1625-0126 Stat/Authority

§ 12101

TITLE 46—SHIPPING

Sec.

12117.
12118.
12119.
12120.
12121.

Oil spill response vessels.
Owners engaged primarily in manufacturing
or mineral industry.
Owners engaged primarily in leasing or financing transactions.
Liquified gas tankers.
Small passenger vessels and uninspected passenger vessels.

rollment and license for the coastwise (or
coasting) trade’’ mean a certificate of documentation with a coastwise endorsement issued under this chapter.
(3) YACHT.—The term ‘‘yacht’’ means a recreational vessel even if not documented.
(Pub. L. 109–304, § 5, Oct. 6, 2006, 120 Stat. 1491.)
HISTORICAL AND REVISION NOTES

SUBCHAPTER III—MISCELLANEOUS
12131.
12132.
12133.
12134.
12135.
12136.
12137.
12138.
12139.

Command of documented vessels.
Loss of coastwise trade privileges.
Duty to carry certificate on vessel and allow
examination.
Evidentiary uses of documentation.
Invalidation of certificates of documentation.
Surrender of certificates of documentation.
Recording of vessels built in the United
States.
List of documented vessels.
Reports.
SUBCHAPTER IV—PENALTIES

12151.
12152.

Penalties.
Denial or revocation of endorsement for nonpayment of civil penalty.
CODIFICATION

This chapter was originally enacted by Pub. L. 98–89,
Aug. 26, 1983, 97 Stat. 584, and amended by Pub. L.
98–364, July 17, 1984, 98 Stat. 440; Pub. L. 98–454, Oct. 5,
1984, 98 Stat. 1732; Pub. L. 99–36, May 15, 1985, 99 Stat.
67; Pub. L. 99–307, May 19, 1986, 100 Stat. 444; Pub. L.
99–509, Oct. 21, 1986, 100 Stat. 1874; Pub. L. 99–570, Oct.
27, 1986, 100 Stat. 3207; Pub. L. 100–239, Jan. 11, 1988, 101
Stat. 1778; Pub. L. 100–710, Nov. 23, 1988, 102 Stat. 4735;
Pub. L. 101–225, Dec. 12, 1989, 103 Stat. 1908; Pub. L.
101–380, Aug. 18, 1990, 104 Stat. 484; Pub. L. 101–595, Nov.
16, 1990, 104 Stat. 2979; Pub. L. 102–388, Oct. 6, 1992, 106
Stat. 1520; Pub. L. 102–587, Nov. 4, 1992, 106 Stat. 5039;
Pub. L. 104–208, Sept. 30, 1996, 110 Stat. 3009; Pub. L.
104–324, Oct. 19, 1996, 110 Stat. 3901; Pub. L. 105–277, Oct.
21, 1998, 112 Stat. 2681; Pub. L. 105–383, Nov. 13, 1998, 112
Stat. 3411; Pub. L. 106–31, May 21, 1999, 113 Stat. 57; Pub.
L. 107–20, July 24, 2001, 115 Stat. 155; Pub. L. 107–206,
Aug. 2, 2002, 116 Stat. 820; Pub. L. 107–295, Nov. 25, 2002,
116 Stat. 2064; Pub. L. 108–136, Nov. 24, 2003, 117 Stat.
1392; Pub. L. 108–293, Aug. 9, 2004, 118 Stat. 1028; Pub. L.
109–241, July 11, 2006, 120 Stat. 516. This chapter is
shown here, however, as having been enacted by Pub. L.
109–304, § 5, Oct. 6, 2006, 120 Stat. 1491, without reference
to those intervening amendments because of the general amendment of this chapter by Pub. L. 109–304.

SUBCHAPTER I—GENERAL
§ 12101. Definitions
(a) REBUILT IN THE UNITED STATES.—In this
chapter, a vessel is deemed to have been rebuilt
in the United States only if the entire rebuilding, including the construction of any major
component of the hull or superstructure, was
done in the United States.
(b) RELATED TERMS IN OTHER LAWS.—When the
following terms are used in a law, regulation,
document, ruling, or other official act referring
to the documentation of a vessel, the following
definitions apply:
(1) REGISTRY ENDORSEMENT.—The terms
‘‘certificate of registry’’, ‘‘register’’, and ‘‘registry’’ mean a certificate of documentation
with a registry endorsement issued under this
chapter.
(2) COASTWISE ENDORSEMENT.—The terms ‘‘license’’, ‘‘enrollment and license’’, ‘‘license for
the coastwise (or coasting) trade’’, and ‘‘en-

Page 154

Revised
Section
12101(a) ......

12101(b) ......

Source (U.S. Code)
46:12101(a)(2).
46 App.:883 (2d proviso related to
meaning of ‘‘rebuilt’’).

