1625-0070 Stat/Authority

Page 205

§ 12501

TITLE 46—SHIPPING

retary may refer the matter of collection of the
penalty directly to the United States magistrate
judge of the jurisdiction in which the person liable may be found for collection procedures under
supervision of the district court and under an
order issued by the court delegating this authority under section 636(b) of title 28.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 592; Pub. L.
101–650, title III, § 321, Dec. 1, 1990, 104 Stat. 5117.)
HISTORICAL AND REVISION NOTES
Revised section
12309(a) ........................................
12309(b) ........................................
12309(c) ........................................

Source section (U.S. Code)
46:1483
46:1484(b)
46:1484(d)

Section 12309 provides for civil and criminal penalties
for violation of the vessel numbering provisions in this
title.
CHANGE OF NAME
‘‘United States magistrate judge’’ substituted for
‘‘United States magistrate’’ in subsec. (c) pursuant to
section 321 of Pub. L. 101–650, set out as a note under
section 631 of Title 28, Judiciary and Judicial Procedure.

CHAPTER 125—VESSEL IDENTIFICATION
SYSTEM

(i) the owner’s taxpayer identification
number; or
(ii) if the owner does not have a taxpayer
identification number, the social security
number of an individual who is a corporate
officer, general partner, or individual
trustee of the owner and who signed the
application for documentation or numbering for the vessel;
(3) identifying the State in which it is titled
or numbered;
(4) indicating whether the vessel is numbered or titled, or both;
(5) if titled in a State, indicating where evidence of a lien or other security interest may
be found against the vessel in that State; and
(6) information assisting law enforcement officials.
(c) The Secretary may maintain information
under this chapter in connection with any other
information system maintained by the Secretary.
(Added Pub. L. 100–710, title I, § 101(a), Nov. 23,
1988, 102 Stat. 4735; amended Pub. L. 101–225, title
III, § 302(1), Dec. 12, 1989, 103 Stat. 1922; Pub. L.
101–595, title VI, § 603(10), Nov. 16, 1990, 104 Stat.
2993.)

Sec.

12501.
12502.
12503.
12504.
12505.
12506.
12507.

Establishment of a vessel identification system.
Identification numbers, signal letters, and
markings.
Information available to the system.
Information available from the system.
Fees.
Delegation of authority.
Penalties.
HISTORICAL AND REVISION NOTES

Section 101 of H.R. 3105, as amended, adds a new chapter 125 to title 46, United States Code, to establish a
vessel identification system for all vessels of the
United States. This would include vessels documented
under chapter 121 of title 46, numbered under chapter
123 of that title, or titled under the law of a State. This
new chapter consists of new sections 12501–12507 as follows.

§ 12501. Establishment of a vessel identification
system
(a) The Secretary of Transportation shall establish a vessel identification system to make
available information under section 12503 of this
title for use by the public for law enforcement
and other purposes relating to—
(1) the ownership of documented vessels;
(2) the ownership of vessels numbered under
chapter 123 of this title; and
(3) the ownership of vessels titled under the
law of a State.
(b) The vessel identification system shall include information prescribed by the Secretary
including—
(1) identifying a vessel;
(2) identifying the owner of the vessel, including—
(A) the owner’s social security number or,
if that number is not available, other means
of identification acceptable to the Secretary; or
(B) for an owner other than an individual—

HISTORICAL AND REVISION NOTES
Revised section 12501
Subsection (a) of section 12501 requires the Secretary
of Transportation to establish a system of information
concerning vessels of the United States for law enforcement and other purposes. The Secretary is required to
make available information from the system relating
to the ownership of vessels documented under chapter
121 of title 46, numbered under chapter 123 of that title,
and titled under the law of a State. The information is
available under section 12503 for use by the public,
similarly under the Ship Mortgage Act, 1920.
Subsection (b) lists the vessel identification information which is required to be maintained by the Secretary. The Secretary has the authority to prescribe
other information to be maintained in addition to the
items listed. For example, the Secretary may identify
vessels issued fisheries permits by the Department of
Commerce. The Secretary may also monitor transactions involving vessels that require approval by the
Secretary under section 9 of the Shipping Act, 1916 (46
App. U.S.C. 808) before interest or control in the vessel
may be transferred to a noncitizen.
Subsection (c) clarifies that the Secretary has the
flexibility to maintain this system in connection with
any other information system maintained by the Secretary, including the Federal Aviation Administration
system containing aircraft ownership information. This
would also permit the Secretary to combine various
systems and data bases maintained by the Secretary
such as documentation and numbering of vessels, and
safety, casualty, and law enforcement statistics.
AMENDMENTS
1990—Subsec. (b)(2)(A). Pub. L. 101–595 amended subpar. (A) generally. Prior to amendment, subpar. (A)
read as follows: ‘‘the owner’s social security number;
or’’.
1989—Subsec. (b)(2). Pub. L. 101–225 amended par. (2)
generally, adding subpars. (A) and (B).
EFFECTIVE DATE
Section effective Jan. 1, 1989, with certain exceptions
and qualifications, see section 107 of Pub. L. 100–710, set
out as a note under section 31301 of this title.

