1625-0001- Stat/Authority

§ 5115

TITLE 46—SHIPPING

tary of Homeland Security, and for treatment of related
references, see sections 203(1), 551(d), 552(d), and 557 of
Title 6, Domestic Security, and the Department of Homeland Security Reorganization Plan of November 25, 2002,
as modified, set out as a note under section 542 of Title 6.
For establishment of U.S. Customs and Border Protection in the Department of Homeland Security, treated as
if included in Pub. L. 107–296 as of Nov. 25, 2002, see section 211 of Title 6, as amended generally by Pub. L.
114–125, and section 802(b) of Pub. L. 114–125, set out as a
note under section 211 of Title 6.

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 Repealed.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

§ 5116. Penalties
(a) Except as otherwise provided in this section, the owner, charterer, managing operator, agent,
master, and individual in charge of a vessel violating this chapter or a regulation prescribed under this chapter are each liable to the United
States Government for a civil penalty of not more
than $5,000. Each day of a continuing violation is
a separate violation. The vessel also is liable in
rem for the penalty.
(b) The owner, charterer, managing operator,
agent, master, and individual in charge of a vessel allowing, causing, attempting to cause, or failing to take reasonable care to prevent a violation
of section 5112(a) of this title are each liable to
the Government for a civil penalty of not more
than $10,000 plus an additional amount equal to
twice the economic benefit of the overloading. The
vessel also is liable in rem for the penalty.
(c) The master or individual in charge of a vessel violating section 5112(b) of this title is liable
to the Government for a civil penalty of not more
than $5,000. The vessel also is liable in rem for
the penalty.
(d) A person causing or allowing the departure
of a vessel from a place within the jurisdiction of
the United States in violation of a detention order
issued under section 5113 of this title commits a
class A misdemeanor.
(e) A person causing or allowing the alteration,
concealment, or removal of a mark placed on a
vessel under section 5103(b) of this title and the
regulations prescribed under this chapter, except
to make a lawful change or to escape enemy capture in time of war, commits a class A misdemeanor.
(Pub. L. 99–509, title V, § 5101(2), Oct. 21, 1986, 100
Stat. 1918; Pub. L. 101–380, title IV, § 4302(d), Aug.
18, 1990, 104 Stat. 538.)
Historical and Revision Notes
Revised section 5116
Source: Section (U.S. Code) 46 App. U.S.C. 86i, 88g.
Section 5116 provides penalties for violations of load
line requirements. The penalties are raised substantially
from existing law to provide a sufficient deterrence against
violations of the load line requirements and to conform
with the level of penalties throughout the subtitle. The
monetary penalties have not been changed since the 1930’s.
Section 5116(a) raises from $1,000 to $5,000 the maximum penalty for violation of a load line provision under
this chapter or a regulation promulgated under this chapter.
Section 5116(b) raises from $1,000 to $10,000 the maximum penalty for loading a vessel in such a way as to

Page 562

submerge the load line. In addition, a violator must pay
up to two times the amount of the economic benefit of
the overloading.
Section 5116(c) raises from $500 to $5,000 the maximum
penalty for a violation of the requirement in section 5112(b)
that the load line position and draft of a vessel be noted
in the logbook.
Section 5116(a)–(c) also states that the vessel is liable
in rem for the penalty.
Section 5116(d) raises from $1,000 to $10,000 the maximum penalty for a violation of a detention order and
may also include imprisonment for up to one year.
Section 5116(e) raises from $2,000 to $10,000 the maximum penalty for the alteration, removal, or concealment of a load line mark and may also include imprisonment for two years.
Amendments
1990—Subsec. (d). Pub. L. 101–380, § 4302(d)(1), substituted “commits a class A misdemeanor” for “shall be fined
not more than $10,000, imprisoned for not more than one
year, or both”.
Subsec. (e). Pub. L. 101–380, § 4302(d)(2), substituted “commits a class A misdemeanor” for “shall be fined not
more than $10,000, imprisoned for not more than 2 years,
or both”.
Effective Date of 1990 Amendment
Amendment by Pub. L. 101–380 applicable to incidents
occurring after Aug. 18, 1990, see section 1020 of Pub. L.
101–380, set out as an Effective Date note under section
2701 of Title 33, Navigation and Navigable Waters.

