federal Register
Notice of the certifications issued pursuant to
subsections (a) and (b) of this section shall be
published in the Federal Register.
(d) Issuance of certification for a class of vessels
A certification authorized by this section may
be issued for a class of vessels.
(Pub. L. 95–75, § 6, July 27, 1977, 91 Stat. 309; Pub.
L. 96–591, § 6(2), Dec. 24, 1980, 94 Stat. 3434.)
AMENDMENTS
1980—Subsec. (d). Pub. L. 96–591 added subsec. (d).

Page 135

TITLE 49—TRANSPORTATION
HISTORICAL AND REVISION NOTES

Revised
Section

Source (U.S. Code)

5102(1) ........

49 App.:1802(1)–(3),
(13).

5102(2) ........
5102(3) ........
5102(4) ........
5102(5) ........
5102(6) ........
5102(7) ........
5102(8) ........
5102(9) ........
5102(10) ......
5102(11) ......
5102(12) ......
5102(13) ......

49
49
49
49
49
49
49
49
49
49
49
49

Source (Statutes at Large)
Jan. 3, 1975, Pub. L. 93–633,
§ 103, 88 Stat. 2156; restated Nov. 16, 1990, Pub.
L. 101–615, § 3(a), 104 Stat.
3245; Oct. 24, 1992, Pub. L.
102–508, §§ 501, 502, 106 Stat.
3311.

App.:1802(4).
App.:1802(5).
App.:1802(6).
App.:1802(7).
App.:1802(8).
App.:1802(9).
App.:1802(10).
App.:1802(11).
App.:1802(12).
App.:1802(14).
App.:1802(15).
App.:1802(16).

In this chapter, the words ‘‘or shipped’’ are omitted
as being included in ‘‘transported’’.
In clause (1), before subclause (A), the text of 49
App.:1802(1), (3), and (13) is omitted because the complete names of the Administrator of the Environmental
Protection Agency, Director of the Federal Emergency
Management Agency, and Secretary of Transportation
are used the first time the terms appear in a section.
The words ‘‘traffic, commerce’’ are omitted as surplus.
In subclause (B), the words ‘‘between a place in a State
and a place outside of the State’’ are substituted for
‘‘described in clause (A)’’ for clarity.
In clauses (3)(C) and (10)(B), the words ‘‘at a minimum’’ are omitted as surplus.
In clause (5), the words ‘‘administrative hearing or
other’’ are omitted as surplus.
In clause (9), before subclause (A), the words ‘‘including any trustee, receiver, assignee, or similar representative thereof’’ are omitted as surplus.
In clause (12), the words ‘‘by any mode’’ are omitted
as surplus.
AMENDMENTS
2008—Par. (3). Pub. L. 110–244 amended Pub. L. 109–59,
§ 7102(2). See 2005 Amendment notes below.
2005—Par. (1)(C). Pub. L. 109–59, § 7102(1), added subpar. (C).
Par. (2). Pub. L. 109–59, § 7126, substituted ‘‘Secretary’’
for ‘‘Secretary of Transportation’’.
Par. (3)(A)(i). Pub. L. 109–59, § 7102(2)(A), as amended
by Pub. L. 110–244, § 302(a)(1), (2), added cl. (i) and struck
out former cl. (i) which read as follows: ‘‘employed by
a hazmat employer; and’’.
Par. (3)(A)(ii). Pub. L. 109–59, § 7102(2)(B), as amended
by Pub. L. 110–244, § 302(a)(1), (3), substituted ‘‘course of
such full time, part time, or temporary employment, or
such self employment,’’ for ‘‘course of employment’’
and inserted ‘‘and’’ at end.
Par. (3)(B). Pub. L. 109–59, § 7102(2)(D)(i), as amended
by Pub. L. 110–244, § 302(a)(1), substituted ‘‘employed on
a full time, part time, or temporary basis by a hazmat
employer, or self employed,’’ for ‘‘employed by a
hazmat employer,’’ in introductory provisions.
Pub. L. 109–59, § 7102(2)(C), as amended by Pub. L.
110–244, § 302(a)(1), redesignated subpar. (C) as (B) and
struck out former subpar. (B) which read as follows:
‘‘includes an owner-operator of a motor vehicle transporting hazardous material in commerce; and’’.
Par. (3)(B)(ii). Pub. L. 109–59, § 7102(2)(D)(ii), as amended by Pub. L. 110–244, § 302(a)(1), added cl. (ii) and struck
out former cl. (ii) which read as follows: ‘‘manufactures, reconditions, or tests containers, drums, and
packagings represented as qualified for use in transporting hazardous material;’’.
Par. (3)(C). Pub. L. 109–59, § 7102(2)(C), as amended by
Pub. L. 110–244, § 302(a)(1), redesignated subpar. (C) as
(B).
Par. (4). Pub. L. 109–59, § 7102(3), amended par. (4) generally. Prior to amendment, par. (4) consisted of subpars. (A) to (C), which included within definition of