§ 12502

TITLE 46—SHIPPING

RECORDS AND OTHER INFORMATION; ESTABLISHMENT,
CENTRALIZATION AND COMPUTERIZATION
Pub. L. 100–710, title I, § 104(e)(2), Nov. 23, 1988, 102
Stat. 4751, provided that: ‘‘To establish, centralize, and
computerize records and other information maintained
under chapters 121, 125, and 313 of title 46, United States
Code, from the effective date of this title [Jan. 1, 1989,
with certain exceptions and qualifications, see section
107 of Pub. L. 100–710, set out as a note under section
31301 of this title] through September 30, 1993, the Secretary of Transportation shall spend (out of amounts
appropriated for the Department of Transportation
under an appropriations law) not less than an amount
that is equal to the amounts estimated to be—
‘‘(A) collected under section 9701 of title 31, United
States Code, for fees paid for services and things of
value provided under chapter 313 of title 46, United
States Code (as enacted by section 101 of this Act),
and for documenting vessels under chapter 121 of title
46; and
‘‘(B) transferred to or collected by the Secretary
under chapter 125 of title 46, United States Code (as
enacted by section 101 of this Act).’’
PERSONNEL AND EQUIPMENT; RECRUITMENT, COMPENSATION, TRAINING, PURCHASING, OR DEPLOYMENT
Pub. L. 100–710, title I, § 104(g), Nov. 23, 1988, 102 Stat.
4751, provided that: ‘‘Nothing in this section [amending
sections 2101, 2110, 12102, 12103, 12105, 12110, 12112, 12117,
12119, and 12120 of this title and sections 808, 1242, and
1271 of the Appendix to this title, and enacting provisions set out as notes under sections 12501, 12502, and
12505 of this title] requires the Coast Guard to recruit,
compensate, train, purchase, or deploy any personnel
or equipment to carry out chapter 125 of title 46, United
States Code (as enacted by section 101 of this Act), except to the extent that appropriations are made available in an appropriations law for the Department of
Transportation.’’
[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.]

§ 12502. Identification numbers, signal letters,
and markings
(a) For the identification of a vessel of the
United States, the Secretary of Transportation—
(1) shall maintain a unique numbering system and assign a number to each vessel of the
United States;
(2) may maintain a system of signal letters
for a documented vessel;
(3) shall record a name selected by the owner
of a documented vessel approved by the Secretary as the vessel’s name of record; and
(4) may establish other identification markings.
(b) The manufacturer or owner of a vessel
shall affix to the vessel and maintain in the
manner prescribed by the Secretary the number
assigned and any other markings the Secretary
may require.
(c) Once a number is assigned under this section, it may not be used by another vessel.
(d) Once a documented vessel’s name is established, the name may not be changed without
the approval of the Secretary.
(e) A person may not tamper with or falsify a
number or other marking required under this
section.

