1625-0081 Stat/Authority

§ 2307

TITLE 46—SHIPPING

(2) When more than 48 hours have passed since
the owner, charterer, managing operator, or
agent of a vessel required to report to the
United States Flag Merchant Vessel Location
Filing System under authority of section 50113
of this title has received a communication from
the vessel, the owner, charterer, managing operator, or agent immediately shall—
(A) notify the Coast Guard; and
(B) use all available means to determine the
status of the vessel.
(3) A person notifying the Coast Guard under
paragraph (1) or (2) of this subsection shall provide the name and identification number of the
vessel, the names of individuals on board, and
other information that may be requested by the
Coast Guard. The owner, charterer, managing
operator, or agent also shall submit written confirmation to the Coast Guard within 24 hours
after nonwritten notification to the Coast Guard
under those paragraphs.
(4) An owner, charterer, managing operator, or
agent violating this subsection is liable to the
United States Government for a civil penalty of
not more than $5,000 for each day during which
the violation occurs.
(b)(1) The master of a vessel of the United
States required to report to the System shall report to the owner, charterer, managing operator, or agent at least once every 48 hours.
(2) A master violating this subsection is liable
to the Government for a civil penalty of not
more than $1,000 for each day during which the
violation occurs.
(c) The Secretary may prescribe regulations to
carry out this section.
(Added Pub. L. 98–498, title II, § 212(a)(3), Oct. 19,
1984, 98 Stat. 2305; amended Pub. L. 109–304,
§ 15(9), Oct. 6, 2006, 120 Stat. 1703.)
AMENDMENTS
2006—Subsec. (a)(2). Pub. L. 109–304 substituted ‘‘section 50113 of this title’’ for ‘‘section 212(A) of the Merchant Marine Act, 1936 (46 App. U.S.C. 1122a),’’.

Page 36

for damages caused by or related to such assistance unless the acts or omissions of such pilot
constitute gross negligence or willful misconduct.
(Added Pub. L. 107–295, title IV, § 431(a), Nov. 25,
2002, 116 Stat. 2128.)
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.

PART B—INSPECTION AND REGULATION OF
VESSELS
HISTORICAL AND REVISION NOTES
Part B provides authority and responsibility for the
inspection and regulation of vessels by the Coast
Guard. This part specifies those vessels subject to inspection, those that are specifically exempt from inspection, and related inspection requirements and procedures. Due to the need for special requirements for
the inspection and regulation of passenger vessels and
those vessels carrying liquid bulk dangerous cargoes
separate chapters have been developed. Additional
chapters provide for recreational vessels and those
other vessels that are regulated but are not subject to
inspection and certification by the Coast Guard. It
should also be noted that the United States is signatory to a number of international treaties on maritime
safety and seamen’s welfare, such as the various Safety
of Life at Sea (SOLAS) treaties, and that their provisions and requirements are part of United States maritime law and in many cases are quite extensive.

CHAPTER 31—GENERAL
Sec.

3101.
3102.
3103.
3104.

Authority to suspend inspection.
Immersion suits.
Use of reports, documents, and records.
Survival craft.

EFFECTIVE DATE

AMENDMENTS

Pub. L. 98–498, title II, § 214, Oct. 19, 1984, 98 Stat. 2306,
provided that: ‘‘Sections 211(a) and 212 of this subtitle
[enacting this section and amending sections 2302, 3309,
6101, and 6103 of this title] are effective one hundred
and eighty days after the date of enactment of this Act
[Oct. 19, 1984].’’

2010—Pub. L. 111–281, title VI, § 609(b), Oct. 15, 2010, 124
Stat. 2968, added item 3104.
1996—Pub. L. 104–324, title VI, § 603(b), Oct. 19, 1996, 110
Stat. 3930, added item 3103.
1988—Pub. L. 100–424, § 8(a)(3), Sept. 9, 1988, 102 Stat.
1593, substituted ‘‘Immersion’’ for ‘‘Exposure’’ in item
3102.
1985—Pub. L. 99–36, § 2, May 15, 1985, 99 Stat. 68, repealed section 22 of Pub. L. 98–557 and the amendments
made by that section, which added first identical item
3102, effective Nov. 8, 1984, thereby leaving Pub. L.
98–623 as the sole authority for the addition of item
3102. See 1984 Amendment note below.
1984—Pub. L. 98–557, § 22(a)(2), Oct. 30, 1984, 98 Stat.
2871, and Pub. L. 98–623, title VII, § 701(a)(2), Nov. 8, 1984,
98 Stat. 3413, added identical item 3102. See 1985 Amendment note above.

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.

§ 2307. Limitation of liability for Coast Guard
Vessel Traffic Service pilots
Any pilot, acting in the course and scope of his
or her duties while at a United States Coast
Guard Vessel Traffic Service, who provides information, advice, or communication assistance
while under the supervision of a Coast Guard officer, member, or employee shall not be liable

§ 3101. Authority to suspend inspection
When the President decides that the needs of
foreign commerce require, the President may
suspend a provision of this part for a foreignbuilt vessel registered as a vessel of the United
States on conditions the President may specify.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 510.)

Page 37

§ 3104

TITLE 46—SHIPPING
HISTORICAL AND REVISION NOTES

Revised section

Source section (U.S. Code)

3101 ..............................................

46:82

Section 3101 provides the President with the authority to suspend the inspection laws for a foreign-built
reflagged U.S. vessel when the needs of foreign commerce require this. For example, if a foreign-flag vessel
is reflagged in the U.S. but does not meet the specific
Coast Guard inspection requirements, the President
could suspend these requirements.
EFFECTIVE DATE
Pub. L. 98–89, § 2(g)(1), Aug. 26, 1983, 97 Stat. 599, provided that: ‘‘Part B [chapters 31 to 43] of subtitle II and
sections 7306 (related to able seaman sail) and 7311 of
title 46 (as enacted by section 1 of this Act) take effect
April 15, 1984, or when regulations for sailing school
vessels under part B are effective, whichever is earlier.’’ [Part B of subtitle II and sections 7306 (related to
able seaman sail) and 7311 of title 46 effective Apr. 15,
1984, in absence of regulations for sailing school vessels
under part B on that date.]
DELEGATION OF FUNCTIONS
For delegation to Secretary of the Treasury of authority vested in President by this section, see Ex. Ord.
No. 10289, Sept. 17, 1951, 16 F.R. 9499, as amended, set
out as a note under section 301 of Title 3, The President.

§ 3102. Immersion suits
(a) The Secretary shall by regulation require
immersion suits on vessels designated by the
Secretary that operate in the Atlantic Ocean
north of 32 degrees North latitude or south of 32
degrees South latitude and in all other waters
north of 35 degrees North latitude or south of 35
degrees South latitude. The Secretary may not
exclude a vessel from designation under this section only because that vessel carries other lifesaving equipment.
(b) The Secretary shall establish standards for
an immersion suit required by this section, including standards to guarantee adequate thermal protection, buoyance, and flotation stability.
(c)(1) The owner, charterer, managing operator, agent, master, or individual in charge of a
vessel violating this section or a regulation prescribed under this section is liable to the United
States Government for a civil penalty of not
more than $5,000. The vessel also is liable in rem
for the penalty.
(2) The owner, charterer, managing operator,
agent, master, or individual in charge of a vessel
violating this section or a regulation prescribed
under this section may be fined not more than
$25,000, imprisoned for not more than 5 years, or
both.
(Added Pub. L. 98–557, § 22(a)(1), Oct. 30, 1984, 98
Stat. 2871; amended Pub. L. 98–623, title VII,
§ 701(a)(1), Nov. 8, 1984, 98 Stat. 3413; Pub. L.
99–36, § 2, May 15, 1985, 99 Stat. 68; Pub. L.
100–424, § 8(a)(1), (2), Sept. 9, 1988, 102 Stat. 1592,
1593.)
CODIFICATION
Pub. L. 98–557 and Pub. L. 98–623 enacted identical
section 3102 of this title. Section 22 of Pub. L. 98–557,
which enacted first identical section 3102 of this title,
was repealed by section 2 of Pub. L. 99–36, set out below
as a Repeal of Duplicate Section note.

AMENDMENTS
1988—Pub. L. 100–424 substituted ‘‘Immersion’’ for
‘‘Exposure’’ in section catchline, and ‘‘immersion’’ for
‘‘exposure’’ in subsecs. (a) and (b).
REPEAL OF DUPLICATE SECTION 3102; REFERENCES
THERETO AND REGULATIONS AND ACTIONS THEREUNDER
Pub. L. 99–36, § 2, May 15, 1985, 99 Stat. 68, provided
that: ‘‘Section 22 of the Coast Guard Authorization Act
of 1984 (Public Law 98–557; 98 Stat. 2871), and the amendments made by such section [enacting first identical
section 3102 of this title and provisions set out as a note
under this section and amending the analysis of chapter 31 of this title], are repealed as of November 8, 1984.
Regulations prescribed and actions taken under, and
references to, such section and the amendments made
by such section are deemed to be regulations prescribed
and actions taken under, and references to, section 701
of the Act of November 8, 1984 (Public Law 98–623; 98
Stat. 3413), and the amendments made by such section
701 [enacting second identical section 3102 of this title
and provisions set out as a note under this section and
amending the analysis of chapter 31 of this title].’’
REGULATIONS
Pub. L. 98–623, title VII, § 701(b), (c), Nov. 8, 1984, 98
Stat. 3413, provided:
‘‘(b) Section 3102 of title 46, United States Code (as
added by subsection (a) of this section), does not limit
the authority of the Secretary of the department in
which the Coast Guard is operating to prescribe regulations requiring exposure suits on vessels not required
by section 3102 to have exposure suits.
‘‘(c) The regulations prescribed under section 3102 of
title 46, United States Code (as added by subsection (a)
of this section), shall be effective not later than 60 days
after the date of enactment of this title [Nov. 8, 1984].’’
[Regulations effective Dec. 30, 1984, see 49 F.R. 50722,
Dec. 31, 1984.]
[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.]
Similar provisions were contained in section 22(b), (c)
of Pub. L. 98–557, which was repealed by section 2 of
Pub. L. 99–36, set out above as a Repeal of Duplicate
Section note.

§ 3103. Use of reports, documents, and records
The Secretary may rely, as evidence of compliance with this subtitle, on—
(1) reports, documents, and records of other
persons who have been determined by the Secretary to be reliable; and
(2) other methods the Secretary has determined to be reliable.
(Added Pub. L. 104–324, title VI, § 603(a), Oct. 19,
1996, 110 Stat. 3930.)
§ 3104. Survival craft
(a) Except as provided in subsection (b), the
Secretary may not approve a survival craft as a
safety device for purposes of this part, unless
the craft ensures that no part of an individual is
immersed in water.
(b) The Secretary may authorize a survival
craft that does not provide protection described
in subsection (a) to remain in service until not
later than January 1, 2015, if—
(1) it was approved by the Secretary before
January 1, 2010; and

§ 3201

TITLE 46—SHIPPING

(2) it is in serviceable condition.
(Added Pub. L. 111–281, title VI, § 609(a), Oct. 15,
2010, 124 Stat. 2968.)
CHAPTER 32—MANAGEMENT OF VESSELS
Sec.

3201.
3202.
3203.
3204.
3205.

Definitions.
Application.
Safety management system.
Implementation of safety management system.
Certification.

§ 3201. Definitions
In this chapter—
(1) ‘‘International Safety Management
Code’’ has the same meaning given that term
in chapter IX of the Annex to the International Convention for the Safety of Life at
Sea, 1974;
(2) ‘‘responsible person’’ means—
(A) the owner of a vessel to which this
chapter applies; or
(B) any other person that has—
(i) assumed the responsibility for operation of a vessel to which this chapter applies from the owner; and
(ii) agreed to assume with respect to the
vessel responsibility for complying with
all the requirements of this chapter and
the regulations prescribed under this chapter.
(3) ‘‘vessel engaged on a foreign voyage’’
means a vessel to which this chapter applies—
(A) arriving at a place under the jurisdiction of the United States from a place in a
foreign country;
(B) making a voyage between places outside the United States; or
(C) departing from a place under the jurisdiction of the United States for a place in a
foreign country.
(Added Pub. L. 104–324, title VI, § 602(a), Oct. 19,
1996, 110 Stat. 3928.)
SAFETY MANAGEMENT CODE REPORT AND POLICY
Pub. L. 105–383, title III, § 306, Nov. 13, 1998, 112 Stat.
3420, provided that:
‘‘(a) REPORT ON IMPLEMENTATION AND ENFORCEMENT
OF THE INTERNATIONAL SAFETY MANAGEMENT CODE.—
‘‘(1) The Secretary of Transportation (in this section referred to as the ‘Secretary’) shall conduct a
study—
‘‘(A) reporting on the status of implementation of
the International Safety Management Code (hereafter referred to in this section as ‘Code’);
‘‘(B) detailing enforcement actions involving the
Code, including the role documents and reports produced pursuant to the Code play in such enforcement actions;
‘‘(C) evaluating the effects the Code has had on
marine safety and environmental protection, and
identifying actions to further promote marine safety and environmental protection through the Code;
‘‘(D) identifying actions to achieve full compliance with and effective implementation of the
Code; and
‘‘(E) evaluating the effectiveness of internal reporting and auditing under the Code, and recommending actions to ensure the accuracy and
candidness of such reporting and auditing.
These recommended actions may include proposed
limits on the use in legal proceedings of documents
produced pursuant to the Code.

Page 38

‘‘(2) The Secretary shall provide opportunity for the
public to participate in and comment on the study
conducted under paragraph (1).
‘‘(3) Not later than 18 months after the date of the
enactment of this Act [Nov. 13, 1998], the Secretary
shall submit to the Congress a report on the results
of the study conducted under paragraph (1).
‘‘(b) POLICY.—
‘‘(1) Not later than 9 months after submission of the
report in subsection (a)(3), the Secretary shall develop a policy to achieve full compliance with and effective implementation of the Code. The policy may
include—
‘‘(A) enforcement penalty reductions and waivers,
limits on the use in legal proceedings of documents
produced pursuant to the Code, or other incentives
to ensure accurate and candid reporting and auditing;
‘‘(B) any other measures to achieve full compliance with and effective implementation of the
Code; and
‘‘(C) if appropriate, recommendations to Congress
for any legislation necessary to implement one or
more elements of the policy.
‘‘(2) The Secretary shall provide opportunity for the
public to participate in the development of the policy
in paragraph (1).
‘‘(3) Upon completion of the policy in paragraph (1),
the Secretary shall publish the policy in the Federal
Register and provide opportunity for public comment
on the policy.’’
VESSEL MANAGEMENT METHODS STUDY
Pub. L. 104–324, title VI, § 602(c), Oct. 19, 1996, 110 Stat.
3930, provided that:
‘‘(1) IN GENERAL.—The Secretary of the department in
which the Coast Guard is operating shall conduct, in
cooperation with the owners, charterers, and managing
operators of vessels documented under chapter 121 of
title 46, United States Code, and other interested persons, a study of the methods that may be used to implement and enforce the International Management
Code for the Safe Operation of Ships and for Pollution
Prevention under chapter IX of the Annex to the International Convention for the Safety of Life at Sea, 1974.
‘‘(2) REPORT.—The Secretary shall submit to the Congress a report of the results of the study required under
paragraph (1) before the earlier of—
‘‘(A) the date that final regulations are prescribed
under section 3203 of title 46, United States Code (as
enacted by subsection (a)[)]; or
‘‘(B) the date that is 1 year after the date of enactment of this Act [Oct. 19, 1996].’’
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.

§ 3202. Application
(a) FOREIGN VOYAGES AND FOREIGN VESSELS.—
This chapter applies to a vessel that—
(1)(A) is transporting more than 12 passengers described in section 2101(21)(A) of this
title; or
(B) is of at least 500 gross tons as measured
under section 14302 of this title and is a tanker, freight vessel, bulk freight vessel, high
speed freight vessel, or self-propelled mobile
offshore drilling unit; and
(2)(A) is engaged on a foreign voyage; or
(B) is a foreign vessel departing from a place
under the jurisdiction of the United States on
a voyage, any part of which is on the high
seas.

Page 39

§ 3205

TITLE 46—SHIPPING

(b) OTHER PASSENGER VESSELS.—This chapter
applies to a vessel that is—
(1) a passenger vessel or small passenger vessel; and
(2) is transporting more passengers than a
number prescribed by the Secretary based on
the number of individuals on the vessel that
could be killed or injured in a marine casualty.
(c) VOLUNTARY APPLICATION.—This chapter applies to a vessel not described in subsection (a)
of this section if the owner of the vessel requests
the Secretary to apply this chapter to the vessel.
(d) EXCEPTION.—Except as provided in subsection (c) of this section, this chapter does not
apply to—
(1) a barge;
(2) a recreational vessel not engaged in commercial service;
(3) a fishing vessel;
(4) a vessel operating on the Great Lakes or
its tributary and connecting waters that is not
described in subsection (b) of this section; or
(5) a public vessel.
(Added Pub. L. 104–324, title VI, § 602(a), Oct. 19,
1996, 110 Stat. 3928; amended Pub. L. 108–293, title
IV, § 405(a), Aug. 9, 2004, 118 Stat. 1043; Pub. L.
111–281, title VI, § 610(a), Oct. 15, 2010, 124 Stat.
2969.)
AMENDMENTS
2010—Subsec. (a). Pub. L. 111–281, § 610(a)(1), substituted ‘‘FOREIGN VOYAGES AND FOREIGN VESSELS.—’’
for ‘‘MANDATORY APPLICATION.—’’ in heading.
Subsecs. (b) to (d). Pub. L. 111–281, § 610(a)(2)–(4),
added subsec. (b), redesignated former subsecs. (b) and
(c) as (c) and (d), respectively, and, in introductory provisions of subsec. (d), substituted ‘‘subsection (c)’’ for
‘‘subsection (b)’’.
Subsec. (d)(4). Pub. L. 111–281, § 610(a)(5), inserted
‘‘that is not described in subsection (b) of this section’’
after ‘‘connecting waters’’.
2004—Subsec. (a). Pub. L. 108–293 reenacted heading
without change and amended text generally. Prior to
amendment, text read as follows: ‘‘This chapter applies
to the following vessels engaged on a foreign voyage:
‘‘(1) Beginning July 1, 1998—
‘‘(A) a vessel transporting more than 12 passengers described in section 2101(21)(A) of this title;
and
‘‘(B) a tanker, bulk freight vessel, or high-speed
freight vessel, of at least 500 gross tons.
‘‘(2) Beginning July 1, 2002, a freight vessel and a
self-propelled mobile offshore drilling unit of at least
500 gross tons.’’

(5) procedures for preparing for and responding to emergency situations; and
(6) procedures for internal audits and management reviews of the system.
(b) COMPLIANCE WITH CODE.—Regulations prescribed under this section shall be consistent
with the International Safety Management Code
with respect to vessels to which this chapter applies under section 3202(a) of this title.
(c) In prescribing regulations for passenger
vessels and small passenger vessels, the Secretary shall consider—
(1) the characteristics, methods of operation,
and nature of the service of these vessels; and
(2) with respect to vessels that are ferries,
the sizes of the ferry systems within which the
vessels operate.
(Added Pub. L. 104–324, title VI, § 602(a), Oct. 19,
1996, 110 Stat. 3928; amended Pub. L. 108–293, title
IV, § 405(b), Aug. 9, 2004, 118 Stat. 1043; Pub. L.
111–281, title VI, § 610(b), Oct. 15, 2010, 124 Stat.
2969.)
AMENDMENTS
2010—Subsec. (c). Pub. L. 111–281 added subsec. (c).
2004—Subsec. (b). Pub. L. 108–293 substituted ‘‘vessels
to which this chapter applies under section 3202(a) of
this title’’ for ‘‘vessels engaged on a foreign voyage’’.

§ 3204. Implementation of safety management
system
(a) SAFETY MANAGEMENT PLAN.—Each responsible person shall establish and submit to the
Secretary for approval a safety management
plan describing how that person and vessels of
the person to which this chapter applies will
comply with the regulations prescribed under
section 3203(a) of this title.
(b) APPROVAL.—Upon receipt of a safety management plan submitted under subsection (a),
the Secretary shall review the plan and approve
it if the Secretary determines that it is consistent with and will assist in implementing the
safety management system established under
section 3203.
(c) PROHIBITION ON VESSEL OPERATION.—A vessel to which this chapter applies under section
3202(a) may not be operated without having on
board a Safety Management Certificate and a
copy of a Document of Compliance issued for the
vessel under section 3205 of this title.
(Added Pub. L. 104–324, title VI, § 602(a), Oct. 19,
1996, 110 Stat. 3929.)

§ 3203. Safety management system
(a) IN GENERAL.—The Secretary shall prescribe
regulations which establish a safety management system for responsible persons and vessels
to which this chapter applies, including—
(1) a safety and environmental protection
policy;
(2) instructions and procedures to ensure
safe operation of those vessels and protection
of the environment in compliance with international and United States law;
(3) defined levels of authority and lines of
communications between, and among, personnel on shore and on the vessel;
(4) procedures for reporting accidents and
nonconformities with this chapter;

§ 3205. Certification
(a) ISSUANCE OF CERTIFICATE AND DOCUMENT.—
After verifying that the responsible person for a
vessel to which this chapter applies and the vessel comply with the applicable requirements
under this chapter, the Secretary shall issue for
the vessel, on request of the responsible person,
a Safety Management Certificate and a Document of Compliance.
(b) MAINTENANCE OF CERTIFICATE AND DOCUMENT.—A Safety Management Certificate and a
Document of Compliance issued for a vessel
under this section shall be maintained by the responsible person for the vessel as required by
the Secretary.

§ 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

Page 40

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.

Page 41
(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.

