Stat/Auth

[§ 5115

TITLE 46—SHIPPING

to enforce this chapter and the regulations prescribed under this chapter.
(b) The Secretary shall consult with the Secretary of the Treasury before prescribing a regulation that affects the enforcement responsibilities of an officer or employee of the Customs
Service.
(Pub. L. 99–509, title V, § 5101(2), Oct. 21, 1986, 100
Stat. 1918; Pub. L. 101–595, title VI, § 603(4), Nov.
16, 1990, 104 Stat. 2993.)
HISTORICAL AND REVISION NOTES
Revised section 5114
Source: Section (U.S. Code) 46 App. U.S.C. 86
Section 5114(a) authorizes the Secretary to use a Customs Service officer or employee to enforce load line
requirements. The expected role of a Customs Service
officer or employee in this regard is to ensure that a
vessel is carrying a load line certificate and that the
load line is not submerged.
Section 5114(b) requires the Secretary to consult with
the Secretary of the Treasury before prescribing a regulation that affects the enforcement responsibilities of
a Customs Service officer or employee.
AMENDMENTS
1990—Pub. L. 101–595 substituted ‘‘officers and employees’’ for ‘‘officers employees’’ in section catchline.
TRANSFER OF FUNCTIONS
For transfer of functions, personnel, assets, and liabilities of the United States Customs Service of the
Department of the Treasury, including functions of the
Secretary of the Treasury relating thereto, to the Secretary of Homeland Security, and for treatment of related references, see sections 203(1), 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.

[§ 5115. Repealed. Pub. L. 101–595, title VI,
§ 603(5)(A), Nov. 16, 1990, 104 Stat. 2993]
Section, Pub. L. 99–509, title V, § 5101(2), Oct. 21, 1986,
100 Stat. 1918, authorized Secretary to prescribe regulations to carry out this chapter.

of the United States in violation of a detention
order issued under section 5113 of this title commits a class A misdemeanor.
(e) A person causing or allowing the alteration, concealment, or removal of a mark placed
on a vessel under section 5103(b) of this title and
the regulations prescribed under this chapter,
except to make a lawful change or to escape
enemy capture in time of war, commits a class
A misdemeanor.
(Pub. L. 99–509, title V, § 5101(2), Oct. 21, 1986, 100
Stat. 1918; Pub. L. 101–380, title IV, § 4302(d), Aug.
18, 1990, 104 Stat. 538.)
HISTORICAL AND REVISION NOTES
Revised section 5116
Source: Section (U.S. Code) 46 App. U.S.C. 86i, 88g.
Section 5116 provides penalties for violations of load
line requirements. The penalties are raised substantially from existing law to provide a sufficient deterrence against violations of the load line requirements
and to conform with the level of penalties throughout
the subtitle. The monetary penalties have not been
changed since the 1930’s.
Section 5116(a) raises from $1,000 to $5,000 the maximum penalty for violation of a load line provision
under this chapter or a regulation promulgated under
this chapter.
Section 5116(b) raises from $1,000 to $10,000 the maximum penalty for loading a vessel in such a way as to
submerge the load line. In addition, a violator must
pay up to two times the amount of the economic benefit of the overloading.
Section 5116(c) raises from $500 to $5,000 the maximum penalty for a violation of the requirement in section 5112(b) that the load line position and draft of a
vessel be noted in the logbook.
Section 5116(a)–(c) also states that the vessel is liable
in rem for the penalty.
Section 5116(d) raises from $1,000 to $10,000 the maximum penalty for a violation of a detention order and
may also include imprisonment for up to one year.
Section 5116(e) raises from $2,000 to $10,000 the maximum penalty for the alteration, removal, or concealment of a load line mark and may also include imprisonment for two years.
AMENDMENTS

§ 5116. Penalties
(a) Except as otherwise provided in this section, the owner, charterer, managing operator,
agent, master, and individual in charge of a vessel violating this chapter or a regulation prescribed under this chapter are each liable to the
United States Government for a civil penalty of
not more than $5,000. Each day of a continuing
violation is a separate violation. The vessel also
is liable in rem for the penalty.
(b) The owner, charterer, managing operator,
agent, master, and individual in charge of a vessel allowing, causing, attempting to cause, or
failing to take reasonable care to prevent a violation of section 5112(a) of this title are each liable to the Government for a civil penalty of not
more than $10,000 plus an additional amount
equal to twice the economic benefit of the overloading. The vessel also is liable in rem for the
penalty.
(c) The master or individual in charge of a vessel violating section 5112(b) of this title is liable
to the Government for a civil penalty of not
more than $5,000. The vessel also is liable in rem
for the penalty.
(d) A person causing or allowing the departure
of a vessel from a place within the jurisdiction