Page 206

(Added Pub. L. 100–710, title I, § 101(a), Nov. 23,
1988, 102 Stat. 4736.)
HISTORICAL AND REVISION NOTES
Revised section 12502
Subsection (a) of this section requires the Secretary
to maintain a unique numbering system for vessels of
the United States. The Secretary may use existing vessel numbering systems such as the hull identification
number for this purpose, but must ensure that no two
existing vessels of the United States have the same
number. The Secretary should consider and propose the
use of a 17-digit number to implement this requirement. This subsection also requires the Secretary to
maintain a system of signal letters and to record vessel
names for documented vessels. The Secretary is authorized to establish other vessel identification markings
for vessels of the United States, such as hailing ports.
Subsections (b), (c), (d), and (e) contain other requirements and restrictions concerning vessel identification
markings.
This section consolidates the requirements of sections 12114, 12115, 12116, and 12118 of title 46. For this
reason, section 106 of this bill repeals those sections.
EFFECTIVE DATE
Section effective Jan. 1, 1989, with certain exceptions
and qualifications, see section 107 of Pub. L. 100–710, set
out as a note under section 31301 of this title.
VESSELS NOT HAVING UNIQUE NUMBER; APPLICABILITY
OF PROVISIONS FOR NUMBER ASSIGNMENT
Pub. L. 100–710, title I, § 104(f), Nov. 23, 1988, 102 Stat.
4751, provided that: ‘‘Section 12502(a)(1) of title 46,
United States Code (as enacted by section 101 of this
Act), applies to a vessel of the United States that does
not have a unique number as prescribed by the Secretary of Transportation under that section until the
earlier of the following:
‘‘(1) the next time the vessel is documented, numbered, or titled.
‘‘(2) January 1, 1995.’’

§ 12503. Information available to the system
(a) Except as provided in subsections (b) and
(c) of this section, a State or a State’s delegate
approved by the Secretary of Transportation
may make information available to the Secretary if, in a manner and form prescribed by
the Secretary, the State—
(1) identifies the vessel;
(2) identifies the owner of the vessel, including by—
(A) the owner’s social security number or,
if that number is not available, other means
of identification acceptable to the Secretary; or
(B) for an owner other than an individual—
(i) the owner’s taxpayer identification
number; or
(ii) if the owner does not have a taxpayer
identification number, the social security
number of an individual who is a corporate
officer, general partner, or individual
trustee of the owner and who signed the
application for documentation or numbering for the vessel;
(3) identifies the State in which it is titled
or numbered;
(4) indicates whether the vessel is numbered
or titled, or both;
(5) if titled in a State, indicates where evidence of a lien or other security interest may
be found against the vessel in that State;

Page 207

§ 12505

TITLE 46—SHIPPING

(6) includes information to assist law enforcement; and
(7) includes other information agreed to by
the Secretary and the State.
(b) Except as provided in subsection (c) of this
section, the Secretary also may accept information under conditions and in a manner and form
prescribed by the Secretary.
(c) The Secretary shall—
(1) retain information on a vessel with a preferred mortgage under section 31322(d) of this
title that is no longer titled in a State making
information available to the Secretary under
this chapter until the mortgage is discharged
or the vessel is sold; and
(2) accept information under section 31321(h)
of this title only if that information cannot be
provided to a State.
(Added Pub. L. 100–710, title I, § 101(a), Nov. 23,
1988, 102 Stat. 4736; amended Pub. L. 101–225, title
III, § 302(2), Dec. 12, 1989, 103 Stat. 1922; Pub. L.
101–595, title VI, § 603(10), Nov. 16, 1990, 104 Stat.
2993; Pub. L. 109–304, § 15(24), Oct. 6, 2006, 120
Stat. 1704.)
HISTORICAL AND REVISION NOTES
Revised section 12503
Subsection (a) of section 12503 allows a State or approved State delegee to make vessel identification information available to the Secretary. Participation in
the system is voluntary on the part of a State. A benefit to boat purchasers and financiers in States with approved titling systems participating in this system is
that vessel mortgages or financing instruments made
in those States are deemed to be preferred mortgages
under chapter 313 of title 46, United States Code (as
codified and enacted by this Act).
Under subsection (a), the Secretary may prescribe the
manner and form in which the information is made
available by the States. In this regard, the Committee
intends that the Secretary employ the most efficient,
up-to-date computer technology in maintaining information made available from the States to avoid duplication of effort in maintaining information and to reduce the costs of the system. In addition to the vessel
identification information made available by States
under paragraphs (1)–(6), the Secretary and a State may
agree that the State make available other information.
For example, the purpose for which a vessel is routinely used would be valuable information for the system.
The Committee intends that most of the information
in the system will become available directly and exclusively from the States to the greatest extent possible.
However, under subsection (b), the Secretary may accept information from others under conditions and in a
manner and form prescribed by the Secretary. Thus, if
the Secretary discovers a valuable and reliable source
of data that can be conveniently made available to the
system, the Secretary can approve it.
Under paragraph (c)(1), the Secretary must maintain
information on a State-titled vessel with a preferred
mortgage that moves to a nonparticipating, nontitle
State, until the mortgage is discharged or the vessel is
sold. Under paragraph (c)(2), the Secretary must accept
information submitted under section 31321 of title 46 (as
enacted by this Act) concerning a discharge of a preferred mortgage on a vessel title under State law. This
would be necessary if the vessel moves to a nonparticipating State, and information on that vessel would not
be provided to the system by that State. This subsection will allow the Secretary to keep the vessel information system current on these matters and purge
files no longer required to be maintained.

