Figure 2-01 The U.S. Coast Guard has vessels from small craft to ocean-going ships for the enforcement of federal maritime laws and regulations. State and local governments may also have their own law-enforcement craft. Concurrent jurisdiction exists in most areas.
Federal Jurisdiction • Requirements for Boat Registration or Documentation • Legal Responsibilities Involved in Chartering, Commercial Operations & International Voyaging
Boating laws and regulations can be divided into three main categories. The first deals with boat ownership: registration, numbering, and documentation, all covered in this chapter. The second category is legislation relating to equipment requirements and standards, as discussed in Chapter 3. The third category is the legal requirements for safe operation, known as the Navigation Rules (also called the Rules of the Road), as detailed in Chapters 4 and 5. Regulations relating to radio operation are found in Chapter 20.
A simple comparison can be made between recreational boating and the operation of motor vehicles, an activity that is so much a part of our everyday lives. Whereas motor vehicle laws first concentrated on operation, with legal requirements for safety features a more recent development, much of the early boating legislation, other than the Navigation Rules, was specifically aimed at equipment requirements.
For many decades states have required the operators of highway vehicles to have drivers licenses. While licenses are not usually required to operate a boat, increasing numbers of states are requiring that boaters must have taken and passed a state-approved boating safety course. Mandatory education is usually phased-in over a period of years.
FEDERAL JURISDICTION
This book will concentrate on federal boating laws and regulations rather than state and local ordinances, rules, etc., due to the wider application of the federal laws. State and municipal regulations will be touched on later in this chapter, but only in broad terms because of the variations between different jurisdictions. You must familiarize yourself with the local requirements and restrictions for the waters that you use at home or when out cruising.
An understanding of federal jurisdiction over navigable waters is essential for all boaters; see Figure 2-01. Federal jurisdiction covers the applicability of federal laws and regulations with establishment of aids to navigation by the U.S. Coast Guard, and charting by the National Ocean Service or Army Corps of Engineers. That jurisdiction does not deprive state and local authorities of their rights to regulate aspects of waterways use that do not conflict with federal laws or regulations—local rules might relate to speed limits, restrictions on water skiing, etc. Many state boating laws also require safety equipment beyond that called for by acts of Congress and Coast Guard regulations.
Limits of Federal Jurisdiction
There are several terms that are used in Federal laws and regulations covering their geographic applicability. Unfortunately, specific terms are not always logical or clear to the average reader, and some have different limits for the same term. The discussion that follows is basic and general in nature; it should not be considered the final word in all cases. Full details in legalistic language will be found in Title 33, Part 2 of the United States Code and Title 33 of the Code of Federal Regulations.
The starting point is the TERRITORIAL SEA BASELINE. This is the line that defines the shore-ward extent of the territorial sea of the United States. Normally, this baseline is the mean lowwater line along the coast of the U.S. As will be seen below, this baseline is fundamental to the description of several offshore zones.
The TERRITORIAL SEA of the United Sates consists of the waters, 12 nautical miles wide, adjacent to the coast of the U.S. and seaward of the territorial sea baseline. This basic definition, however, has some exceptions for regulations that define the territorial sea as extending only 3 miles seaward from the baseline. (It should be noted that other nations may define their territorial seas differently.)
The term INTERNAL WATERS of the United States means the waters shoreward of the territorial sea baseline. The term INLAND WATERS, used in some laws and regulations, has the same definition.
Figure 2-02 At entrances from the sea to rivers, bays, and similar water bodies, as well as along some stretches of shoreline, boundary lines have been established to mark the transition from International Navigation Rules to the Inland Rules. These are shown in magenta on charts as COLREGS demarcation lines.
For the purposes of the Federal Water Pollution Control Act, the CONTIGUOUS ZONE means a zone 9 nautical miles wide extending from 3 miles out from the territorial seas baseline to 12 miles out. For all other purposes, the contiguous zone is defined as all the waters within the area adjacent to and seaward of the territorial sea (as defined above) extending out to 24 nautical miles from the territorial sea baseline. Note however, that the U.S. contiguous zone does not extend into the territorial sea of another nation.
The U.S. EXCLUSIVE ECONOMIC ZONE (EEZ) includes the waters seaward of and adjacent to the territorial sea, including the contiguous zone, extending 200 nautical miles from the territorial sea baseline, except where otherwise limited by treaty or other international agreement recognized by the United States.
For some purposes, the term HIGH SEAS is used. This has several definitions, but generally can be considered as the Great Lakes and all waters seaward of the territorial sea.
The phraseology WATERS SUBJECT TO TIDAL INFLUENCE and WATERS SUBJECT TO THE EBB AND FLOW OF THE TIDE appear in some laws and regulations. These are waters below mean high water as determined over a long-term tidal cycle; it does not mean high water resulting from storms, floods, etc.
The terms NAVIGABLE WATERS OF THE UNITED STATES, NAVIGABLE WATERS, and TERRITORIAL WATERS are also used in laws and regulations. In general, these terms apply to: (1) the territorial sea of the United States; (2) internal waters of the U.S. that are subject to tidal influence; and (3) internal waters that are not subject to tidal influence but are or have been used for substantial interstate or international commerce. Examples of the last category include major river systems, such as the Mississippi, Missouri, Ohio, and Tennessee rivers; and major lakes that border more than one state, such as Lake Mead between Nevada and Arizona and Lake Champlain between New York and Vermont.
WATERS SUBJECT TO THE JURISDICTION OF THE UNITED STATES and WATERS OVER WHICH THE UNITED STATES HAS JURISDICTION are terms that will be found in laws and regulations. These include the navigable waters of the United States (as defined above) and other waters specifically spelled out, such as waters on lands for which the United States has acquired title and waters made subject to U.S. jurisdiction by international agreement.
Demarcation Lines for Navigation Rules Of special interest to boaters are the lines that separate waters governed by the International Navigation Rules from those subject to the U.S. Inland Rules (see Chapters 4 and 5). When the 1972 International Rules—termed “72 COLREGS ” by the Coast Guard as a contraction of their formal name, International Regulations for Preventing Collisions at Sea, 1972—came into effect, “demarcation lines” separating international and inland waters were established. In establishing these, it was found neither desirable nor practical to have an overall general line. Individual lines are defined instead, where practicable, by physical objects like fixed aids to navigation or prominent points on land, because such are readily discernible by eye rather than by instrument. The demarcation lines are set to be as short and direct as feasible, and as perpendicular as possible to vessel traffic flow. The general trend is from headland to headland, with highly visible objects used to define the line clearly. But sometimes the line is farther inland than would be expected, and whole bays, harbors, and inlets are subject to the International Rules. A boater must at all times know which set of Navigation Rules govern the waters he is in. The demarcation lines are defined in detail in the U.S. Coast Guard's Navigation Rules and Regulations Handbook (see Figure 2-02), which superseded in 2014 the Navigation Rules, International – Inland (COMDTINST M16672.2).
FEDERAL LAWS & REGULATIONS
All boating and shipping is subject to laws and regulations. The former consists of acts of Congress that provide basic policies and rules upon which more specific and detailed regulations may be based. Regulations have the advantage of flexibility because they can be created, modified, or revoked more easily than laws, whose changes are subject to the full legislative process; see Figure 2-03.
Figure 2-03 Among the various laws and regulations relating to boating are the Navigation Rules. The U.S. Coast Guard publication above contains the official text of both the International and the Inland Rules, plus other regulations. The U.S. Inland Rules require that a copy of the Navigation Rules be on board all self-propelled vessels 12 meters (39.4 ft.) or more in length.
U.S. Coast Guard Regulations
Most federal boating regulations are issued by the United States Coast Guard under authority given by Congress to the “Secretary of the Department in which the Coast Guard is operating.” This rather cumbersome wording is necessary because federal law permits the transfer of this armed service from its present peacetime Department (Homeland Security) to its wartime Department (Navy). The authority given by the U.S. Congress to the Department Secretary is, in most instances, routinely delegated to the Commandant of the Coast Guard.
Coast Guard regulations cover a wide variety of matters including boat equipment and operation, lights for vessels, aids to navigation, inland waters demarcation lines mentioned earlier, and other topics; see Figure 2-04.
For technical questions regarding regulations, and information not usually available from local Coast Guard district offices, the U.S. Coast Guard maintains an online boating safety resource center at www.uscgboating.org. Direct access to federal regulations, federal laws, state boating laws, navigation rules, Federal Register, and Boatbuilder’s Handbook is available from that same website’s home page. The home page for the U.S. Coast Guard itself is www.uscg.mil.
Figure 2-04 Federal requirements for recreational boats are covered in the free U.S. Coast Guard brochure shown above. It also contains many suggestions for safer boating, plus addresses where additional information may be obtained.
Other Regulatory Agencies
Boaters on some waters will also be affected by regulations issued by other federal agencies such as the U.S. Army Corps of Engineers and the National Park Service (see Chapter 22, Inland Boating). The operation of radio and radar transmitters on boats on all waters is subject to the rules and regulations of the Federal Communications Commission (FCC) as explained in Chapter 20.
Federal Boat Safety Act of 1971
The Federal Boat Safety Act of 1971 (FBSA/71) authorizes the “Secretary” to establish minimum safety standards for boats and “associated equipment,” provides for numbering of all undocumented vessels equipped with propulsion machinery, directs that a “Boating Safety Advisory Council” be established, and authorizes financial assistance to the states for boating safety programs.
Definition of Terms
The FBSA/71 definitions, modified by the Passenger Vessel Safety Act of 1993 (PVSA/93), must be clearly understood, as they directly affect its applicability.
In this act, the word “vessel” includes every description of watercraft, other than a seaplane, that can be used as a means of transportation on the water; see Figure 2-05. The term “boat” is limited to the following categories of vessels:
• Those manufactured or used primarily for noncommercial use.