§ 3302

TITLE 46—SHIPPING

(c)(1) Except as provided in paragraph (3) of
this subsection, 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 is exempt from section 3301(1),
(6), (7), (11), and (12) of this title.
(2) Except as provided in paragraphs (3) and (4)
of this subsection, the following fish tender vessels are exempt from section 3301(1), (6), (7), (11),
and (12) of this title:
(A) A 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.
(B) A vessel engaged in the Aleutian trade
that is not more than 2,500 gross tons as measured under section 14302 of this title.
(3)(A) A fishing vessel or fish processing vessel
is exempt from section 3301(1), (6), and (7) of this
title when transporting cargo (including fisheries-related cargo) to or from a place in Alaska
if—
(i) that place does not receive weekly common carrier service by water from a place in
the United States;
(ii) that place receives such common carrier
service and the cargo is of a type not accepted
by that common carrier service; or
(iii) the cargo is proprietary cargo owned by
the owner of the vessel or any affiliated entity
or subsidiary.
(B) A fish tender vessel of not more than 500
gross tons as measured under section 14502 of
this title, or less than 500 gross tons as measured under section 14502 of this title, or is less
than 2,500 gross tons as measured under section
14302 of this title, which is qualified to engage in
the Aleutian trade is exempt from section
3301(1), (6), and (7) of this title when transporting cargo (including fisheries-related cargo) to
or from a place in Alaska outside the Aleutian
trade geographic area if—
(i) that place does not receive weekly common carrier service by water from a place in
the United States;
(ii) that place receives such common carrier
service and the cargo is of a type not accepted
by that common carrier service; or
(iii) the cargo is proprietary cargo owned by
the owner of the vessel or any affiliated entity
or subsidiary.
(C) In this paragraph, the term ‘‘proprietary
cargo’’ means cargo that—
(i) is used by the owner of the vessel or any
affiliated entity or subsidiary in activities directly related to fishing or the processing of
fish;
(ii) is consumed by employees of the owner
of the vessel or any affiliated entity or subsidiary who are engaged in fishing or in the
processing of fish; or
(iii) consists of fish or fish products harvested or processed by the owner of the vessel
or any affiliated entity or subsidiary.
(D) Notwithstanding the restrictions in subparagraph (B) of this paragraph, vessels qualify-

Page 42

ing under subparagraph (B) may transport cargo
(including fishery-related products) from a place
in Alaska receiving weekly common carrier
service by water to a final destination in Alaska
not receiving weekly service by water from common carriers.
(4) A fish tender vessel is exempt from section
3301(1), (6), and (7) of this title when engaged in
the Aleutian trade if the vessel—
(A) is not more than 500 gross tons as measured under section 14502 of this title, or less
than 500 gross tons as measured under section
14502 of this title, or is less than 2,500 gross
tons as measured under section 14302 of this
title;
(B) has an incline test performed by a marine surveyor; and
(C) has written stability instructions posted
on board the vessel.
(d)(1) A motor vessel of less than 150 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, constructed before August 23, 1958, is not subject to inspection
under section 3301(1) of this title if the vessel is
owned or demise chartered to a cooperative or
association that only transports cargo owned by
at least one of its members on a nonprofit basis
between places within the waters of—
(A) southeastern Alaska shoreward of the
Boundary Line; or
(B) southeastern Alaska shoreward of the
Boundary Line and—
(i) Prince Rupert, British Columbia; or
(ii) waters of Washington shoreward of the
Boundary Line, via sheltered waters, as defined in article I of the treaty dated December 9, 1933, between the United States and
Canada defining certain waters as sheltered
waters.
(2) The transportation authorized under this
subsection is limited to and from places not receiving annual weekly transportation service
from any part of the United States by an established water common carrier. However, the limitation does not apply to transporting cargo of a
character not accepted for transportation by
that carrier.
(e) A vessel laid up, dismantled, or out of commission is exempt from inspection.
(f) Section 3301(4) and (8) of this title does not
apply to an oceanographic research vessel because it is carrying scientific personnel.
(g)(1) Except when compliance with major
structural or major equipment requirements is
necessary to remove an especially hazardous
condition, an offshore supply vessel is not subject to regulations or standards for those requirements if the vessel—
(A) was operating as an offshore supply vessel before January 2, 1979; or
(B) was contracted for before January 2, 1979,
and entered into service as an offshore supply
vessel before October 6, 1980.
(2) After December 31, 1988, this subsection
does not apply to an offshore supply vessel that
is at least 20 years of age.
(h) An offshore supply vessel operating on January 1, 1979, under a certificate of inspection is-

Page 43

TITLE 46—SHIPPING

sued by the Secretary, is subject to an inspection standard or requirement only if the standard or requirement could have been prescribed
for the vessel under authority existing under
law on October 5, 1980.
(i)(1) The Secretary may issue a permit exempting a vessel from any part of the requirements of this part for vessels transporting
cargo, including bulk fuel, from one place in
Alaska to another place in Alaska only if the
vessel—
(A) is not more 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;
(B) is in a condition that does not present an
immediate threat to the safety of life or the
environment; and
(C) was operating in the waters off Alaska as
of June 1, 1976, or the vessel is a replacement
for a vessel that was operating in the waters
off Alaska as of June 1, 1976, if the vessel being
replaced is no longer in service.
(2) Except in a situation declared to be an
emergency by the Secretary, a vessel operating
under a permit may not transport cargo to or
from a place if the cargo could be transported by
another commercial vessel that is reasonably
available and that does not require exemptions
to operate legally or if the cargo could be readily transported by overland routes.
(3) A permit may be issued for a specific voyage or for not more than one year. The permit
may impose specific requirements about the
amount or type of cargo to be carried, manning,
the areas or specific routes over which the vessel may operate, or other similar matters. The
duration of the permit and restrictions contained in the permit shall be at the sole discretion of the Secretary.
(4) A designated Coast Guard official who has
reason to believe that a vessel issued a permit is
in a condition or is operated in a manner that
creates an immediate threat to the safety of life
or the environment or is operated in a manner
that is inconsistent with the terms of the permit, may direct the master or individual in
charge to take immediate and reasonable steps
to safeguard life and the environment, including
directing the vessel to a port or other refuge.
(5) If a vessel issued a permit creates an immediate threat to the safety of life or the environment, or is operated in a manner inconsistent
with the terms of the permit or the requirements of paragraph (2) of this subsection, the
permit may be revoked. The owner, charterer,
managing operator, agent, master, or individual
in charge of a vessel issued a permit, that willfully permits the vessel to be operated, or operates, the vessel in a manner inconsistent with
the terms of the permit, is liable to the United
States Government for a civil penalty of not
more than $1,000.
(j) Notwithstanding another provision of this
chapter, the Secretary is not required to inspect
or prescribe regulations for a nautical school
vessel of not more than 15 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—

§ 3302

(1) when used in connection with a course of
instruction dealing with any aspect of maritime education or study; and
(2) operated by—
(A) the United States Merchant Marine
Academy; or
(B) a State maritime academy assisted
under chapter 515 of this title.
(k) Only the boiler, engine, and other operating machinery of a steam vessel that is a recreational vessel of not more than 65 feet overall
in length are subject to inspection under section
3301(9) of this title.
(l)(1) The Secretary may issue a permit exempting the following vessels from the requirements of this part for passenger vessels so long
as the vessels are owned by nonprofit organizations and operated as nonprofit memorials to
merchant mariners:
(A) The steamship John W. Brown (United
States official number 242209), owned by
Project Liberty Ship Baltimore, Incorporated,
located in Baltimore, Maryland.
(B) The steamship Lane Victory (United
States official number 248094), owned by the
United States Merchant Marine Veterans of
World War II, located in San Pedro, California.
(C) The steamship Jeremiah O’Brien (United
States official number 243622), owned by the
National Liberty Ship Memorial, Inc.
(D) The SS Red Oak Victory (United States
official number 249410), owned by the Richmond Museum Association, located in Richmond, California.
(E) The SS American Victory (United States
official number 248005), owned by Victory
Ship, Inc., of Tampa, Florida.
(F) The LST–325, owned by USS LST Ship
Memorial, Incorporated, located in Mobile,
Alabama.
(2) The Secretary may issue a permit for a specific voyage or for not more than one year. The
Secretary may impose specific requirements
about the number of passengers to be carried,
manning, the areas or specific routes over which
the vessel may operate, or other similar matters.
(3) A designated Coast Guard official who has
reason to believe that a vessel operating under
this subsection is in a condition or is operated
in a manner that creates an immediate threat to
life or the environment or is operated in a manner that is inconsistent with this section, may
direct the master or individual in charge to take
immediate and reasonable steps to safeguard life
and the environment, including directing the
vessel to a port or other refuge.
(m) A seagoing barge is not subject to inspection under section 3301(6) of this title if the vessel is unmanned and does not carry—
(1) a hazardous material as cargo; or
(2) a flammable or combustible liquid, including oil, in bulk.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 510; Pub. L.
98–364, title IV, § 402(3), July 17, 1984, 98 Stat. 445;
Pub. L. 99–307, § 1(3), (4), May 19, 1986, 100 Stat.
444; Pub. L. 101–595, title III, § 303(a), title VI,
§§ 602(b), 603(2), Nov. 16, 1990, 104 Stat. 2983, 2990,
2993; Pub. L. 103–206, title III, § 311, Dec. 20, 1993,
107 Stat. 2426; Pub. L. 104–324, title VII, § 711,

§ 3302

TITLE 46—SHIPPING

title XI, § 1110, Oct. 19, 1996, 110 Stat. 3935, 3969;
Pub. L. 106–65, div. C, title XXXVI, § 3604, Oct. 5,
1999, 113 Stat. 976; Pub. L. 107–295, title II, § 208,
Nov. 25, 2002, 116 Stat. 2098; Pub. L. 109–241, title
III, § 311, July 11, 2006, 120 Stat. 530; Pub. L.
109–304, § 15(11), Oct. 6, 2006, 120 Stat. 1703.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3302 ..............................................

46:367
46:390
46:391(e)
46:404
46:420
46:442

Section 3302 does three things. It makes clear that a
vessel included in one of the ten categories of vessels
subject to inspection is not necessarily excluded from
another category of vessel that is subject to inspection.
For example, a vessel inspected and certified as a small
passenger vessel would, when carrying oil or hazardous
materials in bulk as cargo or cargo residue, also have
to be inspected as a tank vessel. It makes it clear that
a vessel excluded by section 3302 from the requirements
of inspection in any one of the ten categories is not
necessarily excluded from inspection as a vessel in another category. This section also contains a number of
exemptions for certain classes of vessels and for those
vessels engaged in a specific trade that have been considered to be of a special circumstance.
AMENDMENTS
2006—Subsec. (b). Pub. L. 109–304, § 15(11)(A), inserted
comma after ‘‘fishing vessel’’.
Subsec. (c)(2). Pub. L. 109–241, § 311(a), amended par.
(2) generally. Prior to amendment, par. (2) read as follows: ‘‘Except as provided in paragraphs (3) and (4) of
this subsection, a 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 is exempt from section 3301(1),
(6), (7), (11), and (12) of this title.’’
Subsec. (c)(3)(B), (4)(A). Pub. L. 109–241, § 311(b), substituted ‘‘or less than 500 gross tons as measured under
section 14502 of this title, or is less than 2,500 gross tons
as measured under section 14302 of this title’’ for ‘‘or an
alternate tonnage measured under section 14302 of this
title as prescribed by the Secretary under section 14104
of this title’’.
Subsec. (j)(2)(B). Pub. L. 109–304, § 15(11)(B), substituted ‘‘chapter 515 of this title’’ for ‘‘section 1304 of
the Merchant Marine Act, 1936 (46 App. U.S.C. 1295c)’’.
Subsec. (l)(1)(C). Pub. L. 109–304, § 15(11)(C), substituted ‘‘Inc.’’ for ‘‘Inc..’’.
2002—Subsec. (l)(1)(D) to (F). Pub. L. 107–295 added
subpars. (D) to (F).
1999—Subsec. (l)(1)(C). Pub. L. 106–65 substituted
‘‘owned by the National Liberty Ship Memorial, Inc.’’
for ‘‘owned by the United States Maritime Administration’’.
1996—Subsec. (b). Pub. L. 104–324, § 1110(1), substituted
‘‘Except as provided in subsection (c)(3) of this section,
a fishing vessel’’ for ‘‘A fishing vessel,’’.
Subsec. (c)(1). Pub. L. 104–324, §§ 711(1), 1110(2), substituted ‘‘Except as provided in paragraph (3) of this
subsection, a fish processing vessel’’ for ‘‘A fish processing vessel’’ and 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. (c)(2). Pub. L. 104–324, §§ 711(2), 1110(3), substituted ‘‘Except as provided in paragraphs (3) and (4) of
this subsection, a fish tender vessel’’ for ‘‘A fish tender
vessel’’ and 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’’.

Page 44

Subsec. (c)(3). Pub. L. 104–324, § 1110(4), amended par.
(3) generally. Prior to amendment, par. (3) read as follows: ‘‘A fishing, fish processing, or fish tender vessel of
not more than 500 gross tons is exempt from section
3301(1), (6), and (7) of this title if—
‘‘(A) when transporting cargo to or from a place in
Alaska—
‘‘(i) that place does not receive weekly common
carrier service by water from a place in the United
States; or
‘‘(ii) the cargo is of a type not accepted by that
common carrier service; or
‘‘(B) in the case of a fish tender vessel, the vessel is
not engaged in the Aleutian trade.’’
Subsec. (c)(4)(A). Pub. L. 104–324, § 711(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 ‘‘500 gross tons’’.
Subsec. (d)(1). Pub. L. 104–324, § 711(4), 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 ‘‘150 gross tons’’.
Subsec. (i)(1)(A). Pub. L. 104–324, § 711(5), 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. (j). Pub. L. 104–324, § 711(6), 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 ‘‘15 gross tons’’.
1993—Subsec. (m). Pub. L. 103–206 added subsec. (m).
1990—Subsec. (c)(3), (4). Pub. L. 101–595, § 602(b), added
pars. (3) and (4).
Subsec. (j)(2)(B). Pub. L. 101–595, § 603(2), substituted
‘‘(46 App. U.S.C. 1295c)’’ for ‘‘(46 App. U.S.C. 1295(c))’’.
Subsec. (l). Pub. L. 101–595, § 303(a), added subsec. (l).
1986—Subsec. (i)(5). Pub. L. 99–307, § 1(3), substituted
‘‘charterer’’ for ‘‘charter’’.
Subsec. (k). Pub. L. 99–307, § 1(4), added subsec. (k).
1984—Subsec. (b). Pub. L. 98–364 amended subsec. (b)
generally, which prior to amendment read as follows:
‘‘A motor vessel engaged in fishing as a regular business, including oystering, clamming, crabbing, or the
kelp or sponge industry, is exempt from section 3301(1),
(4), and (7) of this title.’’
Subsec. (c). Pub. L. 98–364 amended subsec. (c) generally, which prior to amendment read as follows:
‘‘(1) Before January 1, 1988, a motor vessel is exempt
from section 3301(1), (4), and (7) of this title if the vessel
is not more than 500 gross tons and—
‘‘(A) is a cannery tender or a fishing tender in the
salmon or crab fisheries of Alaska, Oregon, and Washington; and
‘‘(B) only carries cargo to or from vessels in those
fisheries or a facility used in processing or assembling fishery products, or transports cannery or fishing personnel to or from operating locations.
‘‘(2) Before January 1, 1988, a vessel is exempt from
section 3301(1), (4), (6), and (7) of this title if the vessel
is not more than 5,000 gross tons and is used only in
processing and assembling fishery products in the fisheries of Alaska, Oregon, and Washington.’’
EFFECTIVE DATE OF 1990 AMENDMENT
Amendment by section 602(b) of Pub. L. 101–595 effective Nov. 16, 1990, except that requirements imposed by
subsec. (c)(4)(B) and (C), effective six months after Nov.
16, 1990, see section 602(f) of Pub. L. 101–595, set out as
a note under section 4502 of this title.
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,

Page 45

§ 3304

TITLE 46—SHIPPING

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.
VESSELS REPAIRED OR RETROFITTED FOR MOBILE
TRADE FAIR PURPOSES DEEMED OUT OF COMMISSION
Pub. L. 100–418, title X, § 10003(b), Aug. 23, 1988, 102
Stat. 1573, provided that: ‘‘For one year after the date
of enactment of this Act [Aug. 23, 1988], a vessel that is
undergoing repair or retrofitting for use solely for mobile trade fair purposes is deemed to be out of commission under section 3302(e) of title 46, United States
Code, during the repair or retrofitting.’’
EXEMPTION OF CERTAIN FISHING AND FISH PROCESSING
VESSELS
Pub. L. 98–364, title IV, § 403, July 17, 1984, 98 Stat. 450,
as amended by Pub. L. 99–36, § 3, May 15, 1985, 99 Stat.
68; Pub. L. 101–225, title III, § 306, Dec. 12, 1989, 103 Stat.
1925, provided that:
‘‘(a) Except as provided in chapter 37 of title 46,
United States Code, and before January 1, 1991, a fishing, fish processing, or fish tender vessel, that is (1) not
more than 500 gross tons and (2) in operation, or contracted for purchase to be used as a vessel of this type,
before July 1, 1984, may transport cargo to or from a
place in Alaska not receiving weekly transportation
service from a port of the United States by an established water common carrier, except that the service
limitation does not apply to transporting cargo of a
type not accepted by that carrier.
‘‘(b) A fish processing vessel entered into service before January 1, 1988, and more than 1,600 gross tons or
entered into service after December 31, 1987, and having
more than 16 individuals on board primarily employed
in the preparation of fish or fish products is exempt
from section 8702(b) of title 46, United States Code,
until 18 months after the date of enactment of this Act
[July 17, 1984].
‘‘(c) As used in subsections (a) and (b) of this section,
the terms ‘fishing vessel’, ‘fish processing vessel’ and
‘fish tender vessel’ shall have the meaning given to
such terms in section 2101 of title 46, United States
Code.’’
OFFSHORE SUPPLY VESSELS; TRANSITION PERIOD FOR
COMPLIANCE WITH VESSEL INSPECTION PROVISIONS
Pub. L. 98–89, § 2(i), Aug. 26, 1983, 97 Stat. 599, provided
that: ‘‘Each offshore supply vessel described in section
3302(g) of title 46 (as enacted by section 1 of this Act),
that was registered with the Secretary of Transportation under section 4426a(7) of the Revised Statutes
[former 46 U.S.C. 404–1(7)] but that has not been inspected by the Secretary shall be held to be in compliance with all applicable vessel inspection laws pending
verification by actual inspection or until one year after
the date of enactment of this Act [Aug. 26, 1983], whichever is earlier.’’

§ 3303. Reciprocity for foreign vessels
Except as provided in chapter 37 and section
3505 of this title, a foreign vessel of a country
having inspection laws and standards similar to
those of the United States and that has an unexpired certificate of inspection issued by proper
authority of its respective country, is subject to
an inspection to ensure that the condition of the
vessel is as stated in its current certificate of inspection. A foreign country is considered to
have inspection laws and standards similar to
those of the United States when it is a party to
an International Convention for Safety of Life
at Sea to which the United States Government
is currently a party. A foreign certificate of inspection may be accepted as evidence of lawful

inspection only when presented by a vessel of a
country that has by its laws accorded to vessels
of the United States visiting that country the
same privileges accorded to vessels of that country visiting the United States.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 512; Pub. L.
102–587, title V, § 5210(a), Nov. 4, 1992, 106 Stat.
5076; Pub. L. 104–324, title XI, § 1111, Oct. 19, 1996,
110 Stat. 3970; Pub. L. 108–293, title IV, § 411(b),
Aug. 9, 2004, 118 Stat. 1046.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3303 ..............................................

46:362(a)
46:390c
46:391a(3)

Section 3303 acknowledges the international concept
of comity with respect to recognizing inspection laws
and standards for foreign flag vessels that are similar
to those of the United States. If a foreign nation is signatory to the International Convention for Safety of
Life at Sea, it is presumed to have similar standards.
However, reciprocity requirements for foreign flag tank
vessels are included in chapter 37. Subsection (b) provides for a mutual waiver of fees for the inspection of
foreign vessels carrying passengers from the United
States.
AMENDMENTS
2004—Pub. L. 108–293 inserted ‘‘and section 3505’’ after
‘‘chapter 37’’.
1996—Pub. L. 104–324 struck out subsec. (a) designation and subsec. (b) which read as follows: ‘‘The Secretary shall collect and pay to the Treasury the same
fees for the inspection of foreign vessels carrying passengers from the United States that a foreign country
charges vessels of the United States trading to the
ports of that country. The Secretary may waive at any
time the collection of the fees on notice of the proper
authorities of any country concerned that the collection of fees for the inspection of vessels of the United
States has been discontinued.’’
1992—Subsec. (a). Pub. L. 102–587, in first sentence,
struck out ‘‘only’’ after ‘‘is subject’’ and substituted
‘‘the condition of the vessel is’’ for ‘‘the condition of
the vessel’s propulsion equipment and lifesaving equipment are’’.
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.

§ 3304. Transporting individuals in addition to
crew
(a) A documented vessel transporting cargo
that transports 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, is not subject to inspection as a passenger vessel or a small passenger vessel if the vessel is otherwise subject to
inspection under this chapter.
(b) Except when subsection (e) of this section
applies, before an individual in addition to the
crew is transported on a vessel as permitted by
this section, the owner, charterer, managing operator, agent, master, or individual in charge of
the vessel first shall notify the individual of the
presence on board of dangerous articles as defined by law, and of other conditions or circum-

§ 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

Page 47

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

§ 3310

TITLE 46—SHIPPING

been found to be in compliance with the applicable
maritime safety laws and regulations. Under this provision the Coast Guard can issue a temporary certificate
of inspection upon compliance with the applicable laws
or regulations to facilitate the preparation, processing,
and forwarding of the regular certificate of inspection
to the vessel. A temporary certificate does not imply
less than satisfactory compliance.
AMENDMENTS
2010—Subsec. (d). Pub. L. 111–281 added subsec. (d).
1996—Subsec. (c). Pub. L. 104–324 struck out ‘‘(but not
more than 60 days)’’ after ‘‘30 days’’ in introductory
provisions.
1984—Subsec. (c). Pub. L. 98–498 added subsec. (c).
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.

§ 3310. Records of certification
The Secretary shall keep records of certificates of inspection of vessels and of all acts in
the examination and inspection of vessels,
whether of approval or disapproval.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 515.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3310 ..............................................

46:414

Section 3310 contains the requirement for maintaining inspection records.

§ 3311. Certificate of inspection required
(a) Except as provided in subsection (b), a vessel subject to inspection under this part may not
be operated without having on board a certificate of inspection issued under section 3309 of
this title.
(b) The Secretary may direct the owner, charterer, managing operator, agent, master, or individual in charge of a vessel subject to inspection under this chapter and not having on board
a certificate of inspection—
(1) to have the vessel proceed to mooring and
remain there until a certificate of inspection
is issued;
(2) to take immediate steps necessary for the
safety of the vessel, individuals on board the
vessel, or the environment; or
(3) to have the vessel proceed to a place to
make repairs necessary to obtain a certificate
of inspection.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 515; Pub. L.
98–498, title II, § 211(b), Oct. 19, 1984, 98 Stat.
2304.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3311 ..............................................

46:390c
46:395
46:399

Page 50

section (b), a vessel’’ for ‘‘A vessel’’, struck out ‘‘valid’’
before ‘‘certificate of inspection’’, and added subsec.
(b).

§ 3312. Display of certificate of inspection
The certificate of inspection issued to a vessel
under section 3309 of this title shall be displayed, suitably framed, in a conspicuous place
on the vessel. When it is not practicable to so
display the certificate, it shall be carried in the
manner prescribed by regulation.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 515.)
HISTORICAL AND REVISION NOTES
Revised section
3312 ..............................................

Section 3312 requires the conspicuous display of the
certificate of inspection to provide notice that the vessel is in compliance with applicable maritime safety
laws and regulations. The section also applies to the
posting of the temporary certificate of inspection.