AMENDMENTS
2006—Subsec. (a). Pub. L. 109–304 substituted ‘‘delegate’’ for ‘‘delegee’’ in introductory provisions.
1990—Subsec. (a)(2)(A). Pub. L. 101–595 amended subpar. (A) generally. Prior to amendment, subpar. (A)
read as follows: ‘‘the owner’s social security number;
or’’.
1989—Subsec. (a)(2). Pub. L. 101–225 amended par. (2)
generally, adding subpars. (A) and (B).
EFFECTIVE DATE
Section effective Jan. 1, 1989, with certain exceptions
and qualifications, see section 107 of Pub. L. 100–710, set
out as a note under section 31301 of this title.

§ 12504. Information available from the system
For law enforcement or other purposes and
under conditions prescribed by the Secretary of
Transportation, the Secretary—
(1) shall make available information in the
vessel identification system to a State making
information available under section 12503(a) of
this title; and
(2) may make available information in the
vessel identification system to others.
(Added Pub. L. 100–710, title I, § 101(a), Nov. 23,
1988, 102 Stat. 4736; amended Pub. L. 101–225, title
III, § 302(3), Dec. 12, 1989, 103 Stat. 1923.)
HISTORICAL AND REVISION NOTES
Revised section 12504
This section requires that the Secretary make available information maintained in the vessel identification system to a State participating in the system for
law enforcement or other purposes. The Secretary may
make available information in the system to others,
under conditions the Secretary may prescribe. At first,
the Secretary may elect to deal only with the States.
However, the Committee firmly expects that information will be made available through computer terminals in satellite offices or direct computer access by
modem. In this manner, boating organizations or financial or documentation services could retrieve data
without paper transactions for a fee.
AMENDMENTS
1989—Pub. L. 101–225 substituted ‘‘Secretary of Transportation, the Secretary’’ for ‘‘Secretary, the Secretary
of Transportation’’.
EFFECTIVE DATE
Section effective Jan. 1, 1989, with certain exceptions
and qualifications, see section 107 of Pub. L. 100–710, set
out as a note under section 31301 of this title.

§ 12505. Fees
(a) The Secretary of Transportation may
charge a fee under section 9701 of title 31 for providing information to or requesting information
from the vessel identification system, except
to—
(1) an agency; or
(2) a State making information available to
the Secretary under section 12503(a) of this
title.
(b) The Secretary shall deposit amounts transferred or collected under this section in the general fund of the Treasury as proprietary receipts
of the Secretary and ascribed to the vessel identification system.
(Added Pub. L. 100–710, title I, § 101(a), Nov. 23,
1988, 102 Stat. 4737; amended Pub. L. 101–595, title
VI, § 603(11), Nov. 16, 1990, 104 Stat. 2993.)