Source (Statutes at Large)

June 5, 1920, ch. 250, § 27 (2d
proviso related to meaning of ‘‘rebuilt’’), 41 Stat.
999; July 2, 1935, ch. 355, 49
Stat. 442; July 14, 1956, ch.
600, § 1, 70 Stat. 544; Pub.
L. 86–583, § 1, July 5, 1960,
74 Stat. 321; Pub. L.
100–239, § 6(c)(1), Jan. 11,
1988, 101 Stat. 1782.

46:12101(b).

In subsection (a), the words ‘‘its territories’’ and ‘‘or
its possessions’’ are omitted because of the definition of
‘‘United States’’ in chapter 1 of the revised title. The
words ‘‘(not including trust territories)’’ are omitted
because the Trust Territory of the Pacific Islands has
terminated. See 48 U.S.C. 1681 note prec.
PRIOR PROVISIONS
A prior section 12101, Pub. L. 98–89, Aug. 26, 1983, 97
Stat. 585; Pub. L. 98–364, title IV, § 402(16), July 17, 1984,
98 Stat. 450; Pub. L. 99–36, § 1(a)(7)(B), May 15, 1985, 99
Stat. 67; Pub. L. 100–239, § 3(2), (3), Jan. 11, 1988, 101 Stat.
1778; Pub. L. 101–225, title III, § 301(a)(1), Dec. 12, 1989,
103 Stat. 1920; Pub. L. 104–324, title XI, § 1115(b)(2), Oct.
19, 1996, 110 Stat. 3972, originally derived from section
65w of former Title 46, Shipping, related to definitions
and related terms in other laws, prior to the general
amendment of this chapter by Pub. L. 109–304. See this
section and section 108 of this title.

§ 12102. Vessels requiring documentation
(a) IN GENERAL.—Except as otherwise provided, a vessel may engage in a trade only if the
vessel has been issued a certificate of documentation with an endorsement for that trade
under this chapter.
(b) VESSELS LESS THAN 5 NET TONS.—A vessel
of less than 5 net tons may engage in a trade
without being documented if the vessel otherwise satisfies the requirements to engage in the
particular trade.
(c) BARGES.—A barge qualified to engage in
the coastwise trade may engage in the coastwise
trade, without being documented, on rivers, harbors, lakes (except the Great Lakes), canals, and
inland waters.
(Pub. L. 109–304, § 5, Oct. 6, 2006, 120 Stat. 1492.)
HISTORICAL AND REVISION NOTES
Revised
Section
12102(a) ......
12102(b) ......
12102(c) ......

Source (U.S. Code)

Source (Statutes at Large)

46:12106(b).
46:12108(b).
46:12110(a).
46:12102(a) (related
to tonnage).
46:12110(b).

PRIOR PROVISIONS
A prior section 12102, Pub. L. 98–89, Aug. 26, 1983, 97
Stat. 585; Pub. L. 99–509, title V, § 5102(b)(6), Oct. 21,
1986, 100 Stat. 1927; Pub. L. 100–239, § 7(a), Jan. 11, 1988,
101 Stat. 1782; Pub. L. 100–710, title I, § 104(a)(4), (5), Nov.

Page 155

23, 1988, 102 Stat. 4750; Pub. L. 101–225, title III,
§ 301(a)(2), Dec. 12, 1989, 103 Stat. 1920; Pub. L. 104–324,
title XI, § 1136(a), Oct. 19, 1996, 110 Stat. 3986; Pub. L.
105–277, div. C, title II, § 202(a), Oct. 21, 1998, 112 Stat.
2681–617; Pub. L. 105–383, title IV, §§ 401(a)(1), 421, Nov.
13, 1998, 112 Stat. 3424, 3439; Pub. L. 107–20, title II,
§ 2202(a), July 24, 2001, 115 Stat. 168; Pub. L. 107–206, title
I, § 1103, Aug. 2, 2002, 116 Stat. 884; Pub. L. 108–136, div.
C, title XXXV, § 3534(b)(1), Nov. 24, 2003, 117 Stat. 1818,
originally derived from section 65b of former Title 46,
Shipping, related to vessels eligible for documentation,
prior to the general amendment of this chapter by Pub.
L. 109–304. See this section and sections 12103, 12111, and
12113 of this title.