• Those leased, rented, or chartered to another for the latter’s noncommercial use.
• Those engaged in the carrying of six or fewer passengers for hire.
Figure 2-05 All personal watercraft (PWCs) are considered to be “boats” or “vessels” and are subject to all laws and regulations covering such craft.
The distinction between “vessels” and “boats” is necessary because certain sections of the FBSA/71 (notably those dealing with safety standards and equipment) pertain only to the category called “boats.” Other sections (those dealing with numbering) pertain to a broader category—all undocumented vessels equipped with propulsion machinery. Still other provisions (the prohibition of negligent operation) pertain to all vessels. Note that there is no upper size limit in the definition of “boat” as used in the FBSA/71.
Despite its general aim toward regulating noncommercial boats and boating, craft carrying six or fewer passengers for hire (see the “passengers for hire” definition) are included, because these are not covered by the laws for vessels carrying more than six passengers for hire. Livery and charter boats are included in the FBSA/71 because their operation is closely akin to noncommercial recreational use even though they are a part of a commercial enterprise.
The term “associated equipment” means:
• Any system, part, or component of a boat as originally manufactured or as sold for replacement, repair, or improvement of a boat.
• Any accessory or equipment for, or appurtenance to, a boat.
• Any marine safety article, accessory, or equipment intended for use by a person on a boat.
The word “State” means a state of the United States, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the District of Columbia.
Applicability
The FBSA/71 applies to vessels and associated equipment used, or to be used, or carried on vessels on waters subject to the jurisdiction of the United States. This act also applies to every vessel owned in a “State” and used on the high seas—used on the waters beyond the territorial jurisdiction of the United States.
Certain limited categories of vessels are excluded from coverage by the FBSA/71; these include foreign vessels, military or public vessels of the United States (except for recreational-type craft, which are included), vessels owned by a state or political subdivision thereof and used primarily for governmental purposes, and ships’ lifeboats.
Figure 2-06 Although it is not a U.S. federal requirement, in some states sailboats without mechanical power must be registered. All boats, including this sailboat, are subject to U.S. Coast Guard requirements for equipment such as life jackets.
Regulations
Although the Motorboat Act of 1940 (MBA/40) is no longer generally applicable to the “boats” of the 1971 act, the Coast Guard regulations that implemented the MBA/40 are retained and will remain in effect until replaced. The MBA/40 also remains in effect for commercial craft, such as fishing boats, less than 65 feet (19.8 m) in length.
Classes of Boats
For the purpose of applying graduated requirements for equipment as the size of the craft increases, the MBA/40 divides all motorboats into four “classes” based on length. This is “length overall” (LOA) as measured in a straight line parallel to the keel from the foremost part of the vessel to the aftermost part, excluding sheer and excluding bowsprits, boomkins, rudders abaft the transom, outboard motor brackets, etc. (refer to “Orienting Yourself on Board”).
Class A | less than 16 feet (4.9 m) in length |
Class 1 | 16 feet and over, but less than 26 feet (7.9 m) in length |
Class 2 | 26 feet and over, but less than 40 feet (12.2 m) in length |
Class 3 | 40 feet and over, but not more than 65 feet (19.8 m) |
Note: As mentioned, regulations derived from the authority of the FBSA/71 have no upper limit of length. A number of FBSA/71 requirements use a 20 foot (6.1 m) length as a cutoff limit.
Required Equipment
The regulations of the MBA/40, applicable until superseded by new rules, contain provisions for required equipment, including personal flotation devices, fire extinguishers, and other items (see Chapter 3). It is specifically stated in the FBSA/71 that regulations will be issued covering items not now required on board, such as ground tackle and navigation equipment, but this has not yet been done. Any such new requirements will not become effective without considerable study and wide publicity.
Numbering of Boats
The FBSA/71 provides a system of boat numbering that is uniform throughout the United States, although the act directs the actual process of issuing certificates and number assignments to be done individually by the states.
The FBSA/71 establishes broad standards for the numbering of vessels and provides for the issuance of more detailed regulations by the “Secretary.” The individual states prepare their boat-numbering laws and regulations in accordance with federal standards and then submit them to the Secretary for approval. The Secretary can later withdraw approval if the state does not administer its system in accordance with the federal requirements.
Vessels Subject to Numbering The FBSA/71 requires the numbering of all vessels used on waters subject to federal jurisdiction, or on the high seas if owned in the U.S., that are equipped with propulsion machinery regardless of horsepower. Exempted are foreign boats temporarily in U.S. waters, documented vessels, ships’ lifeboats, and governmental vessels other than recreational-type craft. (States may require the registration of documented boats, and the payment of fees, even though they are not numbered.)
A state numbering system may require the numbering of other craft (sailboats, rowboats, etc.) unless prohibited by federal legislation; see Figure 2-06. States may exempt craft used solely for racing.
Special provisions are made for tenders (dinghies) carried on board for other than lifesaving purposes.
“State of Principal Use” The FBSA/71 requires that a boat have a number obtained from “the State in which the vessel is principally used.” (Documented vessels are not required to display the state number on the hull.) This has been interpreted literally—where the boat is most often used on the water; i.e., not necessarily the state where the owner lives, nor the state in which the boat might customarily be set on its trailer. The term “used” is taken as meaning the time that the vessel is “on” the navigable waters of the United States, whether in motion, at anchor, at a mooring, or in a slip; see Figure 2-07.
Figure 2-07 A boat must be registered and numbered in its “state of principal use” even though this is not the state of the owner’s residence nor even that of where the boat may be stored on its trailer when out of the water (dry-docked).
Certificate of Number The identification number issued for a vessel is shown on a CERTIFICATE OF NUMBER. This certificate must be on board whenever the vessel is in use (with exceptions for small rental boats). The FBSA/71 specifies that a Certificate of Number must be of “pocket size”; see Figure 2-08. Any person using a boat must present its certificate for inspection at the request of any law enforcement officer.
Figure 2-08 The state-issued Certificate of Number must be on board whenever a boat is in use (except for small rental craft).
Federal law states that a certificate may not be valid for more than three years; many states issue registrations for shorter periods. All certificates may, of course, be renewed at or prior to expiration date.
Numbering Systems The specific details of boat-numbering are covered in Coast Guard regulations. The number pattern has two parts: a two-letter symbol identifying the state of principal use and a combination of numerals and letters for individual identification. For most states, the two-letter abbreviation is the same as that used by the U.S. Postal Service; in a few states, it is different.
The individual identification consists of not more than four Arabic numerals and two capital letters, or not more than three such numerals and three such letters; fewer numbers or letters may be used. The letters “I,” “O,” and “Q” are not used because they can be mistaken for the numerals “1” and “0.”
Numbers for Dinghies A state has the option of exempting dinghies from the numbering regulation. In such states, if used with a numbered vessel, a dinghy equipped with a motor of less than 10 horsepower need not be individually registered and numbered if it is “used as a tender for direct transportation between that vessel and the shore and has no other purpose.” The dinghy must display the number of the parent boat followed by the suffix “1” separated from the last letter by a space or hyphen as used in the basic number; for example, DC -4567-ED -1 or DC 4567 ED 1.
A dinghy used with a vessel not having a number, such as a documented boat, must be registered and have its own number as for any other boat if it is propelled by a motor of any horsepower.
Size & Style of Numbers The regulations require that boat numbers be clearly legible, and also contain specifications for style and size. The letters and numerals must be plain (no border or trim) vertical block characters not less than three inches in height. They must not be slanting or script style; see Figure 2-09. The numbers and letters should all be of the same color.
Figure 2-09 The correct style and spacing of registration numbers is shown at left above. Letters and numbers without spacing and use of italics or script characters (above) are incorrect and unacceptable.
Contrast Numbers must provide good contrast with their background—black on white or white on black best meets this requirement. A backing or mounting plate may be used but must be of sufficient size to provide good contrast for the numbers, and thus good legibility, without regard to the hull color.
Display of Numbers The identification number must be painted on, or attached to, each side of the forward half of the vessel, and no other number may be displayed there. (This does not apply to serial numbers on small validation stickers that some states issue to note payment of current fees.) In most cases the numbers are quite near the bow, but since they need be displayed only on the boat’s “forward half” it is sensible, on boats with considerable bow flare, to place the numbers far enough aft to be on a more nearly vertical surface and thus more visible; see Figure 2-10. Inflatable boats may be marked using flexible vinyl or rubber numbers or by adhering the markings to demountable plastic plates.
Figure 2-10 A common misconception is that registration numbers must be at or close to the bow of a boat. The legal requirement is only that they be on the forward half of the boat. Subject to this limitation, they should be placed far enough aft to ensure easy readability.
Numbers are placed on a boat so as to read from left to right on both sides of the bow. They may be on the hull or on a permanent superstructure. The digits between the two sets of letters in the total number must be separated from those letters by hyphens or spaces. The hyphen or blank space must be equal to the width of any letter other than “I” or any numeral other than “1”; refer to Figure 2-09.
Identification numbers must be maintained properly to ensure legibility at all times.
Names or insignia may be displayed on the bow of a boat, but they must not detract from the legibility of the registration numbers. Only one set of numbers may be displayed at any time. If a boat is transferred to a new state, the old numbers must be removed.
Applications & Renewals The addresses of state boat registration offices can be found on the various state government websites.
The same numbers are reassigned for each registration period by a regular renewal certificate. Upon transfer of ownership, if the boat continues in the same state of principal use, the old numbers stay on the craft and are assigned to the new owner.
Numbers may not be transferred from one boat to another, except for special dealers’ and manufacturers’ numbers issued for demonstrating, transporting, or testing boats.