Part D—Marine Casualties
CHAPTER 61—REPORTING MARINE
CASUALTIES
Sec.

6101.
6102.
6103.
6104.

Marine casualties and reporting.
State marine casualty reporting system.
Penalty.
Commercial fishing industry vessel casualty
statistics.
Historical and Revision Notes

Chapter 61 provides for the reporting of marine casualties and incidents involving all United States flag vessels
occurring anywhere in the world and any foreign flag
vessel operating on waters subject to the jurisdiction of
the United States.
Amendments
1988—Pub. L. 100–424, § 4(c), Sept. 9, 1988, 102 Stat. 1591,
added item 6104.

§ 6101. Marine casualties and reporting
(a) The Secretary shall prescribe regulations
on the marine casualties to be reported and the
manner of reporting. The regulations shall require reporting the following marine casualties:
(1) death of an individual.
(2) serious injury to an individual.
(3) material loss of property.
(4) material damage affecting the seaworthiness or efficiency of the vessel.
(5) significant harm to the environment.
(b) A marine casualty shall be reported within
5 days as provided in this part and regulations
prescribed under this part. Each report filed under this section shall include information as to
whether the use of alcohol contributed to the casualty.
(c) Notice to State and Tribal Governments.—Not later than 24 hours after receiving a

Page 563

§ 6101

TITLE 46—SHIPPING

notice of a major marine casualty under this section, the Secretary shall notify each State or federally recognized Indian tribe that is, or may
reasonably be expected to be, affected by such
marine casualty.
(d)(1) This part applies to a foreign vessel when
involved in a marine casualty on the navigable
waters of the United States.
(2) This part applies, to the extent consistent
with generally recognized principles of international law, to a foreign vessel constructed or adapted to carry, or that carries, oil in bulk as cargo
or cargo residue involved in a marine casualty described under subsection (a)(4) or (5) in waters
subject to the jurisdiction of the United States,
including the Exclusive Economic Zone.
(e) A marine casualty not resulting in the death
of an individual shall be classified according to
the gravity of the casualty, as prescribed by regulation, giving consideration to the extent of injuries to individuals, the extent of property damage, the dangers that the casualty creates, and
the size, occupation, and means of propulsion of
each vessel involved.
(f)(1) This chapter applies to a marine casualty
involving a United States citizen on a foreign passenger vessel operating south of 75 degrees north
latitude, west of 35 degrees west longitude, and
east of the International Date Line; or operating
in the area south of 60 degrees south latitude
that—
(A) embarks or disembarks passengers in the
United States; or
(B) transports passengers traveling under any
form of air and sea ticket package marketed in
the United States.
(2) When there is a marine casualty described
in paragraph (1) of this subsection and an investigation is conducted, the Secretary shall ensure
that the investigation—
(A) is thorough and timely; and
(B) produces findings and recommendations
to improve safety on passenger vessels.
(3) When there is a marine casualty described
in paragraph (1) of this subsection, the Secretary
may—
(A) seek a multinational investigation of the
casualty under auspices of the International Maritime Organization; or
(B) conduct an investigation of the casualty
under chapter 63 of this title.
(g) To the extent consistent with generally recognized practices and procedures of international
law, this part applies to a foreign vessel involved
in a marine casualty or incident, as defined in
the International Maritime Organization Code for
the Investigation of Marine Casualties and Incidents, where the United States is a Substantially
Interested State and is, or has the consent of, the
Lead Investigating State under the Code.
(h) The Secretary shall publish all major marine casualty reports prepared in accordance with
this section in an electronic form, and shall provide information electronically regarding how other
marine casualty reports can be obtained.
(i) For purposes of this section, the term “major marine casualty” means a casualty involving
a vessel, other than a public vessel, that results
in—