§ 12103. General eligibility requirements
(a) IN GENERAL.—Except as otherwise provided, a certificate of documentation for a vessel may be issued under this chapter only if the
vessel is—
(1) wholly owned by one or more individuals
or entities described in subsection (b);
(2) at least 5 net tons as measured under part
J of this subtitle; and
(3) not documented under the laws of a foreign country.
(b) ELIGIBLE OWNERS.—For purposes of subsection (a)(1), the following are eligible owners:
(1) An individual who is a citizen of the
United States.
(2) An association, trust, joint venture, or
other entity if—
(A) each of its members is a citizen of the
United States; and
(B) it is capable of holding title to a vessel
under the laws of the United States or a
State.
(3) A partnership if—
(A) each general partner is a citizen of the
United States; and
(B) the controlling interest in the partnership is owned by citizens of the United
States.
(4) A corporation if—
(A) it is incorporated under the laws of the
United States or a State;
(B) its chief executive officer, by whatever
title, and the chairman of its board of directors are citizens of the United States; and
(C) no more of its directors are noncitizens
than a minority of the number necessary to
constitute a quorum.
(5) The United States Government.
(6) The government of a State.
(c) TEMPORARY CERTIFICATES PRIOR TO
UREMENT.—Notwithstanding subsection

MEAS(a)(2),
the Secretary may issue a temporary certificate
of documentation for a vessel before it is measured.
(Pub. L. 109–304, § 5, Oct. 6, 2006, 120 Stat. 1492.)
HISTORICAL AND REVISION NOTES
Revised
Section

Source (U.S. Code)

12103(a) ......

46:12102(a) (less
ownership), (b)
(1st sentence).
46:12102(a) (related
to ownership)
46:12102(b) (last sentence).

12103(b) ......
12103(c) ......

§ 12105

TITLE 46—SHIPPING

Source (Statutes at Large)

PRIOR PROVISIONS
A prior section 12103, Pub. L. 98–89, Aug. 26, 1983, 97
Stat. 585; Pub. L. 100–710, title I, § 104(a)(4), (6), Nov. 23,
1988, 102 Stat. 4750; Pub. L. 101–225, title III, § 301(a)(3),
Dec. 12, 1989, 103 Stat. 1920; Pub. L. 102–388, title III,
§ 348(c)(1), Oct. 6, 1992, 106 Stat. 1554; Pub. L. 102–587,
title V, § 5213(a)(1), Nov. 4, 1992, 106 Stat. 5077; Pub. L.
107–295, title IV, § 422(a), Nov. 25, 2002, 116 Stat. 2125,
originally derived from section 65e of former Title 46,
Shipping, related to certificates of documentation,
prior to the general amendment of this chapter by Pub.
L. 109–304. See sections 12104, 12105, and 12133 of this
title.
A prior section 12103a, added Pub. L. 107–295, title IV,
§ 422(b)(1), Nov. 25, 2002, 116 Stat. 2125, related to issuance of temporary certificate of documentation by
third parties, prior to the general amendment of this
chapter by Pub. L. 109–304. See section 12105 of this
title.

§ 12104. Applications for documentation
(a) IN GENERAL.—An application for a certificate of documentation or endorsement under
this chapter must be filed by the owner of the
vessel. The application must be filed in the manner, be in the form, and contain the information
prescribed by the Secretary.
(b) APPLICANT’S IDENTIFYING INFORMATION.—
The Secretary shall require the applicant to provide—
(1) if the applicant is an individual, the individual’s social security number; or
(2) if the applicant is an entity—
(A) the entity’s taxpayer identification
number; or
(B) if the entity does not have a taxpayer
identification number, the social security
number of an individual who is a corporate
officer, general partner, or individual trustee of the entity and who signs the application.
(Pub. L. 109–304, § 5, Oct. 6, 2006, 120 Stat. 1493.)
HISTORICAL AND REVISION NOTES
Revised
Section
12104(a) ......
12104(b) ......

Source (U.S. Code)

Source (Statutes at Large)

46:12103(a) (related
to filing by
owner), (b)(1).
46:12103(b)(2).

PRIOR PROVISIONS
A prior section 12104, Pub. L. 98–89, Aug. 26, 1983, 97
Stat. 586; Pub. L. 99–36, § 1(a)(7)(B), May 15, 1985, 99 Stat.
67; Pub. L. 101–225, title III, § 301(a)(4), Dec. 12, 1989, 103
Stat. 1920, originally derived from section 65g of former
Title 46, Shipping, related to effect of documentation,
prior to the general amendment of this chapter by Pub.
L. 109–304. See section 12134 of this title.

§ 12105. Issuance of documentation
(a) IN GENERAL.—Except as provided in section
12152 of this title, the Secretary, on receipt of a
proper application, shall issue a certificate of
documentation or a temporary certificate of
documentation for a vessel satisfying the requirements of section 12103 of this title. The certificate shall contain each endorsement under
subchapter II of this chapter for which the
owner applies and the vessel is eligible.
(b) TEMPORARY CERTIFICATES FOR RECREATIONAL VESSELS.—The Secretary may delegate, subject to the supervision and control of