Fees Under the FBSA/71, states may set their own fees for registering and numbering boats. Fees vary widely from state to state—in some jurisdictions they merely cover the cost of administering the numbering program; in others they are sources of revenue for the state.
The 1971 law specifically provides that a state may require proof of payment of state and local sales, use, and excise taxes before issuing a Certificate of Number. Withholding certification on any other grounds is not authorized, except that a title or proof of ownership may be required.
Reciprocity When a vessel is numbered in its state of principal use, it is considered as in compliance with the numbering system of any state in which it is temporarily used. There is no specific time limit stated in the federal law if such use is truly “temporary”; states often set their own time limits. This is of considerable advantage to boaters who may cruise or trailer their craft to other state waters for vacation.
When a vessel is taken to a new state of principal use, that state must recognize the validity of its number for at least 60 days before requiring new registration.
Notification of Changes If a boat is destroyed, or abandoned, or sold, or used for more than 60 days in a state other than the one that issued its certificate, or if it is documented, a report must be made to the issuing office within 15 days. The boat’s certificate becomes invalid and must be surrendered, and its numbers (and any validation stickers) must be removed. A report must also be made if the boat is stolen and when recovered after having been stolen.
An owner’s change of address must be reported to the issuing office within 15 days. A change of motor need not be reported.
Hull Identification Number
Every boat manufactured in the U.S. (or imported) must have a HULL IDENTIFICATION NUMBER (HIN). This currently consists of twelve characters, the first three of which are letters identifying the builder. Then follows a five-character serial number (which may contain letters), a letter and a number indicating the month and year of manufacture, and finally two digits indicating the model year.
The HIN must be on the starboard side of the transom, plus a hidden location within the hull.
Termination of Unsafe Use
The FBSA/71 also includes a provision that is unique to the general concept of boating laws and regulations: Termination of Unsafe Use. If a U.S. Coast Guard boarding officer observes a boat being used without sufficient lifesaving or fire-fighting devices, or in an overloaded or otherwise unsafe condition as defined in regulations, he may direct the operator to take immediate and reasonable steps necessary for the safety of those on board the vessel. This order may include directing the operator to return to shore or his mooring and remain there until the hazardous situation is corrected. Failure to comply with an order to terminate unsafe use of a vessel can result in arrest.
Federal regulations also designate certain portions of the Washington-Oregon coast as “regulated boating areas.” When wave heights or surface currents exceed set limits, conditions are considered “unsafe,” and under the Unsafe Use provision the Coast Guard may terminate boating in that area.
The Coast Guard may also forbid use of a boat that is “manifestly unsafe for a specific voyage on a specific body of water.” This covers unsuitable design, improper construction or condition, or improper or inadequate operational or safety equipment.
Negligent Operation
The FBSA/71 states “no person may use any vessel in a negligent manner so as to endanger the life, limb, or property of any person.” Foreign vessels, governmental vessels, and other craft normally excluded from coverage under this act are not exempted from the prohibition against negligent operations.
The endangerment of “any person” includes the operator of the vessel; no other person need be involved.
Boating Accidents
Sometimes of course, despite the best of care, boating accidents do occur. They may involve only a single boat, or two or more vessels. In all cases, skippers incur obligations at the scene and afterward.
Duties in Case of Accident In case of collision, accident, or other casualty involving a vessel subject to the FBSA/71 (as well as such otherwise exempted vessels as foreign or governmental craft), the operator must, to the extent that he can without serious danger to his vessel or those on board, render necessary and practical assistance to other persons endangered by the incident. The operator must also give his name and address, and the identification of his vessel, to any person injured and to the owner of any property damaged.
The duties described here apply whether or not the incident resulted from apparent negligence. They also do not preclude any other duties required by law or regulation.
Figure 2-11 Boating accidents must be reported if they involve death or personal injuries or physical damage that exceed specified limits. Accidents must be reported even if only one craft is involved. In most states, reports are made to state authorities rather than to the Coast Guard.
“Good Samaritan” Provision Any person who complies with the accident duties described above, or any other person who gratuitously and in good faith renders assistance at the scene of an accident or other boating casualty without the objection of any person being assisted, is protected by a provision of the FBSA/71. He cannot be held liable for any civil damages as a result of rendering assistance or for any act or omission in providing or arranging salvage, towage, medical treatment, or other assistance when he acts as an ordinary, reasonably prudent person would have under the same or similar circumstances.
Accident Reporting In case of collision, accident, or other casualty involving a vessel subject to the FBSA/71, the operator must make a report under certain circumstances. A report is required if the incident results in death, an injury requiring medical treatment beyond first aid, or the disappearance of a person from a vessel under circumstances that indicate death or injury. A report is also required if there is damage to vessels and other property that totals $2,000 or more, or complete loss of any vessel; see Figure 2-11.
If death occurs within 24 hours of the accident, or a person has a reportable injury or disappears from the boat, a formal report must be made within 48 hours; otherwise, within 10 days.
Most state boating laws require that reports of boating accidents be made to a designated state office or official. If, however, there is no state provision for reporting such incidents, a report must be made to the U.S. Coast Guard Officer in Charge, Marine Inspection, nearest the site of the accident.
U.S. Coast Guard regulations on accident reporting list the information that must be furnished. The Boating Accident Report—CG -3865—may be used in reports to the Coast Guard. States normally use this form or one of their own patterned after it; see Figure 2-12.
Reporting requirements and forms are different for boats in commercial operation.
Figure 2-12 Use of a standard official form ensures that an accident report contains all the required information.
Accident Statistics The FBSA/71 also provides that as a part of an approved state registering and numbering system there shall be a casualty reporting plan in accordance with regulations issued by the Secretary. Detailed procedures for recording, compiling, and forwarding statistics are set forth in Coast Guard regulations.
National Statistics The Coast Guard is in turn charged with the responsibility of combining state reports with its own, to form annual national statistics on the number of registered boats by classes; accidents by type, cause, surrounding circumstances, etc; and other related data.
Privacy of Information Information about the identity and ownership of vessels numbered under the act is made available to federal and local officials as needed in any enforcement or assistance program.
In general, files relating to boat numbering are considered “public records,” and information from them may be released to anyone, subject only to reasonable restrictions necessary to carry on the work of the records office.
On the other hand, individual “Boating Accident Reports” or extracts therefrom are not releasable. These are intended only to assist the Coast Guard in determining the cause of accidents and making recommendations for their prevention, and compiling appropriate statistics. The privacy of accident reports permits the filing of full and accurate reports without the contents being used against an individual in civil suits.
Safety Standards The FBSA/71 authorizes minimum safety standards for “boats” and “associated equipment.” Each standard must be reasonable, must meet the need for boating safety, and must be stated, insofar as practicable, in terms of performance. Under the act’s provisions, it is the responsibility of the manufacturer that all equipment on the boat when delivered meets any and all applicable safety standards of that date.
Penalties
The FBSA/71 provides for both civil and criminal penalties for violations of its provisions. It allows for variable penalties to meet situations of different degrees of seriousness, and provides for a flexible system of assessment and collection.
Civil Penalties A basic civil penalty of not more than $1,000 may be assessed for any violation of the FBSA/71 or any regulation issued thereunder. If the violation involves a vessel, that vessel may be liable and may be proceeded against in the U.S. federal courts. A civil penalty of not more than $200 may be assessed by administrative action; no trial is required, but procedures are established for appeals.
Criminal Penalties Any person who willfully uses a vessel in violation of the FBSA/71 or any regulation issued thereunder may be tried in court and fined up to $5,000 or imprisoned for not more than one year, or both. A person who uses a boat in a “grossly” negligent manner is subject to the criminal penalties in addition to any civil penalties. (“Simple” negligence is subject to civil penalties only.)
Penalty for Failure to Give Aid The person in charge of a vessel in a collision has duties to the other vessel and those aboard her. A skipper who fails to meet these responsibilities, without reasonable cause, may be found guilty of a misdemeanor and subjected to a fine of $1,000 or imprisonment for not more than two years, or both. The vessel may be proceeded against in federal court, with the penalty assessed being divided equally between any informer and the United States.
Penalty for Operation While Intoxicated Federal law now prescribes both civil and criminal penalties for operating a vessel while intoxicated. The civil penalty can be as much as $1,000. If one is tried in court and convicted, the penalty can be a fine of up to $5,000 or one year in prison, or both. Intoxication includes both alcohol and drug abuse.
Many states have also adopted specific laws and penalties for operating a boat while “under the influence.” State penalties could include arrest, fines, and/or loss of motor vehicle driving privileges.
Written Warnings Coast Guard boarding officers may issue a written warning, intended to be educational rather than punitive, for certain minor violations of boating regulations. Citations, not written warnings, are issued for any violation involving danger to the occupants of a craft or when three or more violations of any type are found in a single boarding.
Written warnings are issued only for the first offense of any year; subsequent offenses are subject to more severe penalties. Appeal procedures are provided.
National Boating Safety Advisory Council
The FBSA/71 established the NATIONAL BOATING SAFETY ADVISORY COUNCIL (NB SAC) of 21 members, each of whom is expected to have special knowledge and experience in boating safety. The council consists equally of representatives from state and local governments, boat and associated equipment manufacturers, and boating organizations and the general public. All boating safety standards and other major safety matters are referred to the National Boating Safety Advisory Council before being issued.
HOMELAND SECURITY
For many decades, boaters have been using waters that included prohibited or restricted areas. These have included waters such as CABLE AREAS and PIPELINE AREAS where navigation was not restricted, but certain actions, such as anchoring, were prohibited. There were also DANGER AREAS, including waters where bombing or naval gunfire targets were located, and RESTRICTED or PROHIBITED AREAS, generally established for the security of naval or other government facilities and property. Areas such as these might have full-time designation or be in effect only when announced specific activities are taking place. These are described in the various volumes of the Coast Pilot (refer to Chapter 15,) and are shown on the appropriate nautical charts, although without the details that are included in the Coast Pilot descriptions. Enforcement in many areas tended to be less than strict.