§ 5103

‘‘hazmat employer’’ a person using at least one employee in connection with transporting or containers
for transporting hazardous material, an owner-operator
of a motor vehicle transporting hazardous material in
commerce, and a department, agency, or instrumentality of the United States Government, or an authority
of a State, political subdivision of a State, or Indian
tribe, carrying out certain described activities.
Par. (5). Pub. L. 109–59, § 7102(4), inserted ‘‘relating to
hazardous material’’ after ‘‘of a condition’’.
Par. (7). Pub. L. 109–59, § 7102(5), amended par. (7) generally. Prior to amendment, par. (7) read as follows:
‘‘ ‘motor carrier’ means a motor carrier, motor private
carrier, and freight forwarder as those terms are defined in section 13102 of this title.’’
Par. (8). Pub. L. 109–59, § 7102(6), substituted ‘‘National
Response Team’’ for ‘‘national response team’’ in two
places and ‘‘National Contingency Plan’’ for ‘‘national
contingency plan’’.
Par. (9)(A). Pub. L. 109–59, § 7102(7), amended subpar.
(A) generally. Prior to amendment, subpar. (A) read as
follows: ‘‘includes a government, Indian tribe, or authority of a government or tribe offering hazardous material for transportation in commerce or transporting
hazardous material to further a commercial enterprise;
but’’.
Pars. (11) to (14). Pub. L. 109–59, § 7102(8), added par.
(11) and redesignated former pars. (11) to (13) as (12) to
(14), respectively.
1995—Par. (7). Pub. L. 104–88 substituted ‘‘motor carrier, motor private’’ for ‘‘motor common carrier, motor
contract carrier, motor private’’ and ‘‘section 13102’’ for
‘‘section 10102’’.
1994—Pars. (3)(C)(ii), (4)(A)(iii). Pub. L. 103–311 substituted ‘‘packagings’’ for ‘‘packages’’.
EFFECTIVE DATE OF 2008 AMENDMENT
Amendment by Pub. L. 110–244 effective as of the date
of enactment of Pub. L. 109–59 (Aug. 10, 2005) and to be
treated as included in Pub. L. 109–59 as of that date, and
provisions of Pub. L. 109–59, as in effect on the day before June 6, 2008, that are amended by Pub. L. 110–244
to be treated as not enacted, see section 121(b) of Pub.
L. 110–244, set out as a note under section 101 of Title
23, Highways.

§ 5103. General regulatory authority
(a) DESIGNATING MATERIAL AS HAZARDOUS.—
The Secretary shall designate material (including an explosive, radioactive material, infectious substance, flammable or combustible liquid, solid, or gas, toxic, oxidizing, or corrosive
material, and compressed gas) or a group or
class of material as hazardous when the Secretary determines that transporting the material in commerce in a particular amount and
form may pose an unreasonable risk to health
and safety or property.
(b) REGULATIONS FOR SAFE TRANSPORTATION.—
(1) The Secretary shall prescribe regulations for
the safe transportation, including security, of
hazardous material in intrastate, interstate, and
foreign commerce. The regulations—
(A) apply to a person who—
(i) transports hazardous material in commerce;
(ii) causes hazardous material to be transported in commerce;
(iii) designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs, or tests a package, container, or packaging component that is represented,
marked, certified, or sold as qualified for use
in transporting hazardous material in commerce;

