1625-0061 Stat/Authority

Page 91

§ 4302

TITLE 46—SHIPPING

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.
Editorial Notes
AMENDMENTS
2021—Pub. L. 116–283, div. G, title LVXXXIII
[LXXXIII], § 8318(b), Jan. 1, 2021, 134 Stat. 4700, substituted ‘‘Exemptions and equivalents’’ for ‘‘Exemptions’’ in item 4305.
2018—Pub. L. 115–282, title V, § 503(b), Dec. 4, 2018, 132
Stat. 4271, added item 4312.

§ 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
4301 ..............................................

Source section (U.S. Code)
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.
Editorial Notes
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’’.
Statutory Notes and Related Subsidiaries
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

§ 4302

TITLE 46—SHIPPING

Secretary considers appropriate in relation to
the degree of hazard that the compliance will
correct; and
(4) consult with the National Boating Safety
Advisory Committee established under section
15105 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 demonstrations 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.
(e)(1) Under this section, a model year for recreational vessels and associated equipment
shall, except as provided in paragraph (2)—
(A) begin on June 1 of a year and end on July
31 of the following year; and
(B) be designated by the year in which it
ends.
(2) Upon the request of a recreational vessel
manufacturer to which this chapter applies, the
Secretary may alter a model year for a model of
recreational vessel of the manufacturer and associated equipment, by no more than 6 months
from the model year described in paragraph (1).
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 530; Pub. L.
114–120, title III, § 303(a), Feb. 8, 2016, 130 Stat. 53;
Pub. L. 115–282, title VI, § 601(c)(4)(B)(i), Dec. 4,
2018, 132 Stat. 4290.)
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.

Page 92
Editorial Notes
AMENDMENTS

2018—Subsec. (c)(4). Pub. L. 115–282 substituted ‘‘Committee established under section 15105 of this title’’ for
‘‘Council established under section 13110 of this title’’.
2016—Subsec. (e). Pub. L. 114–120 added subsec. (e).
Statutory Notes and Related Subsidiaries
EFFECTIVE DATE OF 2016 AMENDMENT
Pub. L. 114–120, title III, § 303(b), Feb. 8, 2016, 130 Stat.
53, provided that: ‘‘This section [amending this section]
shall only apply with respect to recreational vessels
and associated equipment constructed or manufactured, respectively, on or after the date of enactment of
this Act [Feb. 8, 2016].’’
REQUIREMENTS;
EXEMPTION
FROM
EQUIPMENT
THROWABLE PERSONAL FLOTATION DEVICES REQUIREMENT

Pub. L. 115–282, title VIII, § 827, Dec. 4, 2018, 132 Stat.
4314, provided that: ‘‘Not later than one year after the
date of enactment of this Act [Dec. 4, 2018], the Secretary of the department in which the Coast Guard is
operating shall—
‘‘(1) prescribe regulations in part 160 of title 46,
Code of Federal Regulations, that treat a marine
throw bag, as that term is commonly used in the
commercial whitewater rafting industry, as a type of
lifesaving equipment; and
‘‘(2) revise section 175.17 of title 33, Code of Federal
Regulations, to exempt rafts that are 16 feet or more
overall in length from the requirement to carry an
additional throwable personal flotation device when
such a marine throw bag is onboard and accessible.’’
VISUAL DISTRESS SIGNALS AND ALTERNATIVE USE
Pub. L. 115–282, title VIII, § 828, Dec. 4, 2018, 132 Stat.
4314, provided that:
‘‘(a) IN GENERAL.—The Secretary of the department
in which the Coast Guard is operating shall develop a
performance standard for the alternative use and possession of visual distress alerting and locating signals
as mandated by carriage requirements for recreational
boats in subpart C of part 175 of title 33, Code of Federal Regulations.
‘‘(b) REGULATIONS.—Not later than 180 days after the
performance standard for alternative use and possession of visual distress alerting and locating signals is
finalized, the Secretary shall revise part 175 of title 33,
Code of Federal Regulations, to allow for carriage of
such alternative signal devices.’’
LARGE RECREATIONAL VESSEL REGULATIONS
Pub. L. 115–232, div. C, title XXXV, § 3529(a), Aug. 13,
2018, 132 Stat. 2318, provided that:
‘‘(a) IN GENERAL.—
‘‘(1) ISSUANCE.—The Secretary of the department in
which the Coast Guard is operating shall issue large
recreational vessel regulations applicable to any recreational vessel (as defined in section 2101 of title 46,
United States Code) over 300 gross tons as measured
under section 14502 of such title, or an alternate tonnage measured under section 14302 of such title as
prescribed by the Secretary under section 14104 of
such title, that does not carry any cargo or passengers for hire.
‘‘(2) SCOPE AND CONTENT OF REGULATIONS.—The regulations issued under this subsection—
‘‘(A) subject to subparagraph (B), shall be comparable to the code set forth in Merchant Shipping
Notice 1851(M) (commonly referred to as the ‘Large
Commercial Yacht Code (LY3)’), as published by the
Maritime and Coastguard Agency of the United
Kingdom on August 20, 2013, or an equivalent code,
regulation, or standard that is acceptable to the
Secretary; and

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‘‘(B) shall require that, as part of the review of an
application for documentation of a vessel that is
subject to the regulations, the owner shall disclose
to the Coast Guard—
‘‘(i) the identification and place of residence of
such owner; and
‘‘(ii) if the owner is an entity described in paragraph (2), (3), or (4) of section 12103(b) of title 46,
United States Code, the beneficial owners of such
entity.
‘‘(3) DEADLINE.—The Secretary shall issue regulations required by paragraph (1) by not later than one
year after the date of the enactment of this Act [Aug.
13, 2018].
‘‘(4) INTERIM COMPLIANCE.—Until the effective date
of regulations issued under paragraph (1), a recreational vessel described in paragraph (1) shall not
be subject to inspection under section 3301(7) of title
46, United States Code, if the Secretary determines,
as part of the review of the application for documentation submitted for the vessel by the owner of
the vessel and other materials as considered necessary by the Secretary, that the vessel complies
with the code set forth in Merchant Shipping Notice
1851(M) (commonly referred to as the ‘Large Commercial Yacht Code (LY3)’), as published by the Maritime
and Coastguard Agency of the United Kingdom on
August 20, 2013, or an equivalent code, regulation, or
standard that is acceptable to the Secretary.
‘‘(5) DEFINITIONS.—
‘‘(A) BENEFICIAL OWNER.—In this subsection the
term ‘beneficial owner’—
‘‘(i) means, with respect to an entity, each natural person who, directly or indirectly—
‘‘(I) exercises control over the entity through
ownership interests, voting rights, agreements,
or otherwise; or
‘‘(II) has an interest in or receives substantial
economic benefits from the assets of the entity;
and
‘‘(ii) does not include, with respect to an entity—
‘‘(I) a minor child;
‘‘(II) a person acting as a nominee, intermediary, custodian, or agent on behalf of another person;
‘‘(III) a person acting solely as an employee of
the entity and whose control over or economic
benefits from the entity derives solely from the
employment status of the person;
‘‘(IV) a person whose only interest in the entity is through a right of inheritance, unless the
person otherwise meets the definition of ‘beneficial owner’ under this subparagraph; and
‘‘(V) a creditor of the entity, unless the creditor otherwise meets the requirements of ‘beneficial owner’ under this subparagraph.
‘‘(B) OWNER.—In this subsection, other than in
subparagraph (A) of this paragraph, the term
‘owner’ means the person who is the eligible owner
of the vessel for purposes of section 12103(b) of title
46, United States Code.’’
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 con-

tribution 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
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 im-