Page 98

1990—Subsec. (d). Pub. L. 101–380, § 4302(d)(1), substituted ‘‘commits a class A misdemeanor’’ for ‘‘shall
be fined not more than $10,000, imprisoned for not more
than one year, or both’’.
Subsec. (e). Pub. L. 101–380, § 4302(d)(2), substituted
‘‘commits a class A misdemeanor’’ for ‘‘shall be fined
not more than $10,000, imprisoned for not more than 2
years, or both’’.
EFFECTIVE DATE OF 1990 AMENDMENT
Amendment by Pub. L. 101–380 applicable to incidents
occurring after Aug. 18, 1990, see section 1020 of Pub. L.
101–380, set out as an Effective Date note under section
2701 of Title 33, Navigation and Navigable Waters.

PART D—MARINE CASUALTIES
CHAPTER 61—REPORTING MARINE
CASUALTIES
Sec.

6101.
6102.
6103.
6104.

Marine casualties and reporting.
State marine casualty reporting system.
Penalty.
Commercial fishing industry vessel casualty
statistics.
HISTORICAL AND REVISION NOTES

Chapter 61 provides for the reporting of marine casualties and incidents involving all United States flag

Page 99

§ 6101

TITLE 46—SHIPPING

vessels occurring anywhere in the world and any foreign flag vessel operating on waters subject to the jurisdiction of the United States.
AMENDMENTS
1988—Pub. L. 100–424, § 4(c), Sept. 9, 1988, 102 Stat. 1591,
added item 6104.

§ 6101. Marine casualties and reporting
(a) The Secretary shall prescribe regulations
on the marine casualties to be reported and the
manner of reporting. The regulations shall require reporting the following marine casualties:
(1) death of an individual.
(2) serious injury to an individual.
(3) material loss of property.
(4) material damage affecting the seaworthiness or efficiency of the vessel.
(5) significant harm to the environment.
(b) A marine casualty shall be reported within
5 days as provided in this part and regulations
prescribed under this part. Each report filed
under this section shall include information as
to whether the use of alcohol contributed to the
casualty.
[(c) Repealed. Pub. L. 98–498, title II,
§ 212(b)(1)(B), Oct. 19, 1984, 98 Stat. 2306.]
(d)(1) This part applies to a foreign vessel
when involved in a marine casualty on the navigable waters of the United States.
(2) This part applies, to the extent consistent
with generally recognized principles of international law, to a foreign vessel constructed or
adapted to carry, or that carries, oil in bulk as
cargo or cargo residue involved in a marine casualty described under subsection (a)(4) or (5) in
waters subject to the jurisdiction of the United
States, including the Exclusive Economic Zone.
(e) A marine casualty not resulting in the
death of an individual shall be classified according to the gravity of the casualty, as prescribed
by regulation, giving consideration to the extent of injuries to individuals, the extent of
property damage, the dangers that the casualty
creates, and the size, occupation, and means of
propulsion of each vessel involved.
(f)(1) This chapter applies to a marine casualty
involving a United States citizen on a foreign
passenger vessel operating south of 75 degrees
north latitude, west of 35 degrees west longitude, and east of the International Date Line;
or operating in the area south of 60 degrees
south latitude that—
(A) embarks or disembarks passengers in the
United States; or
(B) transports passengers traveling under
any form of air and sea ticket package marketed in the United States.
(2) When there is a marine casualty described
in paragraph (1) of this subsection and an investigation is conducted, the Secretary shall ensure
that the investigation—
(A) is thorough and timely; and
(B) produces findings and recommendations
to improve safety on passenger vessels.
(3) When there is a marine casualty described
in paragraph (1) of this subsection, the Secretary may—
(A) seek a multinational investigation of the
casualty under auspices of the International
Maritime Organization; or