§ 5103

TITLE 49—TRANSPORTATION

(iv) prepares or accepts hazardous material
for transportation in commerce;
(v) is responsible for the safety of transporting hazardous material in commerce;
(vi) certifies compliance with any requirement under this chapter; or
(vii) misrepresents whether such person is
engaged in any activity under clause (i)
through (vi); and
(B) shall govern safety aspects, including security, of the transportation of hazardous material the Secretary considers appropriate.
(2) A proceeding to prescribe the regulations
must be conducted under section 553 of title 5,
including an opportunity for informal oral presentation.
(c) CONSULTATION.—When prescribing a security regulation or issuing a security order that
affects the safety of the transportation of hazardous material, the Secretary of Homeland Security shall consult with the Secretary of Transportation.
(d) BIENNIAL REPORT.—The Secretary of Transportation shall submit to the Committee on
Transportation and Infrastructure of the House
of Representatives and the Senate Committee
on Commerce, Science, and Transportation a biennial report providing information on whether
the Secretary has designated as hazardous materials for purposes of chapter 51 of such title all
by-products of the methamphetamine-production process that are known by the Secretary to
pose an unreasonable risk to health and safety
or property when transported in commerce in a
particular amount and form.
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 761;
Pub. L. 103–311, title I, § 117(a)(2), Aug. 26, 1994,
108 Stat. 1678; Pub. L. 103–429, § 6(3), Oct. 31, 1994,
108 Stat. 4378; Pub. L. 107–296, title XVII,
§ 1711(a), Nov. 25, 2002, 116 Stat. 2319; Pub. L.
109–59, title VII, §§ 7103, 7126, Aug. 10, 2005, 119
Stat. 1893, 1909; Pub. L. 109–177, title VII, § 741,
Mar. 9, 2006, 120 Stat. 272.)
HISTORICAL AND REVISION NOTES
PUB. L. 103–272
Revised
Section

Source (U.S. Code)

5103(a) ........

49 App.:1803.

5103(b) ........

49 App.:1804(a)
(1)–(3).

Source (Statutes at Large)
Jan. 3, 1975, Pub. L. 93–633,
§ 104, 88 Stat. 2156.
Jan. 3, 1975, Pub. L. 93–633,
§ 105(a)(1)–(3), 88 Stat. 2157;
restated Nov. 16, 1990,
Pub. L. 101–615, § 4, 104
Stat. 3247.

In subsection (a), the words ‘‘such quantity and form
of material’’ and ‘‘in his discretion’’ are omitted as surplus.
In subsection (b)(1), before clause (A), the words ‘‘in
accordance with section 553 of title 5’’ are omitted because 5:553 applies unless otherwise stated. In clause
(A)(i), the words ‘‘hazardous material in commerce’’,
and in clause (A)(ii), the words ‘‘hazardous material
. . . in commerce’’, are added for consistency in this
chapter.
PUB. L. 103–429
This amends 49:5103(b)(2) to clarify the restatement of
49 App.:1804(a)(2) by section 1 of the Act of July 5, 1994
(Public Law 103–272, 108 Stat. 761).
AMENDMENTS
2006—Subsec. (d). Pub. L. 109–177 added subsec. (d).