§ 3313. Compliance with certificate of inspection
(a) During the term of a vessel’s certificate of
inspection, the vessel must be in compliance
with its conditions, unless relieved by a suspension or an exemption granted under section
3306(e) of this title.
(b) When a vessel is not in compliance with its
certificate or fails to meet a standard prescribed
by this part or a regulation prescribed under
this part—
(1) the owner, charterer, managing operator,
agent, master, or individual in charge shall be
ordered in writing to correct the noted deficiencies promptly;
(2) the Secretary may permit any repairs to
be made at a place most convenient to the
owner, charterer, or managing operator when
the Secretary decides the repairs can be made
with safety to those on board and the vessel;
(3) the vessel may be required to cease operating at once; and
(4) if necessary, the certificate shall be suspended or revoked.
(c) The vessel’s certificate of inspection shall
be revoked if a condition unsafe to life that is
ordered to be corrected under this section is not
corrected at once.
(d) The owner, charterer, managing operator,
agent, master, or individual in charge of a vessel
whose certificate has been suspended or revoked
shall be given written notice immediately of the
suspension or revocation. The owner or master
may appeal to the Secretary the suspension or
revocation within 30 days of receiving the notice, as provided by regulations prescribed by
the Secretary.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 515.)
HISTORICAL AND REVISION NOTES
Revised section

Section 3311 prohibits the operation of a vessel subject to inspection without having on board a valid certificate of inspection.
AMENDMENTS
1984—Pub. L. 98–498 designated existing provisions as
subsec. (a), substituted ‘‘Except as provided in sub-

Source section (U.S. Code)
46:400

3313 ..............................................

Source section (U.S. Code)
46:390c
46:391a(8)
46:435

Section 3313 requires a vessel to be maintained in a
condition so as to always be in compliance with the applicable laws and regulations. Here the master, owner,

Page 51

§ 3316

TITLE 46—SHIPPING

or other responsible party is required to maintain the
vessel to inspection standards and to correct all deficiencies observed. When a vessel is not in compliance
with its certificate the responsible parties shall be ordered in writing to correct the deficiencies promptly.
The section provides flexibility as to when and where
these deficiencies may be corrected consistent with the
safety of the vessel and crew. The section provides authority to require the vessel to cease operating or, if
necessary, to suspend or revoke its certificate of inspection when found not to be in compliance with its
certificate or regulations. The owner or master, or
other responsible party must be given written notice
and may appeal this action within 30 days of receiving
the notice.

§ 3314. Expiration of certificate of inspection
(a) If the certificate of inspection of a vessel
expires when the vessel is on a foreign voyage,
the vessel may complete the voyage to a port of
the United States within 30 days of the expiration of the certificate without incurring the
penalties for operating without a certificate of
inspection.
(b) If the certificate of inspection would expire
within 15 days of sailing on a foreign voyage
from a United States port, the vessel shall secure a new certificate of inspection before sailing, unless the voyage is scheduled to be completed prior to the expiration date of the certificate. If a voyage scheduled to be completed in
that time is not so completed, the applicable
penalties may be enforced unless the failure to
meet the schedule was beyond the control of the
owner, charterer, managing operator, agent,
master, or individual in charge of the vessel.
(c) When the certificate of inspection of a foreign vessel carrying passengers, operated on a
regularly established line, expires at sea after
leaving the country to which it belongs or when
the vessel is in the United States, the Secretary
may permit the vessel to sail on its regular
route without further inspection than would
have been required had the certificate not expired. This permission applies only when the
vessel will be regularly inspected and issued a
certificate before the vessel’s next return to the
United States.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 516.)
HISTORICAL AND REVISION NOTES
Revised section
3314 ..............................................

Source section (U.S. Code)
46:362
46:399

Section 3314 contains the procedures for when a vessel’s certificate of inspection expires while on a foreign
voyage.

§ 3315. Disclosure of defects and protection of informants
(a) Each individual licensed under part E of
this subtitle shall assist in the inspection or examination under this part of the vessel on which
the individual is serving, and shall point out defects and imperfections known to the individual
in matters subject to regulations and inspection. The individual also shall make known to
officials designated to enforce this part, at the
earliest opportunity, any marine casualty producing serious injury to the vessel, its equipment, or individuals on the vessel.

(b) An official may not disclose the name of an
individual providing information under this section, or the source of the information, to a person except a person authorized by the Secretary.
An official violating this subsection is liable to
disciplinary action under applicable law.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 516.)
HISTORICAL AND REVISION NOTES
Revised section
3315 ..............................................

Source section (U.S. Code)
46:234

Section 3315 requires an individual holding a license
issued by the Coast Guard to assist inspection authorities and to make defects and imperfections known to
those authorities. Anyone licensed also has a duty to
report any marine casualty producing serious injury to
the vessel, its equipment, or individuals on board the
vessel. These licensed individuals who have this statutorily imposed duty to disclose are also protected by
prohibiting any government official from disclosing the
identity or source of the information except as authorized by the Secretary.

§ 3316. Classification societies
(a) Each department, agency, and instrumentality of the United States Government shall
recognize the American Bureau of Shipping as
its agent in classifying vessels owned by the
Government and in matters related to classification, as long as the Bureau is maintained as an
organization having no capital stock and paying
no dividends. The Secretary and the Secretary
of Transportation each shall appoint one representative (except when the Secretary is the
Secretary of Transportation, in which case the
Secretary shall appoint both representatives)
who shall represent the Government on the executive committee of the Bureau. The Bureau
shall agree that the representatives shall be accepted by it as active members of the committee. The representatives shall serve without
compensation, except for necessary traveling expenses.
(b)(1) The Secretary may delegate to the
American Bureau of Shipping or another classification society recognized by the Secretary as
meeting acceptable standards for such a society,
for a vessel documented or to be documented
under chapter 121 of this title, the authority
to—
(A) review and approve plans required for issuing a certificate of inspection required by
this part;
(B) conduct inspections and examinations;
and
(C) issue a certificate of inspection required
by this part and other related documents.
(2) The Secretary may make a delegation
under paragraph (1) to a foreign classification
society only—
(A) to the extent that the government of the
foreign country in which the society is headquartered delegates authority and provides access to the American Bureau of Shipping to inspect, certify, and provide related services to
vessels documented in that country; and
(B) if the foreign classification society has
offices and maintains records in the United
States.

§ 3316

TITLE 46—SHIPPING

(3) When an inspection or examination has
been delegated under this subsection, the Secretary’s delegate—
(A) shall maintain in the United States complete files of all information derived from or
necessarily connected with the inspection or
examination for at least 2 years after the vessel ceases to be certified; and
(B) shall permit access to those files at all
reasonable times to any officer, employee, or
member of the Coast Guard designated—
(i) as a marine inspector and serving in a
position as a marine inspector; or
(ii) in writing by the Secretary to have access to those files.
(c)(1) A classification society (including an
employee or agent of that society) may not review, examine, survey, or certify the construction, repair, or alteration of a vessel in the
United States unless the society has applied for
approval under this subsection and the Secretary has reviewed and approved that society
with respect to the conduct of that society
under paragraph (2).
(2) The Secretary may approve a person for
purposes of paragraph (1) only if the Secretary
determines that—
(A) the vessels surveyed by the person while
acting as a classification society have an adequate safety record; and
(B) the person has an adequate program to—
(i) develop and implement safety standards
for vessels surveyed by the person;
(ii) make the safety records of the person
available to the Secretary in an electronic
format;
(iii) provide the safety records of a vessel
surveyed by the person to any other classification society that requests those records
for the purpose of conducting a survey of the
vessel; and
(iv) request the safety records of a vessel
the person will survey from any classification society that previously surveyed the
vessel.
(d)(1) The Secretary may delegate to the
American Bureau of Shipping or another classification society recognized by the Secretary as
meeting acceptable standards for such a society,
for a United States offshore facility, the authority to—
(A) review and approve plans required for issuing a certificate of inspection, a certificate
of compliance, or any other certification and
related documents issued by the Coast Guard
pursuant to regulations issued under section
30 of the Outer Continental Shelf Lands Act
(43 U.S.C. 1356); and
(B) conduct inspections and examinations.
(2) The Secretary may make a delegation
under paragraph (1) to a foreign classification
society only if—
(A) the foreign society has offices and maintains records in the United States; and
(B)(i) the government of the foreign country
in which the foreign society is headquartered
delegates that authority to the American Bureau of Shipping; or
(ii) the Secretary has entered into an agreement with the government of the foreign

Page 52

country in which the foreign society is headquartered that—
(I) ensures the government of the foreign
country will accept plan review, inspections,
or examinations conducted by the American
Bureau of Shipping and provide equivalent
access to inspect, certify, and provide related services to offshore facilities located in
that country or operating under the authority of that country; and
(II) is in full accord with principles of reciprocity in regards to any delegation contemplated by the Secretary under paragraph
(1).
(3) If an inspection or examination is conducted under authority delegated under this
subsection, the person to which the authority
was delegated—
(A) shall maintain in the United States complete files of all information derived from or
necessarily connected with the inspection or
examination for at least 2 years after the
United States offshore facility ceases to be
certified; and
(B) shall permit access to those files at all
reasonable times to any officer, employee, or
member of the Coast Guard designated—
(i) as a marine inspector and serving in a
position as a marine inspector; or
(ii) in writing by the Secretary to have access to those files.
(4) For purposes of this subsection—
(A) the term ‘‘offshore facility’’ means any
installation, structure, or other device (including any vessel not documented under
chapter 121 of this title or the laws of another
country), fixed or floating, that dynamically
holds position or is temporarily or permanently attached to the seabed or subsoil under
the sea; and
(B) the term ‘‘United States offshore facility’’ means any offshore facility, fixed or
floating, that dynamically holds position or is
temporarily or permanently attached to the
seabed or subsoil under the territorial sea of
the United States or the outer Continental
Shelf (as that term is defined in section 2 of
the Outer Continental Shelf Lands Act (43
U.S.C. 1331)), including any vessel, rig, platform, or other vehicle or structure subject to
regulation under section 30 of the Outer Continental Shelf Lands Act (43 U.S.C. 1356).
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 516; Pub. L.
104–324, title VI, § 607(a), (b)(1), Oct. 19, 1996, 110
Stat. 3931, 3932; Pub. L. 108–293, title IV, § 413(a),
Aug. 9, 2004, 118 Stat. 1046; Pub. L. 111–281, title
VI, § 622, Oct. 15, 2010, 124 Stat. 2978.)
HISTORICAL AND REVISION NOTES
Revised section
3316 ..............................................

Source section (U.S. Code)
46:9 (less (c))
46:369
46:881

Section 3316 prescribes the relationship between certain classification societies and the Federal Government with respect to the promotion of maritime safety
and the security of life and property at sea. Briefly
stated, a classification society, like the American Bureau of Shipping (ABS), establishes and administers
standards for the design, construction, and periodic

Page 53

§ 3318

TITLE 46—SHIPPING

survey of commercial vessels, yachts, and other marine
structures. Classification certifies adherence to these
standards, thus representing that a vessel or structure
possesses the structural and mechanical fitness required for its intended service.
The section requires that a Federal department,
agency, or instrumentality recognize the American Bureau of Shipping as its agent for classing vessels owned
by the Federal Government and in any matters related
to classification. In effect, the ABS has a statutory monopoly on classing vessels of the United States Government. Additionally, the section contains the authority
to permit the Secretary to rely on reports, documents,
and certificates issued by a classification society that
is similar to the American Bureau of Shipping. However, a ‘‘similar classification society’’ continues to
mean one that is organized like the American Bureau
of Shipping with attendant governmental representation.
AMENDMENTS
2010—Subsec. (c). Pub. L. 111–281, § 622(b), added par.
(1) and struck out former par. (1) which read as follows:
‘‘A classification society (including an employee or
agent of that society) may not review, examine, survey,
or certify the construction, repair, or alteration of a
vessel in the United States unless—
‘‘(A) the society has applied for approval under this
subsection and the Secretary has reviewed and approved that society with respect to the conduct of
that society under paragraph (2); or
‘‘(B) the society is a full member of the International Association of Classification Societies.’’
Subsec. (d). Pub. L. 111–281, § 622(a), added subsec. (d).
2004—Subsec. (c). Pub. L. 108–293 added subsec. (c).
1996—Pub. L. 104–324, § 607(b)(1), substituted ‘‘Classification societies’’ for ‘‘United States classification societies’’ in section catchline.
Subsec. (a). Pub. L. 104–324, § 607(a)(3), which directed
the substitution of ‘‘American Bureau of Shipping’’ for
‘‘Bureau’’, was executed by making the substitution
the first place appearing, to reflect the probable intent
of Congress.
Pub. L. 104–324, § 607(a)(1), (2), redesignated subsec. (b)
as (a) and struck out former subsec. (a) which read as
follows: ‘‘In carrying out this part, the Secretary may
rely on reports, documents, and certificates issued by
the American Bureau of Shipping or a similar United
States classification society, or an agent of the Bureau
or society.’’
Subsec. (b). Pub. L. 104–324, § 607(a)(2), (4), redesignated subsec. (c) as (b), added pars. (1) and (2), redesignated former par. (2) as (3), and struck out former par.
(1) which read as follows: ‘‘To the maximum extent
practicable, the Secretary may delegate to the Bureau
or a similar United States classification society, or an
agent of the Bureau or society, the inspection or examination, in the United States or in a foreign country, of
a vessel documented or to be documented as a vessel of
the United States. The Bureau, society, or agent may
issue the certificate of inspection required by this part
and other certificates essential to documentation.’’
Former subsec. (b) redesignated (a).
Subsec. (c). Pub. L. 104–324, § 607(a)(2), redesignated
subsec. (c) as (b).
Subsec. (d). Pub. L. 104–324, § 607(a)(1), struck out subsec. (d) which read as follows: ‘‘The Secretary also may
make an agreement with or use the Bureau or a similar
United States classification society, or an agent of the
Bureau or society, for reviewing and approving plans
required for issuing a certificate of inspection.’’
EFFECTIVE DATE OF 2004 AMENDMENT
Pub. L. 108–293, title IV, § 413(b), Aug. 9, 2004, 118 Stat.
1046, provided that: ‘‘Section 3316(c)(1) of title 46,
United States Code, shall apply with respect to operation as a classification society on or after January 1,
2005.’’
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.

§ 3317. Fees
(a) The Secretary may prescribe by regulation
fees for inspecting or examining a small passenger vessel or a sailing school vessel.
(b) When an inspection or examination under
this part of a documented vessel or a foreign
vessel is conducted at a foreign port or place at
the request of the owner or managing operator
of the vessel, the owner or operator shall reimburse the Secretary for the travel and subsistence expenses incurred by the personnel assigned to perform the inspection or examination. Amounts received as reimbursement for
these expenses shall be credited to the appropriation for operating expenses of the Coast
Guard.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 517; Pub. L.
102–587, title V, § 5211, Nov. 4, 1992, 106 Stat. 5076.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3317 ..............................................

46:390a(b)
46:382b–1

Section 3317 provides the regulatory authority for
prescribing fees for the inspection of small passenger
vessels and sailing school vessels. Although section 2110
generally prohibits fees of this nature, this provision is
consistent with the exception that permits specific
statutory authorization for fee collection. Subsection
(b) requires the reimbursement of expenses for the conduct of an inspection or examination at a foreign port
or place when done there for the convenience of the
owner or operator of the vessel.
AMENDMENTS
1992—Subsec. (b). Pub. L. 102–587 substituted ‘‘under
this part of a documented vessel or a foreign vessel’’ for
‘‘under this chapter of a documented vessel’’.
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.

§ 3318. Penalties
(a) Except as otherwise provided in this part,
the owner, charterer, managing operator, agent,
master, or individual in charge of a vessel operated in violation of this part or a regulation prescribed under this part, and a person violating a
regulation that applies to a small passenger vessel, freight vessel of less than 100 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, or sailing school vessel, are liable to the United States Government
for a civil penalty of not more than $5,000. The
vessel also is liable in rem for the penalty.

§ 3318

TITLE 46—SHIPPING

(b)(1) A person that knowingly manufactures,
sells, offers for sale, or possesses with intent to
sell, any equipment subject to this part, and the
equipment is so defective as to be insufficient to
accomplish the purpose for which it is intended,
commits a class D felony.
(2) A person commits a class D felony if the
person—
(A) alters or services lifesaving, fire safety,
or any other equipment subject to this part for
compensation; and
(B) by that alteration or servicing, intentionally renders that equipment unsafe and
unfit for the purpose for which it is intended.
(c) A person that employs a means or device
whereby a boiler may be subjected to a pressure
greater than allowed by the terms of the vessel’s
certificate of inspection commits a class D felony.
(d) A person that deranges or hinders the operation of any machinery or device employed on a
vessel to denote the state of steam or water in
any boiler or to give warning of approaching
danger, or permits the water level of any boiler
when in operation of a vessel to fall below its
prescribed low-water line, commits a class D felony.
(e) A person that alters, defaces, obliterates,
removes, or destroys any plans or specifications
required by and approved under a regulation
prescribed under section 3306 of this title, with
intent to deceive or impede any official of the
United States in carrying out that official’s duties, commits a class A misdemeanor.
(f) A person commits a class D felony if the
person—
(1) forges or counterfeits with intent to
make it appear genuine any mark or stamp
prescribed for material to be tested and approved under section 3306 of this title or a regulation prescribed under section 3306;
(2) knowingly uses, affixes, or causes to be
used or affixed, any such forged or counterfeited mark or stamp to or on material of any
description;
(3) with fraudulent intent, possesses any
such mark, stamp, or other device knowing it
to be forged or counterfeited; or
(4) with fraudulent intent, marks or causes
to be marked with the trademark or name of
another, material required to be tested and approved under section 3306 of this title or a regulation prescribed under section 3306.
(g) A person is liable to the Government for a
civil penalty of not more than $5,000, if the person—
(1) interferes with the inspection of a nautical school vessel;
(2) violates a regulation prescribed for a nautical school vessel;
(3) is an owner of a nautical school vessel operated in violation of this part; or
(4) is an officer or member of the board of directors of a school, organization, association,
partnership, or corporation owning a nautical
school vessel operated in violation of a regulation prescribed for a nautical school vessel.
(h) An owner, charterer, managing operator,
agent, master, or individual in charge of a vessel
that fails to give the notice required by section

Page 54

3304(b) of this title is liable to the Government
for a civil penalty of not more than $1,000. The
vessel also is liable in rem for the penalty.
(i) A person violating section 3309(c) of this
title is liable to the Government for a civil penalty of not more than $1,000.
(j)(1) An owner, charterer, managing operator,
agent, master, or individual in charge of a vessel
required to be inspected under this chapter operating the vessel without the certificate of inspection is liable to the Government for a civil
penalty of not more than $10,000 for each day
during which the violation occurs, except when
the violation involves operation of a vessel of
less than 1,600 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, the penalty is not more than $2,000 for
each day during which the violation occurs. The
vessel also is liable in rem for the penalty.
(2) A person is not liable for a penalty under
this subsection if—
(A) the owner, charterer, managing operator,
agent, master, or individual in charge of the
vessel has notified the Secretary under section
3309(c) of this title;
(B) the owner, charterer, managing operator,
agent, master, or individual in charge of the
vessel has complied with all other directions
and requirements for obtaining an inspection
under this part; and
(C) the Secretary believes that unforeseen
circumstances exist so that it is not feasible
to conduct a scheduled inspection before the
expiration of the certificate of inspection.
(k) The owner, charterer, managing operator,
agent, master, or individual in charge of a vessel
failing to comply with a direction issued by the
Secretary under section 3311(b) of this title is
liable to the Government for a civil penalty of
not more than $10,000 for each day during which
the violation occurs. The vessel also is liable in
rem for the penalty.
(l) A person committing an act described by
subsections (b)–(f) of this section is liable to the
Government for a civil penalty of not more than
$5,000. If the violation involves the operation of
a vessel, the vessel also is liable in rem for the
penalty.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 517; Pub. L.
98–498, title II, § 211(c), Oct. 19, 1984, 98 Stat. 2304;
Pub. L. 99–307, § 1(6), May 19, 1986, 100 Stat. 445;
Pub. L. 101–380, title IV, § 4302(b), Aug. 18, 1990,
104 Stat. 538; Pub. L. 104–324, title III, § 310, title
VII, § 713, Oct. 19, 1996, 110 Stat. 3919, 3936; Pub.
L. 109–304, § 15(13), Oct. 6, 2006, 120 Stat. 1703.)
HISTORICAL AND REVISION NOTES
Revised section
3318 ..............................................

Source section (U.S. Code)
46:369(e)
46:390d
46:398
46:403
46:407
46:408
46:410
46:413
46:436
46:481(d)
46:1295f(d)(2), (3)

Section 3318 provides for a number of specific civil
and criminal penalties.

Page 55
AMENDMENTS

2006—Subsec. (f). Pub. L. 109–304 struck out period
after ‘‘felony’’.
1996—Subsec. (a). Pub. L. 104–324, § 713(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 ‘‘100 gross tons’’.
Subsec. (b)(1). Pub. L. 104–324, § 310, designated existing provisions as par. (1) and added par. (2).
Subsec. (j)(1). Pub. L. 104–324, § 713(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 ‘‘1,600 gross tons’’.
1990—Subsec. (b). Pub. L. 101–380, § 4302(b)(1), substituted ‘‘commits a class D felony’’ for ‘‘shall be fined
not more than $10,000, imprisoned for not more than 5
years, or both’’.
Subsec. (c). Pub. L. 101–380, § 4302(b)(2), substituted
‘‘commits a class D felony’’ for ‘‘shall be fined not more
than $5,000, imprisoned for not more than 5 years, or
both’’.
Subsec. (d). Pub. L. 101–380, § 4302(b)(3), substituted
‘‘commits a class D felony’’ for ‘‘shall be fined not more
than $5,000, imprisoned for not more than 5 years, or
both’’.
Subsec. (e). Pub. L. 101–380, § 4302(b)(4), substituted
‘‘commits a class A misdemeanor’’ for ‘‘shall be fined
not more than $10,000, imprisoned for not more than 2
years, or both’’.
Subsec. (f). Pub. L. 101–380, § 4302(b)(5), substituted
‘‘commits a class D felony.’’ for ‘‘shall be fined not less
than $1,000 but not more than $10,000, and imprisoned
for not less than 2 years but not more than 5 years,’’.
1986—Subsec. (f). Pub. L. 99–307 in provision preceding
par. (1) substituted ‘‘than’’ for ‘‘then’’ in two places.
1984—Subsec. (a). Pub. L. 98–498, § 211(c)(1), substituted ‘‘Except as otherwise provided in this part,
the’’ for ‘‘The’’ and ‘‘not more than $5,000’’ for ‘‘$1,000,
except that when the violation involves operation of a
barge, the penalty is $500’’.
Subsec. (c). Pub. L. 98–498, § 211(c)(2), substituted
‘‘$5,000’’ for ‘‘$2,000’’.
Subsec. (d). Pub. L. 98–498, § 211(c)(3), substituted
‘‘$5,000’’ for ‘‘$2,000’’.
Subsec. (e). Pub. L. 98–498, § 211(c)(4), substituted
‘‘$10,000’’ for ‘‘$2,000’’.
Subsec. (f). Pub. L. 98–498, § 211(c)(5), substituted
‘‘$10,000’’ for ‘‘$5,000’’.
Subsec. (g). Pub. L. 98–498, § 211(c)(6), substituted ‘‘is
liable to the Government for a civil penalty of not
more than $5,000’’ for ‘‘shall be fined not more than
$10,000, imprisoned for not more than one year, or
both’’.
Subsec. (h). Pub. L. 98–498, § 211(c)(7), substituted
‘‘Government for a civil penalty of not more than
$1,000.’’ for ‘‘United States Government for a civil penalty of not more than $500.’’
Subsecs. (i) to (l). Pub. L. 98–498, § 211(c)(8), added subsecs. (i) to (l).
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.