(B) conduct an investigation of the casualty
under chapter 63 of this title.
(g) To the extent consistent with generally
recognized practices and procedures of international law, this part applies to a foreign vessel involved in a marine casualty or incident, as
defined in the International Maritime Organization Code for the Investigation of Marine Casualties and Incidents, where the United States is
a Substantially Interested State and is, or has
the consent of, the Lead Investigating State
under the Code.
(h)(1) The Secretary shall publish all major
marine casualty reports prepared in accordance
with this section in an electronic form, and
shall provide information electronically regarding how other marine casualty reports can be
obtained.
(2) For purposes of this paragraph, the term
‘‘major marine casualty’’ means a casualty involving a vessel, other than a public vessel, that
results in—
(A) the loss of 6 or more lives;
(B) the loss of a mechanically propelled vessel of 100 or more gross tons;
(C) property damage initially estimated at
$500,000 or more; or
(D) serious threat, as determined by the
Commandant of the Coast Guard with concurrence by the Chairman of the National Transportation Safety Board, to life, property, or
the environment by hazardous materials.
(i) The Secretary shall, as soon as possible,
and no later than January 1, 2005, publish all
marine casualty reports prepared in accordance
with this section in an electronic form.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 536; Pub. L.
98–498, title II, § 212(b)(1), Oct. 19, 1984, 98 Stat.
2306; Pub. L. 98–557, § 7(b)(1), Oct. 30, 1984, 98 Stat.
2862; Pub. L. 101–380, title IV, § 4106(b), Aug. 18,
1990, 104 Stat. 513; Pub. L. 102–241, § 33, Dec. 19,
1991, 105 Stat. 2222; Pub. L. 107–295, title IV,
§§ 423, 442(a), Nov. 25, 2002, 116 Stat. 2125, 2132;
Pub. L. 109–241, title IX, § 901(o), July 11, 2006, 120
Stat. 565; Pub. L. 109–304, § 15(21), Oct. 6, 2006, 120
Stat. 1704; Pub. L. 110–181, div. C, title XXXV,
§ 3529(c)(1), Jan. 28, 2008, 122 Stat. 603.)
HISTORICAL AND REVISION NOTES
Revised section
6101 ..............................................

6101(b) .........................................

Source section (U.S. Code)
46:239
46:1486
33:361
33:365
33:362

Section 6101(a) requires the Secretary to prescribe
regulations on the types and manner of reporting of
marine casualties to be reported under subsection (b)
and incidents to be reported under subsection (c). The
casualties to be reported must include casualties involving death to an individual, serious injury to an individual, material loss of property, and any damage affecting the seaworthiness or efficiency of the vessel, in
addition to the other casualties (if any) the Secretary
feels should be reported.
Subsection (b) requires the owner, charterer, agent,
master, operator, or individual in charge of a vessel to
report within 5 days, any casualty required in subsection (a) or by regulation.
Subsection (c) requires the owner, charterer, managing operator, or agent of a U.S. vessel to immediately

§ 6102

TITLE 46—SHIPPING

determine the status of their vessel if they have not
heard from the vessel, if it has not passed a scheduled
point, or for any other reason which may indicate the
vessel may have been lost or imperiled. If the owner,
charterer, managing operator, or agent cannot reach
the vessel and determine that it is operating safely,
then they shall immediately notify the Coast Guard
and provide the Coast Guard with the name and number of the vessel, the names of individuals on board,
and any other information that the Coast Guard may
request. If communication with the vessel indicates the
vessel was involved in a casualty, then the owner, charterer, or agent of the vessel must immediately notify
the Coast Guard under subsection (b). Notification to
the Coast Guard does not impose or create any additional responsibility for the Coast Guard to take search
and rescue action beyond those already existing under
title 14, United States Code.
Subsection (d) makes it clear that the reporting requirements under subsection (b) are applicable to foreign vessels involved in a marine casualty when operating on the navigable waters of the United States,
whether in innocent passage or not.
Subsection (e) provides for the classification of marine casualties by regulation according to the gravity
of the casualty, injuries to individuals, property damage, dangers created, and size, occupation, and means
of propulsion of each vessel.
AMENDMENTS
2008—Subsecs. (g) to (i). Pub. L. 110–181 repealed Pub.
L. 109–304, § 15(21). See 2006 Amendment notes below.
2006—Subsecs. (g) to (i). Pub. L. 109–304, § 15(21), which
directed amendment identical to that made by Pub. L.
109–241, was repealed by Pub. L. 110–181. See Construction of 2006 Amendment note below.
Pub. L. 109–241 redesignated the second subsec. (g), relating to electronic publishing of marine casualty reports, and subsec. (h) as subsecs. (h) and (i), respectively.
2002—Subsecs. (e), (f). Pub. L. 107–295, § 423(1), redesignated subsec. (e), relating to passenger vessel investigations, as subsec. (f).
Subsec. (g). Pub. L. 107–295, § 442(a), added subsec. (g)
relating to electronic publishing of marine casualty reports.
Pub. L. 107–295, § 423(2), added subsec. (g) relating to
applicability of this part to a foreign vessel involved in
a marine casualty or incident.
Subsec. (h). Pub. L. 107–295, § 442(a), added subsec. (h).
1991—Subsec. (e). Pub. L. 102–241 added subsec. (e) relating to passenger vessel investigations.
1990—Subsec. (a)(5). Pub. L. 101–380, § 4106(b)(1), added
par. (5).
Subsec. (d). Pub. L. 101–380, § 4106(b)(2), designated existing provisions as par. (1) and added par. (2).
1984—Subsec. (a). Pub. L. 98–498, § 212(b)(1)(A), struck
out ‘‘and incidents’’ after ‘‘marine casualties’’ in provisions preceding par. (1).
Subsec. (b). Pub. L. 98–557 inserted provisions relating
to alcohol as a contributing factor to the casualty.
Subsec. (c). Pub. L. 98–498, § 212(b)(1)(B), struck out
subsec. (c) which related to determination of status of
a vessel that may be lost or imperiled and notification
of the Coast Guard.
EFFECTIVE DATE OF 2002 AMENDMENT
Pub. L. 107–295, title IV, § 442(b), Nov. 25, 2002, 116
Stat. 2132, provided that: ‘‘The amendment made by
subsection (a) [amending this section] applies to all
marine casualty reports completed after the date of enactment of this Act [Nov. 25, 2002].’’