(1) the loss of 6 or more lives;
(2) the loss of a mechanically propelled vessel
of 100 or more gross tons;
(3) property damage initially estimated at
$2,000,000 or more; or
(4) serious threat, as determined by the Commandant with concurrence by the Chairman of
the National Transportation Safety Board, to
life, property, or the environment by hazardous
materials.
(j) The Secretary shall publish all marine casualty reports prepared in accordance with this
section in an electronic form.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 536; Pub. L.
98–498, title II, § 212(b)(1), Oct. 19, 1984, 98 Stat.
2306; Pub. L. 98–557, § 7(b)(1), Oct. 30, 1984, 98 Stat.
2862; Pub. L. 101–380, title IV, § 4106(b), Aug. 18,
1990, 104 Stat. 513; Pub. L. 102–241, § 33, Dec. 19,
1991, 105 Stat. 2222; Pub. L. 107–295, title IV, §§ 423,
442(a), Nov. 25, 2002, 116 Stat. 2125, 2132; Pub. L.
109–241, title IX, § 901(o), July 11, 2006, 120 Stat.
565; Pub. L. 109–304, § 15(21), Oct. 6, 2006, 120 Stat.
1704; Pub. L. 110–181, div. C, title XXXV, § 3529(c)(1),
Jan. 28, 2008, 122 Stat. 603; Pub. L. 113–281, title
III, § 312, Dec. 18, 2014, 128 Stat. 3048; Pub. L. 115–232,
div. C, title XXXV, §§ 3541(b)(11), 3546(d), Aug. 13,
2018, 132 Stat. 2323, 2326; Pub. L. 115–265, title II,
§ 211, Oct. 11, 2018, 132 Stat. 3749.)
Historical and Revision Notes
Revised section

Source section (U.S. Code)

6101 ..................................... 46:239
46:1486
33:361
33:365
6101(b) ................................. 33:362

Section 6101(a) requires the Secretary to prescribe regulations on the types and manner of reporting of marine
casualties to be reported under subsection (b) and incidents to be reported under subsection (c). The casualties
to be reported must include casualties involving death to
an individual, serious injury to an individual, material
loss of property, and any damage affecting the seaworthiness or efficiency of the vessel, in addition to the
other casualties (if any) the Secretary feels should be reported.
Subsection (b) requires the owner, charterer, agent, master, operator, or individual in charge of a vessel to report
within 5 days, any casualty required in subsection (a) or
by regulation.
Subsection (c) requires the owner, charterer, managing
operator, or agent of a U.S. vessel to immediately determine the status of their vessel if they have not heard
from the vessel, if it has not passed a scheduled point, or
for any other reason which may indicate the vessel may
have been lost or imperiled. If the owner, charterer, managing operator, or agent cannot reach the vessel and determine that it is operating safely, then they shall immediately notify the Coast Guard and provide the Coast
Guard with the name and number of the vessel, the names
of individuals on board, and any other information that
the Coast Guard may request. If communication with
the vessel indicates the vessel was involved in a casualty, then the owner, charterer, or agent of the vessel
must immediately notify the Coast Guard under subsection (b). Notification to the Coast Guard does not impose
or create any additional responsibility for the Coast Guard
to take search and rescue action beyond those already
existing under title 14, United States Code.
Subsection (d) makes it clear that the reporting requirements under subsection (b) are applicable to foreign
vessels involved in a marine casualty when operating on
the navigable waters of the United States, whether in innocent passage or not.

§ 6102

TITLE 46—SHIPPING

Subsection (e) provides for the classification of marine
casualties by regulation according to the gravity of the
casualty, injuries to individuals, property damage, dangers created, and size, occupation, and means of propulsion of each vessel.

Page 564

Construction of 2006 Amendment
Provisions of Pub. L. 109–304 repealed by section 3529(c)(1)
of Pub. L. 110–181 to be treated as if never enacted, see
section 3529(c)(2) of Pub. L. 110–181, set out as a note under section 9504 of Title 26, Internal Revenue Code.