As an aftermath of the terrorist attacks of 11 September 2001, a considerable number of new security areas and restrictions came into existence, and the number increases almost daily. To avoid getting into trouble with security authorities, it is imperative for every boater to know and comply with all restrictions on the waters on which he operates—enforcement is likely to be very active and strict.
Security & Protection Zones
SECURITY ZONES are established around various onshore activities that might be a target for terrorist attack, typically all or a portion of a harbor or port, a major military or governmental facility, or a nuclear power plant. TEMPORARY MOVING SECURITY ZONES may be established around cruise ships, vessels carrying “cargoes of particular interest,” typically those carrying hazardous liquids or gases, and other special vessels, usually when such vessels are entering port. TEMPORARY FIXED SECURITY ZONES are activated around these ships while they are berthed in port. NAVAL PROTECTION ZONES are always in effect around U.S. naval ships whether underway or in port—no entry within 100 yards, slow speed within 500 yards. Contact patrolling enforcement craft on VHF Channel 16 if you feel that you have to travel closer to the protected vessel, but do so before entering the restricted area.
Other Restricted Areas
Restricted areas with other names may be established where warranted. Restricted areas are established by the U.S. Coast Guard Captain of the Port for that vicinity in terms of specific geographic boundaries. In all cases, they are announced in the daily Federal Register. Sometimes there will be a preliminary notice of intent to establish such a zone, with a final rule and an effective date following later. At other times, the restrictions will be immediate. Changes may be made after initial establishment, and, in some few cases, restricted zones may be canceled.
Safety Zones
Temporary SAFETY ZONES established for regattas, boat races, fireworks displays, etc., are distinct from the security actions described above, but boaters must be aware of these also and obey all restrictions.
Marine Sanctuaries
Although not ordinarily matters of national security, NATIONAL MARINE SANCTUARIES are another type of water area having special operating rules and exclusion zones.
Regattas & Marine Parades
The Coast Guard has established a set of regulations for regattas and marine parades. In some areas the authority to regulate such events has been passed on to state authorities, but with the same general requirements and procedures.
The term “regattas and marine parades” includes all organized water events of limited duration conducted on a prearranged schedule; this covers races of all types.
An application must be submitted to the Commander of the Coast Guard District in which the event will be held at least 135 days in advance; late applications are normally rejected. The application must contain information as specified in Coast Guard regulations.
Approval is often followed, in turn, by “special local regulations” governing the conduct of the event, spectator craft restrictions, patrolling plans, etc. These are usually issued with Local Notices to Mariners (see Chapter 15,) and carry specific penalties for violation.
Enforcement Authority
Federal boating regulations in general are enforced by the U.S. Coast Guard. USCG boarding vessels are identified by the U.S. COAST GUARD ENSIGN (see Chapter 25, page 869) and uniformed personnel. Upon being hailed by a Coast Guard vessel or patrol boat, a vessel underway must stop immediately and lay to, or maneuver in such a way as to permit the boarding officer to come on board; a search warrant is not required.
Because of the many other missions assigned to the Coast Guard—drug and alien immigration interdiction, national security at ports, and others—recreational boaters are more likely to encounter enforcement by state and local patrol boats; see Figure 2-13. The Coast Guard made 440 RBS (Recreational Boating Safety) boardings in 2011, while the states collectively documented more than 1.5 million. Skippers should be alert for posted signs or regulatory buoys indicating speed limits, “no wake,” etc.
Nearly all law-enforcement vessels—U.S. Coast Guard and state or local—are equipped with a blue flashing light like those seen on police vehicles on land.
Figure 2-13 Boating laws and regulations are enforced afloat and ashore by many agencies—state and local police as well as the Coast Guard.
Park Regulations
The use of boats on many natural lakes and man-made reservoirs is subject to regulations issued by the National Park Service or by state or local authorities. National parks, marine sanctuaries, and similar areas in coastal waters are also policed by the National Park Service. Each area must be individually checked by the boater to ensure that laws are not inadvertently violated.
STATE BOATING LAWS & REGULATIONS
Federal laws and regulations preempt state controls for boat and equipment safety standards, but FBSA/71 does allow states to impose requirements for safety equipment beyond federal rules to meet uniquely hazardous local circumstances. Most or all states, for example, have laws and regulations relating to boat trailers and their use.
The old saying that “ignorance of the law is no excuse” applies to skippers of recreational boats. Each skipper should know the requirements and restrictions of the state in which he is boating. Information on applicable state laws and regulations may be obtained from each state, usually from the same office that handles registration and numbering.
The National Association of State Boating Law Administrators (NASBLA) is a national non-profit organization representing the recreational boating authorities of all 50 states and the U.S. territories. NASBLA works to standardize state boating laws, regulations, license requirements, boater education and training, and marine law enforcement nationwide, and the Coast Guard works closely with NASBLA. See the NASBLA website at www.nasbla.org for more information and a searchable guide to state boating regulations.
DOCUMENTATION
Not all boats are numbered—many are “documented.” This is a process whereby official papers on the craft are issued by the U.S. Coast Guard in much the same manner as for large ships. The numbering requirements of FBSA/71 do not apply to documented vessels; however, states may (and most do) require such craft to be registered, pay a fee, and display a sticker indicating that such fee has been paid. The other provisions of this act do apply to documented boats as defined therein.
Federal documentation is a form of national registration that serves to establish a vessel’s nationality, eligibility to engage in a particular employment (commercial vessels only), and eligibility to become the object of a preferred ship’s mortgage.
Basic Requirements
For any vessel, commercial or yacht, to be documented it must measure at least five net tons. Very roughly, this corresponds to a boat of 25 feet (7.6 m) or more in length, but this will vary with the type of boat.
The vessel must be owned by a U.S. citizen; a partnership, trust, association, or joint venture, all of whose members are U.S. citizens; or a corporation meeting certain requirements of control by U.S. citizens. (Vessels owned by the federal or state governments may also be documented.) The captain and other officers, but not crewmen, of a commercially documented vessel must be U.S. citizens. Vessels documented exclusively for recreational purposes do not need to be under the command of a U.S. citizen.
Documentation of a craft used solely for recreation is optional, but vessels engaged in fisheries or coastwise trade must be documented. Vessels engaged in foreign trade are not required to be documented, but owners usually elect to be documented to gain the protection of the U.S. flag.
Types of Documents
A CERTIFICATE OF DOCUMENTATION, Form CG -1270, is issued for all types of vessels; see Figure 2-14. This common, basic form is ENDORSED for the authorized use or uses of the vessel—registry (for foreign trade), fisheries endorsement, coastwise license, or recreation. There may be more than one endorsement. Any commercially documented vessel may be used for recreation, but a vessel with only a recreational endorsement may not be used for any other purpose.
Figure 2-14 The Coast Guard issues Certificates of Documentation (Form CG -1270) for various types of vessel use, including recreation—the so-called “yacht” document.
Advantages of Documentation
Privileges extended by documentation of vessels include the privilege of recording bills of sale, mortgages, and other instruments of title for the vessel with federal officials at the National Vessel Documentation Center (NVDC), giving constructive legal notice to all persons of the effect of such instruments and permitting preferred status for mortgages so recorded. This gives additional security to the purchaser or mortgagee, and facilitates financing and transfer of title.
Documentation is not required for recreational craft, but it is advantageous for boats that cruise widely or spend major portions of the year in different states. Depending on the state’s law, it may eliminate any concern over “state of principal use.” Documentation will also be advantageous when entering foreign waters; it may even be a requirement for visiting some countries.
Obtaining Documentation
Before a vessel can be documented, it must be MEASURED for its tonnage. (ADMEASURED is the more formal term, but it means the same and is gradually being dropped in favor of the simpler language.) Both gross and net tonnage must be determined.
Simplified Measurement
Any vessel under 79 feet (24.1 m) in length, a vessel of any length that is non-self-propelled, and a vessel of any length that is operated only for pleasure may be measured for tonnage under procedures that are far simpler than those required for larger vessels. In brief, this method uses the numerical product of three dimensions measured in feet: the length overall (LOA, or for these purposes, simply L), overall BREADTH (B), and DEPTH (D). Measurements are in feet and inches (to the nearest inch).
As defined earlier, length overall is the horizontal distance between the outer side of the foremost part (bow) of the hull and the outer side of the aftermost part (stern) of the hull. It does not include bowsprits, rudders, outboard motor brackets, swim platforms that do not contain buoyant volume, and other similar fittings and attachments that are not a part of the buoyant hull.
Breadth is the horizontal distance taken at the widest part of the hull, excluding rub rails, from the outside of the “skin” on one side of the hull to the outside of the skin on the other side of the hull.
Depth is not the same as “draft.” It is the vertical distance taken at or near amidships from a line drawn horizontally through the uppermost edges of the skin at the sides of the hull (excluding any caprail, trunk cabin, deckhouse, or deck caps) to the outer face of the bottom of the hull excluding the keel. For sailboats lacking a clearly defined interface between the “bottom of the hull” and the “keel” (as is the case with an “integral” or “faired” keel), include the keel in the depth measurement.
The gross tonnage of a catamaran or trimaran (defined as having no buoyant volume in the structure that connects the hulls together) is determined by adding the gross tonnages for each hull as calculated above. Cathedral-hull forms and other similar configurations with no distinct separation of the hulls are not considered multihulls in this context. Where the volume of the deckhouse is disproportionate to the volume of the hull—as in some designs of houseboats—the volume of the deckhouse is calculated by appropriate geometric formulas.