Page 136

2005—Subsec. (a). Pub. L. 109–59, § 7126, substituted
‘‘Secretary shall designate’’ for ‘‘Secretary of Transportation shall designate’’.
Pub. L. 109–59, § 7103(a), substituted ‘‘infectious substance, flammable or combustible liquid, solid, or gas,
toxic, oxidizing, or corrosive material,’’ for ‘‘etiologic
agent, flammable or combustible liquid or solid, poison,
oxidizing or corrosive material,’’ and ‘‘determines’’ for
‘‘decides’’.
Subsec. (b)(1)(A). Pub. L. 109–59, § 7103(b), amended
subpar. (A) generally. Prior to amendment, subpar. (A)
read as follows: ‘‘apply to a person—
‘‘(i) transporting hazardous material in commerce;
‘‘(ii) causing hazardous material to be transported
in commerce; or
‘‘(iii) manufacturing, fabricating, marking, maintaining, reconditioning, repairing, or testing a packaging or a container that is represented, marked, certified, or sold by that person as qualified for use in
transporting hazardous material in commerce; and’’.
Subsec. (b)(1)(C). Pub. L. 109–59, § 7103(c)(1), struck out
heading and text of subpar. (C). Text read as follows:
‘‘When prescribing a security regulation or issuing a security order that affects the safety of the transportation of hazardous material, the Secretary of Homeland Security shall consult with the Secretary.’’
Subsec. (c). Pub. L. 109–59, § 7103(c)(2), added subsec.
(c).
2002—Subsec. (b)(1). Pub. L. 107–296, § 1711(a)(1), substituted ‘‘transportation, including security,’’ for
‘‘transportation’’ in introductory provisions.
Subsec. (b)(1)(B). Pub. L. 107–296, § 1711(a)(2), substituted ‘‘aspects, including security,’’ for ‘‘aspects’’.
Subsec. (b)(1)(C). Pub. L. 107–296, § 1711(a)(3), added
subpar. (C).
1994—Subsec. (b)(1)(A)(iii). Pub. L. 103–311 substituted
‘‘a packaging or a’’ for ‘‘a package or’’.
Subsec. (b)(2). Pub. L. 103–429 substituted ‘‘be conducted under section 553 of title 5, including’’ for ‘‘include’’ and ‘‘presentation’’ for ‘‘presentations’’.
EFFECTIVE DATE OF 2002 AMENDMENT
Amendment by Pub. L. 107–296 effective 60 days after
Nov. 25, 2002, see section 4 of Pub. L. 107–296, set out as
an Effective Date note under section 101 of Title 6, Domestic Security.
EFFECTIVE DATE OF 1994 AMENDMENT
Amendment by Pub. L. 103–429 effective July 5, 1994,
see section 9 of Pub. L. 103–429, set out as a note under
section 321 of this title.
RAILROAD CARRIER EMPLOYEE EXPOSURE TO RADIATION
STUDY
Pub. L. 110–432, div. A, title IV, § 411, Oct. 16, 2008, 122
Stat. 4888, provided that:
‘‘(a) STUDY.—The Secretary of Transportation shall,
in consultation with the Secretary of Energy, the Secretary of Labor, the Administrator of the Environmental Protection Agency, and the Chairman of the
Nuclear Regulatory Commission, as appropriate, conduct a study of the potential hazards to which employees of railroad carriers and railroad contractors or subcontractors are exposed during the transportation of
high-level radioactive waste and spent nuclear fuel (as
defined in section 5101(a) [probably means section
5105(a)] of title 49, United States Code), supplementing
the report submitted under section 5101(b) [probably
means section 5105(b)] of that title, which may include—
‘‘(1) an analysis of the potential application of ‘as
low as reasonably achievable’ principles for exposure
to radiation to such employees with an emphasis on
the need for special protection from radiation exposure for such employees during the first trimester of
pregnancy or who are undergoing or have recently
undergone radiation therapy;
‘‘(2) the feasibility of requiring real-time dosimetry
monitoring for such employees;

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TITLE 49—TRANSPORTATION

‘‘(3) the feasibility of requiring routine radiation
exposure monitoring in fixed railroad locations, such
as yards and repair facilities; and
‘‘(4) a review of the effectiveness of the Department’s packaging requirements for radioactive materials.
‘‘(b) REPORT.—Not later than 18 months after the date
of enactment of this Act [Oct. 16, 2008], the Secretary
of Transportation shall transmit a report on the results
of the study required by subsection (a) and any recommendations to further protect employees of a railroad
carrier or of a contractor or subcontractor to a railroad
carrier from unsafe exposure to radiation during the
transportation of high-level radioactive waste and
spent nuclear fuel to the Senate Committee on Commerce, Science, and Transportation and the House of
Representatives Committee on Transportation and Infrastructure.
‘‘(c) REGULATORY AUTHORITY.—The Secretary of
Transportation may issue regulations that the Secretary determines appropriate, pursuant to the report
required by subsection (b), to protect railroad employees from unsafe exposure to radiation during the transportation of radioactive materials.’’
[For definitions of ‘‘railroad carrier’’, ‘‘Department’’,
‘‘railroad’’, and ‘‘Secretary’’, as used in section 411 of
Pub. L. 110–432, set out above, see section 2(a) of Pub.
L. 110–432, set out as a note under section 20102 of this
title.]
SAFE PLACEMENT OF TRAIN CARS
Pub. L. 103–311, title I, § 111, Aug. 26, 1994, 108 Stat.
1676, provided that: ‘‘The Secretary of Transportation
shall conduct a study of existing practices regarding
the placement of cars on trains, with particular attention to the placement of cars that carry hazardous materials. In conducting the study, the Secretary shall
consider whether such placement practices increase the
risk of derailment, hazardous materials spills, or tank
ruptures or have any other adverse effect on safety.
The results of the study shall be submitted to Congress
within 1 year after the date of enactment of this Act
[Aug. 26, 1994].’’
FIBER DRUM PACKAGING
Pub. L. 104–88, title IV, § 406, Dec. 29, 1995, 109 Stat.
957, provided that:
‘‘(a) IN GENERAL.—In the administration of chapter 51
of title 49, United States Code, the Secretary of Transportation shall issue a final rule within 60 days after
the date of the enactment of this Act [Dec. 29, 1995] authorizing the continued use of fiber drum packaging
with a removable head for the transportation of liquid
hazardous materials with respect to those liquid hazardous materials transported by such drums pursuant
to regulations in effect on September 30, 1991, if—
‘‘(1) the packaging is in compliance with regulations of the Secretary under the Hazardous Materials
Transportation Act [former 49 U.S.C. 1801 et seq.] as
in effect on September 30, 1991; and
‘‘(2) the packaging will not be used for the transportation of hazardous materials that include materials
which are poisonous by inhalation or materials in
Packing Groups I and II.
‘‘(b) EXPIRATION.—The regulation referred to in subsection (a) shall expire on the later of September 30,
1997, or the date on which funds are authorized to be appropriated to carry out chapter 51 of title 49, United
States Code (relating to transportation of hazardous
materials), for fiscal years beginning after September
30, 1997.
‘‘(c) STUDY.—
‘‘(1) IN GENERAL.—Within 90 days after the date of
the enactment of this Act [Dec. 29, 1995], the Secretary shall contract with the National Academy of
Sciences to conduct a study—
‘‘(A) to determine whether the requirements of
section 5103(b) of title 49, United States Code (relating to regulations for safe transportation), as they