Amendments

Transfer of Functions

2018—Subsec. (i)(3). Pub. L. 115–265 substituted “$2,000,000”
for “$500,000”.
Subsec. (i)(4). Pub. L. 115–232, § 3541(b)(11), struck out
“of the Coast Guard” after “Commandant”.
Subsec. (j). Pub. L. 115–232, § 3546(d), struck out “, as
soon as possible, and no later than January 1, 2005,” after “The Secretary shall”.
2014—Subsec. (c). Pub. L. 113–281, § 312(1), added subsec.
(c).
Subsecs. (h), (i). Pub. L. 113–281, § 312(2), in subsec. (h),
struck out “(1)” before “The Secretary” and redesignated par. (2) as subsec. (i) and, in subsec. (i), substituted
“section” for “paragraph” in introductory provisions and
redesignated former subpars. (A) to (D) as pars. (1) to
(4), respectively. Former subsec. (i) redesignated (j).
Subsec. (j). Pub. L. 113–281, § 312(3), resesignated subsec. (i) as (j).
2008—Subsecs. (g) to (i). Pub. L. 110–181 repealed Pub.
L. 109–304, § 15(21). See 2006 Amendment notes below.
2006—Subsecs. (g) to (i). Pub. L. 109–304, § 15(21), which
directed amendment identical to that made by Pub. L.
109–241, was repealed by Pub. L. 110–181. See Construction of 2006 Amendment note below.
Pub. L. 109–241 redesignated the second subsec. (g),
relating to electronic publishing of marine casualty
reports, and subsec. (h) as subsecs. (h) and (i), respectively.
2002—Subsecs. (e), (f). Pub. L. 107–295, § 423(1), redesignated subsec. (e), relating to passenger vessel investigations, as subsec. (f).
Subsec. (g). Pub. L. 107–295, § 442(a), added subsec. (g)
relating to electronic publishing of marine casualty reports.
Pub. L. 107–295, § 423(2), added subsec. (g) relating to
applicability of this part to a foreign vessel involved in a
marine casualty or incident.
Subsec. (h). Pub. L. 107–295, § 442(a), added subsec. (h).
1991—Subsec. (e). Pub. L. 102–241 added subsec. (e) relating to passenger vessel investigations.
1990—Subsec. (a)(5). Pub. L. 101–380, § 4106(b)(1), added
par. (5).
Subsec. (d). Pub. L. 101–380, § 4106(b)(2), designated existing provisions as par. (1) and added par. (2).
1984—Subsec. (a). Pub. L. 98–498, § 212(b)(1)(A), struck
out “and incidents” after “marine casualties” in provisions preceding par. (1).
Subsec. (b). Pub. L. 98–557 inserted provisions relating
to alcohol as a contributing factor to the casualty.
Subsec. (c). Pub. L. 98–498, § 212(b)(1)(B), struck out
subsec. (c) which related to determination of status of a
vessel that may be lost or imperiled and notification of
the Coast Guard.

For transfer of authorities, functions, personnel, and
assets of the Coast Guard, including the authorities and
functions of the Secretary of Transportation relating
thereto, to the Department of Homeland Security, and
for treatment of related references, see sections 468(b),
551(d), 552(d), and 557 of Title 6, Domestic Security, and
the Department of Homeland Security Reorganization
Plan of November 25, 2002, as modified, set out as a note
under section 542 of Title 6.

Effective Date of 2002 Amendment
Pub. L. 107–295, title IV, § 442(b), Nov. 25, 2002, 116 Stat.
2132, provided that: “The amendment made by subsection (a) [amending this section] applies to all marine
casualty reports completed after the date of enactment
of this Act [Nov. 25, 2002].”

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

Source section (U.S. Code)

6102 ..................................... 46:1486

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

Effective Date of 1990 Amendment
Amendment by Pub. L. 101–380 applicable to incidents
occurring after Aug. 18, 1990, see section 1020 of Pub. L.
101–380, set out as an Effective Date note under section
2701 of Title 33, Navigation and Navigable Waters.
Effective Date of 1984 Amendment
Amendment by Pub. L. 98–498 effective 180 days after
Oct. 1, 1984, see section 214 of Pub. L. 98–498, set out as
an Effective Date note under section 2306 of this title.

1984—Subsec. (a). Pub. L. 98–557 inserted provisions relating to alcohol as a contributing factor to the casualty.
Plan To Increase Marine Casualty Reporting
Pub. L. 104–324, title III, § 314(a), Oct. 19, 1996, 110 Stat.
3922, provided that: “Not later than one year after enactment of this Act [Oct. 19, 1996], the Secretary of Transportation shall, in consultation with appropriate State
agencies, submit to the Committee on Resources [now