If the vessel is new, the dimensions discussed above are entered by the manufacturer in Part III of a BUILDER’S CERTIFICATION AND FIRST TRANSFER OF TITLE, Form CG-1261, for initial documentation only. Otherwise, the owner enters the dimensions in an APPLICATION FOR SIMPLIFIED MEASUREMENT, Form CG-5397. The appropriate form is submitted to the NVDC together with the Application for Documentation as described below. The NVDC will calculate the GROSS TONNAGE and NET TONNAGE from this data.
The gross tonnage of a vessel designed for sailing is assumed to be 0.5 (LBD/100); for vessels not designed for sailing it is calculated to be 0.67 (LBD/100).
The net tonnage of a sailing vessel is recorded as 9/10 of the gross tonnage; for a nonsailing vessel, the multiplying factor is 8/10. If there is no propelling machinery in the hull, the net tonnage will be the same as the gross tonnage.
Form CG-5397 can be obtained from the Tonnage Division, Marine Safety Center, U.S. Coast Guard Stop 7430, 2703 Martin Luther King Jr. Avenue SE, Washington, DC 20593-7430, telephone 202-795-6729. Downloadable forms for interactive completion or printing can be found online at www.uscg.mil/nvdc/nvdcforms.asp. The form contains complete instructions, and much other information can also be found at this site, including all required forms. The owner can take his own measurements. Certain novel or unique craft cannot be identified or categorized in the types described on Form CG -5397. In such cases, follow the instructions at the Internet site or on the reverse side of the form.
Formal Measurement
The owner of a boat may elect to have formal measurement rather than use the simplified method. This is required if the vessel measures 79 feet (24.1 m) or more in length, except for certain inland barges and recreational vessels operating only on the Great Lakes.
If an owner is contemplating formal measurement, it is suggested that he first estimate the tonnage by using the simplified method. If the resulting net tonnage is less than 5 tons the vessel will probably be under 5 net tons when formally measured, and thus not eligible for documentation.
The U.S. Coast Guard has delegated the function of formal measurement of vessels to several classification societies. Names, addressees, and contact information on each of these can be obtained from the USCG Tonnage Division as listed above.
Fees will be charged for the measurement of each vessel, and for the issuance of a measurement certificate. Owners can typically expect to pay on the order of several hundred to several thousand dollars to have a vessel formally measured, depending on vessel size, location, first-of-a-kind, etc. After requesting reconsideration of the decision or action by the classification society performing the tonnage measurement, a formal appeal may be filed, via the classification society headquarters, to the Coast Guard.
Application for Document
The vessel owner must submit an APPLICATION FOR DOCUMENTATION, Form CG -1258. This two-sided form is also used for changes in an existing document; an instruction sheet is available. (Some of the “instructions” are references to sections of the Code of Federal Regulations, but in general the form is simple to complete.) This form, and CG -5397 if applicable, should be sent to the National Vessel Documentation Center, 792 T J Jackson Drive, Falling Waters, WV 25419-4527; telephone 800-799-8362. Forms and general information can be obtained online. Forms are also available by fax 24 hours a day. Simply telephone the 800 number and follow the prompts. If you don’t have a fax machine available, you may leave a voice-mail message specifying the address to which you want the forms sent.
The application for documentation must include a name for the vessel composed of letters of the Latin alphabet or Arabic or Roman numerals and may not exceed 33 characters. The name, which must be approved by the Coast Guard, cannot be identical, actually or phonetically, to any word or words used to solicit assistance at sea and cannot contain or be phonetically identical to obscene, indecent, or profane language or to racial or ethnic epithets. Once established, a vessel’s name cannot be changed without application, fees, and the consent of the Director, National Vessel Documentation Center. The hailing port must be in the United States and must include the State, territory, or possession in which it is located.
When the application form is received by the Documentation Center, an OFFICIAL NUMBER will be assigned to the vessel. Although a vessel’s name may be changed with appropriate permission, the official number will remain unchanged for the life of the vessel. The owner must have the vessel properly marked as described below.
If the vessel is new, evidence of the facts of construction must be submitted on a BUILDER'S CERTIFICATION, Form CG-1261, or on another original document executed by a person who constructed the vessel, supervised the construction of the vessel, or is an officer or employee of the company that built the vessel and has examined the records concerning the facts of the build of the vessel.
If documentation for recreational use is sought for a used vessel for the first time, the owner has the option of presenting evidence of the complete chain of ownership or merely a copy of the last prior registration (foreign, federal, or state) plus evidence that establishes title from that registration to the present owner.
Fees
There are several fees to be paid for the documentation process—initial issuance, commercial endorsement (but not for a recreational endorsement), duplicate for a lost certificate, recording bills of sale and mortgages, etc. These fees vary and generally slowly increase. The fee for an initial certificate of documentation was $133 as of early 2017; the fee for a return to documentation was $84.
Markings of a Documented Vessel
U.S. Coast Guard regulations prescribe precisely how a documented vessel must be marked. Documented vessels do not display their official numbers on the outside of the hull, but are identified by the name and hailing port. A General Information Sheet is sent with each new Certificate of Documentation; it includes clear and exact instructions for the application of the required markings.
Official Number
The official number assigned to a documented vessel, preceded by the abbreviation “No.,” must be marked by a permanent method in block-type Arabic numerals at least three inches high on some clearly visible interior structural part of the hull. The number must be permanently affixed so that alteration, removal, or replacement would be obvious and cause some scarring or damage to the surrounding hull area; see Figure 2-15.
Figure 2-15 A documented craft must have its official number permanently marked in Arabic numerals on a clearly visible interior member of the vessel.
Name & Hailing Port
The VESSEL NAME and HAILING PORT of a recreational vessel must be marked together on some clearly visible exterior part of the hull; see Figure 2-16. The vessel name of a commercial vessel must be marked on the port and starboard bow, and the vessel’s name and hailing port must be marked on the stern. All markings may be made by any means and materials that result in durable markings and must be at least four inches in height, made in clearly legible letters of the Latin alphabet or Arabic or Roman numerals. The “hailing port” must include both a place and a state, territory, or possession of the United States. The state may be abbreviated, but not any part of the name of the city.
Figure 2-16 A documented boat used for recreation purposes only must have its name and hailing port marked on some conspicuous part of its hull; this is normally done on the transom. The state must be shown as well as the city, and only the state name can be abbreviated.
The name and port of a vessel must be on the vessel itself. Displaying the name and port on the bottom of a dinghy carried awarthship on its side across a boat’s transom, as is sometimes done, is not a legally acceptable substitute for markings on the documented craft itself, but can be additionally done if the dinghy obscures the name on the transom.
The vessel name and/or hailing port may be changed by filing an application for change on Form CG-1258 with the appropriate fees. If your vessel is subject to a mortgage of record, you must obtain permission from the mortgagee (the lender) on Form CG-4593.
A Certificate of Documentation is not valid until the vessel is properly marked. The penalty for operation of a vessel with an invalid document is $15,000 per violation, and each day of such operation is a separate violation.
Renewal of Document
A Certificate of Documentation is valid for one year from the date of issue, providing there are no changes other than a change of owner’s address, which must be reported to the NVDC within 10 days.. The certificate must be renewed on an annual basis, and the Coast Guard will send a Notice of Renewal approximately 45 days prior to expiration. In 2016, the Coast Guard Authorization Act contained a provision to make certificates of documentation for recreational vessels effective for 5 years; as of early 2017, the new regulations were not yet in place, and there was a $26 fee for the yearly renewal.
It is not necessary to send back the Certificate of Documentation; simply sign, date, and return the Renewal Notice, even if your address has changed. Please note any address change. You will receive a new Certificate of Documentation upon renewal.
If you do not receive a renewal form, you should contact the NVDC not less than two weeks prior to the expiration date. The responsibility for renewal is placed on the vessel owner, whether or not a notice is received from the Documentation Center.
Sale of a Documented Vessel
If your boat is documented and you sell it, return the original Certificate of Documentation to the NVDC along with a brief note that you sold the vessel. Your certificate is nontransferable and should not be given to the new owner unless you have sold the boat by completing the reverse side. Alternatively, when the sale is finalized you can complete a U.S. Coast Guard BILL OF SALE (CG-1340) that can be used by the new owner should he wish to document the vessel. Documentation requires that the new owner send in the Certificate of Documentation completed on the reverse side, or a signed original Bill of Sale with an Application for Documentation (CG-1258) and fees. The buyer should also be able to use the Bill of Sale form as evidence of the transfer of ownership to obtain state registration and/or title if he chooses not to document the vessel with the U.S. Coast Guard.
If you have an outstanding mortgage of record against your vessel, make sure the mortgagee (the lender) completes a Satisfaction of Mortgage form and mails an original and one copy to the NVDC. Your vessel cannot be removed from documentation with an outstanding mortgage.
Other reasons requiring the surrender of a Certificate of Documentation include: (1) a change in the name of the vessel; (2) a change in ownership, such as the death of a listed owner; (3) a change in the tonnage of the vessel.
Use of Documented Boats
A vessel is given a document for recreational use, that paper will authorize its use for noncommercial use only. A yacht document does not permit the transporting of merchandise or the carrying of passengers for hire (see below), such as taking out fishing parties for a fee charged directly or indirectly. Any violation of this limitation may result in severe penalties against the craft and its owner, including forfeiture of the vessel. See also the Commercial Operation section immediately below.
The documentation of a vessel as a yacht does not exempt it from any applicable state or federal taxes. Further, the fact that a boat is federally documented will not excuse the owner from complying with safety and equipment regulations of the state or states in which it is operated. State and local officials have the right to board a documented vessel for law enforcement purposes.