CHAPTER 35—CARRIAGE OF PASSENGERS
Sec.

3501.
3502.
3503.
3504.
3505.
3506.
3507.

1 So

§ 3502

TITLE 46—SHIPPING

Number of passengers.
List or count of passengers.
Fire-retardant materials.
Notification to passengers.
Prevention of departure.
Copies of laws.
Passenger vessel security and safety requirements 1
in original. Probably should be followed by a period.

Sec.

3508.

Crime scene preservation training for passenger vessel crewmembers 1
HISTORICAL AND REVISION NOTES

Chapter 35 consolidates the laws that have specific
application to the carriage of passengers. They provide
special provisions for listing and counting the number
of passengers on board a vessel, for notifying the general public of the safety standards that are applicable,
and for related control measures.
AMENDMENTS
2010—Pub. L. 111–207, § 3(b), July 27, 2010, 124 Stat.
2251, added items 3507 and 3508.

§ 3501. Number of passengers
(a) Each certificate of inspection issued to a
vessel carrying passengers (except a ferry) shall
include a statement on the number of passengers that the vessel is permitted to carry.
(b) The owner, charterer, managing operator,
agent, master, or individual in charge of a vessel
is liable to a person suing them for carrying
more passengers than the number of passengers
permitted by the certificate of inspection in an
amount equal to—
(1) passage money; and
(2) $100 for each passenger in excess of the
number of passengers permitted.
(c) An owner, charterer, managing operator,
agent, master, or individual in charge of a vessel
that knowingly carries more passengers than
the number of passengers permitted by the certificate of inspection also shall be fined not
more than $100, imprisoned for not more than 30
days, or both.
(d) The vessel also is liable in rem for a penalty under this section.
(e) An offshore supply vessel may not carry
passengers except in an emergency.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 519; Pub. L.
99–36, § 1(a)(2), May 15, 1985, 99 Stat. 67.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3501 ..............................................

46:404–1
46:451
46:452
46:462

Section 3501 requires that a vessel carrying passengers, including a passenger vessel as well as a small
passenger vessel (except a ferry), shall have on the certificate of inspection a statement as to the number of
passengers the vessel is permitted to carry. It also provides penalties for carrying passengers in excess of the
number permitted.
AMENDMENTS
1985—Subsec. (a). Pub. L. 99–36, § 1(a)(2)(A), struck out
the comma after ‘‘(except a ferry)’’.
Subsec. (c). Pub. L. 99–36, § 1(a)(2)(B), substituted
‘‘carries more passengers than the number of passengers permitted by the certificate of inspection’’ for
‘‘violates subsection (b) of this section’’.
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.

§ 3502. List or count of passengers
(a) The owner, charterer, managing operator,
master, or individual in charge of the following

§ 3503

TITLE 46—SHIPPING

categories of vessels carrying passengers shall
keep a correct list of passengers received and delivered from day to day:
(1) vessels arriving from foreign ports (except at United States Great Lakes ports from
Canadian Great Lakes ports).
(2) seagoing vessels in the coastwise trade.
(3) passenger vessels making voyages of
more than 300 miles on the Great Lakes except
from a Canadian to a United States port.
(b) The master of a vessel carrying passengers
(except a vessel listed in subsection (a) of this
section) shall keep a correct count of all passengers received and delivered.
(c) Lists and counts required under this section shall be open to the inspection of designated officials of the Coast Guard and the Customs Service at all times. The total number of
passengers shall be provided to the Coast Guard
when requested.
(d) This section applies to a foreign vessel arriving at a United States port.
(e) The owner, charterer, managing operator,
master, or individual in charge of a passenger
vessel failing to make a list or count of passengers as required by this section is liable to
the United States Government for a civil penalty of $100. The vessel also is liable in rem for
the penalty.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 519.)
HISTORICAL AND REVISION NOTES
Revised section
3502 ..............................................

Source section (U.S. Code)
46:460
46:460a
46:461
46:462

Section 3502 is related to section 3501 and requires the
listing or counting of passengers on certain vessels.
This requirement applies to large as well as small passenger vessels when operating on the types of voyages
enumerated. This section also applies to a foreign vessel arriving at a port or place in the United States.
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.
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.

§ 3503. Fire-retardant materials
(a) A passenger vessel of the United States
having berth or stateroom accommodations for
at least 50 passengers shall be granted a certificate of inspection only if the vessel is constructed of fire-retardant materials. Before November 1, 2008, this section does not apply to

Page 56

any vessel in operation before January 1, 1968,
and operating only within the Boundary Line.
(b)(1) When a vessel is exempted from the fireretardant standards of this section—
(A) the owner or managing operator of the
vessel shall notify prospective passengers that
the vessel does not comply with applicable fire
safety standards due primarily to the wooden
construction of passenger berthing areas;
(B) the owner or managing operator of the
vessel may not disclaim liability to a passenger for death, injury, or any other loss
caused by fire due to the negligence of the
owner or managing operator;
(C) the penalties provided in section 3504(c)
of this title apply to a violation of this subsection; and
(D) the owner or managing operator of the
vessel shall notify the Coast Guard of structural alterations to the vessel, and with regard
to those alterations comply with any noncombustible material requirements that the
Coast Guard prescribes for nonpublic spaces.
Coast Guard requirements shall be consistent
with preservation of the historic integrity of
the vessel in areas carrying or accessible to
passengers or generally visible to the public.
(2) The Secretary shall prescribe regulations
under this subsection on the manner in which
prospective passengers are to be notified.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 519; Pub. L.
99–307, § 1(7)(A), May 19, 1986, 100 Stat. 445; Pub.
L. 102–241, § 20, Dec. 19, 1991, 105 Stat. 2216; Pub.
L. 104–324, title XI, § 1133, Oct. 19, 1996, 110 Stat.
3985.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3503 ..............................................

46:369(b)

Section 3503 requires the use of fire retardant materials on a vessel having berthing facilities for at least
50 passengers. This requirement in the case of vessels
engaged in foreign trade is consistent with our international treaty obligations, which impose extensive
and additional fire safety standards. A waiver that
grandfathers existing inland river passenger vessels is
also included.
AMENDMENTS
1996—Subsec. (a). Pub. L. 104–324 substituted ‘‘Before
November 1, 2008, this section does not apply to any
vessel in operation before January 1, 1968, and operating only within the Boundary Line.’’ for ‘‘Before November 1, 1998, this section does not apply to a vessel
in operation before January 1, 1968, and operating only
on the inland rivers.’’
1991—Subsec. (a). Pub. L. 102–241, § 20(1), substituted
‘‘1998’’ for ‘‘1993’’.
Subsec. (b)(1)(D). Pub. L. 102–241, § 20(2), added subpar.
(D).
1986—Pub. L. 99–307 designated existing provision as
subsec. (a), substituted ‘‘November 1, 1993’’ for ‘‘November 1, 1988’’ and inserted ‘‘in operation before January
1, 1968, and’’ after ‘‘to a vessel’’, and added subsec. (b).
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 Secu-

Page 57

§ 3507

TITLE 46—SHIPPING

rity, 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.
NOTIFICATION TO PROSPECTIVE PASSENGERS OF
NONCOMPLIANCE WITH FIRE-RETARDANT STANDARDS
Pub. L. 99–307, § 1(7)(B), May 19, 1986, 100 Stat. 445, provided that: ‘‘Until the regulations required by subclause (A) of this clause [see subsec. (b)(2) of this section] become effective, the owner or managing operator
shall notify prospective passengers in all promotional
literature and on each ticket that the vessel does not
comply with those standards due primarily to the
wooden construction of passenger berthing areas.’’

§ 3504. Notification to passengers
(a) A person selling passage on a foreign or domestic passenger vessel having berth or stateroom accommodations for at least 50 passengers
and embarking passengers at United States
ports for a coastwise or an international voyage
shall notify each prospective passenger of the
safety standards applicable to the vessel in a
manner prescribed by regulation.
(b) All promotional literature or advertising
through any medium of communication in the
United States offering passage or soliciting passengers for ocean voyages anywhere in the world
shall include information similar to the information described in subsection (a) of this section, and shall specify the registry of each vessel
named, as a part of the advertisement or description of the voyage. Except for the inclusion
of the country of registry of the vessel, this subsection does not apply to voyages by vessels
meeting the safety standards described in section 3505 of this title.
(c) A person violating this section or a regulation prescribed under this section is liable to the
United States Government for a civil penalty of
not more than $10,000. If the violation involves
the sale of tickets for passage, the owner, charterer, managing operator, agent, master, individual in charge, or any other person involved in
each violation also is liable to the Government
for a civil penalty of $500 for each ticket sold.
The vessel on which passage is sold also is liable
in rem for a violation of this section or a regulation prescribed under this section.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 519.)
HISTORICAL AND REVISION NOTES
Revised section
3504 ..............................................

Source section (U.S. Code)
46:362(b)

Section 3504 requires notification to the public of the
safety standards that are applicable to certain foreign
flag or United States passenger vessels. In addition, all
promotional literature or advertising that offers passage or solicits passengers for ocean voyages anywhere
in the world shall include a safety standard statement
and shall specify the registry of the vessel. If the vessel
meets the international standards to which the United
States adheres, then the safety standard statement
need not be included. In all other cases the type of safety standard statement that must be included is as prescribed by regulation. This section is intended to place
the United States public on notice as to the degree of
fire safety compliance of a foreign-flag passenger vessel
that does not operate or depart from a port or place in
the United States but does embark passengers from the
United States at nearby foreign ports. Departures from
foreign ports are undertaken because the foreign-flag

passenger vessel cannot comply with the safety standards applicable to a United States flag passenger vessel.

§ 3505. Prevention of departure
Notwithstanding section 3303 of this title, a
foreign vessel carrying a citizen of the United
States as a passenger or embarking passengers
from a United States port may not depart from
a United States port if the Secretary finds that
the vessel does not comply with the standards
stated in the International Convention for the
Safety of Life at Sea to which the United States
Government is currently a party.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 520; Pub. L.
102–587, title V, § 5210(b), Nov. 4, 1992, 106 Stat.
5076; Pub. L. 108–293, title IV, § 411(a), Aug. 9,
2004, 118 Stat. 1045.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3505 ..............................................

46:362(c)

Section 3505 prohibits the departure
States port or place of any passenger
than 100 gross tons having berthing for
sengers, if the vessel does not comply
national maritime safety standards
United States vessels.

from a United
vessel of more
at least 50 paswith the interapplicable to

AMENDMENTS
2004—Pub. L. 108–293 reenacted section catchline
without change and amended text generally. Prior to
amendment, text read as follows: ‘‘Notwithstanding
section 3303(a) of this title, a foreign vessel may not depart from a United States port with passengers who are
embarked at that port, if the Secretary finds that the
vessel does not comply with the standards stated in the
International Convention for the Safety of Life at Sea
to which the United States Government is currently a
party.’’
1992—Pub. L. 102–587 substituted ‘‘foreign vessel may
not depart’’ for ‘‘foreign or domestic vessel of more
than 100 gross tons having berth or stateroom accommodations for at least 50 passengers may not depart’’.
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.

§ 3506. Copies of laws
A master of a passenger vessel shall keep on
board a copy of this subtitle, to be provided by
the Secretary at reasonable cost. If the master
fails to do so, the master is liable to the United
States Government for a civil penalty of $200.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 520.)
HISTORICAL AND REVISION NOTES
Revised section
3506 ..............................................

Source section (U.S. Code)
46:492

Section 3506 requires the master of a passenger vessel
to keep on board a copy of subtitle II of title 46, U.S.C.
Copies of the subtitle shall be provided by the Secretary at reasonable cost.

§ 3507. Passenger vessel security and safety requirements
(a) VESSEL DESIGN, EQUIPMENT, CONSTRUCTION,
RETROFITTING REQUIREMENTS.—

AND

§ 3507

TITLE 46—SHIPPING

(1) IN GENERAL.—Each vessel to which this
subsection applies shall comply with the following design and construction standards:
(A) The vessel shall be equipped with ship
rails that are located not less than 42 inches
above the cabin deck.
(B) Each passenger stateroom and crew
cabin shall be equipped with entry doors
that include peep holes or other means of
visual identification.
(C) For any vessel the keel of which is laid
after the date of enactment of the Cruise
Vessel Security and Safety Act of 2010, each
passenger stateroom and crew cabin shall be
equipped with—
(i) security latches; and
(ii) time-sensitive key technology.
(D) The vessel shall integrate technology
that can be used for capturing images of passengers or detecting passengers who have
fallen overboard, to the extent that such
technology is available.
(E) The vessel shall be equipped with a sufficient number of operable acoustic hailing
or other such warning devices to provide
communication capability around the entire
vessel when operating in high risk areas (as
defined by the United States Coast Guard).
(2) FIRE SAFETY CODES.—In administering the
requirements of paragraph (1)(C), the Secretary shall take into consideration fire safety
and other applicable emergency requirements
established by the U.S. Coast Guard and under
international law, as appropriate.
(3) EFFECTIVE DATE.—
(A) IN GENERAL.—Except as provided in
subparagraph (B), the requirements of paragraph (1) shall take effect 18 months after
the date of enactment of the Cruise Vessel
Security and Safety Act of 2010.
(B) LATCH AND KEY REQUIREMENTS.—The requirements of paragraph (1)(C) take effect on
the date of enactment of the Cruise Vessel
Security and Safety Act of 2010.
(b) VIDEO RECORDING.—
(1) REQUIREMENT TO MAINTAIN SURVEILLANCE.—The owner of a vessel to which this
section applies shall maintain a video surveillance system to assist in documenting crimes
on the vessel and in providing evidence for the
prosecution of such crimes, as determined by
the Secretary.
(2) ACCESS TO VIDEO RECORDS.—The owner of
a vessel to which this section applies shall
provide to any law enforcement official performing official duties in the course and scope
of an investigation, upon request, a copy of all
records of video surveillance that the official
believes may provide evidence of a crime reported to law enforcement officials.
(c) SAFETY INFORMATION.—
(1) CRIMINAL ACTIVITY PREVENTION AND RESPONSE GUIDE.—The owner of a vessel to which
this section applies (or the owner’s designee)
shall—
(A) have available for each passenger a
guide (referred to in this subsection as the
‘‘security guide’’), written in commonly understood English, which—

Page 58

(i) provides a description of medical and
security personnel designated on board to
prevent and respond to criminal and medical situations with 24 hour contact instructions;
(ii) describes the jurisdictional authority
applicable, and the law enforcement processes available, with respect to the reporting of homicide, suspicious death, a missing United States national, kidnapping,
assault with serious bodily injury, any offense to which section 2241, 2242, 2243, or
2244(a) or (c) of title 18 applies, firing or
tampering with the vessel, or theft of
money or property in excess of $10,000, together with contact information for the
appropriate law enforcement authorities
for missing persons or reportable crimes
which arise—
(I) in the territorial waters of the
United States;
(II) on the high seas; or
(III) in any country to be visited on the
voyage;
(B) provide a copy of the security guide to
the Federal Bureau of Investigation for comment; and
(C) publicize the security guide on the
website of the vessel owner.
(2) EMBASSY AND CONSULATE LOCATIONS.—The
owner of a vessel to which this section applies
shall provide in each passenger stateroom, and
post in a location readily accessible to all
crew and in other places specified by the Secretary, information regarding the locations of
the United States embassy and each consulate
of the United States for each country the vessel will visit during the course of the voyage.
(d) SEXUAL ASSAULT.—The owner of a vessel to
which this section applies shall—
(1) maintain on the vessel adequate, in-date
supplies of anti-retroviral medications and
other medications designed to prevent sexually transmitted diseases after a sexual assault;
(2) maintain on the vessel equipment and
materials for performing a medical examination in sexual assault cases to evaluate the patient for trauma, provide medical care, and
preserve relevant medical evidence;
(3) make available on the vessel at all times
medical staff who have undergone a credentialing process to verify that he or she—
(A) possesses a current physician’s or registered nurse’s license and—
(i) has at least 3 years of post-graduate
or post-registration clinical practice in
general and emergency medicine; or
(ii) holds board certification in emergency medicine, family practice medicine,
or internal medicine;
(B) is able to provide assistance in the
event of an alleged sexual assault, has received training in conducting forensic sexual
assault examination, and is able to promptly
perform such an examination upon request
and provide proper medical treatment of a
victim, including administration of antiretroviral medications and other medica-

Page 59

TITLE 46—SHIPPING

tions that may prevent the transmission of
human immunodeficiency virus and other
sexually transmitted diseases; and
(C) meets guidelines established by the
American College of Emergency Physicians
relating to the treatment and care of victims of sexual assault;
(4) prepare, provide to the patient, and maintain written documentation of the findings of
such examination that is signed by the patient; and
(5) provide the patient free and immediate
access to—
(A) contact information for local law enforcement, the Federal Bureau of Investigation, the United States Coast Guard, the
nearest United States consulate or embassy,
and the National Sexual Assault Hotline
program or other third party victim advocacy hotline service; and
(B) a private telephone line and Internetaccessible computer terminal by which the
individual may confidentially access law enforcement officials, an attorney, and the information and support services available
through the National Sexual Assault Hotline
program or other third party victim advocacy hotline service.
(e) CONFIDENTIALITY OF SEXUAL ASSAULT EXAMINATION
AND
SUPPORT INFORMATION.—The
master or other individual in charge of a vessel
to which this section applies shall—
(1) treat all information concerning an examination under subsection (d) confidential,
so that no medical information may be released to the cruise line or other owner of the
vessel or any legal representative thereof
without the prior knowledge and approval in
writing of the patient, or, if the patient is unable to provide written authorization, the patient’s next-of-kin, except that nothing in this
paragraph prohibits the release of—
(A) information, other than medical findings, necessary for the owner or master of
the vessel to comply with the provisions of
subsection (g) or other applicable incident
reporting laws;
(B) information to secure the safety of passengers or crew on board the vessel; or
(C) any information to law enforcement officials performing official duties in the
course and scope of an investigation; and
(2) treat any information derived from, or
obtained in connection with, post-assault
counseling or other supportive services confidential, so no such information may be released to the cruise line or any legal representative thereof without the prior knowledge and approval in writing of the patient, or,
if the patient is unable to provide written authorization, the patient’s next-of-kin.
(f) CREW ACCESS TO PASSENGER STATEROOMS.—
The owner of a vessel to which this section applies shall—
(1) establish and implement procedures and
restrictions concerning—
(A) which crewmembers have access to
passenger staterooms; and
(B) the periods during which they have
that access; and

§ 3507

(2) ensure that the procedures and restrictions are fully and properly implemented and
periodically reviewed.
(g) LOG BOOK AND REPORTING REQUIREMENTS.—
(1) IN GENERAL.—The owner of a vessel to
which this section applies shall—
(A) record in a log book, either electronically or otherwise, in a centralized location
readily accessible to law enforcement personnel, a report on—
(i) all complaints of crimes described in
paragraph (3)(A)(i),
(ii) all complaints of theft of property
valued in excess of $1,000, and
(iii) all complaints of other crimes,
committed on any voyage that embarks or
disembarks passengers in the United States;
and
(B) make such log book available upon request to any agent of the Federal Bureau of
Investigation, any member of the United
States Coast Guard, and any law enforcement officer performing official duties in the
course and scope of an investigation.
(2) DETAILS REQUIRED.—The information recorded under paragraph (1) shall include, at a
minimum—
(A) the vessel operator;
(B) the name of the cruise line;
(C) the flag under which the vessel was operating at the time the reported incident occurred;
(D) the age and gender of the victim and
the accused assailant;
(E) the nature of the alleged crime or complaint, as applicable, including whether the
alleged perpetrator was a passenger or a
crewmember;
(F) the vessel’s position at the time of the
incident, if known, or the position of the
vessel at the time of the initial report;
(G) the time, date, and method of the initial report and the law enforcement authority to which the initial report was made;
(H) the time and date the incident occurred, if known;
(I) the total number of passengers and the
total number of crew members on the voyage; and
(J) the case number or other identifier provided by the law enforcement authority to
which the initial report was made.
(3) REQUIREMENT TO REPORT
OTHER INFORMATION.—
(A) IN GENERAL.—The owner

CRIMES

AND

of a vessel to
which this section applies (or the owner’s
designee)—
(i) shall contact the nearest Federal Bureau of Investigation Field Office or Legal
Attache by telephone as soon as possible
after the occurrence on board the vessel of
an incident involving homicide, suspicious
death, a missing United States national,
kidnapping, assault with serious bodily injury, any offense to which section 2241,
2242, 2243, or 2244(a) or (c) of title 18 applies, firing or tampering with the vessel,
or theft of money or property in excess of
$10,000 to report the incident;

§ 3507

TITLE 46—SHIPPING
(ii) shall furnish a written report of the
incident to an Internet based portal maintained by the Secretary;
(iii) may report any serious incident that
does not meet the reporting requirements
of clause (i) and that does not require immediate attention by the Federal Bureau
of Investigation via the Internet based
portal maintained by the Secretary; and
(iv) may report any other criminal incident involving passengers or crewmembers, or both, to the proper State or
local government law enforcement authority.