§ 5103a

pertain to fiber drum packaging with a removable
head can be met for the transportation of liquid
hazardous materials (with respect to those liquid
hazardous materials transported by such drums
pursuant to regulations in effect on September 30,
1991) with standards (including fiber drum industry
standards set forth in a June 8, 1992, exemption application submitted to the Department of Transportation), other than the performance-oriented packaging standards adopted under docket number
HM–181 contained in part 178 of title 49, Code of
Federal Regulations; and
‘‘(B) to determine whether a packaging standard
(including such fiber drum industry standards),
other than such performance-oriented packaging
standards, will provide an equal or greater level of
safety for the transportation of liquid hazardous
materials than would be provided if such performance-oriented packaging standards were in effect.
‘‘(2) COMPLETION.—The study shall be completed before March 1, 1997 and shall be transmitted to the
Committee on Commerce, Science, and Transportation of the Senate and the Transportation and Infrastructure Committee of the House of Representatives.
‘‘(d) SECRETARIAL ACTION.—By September 30, 1997, the
Secretary shall issue final regulations to determine
what standards should apply to fiber drum packaging
with a removable head for transportation of liquid hazardous materials (with respect to those liquid hazardous materials transported by such drums pursuant to
regulations in effect on September 30, 1991) after September 30, 1997. In issuing such regulations, the Secretary shall give full and substantial consideration to
the results of the study conducted in subsection (c).’’
Pub. L. 103–311, title I, § 122, Aug. 26, 1994, 108 Stat.
1681, provided that:
‘‘(a) INITIATION OF RULEMAKING PROCEEDING.—Not
later than the 60th day following the date of enactment
of this Act [Aug. 26, 1994], the Secretary of Transportation shall initiate a rulemaking proceeding to determine whether the requirements of section 5103(b) of
title 49, United States Code (relating to regulations for
safe transportation), as they pertain to open head fiber
drum packaging can be met for the domestic transportation of liquid hazardous materials (with respect to
those classifications of liquid hazardous materials
transported by such drums pursuant to regulations in
effect on September 30, 1991) with standards other than
the performance-oriented packaging standards adopted
under docket number HM–181 contained in part 178 of
title 49, Code of Federal Regulations.
‘‘(b) ISSUANCE OF STANDARDS.—If the Secretary of
Transportation determines, as a result of the rulemaking proceeding initiated under subsection (a), that
a packaging standard other than the performance-oriented packaging standards referred to in subsection (a)
will provide an equal or greater level of safety for the
domestic transportation of liquid hazardous materials
than would be provided if such performance-oriented
packaging standards were in effect, the Secretary shall
issue regulations which implement such other standard
and which take effect before October 1, 1996.
‘‘(c) COMPLETION OF RULEMAKING PROCEEDING.—The
rulemaking proceeding initiated under subsection (a)
shall be completed before October 1, 1995.
‘‘(d) LIMITATIONS.—
‘‘(1) The provisions of subsections (a), (b), and (c)
shall not apply to packaging for those hazardous materials regulated by the Department of Transportation as poisonous by inhalation under chapter 51 of
title 49, United States Code.
‘‘(2) Nothing in this section shall be construed to
prohibit the Secretary of Transportation from issuing
or enforcing regulations for the international transportation of hazardous materials.’’

§ 5103a. Limitation on issuance of hazmat licenses
(a) LIMITATION.—