Vessels that are documented are neither required nor permitted to have a number issued under FBSA/71. However, in many states, these craft must be registered and the same tax or fee paid as if they were to be numbered; contact the appropriate state office in your area for further information.
COMMERCIAL OPERATION
The dividing line between noncommercial (recreational) and commercial operation of a boat may seem obvious, but a boat owner who is unfamiliar with federal regulations can get into difficulties. The amateur skipper may conclude that his activities are in no sense commercial and that guests on board are not passengers for hire. However, there are circumstances in which authorities would disagree. A recreational boat operator who crosses the legal line may be subject to fines and may not be covered by his insurance. This confusion exists in part because the FBSA/71 definition of a passenger included any guest who has not contributed any consideration for his carriage, whereas PVSA/93 subsequently amended the definition of passenger and added new definitions of passenger for hire and consideration.
Carrying Passengers for Hire
Persons who operate a motorboat carrying passengers for hire must have a license, the category of which is determined by the number of persons carried and the size of the vessel.
Definition of “Passenger” Of particular interest to boaters who use their craft exclusively for recreation is the definition of a “passenger” in PVSA/93. Any persons on board a vessel are considered by law to be passengers if they are not any of the following: (1) the owner or his/her representative; (2) the operator; (3) bona fide members of the crew who have contributed no consideration for their carriage and who are paid for their services.
When Is a Boat Carrying Passengers for Hire? It is important that a skipper understand the circumstances that might be considered by authorities as “carrying passengers for hire.” Some situations are obvious—such as taking one or more persons on a fishing trip in exchange for a payment from each individual or from the group as a whole—but other cases are less clear cut. Confusion arises when guests contribute toward the expenses of a recreational and social outing. The old regulations under FBSA/71 failed to define “consideration,” and local Coast Guard offices interpreted the regulations on a case-by-case basis.
The newer PVSA/93 definitions eliminate that confusion, defining a passenger for hire as a passenger who contributes a consideration as a condition of carriage on the vessel, whether directly or indirectly flowing to the owner, charterer, operator, agent, or other person having an interest in the vessel. A consideration is an economic benefit, inducement, right, or profit (including a payment of money) accruing to an individual or entity, but a voluntary sharing of the expenses of a voyage by a monetary contribution or by a donation in kind of fuel, food, beverages, or other supplies is not treated as a consideration.
Under these rules, several couples or friends may chip in to pay for fuel, food, beverages, and other expenses for a day’s outing or cruise without becoming “passengers for hire.” In all other situations, where there is consideration for passage, the craft is considered to be operating commercially and must be operated by someone holding an appropriate U.S. Coast Guard license.
License for Six or Fewer Passengers
Self-propelled vessels of less than 100 gross tons carrying not more than six passengers for hire must be “under the direction and control of” a properly licensed person. This Coast Guard license is officially titled Operator of Uninspected Passenger Vessels (OUPV). More commonly, it is called a “six-pack” license. These OUPV licenses are issued for inland, Great Lakes, or near-coastal waters (not more than 100 miles offshore).
Application for an OUPV License Licenses are issued by Officers in Charge (OIC), Marine Inspection, U.S. Coast Guard at Regional Examination Centers. Traveling Examination Teams may visit other ports or make specific trips to give examinations to groups of applicants. Much processing of applications for original licenses and renewals can be done by mail or on the Internet; contact the nearest OIC, Marine Inspection for details. A packet of instructions to guide prospective applicants normally accompanies the application form. These instructions must be followed exactly, or the application may be denied.
An applicant for an OUPV license must be 18 years of age; he or she must be able to speak and understand English as used in boating (except for licenses limited to Puerto Rico and vicinity, where Spanish may be substituted). Use of dangerous drugs or conviction of drug-law violations may be a bar to issuance of a license. Fingerprints will be taken and checked. Individuals must be citizens of the United States, except that a noncitizen may receive an OUPV license limited to nondocumented vessels.
Except for special limited licenses (see below), an applicant for an OUPV license must submit proof of 360 days’ experience in the operation of vessels, at least 90 days of which must have been in the last 3 years. (The Coast Guard says that a “day” requires at least 4 hours of operation.) If the license is for near-coastal waters, 90 days of the service must have been on ocean or nearcoastal waters. An applicant must submit written recommendations from three persons who have knowledge of his or her ability to carry out the duties of this type of license.
Applicants for an original license must present evidence of successful completion of one of several first-aid courses within the past 12 months, plus a currently valid certificate of completion of a cardiopulmonary resuscitation (CPR) course. CPR certification is not required for renewals.
Physical Fitness Required Applicants must submit a U.S. Coast Guard physical examination form or equivalent, signed by a licensed physician or physician’s assistant within the past 12 months. Visual acuity and color vision requirements are very specific, but waivers can be requested for special circumstances.
Mandatory Drug Testing The Coast Guard has established a comprehensive, mandatory drug-testing program for crews of marine vessels. All licensed crewmembers are subject to the program if they are required to be on board because of the nature of the vessel’s operation, such as boats carrying passengers for hire. Unlicensed personnel are also subject to testing if they are involved in the craft’s operation—such as deck hands, but not bartenders or waiters who have no duties relating to the vessel’s safety.
The actual drug test (urine or blood) must be taken under five conditions: (1) pre-employment; (2) reasonable cause; (3) after a serious marine accident; (4) whenever a physical examination is required, such as original applications and renewal, and some upgrades; or (5) random testing. Detailed procedures have been set up for the collection of samples, analysis, review of results, reporting, and maintenance of records.
The program primarily focuses on commercially employed mariners and large ships, but it does include self-employed individuals and recreational boaters who hold a U.S. Coast Guard license without using it for employment. Skippers in these categories should get full details from a Coast Guard Marine Inspection office or Regional Examination Center.
Examination An applicant for a license as an Operator of Uninspected Passenger Vessels must pass a written examination. Subjects covered will be applicable to the waters concerned and may include navigation rules, chart reading and piloting; magnetic compass principles and use; tide and tidal current calculations; vessel handling, such as docking and undocking, anchoring, and in heavy weather; fire fighting and other emergency actions; first aid; rules and regulations for uninspected vessels; pollution rules and vessel sanitation laws; radiotelephone communications; and “any other subject considered necessary to establish the applicant’s proficiency.”
Re-examination All examinations are administered at periodic intervals. If an applicant fails three or more sections of the exam (which has four sections), a complete re-examination must be taken, but this may be done at any scheduled exam session. On the re-exam, if three or more sections are failed, at least 3 months must pass before any further retesting.
If one or two sections are failed, the applicant can be re-examined twice on these sections during the next 3 months. If these are not passed in that time period, at least 3 months must pass from the date of the last retest, and a complete re-examination must be taken.
License Issuance and Renewal
Licenses are issued by an OIC, Marine Inspection. Every license must also be signed by the person to whom it is issued. It is valid for 5 years, after which it can be renewed. There are fees for the application for a license and for the examination. There are also expenses involved in the physical examination and the drug testing; there may be fees connected with the first aid course and the CPR training.
A license can be renewed in person at any Regional Examination Center, or by mail to the center that issued it. The original license (or photocopy) must be presented together with a completed application form. Evidence must be presented of at least one year of service (360 days) under the license during the past 5 years, or a comprehensive open-book exercise must be passed. Except under extraordinary circumstances, a license cannot be renewed more than 12 months in advance of its expiration date.
A license can be renewed up to 12 months after its expiration date, but it is not valid for use within this grace period. After 12 months it cannot be renewed and must be reissued; the individual will be examined to establish continued professional knowledge.
No license will be renewed if it has been suspended without probation, has been revoked, or if facts have come to the attention of the Coast Guard indicating that renewal would be improper.
Limited OUPV Licenses Limited OUPV licenses may be issued to employees of organizations such as formal camps, yacht clubs, marinas, and educational institutions. The experience requirement is reduced to 90 days in the type of vessel to be used, and the applicant must have a completion certificate from an approved course, such as those given by the U.S. Power Squadrons or U.S. Coast Guard Auxiliary. A limited examination appropriate to the activity to be engaged in and the area concerned is required.
Lost License If a license is lost, this fact must be reported to an OIC, Marine Inspection. A duplicate license may be issued after an application and affidavit concerning the loss are submitted and issuance of the lost license has been confirmed. This is for the unexpired term of the lost license.
Suspension or Revocation If any license holder is found guilty of incompetence, misbehavior, negligence, endangering life, or willfully violating any safety law or regulation, his or her license may be suspended or revoked. The license must then be surrendered, but a certificate will be issued covering the period during which any appeal is pending.
Licenses for More Than Six Passengers
Operation of small craft carrying more than six passengers for hire—“small passenger vessels”—requires a license as Master of Steam or Motor Vessels. This will usually be for not more than 100 gross tons, but may be for not more than 50 gross tons if the person’s experience is on vessels of that size; see Figure 2-17. The license will be further designated as near-coastal, inland, or Great Lakes; nearcoastal is defined as not more than 200 miles offshore.
Figure 2-17 Licenses for the master or mate of a vessel carrying passengers for hire are issued in terms of the maximum tonnage of the vessel concerned, its type, and the waters for which the license is valid. A recreational boater having such a license can often negotiate lower boat insurance premiums.
The required experience is 2 years of service in the deck department of ocean or near-coastal vessels. In order to get an endorsement for sail or auxiliary sail vessels, the individual must submit evidence of 360 days’ service on such craft; this service may have been prior to the issuance of the license.
The physical and vision requirements are the same as discussed above for OUPV licenses. Examination subjects are expanded to cover the larger size of vessels involved.
For larger craft, there is a license level of Not More Than 200 Gross Tons with both Master and Mate categories, and Ocean as well as the other geographic limitations.