(B) INCIDENTS TO WHICH SUBPARAGRAPH (A)
APPLIES.—Subparagraph (A) applies to an incident involving criminal activity if—
(i) the vessel, regardless of registry, is
owned, in whole or in part, by a United
States person, regardless of the nationality of the victim or perpetrator, and the
incident occurs when the vessel is within
the admiralty and maritime jurisdiction of
the United States and outside the jurisdiction of any State;
(ii) the incident concerns an offense by
or against a United States national committed outside the jurisdiction of any nation;
(iii) the incident occurs in the Territorial Sea of the United States, regardless
of the nationality of the vessel, the victim,
or the perpetrator; or
(iv) the incident concerns a victim or
perpetrator who is a United States national on a vessel during a voyage that departed from or will arrive at a United
States port.
(4) AVAILABILITY OF INCIDENT DATA VIA INTERNET.—

(A) WEBSITE.—The Secretary shall maintain a statistical compilation of all incidents described in paragraph (3)(A)(i) on an
Internet site that provides a numerical accounting of the missing persons and alleged
crimes recorded in each report filed under
paragraph (3)(A)(i) that are no longer under
investigation by the Federal Bureau of Investigation. The data shall be updated no
less frequently than quarterly, aggregated
by cruise line, each cruise line shall be identified by name, and each crime shall be identified as to whether it was committed by a
passenger or a crew member.
(B) ACCESS TO WEBSITE.—Each cruise line
taking on or discharging passengers in the
United States shall include a link on its
Internet website to the website maintained
by the Secretary under subparagraph (A).
(h) ENFORCEMENT.—
(1) PENALTIES.—
(A) CIVIL PENALTY.—Any person that violates this section or a regulation under this
section shall be liable for a civil penalty of
not more than $25,000 for each day during
which the violation continues, except that
the maximum penalty for a continuing violation is $50,000.
(B) CRIMINAL PENALTY.—Any person that
willfully violates this section or a regulation

Page 60

under this section shall be fined not more
than $250,000 or imprisoned not more than 1
year, or both.
(2) DENIAL OF ENTRY.—The Secretary may
deny entry into the United States to a vessel
to which this section applies if the owner of
the vessel—
(A) commits an act or omission for which
a penalty may be imposed under this subsection; or
(B) fails to pay a penalty imposed on the
owner under this subsection.
(i) PROCEDURES.—Within 6 months after the
date of enactment of the Cruise Vessel Security
and Safety Act of 2010, the Secretary shall issue
guidelines, training curricula, and inspection
and certification procedures necessary to carry
out the requirements of this section.
(j) REGULATIONS.—The Secretary and the Commandant shall each issue such regulations as are
necessary to implement this section.
(k) APPLICATION.—
(1) IN GENERAL.—This section and section
3508 apply to a passenger vessel (as defined in
section 2101(22)) that—
(A) is authorized to carry at least 250 passengers;
(B) has onboard sleeping facilities for each
passenger;
(C) is on a voyage that embarks or disembarks passengers in the United States;
and
(D) is not engaged on a coastwise voyage.
(2) FEDERAL AND STATE VESSELS.—This section and section 3508 do not apply to a vessel
of the United States operated by the Federal
Government or a vessel owned and operated by
a State.
(l) DEFINITIONS.—In this section and section
3508:
(1) COMMANDANT.—The term ‘‘Commandant’’
means the Commandant of the Coast Guard.
(2) OWNER.—The term ‘‘owner’’ means the
owner, charterer, managing operator, master,
or other individual in charge of a vessel.
(Added Pub. L. 111–207, § 3(a), July 27, 2010, 124
Stat. 2244.)
REFERENCES IN TEXT
The date of enactment of the Cruise Vessel Security
and Safety Act of 2010, referred to in subsecs. (a)(1)(C),
(3) and (i), is the date of enactment of Pub. L. 111–207,
which was approved July 27, 2010.
FINDINGS
Pub. L. 111–207, § 2, July 27, 2010, 124 Stat. 2243, provided that: ‘‘The Congress makes the following findings:
‘‘(1) There are approximately 200 overnight oceangoing cruise vessels worldwide. The average oceangoing cruise vessel carries 2,000 passengers with a
crew of 950 people.
‘‘(2) In 2007 alone, approximately 12,000,000 passengers were projected to take a cruise worldwide.
‘‘(3) Passengers on cruise vessels have an inadequate appreciation of their potential vulnerability
to crime while on ocean voyages, and those who may
be victimized lack the information they need to understand their legal rights or to know whom to contact for help in the immediate aftermath of the
crime.

Page 61

§ 3508

TITLE 46—SHIPPING

‘‘(4) Sexual violence, the disappearance of passengers from vessels on the high seas, and other serious crimes have occurred during luxury cruises.
‘‘(5) Over the last 5 years, sexual assault and physical assaults on cruise vessels were the leading
crimes investigated by the Federal Bureau of Investigation with regard to cruise vessel incidents.
‘‘(6) These crimes at sea can involve attacks both
by passengers and crewmembers on other passengers
and crewmembers.
‘‘(7) Except for United States flagged vessels, or foreign flagged vessels operating in an area subject to
the direct jurisdiction of the United States, there are
no Federal statutes or regulations that explicitly require cruise lines to report alleged crimes to United
States Government officials.
‘‘(8) It is not known precisely how often crimes
occur on cruise vessels or exactly how many people
have disappeared during ocean voyages because
cruise line companies do not make comprehensive,
crime-related data readily available to the public.
‘‘(9) Obtaining reliable crime-related cruise data
from governmental sources can be difficult, because
multiple countries may be involved when a crime occurs on the high seas, including the flag country for
the vessel, the country of citizenship of particular
passengers, and any countries having special or maritime jurisdiction.
‘‘(10) It can be difficult for professional crime investigators to immediately secure an alleged crime
scene on a cruise vessel, recover evidence of an onboard offense, and identify or interview potential witnesses to the alleged crime.
‘‘(11) Most cruise vessels that operate into and out
of United States ports are registered under the laws
of another country, and investigations and prosecutions of crimes against passengers and crewmembers
may involve the laws and authorities of multiple nations.
‘‘(12) The Department of Homeland Security has
found it necessary to establish 500-yard security
zones around cruise vessels to limit the risk of terrorist attack. Recently piracy has dramatically increased throughout the world.
‘‘(13) To enhance the safety of cruise passengers,
the owners of cruise vessels could upgrade, modernize, and retrofit the safety and security infrastructure on such vessels by installing peep holes in passenger room doors, installing security video cameras
in targeted areas, limiting access to passenger rooms
to select staff during specific times, and installing
acoustic hailing and warning devices capable of communicating over distances.’’

§ 3508. Crime scene preservation training for
passenger vessel crewmembers
(a) IN GENERAL.—Within 1 year after the date
of enactment of the Cruise Vessel Security and
Safety Act of 2010, the Secretary, in consultation with the Director of the Federal Bureau of
Investigation and the Maritime Administration,
shall develop training standards and curricula
to allow for the certification of passenger vessel
security personnel, crewmembers, and law enforcement officials on the appropriate methods
for prevention, detection, evidence preservation,
and reporting of criminal activities in the international maritime environment. The Administrator of the Maritime Administration may certify organizations in the United States and
abroad that offer the curriculum for training
and certification under subsection (c).
(b) MINIMUM STANDARDS.—The standards established by the Secretary under subsection (a)
shall include—
(1) the training and certification of vessel security personnel, crewmembers, and law en-

forcement officials in accordance with accepted law enforcement and security guidelines,
policies, and procedures, including recommendations for incorporating a background
check process for personnel trained and certified in foreign ports;
(2) the training of students and instructors
in all aspects of prevention, detection, evidence preservation, and reporting of criminal
activities in the international maritime environment; and
(3) the provision or recognition of off-site
training and certification courses in the
United States and foreign countries to develop
and provide the required training and certification described in subsection (a) and to enhance security awareness and security practices related to the preservation of evidence in
response to crimes on board passenger vessels.
(c) CERTIFICATION REQUIREMENT.—Beginning 2
years after the standards are established under
subsection (b), no vessel to which this section
applies may enter a United States port on a voyage (or voyage segment) on which a United
States citizen is a passenger unless there is at
least 1 crewmember onboard who is certified as
having successfully completed training in the
prevention, detection, evidence preservation,
and reporting of criminal activities in the international maritime environment on passenger
vessels under subsection (a).
(d) INTERIM TRAINING REQUIREMENT.—No vessel
to which this section applies may enter a United
States port on a voyage (or voyage segment) on
which a United States citizen is a passenger unless there is at least 1 crewmember onboard who
has been properly trained in the prevention detection, evidence preservation and the reporting
requirements of criminal activities in the international maritime environment. The owner of a
such a vessel shall maintain certification or
other documentation, as prescribed by the Secretary, verifying the training of such individual
and provide such documentation upon request
for inspection in connection with enforcement of
the provisions of this section. This subsection
shall take effect 1 year after the date of enactment of the Cruise Vessel Safety and Security
Act of 2010 and shall remain in effect until superseded by the requirements of subsection (c).
(e) CIVIL PENALTY.—Any person that violates
this section or a regulation under this section
shall be liable for a civil penalty of not more
than $50,000.
(f) DENIAL OF ENTRY.—The Secretary may
deny entry into the United States to a vessel to
which this section applies if the owner of the
vessel—
(1) commits an act or omission for which a
penalty may be imposed under subsection (e);
or
(2) fails to pay a penalty imposed on the
owner under subsection (e).
(Added Pub. L. 111–207, § 3(a), July 27, 2010, 124
Stat. 2250.)
REFERENCES IN TEXT
The date of enactment of the Cruise Vessel Security
and Safety Act of 2010, referred to in subsecs. (a) and
(d), is the date of enactment of Pub. L. 111–207, which
was approved July 27, 2010.

§ 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.

§ 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

Page 67

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

§ 3703a

TITLE 46—SHIPPING

12112 of this title before January 1, 1994, may not
operate in the navigable waters or the Exclusive
Economic Zone of the United States after January 1, 2015, unless the vessel is equipped with a
double hull or 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) A vessel 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
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 12112 of this title before January 1,
1994, may not operate in the navigable waters or
Exclusive Economic Zone of the United States
unless equipped with a double hull—
(A) in the case of a vessel of at least 5,000
gross tons but less than 15,000 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—
(i) after January 1, 1995, if the vessel is 40
years old or older and has a single hull, or is
45 years old or older and has a double bottom
or double sides;
(ii) after January 1, 1996, if the vessel is 39
years old or older and has a single hull, or is
44 years old or older and has a double bottom
or double sides;
(iii) after January 1, 1997, if the vessel is 38
years old or older and has a single hull, or is
43 years old or older and has a double bottom
or double sides;
(iv) after January 1, 1998, if the vessel is 37
years old or older and has a single hull, or is
42 years old or older and has a double bottom
or double sides;
(v) after January 1, 1999, if the vessel is 36
years old or older and has a single hull, or is
41 years old or older and has a double bottom
or double sides;
(vi) after January 1, 2000, if the vessel is 35
years old or older and has a single hull, or is
40 years old or older and has a double bottom
or double sides; and
(vii) after January 1, 2005, if the vessel is 25
years old or older and has a single hull, or is
30 years old or older and has a double bottom
or double sides;
(B) in the case of a vessel of at least 15,000
gross tons but less than 30,000 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—
(i) after January 1, 1995, if the vessel is 40
years old or older and has a single hull, or is
45 years old or older and has a double bottom
or double sides;
(ii) after January 1, 1996, if the vessel is 38
years old or older and has a single hull, or is
43 years old or older and has a double bottom
or double sides;
(iii) after January 1, 1997, if the vessel is 36
years old or older and has a single hull, or is
41 years old or older and has a double bottom
or double sides;

Page 68

(iv) after January 1, 1998, if the vessel is 34
years old or older and has a single hull, or is
39 years old or older and has a double bottom
or double sides;
(v) after January 1, 1999, if the vessel is 32
years old or older and has a single hull, or 37
years old or older and has a double bottom
or double sides;
(vi) after January 1, 2000, if the vessel is 30
years old or older and has a single hull, or is
35 years old or older and has a double bottom
or double sides;
(vii) after January 1, 2001, if the vessel is 29
years old or older and has a single hull, or is
34 years old or older and has a double bottom
or double sides;
(viii) after January 1, 2002, if the vessel is
28 years old or older and has a single hull, or
is 33 years old or older and has a double bottom or double sides;
(ix) after January 1, 2003, if the vessel is 27
years old or older and has a single hull, or is
32 years old or older and has a double bottom
or double sides;
(x) after January 1, 2004, if the vessel is 26
years old or older and has a single hull, or is
31 years old or older and has a double bottom
or double sides; and
(xi) after January 1, 2005, if the vessel is 25
years old or older and has a single hull, or is
30 years old or older and has a double bottom
or double sides; and
(C) in the case of a vessel of at least 30,000
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—
(i) after January 1, 1995, if the vessel is 28
years old or older and has a single hull, or 33
years old or older and has a double bottom
or double sides;
(ii) after January 1, 1996, if the vessel is 27
years old or older and has a single hull, or is
32 years old or older and has a double bottom
or double sides;
(iii) after January 1, 1997, if the vessel is 26
years old or older and has a single hull, or is
31 years old or older and has a double bottom
or double sides;
(iv) after January 1, 1998, if the vessel is 25
years old or older and has a single hull, or is
30 years old or older and has a double bottom
or double sides;
(v) after January 1, 1999, if the vessel is 24
years old or older and has a single hull, or 29
years old or older and has a double bottom
or double sides; and
(vi) after January 1, 2000, if the vessel is 23
years old or older and has a single hull, or is
28 years old or older and has a double bottom
or double sides.
(4) Except as provided in subsection (b) of this
section—
(A) a vessel that has a single hull may not
operate after January 1, 2010; and
(B) a vessel that has a double bottom or double sides may not operate after January 1,
2015.
(d) The operation of barges described in subsection (b)(5) outside waters described in that

Page 69

§ 3703a

TITLE 46—SHIPPING

subsection shall be on any conditions as the Secretary may require.
(e)(1) For the purposes of this section and except as otherwise provided in paragraphs (2) and
(3) of this subsection, the gross tonnage of a vessel shall be the gross tonnage that would have
been recognized by the Secretary on July 1, 1997,
as the tonnage measured under section 14502 of
this title, or as an alternate tonnage measured
under section 14302 of this title as prescribed by
the Secretary under section 14104 of this title.
(2)(A) The Secretary may waive the application of paragraph (1) to a tank vessel if—
(i) the owner of the tank vessel applies to
the Secretary for the waiver before January 1,
1998;
(ii) the Secretary determines that—
(I) the owner of the tank vessel has entered into a binding agreement to alter the
tank vessel in a shipyard in the United
States to reduce the gross tonnage of the
tank vessel by converting a portion of the
cargo tanks of the tank vessel into protectively located segregated ballast tanks; and
(II) that conversion will result in a significant reduction in the risk of a discharge of
oil;
(iii) at least 60 days before the date of the issuance of the waiver, the Secretary—
(I) publishes notice that the Secretary has
received the application and made the determinations required by clause (ii), including a
description of the agreement entered into
pursuant to clause (ii)(I); and
(II) provides an opportunity for submission
of comments regarding the application; and
(iv) the alterations referred to in clause
(ii)(I) are completed before the later of—
(I) the date by which the first special survey of the tank vessel is required to be completed after the date of the enactment of the
National Defense Authorization Act for Fiscal Year 1998; or
(II) July 1, 1999.
(B) A waiver under subparagraph (A) shall not
be effective after the expiration of the 3-year period beginning on the first date on which the
tank vessel would have been prohibited by subsection (c) from operating if the alterations referred to in subparagraph (A)(ii)(I) were not
made.
(3) This subsection does not apply to a tank
vessel that, before July 1, 1997, had undergone,
or was the subject of a contract for, alterations
that reduce the gross tonnage of the tank vessel,
as shown by reliable evidence acceptable to the
Secretary.
(Added Pub. L. 101–380, title IV, § 4115(a), Aug. 18,
1990, 104 Stat. 517; amended Pub. L. 104–324, title
VII, § 715, title XI, § 1103, Oct. 19, 1996, 110 Stat.
3937, 3966; Pub. L. 105–85, div. C, title XXXVI,
§ 3606, Nov. 18, 1997, 111 Stat. 2077; Pub. L. 109–304,
§ 15(15), Oct. 6, 2006, 120 Stat. 1703.)
REFERENCES IN TEXT
The Deepwater Port Act of 1974, referred to in subsec.
(b)(3)(A), is Pub. L. 93–627, Jan. 3, 1975, 88 Stat. 2126, as
amended, which is classified generally to chapter 29
(§ 1501 et seq.) of Title 33, Navigation and Navigable Waters. For complete classification of this Act to the

Code, see Short Title note set out under section 1501 of
Title 33 and Tables.
The date of the enactment of the National Defense
Authorization Act for Fiscal Year 1998, referred to in
subsec. (e)(2)(A)(iv)(I), is the date of enactment of Pub.
L. 105–85, which was approved Nov. 18, 1997.
AMENDMENTS
2006—Subsec. (c)(1)(C), (2), (3). Pub. L. 109–304 substituted ‘‘documentation as a wrecked vessel under section 12112 of this title’’ for ‘‘documentation under section 4136 of the Revised Statutes of the United States
(46 App. U.S.C. 14)’’.
1997—Subsec. (e). Pub. L. 105–85 added subsec. (e).
1996—Subsec. (b)(2). Pub. L. 104–324, § 715(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 ‘‘5,000 gross tons’’.
Subsec. (b)(4) to (6). Pub. L. 104–324, § 1103(1), added
pars. (4) to (6).
Subsec. (c)(2). Pub. L. 104–324, § 715(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 ‘‘5,000 gross tons’’ in two places.
Subsec. (c)(3)(A). Pub. L. 104–324, § 715(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 ‘‘15,000 gross tons’’.
Subsec. (c)(3)(B). Pub. L. 104–324, § 715(4), 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 ‘‘30,000 gross tons’’.
Subsec. (c)(3)(C). Pub. L. 104–324, § 715(5), 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 ‘‘30,000 gross tons’’.
Subsec. (d). Pub. L. 104–324, § 1103(2), added subsec. (d).
EFFECTIVE DATE
Section applicable to incidents occurring after Aug.
18, 1990, see section 1020 of Pub. L. 101–380, set out as a
note under section 2701 of Title 33, Navigation and Navigable Waters.
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.
TANK VESSELS OVER 5,000 GROSS TONS TO COMPLY
UNTIL JANUARY 1, 2015, WITH ENVIRONMENTALLY
PROTECTIVE STRUCTURAL AND OPERATIONAL REQUIREMENTS

Pub. L. 101–380, title IV, § 4115(b), Aug. 18, 1990, 104
Stat. 520, provided that: ‘‘The Secretary shall, within 12
months after the date of the enactment of this Act
[Aug. 18, 1990], complete a rulemaking proceeding and
issue a final rule to require that tank vessels over 5,000
gross tons affected by section 3703a of title 46, United
States Code, as added by this section, comply until
January 1, 2015, with structural and operational requirements that the Secretary determines will provide
as substantial protection to the environment as is economically and technologically feasible.’’
STUDY ON OTHER STRUCTURAL AND OPERATIONAL TANK
VESSEL REQUIREMENTS
Pub. L. 101–380, title IV, § 4115(e), Aug. 18, 1990, 104
Stat. 520, as amended by Pub. L. 105–383, title IV, § 423,

§ 3704

TITLE 46—SHIPPING

Nov. 13, 1998, 112 Stat. 3440; Pub. L. 108–293, title VII,
§ 705, Aug. 9, 2004, 118 Stat. 1075; Pub. L. 109–241, title IX,
§ 901(n), July 11, 2006, 120 Stat. 565, provided that:
‘‘(1) OTHER REQUIREMENTS.—Not later than 6 months
after the date of enactment of this Act [Aug. 18, 1990],
the Secretary shall determine, based on recommendations from the National Academy of Sciences or other
qualified organizations, whether other structural and
operational tank vessel requirements will provide protection to the marine environment equal to or greater
than that provided by double hulls, and shall report to
the Congress that determination and recommendations
for legislative action.
‘‘(2) REVIEW AND ASSESSMENT.—The Secretary shall—
‘‘(A) periodically review recommendations from the
National Academy of Sciences and other qualified organizations on methods for further increasing the environmental and operational safety of tank vessels;
‘‘(B) not later than 5 years after the date of enactment of this Act [Aug. 18, 1990], assess the impact of
this section on the safety of the marine environment
and the economic viability and operational makeup
of the maritime oil transportation industry; and
‘‘(C) report the results of the review and assessment
to the Congress with recommendations for legislative
or other action.
‘‘(3) No later than one year after the date of enactment of the Coast Guard and Maritime Transportation
Act of 2004 [Aug. 9, 2004], the Secretary shall, taking
into account the recommendations contained in the report by the Marine Board of the National Research
Council entitled ‘Environmental Performance of Tanker Design in Collision and Grounding’ and dated 2001,
establish and publish an environmental equivalency
evaluation index (including the methodology to develop
that index) to assess overall outflow performance due
to collisions and groundings for double hull tank vessels and alternative designs.’’
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.

§ 3704. Coastwise trade vessels
A segregated ballast tank, a crude oil washing
system, or an inert gas system, required by this
chapter or a regulation prescribed under this
chapter, on a vessel entitled to engage in the
coastwise trade under chapter 551 of this title
shall be installed in the United States (except
the trust territories). A vessel failing to comply
with this section may not engage in the coastwise trade.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 522; Pub. L.
109–304, § 15(16), Oct. 6, 2006, 120 Stat. 1703.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3704 ..............................................

46:391a(7)

Section 3704 requires any tank vessel that is entitled
to engage in the coastwise trade to install certain
equipment in the United States under the penalty of
losing coastwise trading privileges if the installation
work is done in a foreign country.
AMENDMENTS
2006—Pub. L. 109–304 substituted ‘‘chapter 551 of this
title’’ for ‘‘section 27 of the Merchant Marine Act, 1920
(46 App. U.S.C. 883),’’.

§ 3705. Crude oil tanker minimum standards
(a) A new crude oil tanker of at least 20,000
deadweight tons shall be equipped with—

Page 70

(1) protectively located segregated ballast
tanks;
(2) a crude oil washing system; and
(3) a cargo tank protection system consisting of a fixed deck froth system and a fixed
inert gas system.
(b)(1) An existing crude oil tanker of at least
40,000 deadweight tons shall be equipped with—
(A) segregated ballast tanks; or
(B) a crude oil washing system.
(2) Compliance with paragraph (1) of this subsection may be delayed until June 1, 1985, for
any tanker of less than 70,000 deadweight tons
that has dedicated clean ballast tanks.
(c) An existing crude oil tanker of at least
20,000 deadweight tons but less than 40,000 deadweight tons, and at least 15 years of age, shall be
equipped with segregated ballast tanks or a
crude oil washing system before January 2, 1986,
or the date on which the tanker reaches 15 years
of age, whichever is later.
(d) An existing crude oil tanker of at least
20,000 deadweight tons shall be equipped with an
inert gas system. However, for a crude oil tanker of less than 40,000 deadweight tons not fitted
with high capacity tank washing machines, the
Secretary may grant an exemption if the vessel’s owner can show clearly that compliance
would be unreasonable and impracticable due to
the vessel’s design characteristics.
(e) A crude oil tanker engaged in transferring
oil from an offshore oil exploitation or production facility on the Outer Continental Shelf of
the United States shall be equipped with segregated ballast tanks, or may operate with dedicated clean ballast tanks or special ballast arrangements. However, the tanker shall comply
with other applicable minimum standards of
this section.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 523.)
HISTORICAL AND REVISION NOTES
Revised section
3705(a)
3705(b)
3705(c)
3705(d)
3705(e)

.........................................
.........................................
.........................................
.........................................
.........................................