§ 12506

TITLE 46—SHIPPING
HISTORICAL AND REVISION NOTES

Revised section 12505
This section contains the authority for the Secretary
to charge a fee under the user charge law, 31 U.S.C.
9701, for providing information to or requesting information from the vessel identification system. Fees may
not be charged under this subsection to an agency or a
State that is participating in the vessel identification
system maintained by the Secretary.
Under subsection (b) of this section, the Secretary
may collect an annual fee of not more than $1.00 from
the owner of a vessel of the United States under 31
U.S.C. 9701 for the vessel identification system. Since
vessel owners will benefit from the vessel identification
system, such as from documentation of ownership data
and stolen vessel tracking, this fee is designed as a
maintenance charge to owners for this service. The collection of the annual fee may be delayed by the Secretary, and an agency, State, or person may be employed to collect the fee under subsection (c). The Committee expects that the Secretary will make agreements with States to collect this fee at the time of vessel registrations. The term of these registrations varies
from one to three years as permitted by chapter 123 of
title 46.
Under subsection (d) of this section, if a State is employed to collect the fee, the State may retain one-half
of the amounts collected, and must transfer the remainder to the Secretary. The amounts retained by a
State may be used to cover the costs of making vessel
identification information available to the Secretary.
This includes upgrading or establishing titling systems
as well as making improvements and other changes to
vessel numbering systems to make information available. Because States are allowed to make improvements to their vessel titling and numbering systems
with the amounts retained under this section, the costs
of those programs may decrease. This could result in a
corresponding decrease in State numbering fees and
offset vessel identification system fees paid by vessel
owners.
AMENDMENTS
1990—Subsec. (b). Pub. L. 101–595 redesignated subsec.
(e) as (b) and struck out former subsec. (b) which read
as follows: ‘‘In addition to any fee under subsection (a)
of this section, the Secretary may collect an annual fee
of not more than $1.00 from the owner of each vessel of
the United States under section 9701 of title 31 for
maintaining the vessel identification system. However,
the collection of that fee may be delayed under conditions prescribed by the Secretary.’’
Subsecs. (c), (d). Pub. L. 101–595 struck out subsecs.
(c) and (d) which read as follows:
‘‘(c) The Secretary may employ any agency, State, or
person to collect the fee established under subsection
(b) of this section.
‘‘(d) If a State is employed to collect a fee under subsection (c) of this section, the State may retain onehalf of the amounts collected. A State shall transfer
one-half of the amounts collected under subsection (b)
of this section to the Secretary.’’
Subsec. (e). Pub. L. 101–595 redesignated subsec. (e) as
(b).
Subsec. (f). Pub. L. 101–595 struck out subsec. (f)
which read as follows: ‘‘The amounts retained by a
State under this section may be used to make information available to the Secretary and to pay incremental
administrative costs.’’
EFFECTIVE DATE
Section effective Jan. 1, 1989, with certain exceptions
and qualifications, see section 107 of Pub. L. 100–710, set
out as a note under section 31301 of this title.

Page 208

annual fee under section 12505 of title 46, United States
Code (as enacted by section 101 of this Act), is $1.00.’’

§ 12506. Delegation of authority
The Secretary of Transportation may delegate
to an agency, a State, or a qualified person the
authority to—
(1) establish and maintain the vessel identification system; and
(2) charge fees under section 12505 of this
title to a person making information available
to or requesting information from the vessel
identification system.
(Added Pub. L. 100–710, title I, § 101(a), Nov. 23,
1988, 102 Stat. 4737.)
HISTORICAL AND REVISION NOTES
Revised section 12506
This section allows the Secretary to delegate the authority to establish and maintain the vessel identification system to an agency, a State, or a qualified person. The Secretary may also delegate the authority to
charge fees under section 12505 for requesting information from or making information available to the vessel identification system.
EFFECTIVE DATE
Section effective Jan. 1, 1989, with certain exceptions
and qualifications, see section 107 of Pub. L. 100–710, set
out as a note under section 31301 of this title.

§ 12507. Penalties
(a) A person shall be fined under title 18, imprisoned for not more than 2 years, or both, if
the person with the intent to defraud—
(1) provides false information to the Secretary of Transportation or a State issuing authority regarding the identification of a vessel
under this chapter; or
(2) tampers with, removes, or falsifies the
unique vessel identification number assigned
to a vessel under section 12502 of this title.
(b) A person is liable to the United States Government for a civil penalty of not more than
$10,000 if the person—
(1) provides false information to the Secretary or a State issuing authority regarding
the identification of a vessel under this chapter;
(2) violates section 12502 of this title; or
(3) fails to comply with requirements prescribed by the Secretary under section 12505 of
this title.
(c) A vessel involved in a violation of this
chapter, or regulation under this chapter, and
its equipment, may be seized by, and forfeited
to, the Government.
(d) If a person, not an individual, is involved in
a violation of this chapter, the president or chief
executive of the person also is subject to any
penalty provided under this section.
(Added Pub. L. 100–710, title I, § 101(a), Nov. 23,
1988, 102 Stat. 4737.)
HISTORICAL AND REVISION NOTES
Revised section 12507
This section establishes criminal and civil penalties
for certain violations of chapter 125 of title 46 (as enacted by this Act).
EFFECTIVE DATE

ANNUAL FEE PRIOR TO JAN. 1, 1992
Pub. L. 100–710, title I, § 104(e)(1), Nov. 23, 1988, 102
Stat. 4751, provided that: ‘‘Before January 1, 1992, the

Section effective Jan. 1, 1989, with certain exceptions
and qualifications, see section 107 of Pub. L. 100–710, set
out as a note under section 31301 of this title.