Any license issued for inland waters is valid for all inland waters of the United States, excluding the Great Lakes. A license issued for the Great Lakes is also valid for inland waters. A license for near-coastal waters is also valid for the Great Lakes and all inland waters. A license as Master or Mate is valid for the operation of uninspected passenger vessels (six or fewer passengers).
The term of the licenses, and the requirements and procedures for renewal, are the same as for OUPV licenses.
Licenses for Towing
The Coast Guard issues licenses for Operator and Second Class Operator of uninspected towing vessels. A special endorsement is required for “Assistance Towing.”
Vessel Inspection
Vessels carrying more than six passengers for hire must be inspected by an OIC, Marine Inspection. These are among the vessels generally referred to in U.S. Coast Guard regulations as “inspected vessels” and “small passenger vessels”; ordinary motorboats are categorized as “uninspected vessels.”
Certificates of Inspection describe the area in which the vessel may operate, the maximum number of passengers that may be carried, the minimum crew required, and the minimum lifesaving and fire-fighting equipment to be on board, etc. Certificates are valid for 3 years.
CHARTERING
The act of renting a boat is termed CHARTERING, except for runabouts and waterskiing boats hired on an hourly or daily basis.
As a boater, you may decide that you want to charter another person’s vessel, or you may want your boat to earn her own keep when you won’t be using her. We will consider these two situations separately.
Chartering Another Person’s Boat
If you have time for no boating activities at all except for a few vacation weeks each year, it may not make good economic sense to own and maintain your own boat for such limited use. Or you may have thoroughly explored the areas accessible to you with your own boat, and want to try areas farther away. In either case, chartering is the way to go. Charters of both power and sailing vessels are available in almost all boating areas. Most charters begin and end at the same port, but some can be set up to cruise from “here” to “there” one-way.
Crewed or Bareboat Your charter can be either CREWED or BAREBOAT. Crewed means that the vessel’s owner furnishes a captain—and often a mate/cook—who retains all responsibilities for the operation of the boat. You and your family or friends are “guests” aboard and have few responsibilities. You and your party may participate in the sailing and navigation activities if you like, but always under the supervision of the captain, who is often the vessel’s owner.
On the other hand, a bareboat charter appeals to those who want to handle the boat themselves, without paid crew.
Crewed charters normally include all provisions and supplies. Bareboat charters may or may not include food and beverages, or these may be available at an additional fee (this is recommended as it permits you to get underway without delay). The CHARTER AGREEMENT states exactly what is supplied by the owner, plus his responsibilities as charterer as well as yours.
Chartering Your Boat
If you want to charter your own boat, you can do this directly, but most owners will work through an agent or broker. Any chartering must be under a written agreement. If you charter directly, the charter agreement form should be examined by a lawyer qualified and experienced in such matters. With an agent or broker, you can get customers more easily and be free from much paperwork, and you’ll also know that the charter is being handled legally and efficiently. You will probably also need guidance about charges for the basic charter and for the optional services. You can get help from a professional agent or broker, but you do not need to give him an exclusive hold on your boat.
Check Your Insurance Before making even the first move toward chartering your boat, check your insurance policy. It most likely prohibits chartering, but the restriction can be removed with an endorsement, which requires the payment of an additional premium. You may also want to increase your liability coverage under these new circumstances.
Licenses & Regulations If you are going to captain your boat while chartering, you will be “carrying passengers for hire.” In U.S. waters this will require a U.S. Coast Guard license of the proper type for the waters used, the type and size of vessel, and the number of passengers carried. If you plan to carry more than six guests, your boat must be inspected by the Coast Guard and meet much more stringent requirements than for your own use or when carrying six or fewer passengers;. In the waters of other nations, the requirements may vary, and there may be restrictions as to citizenship; check carefully.
Tax Aspects of Chartering The income and expenses of operating a boat for charter will materially affect your income tax status. Check appropriate government publications and seek professional advice.
INTERNATIONAL VOYAGES
When an American boat crosses the national boundaries of the United States to visit a foreign port, or a foreign yacht visits an American port, certain customs, immigration, and other regulations must be obeyed. As a result of various provisions and exemptions applying to recreational boats, the procedure has been simplified and will not interfere with the pleasures of a foreign cruise. There are severe penalties, however, for any failure to observe the regulations that do apply.
Clearing & Entering
The terms CLEARING and ENTERING are commonly used in connection with a vessel’s voyage between ports of two nations. Clearing involves obtaining permission to sail by presenting the ship’s papers to a customs official. Entering relates to arrival, when the owner or master “enters” his vessel by having his ship’s papers accepted by customs authorities. Thus a U.S. vessel might be required to clear from an American port and enter on arrival at a foreign port.
If desired, BILLS OF HEALTH may be secured free of charge before leaving for a foreign port. This is not compulsory, but may make entry into the foreign port quicker and easier. Cruisers who plan to travel outside U.S. waters should check with their local health department or a travel agency for information on any inoculations or vaccinations required by specific countries.
Exemptions for Noncommercial Craft Neither a documented vessel with a recreational endorsement nor an undocumented American recreational vessel (not engaged in trade nor in any way violating the customs or navigation laws of the U.S.) is required to clear customs upon departure from the United States for a foreign port or place (with some specific exceptions, such as going to Cuba). Similarly a documented vessel with a recreational endorsement or an undocumented American recreational vessel (not engaged in trade nor in any way violating the customs or navigation laws of the U.S., and not having visited any other vessel “hovering” off the coast, and not having received merchandise while in the customs waters beyond the territorial waters or on the high seas)) is exempted from formal entry. These craft, however, must make a report to the proper authorities to cover such matters as the importation of items purchased while outside the United States.
Report on Arrival
There are four separate legal aspects to entering a country from a foreign nation, each involving its own government agency and officials. These are (1) CUSTOMS, relating to bringing in dutiable merchandise; (2) IMMIGRATION, related to persons’ eligibility for entry; (3) PUBLIC HEALTH SERVICE, for preventing importation of human diseases; and (4) ANIMAL AND PLANT QUARANTINE, for preventing entry of contaminated plants, fruits, and vegetables, or infected animals.
On arrival at a foreign port, the owner or captain of a recreational boat should report to the authorities mentioned above, or to such of them as exist for that port. The Q flag (plain yellow) should be flown where it can be easily seen—starboard spreader, radio antenna, fishing outrigger, etc.—to indicate that the vessel desires to be boarded by customs and other governmental authorities; see Figure 2-18. When reporting, the captain may go ashore, if required, to report to the applicable authorities; crew and guests must remain aboard until permission has been granted to land. Any additional or local regulations to be complied with, including details in connection with clearing from that port, will be supplied by the authorities.
Figure 2-18 Any boat arriving in a United States port from a foreign country must hoist a plain yellow flag—the letter “Q” of the International Code Flag set—when entering U.S. territorial waters and keep it flying until U.S. Customs and Immigration clearances have been completed.
Every vessel, whether documented or not, arriving in the United States from a foreign port or place must come into a port where the formality of entry can be accomplished; the Q flag should be hoisted upon entering U.S. waters, 12 miles offshore. Only one person may get off the boat for the sole purpose of notifying the U.S. Customs and Border Protection (CBP) of the Department of Homeland Security regarding the vessel’s arrival in port; no baggage or other cargo should be removed before a CBP officer has given specific approval.
All boats, regardless of size, must report to CBP authorities on return to the United States. Pleasure vessels 30 feet or longer must display a cruising fee decal, which may be purchased-through the CBP website: www.CBP.gov. The annual fee as of early 2017 was $27.50. This requirement applies equally to visiting foreign yachts and to returning U.S. boats.
Any aliens on board must be reported and a heavy penalty may be imposed for failure to detain them if ordered to do so by CBP.
Following the 9/11 terrorist attack, security was greatly tightened. All persons on a boat coming from a foreign nation were required to appear in person before a CBP officer. This often meant taking a taxi or other transportation to an airport or commercial port. In areas such as South Florida, where many boats return from foreign waters daily, near-chaos developed. To ease this situation, CBP developed the Local Boater Option program that allows the preregistration of vessels and individuals with a single visit to CBP. This is designed for low-risk boat owners who cruise frequently outside U.S. waters, such as from Florida to the Bahamas. Boaters still have to phone in to the CBP when they return to the U.S., but they don’t have to report for a face-to-face inspection. The Local Boater Option started in Miami, Tampa, and San Juan and is being rolled out to other major boating communities.
Other programs that do not require face-to-face inspections include NEXUS, the Canadian Border Boat Landing Permit, and Outlying Area Reporting Stations (OARS).
NEXUS is designed for boaters who travel frequently back and forth between the U.S. and Canada, and boaters still must phone in to CBP to clear customs back in the U.S. The NEXUS permit is good for five years. The Canadian Boat Border Landing Permit, also called I-68, is valid for a boating season. Applicants are inspected and issued an I-68 permit; as of early 2017, the fee is $16 for an individual or $32 for a family. Each member of a family 14 years and older must complete a separate three-page form, available only at the issuing point of entry. People who are not U.S. citizens may use Form I-68 for visits up to 72 hours within 25 miles of the shoreline along the U.S.-Canada border. If you don’t have a Form I-68 to enter the U.S., you must report in person at the port of entry or use one of the OARS videophones, connected to the CBP, at facilities near the border, usually public marinas.
Additional Information In general, customs duties are assessed on articles of foreign manufacture when they are brought into the United States if the total value of items purchased exceeds a specified amount, which varies with the length of time that the individual has been out of the U.S. and where they were bought. If you have purchased a foreign-made camera, radio, etc., in the United States and then took it with you when cruising outside U.S. waters, you would not be liable for any duty payment on return. It’s a good idea to register such items with U.S. customs before leaving the country.