Source section (U.S. Code)
46:391a(7)(A)
46:391a(7)(D)
46:391a(7)(E)
46:391a(7)(F)
46:391a(7)(M)

Section 3705 requires compliance with certain minimum standards by a crude oil tanker, which is self-propelled. In general, the minimum required standards are
consistent with those international standards that
have been adopted as Protocols to the 1974 Safety of
Life at Sea Convention and the 1973 Marine Pollution
Convention.
Section 3705(a) requires new crude oil tankers of
20,000 deadweight tons or above to have protectively located segregated ballast tanks, a crude oil washing system, and a specified cargo tank protection system.
Section 3705(b) requires existing crude oil tankers of
40,000 deadweight tons or above to have segregated ballast tanks or a crude oil washing system. Compliance
may be delayed until June 1, 1985 for smaller tankers
that have dedicated clean ballast tanks.
Section 3705(c) requires existing crude oil tankers of
20,000 deadweight tons or above, but less than 40,000
deadweight tons, that are 15 years or older, to have segregated ballast tanks or a crude oil washing system by
January 1, 1985 or if less than 15 years old, by the date
on which it reaches 15 years of age.
Section 3705(d) requires existing crude oil tankers of
20,000 deadweight tons or above, to install an inert gas

Page 71

system. An exemption for crude oil tankers of less than
40,000 deadweight tons not fitted with high-capacity
tank washing machines may be granted by the Secretary, only if it is demonstrated that compliance
would be unreasonable and impracticable due to the
vessel’s design characteristics.
Section 3705(e) requires existing crude oil tankers of
20,000 deadweight tons or above, engaged in the transfer
of oil from Outer Continental Shelf oil exploitation or
production facilities, to have segregated ballast tanks
or be operated with dedicated clean ballast tanks or
special ballast arrangements.

§ 3706. Product carrier minimum standards
(a) A new product carrier of at least 30,000
deadweight tons shall be equipped with protectively located segregated ballast tanks.
(b) A new product carrier of at least 20,000
deadweight tons shall be equipped with a cargo
tank protection system consisting of a fixed
deck froth system and a fixed inert gas system
or, if the product carrier carries dedicated products incompatible with the cargo tank protection system, an alternate protection system authorized by the Secretary.
(c) An existing product carrier of at least
40,000 deadweight tons shall be equipped with
segregated ballast tanks or may operate with
dedicated clean ballast tanks.
(d) An existing product carrier of at least
20,000 deadweight tons but less than 40,000 deadweight tons, and at least 15 years of age, shall be
equipped with segregated ballast tanks or may
operate with dedicated clean ballast tanks before January 2, 1986, or the date on which it
reaches 15 years of age, whichever is later.
(e) An existing product carrier of at least
40,000 deadweight tons, or an existing product
carrier of at least 20,000 deadweight tons but less
than 40,000 deadweight tons that is fitted with
high-capacity tank washing machines, shall be
equipped with an inert gas system.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 523.)
HISTORICAL AND REVISION NOTES
Revised section
3706(a)
3706(b)
3706(c)
3706(d)
3706(e)

§ 3707

TITLE 46—SHIPPING

.........................................
.........................................
.........................................
.........................................
.........................................

Source section (U.S. Code)
46:391a(7)(B)
46:391a(7)(C)
46:391a(7)(G)
46:391a(7)(H)
46:391a(7)(I)

Section 3706 requires compliance with certain minimum standards by a product carrier, which is a selfpropelled tank vessel.
Section 3706(a) requires new product carriers of 30,000
deadweight tons or above, to have protectively located
segregated ballast tanks.
Section 3706(b) requires new product carriers of 20,000
deadweight tons or above, to have a cargo tank protection system consisting of a fixed deck froth system or
a fixed inert gas system. If the products carried are incompatible with the cargo tank protection system,
then an alternative protection system may be authorized.
Section 3706(c) requires existing product carriers of
40,000 deadweight tons or above, to have segregated ballast tanks or to operate with dedicated clean ballast
tanks.
Section 3706(d) requires existing product carriers of
20,000 deadweight tons or above, but less than 40,000
deadweight tons, that are 15 years or older, to have segregated ballast tanks by January 1, 1985, or on the date
on which it reaches 15 years of age or, in the alternative, that the vessel operate with dedicated clean
ballast tanks.

Section 3706(e) requires existing product carriers of
40,000 deadweight tons or above, or to existing product
carriers, fitted with high-capacity tank washing machines, of 20,000 deadweight tons but less than 40,000
deadweight tons, to install an inert gas system.

§ 3707. Tanker minimum standards
(a) A new tanker 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) 2 remote steering gear control systems
operable separately from the navigating
bridge;
(2) the main steering gear control in the
steering gear compartment;
(3) means of communications and rudder
angle indicators on the navigating bridge, a
remote steering gear control station, and the
steering gear compartment;
(4) at least 2 identical and adequate power
units for the main steering gear;
(5) an alternative and adequate power supply, either from an emergency source of electrical power or from another independent
source of power located in the steering gear
compartment; and
(6) means of automatic starting and stopping
of power units with attendant alarms at all
steering stations.
(b) An existing tanker 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) 2 remote steering gear control systems
operable separately from the navigating
bridge;
(2) the main steering gear control in the
steering gear compartment; and
(3) means of communications and rudder
angle indicators on the navigating bridge, a
remote steering gear control station, and the
steering gear compartment.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 524; Pub. L.
104–324, title VII, § 716, Oct. 19, 1996, 110 Stat.
3937.)
HISTORICAL AND REVISION NOTES
Revised section
3707(a) .........................................
3707(b) .........................................

Source section (U.S. Code)
46:391a(7)(K)
46:391a(7)(L)

Section 3707 requires compliance with certain minimum standards by a tanker, which is a self-propelled
tank vessel.
Section 3707(a) requires new tankers of 10,000 gross
tons or above, to have two remote steering gear control
systems, a main steering gear control in the steering
gear compartment, a means of communications and
rudder angle indicators at specified locations, two or
more specified power units for the main steering gear,
an alternative and adequate power supply of specified
characteristics, and a means of automatic operation of
power units, with attendant alarms at all steering stations.
Section 3707(b) requires existing tankers of 10,000
gross tons or above, to have two remote steering gear
control systems, a main steering gear control in the

§ 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.

§ 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 75

§ 3718

TITLE 46—SHIPPING

The regulations to be prescribed by the Secretary
shall include a number of specific considerations but
may include any related matters deemed necessary to
promote navigation and vessel safety and protection of
the marine environment. The Secretary must consider
standards for minimum safe operating conditions, including sea state, wave height, weather, vessel traffic,
the prevention of oil spills, and oil spill response equipment. In regulating this operation, there must not be
any unreasonable interference with international navigation or reasonable uses of the high seas, and there
must be established lightering zones with attendant
communications and prearrival message requirements.
REFERENCES IN TEXT
Section 1016 of the Oil Pollution Act of 1990, referred
to in subsec. (a)(3), is classified to section 2716 of Title
33, Navigation and Navigable Waters.
AMENDMENTS
1990—Subsec. (a)(3) to (5). Pub. L. 101–380 added pars.
(3) to (5).
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.
EFFECTIVE DATE
Pub. L. 98–89, § 2(g)(2), Aug. 26, 1983, 97 Stat. 599, provided that: ‘‘Section 3715(a) of title 46 (as enacted by
section 1 of this Act) is effective on the day after the
effective date of the regulations prescribed by the Secretary under section 3715(b) of title 46.’’ [Regulations
effective Apr. 26, 1984, see 49 F.R. 11170, Mar. 26, 1984.]

(a) A vessel may not transfer cargo in a port
or place subject to the jurisdiction of the United
States if, before arriving, the vessel has discharged tank washings containing oil or hazardous material in preparation for loading at that
port or place in violation of the laws of the
United States or in a manner or quantities inconsistent with a treaty to which the United
States is a party.
(b) The Secretary shall establish effective control and supervisory measures to carry out this
section.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 527.)
HISTORICAL AND REVISION NOTES
Revised section

(b) On written request from the Secretary, the
head of each department, agency, or instrumentality of the United States Government shall
provide available information that the Secretary considers necessary to confirm the information received under subsection (a) of this section.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 527.)
HISTORICAL AND REVISION NOTES
Revised section

§ 3716. Tank washings

3716 ..............................................

ter applies that operates on the navigable waters of the United States, or that transfers oil or
hazardous material in a port or place under the
jurisdiction of the United States. In acquiring
this information, the Secretary shall make full
use of publicly available information. The Secretary may by regulation require the vessel to
provide information that the Secretary considers necessary to carry out this subsection, including—
(1) the name of each person with an ownership interest in the vessel;
(2) details of compliance with the financial
responsibility requirements of applicable laws
or regulations;
(3) registration information, including all
changes in the name of the vessel;
(4) the history of marine casualties and serious repair problems of the vessel; and
(5) a record of all inspections and examinations of a vessel conducted under section 3714
of this title.

Source section (U.S. Code)
46:391a(18)

Section 3716 requires the Secretary to establish effective control and supervisory measures to prohibit the
discharge of tank washings by dumping at sea. The section also prohibits the dumping vessel from subsequently loading any cargo at a port or terminal subject
to the jurisdiction of the United States. This section is
intended to prohibit the practice of discharging a cargo
of oil or hazardous substance, then going to sea to
clean tanks by pumping tank washing mixtures overboard, and then returning to a port or terminal subject
to the jurisdiction of the United States for the purpose
of loading a cargo that was incompatible with the prior
cargo.

§ 3717. Marine safety information system
(a) The Secretary shall establish a marine
safety information system that shall contain information about each vessel to which this chap-

3717 ..............................................

Source section (U.S. Code)
46:391a(16)

Section 3717 requires the Secretary to establish a marine safety information system which is to contain selected information on any tank vessel, foreign or domestic, that comes within the jurisdiction of the
United States. This information must be recorded and
maintained up-to-date and is available from a number
of sources. In some instances, this information is required as a condition of entry. This information shall
include certain ownership interests, financial responsibility information, all registered names that the vessel has had since it was built, the present and prior
countries of registry, history of accidents or serious repair problems, record of the various inspections or examinations required, and any other data the Secretary
deems appropriate to carry out the intent of the section. The section also provides for interagency cooperation and the furnishing of available data and information.

§ 3718. Penalties
(a)(1) A person violating this chapter or a regulation prescribed under this chapter is liable to
the United States Government for a civil penalty of not more than $25,000. Each day of a continuing violation is a separate violation.
(2) Each vessel to which this chapter applies
that is operated in violation of this chapter or a
regulation prescribed under this chapter is liable in rem for a civil penalty under this subsection.
(b) A person willfully and knowingly violating
this chapter or a regulation prescribed under
this chapter commits a class D felony.
(c) Instead of the penalties provided by subsection (b) of this section, a person willfully and
knowingly violating this chapter or a regulation

§ 3719

TITLE 46—SHIPPING

prescribed under this chapter, and using a dangerous weapon, or engaging in conduct that
causes bodily injury or fear of imminent bodily
injury to an official authorized to enforce this
chapter or a regulation prescribed under this
chapter, commits a class C felony.
(d) The district courts of the United States
have jurisdiction to restrain a violation of this
chapter or a regulation prescribed under this
chapter.
(e)(1) If any owner, operator, or individual in
charge of a vessel is liable for any penalty or
fine under this section, or if reasonable cause
exists to believe that the owner, operator, or individual in charge may be subject to any penalty or fine under this section, the Secretary of
Homeland Security, upon the request of the Secretary, shall with respect to such vessel refuse
or revoke any clearance required by section
60105 of this title.
(2) Clearance or a permit refused or revoked
under this subsection may be granted upon filing of a bond or other surety satisfactory to the
Secretary.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 527; Pub. L.
101–380, title IV, § 4302(c), Aug. 18, 1990, 104 Stat.
538; Pub. L. 104–324, title III, § 312(d), Oct. 19, 1996,
110 Stat. 3921; Pub. L. 109–304, § 15(17), Oct. 6,
2006, 120 Stat. 1703.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3718 ..............................................

46:391a(14)

Section 3718 provides the authority to assess civil
penalties for violation of the chapter or regulations.
Each violation subjects the violator to a penalty not to
exceed $25,000 for each violation and, in the case of a
continuing violation, each day shall constitute a separate violation and the vessel is liable in rem. The procedures for assessing penalties are found in section 2107
of part A.
With respect to criminal penalties, a willful or knowing violation of the section or a regulation subjects the
offender, upon conviction, to a criminal fine of not
more than $50,000 for each violation or imprisonment
for not more than 1 year, or both. If the willful and
knowing violation involves the use of a dangerous
weapon or constitutes an assault or battery, the offender is subjected to a fine of not more than $100,000
or imprisonment of not more than 10 years, or both.
In addition, where the owner or operator of the vessel
is subject to any of the penalties prescribed, the Secretary of the Treasury is directed to withhold required
Customs clearance, at the request of the Secretary.
Clearance may be granted upon the filing of a bond or
other surety satisfactory to the Secretary.
AMENDMENTS
2006—Subsec. (e)(1). Pub. L. 109–304 substituted ‘‘Secretary of Homeland Security’’ and ‘‘section 60105 of this
title’’ for ‘‘Secretary of the Treasury’’ and ‘‘section
4197 of the Revised Statutes of the United States (46
App. U.S.C. 91)’’, respectively.
1996—Subsec. (e). Pub. L. 104–324 amended subsec. (e)
generally. Prior to amendment, subsec. (e) read as follows: ‘‘At the request of the Secretary, the Secretary of
the Treasury shall withhold or revoke the clearance required by section 4197 of the Revised Statutes (46 App.
U.S.C. 91) of a vessel the owner or operator of which is
subject to a penalty under this section. Clearance may
be granted on filing a bond or other surety satisfactory
to the Secretary.’’
1990—Subsec. (b). Pub. L. 101–380, § 4302(c)(1), substituted ‘‘commits a class D felony’’ for ‘‘shall be fined

Page 76

not more than $50,000, imprisoned for not more than 5
years, or both’’.
Subsec. (c). Pub. L. 101–380, § 4302(c)(2), substituted
‘‘commits a class C felony’’ for ‘‘shall be fined not more
than $100,000, imprisoned for not more than 10 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.

§ 3719. Reduction of oil spills from single hull
non-self-propelled tank vessels
The Secretary shall, in consultation with the
Towing Safety Advisory Committee and taking
into consideration the characteristics, methods
of operation, and the size and nature of service
of single hull non-self-propelled tank vessels and
towing vessels, prescribe regulations requiring a
single hull non-self-propelled tank vessel that
operates in the open ocean or coastal waters, or
the vessel towing it, to have at least one of the
following:
(1) A crew member and an operable anchor
on board the tank vessel that together are capable of arresting the tank vessel without additional assistance under reasonably foreseeable sea conditions.
(2) An emergency system on the tank vessel
or towing vessel that without additional assistance under reasonably foreseeable sea conditions will allow the tank vessel to be retrieved by the towing vessel if the tow line
ruptures.
(3) Any other measure or combination of
measures that the Secretary determines will
provide protection against grounding of the
tank vessel comparable to that provided by
the measures described in paragraph (1) or (2).
(Added Pub. L. 104–324, title IX, § 901(a), Oct. 19,
1996, 110 Stat. 3946.)
REGULATIONS
Pub. L. 104–324, title IX, § 901(b), Oct. 19, 1996, 110 Stat.
3946, provided that: ‘‘The Secretary of the department
in which the Coast Guard is operating shall issue regulations required under section 3719 of title 46, United
States Code, as added by subsection (a), by not later
than October 1, 1997.’’

[CHAPTER 39—REPEALED]
[§§ 3901, 3902. Repealed. Pub. L. 107–171, title X,
§ 10418(a)(20), May 13, 2002, 116 Stat. 508]
Section 3901, Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 528,
related to regulations for accommodations for export
animals.
Section 3902, Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 528,
related to penalties.

CHAPTER 41—UNINSPECTED VESSELS
GENERALLY
Sec.

4101.
4102.
4103.
[4104.
4105.
4106.

Application.
Safety equipment.
Exemptions.
Repealed.]
Uninspected passenger vessels.
Penalties.
HISTORICAL AND REVISION NOTES

Chapter 41 applies to vessels that are not subject to
inspection and certification under chapter 33.

Page 77

§ 4102

TITLE 46—SHIPPING

The Federal authority to regulate uninspected vessels originated with the Motorboat Act of 1910 (Public
Law 61–201, 36 Stat. 462) when Congress established
standards with respect to navigation lights, machinery
requirements, life preservers, and for the licensing of
operators on small vessels carrying passengers. This
was an extension of Federal regulatory authority over
certain non-steam-propelled vessels, that is, those recreational vessels and commercial vessels that are propelled by machinery other than steam.
Thirty years later, the 1910 Act was amended by the
Motorboat Act of 1940 (Public Law 76–484, 54 Stat. 163),
which added to the equipment that was required and
provided for other regulatory controls. In this manner
the Federal Government continued to exercise some degree of maritime safety supervision over the commercial and recreational vessel sector that was ‘‘uninspected’’. This was important because steam towing
vessels were converting to diesel propulsion and were
therefore no longer subject to the detailed periodic and
extensive hull, machinery, and equipment inspections
of a Federal agency. In addition, the number of recreational vessels primarily propelled by gasoline were
increasing and were also suffering casualties from explosions and fires.
AMENDMENTS
1990—Pub. L. 101–595, title VI, § 603(3)(B), Nov. 16, 1990,
104 Stat. 2993, struck out item 4104 ‘‘Regulations’’.
1984—Pub. L. 98–364, title IV, § 402(7)(B), July 17, 1984,
98 Stat. 446, inserted ‘‘GENERALLY’’ in chapter heading.

§ 4101. Application
This chapter applies to an uninspected vessel
not subject to chapter 45 of this title—
(1) on the navigable waters of the United
States; or
(2) owned in the United States and operating
on the high seas.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 528; Pub. L.
100–424, § 8(b), Sept. 9, 1988, 102 Stat. 1593.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

4101 ..............................................

46:526u

Section 4101 makes this chapter applicable to uninspected vessels, as defined in section 2101(43), that operate on the navigable waters of the United States or
that are owned in the United States and while operating on the high seas. Therefore a vessel that operates
on waters that are considered to be solely State waters
would not be subject to these Federal requirements.

of life preservers and other lifesaving devices for
individuals on board uninspected vessels.
(c) Each uninspected vessel shall have the carburetors of each engine of the vessel (except an
outboard motor) using gasoline as fuel, equipped
with an efficient flame arrestor, backfire trap,
or other similar device prescribed by regulation.
(d) Each uninspected vessel using a volatile
liquid as fuel shall be provided with the means
prescribed by regulation for properly and efficiently ventilating the bilges of the engine and
fuel tank compartments, so as to remove any
explosive or flammable gases.
(e) Each manned uninspected vessel owned in
the United States and operating beyond 3 nautical miles from the baselines from which the
territorial sea of the United States is measured
or beyond three nautical miles from the coastline of the Great Lakes shall be equipped with
the number and type of alerting and locating
equipment, including emergency position indicating radio beacons, prescribed by the Secretary.
(f)(1) The Secretary, in consultation with the
Towing Safety Advisory Committee and taking
into consideration the characteristics, methods
of operation, and nature of service of towing
vessels, may require the installation, maintenance, and use of a fire suppression system or
other measures to provide adequate assurance
that fires on board towing vessels can be suppressed under reasonably foreseeable circumstances.
(2) The Secretary shall require under paragraph (1) the use of a fire suppression system or
other measures to provide adequate assurance
that a fire on board a towing vessel that is towing a non-self-propelled tank vessel can be suppressed under reasonably foreseeable circumstances.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 528; Pub. L.
99–640, § 16, Nov. 10, 1986, 100 Stat. 3552; Pub. L.
100–424, § 2(c), Sept. 9, 1988, 102 Stat. 1590; Pub. L.
100–540, § 1(a), Oct. 28, 1988, 102 Stat. 2719; Pub. L.
104–324, title IX, § 902(a), Oct. 19, 1996, 110 Stat.
3947; Pub. L. 105–383, title III, § 301(b)(3), Nov. 13,
1998, 112 Stat. 3417; Pub. L. 111–281, title VI, § 619,
Oct. 15, 2010, 124 Stat. 2975.)
HISTORICAL AND REVISION NOTES
Revised section

AMENDMENTS
1988—Pub. L. 100–424 inserted ‘‘not subject to chapter
45 of this title’’ after ‘‘an uninspected vessel’’.

4102(a)
4102(b)
4102(c)
4102(d)

Source section (U.S. Code)

.........................................
.........................................
.........................................
.........................................

46:526g
46:526e
46:526i
46:526j

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.

§ 4102. Safety equipment
(a) Each uninspected vessel propelled by machinery shall be provided with the number, type,
and size of fire extinguishers, capable of promptly and effectively extinguishing burning liquid
fuel, that may be prescribed by regulation. The
fire extinguishers shall be kept in condition for
immediate and effective use and so placed as to
be readily accessible.
(b) The Secretary shall prescribe regulations
requiring the installation, maintenance, and use

Section 4102 requires uninspected vessels to comply
with certain provisions that incorporate minimum
safety equipment and construction requirements. The
Committee intends that the term life preserver include
all types of personal equipment, including exposure
suits with floatation characteristics.
AMENDMENTS
2010—Subsec. (b). Pub. L. 111–281 amended subsec. (b)
generally. Prior to amendment, subsec. (b) read as follows: ‘‘Each uninspected vessel propelled by machinery
shall carry at least one readily accessible life preserver
or other lifesaving device, of the type prescribed by
regulation, for each individual on board.’’
1998—Subsec. (e). Pub. L. 105–383 substituted ‘‘owned
in the United States and operating beyond 3 nautical
miles from the baselines from which the territorial sea

§ 4103

TITLE 46—SHIPPING

of the United States is measured’’ for ‘‘operating on the
high seas’’.
1996—Subsec. (f). Pub. L. 104–324 added subsec. (f).
1988—Subsec. (e). Pub. L. 100–540 amended subsec. (e)
generally without regard to the prior repeal of subsec.
(e) by Pub. L. 100–424.
Pub. L. 100–424 struck out subsec. (e) which read as
follows: ‘‘Each uninspected fishing, fish processing, or
fish tender vessel operating on the high seas shall be
equipped with the number and type of emergency
position indicating radio beacons prescribed by regulation.’’ See section 4502(a)(7) of this title.
1986—Subsec. (e). Pub. L. 99–640 added subsec. (e).

shall, by regulation, require certain additional
equipment which may include liferafts or other
lifesaving equipment, construction standards, or
specify additional operating standards for those
uninspected passenger vessels defined in section
2101(42)(A) of this title.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 529; Pub. L.
103–206, title V, § 511(b), Dec. 20, 1993, 107 Stat.
2442.)
HISTORICAL AND REVISION NOTES
Revised section

REGULATIONS
Pub. L. 104–324, title IX, § 902(b), Oct. 19, 1996, 110 Stat.
3947, provided that: ‘‘The Secretary of the department
in which the Coast Guard is operating shall issue regulations establishing the requirement described in subsection (f)(2) of section 4102 of title 46, United States
Code, as added by this section, by not later than October 1, 1997.’’
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.