Page 100

EFFECTIVE DATE OF 1984 AMENDMENT
Amendment by Pub. L. 98–498 effective 180 days after
Oct. 1, 1984, see section 214 of Pub. L. 98–498, set out as
an Effective Date note under section 2306 of this title.
CONSTRUCTION OF 2006 AMENDMENT
Provisions of Pub. L. 109–304 repealed by section
3529(c)(1) of Pub. L. 110–181 to be treated as if never enacted, see section 3529(c)(2) of Pub. L. 110–181, set out as
a note under section 9504 of Title 26, Internal Revenue
Code.
TRANSFER OF FUNCTIONS
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.

§ 6102. State marine casualty reporting system
(a) The Secretary shall prescribe regulations
for a uniform State marine casualty reporting
system for vessels. Regulations shall prescribe
the casualties to be reported and the manner of
reporting. A State shall compile and submit to
the Secretary reports, information, and statistics on casualties reported to the State, including information and statistics concerning the
number of casualties in which the use of alcohol
contributed to the casualty.
(b) The Secretary shall collect, analyze, and
publish reports, information, and statistics on
marine casualties together with findings and
recommendations the Secretary considers appropriate. If a State marine casualty reporting
system provides that information derived from
casualty reports (except statistical information)
may not be publicly disclosed, or otherwise prohibits use by the State or any person in any action or proceeding against a person, the Secretary may use the information provided by the
State only in the same way that the State may
use the information.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 536; Pub. L.
98–557, § 7(b)(2), Oct. 30, 1984, 98 Stat. 2862.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

6102 ..............................................

46:1486

Section 6102(a) requires the Secretary to prescribe
regulations for a uniform State marine casualty reporting system for vessels. The Secretary may limit the
scope and types of casualties to be investigated and reported by the State. It also requires the State to submit to the Secretary reports, information, and statistics on casualties reported to the State.
Subsection (b) requires the Secretary to analyze the
information that is received from the State. It also prohibits the Secretary from disclosing the information,
proceeding against any person based on this information, or otherwise using the information, if the State
cannot use the information in the same way.

EFFECTIVE DATE OF 1990 AMENDMENT
Amendment by Pub. L. 101–380 applicable to incidents
occurring after Aug. 18, 1990, see section 1020 of Pub. L.
101–380, set out as an Effective Date note under section
2701 of Title 33, Navigation and Navigable Waters.

AMENDMENTS
1984—Subsec. (a). Pub. L. 98–557 inserted provisions
relating to alcohol as a contributing factor to the casualty.

Page 101

§ 6301

TITLE 46—SHIPPING

PLAN TO INCREASE MARINE CASUALTY REPORTING
Pub. L. 104–324, title III, § 314(a), Oct. 19, 1996, 110 Stat.
3922, provided that: ‘‘Not later than one year after enactment of this Act [Oct. 19, 1996], the Secretary of
Transportation shall, in consultation with appropriate
State agencies, submit to the Committee on Resources
[now Committee on Natural Resources] of the House of
Representatives and the Committee on Commerce,
Science, and Transportation of the Senate a plan to increase reporting of vessel accidents to appropriate
State law enforcement officials.’’