FEDERAL WATER POLLUTION LAWS
There are a number of basic laws covering water pollution, including the Federal Water Pollution Control Act of 1972 as amended and extended by the Federal Water Pollution Control Act Amendments of 1972 and the Clean Water Act of 1977. There have been additional minor revisions over the years. The Oil Pollution Act of 1990 covers spills of petroleum products of all types. These laws cover far more than discharges from boats and other vessels, but they form the basis for all implementing standards and regulations by the U.S. Coast Guard, the Environmental Protection Agency (EPA), and other federal agencies.
Discharge of Sewage
The term SEWAGE is defined as human body wastes and the wastes from toilets and other receptacles intended to receive or retain body waste. The term MARINE SANITATION DEVICE (MSD) includes any equipment for installation on board a vessel which is designed to receive, retain, treat, or discharge sewage, and any process to treat such sewage. No untreated sewage may be discharged overboard in any waters subject to the federal laws and regulations. Treated sewage may be pumped overboard except as noted next.
Basic Provisions
The current laws and regulations relate to all watercraft. The law does, however, permit enforcing authorities to distinguish among classes, types, and sizes of vessels, as well as between new and existing vessels. There are provisions for waivers, but it has been officially stated that very few waivers may be expected and only on the strongest justification for each situation. Initially phased in over several years, the federal requirements are now applicable to all boats regardless of date of construction.
Performance Standards The general approach of the federal pollution legislation is the establishment of “standards of performance” for marine sanitation devices. The law states that performance standards must be consistent with maritime safety standards and marine laws and regulations. It specifically notes that in the development of standards consideration must be given to “the economic costs involved” and “the available limits of technology.”
Operational Requirements
Present regulations divide waters into two categories: (1) freshwater lakes and reservoirs that have no navigable inlet or outlet, and (2) other waters, including coastal waters and tributary rivers, the Great Lakes, and freshwater bodies accessible through locks. Freshwater bodies in the first category above are subject to “no discharge’” rules. In the second category, the regulations also contain a provision that a state can apply for the establishment of a “no discharge zone.” This is usually related to shellfish harvesting areas and public beaches, and the state must certify that there are adequate pump-out facilities to meet the needs of local and cruising boats. This provision is being implemented with increasing frequency. It should be noted, however, that craft equipped with a discharge-type MSD may be used on “no discharge” waters provided the device “has been secured so as to prevent discharge.”
Marine sanitation devices are grouped into several “types”—such as I, II, or III—based on how sewage is treated or retained on board.
Vessel Requirements All vessels, including boats, with installed toilet facilities must have an operable marine sanitation device. Craft smaller than 65 feet (19.8 m) in length may have a Type I, II, or III MSD labeled as certified; larger vessels must have a Type II or III MSD.
Enforcement The law specifically authorizes U.S. Coast Guard and other enforcement personnel to board and inspect any vessel upon the navigable waters of the United States to check compliance with these provisions.
The Coast Guard has stated as a general policy that its units will not board vessels solely to check for the absence of a legal MSD. They will, however, make such an inspection whenever a boat is boarded for any other reason. Thus if your craft is boarded for a minor safety violation—such as improper navigation lights or suspected overloading—or as a routine procedure after receiving Coast Guard assistance, you can expect to be cited if you are not in compliance with the MSD requirements.
Disposal of Trash & Garbage
The U.S. Coast Guard has issued regulations to implement Annex V of the International Convention for the Prevention of Pollution from Ships, 1973, commonly known as Annex V of MARPOL 73/78. They apply to all U.S. vessels (including boats) wherever they operate (except waters under the exclusive jurisdiction of a state) and to foreign vessels operating in U.S. waters out to and including the Exclusive Economic Zone (200 nautical miles).
The regulations impose stringent requirements on the overboard disposal of trash and garbage, especially plastic items. The discharge of all garbage is totally prohibited in the Great Lakes and their connecting or tributary waters.
The Terminology of Garbage
PLASTIC includes, but is not limited to, plastic bags, Styrofoam cups and lids, six-pack holders, bottles, caps, buckets, shoes, milk jugs, egg cartons, stirrers, straws, synthetic ropes, and bio- or photo-degradable plastics.
GARBAGE means paper, rags, glass, metal, crockery (generated in the living spaces on board the vessel—what we normally call “trash”) and all kinds of food, cargo, and maintenance waste. Garbage does not include fresh fish or fish parts, dishwater, blackwater, or graywater (see below).
DISHWATER means the liquid residue from the manual or automatic washing of dishes and cooking utensils that have been precleaned to the extent that any food particles adhering to them would not normally interfere with the operation of automatic dishwashers.
GRAYWATER means drainage from a dishwasher, shower, laundry, bath or washbasin, but does not include drainage from toilets, urinals, hospitals, and cargo spaces.
DUNNAGE is material used to block and brace cargo—and is considered a cargo-associated waste.
Prohibited Actions
Boaters must learn and observe the various disposal prohibitions, especially the total ban on overboard disposal of plastic items in all waters, inland and offshore at any distance. They must learn and conform to the regulations regarding the disposal of other garbage; the restrictions gradually lessen with distance from shore; see Figure 2-19. For example, the rules make it illegal within 3 nautical miles of the shore to operate a garbage disposal in a galley if it discharges overboard. To make it easier to comply with the regulations, skippers may want to separate garbage according to the disposal limitations.
Skippers must inform crewmembers and passengers of these rules and the penalties for their violation.
Figure 2-19 International treaties and U.S. Coast Guard regulations establish zones for various distances offshore in which the dumping overboard of specific kinds of material is prohibited.
Placards On craft 26 feet (7.9 m) or more in length, informational placards must be posted (see Figure 2-20); depending upon the size of the vessel, more than one may be required. These placards must define the limitations placed on discharging garbage in the marine environment and specify the fines and other penalties that could be assessed for violation. Such placards must measure at least 8 inches wide and 4 inches high; they must be of durable material with letters at least 1/8 inch high. Placards that meet these specifications are available at marine stores for a small cost.
Figure 2-20 All boats 26 feet (7.9 m) or more in length must have one or more placards posted that specify what cannot be dumped overboard at various distances from the coast. These placards of a standard minimum size may be purchased at marine supply stores.
Vessels used exclusively on the Great Lakes may use the standard placard described above or a placard that states “The discharge of ALL garbage into the Great Lakes or their connecting waters is prohibited.” (In the Great Lakes, it is illegal to dump anything except fresh fish, fish parts, dishwater, or graywater anywhere, regardless of distance from shore.)
Waste Management Plan In addition to the placard requirement, the regulations require a written WASTE MANAGEMENT PLAN for U.S. craft over 40 feet (12.2 m) in length that operate in coastal waters beyond three nautical miles of the shore, engage in commerce, or have a galley and berthing quarters. The plan must describe the procedures of collecting, processing, storing, and properly disposing of garbage in a way that will not violate the regulations. It must also designate the person responsible for carrying out the plan.
Vessel owners who have specific questions regarding the form or content of a Waste Management Plan should contact the nearest U.S. Coast Guard Captain of the Port: see Appendix C.
Disposal Ashore
Ports and terminals that conduct business with commercial vessels must be capable of receiving garbage from such vessels when they dock.
Recreational boating facilities (such as marinas and yacht clubs) capable of providing dockage or other services for 10 or more boats must provide adequate garbage reception facilities for any vessel that routinely calls. (Boats must be conducting business with the marina or other facility in order to qualify for the service; facilities would not be expected to provide such service to a vessel whose sole reason for docking was to offload its garbage.) Reasonable fees can be charged for providing services for the reception of garbage. Special requirements exist for facilities that receive garbage from craft returning from international waters.
Enforcement & Penalties
The U.S. Coast Guard is responsible for the enforcement of these antipollution regulations. Civil penalties can be as great as $25,000. Additionally, criminal penalties include imprisonment for up to five years or fines up to $50,000, or both.
Notice of Violation
In instances of small oil discharges (under 100 gallons) and minor violations of pollution regulations, after investigation and evaluation of an alleged violation has been completed, an issuing officer may issue a NOTICE OF VIOLATION. This will include information on the alleged violation and the applicable law or regulation; the amount of maximum penalty that may be assessed; and the amount of the proposed penalty that appears to be appropriate. The notice will also state how the penalty may be paid, and that payment will settle the case.
A Notice of Violation will advise the recipient of his right to decline the notice and request a hearing. Action must be taken within 45 days. Failure to either pay the proposed penalty or request a hearing will result in a finding of default, and the Coast Guard will proceed with collection action. If the proposed penalty is paid, a finding of “proved” will be entered on the record and the case closed.
Vessels denied the ability to offload their garbage at a marina or terminal should report this to the nearest Coast Guard Captain of the Port or Marine Safety Office. Observations of vessels violating the regulations can be reported to these same offices.
Discharge of Oil
Federal regulations provide that all vessels 26 feet (7.9 m) or more in length must have a placard of at least 5 by 8 inches, made of durable material fixed in a conspicuous place in each machinery space, or at the bilge and ballast pump control station, stating the following in the language or languages understood by the crew:
DISCHARGE OF OIL PROHIBITED
The Federal Water Pollution Control Act prohibits the discharge of oil or oily waste into or upon the navigable waters of the United States, or the waters of the contiguous zone, or which may affect natural resources belonging to, appertaining to, or under the exclusive management authority of the United States, if such discharge causes a film or discoloration of the surface of the water or causes a sludge or emulsion beneath the surface of the water. Violators are subject to substantial civil penalties and/or criminal sanctions including fines and imprisonment.
Persons who see an oil or chemical spill can report it by calling toll-free: 800-424-8802.