Page 78

Source section (U.S. Code)

4105 ..............................................

46:1452
46:1453

Section 4105 provides that an uninspected passenger
vessel is subject to Chapter 43, as a recreational vessel
even when it is carrying not more than six passengers.
REFERENCES IN TEXT
The date of enactment of this subsection, referred to
in subsec. (b), is the date of enactment of Pub. L.
103–206, which was approved Dec. 20, 1993.
AMENDMENTS
1993—Pub. L. 103–206 designated existing provisions as
subsec. (a) and added subsec. (b).

§ 4103. Exemptions
(a) The Secretary may exempt a vessel from
any part of this chapter if, under regulations
prescribed by the Secretary (including regulations on special operating conditions), the Secretary finds that—
(1) good cause exists for granting an exemption; and
(2) the safety of the vessel and individuals on
board will not be adversely affected.
(b) Section 4102(a) of this title does not apply
to a vessel propelled by outboard motors when
competing in a race previously arranged and announced or, if the vessel is designed and intended only for racing, when operated incidental
to tuning up the vessel and its engines for the
race.

§ 4106. Penalties
If a vessel to which this chapter applies is operated in violation of this chapter or a regulation prescribed under this chapter, the owner,
charterer, managing operator, agent, master,
and individual in charge are each liable to the
United States Government for a civil penalty of
not more than $5,000. The vessel also is liable in
rem for the penalty.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 529; Pub. L.
100–540, § 3, Oct. 28, 1988, 102 Stat. 2719.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

4106 ..............................................

(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 529; Pub. L.
100–540, § 2, Oct. 28, 1988, 102 Stat. 2719.)
HISTORICAL AND REVISION NOTES
Revised section

Section 4106 provides a civil penalty of $100 for a violation of this chapter or a regulation under this chapter. The vessel also is liable in rem.

Source section (U.S. Code)

4103 ..............................................

46:525h

Section 4103 contains an exemption from carrying
fire extinguishers, for on a vessel competing in an organized race or a vessel designed and intended for racing
only.
AMENDMENTS
1988—Pub. L. 100–540 added subsec. (a) and designated
existing provisions as subsec. (b).

[§ 4104. Repealed. Pub. L. 101–595, title VI,
§ 603(3)(A), Nov. 16, 1990, 104 Stat. 2993]
Section, Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 529, required Secretary to prescribe regulations to carry out
provisions of this chapter.

§ 4105. Uninspected passenger vessels
(a) Chapter 43 of this title applies to an uninspected passenger vessel.
(b) Within twenty-four months of the date of
enactment of this subsection, the Secretary

46:526o

AMENDMENTS
1988—Pub. L. 100–540 substituted ‘‘not more than
$5,000’’ for ‘‘$100’’.

CHAPTER 43—RECREATIONAL VESSELS
Sec.

4301.
4302.
4303.
4304.
4305.
4306.
4307.
4308.
4309.
4310.
4311.

Application.
Regulations.
Inspection and testing.
Importation of nonconforming vessels and
equipment.
Exemptions.
Federal preemption.
Prohibited acts.
Termination of unsafe operation.
Investigation and reporting.
Repair and replacement of defects.
Penalties and injunctions.
HISTORICAL AND REVISION NOTES

Chapter 43 contains the laws applicable to recreational vessels, which originated primarily with the
enactment of the Federal Boat Safety Act of 1971 (Public Law 92–75, 85 Stat. 213). That Act embraced a num-

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.)

Page 81

§ 4309

TITLE 46—SHIPPING
HISTORICAL AND REVISION NOTES

Revised section
4305 ..............................................

Source section (U.S. Code)
46:1458

Section 4305 permits the Secretary to grant appropriate exemptions from the requirements of this chapter when recreational vessel safety will not be adversely affected.

§ 4306. Federal preemption
Unless permitted by the Secretary under section 4305 of this title, a State or political subdivision of a State may not establish, continue
in effect, or enforce a law or regulation establishing a recreational vessel or associated equipment performance or other safety standard or
imposing a requirement for associated equipment (except insofar as the State or political
subdivision may, in the absence of the Secretary’s disapproval, regulate the carrying or
use of marine safety articles to meet uniquely
hazardous conditions or circumstances within
the State) that is not identical to a regulation
prescribed under section 4302 of this title.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 531.)
HISTORICAL AND REVISION NOTES
Revised section
4306 ..............................................

Source section (U.S. Code)
46:1459
46:1460

Section 4306 establishes the Federal preemption of
recreational boating standards and requirements. A
State or a political subdivision may not establish, continue, or enforce a law or regulation establishing a performance or other safety standard that is not identical
to a Federal standard. The Secretary may grant an exemption to a State when the State requirement is one
that is needed to meet uniquely hazardous conditions
or circumstances within a State. This is to provide uniform standards without the imposition of excessive special requirements by individual States.

§ 4307. Prohibited acts
(a) A person may not—
(1) manufacture, construct, assemble, sell or
offer for sale, introduce or deliver for introduction into interstate commerce, or import
into the United States, a recreational vessel,
associated equipment, or component of the
vessel or equipment unless—
(A)(i) it conforms with this chapter or a
regulation prescribed under this chapter;
and
(ii) it does not contain a defect which has
been identified, in any communication to
such person by the Secretary or the manufacturer of that vessel, equipment or component, as creating a substantial risk of personal injury to the public; or
(B) it is intended only for export and is so
labeled, tagged, or marked on the recreational vessel or equipment, including any
markings on the outside of the container in
which it is to be exported;
(2) affix, attach, or display a seal, document,
label, plate, insignia, or other device indicating or suggesting compliance with standards
of the United States Government on, in, or in
connection with, a recreational vessel or item

of associated equipment that is false or misleading; or
(3) fail to provide a notification as required
by this chapter or fail to exercise reasonable
diligence in carrying out the notification and
reporting requirements of this chapter.
(b) A person may not operate a vessel in violation of this chapter or a regulation prescribed
under this chapter.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 531; Pub. L.
98–557, § 8(a), Oct. 30, 1984, 98 Stat. 2862.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

4307(a) .........................................
4307(b) .........................................

46:1461(a)
46:1461(c)

Section 4307 prohibits certain acts in the manufacture and operation of recreational vessels.
AMENDMENTS
1984—Subsec. (a)(1)(A). Pub. L. 98–557 designated existing provisions as cl. (i), substituted ‘‘and’’ for ‘‘or’’,
and added cl. (ii).

§ 4308. Termination of unsafe operation
If an official charged with the enforcement of
this chapter observes a recreational vessel being
operated without sufficient lifesaving or firefighting devices or in an overloaded or other unsafe condition (as defined in regulations prescribed under this chapter) and, in the judgment
of the official, the operation creates an especially hazardous condition, the official may direct the individual in charge of the recreational
vessel to take immediate and reasonable steps
necessary for the safety of individuals on board
the vessel, including directing the individual in
charge to return to a mooring and to remain
there until the situation creating the hazard is
corrected or ended.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 532; Pub. L.
99–307, § 1(9), May 19, 1986, 100 Stat. 445.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

4308 ..............................................

46:1462

Section 4308 authorizes an appropriate official to terminate the unsafe operation of recreational vessels. If
the official observes the vessel being operated without
sufficient lifesaving or firefighting devices or in an
overloaded or other unsafe condition (as defined in regulations) and believes the operation creates an especially hazardous condition, the operator may be directed to take immediate and reasonable steps necessary for safety, including returning to a mooring and
remaining there until the hazard is corrected or ended.
This does not prevent the assessment of any applicable
civil penalties nor the pursuing of appropriate criminal
action.
AMENDMENTS
1986—Pub. L. 99–307 substituted
charge’’ for ‘‘operator’’ in two places.

‘‘individual

in

§ 4309. Investigation and reporting
(a) A recreational vessel manufacturer to
whom this chapter applies shall establish and
maintain records and reports and provide information the Secretary may require to enable the

§ 4310

TITLE 46—SHIPPING

Secretary to decide whether the manufacturer
has acted or is acting in compliance with this
chapter and regulations prescribed under this
chapter. On request of an officer, employee, or
agent authorized by the Secretary, a recreational vessel manufacturer shall permit the
officer, employee, or agent to inspect, at reasonable times, factories or other facilities, and
records related to deciding whether the manufacturer has acted or is acting in compliance
with this chapter and regulations prescribed
under this chapter.
(b) Information reported to or otherwise obtained by the Secretary or the representative of
the Secretary under this section containing or
related to a trade secret or other matter referred to in section 1905 of title 18, or authorized
to be exempt from public disclosure by section
552(b) of title 5, is confidential under section
1905. However, on approval of the Secretary, the
information may be disclosed to other officers,
employees, or agents concerned with carrying
out this chapter or when it is relevant in a proceeding under this chapter.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 532.)
HISTORICAL AND REVISION NOTES
Revised section
4309 ..............................................

Source section (U.S. Code)
46:1463

Section 4309 requires the establishment and maintenance of certain records by manufacturers, and the inspection and access to these records by the Secretary,
at reasonable times, so as to assure Federal enforcement officials that the manufacturer has acted or is in
compliance with applicable laws and regulations. It
also provides protection for matters related to trade secrets and exemptions from public disclosure.

§ 4310. Repair and replacement of defects
(a) In this section, ‘‘associated equipment’’ includes only items or classes of associated equipment that the Secretary shall prescribe by regulation after deciding that the application of the
requirements of this section to those items or
classes of associated equipment is reasonable
and in furtherance of this chapter.
(b) If a recreational vessel or associated equipment has left the place of manufacture and the
recreational vessel manufacturer discovers or
acquires information that the manufacturer decides, in the exercise of reasonable and prudent
judgment, indicates that a recreational vessel or
associated equipment subject to an applicable
regulation prescribed under section 4302 of this
title either fails to comply with the regulation,
or contains a defect that creates a substantial
risk of personal injury to the public, the manufacturer shall provide notification of the defect
or failure of compliance as provided by subsections (c) and (d) of this section within a reasonable time after the manufacturer has discovered the defect.
(c)(1) The notification required by subsection
(b) of this section shall be given to the following
persons in the following manner:
(A) by first class mail or by certified mail to
the first purchaser for other than resale, except that the requirement for notification of
the first purchaser shall be satisfied if the recreational vessel manufacturer exercises rea-

Page 82

sonable diligence in establishing and maintaining a list of those purchasers and their
current addresses, and sends the required notice to each person on that list at the address
appearing on the list.
(B) by first class mail or by certified mail to
subsequent purchasers if known to the manufacturer.
(C) by first class mail or by certified mail or
other more expeditious means to the dealers
and distributors of the recreational vessels or
associated equipment.
(2) The notification required by subsection (b)
of this section is required to be given only for a
defect or failure of compliance discovered by the
recreational vessel manufacturer within a reasonable time after the manufacturer has discovered the defect or failure, except that the manufacturer’s duty of notification under paragraph
(1)(A) and (B) of this subsection applies only to
a defect or failure of compliance discovered by
the manufacturer within one of the following
appropriate periods:
(A) if a recreational vessel or associated
equipment required by regulation to have a
date of certification affixed, 10 years from the
date of certification.
(B) if a recreational vessel or associated
equipment not required by regulation to have
a date of certification affixed, 10 years from
the date of manufacture.
(d) The notification required by subsection (b)
of this section shall contain a clear description
of the defect or failure to comply, an evaluation
of the hazard reasonably related to the defect or
failure, a statement of the measures to correct
the defect or failure, and an undertaking by the
recreational vessel manufacturer to take those
measures only at the manufacturer’s cost and
expense.
(e) Each recreational vessel manufacturer
shall provide the Secretary with a copy of all
notices, bulletins, and other communications to
dealers and distributors of that manufacturer,
and to purchasers of recreational vessels or associated equipment of that manufacturer, about
a defect related to safety in the recreational
vessels or associated equipment, and any failure
to comply with the regulation or order applicable to the recreational vessels or associated
equipment. The Secretary may publish or otherwise disclose to the public information in the
notices or other information the Secretary has
that the Secretary considers will assist in carrying out this chapter. However, the Secretary
may disclose any information that contains or
relates to a trade secret only if the Secretary
decides that the information is necessary to
carry out this chapter.
(f) If, through testing, inspection, investigation, or examination of reports, the Secretary
decides that a recreational vessel or associated
equipment to which this chapter applies contains a defect related to safety or fails to comply with an applicable regulation prescribed
under this chapter and notification under this
chapter is appropriate, the Secretary shall notify the recreational vessel manufacturer of the
defect or failure. The notice shall contain the
findings of the Secretary and shall include a

Page 83

TITLE 46—SHIPPING

synopsis of the information on which they are
based. The manufacturer may then provide the
notification required by this chapter to the persons designated in this chapter or dispute the
Secretary’s decision. If disputed, the Secretary
shall provide the manufacturer with an opportunity to present views and establish that there
is no such defect or failure. When the Secretary
considers it to be in the public interest, the Secretary may publish notice of the proceeding in
the Federal Register and provide interested persons, including the National Boating Safety Advisory Council, with an opportunity to comment. If, after presentation by the manufacturer, the Secretary decides that the recreational vessel or associated equipment contains a defect related to safety or fails to comply with an applicable regulation, the Secretary
may direct the manufacturer to provide the notifications specified in this chapter.
(g) The Secretary may prescribe regulations to
carry out this section, including the establishment of procedures that require dealers and distributors to assist manufacturers in obtaining
information required by this section. A regulation prescribed under this subsection does not
relieve a manufacturer of any obligation imposed by this section.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 532; Pub. L.
107–295, title IV, § 433, Nov. 25, 2002, 116 Stat.
2129.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

4310 ..............................................

46:1464

Section 4310 imposes certain requirements on a recreational vessel and associated equipment manufacturer to provide notification of a defect or the failure
of compliance after a manufacturer discovers the defect
or failure. This section spells out the procedure for notification and who shall be notified. It assures the public of notification while protecting the manufacturer
from the potential of damaging and inaccurate disclosures.
AMENDMENTS
2002—Subsec. (c)(1)(A) to (C). Pub. L. 107–295, § 433(2),
inserted ‘‘by first class mail or’’ before ‘‘by certified
mail’’.
Subsec. (c)(2)(A), (B). Pub. L. 107–295, § 433(1), substituted ‘‘10’’ for ‘‘5’’.

§ 4311. Penalties and injunctions
(a) A person willfully operating a recreational
vessel in violation of this chapter or a regulation prescribed under this chapter shall be fined
not more than $5,000, imprisoned for not more
than one year, or both.
(b)(1) A person violating section 4307(a) of this
title is liable to the United States Government
for a civil penalty of not more than $5,000, except that the maximum civil penalty may be not
more than $250,000 for a related series of violations.
(2) If the Secretary decides under section
4310(f) that a recreational vessel or associated
equipment contains a defect related to safety or
fails to comply with an applicable regulation
and directs the manufacturer to provide the notifications specified in this chapter, any person,

§ 4311

including a director, officer or executive employee of a corporation, who knowingly and
willfully fails to comply with that order, may be
fined not more than $10,000, imprisoned for not
more than one year, or both.
(3) When a corporation violates section 4307(a),
or fails to comply with the Secretary’s decision
under section 4310(f), any director, officer, or executive employee of the corporation who knowingly and willfully ordered, or knowingly and
willfully authorized, a violation is individually
liable to the Government for a penalty under
paragraphs (1) or (2) in addition to the corporation. However, the director, officer, or executive
employee is not liable individually under this
subsection if the director, officer, or executive
employee can demonstrate by a preponderance
of the evidence that—
(A) the order or authorization was issued on
the basis of a decision, in exercising reasonable and prudent judgment, that the defect or
the nonconformity with standards and regulations constituting the violation would not
cause or constitute a substantial risk of personal injury to the public; and
(B) at the time of the order or authorization,
the director, officer, or executive employee advised the Secretary in writing of acting under
this subparagraph and subparagraph (A).
(c) A person violating any other provision of
this chapter or other regulation prescribed
under this chapter is liable to the Government
for a civil penalty of not more than $1,000. If the
violation involves the operation of a vessel, the
vessel also is liable in rem for the penalty.
(d) When a civil penalty of not more than $200
has been assessed under this chapter, the Secretary may refer the matter of collection of the
penalty directly to the United States magistrate
judge of the jurisdiction in which the person liable may be found for collection procedures under
supervision of the district court and under an
order issued by the court delegating this authority under section 636(b) of title 28.
(e) The district courts of the United States
have jurisdiction to restrain a violation of this
chapter, or to restrain the sale, offer for sale, introduction or delivery for introduction into
interstate commerce, or importation into the
United States, of a recreational vessel or associated equipment that the court decides does not
conform to safety standards of the Government.
A civil action under this subsection shall be
brought by filing a petition by the Attorney
General for the Government. When practicable,
the Secretary shall give notice to a person
against whom an action for injunctive relief is
contemplated and provide the person with an opportunity to present views and, except for a
knowing and willful violation, shall provide the
person with a reasonable opportunity to achieve
compliance. The failure to give notice and provide the opportunity does not preclude the
granting of appropriate relief by the district
court.
(f) A person is not subject to a penalty under
this chapter if the person—
(1) establishes that the person did not have
reason to know, in exercising reasonable care,
that a recreational vessel or associated equipment does not conform with the applicable

§ 4501

TITLE 46—SHIPPING

safety standards of the Government or that
the person was not advised by the Secretary or
the manufacturer of that vessel, equipment or
component that the vessel, equipment or component contains a defect which creates a substantial risk of personal injury to the public;
or
(2) holds a certificate issued by the manufacturer of that recreational vessel or associated
equipment to the effect that the recreational
vessel or associated equipment conforms to all
applicable recreational vessel safety standards
of the Government, unless the person knows or
reasonably should have known that the recreational vessel or associated equipment does
not so conform.
(g) Compliance with this chapter or standards,
regulations, or orders prescribed under this
chapter does not relieve a person from liability
at common law or under State law.

Page 84

ized, a violation is individually liable to the Government for the penalty, in addition to the corporation.
However, the director, officer, or executive employee is
not liable individually under this subsection if the director, officer, or executive employee can demonstrate
by a preponderance of the evidence that—
‘‘(1) the order or authorization was issued on the
basis of a decision, in exercising reasonable and prudent judgment, that the defect or the nonconformity
with standards and regulations constituting the violation would not cause or constitute a substantial
risk of personal injury to the public; and
‘‘(2) at the time of the order or authorization, the
director, officer, or executive employee advised the
Secretary in writing of acting under this clause and
clause (1) of this subsection.’’
1984—Subsec. (b)(1). Pub. L. 98–557, § 8(b), inserted ‘‘defect or the’’ before ‘‘nonconformity’’.
Subsec. (f)(1). Pub. L. 98–557, § 8(c), inserted provisions
relating to advice by the Secretary or manufacturer of
the vessel, equipment or component respecting defects
creating substantial risk of personal injury to the public.
CHANGE OF NAME

(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 534; Pub. L.
98–557, § 8(b), (c), Oct. 30, 1984, 98 Stat. 2862; Pub.
L. 101–650, title III, § 321, Dec. 1, 1990, 104 Stat.
5117; Pub. L. 108–293, title IV, § 406, Aug. 9, 2004,
118 Stat. 1043; Pub. L. 109–241, title IX, § 901(e),
July 11, 2006, 120 Stat. 564.)

‘‘United States magistrate judge’’ substituted for
‘‘United States magistrate’’ in subsec. (d) pursuant to
section 321 of Pub. L. 101–650, set out as a note under
section 631 of Title 28, Judiciary and Judicial Procedure.

HISTORICAL AND REVISION NOTES

CHAPTER 45—UNINSPECTED COMMERCIAL
FISHING INDUSTRY VESSELS

Revised section

Source section (U.S. Code)

4311(a) .........................................
4311(b) .........................................
4311(c) .........................................
4311(d) .........................................
4311(e) .........................................
4311(f) ..........................................
4311(g) .........................................

46:1483
46:1484(a)
46:1484(b)
46:1484(d)
46:1485
46:1461(b)
46:1489

Section 4311 provides penalties for violating any of
the provisions of this chapter or a regulation prescribed
under this chapter. For a willful violation the penalty
is a criminal fine; all other penalties are civil in nature.
A person violating any of the prohibited acts specified in section 4307(a)(1) is subject to a maximum civil
penalty that can go as high as a $100,000 for a related
series of violations. However, the section provides for
no liability for good faith reliance on certifications of
compliance by others within the chain of responsibility
and for defects that are not within an individual’s responsibility or control.
This section also contains an alternate procedure for
the collection of a civil penalty of not more than $200
through a U.S. magistrate in lieu of the civil penalty
procedures of the Coast Guard. It also directs the district courts of the United States to restrain the sale,
offer for sale, introduction or delivery for introduction
into interstate commerce, or importation of a recreational vessel or associated equipment that does not
conform to applicable safety standards. Finally, compliance with this chapter or standards, regulations, or
orders does not relieve a person from liability at common law or under State law.
AMENDMENTS
2006—Subsec. (b)(1). Pub. L. 109–241 inserted a space
after ‘‘4307(a)’’.
2004—Subsec. (b). Pub. L. 108–293 amended subsec. (b)
generally. Prior to amendment, subsec. (b) read as follows: ‘‘A person violating section 4307(a)(1) of this title
is liable to the United States Government for a civil
penalty of not more than $2,000, except that the maximum civil penalty may be not more than $100,000 for a
related series of violations. When a corporation violates section 4307(a)(1), any director, officer, or executive employee of the corporation who knowingly and
willfully ordered, or knowingly and willfully author-

Sec.

4501.
4502.
4503.
4504.
4505.
4506.
4507.
4508.

Application.
Safety standards.
Fishing, fish tender, and fish processing vessel certification.
Prohibited acts.
Termination of unsafe operations.
Exemptions.
Penalties.
Commercial Fishing Safety Advisory Committee.
AMENDMENTS

2010—Pub. L. 111–281, title VI, § 604(c)(4), (e)(2), Oct. 15,
2010, 124 Stat. 2965, 2966, substituted ‘‘Fishing, fish tender, and fish processing vessel certification’’ for ‘‘Fish
processing vessel certification’’ in item 4503 and ‘‘Commercial Fishing Safety Advisory Committee’’ for
‘‘Commercial Fishing Industry Vessel Safety Advisory
Committee’’ in item 4508.
2002—Pub. L. 107–295, title III, § 331(b), Nov. 25, 2002,
116 Stat. 2105, inserted ‘‘Safety’’ before ‘‘Advisory Committee’’ in item 4508.
1988—Pub. L. 100–424, § 2(a), Sept. 9, 1988, 102 Stat. 1585,
in chapter heading substituted ‘‘UNINSPECTED COMMERCIAL FISHING INDUSTRY VESSELS’’ for ‘‘FISH
PROCESSING VESSELS’’, substituted ‘‘Safety standards’’ for ‘‘Regulations’’ in item 4502, ‘‘Fish processing
vessel certification’’ for ‘‘Equivalency’’ in item 4503,
‘‘Prohibited acts’’ for ‘‘Penalties’’ in item 4504, and
added items 4505 to 4508.