(d) The Secretary may delegate to a qualified
person that has knowledge and experience in the
collection of statistical insurance data the authority of the Secretary under this section to
compile statistics from insurers.
(Added Pub. L. 100–424, § 4(a), Sept. 9, 1988, 102
Stat. 1590.)
CHAPTER 63—INVESTIGATING MARINE
CASUALTIES
Sec.

§ 6103. Penalty
(a) An owner, charterer, managing operator,
agent, master, or individual in charge of a vessel
failing to report a casualty as required under
section 6101 of this title or a regulation prescribed under section 6101 or 6102 is liable to the
United States Government for a civil penalty of
not more than $25,000.
(b) A person failing to comply with section
6104 of this title or a regulation prescribed under
that section is liable to the Government for a
civil penalty of not more than $5,000.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 536; Pub. L.
98–498, title II, § 212(b)(2), Oct. 19, 1984, 98 Stat.
2306; Pub. L. 100–424, § 4(b), Sept. 9, 1988, 102 Stat.
1590; Pub. L. 104–324, title III, §§ 306(a), 314(b),
Oct. 19, 1996, 110 Stat. 3918, 3922.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

6103 ..............................................

33:361
33:362

Section 6103 provides for a civil penalty of $1,000 for
any owner, charterer, managing operator, agent, master, or individual in charge of a vessel that fails to report a casualty required to be reported under subsection (b) of section 6101 or an incident required to be
reported under subsection (c) of section 6101.
AMENDMENTS
1996—Subsec. (a). Pub. L. 104–324 inserted ‘‘or 6102’’
before ‘‘is liable’’ and substituted ‘‘not more than
$25,000’’ for ‘‘$1,000’’.
1988—Pub. L. 100–424 designated existing provisions as
subsec. (a) and added subsec. (b).
1984—Pub. L. 98–498 struck out ‘‘or incident’’ after ‘‘a
casualty’’.
EFFECTIVE DATE OF 1984 AMENDMENT
Amendment by Pub. L. 98–498 effective 180 days after
Oct. 19, 1984, see section 214 of Pub. L. 98–498, set out as
an Effective Date note under section 2306 of this title.

§ 6104. Commercial fishing industry vessel casualty statistics
(a) The Secretary shall compile statistics concerning marine casualties from data compiled
from insurers of fishing vessels, fish processing
vessels, and fish tender vessels.
(b) A person underwriting primary insurance
for a fishing vessel, fish processing vessel, or
fish tender vessel shall submit periodically to
the Secretary data concerning marine casualties
that is required by regulations prescribed by the
Secretary.
(c) After consulting with the insurance industry, the Secretary shall prescribe regulations
under this section to gather a statistical base
for analyzing vessel risks.

6301.
6302.
6303.
6304.
6305.
6306.
6307.
6308.

Investigation of marine casualties.
Public investigations.
Rights of parties in interest.
Subpena authority.
Reports of investigations.
Penalty.
Notifications to Congress.
Information barred in legal proceedings.
HISTORICAL AND REVISION NOTES

Chapter 63 sets forth the scope and procedures for the
investigation of marine casualties and incidents that
are required to be reported by Chapter 61, as well as the
rights of parties involved in a casualty.
AMENDMENTS
1996—Pub. L. 104–324, title III, § 313(b), Oct. 19, 1996, 110
Stat. 3922, added item 6308.

§ 6301. Investigation of marine casualties
The Secretary shall prescribe regulations for
the immediate investigation of marine casualties under this part to decide, as closely as possible—
(1) the cause of the casualty, including the
cause of any death;
(2) whether an act of misconduct, incompetence, negligence, unskillfulness, or willful
violation of law committed by any individual
licensed, certificated, or documented under
part E of this subtitle has contributed to the
cause of the casualty, or to a death involved in
the casualty, so that appropriate remedial action under chapter 77 of this title may be
taken;
(3) whether an act of misconduct, incompetence, negligence, unskillfulness, or willful
violation of law committed by any person, including an officer, employee, or member of the
Coast Guard, contributed to the cause of the
casualty, or to a death involved in the casualty;
(4) whether there is evidence that an act subjecting the offender to a civil penalty under
the laws of the United States has been committed, so that appropriate action may be
undertaken to collect the penalty;
(5) whether there is evidence that a criminal
act under the laws of the United States has
been committed, so that the matter may be
referred to appropriate authorities for prosecution; and
(6) whether there is need for new laws or regulations, or amendment or repeal of existing
laws or regulations, to prevent the recurrence
of the casualty.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 537.)
HISTORICAL AND REVISION NOTES
Revised section
6301 ..............................................

Source section (U.S. Code)
46:239