§ 4501. Application
(a) This chapter applies to an uninspected vessel which is a fishing vessel, fish processing vessel, or fish tender vessel.
(b) This chapter does not apply to the carriage
of bulk dangerous cargoes regulated under chapter 37 of this title.
(Added Pub. L. 98–364, title IV, § 402(7)(C), July
17, 1984, 98 Stat. 446; amended Pub. L. 100–424,
§ 2(a), Sept. 9, 1988, 102 Stat. 1585.)
AMENDMENTS
1988—Pub. L. 100–424 amended section generally, in
subsec. (a) substituting provisions which related to un-

Page 85

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-

Page 89

TITLE 46—SHIPPING

cluding ordering the individual in charge to
return the vessel to a mooring and to remain
there until the situation creating the hazard is
corrected or ended; and
(2) may order the individual in charge of an
uninspected fish processing vessel that does
not have on board the certificate required
under section 4503(1) of this title to return the
vessel to a mooring and to remain there until
the vessel is in compliance with that section.
(Added Pub. L. 100–424, § 2(a), Sept. 9, 1988, 102
Stat. 1587.)
§ 4506. Exemptions
(a) 1 The Secretary may exempt a vessel from
any part of this chapter if, under regulations
prescribed by the Secretary (including regulations on special operating conditions), the Secretary finds that—
(1) good cause exists for granting an exemption; and
(2) the safety of the vessel and those on
board will not be adversely affected.
(Added Pub. L. 100–424, § 2(a), Sept. 9, 1988, 102
Stat. 1587; amended Pub. L. 102–587, title V,
§ 5222, Nov. 4, 1992, 106 Stat. 5081; Pub. L. 105–383,
title III, § 301(b)(6), Nov. 13, 1998, 112 Stat. 3417;
Pub. L. 111–281, title VI, § 604(b), Oct. 15, 2010, 124
Stat. 2964.)
AMENDMENTS
2010—Subsec. (b). Pub. L. 111–281 struck out subsec.
(b) which read as follows: ‘‘A vessel to which this chapter applies is exempt from section 4502(b)(2)(B) of this
title if it—
‘‘(1) is less than 36 feet in length; and
‘‘(2) is operating—
‘‘(A) in internal waters of the United States; or
‘‘(B) within 3 nautical miles from the baselines
from which the territorial sea of the United States
is measured.’’
1998—Subsec. (b)(2). Pub. L. 105–383 added par. (2) and
struck out former par. (2) which read as follows: ‘‘is not
operating on the high seas.’’
1992—Subsec. (b). Pub. L. 102–587 substituted
‘‘4502(b)(2)(B)’’ for ‘‘4502(b)(2)’’.
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.

§ 4507. Penalties
(a) The owner, charterer, managing operator,
agent, master, and individual in charge of a vessel to which this chapter applies which is operated in violation of this chapter or a regulation
prescribed under this chapter may each be assessed a civil penalty by the Secretary of not
more than $5,000. Any vessel with respect to
which a penalty is assessed under this subsection is liable in rem for the penalty.
(b) A person willfully violating this chapter or
a regulation prescribed under this chapter shall
be fined not more than $5,000, imprisoned for not
more than one year, or both.
(Added Pub. L. 100–424, § 2(a), Sept. 9, 1988, 102
Stat. 1588.)
1 So

in original. There is no subsec. (b).

§ 4508

§ 4508. Commercial Fishing Safety Advisory Committee
(a) The Secretary shall establish a Commercial Fishing Safety Advisory Committee. The
Committee—
(1) may advise, consult with, report to, and
make recommendations to the Secretary on
matters relating to the safe operation of vessels to which this chapter applies, including
navigation safety, safety equipment and procedures, marine insurance, vessel design, construction, maintenance and operation, and
personnel qualifications and training;
(2) may review proposed regulations under
this chapter;
(3) may make available to Congress any information, advice, and recommendations that
the Committee is authorized to give to the
Secretary; and
(4) shall meet at the call of the Secretary,
who shall call such a meeting at least once
during each calendar year.
(b)(1) The Committee shall consist of eighteen
members with particular expertise, knowledge,
and experience regarding the commercial fishing
industry as follows:
(A) ten members who shall represent the
commercial fishing industry and who—
(i) reflect a regional and representational
balance; and
(ii) have experience in the operation of
vessels to which this chapter applies or as a
crew member or processing line worker on a
fish processing vessel;
(B) three members who shall represent the
general public, including, whenever possible—
(i) an independent expert or consultant in
maritime safety;
(ii) a marine surveyor who provides services to vessels to which this chapter applies;
and
(iii) a person familiar with issues affecting
fishing communities and families of fishermen;
(C) one member each of whom shall represent—
(i) naval architects and marine engineers;
(ii) manufacturers of equipment for vessels
to which this chapter applies;
(iii) education or training professionals related to fishing vessel, fish processing vessel,
or fish tender vessel safety or personnel
qualifications;
(iv) underwriters that insure vessels to
which this chapter applies; and
(v) owners of vessels to which this chapter
applies.
(2) At least once each year, the Secretary shall
publish a notice in the Federal Register and in
newspapers of general circulation in coastal
areas soliciting nominations for membership on
the Committee, and, after timely notice is published, appoint the members of the Committee.
An individual may be appointed to a term as a
member of the Committee more than once. The
Secretary may not seek or use information concerning the political affiliation of individuals in
making appointments to the Committee.
(3)(A) A member of the Committee shall serve
a term of three years.

§ 4508

TITLE 46—SHIPPING

(B) If a vacancy occurs in the membership of
the Committee, the Secretary shall appoint a
member to fill the remainder of the vacated
term.
(4) The Committee shall elect one of its members as the Chairman and one of its members as
the Vice Chairman. The Vice Chairman shall act
as Chairman in the absence or incapacity of, or
in the event of a vacancy in the office of, the
Chairman.
(5) The Secretary shall, and any other interested agency may, designate a representative to
participate as an observer with the Committee.
These representatives shall, as appropriate, report to and advise the Committee on matters relating to vessels to which this chapter applies
which are under the jurisdiction of their respective agencies. The Secretary’s designated representative shall act as executive secretary for
the Committee and perform the duties set forth
in section 10(c) of the Federal Advisory Committee Act (5 App. U.S.C.).
(c)(1) The Secretary shall, whenever practicable, consult with the Committee before taking any significant action relating to the safe
operation of vessels to which this chapter applies.
(2) The Secretary shall consider the information, advice, and recommendations of the Committee in consulting with other agencies and the
public or in formulating policy regarding the
safe operation of vessels to which this chapter
applies.
(d)(1) A member of the Committee who is not
an officer or employee of the United States or a
member of the Armed Forces, when attending
meetings of the Committee or when otherwise
engaged in the business of the Committee, is entitled to receive—
(A) compensation at a rate fixed by the Secretary, not exceeding the daily equivalent of
the current rate of basic pay in effect for
GS–18 of the General Schedule under section
5332 of title 5 including travel time; and
(B) travel or transportation expenses under
section 5703 of title 5.
(2) Payments under this section do not render
a member of the Committee an officer or employee of the United States or a member of the
Armed Forces for any purpose.
(3) A member of the Committee who is an officer or employee of the United States or a member of the Armed Forces may not receive additional pay based on the member’s service to the
Committee.
(4) The provisions of this section relating to
an officer or employee of the United States or a
member of the Armed Forces do not apply to a
member of a reserve component of the Armed
Forces unless that member is in an active
status.
(e)(1) The Federal Advisory Committee Act (5
App. U.S.C.) applies to the Committee, except
that the Committee terminates on September
30, 2020.
(2) Two years prior to the termination date referred to in paragraph (1) of this subsection, the
Committee shall submit to Congress its recommendation regarding whether the Committee
should be renewed and continued beyond the termination date.

Page 90

(Added Pub. L. 100–424, § 2(a), Sept. 9, 1988, 102
Stat. 1588; amended Pub. L. 101–225, title I, § 106,
Dec. 12, 1989, 103 Stat. 1910; Pub. L. 102–241, § 25,
Dec. 19, 1991, 105 Stat. 2217; Pub. L. 104–324, title
III, § 304(b), Oct. 19, 1996, 110 Stat. 3917; Pub. L.
107–295, title III, § 331(a), Nov. 25, 2002, 116 Stat.
2105; Pub. L. 108–293, title IV, § 418(a), Aug. 9,
2004, 118 Stat. 1049; Pub. L. 109–241, title IX,
§ 901(g), July 11, 2006, 120 Stat. 564; Pub. L.
111–281, title VI, § 604(c)(1)–(3), Oct. 15, 2010, 124
Stat. 2964, 2965.)
REFERENCES IN TEXT
The Federal Advisory Committee Act, referred to in
subsecs. (b)(5) and (e)(1), is Pub. L. 92–463, Oct. 6, 1972,
86 Stat. 770, as amended, which is set out in the Appendix to Title 5, Government Organization and Employees.
AMENDMENTS
2010—Pub. L. 111–281, § 604(c)(1)(A), substituted ‘‘Commercial Fishing Safety Advisory Committee’’ for
‘‘Commercial Fishing Industry Vessel Safety Advisory
Committee’’ in section catchline.
Subsec. (a). Pub. L. 111–281, § 604(c)(1)(B), struck out
‘‘Industry Vessel’’ after ‘‘Commercial Fishing’’ in introductory provisions.
Subsec. (b)(1). Pub. L. 111–281, § 604(c)(2)(A), substituted ‘‘eighteen’’ for ‘‘seventeen’’ in introductory
provisions.
Subsec. (b)(1)(A). Pub. L. 111–281, § 604(c)(2)(B)(i), substituted ‘‘who shall represent the commercial fishing
industry and who—’’ for ‘‘from the commercial fishing
industry who—’’ in introductory provisions.
Subsec. (b)(1)(A)(ii). Pub. L. 111–281, § 604(c)(2)(B)(ii),
substituted ‘‘a fish processing’’ for ‘‘an uninspected fish
processing’’.
Subsec. (b)(1)(B). Pub. L. 111–281, § 604(c)(2)(C), added
subpar. (B) and struck out former subpar. (B) which
read as follows: ‘‘three members from the general public, including, whenever possible, an independent expert
or consultant in maritime safety and a member of a national organization composed of persons representing
owners of vessels to which this chapter applies and persons representing the marine insurance industry;’’.
Subsec. (b)(1)(C). Pub. L. 111–281, § 604(c)(2)(D)(i), substituted ‘‘each of whom shall represent—’’ for ‘‘representing each of—’’ in introductory provisions.
Subsec. (b)(1)(C)(i). Pub. L. 111–281, § 604(c)(2)(D)(ii),
substituted ‘‘and marine engineers;’’ for ‘‘or marine
surveyors;’’.
Subsec.
(b)(1)(C)(v).
Pub.
L.
111–281,
§ 604(c)(2)(D)(iii)–(v), added cl. (v).
Subsec. (e)(1). Pub. L. 111–281, § 604(c)(3), substituted
‘‘September 30, 2020’’ for ‘‘September 30, 2010’’.
2006—Subsec. (e)(1). Pub. L. 109–241 amended directory
language of Pub. L. 108–293, § 418(a). See 2004 Amendment note below.
2004—Subsec. (e)(1). Pub. L. 108–293, § 418(a), as amended by Pub. L. 109–241, substituted ‘‘on September 30,
2010’’ for ‘‘on September 30, 2005’’.
2002—Pub. L. 107–295, § 331(a)(1), inserted ‘‘Safety’’
after ‘‘Vessel’’ in section catchline.
Subsec. (a). Pub. L. 107–295, § 331(a)(2), inserted ‘‘Safety’’ after ‘‘Vessel’’ in introductory provisions.
Subsec. (e)(1). Pub. L. 107–295, § 331(a)(4), substituted
‘‘on September 30, 2005’’ for ‘‘on September 30, 2000’’.
Pub. L. 107–295, § 331(a)(3), which directed the substitution of ‘‘(5 App. U.S.C.)’’ for ‘‘(5 App. U.S.C. 1 et
seq.)’’, was executed by making substitution for ‘‘(5
U.S.C. App. 1 et seq.)’’, to reflect the probable intent of
Congress.
1996—Subsec. (e)(1). Pub. L. 104–324 substituted ‘‘2000’’
for ‘‘1994’’.
1991—Subsec. (e)(1). Pub. L. 102–241 substituted ‘‘1994’’
for ‘‘1992’’.
1989—Subsec. (b)(2). Pub. L. 101–225 inserted provision
that Secretary not seek or use information concerning
political affiliation in making appointments.

Page 91

EFFECTIVE DATE OF 2006 AMENDMENT
Pub. L. 109–241, title IX, § 901(g), July 11, 2006, 120
Stat. 564, provided that the amendment made by section 901(g) is effective Aug. 9, 2004.
REFERENCES IN OTHER LAWS TO GS–16, 17, OR 18 PAY
RATES
References in laws to the rates of pay for GS–16, 17,
or 18, or to maximum rates of pay under the General
Schedule, to be considered references to rates payable
under specified sections of Title 5, Government Organization and Employees, see section 529 [title I, § 101(c)(1)]
of Pub. L. 101–509, set out in a note under section 5376
of Title 5.
INITIAL APPOINTMENTS TO COMMERCIAL FISHING
INDUSTRY ADVISORY COMMITTEE
Pub. L. 100–424, § 2(b), Sept. 9, 1988, 102 Stat. 1589, provided that:
‘‘(1) TERMS OF INITIAL APPOINTMENTS.—Of the members first appointed to the Commercial Fishing Industry Advisory Committee under section 4508 of title 46,
United States Code (as amended by this Act)—
‘‘(A) one-third of the members shall serve a term of
one year and one-third of the members shall serve a
term of two years, to be determined by lot at the first
meeting of the Committee; and
‘‘(B) terms may be adjusted to coincide with the
Government’s fiscal year.
‘‘(2) COMPLETION OF INITIAL APPOINTMENTS.—The Secretary shall complete appointment of members pursuant to this subsection not later than 90 days after the
date of the enactment of this Act [Sept. 9, 1988].’’

CHAPTER 47—ABANDONMENT OF BARGES
Sec.

4701.
4702.
4703.
4704.
4705.

§ 4704

TITLE 46—SHIPPING

Definitions.
Abandonment of barge prohibited.
Penalty for unlawful abandonment of barge.
Removal of abandoned barges.
Liability of barge removal contractors.

§ 4701. Definitions
In this chapter—
(1) ‘‘abandon’’ means to moor, strand, wreck,
sink, or leave a barge of more than 100 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 unattended for longer than forty-five days.
(2) ‘‘barge removal contractor’’ means a person that enters into a contract with the
United States to remove an abandoned barge
under this chapter.
(3) ‘‘navigable waters of the United States’’
means waters of the United States, including
the territorial sea.
(4) ‘‘removal’’ or ‘‘remove’’ means relocation, sale, scrapping, or other method of disposal.
(Added Pub. L. 102–587, title V, § 5302, Nov. 4,
1992, 106 Stat. 5081; amended Pub. L. 104–324, title
VII, § 718, Oct. 19, 1996, 110 Stat. 3937.)
AMENDMENTS
1996—Par. (1). 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 ‘‘100 gross tons’’.
APPLICATION TO CERTAIN BARGES
Pub. L. 102–587, title V, § 5303, Nov. 4, 1992, 106 Stat.
5083, provided that: ‘‘Chapter 47 of title 46, United

States Code, as added by subsection (a) [section 5302],
does not apply to a barge abandoned before June 11,
1992, if the barge was removed before the date that is
1 year after the date of enactment of this title [Nov. 4,
1992].’’
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.

§ 4702. Abandonment of barge prohibited
An owner or operator of a barge may not abandon it on the navigable waters of the United
States. A barge is deemed not to be abandoned
if—
(1) it is located at a Federally- or State-approved mooring area;
(2) it is on private property with the permission of the owner of the property; or
(3) the owner or operator notifies the Secretary that the barge is not abandoned and the
location of the barge.
(Added Pub. L. 102–587, title V, § 5302, Nov. 4,
1992, 106 Stat. 5082; amended Pub. L. 109–304,
§ 15(18), Oct. 6, 2006, 120 Stat. 1703.)
AMENDMENTS
2006—Pub. L. 109–304 struck out subsec. (a) designation before ‘‘An owner’’.

§ 4703. Penalty for unlawful abandonment of
barge
Thirty days after the notification procedures
under section 4704(a)(1) are completed, the Secretary may assess a civil penalty of not more
than $1,000 for each day of the violation against
an owner or operator that violates section 4702.
A vessel with respect to which a penalty is assessed under this chapter is liable in rem for the
penalty.
(Added Pub. L. 102–587, title V, § 5302, Nov. 4,
1992, 106 Stat. 5082.)
§ 4704. Removal of abandoned barges
(a)(1) The Secretary may remove a barge that
is abandoned after complying with the following
procedures:
(A) If the identity of the owner or operator
can be determined, the Secretary shall notify
the owner or operator by certified mail—
(i) that if the barge is not removed it will
be removed at the owner’s or operator’s expense; and
(ii) of the penalty under section 4703.
(B) If the identity of the owner or operator
cannot be determined, the Secretary shall
publish an announcement in—
(i) a notice to mariners; and
(ii) an official journal of the county in
which the barge is located
that if the barge is not removed it will be removed at the owner’s or operator’s expense.
(2) The United States, and any officer or employee of the United States is not liable to an
owner or operator for damages resulting from
removal of an abandoned barge under this chapter.
(b) The owner or operator of an abandoned
barge is liable, and an abandoned barge is liable

§ 4705

TITLE 46—SHIPPING

in rem, for all expenses that the United States
incurs in removing an abandoned barge under
this chapter.
(c)(1) The Secretary may, after providing notice under subsection (a)(1), solicit by public advertisement sealed bids for the removal of an
abandoned barge.
(2) After solicitation under paragraph (1) the
Secretary may award a contract. The contract—
(A) may be subject to the condition that the
barge and all property on the barge is the
property of the barge removal contractor; and
(B) must require the barge removal contractor to submit to the Secretary a plan for the
removal.
(3) Removal of an abandoned barge may begin
thirty days after the Secretary completes the
procedures under subsection (a)(1).
(Added Pub. L. 102–587, title V, § 5302, Nov. 4,
1992, 106 Stat. 5082.)
§ 4705. Liability of barge removal contractors
(a) A barge removal contractor and its subcontractor are not liable for damages that result
from actions taken or omitted to be taken in
the course of removing a barge under this chapter.
(b) Subsection (a) does not apply—
(1) with respect to personal injury or wrongful death; or
(2) if the contractor or subcontractor is
grossly negligent or engages in willful misconduct.
(Added Pub. L. 102–587, title V, § 5302, Nov. 4,
1992, 106 Stat. 5083; amended Pub. L. 109–304,
§ 15(19), Oct. 6, 2006, 120 Stat. 1703.)
AMENDMENTS
2006—Pub. L. 109–304 in subsec. (a) struck out par. (1)
designation before ‘‘A barge removal’’ and substituted
‘‘subcontractor are not’’ for ‘‘subcontractor not’’, redesignated par. (2) as subsec. (b) and subpars. (A) and
(B) of former par. (2) as pars. (1) and (2) of subsec. (b),
respectively, and substituted ‘‘Subsection (a)’’ for
‘‘Paragraph (1)’’.

PART C—LOAD LINES OF VESSELS
HISTORICAL AND REVISION NOTES
Part C contains provisions that apply to load lines. A
load line is a mark drawn on a vessel that indicates
whether a vessel is overloaded. Load line requirements
for international voyages are based not only on domestic law but also the 1966 International Load Line Convention.

CHAPTER 51—LOAD LINES
Sec.

5101.
5102.
5103.
5104.
5105.
5106.
5107.
5108.
5109.
5110.
5111.
5112.
5113.
5114.

Definitions.
Application.
Load line requirements.
Assignment of load lines.
Load line surveys.
Load line certificate.
Delegation of authority.
Special exemptions.
Reciprocity for foreign vessels.
Submersible vessels.
Providing loading information.
Loading restrictions.
Detention of vessels.
Use of Customs Service officers and employees for enforcement.

Page 92

Sec.

[5115.
5116.

Repealed.]
Penalties.
HISTORICAL AND REVISION NOTES

Chapter 51 provides for the assignment of load lines
and issuance of load line certificates to vessels, and requires that certain classes of vessels be marked with
load lines.
AMENDMENTS
1990—Pub. L. 101–595, title VI, § 603(5)(B), Nov. 16, 1990,
104 Stat. 2993, struck out item 5115 ‘‘Regulations’’.

§ 5101. Definitions
In this chapter—
(1) ‘‘domestic voyage’’ means movement of a
vessel between places in, or subject to the jurisdiction of, the United States, except movement between—
(A) a place in a territory or possession of
the United States or the Trust Territory of
the Pacific Islands; and
(B) a place outside that territory, possession, or Trust Territory.
(2) ‘‘economic benefit of the overloading’’
means the amount obtained by multiplying
the weight of the overload (in tons) by the
lesser of—
(A) the average freight rate value of a ton
of the vessel’s cargo for the voyage; or
(B) $50.
(3) ‘‘existing vessel’’ means—
(A) a vessel on a domestic voyage, the keel
of which was laid, or that was at a similar
stage of construction, before January 1, 1986;
and
(B) a vessel on a foreign voyage, the keel
of which was laid, or that was at a similar
stage of construction, before July 21, 1968.
(4) ‘‘freeboard’’ means the distance from the
mark of the load line assigned under this
chapter to the freeboard deck.
(5) ‘‘freeboard deck’’ means the deck or
other structure the Secretary prescribes by
regulation.
(6) ‘‘minimum safe freeboard’’ means the
freeboard that the Secretary decides cannot be
reduced safely without limiting the operation
of the vessel.
(7) ‘‘weight of the overload’’ means the
amount obtained by multiplying the number
of inches that the vessel is submerged below
the applicable assigned freeboard by the tonsan-inch immersion factor for the vessel at the
assigned minimum safe freeboard.
(Pub. L. 99–509, title V, § 5101(2), Oct. 21, 1986, 100
Stat. 1913.)
HISTORICAL AND REVISION NOTES
Revised section 5101
Source: Section (U.S. Code) 46 App. U.S.C. 86a.
Section 5101 contains definitions that are limited to
Chapter 51—Load Lines. Existing Section 46 App. U.S.C.
86a (which defines only the terms ‘‘new ship’’ and ‘‘existing ship’’) will be replaced by section 5101. Definitions of technical terms (‘‘freeboard’’, ‘‘freeboard
deck’’, and ‘‘minimum safe freeboard’’) have been added
for clarity. The definition of the term ‘‘new ship’’ has
been deleted because the term is not used in Chapter 51.
The definition of ‘‘domestic voyage’’ includes the